Farhan Iqbal

Retaining Wall Variables

Magnitude of stress or earth pressure acting on a retaining wall depends on:

height of wall,
unit weight of retained soil,
pore water pressure,
strength of soil (angle of internal friction),
amount and direction of wall movement, and
other stresses such as earthquakes and surcharges.

Lateral Earth Pressure Variables

Lateral earth pressures are analyzed for either "Active," "Passive" or "At-Rest"
conditions.
Active conditions exist when the retaining wall moves away from the soil it
retains.
Passive conditions exist when the retaining wall moves toward the soil it retains.
At-Rest conditions exist when the wall is not moving away or toward the soil it
retains.
Conditions for active, passive and at-rest pressures are usually determined by
the structural engineer. Basically, at-rest pressures exist when the top of the wall is
fixed from movement. Active and passive pressures are assumed when the top of
the wall moves at least 1/10 of 1% of height of wall in the direction away from ,
and toward the soil it retains, respectively. Some theorize that at-rest pressures
develop over time, when a retaining wall is constructed for the active case.
Retaining Wall Analysis Methods
Lateral earth pressures are typically analyzed, as presented below, from one of the
following methods:

Rankine Analysis
Coulomb Method
Log Spiral Theory

After determining lateral earth pressures, retaining wall analysis and design also
includes:

Sliding
Overturning
Bearing capacity and settlement
Structural design of wall

Reference:http://www.geotechnicalinfo.com/retaining_walls_technical_guidance.html

Farhan Iqbal

Rankine Analysis
Basically, lateral earth pressures are derived from the summation of all individual
pressure (stress) areas behind the retaining wall. These pressure areas are triangular
in shape with the base of the triangle at the base of the wall for the soil component
and pore water component. Pressure areas for surcharges are rectangular in shape,
and earthquake pressures are usually analyzed with a nearly 'upside-down' triangle.
See the RANKINE ANALYSIS link for an excellent presentation of determining
lateral earth pressures using the Rankine Analysis.
For the Rankine analysis, assumptions include:

horizontal backfill
vertical wall with respect to the retaining soil
smooth wall (no friction)

Resultant Lateral Earth Pressure, R

The resultant lateral earth pressure, R, is the summation of all individual lateral
earth pressure components.
R = Ps + Pw + Pq + Pe

kN/m2 (lb/ft2)

Where,
Ps = 1 KH2 kN/m2 (lb/ft2)
2
Pw = 1 wH2 kN/m2 (lb/ft2)
2
kN/m2 (lb/ft2)
Pq = qKH
building, vehicleload)
Pe = 3 KhH2 kN/m2 (lb/ft2)
8

earth pressure due to soil

earth pressure due to pore water
earth pressure due to surcharge (i.e.
earth pressure due to earthquakes

and,
Ps = lateral earth pressure due to soil
Pw = lateral earth pressure due to pore water
Pq = lateral earth pressure due to surcharge (i.e. building, vehicle load)
Pe = lateral earth pressure due to earthquakes
K = KA, KP or Ko

lateral earth pressure coefficient

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Farhan Iqbal

KA = (1 - sin )
(1 + sin )
KP = (1 + sin )
(1 - sin )
Ko = 1 - sin

coefficient for active conditions

coefficient for passive conditions
coefficient for at-rest conditions

earthquake coefficient
Kh = 3 K
4
= effective unit weight of soil medium kN/m2 (lb/ft2)
w = 9.1 kN/m2 (62.4 lb/ft2) = unit weight of water
= angle of internal friction
degrees
H = height of retaining wall
m (ft)
kN/m2 (lb/ft2)
q = surcharge on soil, if any
water table
Engineering judgment should allow for some pore water pressure behind a
retaining wall due to stormwater or other water source. For a water table behind the
wall, why would you analyze a partially submerged backfill? You could
reasonably expect for almost every situation that a partially submerged backfill
will become fully inundated during the life of the wall. The following lateral earth
pressure equation is for a water table at the top of the wall. This equation is
composed of a soil component plus a pore water component. Add the above
surcharge and earthquake components if necessary.
P = 1/2 KsubH2 + 1/2 wH2 (lb/ft2)
sub = submerged soil unit weight (lb/ft3)
= sat - w
sat = saturated soil unit weight (lb/ft3)
w = unit weight of water (lb/ft3)
= 62.4 lb/ft3
See the following link for an excellent presentation of determining lateral earth
pressures using the Rankine Analysis
RANKINE ANALYSIS

