Foundation Engineering-I

Design of Retaining Walls

Analysis and

CHAPTER FOUR
ANALYSIS AND DESIGN OF RETAINING STRUCTURES: RETAINING WALLS
Retaining walls can be broadly split into two categories. Those that rely on their weight for the
stability of the wall (Gravity walls), and those that mobilise earth pressures in the ground to
provide resistance (Embedded walls). Within each category there are a variety of wall types. The
selection of the appropriate wall type depends on many factors that include:

Soil and groundwater conditions

Height and ground topography
Availability of suitable fill material
Construction constraints (space, access, equipment, specialist techniques available)
Environment appearance and impact during construction
Ground movements and their affects on adjacent structures
Underground obstructions and services
Design life and maintenance requirements
Cost

These notes are primarily concerned with the general design methods used for the two types of
wall. Further details of individual wall types and their advantages and disadvantages may be
found in many texts on retaining wall and foundation design. For retaining walls used to support
excavations particular attention should always be given to the effects of groundwater. Failure to
consider this can lead to failure of the soil-wall system by mechanisms not always considered in
standard design calculations. For instance, groundwater lowering will lead to settlements which
may damage adjacent services and structures, groundwater flow may lead to erosion and piping
at the base of excavations, and groundwater pressures may cause heave into an excavation.
2.1 Gravity Walls
Gravity walls are generally used to retain soil above the existing ground level. The simplest walls
rely on the mass of the wall for stability. These include walls made of mass concrete, concrete
with masonry facing, unreinforced masonry (bricks and stone), gabions (wire baskets filled with
stone), and crib walls (hollow crib formwork filled with soil). These types of wall are common for
small retained heights up to 3 m, and are rare for heights greater than 8 m. For walls between 3
and 8 m precast reinforced concrete (cantilever) walls are very common. These walls are usually
in the shape of an L or inverted T. Reinforced soil walls are also widely used. These use strips of
steel or plastic placed in the soil connected to facing elements that retain the soil. Friction
between the reinforcing strips and the soil provides the resistance to hold up the facing elements.
To mobilise the soil resistance some movement must occur and reinforced soil walls are therefore
more flexible and require relatively large tolerances to ground movement. Soil nailed walls are
similar to reinforced soil but are used to support the soil face during excavation.
There are four principal modes of failure that need to be analysed for any gravity wall. These are
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Design of Retaining Walls

Analysis and

Translation
Overturning
Bearing capacity
Overall failure of the soil and wall
In addition it is generally necessary to check that the wall deformations and the ground
movements will not be excessive.
2.1.1 Translation

Active Earth
Pressures

W
Passive Earth
Pressures
F

A
N

Translation is the mode of failure where the wall slides because the frictional force, F, is less than
the force due to the difference in the active and passive pressures. The active and passive
pressures can be determined from either Rankines method or from a limit equilibrium method. It
is found that the factor of safety is very dependent on any passive pressures developed in front of
the wall. Because of this it is normal to ignore the upper 0.5 to 1 m of soil contributing to the
passive pressures. This reduces the possibility of inadvertent excavation leading to failure.
2.1.2 Overturning
If the wall height becomes large then there will be a significant moment due to the active earth
pressures. In the limit the wall will topple about the toe, point A in the diagram above. At this
limit the overturning moment due to the earth pressures must be balanced by the restoring
moment due to the weight of the wall.
2.1.3 Bearing capacity
If the stress due to the weight of the wall is large there is the possibility that the underlying soil
will not be able to support it. This is known as a bearing capacity failure. Section 3 of these notes
discusses the bearing capacity in more detail. It should be noted that due to the earth pressures
acting on the wall there will be a moment (eccentricity of the normal load) and horizontal force
acting on the base of the wall. This moment and horizontal load will significantly reduce the
bearing capacity (vertical stress) that the soil can support. One method of allowing for these loads
is given in the Soil Mechanics Data Sheets (p74, 75). The general bearing capacity formula
includes reduction factors that account for the load inclination (horizontal loads) and load
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Foundation Engineering-I
Design of Retaining Walls

Analysis and

eccentricity. The moment is allowed for by using an effective foundation width B (= B 2e),
where e is the eccentricity of the load, in the correction factors

for load inclination.

