CV6314 EXCAVATION AND EARTH RETAINING SYSTEMS

Lecturers: A/P Anthony GOH (Tel: 67905271, email: ctcgoh@ntu.edu.sg)

A/P LOW Bak Kong (Tel: 67905270, email: cbklow@ntu.edu.sg)
Week Contents Lecturer
1 Introduction; Lateral earth pressures LBK
2 Groundwater; External loads; Compaction LBK
3 Backfilled walls LBK
4 Reinforced earth walls LBK
5 Cantilevered and Anchored walls LBK
6 Cofferdams LBK
7 Excavation systems: overview AG
Recess week
8 Stability, strut forces and wall design AG
9 Wall deflection and ground settlement AG
10 Numerical modelling AG
11 Design Issues and Instrumentation AG
12 Building damage due to excavation AG
13 Case studies AG
1

REFERENCES
1. Knappett, J. A. and Craig, R. F. Craig’s Soil Mechanics, 8th edition, Spon Press,
Oxford, 2012.
2. Clayton, C. R. I., Milititsky, J. and Woods, R. J. Earth Pressure and Earth-
Retaining Structures, 2nd edition, Chapman & Hall, London, 1993.
3. Fang, H. Y. (Ed.)
( d ) Foundation
d db k 2ndd edition,
Engineering Handbook, d Van Nostrand
d
Reinhold, New York, 1991
4 Hanna
4. Hanna, T.T H.
H Foundation Instrumentation in Geotechnical Engineering,
Engineering
Clausthal-Zellerfeld, Germany / Trans. Tech. Publication, UK, 1985
g , K.,, Peck,, R. B. and Mesri,, G. Soil Mechanics in Engineering
5. Terzaghi, g g Practice,,
rd
3 edition, John Wiley and Sons, New York, 1996.
6. Tomlinson, M. J. Foundation Design and Construction, 6th edition, Longman
Scientific and Technical, UK, 1995.

2
 References for this lecture:
Bowles, J. E. (1997). Foundation Analysis and Design, 5th edn, McGraw
Hill N
Hill, New Y
York.
k

Craig, R.F. Craig’s Soil Mechanics, 7th edition, Spon Press, 2004.
(Craig’s Soil Mechanics, 8th ed. by Knappett and Craig, 2012, is available)

Robert D. Holtz, William D. Kovacs (1981). An Introduction to

Geotechnical Engineering, Prentice Hall.
( An Introduction to Geotechnical Engineering, 2nd ed., by Robert D. Holtz, William D.
Kovacs, and Thomas C. Sheahan, 2011, is available)

Terzaghi, K., Peck, R. B. and Mesri, G. Soil Mechanics in Engineering

Practice, 3rd edn, John Wiley and Sons, New York, 1996.

Types of retaining walls: (a) Gravity section. (b) Semigravity section. (c) Cantilever
section. (d) counterfort wall. (e) Crib wall. (from Peck, Hanson, Thornburn, 2nd edition, 1974)

4
 Sheet pile wall Reinforced earth wall

The cofferdam for the

purpose of constructing
the Olmstead Lock and
Dam on the Ohio River.
5

2-11 SHEAR STRENGTH from Bowles (1997).

6
 7

Figure 2-24 Mohr's failure stress circle for a triaxial compression test series with only a single test shown for
clarity
y and to include shear strength
g terminology. gy Also shown is orientation of the shear pplane in sample
p and
shear and normal stresses on plane. Note conventional use of first quadrant for stress plot even though stresses
are all compressive. In-depth theory of Mohr's circle construction is available in introductory geotechnical,
mechanics of materials, and statics textbooks 8
9

10
Understand the Pole (or Origin of planes) in Mohr circle will help
yyou understand the orientation of the shear p
plane in slide #8 and
the shear and normal stresses on the plane.
Property of the pole: Any straight line drawn through the pole will intersect
the Mohr circle at a point which represents the state of stress on a plane
inclined at the same orientation in space as the line.
Sign convention:
Normal stress is positive if compressive.
Shear stress is positive if anticlockwise about the element
element.
-ve Reference:
+ve Holtz & Kovacs (1981)
An Introduction to Geotechnical
-ve Engineering.
+ve
Page 433: sign conventions
+ve -ve Page 436: pole or origin of planes

+ve
-ve
11

Example: A soil element is shown below. Determine the following:

Consider either: 75 kPa

30 kPa

50 kPa

or:
σn τ
30 kPa

30 kPa τ σn
50 kPa

30 kPa
75 kPa
12
Solution using the pole method
Steps:
1. Plot stress points (75, 30) and (50, −30).
2. Construct the Mohr circle. ((The line
joining the two stress points is the σ3 σ1
diameter.)
3 The pole is located as shown
3. shown, based on
its property that any straight line drawn
through the

pole will intersect the Mohr circle at a point which represents the state of stress on a
plane inclined at the same orientation in space as the line
line.
4. By the above property of the pole, draw a line parallel to the inclined plane to
intersect the Mohr circle at a point found to be (94, −7), which can also be
computed. Negative 7 means that the shear stress τ acts in a direction opposite to
that (positive) shown in the previous slide.
5 Maximum and minimum principal stresses are read off from the plot
5. plot.

