SLOPE STABILITY ENGINEERING

VOLUME 1
This Page Intentionally Left Blank
PROCEEDINGS OF THE INTERNATIONAL SYMPOSIUM ON SLOPE STABILITY
ENGImERING - IS-SHIKOKU’99/MATSUYAMA/SHIKOKU/ JAPAN/8- 11 NOVEMBER 1999

Edited by
Norio Yagi
Ehime Universio,Japan
Takuo Yamagami & Jing-Cai Jiang
University of Tokushima,Japan

VOLUME 1

A. A. BALKEMA/ R OTTERDAM BROOKFIELD/ 1999

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 Slope Stability Engineering, Yagi, Yamagami & Jiang 0 1999 Balkema, Rotterdam, ISBN 90 5809 079 5

Table of contents

Preface XIII
Organization xv

Special lecture
Flow-type failure of slopes based on behavior of anisotropically consolidated sand 3
K. Ishihara, YTsukamoto & S Nakayama

Keynote lectures
The limit analysis for slopes: Theory, methods and applications 15
Z Chen
Using limit equilibrium concepts in finite element slope stability analysis 31
D. G. Fredlund & R. E. G.Scoular
Stability of geosynthetic reinforced steep slopes 49
D. Leshchinsky
The mechanisms, causes and remediation of cliff instability on the western coast 67
of the Black Sea
M. Popescu
Design of slope stabilizing piles 83
H. G.Poulos

1 Geological and geotechnical site investigations

Geoenvironmental factors influencing the deterioration of shale in a rockslope 103
A. M. Elleboudy
Weathering mechanism and slope failures of granitic rocks in Southwest Japan 109
-Effect of hydrothermal activities
R. Kitagawa
Site investigation of weathered expansive mudrock slopes: Implications for slope instability 1 15
and slope stabilization
R.J. Mahuruj

V
Investigation of cut slope consisting of serpentinite and schist 121
H. Kitarnura, M.Aoki, TNishikawa, TYarnamoto, M. Suzuki & TUmezaki
Using multibeam sonar surveys for submarine landslide investigations 127
J. Locat, J.KGardner, H. Lee, L. Mayer, J. E. Hughes Clarke & E. Karnrnerer
Automatic measurement of pore water pressure in the hard-rock slope and the sliding 135
weathered-rock slope - Field survey in mountainous region in Shikoku Island, Japan
E.Tamura & S. Matsuka
Field measurement of suction in soil and rainfall in Kagoshima Prefecture 141
R. Kitarnuru, K.Jomoto, K. Yamamoto, TTerachi, H.Abe & T Iryo
Application of acoustic emission method to Shirasu slope monitoring 147
T.Fujiwara, K. Monrna & A. Ishibashi
Acoustic emission technique for monitoring soil and rock slope instability 151
A. Kousteni, R. Hill, N Dixon & J. Kavanagh
Hydraulic fracturing as a mechanism of rapid rock mass slides 157
S. Hasegawa & T Sawadu
Evolution of ridge-top linear depressions and a disintegration process of mountains 163
K. Mokudai & M. Chigira
Geological characteristics of landslides of the soft rock type, Central Japan 169
7:Fujita
Study of configuration, scale and distribution of landslides 175
S. Ueno
Geodynamics and spatial distribution of properties of sea cliff colluvium 181
E. Dembicki & WSubotowicz
A mineralogical study of the mechanism of landslide in the serpentinite belt 187
K.Yokota, R. Yatabe & N. Yagi
Detailed geotechnical study in Modi Khola Hydroelectric Project, Western Nepal 193
VDangol & 7:R. Puudel
Local instability in saturated colluvial slopes in southern Brazil 199
WA. Lacerdu

2 Soil slope stability analyses

A new theory on instability of planar-sliding slope - Stiffness effect instability theory 207
Qin Siqing
Ultimate state of a slope at non-linear unsteady creep and damage 213
SA ElsouJiev
Application of FEM on the basis of elasto-viscoplastic model to landslide problems 219
H. Fujii, S. Nishirnura, T.Hori & K. Shimuda
Coupled excavation analyses of vertical cut and slopes in clay 225
T.Hoshikawa, 2: Nakai & Y Nishi
VI
Effects of a deep excavation on a potentially unstable urban hllside in San Marino 233
G.Gottardi, G.Marchi, L.Tonni & F: Bianchi
Displacements of a slope in the Euganean Hills induced by quarrying 239
S.Cola & RSirnonini
Stability evaluation of sliding failure along thin mudstone deposit due to excavation 245
Y Nakarnura, J. Kojirna, S. Hanagata, K. Narita & YOhne
Appraisal of Bishop’s method of slope stability analysis 249
G.L. Sivakurnar Babu & A. C Buoy
A convenient alternative representation of Taylor’s stability chart 253
R. Baker & YTanaka
Influence of stress-strain curves on safety factors and inter-slice forces in FEM 259
A. Mochizuki, J. Xiong & M. Mikasa
Slope stability analysis considering the deformation of slices 265
YTerado,H. Hazarika, TYarnazaki & H. Hayarnizu
Slope stability analysis using a spring attached to inter-slice planes 27 1
K. Kondo & S. Hayashi
Three-dimensional stability analysis of locally loaded slopes 277
X.Q.Yang, S.X. He & 2.D. Liu
A lower-bound solution of earth pressure of cohesive backfill with inclined slope surface 28 1
M. Luan, 7:Nian, C.E Lee, K.T. Law, K. Ugai & Q.Yang
Shear band formation and propagation in clay slopes 287
L. E.Vallejo
Progressive failure analysis of slopes based on a LEM 293
TYarnagarni,M.Taki, J.-CJiang & S.Yarnabe
Progressive failure analysis based on a method of non-vertical slices 299
TYarnagarni,YA.Khan & J. -C.Jiang
Back analysis of unsaturated shear strength from a circular slope failure 305
J. -CJiang, TYarnagarni & Y Ueta
A back analysis of MC-DP model parameters based on FEM and NLSSQP method 31 1
T.Q.Feng, TYarnagarni & J.-C.Jiang
An FE analysis of anisotropic soil slopes and back analysis for its parameters 3 17
T.0, Feng TYarnagarni & J.-CJiang

3 Rock slope stability analyses

An upper bound wedge failure analysis method 325
ZYChen, YJ.Wang,X.G.Wang & J.Wang
Stability analysis of rockfill dam and retaining wall constructed on dip bedrock 329
S. S Chen & X.S. Fang

VII
Soil-water coupling analysis of progressive failure of cut slope using a strain softening model 333
TAdachi, E Oka, H. Osaki, H. Fukui & E Zhung
A back analysis in assessing the stability of slopes by means of surface measurements 339
S. Sakurai & 7:Nakayama
Numerical simulation of excavation of the permanent ship lock in the Three Gorges Prqject 345
Y Zhang & K. Yin
Numerical simulation of the buckling failure in rock slopes 349
I!Hu & H. -G.Kempfert
Fuzzy-based stability investigation of sliding rock masses 355
NO.Nawari & R. Liang
Stability evaluation of discontinuous rock slope 36 1
K. Kawarnura & M. Nishioka
Earthquake and seepage effects on the mobilised shear strength of closely jointed rock 367
M.J. Pender

4 Effects of rainfall and groundwater

Design chart for cut slope in unsaturated residual soils 375
R. Subrarnaniam & E H.Ali
Factors affecting on water retention characteristic of soils 38 1
K. Kawai, D. Karube & H. Seguchi
Suction profiles and stability of residual soil slopes 387
E. C.Leong, B. K. Low & H. Rahardjo
Effects of perched water table on slope stability in unsaturated soils 393
L. 7:Huat, E H.Ali, S. Mariappan & l? K. Soon
Field suction variation with rainfall on cut slope in weathered sedimentary residual soil 399
L. 7:Huat, E H.Ali & S. Mariappan
Study of slope stability for Pleistocene cemented sandy sediments in Singapore 405
(Old Alluvium)
K. K. Poh, l? B. Ng & K. Orihara
Influence of pore water pressures in partly submerged slopes on the critical pool level 41 1
E.N. Brornhead, A.J. Harris & l? D.J. Watson
Role of pore water and air pressures on slope stability in reservoir for pumped storage 417
power plant
TSato, N.Nishizawa, M. Wakarnatsu,I!Hiraiwa & I. Kurnazaki
Seepage characteristics of decomposed granite soil slope during rainfall 423
S. Sasaki, S.Araki & K. Nishida
Relation between slope stability and groundwater flow caused by rainfalls 429
M. Enoki & A.A. Kokubu

Vlll
Salient aspects of numerical analyses of rainfall induced slope instability 435
C.-H.Wang
Centrifuge model tests and stability analysis on mobilizing process of shear strength 441
of decomposed granite soil slope
S.Yushituk & KOnitsuka
Centrifuge tests on slope failure during water infiltration 447
H. G. B.Allersrna
Reinforcement’s effects in the tank-model prediction of slope failures due to rainfalls 453
M. Shirnizu
Investigation of danger rainfall prediction system for natural and cut slopes 459
H. Miki, A. Fujii & M. Furuta
Predicting ramfall-induced slope failures from moisture content measurement 465
M. Nishigaki, A. Tohari & M. Kornatsu
Analytical study on the slope stability during ramfall and the rainfall indexes 47 1
A. Togari-Ohta, TSugiyama, T Nara & S. Yarnazaki
Evaluation of critical rainfall with logit model 477
I:Sugii, K.Yarnada & T Uno
Strategy for prevention of natural disaster due to slope failure 483
R. Kitarnura, T Iryo, H.Abe, H. Yakabe & K. Yarnarnoto
Relationships between rainfalls and landslides after forest damages by typhoons 489
S. Murata, H. Shibuya & K. Hayashi
Threshold rainfall for Beragala landslide in Sri Lanka 495
A K. Dissanayake, Y Sasaki & N H. Seneviratne
The importance of the groundwater regime studies of unstable slopes - An example 50 1
of investigations on the landslide ‘Plavinac’, Yugoslavia
G. Rasula & M. Rasula
Landslides induced by rainstorm in the Poun area of Chungchongbukdo Province 509
D. Hun & K. Kim
Characteristics of Cretaceous granite slopes that failed during heavy rainfall 515
TYarnarnoto, M. Suzuki, N. Matsurnoto & X Sehara
Seepage analyses of embankments on Tokaido-Shinkansen in long term rainfalls 521
K. Kato & S. Sakajo
Instability analyses of embankments on Tokaido-Shinkansen in heavy rainfalls 527
S. Sakajo & K. Kato
Chemical effect of groundwater from acid rain on slope evolution 533
Z X u & R. Huang
Slope failures triggered by an earthquake and a heavy rain in Chiba 539
S.Yasuda, XYoshida, I:Kobayashi & TMizunaga

IX
Numerical evaluation of the effects of drainage pipes 545
TYamagami, K. Nishida & J.-CJiang
Effects of horizontal drains on ground water level and slope stability 55 1
RCai & K. Ugai

5 Effects of seisrnicity
Collapse of high embankment in the 1994 far-off Sanriku Earthquake 559
KShioi & S. Sutoh
Slope instability of large embankments in residential areas caused by the Hyogoken-Nanbu 565
Earthquake, 1995
T.Kamai, I:Kobayashi & H. Shuzui
Analysis of toppling failure of mountain slope caused by the Hyogoken-NanbuEarthquake 57 1
TOkimura,NYoshida & NTorii
Stress condition and consequence of liquefaction on weathered granitic sands 577
ZOkada, K.Sassa & H. Fukuoka
Effects of density, stress state and shear history on sliding-surfaceliquefaction behavior 583
of sands in ring-shear apparatus
G.Wang & K. Sassa
Real seismic-waveloading ring-shear test on the Nikawa landslide 589
EWWang, K. Sassa & H. Fukuoka
Dynamic properties of fine-grained soils in pre-sheared sliding surfaces 595
M.Yoshimine, R. Kuwano, J. Kuwano & K. Ishihara
Dependence of pore pressure generation on frequency of loading at sliding surface 60 1
D.A. Vankov & K. Sassa
On-line earthquake response tests on embankments founded on saturated sandy deposits 607
T.Fujii, M. Hyodo, I:Nakata, KYahuki & S. Kusakabe
Dynamic centrifuge tests of embankments on sloped ground and their stability analyses 613
J. Koseki, 0.Mutsuo, K. Kondo & S. Nishihara
Evaluation of liquefaction potential for loose minefill slopes 619
€? Kudella
Runout distances of earthquake-inducedlandslides 625
I:Kobayashi
Evaluation of measured vertical and horizontal residual deformation at crest of rockfill dam 63 1
under earthquake
T. Okamoto
Displacements of slopes subjected to seismic loads 637
R. L. Michalowski & L.You
Permanent displacement analysis of circular sliding block during shaking 641
H. R. Razaghi, E.Yanagisawa & M. Kazarna

X
Dynamic analyses of slopes based on a simple strain-softening model of soil 647
A.Wakui & K. Ugai
Slope instability due to rainfall and earthquake 653
K. Shirnada, I3 Fujii, S. Nishirnura, ?:Nishiyarna & ir: Morii
Shaking table tests of concrete block retaining walls 657
S. Mori, ir:Matsuyarna & ?:Ushiro
Shakedown analysis of soil foundations under varied loads 663
M. Luan, Z: Cao & K. Ugai

Author index 669

XI
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 Slope Stability Engineering, Yagi, Yamagami & Jiang (c) 1999 Balkema, Rotterdam, ISBN 90 5809 0795

Preface

It is of a great concern to civil, geotechnical, and environmental engineers to overcome different

problems caused by natural disasters, human errors and geo-environmental problems, whch are
related directly or indirectly to the soil and rock properties. Although significant progress in the field
of geotechmcal engineering has been made in past few decades, there are still a number of problems
that arise in geotechnical analyses, designs, and specifications to prevent the possible damages due
to unexpected disasters like landslides, debris flows, earthquakes, etc. So, figuring out these
problems and tackling them very professionally are the main challenges at present-day world of
geotechnical engineering.
With this objective, the International Symposium on Slope Stability Engineering: Geotechnical
and Geo-environmental Aspects - IS-Shikoku’99 was held at Matsuyama, Ehime from November 8
to 1I , 1999. The symposium was sponsored by the Japanese Geotechnical Society on its 50th
anniversary under the auspices of the technical committee on landslides (TC-11) of the International
Society for Soil Mechanics and Geotechnical Engineering (ISSMGE) and the Japan Landslide
Society. The aim of the symposium was to bring different professionals from different disciplines
and backgrounds together into a place to broaden the knowledge and understand the problems all
over the world from various perspectives.
This symposium covers a broad range of topics such as site investigation, seismic effect, soil
strength parameters, damage assessment, remediation techniques, land development, waste dis-
posal, landslide hazard, simulation, analysis, etc on slope stability engineering. The main themes of
the symposium are as follows:
1. Site investigation;
2. Stability analysis of soil and rock slopes;
3. Effects of seismicity and rainfall;
4. Design strength parameters of natural slopes;
5. Effect of land development;
6. Slope stability of waste materials;
7. Stability of landfills;
8. Stabilization and remedial works;
9. Reinforced steep slopes;
10. Probabilistic slope stability;
1 1. Landslide inventory and landslide hazard zonation;
12. Simulation and analysis of debris flow.
 After reviewing the abstracts and manuscripts of 246 full papers from over 4 0 countries by the
organizingcommittee, a total of 221 papers has been accepted for the presentation in the symposium
and publication in the proceedings volumes.
The chairman, on behalf of the organizing committee, would like to extend his deep gratitude to
the special speaker, Prof. Kenji Ishihara, President of ISSMGE and the keynote speakers, Dr. Zuyu
Chen, Prof. Delwyn G.Fredlund, Prof. Dov Leshchinsky, Prof. Mihail Popescu, and Prof. Harry
G.Poulos. Thanks are also due to the professionals who made this symposium a grand success by
submitting and presenting the papers in different topics in the field of slope stability engineering. All
participants without whom the symposium would not have been a lively discussion forum are
greatly acknowledged for their active participation. Special thanks from the chairman go to all the
session chairpersons and to Prof. Yamagami, Prof. Mochizuki, Prof. Yatabe, Dr Jiang and the
members of local and international advisory committee for their active involvement in accomplish-
ing the symposium.
Finally, the Ministry of Education, Science, Sports, and Culture that financially supported the
symposium under the Grant-in-Aid for publication of Scientific Research Results is highly appre-
ciated.

Norio Yagi
Chairman of the International Symposium
on Slope Stability Engineering - IS-Shlkoku’99
Professor of Ehime University, Japan

November 1999

XIV
 Slope Stability Engineering, Yagi, Yamagami & Jiang 0 1999Balkema, Rotterdam, ISBN 905809 079 5
Organization
INTERNATIONAL ADVISTORY COMMITTEE
Prof. T.Adachi, Japan
Prof. K.Arai, Japan
Prof. A.Asaoka, Japan
Prof. R. Baker, Israel
Dr R. K. Bhandari, India
Prof. C. Bonnard, Switzerland
Prof. E. N. Bromhead, UK
Dr Zuyu Chen, China
Prof. M.Chigira, Japan
Prof. R.Chowdhury, Australia
Prof. D. M.Cruden, Canada
Prof. J. M. Duncan, USA
Prof. M.Enoki, Japan
Prof. R. M. Faure, France
Prof. D.G. Fredlund, Canada
Dr H.FuJita, Japan
Prof. T.Furuya, Japan
Prof. J. N.Hutchinson, UK
Prof. Y. Ichlkawa, Japan
Prof. K. Ishihara, Japan
Prof. H. Kawakami, Japan
Prof. Sang-Kyu Kim, Korea
Prof. T. Kimura, Japan
Prof. R. Kitamura, Japan
Prof. Y. Kobayashi, Japan
Prof. 0.Kusakabe, Japan
Prof. W.A. Lacerda, Brazil
Prof. K.T. Law, Canada
Prof. C. E Lee, Hong Kong
Prof. D. Leshchinsky, USA
Prof. J. Locat, Canada
Prof. M. Maksimovic, Yugoslavia
Prof. T. Matsui, Japan
Prof. R. L. Michalowski, USA
Dr H.Miki, Japan
Prof. T. Mitachi, Japan
Prof. S. Miyauchi, Japan
Prof. H. Nakamura, Japan
Prof. K.Narita, Japan
Prof. M. Nishigaki, Japan
Prof. H.Ochiai, Japan
Prof. Y.Ohrushi, Japan
Prof. H.Ohta, Japan
Prof. K.Okada, Japan
Prof. TOhmura, Japan
Prof. S.Okuzono, Japan
Prof. M. J. Pender, New Zealand
Dr D. J. Petley, UK
Prof. L. Picarelli, Italy
Prof. M. Popescu, Romania
Prof. H.G. Poulos, Australia
Prof. S.Sakurai, Japan
Prof. Y.Sasaki, Japan
Prof. D.Schreiner, South Africa
Prof. R. L. Schuster, USA
Prof. H.Sekiguchi, Japan
Prof. K. Senneset, Norway
Prof. ETatsuoka, Japan
Dr Gongxian Wang, China
Prof. S.G.Wright, USA
Prof. E.Yanagisawa, Japan
Prof. S.Yasuda, Japan
Dr H.Yoshimatsu, Japan
xv
ORGANIZING COMMITTEE
Chairman
Prof. N.Yagi

General Secretary
Prof. T.Yamagami

Secretaries
Dr J.-C. Jiang
Prof. A. Mochizuki
Prof. R.Yatabe

Members
Dr S.Akutagawa Prof. K. Sassa
Dr S. Hasegawa Dr N. Shimizu
K. lshikawa Y. Shono
E Kamada Dr A. Suemine
K. Koumura M.Takeyama
Prof. T. Muro Prof. 1.Towhata
H. Nishda Prof. K.Ugai
Assoc. Prof. M.Ogura M.Yamamoto
Dr H.Ohtsu A.YZiISIanaka

XVI
Special lecture
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 Slope Stability Engineering, Yagi, Yamagami 8 Jiang 0 1999 Balkema, Rotterdam, ISBN 90 5809 079 5

Flow-type failure of slopes based on behavior of anisotropically consolidated

sand

K. Ishihara, YTsukamoto & S. Nakayama

Department of Civil Engineering, Science University oj' Tokyo,Japan

ABSTRACT: Soil deposits in natural slopes are subjected to an initial shear stress as well as confining stress
which are induced by the gravity. To evaluate effects of the initial shear stress on the behaviour of sand
undergoing large deformation, a series of laboratory tests were performed, using the biaxial test apparatus, on
saturated samples of Toyoura sand consolidated anisotropically under various Kc-conditions. The results of the
tests were examined to determine the initial stress conditions distinguishing contractive and dilative behaviour in
undrained application of shear stress. It was found that the major effective principal stress at the time of
anisotropic consolidation is a parameter controlling dilative or contractive behaviour of the sand under otherwise
identical conditions. Based on this conclusion, it was pointed out that the most appropriate way to normalize the
residual strength of anisotropically consolidated sand is by the use of the major principal stress at consolidation.
The outcome of the test results as above was used to address a method or criterion by which to identify whether
or not a given sandy soil deposit under a slope will have a potential to develop the flow type failure with large
deformation.

INTRODUCTION Generally, it is a difficult task to determine the

In the conventional analysis of slope stability, a
potential sliding plane is assumed and the shear stress
expected to occur is compared against the shear
strength that can be mobilized along the sliding plane.
It has been customary to take up the magnitude of
peak shear stress to define the shear strength. In the
case of saturated loose sandy soils, the peak stress is
mobilized at a relatively small shear strain of the order
of 2 - 5%. Thus, even when the peak shear stress is
passed over by some external forces, the resulting
deformation may not be large enough, if there is no
strain-softening taking place in the soils. In this case,
cracking or small amount of deformation may be
manifested on the surface of soil deposits and damage
would be minor.
However, if the soils are loose enough to induce
strain-softening due to contractive nature of
deformation, the shear strain of the order of 10 - 20%
can easily be generated leading to flow type
deformation. In terms of field behaviour, the soil in
the slope is envisaged to move largely downstream
giving rise to destructive damage there. Thus, the
factor of safety against sliding of slopes can be
defined in two ways, namely, (1) the factor of safety
for triggering the slide against the peak strength, and
(2) the factor of safety for the flow failure against the
residual strength.
factor of safety for the slide triggering, because of
uncertainty in quantitatively identifying the slide-
inducing external force to be applied to the soil
element in addition to the gravity-induced shear
stress. This external force could be seismic shaking
or additional weight by rainfall. In contrast, the factor
of safety for the flow slide can be determined rather
easily primarily because the gravity-induced shear
stress is the major driving force to be compared
against the residual strength of the soils, and there is
no need to identify other external forces.
The aim of the present study is to indicate a basic
concept for determining the residual strength for
sandy soils that can be used to determine the factor of
safety for flow type failure of slopes. In this type of
analysis, no matter what is the slide-triggering driving
force, the consequence is recognized as more
important and there is no need to seek for the cause of
the slide. The only force to be considered is the force
induced by the gravity and this makes the analysis
simple and straightforward.
BASIC CONCEPT
For the sake of simplicity, let a potential sliding plane
be located in parallel to the surface of the slope as
illustrated in Figure 1. Then, from the equilibrium of

3
forces amongst the weight of a soil mass W, and Then, given the values of stress components, o,
normal and tangential forces N and S acting on the and z,, as above it is possible to locate a point B in the
potential sliding plane, the stresses o, and T, are diagram of o, and 7, as illustrated in Figure 2.
obtained as The direction of the line OB indicates the angle of
obliquity of stress application, a , or the angle of
CT
N
=-=y HCOS~CX stress mobilization. By drawing a half circle through
, e the point B so that it is tangential to the line OB, it
becomes possible to identify the points of the minor
... (1) and major principal stresses o, and o3on the Mohr
S diagram. Then, from geometrical consideration, the
z, = - = y Hsina. coscx
e following relations are obtained.

1
where y is the unit weight of the soil, a is the angle
of the sliding plane, and H is the height of the soil
mass being considered.
o1= 0 , + (tan

( ~=
3 CT,
+ -lcos

1
+ (tana - -)za
cos a
z, a

I ... (2)

Introducing Eq. (1) into Eq. (2), one obtains

o, = y H( l+sina) ... (3)

o3= y H( 1-sina) 1
Thus, the ratio between the minor and major principal
stresses is obtained as

1-sina
=-
KC= CT~/CT, ... (4)
l+sina

The relation of Eq. (4) is displayed in Figure 3. It is

Figure 1. Forces acting on the soil element above a
sliding plane in a slope.
known that the majority of natural slopes consisting
of relatively soft soils have an angle ranging
approximately between a=O and a=45". Thus, the
ratio, Kc, between the two principal stresses has a
value between 0.2 and 1.0.

Figure 3. Relation between Kc-value and angle of

slope.
Figure 2. Mohr circle to determine 0,and o3from o,
and 7,.

4
BACKGROUND OF LABORATORY TESTS
When attempting to identify mechanism of failure of
soils underneath sloping surface by virtue of
laboratory tests, it has been a usual practice to subject
a soil specimen to the stress changes which are similar
to those expected to take place in the field. The
principle of duplication of in-situ conditions as above
would be executed in the laboratory tests by applying
the principal stress CT, and C T ~under drained conditions
and then by shearing the soil specimen under
undrained conditions. It would be argued that the
undrained conditions may not prevail in shallowly
seated partially saturated soil deposits where sliding
could frequently take place. However, the change in
void ratio of the soil during large deformation leading
to sliding may be deemed not so much appreciable
that the constant volume condition may be maintained
approximately to a tolerable level of accuracy. In
addition, it may as well be assumed that, even though
the soil is partially saturated, the deformation
behaviour is considered to be represented
approximately by that of a fully saturated sample, if
its volume stays little changed.
With the assumptions as above multiple series of
triaxial tests were conducted by subjecting sand
specimens to a stress system with varying Kc-values
defined as
Kc = C T ’ /~c T~ ’ , ~
where o ’ ,and ~ C T ’ ~stands
~ for, respectively, the
effective major and minor principal stresses at the time
of consolidation. After the specimens were
consolidated anisotropically, they were subjected to
shear stress under undrained conditions by increasing
the major principal stress CT].
Figure 4. Typical stress-path and stress-strain relation for loose sand.
5
TYPICAL PATTERN OF DEFORMATION
The typical pattern of undrained deformation of
anisotropically consolidated specimens is
schematically illustrated in Figure 4 in terms of stress
path and stress-strain curve. In Figure 4 (a), the
abscissa indicates the mean principal effective stress
defined by p’=(0’,+20’,)/3 and the ordinate
represents the shear stress defined by q In
Figure 4, point A indicates an initial state of Kc-
consolidation whereupon undrained shear stress
application starts. When the specimen is loose, it
shows an increase in shear stress, q, to a point B at
peak strength and then a decrease down to a point C
corresponding to the phase transformation. The bent-
over in the stress path takes place at point C and the
shear stress increases to a point D where large
deformation starts to occur without any change in the
effective mean stress p’ and shear stress q. This state
is called the steady-state. When the specimen is
loose, the minimum shear stress is encountered,
concomitant with fairly large deformation, at point C
where the phase transformation take place from
contractive to dilative behaviour. Thus, the residual
strength should be defined by the shear stress qas
which is mobilized at point C. The residual strength
thus defined is called the strength at quasi-steady
state.
When the specimen is medium dense to dense, the
stress drop does not appear and the shear stress at the
phase transformation does not produce large
deformation. In such a case, the residual strength
should be defined as the shear stress mobilized at the
steady-state, namely the point D.
In the present study, attention will be drawn to the
state of stress at the quasi-steady state, that is, the
point C in Figure 4. No matter what is the strength at
the steady state at point D, of practical importance in
Figure 5. Stress path and stress-strain relation of Figure 7. Stress path and stress-strain relation of
anisotropically consolidated sand with Kc=0.5. anisotropically consolidated sand with Kc=0.7.

Figure 6. Stress path and stress-strain relation of Figure 8. Stress path and stress-strain relation of
anisotropically consolidated sand with Kc=0.6. isotropically consolidated sand with Kc=l .O.

6
loose sands would be the shear stress that can be CONSIDERATION FOR TEST RESULTS
mobilized at the point C in the state of phase
transformation. In t h s context, the strength at the It has been shown by Chern (1985), and, Vaid -
ultimate steady state is beyond the scope of the Chern (1985) that the relation between the void ratio
present study . and the minor effective stress at phase transformation
G’,,is determined almost uniquely irrespective of the
Kc-condition at the time of anisotropic consolidation.
OUTCOME OF TESTS This conclusion has been proved to be valid as well
for Toyoura sand as indicated by the data shown in
The results of undrained compression tests on Figure 9 where four test data are plotted for the cases
samples with void ratios ranging between 0.882 and of K,=0.5, 0.6 and 0.7. The specimens with an
0.993 are displayed in Figure 5 where the shear stress initial void ratio of ei=0.892 were consolidated to
-
q=(o,’-o,’)/2 is plotted versus the effective vertical stresses of o’,, =60, 70 and 12OkPa and
confining stress defined as p=(o,’+o,’)/2. The sheared undrained in the triaxial compression mode.
saturated samples were consolidated with a vertical
stress of oI,’=196kPa and a lateral stress of
o,,’=98kPa producing an initial state of Kc=0.5. It
may be seen in Figures 5(a) and 5(b) that the dilatant
behaviour is exhibited when the sample is prepared
with a void ratio less than about 0.90, but otherwise
the sample is contractive. It is to be noticed that the
sample with e=0.912 has reached a steady-state with a
shear stress of q=30kPa which is smaller than the
initially applied shear stress of q=SOkPa. It is seen in
Figure 5(b) that large deformation began to occur at
an early stage of load application and continues
further until an axial strain of 20% developed. The
smallness of the shear stress at the quasi-steady state
as compared to the shear stress at the outset would be
regarded as a criterion for an unstable condition where
flow-type deformation could be triggered if the peak
shear stress is passed over by application of a slight
agitation at the beginning.
Another series of tests with the same initial lateral
stress of 03,’=98kPa but with an increased Kc-value
of 0.6 is demonstrated in Figure 6 for samples with
various void ratios where the general tendency is seen
to be the same as the results of the tests shown in Figure 9. Relation between void ratio and major
Figure 5. Still other series of the tests with a further principal stress G’,, at the state of phase
increased value of Kc are displayed in Figure 7 where transformation.
it may be noted that the sample with a void ratio of
0.900 has reached a steady-state where the shear
stress is about q=SOkPa which is much larger than The minor effective stress G ’ ~ , at phase
the initial shear stress of q=20kPa. In such a transformation obtained in the tests was multiplied by
condition, the flow type deformation would not be a factor, ( 1+sin$,)/( 1-sin$,), to obtain the
induced because of the gain in shear strength as corresponding major principal stress, o’,,, and this
compared to the initially applied shear stress. The last value of is plotted versus the void ratio in Figure
series of the tests with Kc=l.O are demonstrated in 9, together with the consolidation curve for the initial
Figure 8 where it is apparently noted that the void ratio of 0.892. It was then possible to draw a
specimen with e=0.884 exhibits delative behaviour. curve amongst the data points to establish a
In comparison amongst the cases of Kc=0.5 through correlation between the void ratio and as indicated
1.0, it is noted that the sample changes its behaviour in Figure 9. Note that there are some scatters in the
from contractive to dilative with increasing Kc-values data, but the scatters become less and less as the
even if the void ratio is kept at a constant value of consolidation pressure o’,, becomes large. It may be
e=0.900. This means that, with an increasing degree seen in Figure 9 that for the two specimens with
of anisotropy at the time of consolidation, the sample o’ ,=60 and 70kPa, dilative responses were observed
becomes more contractive and susceptible to throughout shear stress application, but for other two
triggering of the flow failure. tests with o’ 120kPa, specimens exhibited
contractive behaviour with limited deformation.

7
 Figure 10. Plots of initial states of specimens in terms of void ratio and ollC
Line for anisotropically consolidated sand.
Thus, the threshold condition differentiating between
contractive and dilative behaviour would be obtained
as marked in the diagram of Figure 9. In looking at
the diagram in Figure 9, it is to be noticed that a
unique set of curves are obtained for the consolidation
and phase transformation, if the effective major
principal stress, G’I c and G’ are used to plot the
test data of Kc - consolidated samples. Thus, it may
be mentioned that, the deformation behaviour of Kc -
consolidated sand is dominated by the effective major
principal stress o’l.
In order to examine the characteristic features of
undrained deformation as above, the major principal
stress c f I C at consolidation is plotted in Figure 10 for
each of the test results with varying Kc-values. Note
that each point in the figure indicates the void ratio
and o’lc at initial stages before application of
undrained shearing. It may be seen in Figure 10 that
the Initial Dividing Line (ID-line) defined as a
threshold curve differentiating between conditions of
flow and non-flow can be established uniquely for
anisotropically consolidated sample, if 0 ,1c is chosen
as a parameter to indicate confinement of the sample at
the initial state. Superimposed in Figure 10 is the
quasi-steady state line established previously in
Figure 9. According to the study by Kato et al.
(1999), the QSS-line was shown to be determined
uniquely also for anisotropically consolidated sand, if
dIC is chosen as a parameter to indicate initial
confinement.
8
to determine the Initial Dividng
RESIDUAL STRENGTH OF ANISOTROPICALLY
CONSOLIDATED SAND
It has been customary to define the residual strength,
Sus, by referring to the minimum shear stress at the
QSS which is mobilized at the state of phase
transformation for sands exhibiting contractive
behaviour. By denoting the deviator stress at this
state by qs=o’1s-o’3s, the residual strength is
expressed as (Ishihara, 1996, p. 268)
4 M
sus = cos@ = -cos@ .p‘
2 2 s s
... (6)
M=- 6sin@,
3 - sin@,
where p’s is the confining stress at the quasi-steady
state as defined by ps’=(o’Is+20’,,)/3 and M is a
parameter related with the angle of phase
transformation in the p’-q plot. When normalizing the
residual strength, Sus, there are three methods that are
conceived to properly represent the strength. In the
previous study (Ishihara, 1993) dealing with
isotropically consolidated samples of sands, the mean
effective stress at the time of consolidation,
p’c=(~’lc+20’3c)/3, has been used as a variable to
represent the degree of confinement at the state of
consolidation. However, when dealing with the 11 (a). Those data from denser samples exhibiting
anisotropically consolidated samples of sand, it may dilative behaviour are displayed with open circles and
not be convenient to utilize the mean effective stress those shown by solid circles indicate that samples
p,'. The other options would be to adopt the exhibited contractive behaviour. The boundary
confining stress fjC=(o',,+ci',,)/2 or to use the major separating conditions of contractive and dilative
effective confining stress o',,.The three options are behaviour is indicated by a vertical straight line in
summarized as follows. Figure 11 (a). It can be seen that the threshold initial
state ratio differentiating between contractive and
dilative behaviour remains almost unchanged with
0' 1c + 2 d 3c
P'C' variation of Kc-values. Thus, it is considered
3 '
appropriate to assume that the threshold initial state
ratio, r,', takes a constant value which is equal to
- 61, + d 3 c ... (7) rc'= 1.2 for Toyoura sand.
Pc =
The same data set is expressed alternatively in
Figure ll(b) now in terms of the Kc-value plotted
0' IC = d 1 c
~
versus the initial state ratio, ic, defined by Eq. (9). It
may be seen that the threshold value of fctends to
increase with an increasing value of K ~ = o ' ~ c / o ' , ~ .
Using the three confining stresses, the normalized The other approach was adopted to arrange the data
residual strength is obtained variously as follows. set in terms of the initial state ratio, rc=pc'/ps',
defined by Eq. (8). The data plotted in Figure 1l(c)
sus - M 1 versus the Kc-value indicate as well that the threshold
-- -cos$,
P'c 2
-
r, 1 r,-value differentiating conditions between contractive
and dilative behaviour tends to increase with
increasing Kc-values. It is to be noticed in Figure
i 1O(c) that the value of r,=2.1 corresponding to
Kc=l.O condition is approximately equal to the value
of r,=2.0 determined in the previous study (Ishihara,
1993).

I
Based on the observation as above, it may be
assumed that the initial state ratio, r,', defined by Eq.
... (9) (10) is to be taken as a fundamental parameter to
indicate the threshold condition between the
contractiveness and dilativeness of sand no matter
whatever the anisotropic condition would be at the
initial state. It may also be concluded that for
-
Toyoura sand the threshold initial state ratio takes a
value of r,'=1.2 for all the Kc-conditions employed in
... (10) the tests.
The relationship between rc', ?,and r, can be
- derived from their definitions as follows,

r 1
The ratio of the confining stress at the initial state to +
C = - (1 2Kc)(2M + 3)
that at the quasi-steady state, rc, was introduced in the rc' 9
previous study (Ishihara, 1999, p269) as an important ... (1 1)
parameter to represent the degree of contractiveness in -
2M+3
undrained loading on isotropically consolidated sand. = (1 + Kc)-
It was referred to as the initial state ratio. The initial rc M+6
state ratio ?,and r,' are newly introduced in the where
present study as defined by Eqs. (9) and (10).
In order to examine effects of Kc-consolidation on 3(0' 1s-63s 1 - 6sin Qs
M=
the value of the initial state ratio, the effective (0' +2d3, ) 3 -sin$,
confining stress at the state of phase transformation
was read off from all the test data such as those
shown in Figures 5 through 8. The value of The results of extensive tests in the previous studies
rc'=o,,'/ols' as defined by Eq. (10) was calculated (Ishihara, 1993) have shown that for Toyoura sand
first for all the test data on Toyoura sand and plotted the value of M takes a value of 1.24 and Qs=31" . In
versus the value of Kc =o,c'/~,c'as shown in Figure the subsequent study, this value proved to be valid as

9
well for anisotropically consolidated samples of It has been known in the above that the threshold
Toyoura sand with various Kc-values. Introducing initial state ratio rc’=o,c’/oIs’takes a value of rc7=l.2,
this value into Eq. (1 l), one obtains as demonstrated in Figure 11(a). Introducing this
value, Eq. (12) can be rewritten as,
2=0.61(1+2Kc)
rc = 0.73( 1+ 2Kc)
rc‘
-
... (12) 1
J
. . . ( 13)
% = 0.76( I + Kc) ~
TC =0.91(1+Kc)
rC

Figure 1 1. Relation between Kc-value and variously Figure 12. Relation between Kc-value and variously
defined initial state ratios. defined normalized residual strength.

10
 These relations are displayed in Figures 1 l(b) and magnitude of the residual strength is equal to or
1 I(c). It may be seen that the relations of Eq. (13) are smaller than that of the shear stress induced by the
considered to hold true with a reasonable level of gravity force. It is to be mentioned here that, no
coincidence to mark the boundary lines differentiating matter whatever may be the genetic cause of the slide,
between conditions of contractive and dilative the gravity-induced shear stress would be the main
behaviour of Toyoura sand, if the initial state ratio, rc force driving the soils mass moving downhills. If the
and ?,are to be used to obtain the normalized residual soil deposit is in a loose state exhibiting the
strength through the use of Eqs. (8), (9) and (10). contractive behaviour with a residual strength which
The values of the normalized residual strength can is smaller than the gravity-induced shear stress, then
be determined for all the test data obtained in the the soil mass would continue to move downwards
present study based on the three expressions indicated leading to the flow-type of slide.
by Eqs. (8) (9) and (10). The normalized residual As mentioned above, the degree of susceptibility to
strength obtained using Eq. (10) is displayed in the flow slide depends also on the initial state of shear
Figure 12(a). Since the threshold value of rc’ is stress as expressed in terms of the Kc-values. Thus,
known to take a constant value of 1.2, the normalized it would be of interest to examine how the initial state
residual strength is determined uniquely independent will affect the potential for the flow slide if the soil is
of the Kc-value. As indicated in Figure 12 (a), the in the initial state under the slope as illustrated in
normalized residual strength takes a threshold value of Figure 1.
Sus/0’,,=0.24 which is the upper limit amongst a
number of data corresponding to the condition
fC 2 1.2. It is to be noticed that the test data indicated
by open circles all belong to the state of phase
transformation in dilative samples and the normalized
residual strength in this region is not the minimum
value of the strength.
The ultimate strength in the region of fc51.2
needs to be determined by considering the ultimate
state (steady state in dilating samples). The ultimate
strength at the steady state in the dilative sand is
generally higher and beyond the scope of the present
study .
The normalized residual strength Sus/p’, and
Sus/pc determined by Eqs. (8) and (9), respectively,
is also demonstrated in Figure 12. The threshold
value of the strength bounding the upper limit of any
of the strength values in contractive sand is obtained
by simply introducing Eq. (13) into Eqs. (8) and (9),
as follows.

S u s / d I c= 0.24

0.48
1 Figure 13. Residual strength versus the gravity-
induced initial stress.

s u s / Pc = ... (14)
0.72
S,,/p‘ = ____
1 + 2Kc 1 and 0.92 1, the value of shear stress qQsat the state of
The relations of Eq. (14) are also displayed in
Figures 12(b) and 12(c) where it may be seen that the
normalized residual strength as determined by E¶.( 14)
could represent the upper limit of the strengths if the
residual strength is to be normalized by p’, and P,.
POTENTIAL FOR FLOW SLIDE
As mentioned in the foregoing, the flow-type failure
will be induced in loose sandy deposits, if the
For each of the results of the tests on loose
samples with void ratios ranging between e=0.880
phase transformation was read off and its ratio to the
initially applied shear stress qo was obtained as
plotted in the ordinate of the diagram in Figure 13.
The definition of qQsand qo is illustrated in the inset
of Figure 13. Plotted in the abscissa of Figure 13 is
the Kc-value in each of the anisotropically
consolidated sample. Also plotted in the figure in the
value of the slope angle, a, as obtained from the chart
in Figure 3. It may be mentioned that if the ratio,
qQs/qOis less than unity, there would be a potential for
the flow-type slide being induced in the soil and
otherwise the soil will be safe and free from being

11
involved in the catastrophc slide due to flow-type
deformation. Interpreted in this context, it may be
inferred from the data in Figure 13 that , if the
Toyoura sand exists in a slope with a void ratio of
e=0.880 and 0.921, the slope with an angle of
inclination greater than about 12.5” (Kc 50.65) would
be considered to have a danger of being involved in
the flow slide. It is to be noticed that the relation as
shown in Figure 13 depends upon the density and
material properties of sandy soils and more test data
will need to be accumulated before any conclusion is
drawn.
Okuhara, students of the Civil Engineering
Department, Science University of Tokyo. The
authors wish to express their gratitude to these
persons.
REFERENCES
Chern, J. C. 1985. Undrained Response of Saturated
Sands with Emphasis on Liquefaction and
Cyclic Mobility. Ph. D. Thesis, University of
British Columbia, Vancouver.

Ishihara, K. 1993. Liquefaction and Flow F d u r e

CONCLUSIONS during Earthquakes. Geotechnique, Vol. 32,
NO. 3 : 351 -415.
A series of undrained triaxial compression tests were
conducted on saturated specimens of Toyoura sand Ishihara, K. 1996. Soil Behaviour in Earthquake
with various densities to investigate effects of Geotechnics. Oxford University Press.
anisotropic consolidation on undrained behaviour
distinguishing between contractive and dilative Kato, S., K. Ishihara & I. Towhata 1999. Undrained
characteristics. Shear Characteristics of Saturated Sand under
The outcome of the tests indicated that the major Anisotropic Consolidation. submitted to Soils
principal stress at the time of anisotropic and Foundations.
consolidation is a governing factor to uniquely
determine the initial dividing line and quasi-steady Vaid. Y. P. & J. C. Chern 1985. Cyclic and
state line in the plot of void ratio and confining Monotonic Undrained Response of Saturated
stresses. This means that neither the mean principal Sands. Advances in the Art of Testing Soils
stress defined by p’=(o’,,+2o’,,)/3 nor under Cyclic Conditions, Proc. ASCE
-
p=(o’1c+o’3c)/2is an appropriate parameter to Convention in Detroit, Michigan: 120 - 147.
specify the initial state of confinement in the
consolidated sand.
Based on the above conclusion, the residual
strength of the sand normalized each to different initial
stresses, i.e., o’],,p’ and Tj, was examined, with the
result that the normalization by oYlcis most
appropriate to define the normalized residual strength.
It was also shown that the residual strength
normalized by o ’ ,takes
~ a value of 0.24 as an upper
lirmt beyond which the residual strength can not be
defined because of the sand becoming dilative with
increasing density.
To evaluate whether the Kc-consolidated sand is
susceptible to flow-type failure, the value of residual
strength was compared with the shear stress applied at
the time of the anisotropic consolidation for loose
samples with a void ratio between e=0.880 and
0.921. The outcome of such assessment indicated
that for a loose deposit of Toyoura sand, there would
be a potential for the flow failure to be triggered, if the
angle of slope becomes greater than 12.5” and
otherwise there would be no danger for such
catastrophic failure.

ACKNOWLEDGMENTS

The laboratory tests described herein were performed

by the help of Mr. T. Yoshimura and Mr. M.

12
Keynote lectures
This Page Intentionally Left Blank
 Slope Stability Engineering, Yagi, Yamagami & Jiang (01999 Balkema, Rotterdam, ISBN 90 5809 079 5

The limit analysis for slopes: Theory, methods and applications

Zuyu Chen
China Institute of WaterResources und Hydropower Research, Beijing, People’s Republic of Chinu

ABSTRACT: The solution of a slope stability problem can be approached by its least upper bound and
maximum lower bound. The limit equilibrium methods that employ vertical slices, such as those proposed by
Bishop (1955), Morgenstern and Price (1965), imply a lower bound of the factor of safety. Those that employ
slices with inclined interfaces, such the methods proposed by Sarma (1979), Donald and Chen (1997), give an
upper bound approach to the stability analysis. In most cases the gap between the two bounds is very small
and the rigorous solutions are indeed obtainable. However, care must be taken of the possible two directions
of shear between the adjacent slices when the upper bound approach is used. The concept of upper bound and
lower bound principles has been extended to wedge slide analysis. A number of case histories regarding the
slope engineering of China’s hydropower construction, including those of the Three Gorges and Xiaolangdi
projects, have been reviewed which indicated that an understanding of the Bound Theorems will help to
obtain reliable and economical solutions to slope stability problems.

1INTRODUCTION application of the theory to practical geotechnical

The limit equilibrium method, or in a broader sense,
the limit analysis method (Chen, 1975), is an
approach that has been extensively used in solving
various practical problems concerned with slope
stability analysis. In spite of its successfbl
applications in geotechnical engineering for both
soil and rock slopes there have been some critical
issues needed to be discussed.
The limit equilibrium method has been regarded
sometimes as an empirical approach since some
assumptions were introduced when establishing the
governing equations and since the displacement of
the soil or rock mass is not properly considered in
the method.
Another issue related to this method is that the
method is well developed and understood. More
work in updating the method seems not to be highly
demanded.
As a branch of applied science, Soil Mechanics
and Rock Mechanics benefit from the recent
developments in the Classic Mechanics and
Computer Science. The former offers a theoretical
background, such as the upper bound and lower
bound theorems of Plasticity, which enables us to
establish a modern system of limit analysis based on
the traditional method of slices. The latter makes the
problems possible.
In this paper, the author wishes to give a general
review of the theoretical background of the limit
analysis method, demonstrate its accuracy, bring
some critical issues that have not yet been discussed
in literature and report its successhl applications in
some important projects in China.
2THEORETICAL BACKGROUND
2.1 Fundamentals
The procedures of solving slope stability problems is
similar to that for solid mechanics. For a specified
load system, it is required to find a stress fielder,,,
and its associated displacement field U,, which
satisfy the following conditions (expressed in
tensors).
(1) Force equilibrium
nq., = *,
with the boundary conditions:

15
in which W, is the body force, T, the tractions in the stability problems. However, rock mass is highly
boundary S and nl is the directional derivatives of the discontinuous, non-homogeneous, anisotropic and
surface S. nonlinear, which exhibits complicated deformation
The force equilibrium conditions can be behavior at failure, such as dilatancy, strain
expressed in a formulation employing the virtual softening and large displacements, Finding the
work principle. solution by some simplified methods is an approach
actually employed by many practitioners in their
I, crJ.i., dv = W , . ri, dv +IF,
U, LJS (2.3) consulting work.

where li is a compatible displacement increment

field assigned on each force. The left side of (2.3) is
sometimes called energy dissipation.

(2) Compatible displacement filed

A compatible displacement filed requires that the
strain at any point follows the definition:

(3) Constitutive law

The constitutive law relates the force equilibrium
and deformation compatibility requirements and
represents the material behavior. It includes both
deformation and strength requirements.

where Cllk,is a matrix representing elastic or elasto-

plastic relationships expressed in tensors. For Eq.
(2.6), Mohr-Coulumn' s failure criterion is generally
employed, which states as

,r - o,,ig$ - c 4 0 (2.7)

or

where on and 'tr are normal and shear strength on

the failure surface, while c and 4, shear strength
parameters respectively. For rock and soil material,
we also restrict the presence of tensile stress, i. e.,

20 (2.9)
FIG. 2.1 Slope stability analysis by an upper bound approach.
where 0 3 is the minor Principle stress at any Point of (a) a general case; (b) the multi-slice failure mode: (3) the
the media. multi-block failure mode.

2.2 The upper bound and lower. borrnd theorems of

Plasiiciiy
Satisfying all the conditions stated in Section 2.1
will lead to a real or rigorous solution to slope
(1) The lower bound theorem
The lower bound approach starts from the force
equilibrium condition and states that any stress field
that satisfies Eq. (2.1). (2.2) and (2.7) or (2.8) will

16
be associated with an external load r
that is lower
than or equal to the real load that brings the
failure.
(2) The lower bound theorem
The upper bound approach starts from an
increment of displacement, generally referred to as
velocity U,, , in the plastic zone Q* and the slip
surface r*.It states that the load calculated by (2.3)
and (2.8) will be either greater than or equal to the
real load associated with a real failure mechanism Q
and r (Refer to Fig. 2.1 (a)). The left part of Eq. (2.3)
consists of two parts, becoming
L o ~.zi,,JdQ+
, ~ IdD=dW;.Uldv+IT,zi,ds (2.10)
where D is the energy dissipation developed on the
slip surface r.
The limit analysis renders the solution by
approaching the real ultimate load from lower bound
and the upper bound, trying to find the least upper
bound and the maximum lower bound. If the
difference between the two bounds is small, we may
conclude that the rigorous solution is actually
obtained. The advent and rapid development of
computers and the associated various numerical
algorithms have enabled a practicable procedure to
find the extreme for geotechnical problems and
confirm that the two bounds are indeed very close.
In explaining this concept, Pan Jiazheng (1980)
summarized the following principles:
(1) Among many possible slip surfaces, the real
one offers the minimum resistance against failure
( Principle of minimum);
(2) For a specified slip surface, the stress in the
failure mass as well on the slip surface will be
reorganized to develop the maximum resistance
against failure ( Principle of maximum).
The author has given a formal demonstration to
Pan’s principle based on the Bound Theorems of
Plasticity and Drucker’s postulates (Chen, 1998). In
fact, Pan’s Principle is identical to the Bound
Theorems but expressed in a more understandable
way.
Following the Bound Theorems or Pan’s
Principles, performing slope stability analysis
generally includes the following two steps:
(1) For a specified failure mechanism, find a
stress distribution that satisfies Eq. (2.1) with the
constraints of (2.7) or (2.8), and search for a
distribution that offers the maximum value of factor
of safety.
(2) Among all possible failure mechanism, find
the one that has the minimum factor of safety.
17
2.3 Definition ofthe factor of safety
Traditionally, the theorems of Plasticity employ a
loading factor q that brings a structure to failure.
Donald and Chen (1997) discussed the unique and
monotonic relationship between the loading factor 7
and factor of safety F which, in order to bring the
structure to failure, reduces the available shear
strength parameters to new values as
C, =CIF (2.11)
tanp, = tanp, I F (2.12)
The minimum and maximum loading factors are
directly related to the minimum and maximum factor
of safety respectively. Therefore, all the statements
related to the bound Theorems can be expressed in
terms of factor of safety.
In the following presentations, the subscription
‘e’ appeared for all variables would invariably mean
that the related c and 4 values are reduced by (2.1 l),
(2.12).
2.4 Significance ofthe Bound Theorems
Before proceeding with the details, we present the
following three examples indicating that a proper
implementation of the bound theory will help us find
the solution in a very simple way with high accuracy.
Further more, it will offer better understanding to
some basic rock mechanics concepts which
otherwise could hardly be well interpreted.
Example I The upper bound approach used for
solving structural problems.
Fig. 2.2 shows an example taken from the
textbook (Wang, et. al, 1992). The frame is subjected
to a set of external load. Although modern
Mechanics of Structure has provided well defined
methods to obtain the ultimate external load that
brings the structure to failure, use of the Bound
Theorems could lead to the following very simple
and direct solution.
We know that the structure collapses in a failure
mode that involves 4 hinges. Fig. 2.2 shows 4
possible such modes. For each of the failure modes,
we assign a virtual rotation 8 and establish the
equation for energy and work balance. For example,
in mode (a), a virtual rotation 8 will cause the
external vertical load 2P to do work with a
magnitude of 10, and develop an internal energy
dissipation 011 hinges 2,3,4. Equating the work and
energy dissipation gives
which leads to
 Similarly, the ultimate loads for mode (b), (c), (d)
are P = M/21 ,P = 5 M/81, P = 5M/41 respectively.
According to the upper bound theorem, the real
ultimate load is the one that gives the lowest P,
which is mode (b) with P = M/21.
Performing the rigorous procedures of Structural
Mechanics will give the same solution but in a much
complicated way. This example indicates that if we
are only interested in the ultimate loads and do not
care about the failure process and the information
about the stress and deformation during loading,
there exists a straight forward and easy way to
obtained the solution. This concept has been adopted
to solve slope stability analysis problems as shown
in the next example.

Examzple 2 A classical problem with the closed

form solution.
Fig. 2.3 shows uniform slope subjected to a
vertical surface load. Sokolovski (1954) gave a
closed-form solution with the assumption that the
weight of the soil is neglected.-For this particular
example in which c=98 kPa, $=30", the closed-form
solution for the ultimate load T is 111.44 kPa.
Associated with this load, we started with a four
slice mechanism as shown in Fig. 2.3(a). Using
Sarma's method, it is easy to find that the value of
factor of safety is F=l.047. Sarma's method assumes
that failure develops on both the slip surface and the
inclined inter-slice faces. Therefore this solution can
be regarded as the one that realizes Pan's principle
of maximum. Following Pan's principle of
minimum, we tried to find a failure mode that gives
the minimum value of F as shown in Fig. 2.3(b) with
a solution F,, =1.013. If the failure mass is divided
into 16 slices, we obtained a failure mode almost
identical to the one suggested by the closed-form FIG. 2.2 An example explaining a simple way to solve the
solution as shown in Fig. 2.3(c), associated with F,], ultimate loads using the upper bound theorem
= 1.006.
It is clear that with the theoretical support of the
Bound Theorems, we are able to offer this example a
solution for the ultimate load as accurate as the
close-form solution.

FIG. 2.3 Example 2, an example describing the upper bound approach. (a) A four slice failure mode, initial estimate, F,=1.047; (b)
Results of the optimization search, F,"=l.013; (c) Result of the optimization search using 16 slices, F,= 1.006.

18
 Examule 3 An issue regarding the wedge failure
analysis
Fig, 2.4 shows the forces applied on the two
failure surfaces of a typical wedge. When
establishing the force equilibrium equations, we
noticed that the resultant forces PI and P,applied on
the two failure surfaces involve six unknowns, i.e.,
their components in XJ,Z .directions. The factor of
safety adds one more. The number of available force
equilibrium equations for the wedge block is three.
Mohr-Coulumn failure criterion on the failure
surfaces added another two equations. Therefore,
two assumptions must be made to render the
problem statically determinate. The traditional
method presented in Textbook implies an
assumption that the shear forces on the failure
surfaces are parallel to the line of intersection of the Fig. 2.4 The wedge failure analysis, (a) Sketch; (2) Forces
two failure surfaces. Pan (1980) argued on the applied on the two failure surfaces: (3) Co-ordinate system.
theoretical background of making such assumptions.
H e believed that among all the solutions satisfiing
force equilibrium equations. the real solution should
be related to the one that gives the maximum factor
of safety. It is after the observation of this critical
issue Pan put forward his Principles of Maximum
and Minimum.
On a separate paper published in this Symposium
Proceedings (Chen et. al. 1999), the author and his
associates presented an example which showed that
the factors of safety obtained by the conventional
and the upper bound approaches were 0.870 and
1.136 respectively. This indicates that even in a very
simple area of rock mechanics, there are still some Fig. 2.5 Search for the critical failure mode by the method of
fundamental concepts for which a critical study is optimization, 1: the original estimated ; 2. the critical
needed.
To simulate this curve, we connect these points
2.5 Numerical supports - the method of optimization by either straight lines or smooth curves. Once this
Use of the Bound Theorems or Pan's Principles discretization mode is specified, factor of safety can
essentially leads to a mathematical problem of be expressed as a function of x,,y,, x,, y,, ... .xi,,y,, In
finding the minimum of the factor of safety, which is the upper bound method, the inclination of an
associated with the input geometry of the failure interface 6, should also be included in the variable.
mode, given the strength parameters for the material We have
The method of optimization renders a powerfbl tool
to find the minimum for geotechnical problems that
involve complicated slope profiles and material
properties. We start with an initial estimated failure mode,
The task of an optimization operation is to find represented by A,,A2,....,A,, and 6,, 62,..., 6v,,which is
F,,, the minimum of the objective function F associated with an initial value of F.Implementing
associated with the variable ZT=(z,,z2,...,z,J which the optimization routine, we eventually obtained a
represents the failure mode. new mode represented by B',,B,,....,Bi,( refer to Fig.
In slope stability problems, the slip surfacey(x) is 2.5, n1=6 here), and a new set of 6,. 62,..., 6,,
discretized by ni number of points A,, A2,,..., A,, associated with the minimum value of F.
(Fig. 2.5), whose coordinate values are ZI(i=l,2, A variety of optimization methods are available
... m): (Celestino and Duncan, 1981; Chen and Shao,
1988). Chen and Shao (1988) discussed the
applications of the Simplex method, Negative
(2.13) gradient method and DFP method. While these
methods on many occasions functioned well in
finding the minimum factors of safety, they

19
sometimes suffered from not being able to find the
global minimum. A random search technique was
consequently developed (Chen, 1992; Greco, 1996)
which greatly enhances the efficiency of the search.
3SIMPLIFIED LOWER BOUND APPROACH-
THE METHOD OF VERTICAL SLICES
The factor of safety will be obtained by solving
the relevant boundary conditions based on the
assumptions made for the distribution of p(x).
(2) To satisfy (2.7), or (2.8), it is required that on
the interfaces shear and tensile failure not occur, i. e.

