The Serra do Mar is a fault scarp with steep slopes that are often affected by shallow landslides. The goal of this study was to evaluate the susceptibility to such events in the basin affected by such an event in 1985. The basin was classified as unstable, with landscape rates above 70 % for all three of the scenarios chosen.
The Serra do Mar is a fault scarp with steep slopes that are often affected by shallow landslides. The goal of this study was to evaluate the susceptibility to such events in the basin affected by such an event in 1985. The basin was classified as unstable, with landscape rates above 70 % for all three of the scenarios chosen.
The Serra do Mar is a fault scarp with steep slopes that are often affected by shallow landslides. The goal of this study was to evaluate the susceptibility to such events in the basin affected by such an event in 1985. The basin was classified as unstable, with landscape rates above 70 % for all three of the scenarios chosen.
Susceptibility to shallow landslides in a drainage basin
in the Serra do Mar, Sao Paulo, Brazil, predicted using the SINMAP mathematical model Tulius Dias Nery
Bianca Carvalho Vieira Received: 8 February 2014 / Accepted: 29 April 2014 Springer-Verlag Berlin Heidelberg 2014 Abstract The Serra do Mar mountain range is a fault scarp with steep slopes that are often affected by shallow landslides triggered by extreme rainfall. Most of these events result in casualties and economic and environmental damage, especially in areas close to urban centers, major roadways and agricultural areas. The goal of this study was to evaluate the susceptibility to shallow landslides in the Serra do Mar, specically within a drainage basin affected by such an event in January of 1985. For this purpose, the mathematical modeling technique of SINMAP was used by introducing the topographic values from a digital terrain model as well as geotechnical and hydrological values from previous studies performed in the Serra do Mar. In all, 32 susceptibility scenarios were generated, and three were analyzed for this study. These scenarios were validated using landslide scar maps produced using orthophotogra- phy; this technique was also used to analyze the functions of morphological parameters (e.g., slope angle, curvature and hypsometric features). The basin was classied as unstable, with landscape rates above 70 % for all three of the scenarios chosen. A higher landscape frequency was expected on straight slopes with angles between 30 and 50 under unsaturated soil conditions, as evidenced by low moisture rates, especially for NS-facing slopes. The sus- ceptibility maps generated using this model should prove useful for other critical parts of the Serra do Mar to understand better and, above all, predict these landslides, which annually cause signicant damage in Brazil. Keywords Serra do Mar Shallow landslides Digital terrain model SINMAP Introduction In Brazil between 1928 and 2011, more than 4,000 deaths occurred because of mass movements. In addition to large urban centers, such as Rio de Janeiro, Sao Paulo, Recife, and Salvador, the Serra do Mar mountain range, a fault scarp that extends 1,500 km along the south and southeast coast of Brazil and passes through the states of Rio de Janeiro, Sao Paulo, Parana and Santa Catarina, is often affected by events of great magnitude. Geological, geo- technical, and geomorphological characteristics, such as steep slopes and soil with important hydrological discon- tinuities and sandy textures along with total rainfall that can reach up to 4,500 mm/year in some regions, make the Serra do Mar extremely susceptible to different types of mass-wasting, especially shallow landslides and debris ow. For example, in 2010 and 2011, this geological- geomorphic compartment suffered two major mass move- ments that together resulted in over 1,200 deaths in the Serra do Mar region of Rio de Janeiro State (Fig. 1). Despite being considered an area of high susceptibility, the Serra do Mar is occupied by various anthropogenic structures along almost its entire extension, particularly urban districts, creating numerous risk areas. Given this scenario, geological, geotechnical and geomorphological T. D. Nery National Early Warning and Monitoring Center for Natural Disasters, Cachoeira Paulista, Brazil e-mail: tulius.nery@cemaden.gov.br; tuliusdias@usp.br T. D. Nery Graduate Program in Physical Geography, University of Sao Paulo, Sao Paulo, Brazil B. C. Vieira (&) Department