CHAPTER 5
Plastic Equilibrium in Soils
ARTICLE 26 FUNDAMENTAL,
ASSUMPTIONS
‘This chapter deals with the earth pressure agains lateral
supports such as retaining walls or the bracing in open
ccuts, with the resistance of the earth against lateral dis-
placement, with the bearing capacity of footings, and
with the stability of slopes. Problems of this type require
comparing the magnitudes of two sets of forces: those
that tend to resist a failure and those that tend to produce
it, Such an investigation is called a stability calculation.
‘To make a stability calculation, the position of the poten-
tial surface of sliding must be determined and the resis-
tance against sliding along this surface must be computed
or estimated,
In reality both the forces tending to resist failure and
those tending to produce it involve inherent uncertainties
and, consequently, so does the factor of safer), defined
as the quotient of these two quantities. The probabilistic
nature of both the reistances and the driving forces has
been the subject of considerable study and is recognized
in building codes applicable to structures and their foun-
dations; it will be discussed in Part IIL. In this chapter
the principles of stability calculations are presented as if
the pertinent quantities can be evaluated deterministicall.
‘The sliding resistance s per unit of area depends not
only on the type of soil but also on the effective normal
stress @ - uw on the surface of sliding and a number
of other factors. These were discussed in Articles 18
through 20,
For mathematical treatment of stability problems, sim-
plified expressions for shear strength are used. For dry
or saturated granular soils, for saturated normally consoli-
dated clays, and for fully softened stiff clays:
(- wand’ 26.1)
where’ is a friction angle independent of the effective
normal stress @ — w at failure and is constant throughout
the soil. For saturated overconsolidated or aged clays,
+ (o - wend’ (26.2)
where c’ and 6 are a cohesion intercept and a friction
angle, respectively; both are independent of the effective
normal stress at failure and are constant throughout the
soil mass. For unsaturated cohesive soils,
s=etotand’ (263)
where ¢ = c' + b uf (Eq. 19.9), and c’ and 6 ate a
cohesion intercept and a friction angle, respectively. The
parameters a and b as well as suction u, are assumed not
to vary throughout the soil mass; constant values of ¢
and , independent of total normal stress at failure o,
are used in the analysis. In reality the failure envelopes
of dense granular soils and overconsolidated clays are
curved, and c’ and u, may vary with depth. Thus the
selection of appropriate values of 6, c’ and c for a
particular problem requires experience and judgment
(Article 19).
‘The investigation of failure based on Eqs. 26.1 or 26.2
is called effective stress stability analysis (ESSA). The
ESSA terminology is also applicable to Eq, 26.3, because
{n unsaturated soils with air voids that are connected to
the atmosphere and with constant suction, the frictional
shearing resistance determined by 6 is directly propor-
tional tog. When ESSA is applied to drained failures,
the porewater pressure in Eqs. 26.1 and 26,2 is determined
from the ground water level, or from a flow net if steady
seepage exists. When ESSA is used for mathematical
analysis of undrained failures, the porewater pressure
term must also include porewater pressures resulting from
loading or unloading and associated shearing deforma-
tions (Article 15.5). Considerable care must be taken in
selecting c’ and ¢’ for undrained failure of contractive
soils (Article 20.1).
More often, the shear strength for constant volume
undrained failures is defined as
ses, (26.4)
where s, is an average mobilized undrained shear strength
m1242 PLASTIC EQUILIBRIUM IN sous.
assumed to have the same value at all depths and all
directions. Equation 26.4 is most suitable for undrained
stability analyses of saturated soft clays and sits and for
loose sands, in which the undrained shear strength 5, is
independent ofthe total normal stress. An investigation of
failure based on Eq. 26.4 is called an undrained strength
stability analysis (USSA). Because the undrained shear
strength may vary with depth and is highly dependent on
‘mode of shear and time to failure, the selection of the
appropriate value of the average mobilized undrained
shear strength for a particular problem requires experience
and judgment (Article 20), When the undrained shear
strength varies with depth in an irregular but distinct
manner, the sil should be considered to consist of layers
having different values of average mobilized undrained
shear strength. In rare instances, such as in an earth dam
constructed from a homogeneous cohesive soil, the
undrained shear strength may increase linearly with depth
or with the consolidation pressure «,. The relationship
‘between undrained shear strength and consolidation pres-
sure may be included in a mathematical analysis as a
linear relationship between undrained shear strength and
effective normal stress before loading or unloading; i..,
before the associated shear deformation.