13

The relationship between the shear strength parameters and the effective principal
stresses at failure at a p
particular p
point can be deduced. The ggeneral case with c' > 0 is
shown in the figure below, compressive stress being taken as positive. The coordinates of
the tangent point are τf and σf′ where

τf =
2
(
1 '
)
σ 1 − σ 3' sin 2θ

σ 'f =
2
(
1 '
)1
( )
σ 1 + σ 3' + σ 1' − σ 3' cos 2θ
2

and θ is the theoretical angle between the major principal plane and the plane of failure
failure.
By geometry,

φ′
θ = 45o +
2

14
 τ

Pole

τf
θ 2θ
σf′
σ′

Mohr-Coulomb failure criterion

15

From geometry

sin φ ′ =
(
0.5 σ 1' − σ 3' )
(
c′ cot φ ′ + 0.5 σ 1' + σ 3' )
Therefore

(σ '
1 ) ( )
− σ 3' = σ 1' + σ 3' sin φ ′ + 2c′ cos φ ′

or

⎛ φ′ ⎞ ⎛ φ′ ⎞
σ 1' = σ 3' tan 2 ⎜ 45° + ⎟ + 2c′ tan ⎜ 45° + ⎟
⎝ 2⎠ ⎝ 2⎠
The above equation is referred to as the Mohr-Coulomb failure criterion.

For a given state of stress it is apparent that, because σ1′ = σ1 − u and σ3′ = σ3 − u, the
Mohr circles for total and effective stresses have the same diameter but their centres are
separated by the corresponding pore water pressure u. u Similarly,
Similarly total and effective stress
points are separated by the value of u.
16
 The notation Nφ′ is used in Article 26 of Terzaghi, K., Peck, R.
B. and Mesri, G. Soil Mechanics in Engineering Practice, 3rdd
edn, John Wiley and Sons, New York, 1996.

17

THE LATERAL EARTH PRESSURE PROBLEM (from Bowles 1997, Chapter 11)

18
 (b) Initial K0 state

(c) Active
p
pressure

σ3 = OA
(a) Mohr's circles for the K0 and at plastic (d) Passive σ1 = OE + ED
equilibrium (or rupture). pressure
Figure 11-1 Illustration of the concept of elastic and plastic
equilibrium. Note in both (c) and (d) the slip lines are highly
id li d Th
idealized. The stresses iin (b)
(b), ((c),
) and
d (d) such
h as OA,
OA OE,
OE EC
are identified on the Mohr's circles of (a). 19

Figure 11-1 displays that earth pressure is dependent on the effective stresses in
the soil and not total stresses. It necessarily follows that the wall pressure below
the water table is the sum of the hydrostatic pressure and the effective lateral
earth pressure from using the effective unit weight γ′ of the soil.

20
Figure 2-40 Four possible stress paths from either compression or extension
triaxial tests and the corresponding field cases. 21

Figure 2-41 Stress paths for the four basic triaxial tests.

22
 ACTIVE EARTH PRESSURE

It is also usual to use Ka for the tan2 term:

σ 3' = σ 1' K a − 2c′ K a σ 1' = σ 3' K p + 2c′ K p
sin φ ′
here Kp = Nφ of slide 17 = 1/Ka = tan2(45°+ φ′/2)
where = 11+−sin φ′
23

from Article 26 of Terzaghi/Peck/Mesri 1996

For mathematical treatment of stability problems, simplified expressions for shear strength are used.
• For dry or saturated granular soils and for saturated normally consolidated clays:

where σ - u is the effective normal stress at failure and φ

φ′ is a friction angle.
g
• For saturated overconsolidated or aged clays,

where c′ is a cohesion intercept.

• More often, the shear strength for constant volume undrained failures is defined as

where su is an average mobilized undrained shear strength.

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

where c = su and φ = 0. Because the mathematical forms of Eqs. 26.2, 26.3, and 26.5 are identical,
theyy lead to the same mathematical expressions
p for solvingg stabilityy problems.
p Thus, byy
appropriate substitutions for the intercept and angle, mathematical expressions for the undrained
stability of saturated soils are obtained in terms of su.
24
 (a) K0 case (b) Active case (c) Passive case
Figure 11-2 Idealization of active and passive earth pressure from a K0 developed by
inserting a wall of zero thickness (and volume) into a soil mass as in (a).
(a)

25

26
27

28
 PASSIVE EARTH PRESSURE (Bowles, 1997)

29

Figure 11-3 Illustration of active and passive pressures with usual range of values for
cohesionless and cohesive soil. 30
COULOMB EARTH PRESSURE THEORY

31

Figure 11-5 Assumed conditions

for active earth thrust Pa in
Coulomb’s method.