of Geography, University of Sao Paulo, Prof. Lineu Prestes Avenue, 338, Cidade Universitaria, Sao Paulo, Brazil e-mail: biancacv@usp.br 1 3 Bull Eng Geol Environ DOI 10.1007/s10064-014-0622-8 studies have been systematically developed since the 1960s (e.g., Costa Nunes 1969; De Ploey and Cruz 1979; Vargas et al. 1986; Wolle and Hachich 1989; Lacerda 2007). Various methods are currently used for the prediction in space and time of shallow landslides. Among them, phys- ically based models present many advantages associated with the physical description of these processes from mathematical equations. Examples of these models include the SHALSTAB model (Montgomery and Dietrich 1994), the dSLAM model (Wu and Sidle 1995), the Stability Index Mapping, or SINMAP, model (Pack et al. 1998) and the TRIGRS model (Baum et al. 2002; Bogaart and Troch 2006). However, for Brazil and especially for the Serra do Mar, the literature still contains few studies using mathe- matical models to assess the susceptibility to landslides or considering these models as a tool for use by public agencies to minimize or even prevent the occupation of these high-risk areas. Thus, physically based mathematical models have the potential to reduce the costs of identifying unstable areas and to improve our understanding of hill slope failure mechanisms in the Serra do Mar, where there are few eld investigations and extremely difcult areas to access because of its steep slopes and dense tropical rain- forest cover. The scant literature that does exist for Brazil regarding such applications of these models includes a study by Guimaraes et al. (2003), who were the rst to use a mathematical model (the SHALSTAB model) to dene the areas of high landslide susceptibility in Rio de Janeiro City. Listo and Vieira (2012) also used such a model to identify highly susceptible urban regions, many of which had already been mapped as high-risk landslide areas. Lopes et al. (2007), studying the Serra do Mar in the state of Sao Paulo, used a regional scale and SINMAP along with a debris ow method to simulate the susceptibility to shallow landslides and the potential for the transformation of debris ow from different rainfall events. Similarly, Gomes et al. (2008) used SHALSTAB to predict shallow landslides and Fig. 1 General mass-wasting that occurred in the Serra do Mar in 2010 (a) and 2011 (b) in Rio de Janeiro State (photographs by Bianca Carvalho Vieira (a) and Nelson Ferreira Fernandes (b)) T. D. Nery, B. C. Vieira 1 3 FLO-2D, another mathematical model, to study the debris ow within two basins located in the coastal ranges of the city of Rio de Janeiro. Vieira et al. (2010) used TRIGRS to evaluate the susceptibility of the area to shallow landslides. Considering its advantages for the prediction of shallow landslides in steep areas during intense rainfall events, the objective of this study was to evaluate the susceptibility to landslides in the Serra do Mar using the SINMAP model. This research is important because even with the hundreds of landslides and the great number of deaths every year, there are few studies using these models to prediction shallow landslides. Study area For this study, the Ultrafertil drainage basin was selected. This basin is located on a stretch of the Serra do Mar in the state of Sao Paulo (Fig. 2) and has an area of 2.5 km 2 with altimetric slopes up to 1,000 m, angles between 30 and 40 and a predominance of convex and rectilinear slopes facing mainly E-SE. This area of the Serra do Mar is supported by Precambrian metamorphic and igneous rocks, migmatite, mica schists, gneisses, and granites that regionally present extremely well-dened structural fea- tures and a primarily NE-SW orientation. Fig. 2 Location of the Ultrafertil basin in the Serra do Mar fault scarp in Sao Paulo Susceptibility to shallow landslides 1 3 The average rainfall for this stretch of the Serra do Mar exceeds 3,300 mm/year and occasionally reaches 4,500 mm, with the highest totals between October and March. The most intense rainfall in the Serra do Mar is usually caused by an interaction between cold fronts coming from the Antarctic polar region and the warm tropical air masses along the Brazilian coast. Furthermore, the rainfall varies spatially with topographical features that increase toward the edge of the plateau, and the highest total rainfall occurs in the higher mountains of the Serra do Mar. The event studied here occurred between January 22 and 23, 1985, with precipitation