Coulomb Method
The Coulomb Method:

Allows for friction between the retaining wall and soil

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Farhan Iqbal

May be used for non-vertical walls

Allows for non-horizontal backfill (inclined), but must be planar
Backfill must be cohesionless for inclined backfill
Assumes a planar slip surface, similar to Rankine
Is used for Active and Passive (see above) conditions only
Assumes a homogeneous backfill
Any surcharge must be uniform and cover entire surface of driving wedge

1
KH2
P= 1
2
sin cos

kN/m2 (lb/ft2)

where,
K = KA or KP
KA = active,

lateral earth pressure coefficient;

KP = passive

(see above)
sin2 ( + )

KA =
cos

sin (sin - )[1 + SQRT[(sin ( + ) sin ( - ))/(sin ( - ) sin

( + ))]]2

KP =

cos2
[1 - SQRT[(sin sin ( - ))/(cos )]]2

= effective unit weight of soil medium kN/m2 (lb/ft2)

degrees
= angle of internal friction
m (ft)
H = height of retaining wall
degrees
= 2/3 = angle of wall friction
= angle of wall face from horizontal (90 degrees for vertical wall) degrees
= angle of backfill (0 degrees for horizontal backfill)
degrees

Graphical Methods

Graphical methods are more in-depth than the Rankine or Coulomb Analysis. Until
some examples are presented on this website, look for more information in the
following downloadable publication:
Reference:http://www.geotechnicalinfo.com/retaining_walls_technical_guidance.html

Farhan Iqbal
NAVFAC 7.02 - Foundations and Earth Structures. This publication has a graphical
solution for lateral earth pressure analysis. Other publications with Coulomb
solutions may be found in thepublications section of this website.

Log Spiral Theory

Since a planar slip surface, as assumed for both Rankine and Coulomb Methods, is
reasonable for active earth pressure conditions, this assumption may yield
unreasonable results for passive earth pressure conditions. The Log Spiral Method
assumes a curved slip surface, and therefore should be used for all passive earth
pressure conditions.
Horizontal backfill is required for this method. If backfill is not horizontal, then it
may be reasonable to use engineering judgment and include the sloping portion of
the backfill as a surcharge.
Geotechnical Info .Com does not currently have procedures and examples for the
Log Spiral Method. Please check the retaining wall publications section of this
website for additional resources that may have information on the Log Spiral
Method.

Sliding
Sliding failure is a result of excessive lateral earth pressures with relation to
retaining wall resistance thereby causing the retaining wall system to move away
(slide) from the soil it retains.
See a depiction for calculating the factor of safety for retaining wall sliding from
the following link:
SLIDING ANALYSIS
The following factors of safety (F.S.) are typically used for analyzing sliding:
F.S. = 1.5 for active earth pressure conditions.
F.S. = 2.0 for passive earth pressure conditions.
(RSL/RH) > F.S.

Reference:http://www.geotechnicalinfo.com/retaining_walls_technical_guidance.html

Farhan Iqbal

RSL = Resistance to sliding

= (Wi + RV)tan + cAB
= (Wi + RV)tan + cAB + PP

when a key is not used

when a key is used

RH = R cos
= horizontal component of resultant lateral earth pressure (kN/m2) (lb/ft2)
RV = R sin
= vertical component of resultant lateral earth pressure (kN/m2) (lb/ft2)
R = Ps + Pw + Pq + Pe (see Rankine Analysis above)
(use Rankine where K is passive)
PP = Ps
= Soil pressure exerted on key using passive earth pressures
Wi = summation of weights (see this link), that includes:
o
o
o

weight of footing
weight of wall
weight of soil directly above the entire width of the footing

soil = effective unit weight of soil medium kN/m3 (lb/ft3)

