CIP-DATA KONINKLUKE BIBLIOTHEEK, DEN HAAG Giani, Gian Paolo Rock slope stability analysis / Gian Paolo Giani: (transl. from align]. ~ Rotlerdam fete. Balkema.~ Ml, Transl, of: Analisi di stabilita dei pedi, ~ Part: Chassifiewzione dei fenoment di stabil pendii naturafi ¢ fronti di scavo in roccia. Torino: Associazione Minecana Sul 1988, with ee ISBN 90 5410 122.9 bound Subject headings: rock slopes: alysis Authorization to photocopy items for internal or personal use. or the internal oF personal use of specific clients, is granted by A.A.Balkema, Rotterdam, provided that the hase fee of USS1.00 per copy, plus USSO. 10 per page is paid directly to Copyright Clearance Center. 27 Congress Sirect, Salem, MA 01970, USA. For thoxe organizations that have been photocopy license by CCC. a separate system of payment has been arranged. The fee eau for users of the Transactional Reporting Service is: 90 5410 122 9/92 USS1.00 + USSO.10. Original text Anolisi di siobilité dei pend ~ Parte b: Classifienzione dei fenomeni di instabilita. pendit nannroli e fromtidi scavo in raccia ©1988 Associazione Mineraria Subslpina, Turin Completely revised and updated edition in English: ©1992 A.A. Balkema, PO. Box 1675, 3000 BR Revtterdam, Netherlands ISBN 9054101229 Distributed in USA & Canada by: ‘A.A. Balkema Publishers, Olel Post Road, Brooklicld, VT S134, USA Printed in the NetheslandsContents PREFACE TO REVISED ENGLISH EDITION 1 PROBLEM DEFINITION AND LANDSI.IDE CLASSIFICATION 1 Natural slopes 2 Anificial slopes 1.2.1 Excavation slopes 2 Embankments and dams 1.2.3 Wastes 1.3 Aim of a slope stability analysis 1.4 Classification of slope movements 1.5 Slope movement and analysis types 1.5.1 Falls. 1.5.2 Topples 1.5.3 Slides (5.4 Lateral spreads 15.5 Flows 1.5.6 Complex movements ROCK SLOPE ENGINEERING 2.1 Inteoduction 2.2 Problem definition 23 Stability analysis methods 2.4. Static and dynamic equilibrium equations 2.5 Safety factor and limit equilibrium method 2.6 Effect of water pressure in rack discontinuities 2.7 Principal factors affecting rock slope stability analys xt 29 20 29 39 40 42 44 45VI Rock slope stability analysis 3 GEOMECHANICAL CHARACTERIZATION OF DISCONTINUITIES 3.1 Discontinuity types 3.1.5 Bedding planes 3.1.2 Cleavage planes 3.1.3 Schistosities 3.1.4 Folds 3.1.5. Faulis 3.L.6 Joints 3.2. Rock slope discontinuity classification 3.3. Rock feature description methods. 3.4. Orientation 3.4.1 Angle definition 3.4.2 Spherical projections 3.4.3. Equal-area projection 3.4.4 Discontinuity orientation survey analysis and interpretation 3.4.5. Statistical interpretation of pole contour diagrams 3.5 Spacing 3.5.1, Definitions, measurements and scopes 3.5.2 Precision of the mean spacing and spacing distribution 3.6 Persistence definitions, scones and measurements 3.7 Roughness 3.7.1 Definitions and scope 3.7.2. Measurement and presentation of results 3.8 Wall strength 39 Aperture 3.10 Filling 3.11 Seepage 3.12 Number of sets 3.13 Block size 3.14 Discontinuity description using drill core and drill hole analysis 3.15 Geophysical surveys 4 SHEAR STRENGTH 4.1 Basic concepts 4.1.1 Intact rock strength envelope 4.1.2. Types of sicength criterion 4.1.3 Coulomb shear strength criterion 4.2. Rock discontinuity shear strength 4.2.1 Planar discontinuity surfaces 4.2.2 Inclined discontinuity surfaces 47 47 47 a7 50 50 5 52 53 55 56 56 ST SR 64 oe 73 7 14 78 85. 85 BS 88 1 92 93 94 95 96 97 9 99 99 99 101 103 103 1056 Contents 4.2.2. Multiple inclined discontinuity surfaces 4.2.4 Ladanyi & Archambault criterion 4.2.5 Rough discontinuity surfaces 4.2.6 Barton criterion 4.2.7 Scale clfects 4.2.8 Joint Roughness Coefficient measurements from large scale index tests 4.2.9 Statistical methods for IRC determination and shear behaviour prediction 4.2.10 Fractal characterization of joint surface roughness for estimating shear strength 4.2.11 Geostatistical operators applied to the rock joint shear strength prediction 4.2.12 Influence of the wall discontinuity interlock tevel on the shear resistance 4.2.13 Filled discontinuities 4.2.14 Discontinuity shear behaviour under dynamic conditions: 4.2.15. Concluding remarks on joint shear resistance 4.3 Shear strength of rock mass GROUNDWATER FLOW IN ROCK MASSES S.A Introduction 5.2 Basic concepts 5.3 Flow in discontinuous media 5.4 Flow in porous media 5.5 Rock mass flow models 5.6 Hydraulic conductivity of a single discontinuity, 5.7 Hydraulic conductivity of a discontinuity ser 5.8 Hydraulic characterization of discontinuous rock masses 5.8.1 Practical example of pumping tests in boreholes 5.9 Hydraulic characterization of equivalent contimious masses 5.10 Mathematical models 5.10,t Single