3.1 Theoretical back ground

As a simplified approach, our profession has a long
history of employing the method of slices to solve
various practical problems of geotechnical
engineering. Early approach divides the failure mass
into a series of slices with vertical interfaces. The
method proposed by Morgenstern and Price (1965), as
well as by others (Bishop, 1955; Janbu, 1973), imply a
lower bound approach since the solutions are
associated with a force distribution satisfying Eq. (3.1)
on the slip surface, and (2.7) or (2.8) on the interfaces.
(1) To allow the satisfaction of Eq. (2.1) for each
slice, the force and moment equilibrium equations
are formulated as (Chen and Morgenstern, 1983)

-dG
_ dP G = - p ( x ) sec t
tan w - y
dx dx
and

d d dw
Gsinp=-y-(Gcosp) +-(y G a p ) + 7-h (3 4
dx d x t d x t

in which

dW . dW
p(x) = -sin@: -a) +qsin@i -a) -7, --.seuy.singlj
dx dx (3.3)

G = the total interslice force; y, = y value of the

point of application of the interslice force; a=
inclination of the slice base; p=inclination of the
interslice force; dW/& = weight of the slice per unit
width; q= vertical surface load; q= the coefficient of
horizontal seismic force, h, = distance between base
and the horizontal seismic force, rt,= pore pressure
coefficient (refer to Fig. 3.1(a)).
Eq. (2.1) is obtained by projecting all the forces FIG. 3.1 Slope stability analysis by the method of vertical
applied on a slice onto the line A-A' (Fig. 3.l(a)) slices, (a) the slope profile; (b) assumption for tan p ; (c) forces
which inclined at an angle of $e to the base of the applied on a slice
slice. In that case the resultant of the normal force N
and its contribution of the shear force on the base of
the slice N tan$,, denoted as P , would be
[G' cosp' tanq:,, + cb,h] > F (3.5)
perpendicular to A-A' and not appear in Eq. (3.1). G'sinp'

20

G’>O (3.7)
Among a variety of assumptions for p(x), we
neglect those that produce results violating Eq. (3.5)
or (3.7), and find one that gives the maximum factor
of safety, according to the lower bound theorem.
Solutions to the governing equations
Chen and Morgenstern (1983) gave the solutions to
the differential equations (3.1) and (3.2). They have
been recently extended by Chen and Li (1997, 1998)
to incorporate active earth pressure problems with
the presence of a tension crack at the crown. The
force and moment requirements take the form:
(3.9)
where
s(x) = sec yE(x) (3.10)
(3.11)
~ ( x=) [(sinp-cosptann)E-](nd{ (3.12)
G,,, = P,‘,- PE(b) (3.13)
M,,, = P,,,h,,,- P[hCOS 6 + t(b)E(b)]
dW (3.14)
f
i- 7, -h,dx
dx
in which P is the value of G(x) at x=b, or active
earth pressure at the vertical wall. P, is the water
pressure at x=a, i.e. P,,=G(a). h is the distance
between the point of application of the active earth
pressure and the bottom of the wall, i.e., the value of
o/-y,) at x=b; h , the distance between the point of
application of the water pressure and the bottom of
the tension crack, i.e., the value of o/-y,) at x=a;6 is
the value of p at x=b, i.e., the friction angle at the
wall
Eqs. (3.8) and (3.9) involve an unknown F (or P)
and an unknown variable p (x), Chen and
Morgenstern (1 983) suggested introducing an
assumption defining /3 (x) (Fig. 3.l(b)).
,f (x) is a linear function that allows the valueJ;,(a)
21
andf, (b) to be equal to the values of tanp at x=a
and x=b respectively. J;,(x)is another function that
has zero values at x=a and x=b. Fig. 3.l(b) shows an
example that takesfix) as a sine function andf;,(x), a
linear function that is zero at x=a and tan6 at x=a ,
where is the friction angle between the retaining
wall and the soil. It is possible to find F (or P) and h
from (3.8) and (3.9) by iterations. For details refer to
Chen and Morgenstern (1983) or Chen and Li
(I 998).
4SIMPLIFIED UPPER BOUND APPROACH -
THE METHOD OF INCLINED SLICES
Theoretical background
Sarma (1973) presented the method that employs
slices of inclined interfaces. Therefore, the failure
mode shown in Fig. 2.l(a) is simplified to a multi-
wedge system as shown in Fig. 2.1(b).
We may understand the upper bound nature of
Sarma’s solution in the following two ways.
(1) Since both the slip surface and the interfaces
are assumed to be in a state of limit equilibrium
condition, the solution means a mobilization of
maximum resistance against failure. Estimation for
the external load is thus either higher than or equal
to the real load, according to Pan’s Principle of
Maximum.
(2) While Fig. 2.l(a) is simplified to Fig. 2.l(b),
Eq.(2.3) in the upper bound approach is
approximated as
where the first and second terms of the left side of
(4.1) refers to the energy dissipation developed on
the interfaces and slip surface respectively. In the
following discussion we will demonstrate that Eq.
(4.1) is equivalent to the force equilibrium equations
given by Sarma (1979). Therefore the factor of
safety obtained by Sarma’s method corresponds to
an upper bound.
It has been understood that for a material that
obeys associated flow law and Mohr-Coulomb
failure criterion, the plastic deformation produced by
an increment in external load would incline at an
angle $e to the shear band (Fig. 4.1 ), and the energy
dissipation developed on the band is
d D = (ccosp,, - usinpe)V (4.2)
where U is the pore pressure applied on the shear
surface (Donald and Chen, 1997).
Let us examine a two block failure mode as
 shown in Fig. 4.2. In Sarma’s approach, Mohr-
Coulomn criterion applies on both the left and right
bases of the blocks as well as on the interface. The
normal force P and its contribution of shear force
Ptan@on each of the faces forms a resultant Pwhich
inclines at an angle @e to the normal of the bases.
Establishing force equilibrium equation, according
to Sarma’s concept, we have
FIG. 4.1 The plastic deformation V and the energy dissipation
developed on a shear band.
w,+P,+Pi+c,,=0
And
w,+P,+Pi+c,,=0
for left and right slice respectively. In (4.3), W is the
weight of the slice, C, is the shear force applied on
the failure surface developed by cohesion.
Now, we deliberately assign a set of virtual
displacements V,, V,, y (Fig. 4.2)’ each inclined at
an angle of @e to the shear surface. The work done
< v,
by P,,P,, on V,, respectively is thus zero. P,,
P,, Pi,as unknowns, disappear in the work and
energy balance equation and Eq. (4.3) and (4.4)
reduce to
Alel COS@^,^^ +Arc,.cos@J”,. + A,c, COS^,,^,
= cos p, + wrvrcos p,.
w,v,
where p is the angle between the weight vector and
V The values V,., V, can be expressed as a linear
function of V, , as will be given in the subsequent
Section, and therefore are not unknowns. Eq. (4.5)
remains only one unknown F which is implied in
and is readily obtainable.
We thus reach two conclusions:
(1) Sarma’s method, which typically involves a
procedure of solving Eq. (4.3) and (4.4)’ can be
formulated in a more efficient way by employing
(4.5)’ the virtual work principle, with a set of virtual
displacements, each inclined at an angle of &e to
their respectively shear surfaces.
(2) Since Eq. (4.5) is identical to (4.1) in this
particular problem, the solution obtained by Sarma’s
method would be identical to that obtained by the
upper bound method described in Section 4. I .
(4.3)
FIG. 4.2 A two block failure mode explaining the equivalence
between Sarma’s method and the energy approach.
Formulations of the upper bound solutions
A brief introduction to this method is given as
(4.4) follows. For details, refer to Donald and Chen
(1997).
As explained in section 2.1, we start the upper
bound solution by establishing a velocity field. For a
pair of adjacent slices, the velocity of the left and
right slices V, ,V, and the relative velocity form a
closed triangle. Therefore we have (Refer to Fig. 4.3
and Fig. 4.4)
sin(6, - 8,)
(4.6)
v,.= v,sin(@,.- 6, )
(4.5) sin(6, - 6,)
v,= v,sin(6,. (4.7)
- 8,)
where 6 is the inclination of the interface with
respect to the y axis. 8 is the angle of the velocity
vector measured from the positive x axis. V, ,V, and
V, of any slice can then be expressed as a linear
function of the velocity of the left first slice V,. In
general, the velocity of the wedge number k is
determined by
V=kV, (4.8)
22
where

Fig. 4.4 Velocity compatibility between adjacent

slices. The left slice moves downward to the right one.

Fig. 4.3 Velocity compatibility between adjacent

slices. The left slice moves upward to the right one.

To enhance the numerical efficiency, we usually

discretize a slip surface by several nodal points
which are connected by smooth curves, as shown in
Fig. 2.l(c). The velocity at any point of the slip
surface can be integrated by the following equation.
where T is the external surface load and q , the
coefficient of horizontal seismic force. L is the
V = E(x)V, (4.10) length of the interfaces.
In Chen and Donald (1997), as well as in
where Example 2, stability analysis with slopes containing
weightless material were presented which indicated
da that the new method is capable of producing results
E ( x ) = k exp[- f cot(a - p: - Q ) -d<] (4.11)
as accurate as the closed-form solutions. In this
-ro d<
paper, we give another example in which the weight
of the soil material is not neglected.
The relative velocity on the interfaces is defined
by Example 4 A test problem with closed-form solutions
V, = -cosec(a - 4: - Q)E(x)V,da (4.12) Fig. 4.5 shows an example whose closed-form
solution is available by Sokolovski (1954) who
concluded that for a slope whose self-weight is not
Substituting (4.8) and (4.10) into (4.2), and negligible, the ultimate load is associated with a
following (2.10), we obtained the following equation
calculating the factor of safety. curved slope surface and a critical failure mode
designated in Fig. 4.5(b). With the parameters
V, is the velocity at x=x, . K accounts for the points indicated in 4.5(a) and the theoretical solution of
on the slip surface where a or 4 changes abruptly. q=220.5kPa, we started at an initial guess of failure
mode as shown in Fig. 4.5(a) and obtained F=1.065 ,
The subscripts 1 and Y refer to the variable at the left
by solving Eq. (4.13). The optimization process
and right point of discontinuity.

23
FIG. 4.5 A closed-form solution for a slope whose self weight is not neglected. (a) The initial trial, F,,=l.O65, (b) The final solution,
F,,,=l.O08
yielded a failure mode which is exactly the
theoretical one as shown in Fig. 4.5(b), associated
with the minimum factor of safety of F,,,=1.008.
On the two possible directions of shear between the
adjacent slices
In this section, we put forward an important
statement which sometimes affects the results of the
limit equilibrium methods of inclined slices.
When establishing velocity field, one must
examine whether the left slice moves in an upward
or downward direction, with respect to the right one.
Failure to do so will cause negative values of V,. or
when (4.6), (4.7) are employed. Substituting
these negative values into the work and energy
balance equations, such as (2.10) or (4.1), means a
violation of Drucker's Postulate. As a consequence,
the calculation will lead to absurd results indicating
that the bigger the cohesion value at the shear
surface where the negative velocity develops, the
smaller the factor safety will be obtained. Further
investigation shows that this problem is related to
the improper direction of v/ caused by a wrong
direction of shear on the interface. Fig. 4.3 shows
the velocity 7 which represents an upward
movement of the left slice with respect to the right
one. This case, defined as case 1, is most commonly
encountered. In this case, BJ is defined as
z
8,=--6+p,,
2 The symbol '+' in 'k'is associated with case 1,
However, if V, lies lower than V,, as shown in
Fig. 4.4, and consequently 0,.-i o,, the left slice
would move downward with respect to the right one.
This case, defined as case 2, occurs when the base of
the left slice is a weak zone having lower friction
angle compared to that of the right one, or when the
base exhibits an abrupt decrease of a. i.e., 4,. -i
or a,. -i a , . It can be easily found that if a
downward 7 is assigned and consequently, Q, is
defined as
8 =---&peJ
3z
' 2 (4.15)
use of Eq. (4.6) and (4.7) will produce positive
values of V, or v/
In general, case 1 requires that the condition
8,- 8,> 0 be satisfied with a definition of eJ by Eq.
(4.14) while Case 2 requires the condition of
@, - 8,< 0 or 8, - 8)> - E , with a definition of Eq.
(4.15) for 8/ , refer to Donald and Chen (1997).
Example 5 A simple problems explaining the need
for considering two directions of shear
To support this statement, let us examine a simple
case shown in Fig. 4.6. The two-block system is
pushed by a horizontal force at the right side. It is
not difficult to find the critical load of P that brings
the system into a state of limit equilibrium by
establishing the following equation:
(4.14)
whereas '-' means case 2. For this example, the left
block should move downward with respect to the
right one since a,<a, and consequently symbol '-'
should be used. If we use the symbol '+', the
existence of the second term on the right side of the
equation will produce a smaller value of P
associated with a larger c,,, which is controversial to
common sense.
24
 It has been understood that the shiplock may have
two possible failure modes.
(1) Landslide may take place along the whole or
part of the slope. This may be caused by unexpected
high ground water or by the inadequate shear
strength of the rock mass especially due to the stress
relief after the large amount of rock mass
excavation.
(2) The highly fractured rock mass may form
random wedges whose stability must be carefully
reviewed to ensure no hazardous instability
triggered either during construction or operation.

TABLE 5.2 c, pvalues obtained by Hoek-Brown Criterion

Rock Weather n? RMR (3 c cp
FIG. 4.6 A two block system explaining the need for condition MPa kPa ( " )
considering the shear direction between adjacent slices. Granite Moderately 25 57 50 60.01 41.4
Granite Slightly 25 77 100 199.5 57.7
Schist Slightly 17 57 50 57.8 37.7
SAPPLICATIONS OF THE UPPER BOUND AND
LOWER BOUND APPROACHES
The analytical results for Cross Section 20,
Examnle 6 Stability analysis for the shiplock slopes shown in Fig. 5.1, are presented in Fig. 5.2 and
of the Three Gorges project Table 5.3. A tension crack 15 m deep filled up with
water was assigned in the calculation. The
The shiplock of the Three Gorges project assures the horizontal anchor load 1000 KN/m and 30 m in
transportation through the Yangtze River and is length is applied on the slope where the cables pass
therefore of utmost importance. It is located in the through the slip surface. Since there exists a set of
left abutment of the Complex with a total length of steeply dipping joints, vertical interfaces were
6442 m in which 1607 m is covered with the main employed in the upper bound method. However, the
structure. The geology of the shiplock consists of shear strength parameters of the interfaces are set to
early Sinian Period plagioclase granite. A schist vain be equal to those of totally weathered rock, i.e.,
intrudes transversely through this area. From the top 4 ~ 3 5 ", c=5OkPu. From the results shown in Table
to the bottom, the slope material transfers from the 5.3, it can be seen that there is no substantial
heavily, slightly, moderately weathered to fresh rock difference between the results obtained by
mass. Parameters for these rock types based on a Morgenstern - Price method and the upper bound
comprehensive geological review are proposed and approach. Morgenstern-Price sometimes gave larger
listed in Table 5.1. factors of safety, compared to those of the upper
The shiplock slope is 160 m high and involves an bound method. This is because a relatively lower
excavation of 23.8 million m3 rock material. Refer to strength parameters were assigned to the interfaces
Fig. 5.1, above the elevation 161m, the slope ranges in the upper bound method. Shear strength
from 1.5:l to 1.1:l. The vertical cut 60 rn high parameters suggested by the designers (Table 5.1)
below elevation 161 m is supported by two rows of and by Hoek-Brown criterion (Table 5.2) are quite
prestressed cables, with a designed load of 3000 KN close for various types of weathering granite.
in general. Additional cables are installed where the However those for the schist intrusion deviate with
wedge failure potential is of concern. Six levels of each other quite a lot.
drainage tunnels are provided in both abutments
(Fig. 5.1).
Example 7 Stability analysis for the Three Gorges
dam
TABLE 5.1 Shear strength parameters for various types of rock
based on a comprehensive geological study The bed rock of the power plants of the Three
Rock No. Weathering cp c Unit weight Gorges project rises near both abutments and
kPa KN/m3 consequently shortens the dam. Since the
I Totally 35.0- 50 25 foundations of all the power plants are located at the
Granite I1 Heavilv 45.0' 200 26.5 same elevation, the dam units near the abutment will
I11 Moderately 52.4" 500 26.8 sit on a slope approximately 60 m high as shown in
IV Slightly 60.9' 1500 27
Schist V Slichtlv 35.0' 150 26.8
Fig. 5.3. It has been discovered that there exists a set
of joint which dips in the same direction to that of
the slope, presenting a very unfavorable condition to

25
 Fig. 5.1 Cross section 20 of the Three Gorges Shiplock

FIG. 5.2 Critical slip surfaces obtained in local and overall stability review. Strength parameters: (a) from Table 5.1; (b) from Table
5.2, the Hoek-Brown failure criterion. Refer to Table 5.1 for rock layers I, 11, III,IV,V; refer to Table 5.3 for critical slip surfaces
1,2,3,4,5

TABLE 5.3 Factors of safety obtained by different approach for the stability of the dam. Detailed geological
the Three Gorge Shiplock slope explorations suggested some essentially inter-
No. of the Sarma Morgenstern connecting long joints as shown by line ABCHI in
slip surface Designers Hoek- Price Fig. 5.4. The question raised by the designers are
Brown
Local Above 1 7.18 7.08 what the factor of safety is if the dam slide partly
200m along OA, the concrete dam and partly along the
Above 2 5.33 5.89 5.80 joints and rock bridge. represented by BCHI, under
151m the application of the reservoir water pressure, with
Global 3 2.36 2.34 2.44 the parameters shown in Table 5.4 .
Vertical With 4 2.32 1.91 Using Morgenstern-Price method, we found it not
Wall cables
Without 5 2.07 1.69 2.38
difficult in obtaining a factor of safety which
NOTE: Morgenstern-Price method adopted designers’ satisfies both force and moment equilibrium
parameters (Table 5.1) conditions. The result is F=2.79.
When Sarma’s method was tried, we understood

26
 Fig. 5.3 Unit 3 cross section of the Three Gorges Dam
that for the part of failure mass which constitutes a
continuous media of the concrete dam (OA in Fig.
5.4), optimization process must be introduced to
determine the critical failure mode, just as we did for
Example 2 and Example 4. Fig. 5.4(a) shows the
critical failure mode associated with F=2.89, which
is closed to that obtained by Morgenstern-Price
method. However, the result is based on the
understanding that at point A and C, the relative
movement between slices take the direction defined
by Case 2. If the issue about the two directions of
relative movements between interfaces is ignored
and along the slip surface, Case I was exclusively
used, the optimization process eventually gave a
failure mode shown in Fig. 5.4(b) with a minimum
factor of safety F= 2.05. This result rather confused
the designer until the idea of two possible directions
of shear was introduced.
ExamAde 8 Stability analysis for the outlet slope of
the Xiaolangdi project
The outlet of the water discharge tunnels of the
Xianglangdi Multiple-purpose Hydro-project creates
a 60 m high slope which consists of severely adverse
geological conditions. Fault F,,, passes through the
crest of the slope which has a dip direction of 113"
(Fig. 5.5). The dip direction of the bedding planes of
the sandstone and shales ranges from 106" to 113",
being very unfavorable. On the other hand, a set of
27
TABLE 5.4 Shear strength parameters used in stability analysis
for the Three Gorges dam.
Part of the slip surface $ c (MPa)
OA 47.7" 3 .O
ABCD 3 5 .O" 0.2
HI 57.8" 1 .8
joints develops in this area, which dips into the slope
with dip direction and angle of 280"and 71"
respectively. The possible failure mode of this slope
is consequently clear. Rock mass would slip along
F236at the upper part and along a well defined clay
seam between the bedding planes near the toe as
shown in Fig. 5.6. The inclination of the interfaces
would be 6=-20° based on the set of joints that dip
into the slope. Very low shear strength parameters
are assigned to the slip surface either on the weak
seam or on F236,being c=o, $=11.5". For the rock
mass near the toe where the slip surface exits, the
parameters assigned are c=5OkPa, $=3 1.O". Heavy
reinforcement including prestressed cables has been
installed. In designing the reinforcement, it has been
found that factors of safety were very sensitive to the
analytical methods as well as the input parameters of
interfaces as shown in Table 5.5. It can be found that
Morgenstern-Price method gave a relatively low
factor of safety being 1.08. Using Sarma's method,
The F value ranges from 1.17 to 1.41 associated
with different parameters on the inclined interfaces.
FIG. 5.4 Stability analysis for the Three Gorges dam and foundation at Unit 3 using the upper bound approach. (a) Taking case 2 at
point A and C; (b) Case 1 is invariably used.
TABLE 5.5 Factors of safety of the Xiaolangdi outlet slope
Method Shear strength parameters F
of interfaces
c,( kPa) ‘p!
Sarma 0 20° 1.17
3O0 1.38
50 20° 1.23
Morgenstern-Price (p = 17.4’) 1.OS
FIG. 5.5 Critical slip surface obtained by the Sarma method
The large difference in the F values might be
attributable to the very low shear strength assigned
on the slip surface. In making the final decision, we
believed that the failure mechanism was clear in this
particular problem. Employing Sarma’s method has
considered the real condition of the discontinuities.
The inclined interfaces represent a set of joints
which are not thoroughly persistent. Therefore,
giving a set of parameters such as c=SOkPa, @30°
on the interfaces should be considered rational.
The importance of the project requires that the
reinforcement must be sufficient to ensure safe
performance of this large project. On the other hand,
the installation of prestressed cables presents a
critical economical concern. A rational assessment
of the stability of this slope depends partly on a good
understanding to the analytical methods employed.
28
6CONCLUSIONS
This paper has given a general review on the
theoretical background and the numerical advances
of the method of slices for slope stability analysis,
which can be summarized as the following.
The solution of a slope stability problem can be
approached by its least upper bound and
maximum lower bound. On most cases the gap
between this two bounds is very small, such as
shown in Example 6, 7 and elsewhere (Donald
and Giam, 1992). The rigorous solutions are
indeed obtainable.
The limit equilibrium methods that employ
vertical slices, such as those proposed by
Bishop (1955)’ and Morgenstern and Price
(1965), imply a lower bound of the factor of
safety. A rational application of this method
usually offers a safe solution to stability
problems but is not always economical,
especially when a rock slope is concerned as
shown in Example 8.
The limit equilibrium methods that employ
slices with inclined interfaces, such as those
proposed by Sarma (1978), Donald and Chen
(1997), give an upper bound approach to the
stability analysis. Use of powerful optimization
routines has enabled the least upper bound being
very close to the accurate answers. In rock slope
stability analysis, this method is highly
commended since its inclined interfaces offer
better simulation to a jointed rock mass.
Example 7 shows that a proper use of this
method will give a good insight into the stability
behavior of a rock slope for which both safe
performance and economical issue are of
serious concern.
In performing the method of inclined slices,
care must be taken on the possible two
directions of shear between the adjoining slices.
Using the energy approach proposed by Donald
 and Chen (1997), a criterion defining the two
possibilities and the associated formulations for
the calculation of factor of safety have been
given. ExanipIe 5 and Example 7 show the
importance of a proper consideration of this
point in some rock slope problems.
The traditional lower bound approach proposed
by Morgenstern and Price (1965) and the upper
bound approach proposed by Sarma (1 979) have
been upgraded by the fully analytical and
numerically more efficiently formulations as
shown in Section 3 and 4.
The concept of upper bound and lower bound
principles has been extended to wedge slide
analysis. It has been found that a problem of
wedge slide analysis is actually statically
indeterminate. That is, the number of the
unknown forces applied on the failure surfaces
exceeds that of available force equilibrium
equations. The solution is therefore multiple in
which both upper and lower bounds exist. It has
been found ( Example 3 and Chen et. al. , 1999)
that the two bounds become an identical value
when the friction angles of both failure surfaces
are zero and they diverge considerably when
cohesion of the two faces are zero. More
research work is needed to finally confirm the
theoretical validity and significance of this
statement.
A number of case histories regarding China’s
hydropower construction, including the Three
Gorges and Xiaolangdi projects, have been reviewed
which indicated that a better understanding of the
Bound Theorems will help to obtain reliable and
economical solutions to slope stability problems
(Chen et. al. 1999).
ACKNOWLEDGEMENT
The draft of this paper is prepared for a presentation
on a consulting meeting on large slopes organized by
Golder Associates from August 6 to 8, 1998 in
Vancouver. The author appreciates the support
provided by Golder and the helpful discussions of
the participants, especially the encouraging
comments of Dr. E. Hoek. The author is indebted to
Mr. Wang Jian for his help in editing the manuscript
of this paper.
The research work described in this paper is
supported by China National Natural Science
Foundation .
REFERENCES
Bishop, A. W. 1955. “The use of the slip circle in the stability
analysis of slopes”, Geotechnique, 5 . No.l,pp.7-17.
29
Celestino, T. B. and Duncan, 3. M., 1981. Simplified search for
non-circular slip surface. Proceedings, 10th International
Conference on Soil Mechanics and Foundation Engineering.
Stockholtn. Vo1.3, pp. 391-394.
Chen, W. F. 1975. Limit analysis and soil plasticity. Elsevier
Scientific Publishing Co. , New York.
Chen, Z..and Morgenstern, N. R., 1983. Extensions to the
generalized method of slices for stability analysis,
Canadian Geotechnical Journal, Vol. 20, No.1, 104- 109.
Chen, Z and Shao, C. 1988. Evaluation of minunmum factor of
safety in slope stability analysis, Canadian Geotechnical
Journal, Vol25, No.4, 735-748.
Chen, Z. 1992, Random trials used in determining global
minimum factors of safety of slopes. Canadian
Geotechnical Journal, Vol. 29, No. 2,225-233.
Chen, 2.Y.and Donald, I. 1995. Comparison between the limit
equilibrium and limit analysis method. 267-270.
Proceedings of the 10th Asian Regional Conference on Soil
Mechanics a n d Fo undation Engineering. 267-2 70.
Chen, Z. Y.and Li, S. M. 1998. Evaluation of active earth
pressure by the generalized method of slices. Canadian
Geotechnical Journal, to be published in the August issue.
Z. Y. 1995, Recent developments in slope stability Chen,
analysis, Proceedings 8th International Congress on Rock
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September 25-30, Tokyo.
Chen, Z, Y., Xiaogang Wang, Yujie Wang and Jian Wang. 1999.
An upper bound method for wedge failure analysis.
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Balkema.
Donald, I and Chen, Z. Y. 1997. Slope stability analysis by the
upper bound approach: fundamentals and
methods.Canadian Geotechnical Journal, 34: 853-862.
Donald, I and Giam, P., 1992. The ACADS slope stability
programs review, Proc., 6th International Symposium on
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Duncan, J. M. et. al.1978, Strength, stress and bulk modulus
parameters for finite element analysis of stress and
movements in soil masses, Reprots No. VCB/GT/78-02,
University of California, Berkeley.
Chen, Z. Y., 1998. Demonstrations for Pan’s Principles of
Maximum and Minimum. Journal of Qinghua University.
No. 1, 6-13. (In Chinese)
Greco, V. R. 1996. Efficient Monte Carlo technique for
locating critical slip surface. Journal of Geotechnical
Engineering, ASCE, 122(GT7):5 17-525.
Hoek, E. 1990. Estimating Mohr-coulomb friction and
cohesion values from the Hoek-Brown failure criterion. Int.
J. Rock Mec. Min. Sci. 27:227-229.
Hoek, E. and Bray, J. W. 1977. Rock slope engineering. The
Institute of Mining a n d Metaf[urg,t
Janbu, N.1973. Slope stability computation, Embankment Dam
Engineering. 47-86. John Wiley and Sons. New York.
Pan, J. Z., 1980. Satbility analysis and landslide assessment for
structures. Water Resources Press, Beijing. (In Chinese).
Sarma. K. S. 1979. Stability snalysis of embankments and
slopes. J. Geotech. Am. Soc. Civ. Engrs, 105, GT. 12, 15 1 1 -
1524.
Sokolovski, V. V. 1954, Statics of soil media, Fanslated by
Jones, D. 1% andScholfield, A. N., 1960, London.
Wang, R., Huang, W. B., Huang, Z. P. 1992. An introduction to
Plasticity. Peking University Press.
Wang, Y. J. 1998. Slope stability analysis by a three-
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This Page Intentionally Left Blank
 Slope Stability Engineering, Yagi, Yamagami & Jiang (c) 1999 Balkema, Rotterdam, ISBN 90 5809 079 5

Using limit equilibrium concepts in finite element slope stability analysis

D.G. Fredlund & R. E.G. Scoular

University c?f Suskatchewun, Suskatoon, Susk., Cunudu

ABSTRACT: This paper reviews the development of finite element slope stability analyses and proposes
that such a method can form a practical procedure for solving slope stability problems. Several slope stability
methods have been proposed that make use of the finite element methods; these are summarized in this paper.
The proposed finite element method is in a form that can be conveniently used in engineering practice. The
procedure lends itself to present day numerical modelling techniques. The method has been updated to take
advantage of recent advances in computer technology and algorithms.
The combination of a finite element stress analysis with a limit equilibrium analysis provides greater cer-
tainty and flexibility regarding the internal distribution of stresses within the soil mass. The normal force
along any selected slip surface can be calculated from the stress distribution that has been calculated using a
linear and non-linear stress analysis. The overall factor of safety for a slope, when the finite element method
is used, can be defined as the available shear strength of the soil divided by the resisting shear strength. The
overall factor of safety is a combination of the local factors of safety within the slope. The resulting overall
factor of safety retains the basic assumptions inherent to the limit equilibrium definition of the factor of
safety.
The local factors of safety are an expression of the stability of the soil mass at each point along the slip sur-
face. The overall factor of safety computed using the finite element method shows good agreement with the
factors of safety computed using any one of several limit equilibrium methods. The finite element method
provides additional information regarding the potential performance of a slope; information not available
when using traditional limit equilibrium methods. The results indicate that it is important to use the effective
shear strength characterization of the soil when performing the slope stability analysis. The computed factor
of safety obtained when using a total shear strength characterization of the soil, may not agree with the factor
of safety computed when using the finite element stress analysis method.
Key words: slope stability analysis, finite element, enhanced method, direct method, strength method, stress
level method, factor of safety, local factor of safety.

1 INTRODUCTION
Limit equilibrium methods of analysis have proven
to be a widely used and successful method for the
assessment of the stability of a slope. Limit equilib-
rium methods sum forces and moments related to an
assumed slip surface passed through a soil mass
(Fredlund and Krahn,1975; Fredlund et al., 1981).
However, these methods do not utilize the stress ver-
sus strain characteristics of the soils involved. It is
well known, and intuitively understood that the sta-
bility of a slope should be influenced by the stress
versus strain characteristics of a soil (Kondner
1963). A finite element analysis utilizes a stress ver-
sus strain model for the soils involved to calculate
the stresses in the soil mass. These stresses can sub-
sequently be used to compute a factor of safety (Fig.
1). The complete stress state from the finite element
analysis can be "imported" into a limit equilibrium
analysis where the normal stress and the shear stress
are computed corresponding to any selected slip sur-
face.
The objective of this paper is to demonstrate a
procedure for combining a finite element stress
analysis on a slope with the concepts of a limiting
equilibrium method of analysis. The final method is
called a "finite eIement method of slope stability
analysis" and the results are compared to results ob-
tained when using conventional limit equilibrium
method of analysis.

31
Figure 1. Illustration showing stresses that are "imported" from a finite element analysis into a limit equilibrium analysis.
2 BACKGROUND
Bishop (1952) noted that the stresses from a limit
equilibrium method of analysis did not agree with
the actual stresses within an earth structure. Other
researchers have confirmed this observation both
with experimental evidence and with numerical
modelling. La Rochelle (1 960) estimated the stress
conditions in steep slopes using photoelastic tests on
gelatine models. The results showed that stresses
along a slip surface were over-stressed in the lower
portion of the slip circle. Brown and King (1966)
produced critical slip surfaces from a finite element
stress analysis of slopes using a linear elastic soil
model. The critical slip surfaces were produced by
using the angle of obliquity, 8, along the slip surface
(i.e., $equal to (45" + ~'h)). Each critical slip sur-
face represented a close approximation to an essen-
tially circular shaped slip surface.
Clough and Woodward (1 967) undertook a study
to evaluate the effect of incremental loading with
single step loading as it related to stresses and de-
formations. It was concluded that: l ) stresses and de-
formations in an embankment obtained fiom a direct
application of the gravitational body forces on the
complete structure were not completely accurate,
and 2) changing Poisson's ratio interferes with the
relationship between stresses and displacements, re-
quiring a new analysis for each case. It was con-
cluded that "meaningful stability analysis can be
made only fi the stress distribution within the struc-
ture can be predicted reliably."
Kulhawy (1969) developed a computer program
to obtain an independent assessment of the normal
and shear stress distribution along an assumed slip
32
surface. The normal and shear stresses fiom an elas-
tic analysis were used to calculate an overall factor
of safety. The formulation of Kulhawy (1969) was
classified as an "Enhanced Limit Strength Method".
A number of finite element slope stability meth-
ods have been proposed and the methods can be
categorized as "enhanced limit methods" or "direct
methods", as shown in Figure 2.
Wright (1969) compared the factors of safety cal-
culated using the "enhanced limit strength" method
with factors of safety calculated using Bishop's Sim-
plified method (1952). A slip surface was selected
for comparative purposes that had a factor of safety
of 1.O when using the Bishop's Simplified method. It
was concluded that the factors of safety determined
by the "enhanced limit strength" method (Kulhawy,
1969) were approximately 3% higher than those de-
termined applying Bishop's Simplified method.
Wright et al. (1973), using the "enhanced limit
strength" method, showed that: 1) along one third of
the slip surface, the local factors of safety are less
than the overall factor of safety, 2) the factors of
safety calculated by the finite element method using
linear elastic material properties ranged fiom 0% to
4.5% higher than those calculated using Bishop's
Simplified method, and 3) the factors of safety cal-
culated by the finite element method using non-
linear elastic material properties increased with
Poissonk ratio and are 2% to 8% higher than those
calculated using the Bishop's Simplified method.
Resdndiz (1 974) agreed with the concept of using
the finite element method to calculate the stability of
a slope; however, disagreed with points No. 2 and
No. 3 of the results of Wright et al. (1973) because
the factor of safety differences were too small.
ResCndiz had developed a finite element method of
 I Finite Element Slope Stability Methods
Enhanced limit methods
(finite element analysis with Load increase
a limit equilibrium analysis)
I Definition of Factor of Safety
Stress Level
Kulhawy 1969 Zienkiewiczef a/ 1975
Figure 2. Finite element approaches proposed in computing the factor of safety in a slope stability analysis.
slope stability analysis defined as an "enhanced limit
stress-level" method" in 1972 (Fig. 2). This method
used the maximum principal stress difference of the
soil at failure to define the factor of safety. Analyses
made using non-linear stress versus strain relation-
ships led to factors of safety which in all cases were
higher (i.e., differences as large as 30%) than con-
ventional factors of safety (e.g., Ordinary method or
Bishop's Simplified method).
Zienkiewicz et al. (1975) also proposed a finite
element method of analysis to compute the factor of
safety by using the principal stress difference in the
soil at failure to define the factor of safety. The
method is an "enhanced limit stress - level method"
(Fig. 2). Both the ResCndiz (1972) and Zienkiewicz
et al. (1975) formulations are classified as "enhanced
limit stress-level" methods.
Naylor (1982) established two types of finite ele-
ment slope stability methods, a "direct" and an "en-
hanced limit" method of analysis. The direct method
used a finite element nodal formulation to define the
slip surface and the factor of safety directly from the
analysis. The proposed "direct" slope stability
method defined the factor of safety either as the in-
creased load necessary to cause failure, or as the re-
ciprocal of the reduction in the strength properties
required in order to achieve failure. These methods
33
I
Direct methods
to failure
Strength & Stress Level
Adikari and Commins 1985
C/(c' + o'tan4') AL]
have also been studied by Martins et al. (1981) and
Tan and Donald (1 985).
The "enhanced limit" slope stability methods are
based on stresses calculated using a finite element
analysis and combined with a limit equilibrium type
of analysis along a prescribed slip surface, to define
the factor of safety. The prescribed slip surface is the
one defined by the lowest factor of safety and is
found using a trial and error procedure. The stresses
along the slip surface are computed using a finite
element analysis and can either be used in a
''strength" method or a "stress-level" method. Farias
and Naylor (1996) stated that when using the "di-
rect" finite element method it is, "not easy to obtain
a safety factor accurate to within the conJidence
limits achievable by limit equilibrium methods". The
authors noted that: 1) afine mesh is required, 2) a
code capable of giving reliable results with the
Mohr Coulomb elasto-plastic model for loading
states close to failure is needed, and 3 ) it is usually
necessary to carry out a set of analyses with c 'and
tan+' progressively reduced by a factor which will
become the safety .factor when .faillire is eventimlly
reached. "Enhanced limit" methods require only one
finite element analysis to calculate factors of safety
for a slope with various combinations of c' and
tand!
 Adikari and Cummins (1985) produced a finite
element method that combine the "strength" and the
"stress-level" methods as defined by Kulhawy
(1969) and Zienkiewicz et al. (1 9 7 9 , respectively
(Fig. 2). The Adikari and Cummins (1985) method
produced factors of safety that were between the
values obtained when applying the Kulhawy (1 969)
and the Zienkiewicz et al. (1975) methods. It was
noted that for near-failure conditions (i.e., as defined
by Bishop's Simplified method, 1955), the value of
the factor of safety calculated by the Adikari and
Cummins (1985) method approached 1.O, while the
value of the factor of safety calculated by the Zien-
kiewicz et al. (1975) method remained high. The
factor of safety by the Kulhawy (1969) method also
approached unity with the factor of safety being de-
pendent on the percentage of the strength mobiliza-
tion in the component materials. The main differ-
ence in results appears related to using the stresses
on the principal plane (Zienkiewicz et al. 1975)
rather than on the plane. By definition, failure does
not occur on the plane of principal stress and there-
fore, the Zienkiewicz et al. (1975) method (or any
stress-level method) is computing a factor of safety
that must be higher than the factors of safety pro-
duced by a "strength" method.
Duncan et al. ( 1 996) provided a summary of the
limit equilibrium and finite element methods that
have been proposed for slope stability analyses.
3 SUGGESTED STUDY FOR COMPARISON
BETWEEN THE FINITE ELEMENT AND THE
LIMIT EQUILIBRIUM METHODS OF SLOPE
STABILITY ANALYSIS
The finite element slope stability method proposed
in this paper is of the "enhanced limit strength" type
(Scoular, 1997). The finite element method uses the
Kulhawy (1969) definition for the factor of safety
combined with a finite element stress analysis of the
slope. Stress analyses were done using Poisson's ra-
tios equal to 0.33 and 0.48. For each stress analysis,
the cohesion and the angle of internal friction of the
soil were altered as the stability of the slope was
computed. The selected values for cohesion, c', were
10, 20 and 40 kPa, and for the angle of internal fric-
tion, +; were 10,20 and 30 degrees.
The finite element slope stability method pro-
duces an overall factor of safety that is an expression
of the stability of the slope based on the calculated
stresses within the slope. Slope stability problems
solved using the finite element method have two im-
portant distinctions from limit equilibrium methods.
First, the finite element slope stability equation is
determinate; therefore, no further assumptions are
required to complete the calculations. Second, the
factor of safety equation is linear, because the nor-
34
mal stress at the base of a slice is known. On the
other hand, limit equilibrium methods, starting with
Bishop's Simplified method (1955), have used an
estimated factor of safety when computing the nor-
mal force at the base of a slice. The final factor of
safety is found through an iterative process. The fi-
nite element method factor of safety is defined using
the normal and shear stresses computed using a fi-
nite element analysis.
Finite element numerical stress analyses have
been available for many years. The finite element
method, however, has not become popular for slope
stability studies due to intense computational re-
quirements and difficulties in assessing the stress
versus strain characteristics of the soils. In addition,
inexpensive and easy to use limit equilibrium meth-
ods have provided factors of safety that appear to
represent failure conditions in the field in most
situations. Microcomputers now have sufficient
computational capacity to perform combined stress
and limit equilibrium analyses. As a result, it is an-
ticipated that the latter procedure will become more
common in engineering practice.
3.1 Procediire usedfor the finite elenienl analysis
The enhanced limit (strength) finite element method
proposed by Kulhawy (1969) was selected as the
most appropriate method for slope stability analysis.
The finite element stress-deformation software,
Sigma/W (a proprietary product of Geo-Slope Inter-
national Ltd., Calgary, Alberta, Canada), was modi-
fied to utilizes a search algorithm in order to assign
and transfer calculated finite element stresses to a
designed point on the slip surface (Bathe, 1982;
Kralm et al., 1996). The calculated finite element
calculated stresses are used to calculate the normal
and shear stresses on the slip surface. The latter
stresses are used to calculate local factors of safety
at the center of the base of each slice as well as the
overall factor of safety for the entire slip surface.
3.2 DeJinitiori offactor of safety
The overall factor of safety is defined in accordance
with the finite element slope stability method de-
scribed by Kulhawy (1969), and expressed as the ra-
tio of the sun1 of the incremental resisting shear
strengths, Sr, to the slim of the mobilized shear
forces, S,, along the slip surface.
The resisting force for each slice is calculated in
terms of the shear strength, z,at the center of a slice
multiplied by the base length of the slice, p. The
available resisting shear strength for a satu-
ratedunsaturated soil (Fredlund and Rahardjo, 1993)
can be written as:
Figure 3. Definition of the global and local coordinates for a rectangular finite element.
S, =zP=(c'+(D~ -U, >ta$+(ua -U, >ta@b > P
(2)
The mobilized shear force, Sm, for each slice is
calculated as the mobilized shear stress, zm, at the
center of a slice multiplied by the base length, p.
s
rn = L P
The local factor of safety is defined as the ratio of
the resisting shear force, S y , at a point along the slip
surface divided by the mobilized shear force, Sm, at
the same point,
The resisting shear force, S y , and the mobilized
shear force, Sm, are both calculated using the
stresses computed in the finite element analysis. The
normal stress, on, and shear stress, zm, can be "im-
ported" as known values to the limit equilibrium
analysis and the definition of both the overall and
local factor of safety equations are linear.
3.3 Element identification corresponding to the
base of a slice
Each element must be checked to confirm that the
center of the base of the slice is located within the
element under consideration. Then the stresses cal-
culated by the finite element analysis can be "im-
ported" into the stability analysis. Once the element
embracing the center of a portion along the slip sur-
face is located, stress values from the Gauss points
of the element can be transferred to the nodes of the
element and consequently to the center of the base.
The procedure is in accordance with the method de-
scribed by Bathe (1982).
A common set of coordinates is used to identify
the center of a slice along a slip surface with respect
to the surrounding finite element. The global coordi-
nates for the center of the base are calculated in or-
der to determine the location of the base center
within the slope, and to determine which element is
associated with the center of the base. The local co-
(3) ordinates of the center of the base are then calculated
within the element that encompasses the center of
the base (Fig. 3).
The global coordinates for the center of the base
of a slice are related to the global coordinates of the
finite element nodal points through use of the shape
(4) functions.
x=< N >{XI (5)
y = <N>{Y) (6)
Where x = global x coordinates for the center
of the base of a slice; y = global y coordinates for the
center of the base of a slice; {X) = global x coordi-
nates for the element nodal points; {Y) = global y
coordinates for the element nodal points; and <N> =
matrix of shape functions.
The shape functions <N> are defined in terms of
the local coordinates (r, s). Since the global coordi-
nates for the center of the base of a slice and the
nodes are known, the local coordinates can be ob-
tained by solving Equations (5) and (6), simultane-
ously. The shape functions for a rectangular finite
element with four nodes are as follows (Bathe 1982):
1
NI = - ( l + r ) ( l + s ) ( 7)
4
1
N, = -(1 -r)(l + s ) (8)
4
35
 1 be used to describe the change of a variable within an
N, = - ( 1 - r)( 1 - s ) (9)
4
1 center of the base for each slice be within an ele-
N, = - ( 1 + r ) ( l - s ) (10)
4
where r and s = local coordinates within the element.
The local coordinates vary between -1 and +1 (Fig.
3). A knowledge of the local coordinates is crucial to
identifying the element overlapping the center of the
base of a slice. By definition, an element surrounds
the center of the base of a slice if the following con-
ditions are met:
For a triangular element,
(0 5 r 21) and (0 5 s 21) (1 1)
For a rectangular element,
(-1 5 r 21) and (-1 5 s 21) (12)
The center of the base is outside an element if the
local coordinates are not within the above specified
ranges. The search continues until an element is
found that satisfies these conditions.
3.4 Transfer of element stresses to the center of the
base of a slice
Calculated stresses are stored within the computer
software relative to the Gauss points of an element.
Stresses must be transferred from the Gauss points of
an element to the nodes of the element and then to
the center of the base of a slice.
The local coordinates of a point within a finite
element are defined in relationship to the global co-
ordinates at the nodes of the element by using the
shape functions, as per Equations ( 5 ) and (6):
Y = N,N,N,N, > > (14)
where x and y = global coordinate positions within
the element that are known as the center of base of a
slice (Fig. 4); X and Y = global coordinate at the ele-
ment nodes; and N I , Nz, N3 and N4 = the shape func-
tions defined in Equations 7 to 10.
The stresses from a fmite element analysis are
stored at the Gauss points. The shape functions can
36
element in terms of nodal values. The finite element
slope stability calculations require that stresses at the
ment. This is achieved using the following proce-
dure :
{oIn= < N > {F) (15)
where oIn= stresses at the element node; <N> =
matrix of the shape functions; and {F) = stress values
at the Gauss points.
The local Gauss point integration coordinates are
(0.577, 0.577), however, when the local Gauss point
integration coordinates are projected outward to the
element nodes, the local coordinates become
(1.7320, 1.7320) (Fig. 5). This projection is carried
out for each element and the values for the stresses
from each contributing element are averaged at each
node. Accordingly, the values of ox, q,, and zxy can
be computed at each node of the finite element mesh.
The nodal stresses, ox, q,,and z,), of an element are
transferred to the center of the base of a slice along
the slip surface.
N >{oIn
(o.)=< (16)
where {c$ = stresses at the center of the base of a
slice.
The stresses, ox, q,,and zxy, can now be computed
at the center of the base for each slice.
3.5 The normal and shear stresses at the center of a
slice
Once the stresses, a,, q,,and zxy, are known at the
center of the base for each slice, the normal stress,
o n ,and the mobilized shear stress, z, , can be cal-
culated using Equations (17) and (1S), respectively
(Higdon et al. 1976):
ox + oy + 0, - oycos 2 e
on =- + zxysin28
2 2
(17)
ox- oysin 28
2, = ~xycos2e
- (18)
2
where ox= total stress in the x-direction at the center
of the base;oy = total stress in the y-direction at the
center of the base; zxy= shear stress in the x- and y-
direction at the center of the base; and e = angle
measured from the positive x-axis to the line of ap-
plication of the normal stress.
The above steps provide the necessary information
required to calculate the stability of a slope using the
finite element stresses. The calculated values for the
normal stress, on, and the mobilized shear stress,, ,z
at the center of the base of a slice are entered into
Equations (2) and ( 3 ) to give the resisting shear force
Figure 4. Location of the center of the base along the slip surface within a particular finite element.
Figure 5. Gauss point projections to the nodes of a finite element.
(strength) and the mobilized shear force (actuating
shear), respectively.
The local factor of safety is computed as the ratio
of the resisting shear force to the mobilized shear
force. The overall factor of safety is the sum of the
shear force resistance values divided by the sum of
the actuating shear forces along the slip surface.
37
4 PARAMETRIC STUDIES ON A SIMPLE 2:1
SLOPE
A slope at 2 horizontal to 1 vertical is analyzed for 4
conditions (Scoular, 1997). The first case is a free-
standing slope with zero pore-water pressures and
the slope is referred to as a dry slope (Fig. 6). The
second case is a free-standing slope with a pie-
zometric line at three quarters of the slope height,
and the slope is referred to as a wet slope (Fig. 6).
Figure 6 . Selected 2: 1 free-standing slope with a piezometric line exiting at the toe of the slope.
The third case is a slope partially submerged in wa-
ter with zero pore-water pressures in the slope (re-
ferred to as dry) (Fig. 7). The fourth case is a par-
tially submerged slope with a piezometric line at one
half of the slope height (referred to as wet) (Fig.7).
The partially submerged slope is covered with water
to one half of the slope height, providing support for
the slope and increasing the factors of safety. The
cohesion of the soil was varied from 10 to 40 kPa
and the angle of internal friction was varied from 10
to 30 degrees for each slope type.
4.1 Limit equilibrium analysis
The limit equilibrium analyses are performed using
the General Limit Equilibrium method (GLE),
(Fredlund & Krahn 1977) which provides a com-
bined moment and force equilibrium solution. An
empirical finite element interslice force function,
based on an independent stress analysis (Fan et al.
1986) was used. The General Limit Equilibrium
method along with a finite element interslice force
function provides a method of comparison between
the finite element based analysis and the limit equi-
librium analysis.
4.2 Finite element stress analysis
The finite element stress analysis was performed by
“switching-on” gravity for the free-standing slope
and for the partially submerged slope. The load of
the water and the lateral support it provides to the
38
slope is simulated by point loads equal to the weight
of water on the slope. The analyses are performed
using Poisson’s ratios of 0.33 and 0.48, and a
Young’s modulus equal to 20,000 and 200,000 kPa.
The results showed that the stresses change with a
changing poisson’s ratio, but are constant for
changes in the Young’s modulus. This observation is
consistent with the observations of Matos (1982).
5 RESULTS OF THE FINITE ELEMENT SLOPE
STABILITY METHOD
The local factors of safety differs along the overall
slip surface (Fig. 8). Local factors of safety were
computed for a 2: 1 (dry) slope with a cohesion equal
to 40 kPa and an angle of internal friction equal to
30 degrees. While the local factors of safety differ
along the slip surface, the overall finite element
factors of safety fall within the range of the limit
equilibrium factors of safety. The difference be-
tween the local factors of safety for Poisson’s ratios
of 0.33 and 0.48, calculated using the finite element
method, is reflected in Figure 8. The factor of safety
computed by the limit equilibrium method and the
finite element method appear to be very similar. The
results appear to be within the limits of uncertainty
associated with slope stability calculations. The fi-
nite element method incorporates the stress-strain
characteristics of the soil when computing the shear
strength and actuating shear force of the soil in the
calculation of the factor of safety (Fig. 9).
 Figure 7. Selected 2:1 partially submerged slope with a horizontal piezometric line at mid-slope.

The factor of safety results computed using the
finite element method (i.e., F3 corresponding to a
Poisson's ratio of 0.33, F4 corresponding to a Pois-
son's ratio of 0.48) are compared to the factors of
safety computed using the limit equilibrium method
(GLE) and are shown in Tables 1 and 2. To assess
the variations in the factor of safety by each method
of analysis, the results are grouped according to co-
hesion and angle of internal friction. The factors of
safety grouped according to cohesion, c', are plotted
versus the stability number, [(pVtan&)/cl, (Janbu,
1954). The factors of safety grouped according to
the angle of internal friction, +', are plotted versus
the stability coefficient, (c Y y H ) (Taylor, 1937),
where p is the unit weight of the soil, H is the height
of the slope, $'is the angle of internal friction, and c'
is the cohesion.
The factors of safety are grouped according to the
soil parameters and plotted versus the stability num-
ber and the stability coefficient. The greatest differ-
ence in factors of safety is noticed at high angles of
internal friction, at low values of cohesion and at the
maximum values of Poisson's ratio.
The factors of safety for the (dry) free-standing
slope, when grouped according to cohesion and
plotted versus the stability number (Fig. 10) show a

Figure 8. Presentation of the local and global factors of safety for a 2:1 dry slope.

39
 Table 1. 2: 1 &ee-standing slope
Soil Parameters Dry Wet
GLE F3 F4 GLE F3 F4
kPa degree Finite p=O.33 p = 0.48 Finite p = 0.33 p = 0.48
element element
hnction function
10 10 0.669 0.662 0.672 0.488 0.456 0.467
20 10 0.882 0.867 0.874 0.677 0.634 0.647
10 20 1.131 1.125 1.151 0.782 0.745 0.755
40 10 1.260 1.230 1.239 0.995 0.930 0.953
20 20 1.370 1.352 1.368 1.021 0.969 0.988
10 30 1.615 1.639 1.696 1.102 1.077 1.101
40 20 1.794 1.765 1.775 1.335 1.260 1.293
20 30 1.892 1.884 1.918 1.374 1.287 1.312
40 30 2.356 2.324 2.339 1.741 1.627 1.661

Figure 9. Shear strength and shear force for a 2: 1 dry slope calculated using the finite element method.

Figure 10. Factors of safety versus stability number for a 2: 1 dry slope as a h c t i o n of cohesion.

40
 Table 2. 2: 1 partially submerged slope
Soil Parameters Dry Wet
CI qY GLE F3 F4 GLE F3 F4
kPa degree Finite element ,U = 0.33 ,U = 0.48 Finite ,LI = 0.33 p = 0.48
function element
function
10 10 0.845 0.843 0.827 0.649 0.635 0.641
20 10 1.149 1.115 1.OS5 0.886 0.874 0.880
10 20 1.344 1.425 1.422 1.050 1.046 1.068
20 20 1.618 1.586 1.575 1.318 1.314 1.343
40 10 1.721 1.722 1.691 1.322 1.296 1.316
10 30 1.865 2.08 1 n.s.a.* 1.482 1 SO5 1.530
40 20 2.297 2.385 2.368 13 0 0 1.774 1.795
20 30 2.337 2.268 2.204 1.783 1.763 1.786
40 30 3.006 2.970 2.899 2.303 2.260 2.274
*n.s.a.: no solution achieved

Figure 11. Factor of safety versus stability coefficient for a 2: 1 dry slope as function of angle of internal friction.

Stability Number, [( yHtan4)lc'J

Figure 12. Factor of safety versus stability number as a function of cohesion for a 2:l slope with the piezometric line at % of the
slope height.

41
Figure 13. Factor of safety versus stability coefficient as a function of the angle of internal friction for a 2.1 slope with the pie-
zometric line at % of the slope height.
Figure 14. Factor of safety versus stability number as a fimction of cohesion for a 2:1 dry slope % submerged with water.
slight divergence in the factors of safety when the
cohesion approaches 10 kPa and the angle of inter-
nal friction approach 30 degrees.
The factors of safety by the finite element
method, with a high Poisson’s ratio, is greater than
the General Limit Equilibrium solution. The slight
divergence is evident when the factors of safety are
grouped according to the angle of internal friction
and plotted versus the stability coefficient (Fig. 11).
It is also evident that at high values of cohesion,
(i.e., c’equal to 40 H a ) , The factors of safety com-
puted when using the General Limit Equilibrium
method are greater than those from the finite ele-
ment methods with either Poisson’s ratio value.
The factors of safety for the (wet) free-standing
slope with a piezometric line at three quarters of the
slope height, are grouped according to the cohesion
and plotted versus the stability number (Fig. 12).
The results show a slight divergence between the fi-
42
nite element factors of safety and the General Limit
Equilibrium factors of safety when the cohesion is
40 and 20 kPa. The difference between the factors of
safety by both methods is constant at all values of
cohesion until the angle of internal friction becomes
equal to 30 degrees and cohesion becomes equal to
10 kPa (Fig. 13).
The grouping of the factors of safety according to
the angle of internal friction, plotted versus the sta-
bility coefficient (Fig. 15), shows the same pattern
as for the (dry) free-standing slope (Fig. 10). The dif-
ferences in the results are more pronounced as the
cohesion become less than 10 kPa.
The factors of safety for the partially submerged
slope with a piezometric line at one half of the slope
height were grouped by cohesion and plotted versus
the stability number (Fig. 16). The results show
close agreement between the General Limit Equilib-
rium method and the finite element method. The
Figure 15. Factor of safety versus stability coefficient as a function of internal fkiction for a 2: 1 dry slope % submerged in water.
Figure 16. Factor on safety versus stability number as a function of cohesion for a 2:l slope half submerged with a horizontal pie-
zometric line.
same pattern of divergence is evident as was shown
for the dry soil slope which is partially submerged
(Fig. 14). However, the divergence is not quite as
extensive. The same comments apply to the factor of
safety versus the stability coefficient as shown in
Figure 17.
Plotting the factors of safety for the various slope
conditions, (i.e., dry fi-ee-standing, wet free-standing
and dry partially submerged), versus stability num-
ber on Figure 18, shows the ranking of slopes by
factors of safety. The factor of safety can be esti-
mated for a slope that is similar to one of these cases
by calculating the stability number and selecting the
appropriate value of cohesion and angle of internal
friction.
Both the General Limit Equilibrium method and the
finite element method of slope stability produce
factors of safety that are in close agreement. The ad-
vantage of the finite element method is that the
stress-stain characteristics of the soil are used to de-
43
termine the stress state in the slope. If the limit equi-
librium and finite element factors of safety are
similar for a simple slope than results from the two
methods can be interpreted in similar manners. This
study then sets the stage for using the finite element
method for situations where the limit equilibrium
methods is known to not yield satisfactory results.
The finite element method also produces graphs of
the local factors of safety that can be combined with
the shear strength-actuating shear force plots to help
explain the best support mechanism for the slope.
The close agreement between the factors of safety
when using the limit equilibrium method or the fi-
nite element method, has historically favored the use
of limit equilibrium methods. Examination of the
critical slip surfaces reveals that while the factors of
safety values are close, the location of the critical
slip surfaces may be different.
Figure 17. Factor of safety versus stability coefficient as a function of the angle of internal fiiction for a 2:l slope half submerged
with a horizontal piezometric line.
Figure 18. Factor of safety versus stability number as a h c t i o n of cohesion for a 2:1 slope, evaluated for dry, piezometric and
submerged conditions.
6 ANALYSIS FOR THE LOCATION OF THE
CRITICAL SLIP SURFACE
The location of the critical circle changes depending
on the situation being analyzed. The biggest change
in location of critical slip surface was experienced
for the (wet) free-standing slope (Figs. 19 and 20)
and the (wet) supported slope (Figs. 21 and 22).
In general, the finite element method slip surfaces
go deeper than the limit equilibrium slip surfaces for
the (wet) free-standing slope. The partially sub-
merged slopes show that the limit equilibrium slip
surfaces go deeper than the finite element method
slip surfaces. For the free- standing slope, the finite
element method with a Poisson's ratio equal to 0.48
44
showed the deepest slip surface. For the partially
submerged slope, the finite element method with a
Poisson's ratio equal to 0.48, showed a considerably
shallower slip surface.
7 CONCLUSION
The finite element method of slope stability is a vi-
able method of analysis that is now available for en-
gineering practice. The use of the finite element
method yields more detailed information on the
stress state in the soil than is available horn conven-
tional limit equilibrium methods. This information
can assists engineers in the design of slopes and
slope retaining structures.
Figure 19. Location of the critical slip surface for a slope with a piezometric line where the soil properties are c' = 40 kPa and 4'=
30".

Figure 20. Location of the critical slip surface for a slope with a piezometric line where the factors of safety are closest to 1.O.

The value of Poisson's ratio can affect the calcu-
lation of the factor of safety as well as the location
of the slip surface. With an increasing application of
45
the finite element method to slope stability prob-
lems, a better understanding is required regarding
the effect of Poisson's ratio and the overall deforma-
tion model on the stability of slopes.
Figure 21. Location of the critical slip surface for a half submerged slope where the soil properties are c' = 40kPa and qY = 30".

Figure 22. Location of the critical slip surface for a submerged slope where the factors of safety are closest to 1.O.

The finite element stress analysis provides input boundary conditions are being used and that a rea-
information for the calculation of the stability of a sonable stress-deformation model is being used.
slope. Further research must be undertaken on the With this assurance, soil structures can be better de-
stress analysis in order to ensure that the proper signed to account for a variety of stress conditions.

46
ACKNOWLEDGEMENTS Leshchinsky, D. 1990. Slope stability analysis: Generalized
approach. .Journal of' Geotechnical Engineering. ASCE
The authors want to acknowledge the initial dis- 116(5): 851-867.
Martins, J.B., E.B. Reis & A.C. Matos 1981. New methods of
cussions regarding the potential for using a finite analysis for stability of slopes. Proc. lU[h In/. Conf.. Soil
element slope stability method that were held with Mech. Found. Eng. 3: 463-467.
Prof. Wong Kai Sin of Nanyang Technological Uni- Matos, A.C. 1982. The numerical influence of the Poisson ratio
versity, Singapore. These discussions formed the ba- on the safety factor. Proceedings of' the Jth ltiterticrfiorial
sis for the study of this topic. The assistance of Dr. Confiretice on Nutmrical Methods in Geo-Mechanics 1 :
207-21 I .
Fangsheng Shuai, Ms. Noshin Zaderzadeh and Ms. Morgenstern, N.R. & V.E. Price 1965. The analysis of the sta-
Brigitte Boldt-Leppin in assembling this manuscript bility of general slip surfaces. Geotechniqzre I5( 1 ): 79-93.
is also acknowledged. The authors are also grateful Naylor. D.J. 1982. Finite elements and slope stability. N u m e ~ i -
to Geo-Slope International, Calgary, for the modifi- cul 1bfethorLs in Geomechanics. D. Reidel Publishing Com-
cations made to their software in order that this pany.
study could be readily performed. ResCndiz, D. 1972. Accuracy of embankment deformations.
Proceedings, ASCE Specierlly C'oiference on Perjormcrnce
of Eurlh trnd Etrr/h-Supportecl Slriic/ures, Purdue Univer-
sity. West Lafayette, Indiana, 12-14 June, l(Part 1): 817-
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Resendiz, D. 1974. Accuracy of equilibrium slope stability
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slope stability analysis method for dams. Proc. 11th Inl. vision, ASCE I OO(GT8): 967-970.
Conj.. Soil Mech. Found Big. 2: 7 13-718. Scoular, R.E.G. 1997. Limit equilibrium slope stability analysis
Bathe, K.J. 1982. Finite element procedures in engineering using a stress analysis. MSc. Thesis, (Jniversioq ? f Sas-
analysis: 200-233. Prentice-Hall. katchewm, Srrskatoon, Cunudu.
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force %nction for limit equilibrium slope stability analysis. ciated and non-associated visco-plasticity and plasticity in
Cariaclian GeorechriiccrlJournal23 (3):287-296. soil Mechanics. Gdotechnique 25(4): 67 1-689.
Farias, M.M. & D.J. Naylor 1996. Safety analysis using finite
elements, Infogeo 96, Sa6 Paulo, Brazil.
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methods of analysis. Catieidicm Geotechnique 14(3): 429-
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Fredlund, D.G., J. Krahn & D.E. Pufahl 1981. The relationship
between limit equilibrium slope stability methods. Proc .f
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47
This Page Intentionally Left Blank
 Slope Stability Engineering, Yagi, Yamagami & Jiang (( ) 1999 Balkema, Rotterdam, ISBN 90 5809 079 5

Stability of geosynthetic reinforced steep slopes

D. Leshchinsky
University of Deluwure, Newark, Del., USA

ABSTRACT: To produce design of stable reinforced steep slopes, a framework for stability analysis is pre-
sented. Elements such as local, compound, global and direct sliding stability are ensured. Other stability
analysis methods can be implemented using the presented framework as a generic template. To produce eco-
nomical designs, a meaningful definition of factor of safety is introduced. It is applicable to slopes that are
stable only due to the reinforcement tensile resistance. Furthermore, the phenomenon of progressive failure,
comnion to reinforced earth structures, is addressed in the context of design. A hybrid type of stability analy-
sis is employed. Peak shear strength dictates the location of the critical slip surfaces and hence sets the rein-
forcement layout. Residual strength is used to estimate the required force reaction of the reinforcement in case
shear bands are fully developed along the traces of the critical slip surfaces. Also presented is an instructive
parametric study. Finally, general guidelines about the selection of long-term geosynthetic strength and a
comparison with a case history are discussed.