concrete = unit weight of concrete = 23.6 kN/m3 (150 lb/ft3)
A = area of soil or concrete unit (see this link) m2 (ft2)
= angle of internal friction (deg)
= external friction angle (deg)
= (2/3)
cA = adhesion (kN/m2)(lb/ft2)for concrete on soil only
= c,
for c = (23.9 kN/m2) (500 lb/ft2) or less
= 0.75c,
for c = (47.9 kN/m2) (1000 lb/ft2)
= 0.5c,
for c = (95.8 kN/m2) (2000 lb/ft2)
for c = (191.5 kN/m2) (4000 lb/ft2)
= 0.33c,
c = cohesion (kN/m2) (lb/ft2)
B = footing width (m) (ft)
See a depiction for calculating the factor of safety for retaining wall sliding from
the following link:
SLIDING ANALYSIS

Overturning
Overturning failure is a result of excessive lateral earth pressures with relation to
retaining wall resistance thereby causing the retaining wall system to topple or
rotate (overturn). Sliding governs the design of retaining walls most of the time,
Reference:http://www.geotechnicalinfo.com/retaining_walls_technical_guidance.html

Farhan Iqbal

especially for walls less than 8 feet in height. However, overturning must be
analyzed.
See a depiction for calculating the factor of safety for retaining wall overturning
from the following link:
OVERTURNING ANALYSIS
Factor of safety (F.S.) is typically 1.5 when analyzing overturning
(Wixi + RVxV)/(RHy) > F.S.
where:
Wixi = summation of moments about the retaining wall toe. (see this link), that
includes:
o
o
o
o

weight of footing
weight of wall
weight of soil directly above the entire width of the footing
distance between toe of wall and centroid of specific weight

Wi = A = weight of individual soil or concrete component (see this link) (kN)

(lb)
xi = distance from toe of the retaining wall system to the centroid of
each individual weight in the x-axis direction (horizontal) (m) (ft)
RV = R sin
= vertical component of resultant lateral earth pressure (kN/m2) (lb/ft2)
xV = distance from toe of the retaining wall system to the centroid of
the resultant vertical earth pressure (RV) in the x-axis (horizontal) direction
(ft)
(see this link)
RH = R cos
= horizontal component of resultant lateral earth pressure (kN/m2) (lb/ft2)
y = distance from the bottom of the retaining wall to the
resultant earth pressure location in the y-axis (vertical)
direction (m) (ft)
R = Ps + Pw + Pq + Pe (see Rankine Analysis above)
soil = effective unit weight of soil medium kN/m3 (lb/ft3)
concrete = unit weight of concrete = 23.6 kN/m3 (150 lb/ft3)
A = area of soil or concrete unit (see this link) m2 (ft2)
See a depiction for calculating the factor of safety for retaining wall sliding from
the following link:
Reference:http://www.geotechnicalinfo.com/retaining_walls_technical_guidance.html

Farhan Iqbal

OVERTURNING ANALYSIS

Bearing Capacity and Settlement

Bearing capacity and settlement for wall foundations can be determined in the
same manner as building foundations. Technical guidance for these analyses can be
found on this website under the following headings:
Bearing Capacity
Settlement Analysis

Example Problems for Retaining Wall Analysis

Example #1: Using the Rankine analysis, determine the individual lateral
earth pressures, and resultant lateral earth pressure on a 2.1 m (7 ft) rigid
concrete retaining wall. The free draining gravel backfill has a soil unit
weight, , of 21.2 kN/m3 (135 lb/ft3), and an angle of internal friction, , of 36
degrees. There will be vehicle surcharges of 14.4 kN/m2 (300 lb/ft2). The
retaining wall will be constructed for passive conditions.