fracture models 5.10.2 Joint network mouels GEOMECHANICAL MODEL 6.1 Introduction 6.2. Rock joint system models 6.2.1 Orthogonal mode} 6.2.2. Unbounded random plane model vil 106 108 iW 13 116 129 132 134 138 139 141 141 146 146 146 148 150 151 153 154 156 159 162 163 163 165 167 167 167 167 169Vill Rock slope stabiluy analysis 63 64 6.5 6.2.3 Co-planar polygonal model 6.2.4 Mosaic block tessellation models 6.2.5 Poisson disk model 6.2.6 Other joint modelling approaches 6.2.7 Concluding remarks on the joint system modelling techniques Potential instability phenomena identification Design sectors 6.4.1. Statistical models 6.4.2 Geostatistical models Application example 7 ROCKFALLS, TOPPLES AND BUCKLES, VW 72 73 Rockfall 7.1.1 Analytical formulations of rock fall 7.1.2 Rockfall movement analysis Toppling 7.2.1 Toppling mechanisms 7.2.2. Single block toppling limit equilibrium 7.2.3 A block system loppling analysis Rock buckling 7.3.1 Flexural buckling of plane slabs 7.3.2 Thice hinge bean models for plane slopes 7.3.3. Three hinge buckling of curved slopes 8 SLIDING PHENOMENA ANALYSIS 8.1 8.2 8.3 8.4 Siiding instability types Simplified methods 8.2.1. Plane sliding 8.2.2 Sliding on a two plane intersection line Stability analysis using vector methods 8.3.1 Equations of lines and planes 8.3.2. Volumes, areas, angles and forces 8.3.3 Warburton procedure for stability analysis of a polyhedral rock block 8.3.4 Block theory Probabilistic methods 8.4.1 Introduction 8.4.2 Stability indexes 8.4.3 Monte Carlo method 8.4.4 Rosenblucth point estimare method 7 174 74 176 176 7 179 (80 180 185 191 I 191 193 208 208 215 218 222 222 224 226 229 229 229 231 242 282 253 256 259 264 281 281 282 283 285Contents 1X 8.4.5 Application example 286 8.4.6 Conditioned probability and Bayes theorem 287 8.4.7 Application example 288 8.4.8 Fuzzy set theory 289 8.4.9 Rock slope stability analysis ap} 290 8.5. Concluding remarks on the graphical methods in rock slope stability analysis, 292 9 DYNAMIC EQUILIBRIUM EQUATION METHOD 295 9.1 Method of analysis 295 9.2. Distinet Element Method 295 9.2.1 Introduction 295 9.2.2 Theoretical fonnulation of the method 296 9.2.3 Block deformability 297 9.2.4 Discontinuity behaviour model 298 9.2.5 Motion equations 301 9.2.6 Calculation sequence 302 9.2.7 Static analysis 303 9.2.8 Boundary element representation for zones distant from the examined arca 304 9.29 Coupled problems 304 9.2.10 Dynamic analysis 306 9.2.1] Other main DEM applications 306 9.3. Seismic analysis, 307 9.3.1 Pscudo-statie method 307 9.3.2. Overall displacement method 308 10 STABILIZATION AND PROTECTION METHODS 3IS 10.0 Introduction 315 10.2 Excavation and geometrical slope parameter design 315 10.2.1, Rock sliding along discontinuity planes 317 10.2.2. Rock slope toppling and sliding 322 10.2.3 Circular failure in soft or weitk rock 322 10.2.4 Secondary toppling failure 323 10.3 Drainage measures 324 10.4 Support and reinforcement systems 329 10.4.1 Active reinforcements 333 10.4.2 Passive reinforcements 337 10.5. Methods of protection 340 REFERENCES 347Preface to revised English edition This English cdition of the book: Analisi di, stabilita dei pendii ~ Parte 1. Classificazione dei fenomeni di instabilita, péndii naturali ¢ fronti di scavo in roccia vepresents an updated and revised ,version of the first Halian edition published by the Associazione Mineraria Suibalpina of Turin. ‘The book deals with the methods of assessing the stability of rockélapes and the techniques of improving the stability conditions of natural and artificial slopes which arc at risk. a , The book also deals with the-description ofurvey.and measurement methods used (o mode! the mechanicalehaviour of rock masses and theouilinifig.of field observations to calibrate numerical or analytical methods of slope analysis. The main {opiés of the book are: "Slope instability movement classification and description in order to establ- ish a connection between engineering geology and rock and soil slope engineer ing ficlds; = Different modes of slope instability and the correspondent types of slope analysis: _ ~The geometrical and physical featurés of the rock mass and the rock discontinuity; ~ ‘Sheatstrength; Rock mass modelling for flow and mechanical analysis; Rock slope stability analysis in static and dynamic fields, Rock fall modelling: Methods of improving rock slope stability and the protection methods for rockfalls. The first 1988 Italian edition of the book was written especially for the students of the course of ‘Fisica de! suolo ¢ stabilita dei pendii’ of the Technical University of Turin and contained the resulis of scientific researches published in books, magazines and international conference proceedings as far as possible. This new edition of the book has been updated with some real case application examples and with the results of new rescarch and experimental data gathered. ‘abovelall from Malian research laboratories such as those of the “Gvorisorsé ¢ xtXII Rock slope stability analysis Territorio’ Department of the Technical University of Turin and ISMES of Bergamo. 