Each of the stability problems will be solved first for
4 dry (u = 0) cohesionless sand to which Eq. 26.1 is
applicable and then for a cohesive material to which Eqs.
26.2 or 26.3 applies. After the ability to solve problems
on the basis of these two equations is achieved, similar
problems dealing with partly or completely submerged
sand or with saturated clay under undrained conditions
can readily be solved,
In a partly submerged mass of sand in which the water
is at rest, the neutral stress wat any depth z below the
water table is
= yet
This stress reduces the effective unit weight of that
part of the sand below water level from tothe submerged
unit weight ' (Eq. 15.6). Hence a stability calculation
dealing with a partly submerged sand can be made on
the assumption thatthe sand is dry, provided thatthe unit
weight + of the soil below water level is replaced by '.
‘The pressure exerted by a partly submerged mass of sand
against a lateral support is equal tothe sum of the pressure
of the sand, computed on the basis just mentioned, and
the full water pressure. However, if the water percolates
through the voids of the soil instead of being stagnant,
this procedure is not applicable because the seepage pres-
sure of the percolating water must be taken into account,
Problems dealing with seepage pressure are discussed in
Articles 35 and 36,
‘Theoretical expressions derived on the basis of Eq
26.2 or Eq, 26.3 can be applied to stability analyses in
‘which the shear strength is expressed by Eq. 26.4. The
equation for the undrained shear strength of saturated
soils in terms of total stress is
ssectotand (265)
where ¢ = 5, and & = 0. Because the mathematical forms
of Eqs. 26.2, 26.3, and 26.5 are identical, they lead to
the same mathematical expressions for solving stability
problems. Thus, by appropriate substitutions forthe inter-
cept and angle, mathematical expressions for the
undrained stability of saturated soils are obtained in terms
of s,.
‘The condition for failure represented by Eq. 26.2 cor-
responds to Mohr’s rupture diagram in which the failure
envelope is a straight line (Fig. 26.1). Consequently, a
definite relation exists at failure between the major and
minor principal stresses oj and 5, respectively. By
‘geometry
o| +d = 0A + AB = OA(I + sin 6’)
0} + d= OA ~ AB = OA(I ~ sin 6")
whence
1 , L+ sin 6" + sino"
ja os TENS 4 (tS
But
a Pier y
sin 6
Therefore
vag itsing 4, frsine
1 ain gt 2 V1 sing
ae Te onan
af = of wn 5° + 2) + 20" anf ase + &
2
-e LE
oer te \.
| a
I er eee
Figure 26.1 Mohr rupture diagram for condition in which
failure envelope is straight lineOr, if
we = wanifase + 2
Ne = tan ase + (26.6)
0 = OiNy + 2c! Ny (26.7)
‘The quantity Ny is known as the low value, If!
0.
of} = oiNy (26.8)
and if the condition for failure is represented by Eq. 26.4
(=0,M,=1)
oy =) +25, 269)
ARTICLE 27 STATES OF PLASTIC
EQUILIBRIUM
27.1 Fundamental Concepts
A body of soil is in a state of plastic equilibrium if
every part of it is on the verge of failure. Rankine (1857)
investigated the stress conditions corresponding to those
states of plastic equilibrium that can be developed simul-
taneously throughout a semi-infinite mass of soil acted
‘on by no force other than gravity. States of plastic equilib-
rium identical with those which Rankine considered are
referred to as Rankine states of plastic equilibrium. A
discussion of the Rankine states in a semi-infinite mass
is primarily an introduction to the more complicated states
of plastic equilibrium encountered in connection with
practical problems,
‘The Rankine states are illustrated by Fig. 27.1. In this
figure, AB represents the horizontal surface of @ semi-
infinite mass of cohesionless dry sand witha unit weight
+, and E represents an element of the sand with a depth
and a cross-sectional area equal to unity. Because the
clement is symmetrical with reference to a vertical plane,
the effective normal stress on the base
ony en)
is a principal stress. As a consequence, the effective nor-
mal stresses 0}, on the vertical sides of the element at
depth z are also principal stresses.
According to Eq. 26.8, the ratio between the major and
‘minor principal tresses in a cohesionless material cannot
exceed the value
Sony = eanifase + &
Men eunfis 2)
Because the vertical principal stress a1, in the mass of
sand shown in Fig. 27.la, can be either the major or the
minor principal stress, the ratio K = o/c, can assume
any value between the limits,
ARTICLE 27. STATES OF PLASTIC EQUILIBRIUM 243
we - ) 27.2)
and
af gse = &
ernie od
| 273)
After a mass of sand has been deposited by either a
natural or an artificial process, K has a value Ky intermedi-
ate between Ky and Ky and
oh = Koo! era)
‘wherein Kois an empirical coefficient known as the coeffi-
cient of earth pressure at rest. Its value depends on the
relative density of the sand, the process by which the
deposit was formed, and its subsequent stress history
(Article 16.5).
To change the value of K for a mass of sand from Ky
to some other value, it is necessary to give the entire
‘mass an opportunity either to stretch or to be compressed
in a horizontal direction. Because the weight of sand
above any horizontal section remains unchanged, the
effective vertical pressure 0}, is unaltered. The horizontal
pressure of = Ko;, however, decreases if the mass
stretches and increases if it compresses.
As the mass stretches, any two vertical sections such
as ab and cd move apart, and the value of K decreases
until it becomes equal to Ky (Eq. 27.2). The sand is then
in what is known as the active Rankine stae. In this state
the intensity of the effective horizontal pressure at any
depth z is equal to
0 = Kot = Kaz = 75)
in which K, is called the coefficient of active earth
pressure. The distribution of pressure over the sides and
base of an element such as E is shown in Fig. 27.1b,
Further stretching of the mass has no effect on 0, (Eq.
275), but sliding occurs along two sets of plane surfaces
as indicated on the right-hand side of Fig. 27.la.
‘According to Eq. 17.5, such surfaces of sliding intersect
the direction of the minor principal stress at the angle
45° + $'/2. Because the minor principal stresses in the
active Rankine state are horizontal, the shear planes rise
at an angle of 45° + '/2-with the horizontal. The pattern
formed by the traces of the shear planes on a vertical
section parallel to the direction of stretching is known
as the shear pattern
A horizontal compression of the entire mass of sand
‘causes ab to move toward cd, as shown in Fig. 27.
As a consequence, the ratio K = oo! increases. AS
soon as K becomes equal to Kp (Eg. 27.3) the sand is,244 PLASTIC EQUILIBRIUM IN sos
Figure 27.1 (a, 6) Diagrams illustrating active Rankine state in semi
finite mass of sand;
(6, a) corresponding diagrams for passive Rankine state.
said to be in the passive Rankine state, At any depth 2
the horizontal pressure is
04, = Kyo = Keyz = yNy 276)
in which Kp is the coefficient of passive earth pressure.
Because the minor principal stress in the passive Rankine
state is vertical, the surfaces of sliding rise at an angle
of 45° ~ 4/2 withthe horizontal, as shown in Fig. 27.le.
The active and the passive Rankine states constitute
the (wo limiting states for the equilibrium of the sand.
Every intermediate state, including the state of rest, is
refered to as a state of elastic equilibrium,
27.2 Local States of Plastic Equilibrium
‘The Rankine states illustrated by Fig. 27.1 were produced
by uniformly stretching or compressing every part of @
semi-infinite mass of sand. They are known as general
states of plastic equilibrium. However, in a stratum of
real sand, no general state of equilibrium can be produced
except by a geologic process such as the horizontal com-
pression by tectonic forces of the entire rock foundation
of the sand strata. Local events, such as the yielding of
a retaining wall, cannot produce @ radical change in the
state of stress in the sand except in the immediate vicinity
of the source of the disturbance. The rest of the sand
remains in a state of elastic equilibrium,
Local states of plastic equilibrium can be produced by
very different processes of deformation, The resulting
states of stress in the plastic zone and the shape of the
zone itself depend to a large extent on the type of deforma-
tion and on the degree of roughness of the surface of
contact between the soil and its support. These factors
constitute the deformation and the boundary conditions.
‘The practical consequences of these conditions are illus-
trated by Figs. 27.2 and 27.3.
Figure 27.2a is a vertical section through a prismatic
box having a length ! equal to the distance between the
vertical sections ab and ed in Fig. 27.1. If dry sand is,