Given

unit weight of soil backfill, = 21.2 kN/m3 (135 lbs/ft3) *see

typical values
vehicular surcharge, q = 14.4 kN/m2 (300 lbs/ft2)
*from wall use
determination
angle of Internal Friction, = 36 degrees
*see typical values
wall height, H = 2.1 m (7 ft)
passive case (wall moves toward retained soil)

Solution
Soil parameters, and , are determined from laboratory testing. Engineering soil
properties from a known granular material source is sometimes used. Some
engineers use conservative soil parameters based on the soil classification without

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Farhan Iqbal

laboratory testing. It is good practice to avoid cohesive soils, and use gravel type
materials for retaining wall backfill.
From the Rankine Analysis equation provided above, the resultant (total) pressure
exerted on a retaining wall is:
R = Ps + Pw + Pq + Pe

kN/m2 (lb/ft2)

coefficient for passive conditions

K = KP =

(1 + sin ) =
(1 - sin )

(1 + sin 36)
(1 - sin 36)

= 3.85

lateral earth pressure due to soil

Ps = 1 KH2
2
= 1 3.85(21.2 kN/m3)(2.1 m)2 = 180.0 kN/m
2
= 1 3.85(135 lb/ft3)(7 ft)2 = 12,734 lb/ft
2

metric
standard

The soil pressure component is triangular behind the retaining wall. This means
that the theoretical lateral earth pressure due to soil is minimum (zero) at the top of
the wall, and maximum (KH) at the bottom of the wall. The resultant soil
pressure, area of the triangle = 0.5KH2, acts at the bottom 1/3 of the wall (i.e.
centroid of the triangle). In this case, the resultant location is H/3, or 0.7 m (2.3 ft)
from the bottom of the wall.
lateral earth pressure due to pore water pressure
Pw = 1 wH2 = 0
2

because backfill is above water table

The pore water pressure component is also triangular, similar to the soil
component. The resultant location is H/3 from the bottom of the wall.
lateral earth pressure due to surcharge
Pq = qKH
= 14.4 kN/m2 (3.85)(2.1 m) = 116.4 kN/m
= 300 lb/ft2 (3.85)(7 ft) = 8085 lb/ft

metric
standard

The surcharge pressure component is rectangular behind the retaining wall. This
means that the theoretical lateral earth pressure due to the surcharge (qK) is the

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Farhan Iqbal

same at both the top of the wall, and bottom of the wall. The resultant surcharge
pressure, area of the rectangle = HqK, acts in the middle of the wall (i.e. centroid
of the rectangle). In this case, the resultant location is H/2, or 1.05 m (3.5 ft) from
the bottom of the wall.
lateral earth pressure due to earthquakes
Pe = 3 KhH2
8
Kh = 3 K = 3 (3.85) = 2.89
4
4

earthquake coefficient

Pe = 3 KhH2
8
= 3 (2.89)(21.2 kN/m3)(2.1 m)2 = 101.3 kN/m
8
= 3 (2.89)(135 lb/ft3)(7 ft)2 = 7169 lb/ft
8

metric
standard

The earthquake pressure component is nearly an upside down triangle behind the
retaining wall. The resultant earthquake pressure, area of the triangle = 3/8(Kh)H2,
acts at the upper 1/3 of the wall (i.e. centroid of the triangle). In this case, the
resultant location is H/3, or 0.7 m (2.3 ft) from the top of the wall.
resultant lateral earth pressure
R = Ps + Pw + Pq + Pe
R = 180.0 kN/m + 0 + 116.4 kN/m + 101.3 kN/m = 398 kN/m
R = 12,734 lb/ft + 0 + 8085 lb/ft + 7169 lb/ft = 27,990 lb/ft

metric
standard

The position of the resultant pressure, y, is determined by taking the moments of

each individual pressure about the base of the wall:
R(y) = Ps(H/3) + Pw(H/3) + Pq(H/2) + Pe(2H/3)
y = 180.0kN/m(0.33(2.1m)) + 0 + 116.4kN/m(0.5(2.1m)) +
101.3kN/m(0.67(2.1m))
398 kN/m
from bottom of wall
= 0.98 m

metric

y = 12,734lb/ft(0.33(7ft)) + 0 + 8085lb/ft(0.5(7ft)) + 7169lb/ft(0.67(7ft))