1 would like to thank all my colleagues who helped me in the writing of this book by giving me their opinions and technical papers and the other international authors of the papers quoted in the references from which I gathered scientific material I would also like to thank the past-president Prof. L. Stragiotti and the President Prof. S. Pelizza of the Associazione Mincraria Subalpina who permitted the publication of this English edition Finally | would like to thank the following persons for their important contribu- tions: ~ Dr Margherita Ferrero who assisted me in the discussing and reading of the text; — Nuova Copisterin who did the typing of the manuscript; Mrs Marguerite Jones who helped me in the English translation of the book: Miss Cristiana Catino and Miss Marina Berardi for the drawings; Dr Gabriele Pancotti who reproduced the photographs; My wife who put up with me during this period Gian Paoto Giani Turin, July 191CHAPTER | Problem definition and landslide classification (1 NATURAL SLOPES Natural slopes can be classified by referring to the activily state (Varnes, 1978). Active slopes are those (hat are cither currently moving or not moving al the present but have moved within the last seasonal cycle. Inactive slopes are thse where there is no evidence that movement has taken place within the last seasonal cycle. These slopes may be dormant, when the faiture causes are still present and a movement may occur again, or they may be stabilized when the factors causing the movement have been removed naturally or by human activity. Zaruba & Mencl (1969) and Vames (1978) subdivided slope movements according to age. A slope movement is called ‘recent’ when it has occurred in recent decades ina slope which has not yet been the center of mass movements. A movement for which there is no memory or historical records is called ancient. A fossil movement, finally, is where a slope movement occurred in a previous geological age. ‘The causes which determine sliding movement in a slope depend on pheno- mena which contribute to a shear stress increase and/or to a reduction of shear strength. The principal phenomena which contribute to a shear stress increase involve the toe or the slope surface weakening or the slope surcharging. ‘The toe or the slape surface weakening can be due to: 1. Erosion by streams, rivers, glaciers, waves. tidal currents. sub-acrial weath- cring, wetting and drying and frost action; 2. Subsidence. previous rock fall, toppling, sliding and superiicial scaling: 3. Phenomena connected to human activity such as mining or civil excavations, channel construction or water level variation in the toc zone of reservoirs. Surcharges can also be induced by natural causes or human activity. Natural surcharges are due to rain water or snow weight, or to water percolation in rock discontinuities. Surcharges due (o human work are embankments, mining '2 Rock slope stability analysis and industrial waste disposal, weight of buildings and other structures and water weight in channels and reservoirs. The principal causes which contribute to a shear strength reduction depend on: Soil texture, rock fabric and rock structural defects; physical and chemical reactions; and changes in intergranular forces. 1. Texture plays an important role in sensitive soil behaviour such as clay, shale, loess, loose sand and organic porous material. The rounded shape of the sand particles decreases shear resistance, whilst sharp shapes increase shear res- istance, The principal parameters affecting the rock mass shear resistance are the structural discontinuities, the contrast in stiffness and resistance in non- homogencous masses, the unfavorable orientalion of beddings and joints, the slope orientation and the cementation degree of semi-coherent rocks such as sandstone and conglomerates. 