1 INTRODUCTION 2 DESIGN-OIRIENTED ANALYSIS

Soil is an abundant construction material that, similar 2.1 General

to concrete, has high compressive strength but virtu-
ally no tensile strength. To overcome this weakness,
soils, like concrete, may be reinforced. The materials
typically used to reinforce soil are relatively light and
flexible, and though extensible, possess a high tensile
strength. Examples of such materials include thin
steel strips and polymeric materials commonly known
as geosynthetics (i.e., geotextiles and geogrids).
When soils and reinforcement are combined, a com-
posite material, the so-called 'reinforced soil', pos-
sessing h g h compressive and tensile strength (similar,
in principle, to reinforced concrete) is produced.
The increase in strength of the reinforced earth
structure allows for the construction of steep slopes.
Compared with all other alternatives, geosynthetic
reinforced steep slopes are cost-effective. As a result,
various earth structures reinforced with geosynthetics
are being constructed worldwide with increased
frequency, even in permanent and critical applications
(Tatsuoka and Leshchinsky, 1994).
This paper describes a design process for geo-
synthetic reinforced steep slopes. It includes the de-
tails of the various stability analyses used to determine
the required layout and strength of the reinforcing
material. It also details the relevant material proper-
ties, suggests a new concept related to the factor of
safety quantifying stability, and addresses the phe-
nomenon of progressive failure.
Limit equilibrium analysis has been used for dec-
ades in the design of earth slopes. Attractive fea-
tures of this analysis include experience of practitio-
ners with its application, simple input data, useful
(though limited) output design information, and re-
sults that can be checked for 'reasonableness'
through a different limit equilibrium analysis
method, charts, or even hand calculations. Conse-
quently, extension of this analysis to the design of
geosynthetics reinforced steep slopes, where the re-
inforcement is tangibly modeled, is desirable. The
main drawbacks of limit equilibrium analysis are its
inability to deal with displacements and its limited
representation of the interaction between dissimilar
or incompatible materials comprising the slope.
Typically, adequate selection of materials properties
and safety factors should ensure acceptable dis-
placements, including safe level of reinforcement
deformation.
In principle, inclusion of geosynthetic
reinforcement in limit equilibrium analysis is a
straightforward process in which the tensile force in
the geosynthetic material is included directly in the
limit equilibrium equations to assess its effects on
stability. However, the inclination of this tensile force
must be assumed. Physically, its angle may vary
between the as-installed (typically horizontal) and the

49
tangent to the potential slip surface. By using a log
spiral mechanism, Leshchinsky and Boedeker (1 989)
have demonstrated that for typical cohesionless
backfill, this inclination has little effect on both the
required strength and layout of reinforcement.
Conversely, Lesliclinsky (1992) pointed out that for
problems such as reinforced embankments over soft
(cohesive) soil, the inclination of the reinforcing
geosynthetic, located at the foundation and backfill
interface, plays a significant role. The long-term value
of cohesion used in design of manmade reinforced
steep slopes (i.e., the topic of this paper) is negligibly
small and hence, inclination has little effects.
Therefore, the force can be assumed horizontal
without being overly conservative.
A potentially significant problem in limit
equilibrium analysis of reinforced soil is the need to
know the force in each reinforcement layer at the
limit-state. Physically, this force may vary between
zero and the ultimate strength when the slope is at a
global state of limit equilibrium. Assuming the actual
force is known in advance, as is commonly done in
analysis-oriented approach, implies the reinforcement
force is actually active, regardless of the problem.
The designer then assumes the available ‘active’ force
of each reinforcement layer to ensure that overall
satisfactory state of limit equilibrium is obtained. The
end result of such assumption may yield a slope in
which some layers actually provide more force than
their long-term available strength while other layers
are hardly stressed. To overcome the potential
problem of local instability, a rational methodology to
estimate the required (Le., reactive) reinforcement
tensile resistance of each layer is introduced via a
‘tieback analysis’ or internal stability analysis.
Consequently, the designer can verify whether an
individual layer is overstressed or understressed,
regardless of the overall stability of the slope. Once
this problem of ‘local stability’ is resolved, overall
stability of the slope is assessed through rotational and
translational mechanisms. The rotational mechanism
(termed in this paper ‘compound stability’ or ‘pullout
analysis’) examines slip surfaces extending between
the slope face and the retained soil. The force in the
geosynthetic layers in this limit-state slope stability
analysis is taken directly as the maximum available
long-term value for each layer. The translational
analysis (‘direct sliding’) is based on the two-part
wedge method in which the passive wedge is sliding
either over or below the bottom reinforcement layer,
or along the interface with the foundation soil.
A new concept included in this paper relates to ade-
quate definition of factor of safety of reinforced steep
slopes. It suggests a rational and physically meaning-
ful alternative to the conventional factor of safety used
in slope stability analysis. In fact, this factor of safety
can be measured in an actual structure.
50
2.2 On the factor of safety in reinforced steep slopes
Limit equilibrium analysis deals with systems that
are on the verge of failure. However, existing slopes
are stable. To analyze such slopes, the concept of
factor of safety, Fs, has been introduced. In unrein-
forced slopes, Fs is used to replace the existing soil
with artificial one, in which the shear strength is &,
= tan-’(tan$/Fs) and cn, = c/Fs where $m and c,,, are
the ‘design’ shear strength parameter of the artificial
soil. Alternatively, these values represent the aver-
age mobilized shear strength of the actual soil. Em-
ploying the notion of Fs in limit equilibrium reduces
the statical indeterminacy of the stable slope formu-
lation via use of Mohr-Coulomb failure criterion. It
also provides an object for minimization. Fs have
little physical significance unless viewed in an aver-
age sense. The extensive experience with limit
equilibrium analysis, however, has produced engi-
neering database providing acceptable values of Fs.
Extension of limit equilibrium stability analysis to
reinforced steep slopes requires modification of Fs
definition. Leshchinsky and Reinschmidt (1985),
for example, applied Fs equally to all shear-resisting
components, be it soil or reinforcement. This ren-
ders Fs that is even less physically meaningful then
the one used in unreinforced slopes (e.g., symboliz-
ing the same average reduction of strength of dis-
similar materials that are attaining a limit equilib-
rium state simultaneously). Current federal design
guidelines in the US (Elias and Christopher, 1997)
define the factor of safety for reinforced slope as:
Fs = Fsu + Mr / Md (1)
where Fsu is the factor of safety for the unreinforced
slope and Mr and Md are the resisting moment due
to reinforcement and the total driving moment, re-
spectively. Mr and Md are calculated for the same
slip surface as Fsu. Such an approach yields an
overall factor of safety whose physical meaning is
difficult to interpret. Moreover, it treats the rein-
forcement as pure moment (i.e., only Mr resulting
from reinforcement force is considered; actual force
is not included in the equilibrium equations).
Rather than extending the conventional definition
of Fs, one can take advantage of the fact that rein-
forced steep slopes are stable solely due to the rein-
forcement tensile resistance. The full strength of the
soil will mobilize along slip surfaces. By definition,
‘Fs’ for the soil alone in this case is unity every-
where along the slip surface (i.e., a plastic ‘hinge’
develops mobilizing the available strength of the
soil). For this state, the required reinforcement force
needed to restore a state of limit equilibrium can be
calculated. As an example, see Figure 2 where a log
spiral mechanism is used. The stability of the slope
now hinges on the reinforcement strength. Hence,
the factor of safety can be defines as:

Fs = tavailable
(4
trequired
where tavailable is the long-term available strength and
trequired is the strength required for stability (i.e., for a
limit equilibrium state). This definition signifies a
factor of safety with respect to the reinforcement
available strength, a value that can actually be
measured in a structure.
The modified definition of Fs is based on the
premise that the soil will attain its full strength be-
fore the reinforcement ruptures; i.e., the soil will at-
tain an ‘active’ state exactly as assumed in design of
retaining walls including those reinforced with geo-
synthetics. Geosynthetic materials are ductile typi-
cally rupturing at strains greater than 10% thus allow
sufficient deformations to develop within the soil to
reach active state. In reality, most of the deformation
needed to develop the active state will occur during
construction as the geosynthetic mobilizes its
strength. It should be noted, however, that this ‘ac-
tive state’ approach needs further verification if used
with clayey backfill.
2.3 Internal stability analysis
Internal stability analysis (also termed tieback analy-
sis) is used to determine the required tensile resis-
tance of the each layer needed to ensure a reinforced
mass that is safe against internal collapse due to its
own weight and surcharge loading. In the context of
retaining walls, this analysis identifies the tensile
force needed to resist the active lateral earth pressure
at the face of the steep slope. That is, the tensile
force needed to restrain the steep slope from sliding
along potential slip surfaces that emerge along the
face of the slope. The reinforcement tensile force
capacity is made possible through sufficient anchor-
age of each layer into the stable soil zone located
behind the active zone.
Figure 1 . Notation and convention.
Figure 2. Log spiral slip surface and its statical implications.
Figure 1 shows notation and convention. Rein-
forcement is comprised of primary and secondary
layers. Only the primary layers are considered in
analysis. In practice, secondary layers allow for
better compaction near the face of the steep slope
and thus reduce the potential for sloughing. The
secondary layers are narrow (typically 1 m wide)
and are installed only if the primary layers are
spaced far apart (e.g., more than about 0.6 m apart).
At the slope face, the geosynthetic layers may be
wrapped around the exposed portion of the soil mass
or, if some cohesion exists, the layers may simply
terminate at the slope face as shown in Figure 1.
Steep slopes are defined as slopes inclined at an-
gles for which they are considered unstable without
reinforcement. For example, a slope would be con-
sidered steep if its inclination is larger than its angle of
repose if granular backfill is used (i.e., i>$d where i
and @d are the slope inclination and angle of repose, or
design friction angle, respectively). Consequently, in
steep slopes the force in the reinforcement is activated
by an unstable soil mass. That is, the reactive force
mobilized in each reinforcement layer has to restore a
limit equilibrium state.
In general, the following rational could have been
used with any type of stability analysis. However, it is
most convenient to use it in conjunction with log spi-
ral stability analysis. This analysis produces the loca-
tion of the critical slip surface and subsequently, the
necessary reactive force in the reinforcement.
The log spiral mechanism makes the problem stati-
cally determinate. For an assumed log spiral failure
surface which is fully defined by the parameters xo yc

51
and A , the moment equilibrium equation about the
pole can be written explicitly without resorting to
statical assumptions (see Figure 2). Consequently, by
comparing the driving and resisting moments, one can
check whether the mass defined by the assumed log
spiral is stable for the design values of the shear
strength parameters: 4d and c d and the distribution of
reinforcement force $. This check is repeated for
other potential slip surfaces until the least stable sys-
tem is found. That is, until the maximum required re-
storing reinforcement force is found. The terms K17
and K,, (see Figure 2) represent the seismic coeffi-
cients introducing pseudo-static force components. It
is assumed to act at the center of gravity of the critical
mass. No surcharge is shown in Figure 2 to simplify
the presentation; however, inclusion of its effects in
the moment equilibrium equations is straightforward.
In this case, K h is also applied to the surcharge load,
rendering a horizontal pseudo-static force at the crest,
where the surcharge acts.
Figure 3 illustrates the computation scheme for es-
timating the tensile reaction in each reinforcement
layer. In STEP I, the soil mass acting against D, is
considered. Note that D, is signified by a reinforce-
ment layer wrapped around the slope face (see Figure
3), thus making it physically feasible for a mass of soil
to be laterally supported, resulting in a locally stable
mass. That is, D,is considered as a 'facing unit' (i.e.,
an imaginary facing element in the front edge of the
Figure 3. Scheme for calculating tensile reaction in reinforce-
reinforced soil mass) preventing slides of unstable soil ment layers
above that tend to emerge through it. This facing is
capable of providing lateral support through the de-
velopment of tensile force in the geosynthetic. The forcement level. Application of appropriate factors
moment equilibrium equation is used to find the criti- of safety to the required reinforcement strength
cal log spiral producing max(t,J employing the free- should ensure selection of geosynthetic possessing
body diagram shown in Figure 3 while examining adequate long-term strength at each level.
many potential surfaces. The resulted tn counterbal- Note that cohesive steep slopes are stable up to a
ances the horizontal pressure against 0,and thus, sig- certain height. Consequently, the scheme in Figure 3
nifies the reactive force in layer n. That is, the re- may produce zero reactive force in top layers.
sulted t, represents the force needed to restore Though these layers may not be needed for local sta-
equilibrium and hence stability. Note that D,7 was bility, they may be needed to resist compound failure
chosen to extend down to layer n. This tributary area as discussed in the next section.
implies a 'toe' failure that activates the largest possible The outer-most critical log spiral defines the ex-
reaction force. treme surface as dictated by Layer I. In conventional
In STEP 2, the force against D,]-Jis calculated. internal stability analysis it signifies the extent of the
&-, extends from layer y2 to layer (n-1). Using the 'active zone'; i.e., it is the boundary between the slid-
moment equilibrium equation, max(t,-J, required to ing soil mass and the stable soil. Consequently, rein-
retain the pressure exerted by the unstable mass forcement layers are anchored into the stable soil to
against D,,-,, is calculated. When calculating t,,-/,the ensure their capacity to develop the calculated tensile
reaction t,,, determined in STEP I, is known in mag- reaction tJ (see Figure 4). The 'stable' soil may not be
nitude and point of action. Hence, the reactive force immediately adjacent to this outer-most log spiral and
in layer (n-1) is the only unknown to be determined therefore, some layers should be extended further to
from the moment equilibrium equation. ensure satisfactory stability (see next section).
Figure 3 shows that by repeating this process, the Note in Figures 3 and 4 that the reinforcement lay-
distribution of reactive forces for all reinforcing lay- ers are wrapped around the overlying layer of soil to
ers, down to t l , are calculated while supplying the form the slope face. However, in slopes that are not
demand for a limit equilibrium state at each rein- as steep (say, i<50 9, typically there is no wrap around

52
the face or any other type of facing. In this case, load each reinforcement layer needed to ensure adequate
transfer fiom each unstable soil mass to the respective stability against rotational failures.
reinforcement layer is feasible due to a 'coherent' mass Internal stability analysis gives the required rein-
formed at the face. This mass may be formed by soil forcement strength at each level. In actual practice,
arching, by a trace of cohesion and by closely spaced however, specified reinforcement layers will have al-
reinforcement layers. The end result is a soil 'plug,' in lowable strengths in excess of that required (Le., tj I
a sense similar to the one developed at the bottom of a t(allowab1e)jwhereas tallowable 5 tavailable and tavailable is the
driven open-end pile, that acts de fact0 as a facing unit long-term available strength of the geosynthetics).
thus making feasible the load transfer into the primary The end result is that globally, the tieback analysis re-
reinforcement layer. It should be pointed out that quires only m reinforcement layers extending outside
'closely spaced reinforcement' does not necessarily the 'active' zone and into the stable soil. That is, the
mean closely spaced primary reinforcement layers; m layers are sufficient to maintain stability of the ac-
simply, thls 'plug' can be created by the combination tive mass as a whole. Internally, however, layers
of secondary and primary layers acting together to (m+l) through n are also needed to ensure local sta-
create a coherent mass. Since reinforcement layers, bility as implied in the scheme presented in Figure 3.
including primary and secondary layers, are spaced To calculate the minimum number of layers, m, the
approximately 30 cm apart in practice, and since the following equation is used:
secondary layers extend at least about 1 m into the
slope, the contribution of secondary layers to the for- m n
mation of a Yacing' should not be ignored. With time,
c t(a1lowable )j c tj ( 31
j = I j=1
surface vegetation and its root mat enhances this Yac-
ing.' The end result of forming a coherent face is not Note that m is the number of layers, counting from the
just an efficient load transfer fiom the deeply unstable bottom, capable of developing a total tensile resistance
soil mass to the reinforcement, but also improved equal to (or slightly exceeding) the net total force ob-
surficial stability and erosion resistance. tained fiom the internal stability analysis. When m =
n the compound stability degenerates to that intro-
2.4 Compound (or pullout) stability analysis duced by Leshchinsky (1992). The m layers may con-
tribute their full allowable strength simultaneously to
For a given geometry, pore-water pressure distribution
global stability when compound stability of the rein-
and (#d and c d ) , the internal stability analysis provides forced system is examined. The assumption of si-
the required tensile resistance at the level of each rein- multaneous availability of reinforcement strength is
forcement layer. It also yields the trace of the outer-
commonly used in limit equilibrium stability analysis
most log spiral defining the 'active' soil zone, a notion of reinforced slopes.
commonly used in conjunction with analysis of re-
taining walls. In reinforced soil structures, the capac- Embedding the layers immediately to the right of the
outermost log spiral obtained in the internal stability
ity of the reinforcement to develop the required tensile
analysis, so that t&,l,able for layers I through m and t,
resistance depends also on its pullout resistance;. i.e.,.
the length kchored into the siable soil zone. If the
boundary of this stable zone is indeed defined by the
'active' one, then potential slip surfaces that are pass-
ing further into the soil mass than the outermost log
spiral in Figure 4, outside or within the effective an-
chorage length, will never be critical. However, such
potential surfaces may render reduced pullout resis-
tance since the effective anchorage length is short-
ened. That is, the reduced tensile resistance capacity
along these surfaces could potentially produce a glob-
ally unstable system. Consequently, a conventional
slope stability approach is used to determine the re-
quired reinforcement length so that compound failures
(i.e., surfaces extending into the unreinforced soil
zone) will not be likely to occur. The term 'conven-
tional' refers to the nature of the analysis in which
global stability is sought (recall that internal stability,
or tieback analysis, looks at local stability at the ele-
vation Of each reinforcing layer)* The Objective Of the Figure 4. Tensile reaction transferred into soil next to active
compound analysis is to find the minimum length of zone.

53
for layers (m+I) through n can develop through
pullout resistance, ensures that, in an average sense,
the mobilized friction angle, $mob, along this log spi-
ral is equal to, or slightly less than, (bd. The upper
layers)I+‘( through n (see points A, B and C in
Figure 5 ) are not needed for the global stability of
the ‘active’ mass and therefore, from a theoretical
view point could be ignored at points A, B and C.
Note that the mobilized friction angle, (bf&,, repre-
sents the required angle to produce a limit equilib-
rium state while using the allowable reinforcement
strength. Hence, when (bnzob < (bd, a fictitious situa-
tion is analyzed; i.e., the system is actually stable
since the available soil strength, as expressed by (bd,
is larger than needed, (b),,&, for a limit equilibrium
state. Only when $,,lob = (bd is a limit equilibrium
state achieved.
At this stage of analysis, reinforcement layers I
through m are lengthened to a test body defined by an
arbitrary log spiral extending between the toe and the
crest, to the right of the outermost log spiral (Figure
5). Each layer beyond the slip surface is embedded so
that the calculated t(a/lo\vab/e)j can be developed; (b& for
this surface will be smaller than (bd used in design (i.e.,
for this layout, the outermost surface from internal
stability analysis is most critical). The upper rein-
forcement layer is truncated in a numerical sense (i.e.,
t,,, = 0), and the moment equilibrium equation for the
arbitrary log spiral is used to check whether (bmob = (bd.
If (br,lob = (bd than layer m is sufficiently long (see point
D in Figure 5); otherwise, lengthen this layer and re-
peat calculations until satisfactory length is found. A
satisfactory length implies that the critical log spiral
passing through point D yields a stable system for the
design friction angle, (bd; all feasible log spirals be-
tween this one and the one from the internal stability
have (b,nob < (bd indicating they represent less critical
mechanisms (note that the strength of layers I through
m is available between these two log spirals).
The process is repeated to find the required length
of layer (m-1) (Figure 5). Since the layers above were
already ‘truncated’, they no longer contribute tensile
resistance to deeper slip surfaces. Once the process
has been repeated for all layers down to layer 1, the
length of all layers (curve DEFGH in Figure 5 ) re-
quired to ensure that (&job does not exceed $d for all
possible log spiral failure surfaces is found. To be
slightly conservative (and to avoid consideration of
surfaces where only a fraction of the pullout resistance
is available), all anchorage lengths may be specified
beyond points D, E, F and G. This simplification is
conservative since, contrary to the compound analysis
procedure, it ensures the following: f(a/lol&le)f,l at point
D (not zero resistance at D); ~(a//o)t~ab/e)m-l
at point E (not
zero resistance at E); and so on. Since the anchorage
length of planar geosynthetic sheet is typically small
(only a few centimeters) relative to its total required
54
length in practical problems, this simplification is rea-
sonably conservative. In a theoretical sense, this sim-
plification is not needed, however, it greatly simplify
any computational procedure.
Compound critical surfaces emerging above the toe
are also possible and consequently, the procedure in
Figure 5 should be formally repeated for slip surfaces
emerging through the face of the slope. Subsequently,
layers previously truncated are lengthened if neces-
sary to ensure that (b,,job 5 (bd.
Specifying a layout similar to the envelope
ABCDEFG will contain, at least, m potential slip sur-
faces, all having the same minimal safety factor
against rotational failure (see Figure 5). However, be-
cause of practical considerations, a uniform or linearly
varying length of layers is specified in practice. As a
result, the number of such equally critical slip surfaces
is reduced in actual structure since most layers are
longer, and typically, some are stronger than optimally
needed.
Finally, anchorage lengths are calculated to resist
pullout forces equal to the required allowable strength
of each layer multiplied by a factor of safety Fs.po. In
these calculations the overburden pressure along the
anchored length and the parameter defining the shear
strength of the interface between soil and reinforce-
ment are used. This parameter, C,, termed the inter-
action coefficient, relates the interface strength to the
reinforced soil design strength parameters: tan(& and
cd. The interaction coefficient is typically determined
from a pullout test. The required anchorage length of
layerj then equals t/ / (c~~,C,,[tay2((b&+cd]} where 4;
signifies the average overburden pressure above the
anchored length. Adding the anchorage length to the
length needed to resist compound failure produces the
total length required to resist tieback and compound
failure. This length ensures that sufficient pullout re-
sistance exists for all layers and therefore, sometimes
termed Pullout Analysis. It considers compound fail-
ure developing in both the reinforced and retained
soil.
2.5 Direct sliding analysis
Specifying reinforcement layout that satisfies a pre-
scribed (bd against rotational failure does not guarantee
sufficient resistance against direct sliding of the rein-
forced mass along its interface with the foundation
soil, or along any reinforcement layer. The rein-
forcement length required to ensure stability against
failure due to direct sliding, L k , can be determined
from a limit equilibrium analysis that satisfies force
equilibrium; i.e., the two-part wedge method.
Figure 6 shows the notation used in defining the ge-
ometry and forces in the two-part wedge analysis.
First, an initial value of Lds is assumed. Then, for an
Figure 5. Length required to resist compound/pullout failure.

ussurned interwedge force inclination, 6, the maxi-

mum value of the interwedge force, P,,,, is found by
varying 0 while solving the two force equilibrium
equdions for the active Wedge A. This interwedge
force signifies the resultant of the lateral earth pres-
sure exerted by the backfill soil on the reinforced soil.
Next, the vertical force equilibrium equation for
Wedge B is solved considering the vertical component
of the lateral thrust of the active wedge (i.e., Pnt,sin@.
The reaction NU is obtained and the base sliding re-
sisting force of Wedge B, TR,is calculated.
When calculating TB, the coefficient Cd, is used
(Cd, = the interaction coefficient between the rein-
forcement and the soil as determined from a direct
shear test). If the bottom layer is placed directly over
the foundation soil, two values of C d , are needed: one
for the interface with the reinforced soil and the other
for the interface with the foundation soil.
At this stage, the actual factor of safety against di-
rect sliding, Fs.ds, is calculated by comparing the re- Figure 6. Two-part wedge mechanism used in direct sliding
sistiiig force with the driving force: analysis.

TB direct sliding equals to the prescribed value.

FWA =- (4) The assumed value of 6 may have significant influ-
P cos 6
ence on the outcome of the analysis. Selecting s>O
implies the retained soil will either settle relative to
This factor of safety corresponds to the assumed value the reinforced soil and/or the reinforced soil will
of Lds. In case it is unsatisfactory, the value of L d s is slide slightly as a monolithic block thus allowing
changed and the process is repeated for Wedge A and interwedge friction to develop. Some reinforcement
Wedge B until the computed factor of safety against layers will typically intersect the interwedge inter-
Figure 5 . Length required to resist compound/pullout failure.

Figure 6. Two-part wedge mechanism used in direct sliding

analysis.

face (especially if i < 70 "). However, the tensile re- stability calculations. Consequently, selecting a
sistance of these reinforcement layers is ignored in value of 6 in between (2/3)$d and $d should be
viewed as a conservative choice.

56
 The techmque for incorporating seismicity into the
force equilibrium analysis is shown in Figure 6. In a
pseudo-static approach, however, large seismic coeffi-
cients may produce unrealistically large reinforced
soil block, Wedge B. In this case, a permanent dis-
placement type of analysis (i.e., Newmark's stick-slip
model) is recommended. Alternatively, one may
eliminate inertia fiom Wedge B, analogous, in a sense,
to Mononobe-Okabe model used in analysis of gravity
walls. Only the 'dynamic' effects on P are superim-
posed then on the statical problem.
Finally, note that FSas is imposed when using 4 d
and cd. In the context of limit equilibrium analysis,
this may constitute a 'double taxation.' That is, if peak
shear strength parameters are used, such a factor of
safety is essential. However, if (bd and cd equal to or
smaller than the residual strength values (see discus-
sion later on progressive failure) then imposing Fs-ds is
unnecessary.
2.6 Commentary
No conventional factor of safety was used in the
limiting equilibrium analysis. This is possible
since the unreinforced slopes are considered
unstable thus enabling the soil to mobilize its full
strength (i.e., attain an active state).
The presented approach assumes the foundation to
be competent and therefore, deepseated failures
were not considered. However, the computational
procedure can be modified for slip surfaces that
penetrate the foundation soil.
The approach can be modified to include any
type of limit equilibrium analysis. In case of
generalized approach, separation into direct
sliding and compound stability is not needed.
However, search routines in generalized methods
must be capable of capturing critical surfaces of
greatly different geometries. Furthermore, the
problem may posses several minima thus
complicating the search.
Possibility of surficial failure is ignored in the
presented procedure. The presented approach
can be modified to deal with this issue by
assigning low or zero reinforcement strength at
the face provided the geosynthetic is not
wrapped around. However, for steep slopes,
strict limit equilibrium analysis will indicate
insufficient stability at the surface. The
empirical concept of soil 'plug' is assumed to be
valid for closely spaced reinforcement layers.
In the strict sense of analysis, log spiral slip surface is
valid for homogenous soil only. However, in the
57
compound failure analyses (Figure 5), this surface
passes through both reinforced and retained soil and
possibly, even through the foundation soil. As an ap-
proximation, one can use an averaging technique,
considering the compound failure surface lengths in
the reinforced soil and in the retained soil, to find
equivalent values for & and cd to be used in analysis.
The value of the equivalent $hd is used to define the
trace of the log spiral passing through the reinforced
and retained soils.
3 DESIGN CONSIDERATIONS
3.1 General
The presented approach is based on the state of lim-
iting equilibrium. Such a state deals, by definition,
with a slope that is at the onset of failure. Applica-
tion of adequate safety factors should ensure accept-
able margins of safety against the various failure
mechanisms analyzed. It is implicitly assumed that
the different materials involved (i.e., the geosyn-
thetic materials and soils) will all contribute their
design strengths simultaneously to attain a state of
limit equilibrium. For materials having constant
plastic shear strength after some deformation (e.g.,
soils), such an assumption is realistic. However, not
all materials in the reinforced soil system possess
this idealized plasticity. Consequently, the follow-
ing guidance is provided for selecting material prop-
erties.
3.2 Progressive failure and soil shear strength
Slip surface development in soil is a progressive phe-
nomenon, especially in reinforced soil where rein-
forcement layers delay the formation of a surface in
their vicinity (e.g., Huang et al., 1994). Zornberg et
al. (1998) discuss the elapsed time between failure
initiation and complete collapse observed in cen-
trifugal models of reinforced slopes. Clearly, this
observation indicates a phenomenon of progressive
failure implying that while the soil is about to reach
its peak strength along portions of the slip surface, it
has already passed the peak along other portions,
perhaps reaching its residual strength. Leshchinsky
et al. (1 995) recommended that the design values of 4
and c (i.e., 4d cd) should not exceed the residual
strength of the soil. This would ensure that at the state
of a fully developed slip surface, the shear strength
used in the limit equilibrium analysis is indeed attain-
able all along the slip surface.
Use of residual strength has clear cost implica-
tions in the design of reinforced steep slopes. The
required strength of the reinforcement increases
somewhat (see next section). However, the required
length of reinforcement increases significantly since determine the geosynthetic reactive force. In
much deeper slip surfaces are predicted. For com- compound analysis use $residual in the limiting
pacted granular soil, an increase in length of 30 to equilibrium equations to assess the required rein-
50% might typically be required. This additional forcement strength along slip surfaces deter-
length makes construction more difficult, especially mined using $peak.
if space constraint exists (e.g., widening existing
embankment), thus rendering construction more ex- It is entirely possible that the backfill in steep
pensive than just the cost of extra reinforcing mate- slopes will deform (during or after construction)
rial. Hence, this combined with what currently ap- mobilizing the soil beyond its peak strength. There-
pears as overly conservative designed reinforced fore, the stability of steep slope may hinge then upon
steep slopes create a need to introduce a less conser- the strength of the reinforcement. Consequently, the
vative design approach. reinforcement strength becomes critical to stability
It is an experimental observation that only one slip in case residual strength develops. Note that the hy-
‘surface’ develops during the shear of granular dense brid approach recognizes that slip surfaces will initi-
soil element (i.e., unreinforced soil in triaxial or plane ate and have a trace based on the soil peak strength.
strain tests). In these tests, Mohr circle at failure However, possible development of progressive fail-
combined with Coulomb failure envelop indicates that ure is also recognized and at this state, the ductile
the shear surface is inclined at an initial angle of (45”+ reinforcement should be sufficiently strong to keep
$ p e k / 2 ) to 03. As displacement continues, a shear the system stable. It should be pointed out that in a
band forms and the residual state of strength is sense, Tatsuoka et al. (1998) proposed a similar hy-
reached. As an example, see Figure 7, reproduced brid approach, however, it was limited to seismic
from Yoshida and Tatsuoka (1997). Observing Figure design of reinforced walls.
7 (unreinforced soil element), as well as measured The proposed procedure may result in signifi-
traces of slip surfaces in centrifugal models of rein- cantly shorter reinforcement as compared to using
forced granular slopes presented by Zornberg et al. &esidual. However, the required reinforcement
(1998), indicates a unique slip ‘surface’ within the strength will be somewhat larger than that computed
shear zone. That is, there are no two different slip sur- by using $peak.
faces, one attributed to $peak and the other to $residual; If cohesive fill is used, extreme care should be used
instead, a rather narrow shear band is developed. when specifying the cohesion value. Cohesion has
Based on plane strain compression tests con- significant effects on stability and thus the required
ducted on 12 different unreinforced sands, Yoshida reinforcement strength. In fact, a small value of cohe-
and Tatsuoka (1 997) have demonstrated that the av-
erage inclination of the shear band (i.e., the ‘slip’
surface) is approximately related to $peak having a
value that is slightly less than (45”+ $peak/2). This
observation, however, is valid for medium to fine
sand while the confining pressure is less than, say,
100 kPa. Zornberg et al. (1998) have demonstrated
that a single ‘slip’ surface also develops in rein-
forced slopes. Via limit equilibrium back-
calculations, Zornberg et al. (1 998) have shown that
indeed their traced slip surfaces correspond well to
$peak. Consequently, the following hybrid procedure
is proposed for design when granular compacted fill
is used:
Use $peak and limit equilibrium analysis to locate
the critical slip surfaces. These surfaces will be
used to determine the required layout of geo-
synthetic layers (i.e., length and spacing). Note
that in reinforced slopes there can be several
equally critical slip surfaces.
Use $residual along traces of the critical slip sur-
faces determined in ( a ) to compute the required
Figure 7 . Shear band in plane strain compression test (Ticino
geosynthetic strength. That is, in internal stabil- sand: Dr = 79%, DjO = 0.527 mm, at u3 = 78 kPa and ylllas =
ity use $peak to locate the slip surface and the use 13.3%). Photo courtesy of Professor F. Tatsuoka, University of
$residual in the limiting equilibrium equations to Tokyo, Japan.

58
sion will indicate that no reinforcement at all is
needed at the upper portion of the slope. However,
over the long run, cohesion of manmade embank-
ments tends to drop and nearly diminish (normally
consolidated clay). Since long term stability of rein-
forced steep slopes is of major concern, it is perhaps
wise to ignore the cohesion altogether. It is therefore
recommended to limit the design value of cohesion to
a maximum of about 5 kPu. It should be pointed out,
however, that end-of-construction analysis must be
also conducted if a soft foundation is present. In this
case stability against deepseated failure must be en-
sured.
Figure S. Approximate approach to consider the effect of re-
sidual strength.
3.3 Reinforcement force due to progressive failure
The preceding discussion suggests using $peak to de-
termine the location of each critical slip surface.
Next, along these critical surfaces one should calcu-
late the required reinforcement reaction to maintain
a state of limit equilibrium using residual shear
strength values. This process can be done using any
limit equilibrium procedure, preferably a rigorous
one. To be consistent with the presentation in this
paper, the following modified approximate proce-
dure is proposed.
The general expression shown in Figure 2 implies
that the critical results for the log spiral satisfy
moment equilibrium explicitly. It can be argued that
these results also satisfy the force equilibrium
implicitly. To realize this, refer to Figure 8. Notice in
this figure that:
1. For clarity, only one reinforcement layer is used
(expansion to n layers is straightforward).
59
2. For clarity, a simple granular slope (c = 0) with-
out water and seismic loads is depicted.
3. The weight of the sliding mass, W, and the re-
quired reinforcement force, treyujyed, are known in
magnitude (from the solution of the moment equi-
librium equation for $peak) and in direction.
The action line of R (i.e., the resultant force of the
distribution of G and T along the log spiral) must
coincide with 00' and simultaneously close the
polygon to satisfy force equilibrium. Hence, the
force equilibrium will be satisfied by virtue of the ex-
istence of an unspecified resultant R that will close the
force polygon. The approximate procedure is implied
in Figure 8. All elemental resultant forces due to o
and T along the slip surface, dR,, at the residual
strength, must be inclined at $residual to the normal; dRr
no longer pass through the log spiral pole 0. At each
location along the log spiral, the elemental resultant
force at the peak strength, dR,, is inclined at $peak
passing through the pole. Hence, at each point along
the surface, the angle between dR, and dR, is A$ =
$peak - $esidl,al. It is assumed that the resultant of all
elemental dR,, R,, is also inclined at A$ to the resultant
of dRp, Rp. This assumption allows for the construc-
tion of the force polygon (Figure 8). Consequently,
using the force polygon in Figure 8, the results ob-
tained for beak can be 'corrected' in a simplified way
to adapt to the hybrid approach. That is:
where RF, is the reduction factor in the strength of
geosynthetic due to consideration of residual
strength along the slip surface while using peak
strength in all calculations. In a sense, the assump-
tion about the resultant inclination is similar to that
used in the friction circle method (Taylor, 1937).
However, unlike the friction circle, the 'accuracy' of
this simplified approach has not been fully verified
yet. Leshchinsky and Boedeker (1 989) have demon-
strated that as the slope inclination approaches
the log spiral degenerates to a planar surface (i.e.,
log spiral with a pole located at infinity). This plan
is inclined at (45"+ $/2) when the reinforcement
force acts horizontally. Observing Figure 8, one can
realize that as the surface tends to be a plane, the ap-
proximation regarding A$ becomes accurate. That
is, for a planar surface the problem is statically de-
terminate and therefore, one can verify that the dif-
ference in Rp and R,. inclinations must equal to A$ =
$peak - $resjdlral. Furthermore, geometry implies that
the angle toequals to (45 "- $peak /2). Consequently,
for granular vertical slope the reduction factor RF,.
turns to:

Close examination of RF,. reveals that it is relatively
insensitive for reasonable range of values of to
(between 20" and 50") while holding A$ constant.
Furthermore, observing the results presented by
Leshchinsky and Boedeker (1989), one can config-
ure that toincreases as the steep slope flattens. The
equations of RFr (Equations 5 and 6) imply that for
90" slope and constant A$, the largest value of RF,. is
produced (within a reasonable range of both E0 and
A$). Hence, it is practically sufficient to investigate
the explicit value of RF,. for 90" slope and use it as
an upper limit in evaluating the effects of progres-
sive failure. Using typical values of $peak between
40" and 50" and A$ = 5" yields a narrow range of
RFr between 1.24 and 1.28 (practically one would
use 1.3). Unusual design values of @peak between
45" and 50" and A$ = 10" yields RF, of nearly 1.6.
To avoid complication of design via introduction of
complex concepts and involved analysis, it is practical
to conduct the entire analysis using peak strength and
then correct the needed strength reinforcement by in-
voking the multiplier RFr. For simplicity, in design
guidelines the value of $peak can be limited to 45"
while the correction factor is set to RF,. =1.40. Alter-
natively, the exact procedure can be followed as sug-
gested.
3.4 Reduction factors related to geosynthetics
The presented limit equilibrium analysis assumes that
the geosynthetic will not mobilize its full strength be-
fore the full design strength of the soil is attained.
Formally, there is no consideration of deformations.
One can envision a scenario in which very stiff rein-
forcement will have its strength mobilized rapidly,
potentially reaching its design value before the soil
mobilizes its strength. This may lead to overstressing
and subsequently, premature rupture of the reinforce-
ment, violating the analysis premise that its tensile re-
sistance will be available with the soil residual
strength. The result might be local, or even global,
collapse. However, since geosynthetics are ductile
(typically, rupture strain greater than 10%), large
strains will develop locally in response to overstress-
ing thus allowing the soil to deform and mobilize its
strength as assumed in the analysis and as needed for
stability. Over twenty years of experience indicate
that lack of stiffness compatibility is not a problem in
structures based on limit equilibrium design.
To ensure that indeed some overstressing of the
reinforcement without breakage is possible, an overall
60
factor of safety for uncertainties is specified. This
factor multiplies the calculated minimal required rein-
forcement strength at each level. Typical values for
this factor range from F,,,=1.3 to 1.5. The strength of
the factored reinforcement should be available
throughout the design life of the structure. To achieve
this, reduction factors for installation damage (RFjd),
durability (RFd), and creep (RF,,) should be applied
so that geosynthetics possessing adequate ultimate
strength, tlrll,could be selected. That is, the specified
geosynthetic should have the following short-term ul-
timate strength:
Table 1 gives preliminary values for geosynthetics
reduction factors (Elias and Christopher, 1997).
Note that for normal soil conditions in steep slopes
(i.e., near neutral pH and no biological activity),
degradation should not be a problem when using a
typical reinforcing polymeric material. The values
of RFjd and RFd are site specific. The creep reduc-
tion factor, RF,,., depends, to a large extent, on the
polymer type and the manufacturing process. The
term ultimate strength, tull, should correspond to the
result obtained fiom the short-term wide-width tensile
test, following, for example, ASTM D4595-86 proce-
dure. Typically, the strength at 5% elongation strain
in the wide-width test is reported as well. Some de-
signers concerned with performance prefer to use this
value as 'tu/,.' It should be noted that performance (i.e.,
deformations) of steep slopes is less critical than that
of walls and therefore, the 5% 'limit' is unnecessary
and overly conservative for most practical purposes.
Finally, if seismicity is considered in the design,
the reduction factor against creep can be set to one.
Simply, since the duration of the superimposed
pseudo-static seismic load is short, significant creep
is not an issue. However, the designer should verify
that the required seismic strength is no less than the
required value for static stability where the creep re-
duction factor is high; the larger strength value from
static and pseudo-seismic should prevail.
3.5 Other speciJied safety factors
The factor of safety against direct sliding, Fs-ds, en-
sures that the force tending to cause direct sliding of
the reinforced soil block is adequately smaller than
the force available to resist it. It is a straightforward
adaptation of analysis from reinforced retaining
walls or gravity walls. It is recommended to use Fs-
ds=l .5 to 2.0 to avoid possible progressive failure as-
Table 1. Preliminary reduction factors.

(1

Leshchinsky provides these values for preliminary design.

sociated with peak shear strength of soil,. If the de- is about 0.7. It should be pointed out that anchorage
sign value of the soil shear strength used in analysis length for reasonably spaced continuous reinforcing
is lower than its residual strength, one can use Fs-ds= sheets (i.e., 30 to 60 cm vertical spacing), is quite
1.0 to 1.3 since safety is already manifested in the small relative to the total required length in the final
reduced shear strength. layout. Consequently, the interaction coefficient
With reference to direct sliding, note the coeffi- may just be conservatively assumed in design.
cient C d , related to this mechanism. There are two
direct sliding coefficients. The first signifies the ra- 3.6 Practical layout of reinforcement
tio of shear strength of the interface between the re-
inforcement and reinforced soil and the shear Two practical options for specifying reinforcement
strength of the reinforced soil alone. The second co- length are common in practice (see Figure 9). The
efficient signifies a similar ratio but with respect to first option simplifies construction by specifying all
the strength of the foundation soil. This coefficient layers to have a uniform length. This length is se-
reflects a mechanism in which soil slides over the lected as the longest value obtained from the internal
reinforcement sheet. Its value can be determined stability analysis, the pullout/compound failure analy-
from direct shear tests in which the shear strength of sis, or the direct sliding analysis.
the interface between the relevant type of soil and The second safe option is to specify L g and L T at
the reinforcement is assessed under various normal the bottom and top, respectively, where L g is the
loads. Typically, C d , will vary between 0.5 and 1.0, longest length from all analyses and LT is the longest
depending on the type of soil and reinforcement. length obtained from internal stability and com-
For granular soils and common geosynthetics used pound/pullout analyses. Length of layers in between
in reinforcement, C d , is about 0.8. In many cases is linearly interpolated. This specification is more
the required length of bottom layer (i.e., see L g in economical; however, it may result in misplaced
Figure 9) may increase significantly as C d , decreases layers at the construction site.
below 0.8.
Factor of safety against pullout, F&,, multiplies the
calculated required allowable tensile force of each re-
inforcement layer. Anchorage length then is calcu-
lated to provided pullout resistance up to this in-
creased tensile force. Typically, Fs-povalue is specified
as 1.5. C, signifies the interaction coefficient. It re-
lates the strength of the interface between the rein-
forcement and soil to the shear strength of the rein-
forced soil or foundation soil. This coefficient re-
flects a mechanism in which the reinforcement is
being pulled out from a confining stable soil. The
required anchorage length is calculated based on Ci.
The value Ci is normally determined from a pullout
test. Typically, the value of Ci varies between 0.5
and 1.0, depending on the type of soil and rein-
forcement. For granular soils, the typical value of C, Figure 9. Practical layout of reinforcement.

61
 Figure 9 shows primary and secondary reinforcing
layers. In the stability analyses, only primary layers
are considered. However, layers spaced too far apart
may promote localized instability along the slope face.
Therefore, secondary reinforcement layers should be
used. Their width should extend at least l m back into
the fill and their strength, for practical purposes, may
be the same as the adjacent primary reinforcement.
The vertical spacing of a secondary reinforcement
layer from either another secondary layer or from a
primary one should be limited to 30 cm. Secondary
reinforcement creates a 'coherent' mass at the slope
face, a factor important for local stability. Further-
more, it allows for better compaction of the soil at the
face of the steep slope. This, in turn, increases the
sloughing resistance and prevents surficial failures. If
wrap-around is specified (necessary in slopes steeper
than about 50°), secondary reinforcement can be used
to wrap the slope face as well. It should be back-
folded then at least I m back into soil, same as the
wrapping primary reinforcement.

4 RESULTS AND CASE HISTORY

4.1 Typical results

Figure 10, reproduced from Leshchinsky and

Boedeker (1 989), shows the calculated required ten-
sile force from internal stability analysis versus $peak
and slope inclination. It should be noted that Lesh-
chinsky and Boedeker (1989) used a variational
technique to facilitate the generation of results, how-
ever, those results are identical to those produced
using the scheme presented in this paper. This fig-
ure is limited to cohesionless slopes. The ordinate K
represents the non-dimensional value of the calcu-
lated tj and, in a sense, is equivalent to K a in lateral
earth pressures (K, is equivalent to Rankine's if
horizontal reinforcement and to Coulomb's if the
reinforcement is inclined). Notice that for reason-
able range of $peak, the difference in required K as a
function of assumed reinforcement force orientation
at the slip surface is small. This difference is the
largest for vertical slopes (practically, about 10%).
The value of each tj can be back calculated from this
chart following the rational presented in Figure 3 .
That is, start with j = 1 and top layer to find tn for
which H equals Dn, then go to j = 2 and layer n -1 to
find tn-1 where H equals D,+Dn-I and t, is known,
and so on. Alternatively, one can use this chart in an
approximate manner. That is, the overburden pres-
sure at the middle of a tributary area of a reinforcing
layer can be calculated and then be multiplied by the
tributary area and by the coefficient K obtained from
the chart. Considering the potential for progressive
Figure 10. Calculated tensile reaction for cohesionless slopes
failure, the values of tj's determined from this chart
have to be multiplied by RF, (i.e., typically, tj would
be 20 to 40% larger to account for $residual). It should
be pointed out that soil possessing low $ such as 15"
or 20" is not likely to exhibit peak shear characteris-
tics; it is presented in this and following figures for
instructive purposes unless one uses the chart for a
case where $design = $residual = $peak.
Figure 11 show the outermost traces of critical slip
surfaces obtained from internal stability analysis.
This figure is for horizontal inclination of geosyn-
thetic force (for traces when reinforcement is tan-
gential, see Leshchinsky and Boedeker, 1989). No-
tice that for vertical slopes, the surfaces are
practically planar inclined at angle of (45"+ +peak/2).
Also notice that as $peak decreases, the slip surfaces
become significantly deeper thus implying longer
uniform required length of reinforcement. The im-
pact of this phenomenon should be viewed in the
context of the proposed progressive failure ap-
proach.
No charts are shown for required length based on
compound stability analysis. The results in this case
will depend on the selected reinforcement strength.
The interested reader is referred to Leshchinsky et

62
Figure 1 1 . Outermost traces of internal slip surfaces.
al. (1995) to view some typical surfaces. In general,
compound failure will not control the length in near
vertical slopes provided the reinforcement is closely
spaced and uniform in strength. However, this
would not necessarily be the case if geosynthetic
layers with variable length and/or strength is speci-
fied.
Figure 12 shows the length of reinforcement re-
quired to resist direct sliding. It is constructed for
strength related to peak shear strength, for direct slid-
ing coefficient, Cds, equals one, and for a factor of
safety to resist direct sliding, F,&, equals 1.5. Figure
12 (top) represents the case where full friction is de-
veloped along the interface of the two wedges (i.e., 6
63
= while Figure 12 (bottom) shows the conserva-
tive case where 6 = 0. Generally, it can be seen that as
the slope flattens, the length of reinforcement in-
creases. Also, the friction angle and the interwedge
angle have significant effects on length. Notice that
+
for 45" slopes combined with = 45", no reinforce-
ment is needed, however, if one uses $design < the
required length will increase. In this case, one could
use lower Fsdsin lieu of smaller b.
4.2 Case history
Fannin and Herman (1990) report the results of a
field test of a well-instrumented full-scale slope.
One tested slope in which no intermediate rein-
forcement layers were used is adequate for compari-
son with the proposed progressive failure approach.
The slope height was 4.8 m and its inclination
was 1H:2V. The backfill soil was a uniformly
graded medium to fine sand, compacted to a unit
weight of 17 kn/m3. The plane strain residual inter-
nal angle of friction is reported to be 38". Unfortu-
nately the peak angle is not reported. The layout of
the uniformly spaced geogrids is shown in Figure
13. The force distribution in each geogrid layer was
measured using load cells. Only the facing was con-
structed of a wire mesh, which is considered
equivalent to wrap-around face. Following con-
struction, the wall was surcharged with soil placed
to a depth of 3 m. Since no details are given, it is
assumed that the slope of the this surcharge fill was
2H:lV.
The outermost internal failure surfaces using the
approach presented in this paper are contained
within the reinforced zone (Figure 13) for $residual =
38". Since $peak is unknown, the corresponding slip
surface is not plotted, however, because $peak is
larger than $residual, the critical slip surfaces would be
even shallower (i.e., certainly contained within the
reinforced zone). The long-term allowable geogrid
strength is not reported, however, it can be verified
that its value is much larger than the measured
forces. Hence, all compound slip surfaces are also
contained within the reinforced soil. Assessment of
direct sliding reveals that Fs-dsfor the layout used is
between 1.5 and 2.0. Figure 12. Required length to resist direct sliding as function of
Since the actual layout is not the same as required in peak shear angle and slope inclination (assuming reinforced.
Figure 5 (i.e., not minimum length but rather uni- retained and foundation soils possess same strength and den-
sity).
form length), back-analysis using the presented de-
sign-oriented analysis can only suggest a probable
range of feasible values. The probable range for
each layer is between the required force against in-
ternal failure and compound failure (i.e., between
the value needed to ensure local stability and global
stability). The proposed approach in this paper
specifies the maximum value of this probable range
in design. Table 2 shows the comparison between
measured values and those predicted using $residual =
38".
The agreement exhibited in Table 2 is considered
good. The total measured and calculated forces can
be used, in an average sense, to realize whether the Figure 13. Configuration of Norwegian Wall.
values suggested for RF, are reasonable. Repeating
calculations for the problem for $peak = 43", one gets proach recommends values between 1.2 and 1.4.
CtJ = 1 1.1 kN/m; for 4peak = 4 1", one gets Ctj = 13.3 The results of this exercise support the simplified
kN/m. Considering the measured (actual) value of approach of the hybrid approach using a reduction
CtJ was 15.3 kN/m, the reduction for progressive factor, RFr, to account for possible progressive fail-
failure would be RF, = 1.38 ($peak = 43") and RFr = ure along a surface determined by $peak.
1.15 (@peak = 4 1"). If one considers the calculated Fannin and Herman report only the total sum of
value of Ctj = 17.0 kN/m, the corresponding RFr forces for the surcharged case. The measured value
would be 1.53 and 1.28. Note that the proposed ap- is 22.2 kN/m whereas the calculated one ($residual =

64
Table 2. Reinforcement forces under self-weight loading.
Layer no. j
I
Elevation
liml
I 110.0
38") is 21.1 kN/m. Calculating RF,. will produce
similar trend to that of the self-weight case. Gener-
ally, this case history shows that use of $residual is
justifiable. However, strain measurements by Fan-
nin and Herman indicates the location of maximum
force is shallower that that implied by $residual (i.e.,
implied by the trace of slip surface shown in Figure
13). Use of $peak will produce shallower surfaces
while use of RF,. will correct the required reinforce-
ment strength to account for a possible state in
which residual strength is attained along that sur-
face.
5 CONCLUSION
A procedure for the design of steep slopes
reinforced with geosynthetic materials has been
presented. The analyses involved in the presented
design process are based on limit equilibrium. These
analyses ensure that the reinforced mass is internally
and externally stable. A physically meaningful
definition of factor of safety is introduced. It is
applicable only to slopes having their stability hinging
on the strength of the reinforcement.
The presented design procedure includes
recommendations regarding the selection of soil shear
strength parameters and safety factors. Recognizing
the limitations of limit equilibrium analysis, especially
when applied to slopes comprised of materials posing
different properties (i.e., soil and polymeric materials)
and the potential for progressive failure, the following
is recommended. The peak shear strength parameters
of the soil should be used to determine the critical slip
surfaces (i.e., the reinforcement layout).
65
Superimposing on these critical slip surfaces the
residual strength of the soil and solving the limit
equilibrium equations provide an estimate of the
required reinforcement strength in case progressive
failure fully develops. It is recommended to ignore
the cohesion value in long-term design of reinforced
steep slopes.
The proposed design procedure can be easily
carried out using a computer program (e.g.,
Leshchinsky, 1997). The mechanism and analysis
used can be replaced with other rigorous stability
methods. Hence, this paper provides a conceptual
framework for design of reinforced steep slopes. It is
comprehensive and economical; experience proves it
is safe.
REFERENCES
Elias, V. and Christopher, B.R. 1997. Mechanically
Stabilized Earth Walls and Reinforced Steep Slopes,
Design and Construction Guidelines. FHWA
Demonstration Project 82. Report No. FHWA-SA-
96-07 1.
Huang, C.-C., Tatsuoka, F., and Sato, Y. 1994.
Failure mechanisms of reinforced sand slopes
loaded with a footing. Soils and Foundations,
Journal of the Japanese Society of Geotechnical
Engineering, 34(2), 27-40.
Leshchinsky, D. 1992. Keynote paper: Issues in
geosynthetic-reinforced soil. Proceedings of the
Internutionul Symposium on Earth Reinforcement
Pructice, held in Nov. 1992 in Kyushu, Japan.
Editors: Ochiai, Hayashi and Otani. Published by
Balkema, 87 1-897.
Leshchinsky, D. 1997. Software to Facilitate Design
of Geosynthetic-Reinforced Steep Slopes.
Geotechnical Fabrics Report, Vol. 15, No. 1, 40-
46.
Leshchinsky, D. and Boedeker, R. H. 1989.
Geosynthetic reinforced earth structures. Journal of
Geotechnical Engineering, ASCE, 1 15(10), 1459-
1478.
Leshchinsky, D., Ling, H. I., and Hanks, G. 1995.
Unified Design Approach to Geosynthetic-
Reinforced Slopes and Segmental Walls.
Geosynthetics International, Vol. 2, No. 5, 845-
881.
Leshchinsky, D. and Reinschmidt, A.J. 1985. Stability
of membrane reinforced slopes. Journal of
Geotechnical Engineering, ASCE 111(1 l), 1285-
1300.
Tatsuoka, F. and Leshchinsky, D. 1994. Editors:
Recent Case Histories of Permanent Geosynthetic-
Reinforced Soil Retaining Walls, Proceedings of
SEIKEN Symposium, held in November, 1992 in
Tokyo, Japan, published by Balkema, 349 pages.
Tatsuoka,F., Koseki, J., Tateyama, M., Munaf, Y. and
Hori, N. 1998. Seismic stability against high seis-
mic loads of geosynthetic-reinforced soil retainin
structures. Keynote lecture, Proceedings of the 6 a
International Conference on Geosynthetics, At-
lanta, Georgia, Vol. 1, 103-142.
Taylor, D.W. 1937. Stability of earth slopes. Journal
of the Boston Society of Civil Engineering, 24(3),
197-246.
Yoshida, T. and Tatsuoka, F. 1997. Deformation
property of shear band in sand subjected to plane
strain compression and its relation to particle
characteristics. Proceedings of the 141h Interna-
tional Conference on Soil Mechanics and Foun-
dation Engineering, Hamburg, September, 237-
240, Balkema.
Zornberg, J.G., Sitar, N. and Mitchell, J.K. 1998.
Limit equilibrium as basis for design of geosyn-
thetic reinforced slopes. Journal of Geotechnical
and Geoenvironmental Engineering, ASCE,
124(8), 684-698.
Zornberg, J.G., Sitar, N. and Mitchell, J.K. 1998.
Performance of Geosynthetic Reinforced Slopes
at Failure. Journal of Geotechnical and Geoenvi-
ronmental Engineering, ASCE, 124(8), 670-683.

66
 Slope Stability Engineering, Yagi, Yamagami & Jiang fi 1999 Balkema, Rotterdam, ISBN 90 5809 079 5

The mechanisms, causes and remediation of cliff instability on the western

coast of the Black Sea
Mihail Popescu
Depurtnient of Geotechnicul Engineering, University of Civil Engineering, Buchurest, Romuniu

ABSTRACT: The large landslides along the Romanian shore of the Black Sea are well known instability
phenomena. They are responsible for considerable economic losses each year and the severity of the problcm
increased in recent years as increased scarcity of land forced utilization of inherently unstable areas. An im-
portant feature of these landslides is the presencc of a structured overconsolidated red clay underlying a loess
layer at the ground surface. The sliding phenomena evinced by the red clay along the cliff of the Black Sea in
Romania are developing cyclically, in time and space, with periods of attenuation and intensification. As the
cliff front is unloaded by the sliding of the material previously fallen in, increasing shear stresses are devel-
opcd, causing clay dilatancy and its yielding by intense moistening. As the displacement of the sliding rnass
increases, the mobilized shear strength of the red clay progressively decreases from its peak value to the re-
sidual one. The paper reviews the basic mechanisms involved in the instability phenomena of the Romanian
shore of Black Sea. Back analyses of some slope failures in the iirea performed in order to asses the shear
strength parameters mobilized along the sliding surface are presented and the results are compared with labo-
ratory experimental data. Finally, the remedial works and associated design principles which take into account
the causes, the extent and evolution of the landslide phenomena are discussed.

1 DEFINITION OF A LANDSLIDE; CAUSAL
FACTORS AND REMEDIAL MEASURES
Within the framework of the United Nations Inter-
national Decade for Natural Disaster Reduction, the
International Union of Geological Sciences has es-
tablished a Working Group on Landslides (abbrevi-
ated IUGS WG/L) which is assisting the creation of
a World Landslide Inventory. This has proposed a
standard terminology for describing landslides; thus
a working definition for a landslide is "the move-
ment of a mass of rock, earth or debris down a
slope" (Cruden 1991). The basis of the Inventory is
the "Landslide Report", which includes aspects both
of causes and of remediation for landslides.
At the national and world centers, analysis of the
landslide inventory data is expected to provide valu-
able information concerning their spatial distribution
and their seasonalAong term patterns of behaviour.
The successive movements of individual landslides
will enable a more precise prediction of sites liable
to failure in the future and their timing.
"The processes involved in slope nioveinentc
comprise a continuous series of events from cause to
effect" (Varnes, 1978). When preparing a Landslide
Report for a particular site, of primary importance is
the recognition of the conditions which caused the
slope to become unstable and the processes which
triggered that movement. Only an accurate diagnosis
makes it possible to properly understand the land-
slide mechanisms and thence to propose effectivc
remedial measures.
The computed value of the factor of safety is a
clear and simple distinction between stable and un-
stable slopes. However, from the physical point of
view, it is better to visualize slopes existing in one of
the following three stages: stable, marginally stable
and actively unstable.
Stable slopes are those where the margin of sta-
bility is sufficiently high to withstand all destabi-
lising forces. iWurginully stuble slopes are those
which will fail at some time in response to the de
stabilising forces attaining a certain level of activity.
Finally, aclively zinsluble slopes are those in which
destabilising forces produce continuous or internii t-
tent movement.
The three stability stages provide a useful
framework for understanding the causal factors of
landslides and classifying them into two groups on
the basis of their function:
1 . Prepurutory causal factors which make the
slope susceptible to movement without actually
initiating it and thereby tending to place the
slope in a marginally stable state.