2.1.4 Overall failure
6.1.4 Overall failure

A check is required on the overall stability of the soil and wall combined to check that a failure
surface will not occur in the soil. This may be analysed using the methods discussed previously
for assessing slope stability. This may include checking a rotational failure mechanism as shown
above, and possibly a wedge mechanism if there are weak layers at some depth beneath the wall.
2.2 Embedded retaining walls
Embedded walls are generally used for construction from the ground level down. They can be
partly driven and then backfilled, or fully driven or constructed in-situ followed by excavation.
There are four main construction methods: walls constructed of sheets of timber, steel or
concrete; soldier or king piles with sheeting placed between the piles; bored pile walls; and
diaphragm walls. Each wall type may act as a cantilever or be supported by one or more rows of
anchors or props. They can be used either as temporary supports during construction, or for
permanent structures such as quay or basement walls. The walls range from relatively flexible
steel sheet piles to relatively stiff diaphragm walls. These walls are generally more expensive than
gravity walls but their cost is balanced by the speed of construction and lack of temporary
support. Cantilever walls are only suitable for moderate retained heights, typically less than 5 m,
but if a stiff reinforced concrete wall is formed may be suitable to about 10 m. Significant ground
movements can occur behind cantilever walls, and they are generally unsuitable if services or
foundations of adjacent buildings are close. The use of anchors or props can reduce the required
penetration length, the ground deformation and the bending moments in the walls
From the design viewpoint we can split these sheet pile walls into three groups
1.

Cantilever Walls

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Foundation Engineering-I
Design of Retaining Walls

2.

Walls with a single anchor or prop

3.

Walls with multiple props

Analysis and

For any wall type we need to consider:

The overall stability of the soil/wall system

The structural strength of the wall

The possibility of damage to adjacent structures, and services in the ground, due to wall
construction

2.2.1 Cantilever walls

Direction of
wall movement

Excavation
Active pressures
Passive
pressures

When designing sheet retaining walls it is normal to assume that the effective lateral stresses
acting on the wall are given by simple RANKINE active and passive zones. Friction on the wall
is usually ignored as this leads to conservative (safe) designs.
2.2.2 Rankine Active and Passive Pressures
The earth pressures acting on the wall are strongly dependent on the deformations in the
surrounding soil. When the wall moves away from the soil the stress on the wall drops reaching a
minimum, the ACTIVE pressure, with the soil deforming plastically. When the wall moves into
the soil the stress increases, finally reaching a maximum, the PASSIVE pressure, when again the
soil is deforming plastically.
Direction of
wall movement
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Design of Retaining Walls

Analysis and

Active

h
v

Passive

Wall assumed frictionless - Then vertical and

horizontal stresses are principal stresses

ctan

hmin

hmax

N 3 + 2 c

For most retaining walls the long term, fully drained, situation usually governs the wall stability.
For the analysis of fully drained conditions the Mohr-Coulomb criterion needs to be expressed in
terms of effective stress using the effective strength parameters c and . For design it is also
conservative to use the critical state strength parameters, that is c = 0 and = cs. The
effective lateral stresses on the wall are then
ACTIVE

PASSIVE

v
1 sin

v K a v
N
1 sin

h v N

1 sin
v K p v
1 sin

Ka and Kp are known as the active and passive earth pressure coefficients. For soil at failure the
1

earth pressure coefficients are simply related by K a K .

p
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Design of Retaining Walls

Analysis and

For any vertical wall it is possible to relate the horizontal effective stress to the vertical effective
stress, determined from the vertical overburden, by an earth pressure coefficient. The coefficient
will depend on the slope of the soil surface and the wall roughness. Published values are
available for many situations.
2.2.3 Stability - Limiting Equilibrium
When assessing the stability it is normal to assume triangular pressure distributions, and this is in
fact quite realistic if the wall is rigid. For a cantilever wall the stresses acting at failure will then
be as shown below, with the wall rotating about a point just above the toe of the wall. The
stability of the wall depends mainly on the passive force developed below the excavation.
Geometry

Pressure Diagram

Active
d

Passive

Passive
Point of
Active
Rotation
For design we need to determine the required depth of penetration for stability and then to size
the wall to resist the maximum moment. To determine the depth of penetration required for a
given height H we need to consider both moment and force equilibrium:
F=0
M=0
If the soil is dry the pressures and forces are as shown below
Pressures