(
(11.1)
)

where

(11.3)

32
Figure 11-6 Coulomb passive wedge and forces
acting on it for passive earth pressure

(11.4)

where

33

Example 11-1. What is the total active force per meter of wall for the soil-wall
system,
y shown in Fig.
g El 1-1, usingg the Coulomb equations?
q Where does Pa act?

34
Kerisel and Absi (1990) published tables of active and passive coefficients for a wide
range off values
l off φ, δ, α and
d β, the
th active
ti coefficients
ffi i t being
b i very close
l to
t those
th
calculated from Eq. 11.3

Fi
Figure 6.15
6 15 below
b l (from
(f Craig
C i R.F.
R F 2004) shows
h th values
the l off coefficient
ffi i t (d
(denoted
t d Kah
and Kph) for horizontal components of pressure (i.e. Kacosδ and Kpcosδ, respectively), for
cases with a vertical wall and a horizontal soil surface.
However, in the passive case it is not generally realistic to neglect the curvature of the
failure surface and use of Equation 11.6 overestimates passive resistance, seriously so for
the higher values of φ, representing an error on the unsafe side.

The passive pressure coefficients derived by Caquot and Kerisel should be used. These are
b d on iintegrating
based t ti ththe differential
diff ti l equations
ti off equilibrium,
ilib i th
the ffailure
il surfaces
f b
being
i
logarithmic spirals. Coefficients have also been obtained by Sokolovski by numerical
integration.

35

(from Craig R.F. 2004)

Passive
Kerisel and Absi (1990)
For vertical wall and
Kph horizontal soil surface, i.e., α
= 90° and β = 0°

φ′
Figure 6.15(a) Coefficient for horizontal components of passive pressure.
36
 (from Craig R.F. 2004)

Kerisel and Absi (1990)

For vertical wall and
horizontal soil surface, i.e., α
= 90° and β = 0°

Kah Active

φ′

Figure 6.15(b) Coefficient for horizontal components of active pressure.

37

Craig (2004) presents the Coulomb active

earth pressure coefficient in the following
equation which is different only in appearance
(and in the definition of α) from Eq. 11.3 of
Bowles (1997). The next two slides explains the
search
h ffor criticall Coulomb
l b wedge,
d ffollowed
ll db by
two more slides on Excel coding of Eq. 6.17
below. You can also write the VBA function
code using Eq. 11.3 of Bowles (1997). The
computed Ka values will be identical if αBowles =
180 - αCraig is noted.
1
Pa = K aγH 2 (6.16)
2
where 2
⎛ ⎞
⎜ sin (α − φ ) ⎟
⎜ ⎟
Ka = ⎜ sin α ⎟ (6.17)
⎜ ⎡ sin (φ + δ )sin (φ − β ) ⎤ ⎟
⎜ sin (α + δ ) + ⎢ ⎥ ⎟
⎜
⎝ ⎣ sin (α − β ) ⎦ ⎟
⎠
38
 Coulomb trial wedge method via force polygon
C

A β
Pa

180− α−δ
Pa
H W
α+δ+φ−θ
δ φ' R θ −φ
α
Pa θ R
B

(
AB = H cos α − 90o ) Compute Pa for different trial θ
Angle o
( o
)
g C = 180 − (α − θ ) − 180 − α − β = θ − β values. The maximum Pa you get will
AC = AB × sin (α − θ ) / sin (θ − β )
be identical to that computed using
Eq. 11.1.
W = γ × 0.5 × AB × AC × sin(180o − α + β )
Pa = W sin (θ − φ ) / sin (α + δ + φ − θ )
39

Using Microsoft Excel’s built-in optimization routine Solver

Initially θ = 40. Click Tools\Solver, enter settings shown above. Click Solve.
(Need to select Solver in Tools\Add-Ins, if using it for the first time.)
The critical θ value (58.743°) and maximum Pa (126.683 kN/m) are obtained automatically by
Solver (To do the computation by hand
Solver. hand, a number of trial failure planes would have to be
selected to obtain the maximum value of P, which would be the total active thrust Pa on the
wall.) 40
 Create your own function codes in Microsoft Excel
To illustrate
illustrate, we will create a function code for Coulomb Ka (Eq.
(Eq 66.17).
17)
1. Click Tools\Macro\Visual Basic Editor\Insert Module. This will create a Modules folder
containingg a blank Module1 sheet.
2. Type the following (according to Eq. 6.17) on the Module1 sheet.
3. Click the Excel icon to return to Excel worksheet (or close the VBE).
4. On the Excel worksheet, select a blank cell for Ka, and click Insert
Function\Category\User Defined, scroll down to select the function CoulombKa. A
Window will pop up (next slide) to prompt you for the required input, which are
entered by selecting appropriate cells (e.g. Cells E3:H3 in the previous slide).