67
able 1 A brieflist of landslide Lausal factooz -- __ A particular causal factor may perform either or
1. GROUND-CSNDITION-S - both functions, depending on its degree of acti\ it>
I ) Plastic weak rnatei ial and the margin of stability.
2) Sensitive material Although it may be possible to identify a single
:3) Collapsible material triggering process, an explanation of ultimate causes
:4) Weathered material of a landslide invariably involves a number of prc-
,S) Sheared material
paratory conditions and processes. Based on their
;6) Jointed or fissured material
temporal variability, the destabilising processes J V : ~ ~ J
:7) Adversely oriented mass discontinuities (including bed-
ding, schistosity, cleavage)
be grouped into JIOWchanging (e.g. weathering. ero-
,8) Adversely oriented structural discontinuities (including sion) and fusi chcmging processes (e.g. esrihquake.
faults, unconformities, flexural shears, sediincntary drawdown). In the search for landslide causes. at-
contacts) tention is oftcn fbcused on those processes within
:9) Contrast in permeability and its effects on ground water the slope system which provoke the greatest rate of
( 1 @)Contrastin stiffness (stiff, dense material over pldbtic change. Although slow changes act over a long pe-
material) - ~ - -
riod of time to reduce the rcsistancdshear stress ra-
2. GEO M0RP H(0LOC ICAL PROCESSES tio, often a fast change can be identilied as haviiig
: I ) Tectonic uplift triggered movement.
(2) Volcanic uplift The IUGS WG/L Commission on Causes of‘
(3) Glacial rebound Landslides has prepared a short checklist of land-
(4) Fluvial erosion of the slope toe slide causal factors arranged in four practical groups
(5) Wave erosion of the slope toe according with the tools and procedures necessary
(6) Glacial erosion of the slope toe for documentation as illustrated in Table 1 .
(7) Erosion of the lateral margins The format of the table lends itself to the creation
(8) Subterranean erosion (solution, piping) of simple databases suited to much of the database
(9) Deposition loading of the slope or its crest management software now available for personal
( I @)Vegejat5io removal (byerosion, fore%t-fire,-drought) computers. The information collected can be coin-
3 PHYSICAL PROCESSES ~- - pared with summaries of other landslides and uscd
(1) Intense, short period rainfall to guide further investigations and mitigative rncus-
(2) Rapid melt of deep snow uses.
(3) Prolonged high precipitation Terzaghi (1 950) has written that “if a slope has
(4) Rapid drawdown following floods, high tides or started to move, the means for stopping niovenieiii
breaching of natural dams must be adapted to the processes which started tlic
(5) Earthquake slide”.
(6) Volcanic eruption Correction of an existing landslide or the preven-
(7) Breaching of crater lakes tion of a pending landslide is a function of a reduc-
(8) Thawing of perinafrost tion in the driving forces or an increase in the avail-
(9) Freeze and thaw weathering able resisting forces. Any remedial measure iiscd
(10)Shrink and swell weatherins of exgansLve soils - must prokide one or both of the above results.
4 MAN-MADE PROCESSES _ _ _ --- The technical solution must be in harmony with
( I ) Excavation of the slope or its toe the natural system, otherwise the remedial work will
(2) Loading of the slope or its crest be either short lived or excessively expensive.
(3) Drawdown (ofreservoirs) In fact landslides are so varied in type and size,
(4) Irrigation and always, so dependent upon special local circum-
( 5 ) Defective maintenance of drainage systems stances, that for a given landslide problem there is
(6) Water leakage from services (water supplies, sewers, more than one method of prevention or correction
stormwater drains) that can be successfully applied. The success of each
(7) Vegetation removal (deforestation) measure depends, to a large extent, on the degree to
(8) Mining and quarrying (open pits or underground which the specific soil and groundwater conditions
gal er ies) are correctly recognized in investigation and applied
(9) Creation of dumps of very loose waste in design.
(10)Artificial vibration (including traffic, pile driving, heavy As many of the geological features, like the
_ __ machinery1
- ___ - _ ___ __ ____ - ___ -- - sheared discontinuities, are not well known in ad-
vance, it is better to put remedial measures in hand
on a “design as you go basis”. That is the design has
to be flexible enough for changes during or subse-
2. Triggering causal jucfors which initiate mo\ie- quent construction of remedial works.
ment. The causal factors shift the slope from a In order to help including relevant information in
marginally stable to an actively unstable state. Landslide Report, the IUGS WG/L Comission on

68
Table 2: A bt-ief list of landslide [syedjfinieastires
1. MODIFICATION OF SLOPE GEOMETRY
I. 1. Removing material from the area driving the landslide
(with possible substitution by lightweight fill)
1.2. Adding material to the area maintaining stability
(counterweight berm or fill)
1.3. -Reducing general slope angle
2. DRAINAGE_- _ _ ~ solutions including classical methods such as drain-
2.1. Surface drains to divert water from flowing onto the
slide area (collecting ditches and pipes)
2.2. Shallow or deep trench drains filled with free-draining
geoinaterials (coarse granular fills and geosynthetics)
2.3 Buttress counterforts of coarse-grained materials (hy-
dro I og i ca I effect)
2.4 Vertical (small diameter) boreholes with pumping or
self draining
2.5. Vertical (large diameter) wells with gravity draining
2.6. Subhorizontal or subvertical boreholes
2.7. Drainage tunnels, galleries or adits
2.8. Vacu~imdewatering
2.9. Drainage by siphoning
2. I0 Electroosmotic dewatering
2.1-!.LVege_etat con plantins (hydrolqg ical eff5cL)
-3 .-RETA IN IN G - ~ T R U ~ TRUES
3.1. Gravity retaining walls
3.2. Crib-bloch walls
3.3. Gabion walls
3.4. Passive piles, piers and caissons
3.3. Cast-in situ reinforced concrete walls
3.6. Reinforced earth retaining structures with strip/ sheet -
polymer/metallic reinforcement elements
3.7. Buttress counterforts of coarse-grained material (me-
chanical effect)
3.8. Retention nets for rock slope faces
3.9. Rockfall attenuation or stopping systems (rocktiap
ditches, benches,fences and walls)
3 I O.Prgtec$veLock/concEE- blocks againsterosion
4,INTERNAL SLOPE REINFORCEMENT- -
4 1 Rock bolts
4.2. Micropiles
4 3. Soil nailing
4 4. Anchors (prestressed or not)
4.5 Grouting
4.6. Stone or lirne/cement columns
4.7. Heat treatment
4.8. Freezing
4.9. Electroosmotic anchors
4.l~L~eg~,ti~n planting<root strength meckankal effect)
Landslide Remediation has prepared a short check-
list of landslide remedial measures as given in
Table 2. The measures are arranged in four practical
groups, namely: modification of slope geometry,
drainage, retaining structures and internal slope rein-
forcement (Popescu, 1996).
The experience shows that while one remedial
measure may be dominant, most landslide repairs
involve the use of a combhation 01two or more of
69
the major categories. For example. while restrsint
may be the principal measure used to correct a PHI-
ticulx hidslide, drainage and modification 01‘ s ! ~ p e
geometry. 10 s o x e degree and by nece
Lit i l i d .
Over the last s e ~ e r a decades
l there has been a no-
table shift towards ‘“softengineering” non-.structui*ul
age and modification of slope geometry but also
some novel methods such as lime/cement stabiliza-
tion, grouting or soil nailing.
The cost of non-srructural reinedial measures is
considerably lower when compared with the cost of
structural solutions. On the other hand struct~ri~f
solutions such as retaining walls involve opeiiing the
slope during construction and often require steep
temporary cuts. Both these operations increase the
risk of failure during construction for oversteeping
or increased infiltration from rainfall. In contrast. the
use of soil nailing as a non-structural solulion to
strengthen the slope avoids the need to open or al?er
the slope from its current condition.
Environmental considerations have increasingly
become an important factor in the choice of suitable
remedial measures, particularly issues such as visual
intrusion in scenic areas or the impact on nature or
geological conservation interests.
This reporl is intending to discuss some problems
related to causes and remedial measures of land-
slides along the Black Sea western shore in Romania
as resulted from the work of the IUGS WG/L Com-
mission on Causes of Landslides and the IUGS
WG/L Commission on Landslide Remediation re-
spectively, in the framework of the United Nations
International Decade for Natural Disaster Reduction
( I 990-2000).
2 SLOPE INSTABILITY MECHANISMS
ALONG THE BLACK SEA WESTERN
SHORE IN ROMANIA
The eastern coast of Romania stretches approxi-
mately 2 10 km north from Constantza to south from
Mangalia. Sarmat deposits are found at the cliff base
while loessial collapsible soils form the cliff upper
part. In some places the Quaternary loess reaches the
beach. Starting from Mangalia towards south and
continuing to Balcic and Varna in Bulgaria, the
Sarmat is more frequently found on the beach.
‘The western edge of the Black Sea is a major
seismic area where slope instability and landslides
are common. Major landslides tend to occur
throughout the Lower, Middle and Upper Sarmat
(Miocene) sediments with the most spectacular
large-scale failures tending to be of Neogene age.
The large coastal landslides along the Black Sea
shore in Romania are well known instability phe-
nomena that evolve in time and space. There are
many examples when the development of land has
led to the reactivation or initiation of coastal land-
slides which have resulted in damage to property
and services.
An important feature of these landslides is the
geological sequence including a red overconso-
lidated fissured clay underlying a loess layer at the
ground surface. The underground water level is gen-
erally located at the base of the loess layer. The red
clay is overlying a hard mar1 clay or limestone. The
investigation of most landslides has shown that the
basal slip surface is bedding - controlled and seated
in the red clay layer.
The cliff retreat follows cycles similar to those
reported on the southern coast of England and on the
northern coast of France (Hutchinson et al., 1991).
Most prominent is the major cycle of a large, rapid
landslide followed by slow erosion, but of impor-
tance is also the annual climate - driven cycle,
causing large soil strength variations between spring,
summer and autumn.
In contrast to the longer time cycles of deep-
seated landsliding, the cycle of relatively shallow
landslides tend to follow an annual, seasonal se-
quence. Loss of shear strength associated with swel-
ling - shrinking cyclic events is responsible for many
shallow failures that occur seasonally in culting
slopes. Progressive slaking contributes to material
weathering and increases its susceptibility to failure.
Hard dried clods of red clay have been observed to
rapidly and completely lose their shape due to slak-
ing on immersion in water (Popescu, 1980).
'I'he geoinorphology of the landslides along the
Romanian shoreline of the Black Sea suggests they
comprise broadly a seaward system of compound
landslides backed by a landward system of m~lltiple
rotational landslides.
The mechanism of rear scarp retrogression caused
by successive landslips is illustrated by the cartoons
in Figure 1. Continued erosion of the toe of the slopc
results in a series of landslips. Each slide leeds to the
removal of the lateral support of the main landslide
blocks upslope, and progressively worsens the sta-
bility of the system. Each slope failure causes re-
duction of the lateral stress in its close vicinit3
which i n turn makes the red clay to meclianically
expand and reduce its strength. Physical swelling is
not possible in short term due to the low permeabil-
ity of the clay. After a period of time, however, ma-
ter flows into the area, reduces the clay shear
strength and causes further failure. Each slide leaves
a steep rear scarp which rapidly degrades to a flattcr
slope. The pile-up of debris on the rear of the main
slide constitutes a loading which together with the
generation of undrained porewater pressures, and the
continuance of marine erosion at the toe, acts to de-
stabilize the main slide, and cause further inove-
ment.
70
Landslides in stiff fissured red clays are likely to
be accompanied by volume increase at the fail-
ure surface. Field evidence shows that the equilib-
rium moisture content at the slip surface is gcncr~ally
higher than that in the mass above or below it. l h c
volume increase and associated moisture content in-
crease at the failure surface are attributable to fhc
folI owi ng factors :
(1) mechanical expansion due to unloading by re-
moval of the upslope lateral support;
(2) shearing dilatancy where the mechanical behav-
iour of the red clay is brittle;
(3) physical swelling due to water flow into thc ar-
eas undergoing mechanical expansion or shear-
ing dilatancy.
While mechanical expansion and physical s.ive1-
ling are always present in the mechanism of cliffrc-
treat by landsliding, the shearing dilatancy is re-
stricted to the areas where the mechanical behaviour
of the red clay is brittle (dilatant), i.e. the brittlenes
index IB > 0. In the areas where 113 = 0, the clay me-
chanical behaviour is ductile (contractant). If3 is a
function of the effective normal stress and the clay
condition (intact or previously sheared), and conse-
quently varies significantly along a slip surface as
illustrated in Figure 2. Although for first - time
shallow landslides the shearing dilatancy might be a
major contributory factor of shear strength reduction
by moisture content increase it does not play any
important role for deep seated reactivated landslides.
Due to the slow intermittent nature of ground
movement along the Black Sea coast and the lack of
precise monitoring information it was not possible to
relate landslide activity with rainfall events. How-
ever, there did appear to be a close relationship be-
tween phases of increased landslide activity and pe-
riods of heavy or prolonged rainfall and inferred
higher groundwater levels.
3 PROPERTIES OF THE RED CLAYS
The red clays of the Doubrodjean Plateau are some
of the most peculiar soils of Southern Romania.
They are rigid, fissured, high plasticity clays.
Bedding planes and fissures form natural zones of
weakness in red clays. As with other lithologies, red
clays that have been subjected to tectonic stress suf-
fered interbed movement which resulted in smooth,
sometimes polished structures. The existence of
these ctslikensides)) is sometimes ignored by prac-
ticing engineers, particularly as these structural fea-
tures may well be obscured by the weathering of the
near surface material. The slickensides act as prefer-
ential flow paths often leading to the weathering and
softening of material adjacent to the discontinuities.
Randomly oriented stress release fissures occur as
a result of a decrease in loading in red clays. Re-
duced stress following natural erosion, excavation or
 fissured inaterid: red overcoilsolidated clay (1.6)
adversely orieiited mass discoritinuities: slip surface - bedding
controlled (1.8)
wave erosion of the slope toe (2.5)
intense, slxort period rainfall (3.1)
prolonged high precipitation (3.3)
shrink and swell of expansive red clay (3.10)
loading of the slope at its crest: urban development (4.2)
water leakage froin services (4.9

PREPAIUTOIiY CAUSAL FACTORS 1.6, 1.8,2.5,3.1,3.10,

4.2. 4.6
1 TRIGGERING CAUSAL FACTORS 1 2.5,3.3
I
Figure I Possible development and causal factors of landslides on the Romanian Black Sea shore

landsliding allows red clays to swell and hydratc, drying of red clays but these rarely penetrate more
thus facilitating further weathering adjacent to the than 1 m.
fissures. Uessication cracks result from summer Because of their very high plasticity and activity

71
Figure 2 Cliff retreat mechanism and shearing dilatancy
as well as their liability to volume changes, red clays
exhibit a thick zone of weathering which often is
disguised by the loess cover. In the deep zone of
weathering, the red clay is fractured into blocks of
the ni-domain. Approaching the surface, the blocks
gradually diminish in size (dm - and cm - domain)
while in the subsurface zone they are reduced to
((crumbs))(mm - domain).
Figure 3 summarizes the plasticity characteristics
of the red clay in Casagrande plasticity chart. Red
clay belongs to high plasticity clay CH group that
correlates well with the clay fraction percentage
(37-84 Yo)and high amount of montmorillonite
(36-64 %) detected by mineralogical analysis of the
clay fraction (< 2 p).
Shear strength of the overconsolidated red clay
varies from an initial peak to a residual value as fail-
ure occurs, and as the complex of discrete minor
shears become linked into a smooth failure surface.
Under low effective normal stress the progressive
preresidual shear displacement is accompanied by
soil dilatancy in the failure zone. If the shearing tli-
latant zone is put in contact with a source of gravita-
tional water the clay adjacent to this zone hydrates
and swells leading to further decrease in soil shear
strength. No shearing dilatancy and assocjated
physical swelling are observed after attaining the re-
sidual strength state. 'Thus the shearing dilatarlcy cf-
72
f'ects are important only for first - time slides in red
clays.
Drained direct shear tests with stress reversal
have been performed to examine the differenccs
between peak and residual strength of red clay. Brit-
tlenss index values as high as 0.6 - 0.7 have been re-
corded under effective normal stresses ranging be-
tween 100 - 300 kPa.
Based on the assumption that the fully softened
shear strength of the red clay can be represented by
the average peak value of a remolded sample,
drained direct shear tests on remolded samples haire
been performed.
The difference between the residual and fully
softened shear strength is illustrated in Figure 4 for
two typical red clays. The measured residual and
fully softened strength effective friction angle values
are 13.4' and respectively 20.5' for the red clay with
plasticity index 42 % and clay fraction 37 %, while
the corresponding values for the red clay with plas-
ticity index 58 % and clay fraction 62 % are 11.5"
and respectively 18.2'. These values compares well
wiih studies of overconsolidated clays worldwide
based on correlation with plasticity index.
With the availability of the ring shear apparatus it
became possible to undertake relatively quick and
accurate residual strength testing enabling to obtain
a large number of points through which the residual
Figure 3 Plasticity chart of the red clays

Figure 4 Residual and fully softened shear strength of the red clays

73
failure envelope can be drawn. This put into evi-
dence the existence of a curved part of the strength
envelope at low effective normal stress.
Figure 5 shows the results of a series of ring shear
tcsts performed on red clay samples at effective
normal stresses less than 120 kPa. As the failure en-
velope is curved it appears that the assumption
C'r = 0 is only applicable to tests carried out at very
low normal stress and it is unrealistic when CDr' is
obtained from the straight line section of the enve-
lope. From the data presented in Figure 5 it results
that the residual strength Parameters are C'r = 0 and
@'r = 16.5' for shallow slips (0' = 30 kPa), C'r =
3 kPa and @'r = 12.5' for intermediate depth slips
(U' = 70 kPa) and C'r = 5 kPa and @'r = 9.5' for
deeper slips (0' = 110 kPa). As there is no unique
value of @Ir it does not seem realistic to correlate the
residual shear strength with the plasticity index.
It is to be noted that the ring shear tests generally
resulted in a lower value of the residual friction an-
gle for deep slides corresponding to large effcctive
normal stress when compared with the multiple re-
versal shear box.
4 S1,OPE INSTABILlTY BACK ANALYSIS
Post-failure investigation of landslides is potentially
the niost fruitful means of advancing our knowledge
in slope stability field. A landslide can reasonably be
considered as a full scale shear test capable to give a
measure of the shear strength mobilized at failure
along the slip surface.
In many cases, back analysis is an effective tool,
and sometimes the only tool, for investigating the
strength features of a soil deposit. However one has
to be aware of the many pitfalls of the back analysis
approach that involves a number of basic assunip-
tions regarding soil homogeneity, slope and slip sur-
face geometry and pore pressure conditions along
the failure surface. A position of total confidence in
all these assumptions is rarely if ever achieved.
Back analysis is of use only if the soil conditions
at failure are unaffected by the failure. For example
back calculated parameters for a first-time slide in a
stiff overconsolidated clay could not be used to pre-
dict subsequent stability of the sliding mass, sincc
the shear strength parameters will have been reduced
to their residual values by the failure.
The most important application of back analysis
consists in proper design of remedial measures. It is
generally assumed that the errors involved in the
back analysis of a given slope failure will cancel-out
by applying the back calculated shear strength in
further limit equilibrium analyses of remedial meas-
ures and design new slopes in the same area.
The scale of the landslides occurring along the
Black Sea Romanian coast is such that the back
74
analyses are believed to be reasonable estimates of
the average field strength of the red clay which
forms the basal slip surface. In most landslips, the
proportion of slip surface involving the upper loess
layer is small and thus the back calculated shear
strength parameters of the red clay are not very
much affected by the values assumed for the loess
shear strength parameters.
Two dimensional static back analyses in ternis of
effective stresses have been carried out for seiw'il
sites wliere landslides occurred and relevant i nfbr-
mation was available. Figure 6 presents the d a a
from a landslide in Constantza city area (Popt-scu
et al., 1991). Both shear strength parameters h a w
been simultaneously back calculated from the fo!-
lowing two requirements: (i) the safety factor was
equal to unity, and (ii) the safety factor was niiiii-
mum for the given failure surface and the slope url-
der comideration (Popescu, Yaniagami, 1994).
Several factors concerning the investigated lmd-
slides introduced a degree of approximation into llie
performed stability computations namely: (1) the
slip surface is almost always known in only few
points from its trace 011 ground surface and frnni
slickensided surfaces and paleontoligical discoii-
tinuities found i n the borings; (2) the data con-.
cerning the pore water pressure on the slip surf'dce
are generally few and irnprecisc.
Despite these uncertainties, the results of the sta-
bility back analyses are fairly consistent and agree
reasonably well with the laboratory residual shcar
strength data. The range of the back calculated shear
strength parameters, resulted from foar investigated
landslips, was c' = 3-15 kPa and respectively
@'-10.2°-13.8", that draw attention on the effec-
tiveness of drainage as a method of stabilization of
landslides in red clays.
5 REMEDIAL MEASURES
When designing landslide remedial measures it is of
primary importance to recognize the conditions that
caused the slope to become unstable. Landslide
causal factors can be separated into two broad
groups: preparatory and triggering. Three main pre-
paratory factors have been identified for the vast
majority of landslides along the Black Sea shore in
Romania, namely (Popescu, 1996): the recession of
the coastal cliffs, the construction and development
activities in the area, and water suppiy/sewage
network leakage. The primary triggering factor
iniliating movement has been reported to be pro-
longed and/or intense rainfall.
By considering various causal factors it was felt
that the following approaches to stabilization are
likely to have a positive effect:
(1) Prevention of marine erosion by extending and
Figure 6 Example of a back analysed landslide in Constantza city area
upgrading the existing sea defences along the
ci iff toe.
( 3 ) Limiting the unfavourable effect of the ground-
watedprecipitation conditions by providing ap-
propriate drainage systems and monitoring the
water supply network to identify areas of leakage
where pipes need to be either repaired or re-
p 1aced.
(3) Modification of the slope geometry by unloading
its active ~ o n t ' and
s loading the passive 2oncs.
(4) Adding stabilizing h r c e to the slope by install-
75
ing variolis retaining works.
Wave crosion at sea level tends to remove toe-
supporting laiidslide debris and steepen the slopc:
profile, so leading to decreased stability. In order to
protect the cliff toe against marine abrasion new sea
defences consisting of cast-in-situ gravity retaining
walls and precast reinforced concrete crib walls have
been carried out as illustrated in Figure 7.
Although very important. toe protection is rzre;
sufficient to prevent further cliff - top recession or
slope displacernsnt. Groundwater seepage from a
Figure 7 Toe protection works against niarine erosion
boundary between the permeable loess top layei and
the underlying impermeable red clay may cause
oversteepening of the cliff top and softening of the
lower cliff. Remediation engineering for the seepage
problems of the parts of the coastal slope above
wave height consists in a series of longitudinal and
transversal open pit drains. In addition the whole
slope is protected by planting trees viable in the near
proximity of the sea.
I n the area of Mangalia, Costinesti and Olimp rc-
sorls, where the apartment houses being located 011
the cliff top usually do not have more than two
floors, the retaining works consist in 4-6 m high re-
76
taining walls. They are designed CO undertake the
sloping ground thrust as well as to provide protec-
tion against marine erosion. which is the main cause
of clifi retrogression in the area. 'The retaining walls
provided with a special shaped "wave - breaking"
face inighi be on spread foundation as illustrated 111
Figure 8 for Cosiinesti and Qlinip resorts area,
where the liniestone bedrock is located near the
ground surface, or on piled foundation as illustrated
in Figure 9 for Mangalia resort area where the sound
stiff mar1 layer is well bellow the sea level.
In the areas of Constantza city and Eforie resort
where the cliff height often exceeds 20-30 ni and the
Figure 8 Reta~ningnalls in Costinesti and Oliiiip area
apartment houses being located on the cliff top
might have groundfloor and 8-10 floors. the retain-
ing works that should undertake large horizontal
forces given by both earth thrust and house overload,
consist of stabilizing piles bored through the sliding
mass to the stable underlying material (Fig. 10).
Distinct protection works against wave erosion are
provided at the cliff toe.
As the systematization plan of the city of Con-
stantza required to place the apartment houses as
marginal to the cliff edge as possible, diff'ereiit op-
tions have been considered as illustrated in
Figure 11.
In order to analyse these design options the back
calculated shear strength parameters from slope fail-
ures in the area have been used to determine the
internal horizontal thrust distribution within the
sliding mass. Horizontal thrust distribution diagram
provides information on the optimum location of the
retaining works and the magnitude of the force that
these works should undertake
The first option was to place the apartment houses
far enough from the cliff edge such as to provide the
cliff slope with a minimum safety factor against slid-
ing F = 1 3 The minimum distance between the cliff
edge and the building front satisfying the requirement
F =1 3 was found as large as 68 in (Fig 1 la) This
was too large to be considered taking into accounl
the city planing restrictions
The second option was to level the cliff top by ex-
cavating the surfacial 6 m deep loess layer or to
move the building front 10-12 m landward The hori-
77
zontal thrust diagrams corresponding to both situa-
tions and presented in figure 1 1b put into evidence
that the resulting lateral forces are too large to be
undertaken by the currently available retaining work
systems
The third option was to reduce the height of the
apartment houses that would result in a corres-
ponding decrease of the horizontal thrust within the
sliding mass If the apartment house with groundfoor
and 8-10 floors is taken as a comparison basis, a re-
duction in the house height by SO YO results in a
20 TOdecrease in the horizontal thrust as shown in
Figure 1 l c
The three design options presented in figure 11 are
assuming that the apartment houses are on raft foun-
dations A forth option was to build the apartment
houses on piled foundations leading to a considerable
decrease in the horizontal thrust to be undertaken by
the retaining works
In the 1950's an interesting innovation in slope
stabilizing was carried out at the Black Sea coastal
resort of Constantza Some 2 to 3 km of the coastal
area, 30 to SO m high slopes and running at an angle
of approximately 4S0, are composed of loess deposits
mainly derived from Sarmatian sediments (shelly
calcareous liniestones with a few shales). Small-
scale slumping had caused problems to neighbouring
housing developments, so a novel stabilization pro-
gramme was undertaken
The process entailed drilling vertical holes at hori-
zontal distances of 5 to 8 m - the distance being de-
 Figure 9 Retaining walls in Mangalia area
termined empirically - over some 2 to 3 km of coast
Natural gas mixed with oxygen was then ignited in
the holes at a temperature of around 200°C This
baked the surrounding sediments, “hardening”
and increasing the strength of the cover The
net-work of holes was then filled in and to date the
hill slope has not moved (Stiinculescu, 1963\.
’The experiment was a “one-off’ and has not been
repeated. Intensive housing development has oc-
cured in and around the slope with no evidence on
any structural displacement being displayed. At the
toe of the slope a new harbour development, with
quays and jetties, has been finalised as Constantza is
the main import/export harbour in Romania.
6 CONCLUDING REMARKS
The causal factors that have contributed to the
coastal landslides in the area of Constantza city have
been grouped under two main headings: ( 1 ) pre-
paratory and (2) triggering, as shown in the table
78
presented within Figure 1. By considering those
factors which have contributed to the coastal land
slides, a number of stabilisation approaches have
been identified, as summarised in Figure 10.
IJsing numbers selected from the checklists (Ta-
bles 1 and 2) provided by the IUGS WWL, rather
than words, Landslide Reports can be compiled
which are independent of language and thus more
amenable to digital processing (Popescu, 1996).
Much progress has been made in developing
techniques to minimLe the impact of landslides
along the Black Sea shore in Romania, although
new, i n o x efficicn?, quicker and cheaper rnetlmls
could well emerge in the future. Landslides may be
corrected or controlled by one or any combination of
four principle measures: modification of slope ge-
ometry. drainage, retaining structures and internal
slope reinforcement. There are a number of levels
ofei’fectiveness and levels of accepiability that may
be applied in the use of these measures, for while
one slide may require an iinmediate and absolute
long-term correction. another may only require
minimal control for a short period.
 modification of slope geometry by reducing general slope angle (1.3)
liirniting the urdavourable effect of precipitation/growndwater by appropriate
drairiage system: surfixe drains (2.1) and shallow trench drains (2.2)
planting the slope surface (2.11)
preventing niaririe erosion by extending and upgrading the sea defence
works: re t a b k g walls (3,I) a d protective rocMconcrete blocks (3.110)
atldirig stabihhig force by passive piles (3.4)
heat trcatriieIit (4.7)

I lLlOl)lFXCA?'ION OF SLOPE GEOMETRY I 1.3 I

DRAINAGE 2.1,2.2, 2.11
RETAINING
^
_I___ STRUCTWS 3.1,3.4, 3.10
INI'Ii=RNAT,SLOPE REUVFORCEMENT 4.7

Figure 10 Complex stabilization works i n Constantza city area

79
Figure I 1 Design options in building up apartment houses 011 the c!iff in Constantza city

80
 Whatever the measure chosen, and whatever the
level of effectiveness required, the geotechnical en-
gineer and engineering geologist have to combine
their talents and energies to solve the problem.
Solving landslide related problems is changing from
what has been predominantly an art to what may be
termed an art-science. The continual collaboration
and sharing of experience by engineers and geolo-
gists particularly in the framework of the United
Nations International Decade for Natural Disaster
reduction (1 990 - 2000) will no doubt move the field
as a whole closer toward the science end ofthe art-
science spectrum than it is at present.

REFERENCES

Cruden,D.M. 1991. A simple definition of a land-

slide. Bulletin IAEG, 43 :27-29.
Hutchinson, J. N., Bromhead, E. N. & M. P. Chan-
dler 1991. Investigation of landslides at St. Cath-
erine's Point, Isle of Wight. Proc. Int. C'onf Slope
Srahility Engg., Isle of Wight, 169-179.
Popescu, M. 1980. Behaviour of expamive soils
with a crumb structure. Proc. 4'" Ini C'017f' Ex-
pansive Soils, Denver, 1 : 1 5 8- 17 1 .
Popescu, M. 1984. Landslides in overconsolidated
clays as encountered in Eastern Europe. State-of-
the Art Lecture. Proc 4'" Int Symp Laiidslides,
Toronto, 1 : 83-106.
Popescu, M. 1991. Landslides control by means of a
row of piles. Keynote Paper. Proc. Int. c'onf..
Slope Stability Engg., Isle of Wight, 361-366.
Popescu, M., Chiroiu, M., Dragoniir, N. & A.
Chiricii 1991. Instability phenomena and remedial
measures along the North cliff of Constantza city.
Ti.unspoi.tution Journul, 3-4: 7 1-79 (in Romanian
with English and French summaries).
Popescu, M. & T. Yamagami1994. Back analysis of
slope failures. A possibility or a challenge ? Proc.
7'"Internutional IA EG Congress, 4737-4744.
Popescu, M. 1996. From landslide causes to land-
slide reniediation. Special Lecture. Proc. 7"' h i .
Symp. Lundslides, Trondheim, 1 :75-96.
Stanculescu, I. 1'363. Sicherung der Gelanderut-
schung in Stadtgebiet von Konstantza, Wisscw-
schujiliche Zeitschrifi der Universitat Dresden,
Heft 2.
Terzaghi, K. 1950. Mechanisms of landslides. Geo-
logical Sociery of America, Berkley Voiume,
83-123.
Varnes, D. J. 1978. Slope movements and types and
processes. In: Landslides Analysis and Control.
Resecrrch Board Sjxciul Report.
Ti.~~tn.s;i?"I.i~'tion
176:11-33.

81
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 Slope Stability Engineering, Yagi, Yamagami& Jiang (c) 1999 Balkema, Rotterdam, ISBN 90 5809 079 5

Design of slope stabilizing piles

H.G. Poulos
Cofley Geosciences Pty Limited, Sydney & University of Sydney, N. S.W ,Austruliu

ABSTRACT: This paper discusses a procedure for the design of slope stabilizing piles in which the resistance
provided by the piles is assessed via an analysis of their response to lateral ground movements. The mechan-
ics of such pile-soil interaction are discussed and it is shown that there are a number of modes of failure, in-
volving yield of the soil and/or the piles themselves. For the ultimate case, a series of design charts are given
to assist in the assessment of pile resistance. A conceptual approach for designing piles to limit slope move-
ments is also presented. Finally, the application of the approach to two documented case histories is de-
scribed.

1 INTRODUCTION 2 to describe an analysis which quantifies the re-

One of the options for increasing the safety of poten-
tially unstable slopes is to use stabilizing piles. Such
piles have been extensively used in Japan (e.g. Ito
and Matsui, 1975; Ito et a1 1979; Fukuoka, 1977;
Broinhead, 1997), Europe (e.g. Sommer, 1977; Vig-
giani, 1981; Lippoman and Gudehus, 1985; Bandis
and Tzaros, 1988) and North America (e.g. Merriani,
1960; Oakland and Chapman, 1984; Morgestern,
1982; Reese et al, 1992; Rollins and Rollins, 1992).
Ito and Matsui (1 975) and Ito et a1 (1979,1982) have
presented some solutions which illustrate the influ-
ence of various geometric parameters on the shear re-
sistance generated by a pile in moving soil. Their
solutions have formed the basis of some suggested
methods of design (e.g. Popescu, 1991; Hassiotis et
al, 1997).
Model tests have been carried out in recent years
to study more closely the effects of ground move-
inents on piles (e.g. Poulos et al, 1995; Chen et al,
1997; Guerpillon et al, 1999), and these have helped
to elucidate some aspects of pile behaviour. How-
ever, despite this work and the widespread use of
stabilizing piles, methods of design are by no means
well-established, and there remains an incomplete
understanding of the mechanics of pile-soil interac-
tion when soil flows past a pile or row of piles.
The purposes of this paper may be summarized as
follows:
1 to present a relatively simple framework for the
design of slope-stabilizing piles
sponse of piles to soil movements arising from
slope instability
3 to discuss the mechanics of pile-soil interaction
under lateral ground movements
4 to present a series of charts which inay be used for
design purposes.
Finally, application to two real cases is described,
and comparisons are made between measured and
observed behaviour of slope Stabilizing piles.
2 THE BASIC PROBLEM
Figure 1 illustrates the basic problem being consid-
ered. A pile (which may be one of a number of piles)
is located within a soil inass in which there is poten-
tial instability, with “unstable” soil to a depth of z,
tending to slide over a deep layer of “stable soil”.
The main issues are:
i) to determine the forces and bending nioinents
developed in the pile by moveiiient of the un-
stable soil
ii) to estimate the increase in stability of the
slope because of the presence of the stabiliz-
ing piles.
The two issues are inter-related, since the increase in
slope stability depends on the amount of shear force
which can be developed by the pile at the level of the
sliding plane and the position of tlie sliding plane
will determine tlie shear force developed in the pilc.

83
3 DESIGN PROCEDURE FOR STABILIZING
PILES
The general design approach adopted follows closely
that described by Viggiani (1981), Hull (1993) and
Poulos (1995), and involves three main steps:
1 evaluating the total shear force needed to increase
the safety factor for the slope (based on an analy-
sis with no piles) to the desired value
2 evaluating the maximum shear force that each pile
can provide to resist sliding of the potentially uii-
stable portion of the slope
3 selecting the type and number of piles, and the
most suitable location in the slope.
Step (1) makes use of the detailed results of the sta-
bility analysis. The actual safety factor Fa for the
slope can be defined as follows:
where CR = sum of resisting forces along the critical
failure surface; CFD = sum of disturbing forces along
that surface.
If the actual safety factor F" is less than the target
safety factor, FT, the piles must provide an additional
resistance AR, so that:
From equations (1) and (2),
AR = CF,,(F, - F a ) (3)
This represents the stabilizing force, per unit width of
soil, that must be provided by the piles, and can
readily be calculated if CFD is extracted from tlie sta-
bility analysis results.
It should be noted that the safety factor can also
be defined in terms of the moments along the failure
surface, rather than the forces e.g. Navfac (1986).
The principle of the method is the same, regardless of
the definition of tlie safety factor.
For step (2), the most satisfactory procedure is to
undertake an analysis in which the pile is subjected
to soil movements which simulate tlie movement of a
sliding mass of soil over a stable mass. Such analy-
ses are discussed in the following section.
Alternative approaches can be used to assess the
relationship between safety factor and pile resistance,
depending on the capabilities of the slope stability
analysis used. These include:
tlie inclusion of a lateral concentrated force within
the soil, at the intersection of the pile and the criti-
cal sliding plane
the inclusion of a stronger cohesive "lump" of
soil, tlie strength of which can be related to the
shear force developed by the moving soil acting
upon the pile.
a4
In both of these cases, the relationship between
the factor of safety and tlie stabilizing force devel-
oped by the pile can be readily obtained.
Guidelines for selection of the optimal location of
piles in a slope are not well-established. However,
there is evidence to suggest that, in order to be effec-
tive, stabilizing piles must have the following char-
acteristics:
they must be of relatively large diameter and rela-
tive stiffness
they must extend well below the critical failure
surface so that the failure surface is not merely
shifted downwards below the pile tips with a fac-
tor of safety still less than tlie target value
they should be located in tlie vicinity of tlie centre
of the critical failure circle (or wedge, etc.) to
avoid merely relocating the failure surface behind,
or in front of, the piles.
ESTIMATION OF SLOPE MOVEMENTS
AFTER STABILIZING PILES INSTALLED
In principle, it is possible to estimate the movement
of tlie slope after stabilization by piles, if the follow-
ing relationships can be estimated:
1 pile shear resistance (and hence improved factor
of safety) versus soil movement
2 slope factor of safety versus soil movement.
Figure 2 shows that tlie intersection of these two
relationships gives the values of factor of safety and
soil movement. Clearly, the larger the pile stabiliz-
ing force which can be developed for a particular soil
movement, the smaller will be tlie resulting niove-
ment of the slope.
The first relationship can be established via a pile-
soil interaction analysis, as outlined in Section 4 be-
low. Unfortunately, there appear to be no well-
established methods for estimating the second rela-
tionship and it would be necessary to adopt an eni-
pirical approach. For example, it might be expected
that such a relationship would take tlie following
form:
F = 1.O + (F, - 1.O)e-""$ (4)
where F = factor of safety after stabilizing piles in-
stalled; Fo = minimum factor of safety which would
result in no (or an acceptably "small") slope move-
ment; ps= movement of slope after stabilization; k =
an empirical coefficient.
Unfortunately, there appears to be no systematic
data which might enable the empirical coefficient k
to be cstiniated.
Tlie relationship betwcen pile shear resistance, V,
and soil slope movement, p5,may be obtaincd from a
pile-soil interaction analysis, as described in the fol-
lowing section. Tlie consequent factor of safety of
Figure 1. Basic problem of a pile in an unstable slope.

Figure 2. Conceptual approach for estimating slope movement after stabilization.

Figure 3. Model for piles in soil undergoing lateral movement.

the stabilized slope, F, can be obtained, e.g. from
equation 2, as
(5)
where CR and CFDare defined in equation 1, and CV
= total shear resistance developed by piles per unit
width of the soil, due to a specified slope movement
Ps.
An illustrative example of the utilization of this
approach is given in Appendix A.
5 ANALYSIS OF THE PILE RESISTANCE
It is assumed here that a pile in a potentially unstable
soil mass is subjected primarily to lateral ground
movements, although in general, there will also be a
component of vertical ground movement acting on
the pile. Thus, the basic problem is one of the re-
sponse of a pile to externally-imposed lateral ground
movements.
Viggiani (1 98 1) has derived dimensionless solu-
tions for the ultimate lateral resistance of a pile in a
two-layer purely cohesive soil profile. These solu-
tions, while being extremely valuable, are limited in
the following respects:
1 they apply only to purely cohesive soils in which
tlie cohesion of the unstable and stable soils is as-
sumed constant with depth
2 they apply to the ultimate state only and do not
give any indication of the development of pile re-
sistance with soil movement
3 they are confined to a simplified representation of
the distribution of soil movement with depth.
A somewhat more versatile approach, which en-
ables the above limitations to be overcome, can be
developed by using a pile-soil interaction analysis in
which the effect of soil moving past the pile can be
considered at any stage of soil movement. Such an
analysis has been described by Poulos (1 973), Poulos
and Davis (1980) and Lee et a1 (1991) and makes use
of a simplified form of boundary element analysis to
obtain a solution.
In this case, the pile is modelled as a simple elas-
tic beam, and the soil as an elastic continuum. The
basic problem is illustrated in Figure 3. The lateral
displacement of each element of the pile can be re-
lated to the pile bending stiffhess and the horizontal
pile-soil interaction stresses. The lateral displace-
ment of the corresponding soil elements are related to
the soil modulus or stiffness, the pile-soil interaction
stresses, and the free-field horizontal soil move-
ments. A limiting lateral pile-soil stress can be speci-
fied so that local failure of the soil can be allowed
for, thus allowing nonlinear response to be obtained.
By consideration of the compatibility of the hori-
zontal movements of the pile and soil at each ele-
86
ment, the following equation may be derived while
the conditions of the pile-soil interface remain elas-
tic:
where [D] = matrix of finite difference coefficients
for pile bending; [I]" = inverted matrix of soil dis-
placement factors; KR= dimensionless pile flexibility
factor = EI/EsL4; n =number of elements into which
pile is divided; {Ap} = incremental lateral pile dis-
placements; {Aps} = incremental free-field lateral
movement; E1 = bending stiffness of pile; E, = aver-
age Young's modulus of soil along pile shaft; L =
embedded length of pile.
In addition, the horizontal and moment equilib-
rium equations, and the pile head and tip boundary
conditions, may be expressed in terms of the dis-
placements. After solving the resulting equations for
the incremental displacements, the incremental pres-
sures may then be evaluated from the equation of
bending of the pile, and added to the existing pres-
sures to obtain the overall pile-soil pressures. These
values are compared with the specified limiting lat-
eral pressures, and at those elements where the com-
puted overall pressure exceeds the limiting value, the
compatibility equation for that element is replaced by
the pile bending equation which incorporates the
condition that the lateral pressure increment is subse-
quently zero. The solution is then recycled until the
computed lateral pressures nowhere exceed tlie lim-
iting values. Allowance has also been made for lim-
iting the bending moment within the pile itself to the
yield moment, since nonlinear pile bchaviour can
have a considerable influence on lateral pilc response
(e.g. Kramer and I-Ieavey, 1988). A FORTRAN 77
computer program, ERCAP, has been developed to
implement this analysis. Hull et a1 (1991) have de-
scribed an alternative program, PALLAS (Piles and
Lateral Loading Analysis) which uses a different
formulation but gives cssentially similar results to
ERCAP. Another alternative but similar analysis has
been presented by Chow (1 986).
The lateral response analysis requires a knowl-
edge of the distributions of lateral soil modulus and
limiting lateral pile-soil pressure with depth, and the
free-field horizontal soil movements. For problems
involving slope instability, a distribution of free-field
soil movements such as that shown i n Figure 1 ap-
pears to be appropriate. This assumes that a large
volume of soil (the upper portion) moves as a rigid
body downslope. Below this is a relatively thin zone
undergoing intense shearing in the 'drag zone'. The
underlying 'stable zone' is stationary. The estima-
tion of lateral soil modulus and limiting lateral pile-
soil pressure will be discussed later in this paper.
6 MECHANICS OF PILE-SOIL INTERACTION
Failure of a pile in a pile-reinforced slope will result
from tlie interactions between tlie tliree components
of tlie problem; tlie soil strength, the pile strength and
tlie geometry of the problem. If tlie piles are also
loaded by some external forces these too must be
considered. Three modes of failure within the soil
can be identified:
1 the “flow mode”, when tlie slide is shallow and
tlie unstable soil becomes plastic and flows around
tlie stationary pile
2 tlie “short-pile mode”, when the slide is relatively
deep and the length of tlie pile in tlie stable soil is
relatively shallow; the sliding soil carries tlie pile
through the stable soil layer, and full mobilisation
of soil strength in tlie stable layer occurs
3 the “intermediate mode”, when tlie soil strength in
both tlie unstable and stable soil is mobilised
along tlie pile length.
Superimposed upon these three modes of soil fail-
ure is tlie consideration of tlie finite strength of tlie
pile. Since failure of tlie pile in shear is unlikely, this
leads to consideration of the “long pile” failure mode
in which one or more positions along the pile are
found to have attained the yield moment and then
developed so-called “plastic hinges”. Tlie first at-
tainment of tlie yield moment, My, (perhaps without
fully mobilising the soil resistance) is possibly a
more important practical consideration than the ulti-
mate state of full mobilisation of pile strength, and
will be considered here as the criterion for failure of
tlie pile. More load could be taken by tlie piles but
tlie pile itself is permanently damaged.
Figure 4 illustrates the characteristics of pile be-
haviour for tlie flow mode, tlie short-pile mode, and
tlie intermediate mode. The results are for a 15ni
long steel tube pile with an external diameter of 0.5m
and a wall thickness of 15mni. In the upper sliding
zone, tlie soil is a clay with an uiidrained shear
strength of 30 kPa, while in tlie lower “stable” zone,
the undraiiied shear strength is 60 kPa. Tlie soil
movement in tlie slide zone is assumed to be constant
with depth and equal to 0.41~1, and no “drag” zone has
been considered.
The following observations are made from Figure
4:
1 the maximum shear force in tlie pile is developed
at the level of the slide plane
2 for tlie flow mode, tlie maximum moment occurs
below tlie slide plane, in tlie stable soil, and the
pile movement is considerably less than the soil
movement
3 for tlie short-pile mode, the maximum moment
occurs well above tlie slide plane in the unstable
soil, and tlie soil and pile movements are similar
4 for tlie intermediate mode, large moments are de-
veloped both above and below the slide zone, and
87
tlie pile head movement can exceed the soil
movement.
Figure 5 shows tlie dependence of tlie maximum
shear force and bending moments (positive and
negative) on tlie relative depth of tlie sliding unstable
soil along tlie pile (z,/L). When the pile is elastic
(i.e. does not yield), the maximum shear force is de-
veloped when z,/L is about 0.4, with tlie “interniedi-
atc” mode being operative. However, for a yield
moment of 0.94 MNm (representing a steel yield
stress of 350 MPa), tlie “long pile” mode dominates
over a wide range of values of z,/L, and tlie maxi-
inuin shear resistance is developed when z,/L is
about 0.6.
For three values of z,/L, Figure 6 shows the dc-
velopiiieiit of the maximum shear forcc with in-
creasing soil movement. In this case, for all modes
of failure, tlie niaxiniuni shear is developed for a soil
movement of about 60% of tlie pile diameter, or less.
For tlie flow mode (z,/L = 0.2), a soil movement of
only about 20% of tlie pile diameter is sufficient to
develop tlie maximum shear force. Tlie pile response
is essentially linear for ground movements of up to
about 5 to 10% ofthe pile diameter.
For a slide depth z, of 7.5ni, Figure 7 shows the
effect of tlie embedment of tlie pile in tlie stable soil
on tlie pile response. For enibednients of more than
about 7.5111, tlic bcliaviour of tlie pile (flow mode)
does not change, and it can be concluded that there is
no benefit to be gained by increasing tlie pile length
beyond this depth. It is interesting to note that the
“critical” or “effective” length of tlie portion of the
pile in tlie lower stable soil layer is (using the ap-
proach of Poulos and IHulI, 1989) about 7.4111. Thus,
perhaps not surprisingly, for economical design, the
pile length in tlie stable layer should not exceed tlie
elastic critical length of tlie pile in that layer.
Figure 8 shows tlie computed pile head movement
as a function of tlie soil movement, for various
depths of sliding soil. For shallow slide depths,
where the flow mode is operative, tlie pile head
movement stabilizes at a maximum value as tlie soil
flows past tlie pile. However, for slide depths in ex-
cess of about 2.5177, the pile movement continues to
increase with increasing soil movement, and may
even exceed the soil movement for some slide depths
(e.g. 6 to 911-1).
Figure 9 illustrates the dependence of the niaxi-
mum shear force versus depth of slide relationship on
tlie lateral soil movement p,. Also shown is tlie tlieo-
retical solution for tlie ultimate condition, derived
from tlie equations of Viggiani (198 1). It can be seen
that tlie numerical solutions tend to Viggiani’s solu-
tion as the lateral soil movement increases. For tlie
flow mode of failure (z, 5 3111) and the short-pile
mode (2, 2 13.5m), tlie ultimate condition develops at
relatively small values of p5. However, larger
movements are required to develop ultimate condi-
tions for tlie intermediate failure mode.
Figure 4. Pile behaviour characteristics for various modes.

88
Figure 6. Effect of soil movement on maximum shear force developed on pile.

In general, it is found that the pile response is es- movement exceeds about 20% of the pile diameter.
sentially linear for soil movements up to about 5% of However, for the intermediate failure mode, soil
the pile diameter. Ultimate conditions are developed movements in excess of 60% of the pile diameter
in the flow and short pile failure modes when the soil may be required to develop ultimate conditions.

89
Figure 8. Pile head movement for different depths of soil movement.

Three important practical implications may be length. The effect of yielding of the pile is to re-
drawn from Figures 5 to 9: duce the maximum shear force, especially for
1 the largest shear force occurs when the soil slide slide depths between about 0.25 and 0.9 times the
depth is between about 0.5 and 0.6 times the pile pile length

90
2 the flow mode creates the least damaging effect of
the soil movement on the pile; if problems in-
volving protection of the piles are encountered, ef-
forts should be made to promote this mode of be-
haviour
3 the intermediate mode develops the largest shear
force and bending moment in the pile; hence, if
the piles are being used to stabilise tlie slope, they
should be designed so that tlie intermediate mode
of behaviour occurs. This can be done by varying
the depth of embedment of the pile in the stable
zone in tlie analysis, until a maximum value of
shear force is found.
The soil failure mode will depend on the length,
diameter and section of the pile, the strength and de-
formation properties of the pile material, the strength
properties of the soils in the unstable and stable re-
gions, the relative lengths of the pile in the unstable
and stable regions, and the spacing between adjacent
piles. It is possible to develop design charts which
relate the resistance developed by piles to the above
variables, as described below.
7 DESIGN CHARTS FOR STABILIZING PILES
The numerical analyses using ERCAP indicate that
an ultimate condition is reached for ground move-
ments in excess of about 60% of the pile diameter.
As a design expedient, when it is not possible to
carry out a complete site-specific analysis, useful de-
sign charts can be derived for the ultimate pile re-
sponse to lateral moveiiieiits using the solutions of
Viggiani (1 98 1).
These solutions give the maximum shear force
which can be developed by a stabilizing pile, re-
gardless of the ground movements which act on the
pile.
Viggiani’s analysis considers a two-layer soil
system in which the upper unstable soil layer can de-
velop on ultimate lateral pressure (pUl)which is dif-
ferent from the value (pL,~) developed by the pile in
the lower (stable) layer. Figures 10 to 12 give di-
inensionless curves for the maximum shear resistance
V, for three values of pul/puz. In each case, the fol-
lowing dimensionless quantities are given:
Dimensionless pile shear resistance:
- V
V=-
P 1 dz ,
,I
Dimensionless depth of sliding surface:
z, / L
Dimensionless yield moment of pile section:
- My
M y =-
P I, 2 dz:
91
where My = yield moment of pile section.
The following characteristics can be noted from
Figures 10 to 12:
1 as would be expected, the maximum shear resis-
tance provided by the pile reduces as the pile yield
inoinent reduces
2 the dimensionless pile shear resistance ( V ) de-
creases as z,/L increases (however, the actual
value of V will generally reach a inaxiiiiuiii value
for z,/L between about 0.4 and 0.6).
The estimation of the ultimate lateral pile-soil
pressure is discussed in the following section. An
illustrative example of the use of the design charts is
given in tlie Appendix.
8 ESTIMATION OF SOIL PARAMETERS
The key parameters required for a complete analysis
of the lateral response analysis of a pile are:
Young’s modulus of the soil E,
limiting lateral pile-soil pressure pu
Assessment of these parameters is usually made
on the basis of:
1 correlation with strength properties of soil
2 correlation with insitu test data (e.g. CPT, SPT)
3 in-situ test measurements (e.g. via the pressure-
meter of the dilatoineter)
4 interpretation of lateral pile load test data.
A brief review of some correlations for E, and pU
is made below.
8.1 Young’s modulus E,
For clays, Young’s modulus E, is usually related o
the undrained shear strength c,, as follows:
(7)
Assuming a non-linear analysis is to be used, so that
E, represents a secant modulus for relatively low load
levels, the value of a1 typically lies between 150 and
400 (Poulos and Davies, 1980; Banerjee and Davies
1978; Decourt, 1991).
For overconsolidated clays, Dccourt (1 99 1) sug-
gests the following correlation with SPT value N:
E, = 2 N (MPa) (8)
For sands, it is customary to assume that the modulus
varies linearly with depth, so that
E, = N , , z (9)
where z = depth below ground surface. Typical val-
ues of NI, for saturated loose, medium and dense
sands are 1.5, 5.0 and 12.5 MPdm respectively (De-
court, 1991).
Kishida and Nakai (1977) relate E, to SPT value
N as follows:
E, = 1.6N (MPa) (10)
Figure 9. Influence of soil movement on shear development in a stabilizing pile.

Figure 10. Design curves for piles in two-layer laterally moving soil ultimate case: pu,-pu2= 0.5.

8.2 Ultimate lateral pressure p,, large spacings or at very close spacings, the mecha-
It0 and Matsui (1975) have developed a theory for nism Of flow through the Piles Postulated Ito and
the flow of soil through a row of piles. The equa- is not the mode.
tions they have developed show that the limiting In clay Soils, it usual to adopt a tota1 stress aP-
pressure py developed on a pile by the flowing soil poach in which pu is related to undrained shear
depends on the strength properties of the soil, the strength as follOws:
overburden pressure, and the spacing between the
piles relative to their diameter. Their equations are pit = N~)Cil (1 1)
meant to apply for the portion of the piles in the un-
stable or moving soil. However, the equations are where N, = lateral capacity factor. For a single pile,
,only valid over a limited range of spacings, since at N, may be assumed to increase linearly from 2 at the

92
Figure 1 1 . Design curves for piles in two-layer laterally moving soil ultimate case: p , , , / ~=~1’.O.
~

Figure 12. Design curves for piles in two-layer laterally moving soil ultimate case: pl,Jpu2= 1.5.

ground surface to a limiting value of N, = 9 at a
depth of 3.5 pile diameters or widths and beyond i.e.
N, = 2(1+z/d) P 9 (12)
where z = depth below ground surface; d = pile di-
ameter or width.
Theoretical studies by Chen and Poulos (1993)
provide some indications of the influence of group
effects on N,. Such effects may reduce N, if the
piles are arranged in a line perpendicular to the di-
rection of soil movement (typically by about 25% for
piles arranged parallel to the direction of soil move-
ment the value of pu for the leading piles can be in-
creased by up to about 40%, whereas “trailing” piles
may have reduced pu values. Model tests by Guer-
pilon et a1 (1999) also imply that group effects may
cause an increase in pile bending moments (com-
pared to an isolated pile) and therefore (by iniplica-
tion) an increase in ultimate lateral pile-soil pressure.
For piles in sands, the simplest approach is to use
the suggestion of Broms (1 964) in which
I

piles spaced at 3 diameters centre-to-centre. For P,, = a K % , (13)

93
Figure 13. Cross-section showing ground movements and location of shear plane.

Figure 14. Shear resistance of piles.

Figure 15. Displacement of pile with time.

where K, = Rankine passive pressure coefficient = It is noted by De Beer (1 977) and Viggiani (1 98 1)
tan2 (45 + $/2); $ = angle of internal friction of soil; that different values of the coefficients N, and a in
ova, = effective overburden pressure; a = coefficient Equations 11 and 13 may apply for the sliding and
ranging between 3 and 5. stable portions of the soil profile. Typically, the val-

94
ues in the stable soil have been taken to be those
given in Equations 12 and 13 above, while the values
in the sliding soil have been taken to be about half of
those values. However, other than for the near-
surface effects, there appears to be no reason why
such differences should exist. For example, if the
sliding layer in a homogeneous clay soil is at a depth
of 3 pile diameters, the average value of N, above the
sliding surface (using Equation 12) would be about 5 ,
whereas below the sliding surface it would be 9.
Thus, the near-surface effect would cause a reduction
in pL,of about 45% compared to the case of deep em-
bedment.
9 APPLICATION TO CASE HISTORIES
Beatton River Highway, Canada
Polysou et a1 (1998) describe an example of the suc-
cessful use of piles to stabilize a landslide 011 a sec-
tion of highway in British Columbia, Canada. Con-
struction of a highway remobilized a pre-historic
landslide, causing ground movements of up to 5111.
The sliding mass was 14oni wide by 2001n long, and
movement occurred at a depth of 15-2oni. The
method envisaged to stabilize the upper part of the
slide mass and the highway fill was a pile wall, coil-
sisting of closely-spaced large diameter piles ex-
tending from ground surface at tlie toe of the high-
way fill to some depth below tlie shear toe.
Figure 13 shows a cross section through the mid-
dle portion of the slide. Together with the slip sur-
face deduced from slope indicator data and drill
holes. The slip was essentially planar and was con-
centrated at a depth of about 1 1in, corresponding to
the base of the pre-sheared very stiff clay with
slicken sided shear surface.
The design process involved the three stages set
out in Section 3. It was decided that the stability of
the upper portion of the slide was to be increased by
30% i.e. to raise the factor of safety to 1.3 on the
weakest slip surface. It was deduced that such an in-
crease in safety factor would require an additional
shear resistance of 2.9 MN/m depth of wall.
The ERCAP analysis was used by tlie author to
analyze four types of steel pipe piles, with diameters
of 1 to l S m , and wall thicknesses of 19 to 25mm.
Young’s modulus of the soils was estimated via cor-
relations with SPT values (Equation 8), while the ul-
timate pile-soil lateral pressures were taken as 9
times undrained shear strength for the clayey soils, 3
times the Rankine passive pressure for the gravel
layer, and 20 MPa for the shale. Figure 14 plots the
computed pile shear resistance versus pile length, for
the four pile types considered. The maximum shear
resistance increases as the pile diameter and yield
moment increases, and reaches a maximum value for
a length of about 24 to 26m.
95
An analysis was also performed with inclined an-
chors located near the pile head. It was found that
there was very little improvement in the shear resis-
tance of the pile, despite the development of a sub-
stantial force in the anchor. Anchors were therefore
not used in the pile wall design.
The final design involved the use of two rows of
1.5m diameter piles with 13mm wall thickness, the
first row at a centre-to-spacing of 2m, and the second
at 4m spacing. The total cost of the remedial works
was about C$2.38 million, of which almost half was
for the supply of the steel piles.
After construction, four slope indicators were in-
stalled in selected piles in the wall. Plots of deflec-
tion versus time for one of these piles are shown in
Figure 15. A deflection of about 140m had occurred
by the end of construction, with an additional deflec-
tion of about 30min in the ensuing year. In the slide
mass downhill of the pile wall, there has been less
than 20mm of displacement at the ground surface.
Hence there are strong indications that the installa-
tion of the piles has been effective in improving the
overall stability of the slope.
Concrete pile in unstable slope
Esu and D’Elia (1974) described a field test where a
reinforced concrete pile was installed into a sliding
slope. The slope consisted mainly of clay and the
upper layer of 7.5m thick underwent lateral niove-
ment. The test pile was 30m long, 0.79m in diameter
and the bending stiffness (EI) was 360 MN.m’. The
pile was instruinented with pressure cells along its
shaft at depths of 5, 10 and 15ni below the ground
surface and they were located on both the upstream
face and the downstream face. An inclinometer was
also installed inside the pile at the centre to measure
the pile inclination and deflection. The measure-
ments were carried out over a period of 8 months and
the results showed that the stresses acting on tlie pile
had increased gradually until the pile developed a
plastic hinge at 1 lni below the ground surface.
There was no information about the undrained
shear strength and the ultimate soil pressure for the
clay deposits. However, Maugeri and Motta (1991)
analyzed tlie case and suggested that the undrained
shear strength c,, might be 40 kPa, and the values of
lateral ultimate soil pressure coefficient N, could be
3 and 8 for the upper moving soil layer and the lower
stable soil layer respectively. Since their theoretical
results compared fairly well with the measured re-
sults, these values were also adopted in the present
analysis.
To match the measured bending moment profile,
two further assumptions regarding the soils were
made in the present analysis:
1 the soil Young’s modulus E, increases linearly
from zero at the surface to 16 MPa at the level of
the pile tip (see Poulos and Davis, 1980)
Figure 16. Comparisons between the predicted and measured pile responses for test of Esu and D’Elia (1 974).