Forces

PA1
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Design of Retaining Walls

Analysis and

PP1
PA2

PP2

Where
1
K a d ( x H) 2
2
1
KP d x2
2

PA1
PP1

1
K a d ( d x) 2
2
1
K p d ( x H ) ( d x) K p d ( d x ) 2
2

PA 2 K a d x (d x)
PP 2

From equilibrium
F = 0 :

PA1 + PP2 - PP1 - PA2 = 0

This gives a quadratic equation involving terms in x2 and d2

M = 0:

Taking moments about the point of rotation

x
x H
d x
d x
PA 2
PP1 PP 2

3
3
2
2

PA1

This gives a cubic equation involving terms in x3 and d3.

We have 2 equations with 2 unknowns, x and d, and hence we can determine the required depth
of penetration for the wall. The equations can be solved graphically or by computer. Alternatively
simplifying assumptions about the forces below the pivot can be made to enable analytical
solutions to be obtained as described in many text books.

Force Equilibrium
As an illustration consider a wall with H = 1.8 m placed in dry soil with d = 19 kN/m3 and =
Moment
Equilibrium
30o. For = 30o Kp = 3, Ka = 0.3333 and the required depth of penetration d = 1.767 m.
2.2.4 Serviceability - Design requirements
By considering the stability we can obtain the limiting stresses on the wall, but the wall would
have been considered to have failed from a serviceability viewpoint well before this, owing to
large settlements in the supported soil. The design approach is to factor the earth pressures.
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Design of Retaining Walls

Analysis and

There are two main design approaches which are both based on the knowledge that the earth
pressures acting on the wall are strongly dependent on the deformations in the surrounding soil.
The movements required to reach the active and passive conditions depend on the soil type and
can be quite different. For example, for retaining walls of height H the movements required are
approximately:
SAND
CLAY

Active
Passive
Normally ConsolidatedActive
Over-Consolidated

0.001H
0.05H - 0.1H
0.004H

Passive

large

Active
Passive

0.025H
0.025H

Method 1 - Sands and normally consolidated clay

Assume that sufficient movement occurs to allow active (minimum) pressures to develop, then
factor the effective passive pressures by 2. Note that where insufficient movement of the wall
occurs the active pressures will not reach a minimum and higher pressures will act on the wall.
These must be allowed for in design as they can influence the required structural strength.
Consider the same wall as above with H = 1.8, d = 19 kN/m3, = 30o
The pressure diagram looks identical but the passive pressures are reduced by using a reduced
value of the passive earth pressure coefficient, K*p.
Where K*p = Kp/2 = 1.5 and K*a = Ka = 0.3333 as before.
Hence d = 2.94 m
The total depth of sheet pile required = 1.8 + 2.94 = 4.74 m
Some texts recommend increasing the depth of penetration by a further 10-20% to allow for
uncertainties in the analysis. Alternatively some design codes recommend assuming the top 0.5 m
of the soil beneath the excavation provides no restraining effect.
Method 2 - Over-consolidated clays
Here both active and passive pressures are developed for similar movements and both are
factored. This is achieved by dividing tan by a Factor F, and using the reduced angle of
friction when calculating the earth pressure coefficients K*a, K*p. The factor F can be in the
range from 1.2 to 1.5, depending on the allowable settlement and soil type, but is usually taken as
1.3.

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Foundation Engineering-I
Design of Retaining Walls

Analysis and

As for method 1 it is assumed that the shape of the pressure diagram is similar to that at limiting
equilibrium, but in this case the passive pressures are reduced and the active pressures increased.
Using the same parameters as previously H = 1.8, d = 19 kN/m3, = 30o
*
Calculate * from tan

tan
tan (30)

F
1.3

Hence * = 23.95o and K*a = 0.423, K*p = 1/K*a = 2.366

Then the required depth of penetration becomes d = 2.46 m

2.2.4 Structural strength

Having determined the required depth of penetration, the next stage in design is to calculate the
maximum moment in the wall so that an appropriate wall thickness and strength can be selected.
The position down the wall of the maximum moment can be found by determining where the
shear stress in the wall is zero. ( F

dM
)
dz

Consider a free body diagram of a section of the wall

z
F
M
F

1
1
K a d ( z H) 2 K p d z 2 0
2
2

(K p Ka ) z 2 2 K a z H K a H 2 0

A quadratic equation that can be solved for z using appropriate (factored) values for Kp, Ka.
Then taking moments M

