Retaining Wall Design - SESOC

G. Bird
SESOC Management Committee, & Senior Associate with Beca, Auckland

A. McPherson
Maxx Information Systems, Wellington, & SESOC Software Support

ABSTRACT
In the absence of a recognised or accepted national standard, and in order to provide clarity around the
technical basis for their retaining wall software, some time ago SESOC embarked on the development of two
design guides for these, namely the:
 Cantilever Timber Pole Wall Design Guide, and the
 Concrete Retaining Wall Design Guide.
The goal was for a consolidated and coherent methodology for static/gravity design, covering a range of
common scenarios, including water table, sloped walls, retained slope, pole spacing effects, shear key, etc –
as well as a clear and consistent set of load factors.
In addition to static design, dynamic aspects also must be handled, with a number of challenges in order to
present a methodology which is both robust as well as suitable for use by the typical structural practitioner.
This presentation will (briefly) cover these design guides.

1 INTRODUCTION

1.1 Software Origins

It was by happenstance, back in the 1990s, that SESOC became involved in software, as a result of the
considerable enthusiasm of one of our early members, Esli Forrest. He initially developed the Soils program,
later followed by further work.
Upon taking responsibility for the SESOC Software portfolio circa 2010, it was the first author’s particular
question and concern regarding the SESOC Soils program – “What is the Technical Basis ?”, that has
prompted this initiative and design guides, and as a result now, this introductory conference paper.
This paper can, of necessity, merely introduce some of the basic concepts underpinning the two design
guides, which each run to 50 pages plus. And so, the following pages are intended to provide an insight to
the scope, methodology, and some of the challenges, using snips from the original design guides, etc.
Also, in many cases, these may be partial extracts from the much more extensive content of the design
guides. And so, for expediency reasons, the reader is asked to overlook the ‘…’ or “etc’ when just some of
the key points are presented herein.

Paper 0020 – Retaining Wall Design – SESOC

NZSEE 2022 Annual Conference
1.2 Background
The Soils program provides three main areas of capability, with sub-categories under each of these, as
follows :

 Shallow Foundations :  Pad footings, Strip footings

 Deep Foundations :  Piles (free and restrained head)

 Cantilever Pole retaining walls

 Retaining :
 Reinforced Concrete retaining walls

The program is broadly based on B1/VM4, though of necessity implementing a number of aspects beyond
that document.
While the technical basis is well established and documented for the piles and footings, arguably this is less
so for the retaining walls design aspect, particularly for a pseudo-static structural mechanics approach.
In particular, the absence of a national standard or widely accepted industry guideline, or even substantive
worked examples (ie covering the considerable range of design variations encountered in practice) – as well
as an apparent diversity of approach in the Geotech space, left SESOC in the unenviable position of having
provided some software without a robust and documented technical basis.
Further to discussion with various people from the Geotech fraternity, it became evident that a national
standard and/or guideline was unlikely in a reasonable timeframe.
With respect and acknowledgement to the two (relatively recent) MBIE retaining wall design examples, as
well as various national seminars by the late Mick Pender, Brabha Pathmanathan, Kevin McManus, et al, we
observe the multiplicity of combinations and permutations of soil type, static and dynamic loading, water
table level, vertical or sloped wall, horizontal or sloping retained slope, virtual back of wall, front of wall
slope, etc, many of which have not been adequately addressed, if at all.
And so, several years ago now, SESOC embarked on a journey to prepare documentation to serve as a
technical basis for the software, with - in hindsight, little knowledge of the effort this would take.

1.3 Scope
It must be noted that the two design guides have been prepared, primarily, as a robust technical basis for the
software.
In this regard, we have intentionally constrained the scope to what a competent structural engineer ‘should’
be able to reasonably undertake – with suitable Geotech input as appropriate.
In other words, we’ve sought to cover the majority of low rise, ‘garden variety’ retaining walls, with the
higher, or more complex, or tied back, or displacement sensitive type structures to be handled by a
professional Geotech practitioner.

1.4 Assumptions & Limitations

There are a number of assumptions and limitations which underpin both guides. Some of the key aspects are
provided below :

Paper 0020 – Retaining Wall Design – SESOC

NZSEE 2022 Annual Conference
Fundamental Assumptions
 Granular backfill
 Simple cantilever
 Not displacement sensitive
Geotech assumptions:
 Triangular pressure distribution
 Soil & pore water are homogenous
 ....
Geometry :
 <= 3.0m height
 Pole spacing <= 6D
[CTP]
 Slope distance limits

Outside these .. you

need to engage a
Geotech ..

Partial extracts from

the relevant content :

1.5 Editorial Basis

These guides are, intended, in effect as “Retaining Wall Design for Structural Engineers”, written for
structural engineers .. by structural engineers .. but with Geotech input.

The Design philosophy is based on Static pressure blocks (i.e a structural mechanics approach) using LFRD
but optionally with F.o.S

The methodology includes a wide range of variations as encountered in ‘typical’ retaining wall design

Paper 0020 – Retaining Wall Design – SESOC

NZSEE 2022 Annual Conference
Including : But Excluding :
 Soil types : cohesive & cohesionless  Construction detailing
 Loading : static + seismic
 Displacement sensitive structures
 Water table : none, at GL, or above GL
 Retaining wall : vertical or sloped  Displacement calcs
 Retained soil : horizontal or sloped  Etc
 Full design methodology
 CTP : pole spacing effects
 RCW : virtual back of wall
 RCW : positional effect of key

1.6 Analysis Basis vs Soil Classification and Loading

The following table (extract) shows the interaction between the soil type and loading conditions, and how
this affects the calculation process.