2 since the soil movement profile to cause the pile ground surface down to the sliding surface (7.51~1
to yield was not reported, a uniform distribution of below the ground surface), was assumed.
lateral soil displacement of 1 1Omm, from the The predicted and measured results are presented

96
 in Figure 16. It can be seen that the measured bend-
ing moment profile is reasonably well predicted
along the whole pile shaft, although the position of
the maximum bending moment is predicted to be
slightly higher than the measured.
The shape of the shear force profile is seen to be
very similar for both the predicted and the measured,
and the value as well as the position of the maximum
shear force is also in very good agreement (Figure
16c).
Both the pile inclination and pile deflection pro-
files are in very good agreement between the pre-
dicted and the measured, as can be seen from Figures
16d and 16e. The pile portion above the position of
the plastic hinge is seen to be affected significantly
by the moving soil, with the pile head deflection
greater than the soil movement at the surface, how-
ever, the lower portion of the pile remained essen-
tially unmoved.
Chow (1996) analyzed the same case using a
method of analysis that is similar in principle to that
employed herein. Chow used similar assumptions to
those described above except that the Young’s
modulus was taken to be 200 times the undrained
shear strength. IHe obtained a similar measure of
agreement with the measurements to that shown in
Figure 16.
10 CONCLUSIONS
Piles provide a possible option for improving the sta-
bility of soil slopes. The interaction between the
moving soil mass and the piles generates a shear
force in the piles which tends to increase the factor of
safety against failure. The maximum shear force de-
veloped in a pile is governed by a number of factors,
primarily the shear strength of the soil above and
below the potential slide plane, the depth of the slide
relative to the pile length, and the structural strength
(yield moment) of the pile. To be effective, stabiliz-
ing piles need to be of relatively large diameter and
to have a high yield moment.
The paper sets out a systematic approaih to the
design of slope stabilizing piles, in which the shear
force developed by each pile is calculated via consid-
eration of the interaction between the pile and the
moving soil. For general soil profiles, this interac-
tion can be analyzed via a computer analysis such as
ERCAP or that developed by Chow (1996). The de-
pendence of the shear force on the soil movement
can be computed from these analyses. For relatively
simple two-layer soil profiles and ultimate condi-
tions, the solution of Viggiani ( I 98 1) can be utilized,
and design charts based on these solutions are pre-
sented in the paper.
Comparisons between measured and predicted
pile behaviour show reasonable agreement, and these
indicate that, provided reasonable estimates can be
97
made of the ultimate lateral pile-soil pressure and the
soil movement profile, the approach presented herein
provides a reasonable method of designing slope sta-
bilizing piles.
ACKNOWLEDGEMENTS
The author acknowledges the contributions to re-
search in this area made by his colleagues and former
colleagues at the University of Sydney, Dr T.S. Hull,
Dr. C.Y. Lee and Dr L. Chen. Professor C. Viggiani
kindly provided updated information on his equa-
tions, while Mr J. Sobkowitz provided detailed in-
formation on the Beatton River Highway case.
REFERENCES
Bandis, S.C. and Tzaros, S.C. 1988. Design of retaining con-
crete piles for stabilization of a slope at the Koutloumousi
Monastery, Mount Athos, Greece. The Eng. Geol. of Ancient
Works, Mons. and Hist. Sites, Ed. P.G. Marinos and G.C.
Koukis, Balkeina, Rotterdam, I , 193-189.
Banerjee, P.K. & Davies, T.G. 1978. The behaviour of axially
and laterally loaded single piles embedded in non-
homogeneous soils. Geotechnique, 28 (3): 309-326.
Broinhead, E.N. 1997. The treatment of landslides. Proc. ~nsh?.
Civ. Engrs. Geofech. Enging, 125, April: 85-96.
Chen, L.& Poulos, H.G. 1993. Analysis of pile-soil interaction
under lateral loading using infinite and finite elements.
Coniputers and Geotechnics, 15: 189-220.
Chen, L.T., Poulos, H.G. & Hull, T.S. 1997. Model tests on pile
groups subjected to lateral soil movement. Soils and Foun-
dations, 37 ( I ) : 1-12.
Chow, Y.K. 1996. Analysis of piles used for slope stabilization.
lnt. Jnl. Nuin. Anal. Meths. in Geoinechs., 20: 635-646.
De Beer, E. 1977. Piles subjected to lateral loads. Proc. Spec.
Sess. No. 10, 9‘” lnt. Conf Soil Mechs. Fouridti. Eng., Tohyo:
1-14.
Decourt, L. 1991. Load-deflection prediction for laterally
loaded piles based on N-SPT values. Proc. 9’’’ Pun-
American Conf: Soil Mechs. Foirndn. Eng.
Fukuska, M. 1977. The effects of horizontal loads on piles due
to landslides. Proc. 10’‘’ Spec. Session, 9’’’ 1111. Con[ Soil
Mechs. Foundn. Eng. Tokyo: 27-42.
Guerpillon, Y . , Boutonnier, L.,Gay, O., Foray, P. & Flavigny,
E. 1999. Modelisation physique et numerique de
I’interaction d’un obstacle et d’un glesseineiit d’ epaisseur
limitee. Proc. 12‘’’ Eur. Cot$ Soil Mechs. Foiindn. Eng.
Amsterdam.
Hassiotis, S., Chaineau, J.L. & Gunaratne, M. 1997. Design
method for stabilization of slopes with piles. . J d Geol. crnd
Geoenvir. Eng., A X E , 123, (4): 314-323.
Hull, T.S. 1993. Analysis of the stability of slopes with piles.
Proc. I I r i 1Asian Geol. Conj.‘,Singapore, 639-643.
Ito, T., Matsui, T. & I-fong, W.P. 1982. Extended design method
for multi-row stabilising piles against landslide. Soi1.s L U I ~
Foundations, 22 ( 1 ): 1 - 13.
Ito, T. & Matsui, T. 1975. Methods to estimate lateral force
acting on stabilising piles. Soils and Foundations, 18 (4):
43-49.
Ito, T., Matsui, T. & I-long, W.P. 1979. Design method for the
stability analysis of the slope with landing pier. Soils and
Foundations, 19(4): 43-57.
Kramer, S.L. & Heavey, E.J. 1988. Analysis of laterally loaded
 piles with nonlinear bending behaviour. Tramp. Res. Record
1/69, 70-74.
Lee, C. Y . , Poulos, H.G. and Hull T.S. 1991. Effect of seafloor
instability on offshore pile foundations. Can. Ceol. ,Jtil, 28
(5): 729-737.
Lippoman, R. & Gudelius, G. 1985. Dowelled clay slopes: re-
cent examples. Proc. I I"' It?/. Coi?f Soil Adech. Foundti.
Etig., Sun Francisco, 3: 1269-1271.
Maugeri, M. & Motta, E. 1991. Stresses on piles used to stabi-
lize landslides. In Luiidslides. Ed. D. Bell, Balkema, Rotter-
dam: 785-790.
Merriam, R. 1960. Portuguese bend landslides, Palos, Verdes
Hills, California. Jtd. cfGeology, 68 (2): 140-1 53.
Morgenstern, N.R. 1982. The analysis of wall supports to stabi-
lise slopes. Applicutioti qf Walls to Latidslide Coiitrol
Probletns. Ed R. B. Reeves, ASCE: 19-29.
NAVFAC 1986. Soil mechanics. Design Manual 7.0 I , US Na-
val Facilities Eng. Command, Virginia.
Nethero, M.F. 1982. Slide control by drilled pier walls. Appli-
catioti of Walls fo Latid.slide Coti/i.ol Proliletiis. Ed. R.B.
Reeves, ASCE: 6 1-67.
Oakland, M.W. & Chameau, J.L. 1984. Finite element analysis
of drilled piers used for slope stabilization. ASTM, STP 835:
182-1 93.
Polysou, N.C., Coulter, T.S. & Sobkowicz, J.C. 1998. Design,
construction and performance of a pile wall stabilizing a
landslide. Proc. Cat?.Geo,. Con6 Edmonton.
Popescu, M.E. 1991. Landslide control by means of a sow of
piles. Slope S/uhi/ily Etigitiecriiig. Thoinas Tel ford, London :
38 9 - 9 4 .
Poulos, H.G. 1973. Analysis of piles in soil undergoing lateral
movement. .Jiil. Soil Mechs. Foioidtis. Div., ASCE. Vol. 99,
SM5: 391-406.
Poulos, H.G. 1995. Design of reinforcing piles to increase slope
stability. Ca17. Ceot. *JtiI. 32: 808-81 8.
Poulos, H.G. & Davis, E.M. 1980. Pilefozmda/ioii ~1ti~1y.si.smid
desigt?.John Wilcy and Sons, New York.
Poulos, lH.G. & Null, T.S. 1989. The role of analytical geonie-
ch an i cs in found at i on e i i g i n ee r i ng . Fo zmia/ioti Etigitieet.iti,q:
Cin.ret71 Priiiciples uiid Pimlice. Ed. F.H. Kulhawy, ASCE,
New York, 1: 485-499.
Poulos, H.G., Chen, L.T. & Hull, T.S. 1995. Model tests on sin-
gle piles sub-jectcd to lateral soil movement. Soils i i i d
FOZiiiduliot7.s. 35 (4): 85-92.
Reese, L.C., Wang, S.T. & Fouse, J.L. 1992. Use of drilled
shafts in stabilising a slope. Stabili/y ~ i i i dPet:fi)riiiutice of
Slopes atid Eiiibankinents - 11. Ed. R.B. Seed and R.W.
Boulanger, ASCE, Vol. 2: 1318-1332.
Rollins, K.M. & Rollins, R.L. 1992. Landslide stabilisation LIS-
ing drilled shaft walls. Ground A4ovet?zt~tsut7d S/ructzu~es.
vol. 4, Ed. J.D. Geddes, Pentech Press, London: 755-770.
Somnier, H. 1977. Creeping slope in a stiff clay. Proc. Spec.
Session No. 10, 9'" In/. Conf Soil Adechs. Foiindti. Et7g. To-
/CJW: 113-1 18.
Viggiani, C. 198I . Ultimate lateral load on piles used to stabi-
lise landslides. Proc. 10"' In/. CoiIf Soil Meclis. Fouiidti.
Etigs. Stockholm. Vol. 3: 555-560.
APPENDIX A - ILLUSTRATIVE EXAMPLE
The problem is shown in Figure AI, and involves a
22" slope consisting of a stiff clay layer (Clay I )
overlying another stiff clay layer (Clay 2), with a thin
weak clay seam between them. It is assumed that
sliding of Clay 1 on the weak clay seam may occur
over a length of 30m, following cutting of a vertical
98
face in Clay I . For simplicity, it will be assumed
that:
1 failure along the weak seam is governed by the ef-
fective stress strength parameters of the seam
2 failure in thin Clay 1 and Clay 2 will occur under
undrained conditions
3 tlie water table is at the surface of Clay 2.
An overall factor of safety of 1.4 is required for
the slope, and if this is not achieved, then it will be
stabilized by steel tube piles 10m long, 0.5m diame-
ter, with a 15mm wall thickness. The yield moment
of each of these piles is 942 kNm. If piles are
needed, it is required to calculate the required spac-
ing of the piles. It is also required to make an esti-
mate of the movement of the stabilized slope.
The factor of safety of the cut slope is computed
first, using a simple planar failure mechanism along
the weak clay seam.
Using the parameters shown in Figure AI, the
weight of the sliding mass, W, is
W = 5 e 17030ecos22
= 2364.3 kN/m width of slope.
The disturbing force along the slide plane is
FD= Wesin 22
= 885.7 kN/m
The resisting force is:
R = W. cos 22. tan $ + cF 30 (where $ 5 = angle of
friction of clay seam = 20');c = cohesion of clay
semi = 5 kPa.
R = 797.8 + 150
= 947.9kNlm.
The factor of safety is therefore
F R/FD
= 1.070
This is less than the value of 1.40 required, and
therefore stabilization with piles is required.
For tlie calculation of the pile requirements to
achieve the desired factor of safety, use can be made
of the design charts in Figures 10 to 12. To estimate
the ultimate lateral pile-soil pressures, use is made of
Equation 12, with N, taken as 5 in Clay 1 and 9 in
Clay 2. The ultiiiiate lateral pressures are therefore
pk,1= 5 x 40 = 200 kPa in Clay 1, and pr12= 9 x 45 =
405 kPa in Clay 2. Thus, ~ ~ , l / pis, ~approximately
l
0.5, and Fsure 10 can be used. Here, z,/L = 5/10 =
0.5, and M y = My/p,,IdzF2=942/200.0.5.5' = 0.377.
From Figure 10, V = 0.60, and the inaxiniuni ulti-
mate shear resistance which can be developed in the
pile is V = V purd zs = 0.60 x 200 x 0.5 x 5 = 300
kN/pile. If a factor of safety of 2 is applied to this
shear resistance, then tlie design pile shear resistance
is 150 kN/pile.
With pile stabilization, the shear resistance AR re-
quired (per metre width of slope) is given from
Equation 3 as
AR = Fr, (FT - F")
= 886.7 (1.40 - I .07)
= 292.6 kN/m (per metric width of the 30m
length of slope.
 If 3 equally-spaced rows of piles are used, as il- Table A l . Calculation of slope movement versus factor of
lustrated in Figure A2, then each row must contribute safety for piles and for slope
292.613 = 97.5 kNlm. Slope move- Pile shear Factors of Factor of
The required spacing sy across tlie slope is then merit pS resistance safety (from safety (for
MM kN pile view- slope)
point)
0 0 1.07 I .50
5 22.3 1.12 I .48
10 44.8 1.17 1.46
It is assumed in the above analysis that group ef- 20 89.5 1.27 1.42
fects are negligible. As indicated previously, group 50 186.8 1.49 1.32
effects tend to increase the ultimate lateral pressure 100 246.1 1.62 1.20
and hence the pile shear resistance. Ignoring group 140 266.5 1.67 1.14
effects is therefore conservative from the viewpoint 200 28 I .4 1.70 I .08
of slope stability. 250 286.6 1.71 I .05
Having computed the required pile spacing, it is
now required to estimate the slope movement that
could be expected after stabilization of tlie slope.
Following the procedure outlined in Section 4, it is
necessary to estimate:
1 the relationship between pile shear resistance and
slope movement, and from this, factor of safety of
the slope versus slope movement from the view-
point of the piles
2 tlie relationship between slope factor of safety and
slope movement, from the viewpoint of the slope,
for example from Equation (4).
The first relationship has been computed via the
program ERCAP. Tlie pile shear resistance versus
slope movement relationship is shown in Figure A3.
Tlie factor of safety with piles is given from Equation
(5) as:

Since the piles are spaced across the slope at 1.5m

centre-to-centre, CR, CFv and CV are computed for a
1.5m wide “strip” of slope. Thus,
CR = 1.5 x R = 1.5 x 947.9 = 1421.8kN
CFD = 1.5 x F,, = 1.5 x 885.7 = 1328.5 kN
Since there are 3 rows of piles along the 30m long
slope, CV = 3V1, where Vl is the shear resistance of
a single pile. Thus,

F E 1421.8+3V, -
- 1.070 + -Vl
1328.5 442.8
Table A1 tabulates the computed values of V1 for
various slope movements and the consequent rela-
tionship between factor of safety and slope move-
ment, from the point of view of the piles. This is
plotted as Curve 1 in Figure A4.
For the slope, it will be assumed (arbitrarily) that
there is zero movement of the slope for factors of
safety of 1.5, and that for a factor of safety of 1.05,
the slope movement would be 0.25m. Thus, in
Equation (4), F, = 1.50 and tlie exponent k is found
to be -9.21. The resulting relationship between fac-
tor of safety and soil slope movement, from the Figure A2. Arrangement of stabilising piles.
viewpoint of the slope, is shown as Curve 2 in Figure

99
Figure A3. Computed relationship between maximum pile shear
resistance and slope movement (from ERCAP Analysis).

Figure A4. Estiniation of movement of stabilised slope

A4. Curves 1 and 2 intersect at a slope movement of

about 32mn1, and this would be the estimated slope
movement for this configuration of piles.
It should be noted that, from Figure A4, the com-
puted factor of safety if the ultimate shear resistance
of the piles is developed in excess of 1.70, which ex-
ceeds the design value of 1.40. This occurs because
of the safety factor of 2 imposed on the computed ul-
timate shear resistance of the piles.

100
1 Geological and geotechnical site investigations
This Page Intentionally Left Blank
 Slope Stability Engineering, Yagi, Yamagami & Jiang 0 1999 Balkema, Rotterdam, ISBN 90 5809 079 5

Geoenvironrnental factors influencing the deterioration of shale

in a rockslope

A. M. Elleboudy
Civil Engineering Department, Banha University, Cairo, Egypt

ABSTRACT : Rockfalls have been reported at the southwestern cliff of Mokattain plateau in the recent
decades which endangered several buildings and damaged the main roadway bordering the western edge.
Many gcoeiiviroiiineiital factors have led to rock deterioration and created unsafe condition for the traffic and
structures in the vicinity of the cliff edge. An effort was inade to assess the factors that weaken and looseii the
rock formation which is composed of lunestone interlayered with shale. Rehabhtatioii scheines for the
damaged road and the affected structures near the cliff edge are demonstrated. Proposals for stabihzatioii of
the rock slope through a iiuinber of feasible geotechnical solutions are discussed.

1 INTRODUCTION

The author was involved in the gcotechnical

problems of Mokattaiii plateau since 1979
(Ellebo~idy 1985) when a iiia-jor rockslide took
place iiilioiit of' an iinportaiit hotel in the area and
put it out of work (Fig. 1). This failure was
l'ollowcd by several rockfalls at the western aiid
southwestern cMfs that eiidaiigered several
buildings aiid damaged the main roadway
bordering the western edge. These failures had
iieptivc impact on the public, land owners, local
iiivcstoi-s. aiid thc urban devclopmciit of this
special area which is privileged with its high
altitude, open air, moderate weather, and its
closcllcss to Cairo down town.
Many geoeiiviroiiinental Factors contributed to
rock deterioration aiid created an instability
problem. N o satispactory solution has been
iinplcineiitcd till now. The debate over the
proposed solutioiis has delayed the execution of'
any of them. This situation devaluated the
properties aiid discouraged land owiiers aiid
investors froin exteiidiiig their activities aiid
dcvclopinciit projects. Thus, an effort was made to
assess the gcoeiiviroiiineiital factors that weaken
and looscn the rock inass at the edges and trigger
the rockhlls in order to suggest the most suitable Figure 1. Rockfall at the hotel locatioii
rchabhtatioii scheines aiid preventive measures.

103
2 GEOLOGICAL SETTING
Mokattain Mountain represents a notable plateau
bounding Cairo south-eastwards with its highest
point at an elevation of 2 131n above sea level. It is
coinposed of thick succession of sedimentary
ciirboiiates and argfiaceous rocks that belong
mainly to middle aiid late Eoceiie. These include
clayey inarl and shale layers interlayered with the
basic limestone ineinbers. Near the top of this
formation, limestone exists and servers as a cap.
This layer is severely jointed and subjected to
sluinpiiig aloiig cliffs. It is underlain by a thick
shale member. The stratigraphic section is then
coinposed of successive layers of hnestoiie and
shale (El-Sohby & Elleboudy 1988).
Jolliting is an important characteristic of the
plateau. Some of the joint sets are closely spaced
In a way that accentuates slumping aloiig the
southern escarpineiit aiid in the vicinity of’ the
faults. The iiitersectioiis between sets of joints
occasionally give a blocky appearance foi- soine
hnestoiie beds outcropping at Mokattain plateau.
Faults have an important role 111 the developineiit
of the present coiiliguration of the plateau.
Moreover, they represent weak zoiies aloiig which
inoveineiits caii be rejuvenated. They inaiiifcst
vertical aiid horizontal displaceineiits. The layers of
lunestone aiid shale show regional bedding
direction slightly dipping towards the slope f x e .
3 THEPROBLEM
Significant progressive deterioration of the
rockslope has happened to the Mokattain plateau
over the years. It was recently noticed after the
urbaii developineiit of this area took place. At least
four successive inajor rockfalls have occurred since
1960. A major rockfall occurred in 1979. The
entire rock inass infront of‘ a f-jve-story hotel
building has slipped taking with it a 50in wide
lawn, and leaving the footing of the corner coluinii
haiiging in the air. Aiier this incident the inaiii road
bordering the western cliff started to deteriorate.
Many parts of the road cracked and fell down the
slope (Figs. 2,3). This deterioration was not given
much attention at the design stage. The alternation
in the physical and chemical properties of the rock
inaterial due to exposure to uiiexpected
geoeiiviroiiineiital factors that accelerated the
dctc ri o rati o n was ii o t taken i i i to CO 11sidcr at io 11in
the urban planning ofthe whole area. The initiation
and propagation o f fractures was of particular
104
sigiiificaiice in the road surface breakdown and
eventually led to major rockfalls along the edge of-’
the slope. The rate of slope deterioratioii and
timing of consequent detachineiit of rock blocks
and their separation froin the rock inass was
difficult to predict quaiititavely. The rockfalls
created a significant hazard to the road users aiid
for pedestrians, thus it was closed waiting for a
pragmatic solutioii to the problem.
In a trial to assess the deterioration potential of
the existing slope, the rating inethod suggested by
Nicholson aiid Hencher 111 1997 was used. It
included input parameters such as iiitact rock
strength, inaterial weathering grade, discontinuity
spacing, and discontinuity aperture. The input
parameters of the rockslope was taken from
previous research dolie by the author (Abouleid &
Elleboudy & Hafez 1989) aiid applied to this
criteria. Then it was converted to a rockslope
susceptibility class after iiuinerical adjustments
relating to adverse engineering, stress. aiid
enviroiiineiital conditions. It gave a deterioration
rating of ahiiost 60% which indicates a class of
high susceptibility to Failure. The ciigiiieering
classification of the rockslope deterioration inode
was both blockfall and rockfall which preseiit a
signilicant threat due to uiipredic t a b h t y aiid
suddeii hill of large volume of materials. The litho-
structural group was composite since the rock type
was strong aiid weak strata represented by
liinestoiie and shale respectively. They :ire
subjected to diflkrciitial weathering leading to
collapse of’overhangs with associated blockfall aiid
occasional rockfall.
4 GEOENVIRONMENTAL FACTORS
Most gcotechnical engiiiecrs 111 this country are
used to build on sods and successf‘dly face the
probleins encountered with different types of
saturated and arid soils. However, the local
experience with building on rocks is iiot as much
since we don’t often have to build on inouiitainous
areas.
Morcovcr. when the urban developinclit ol
Mokattaiii plateau has started decades ago. the
designers did iio t visuahze the geoeiivu-onmental
factors which should be taken mto consideration to
achieve a safe and stable design for the long r~iii
They thought that rocks with its high bearing
capacity ,uid iicgligiblc compression would cause
i i o problcin for low-rise structures even iicx the
edge of the chf-f.It is true that the bcaruig capacity
Figure 2. Failure of the roadway pavement due to rockfdl

of inost rocks with iniiiiin~undegree of induratioii

varies between I400 kN/m’ and 7000 kN/m’
(Sowers 1976). However, inost surfdce rocks
exhibit fdbric weaknesses and defects due to the
destruction by weathering which reduces their
strength (Hudson 1993). Moreover Peck (1976)
stated that : “In coinparison to foundations o i i soil,
those on rock L ~ S L I present
L ~ ~ few difficulties if we
exclude certain shalcs.”
The dark gray fissile shale of Mokattain
plateau consists of laminated heavily
overconsolidated clay layers with seeins of sand,
silt, and gypsum. The intersections of set of joints
turned the top hnestoiic layer into a layer full of
cracks aiid structural defects, or inore severely into
separate blocks with random shapes (Fig. 4). The
sewers and water supply networks were originally
designed jli a primitive way relying on the low
population of the area.
Water loaded with carbonates from the
dissolution of the liinestone itself, aiid suliltes and
salts li-om defective sewer system percolates
through the limestone cracks and joints to the
uiidcrlyiiig shale. It reduces the shearing strength
of both inarl and shale, and softens the shale. This
process aloiig with the orientation of bedding
planes when dipping towards the cliffs, create slip
surfaces at the base of the lunestoiie blocks.
Moreover. the expansive nature of the shale layers
Figure 3. Vertical crack in hnestoiie top layer

105
 in close proximity of the slope area, added to the
severity of the problem.
Reviewing the above inentioiied Factors, it is
obvious that the inost influential geoeiiviroiiineiital
factor is the reinarkable change in moisture regime
111 such arid rocks. The seeping of water through
shale layers towards the cliff greatly affected the
integrity of the rock inass aiid altered the
engineering properties of these water-sensitive
layers. This fact was iiot clear at the design stagc.
Hence, the urban planning lacked the necessary
precautions against the adverse geoenvironinental
conditions aiid resulted in Pacing this challenging
pro blem .

5 REHABILITATION SCHEMES

At the beginning, when the hotel rockfall occurred,

Figure 4. Detached lllnestoiic blocks at cliff edge
is another important geoenvironinental factor that
contributes to the problem. The shale exerts a
rather high swehig pressure on the limestone
bloclts upon the increase in inoisturc content
(Ellcboudy 1985). The reinoval of the lateral
confinement as a result of the preceding rockf:all
encourages the expansion of shale in the lateral
direction toward the cliff. Also, the increase of
surcliargc load on the cliff edge due to
construction of the road and tlie adjacent buildings
enhances the inoveiiieiit in the horizontal direction
towards the slope. The growth of gypsum crystals
inay also add to the s w e h i g potential of shale. On
the other hand, the seeping water inay dissolve the
gypsum crystals aiid weaken the fabric of the shale
strata. Thus, deterioration of shale, which includes
progressive physical aiid chemical alternation of
rock material, has the most adverse effect on the
stability of the slope.
Another important factor was the slope
geometry. The high altitude and the steep angle
contributed to the instabhty of the slope. Also, a
stress factor, represented by the dyiiainic
stresses imposed by blasting Ui limestone quarries
a simple Llninediate solution was adopted. The
structural members of the building were
strengthened aiid rigidly tied together. The rock
prolilc was raised by adding sand aiid boulders to
bring it back up to grade. It was thought that
replacing the f’alleii rocks by artificial enibanknient
would substitute the lost lateral support. This
solutioii did iiot improve stabhty, aiid the
settlenient or tlie hotel continued. Thus, this
solution failed to save the hotel or to stop further
rockfall, and the hotel was abandoned.
When rockfalls continued along the cM’f edge
and endangered the main roadway and other
buildings, a variety 01’ remedial ineasures were
introduced to control the effect of the progressive
deterioration aiid coinply with the eiiviroiinieiital
planning requirements. It was clear that any
solution should start with constructing a water -
tight, leakage-proof tanks, pipes, aiid sewer system
to maintain the internal integrity of the shale layers
aiid stop the seepage of water through the
liinestoiie cracks. The repair strategy involved the
following steps:
- Removing the debris aiid scaling the cliff face
froin loose rocks.
- Exposing the surface of the hnestone aiid
disclosing the pattern ofjointing.
- Filli~igthe cracks aiid joints with cement mortar.
- Treating the slots with grout injection.
- Using rock bolts to preveiit the inoveineiit of the
blocks that potentially would fail.
- Placing a wire iiet above the surface of the
roadway to restrict rockfall. The wire net
should be anchored by grouted rods.

106
- Containing the upper loin of the cliff face with a
wire mesh to reinforce the slope.
- Coiistructuig a proper drainage system for the
surface water to direct it away from the face of the
slope.
- Reducmg the slope angle by introducing benches
and intermediate berms.
Foundations and slopes. 2 ; 1-21. Colorado,
USA.
Sowers, G.F. 1976. Foundation Bearing in
weathered rock. Proc. Con$ on Rock
Engineering for Foundutions und Slopes. 2 ;
32-42. Colorado, USA.

6 CONCLUSIONS

The deinoiistrated rockfall problem is very

challenging m inany ways. The plateau is high and
steep, the cldf edge is long, aiid the treatinclit and
iiiaiiiteiiaiice reyulreinents arc very costly. It was
miportant to outliiie the most adverse
gcociiv~oiiinental factors that threaten the
stability of the slope in order to adopt the
appropriate preventive measures. The proposed
incasurcs will help i n controlhng the coiisequeiiccs
oi deterioration of the 1-ockslopc by containment,
1 eiiif orcement, and protection.
The p 1'0 p 0 scd 1-chd billt at10 11 pro lett 1s s t 111
under iiivcstigatioii by the authorities, and seekuig
f o r government funds. Hopefully it will end the
controversy over the best solution to the problem
uid pi-ovide a safe aiid reliable treatment for the
1 ockf'lll

REFERENCES

Aboulcid, A., A.M. Ellcboudy 8L H. Hal'cz 1989.

Iinportmt aspects of Mokattam shale shearing
strength. J O L ~ ~ I Iof'U ~ thr F u c i t l ~ ~ of'
Engineering, Cniro Un
Ellcboudy, A.M. 1985. Analysis 01' Mokattain
1-ockl'alls. Yroc. I I tli lnt. Conj: on SMFE. 4 :
232 1-2324. San Francisco, USA.
El-Soliby, M.A. & A. M. Ellcboudy 1988.
Instability of' iiatiiral slope in intcrbeddcd
linestone and shale. Proc. 5th lilt. SJviip. on
Lrii7dslitle.s. 12 1 - 123. Lausaniic, Switzerland.
Hudson. J.A. 1993. Coiiiprelieiisive rock
ciig in e e ring, 11rin cip les, 11r~ c tice Ce 11 je cts .
New York: Pcrganion Press.
Nicliolsoii, D.T. & S. Heiicher 1997. Assessing the
potential for dctc ri o rat io 11 o 1' engineered
rockslopes. Pi-oc. Int. Syinp. oii Enginec~riiig
Ceolog?~ aiid the Eiivirontneiit. 1 ;9 1 1-9 16.
Athens, Greece.
Peck. R.B. 1976. Rock foundation for- striictures.
Pi-oc. Colif: on Rock Engineering jbr

107
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 Slope Stability Engineering, Yagi, Yamagami& Jiang @ 1999 Balkema, Rotterdam, ISBN 90 5809 079 5

Weathering mechanism and slope failures of granitic rocks in Southwest

Japan - Effect of hydrothermal activities

R. Kitagawa
Faculty of Science, Hiroshimu Universig, Higashi-Hiroshima, Japan

ABSTRACT: This paper deals with the genetical relationship between the mechanism of decomposition of
granitic rocks and occurrence of the slope failures distributed in Hiroshima and Shimane Prefecture with special
reference to the effects of hydrothermal activities on the decomposition process of the granitic rocks.
Decomposed granitic rocks have been strongly fractures and characterized by remarkable alteration to clay
minerals at hydrothermal stage before weathering. The clay veins are generally developed in the granitic rocks,
in particular in the decomposed parts. The existence of clay veins has significant effect upon occurrence of
slope failures. The slope failures were often occurred in some areas where smectite formed by hydrothermal
activity is formed remarkably in granitic rocks.

1 INTRODUCTION and their paragenesis (Kitagawa, 1989). These facts

Studies of decomposed rocks are important to prevent
the disasters such as the landslide and slope failures.
Therefore,the decomposition of granitic rocks have
been studied in various field such as pedology,
geomorphology and civil engineering as well as in the
fields of geological sciences. Nevertheless, the
mechanism or process of the decomposition of granitic
rocks have not been systematically explained yet.
In the inner zone of southwest Japan, granitic
rocks of Cretaceous to Palaeogene age are distributed
widely and the rocks are characterized, in general, by
common development of fractures and extensive
alteration. The decomposition extends usually to the
depth reaches more than hundred meters. While
conducting the mineralogical study on the alteration
mechanism of plagioclase in the granitic rocks, the
author has found that clay veins or veinlets are
commonly observed in the decomposed rocks
(Kakitani and Kitagawa, 1977). These clay veins
seem to have been formed by filling fissures and /or
fractures developed in granitic rocks. Subsequent
studies on the mode of occurrence, detailed constituent
clay minerals and distribution of these clay minerals
have revealed that clay veins are intimately associated
with the post-magmatic activities, i.e., hydrothermal
activities (Kakitani and Kitagawa, 1977; Kitagawa
and Kakitani 1978a, b) .
The constituent minerals of the host granitic rocks
are, more or less, altered to clay minerals. It is to be
noted that some clay minerals of the alteration
mineralogical characteristics such as mineral species
suggest that the hydrothermal activities may play an
important role on the decomposition. In addition,
preferred orientations of fractures were formed under
the regional stress field (Kitagawa and Okuno, 1983).
On the other hand, many slope failures have
been occurring in the granitic rocks during every
rain and/or typhoon season. Some clay veins are
often observed on the failured slopes of granitic
rocks.
Based on the mineralogical and geochemical
studies of clay veins and clay minerals altered from
plagioclase and geometrical analysis of fractures
developed in the granitic rocks of Chugoku district, a
systematic examination for the effect of hydrothermal
activity on decomposition process of granitic rocks,
will be described in the present, and also indicate that
the existence of clay veins have the significant effect
upon occurrence of slope failures in the granite
regions.
2 MODES OF OCCURRENCE OF CLAY VEINS
2.1 Distribution of clay veins
The degree of the decomposition were roughly
measured by the alteration degree of plagioclase in the
granitic rocks. Clay veins develop considerably at
the relatively more decomposed parts of the respective
granitic rocks. The width of veins varies from one
millimeter to one meter. In addition to the clay veins
minerals, aggregates of clay minerals of replacement

109

Figure 1 Schematic diagrams of clay veins classified
based on the characteristics of fractures.
Figure 2 Stereo diagram showing the prefered
orientation of clay veins and microcracks in
granitic rocks at one district, Hiroshima
prefecture.
origin which are aligned in certain directions resulting
vein-like appearance will be also found. A veins varies from illite to interstratified mineral of mica
continuous development of veins can be pursued more
than several kilometers at least. These clay veins
can be also pursued more than hundred meters in the
vertical direction.
2.2 Fractures developed in granitic rocks
Common developments of the clay veins in the
granitic rocks may suggest that these fractures were
formed in relation to the stress fields during the
geological age as well as cooling process of the
granitic rocks.
Orientation of the fractures (clay veins) show in
general certain preferred directions if the area is limited.
Each district is characterized by two or three preferred
orientations of the fractures (Figure la).
Microscopic-microcracks developed in the
constituent minerals of the host granitic rocks were
measured on the oriented thin sections of parallel and
perpendicular to the ground surface using an universal
accepted that the microcracks developed on the vertical
110
(Lower pari upper P-t*
I I I I I I I I I
Figure 3 Schematic diagram showing variation of
constituent clay minerals of clay vein
plane are caused by the unloading (Hashikawa, 1985).
The poles of the orientation of the microcracks were
measured on both planes and results were plotted on
the equal-area stereographic nets. As one example is
shown in Figure lb. As seen in Figure, two district
dominant directions have been confirmed. These
directions are almost coincide with those of clay veins
developed in the respective district.
2.3 Constituent minerals of veins
The clay veins consist mainly of illite, smectite,
interstratified mineral of mica and smectite, kaolin
minerals associated with small amount of chlorite.
Quartz is commonly associated with clay minerals and
calcite and/or zeolite (laumontite, stilbite and
heulandite) are occasionally found in the clay veins.
Most of the clay minerals are composed of more than
two kinds of clay minerals.
It is to be noted that constituent minerals
commonly change from the lower to the upper parts in
the vertical direction of the veins. According to
Kitagawa and Kakitani (1978a,b) and
Kitagawa.( 1989), the main constituent mineral of the
and smectite, smectite and kaolin minerals from the
lower to the higher altitudes in the range between
400m and 800m (Figure 2).
3 CLAY MINERALS DERIVE FROM
PLAGIOCLASE
Among the constituent minerals of the host granitic
rocks, plagioclase is easily altered to clay minerals as
well as biotite. In general, plagioclase alters to
kaolin minerals under the weathering conditions in
Japan (Nagasawa and Kunieda, 1970; Nagasawa,
1978). However, plagioclase in the granitic rocks of
the district of the present study is often altered to illite,
smectite and interstratified mineral together with or
without kaolin minerals. Kaolin minerals, in general,
are found mainly at the higher level, whereas illite and
smectite at the lower level.
4 SLOPE FAILURES

As typical examples, some districts where many slope

failures were occurred are chosen to compare
genetically the directions (strikes) between failured
slopes and clay veins observed on the slope surfaces
and/or their near outcrops. Each direction (strike)
of clay vein and the strike of failured slope is
indicated in Figure 3. As seen figure, both directions
are similar to each other.
Mite, smectite and kaolin minerals were formed in
the failured materials (soils), in particular the dominant Type 1 Type 5
clay minerals is usually smectite. Total%, Max:59.4% Total:48, Max:45.8%

Figure .5 Histgram of
strike of clay veins
classified based on the
mode of occurrence in
one district.
Total:133, Max:22.6%
Figure 4 Strikes of the failured slopes and clay veins
in the one district, Hiroshima Prefecture.
shown in the figure, it is to be noted that one direction
indicates bisectional direction of the other two.
5 DISCUSSION Moreover, the veins have characteristic conjugated
features and accompanying slickensides occasionally.
One of the main purpose of this studies is to establish These facts strongly suggest that the veins are the
the significance’s of the hydrothermal activities on the shear fractures formed under the regional stress field
decomposition of the granitic rocks. The clay veins of the district.
observed in the decomposed granitic rocks have been Comparing fractures of clay veins with
distributed widely in Hiroshima and Shimane microscopic-fractures, it is suggested that both
Prefectures. The complicated mechanisms of the directions have been formed under the same stress
decomposition process of the granitic rocks will be field of the district.
discussed from the two important view points,
fracturing system related to the paleo-stress fields and 5.2 Age of fractures
clay mineralogy in relation to the formation
conditions. Concerning the formation ages of these fractures, K-
Ar ages of illite obtained from clay veins will be
5.1 Fomtion mechanism of fractures useful. The data are taken from Ishihara et al. (1980)
and Kitagawa and Kakitani (1981). The K-Ar ages
First of all, it may reasonably be assumed that the clay of the host granitic rocks are also available (Kawano
veins developed in the granitic rocks represent the and Ueda, 1%; Shibata and Ishihara, 1974). As is
fractures which have been formed after the evident, the ages of clay minerals and those of granitic
solidification stage subsequent to the ma,gnatic activity. rocks are identical with each other within the analytical
Furthermore, a systematic fracturing pattern within error. The concordance in the ages indicates that the
granitic rocks have been controlled by the stress fields clay minerals in the clay veins have been formed by
of the representative district. the post magmatic activities of the host granitic rocks
The fractures patterns of clay veins developed in of the respective districts. Therefore, fractures were
the granitic rocks in Hiroshima and Shimane also formed just after the solidification of granitic
Prefectures will be analyzed. The typical example of rocks.
the analysis of the stress field is shown in Figure 2.
In this district, the results of the orientation (strike)

111
5.3 Formation condition of clay minerals

The physic-chemical condition of the formation stage

of clay minerals will be discussed based on the
available data such as temperatures and sequence of
mineral assemblages. Based on the results obtained
by Kitagawa (1989), in spite of the previous
researches on the formation of clay minerals under the
weathering condition, present results strongly
indicated the hydrothermal origin of the clay minerals.
The decomposition of the granitic rocks can be
represented by the amounts of clay mineral formation.
It may be concluded that the decomposition of the
granitic rocks is mainly the results of hydrothermal
activities subsequent to the granitic activity as well as
the weathering during the geological ages.

5.4 Relationship between slope falures and clay

veins

As shown in Figure 4, the directions (strike) of slopes

failured are almost same directions to the clay veins
in each district. As shown in figure 4, both
directions are almost same each other. These results
strongly suggest that clay veins developed on the
slope are one of the significance factors as to
occurrence of slope failures. Smectite is mainly
composed clay mineral in the veins developed in these
districts.
The typical profile of the slope occurred failure is
schematically indicated in Figure 5. In these
districts, strongly decomposed granitic materials
Figure 6 Schematical profiles of granite slope before
(soils) are formed on the weakly decomposed or
almost fresh rocks. On the slope some clay veins are and after slope failure.
developed as shown in Figure 5. Smectite was
mainly and characteristically formed in the according to their geographical vertical positions.
decomposed materials on the slope. Under the That is, the mineral sequence of illite---interstratified
geological condition like this, the rain water saturate mineral----smectite-----kaolin minerals from the depth
in the decomposed rock and expansion of smectite geological ages. To be noted that the clay minerals
formed in both decomposed granite and veins with the found in the host granitic rocks were formed during
water. Therefore, it is inferred that decomposed the same hydrothermal activity in more or less extend.
materials may easily separate from the clay veins The slope failures often occurred where smectite is
and/or the boundary between decomposed materials mainly formed in the granitic rocks andor clay veins
and weakly or almost fresh rock, as shown in are composed mainly of smectite.
Figure S. Consequently, it is inferred that the hydrothermal
activity has significant effect upon occurrence of slope
failures.
6 CONCLUSION

Based on the results obtained in this study, the most REFERENCES

possible decomposition process of the granitic rocks
of the district will be explained:
First, nearly vertical fractures and microcracks
have been developed within the granitic rocks under
the regional paleo-stress field of the respective districts
after the solidification stage of the granite. The clay
veins were formed filling the fractures by clay
minerals from hydrothermal solution. The clay
mineral species have been gradually changed
Hashikawa,K.( 1985) Studies on the planer fracturing
structures developed in the suficial part of
granite mass. Geol. rep. Hiroshima Univ.
No.25,
1-37.
Ishihara,S., Shibata, K,,Kitagawa, R. and
Kakitani,S.( 1980)K-Ar ages of sericites from

112
 the Chugoku district, Japan. Bull. Geol. Surv.
Japan, 3 1,221-224.
Kakitani, S. and Kitagawa, R.( 1977) Clay minerals in
the veins and veinlets found in the granitic rocks
of Hiroshima Prefecture. Mineralogical society of
Japan, 13, Spec., 187-196.
Kawano,Y. and Ueda,Y .( 1964) K-Ar dating on the
igneous rocks in Japan (I), Jour. Japan Assoc.
Miner. Petr. Econ. Geol., 51, 127-148.
Kitagawa,R and Kakitani,S.( 1978a) The pale-green
clay vein in the granitic rock at the Ondo-cho
district, Hiroshima Prefecture. Jour. Clay Sci.
Soc. Japan, 18, 1-10.
Kitagawa, R. and Kakitani, S.( 1978b) The white clay
vein in the granitic rock at the Hachihonmatsu
district, Hiroshima Prefecture. Jour. Clay Sci.
Soc. Japan, 1 8 , 3 1-39.
Kitagawa,R.( 1989) Clay veins and clay minerals in
the granitic rocks in Hiroshima and Shimane
Prefectures, southwest Japan. -Effect of the
hydrothermal activities on the decomposition
of the granitic rocks-. Jour Sci. Hiroshima Univ.
Ser.C, 8, 47-80.
Kitagawa,R. and Kakitani,S.( 1981) K-Ar ages of
mica clay minerals in clay veins found in
granitic and rhyolitic rocks of Hiroshima
Prefecture, Japan, Jour. Japan Assoc. Miner.
Pet. Econ. Geol., 76, 176-179.
Kitagawa,R. and Okuno, T.( 1983) Formation
mechanism of clay veins found in granitic rock in
Hi sashihi roshima district, Hiroshima Prefecture.
Jour. Clay Sci. Soc. Japan. 23,45-60.
Nagasawa, K. and Kunieda,K.( 1970) Geology and
mineralogy of clay deposits in the Naegi
district, Gifu Prefecture, Mining Geol., 20, 361-
377.
Nagasawa,K.( 1978) A study on the formation and
transformation of kaolin minerals, Rep. Earth
Sci. Shizuoka Univ., 3, 17-33.
Shibata,K and Ishihara,S.( 1974) K-Ar ages of
biotites across the central part of the Hiroshima
granite, Jour. Geol. Soc. Japan, 80,43 1-433.

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 Slope Stability Engineering, Yagi, Yamagami & Jiang 0 1999Balkema, Rotterdam, ISBN 90 5809 079 5

Site investigation of weathered expansive mudrock slopes: Implications

for slope instability and slope stabilization
Russell J. Maharaj
Commonwealth Secretariat1 CFTC Expert, South Pacijc Applied Geoscience Commission, Suva,Fiji

ABSTRACT: This paper presents the results of a literature review and site investigations from Trinidad,
West Indies, on the effects of weathering on slope instability in mudrocks and its implications for slope
stabilization. The performance of mudrocks slopes decreases with weathering, through engineering time. In
pyritic mudrocks, weathering produces acidic groundwater, which can lead to the precipitation of gypsum.
Site investigations on slopes of these lithologies, from Trinidad, have shown that gypsum is commonly
precipitated at geological contacts of intercalated and tectonically sheared pyritic and carbonate bearing
mudrocks. Weathered carbonate rich mudrocks are fat clays, classified as CH, with in-situ densities of 1647-
1900kg/m3, 52-92% clay, liquid limit up to 106%, clay activity up to 1.51, up to 88% montmorillonite,
contains gypsum, free swell >10% and pH of 4-7.8. Weathered pyritic mudrocks are lean clays, classified as
CL, with <40% clay, liquid limit of 40-50%, plasticity index of 22-24%, 18-34% montmorillonite, pH pf 6-
7.5 and activity <0.80. The precipitation of expansive gypsum cause potential soil heave and slope
instability on these slopes. Deccication of these soils is also significantly greater, lead to greater shrinkage,
larger macropores and higher, negative soil suction. These increase potential groundwater infiltration during
antecedent rainfall, and increase the susceptibility of these slopes and engineered facilities founded on them,
to instability and failure. As a result, the characterization of these lithologies is very important during site
investigations and selection and is useful for optimum ground control, remediation and improvement.

1 INTRODUCTION damage repair costs. In Trinidad and Tobago, damage

Mudrocks are common in the rock record and are
frequently encountered in almost all civil engineering
projects. Due to their high clay content, especially
smectites, poor induration and sometimes
overconsolidated nature, they are susceptible to high
volume changes in response to wetting and drying
(Taylor and Cripps, 1987). In addition, weathering of
these rocks produce expansive clays and cause the
development of hazardous ground conditions on
shallow soils slopes.
It is a well known that the performance of
mudrocks slopes decreases with weathering, through
engineering time. In construction projects, ground
engineering problems often associated with these
lithologies include soil and foundation expansion and
shrinkage, frequently resulting in landslides. These
all lead to failure of constructed and engineered
facilities, incurring millions of dollars each year in
repair costs, due to landslides exceeds TT $ l M each
year. For a developing country, these costs are high,
and can significantly impair financial allocations for
developing projects within the domestic economy.
To reduce the financial costs associated with
landslides in weathered mudrocks, it is first necessary
to characterise their geotechnical characteristics and
engineering behaviour. This will assist in site
selection for engineered facilities and guide the
choice of methods for optimum ground control,
remediation and improvement.
Due to the variety of geotechnical problems
frequently encountered in weathered mudrocks,
considerable attention has been given to these
material in the engineering literature. In this paper,
the weathering characteristics and geotechnical
behaviour of pyritidblack and glauconitic mudrocks
are reviewed from significant publications in the
geotechnical literature. The geotechnical implications

115
Figure 1A. Location of the study area; B- rainfall
distribution and C- Thorntwaite soil moisture
distribution index
of weathering are discussed based on site
investigations in weathered Tertiary pyritic,
clacareous and glauconitic mudrocks from Trinidad,
West Indies. Implications for slope instability and
slope stabilization are presented. In addition, the
strong geological control of mudrock properties and
weathering are discussed.
The study area is the Poole-Ortoire
watershed/drainage basin, located in southeast
Trinidad, between 10' and 10' 22' N and 61' and 61'
22' W, with an area of about 502 kmL(Figure la). It
has a warm tropical climate, with a January-June dry
season and a July-December rainy season. The study
area has mean annual rainfall varying between 1500-
2500 mm and variable soil mositure indices (Figure
Ib and Ic). The depth to active deccication and
heaving/active soil layers, varies between 1-2 m for
zones 1 and 2 and 1-3m for zone 3 (Figure lc).
Temperature varies from 17-35'C, with a mean daily
range from 7-1 I'C.
2 METHODS
Data were first obtained from a literature review. This
was followed by site investigations of weathered
mudrocks slopes. 23 hand-dug test pits were
excavated to 3.5m deep and soils were described
according to the Geological Society Working Party
on Tropical Residual Soils (Anon, 1990a). Sample
location, depth, surface elevation, slope, vegetation,
116
presence of gypsum crystals and bedrock were noted.
109 samples were collected from the 23 sites, sealed
to prevent moisture loss and taken to the laboratory
for testing. Soils were tested following guidelines of
the ASTM (1 988). Granulometry; clay content;
natural moisture; plastic, liquid limit and shrinkage
limits; free swell and compaction were determined
using Soiltest apparatus. Site investigation and
laboratory data were then analysed in relation to
mudrock weathering and slope instability.
3 GEOLOGY
The study area is located on the Southern Lowlands
and on the south flank of the Central Range and the
north flank of the Southern Range Uplifts. The
Central Range is a Late Cretaceous to Tertiary clastic
and carbonate terrain. The Southern Range is a
northeast trending line of upthrusted Miocene
anticlines, while the Southern Lowlands is of late
Tertiary to Pleistocene age. These rocks suffered
intensive high angle normal faulting, overturned
folding and thrust deformation, from the late Miocene
to Pliocene. Contemporaneous southeast directed
contractile deformation, tectonic transport and thrust
deformation led to overturn folding and the
development of a macroscopic asymmetrical synform
in this part of the island (Kugler, 1959).
The rocks of the study area are extremely diverse,
varying from Lower Cretaceous mark and calcareous
mudrocks, to Holocene alluvium. Black pyritic and

calcareous mudrocks are the most common
lithologies, especially in the northern parts of the
watershed. Black mudrocks containing pyrite include
the Nariva, Brasso, Karamat, Moruga, Lengua and
Morne L'Enfer formations. In addition, these
formations also contain carbonaceous materials,
including graphite and lignite. Formations with
calcareous shales and marls include Cuche, Navet,
Cipero, Brasso, Tamana and Lengua. Lengua
formation is the only one with known gypsum.
Glauconite is found in the Cuche, Brasso, Lengua and
Morne L'Enfer formations. Together, these
formations occupy more than 65% of the watershed
area. Brasso and Lengua formations are the only ones
with pyrite, carbonaceous and calcareous shales and
marls. These mudrocks are highly weathered to
produce stiff, acidic and expansive calcareous clays.
Figure 2 shown the general geology of the study area.
4 MUDROCK WEATHERING
Table 1 presents the geotechnical properties of pyritic
and calcareous mudrocks. Mudrocks are generally
very soft when weathered, but stiff and indurated in
less weathered sections. They show low slake
durability, as they disintegrate rapidly in the presence
117
Figure 2.
Geology of
the study
area.
of water and on continual surface exposure at
landslide sites. They are usually iron stained,
containing limonite and haematite, derived from the
weathering of constitutent pyrite and glauconite. Iron
staining is pronounced along stress relief cracks and
discontinuities. Stress relief cracks are > 0.5 mm
wide. Mudrocks contains numerous discontinuities,
including joints, faults, bedding and lamination
surfaces. These channel seepage, interflow and
facilitate deep weathering.
Typically grey-black calcareous and pyritic
mudrocks, such as from Brasso and Moruga
formations show yellow-red-brown limonite staining.
These are common along shallow seepage zones,
seen at landslide scarps. Seepage cause intense red-
brown hematite staining of lower slopes. These stains
suggest a high ferrous oxide content, which from
these black mudrocks are derived from oxidised
pyrite.
The oxidation of pyrite is a complicated
process. Ivarson (1973) notes that pyrite is oxidised
in the presence of moisture to produce ferrous
sulphate and sulphuric acid. Ferrous sulphate may
become hydrated and react with water to produce
limonite, which may oxidize to haematite. Ferrous
sulphate may also combine with sulphuric acid and
oxygen in soil air to produce ferric sulphate.
Haematite is very abundant in weathered pyritic
Table 1. Properties of weathered calcareous and pyritic clays.
Soil Properties Weathered BlacWyritic Mudrocks Weathered Marls and Calcareous Mudrocks
Unified Classification CL CI - CH
Gravel, % 1-10 0
Sand, % 20-60 5 -22
Silt, %O 10-15 1 0 - 18
Clay, % <40 52 - 92
Liquid limit, WI, % 40-50 65 - 106
Plasticity index, PI, %O 22-24 46 - 71
Shrinkage limit, SI, %O 12 - 19
Skempton’s clay activity < 0.80 0.679 - 1.51
In-situ density, kg/m
3
1647 - 2010
Rainv season moisture. % 25-33 31 - 4 3
Dry season moisture, % 10-13 1 2 - 18
Optimum moisture, %O 23-31
Free swell, % 1-9
Amorphous silica, YO 1-3
Iliite, % 10-20 20 - 35
Kaolinite, % 20-30 8-35
Montmorillonite, % 18-34 20 - 88
PH 6.0-7.5 4 - 7.8
Calcium carbonate content,% < 0.10 0.2 - 12
1
Unconfined compressive strength, kg/cm 0.25-1.50 1.25 - 3.25
Cation exchange capacity (CEC), 20 - 80
niilliequivalents/iOOg dry soil
Saturated hydraulic conductivity, c d s e c 1 x10’7to i X io-* 1-2xIO.”

mudrocks in the watershed, with between 5-16% of
the soil mineral content. Further, haematite develops
rapidly in excavations on exposure of limonitic soils
with free air, evident from intense red-brown staining
and also noted by Chenery (1952). Limonite staining
is found in all weathered pyritic mudrocks, but in
deeper, more saturated soil horizons. Since the above
reactions lead to the formation of sulfuric acid, then
soils weathered from strongly pyritic mudrocks
should show strong acidity. In-situ measurements and
wet chemical data show that the pH of these soils
range from 4.0-6.5.
Pyrite oxidation requires free air and water
and therefore, is limited to shallow, more pervious
weathered horizons. In the study area this is evident
from the depth of soil staining and mottling, which is
usually less than 3-4 m and particularly intense
between 2.0-2.5 m deep. Seepage zones and
discontinuity surfaces are the most common sites.
Deeper layers will be oxygen deprived and possibly
anoxic.
Ferric suphate may be reduced further, with
pyrite, to produce sulphur and ferrous sulphate.
Sulphur produced may be oxidized to produce more
ferrous sulphate and sulphuric acid (Garrels and
Thompson, 1960 and Pye and Miller, 1990). In the
watershed, diagenetic sulphur is abundant in Moruga
and Morne L’Enfer mudrocks. Therefore, weathered
soils in these mudrocks should be very acidic,
confirmed by in-situ soil pH measurements (using a
portable Soiltest pH meter) which show that
weathered non-calcareous, pyritic mudrocks have
pH’s between 4.0-6.5, while calcareous equivalents
have pH‘s fiom 6.5-7.4 (Table 1). Wet chemical data
from Ahmad and Jones (1969) and Government of
Trinidad and Tobago (197 1) support these results,
although they never gave reasons for such high
acidity.
Sulphuric acid produced by these reactions
may enter seepage and react with other lithologies
downslope. Inclusive of these are carbonate
dissolution and gypsum formation within calcareous
shales and marls. Evidence of carbonate loss was
noted in these soils, which show that the percentage
of CaCO, decreases rapidly from 10% at 1.0-1.2m
deep to less than 3.3% in more shallow horizons.
CaO and LOI (loss on ignition) percentage also show
a similar trend. LOI reprsents free organic matter,
which in these samples is largely derived from
organic carbonates. These reaction may be more
common and aggressive at faulted contacts and
within intercalated pyritic and calcareous shales
where acidic leachates can easily enter, e. g. Brasso
formation. Such reactions in calcareous mudrocks
with pyrite can cause a reduction in soil acidity due to
the buffering action of calcite against sulphuric acid,
e.g. a pH of 6.5-7.4 was measured in weathered
calcareous and pyritic mudrocks of Brasso formation.
Evidence of gypsum precipitation was found
at two excavated sites, on unstable slopes, in the
watershed, within the Upper Cipero formation, at a
contact between acidic soils, pH 4-5, weathered from
pyritic black shales and slighlty alkaline soils, pH 7-
8, weathered from calcareous marls. At both sites,
3.0-4.5 m deep excavations of the weathering profiles
in small hills cut during the beginning of the dry

118
season revealed euhedral crystals of gypsum, 1.5 cm
long, 0.5-1.0 cm wide and 1 mm thick. These were
found at 1.5-2.5 m deep.
Immediately before and during the time of the
study, rainfall was low which caused extensive
development of deccication cracks on the cut
surfaces. Careful removal of the outer 10 cm of soil
from the cut surfaces revealed gypsum crystals. It is
unlikely that this gypsum is the result of other
processes, while the intense weathering of the
shallow soil and bedrock horizons do not suggest that
such crystals are of primary/bedrock origin. Adjacent
weathering profiles also contained similar deposits.
The occurrence of gypsum in relation to the
above chemical processes have not been previously
reported by former workers in Trinidad. Government
of Trinidad and Tobago (1971) reports gypsum in
soils weathered from non-calcareous clay shales
(largely pyritic) in this and adjacent watersheds.
While reasons for their occurrence was not given,
analysis of the lithostratigraphy of their soil sample
sites, with gypsum, show that they are found at
tectonically shearedthrust fault contacts, of pyritic
and calcareous mudrocks.
5 IMPLICATIONS FOR SLOPE INSTABILITY
The precipitation of gypsum in tectonically sheared
and intercalated mudrocks can lead to an increase in
potential soil heave and increase the likelihood of
slope instability under rainfall conditions. Since
gypsum has a much higher swell potential than the
original soil constituents, then the potential for long
term slope instability is considerable.
Site investigations have shown that the
precipitation of this expansive sulphate in Trinidad is
largely controlled by the presence and distribution of
tectonic and geological contacts. Highly sheared
lithologies, which are also highly weathered, are the
most likely and favourable sites. This suggests a
strong geological control on the precipitation of this
expansive sulphate.
Analysis of soil survey data from previous
land capability studies (Chenery, 1952 and
Government of Trinidad and Tobago, 1971) has aiso
shown that slopes reported to have gypsum and also
with a high landslide frequency and distribution are
found within tectonically sheared and intercalated
pyritic and calcareous mudrocks. This further
supports the hypothesis that the precipitation of
gypsum is geologically controlled.
Based on the foregoing discussions, it is
119
plausible to infer the following regarding the
identification of problematic slopes and unstable
ground. Mudrock slopes which show all of the
following combination of characteristics are the ones
most likely to be affected by recurrent and long term
slope instability. These include slopes which :
1. Have suffered intense tectonic shearing,
2. Contain intercalated pyritic and clacareous
mudrocks,
3. Contain many discontinuities,
4. Are deeply weathered,
5. Are affected by seepage and interflow,
6. Are affected by significant deccication
and shrinkage,
7. Receive high rainfall and
8. Suffer high seasonal soil moisture fluxes
6 CONCLUSIONS
The weathering of pyritic mucrocks and the reaction;
of derivative acidic leachates, with calcareous
lithologies can cause the precipitation of gypsum. If
both calcareous and pyritic mudrocks are present in
adjacent areas, such as in faulted and sheared
lithologies, then gypsum can be easily porecipitated.
The precipitation of gypsum can increase
potential soil heave, increasing the susceptibility of
weathered mudrock slopes to failure during rainfall.
Site investigations at excavated landslide
sites, examination of the distribution of sites with
reported gypsum and unstable slopes have shown that
these sites have suffered intense tectonic shearing and
contain intercalated pyritic and clacareous mudrocks.
Precipitated gypsum can increase potential
soil heave and expansion by up to 103% (Taylor,
1988). Ground heaving and landslides due the
presence of gypsum is common at many road-sites in
Brasso, Lengua, Nariva and Moruga mudrocks.
Further site investigations are planned for
unstable slopes in similar weathered mudrocks. These
site investigations will be suplemented by in-situ and
laboratory wet chemical analysis of soil constituents
to determine soil chemistry and further geotechnical
parameters. In addition, a programme of in-situ
measurements of soil heave and shrinkage is also
planned, for determination of the effective soil
volume changes associated with seasonal moisture
fluxes.
These further investigations will assist in
determination of in-situ behaviour of these weathered
mudrock in this part of the island. Further, these data
will be useful in selection of suitable slope
stabilization and remediation technologies for these consolidated clays. In: M. G. Anderson and
and geologically similar areas. K. S. Richards (eds), Slope Stability : 405-
445. New York, John Wiley.
Taylor, R. K. 1988. Coal measures mudrocks:
ACKNOWLEDGEMENTS composition, classification and weathering
processes. Q. J. Eng. Geol. 21 : 85-89.
This work was supported by a Fellowship to the
author funded by the Government of Japan and from
research conducted at the Institute of Marine Affairs,
Trinidad and Tobago. Field assistance by Peter
Joseph and Hayden Chung are gratefully
acknowledged. Writing of this paper was facilitaed
by resources secured during tenure as a
Commonwealth SecretariaVCFTC Expert at SOPAC,
Fiji. The careful editing of the manuscript by Mrs.
Penella C. Maharaj is gratefully acknowledged.