( z H)
1
z
1
K p d z2 K a d (z H) 2
2
3
2
3

With H = 1.8, d = 19 kN/m3, = 30o and using K*p = Kp/2

z = 1.605 m M = 22.0 kNm/m
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Design of Retaining Walls

Analysis and

Note that as the factor of safety increases the maximum moment also increases.
The factor of safety can be dramatically reduced by surcharge loadings on the supported ground
next to the wall. For a uniform surcharge then the effective active pressure can be increased by
Ka s, while for a concentrated load from a footing the Coulomb method of trial wedges can be
used to determine the active force on the wall. In the latter situation allowance must be made for
the fact that the point of application of the load will also change.

QL

PA

v s d z
h K a ( s d z)

The force PA can be estimated using the

method of wedges. The line of action
can be estimated using elastic solutions

Consideration must also be given to the water pressures acting on the wall.
Water
Table

Water

Total vertical stress, v sat z

Effective stresses must be used in
Water pressures can be determined from flow net
evaluating the lateral stresses from
Hence v v u and h K v
Rankines
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University/ Engineering Faculty/ Civil Engg Dept
10 the
Forces due to water pressures are different on
Lecture Notes
h K v
two sides of the wall so their effects must be
Pore water pressures are the same on
included when considering force and moment
each side of the wall so their effects
equilibrium.
cancel when considering force and
moment equilibrium

Foundation Engineering-I
Design of Retaining Walls

Analysis and

For economic reasons cantilever walls are usually limited to excavations less than 6 m deep.
They are often used to support low banks of free draining sand and gravel soils.
They are not suitable for the long term support of soft clayey soils (clay or silt)
Corrosion can also be a problem with steel sheet piles.

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Foundation Engineering-I
Design of Retaining Walls

Analysis and

2.3 Anchored Walls

2.3.1 Single anchor (or prop)
When a cantilevered sheet wall is unsuitable, for example because the height is too great or
because the deflections need to be limited. Anchors may be used to improve the stability, with the
anchors often placed close to the top of the wall.
The anchor force introduces a further unknown into our equations, so that an assumption is
required. There are two main methods of analysis:
1. Free earth support method The base of the pile is assumed to be free to rotate and move
laterally
2. Fixed earth support method The base of the pile is assumed to be fixed in position and
direction
The appropriate method depends on the relative stiffness of the wall/soil system. For a relatively
rigid system (ie. a heavy wall section in a loose sand) the earth pressure distribution corresponds
closely to the triangular active and passive conditions. If the wall is rigid the toe of the wall will
be able to move and rotate, and the free earth support method is appropriate.
As the stiffness of the system decreases the pressure distribution alters in such a way as to reduce
the bending moment in the sheet pile, and as a consequence, the wall section may be reduced as
compared with an infinitely stiff wall. The design procedure is usually to use the free earth
support method and then use empirical moment reduction methods to determine the wall section
required.
For a very flexible wall the fixed earth support method can be used. The analysis is more complex
than the free earth support method and will not be considered here.

2.3.1 The Free Earth Support Method

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Foundation Engineering-I
Design of Retaining Walls

Deflected
position of
the wall

Analysis and

T
H

Anchor or
Prop between
sides of
excavation
PA

PP

Steps in analysis for Design

Determine the effective vertical stresses

Determine the effective lateral stresses assuming Rankine active and passive pressures
Factor the lateral pressures to limit the deformations - either by factoring Kp or by factoring
Add in water pressures if water levels different on two sides of the wall
Take moments about the anchor/strut to determine the required depth of the wall
Use force equilibrium to determine the anchor force
Design anchor to withstand the force
Determine maximum moment in the wall and check that section is acceptable

Anchors are typically spaced 2 - 3 m apart, and the load is distributed along the wall by walings
running either behind, or in front of the sheet pile walls and bolted to them.
Accurate analysis of sheet walls is complicated by the interaction between the soil and the wall. In
practice walls are not perfectly rigid as assumed in the free earth support method and it is
important to consider the effects of wall flexibility. If the wall deforms this will influence the
pressures mobilised between the soil and the wall and consequently the anchor force and
moments in the wall.