1.7 Soil Pressure

We have sought to present a single, coherent, soils model, conservative (but not too conservative), across a
range of parameters with, ideally, a ‘closed form solution’ for implementation in the software. Ideally, also, a
model that will readily accommodate vertical as well as sloping retaining systems, plus horizontal as well as
sloping retained sites, with or without surcharge loading, and compatible with the seismic model.
In general, (with particular and significant input by the last named contributor in the acknowledgements), we
have landed on the following :
 Active pressure : Ka is calculated using Coulomb’s failure wedge approach, adjusted for wall friction
and non-horizontal backfill and non-vertical soil-wall interface. Kae is calculated based on
Mononobe-Okabe theory
 Passive pressure : Kp and Kpe values are based on the closed-form ‘stress plasticity’ formulation by
Mylonakis et al 2007 [1].

1.8 Load Factors

Within industry there appears to be a multiplicity of load factors used, as per the analysis of various
documents below, which we have sought to consolidate in to a single coherent whole.

Paper 0020 – Retaining Wall Design – SESOC

NZSEE 2022 Annual Conference
Extract from the Appendices of the CTP Design Guide

Paper 0020 – Retaining Wall Design – SESOC

NZSEE 2022 Annual Conference
2 CTP: CANTILEVER TIMBER POLE WALL
The following is some brief commentary along with a number of graphics
outlining some of the key points in terms of the technical basis of the guide.

2.1 Pole Spacing Effect

 Simplified approach
 Above ground: full contributory area between poles transferred to pole
 Below ground soil: assumes a maximum effective pressure width of 4Dc
i.e. EFW = MIN[Sp, 4Dc]
 Below ground water: based simply on the width of the pole Dc

2.2 Pressure Blocks :

 Embedded pole rotates about point Zo below ground
 1, 2: active pressure due to retained soil
 3: active pressure due to superimposed loading
 4: active pressure occurring due to pole rotation
 5, 6: passive pressure resisting rotation

Sample structural mechanics pressure block diagram from the CTP guide.

Paper 0020 – Retaining Wall Design – SESOC

NZSEE 2022 Annual Conference
2.3 Water Table

2.4 Composite Action :

2.5 Design Guidance :

In addition to the technical

background, and (hopefully)
gradual immersion of the reader
from broad concepts
progressively leading on to
more and more technical detail,
the CTP also provides detailed
and explicit formulation of all
the calculations of design
actions and pressures, through to
the ultimate calculation of
forces, moments and the crucial
stability checks.

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NZSEE 2022 Annual Conference
3 RCW: REINFORCED CONCRETE WALL

3.1 Introduction
There are basically two (local) fundamental limit states :
 Overturning
 Sliding
And, typically, at least two load cases :
 Static (gravity)
 Dynamic (seismic)
.. with the following pseudo-static structural mechanics loads &
pressure blocks

3.2 Further Details

However, behind these is a multiplicity of details, e.g.

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NZSEE 2022 Annual Conference
Including consideration regarding which components
are providing stabilising actions, and which de-
stabilising ? and the appropriate load factors for
each, and which aspects we can (reasonably) ignore ?

This includes complexities around:

 Pressures and forces for sliding versus
overturning, with and without key
 Water table pressures, especially in the
vicinity of the footing
 etc

4 STATUS & ACKNOWLEDGEMENTS

Status: As at the time of writing (early Apr 2022), both documents are in draft format, and are with NZGS
for formal review. We have received initial, positive feedback from the NZGS management committee, and
the CTP design guide is now undergoing a detailed review by some experienced and senior Geotech
practitioners.
Acknowledgements: Although numerous people from industry have provided valuable input at various
times, particular acknowledgement must also be made to the following parties :
 Beca, for the first author’s (unfunded) time and contribution, which has been quite substantial, and over
several years
 My co-author, Allan McPherson, for his diligent efforts as the writer and pen-holder, as well as
meticulous attention to detail

Paper 0020 – Retaining Wall Design – SESOC

NZSEE 2022 Annual Conference
And last but not least :
 John Wood, for substantial input, as well as detailed review of these documents, and whose considered
and thoughtful contributions have substantially strengthened and truly enhanced the quality of this
initiative.
In parallel with the above NZGS review, SESOC have commissioned a University of Auckland PhD student
to undertake a representative series of analytical models, in order to benchmark the proposed basic
methodology – as well as the various combinations and permutations.
These are being carried out quite independently, yet following, as much as possible the philosophy espoused
in the SESOC Design Guides – which, in turn, seek to also consolidate the various industry sources (from
B1/VM4 and Mick Pender’s Geotech 2000 series onwards) in to a single cohesive whole.

5 CONCLUSION
This paper provides a brief insight into the development process and current status of these two cantilever
retaining wall design guides.
Although a process we would have preferred to be undertaken by others, in the absence of any form of
national standard or similar, or timely expectation of such, SESOC felt it could no longer provide software
without a robust and documented design methodology, hence the undertaking of these guides.
It is our hope that these guides will underpin future retaining wall work, in the wider sense, yet noting that
the scope is deliberately restricted to ‘residential’, ‘garden wall’ type work. Very intentionally, the scope is
limited to what a competent structural design professional ‘should’ be able to design (– with Geotech input
as appropriate), and acknowledgement of the need of experienced Geotech professionals to undertake the
broader spectrum of retaining walls - larger, tied back, more complex, stepped, etc.

6 REFERENCES

[1] Mylonakis, George & Kloukinas, Panos & Papantonopoulos, Costas. (2007). An alternative to the
Mononobe–Okabe equation for seismic earth pressures. Soil Dynamics and Earthquake Engineering, 27.
957-969

Paper 0020 – Retaining Wall Design – SESOC

NZSEE 2022 Annual Conference