of approximately 380 mm in 48 h. Landslides were recorded in several basins, including the Ultrafertil basin, in which 1,742 landslides were reg- istered (Fig. 3) according to Lopes et al. (2007). The material washed downhill into the main rivers and caused the formation of debris ows and the ooding of extensive, low-lying areas that were occupied by residential structures and industrial units. The latter land use occurs in the industrial park of Cubatao, which currently contains approximately 23 industrial units. During this same event, an industrial pipe containing ammonia ruptured, causing serious environmental and social damage to the region. Many of the 1985 landslides occurred in the dense, preserved areas of the Atlantic forest (Mata Atlantica), which contains tall species with broad leaves, a quite complex oristic composition, and degraded vegetation because of the pollutants emitted for years by the regional petrochemical industries, especially during the 1970s. In the Serra do Mar, the surface layers are 12 m thick and have a loamy sand texture; a lower layer that is 34 m thick consists of saprolitic soil with a sandy texture. On the mountain slopes located in the lower and middle parts of the Serra do Mar range, the ruptures occur more frequently at the junction between the colluvium/talus and the residual material (Lacerda 2007). On the steeper slopes, thinner layers are in direct contact with the rock, promoting a parallel ow in most cases, which increases the positive pressure of the soil water and consequently causes rupture. However, according to Lacerda (2007), most of the shallow landslides occur because of the loss of suction resulting from the increased hydraulic conductivity with depth, which is promoted by the presence of interconnected fractures that increase the percolation of rainwater from the surface to the weathered rock. Materials and methods Morphological parameters and mapping of landslide scars The morphological parameters (slope angle, aspect, cur- vature and hypsometric features) were derived from a digital terrain model with a resolution of 2 m 2 that was built from topographic maps (1:10,000 scale). To map the scars from the landslides that occurred in 1985, aerial orthophotos at a 1:25,000 scale were obtained from the National Institute of Space Research (INPE). Two types of landslide representation were used in this research: a point-shaped one was used to assist in the validation of the SINMAP mathematical model, and a polygon-shaped one was used to assist in the correlation of the scars with the topographic parameters. In this latter case, the scars were identied based on a visual analysis of the features, adopting the following criteria: scar geometry, absence of vegetation, position on the slope, contour lines and texture analysis. To evaluate the role of the morphological parameters, a correlation analyses between the maps of the Fig. 3 a Mass movements along a stretch of the Serra do Mar in the state of Sao Paulo that occurred during and after intense rainfall in January 1985 (sourced from the Institute for Technological Research of the State of Sao Paulo). b Industrial park that is located in the foothills of the Serra do Mar and often affected by materials descending the slopes and disrupting local activities (photograph by Marcelo F. Gramani) T. D. Nery, B. C. Vieira 1 3 slope angles, aspects, curvatures and hypsometric features and the map of the scars using the number of cells affected by landslides was performed, as proposed by Gao and Maro (2009). Use of the SINMAP model The model developed by Pack et al. (1998) is based on the combination of a stability model and a hydrological model used to dene a stability index (SI) (Eq. 1), which is dened as the probability of a stable slope, assuming a uniform distribution of the parameters on the uncertainty margins; this index ranges from 0 (unstable) to 1 (stable). SI C cosh 1 min Ra Tsinh ; 1
r
tanu sinh 1 The variable a is the specic catchment area (m 2 /m). C is the dimensionless cohesion of the soil and tree roots combined (N/m 2 ), h is the angle of the slope (), and U is the angle of internal friction (). The water/soil density ratio is represented by r, and R/T is the water recharge divided by the soil transmissivity (m 2 /h). These last four parameters are manually input into the model. A value of 1 indicates that any excess above this limit is assigned to one ow over the soil surface. Rainfall data were obtained from a pluviometric post that collected data every 5 min for the Department of Water and Energy of the state of Sao Paulo (Departamento de A