Rigid wall

Flexible wall

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Pressure distribution on
flexible wall

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Foundation Engineering-I
Design of Retaining Walls

Analysis and

Remember that it is important to ensure that the wall movements are compatible with the design
assumptions.
2.3.2 Multiple anchors
Where there are relatively deep temporary excavations it is common to support the walls during
construction by a system of bracing. This procedure is also used for permanent structures with
the struts forming the floors of the basement. Alternatively the walls can be supported by multiple
anchors.
A wall with several layers of struts or anchors will have increased restraint as each layer of
anchors is added. Consequently the lateral deformations are limited and the retained soil is
unlikely to attain failure. The situation is statically indeterminate and analysis is complex. The
earth pressure that acts on the wall will depend on:

relative stiffness of soil and wall

anchor/strut spacing
load-deformation response of the anchor or strut
pre-stress (if any) in the anchor/strut during construction

In practice empirical methods are used to estimate the pressures on the wall and forces in the
strut, and these methods are based on actual measurements.
2.3.3 Anchor design
The anchor must be able to provide resistance equal to the required anchor force without
excessive displacement of the anchorage towards the wall.
There are many anchoring systems used in practice. They rely on a combination of bearing
pressures on the faces perpendicular to the anchor, and frictional forces between the anchor and
the soil. The simplest is the vertical plate anchor.

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Foundation Engineering-I
Design of Retaining Walls

Analysis and

Passive
pressures

Active
pressures

It is assumed that the resistance can be determined simply from the difference between the passive
and active pressures on the two sides of the plate. For a plate of area, A, the anchor force is
T ( K p v K a v ) A /m of the wall
However, to mobilise the full passive pressure significant movement of the plate would be
required. To reduce the movement the pressures should be factored as discussed above for the
wall.
If the area of the plate anchor is large it will probably be more economic to use raked pile
anchors. By installing the anchor at depth the normal stresses and hence the frictional resistance
will be much greater than at the surface.

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Foundation Engineering-I
Design of Retaining Walls

Analysis and

Example 1
Consider the limiting forces acting on a single strut supporting a wall retaining dry sand

d1
Strut
Dry Sand
d2

Analysis requires several assumptions

Rigid wall

Rigid (unyielding) strut

Triangular active and passive pressures -

no friction
sufficient wall movements

There are two possible modes of failure depending on the position of the strut.
Strut near the surface
passive

Strut near the base of the wall

deformed
position of
wall
active

active
passive
Consider the limiting equilibrium of the wall. To eliminate the unknown strut force take moments
about the strut.
Strut at surface

d
d
2d
1
1
K p d 12 1 K a d 1 d 2 2 K a d 22 2
2
3
2
2
3

Strut at base

d
d
2d
1
1
K a d 12 1 K p d 1 d 2 2 K p d 22 2
2
3
2
2
3

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Foundation Engineering-I
Design of Retaining Walls

Analysis and

Noting that Ka = 1 / Kp then after rearrangement we obtain for the strut near the surface
d
2 2
d1

d
+ 3 2
d1

- Kp

= 0

and for the strut near the base of the wall

d
2 2
d1

d
+ 3 2
d1

- Ka 2

= 0

For ' = 30o we obtain solutions for d2/d1 of 1.275 and 0.182, or if D is the total height of the wall
d1 / D of 0.44 and 0.85.
0.44 D
D

0.85 D

Wall will be stable

if strut is within
this region

In practice several struts would probably be used because of serviceability concerns. As

discussed above it is difficult to accurately assess the loads on walls with many struts, and failure
of individual struts may occur. This simple analysis indicates where the struts could be positioned
to avoid progressive failure. For example, if 3 struts are used and placed at depths of 0.25D, 0.5D
and 0.75D then either the top two or the bottom strut can be removed without the wall failing.
In the analysis it has been assumed that the strut is unyielding, so that the wall rotates about the
strut. To determine whether this is a reasonable assumption we need to check the force in the
strut. For the strut near the surface and the wall at its limiting equilibrium
F