27,990 lb/ft
from bottom of wall
standard
= 3.2 ft

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Farhan Iqbal

Conclusion
The resultant pressure behind the retaining wall is 398 kN/m (28 kips/ft) at a
distance of 0.98 m (3.2 ft) from the bottom of the wall.
***********************************
Example #2: Using the results from the Rankine analysis in example problem
#1, determine the factor of safety for the concrete retaining wall to
resist sliding due to lateral earth pressures exerted on the wall. The wall
foundation is on soils with a cohesion of 23.9 kN/m2 (500 lb/ft2). The retaining
wall is not threatened by earthquakes, so omit the dynamic component. The
retaining wall dimensions are provided below.
Given

unit weight of soil backfill, = 21.2 kN/m3 (135 lbs/ft3) *see

typical values
vehicular surcharge, q = 14.4 kN/m2 (300 lbs/ft2)
*from wall use
determination
angle of Internal Friction, = 36 degrees
*see typical values
= ()2/3 = 24 degrees
c = 23.9 kN/m2 (500 lb/ft2) = cohesion
wall height, H = 2.1 m (7 ft)
wall thickness, h = 0.30 m (1 ft)
footing thickness, t = 0.30 m (1 ft)
footing width, B = 2.1 m (7 ft)
distance from the footing edge (toe) to face of wall in front of wall, 0.46 m
(1.5 ft)
R = 398 kN/m (27,990 lb/ft) from example problem #1

Solution
F.S. = 2.0 for passive earth pressure conditions.
(RSL/RH) > F.S.
RSL = Resistance to sliding
= (Wi + RV)tan + cAB
= (Wi + RV)tan + cAB + PP

when a key is not used

when a key is used

Reference:http://www.geotechnicalinfo.com/retaining_walls_technical_guidance.html

Farhan Iqbal

RH = R cos
= (398 kN/m)cos 24 = 364 kN/m
= (27,990 lb/ft)cos 24 = 25,570 lb/ft

metric
standard

RV = R sin
= (398 kN/m)sin 24 = 162 kN/m
= (27,990 lb/ft)sin 24 = 11,385 lb/ft

metric
standard

Wi = summation of weights (see this link) for a depiction

W1 = soil(width of soil block above footing)(height of soil block above footing)
= 21.2 kN/m3(1.68 m)(1.83 m) = 65.1 kN/m metric
= 135 lbs/ft3(5.5 ft)(6 ft) = 4455 lb/ft
standard
W2 = concrete(width of wall)(height of wall above footing)
= 23.6 kN/m3(0.253 m)(1.83 m) = 10.9 kN/m metric
standard
= 150 lbs/ft3(0.83 ft)(6 ft) = 750 lb/ft
W3 = concrete(width of footing)(height of footing)
= 23.6 kN/m3(2.13 m)(0.30 m) = 15.1 kN/m metric
standard
= 150 lbs/ft3(7 ft)(1 ft) = 1050 lb/ft
Wi = W1 = W2 = W3 = 91.1 kN/m (6,255 lb/ft)
cA = c for c = (23.9 kN/m2) (500 lb/ft2) or less
= 23.9 kN/m2 (500 lb/ft2)
B = 2.13 m (7 ft)
F.S. = RSL/RH = (214 lb/ft)/(364 kN/m) = 0.6
F.S. = RSL/RH = (14,824 lb/ft)/(25,570 lb/ft) = 0.6

metric
standard

Conclusion
The factor of safety with relation to retaining wall sliding is 0.6. This factor of
safety is unacceptable. In order to increase the F.S., we can design a number of
combinations including adding a key beneath the footing, increasing the footing
width, and using tie-backs. Also, note that soil above the footing in front of the
wall was not accounted for in this problem. Depending on the footing depth, this
soil aids in the sliding resistance.
***********************************
Example #3: Using the results from the Rankine analysis in example
problems #1 and #2, determine the factor of safety for the concrete retaining

Reference:http://www.geotechnicalinfo.com/retaining_walls_technical_guidance.html