guas e Energia Eletrica do Estado de Sao Paulo
DAEE) and served as the input parameter for the variable R (constant recharge) in the calculation of the T/R ratio. Therefore, in the present study, actual data from January 22 and 23 were used and were separated into three intervals of 6 h each: (1) 0.0000032 m/s; (2) 0.00001 m/s and (3) 0.000036 m/s. The geotechnical and hydrological data that compose the cohesion variables (c r and c s ) (Table 1) and transmis- sivity (T) of the model were taken from work previously performed at the Serra do Mar by Wolle and Carvalho (1994), Amaral (2007), and Mendes (2008). For the hydraulic conductivity, the simulations were based on the values collected in situ by Wolle and Hachich (1989), assuming only one value for the transmissivity (T = 1.3 9 10 -5 m 2 /s). These data were obtained in situ and after testing in the laboratory to evaluate the inltration dynamics within the soil and their role in the occurrence of shallow landslides in the Serra do Mar. From the information in Table 1 and the values obtained from the T/R ratio, 32 simulations were per- formed, changing each parameter relative to the thickness of the soil (1, 1.5, and 3.5 m) in an attempt to nd a better correlation between the areas of greater suscepti- bility and the scar map, and thus facilitate an under- standing of the physical and hydrological disruptions in the Serra do Mar based on the structure model. This article presents the top three scenarios. For each scenario, there was variation in the parameters of cohesion, density, soil thickness, and the T/R ratio: scenario 1 (1 m thick soil), scenario 2 (1.5 m thick soil), and scenario 3 (3.5 m thick soil) (Table 2). Table 1 Geotechnical parameters of the different instrumented areas of the Serra do Mar Local/authors Slo. () Lit. Solo Textura Thick. (m) c d (KN/m 3 ) c (KPa) U () c w (KN/m 3 ) c (KPa) U () Study area/parameters Cubatao (SP) (Wolle and Carvalho 1994) 40 Migmatites Supercial Sand-clay 1 14.3 6.0 34 17.1 1.0 34 Saprolite Sand-or Silt 1 a 2 18.0 12.0 45 19.5 4.0 39 43 Supercial Clay-sand 1 16.5 9.5 40 18.2 1.0 36 Saprolite Sand or Silt 1 a 2 18.5 11.0 45 20.1 3.5 39 Ubatuba (SP) (Mendes 2008) *10 Migmatites Saprolite Sand-silt 14 NI NI NI 28.2 13.0 31.4 Residual Sand-siltclay 1 NI NI NI 27.8 9.5 32.9 *15 Charmockies Residual Sand-clay 1 NI NI NI 27.1 10.0 31.6 Saprolite Sand-clay-silt 7 a 8 NI NI NI 27.6 7.0 40.4 Costa Verde (RJ) (Amaral Junior 2007) SI Biotite Gneiss Residual mature Sand-siltclay 0.1 a 20 13.32 14.5 37 15.56 8.0 32 Residual young Sand-silt 0.2 a 8 14.85 17.5 41 16.98 4.5 42 Saprolite Sand-silt NI 12.5 26.5 32 14.9 10.0 32 Migmatites Residual mature Sand-silt 0.8 a 7 12.72 6.5 42 13.27 5.5 39 Residual young Sand-siltclay 0.5 a 3 11.03 6.5 45 13.45 1.0 42 Saprolite Sand-silt 0.8 a 30 12.42 12.0 34 13.33 9.0 32 Legend: NI no information, Slo slope, Lit lithology, Thick Thickness, c d dry unit weights, c w wet unit weights, c cohesion, U angle of internal friction Susceptibility to shallow landslides 1 3 Results and discussion A total of 216 landslide scars from the 1985 event were mapped in the basin, with a total area of 108,420 m 2 and a sediment volume of approximately 135,525 m 3 . The shal- low landslides were sparse and widespread in the basin, ranging from the gentler slopes closer to the industrial park to the highest parts of the mountain range and the drainage divides. Analysis of morphological parameters The convex and rectilinear slopes with angles between 30 and 50 were more susceptible to shallow landslides (Fig. 4a), conrming the results obtained in the Serra do Mar by other authors, such as De Ploey and Cruz (1979), Wolle and Hachich (1989), and Vieira et al. (2010). The greatest concentration of landslides on the convex slopes can be explained in terms of the differentiated hydrological behavior of these slopes: the convex mor- phology allows for material accumulation, leading to lower shear resistance. In fact, compared with other slope con- gurations, these convex slopes require more rain to increase the saturation level and reduce the stability forces (Reneau and Dietrich 1987). It is believed that the accu- mulation of 380 mm of precipitation in 48 h may have favored the generalized occurrence of these processes along these slopes. The rectilinear and convex slopes facing W-SW had the greatest number of landslides (Fig. 4b). The interference of the slope aspect with the distribution of solar radiation and rain (Gao and Maro 2009) may explain the occurrence of various types of processes according to different moisture levels (Bogaart and Troch 2006). That is, the highest concentration of these processes on the W-SW slopes can be associated with a lower loss of moisture that, in addition to increased weathering activity (Churchill 1982) and a greater deposition of materials, increases the volume of water inside the alteration mantle. The explanation for a signicant occurrence of landslides on the E-facing slopes (Fig. 4b) might include the presence of areas of conver- gence and divergence of ow above the breaking point, such as ephemeral channels that can generate saturation zones above the landslide scar (OLoughlin 1986). Fig. 4 Histograms of the morphological parameters. The landslides occurred on convex and rectilinear slopes with angles greater than 30 (a), with a westward orientation (b), and with altimetric elevations between 200 and 600 m (c) Table 2 Values of the physical and hydrological properties used to simulate the scenarios for the basin Scenarios 35 S1 S2 S T/R [m/hr] Min 46 68 159 Max 142 213 497 Cohesion Min 0.07 0.06 0.15 Max 0.96 0.83 0.43 Friction angleU () Min 34 34 34 Max 39 39 39 Soil density (kg/m 3 ) 1,710 1,350 1,330 Water density (kg/m 3 ) 1,000 1,000 1,000 AS plot 1,000 1,000 1,000 Wetness (%) 20 20 20 Legend: T transmissivity, R constant recharge, S Scenarios T. D. Nery, B. C. Vieira 1 3 Regarding hypsometric features (Fig. 4c), the landslides were concentrated mostly between the altimetric elevations of 200 and 600 m on slopes with angles between 30 and 50 in the areas of intermediate relief, as was also observed by Gritzner et al. (2001). This higher concentration can be associated with the development of a weathering mantle covered by materials transported by rain that consequently changedthe hydrological owinside these materials, resulting in rupture (Dai and Lee 2002). Nevertheless, the high occur- rence may instead be associated with the distribution of the rainfall intensity along the landmass prole, which increased in the direction of the plateau, where there was an increase in the precipitation rate that could increase the soil moisture and consequently reduce the stability forces in these slopes. Stability index The model predicted that 90 % of the landslides would occur at sites classied as having predictive, unstable conditions (Fig. 5). The results showed that in all three of the scenarios, the classes of predictive unstable conditions (lower threshold, upper threshold, and defended) had the highest areal rates, thereby conferring a high susceptibility to shallow landslides under conditions similar to those that occurred in 1985 (Fig. 6). The lower and upper threshold limits encompassed more than 66 % of the basin, characterizing the basin as a region with a high probability of landslides. Of the 216 recorded landslides, the greatest number occurred in areas with lower thresholds and rectilinear slopes. The lower threshold class encompassed the highest percentage of the area ([40 % for all three of the scenar- ios) and the most landslides; however, the highest density of landslides was associated with the upper threshold class for all three of the scenarios. This trend was also observed by Meisina and Scarabelli (2007) and Lopes et al. (2007), who used the SINMAP model, and by Fernandes et al. (2004), who used the similar SHALSTAB model. These Fig. 5 Susceptibility maps for scenarios 1, 2 and 3 Susceptibility to shallow landslides 1 3 areas are mostly associated with slopes greater than 30, which are represented by the middle and upper slopes of the basin, as shown in the morphological parameter ana- lysis with the different geotechnical materials that exhibit different behaviors. Conversely, the classes with predicted stable conditions (stable, moderately stable, and quasi-stable) accounted for less than 30 % of the total area. This value was lower than that found by Pack et al. (1998) and Yilmaz and Keskin (2009), who reported values of 66 % and 88 %, respec- tively. Although they experienced few landslides, these classes showed high levels of instability for slopes between 0 and 30. The highest percentage (6.5 %) of landslides in the predicted stable classes was observed in scenario 3. Most of these disturbances occurred on slopes predisposed to rupture, but due to the characteristics of the model