1
1
K p d 12 K a d 1 d 2 K a d 22
2
2

For the example with ' = 30o we have found d1 = 0.44 D, d2 = 0.56 D and hence
F

= 0.425 D2

For a retained height of 2 m and = 18 kN/m3 we find F 30 kN/m

Let us assume that we have a 4 m wide trench with struts every 4 m and that the bracing is
provided by steel (scaffolding) tubes 50 mm diameter by 5 mm thick.
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Foundation Engineering-I
Design of Retaining Walls

Analysis and

The force in each strut will be

F = 4 30 = 120 kN

and the strain

4
= A E 7 10

and the displacement

= 2.8 mm

Now a displacement of this magnitude is sufficient to cause the stress to drop to active conditions
at the prop. The wall movements are thus not compatible with our initial assumption. The effect
will be for the point of rotation to move up the wall and for premature failure to occur.
actual point of rotation
position of strut

This is a simple illustration of the importance of accounting for soil-structure interaction if

possible
Example 2
An underground development is planned adjacent to existing structures which can be considered
to apply a uniform stress of 100 kPa to the soil surface.
To try to minimise settlement of the surrounding structures it is proposed to construct rigid
diaphragm walls, 8 m deep in the uniform sandy soil which has properties c = 0, = 30o, dry =
18 kN/m3, sat = 20 kN/m3. The water table is at a depth of 5 m below the ground surface.
The proposed "top down" construction procedure is to place a slab at ground level to act as a
strut to support the wall, and then excavate a further 3 m before placing the next floor slab.
Determine the horizontal force per metre in the slab at the ground surface when the excavation
has reached 3 m, just before the next slab is placed.
Assumptions:
Rigid wall
Free earth support method
Triangular pressure distributions
Movements sufficient for active pressures to develop
Step 1: Determine the pressures acting on the wall
100 kPa

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Design of Retaining Walls

Analysis and

S
3m

5m

5m

Kp (sat - w) 3
Kp d 2

Ka 100

Ka d 5

Ka (sat - w) 3

Step 2 - Take moments about the strut

Moment equilibrium is required to find the factor applied to Kp. The factor is unknown because
this is not the limiting case
1
2
1

K a 100 8 4 d 52 5 d 5 3 6.5 sat w 32 7

2
3
2

Kp 1
13
1

d 22
d 2 3 6.5 ( sat w ) 32 7
=

F 2
3
2

Given d = 18, w = 10, sat = 20 kN/m3 and = 30o, Ka = 0.3333, Kp = 3

2006.7

Kp
F

1173

F 1.754

Step 3 - Force equilibrium to obtain strut force

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Design of Retaining Walls

Analysis and

S K a [ 100 8 0.5 18 52 18 5 3 0.5 10 32 ]

Kp
F

[0.5 18 2 2 18 2 3 0.5 10 32 ]

S = 123.3 kN/m

Tutorial problems sheet retaining walls

1.

A quay wall has been built from sheet piling and is to retain 8 m of sand which has
strength properties c' = 0, ' = 33, a bulk unit weight of 16 kN/m3, and a saturated unit
weight of 18 kN/m3. The wall is anchored 1 m below the top of the wall and has a total
length of 15 m. The water table on both sides of the wall is at a level 4 m below the top
of the wall.
Cargo is to be stored on the quay, which may be assumed to apply a uniform surcharge to
the surface of the sand. Determine the maximum magnitude of the surcharge loading that
can be applied by the cargo so that the factor of safety applied to the passive pressures
does not fall below 1.3. It may be assumed that the wall movements are sufficient for the
active pressures to be fully mobilised.

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Design of Retaining Walls

Analysis and

Calculate the maximum moment in the sheet pile wall when this maximum surcharge is
applied.
Explain why such a low factor of safety may give rise to problems with the quay.
2.

For the quay wall described in question 1, calculate the factor of safety F (applied to
tan affecting both active and passive pressures) if the surcharge is 25 kPa.

3.

A cantilevered wall has been used to retain 2 m of a sandy soil, which has strength
properties c' = 0, ' = 35, and a dry unit weight of 18 kN/m3. The wall penetrates 4 m
below the base of the retained soil, into the same sandy soil.
It is proposed to raise the level of the retained soil for a new development, by adding fill
with a dry unit weight of 14 kN/m3. Calculate the maximum height of fill that can be
added if the factor of safety against passive failure is not to fall below 1.5. The fill may be
assumed to apply a uniform surcharge to the retained soil.

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