Farhan Iqbal

wall to resist overturning due to lateral earth pressures exerted on the wall.
The retaining wall dimensions are provided below.
Given

unit weight of soil backfill, = 21.2 kN/m3 (135 lbs/ft3) *see

typical values
vehicular surcharge, q = 14.4 kN/m2 (300 lbs/ft2)
*from wall use
determination
angle of Internal Friction, = 36 degrees
*see typical values
= ()2/3 = 24 degrees
c = 23.9 kN/m2 (500 lb/ft2) = cohesion
wall height, H = 2.1 m (7 ft)
wall thickness, h = 0.30 m (1 ft)
footing thickness, t = 0.30 m (1 ft)
footing width, B = 2.1 m (7 ft)
distance from the footing edge (toe) to face of wall in front of wall, 0.46 m
(1.5 ft)
R = 398 kN/m (27,990 lb/ft) from example problem #1
y = 0.98 m (3.2 ft) from example problem #1

Solution
Factor of safety (F.S.) is typically 1.5 when analyzing overturning
(Wixi + RVxV)/(RHy) > F.S.

Wixi = summation of the moments (see this link) for a depiction

W1 = soil(width of soil block above footing)(height of soil block above footing)
= 21.2 kN/m3(1.68 m)(1.83 m) = 65.1 kN/m metric
= 135 lbs/ft3(5.5 ft)(6 ft) = 4455 lb/ft
standard
W2 = concrete(width of wall)(height of wall above footing)
= 23.6 kN/m3(0.253 m)(1.83 m) = 10.9 kN/m metric
standard
= 150 lbs/ft3(0.83 ft)(6 ft) = 750 lb/ft
W3 = concrete(width of footing)(height of footing)
= 23.6 kN/m3(2.13 m)(0.30 m) = 15.1 kN/m metric
standard
= 150 lbs/ft3(7 ft)(1 ft) = 1050 lb/ft
x1 = (width of footing in front of wall) + (width of wall) + (1/2 of width of soil
block above footing)
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Farhan Iqbal

= 0.457 m + 0.253 m + 0.5(1.676 m) = 1.55 m metric

standard
= 1.5 ft + 0.83 ft + 0.5(5.5 ft) = 5.1 ft
x2 = (width of footing in front of wall) + (1/2 of wall width)
= 0.457 m + 0.5(0.253 m) = 0.583 m
metric
= 1.5 ft + 0.5(0.83 ft) = 1.9 ft
standard
x3 = (1/2 width of footing)
= 0.5(2.13 m) = 1.07 m
= 0.5(7 ft) = 3.5 ft

metric
standard

Wixi = W1x1 + W2x2 + W3x3

= (65.1 kN/m)(1.55 m) + (10.9 kN/m)(0.583 m) + (15.1 kN/m)(1.07 m) = 123.4
kN metric
= (4455 lb/ft)(5.1 ft) + (750 lb/ft)(1.9 ft) + (1050 lb/ft)(3.5 ft) = 27,821
lb
standard
RV = R sin
= (398 kN/m)sin 24 = 162 kN/m
= (27,990 lb/ft)sin 24 = 11,385 lb/ft

metric
standard

xV = (width of footing in front of wall) + (width of wall)

= 0.457 m + 0.253 m = 0.71 m
metric
standard
= 1.5 ft + 0.83 ft = 2.3 ft
RH = R cos
= (398 kN/m)cos 24 = 364 kN/m
= (27,990 lb/ft)cos 24 = 25,570 lb/ft

metric
standard

y = 0.98 m (3.2 ft)

F.S. = (Wixi + RVxV)/(RHy)

= 123.4 kN + (162 kN/m)(0.71 m) = 0.7
(364 kN/m)(0.98 m)

metric

= 27,821 lb + (11,385 lb/ft)(2.3 ft) = 0.7

(25,570 lb/ft)(3.2 ft)

standard

Conclusion
The factor of safety with relation to retaining wall overturning is 0.7. This factor of
safety is unacceptable. In order to increase the F.S., we can design a number of

Reference:http://www.geotechnicalinfo.com/retaining_walls_technical_guidance.html

Farhan Iqbal

combinations including moving the wall further from the footing toe, increasing
the footing width, decreasing the wall height, and using tie-backs. Also, note that
soil above the footing in front of the wall was not accounted for in this problem.
Depending on the footing depth, this soil aids in the overturning resistance.
***********************************

Reference:http://www.geotechnicalinfo.com/retaining_walls_technical_guidance.html