cali- bration, scenario 3 had the lowest probability of landslides. Figure 7 illustrates the relationship among the landslide points, the areas of contribution and the angles of the slopes. The stability index lines dene the boundaries of the regions included in this relationship (slope angle and area of contribution), revealing the landslide points that have potential stability and instability values. For the slope angle, the landslides occurred between 20 and 50, conrming the values found by other authors (e.g., Pack et al. 1998; Lopes et al. 2007; Terhorst and Kreja 2009). For the contribution area, the greatest number of landslides occurred under unsaturated conditions, similar to the results found by Terhorst and Kreja (2009) in the Swabian Alb region of Germany. However, in a region of Hawaii, Deb and El-Kadi (2009) observed that the greatest number of landslides occurred under saturated conditions. According to Wolle and Hachich (1989), the main rupture mechanisms in the Serra do Mar (Sao Paulo) are the loss of soil suction and the decrease in apparent cohesion within unsaturated soils. In the thick soils of the tropics, an increased saturated hydraulic conductivity with depth may establish a vertical downward ow. The most sensitive parameter of this model was the T/R ratio. Other authors, such as Meisina and Scarabelli (2007), observed that cohesion played a more signicant role regarding the percentage of stable and unstable areas. Con- versely, Zaitchik et al. (2003) concluded that hydraulic conductivity and friction angle were the most sensitive parameters during the calibration of the model and that these parameters were responsible for the susceptibility values. Conclusions The SINMAP model showed satisfactory results, predicting approximately 90 % of the landslides that occurred in January 1985, even though the geotechnical values of the soil collected in the basin were not used in this study. Therefore, this model, or even a similar one, is believed to have great value for predicting shallow landslides in the Serra do Mar, which is often affected by these processes, annually causing numerous fatalities and substantial social and environmental damage. Because of the mathematical structure of the SINMAP model and the generation for different scenarios of sus- ceptibility maps that were validated using the scar maps of the shallow landslides from 1985, it was possible to iden- tify certain of the most important parameters in the initi- ation of these types of disturbances in the Serra do Mar. Fig. 6 Histograms showing the areal percentage and the number of landslides (bold square) for each stability index class. The lower threshold class presented the highest percentage of area in all of the scenarios. In scenario 3 (soil depth of 3.5 m), landslides were identied in areas with a low probability of such occurrences. St stable, MS moderately stable, QS quasi-stable, LT lower threshold, UT upper threshold, Unst unstable T. D. Nery, B. C. Vieira 1 3 Currently, other mathematical models based on physical information are being used in the Serra do Mar. In future studies, in addition to using these models, we intend to collect geotechnical and hydrological parameters, especially those that are sensitive for determining the percentage of unstable areas, to improve the accuracy of the susceptibility maps. Fig. 7 Slope area (SA) plots for scenarios 1 (a), 2 (b), and 3 (c) illustrating the relationship among the landslide point, catchment area and slope angle. The stability index lines dene the boundaries of the regions. For scenarios 1 and 2, the landslides were concentrated starting at a slope angle of 20, and for scenario 3, the landslides were concentrated at 30. In all of the scenarios, the landslides occurred in unsaturated areas, and the areas with lower thresholds were more susceptible and experienced more landslides Susceptibility to shallow landslides 1 3 Acknowledgments The authors acknowledge the support of the Sao Paulo Research Foundation (Fundacao de Amparo a` Pesquisa do Estado de Sao PauloFAPESP) for the development of this study and the granting of a Masters thesis. The authors also thank Eymar Silva Sampaio Lopes, Paulina Setti Riedel, Antonio Carlos Colan- gelo, Emerson Galvani, and all of the members of the research group for their contributions and scientic discussions. This manuscript was signicantly improved by the contributions made by anonymous reviewers. 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