Function CoulombKa(phi
CoulombKa(phi, delta
delta, alfa
alfa, beta)
For macro to work, 'Above input are in radians
need to set tem = Sin(phi + delta) * Sin(phi - beta) / Sin(alfa - beta)
Tools\Macro\
\ \ d
denom = SSqr(Sin(alfa
(Si ( lf + ddelta))
l )) + SSqr(tem)
( )
Security\Security numer = Sin(alfa - phi) / Sin(alfa)
Level to medium CoulombKa = (numer / denom) ^ 2
End Function
41

After you have created you own functions (e.g., CoulombKa, previous slide) in
Microsoft Excel, inserting the function in a cell (step 4 previous slide) is straightforward,
because a window will pop up to prompt you for the input based on the function’s
arguments in the first line of you function code.

For the case in hand, the Ka value based on Eq. 6.17 is 0.39099… From which Pa is
obtained as 0.5KaγH2 = 126.683…. , identical to the Solver-searched Pa two slides
earlier. The Solver approach does not use Eq. 6.17, and is hence more versatile. (Eq.
6.17, assumes zero cohesion and no tension crack.)

42
 CV6314 Problems on earth pressures
from page 249 of Terzaghi/Peck/Mesri (1996) Soil Mechanics in Engineering Practice

1. A wall with a smooth vertical back 3 m high retains a mass of dry cohesionless sand that
has a horizontal surface. The sand weighs 18 kN/m3 and has an angle of internal friction of
36°. What is the approximate resultant horizontal force against the wall, if the wall is
prevented from yielding? If the wall can yield far enough to satisfy the deformation
condition for the active Rankine state? (Assume in this case that the coefficient of the earth
pressure at rest for
f densified
d ifi d sandsd iis K0 = 0.65.)
0 65 )
Ans. 53 kN/m; 21 kN/m.

2 The water
2. ater level
le el behind the wall
all described in problem 1 rises to an ele
elevation
ation 1 m below
belo
the crest. The submerged unit weight of the sand is 10 kN/m3. If the deformation condition
for the active Rankine state is satisfied, what is the resultant force that the earth and water
exert against the wall? At what height above the base does the resultant of the earth and
water forces act?
Ans. 37 kN/m; 0.86 m.

3. What is the resultant lateral force against the yielding wall in problem 1, if the sand mass
supports a uniformly distributed load of 20 kPa? At what height above the base of the wall
is the center of pressure?
Ans. 37 kN/m; 1.2 m.
43

4. The space between two retaining walls with smooth backs is filled with sand weighing
18 kN/m3. The foundations of the walls are interconnected by a reinforced concrete floor,
and the crests of the walls by heavy steel tie rods. The walls are 5 m high and 17 m apart.
The surface of the sand is used for storing pig iron weighing 15 kPa. If the coefficient of the
earth pressure at rest is K0 = 0.50, what is the resultant horizontal force against the walls
b f
before andd after
f theh application
li i off theh surcharge?
h ? Ans. 113 3 kN/m;
k / 150 0 kN/m.
k /

5. A smooth vertical wall 6 m high is pushed against a mass of soil having a horizontal
surface
f and
d an undrained
d i d shear
h strength
t th su = 35 kPa.
kP The
Th unit
it weight
i ht off th
the soilil iis 17
3
kN/m . Its surface carries a uniform load of 10 kPa. What is the total passive Rankine
thrust? What is the distance from the base of the wall to the center of pressure?
Determine the intensity of lateral pressure at the base of the wall.
wall
Ans. 786 kN/m; 2.61 m; 182 kPa.

6 A smooth vertical wall 4 m high is pushed against an overconsolidated clay (γ = 19

6.
kN/m3, c‘ = 3 kPa, φ’ = 30°, and average su = 120 kPa). The water table in the
overconsolidated clay is 1 m below the ground surface. The surface of the
overconsolidated clay carries a uniform load of 25 kPa. Using the Rankine theory, calculate
the resultant horizontal force per lineal meter against the wall when the clay behind the
wall fails (a) in an undrained condition, and (b) in a drained condition. (c) What are the
distances from the base of the wall to the center of p pressure in cases ((a)) and ((b)?
)
Ans. 1212 kN/m; 708 kN/m; 1.9 m; 1.7 m.
44