REFERENCES

W a d , N.and Jones, R. L. 1969. Genesis, chemical

properties and mineralogy of Caribbean
grumusols. Soil Sci. 107: 166-174.
Anon, 1990a. Tropical residual soils. Q. J Eng. Geol.
23: 1 - 101.
ASTM, 1988. Annual Book ofASTMStandards. Soil
and Rock, Building Stones; Geotextiles.
Vol. 04.08. Philadelphia, ASTM.
Chenery, E. M. 1952. Soils of central Trinidad.
Trinidad, Government Printing Office.
Garrels, R. M. and Thompson, M. E., 1960.
Oxidation of pyrite in ferric sulphate
solution. Amer. Jour. Sci. 158A: 57-67.
Government of Trinidad and Tobago, 1971. Soil and
Land Capability Study of Trinidad: Vols. 1-6.
Trinidad, Government Printing Office.
Hawkins, A. B. and Pinches, G. M. 1987. Cause and
significance of heave at Llandough Hospital,
Cardiff-a case study of ground floor heave
due to gypsum growth. Q. J. Eng. Geol. 20:
41-57.
Ivarson, K. C., 1973. Microbial formation of basic
ferric sulphates. Can. Jour. Soil Sci. 53: 3 15-
323.
Kugler, H. B. 1959. Geological map of Trinidad and
geological sections, I : 100,000. 2 Sheets.
Petroleum Association of Trinidad.
Pye, K and Miller, J. A., 1990. Chemical and
biochemical weathering of pyritic mudrocks
in a shale embankment. Q. J Eng. Geol. 23:
365-381.
Taylor, R K. and Cripps, J. C. 1987. Weathering
effects: slopes in mudrocks and over-

120
 Slope Stability Engineering, Yagi, Yamagami& Jiang (5-1 1999 Balkema, Rotterdam, ISBN 90 5809 079 5

Investigation of cut slope consisting of serpentinite and schist

H. Kitamura, M.Aoki & T. Nishikawa

I l b k m Geotech Company Limited, Yumuguchi, Jupur2
T.Yamamoto & M. Suzuki
Depurtment of Civil Erigineeririg , Ymmguchi Uniwr yity, Uhe,Jupun
T.Umez&
Department of'Ci\-il Engineering, Shirzshu UrziverJih; N u p n o , Japun

ABSTRACT A plan for the improvement of a public road was made regarding a hill which included
slopes consisting of serpentinite and schist in the north of Ube-shi of Yamaguchi prefecture, Japan. In order to
classify rock class for the stability analysis of these cut slopes, not only standard penetration tests, but also
elastic prospecting, electric prospecting, and bore hole velocity logging were performed. Bore hole ring shear
tests and direct shear tests were performed as well in order to evaluate the strength parameters of the
weathered soils of both rocks. Based on these tests, an estimated classification of rock class of a cut slope was
illustrated. The strength parameters of weathered soils used for a design of slope stability analysis was also
proposed.

1 INTRODUCTION direct shear tests were performed on the weathered

In a hill consisting of Sangun metamorphic rocks
in the north of Ube-shi in Yamaguchi prefecture,
Japan, a plan for the improvement of a public road
was made. Due to the cutting of the slopes
consisting of serpentinite and pelitic schist (hereafter
called schist) in four steps, it became very important
to examine the stability of the cut slopes.
Furthermore, due to heavy rainfall during and at the
end of the rainy seasons, cut slopes consisting of
Sangun metamorphic in Yamaguchi prefecture have
easily failed at not only very nearly this site but
also other sites. The third author et al. have
investigated the failed slopes and have described
many properties of soils which were formed by the
weathering of both rocks (Yamamoto et a1.1996 a &
b, 1997 & 1998). Thus the weathered soils of
Sangun metamorphic rocks have historically
considered problematic.
From the view point of the above, the examination
of the following two issues in the cutting of slopes at
the this site became necessary: 1) estimation the
rock class of serpentinite and schist relating to the
difference of the degree of weathering, and 2)
determination the strength parameters of the
weathered soils of serpentinite and schist.
In order to address the first issue, not only
standard penetration tests but also elastic
prospecting, electric prospecting, and bore hole
velocity logging were performed. In order to address
the second issue, both in-situ ring shear tests and
soils of both rocks.
On the basis of these test results, a method of
determining the relationship between rock class and
P-wave velocity is suggested and a mode of
estimating rock class of a slope is illustrated. The
strength parameters of weathered soils used for a
design of slope stability analysis are also proposed.
2 IN-SITU GEOLOGY
As shown in Figure 1, the geology is composed of
Sangun metamorphic rock consisting of serpentinite
and schist which were formed during the Triassic
period in Mesozoic (about 200 Ma year). In the
narrow sense, Sangun metamorphic rocks are
classified into Sangun-Renge, Suou, and Chizu
metamorphic rocks according to formative year
and process (Nishimura & Matsusato 1991). The
Sangun metamorphic rock at this site is of Suou type.
These serpentinite and schist are subjected to a
penetration of granite and have hornfels structure.
Namely, in the case of the schist shown in
Photograph 1, a lot of biotite is observed. In the case
of the serpentinite shown in Photograph 2, some
serpentine have altered to olivine.
Serpentinite e x i s t s only at the wedge of
granite, and disappears in the north to the south
direction in which schist is excelled. Areas of
serpentinite and schist from a few meters to 10
meters wide are distributed alternatively in the

121
Figure 1. Investigated place and its geology.
Photograph I . Polarization - microscope photograph
of schist under crossed nicols (qz, quartz; bt, biotite;
pl, plagioclase).
east - west direction in a belt or a lens-like rock body.
The boundary between both rocks inclines steeply in
a northern direction.
Most serpentinite observed at the outcrop is
composed of hard massive rock. Serpentinite with a
distinguishable foliated structure exists only at the
edges of schist and ranges from about 10 meters to
about 1 m width. Schist at the outcrop is altered to
122
Photograph 2. Polarization - microscope photograph
of serpentinite under crossed nicols (ser, serpentine;
01, olivine).
weathered soil with a schistosity of 70 O in the
northern direction.
3 INVESTIGATED ITEMS
As mentioned above, since this site has a very
complex geology consisting of serpentinite and
Figure 2 (a). The distribution of N-value in depth on C line shown in Figure 1.

Figure 2 (b). The distribution of N-value in depth on E line shown in Figure 1.

schist, it was thought impossible to understand its
entire geology only by means of boring data. So,
the following four in-situ tests were vigorously
performed:
1)Standard penetration test (16 points)
2) Elastic prospecting (Total length:850 m)
3) Electric prospecting (Total length:850m)
4) Bore hole velocity logging (4 points)
In order to obtain the strength parameters of the
weathered soils, the following two shear tests were
performed.
1)Bore hole ring shear test
2) Direct shear test
Bore hole ring shear tests are said to be applicable to
many soils and rocks such as clay, sand, and soft
rock The details of the test apparatus and method
have been described elsewhere (Yunoki et al. 1995 a
& b).
4 RELATIONSHIP BETWEEN ROCK CLASS
AND V,
As shown in Table 1, serpentinite and schist, and
their weathered soils, respectively, were classified
Table 1. Rock class, average N-value and unit
weight of weathered soil and soft rock.
unit
Serpentinit
100 21.4
207 241 23.2
into C,, D, and D, classes according to N-value.
Figures 2 (a) and (b) show the distributions of N-
values in depth on C line and E line shown in Figure
1,respectively.
Figure 3 represents the relationship between the
P-wave velocity obtained by elastic prospecting
(V,), and the P-wave velocity obtained by bore hole
velocity logging (V,), for serpentinite and schist, and
their weathered soils. As can be seen in Figure 3, no
distinct relationship was observed between both
velocities of both rocks’ P-waves because the test
data are considerably scattered.
Figures 4 and 5, respectively, show the (V,), and

123
Figure 3. Comparison of (V,), with (V,),.
Figure 5. Variation of (V,), with geology and rock
class.

Figure 4. Variation of (V,), with geology and rock

class.
(v,), of serpentinite and schist, and their weathered
soils according to rock class. It is seen in Figure 4
that the (V,), of both rocks and weathered soils
increases when the rock class change in the order of
D,-DD,-CL; namely, when the rock class becomes
more conducive to slope stability. Furthermore, in
case that the same rock class the (VJe of
Figure 6. Variation of resistivity with geology and
rock class.
serpentinite is smaller than the (V,), of schist. In
contrast, it is found from Figure 5 that since the
(V,),, of the C, class has become small, no distinct
difference was dxerved between the (V,), of the C,
and DH chsses. Bore hole velocity logging is

Figure 7. The distribution of estimated rock class for cut slope.

124
Table 2. Results of bore hole ring shear tests.

Serpen- Figure 8. Relationship between cohension and

D, 10 25.8 6.0
'eO tinite depth for weathered soils obtained from bore hole
l4
' 14.1 , Schist D, 35 17.0 13.0 ring shear tests.
18.0 Schist D, 50 26.5 25.0
Serpen-
D, 13 25.7 11.0 the distinction between the D, and D,, classes.
3.0 tinite
(V,& =2.0 km/s is a boundary value for the
Serpen- distinction between the D,, and C,- classes.
On the basis of this, an estimated rock class
classification of the cut slope (B line in Figure 1)
was determined as shown in Figure 7.

Table 3. Results of direct shear tests.

1 :i
\ ,
1
I
cd
(kN/m2)
1 5 STRENGTH PARAMETERS
WEATHERED SOILS
OF

1 Serpentinite 28.2 7.0 Table 2 shows the internal friction angle (,!I' and
2 Schist 29.8 7.0 cohesion c' of weathered soils obtained by the bore
hole ring shear tests carried out at each bore hole.
Their N-values are also shown in this table. As
mentioned before, bore hole ring shear tests could
Table 4. Strength parameters for a design. be applicable for various soils. This in-situ soil
corresponds to the D, class.
Rock 7 0' C'
As can be seen in Table 2, in the case of
class (kN/m3) () (kN/m2)
weathered soils of serpentinite, @ ' ranged between
D, 18.0 25'0 - 22.5 - 25.7" , and c' ranged between 3.0 - 11.0
c'=D(Depth)
D,, 19.0 29.5 kN/m2. In the case of weathered soils of schist,@'
ranged between 17.0 - 30.2" and c' ranged between
carried out by packing loose sand around the pipe, 1.0 - 25.0 kN/m2. 0 '=17.0" of weathered soil of
and this may affect test results. schist at a depth=14.1 m of Bor.No.14 is remarkably
Figure 6 shows the relationship between the small as compared to other values. Except for this
resistivity obtained by electric prospecting and rock (b '=17.0 " , (b ' values of weathered soils of
class. As seen in this figure, the resistivity of both serpentinite and schist existed within a
rocks and their weathered soils was very low, and comparatively small scattering. In contrast, c' values
the relationship of resistivity and rock class, for of both weathered soils existed over a wide range. In
schist, is not so distinguishable as compared with the case of weathered soils of serpentinite, average
that for serpentinite. values of @ ' and c' were 24.6" and 6.0 kN/m2,
As seen in the above results, the classifications respectively. In the case of weathered soils of schist,
of geology and rock class in areas with no boring both average values were 27.2" and 9.0 kN/m2,
data were determined as follows: respectively.
1) Because there exists no distinct difference of Table 3 shows the strength parameters of block
The (V,), between serpentinite and schist, and their sampled specimens of weathered soils obtained by
weathered soils, both rocks were treated as the the direct shear tests under submerged conditions.
same rock class. As can be seen in Table 3, 0 of weathered soils of
2) (V,),=l.O - 1.5 km/s is a boundary value for

125
serpentinite and schist are 28.2 and 29.8 ,
respectively. Thus these internal friction angles of
both weathered soils obtained by direct shear tests
are 2 - 4 ” larger than those obtained by the bore
hole ring shear tests. Also, the levels cohesion of
weathered soils obtained by direct shear tests
range between those obtained by bore hole ring tests.
Figure 8 represents the relationship between c’
obtained by the bore hole ring tests and the tested
depth z. The straight line in this figure shows the
relationship of c’(kN/m2) = z (m). This relationship
has often been adopted in cases of determining
c’ in the simple inverse analysis of a landslide. It is
noticed in Figure 8 that 5 data among 9 data exist on
or near this straight line irrespective of the kind of
rock. Hereafter, it will be necessary to examine the
reason why the data fit or not fit the relationship of
c’(kN/m2) = z (m).
As mentioned above, since no distinct difference
was observed between the strength parameters of
weathered soils of serpentinite and schist obtained
by in-situ and laboratory tests, the strength
parameters used for the stability analysis of the cut
slopes were proposed according to D, and DH
classes as summarized in Table 4. Namely, 6 ’is
25.0 and 29.5” for D, and DH classes, respectively.
c’ (kN/m2) for both classes is given as the sampled
depth (m).
6. CONCLUSIONS
The relationships between rock class anf P-waqve
velocity (V,) were investigated in the cut slopes in
the Sangun metamorphic region in which
serpentinite and pelitic schist are distributed in a
complex way and show different degree of
weathering. Also, the strength parameters of both
rocks’ weathered soils used for a design of
stability analysis were measured. The results are
summarized as follow:
Classification of rock class has a good correlation
with the velocity of P-wave obtained by elastic
prospecting, (Vp)e,but not with the velocity of P-
wave obtained by bore hole velocity logging, (V,),.
No distinguishable difference between the strength
parameters of weathered serpentinite and schist soils
were obtained by bore hole ring shear tests and
direct shear tests. On the basis of this result, the
internal friction angles of weathered soils of the D,
and D, classes were determined as 25.0 and
29.5 , respectively. The cohesion (kN/m2) was
given as the sampled depth (m).
126
REFERENCES
Nishimura, Y. & Matsusato, H. 1 9 9 1 . h illustrated
Book of rocks in Yamaguchi prefecture, Daiichi
Gakusyusya Ltd. , 21-22 (in Japanese).
Yamamoto,T.,Ohara,S, Nishimura, Y. & Sehara, Y.
1996a. Characteristics cut slopes consisting of
Sangun metamorphic rocks which have failed
due to heavy rainfall in Yamaguchi prefecture,
Domestic Edition of Soils and Foundations,
36(1), 123-132 (in Japanese).
Yamamoto, T., Takamoto, N., Nishimura, Y. &
Sehara, Y.1996b. Saw-type slope failure in the
Sangun metamorphic region, Tsuchi-to-Kiso
(the Japanese Geotechnical Society), 44( 11)’
9-12 (in Japanese).
Yamamoto, T., Sehara, Y., Nakamori, K. & Morioka,
K.1997. Landslide at the Sangun metamorphic
Region the case of Ube - shi, Yamaguchi
prefecture, Journal of Japan Landslide Society,
34(3), 41-50 (in Japanese).
Yamamoto, T. 1998. Some geotechnical engineering
properties of weathered soils on failed slope in
the Sangun metamorphic region,
Proceedings of the international
symposium on problematic soils, IS-
TOHOKU ’98,537-540.
Yunoki, M., Takano, M. & Rempo, M.1995a Study
on residual strength tests by direct ring
shear test, Proceedings of 30th Japan
National Conference on Soil Mechanics
and Foundations Engineering, 713-716 (in
Japanese).
Yunoki, M., Rempo, M., Takano, M. & Yagisawa, T.
1995b. Inspection tests of pore - pressure
transition in soil-sampled by direct ring
shear test, Symposium on method and
application of direct type shear test, 283-290
( i n Japanese).
 Slope Stability Engineering, Yagi, Yamagami & Jiang 0 1999 Balkema, Rotterdam, ISBN 90 5809 079 5

Using multibeam sonar surveys for submarine landslide investigations

J. Locat
Department of Geology and Geological Engineering, Lava1 University, Que., Canada
J.YGardner & H. Lee
United States Geological Survey, Menlo Park, Gal$, USA
L. Mayer, J. E. Hughes Clarke & E. Kammerer
Ocean Mapping Group, University of New Brunswick, Fredericton, N B., Canada

ABSTRACT: Multibeam sonar surveys have been carried out in areas where submarine mass movements
have been identified. This technique couples various tools including the swath mapping system itself and
differential GPS. After corrections for ship movement and tide, the resulting images provide a air-
photograph-like picture of the sea floor which enable a detailed morphological analysis. The analysis of
Saguenay fjord data will also show that this methodology can be use to precisely monitor landslide prone
areas.

1. INTRODUCTION 2. MULTIBEAM SONAR SURVEY TECHNIQUE

The analysis of sub-aerial landslides must be done
with an adequate knowledge of the morphology and
stratigraphy, not withstanding the mechanical
properties and pore water conditions. For
submarine landslides, and until recently, most of
the analyses had to rely on side-scan sonar and
seismic surveys. A major limitation of these
techniques was the complexity of integrating them
into a homogeneous system whereby the inherent
morphological distortions due to the data
acquisition process would be corrected. This was
particularily true for large landslides (Moore and
Normark 1994, Schwab et al. 1991) For nearly a
decade now, multi-beam techniques have been
developed (Lee et al. 1991, Mitchell 1991, Li and
Clark 1991, Prior 1993, Hughes Clarke et al. 1996)
and, when coupled with differential positioning, can
provide precise bathymetric information at such a
density that a detailed map of the seafloor can be
produced (Bellaiche 1993, Urgeles et al. 1997).
This paper will focus on illustrating the use of
such a technique for the geomorphological analysis
of submarine slides. More attention will be given to
the Saguenay Fjord where two surveys (1993 and
1997) were conducted over the same area of the
fjord. At the same time, some examples, taken from
various locations around the world, will be
presented to illustrate the diversity and scale of
subaquatic mass movements.
Multibeam techniques use an acoustic signal
emitted from a series of transmitters mounted on the
hull of a vessel (Figure 1). The greater the number of
transmitters and higher frequencies will provide
more precise bathymetric information. Bathymetry
data from multiple sources can also be merged
(Orange 1999). Since most of the examples provided
herewith were obtained by means of EM1000, we
will focus on this technique to illustrate the
methodology (Hughes Clarke et al. 1996).
The EMlOOO works at a frequency of 95 kHz,
producing a fan of 60 sensors with 2.4" by 3.3"
beam widths over a total angular swath sector of
150". While the sonar can operate in water depths
ranging from as little as 3m to up to 1000m, this
system is at its best for water depths between about
10 to 600m. The EM3000, a more portable and
recent version of the EMlOOO system, can be used
for water depths of less than 100m. The sonar is
capable of resolving a water depth at an accuracy as
little as 0.25%. The EM1000 can be mounted on a
vessel a small as 8 m (Figure lb).
The data is collected along a path (Figure lc) in
order to cover all the survey area with an overlap
percentage depending on the accuracy required. In
most cases, an overlap of 150% is correct. The
overlap assures a minimum of redundancy in the
data and helps increase the precision of the
measurements. The ship speed can be as high as 14

127
knots without loss of accuracy. Precise differential
positioning, tide data and data correction related to
ship movement are essential. In addition, the
acoustic velocity is corrected by a series of acoustic
profiles taken during the survey. If space permits,
onboard post treatment can be completed for a quick
production of the various maps. The overall aspect
of data reduction and analysis has been presented by
Hughes Clarke (1997).
Figure 1. Schematic deployement of a multibeam
sonar survey with vessel types (a and b) and track
pattern (c). Indications are given for major
component, i.e. ship movement and position (S) with
differential GPS.
3. MULTIBEAM SURVEYS: EXAMPLES
The following examples are taken from various
places around the world. The type of mass
128
movement illustrated hereafter are: rock avalanches,
retrogressive slide, slides and debris flows.
3.1 Saguenay Fjord landslides and debris flows
The Saguenay Fjord was one of the first sites where
a multibeam sonar survey was carried out to map
submarine landslides (Couture et al. 1993, Hampton
et al. 1996). It is located 200 km northeast of
QuCbec City, Canada. The area provides a fairly
quiet environment so that sea conditions are nearly
perfect so as to ensure the best results. The same
area was also re-visited in 1997 after a major flood
event (Kammerer et al. 1998). The Saguenay Fjord
survey covers the upper part of the fjord at water
depths ranging from 0 to 225 m Figure 2). The water
column is stratified with a surface freshwater layer
of about 5m in thickness. At regular intervals, a
sonic velocity profile of the water column was
obtained for the first 75 m to take into account
changes in tides and currents.
The Saguenay Fjord region has frequent major
earthquakes (e.g. 6.3 in 1988), the largest historic
one occurring in 1663 (Locat and Leroueil 1988,
Locat and Bergeron 1988, Syvitski and Schafer
1996) for which an equivalent Richter Scale of
nearly 8 was given. It is believed that this
earthquake triggered a series of major land and
submarine slides, the largest sub-aerial one being the
St. Jean Vianney slide totaling a volume of more
than 200 millions cubic metres. At the same time,
major submarine landslides took place in the upper
reaches of the fjord so that a complex fan was
constructed at the mouth of the Bras Nord (Figure
2b). From seismic and coring data, the fan appears
composed of clayey debris flow deposits mantled by
a thin layer (less than 2 m) of turbidite (with a
typical sandy layer at its base) sediments derived
mostly from the on-land St. Jean Vianney slide.
Between 1984 and 1993, many seismic and sonar
surveys had revealed the presence of other major
submarine slide features (Locat and Bergeron 1988,
Pelletier and Locat 1993) but a clear picture could
only be assembled after a multibeam survey
conducted in 1993 (Couture et. al. 1993). Results of
the 1997 survey are used to detail the
geomorphology of the fan complex. On the lower
part of the Bras Nord we could map few slides as
evidenced by compressive deformation at their base.
A major retrogressive slide is also visible which
extends on almost the total length of this part of the
fjord, i.e. over about 6 km (Figure 2c). From seismic
surveys, the depth of the failure plane would be at
about 15-20 m, Figure 2d).
The fan itself is cut by two channels a few
Figure 2. Morphological analysis of the upper part of the Saguenay Fjord, QuCbec, Canada, illustrating the
use of sun-illuminated (from the east) multibeam sonar bathymetry from the 1997 survey. Failures are clearly
seen along the edge of the fjord, as circular type failure while the centre of the Bras Nord shows retrogressive
failures extending over few kilometres towards the north. Insert in b shows details of the fan complex, S1 and
S2 are SEISTEK and 3.5 kHz seismic surveys of some landslide features; “a” refers to Figure 3.

129

Figure 3. Evaluating 1996 Saguenay Fjord
catastrophic flood deposit by comparing the two
multibeam sonar surveys of 1993 and 1997
(Kammerer et al. 1998). In “a” the white color
represent the 1997 bathymetry above the 1993. In
“b” we show the three cross sections where both
1993 and 1997 depth profiles are compared.
hundred metres in width and flanked by escarpments
which are about 10 m high.
As indicated above, the second (1997) multibeam
sonar survey provided an opportunity to test the
reliability of the system (Kammerer et al. 1998). The
vertical resolution of the system is about 25 cm for a
depth of lOOm which corresponds to the maximum
water depth in the area shown in Figure 3. As shown
in Figure 3b, the 1997 survey was able to estimate
130
Figure 4. Palos Verdes slide. “a”: plane view, “b”
3D view. The “x” points at the northwest extent of
the detachment area (Source USGS).
the variation in the thickness of the flood layer at
about 5m. This example illustrates well the potential
of this technology to make accurate pre and post
measurements. If used in an active landslide area or
a potentially unstable area, any future movements
could be detected and calculated.
3.2 Palos Verdes slide, California
The Palos Verdes slide (Figure 4), off Los Angeles,
had long been recognized on reflection seismic logs
(Hampton et al. 1996). The slide took place along a
steep escarpment and traveled a distance of about 10
km on the sea floor. The head scarp is about 500m
high and the slope varies between 15-20’. The debris
were dispersed over a wide area shown in figure 4b.
From seismic records (Hampton et al. 1996) the
thickness of the debris deposit varies from about 20
m in the lower part of the slope to less than lm, 10

Figure 5. Humboldt Slide, Eel River Margin,
California (see Gardner et al. 1999 and Lee et al.
1999 for discussion), a: swath bathymetry sun
illuminated 3D map; b: Huntec seismic section with
the location shown in "a".
km away from the base of the slope, with an average
thickness of 5 to 1Om.
The image shown in Figure 4 appears to illustrate a
process of continuing instability development
towards the north-east. The nature of the material
involved in the slide remains to be determined.
According to the slope geometry and the blocky
morphology still observable in the runout zone, the
material should be made of stiff sediments.
3.3 Humboldt slide, Eel River margin, California
The Eel River Margin example was obtained as part
of a study related to a multidisciplinary effort aimed
at understanding the process by which sedimentary
strata are deposited, modified and ultimately
131
preserved in the stratigraphic record (Nitttrouer
1999). One component of this study is to understand
sediment stability and transport (Lee et al. 1999). In
such a case, the detailed description of the
morphology is an essential part of the analysis (Goff
et al. 1999).
The 3D bathymetry picture shown in Figure 5a
represents the study area which can be divided into
two parts. The northern part, located to the north of
the anticline (a small sea mount in the middle on the
slope), which present a regular slope with more or
less regularly spaced gullies. The southern sector is
characterized by a semi-circular feature which may
represent the amphitheatre of a large shear-
dominated retrogressive failure (Fig. 5b, Gardner et
al. 1999) or a large deep seated submarine failure
(Lee et al. 1981, Lee et al. 1999, Orange 1999). The
water depth range in this image is from zero to about
200 m near the shelf break and about 500m near the
base of the slope. The slope itself is at an angle of
about 3" to 6" and the slope break is at about 20 km
from the shoreline.
3.4 Lake Tahoe rock avalanche
Lake Tahoe is located at the boundary between
California and Nevada. The lake is at an elevation of
1900m. The multibeam sonar survey of the lake was
carried out in 1998 (Gardner et al. 1998). For this
work, the EM1000 was mounted on a small vessel (8
m long, Fig. lb).
Lake Tahoe, one of the deepest lakes in the United
States, is located between two major faults,
including the Sierra Nevada fault which is located
about two kilometers west of the lake. Most rocks in
the area were produced by volcanic activity. The
landscape itself has been localy modified by
glaciers.
The headscarp of the slide is about 5 km wide and
the debris reached a distance of up to about 10 km
near the centre of the lake. Some lumps of isolated
debris are of the order of 100 m in length. The north
flank in the starting zone appears to be limited by
strong lineament systems intersecting at an angle of
about 130" (see arrows in Figure 6a).
3.5 Canary Islands rock avalanches, Spain
The Canary Islands submarine slides (Urgeles et al.
1997) were initiated along the flanks of the islands
(Figure 7). The avalanche spreads from an elevation
of about lOOOm above sea level to a depth between
3000 and 4000m with a run out distance at about 50
km. The La Palma rock avalanche is also partly
visible on the left side of the Figure 7. These large
scale mass movements involve very large volumes

Figure 6 . Lake Tahoe debris avalanche (see Gardner
et al. 1998 for details); a: plan view of the debris
avalanche area, with the arrows pointing at
lineament intersections, b: 3D view looking towards
the west.
Figure 7. El Golfo debris avalanches off El Hierro Island (Canary Islands, Spain, Urgeles et al. 1997)
132
(few cubic kilometres) and cover large areas of the
sea floor (up to 2600 km2),and run-outs reaching 70
km (Urgeles et al. 1997). This type of mass
movement is very similar to those reported by
Moore and Normark (1994) for the Hawaiian
Islands. This example also illustrates the coupling of
land and marine elevation data.
4.DISCUSSION AND CONCLUSION
Recent multibeam sonar survey systems and their
required software for data analysis now provide the
engineering community with a powerful and reliable
tool to map the sea floor with very high precision.
With this technique, we can now really talk in terms
of “submarine remote sensing”, as it now provides
information nearly equivalent to aerial photography
or radar images. In addition, the work carried out in
Lake Tahoe has demonstrated that the system can be
efficiently mounted on a small vessel thus showing
that multibeam sonar surveys can be carried out in
more restricted areas. The recently developed
EM3000 is a portable system which will provide
nearly a tenfold improvement in bottom morphology
definition for water depths less than 100m.
The experience of the Saguenay Fjord has shown
that two surveys, conducted at a four year interval,
were able to show morphological changes associated
with flood deposits. At the same time, minute
features revealed in 1993 were also observed in
1997. These results illustrate the monitoring
potential of this technique in submarine landslide
prone areas.
Finally, this limited compilation has also provided
an opportunity to showcase the diversity and scale of
sub-aquatic landslides and related mass movements.
5. ACKNOWLEDGEMENTS
We would like to thank our supporting organizations
including the U.S. Geological Survey, the Office of
Naval Research (STRATAFORM project), the
National Science and Engineering Research Council
of Canada and the Fonds F.C.A.R. (Ministry of
Education, Quebec). In addition, we like to thank
Dr. M. Canals and Dr. R. Urgeles (University of
Barcelona) for providing the example from the
Canary Islands.
We would also like to thank R. Sansfaqon and N.
Doucet of the Institut Maurice Lamontagne at Mont-
Joli, Quebec and P. C8t6, graduate student at Laval.
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underlying tectonic structures of the nortwestern
Mediterranean margin, as revealed by
comprehensive bathymetric and seismic surveys.
Marine Geology, 112: 89-108.
Couture, R., Locat, J., Godin, A., Therrien, P.,
Messager, S., and Babineau, S., 1993. Relevks
bathymetriques au fjord du Saguenay B l’aide de
1’Ccho-sondeurmultifaisceaux SIMRAD EM- 1000,
Expedition B bord du F.G. Creed. Department of
Geology and Geological Engineering, Laval
University, Quebec, Canada, Report GREGI 93- 16,
1lp.
Goff, J.A., Orange, D.L., Mayer, L.A., and Hughes
Clarke J.E., 1999. Detailed investigation of
continental shelf morphology using a high-
resolution swath sonar survey: the Eel river
margin, northern California. Marine Geology, 154:
255-269.
Gardner, J.V., Prior, D.B., and Field, M.E., 1999.
Humboldt Slide - a large shear-dominated
retrogressive slope failure. Marine Geology, 154:
323-338.
Gardner, J.V., Mayer, L., and Hughes-Clarke, J.E.,
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Nevada. United geological Survey Open-File
Report 98-509, 17 p.
Hampton, M., A., Lee, H.J., and Locat, J., 1996.
Submarine landslides. Reviews of Geophysics,
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133
Hughes Clarke, J.E., 1997. Data thinning for chart
production purposes. In: Coastal Multibeam
Training Course, Ocean Mapping Group,
Department of Geodesy and Geomatics
Engineering, University of New Brunswick,
Fredericton, 26 pp.
Hughes Clarke, J.E., Mayer, L.A., and Wells, D.E.
(1996). Shallow-water imaging multibeam sonars:
A new tool for investigating seafloor processes in
the coastal zone and on the continental shelf.
Marine Geophysical Research, 18: 607-629.
Kammerer, E., Hughes Clarke, J.E., Locat, J.,
Doucet, N., and Godin, A., 1998. Monitoring
temporal changes in seabed morphology and
composition using multibeam sonars: a case study
of the 1996 Saguenay rivers floods. In:
Proceedings of the Canadian Hydraugraphic
conference, Victoria.
Lee, H.J., Brian, Edwards, B.D., and Field, M.E.,
1981. Geotechnical analysis of a submarine slump,
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OfLshore Technology Conference, Houston, pp. :
53-65.
Lee, H.A., Locat, J., Dartnell, P., Israel, and Wong,
F., 1999. Regional variability of slope stability:
application to the Eel margin, California. Marine
Geology, 154: 305-321.
Lee, H.J., Chough, S.K., Chun, S.S., and Han, S.J.,
1991. Sediment failure on the Korean Plateau
Slope, East Sea (Sea of Japan). Marine Geology,
97: 363-377.
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giant submarine slump on the Northern Chile
Continental Slope. Marine Geotechnology, 10:
257-268.
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de glissements sous-marins, fjord du Saguenay,
QuCbec. In: Proceeedings of the 41”‘ Canadian
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338-346.
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and mechanical characteristics of recent Saguenay
Fjord sediments. Canadian Geotechnical Journal,
25: 382-388.
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Nittrouer, C.A., 1999. STRATAFORM: overview of
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sous-marins dans la Bras Nord du fjord du
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Reference to Developing Countries,pp.: 67-82.
Schwab, W.C., Danforth, W.W., Scanlon, K.M., and
Masson, D.G., 1991. A giant submarine slope
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Urgeles, R., Canals, M., Baraza, J., Alonso, B.,
Masson, D. (1997).- The most recent megaslides
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134
 Slope Stability Engineering, Yagi, Yamagami & Jiang (01999 Balkema, Rotterdam, ISBN 90 5809 079 5

Automatic measurement of pore water pressure in the hard-rock slope

and the sliding weathered-rock slope - Field survey in mountainous
region in Shikoku Island, Japan

E.Tamura & S. Matsuka

Yonden Consultunts Compuny Incorporated, Kugawa, Jupun

ABSTRACT: It has been shown in general researches that one of the causes of the landslide is the rise of the
pore water pressure. The rise of the pore water pressure causes initial rockslides and rockfalls in particular.
We continuously measured the groundwater level and the pore water pressure in the slope of the rock and the
slope of the weathered-rock slide in the mountain range in Shikoku which has an annual amount of rainfall
from 2000mm to 3000mm. With regard to the disaster prevention of the landslide and the rockfall, we
examined the start time and the disappearance time of the rise of the pore water pressure. The result of our
research clearly shows the start time of the rise of the pore water pressure in heavy rain. Warning time of
landslide is half a day or one and a half days after the stream flow had begun to increase or the beginning of
the heavy rain.

1INTRODUCTION has an annual rainfall of 2,250-2,75Omm. Rainfall is

The rise of pore water pressure is regarded as a cause of
landslides oaniguchi and Fujiwara, 1965). In the initial
phase of rockslides and rock€& in particular, its
involvement seems significant. However, there were
performed not many studies in which the fluctuation
of pore water pressure was observed in sites in
relation to the occurrence of landslides. Higaki,K. et
al. (1991) and Shiraishi,D.(1994) measured the pore
water pressure at sliding surfaces and ascertained
that landslides became active following rises in the
pore water pressure, concluding that rises in pore
water pressure cause landslides.
In this study, the groundwater levels, pore water
pressure in the rock slope and the sliding weathered-rock
slope on a mountainous region in Shikoku Island were
continuously measured, and the relation between the
fluctuation of pore water pressure and the time elapsed
was studied from a disaster-preventivepoint of view.
2 GEOLOGICAL OF SLOPES AND
RAINF..
The geology of the central mountainous region in
Shikoku Island is characterized by metamorphic rocks of
the Sanbagawa Belt and sedimentary rocks of the
Chichiiu Belt. The rock slope surveyed was located in the
Chichibu Belt; the gradually sliding weathered-rock slope,
in the Sanbagawa Belt. Landslides occurs frequently in
these geologicalbelts. The area around the slopes surveyed
heavy in the rainy season and the typhoon season from
July to September.
3 MEASUREMENT OF PORE WATER PRES-
SURE I N HARD ROCK SLOPE
The hard-rock slope rested on the end of a ridge of a
mountain range 1,ooOm high. The slope was 280-480 m
above sea level and in a convex shape 2oom high (Fig. 1).
The geology of the slope consisted of the strata of
greenstone, slate, sandstone,and chert of the Chichibu Belt.
These strata slanted downward by 15" and ran along the
slope, as shown in Fig. 2. Underlying the strata was hard
rock, which was 55 m deep in the upper part of the slope
and 12 m deep in the lower part. The groundwater level
was around the upper surface of the hard rock
Vertical bores A-l,2,3, and 5 and a horizontal bore B-
1of a 76-mm diameter were made in the slope (Fig. 1).To
measure the pore water pressure in the bedrock, a pore-
water-pressuregauge was set at the bottom of each vertical
bore, and each bore was clogged above the gauge with
bentonite and cement milk to isolate the groundwater(Fig.
3). The groundwater levels in the vertical bores were
measured with water-pressure gauges. The horizontal bore
was divided into three chambers with air-packers to
measure the spouting-water pressure. Personal computers
were used and data were collected Continuously.
The measured pore water pressures were converted
into groundwater levels. In the same bore, there were
differencesof 1-6m between the converted water levels

135
Figure 2. Geological profile of hard rock slope.

136
and the measured water levels, the latter tending to be
higher. The pore water pressure and the water levels in the
bores changed under daily rainfall of 50 mm or more,
presenting larger changes in the upper and middle parts of
the slope and smaller changes in the lower part.
There were observed time differences among the
increase of the stream flow below the slope, and the
increase of the groundwater levels and the rise of the pore
water pressure in the bores in the middle part of the slope,
while it was rainingcontinuously.Under the rainfallof 671
mm during the period of July 26-30, 1993, the stream
flow increased first, then the water levels in the vertical
bores and the spouting-waterpressure in the portion of the
horizontal bore with the shallow section,and thereafter the
pore water pressure in the vertical bores and the spouting -
water pressure in the portion of the horizontal bore with
the deep d o n . The time Werence between the first
event (for the surface water) and the second event (for the
upper-stratum water) was 12 hours or so, and the time
difTerencebetween the second event (for the upper-stratum
water) and the third event (for the lower-stratum water)
was 4-5 hours (Fig. 5).
Besides, the relation between the starting times of
137
increase in the stream flow and the pore water pressure in
the bedrock was studied. Data were collected fiom the
stream and the bore A-2 in six cases of continuous rainfall
of 50-600 mm (Table 1). According to the data of the
table, although data are somewhat dispersed depending on
the raining patterns and the water-saturated condition of
the ground before the rains, the pore water pressure began
to increase about 10 hours, and reached its peak 20-30
hours, after the stream flow had begun to increase (Table 1
and Fig. 9.
T f i c on National Highway running by the survey
area is regulated when continuous rainfall reaches 250
m.
A tendency can be read from Table 1: at the point in
time when rainfall reaches the level of 250 mm, (i) the
stream flow already began to increase long before, (ii) the
pore water pressure also began to rise a short while before,
and (iii) it is 10hours or so before the pore water pressure
reaches a peak. This suggests that the appropriate time
zone to be wamed of landslides and mkMls is fiom the
point of half a day after the stream flow’s increaseto the
point of one and a half day after the same.
Figure 5. Automatic measurement of pore water pressure and groundwater levels in bores on rock slope.

138
 Figure 6. Automatic measurement of pore water pressure in bed bedrock.

Figure 7. Automatic measurement of pore water pressure in sliding weathered-rock slope.

139
 Tie
ous
rainfall Hourly
(mm) (mm/h) (mm/d)
Jul. 671 36 288 5 17 29

Oct. 7-8,
43 6 28 Almost no change
1993
Nov. A low
12-13, 14 27
126 12 88 41 55 68 area and a
1993
~ ~ - _ front
_ _ _
Jul. 461 42 281 7 18 36 11 29 No.7
25-27, 22" typhoon
1994
Aug. 342 27 119 16 74 100 58 84 No. 13
10-15, 89" typhoon
1994

"*" Mark are the time period that each raintook to reach a rainfallof 250 mm.

4 MEASUREMENT OF PORE W m R PRESSURE 5 CONCLUSIONS

IN SLIDING WEATHERED-ROCK SLOPE
The sliding weathered-rock slope was composed of
pelitic schist in the Sanbagawa Belt and located on the end
of a ridge of a mountain range 1,OOO m high. The landslide
was 40 m wide, 70 m long, and 5-7 m deep.
The pore water pressure in the clay forming the slip
surface was measured in the center of the sliding block A
bore was made down to the slip surface. A vinyl chloride
pipe was provided at the bottom of the bore and the upper
portion of the bore was cemented so that underground
water would enter the bore only from the clay of the slip
surface. A water pressure gauge was set at the bottom of
the bore to measure the water level in the bore
continuously and determine the pore water pressure (Fig.
4).
Under daily rainfall of 101)-300 mm, the pore water
pressure increased rapidly at a time in the period from the
point of half a day after the beginning of rainfall to the
point of one and a halfdays after the same, and took seven
days or so to decrease to the pre-rain level (Fig. 7). A
similar phenomenon was observed in the study performed
to measure continuously the ground water levels in a
landslide area in Sanbagawa Belt in Tokushima Prefecture
(Nishimura, k et al., 1997). Although the slope of the
present study was not in ~ t u r a state
l due to the measures
taken to reduce the sliding displacement, it can be said that
the time when the pore water pressure increases coincides
generally with the time when the sliding displacement
(XXLlrs.
The main finding of the present study about the pore
water pressure under heavy daily rainfalls of 100 mm or
more are as follows:
1. In the non-sliding hard-rock slope, the pore water
pressure began to rise about 10 hours, and reached a peak
20-30 hours, after the stream flow had begun to increase.
2. In the sliding weathered-rock slope, the pore water
pressure increased at a time from half a day after the
beginning of rainfall to one and a half days after the same,
and the pressure took a week or so to retum to its normal
level.
REFERENCES
Higaki, D. & Maruyama. K. & Yoshida, K. & Yoshi-
matsu, H. 1991. Pore-water pressure fluctuations
in some landslide areas. Journal of Japan Land-
slide Society. 28-3 : 9-16.
Nishimura, K. & Sakamoto, S. & Kawamura, M. 1997.
Observation of groundwater levels with selfrecording
water level meter; taking Owcita Landslide as example.
proceedings of Chugoku-Shikoku Branch of Japanese
Society of Applied Geology. 23-28.
Shiraishi, K. 1994. Observation ofpore waterpressure on
slip-su$ace for landslide control works. Proceedings
of Japanese Society of Soil Mechanics and Foun-
dation Engineering Symposium.
Taniguchi, T. & Fujiwara, M. 1965. Investigation and
analysk of landslides. Rikohtosho.

140
 Slope Stability Engineering, Yagi, Yamagami & Jiang ((-1 1999 Balkema, Rotterdam, ISBN 90 5809 079 5

Field measurement of suction in soil and rainfall in Kagoshima Prefecture

R. Kitamura, K. Jomoto, K.Yamamoto & T.Terachi

Kugoshirna UniversiQ Japctn
H.Abe
Chubu Chishitsu Company Limited, Japan
T. Iryo
University of Western Ontario, Ont.. Canada

ABSTRACT: In Kagoshima Prefecture a non-welded part of pyroclastic flow deposits, Shirasu in Japanese,
is widely distributed on the surface ground. The slopes composed of Shirasu and other volcanic products
often fail due to the heavy rain in the rainy season every year. In order to prevent natural disasters due to
slope failures our laboratory has started to measure the suction and rainfall at several points in Kagoshima
Prefecture. In this paper the field measurement system of the suction in soil and the amount of rainfall are
firstly introduced. The tensiometer is used to measure the suction in unsaturated soil. The data obtained at
several measuring points are automatically filed in the data loggers and acquired by the personal computer in
the laboratory by means of cellular phones. The change in suction and rainfall are shown with time. The
hourly, dairy and monthly change in suction with time is discussed to predict the slope failure.

1 INTRODUCTION introduced, and then some measuring results are

Kagoshima Prefecture is located in the southern part presented and discussed*
of Kyushu Island, Japan, as shown in Fig.1. The
surface ground in Kagoshima Prefecture is almost
covered with the volcanic products such as
pyloclastic flow deposits including pumice and
falling ash, weathered igneous rock and so on. The
non-welded part of pyloclastic flow deposits is
locally called Shirasu in Japanese, which is
classified into sandy soil. The density of Shirasu is
smaller than popular silica sand because the particle
is porous. Consequently Shirasu is easy to be
eroded by the surface flow of rainwater. When
heavy rains fall every rainy season, the slope failures
often occur on the slopes composed of Shirasu on
which thin surface humus layer is laid. It is
qualitatively well-known that these slope failures
occur due to the seepage of rainwater into
unsaturated soil and the increase in water content,
which brings the increase in self-weight of soil mass
and the decrease in suction. But it is difficult to
estimate the changes in water content and suction
quantitative1y.
Our laboratory started to measure the suction and
rainfall in the field to make the seepage behavior of Fig.1 Location of Kagoshima Prefecture
rainwater into surface ground clear (Kitamura et al.,
1999). In this paper the field measuring system is

141
2 FIELD MEASURING SYSTEM AND
MEASURING POINTS
Figure 2 shows the schematic field measuring
system of suction and rainfall. The suction in
unsaturated soil is measured by the tensiometer and
the amount of rainfall is measured by the tipping
bucket rain gauge. Four sets of tensiometer are
installed into the ground of 20 cm, 40 cm, 60 cm and
80 cm in depth. The measuring data are filed in the
data loggers and acquired by the personal computer.
The sampling interval can arbitrarily be selected
from lsecond to 60 minutes, which is now set to be
60 minutes for tensiometer and 10 minutes for rain
gauge respectively. About 60000 data can be filed
in the data loggers, which means that the data for
more than 2 months can be filed. In the latest
system the cellular phone is used to transmit the data
filed in the data loggers as shown in Fig.3, where the
sampling interval can remotely be controlled by the
personal computer in the laboratory. Figure 4
shows the tensiometer which is composed of porous
cup made of ceramic whose air entry value is about
250 kPa, acrylic pipe filled with de-aired water and
pressure transducer at the top of acrylic pipe.
Figure 5 shows the measuring points in Kagoshima
Prefecture, where the remote measuring system is
adopted in Kiire-town, Matsumoto-town and Izumi-
city.
Fig.2 Field measuring system
142
3 MEASURING RESULTS AND DISCUSSION
Figure 6 shows the change in suction and the amount
of hourly rainfall with time obtained at the
measuring point of Ijuin-twon in June 1996, where
the suction is represented as the head of negative
water pressure. The surface ground at this point is
covered with the primary Shirasu layer of more than
10 m in thickness. In Fig.6 the absolute value of
negative pressure (suction) is the largest at 20 cm in
depth followed by those of 40 cm, 60 cm and 80 cm
in order, which means that the water content
increases with depth. The change in suction due to
rainfall was initiated at 20 cm in depth followed by
the change in suction of 40,60 and 80 cm in depth in
this case that the ground is uniform and the ground
water level is deep. The same behavior was
obtained at some measuring points as shown in Figs.
7 and 8. Figure 7 shows the measured data
obtained at Kokubu-city where the talus was formed
by the slope failure of Shirasu. Figure 8 shows the
measured data obtained at Tarumizu-city where the
falling volcanic ash derived from Mt. Sakurajima
deeply covers the surface ground with more than 1m
in depth. Figure 9 shows the measured data
obtained at Yoshida-town. Near this point the river
is located and the ground water level is shallow. It
is found out from Fig.9 that the head of water
pressure of 80 cm in depth is always positive
Fig.3 Remote system for data transmission

143
 Fig.4 Tensiometer

Fig.6 Measured data obtained at

Ijuin-town in June 1996

Fig.5 Measuring points in Kagoshima Prefecture

because the ground water level is shallow. The

water pressure of 20 cm is also positive when a rain
falls, which means that the ground water level is
easy to rise to be same as the ground surface in the
rainy condition.

4 CONCLUSIONS
The field measurement system for suction and
rainfall is shown to investigate the seepage behavior Fig.7 Measured data obtained at
of rainwater into ground in Kagoshima Prefecture. Kokubu-city in April 1997

144
 The measured data obtained at some measuring
points are presented and discussed. It is found out
that the suction is one of the basic informations for
the water content in the ground and reflects the
seepage characteristics of ground. Therefore the
change in suction with rainfall should be
continuously measured to analyze the mechanism of
slope failure and prevent the natural disaster due to
slope failure caused by the rainfall.

This research was supported by the grant-in aid of

scientific research (B) (Project No. 09555153) of the
Ministry of Education.

REFERENCES

R. Kitamura, T. Iryo, H. Abe and H. Yakabe: Field

measurement of suction on Shirasu ground, Proc.
1st Asian-Pacific Conference and Trade
Exhibition on Ground and Water Bioengineering
for Erosion Control and Slope Stabilization, 1999
( to be appeared).
Fig.8 Measured data obtained at
Tarumizu-city in May 1997

Fig.9 Measured data obtained at

Yoshida-town in April and May 1996

145
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 Slope Sfabihty Engineering, Yagi, Yamagami& Jiang c,' 1999 Balkema, Rotterdam, ISBN 90 5809 079 5

Application of acoustic emission method to Shirasu slope monitoring

T. Fujiwara & A. Ishibashi

Nippon Koei Company Limited, R&D Center, Ibaruki, Japan
K. Monma
Public Works Research Institute, Ministry of Construction, Government of Japan, Jupan

ABSTRACT: The Shirasu , that is widely covered on southern Kyusyu, characterized by gray soft rock
derived from Pyroclastic flow sediment. In Shirasu area, slope stability is frequently disturbed by heavy rain,
and Shirasu slope failures caused some deaths every year. It has become very important to predict these
disasters. This paper on application of Acoustic Emission (AE)technique in the field of Shirasu slope failure
prediction presents the findings on the real scale slope experiment.

1. INTRODUCTION As at today, there are about 86,000 areas are

Inherited nature of the topography, complicated
geological structure and the relatively extensive
rainfall makes Japan highly susceptible for slope
failures. This is further accelerated with growth of
urban fringe expanding into sensitive areas
demolishing the natural balance of the mountainous
and hilly region. Consequences are the increasing
slope failures accounting for heavy losses to life and
property.
During the period between 1992 to 96 there were
2392 slope failures recorded killing 156 people.
When compared to death toll with other types of
slope tragedies, slope failures account for more than
60% of total destruction during the period mentioned
above, Figure 1.
legally designated as landslide prone areas of which
70% are further identified and categorized as high
priority areas that require quick attention for proper
preventive measures, Figure 2.
Even though there are quite large number of
places are recognized for quick action for
appropriate counter measures, the response from
responsible agencies is not sufficient. Due to the
poor progress in the construction of anti-landslide
facility, Ministry of Construction launched a
program for improvement in warning systems that
could prevent loss of life if sufficient, accurate and
timely information could be provided to people who
are living in questionable areas.

Fig.2 Slope Failures and Preventive Measures

Fig.1 Death by Slope Disasters in the past Syears

147
 AE is long-awaited technology that could be
combined with warning system to inform people
living in a vulnerable area well in advance to reduce
losses to a minimum. However, application of AE
is considered questionable as not enough research
works have been conducted on this aspect.
Further, there are very few reports on real
application of AE on real-world slope failure
studies.
2. TEST SITE AND EXPERIMENT
Slope failures that are occurring in Japan break
out much higher speed when compared to other
slope destruction. For this reason, experiments are
mainly conducted in laboratories using models.
Fig.4 Shirasu Slope Failure Experiment
148
Subsequently, results are combined with few filed
measurements to extrapolate experimental results to
real-world situations. Hence, they face difficulties
in applying to real-world situations.
2.1 Test Site
To investigate the AE occurrence during a slope
failure an experimental scale cutting slope was
constructed in a Shirasu slope, and an experiment
was carried out. Shirasu is a stratum widely
found in southern part of Kyushu Island consists of
sediments with the origin of pyroclastic deposits.
This is one of the most vulnerable soil type for slope
failures. The prepared experiment site is shown in
Figure 3. The prepared slope was 5 meters wide
and 6 meters in height. The material found in the
slope is belonged to weathered Shirasu. In order to
conduct the experiments the slope was made
unstable by excavating at the bottom of the slope.
AE measurements were started with the excavation
and continued until the slope was collapsed,
figure4. Three and half-hours were taken to the
collapse from the time the excavation started, and
AE mcasurernents for the whole period were
recorded.
2.2 Equipment
A PAC SPARTAN AT system was used for AE
measurement. The frequency of the AE sensor was
6OkHz. Apart from AE sensor more equipment, an
extensonicter and a tiltmeter was installed on the
slope. The whole experiment was recorded in a
video camera. Two AE sensors were mounted on
wave guides, two meters long with a diameter of 2
cm. They were placed at upper and lower parts of
the slope. For comparison, third AE sensor was
placed on a stable slope.
3 . RESULTS AND DISCUSSION
3.1 Behavior of AE between Slope Failure
Figure 5 shows AE measurements from the time
of excavation until the moment of the slope failure.
Black arrows pointed downward indicate
excavations. Altogether five excavations were
carried out before the slope failure. White arrow
represents the AE observation of slope failure.
During the excavations, high AE activity was
detected, and exponentiaIIy decreased to zero once
the excavation stopped except for the last one.
After the 5th excavation, there was some AE activity,
and this was rapidly increased 15 minutes before the
collapse.
Figure 6 shows AE occurrence of AE activities of
the three sensors. Upper two graphs are for the
collapsed slope and the lower one is for the
reference sensor. The two graphs of the collapsed
slope clearly showed that AE activity increased with
the excavation. In contrast to this, there was no AE
activity observed on the reference slope.
Among the two sensor of the collapsed slope, the
one placed at the lower part detected more AE
activity than the one placed at the top of the slope.
This shows that significant amount of energy was
concentrated at the lower part of the slope. This
suggest that sensor be installed on a wave guide and
placed at the bottom or lower part o f a slope for easy
detection of sensor activities.

Fig.6 AE Bchavior by Location

149
AE Count Primary Secondary Tertiary
Fig.7 Comparison AE Behavior and Displacement
A reciprocal of
AF, counts per sec
Fig.8 Collapse Time Prcdiction by AE
3.2 Collapse Time Prediction by AE
If extensometcr observations are carried out
during a slope failure, the strain data would shows a
creep curve during a Failure. During this study, some
attempt was made to formulate a methodology to
predict the failure time during tertiary creep stage.
Figure 7 compares changes of extensometcr
observation with changes in the accumulated count
of AE during the present experiment. These two
150
resembles each other and obviously shows similar
behavior to that of a creep curve. Fukuzono have
proposed a method to predict slope failure time
using the strain per unit time at the tertiary creep
stage. He has shown that reciprocal number of
strain per unit time converges to zero at the tertiary
creep stage.
In this study, it was investigated whether failure
time can be predicted using AE count. Figure 8
shows the failure time prediction by applying strain
velocity to AE count rate. This shows that the
failure time can be predicted accurately using AE
count rate. In the case of AE observation, larger
number of data can be obtained when the slope
failure is beginning to start. This could provide
finer information at the time of the failure.
Therefore, failure time can be predicted more
precisely by AE count rate than the strain velocity
method.
4. CONCLUSION
Findings and the conclusion of the present
experiment can be summarized as below;
1. The applicability of AE was tested on a real
slope and it was found that AE technology can
satisfactorily be uscd in real-world slope failure
monitoring.
2. Placement of sensors was experimented and it
was found that for accurate and easy AE
interpretation the sensors should place closer to
the bottom of a slope.
3. Method to estimate slope failure time was
proposed and the applicability of high accuracy
was confirmed with obtained experiment
results.
REFERENCES
Sasahara,K. 1995 Evaluation of Soil Displacement by AE
Parameter. Proceedings of 34'h Japan Landslide Society
Conference (Japanese) :245-248
Fukuzono,T. 1981 Surface displaccmcnt velocity and
acceleration in the slope failure. Proceedings of 36'h
Japan Society of Civil Eng. Cod. (Japanese) : 302-
303
 Slope Stability Engineering, Yagi, Yamagami & Jiang 0 1999 Balkema, Rotterdam, ISBN 90 5809 079 5

Acoustic emission technique for monitoring soil and rock slope instability

A. Kousteni - Department of Civil and Structural Engineering, Nottingham Trent University, UK

R. Hill -Department of Chemistry and Physics, Nottingham Trent University, UK
N.Dixon -Department of Civil and Structural Engineering, Nottingham Trent Universizj; UK
J. Kavanagh - Transport Research Laboratory, Crowthorne, UK

ABSTRACT: This paper presents our recent research in Acoustic Emission (AE) monitoring used to assess
slope instability and the factors controlling instrumentation design. These factors include wave-guide material
type; the type of the backfill soil placed around the wave-guide, and the method of wave-guide construction.
Both field and laboratory studies, undertaken by the authors, indicate that: i) the AE monitoring technique
provides an early indication that small deformations are taking place during progressive failure; ii) even in
“quite” material, such as clays, AE levels can be related to deformation rates and iii) the choice of wave-guide
system is of fundamental importance (e.g. active wave-guides are best suited for the study of slopes formed in
clay soils). Quantitative assessment of AE at an early stage of slope failure is still basic. Data is provided on
the performance of wave-guide systems, and which will lead to a better quantitative assessment of field AE.
The results of laboratory and field studies are discussed.