2. Physical and chemical reactions can be due to: a) The softening in fissured clays; b) The physical disintegration of granular rocks such as granites or sandstones under frost action or thermal eycle effects; Plate 1.1. Fissure in over- consolidated clays. By F Lida,Problem definition and landslide classification 3 c) The hydration in clay soils, when a large quantity of water is absorbed by clay fraction thereby decreasing initial shear strength (smectitic clay swelling determines a shear decrease): d) The oversaturation of loess with a consequent destruction of the bonds between the clay particles and large soil particles; c) Cement dissolution phenomena in sandstones and conglomerate: 3. The principal intergranular force varistion phenomena depend on: a) The water content which determines the pore pressure and the water pressure in the rock discontinuities. Meicoric events and human works such as the diversion of streams, biackage of drainages, irrigation and pondin, b) The clearing of vegetation and forests. 4, The soil texture and rock fabric variation can be caused by: a) Fissures of shales and overconsolidated clay (Plate 1.1): ‘b) Weathering and fracturing duc to the release of vertical or horizontal stresses. in valley cuts or walls; c) Remoulding or revelling which can decrease the shear strength of fine Particle material such as loess, loose sands and sensitive clays. 1.2 ARTIFICIAL SLOPES Anificial slopes can be subdivided into three categories: Excavation slopes; dams and embankments; and wastes (Chowdhury, 1978). 1.2.1 Excavation slopes “She excavation design aims at determining the average excavation height and inclination which can keep the slope stable, while taking economical aspects into consideration The period for which an excavation slope has to remain stable varies according tothe: — Mining or civil work type: ~ Foreseen mainicnance works; = Forescen stability control measurements. The principal parameters affecting rock slope excavation stability arc: 1. Rock matrix shear and deformation features; Physical and geometrical features of discontinuities in the siope rock mass; Average height, slope angle and the complete geometry of benche: Discontinuity and rock mass water flow; Drainage works: Reinforcing works (rockbolis, cables, ete.) which can also be considered in the design phase for a suitable slopé stability condition. The principal parameters which must considered in the slope excavation design are: Queen4 Rock slope stability analysis: 1, Shear resistance parameters in drained and undrained conditions (the stabil- ity analysis of an excavation slope in a clay material is usually carried out in effective stress terms with drained parameters); 2. Stress state history; both those induced in the geological formation before excavation and those duc to the excavation; 3. Pore pressure distribution and change in pore pressure during and after the slope excavation; 4. Long (c’, ’) and short (S,) term stability conditions. 1.2.2 Embankments and dams The mechanical properties of the materials used to construct embankments and dams can be known before or “in situ’ determined both from soit and rocktiil composition and from the compaction degree points of view. Careful investiga- tions and “in situ" tests are insicad required in order to characterize the subsoil Embankmients and dams constricted on a cohesive soil require a staged construction by consolidating with controlicd loading rates in order to strengthen the foundation soil (Ladd, 1987). Consolidation may be accelerated by the \stallation of vertical drains. Ficld observations are necessary for important works built on cohesive soil foundations in order to estimate the rate of pore overpressure dissipation Stability analysis must consider staged construction problems according to the CU (consolidated undrained) case which represents the most realistic and critical conditions. The CU case rclers toa full or partial consolidation of soil as far as the applica stresses and undrained failure are concerned. Numerical methods such as the Finite Element Method (FEM) can be used for the coupled deformation-flow problem in order to help the enginecr in the staged construction parameter definition, The principal advantages of FEM use in designs are: = The possibility of simulating the staged construction by varying soil detor- mation modulus with confining siresses and by choosing an appropriate soil stress-strain constitutive law; ~ The possibility of computing and comparing the settlements determined for each dam layer application with experimental results; = The possibility of examining the interacting soil core rockfill behaviour and of computing effective stresses in the soil core for cach dam layer loading: ~ The possibility of assessing overall dam stability conditions for each con- struction stage on the basis of the effective stresses and the pore pressures computed When a dam is working, control grid measurements are periodically or continuously carried out and the stability analysis usually relcrs to the following critical situations: