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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 m1 242 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 line Or, 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,

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