1. INTRODUCTION 2. can detect changes in the rate of movement;

Terzaghi, (1950) stated: “If a landslide comes as a
surprise to the eyewitness, it would be more accurate
to say that the observers failed to detect the
phenomena which proceeded the slide”. The
implication is that the smallest possible movements
should be measured at the earliest possible time.
The standard method for assessing the stability of
slopes is by measuring ground deformations. At
present, conventional surface survey markers,
extensometers, or inclinometer tubes installed
through the potentially unstable soil/rock are used to
define the area of movement. Unfortunately the
magnitude of the pre-failure movements which is of
interest, is often of the same order as the accuracy of
the above monitoring methods. These methods often
require measurements taken many times and over a
period of time to obtain trends, thus enabling the
certainty of ground movement to be established.
Therefore, there is a need of an instrumentation
system which:
1 . is sensitive to small pre-failure slope
deformations;
3. provide information about the location of sliding
surface; and
4. is portable for monitoring slope stability
continuously.
Such a system could provide an early warning of
slope instability.
Acoustic emission (AE) monitoring techniques
have the potential to meet the above requirements.
This paper presents recent developments and
considers issues related to instrumentation design.
Successful applications on field and laboratory
studies are described. The work and results of the
current research are discussed with the aim of
quantifying the AE response of a wave guide and
developing a reliable early warning monitoring
system.
1.1. Background information
Acoustic emission is a non-destructive technique
which, since the 1970’s has been increasingly
employed to monitor the stability of soil bodies. The
main body of research into AE applications for soil

151
assessment has been carried out in the USA (e.g.
Koerner et nl., 1981), Japan (e.g. Chichibu et al.,
1989, Naltajima et al., 1991) and more recently at
Nottingham Trent University (Dixon et al., 1997).
When any material is stressed, it generates micro-
seismic activity at locations of local instability.
When soil is stressed, it responds by reorganising its
constituent particles and changing their relative
positions with the consequent frictional generation
of stress waves. These micro-seismic stress waves,
are referred to as acoustic emission. The associated
stress waves propagate from the source of instability
through the surrounding material and can be detected
by suitable high sensitivity transducers.
This is the main principle of the AE monitoring
technique, which enables the detection of the
occurrence of distress in soil before the development
of significant movements. However, monitoring
soils by using high frequency AE techniques, is
affected by the high attenuation in soils. The
attenuation of AE energy in soil is highly frequency
dependent. According to Koerner (198 1) the
attenuation coefficient (in dB/distance) in dry sands
varies from 0.09 dB/cm at 500 Hz to 10 dB/cm at
l6kHz. Since metals have a three to four orders of
magnitude lower attenuation than soils, a metal
wave-guide has been found very useful in
conducting the signals from within the soil mass to
the receiving AE sensor. Therefore, the use wave-
guides to monitor AE in soils, has became standard.
2. AE MONITORING INSTRUMENTATION
The AE instrumentation components used for field
monitoring and laboratory testing at NTU are shown
in Figure 1. It is shown as a single channel system,
the extension to a multi-channel system can be easily
achieved.
2. I . Components of monitoring system
Sensor: An AE Technology piezoelectric transducer
with a resonant frequency of a 30 kHz has been
used. The choice of 30 kHz resonant frequency is
due to the need to minimise low frequency
environmental noise and at the same time keep the
frequency of the system as low as possible, to avoid
high levels of attenuation.
Wave-guide: Metal wave-guides can take the form
of steel reinforcing rods, various metal
instrumentation pipes, (e.g. aluminium iiiclinometer
tubes) or construction units (e.g. tiebacks, anchors,
152
piles or soil reinforcement units). It is possible for
the length of a wave-guide to be in excess of 30 m
when used in field monitoring.
Figure 1. AE field instrumentation
Preamplifiier and Filter: A preamplifier is used to
amplify the low level signals from the sensor by 40
dB. The signal is filtered by a band pass filter with a
bandwidth of 15 - 45 kHz. Hence the output signal
consisted of waves with frequencies between 15 kHz
and 45 kHz. This ensured that any low frequency
background noise is not included in the recorded
signal.
Main Amplifier: The system can amplify the
signal between 50 and 108dB.
Data capture: An A-to-D board converts the
analogue voltage to a digital value. The maximum
sampling rate used is 1 MHz. By directly writing to
the board, via the digital ports, it is possible to set
the default to capture a stream of data including data
points before any trigger time or voltage set by the
operator.
Data processing: A high-level programming
language for data acquisition and processing was
used. AE captured data are saved into binary files
which can then be analysed.
2.2. Design of Wave-guide systems
In the present study a steel tube of 1.60 m length, 60
mm diameter and 6 mm wall thickness has been
used. Steel threaded rings are used for connecting
sections of the wave-guide. The choice of the steel
tube AE wave-guide has the advantage that it can be
easily fabricated to the required cross-section and
length, and has a low ultrasonic attenuation
coefficient. This wave-guide system transmits the
emission generated by the frictional motion of the
soil particles which are in contact with or close to
the wave-guide.
It is possible to drive the wave-guide into the host
soil for short distance. For larger slopes it is
necessary to install the wave-guide in pre-drilled
boreholes. This method requires a backfill material
to improve the contact between the host soil and
wave-guide. Depending on the backfill material two
possible systems are formed: Passive and Active
wave-guide systems.
For passive systems the annulus around the wave-
guide has to be backfilled with low AE activity
material (i.e. clay), so the installation does not
introduce additional sources of AE into the wave-
guide. Any recorded AE signal is assumed to
emanate from the deforming host soil. Driven
systems can also be defined as passive, as a result of
the wave-guide being in direct contact with the in-
situ material.
Active wave-guide systems are installed when the
monitoring site consists of cohesive material. As the
emission levels generated are low, it is difficult to
obtain quality AE data. Therefore, the annulus can
be backfilled with granular soils such as sand or
gravel which produce high AE levels. Although the
recorded AE data will not relate directly to the stress
state of the host soil, it may be possible to calibrate
the system, such that the recorded AE signal can be
related to the magnitude of the general ground
deformations. It is this type of system which has
been studied by the authors.
3. FIELD AE MONITORING
Results from recent field studies are reported by
Dixon et.al. and Kavanagh (1996, 1997). One of the
case study areas was located on the north eastern
coast of England at Cowden. At this location 20
meters high cliffs are formed of stiff cohesive glacial
till. The failure mechanism of the cliffs was a
rotational sliding which is triggered by marine
erosion of the toe. Twelve steel tubing wave-guides
and two inclinometer casings were installed into the
coastal cliff section. Figure 2 shows the
instrumentation array arrangement at November
1993.
Part of the results that were obtained from a
monitoring period of almost one year are shown in
Figure 3. In this figure a comparison of the AE
recorded data from 4 different wave-guides is made
with displacement rates recorded by inclinometer 11.
153
Figure 2. Cowden instrumentation array
It can be seen that there is a reduction in AE mean
signal value between days 149 and 163 recorded by
all wave-guides, which is accompanied by a
reduction in the rate of increase of displacement
recorded by the inclinometer. The monitoring
method wasn’t continuous, but based upon periodic
site visits and acquisition of AE data. Therefore, it is
likely that much deformation-related AE was not
captured because no operator was present when it
was generated. However, under these conditions the
correlation of displacement rates with AE was
encouraging, and proved the good qualitative status
of the AE monitoring technique. Unfortunately, at
this stage, the signal could not be quantified to
provide an independent measure of slope instability.
One of the wave-guide design parameters was
backfill type. Wave-guides 1, 5 and 12 were
backfilled with sand, wave-guides 2, 6 with gravel
and the rest of them with grout. The grout backfill
produced the least AE, gravel appeared to be the
next active and the sand backfill clearly produced
the highest levels of AE (Figure 3b). The poor
response of gravel backfilled wave-guides was a
result of the gravel particles requiring greater
displacements of the host soil to cause them slip. In
addition, slippage would occur over a shorter period
of time, but AE would be of much greater amplitude
than for sand particles.
4. CURRENT LABORATORY STUDIES
The aim of recent laboratory work has been to
investigate the AE wave-guide response and
quantify the AE levels with displacement. For the
first stage of this work, the waveforms of the AE
signals, propagating through a free surface wave-
guide were investigated to locate the AE source. For
the second part the AE investigation of two granular
backfills (gravel and sand) surrounding the wave-
guide were investigated.
Figure 3 Displacement rate inclinometer 1 and AE
mean signal value of four WG’s.
4.1. A E source locution
In this study the histograms (waveforms in time
domain) of the recorded signal were investigated.
Different wave modes with different propagating
velocities were identified in the signal. This
identification is essential to locate the AE source.
Two sections of 1.63 m length (6 mm wall
thickness) steel tubes connected by a steel collar
were used. The whole wave-guide body (two
sections with the collar) was lifted from the ground
and supported by three wooden blocks (Figure 4).
This was to provide a free surface around the wave-
..
guide.
The signal was generated in the form of a transient
step force function by carrying out pencil lead
154
breaks. This method was used because the generated
signal mainly consisted of one event with short
duration and was reproducible and consistent.
The 0.3 mm pencil lead, of 3 mm length was
broken at a constant angle, multiple times, at the five
different locations, 0.36 m, 0.54 m, 0.72 m, 0.90 m,
and 1.08 m away from the sensor. The signals were
sensed and processed by the instrumentation
described in section 2. The main amplifier was set to
50 dB. The A-to-D board was set to capture a stream
of 400 data points including 50 pre-trigger points at
a frequency of 237 kHz.
Figure 4. Experimental set-up
Figure 5 . Arrival time of the 1st peak versus distance
between source and sensor
Analysis was focused only on the first part of each
captured event. The reason being to identify the first
two fastest modes, and not to complicate the study
with other flexural modes or reflections. The arrival
time of the first peak was plotted on a graph with
respect to the distance between source and sensor. At
each distance ten values of arrival time for the first
peak from different pencil lead break records were
plotted. Figure 5 shows a linear relationship between
propagating distance and arrival times of the first
peak. This is an indication of a constant velocity
difference between the fastest mode, which triggers
the A-to-D board, and the flexural mode which
arrives with higher amplitude.
The pencil breaks were repeated with the
transducer moved further away from the edge of the
wave-guide to position B (0.40 m). This was to
investigate whether reflections from the edge of the
wave-guide would be included in the waveform. It
was found that the slope of the line was similar to
the above plot. This indicates that there is no
interference of reflections in the first part of the
waveform section that is under investigation, and
that the results are consistent.
The results of these tests show that it is possible to
locate the AE source without using a second
transducer. The recognition of the two fastest wave
modes can be achieved, and hence the difference in
their arrival times and the location of the source can
be measured. It has to be noted that the above
findings are at present only applicable for
propagating distances less than 2 meters.

4.2. Active wave-guide system

Two types of backfill soil were investigated:
i) well graded sand and ii) medium size rounded
gravel. A thick polythene sleeve with a diameter of
195 mm, and lenght of 1650 mm was used to contain
the backfill material. The soil column was supported
vertically by a steel frame. Before filling the sleeve
with the soil, one section of 1.65 m (steel tube)
wave-guide was inserted in the centre of the
polythene sleeve (i.e. representing a wave-guide in a
borehole filled with the backfill soil). The backfill
soil then was placed between the wave-guide and
sleeve. The transducer was fixed to the exposed top
section of the tube. The AE instrumentation
components were the same as in the previous
experiment. The only difference was that A-to-D
frequency was reduced to 150 kHz, and 1000 data
were captured including the 100 pre-trigger points
when a pre-set threshold was exceeded. The AE
events were generated by a compression action, on
the soil surrounding the wave-guide, achieved by
using a G-clamp. The compression was applied at
two different heights. The clamp was calibrated to
produce controlled displacements of the soil cylinder
surrounding the wave-guide (i.e. changes in
diameter).
The recorded AE events were assessed, by carrying
out simple statistical analyses. The mean and
standard deviation of the AE voltage response were
plotted against cumulative displacements. This is
Figure 6. AE versus cumulative displacement of
gravel backfill at propagating distance of (a) 565
mm (b) 1170 mm
shown in Figure 6(a), (b) for gravel backfill and 7(a),
(b) for sand backfill. It is obvious that the
deformation of the gravel emits higher AE levels
than the sand. There is a general trend of increase in
the AE mean amplitude with displacement. The sand
backfill behaviour seems to consists of sporadic
releases of energy which results in the AE level
dropping temporarily and then rising again to a new
maximum value with increasing displacement. This
phenomenon is the “Kaiser effect” in which AE
levels are low until the material is stressed beyond
that which it has experienced in the past. Kavanagh
(1997) demonstrated this effect on sand in an
isotropic compression tests.
Measurements indicate that exact AE repeatability
is difficult to obtain. This remains a topic for further
research.

Figure 7 AE versus cumulative displacement of sand
backfill at propagating distance of (a) 565 mm (b)
1170 nini
5. CONCLUSIONS
Results from field studies suggest that the AE
technique can be used to detect and monitor pre-
failure deformations in soil slopes. The most
promising area of research relates to the use of active
wave-guide systems with the assessment of AE
signal characteristics.
The pencil lead break studies suggest that it is
possible to locate the AE source using only one
transducer. The two fastest guided-wave modes in
the first part of the captured signal can be identified,
and therefore the difference in their arrival times and
hence the propagating distance of the signal can be
estimated.
The study of the two backfill types, gravel and
sand, showed that the former backfill was “noisier”
under small displacements than the latter. The sand
backfill appears to generate low magnitude emission
over a long time scale whereas gravel backfill
156
generates high magnitude emission over a short time
scale.
The relationship between displacement and
statistical mean and standard deviation values of AE
was as expected (the statistical values increase with
displacement). However, additional studies are
required in order to relate the displacement rate with
the AE response.
REFERENCES
Chichibu A.K., Nakamura M., Goto T. & Kamata
M., 1989. Acoustic emission characteristics of
unstable slopes. Journal of Acoustic Emission, 8,
4, 107-112.
Dixon N., Kavanagh J.G. & Hill R., 1997.
Monitoring landslide activity and hazard by
acoustic emission. Journal of Geological Society
of China, Special Publication of the Proc. 3”d
Sino-British Geological Conference, Taiwan, 39,
4, 301-327.
Kavanagh J.G., 1997. The use of acoustic emission
to monitor of a solid body. PhD. Thesis,
Nottingham Trent University.
Koerner R.M., McCabe W.M. & Lord A.E.Jr, 1981.
Acoustic emission behaviour and monitoring
soils. Acoustic Emissions Geotechnical
Engineering Practice, ASTM STP 750, V .P.
Drnevich and R.E. Gray, Eds., American Society
for Testing and Materials, 93- 141.
Nakajima I., Negilshi M., Ujihara M. & Tanabe T.,
1991. Application of the acoustic emission
monitoring rod to landslide measurement. Proc.
5th Conference on Acoustic
EmissiodMicroseismic Activity in Geologic
Structures and Materials, Pennsylvania State
University, 505-520.
Terzaghi K., 1950. Mechanism of landslides.
Geological Society of America, Berkey,
Application of Engineering Practice, S. Paige,
Ed., 83-123.
 Slope Stability Engineering, Yagi, Yamagami & Jiang 0 1999 Balkema, Rotterdam, ISBN 90 5809 0795
Hydraulic fracturing as a mechanism of rapid rock mass slides
Shuichi Hasegawa
Shikoku Research Institute Incorpora-arect,Takamatsu, Jupan
Tomihiro Sawada
Suwu Soft Science Incorporated, rOkyo, Jupan
ABSTRACT: This paper presents a possible mechanism of rapid rock mass slides by hydraulic facturing of
bedrocks. Large-scale rock mass slides along the Median Tectonic Line (MTL) in Southwest Japan are
inferred to have been caused by hydaulic fracturing, based on texture of sliding layers. Past big earthquakes
by the MTL might have trigged the rapid rock mass slides.
1.INTRODUCTION
The earthquakes are one of the most important
landslides-inducing agents in seismic regions. As
the Japanese islands are located in the Circum-
Pacific seismic zone, numerous landslides caused by
earthquakes have been reported.
The Median Tectonic Line (MTL) contains highly
active faults that have a potential danger of
earthquakes in Shikoku, Southwest Japan
(Osaka,1980). Large-scale rock slides occurred in
the Early to Middle Pleistocene along the fault
scarps of the Median Tectonic Line in Shikoku
(Hasegawa,l991).
This paper describes the geological characteristics
on sliding surface of a typical rock slide masses in
northern Shikoku, then disscusses a possible
mechanism of rapid rock mass slide by hydraulic
fracturing.
2. GEOLOGICAL SE'TTING
The MTL separates the Ryoke granites and the
Izumi Group from the Sanbagawa metamorphic
rocks. It forms a active fault system with
predominantly right-lateral displacement in the
Quaternary in Shikoku and western Ki. The rate of
right-lateral slip of the fault during the late
Quaternary is estimated to be several meters per
lOOOyears in Shikoku (Okada, 1980). The active
faults of the MTL are inferred to cause magnitude 7
t o 8 class earthquakes on the basis of the fault
lengths and the amount of displacement
(Okada, 1992).
157
The active fault planes are usually higt-angled,
dipping north. The MTL have made the linear
topographical boundary between the mountain and
the plain in Shikoku. Geology along the MTL in
Shikoku is shown in Fig. 1.
3. EXAMPLE OF ROCK MASS SLIDES
3.1 Shinyama rock mass slide
In the northeastern part of Shikoku, the MTL is
marked by striking contrast in topography between
the northern Sanuki Range and the southern
Yoshino River basin. The Ikeda fault runs ENE
along the southern foot of the Sanuki Range
(Okada,1968).
The Shinyama hill is an isolated hill on the south of
the Ikeda fault (Fig.2) . The hill is underlain by the
alternated beds of brecciated sandstone and
mudstone of the Izumi Group, which is a large-scale
sliding rock mass with about 1.5km and 0.5km in
width, and about 150m in thickness (Okada,1968 :
Hasegawa,1993 : Fig.2,3).
The sliding surface is observed at Loc.1, the
southern foot of the Shikoku mountains (Fig.2) . At
Loc.1, the sliding rock mass composed of the Izumi
Group overlies on the debris flow deposits A
(Fig.4).
The sliding surface is undulated and gently dipping
north. Clay-rich matrix brecciated layer is formed
beneath the sliding mass. It consists of sandstone
fragments with black clay-rich matrix and attains 20
-30cm in thickness. No distinct shear plane is
observed in the matrix, or the bountary between the
158
Figure 4. Sliding surface of the Shinyama rock mass slide.
(D:Debris flow depA (Dochu Fm.), SS:Sliding surface, CBL:clay-matrix brecciated layer, 1:Izumi Cp.)
ovelying mass and underlying debris flow deposits.
The Shinyama mass can be restored on the open
space at the mouth of the Aikurushi River about 4-
5 km east of Shinyama, based on lithology,
topography and slip rate of the Ikeda fault (Fig.2,3).
This restoration suggests that the original sliding
surface of the Shinyarna mass was very gently
dipping less than 10" .
3.2 Miaki rock mass slide
At the westernmost part of the MTL active fault
system in Shikoku, the Iyo fault is marked by
remarkable contrast in topography between the
southern Shikoku mountains and the northern
Matsuyama Plain, trending N50" E (Saito,1962 :
Okada,1972).
The Miaki mass is an isolated hill on the north of
the Iyo fault (Fig.6). The hill is underlain by the
alternated beds of brecciated sandstone and
mudstone of the Izumi Group, which is a large-scale
sliding rock mass with over 4km and about lkm in
159
width, and over 180min thickness (Hasegawa,
1993;Fig.5,6).
The sliding surface is obseved at LOc.2, where the
type outcrop of the Gunchu fault was reported
(Saito,1962). At h c . 2 , the sliding rock-mass
composed of the Izumi Group overlies on the Plio-
Pleistocen Gunchu Formation (Fig.7).
The sliding rock mass consists of alternated beds
of brecciated sandstone and mudstone, which is
similar to those of Shinyama. The Gunchu
Formation consists of harf-consolidated gravel and
silt layes, and steeply dipping north.
The sliding surface A is undulated, striking
N70" - 80" E and dipping 50-60" S at the front,
becoming horizontal at the seashore. The sliding
surface A can be traced to the sliding surface B,
which strikes N80" W and dips 3 2 " N. This
indicates that the overlying Izumi Group is rootless.
The sliding surface B cuts the reverse fault
(probably sliding) plane C, which strike 80" E and
dips40" S.
 Figure 5. Geological map of the Miaki rock mass slide.
Figure 6. Geologic Profile of the Miaki rock mass slide.
The sliding surface A and B have accompanied
black clay-matrix brecciated layer which attains 40
-50cm in thickness. This clay-matrix brecciated
layer is quite similar to that of the Shinyama mass.
It consists of sandstone fragments with black
clay-rich matrix derived from the Izumi Group.
Although destinct shear plane is obseved in the zone,
boundarys between the overlying mass and the
The Miaki sliding rock mass can be restored on
the open space at Konokawa about lkm southwest
of the mass. This restoration suggests that the
original sliding surface of the Miaki mass was also
very gentle dipping less than 10" (Fig.6).
160
Earrfiiddle Pleistccene deposits (Miaki Fm)
P I i o f l e i s t c c e n e deposits (Gcmcho Fin
Andesite & Rhyol i t e (Ishizuchi Gr.)
@ Acidic tuff (Izuni Gr.)
Mdstcne predcmimnt a l t e r m t i m (Izuni Gr.)
0Sandstcne predaninant a l t e r n a t i m (Izuni Gr.)
4.CHACTERISTISS OF THE SLIDING
ROCKMASS
4.1 Sliding rock ~ x S
Characteristics of the rock slide masses of the Izumi
Group are as follows:
1) Original stratifications are roughly preserved,
but sandstone beds are disrupted by fracturing to
form polygonal-shaped fragments and mudstone
beds are sheared parallel to the bedding.
2) Sandstone beds have many open fractures, some
of which are filled with soils from the
groundsurfaceand unconsolidated pebble
bearing muddy materials, derived from the
sediments of footwalls.
3 ) Beds beneath the footwalls have few fractures or
Figure 7. Sliding surface of the Miaki rock mass slide.
(G:Gunchu Fm., SS:Sliding surface, CBL:clay-matrix brecciated layer, 1:Izumi Gp.)
shear planes, showing remarkable contrast with
beds on hanging walls.
4) The surface layer of a rockslide mass has a
texture similar to debris.
5 ) The masses have been displaced right-laterally
by active fault of the MTL.
6) The masses are highly disected by erosion and
are more displaced by the active fault, in case
that the formative ages are older.
4.2 Sliding layer
The sliding layers on the Quatenary sediments are
composed of clay-matrix, brecciated layer. This
sliding zone material named “clay-matrix brecciated
layer (CBL)” has following characteristics.
1) Sandstone fragments are scatterd in clay-rich
matrix.
161
2) h o s t fragments are matrix-supported, and
have ramdom fabric. This texture resembles
those of debis flow deposits.
3) Shear plains are seldom obseverd in the matrix.
4) Sliding surfaces are usually low-angled.
5 ) Some clay-matrix breccias have injucted into
open cracks of the overliying sliding rock-
masses.
These evidence indicates that the rock-mass had
slid rapidly by this clay-rich brecciated layer as
lubricant layer and have not moved since having
settled.
This clay-matrix layers can be interred to be
caused by hydraulic fracturing of the Izumi Group,
judging from the sililarity of the texture. Sandstone
layers have brecciated into fragments which are
surrounded by clay material derived from mudstone.
5. MECHANISM OF ROCK MASS SLIDE
These rockslides have occurred at the fault scarp of
the active fault of the MTL. These indicate that
long-term gravitational deformation of rocks under
the steep slopes prepared the starting materials for
the large-scale rockslides. The steep slopes had been
formed by faulting of the MTL before the time of
the rockslides.
Sliding surface are gentle (less than 10 ),
judging from the restoatoin of the mass. These
gentle sliding surfaces are very difficult to occur,
where the bedding planes of the Izumi Group at the
source area dip opposite to the slopes. Therefore,
simple static slope stability analysis cannot be
adopted.
The texture of clay-matrix brecciated layers
which were the lubricant layer during the sliding
indicates that the clay-matrix brecciated zone acted
as fluid. Injection at the front boundary of the Miaki
mass also supports the extraordinary high pore
pressure.
We propose the dynamic formative process of the
clay-matrix brecciated layer by hydraulic fracturing,
based on above mentioned observation. The
possible mechanism of rockslides is as follows:
1)The uplift by the fault activity and the opposite
dipping structure of the Izumi Group had
produced the large-scale steep slopes.
2) Grativitation deformation might have formed the
creeping zone in the slope.
3) Groundwater had permeated into the mass along
the creeping zone.
4)The tremor by a big earthquake by the active fault
at the foot of the slope caused an extraordinary
pore pressure in the slope.
5) The extraordinary pore pressure caused the shear
failure of the atlernated bed of sandstone and
mudstone. That is, the hydraulic fracturing
occurred.
6) The hydraulic fracturing have propagated along
the pre-exsisting creeping zone, and caused the
slide.
7) The mass above the sliding layer had slid rapidly
onto the unconsolidated sediments and had
stoped after long - distance sliding.
As this mechanism is inferred from geological
evidences, theoretical and experimental study are
needed. Nevertheless, the hydraulic fracturing is
important agent of rapid rock mass slides,
expecially in case of earthquakes.
162
6. CONCLUSION
This paper presents a posible machanism of rapid
rock mass slides by hydraulic fracturing of bedrocks.
Conclusions are as follows:
1)Large-scall rock mass slides along active faults of
the Median Tectonic Line have clay-matrix
brecciated layer as sliding surface.
2) The texture of the clay-matrix brecciated layers is
inferred to have been formed by hydraulic
fracturing of the bedrock.
3)The rock masses had slid rapidly from the fault
scarp, using the clay-matrix brecciated layers as
lubricant layer.
4)The hydraulic fracturing is important agent of
rapid rock mass slides, in case of earthquakes.
ACKNOWLEDGMENT
We thank to Dr. Seiichi Kanayama for useful
comments on the manuscript, and Ms. Miki Kimura
for typing the manuscript.
REFERENCES
Hasegawa, S., 1991. Large-scale rock mass slides along the
fault scarp of the Median Tectonic Line in northeastern
Shikoku, Southwest Japan. Landslides, D.H.Bell (ed.),
Balkema, 119-125.
Hasegawa, S., 1992. Large-scale rock mass slides and
Quaternary faulting along the Median Tectonic Line on the
southern foot of the Sanuki Range in Shikoku, SW Japan.
Mem. Geol. Soc. Japan, No.40, 143-170.
Hasegawa, S., 1993. Large-scale rock mass slides and
Quaternary faulting along the Median Tectonic Line in
Shikoku, SW Japan. Doctor Thesis of Univ., Tokyo: 219
Okada, A., 1968. Strike-slip faulting of late Quaternary along
the Median Dislocation Line in the surroundings of Awa-
Ikeda, northeastern Shikoku. Quaternary Res., 7, 15-26.
Okada, A., 1972. Quaternary faulting of the Median Tectonic
Line fault system in the northwestern part of Shikoku. Bull.
Fac. Litel:, Aichi Pref: Univ., 23, 68-94.
Okada, A., 1980. Quaternary faculty along the Median
Tectonic Line of southwest Japan. Mem. Geol. Soc. Japan,
18: 79-108.
Okada, A., 1992. Proposal of the segmentation on the Median
Tectonic Line active faults system. Mem. Geol. Soc. Japan,
(a). 15-30.
Saito, M., 1962. The geology of Kagawa and northern Ehime
Prefecture, Shikoku, Japan. Mem. Fac. Agri. Kagawa Univ.,
V01.10, 1-74.
 Slope Stability Engineering, Yagi, Yamagami & Jiang 0 1999 Balkema, Rotterdam, ISBN 90 5809 079 5

Evolution of ridge-top linear depressions and a disintegration process

of mountains

Kuniyasu Mokudai
Kyoto University, Uji,
Japan
Masahiro Chigira
Disaster Preventiofi Research Institute, Kyoto University, Uji, Japan

ABSTRACT: A formative process of upslope-facing scarps and ridge-top depressions has been
investigated by the observation, description and measurement of these forms, and geological survey
around a ridge in the Akaish Mountains, central Japan. The ridge is underlain by slate, of whch
cleavage trends with a small angle with the ridge and &ps very steeply in the depth. The
geomorphological features and the geological structure of these forms indicate that these forms were
made by the valleyward bowing of slate and that such deformation is the incipient stage of
hsintegration processes of a mountain that consists of rocks with steeply-&ppingfoliation.

1 INTRODUCTION This paper describes and classlfies the mor-

phological features of scarp topography in the
"Ridge-top depressions", "multiple ridges", and southern part of the Akaish Mountains by
"upslope-facingscarps" have been documented means of interpretation of aerial photographs
in many mountainous areas including Japan and ground survey. Based on the results, we
(we call these forms as scarp topography). The infer the style of slope deformation in t h s area.
scarp topography was sometimes attributed to
periglacial processes (Kobayashi, 1956), but
many recent stu&es attribute it to the gravi- 2 GEOMORPHOLOGICAL AND GEOL-
tational deformation of mountains (Jahn, 1964; OGICAL,SETTING
Zishnsky, 1966; Tabor, 1971; Nemcock, 1972;
Matsuoka, 1985; Evans, 1987; Varnes et al., Study area is a ridge extending NE from the Mt.
1989). Moreover, Chgira (1992) and Chigira Yambushi upstream of the Abe River m g . 1).
and Kiho (1994) reported gravitational
deformation of rock mass that made scarp
topography; steeply hpping foliation bowed
valleyward, leaving scarp topography on the
upper part of a mountain.
The scarp topography has been called in
various names, and its scientificrecognition and
classification are not adequate as yet. Pre-
vious studies about scarp topography focussed
mainly on large-scale features, and its detailed
morphology has been scarcely described. In
addition, its origins and historical development
have not been fully studied in terms of the
combination of surface morphology and internal
geologic structure. Geomorphc processes
caused by rock deformation are thus little
known, while there are many stu&es on
denudation processes of mountains.
Understanding the features of scarp to-
pography and its formative processes is very
important to pre&ct slope movements or Fig. 1.Index map of the survey area.
landslides.
163
Two kdometers to the northeast of the Mt.
Yambush is the Oya-kuzure, one the largest
landslides in Japan.
On t h s ridge and the upper parts of the
nearby slopes, there is scarp topography whch
consists of scarps and linear depressions
aligning in three or four lines. The alignments
trend subparallel to the ridge. The ridge is
underlain by the Paleogene Setogawa For-
mation, which trend N-S and is mainly
composed of sandstone, shale, and slate, with
subordmate basalt, chert, and h e s t o n e
(Sugiyama, 1995).

3 METHODS

To clarify the geomorphological features in the

study area, we made a geomorphological map
by interpreting aerial photographs (1:15000)
and ground survey, paying attention to scarp
topography. A unit of scarp topography con-
sists of upper and lower h c k lines and a scarp
in between. If the scarp inclines in the same
kection with its surroundmg slopes, the unit is
a downslope-facingscarp (Fig. 2). On the other
hand, a unit with a scarp inclining in the
opposite direction is an upslope-facing scarp.
The scarp topography on top of a ridge is
referred to ridge-top depression, because up-
slope or downslope could not be defined there.
In order to characterize the alignments and
morphology of scarp topography, we made
profiles across of the ridge by using a tape-
measure and a hand level. Measured lines
were approximately normal to the trends of
scarp topography in a plan. We performed
geological investigation by mapping and obser-
vation in the field, carefully dstinguishing
stationary rock mass from creeping rock mass;
almost all rock masses in elevations hgher
than creek beds have crept (bowed downslope).
4 RESULTS
4.1 Geomophologcd features
Rgure 3 is a geomorphological map showing
scarp topography, in whch many ridge-top
depressions and scarps trend parallel or sub-
parallel to the main mountain ridge.
The survey area is dwided into two regions
from a geomorphologicalpoint of view. The first
area is around the peak of the Mt.Yambush.
On the northeast side of the peak, there are
some downslope-facing scarps trendmg NW,
while on the southwest side of the peak, there
are some ridge-top depressions parallel to the
downslope-facingscarps.
Fig. 2. Schematic sketch showing the
tei-minologyof scarp topography.
The second area is on the northeast of the
first one, where the ridge top is narrower than
in the first. In t h s area, there are upslope-
facing scarps and ridge-top depressions aligned
along several lines trendmg NE. m s is a
different feature from those in the first area.
Some of the scarps or the depressions are
connected to each other. The top of the ridge in
the second area widens toward the northeast.
Figure 4 shows profiles across the ridge-top
depressions and scarps along the lines shown in
Figure 3. As is seen in Figure 4, top of the
ridge is a wide gentle slope, and the scarp
topography appears on the southeast side of the
ridge almost exclusively. Scarp topography
does not appear in the slopes on the other side
of the ridge. The scarp topography has hgher
scarps in hgher elevations. For example,
along Line 3, the height of the scarp of a ridge-
top depression is 10 m, while the height of the
upslope-facing scarp on slope is about 1 m. In
addition to the height change, scarp topography
changes its sharpness according to elevations,
the scarp tops are more rounded in hgher
elevations than in lower elevations.
4.2 Geologcalstructure
The strata in the survey area consist mainly of
slate with subordmate alternated beds of chert
and slate, and greenstone. These strata strike
N-Sand dip steeply to the west or east. The

164
 Fig. 3. Geomoqhological map of the survey area. See Fig. 2 for legend.
slate has well-developed slaty cleavage whch is
parallel to the beddmg planes in most parts
with some exceptions. T h s slaty cleavage
bowed to the east, downslope, in the surface
parts of almost all slopes on the southeast side
of the ridge from the Mt. Yambushi to the Oya-
kuzure (Fig. 5, Chigira, 1997). Consequently,
the rock mass is fractured extensively by the
shearing along the slate cleavage.
165
5 GEOLOGICAL STRUCTURE AND
FORMATIVE PROCESSES OF SCARP
TOPOGRAPHY
The scarp topography has not been formed by
normal erosion processes, because the trend of
the topography approximately parallels t h e
contour lines, and its upper and lower knick
points is clearly defined. On the contrary, the
scarp topography has a n alignment andrela-
tions with geologic structure, which indicate
 Fig. 4.Proues across scarp topography along lines shown in Figure 3.
t h a t i t h a s been made by g r a v i t a t i o n a l
deformation of rock (Fig. 6). Along the scarp
topography, active tectonic faults could not be
expected because it appears only around the
ridge-top and because strata on one side of the
ridge continue t o the other side across the
topography. On the other hand, it is codrmed
that the strata on almost all the southeast slope
of the ridge bowed to the east. Moreover,
such deformation could form a gravitational
fault whch appear as an upslope-facing scarp,
as has been observed in the landslide scar of the
Aka-kuzure, 10 km west of the Mt. Yambushi
(Chigira and Kho, 1994).
Morphology and heights of scarp topography
probably inhcate a period of its formation as
follows. The top of a scarp is denudated
gradually and its roundness is expected to
166
increase with time. In the survey, area, the
roundness of a scarp in higher elevatioiis is
larger than that in lower elevations as
described before. This difference within an
small elevation interval of about 40 m strongly
suggests that the scarp topography in hgher
elevations is older than that in lower elevation.
In adhtion, the relative height of scarps in
hgher elevations is larger than that in lower
elevations. These geomorphological features
suggest that slope deformation spread out-
wards from the top of the ridge. The shape of
scarp topography also changes laterally along
the ridge in the second area: scarp tops become
more rounded to the northeast, inhcating older
origin.
Downslope-facing scarps in area 1, which
form step-llke landform, are probably made by
 Fig. 5. Geological map of the Survey area. Arrows inchmix the dixection of rock movement mfei-red &om the fold ayes
made by the bowing of slaty cleavage
the translational slide to the northeast leaving
ridge-top depressions on the southwest side of
the Mt. YambusWs peak.
CONCLUSIONS
Ths study clarrfred geomorphological and geol-
ogical features of upslope-facing scarps and
ridge-top depressions on an ridge near the Mt.
Yambush in the Akaish Mountains, whch is
mainly underlain by Paleogene slate with
steeply-hpping cleavage. Following results
were obtained.
167
1. Upslope-facing scarps and ridge-top de-
pressions trend parallel or subparallel to the
ridge, being ahgned in several lines.
2. The top of a scarp in a higher elevation is
more rounded than those in lower
elevations.
3. The relative height of a scarp is larger for the
scarps in hgher elevations.
4.The above two facts strongly suggest that the
scarps and depressions in hgher elevations
are older than those in lower elevations,
indxating that slope deformation extended
from the ridge top outwards.
5. The slope deformation is probably caused the
 Matsuoka, N. 1985. Rock control on the dstri-
bution of linear depressions on the main
divide of Akaishi range, Southern Japan
Alps. Geogz Re%Japan. 58 : 411-427.
Nemcok, A. 1972. Gravitational slope
deformation h g h mountains. International
Geological Congress, 24th Montreal,
Canada, Sec.lj: Proceedngs 131-141.
Sugiyama, Y. 1995. Geology of the northern
Setogawa Belt in the Akaish Mountains
and the formation process of the Setogawa
accretionary complex. Bd. Geol. S m .
Japan. 46: 177-214.
Tabor, R. W. 1971. Origin of ridge-top
depressions by large-scale creep in the
Olympic Mountains, Washngton. Geol. Soc.
Am. Bd.82: 1811-1822.
Varnes, D. J.,Radbruch-Hall, D. H. and Savage,
W. Z. 1989. Topographc and structural
conhtions in areas of gravitational
spreadmg of ridges in the western United
States. U S GeoIogical Survey Professional
Paper, 1496.
Zishnsky, U. 1966. On the deformation of high
slopes. Proc. Cong. Int. Soc. Rock
Mechanics, 1st.2: 179-185. Lisbon.
Fig. 6. Relationshp between scarp topography
and geological structure.

valleyward bowing of slate separated by

steeply-hpping cleavage.

REFERENCE

Chigira, M. 1992. Long-term gravitational

deformation of rocks by mass rock creep.
Engineering Geologv 32: 157-184.
Chgira, M. & Kho, K. 1994. Deep-seated
rockslide-avalanches preceded by mass rock
creep of sehmentary rocks in the Akaish
Mountains, Central Japan. Engheezing
Geolow. 38: 221-230.
Chigira, M. 1997. Large mass rock creep and
possible landslides in the area from the
Oya-kuzure to Yambush-dake. Heisei 9
nendo happyou kai kouen ronbun syuu.
(Proceedngs of amual meethg of Japan
Engneennggeology society) 89-91.
Evans, S.G. 1987. Surface hsplacement and
massive toppling on the northern ridge of
Mount Currie, British Columbia. Geol. S m .
Can. Paper. 87-1A.181-189.
Jahn, A. 1964. Slopes morphological features
resulting from gravitation. Zeit-
Geomorph.,Suppl. 5: 59-72.
Kobayash, K. 1956. Periglacial morphology in
Japan. Bid.PeuyglaqZy 4: 15-36.

168
 Slope Stability Engineering, Yagi, Yamagami & Jiang (c 1999 Balkema, Rotterdam, ISBN 90 5809 079 5

Geological characteristics of landslides of the soft rock type, Central Japan

ABSTRACT: Many landslides of the soft rock type occur in Tertiary or Quaternary formations of the
Japanese Islands, and are divided into three groups. Landslides of the first group, which are often large
in scale, are found in the Neogene "Green Tuff" formations along the Sea of Japan side. Those of the
second group mainly occur in scattered sedimentary basins of Neogene age, partly of Paleogene age, in the
Setouchi area of the central Southwest Japan, and in the Pacific Ocean side of Northeast Japan. The third
group is found in Quaternary sediments, or volcanic pyroclasts. The author discusses geological and
geomorphologic characteristics of landslides of the second group, based on those of the Kobe Group of
Paleogene age, Central Japan.

1 INTRODUCTION of landslides. He pointed out that two kinds of

main geologic factors, lithology and geologic
In the Japanese Islands, a large number of structure of bed rocks, are closely connected with
landslides belonging to the soft rock type are occurrences and movement of landslides. It is
mainly distributed in the Neogene "Green Tuff" indicated that many landslides of the slow slide
formations along the Sea of Japan side, which form type occur in fine clastic sediments, such as
typical landslide areas in Japan. Some characteristic mudstone and fine tuff, in every kind of basement
landslides occur in scattered sedimentary basins of sedimentary rocks.
Neogene or partly Paleogene age in inland areas,
and also in Quaternary unconsolidated sediments or
volcanic pyroclasts.
The landslides of the Kobe Group of Paleogene
age, Central Japan, are typical ones in the Inner
Zone of Southwest Japan, together with those of
the Hokusho area in northern Kyushu. The
author discusses geologic characteristics of
landslides of the soft rock type, different from
those of the "Green tuff" type.
The Kobe Group, which mainly distributed in
the Sanda Basin, north of the Rokko Mountains,
Kobe in Central Japan, is one of the largest
landslide areas in Southwest Japan. This Group
consists of mudstone, sandstone and conglomerate
of lacustrine origin, and is characterized by
numerous tuff beds found in various horizons. Most
of the landslide areas range from 5 to 10 in slope Fig.1 Outline of geology of Kobe and its adjacent
angle, though the Basin forms many hills of 10 to areas (based on Huzita and Kasama, 1983)
20 in slope angle. It is clarified that many 1: Alluvium and Quaternary sediments
landslides occur in slopes with lower slope angle. 2: Kobe Group
On the basis of the fact that occurrences of 3: Basement rocks (pre-Cretaceous formations
landslides are generally controlled by geological with volcanic rocks)
factors, the author proposed the geologic control (S): Sanda Basin

169
2KOBEGROUP sandstone beds dominate the lower part, and
include pebbles or mud balls, intercalating thin
The Kobe Group is mainly distributed in the mudstone beds. The upper part is mainly
Sanda Basin, north of Kobe in central Kinki composed of tuff and tuffaceous mudstone
District, which is a square area with about 22 and intercalating sandstone or conglomerate.
16 km in the East to West and North to South Recently, Ozaki and Matsuura (1988) show that
directions (Fig.1). This Group is composed of the Group is considered to be late Eocene to early
mudstone, sandstone and conglomerate of lacustrine Oligocene on the basis of the fission track age of
origin, and is characterized by numerous tuff beds tuff, and show new stratigraphy of the Group.
found in various horizons. These tuff beds are
useful as key beds in order to clarify the
stratigraphic sequence and geology structure,
though it commonly is difficult to distinguish them
by naked eyes. The stratigraphy has been
established by Huzita, Kasama and their group,
who have been researching it since 1955, by means
of tracing tuff beds in field and the petrographic
study of tuff (Huzita et al, 1971; Huzita & Kasama,
1983). Generally, the Group is dips gently
westward or toward the center of the Basin, except
for several fault and flexure or fold zones.
As the result, the Kobe Group in the Sanda
Basin is divided into Arino, Yokawa and Ohgo
Formations in ascending order. Each formation
is 170 to 190 m’s’ thick, respectively, and shows
sedimentary cycles changing coarse to fine clastic
sediments. Fig.2 and Fig.3 show the modified
stratigraphic sequences of the Kobe Group and the
geological map of the Sanda basin, respectively.
The fu-ino Formation unconformably overlies
the basement rocks composed of rhyolitic to dacitic
lava and pyroclasts of Late Cretaceous to Early
Paleogene age, which are called by the Arima
Group, and of pre-Jurassic clastic rocks. It is
exposed the marginal area of the basin, particularly
distributed its southeastern corner, and mainly
consists of boulder to cobble conglomerate and
sandstone with thin layers of mudstone and tuff.
The Yokawa Formation, which is mostly wide-
spread in central part of the Basin, conformably
overlies the Arino Formation. Well-sorted and
massive sandstone dominate the lower part,
intercalating mudstone and two tuff beds, and
partly containing pebbles derived from the
basement rocks. The upper part, characterized by
tuffaceous facies as a whole, is mainly composed
of mudstone, sandstone and two remarkable tuff
beds. The lower tuff is very conspicuous, hard
and widely traceable, and is considered to be
pyroclastic flow deposits. In the upper most part,
thick sandstone beds with pebbles and mud balls Fig.2 Compiled columnar section of the Kobe
are dominant. Group (based on Huzita and Kasama, 1983)
The Ohgo Formation, mainly occupied west side 1: Tuff 2: Tuffaceous mudstone 3: Mudstone
of the Basin, overlies the Yokawa Formation with 4:Tuffaceous sandstone 5: Sandstone
slight disconformity, and is unconformably covered 6: Tuffaceous conglomerate
by the Osaka Group of Quaternary age, and several 7: Conglomerate (well-sorted)
terrace beds. Thick massive and well-sorted 8: Conglomerate (poorly sorted angular gravels)

170
Fig.3 Geologic map of the Sanda Basin and distribution of landslides
1: Alluvium, low and middle terrace deposits
3: upper part of the Ohgo Formation
5: upper part of the Yokawa Formation
7: Arino Formation
9: fault
The surround area with black line shows one
3 GENERAL REMARKS OF LANDSLIDES
Generally, the Sanda Basin shows hilly topography.
The relative relieves are commonly small, showing
below about 100 m. The inclination is also
gentle, and most of the slopes in the Basin are
between 5 and 20 in slope angle.
According to Huzita and Kasama (1983), Fujita
(1984 & 1994) and Ishida et a1 (1975, 1976, 1977
& 1985), main features of landslides of the Kobe
Group are summarized as follows:
By slope analysis (Fujita, 1984 & 1994), many
landslide areas show 10 to 15 in slope angle, and
it is clarified that many landslides occur in slopes
with lower slope angle than with higher one.
Then, landslide areas are so gentle and high in
content of water that they mostly use as rice fields.
Landslides of the Kobe Group are commonly
found in found in mudstone or fine tuff beds. Its
sliding mass is mainly composed of soft, light
brown or gray colored, ill-sorted and massive
debris deposits with angular to round cobble or
2: Osaka Group and high terrace deposits
4: lower part of the Ohgo Formation
6: lower part of the Yokawa Formation
8: Basement rocks (mainly Mesozoic Rhyolite)
1 0:landslide
of the Fig.4
pebble, partly boulder, derived from mudstone, tuff
and sandstone of the Kobe Group. The matrix
mainly consists of viscous clay or silt, partly sand,
including abundant clay minerals, such as
montmorillonite. This is called a "debris and soil
bed." On the other hand, some of the masses
consist of weathered fine clastic rocks, partly
coarse clastic rocks of the Kobe Group.
The size of a sliding mass, which consists of
"debris and soil bed," is generally 10 to 50 m in
width, 50 to 300 m in length, 5 to 10 m in
thickness. The average volume is estimated to be
4 x 104m3. Though a sliding mass is small in
scale, a large new one is often formed, combining
several sliding masses. A sliding mass composed
of rock masses is usually large in scale, showing
300 to 500 m in width, 300 to 1,000 m, 5 to 30 m
in thickness, and 5 x 106m3 in average volume.
Most of the landslides show the slow slide type
of movement. The displacement is usually less
than 10 cm a year, but the movement is often
continuous. Particularly, the movement of a
171
landslide composed of rock masses is very slow,
namely the slow slide or creep type, and is
continuous. Some landslides show the rapid slide
one, but are commonly small in scale.
A primary sliding surface is generally found on
an unconformity plane between a "debris and soil
bed" and each formation of the Kobe Group. It
forms a soft clay layer with the thickness of 5 to
10 cm, and is very viscous and high content of
water, including abundant montmorillonite. Some
of the surfaces are formed in mudstone or fine tuff
beds of the Kobe Group, and large-scale landslides
often occur. The secondary one is often found
within the bed, and smaller landslides occur.
4 GEOLOGIC CONTROL OF LANDSLIDES
4.1 Lithological Control
On the basis of the fact that occurrences of
landslides are generally controlled by geological
factors, the author discussed the geologic control of
landslides (Fujita, 1987). He indicated that two
kinds of main geologic factors, lithology and
geologic structure of the Kobe Group, are closely
connected with occurrences and movement of
landslides, and calls them the lithological and
structural control, respectively. Generally, it is
indicated that many landslides of the slow slide
type occur in fine clastic rocks, in every kind of
bedrock of sedimentary origin.
Fig.4 shows the geological map with the
distribution of landslides of the slow slide type in
the Ohgo area, which locates in the southern and
central Basin. This area is well known to be one
of the most typical landslide areas in the Kobe
Group. On the map, the Kobe Group is divided
into two kinds of lithofacies, namely fine clastic
rocks composed of mudstone and fine tuff, and
coarse clastic rocks composed of sandstone,
conglomerate and coarse tuff. The former rocks
are soft, weak and low in strength, and form many
gentle slopes with large slope length. On the other
hand, the latter are hard and high in strength, in
comparison with the former ones. Therefore, the
hard rocks form relatively steep slopes over 20 in
slope angle, and landslides of the rapid slide or fall
type occur. In general, they calls slope failures,
and these are not shown in the figure, because of
small in scale
As Fig.4 clearly shows, most of landslides
belonging to the slow slide type are found in soft
and fine clastic rocks. From the fact, it is pointed
out that fine clastic rocks show tendencies to form
sliding surfaces, because of including abundant clay

Fig.4 Geological map and distribution of landslides in the Ohgo area

1: Alluvium 2: Landslide 3: Conglomerate and sandstone of the Kobe Group
4: Mudstone and tuff of the Kobe Group 5 : Mesozoic Rhyolite 6: Fault
0: Ohgo S: Kita-Sou0 H: Higashihata M: Mikage K: Kohda

172
Fig.5 Schematic cross sections of landslide areas
-
(A) L1 L: Landslide ( LI: Old landslide, L2: Active landslide, L: Landslide of the rapid slide type)
H: Hard rock S: Soft rock SF: sliding surface
(B) SS: Sandstone (hard rock) MS: Mudstone (soft rock)
L: Landslide of the slow slide type C: Landslide of the rapid slide type (L3 type)

minerals, particularly montmorillonite. Therefore,
many landslides occur, and are often large in scale.
They move on slopes slowly and continuously.
In this area, the action of groundwater is closely
related to form a sliding surface. Though the
movement of groundwater is complex, two types of
movement are proved. The first type is one of the
shallow groundwater through relatively thin "debris
and soil beds," 2 to 5 m under the ground surface.
This type of groundwater is closely related to
rainfalls. The second type shows groundwater
moving in weathered strata of the Kobe Group
about 10 m deep, and has a slight relation to
rainfalls.
4.2 Structural Control
The author proposed three structure type of
landslides; the "Nagareban," "Ukeban" and
"Yokoban" types (Fujita, 1987). Many landslides
show the "Nagareban" type, whose sliding mass
moves along the dip direction side of a bedding
plane. On the other hand, landslides of the "Uke-
ban" type move toward reverse side of the dip
direction of the plane, and the "Yokoban" type are
the strike slide one.
Fig.5 shows two schematic cross sections of
landslide areas in this area. These sections
indicate that soft and fine clastic sediments, mainly
mudstone, form gentle and long slopes, and that
most of the landslides occur on these slopes.
These belong to the "Nagareban" type, and are
commonly large in scale. Particularly, sliding
masses composed of rock masses belong to this
type. These facts indicate that a main sliding
surface forms along a bedding plane.
Hard and coarse clastic rocks, mainly sandstone
or conglomerate, form relatively steep slopes with
short slope length, and a few landslides of the
collapse type occur, showing the rapid slide type of
movement, or sometimes the fall type. These are
commonly small in scale, and belong to the "Uke-
ban" type. In this area, a small number of
landslides belonging to the "Yokoban" type are
found, and are commonly small in scale.
In Fig.5, the upper figure (A) shows the relation
between occurrence of landslides and bedding
planes of sedimentary strata with low dips less than
about 5 O . On very gentle and long slopes parallel
to bedding planes, many landslides of the "Nagare-
ban" type occur. Some of these old landslides
are found on the end of slopes with about 5 in
slope angle, and are stable at present. Present active
landslides occur on relative steep slopes with about
10 in slope angle. Some small-scale landslides
of the collapse type occur on slopes of the opposite
side. These lanclslides show the movement rapid
slide type, and most of them are distributed in
central part of the Sanda Basin.
On the other hand, the lower figure (B) shows
typical cuesta topography, and landslides belonging
to the "Nagareban" type occur on these slopes with

173
about 10 O in slope angle. Many landslides show
this type, and move slowly and continuously.
These landslides are mainly found around the
central Sanda Basin. It is pointed out that the
ridge in the upper figure was eroded out, and
topography of the lower figure has been formed.
Many landslide areas of the slow slide type form
gentle slopes and are used as rice fields, because of
keeping a large quantity of water. However, those
of other types are difficult to be used as rice fields
or farm, because of steep slopes.
5 CONCLUSION
In Japan, many landslides of the soft rock type are
found in Cenozoic formations. In Central Japan,
the Kobe Group in the Sanda Basin is one of the
most typical sedimentary formations of Cenozoic
age, and includes many active landslides, which
show the slow slide type of movement and are
usually small in scale. The geologic and
geomorphologic characteristics of the Kobe Group
and the landslides are as follows:
1. The Kobe Group consists of three formations,
and landslides are found in the Yokawa Formation,
which is widely distributed and shows tuffaceous
lithofacies as a whole.
2. The Kobe Group forms hills or hilly lands
lower than 20 O in slope angle. Generally, the
landslide areas form gentle slopes between 8 O and
12" in slope angle.
3. Many landslides are composed of "debris and
soil" beds, derived from the Kobe Group,
including other basement rocks, mainly Mesozoic
Volcanic rocks and partly Paleozoic rocks. Some
landslides consist of rock masses.
4. As Fig.4 shows, most of the landslides occur
in fine clastic sediments, namely mudstone or fine
tuff. This fact indicates the lithological control of
landslides. On the other hand, small-scale
landslides of the rapid slide type occur in coarse
and hard clastic sediments, namely coarse
sandstone and conglomerate.
5. The fine clastic sediments are generally soft
and weak, and include abundant clay minerals,
such as montmorillonite. Accordingly, these
easily form sliding surfaces for landslides.
6. As Fig.5 shows, many landslides are
controlled by bedding planes of strata of the Kobe
Group, and slide along the dip direction side of the
planes. This is the typical structural control of
landslides, and this type is called the "Nagareban"
type. Generally, a sliding surface is formed along
a bedding plane.
7. On the other hand, most of the landslides
belonging to the rapid slide type show the "Uke-
174
ban'' type, which occur in coarse clastic sediments,
in contrast to the former type.
REFERENCES
Fujita, T., 1984: Slope analysis of landslides of the
soft rock type in Kinki, Southwest Japan. Proc.
3rd Inter. Symp. Landslides, Toronto, 2, 75-80.
Fujita, T., 1987: Geologic features of landslides in
Japan. Proc. China-Japan Field Workshop on
Landslides, Xian - Lanzhon, 61-68.
Fujita, T., 1994: Characteristics of landslides in
Southwest Japan based on slope analysis. Proc.
7th Inter. IAEG, 3, 1415-1424.
Huzita, K., Kasama, T., Hirano, M., Shinoda, T. &
Tanaka, M., 1971: Geology and geomorphology
of the Rokko area, Kinki district, Japan, with
special reference to Quaternary tectonics.
Jour. Osaka City Univ., 14, 71-124.
Huzita, K. & Kasama, T., 1983: Geology of the
Kobe district - Quadrangle series, scale
1:50,000. Geol. Surv. Japan, 115p. (in
Japanese with English abstract).
Ishida, Y., & Nishiura S., 1975: Studies of
landslides of agricultural land in Kobe Group,
Tertiary deposit (Part.1). Jisuberi (Landslide),
12(3), 17-23. (in Japanese with English
abstract).
Ishida, Y., Imamura, H., Abe A. & Tomoto S.,
1976: Studies of landslides of agricultural land
in Kobe Group, Tertiary deposit (Part.2).
Jisuberi (Landslide), 13(3), 33-39. (in Japanese
with English abstract).
Ishida, Y., Kawahara, T. & Kunugi, Y., 1977:
Studies of landslides of agricultural land in
Kobe Group, Tertiary deposit (Part.3).
Jisuberi (Landslide), 14(3), 15-21. (in Japanese
with English abstract).
Ishida, Y., Ozaki, E. & Sakane, I., 1985: Studies
of landslides of agricultural land in Kobe
Group, Tertiary deposit (Part.4) & (Part.5).
Jisuberi (Landslide), 21(4), 18-28.; 22(1),
7-17.
Ozaki, M. & Matsuura H., 1988: Geology of the
Sanda district, with geological sheet map at
1:50,000. Geol. Surv. Japan. 93p. (in Japanese
with English abstract).
 Slope Stability Engineering, Yagi, Yamagami & Jiang 0 1999 Balkema, Rotterdam, ISBN 90 5809 079 5

Study of configuration, scale and distribution of landslides

S.Ueno
OYO Corporation, Omiya,Japan

ABSTRACT: Configuration and scale of general landslides from the reality of existing landslides were studied,
and as an example on study of landslides in the mountainous aria of Shikoku was given. The results of this study
are summarized as follows:
1)As for the form of landslides, depth and width of landslides show a good correlation.
2)As for the scale of landslides, as a slope becomes steep scale of landslide becomes small.
3)In the mountainous area of Shikoku, the older geomorphic surface showed gentler slope and thicker
weathered zone, and landslides are distributed over such place.

1 INTRODUCTION 2 CONFIGURATION AND SCALE OF

LANDSLIDES
It is very important to understand configuration and
scale of landslide, as well as dynamic condition, in an 2.1 Configuration of Landslides
investigation of actual condition of a landslide and
design of countermeasures. Even if whole structure The author defines the configuration properties of
of landslide cannot be identified, rational landslides from Figure 1 as follows:
investigation and countermeasures can be Width of landslide 0 : m a x i m u m width of
programmed in early stage of landslides, if general landslide
tendency of landslides can be recognized by Depth of landslide@):maximum depth of slide
estimating one of configuration properties, namely as plane in vertical direction
slide width, length, and depth, of landslide(Tab1e 1). Length of landslide(L):distance between the head
For this purpose, it is necessary to clarify the and toe of landslide
relationship between each property from analysis of Slope angle(P):inclinationof line between the head
features of existing landslides. From this point of and toe of landslide to a horizontal direction
view, the author has been investigating the
relationship between scale of landslides and
configuration or slope angle, based upon 52 examples,
in which actual conditions such as sliding extent or
depth were known.
In this process, the author came to recognize a
specific relationship between scale of landslides and
geomorphic surface condition. The author also
carried out geomorphological analysis in a part of
mountainous area in Shikoku, and studied dominating
conditions in the scale and distribution of landslides.
Fig. 1 Terminology to define the form of landslide

175
 Table 1 Geometric data measured for landslides
Width Depth Length Slope angle
Na Location Geology
W(m> D(m> B ("1
1 Ehime P(gr) 200 30 190 16
2 Kochi P(gr) 135 23 340 15
3 Kochi P(gr) 135 19 210 20
4 Fukuoka P(sch) 60 10 34 30
5 Wakayama P( sch) 90 13 210 14
6 Kochi P( sch) 125 19 130 30
7 Fukuoka P( sch) 50 6 60 33
8 Kochi P( sch) 30 6 40 29
9 Kochi P(sch) 70 14 77 26
10 Kochi P( sch) 60 15 92 26
11 Kochi P(sch) 60 16 85 25
12 Kochi P( sch) 95 18 83 29
13 Kochi P( sch) 270 38 260 28
14 Kochi P( sch) 230 23 510 20
15 Kochi P( sch) 300 30 250 23
16 Kochi P( sch) 130 20 220 24
17 Kochi P( sch) 50 8 70 32
18 Kochi P(sch) 70 8 55 30
19 Kochi P( sch) 55 7 40 29
20 Kochi P(sch) 80 8 75 25
21 Kochi P( sch) 60 6 70 38
22 Ehime M(ms,ss) 120 30 280 32
23 Hyogo M(ms,ss,tf) 80 14 65 25
24 Saga T(ms,ss) 80 15 165 15
25 Saga T(ms,ss) 40 10 40 26
26 Osaka T(ms,ss) 300 39 185 11
27 Saga 30 9 35 30
28 Saga T(ms) 50 7 35 31
29 Oita Utf) 180 27 230 14
30 Saga T(ms,ba) 130 23 190 15
31 Saga T(ms,ba) 80 13 65 17
32 Saga T(ms,ba) 35 9 40 30
33 Saga T(ms,ba) 160 14 110 16
34 Saga T(ms,ss,ba) 170 19 160 10
35 Saga T(ms,ss,ba) 80 11 110 15
36 Saga T(ms,ss,ba) 40 8 45 16
37 Osaka Q(W) 50 5 80 15
38 Osaka Q(CJ) 70 8 110 13
39 Osaka Q(W) 55 10 140 15
40 Osaka Q(c,s,g) 50 9 38 28
41 Nara P(S1) 200 25 225 28
42 Hyogo P(s1) M(wtf,dk) 300 30 300 23
43 Kochi P(SP,Sl,SS) 200 40 900 15
44 Nagano T (t f, cg ) 300 40 160 12
45 Yamagata T(ms,tf,tf) 350 40 400 15
46 Hokkaido T(ms,tf,ba) 350 50 750 15
47 Nagano T(ms,ss,dk) 350 60 250 22
48 Nagano T(ms,ss,tf) 200 40 800 8
49 Nagano T(ms,ss) 210 55 600 10
50 Toyama T(ms,ss,tf) 250 40 900 10
51 Osaka T(ms,ss,tf,tb) 300 60 800 10
52 Akita , T(tf),Q(an,c,s) 370 69 675 14

P: Palaeozoic, M: Mesozoic, T: Tertiary, Q: Quarternary, gr :green rock, sch: schist,

sl; slate, sp: serpentinite, ms: mud stone, ss: sand stone, cg:conglomerate, tf: tuff, ba: basalt,
dk: dyke, wtf: welded tuff, tb: tuff breccia, an: andesite, c: clay, s : sand, g: gravel

176
Ratios between each configuration property are
defined as follows.
Surface configuration ratio0;NV):ratio of length of
landslide to width
Transverse configuration ratio(W/D):ratio of width
of landslide to depth
Longitudinal configuration ratio(L/D):ratio of
length of landslide to depth
From the analysis of transverse configuration ratio,
the relationship between depth of landslide and width
is shown in Figure 4. A good correlation was found,
and the values of transverse configuration ratio(W/D)
range within 4- 10. Especially, for the landslides with
width grater than 2 1Om, W/D range within 5- 10, and
correlation between W and D becomes better.

The values of surface configuration ratio, LMr,

range within 0.5-3.0 from the result of analysis
(Figure 2). However, in the case of landslides that
have been active in long time, this value is often
greater than 2.5 in Japan, because of expansion of
landslide upward or downward. The Chausuyama
landslide in Nagano (L=800m, L/W=4), and the
Choujha landslide in Kochi (L=900mYL/W=4.5)
represent such long and narrow landslides in Japan. In
these landslides, the sliding block dose not move as a
single block, because the sliding block is divided into
several blocks, and each small block moves
independently. So, for the unit sliding block, the value
of LMr is supposed to fit within the range given here.
For longitudinal configuration ratio, the values of
L/D range within 4-15 as is shown in Figure 3.
However, in some examples, the value of L/D
exceeds this range because of same reason as surface
configuration ratio.

Fig.2 Relationship between width and length of Fig.4 Relationship between depth and width of
landslide. landslide.

177
2.2 Scale of Lanaklides
The relationship between slope angle@) and depth of
landslide(D) is shown in Figure 5. Most data spread
lower than the solid line in this figure. This result
shows that depths of landslide tend to be smaller in
steep slopes. The author considers that, in steep
slopes, because of erosion caused by small scale
failure, thick unstable formation, such as weathered
zone or talus cannot remain for long period in the
process of weathering.
The relationship between slope angle@) and
transverse configuration ratio(W/D) is shown in
Figure 6. From this figure, most data spread lower
than the solid line in this figure. This result shows that
both maximum and minimum value of transverse
configuration ratio tend to be smaller, when slope
angle becomes steeper. Considering this result along
with the above mentioned relation between slope
angle and depth, scale of landslide becomes smaller as
the slope becomes steeper.
Fig.5 Relationship between slope angle and depth of
landslide.
3. GEOMORPHOLOGY AND DISTRIBUTION
OF LANDSLIDES
In the topography with remarkable upheaval of
ground, knick lines that correspond to the edge of the
past geomorphic surface can be recognized in many
cases.
Fig.6 Relationship between slope and transverse
configuration ratio.
In general case, several knick lines divide
geomorphic surface, and geomorphic surface in
higher elevation can be considered as older surface
with smaller influence of present erosion. And
focusing on the river bed profile, there are some steep
zones (fast stream zones) corresponding with knick
lines, and location of these zones is in a line with
knick lines.
An example of geomorphological analysis focusing
on knick lines is shown Figure 7. River bed profile of
this area is shown in Figure 8. In this profile,
Yoshinogawa river and its branch are shown with the
base point at Ikeda dam that is located 30km down
stream from the study area, and the lower terrace
along Yoshinogawa river is also mentioned. As is
clearly shown in this figure, fast stream zone can be
identified in branch river, and it is easy to compare
each terrace to the past geomorphic surface.
The relationship between distribution of landslides
and geomorphic surface can be understood from
classification of geomorphic surface with river bed
profile. Geomorphic surface in this area can be
classified into the following five types:
Type 1:Gentle slope with peak that forms ridge
distributed higher than EL. 700m.
Type 1I:Surface with erosion by lower surface I11
distributed between EL. 500-800m.
Type 1II:Surface that forms gentle slope from EL.
300-500m, on which many villages or paddy fields
are located.
 Fig.7 Geomorphologicalclassification map

Fig.8 Profiles of river bed of the Yoshinogawa

River and its branch rivers

Type 1V:Surfacethat is distributed between EL. 100-

400m and growing along river. The ancient river bed
when surface IV was formed is the connection of
terraces shown Figure 8.
Type V:The newest geomorphic surface that is
distributed along the main stream of Yoshinogawa

179
river. This surface corresponds to steep valley slope 3) If the slope angles of geomorphic surface are
lower than EL. 2 0 0 4 and many rock outcrops are same with each other, weathered zone develops
exposed. thicker in older surface, and larger landslide
tends to occur in older surface. Landslides with
4. WETHERING CONDITION AND similar scale tend to be distributed in the same
GEOMORPHOLOGICAL SURFACE surface.

Figure 9 shows the result of borings that were drilled REFERENCES

on geomorphic surface III,IV, and V. Geology in this
area mainly consists of metamorphic rocks with partly
distributed sedimentary rocks in south area.
From the result of boring on surface 111, thick layer
of colluvial deposit about 20m is distributed in
surface zone. Tuff breccia formation under colluvial
deposit is weathered to depth about 35m and forms
heavily weathered zone.
From the result of boring on surface IVY the
thickness of colluvial deposit is several meters.
Crystallin schist under colluvial deposit is weathered
to depth 23m and forms heavily weathered zone.
From the result of boring on surface V, surface
layer consists of terrace gravel that was river bed
deposit when surface V was formed. Sandy schist
layer is relatively fresh, and is not weathered to deep
zone.
As is shown above, thicker weathered zone is
distributed in upper zone of slope, that was formed
earlier, and it seems to have been caused by
weathering in long term.
D.Higaki 1992. Slope Evolution Processes of the
Choja Landslide, Southwest Japan, Landslide
29(2): 12-19
N.Oyagi, H.Ikeda 1998. Landslide Structure and
Regional Perspective on Sumikawa Landslide at
Hachimantai Volcanic Area, Northern Honsyu
Japan, Landslide 35(2): 1- 10
S. Ueno, H.Tamura 1992. Study of configuration,
Scale and Distribution of Landslides, OYO
technical report No 14: 1- 13
T. Kamai 1989. Movement Patterns of the
Ogawamura-Sodechi Landslide in Nagano,
Central Japan, Landslide 26(2): 1-8

5. CONCLUSION

Following are the result of this study.

1) About configuration of landslides, depth of
landslide@) and -width of landslide0 show
good correlation. And, transverse configuration
ratio(W/D) ranges between 4-10. From this
result, if width of landslide(W) observed, depth
of landslide can be estimated, or, on the other
hand, if thickness of unstable soil layer can be
observed, surface extent of landslide can be
estimated. These estimations can be utilized in
planning of investigation or countermeasures.
2) From relationship between slope angle@) and
depth of landslide(D), it is shown that if slope
angle becomes steeper, the maximum of depth
becomes smaller. It shows that in steep slope,
unstable soil layer cannot remain for a long
period, and large scale landslide is hard to form.

180
 Slope Stability Engineering, Yagi, Yamagami & Jiang 0 1999 Balkema, Rotterdam, ISBN 90 5809 079 5

Geodynamics and spatial distribution of properties of sea cliff colluvium

Eugeniusz Dembicki & Wieslaw Subotowicz

Environmental Engineering Faculty, Technical University of Gdaksk, Poland

ABSTRACT: In the paper three basic types of cliffs are presented and described, namely: slope wash, earth
fall and landslipe cliffs. The spccial attention is paid to the slope wash cliff type and particularly to the
geodynamics of its colluvium. Additionally, numerical kinetic model describing the process of internal
alteration of colluvium into its homogeneous form is presented.

1. INTRODUCTION Observed on cliffs landslides phenomena are

Along almost 500 kilometres of Polish coastline one
can distinguish two main types of coast: cliffs and
dunes (Fig.1). Cliff coast spreads out over a total
distance of 100 km whereas dune coast covers 400
km. In both cases the coast can be divided into three
basic elements: near-shore, beach and upper part of
coast which in the case of the first type are cliffs
(Subotowicz, 1982). The paper is devoted to the
description of this coast element and particularly the
properties and geodynamics of its colluvium.
strictly connected with its geological structure.
Additionally, in the landslide development an
important role plays presence of groundwater which
mostly occurs on the cliff slope in the form of
seepage springs.
Long-term observations of the geodynamical be-
haviour of cliffs allowed the distinguishing of three
main types of cliffs (Subotowicz, 1982), ( Fig. 2):
A. Slope wash type
B. Earth fall type
C. Landslip type.

Slope wash cliff is characterised by sandy

2. GEODYNAMICAL TYPES OF CLIFF
Cliffs of Polish coast are built of Pleistocene
formations which are mainly represented by moraine
clays and intermoraine deposits. The second ones
consist of gravel, sands, silts and stagnant clays.
Sometimes one can also meet formations of older
age such as glacial detached blocks.
formations exclusively. Abrasive sea activity causes
immediate slope wash of these formations. In this
case, an inclination of a slope is very close to an
angle of natural slope. Cliff colluvium is built of
sandy cones.
Earth fall cliff is forrned of soils with high strength
parameters, such as loams and highly compressed

Fig. 2 Geodynamical types of cliffs. 1 - ,moraine

clays; 2 - intermoraine sandy formations; 3 -
stagnant silts and clays. Age of formations -
Fig. 1 Scheme of Polish coast Pleistocene.

181
clays. In this case, an inclination of cliff slope is
usually almost vertical. Earth fall occurs due to
abrasive sea activity undercutting a toe of cliff
together with destructive activity of tree roots and
frozen water in the cliff fissures.
Landslip cliff is characterised by soil landslipes.
The landslipes are related to differentiated
geological structure and groundwater. As in
previous cases the direct initiation of cliff
development comes here from sea abrasion,
however significant role in this process play so
called land factors (e.g. geological conditions, flow
of groundwater supplied additio-nally by leakage
from water supply installations located in the nearest
vicinity of cliff crest etc.). Both, sea and land factors
cause that the cliff slope becomes more steep
worsening global equilibrium conditions what
finally may lead to a loss of cliffs stability and
subsequently a landslide occurs which is usually of
structural character. Such character is caused by the
fact that potential failure surface initiating the
landslide phenomenon runs along top of stagnant or
moraine clays. The surface develops progressively
upwards being tangent to the top of these deposits,
forming cylindrical shear surface which becomes a
border between soil masses displaced and the
undisturbed subsoil. The displaced soil mass forms a
colluvium which immediately after landslide starts
to undergo its own geodynamical processes different
from the rest of a matrix bed.
left to it there was much younger landslip denoted as
Landslide I1 which occurred in 1986 forming
younger colluvium. Thus both cliff parts represent
two different kinds of colluvium characterised by
different stages of dynamics process. These different
phases of dynamics acting on the two colluvium
caused changes in spatial distribution and in
lithologic composition of individual layers. Such
conclusion has been derived on the basis of
exploratory borings and SPT (Standard Penetration
Tests) tests analysis. The depth of boreholes was not
exceeding 6 m. Additionally, in order to measure
displacements of colluvium surface by standard
survey methods near every boring the settlement
points have been installed. The survey
measurements were carried out in the period from
1994 to 1997, (Czarnecki, 1998).
The borings and SPT tests analysis allowed also a
determination of colluvium thickness and the depth
and shape of slip surface.
In both landslide cases colluvium was built of
much less compacted soils comparing to the original
subsoil. Due to high saturation of colluvium clayey
soils were plastic or even highly plastic. In many
cases such high saturation of colluvium prevented
its drilling through thus the floor of it was being
determined from SPT tests. It has been found that
the border between natural subsoil and displaced
masses of soil is reached at 35 blows on every 10 cm
of driven drill rode.

3. BASIC ASSUMPTIONS OF INVESTIGATION

PERFORMED

The investigations of colluvium have been

performed in the Jastrzqbia G6ra cliff (Fig. 1). The
failure surface which had initiated landslide run
along the roof of stagnant clays of varvedlike type
called glacial-limnical clays (Fig. 3). They form cliff
toe with well developed abrasive scar. The
colluvium had been created due to displacement of
two moraine clay layers separated by intermoraine
sands. In both formations i.e. in intermoraine sands
as well as in interstratified sandy and silty beds
within clayey subsoil one can find groundwater.
Displaced “en block” part of cliff which had
become cliff colluvium preserved its original
structure corresponding to undisturbed cliff subsoil
only immediately after the landslide.
In Fig. 4 is shown a landslide denoted as Landslide
I which had developed on the turn of XIX and XX
century. The colluvium formed due to this landslip
process can be then recognised as old one. On the Fig. 4 Overview of Jastrzqbia Gora cliff.

182
 Quarterly performed survey measurements have
shown that the colluvium is being non-uniformly
displayed in time. The colluvium movement is
characterised by periods of different displacement
velocities. The differences may range between 20-30
cm withir, three years observation period. Thcy are
mostly caused by various configuration of colluvium
subsoil and varying intensity of water supply.
Additionally, zones of faster movements are located
in the areas of relatively large colluvium thickness
what causes smaller influence of a subsoil on the
movement.
It has to be noted that periods of higher
movement activity of colluvium and worsening soils
strength take place during spring periods and not in
autumn-winter months. It means that dynamics of
colluvium is much more influenced by groundwaters
instead of rainfalls.
Older Landslide I is characterised by thinner
colluvium and higher plasticity of soils. It results
from higher progress of colluvium homogenisation
process comparing to the Landslide 11. The
differences of a shape of failure surfaces can be also
seen. The slip surface of older landslide is much flat
and less declined whereas in the second case
cylindrical shape of the surface is much classical.
Czarnecki, 1998 has elaborated the numerical
mo-del allowing the analysis of colluvium
displacements and interpretation of the results
obtained with regard to deeper colluvium parts. The
numerical code incorporates soil resistance data
provided from SPT tests. Typical data of this type
are shown in Fig. 5.
Fig. 5 Diagram of soil resistance and displace-
ment of the colluvium
183
4. LITODYNAMIC AND GMNULOMETRIC
CONDITIONS OF COLLUVIlJM DYNAMICS
Advanced dynamics of older Landslide I (see Fig. 6a
- cross-seclion A-A) has caused clear litodynamic
stratificatiori within the colluvium area. Successive
colluvium movement downwards cliff slope
together with rainfall waters infiltrating into a
subsoil and groundwaters caused that original layers
of displaced "en block" soils underwent and
continuously undergo the progressive process of
alteration. The movement of individual layers
(larger in the upper cliff part and smaller in the
lower one) contributed to the decrease of thickness
of original layers and to the formation of new ones.
Subsequently, the new, qualitatively different
colluvium subsoil has become homogeneous,
(Wilski, 1997). However, it is not the arbitrary
mixed structure but multilayered and flaggy spatial
structure characteristic for gravitational flows,
(Gradzinski et al., 1976). Such structure has been
confirmed by both the description of soils drilled
through the colluvium as well as by grain size
distribution analysis. It has to be noted that the latter
is an important feature allowing the assessment of
grading, deposition and permeability of soils. These
processes can indirectly serve for description of
geological environment in which the deposits were
formed.
Sampling for the laboratory analyses was being
done every 0.5 m of exploratory boring. The
homogenisation of colluvium together with its lower
border can be seen in Fig. 6 - cross-section A-A.
The latter runs along slip surface localised on the
roof of glacial-limnical clays. Lower colluvium part
near abrasive scar can be subjected to the secondary
landslip forming secondary colluvium consisting
partially of older clayey subsoil (Fig. 6), (Czarnecki
and Subotowicz, 1994).
5 . INFLUENCE OF GROUNDWATER ON
GEODYNAMICS OF COLLUVIUM
Colluvium of both analysed landslides are highly
saturated. Larger thickness of younger Landslide 11
colluvium and higher inclination of slope surface
cause that groundwater table occurs quite deep
within colluvium mass, sometimes several meters
be-low the soil surface. In the case of Landslide I1
which is characterised by the essentially smaller
volume of colluvium and little slope surface
inclination ground-water table is situated much
higher, not exceeding 2 m depth in the upper cliff
part and reaching around 1 m going downwards.
 Fig.6a Jastrzqbia Gora cliff colluvium - A - A cross-section.

Fig.6b Jastrzqbia Gora cliff colluvium - B - B cross-section.

Locally, groundwater was found near colluvium
surface (Fig. 6).
There are three main sources of water supply. The
first one is related to land supply coming from
intermoraine aquifer. Its waters have direct contact
with colluvium and occur in the form of seepage
springs on the slope of landslide scar and
consequently flow and infiltrate inside the
colluvium. Second source are rainfall and melt
waters, which also directly supply the colluvium.
The third source are w-aters existing in cliffs
undisturbed subsoil mostly in glacial-liinnical clays
and particularly in interstratified sandy and silty
beds. They exist as confined groundwaters with its
stabilised piezometric head at the colluvium level.
They are hydraulically connected with colluvium
waters and due to its confined character are source
of additional supply.
Continuous saturation of colluvium causes that
its soils are permanently wet. It subsequently
worsens strength parameters of these soils what
induces dynamical gravitational processes.

184
6. SUMMARY
In the paper soil and water conditions of colluvium
of Jastrzqbia Gora cliff and its influence on
dynamics of cliff have been analysed.
The colluvium soils are characterised by high
saturation and are subjected to continuous dynamic
process occurring in the form of permanent flow
downwards the cliff slope. This process induces
internal alteration of colluvium itself. It finally leads
to the new qualitative structure of the homogenisa-
tion character, (Wilski, 1997).
Grain size distribution and lithologic analyses
performed, assessment of hydrogeological
conditions existing within colluvium and SPT tests
together with the measurements of colluvium
movements were the basis for assumption to treat
the colluvium as uniform liquid-plastic material,
(Dembicki et al., 1998). The assessment of
colluvium properties together with the above
assumption served for construction of numerical
kinematic colluvium model. The model has
incorporated the assumption of uniform
displacements of colluvium along its depth. It
enabled making use of survey measurement of
colluvium surface movements for verification of the
model. They are dependent on soil resistance
measured during in situ soil investigations in terms
of SPT tests Fig. 5).
The analysis presented can serve for better
assessment of colluvium properties and its influence
on the dynamics of cliff leading to the better
understanding of the processes governing the
behaviour of this coast structure.
At this stage of analysis the interpretation of the
influence of blows on the strength parameters of
colluvium soils is not possible.
Dembicki E., Sobocinski G., Subotowicz W. and
Czarnecki J. 1998. Spatial distribution of
properties of Jastrzqbia G6ra cliff colluvium, (in
Polish, Przestrzenny rozklad wlaSciwoSci
koluwium klifowego w Jastrzqbiej Gorze),
Iniynieria Morska i Geotechnika, 5 : 241 -248.
Gradzinski R, Kostecka A., Radomski A., Unrug R.
1976. Sedimentology, (in Polish,
Sedymentologia), Wydawnictwo Geologiczne,
Warszawa.
Subotowicz W. 1982. Litodynamics of cliff coats in
Poland, (in Polish, Litodynamika brzegow
klifowych wybrzeia Polski), Ossolineum,
Gdansk.
Ter-Stepanian G. 1975. Theory of Progressive
Failure in Soil and Rock Media, Proc. of the
First Baltic Conf. on Soil Mechanics and
Foundation Eng., Vol. 1, Gdahsk: 181-198.
Wilski J. 1997. Homogenisation of colluvium on
Jastrzebia Gora cliff landslides, (in Polish,
Homogenizacja koluwium na osuwiskach klifu
w Jastrzqbiej Gorze), Gdansk Technical
University, Faculty of Environmental
Engineering, Master Thesis.

REFERENCES

Czarnecki J. and Subotowicz W. 1994. Genesis of

Jastrzqbia G6ra cliffs landslides (in Polish,
Geneza osuwisk klifu w Jastrzqbiej Gorze),
Iniynieria Morska i Geotechnika, 5 : 248-25 1.

Czarnecki J. 1998. Geodynamics of cliff coasts in

Jastrzqbia Gora and Dqbno near Ustka. Gdahsk
(in Polish, Geodynamika brzegow klifowych w
Jastrzqbiej G6rze i Dqbnie k. Ustki), Technical
University, Faculty of Environmental
Engineering, PhD Thesis.

185
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 Slope Stab/lify Engineering, Yagi, Yamagami & Jiang G ) 1999 Balkema, Rotterdam, ISBN 905809 0795

A mineralogical study of the mechanism of landslide in the serpentinite belt

K.Yokota, R.Yatabe & N.Yagi

Depurtnzent of Environment and Construction, FUCUIQ of Engineering, Ehinic? University, Mutsuyuinu, Jupun

ABSTRACT; A Serpentinite is consisted of Magnetite, Brucite and Serpentine. It has been made from upper
mantle matter and seawater at the deep sea floor. It has good coordination with basic rocks and sedimentary
rocks. At the ground surface, Brucite is easily soluble into water, but Magnetite is stable. Therefore, at the
border between Serpentinite and other rocks, many pores inner of weathered Serpentinite keep ground water
channel. It affects other rock's weathering, and, some contact surfaces are made from different clayey layers.
Serpentinite layers have larger residual strength and higher permeability than Montmollironite or Chlorite
layers. When the layers of debris have loosen their stability, they sqush weathered Serpentinite layers, and
they move slowly and creepy. The mechanism of landslide at the so-called Serpentinite zone is upper process.

1.INTRODUCTION characteristics of Serpentinite's forming process and

its characteristics of distribution. Then, we want to
A Serpentinite has been valued as an ornament make clear of the mechanism of these characteristics
from its characteristic pattern, on the other hand, of landslide at the areas of the so-called Serpentinite
Serpentinite mountain's surface has been usually by the mineralogical method.
broken down and known fragile generally.
We can see many landslide sites in the areas of the
so-called Serpentinite. The characteristic profiles of
Serpentinite's landslide have been worked up
(Sokobiki et al. 1994). as below;
0 Serpentinite's landslide sites are distributed
mainly along the tectonic lines, and there are
complex geostructures around them.
0 Landslide topography is frequently at the
border between Serpentinite and other rocks.
There are few rock slides but many clay and
debris slides.
@ A gradient of the landslide site is
comparatively gentle as 10 to 20.
@ Many of the landslides still continue their
slow and creepy movement.
These features have been generally explained that
Serpentinite is the intrusive rock and the surface of
the landslides is formed from clay of Serpentine
caused by faulty action and weathering. But these
explanations do not give us positive proof about the
characteristic of Serpentinite landslide's distribution
and occurrence at the gentle slopes. It is considered
that these features of landslide are caused by the Fig. 1 Distribution of Serpentinites and sampling sites

187
2.CHARACTERISTIC OF LANDSLIDE SITE
The distributions of ultra basic rocks in Japan are
showed in Fig. 1 (Miyashiro 1965). In Japan, we can
find a Serpentinite as one of the ultra basic rocks
along geotectonic lines. It has been considered,
usually, that Serpentinite has been metamorphized
from Peridotite whose main components are Olivine
and Pyroxine. A Serpentinite is, generally,
coordinated with green schist and black schist. And,
it is often distributed with granite.
2. I . Features of dislribution of landslide.
Distribution of landslide sites has a distinctive
feature as below;
0Landslide sites are rare inner of the Serpentinite's
distribution area.
@ Many landslide sites are at the border between
Serpentinite and metamorphic rocks as green
schist, and, Serpentinite and sedimentary rocks as
black schist. .
@ There are few landslide sites at the border
between serpentinite and granite.

Tablc 1 Coinponetit minerals of so-called weathered 2.2.Minerals of slip surface

claycy Serpentinitcand stress strength of them
Sampling spot
structure bedulace names I
main I Str.strengtIi
In Table1 , the component minerals of weathered
so-called Serpentinite by the X-ray analysis and
residual strength by the ring shear test are shown.
Minerals of' slip surface are consisted from
Serpentine, Talc, Chlorite and Montmorillonite at
Serpentinite landslide sites. Serpentinite has high
shear friction about 30 , but Talc, Chlorite and
Montmorillonite have low shear friction angles
about 20 to 10 , and degree of decrease from peak
strength to residual strength is large.
Chlorite is one of the main minerals of weathered
green schist. And Montmorillonite is one of the
main minerals of weathered black schist.

3.WEATHERING AND OCCURRING OF A

SERPENTINITE

At the outcrop of the ground surface, weathered

Serpentinite usually turn grayish blue or green, and
it forms a striking contrast against other dark brown
weathered basic rocks whose layers are found with
coordination of Serpentinite layers.

Engyoji 1lC.SlS I 29.81 30.6

2lC.SlS I 31.21 30.6

t " Br.2 1L.SIT.S I 19.31 141

Br. :boring core S. : Serpentine

C.S.:cutting slope C, : Chlorite
S.C. : swelling cutting slope T. : Talc
L.S. : Landslide site M. : Montmorillonite
F. : Felspars Fig.2. The propotion of Brucite at each sampling site

188

Fig*3' components Of rocks and times
3. I . A Serpentinite
We can observe, generally, a Serpentinite is
basically consisted of some lumps of Magnetite with
Serpentine and some veins of Brucite with
189
Chrysotile. Magnetite is one of the iron oxide and it
is stable at the ground surface. Brucite is the only
magnesium hydroxide mineral. It exists generally
inner of the ultra basic rocks. And it is stable in the
strong basic solution higher than pH 11. Serpentine
is one of the magnesium hydrous silicate minerals
and it is classified Anteigolite, Chrysotile and
Rizaldite by the occurrence condition of temperature
and pressure.
In Fig.2, the proportion of Brucite, which is
contained in respective serpentinite blocks in Japan,
are illustrated.
At the ground surface, Brucite is easily soluble
into acid or weak basic water, but Magnetitc is
nearly soluble. Therefore, Serpentinite is weathered
easily and crashed into pieces quickly, and it keeps
coarse-grained particles with Magnetite. Then, it has
large residual strength and turns grayish blue or
green.
3.2. A comparison with basic rocks
In Fig.3, the metallic elements, which are leached
from Serpentinite, Sanbagawa green schist,
Sanbagawa black schist and Mikabu green stones in
the acidic solution, are shown. Acid solution is
H2C03 and pH6.3. Strikingly, leaching Mg from
Serpentinite shows larger value than the others. And,
prominently, leaching Fe from Serpentinite shows
smaller value than the other rocks. Many other
metalic elements are leached from the other rocks.
Main minerals of basic rocks, as Pyroxene,
Hornblende and Chlorite, have Mg2+,Fe2+,Ca2', A13+
and Fe3+in their crystal structures as anhydrous or
hydrous silicate minerals. It seems that Fe and other
elements are dissolved into acidic or basic solution
with destruction of the crystal structure. Therefore,
they are slowly weathered and reformed to clayey
soils which have minute-grained particles and low
residual strength. And they turn dark brown.
3.3. A comparison with Peridotite rocks
Olivine, which is a main mineral of ultra basic
rock, has Mg2+and Fe2+ in its crystal structure as
anhydrous silicate minerals whose names are
Foresterite and Fairlite. The thin surface of
weathered Peridotite turns reddish-brown, but inner
of the Peridotite turns clear olive green. It seems that
Fe is dissolved with destruction of the crystal
structures. And it shows us that weathered Peridotite
is not metamorphising to Serpentinite. We can find
some slim, soft and straight white vein of fibrous the
Chrysotile at the Peridotite outcrop. It has been
reported that a Peridotite has some veins of Brucite
and Chrysotile which keep fluidity of the upper
mantle matter (Morimoto 989).
The white vein the traces from which
Brucite has been dissolved into water at the ground It is considered that Serpentinite has made from
surface. reaction between upper mantle matter and water at
the deep sea floor suddenly with eruption or
3.4. A considervtion of the occurrence of cracking the ocean crust. And it is considered that
Serpenlinite rocks other basic or ultra basic rocks have gone hard
These points of difference between Serpentinite slowly from lava of upper mantle matter with each
and Peridotite, or, Serpentinite and basic rocks show condition respectively. The conceptual process is
us that Serpentinite has a unique occurrence illustrated in Fig.4. (Arai 1992, Fujioka 1994,
condition and process compared with other basic or Ishizuka 1995 and Cannet 1995). It is considered
ultra basic rocks. that Serpentinite has good coordination with basic
rocks at the sea floor, and many sedimentary rocks
cover over the Serpentinite later.
A profile of mineral facies A profile of rock facies
0:Olivine
4. WEATHERING AND DISINTEGRATION OF
T SB H:Hornblendite
SERPENTINITE
SB % C:Chlorite
SB SMS M:Magnetite
On the one hand, a large ultra basic rock body,
SB $ SMS T B:Brucite
which is consisted of Peridotite with Serpentinite,
d SB SMS S:Serpentinite
forms generally a high mountain. We can find that
veins of Brucite and Chrysotile affect some cracks
inner of the ultra basic rocks, and they affect some
rock faults usually. On the other hand, some
Serpentinite rock body is very fragile by the
dissolution of Brucite into water and it breaks into
pieces usually. And then, a mountain of ultra basic
rocks has steep cliffs and gentle slopes. But
weathered Serpentinite break into clayey pieces
rarely at the outcrop, and it causes rarely landslide
inner of the serpentinite areas.

Moho-discontinuity
--,.------ 4.1. The Primary Collapse with landslide
In Fig.5, the coefficient of permeability of
Serpentinite and other clayey soil at landslide site is
A vain of B&S (yellow-white) shown. It shows that a Serpentinite has considerably
\L larger coefficient of permeability than the others.
SMSMS SB SMSMS At the border zone between Serpentinite and other
00000 SB 00000 MSHSM SB MSHSM rocks, when veins of Brucite with Chrysotile have
OOPOO SB OOPOO SMOMS SB SMOMS dissolved into water from Serpentinite rocks, many
OPOPO SB OPOPO MOPOM SB MOPOM pores are caused inner of the rocks, and they keep
POPOP SB POPOP SMOMS SB SMOMS ground water channels. It affects other rock's
PPOPP SR PPOPP MSHSM SB MSHSM weathering. In them, some contact surfaces are
HPOPH SB HPOPH SMSMS SB SMSMS formed between weathered soft Serpentinite layers
Peridotite SerpentinisedPeridotite and other clayey layers as Chlorite and
(01ive-green) (gray-blue) Montmorillonite.
IMSMSM SB MSMSM It has been cleared that Montmorillonite has the
SMMMS SB SMMMS SMSMS SB SMSMS remarkable hydrophilicity and it expands with water.
SMMMS SB SMMMS MSMSM SB MSMSM And it has been found that some Chlorite has been
SMSMS SB SMSMS SBSBSB SB SBSBSB swelling at the outcrop with water. The two layers
SMMMS SB SMMMS MSMSM SB MSMSM are contrary to each other. Weathered Serpentinite
SMMMS SB SMMMS SMSMS SB SMSMS has the characteristics of high permeability and large
MSMSM SB MSMSM residual strength. But, Chlorite and Montmorillonite
Hard Serpentinite Weak Serpentinite have the characteristics of low permeability and
(black-green) (blue-white) small residual strength. If the stability is lost by
Fig.4. Schematic diagram concerning genesis of some cause, the contact surface will affect collapse
Serpentinite with landslide.

190
 Table 2. Component minerals of landslide site's
clay by X-ray analisis and stress strength of them

Fig.5. Permeability of landslide's clay

4.2. The secondory Landslide

In Table 2, the minerals of deposit at landslide site,
by the X-ray analysis and residual strength by the
ring shear test, are shown. Minerals of slip surface
are consisted from Serpentine, Talc, Chlorite and
Montmorillonite. And they have the smallest
residual strength.
It has been reported that, at the Choja landslide
site, many thin layers of Serpentinite and Slate are
alternately with each other. They are few
centimeters or several decimeters thickness. Main
minerals of slate are Talc, Chlorite and Ca:Calcite Tr:Tremolite M:Montmorillonite
Montmollironite. ss:slip surface Br.:Boring core
When slope collapse with other rocks should
occur again and again, layers of debris containing Serpentinite layers and other clayey layers as Talc,
many various rocks are formed. At the surface of the Chlorite and Montmorillonite.
deposit, they keep a gentle slope caused by the One of the weakest contact surfaces becomes the
characteristic of main mineral which have low slip surface at the location. When the layers of
friction angle. Inner of the deposit, some contact debris have loosen their stability, due to natural
surfaces are formed between weathered soft erosion by rivers or artificial cutting slop, they

191
squash weathered Serpentinite layers, and they move It is considered that the mechanism of landslide at
slowly and creepy. It is considered that clayey the so-called Serpentinite zone is upper process.
minute-grained Serpentinite layer is formed as the
result of squashing weathered Serpentinite layer.
It is considered that the mechanism of landslide at REFERENCES
the so-called Serpentinite zone is upper process.
Sokobiki H. et al, 1994. A study and property of
Serpentinite landslide in Japan. The 33th Japan
national conference on Japan landslide SOC. :78-
5. CONCLUSION
81.
1. Landslide sites are rare inner of the Serpentinite's Miyashiro A. 1965. Metamorphic rocks and
metamorphic belts, Iwanami Shoten.
distribution area. Many landslide sites are at the
border between Serpentinite and metamorphic rocks Morimoto 1989. Rock forming mineralogy. Tokyo
as green schist, and, Serpentinite and sedimentary University Publishing company.
Arai S. et a1 1992. Petrology of peridotites as a tool
rocks as black schist. .
of insight into mantle process, a review, Joint of
Min.,Petro. And Econ. Geology, Vo1.87,pp.351-
2. Minerals of slip surface are consisted from
Serpentine, Talc, Chlorite and Montmorillonite at 363
Fujioka K. et al, 1994. Southerncross Cruise
Serpentinite landslide sites. Serpentinite has high
shear friction about 30, but Talc, Chlorite and Preliminary Results-a Transect of Palau, Yap
Tranches and Ayu Trough at the SouthernTip of
Montmorillonite have low shear friction angles
the Phillipine Sea Plate-.JAMESTEIC J Deep Sea
about 20 to 10, and degree of decrease from peak
Res. 10:203-230.
strength to residual strength is large.
Ishizuka H. et al, 1995. Oceanic lower Crust and
3. In acid solution, leaching Mg fkom Serpentinite Upper Mantle Materials in Transform Fault Zone
of WMARK. JAMESTIC JDeep Sea Res. 1 1:37-
shows strikingly larger value than the other rocks as
52.
green schist and black schist. And, leaching Fe from
Cannet M. et al, 1995. Thin crust, ultra-mafic
Serpentinite shows prominently smaller value than
exposures, and rugged faulting patterns at the
the other rocks as green schist and black schist.
A Serpentinite is basically consisted of some Mid- Atlantic Ridge(22-24" N)., Geology.,23-
lumps of Magnetite with Serpentine and some veins 1 :49-52.
of Brucite. It is considered that it has been made
from upper mantle maters and seawater, with ultra
basic rocks, at the deep sea floor. And it has
generally good coordination with basic rocks and
sedimentary rocks.

4. At the ground surface, Brucite is easily soluble

into water, but Magnetite is stable. Therefore, at the
border between Serpentinite and other rocks, many
pores inner of weathered Serpentinite, by leaching
Brucite, keep ground water channel. It affects other
rock's weathering. It is considered that the
weathered contact surface will affect primary
collapse with landslide suddenly.

5. At the landslide site, some boring cores show the

many layers of weathered Serpentinite and other
clayey soils, alternately, with each other. Clayey
Serpentinite has considerably larger coefficient of
permeability than the other clayey soil. When the
layers of debris have loosen their stability, naturally
or artificially, they sqush weathered Serpentinite
layers. And then, one of the weakest contact surface
become slip surface, and they move slowly and
creepy.

192
 Slope Stability Engineering, Yagi, Yamagami & Jiang 0 1999 Balkema, Rotterdam, ISBN 90 5809 079 5

Detailed geotechnical study in Modi Khola Hydroelectric Project,

Western Nepal

I?Dangol
Department of Geology, Tribhuvan University, Ghaiitughur, Kathmandu, Nepal
T. R. Paudel
Modi Khola Hydroelectric Project, Nepal Electricity Authority, Tundikhel, Kuthmandu, Nepal

ABSTRACT: Detailed geotechnical study is very important for any infrastructure development works, especially for
underground excavation in the geotectonically active parts like the Himalayas. This paper gives an account of the
geotechnical study carried out for the Modi Khola HydroelectricityProject. It also describes the engineering geological
problems faced during construction of tunnel and foundation works of various structures with assessments made to
tackle the problems. As a result of the geotechnicalstudy,the project became safe and cost-effective.The advantageof
self-supportingcapacity of rocks is used, which reduced a huge amount of cost in tunnelling. The formerly designed
long and curved tunnel alignment from vertical shaft is changed to a straight and better alignment, which reduced the
tunnel length by about 35.0 m. Previouslyfixed locationsof surge tank and penstock pipe at loose terrace and conglom-
erate deposit were shifted towards the bedrock by designing a 40 m high vertical shaft and about 4.45 m long pressure
tunnel instead of an exposed inclined penstock. similarly, results obtained from various geotechnical tests granted a
sound basis to decide the location and foundation of Powerhouse and Intake structures.

1 INTRODUCTION evaluation of site and possible alternatives and for over-

all planning of the project,
The MO&Khola Hydroelectric Project area is located in 2. A basis for evaluation of potential stability problems
Western Nepal (Fig. 1). The construction site lies along and judgement of geotechnical parameters for stability
the right bank of the Modi Khola - one of the major tribu- analysis, planning of reinforcement and treatments,
taries of the Kaligand& River. The Mod Khola is origi- 3. Classification of rockmass for support in the tunnel.
nated from the glacier cirque of the Annapurna Range. 4. A basis for cost evaluation, and
Total upstream catchment of the Modi Khola from the 5. Evaluation of unforeseen geological hazards in the
intake of the project is little above 500 km2. construction site and recommendation for excavation
A concrete diversion weir (7.5 m high, 33 m long) through unstable zones.
diverts the 27.5 cumecs of water from the Modi Khola
to a 154.8 m long Desanding Basin through a 30 m
intake and 250.29 m long underground Box Culvert. 2 GEOTECHNICAL INVESTIGATION
Thereafter an open canal of 63 m length conveys the
water to a Regulating Pondage of 26,640 m capacity. The Project site (Fig. 2) lies in quartzitic terrain named
Then the water passes through 1507.1m long Headrace as Naudanda Quartzite (Hirayama et al. 1988). It has
Tunnel of 3.15 m diameter, 41.25 m long Horizontal
Tunnel of 4.24 m diameter, 37.96 m high Surge Tank
of 5 m diameter, and 50.845 m long Vertical Shaft of 4
m diameter. After passing through 351 m long Pres-
sure Tunnel of 4 m diameter and 90 m long Penstock
Pipe of 3.2 to 2.77 m diameter, it reaches to the semi-
underground Powerhouse (27 m x 14 m x 22 m) with a
net head of 67 m and generates 14 M W electricity.
Finally, the water runs down to the Modi Khola (Fig.
2) again through a 262 m long Tailrace Canal (Cut and
Cover Box Culvert type).
The main objectives of the geological and geotechnical
investigationsfor the hydropower project were to obtain:
1.The necessary geological and geotechnical input for Figure 1. Location map of Modi Khola Hydroelectric
Project.

193
Figure 2. Geological map of the Project area, showing locations of constructionfeatures.

a sharp contact with the underlying Seti Formation and
gradational contact with the overlying Balewa Forma-
tion (Paudel & Dhital 1996). The maximum thickness
of the quartzite is about 1000 m in the Modi Khola
section. The rocks of the Naudanda Quartzite are rep-
resented by medium- to coarse-grained, massive, white
and green quartzite with intercalations of thinly foli-
ated grey to greenish grey phyllites and massive dark
green chloritic phyllite with mica schist.
Surface mapping and subsurface investigations are
carried out in the construction sites. Surface investi-
gation comprised in-situ mapping and test of outcrops,
surface mapping of old landslide scars, topographically
depressed zones, active gullies and their interpolation
to the subsurface structures. Detail geological map of
the project site is prepared from the data obtained dur-
ing construction of concrete structure and excavation
of tunnel (Fig. 2). Generally, the rocks dip towards
North West (N3Oo-35"E/25-30"NW) in the Project
area. Two sets of joints are predominant. The bedding
planes are slickensided with sandy clay infilling, while
the joint planes are planar with plumose structure.
2.1 Headworks area
under stress and may create the problem of water tight-
ness and unequal settlement.
Due to the unfavourable geological condition for
foundation works of diversion weir and sluice gate,
essential treatments were carried out. The spongy silty
clay part at the foundation elevation was removed and
replaced upto 1.5 m by sand with jute membrane at
the lower part (P1.2) to stop the sand boiling. Consid-
ering the low bearing capacity of deposited material,
heavy concrete structures was to be designed for the
Desanding basin and its side spillways so that it can
withstand giving minimum load at its sloping walls.
2.2 Tunnel Area
The Headrace Tunnel pass through greenish to white
quartzite and highly weathered, soft phyllitic schist,
chloritic schist and kaolinite band. The inlet portal is
affected by a fault. The portal and about 300 m length
of tunnel alignment runs through an old stabilized land-
slide area. The rockmass in this area is composed of
fully decomposed saturated swelling clay fault gouge,
breccia, kaolinite mass with altered schist layers and
fractured rock fragments. Such a rockmass has zero

Geologically, the Headworks area lies totally in old ter-

race of the Modi Khola. The structures are designed on
alluvial deposit, taking into consideration of the
geotechnical parameters accordmgly.The alluvial deposit
of the Modi Khola is composed of irregularpoorly sorted
sequence of boulders, gravels, sand and silt. A quartzite
rock cliff is exposed on the left bank of the river (Pl. 1).
The bore hole drilled during detail design stage
shows that the bedrock is far below the foundation
level. An anticlinal fold axis passes through the river
at this site. Foundation works in such geological con-
dition is not favourable for heavy concrete structures
in river channel. The engineering property of quartz-
ite bedrock, spongy soil and boulders can not be com- Plate 1. Out crop of bedrock (quartzite)on the left bank
pared and such inhomogenous material act differently and diversion weir under construction.

194
 3 GEOTECHNICAl FINDINGS AND
CONSTRUCTION WORKS

3.1 Relocation of Surge Tank and Pressure Tunnel

In the original design, the Surge Tank was located at

the slope surface just at the interface of the quartzite
beds and the conglomerate deposit. The conglomerate
is composed mainly of gravel, boulders, pebbles and
sand produced from granite, gneiss and quartzite, ce-
mented by calcareous matrix and clay. Most of the part
of this conglomerate is hard and compact, but it is loose
at top and often at its depth too. It is normally unsorted
Plate 2. Foundation treatment of the sluice gate using jute and inhomogenous. The bedrock is no more continu-
membrane. ous in the tunnel excavation line due to NW dipping of
rock. As a result, about 300 m long Headrace tunnel,
stand up time. In these reaches, excavation was done upstream from portal was designed to be located
with heading and benching method. The steel ribs in- through the conglomerate deposit.
stalled became buckled (inwardly bended upto 20 cm) Considering the geological problem, two explora-
due to high stress from right slope. After 325 m length, tory drill holes were sunk to findout the subsurface
slightly weathered, thick bedded,jointed, strong to very condition of rock and thickness of overburden above
strong massive green quartzite appeared in the tunnel. the bedrock. From these two borehole interpretation,
Therefore, only 50 mm thick plain shotcrete and the bedrock line was traced. Consequently, it became
spotbolts are used for initial support. obvious that the original Surge Tank location and last
300 m of Headrace Tunnel was on the loose terrace
2.3 Powerhouse and tailrace area conglomerate deposit lying unconformably over the
bedrock, which is geologically unfavorable for
A semi-underground Powerhouse and 270 m long cut hydropower tunnel. Then the location of surge tank was
and cover box culvert type Tailrace canal is designed on shifted on the bedrock about 340 m upstream from its
the terrace deposit along the right bank of the Modi Khola
(Pl. 3). The alluvium exhibits mainly two cycles of depo-
sition. The first cycle consists mainly of dark gray to ash
colored silty sand with fine aggregates. Few boulders of
granite, gneiss, limestones and calcareous sandstones are
also interspersedwith in it. The secondcycle is composed
of irregular sequence of boulders gravels, sand and silty
clay. The alluvial deposit as a whole is non-cohesive,
brownish in color and the sediments are poorly sorted.
The opencut excavation at the cutslope of 1:0.5 was far
higher than the internal friction angle of alluvial deposit.
Therefore slope stability problem was faced in the tail-
race part.
From the geological condition observed, the ex-
pected bedrock might have deeply eroded and buried
by the alluvial deposit of the first cycle in the past. The
dipping of bed rock towards the hill also limits its con-
tinuation towards the Powerhouse. From Engineering
classification of soil, the soil found at the foundation,
level of powerhouse falls in Poorly graded sand silt
mixtures with fine aggregates (SM). Obviously, this
type of deposit is not competent for foundation of
Power house, where the vibrating load is high. Desir-
ability of foundation for this type of soil is 3 to 7, (where
1 is for excellent and 14 for unacceptable). Recom-
mendation to shift the Powerhouse at about 40 m up-
stream towards the slope in the same alignment is given,
where competent bedrock of quartzite is confirmed.
Plate 3. Power house site on the alluvial deposit.

95
original location. The last 450 m tunnel profile is low-
ered by about 45 m along the bedrock and designed as
Pressure Tunnel introducing a 40 m high vertical shaft.
A vent adit of 2.5 m diameter and 68 m length is added
for the ventilation of surge tank. About 40 m length of
vent adit was designed to be located on the conglom-
erate deposit. Since the diameter of adit was small, no
problem was faced during excavation. Since this adit
is to use only for ventilation purpose, there remains no
geological problem in future also.

3.2 Pressure Tunnel Excavation through Shear Zone

A 76.5 m long work Adit No. 2 (PI. 4) for the excava-

tion of Pressure Tunnel was designed just below the
Pokhara-Baglung road. The massive bedrock
outcropped at the Portal and the orientation of bed-
ding and joints shows a very favorable condition for
tunnel excavation. But, at the end of Adit and further
in the Pressure Tunnel, a major shear zone was to cross
along the upstream part from junction. At the junction
area, thinly foliated, soft mica schist layers were
appeared.The orientation of these weak layer is almost
parallel to the tunnel alignment. As a result, the weak
zone continued for a long distance. On further excava-
tion, a major shear zone composed of fully decomposed
soft fault gouge and shattered fault breccia collapsed
at upstream face chainage of 26 and 41 m. Since the
Pressure Tunnel alignment is 7-10 m below the river
bed level, high rate of ground water inflow further made
the condition worse.
The slid material was piled up at the face and con-
solidation grouting was started to stabilize the collapse.
The grouting was done by injecting the cement milk at
the ratio of 1:l (cement:water) through 3 to 8 m long
perforated GI pipes. Cubes from the collapsed mate-
rial was made and tested in the laboratory.
After consolidation grouting in the perimeter and
above the crown, heading and benching method is fol-
lowed for further excavation. Heading by steel arch
installation above SPL at 30 to 50 cm spacing and lag-
ging behind with steel bars was done in the first stage.
In the second stage full section excavation was done
by erecting the post and struts with concrete founda-
tion at 30 to 50 cm spacing.
After excavating 14 m in the shear zone following
the heading and benching method; horizontal Probe
Hole Drilling was started to find out the width of the
shear zone. Core samples of fractured quartzites were
obtained from about 18 m onwards from the drilling
face so that the width of the shearzone was found to be
about 32 m. About 300 bags of cement grouting in the
perimeter and spiling bars at 20 cm spacing was re-
quired per meter length of tunnel in average. Steel ribs
support with 75 to 100 mm thick fibre reinforced
shotcrete was used throughout the weak zone.
On the basis of experience from the Modi
hydropower, tunneling methods in unstable sqeezing
Plate 4. Work adit 2 for the pressure tunnel excavation..
rockmass can be suggested to overcome the prob-
lems encountered at other projects in similar situa-
tions. Provisions of compressible packing between
rock and the support to allow deformation under
controlled condition and final lining of the tunnel
after sufficient time has elapsed through completion
of excavation so that all the movements have died
down, is an important consideration in the context
of tectonically active zones.
3.3 Assessment for Permaneizt Support in the Tunnel
The major discontinuities, and their infilling, opening,
spacing, persistency, weathering, roughness and altera-
tion of joint surface (Table 1) provide very important
clues in malung permanent support in the tunnel.The
quartzite bedrock is sufficiently strong but the major
discontinuitiesare very prominent and intersectingwith
one another. Moreover, the Headrace tunnel alignment
N36"E and N48"E is nearly parallel to the bedding ori-
entation of N30"-35"E/24"-30"NW. Intersection of
bedding plane by south dipping prominent joint
(N1O0E/58"SE) has resulted maximum possibility of
block failures along the left wall and crown of
Headrace tunnel. The analysis of stereographic pro-
jection of bedding plane, joints and shear planes (Fig.
3) shows many unstable condition on crown and walls
(Kwon & Choi 1998).

196
Table 1: Orientation and characterestics of discontinuities in the Headrace Tunnel.

Tunnel Chainage BeddingJJoint Orientation In filling Opening Spacing Roughness

Location
99- 120 Bedding N 25'E/35"NW Clay 2-3 m Slickensided
120-130 Bedding N 27"E/37'Nh Clay 2-3 m Planar
330-400 Joint 125 "/60°NE Sandy clay 30-100 cm Planar
HRT 400-440 Joint 12/70 SE 2-3 mm 50-100 cm Smooth
from 400-440 Bedding N 45'E/23'NW Sandy clay 50-150 cm Undulated
Inlet 440-500 Joint N 45"E/85 SE 3-5 mm 100-200 cm Smooth
500-600 Joint 200/44 SE Clay 40- 100 cm Planar
600-660 Bedding N 3l0E/35NW Clay 50- 100 cm Undulated
660-690 Joint N-S/62E Sandy Clay 20-50 cm Planar
0-200 Bedding N 3O0E/24NW Sandy Clay 100-200 cm Slickensided
0-200 Joint N 20°E/65 SE 3-5 mm 40- 100 cm Smooth
200-360 Bedding N 27"E/28 NW Sandy Clay 60- 100 cm Slicken sided
200-360 Joint 78 "E/74"SE 2-5 mm 20-60 cm Rough/Planar
360-390 Joint N95/6SW 100-300 cm Roughhight
Adit - 1 390-530 Joint 220/66SE 5-1 0 mm 50-100 cm Rough/Planar
Upstream 530-55 0 Joint 42/72 SE Sandy Clay 30- 100cm RoughPlanar
550-600 Joint 175/66 NE 5- 10 mm 50-100 cm Smooth
600-660 Joint 340/60NE Silt + clay 40- 100 cm Smooth
660-705 Joint 90/70 "S 3- 5 mm 50-150 cm Smooth
705-795 Bedding 45 '/35N W Clay 200-300 cm Planar
705-795 Joint 330/65NE 2-6 mm 100-150 cm Smooth/Planar

The support system primarily guided by rock 112 -1/3

mass quality (Q-value) of rock calculated during
excavation. Further, subjective judgment of evalu-
ating parameters also exist under consideration ac-
cording to the field condition, purpose of tunnel and
safety factor. Minor modification in the support as
recommended by Q-system is carried out in the
Headrace and Pressure Tunnel. Steel rib support at
1 m to 1.5 m spacing is provided at the major weak
zones and in the remaining part the support pattern
is primarily the combination of shotcrete and
rockbolts where the rockmass appears in Poor to Fair
class.The rockbolt spacing and length is determined
from the formula given by Hoek & Brown (1980):
2Jn
P= . 98.1 kPa (3)
3Jg
Considering these situation, the permanent support
system for the underground waterways are recom-
mended after modification on the basis of subjective
judgement of actual field condition. The Pressure tun-
nel, Vertical Shaft, Surge Tank and Upper Pressure
Tunnel are concrete lined taking the design and hy-
draulic elements in consideration. In the remaining
underground waterways, the final support system is
recommended as follows:

L=2+0.15 BESR (1)

where, B is Tunnel height. The spacing of bolt is 1/2 of

the bolt length and the diameter of rockbolt is 20 to 25
mm.
The support pressure (P) is calculated from

100-RMR
p=- gb
100

where g = rock density and b = tunnel height

Permanent support pressure is calculated taking the

average value of Joint set number (Jn), Joint roughness
and Q value of rock from the following formula (Speers
1992).

197
Figure 3. Stereonet analysis of discontinuities of a) Head Race Tunnel-1 and b) Head Race Tunnel-2
In the concrete lining sections, the rock bolts and
consolidation grouting will be reduced and instead,
backfill grouting will be required; while in the shotcrete
lining sections, rockbolt number and consolidation
grouting will be increased. The rockbolts and shotcrete
applied as an initial support will be the part of final
support and required number of rockbolts and shotcrete
layer should be added in shotcrete lining sections. High
water pressure test was camed to decide the grouting
pattern and locations
4 CONCLUSIONS
The detailed geotechnical investigation for the Modi
Khola Hydroelectric Project helped to relocate a few
major structures, previously designed in geologically
unstable sites to safe sites with competent bedrocks.
It also helped to reduce the cost in support measures.
Present geological and geotechnical study in
hydropower project incorporates the geotechnicalparam-
eters taken during design and their deviation in particular
construction site. The engineering geological problems
in construction site sometime requires certain modifica-
tion of structures for which a geologist works in close
contact with design engineer. The role of geologist in
makmg decisions is very important.
Hydropower development in Himalayan region re-
quires a high level expertise in geological and
geotechnical fields. The geological study in coming
years should be confined to particular specific purpose
rather than in generalized forms.
198
The geological problems observed during the study
can not be generalised for other hydropower projects,
however, the experience gainedtackling various problems
may help to solve the similar problems in other orojects.
The geological and geotechnical parameters taken into
consideration in various hydropower projects of Nepal
under construction would be a great advantage for other
hydropower projects proposed in the country.
REFERENCES
Hirayama, J., Nakajima, T., Shrestha, S.B., Adhikary, T.P.,
Tamrakar, J.M. & G.R. Chitrakar 1988. Geology of the
southern part of the Lesser Himalaya, West Nepal. Bull.
Geol. Sum. Japan, 39(4): 205-249.
Hoek, E. & E T . Brown 1980. Underground excavations in
rock. Institute of mineralogy and metallurgy, London.
Kwon, K.O. & K.D. Choi 1998. Review report on construc-
tion works in view of geotechnical and civil engineer-
ing, Modi KIzola Hydroelectric Project. Unpubl. Report.,
Kathmandu, Nepal.
Paudel, L.P. & M.R. Dhital 1996. Geology and structure of
the area between Pokhara and Kushma, Western Nepal
Lesser Himalaya. Bull. Dept. Geology, Tnbhuvan Univ.,
5: 47-60, Kathmandu, Nepal.
Paudel, T.R., Dangol V. & R.H. Sharma 1998., Construc-
tion phase engineering geological study in Modi Khola
Hydroelectric Project, Parbat district, western Nepal.
JOUKNepal Geol. Soc., Spec. Issue, 18: 343-355.
Speers, C.R. 1992. Support for tunnels subjected to changing
rock loads: a comparison of design methods. In: ‘Tunneling
and underground space technology’, 7( 1): 25-32.
 Slope Stability Engineering, Yagi, Yamagami & Jiang 0 1999 Balkema, Rotterdam, ISBN 90 5809 079 5

Local instability in saturated colluvial slopes in southern Brazil

Willy A. Lacerda
COPPE, Federal University of Rio de Janeiro, Brazil

ABSTRACT

In the southern coast of Brazil annual rainfalls range from 1000 to 6000 mm. Thick colluvial mantles cover
the residual soil on the sea-side of a long (2.000 km) mountain range. Their thickness range from a few
meters to about 30 meters, and some of them are permanently saturated. They present a marked influence of
rainfall and phreatic levels on the rate of movement, as superficial and in depth measurements indicate.
However, local artesian conditions, often unpredictable, initiate local instabilities that can trigger landslides of
the upward mass. Two cases are shown, and a simulation of local artesianism is presented, aiding in the
. understanding of the observed phenomena.

1. INTRODUCTION 2. INSTABILITY DUE TO WATER LEVEL

Thick mantles of colluvial soil cover the hillsides of
an appreciable portion of the “Serra do Mar”
mountain range along Brazil‘s southeastern coast.
Due to the high annual rainfall, typically in the range
of 1500 to 3000 mm a year, and up to 6000 mm a
year in some locations, they present a permanent
phreatic level. Their movement is conditioned by the
position of the water table, which in turn is related to
the rainfall. These masses are usually long, 300 to
500 meters in length, with thickness varying from 5
to 30 meters, and widths of 100 to 200 m. They have
been studied in length, and some papers describe
their behavior and mitigation measures employed
(Eacerda, 1997, Lacerda & Sandroni (1985),
Teixeira & Kanji (1 970))
They move along a pre-existing shear surface,
permanently wet, and the shear strength along this
surface is at the residual value. Since these soil
masses were originally composed of the weathered
granitic-gneissic parent rocks (and also weathered
diabase dikes, very abundant) with a predominance
of sand and silt particles, their residual effective
friction angle is not very low, and is found to be in
the range of 26 to 30 degrees (Silveira & Lacerda,
1992; Pinto et a1 1993).
FLUCTUATION
Borda (1 996) analyzed the instrumentation data of a
deep (10 to 20 m thick) colluvium in a
granitic/gneissic environment, with may faults and
pegmatite and diabase dikes crisscrossing the
mountain range. It is situated at a distance about 200
kilometers west from the city of Rio de Janeiro, at
seaside, along the Rio de Janeiro-Santos highway.
The slope was extensively instrumented by
piezometers, water level indicators and
inclinometers. Raingages were read at a distance less
than 1 km from the site The period of observation
was from September 1987 to December 1993.
Average annual rainfall during the observation
period was 2200 mdyear. The history of the
movement goes back to 1978. The initial history of
this period can be seen in Sandroni (1982).
Up to 1980 total horizontall displacements of 30-
40 cm were read at the middle of the slope, and of
80 cm near the foot. Deep horizontal drains were
installed just above a highway that crosses the lower
third of the slope, and a large rockfill berm was
placed at the foot, and anchored walls were built just
below the highway. The slope was continuously
monitored, and the period from 1987 to 1993 was
more intensely studied. During that period 16
piezometers and water level indicators and 18
inclinometers were read on a weekly basis.

199
Figure 1 - Section of the deep colluvial slope (Borda Gomes, 1996)
Figure 2 - Typical inclinometer graph (Borda
Gomes, 1996)
Initial inclinometer and monument readings of the
1987 - 1993 period showed velocities of movement
at the surface up to 20 mdmonth, and the sliding
surface was clearly indicated at a depth between 5
and 22 meters, at the contact colluviudresidual soil
Figure 1 shows a profile of the instrumented
slope, with an extension of 450 m, and figure 2 is a
typical inclinometer graph, showing distinctly the
slide surface at a depth of 21 meters. The analysis of
rainfall data showed best agreement when 25 day
accumulated rainfall was plotted against piezometric
elevations, and these results can be seen elsewhere
200
(Lacerda, 1997). In Figure 3 the horizontal
displacement of a typical inclinometer was plotted.
It can be seen that a “jump” in deformation occurs
when the accumulated 25-day rainfall exceeds about
200 mm; the position of the piezometric lines was
then 1,5 to 2 m higher than the minimum level. This
indicated that at a certain critical elevation of the
piezometric line the velocities of deformation read
by the inclinometers increased abruptly, for
example, from less than 0.02 inm/day to 0.13
mmlday.
Nevertheless, piezometer installed at different
depths at the same location showed that both in the
paper by Sandroni as in the study reported the
direction of flow was predominantly parallel to the
slope, but in some places bent downwards or
upwards, irrespective of the position (upper or lower
elevations). These local anomalies could be
explained by the mechanisms described in the
following sections.
3. LOCAL INSTABILITY DUE TO AN
IMPERMEABLE VERTICAL BARRIER
The slides of Soberbo Road in Rio de Janeiro have
been extensively studied (Soares et al, 1988;
Lacerda & Schilling, 1992). Figure 4 shows a partial
plan of the slide. Section C-Cl along zones C, B and
D is shown in Figure 5. The branches of this
complex slide present a colluvial layer on top of the
residual soil. The thickness of the colluvium lies
between 6 and 10 meters.The water table is very
Figure 3 - 25-day accumulated rainfall and inclinometer horizontal displacements against time (Borda
Gomes, 1996)
close to the surface, except at the lower range, when
it appears at the surface. At this point a thick diabase
dike was found, which presents a barrier to the
groundwater flow. The position of the diabase dykes
found while perforating long (80 m) horizontal
drains is noted in Figure 4, which also shows the
position of piezometers, inclinometers and
superficial marks. The accumulated movement of
the superficial marks can be seen to increase as the
diabase dyke is approached, as the arrows in this
Figure show. Two piezometers and a water level
indicator were installed besides most of the
soundings, and they are shown in the Figure 5 as
positions A, B and C. The arrows in this figure
indicate the direction of movement of the flow lines
at the interval between two piezometers. They are
seen to bend upwards near the diabase dikes. The
position of the more impermeable dikes influence
the flow lines, as Figure 5 shows. Thus, artesian
pressures can be observed just above the dikes, as
shown. In the Soberbo Road case artesianism was
indeed observed, the water level of the deepest
piezometer rising more than one meter above ground
elevation. Of course, the ground was very wet, with
rivulets of water springing at the surface.
The local stability of the colluviuni is then
20 1
decreased just above the obstacle to flow which the
diabase dikes represent, as indicated by the
schematic Figure 6. Indeed, superficial horizontal
movements were larger at this location, as already
discussed, and a succession of cracks and the
inclination and displacement of small trees and
inclinometers showed the signs of this instability.
4. INSTABILITY DUE TO HIDDEN SPRINGS
Artesianism is not always caused by the obstruction
of flux. Water recharge by means of concealed
springs connected to water bearing fractures in the
underlying rock can alter significantly the flow
pattern in its neighborhood, and a suitably located
piezometer would show artesianism.
Local artesianism can initiate landslides in upper
colluvial layers, and has been observed in some
cases in Brazil, in the Author’s experience.
In order to simulate this situation Borges and
Lacerda (1 986) made Finite Element analyses of a
slope with an initial low water table (Fig. 7), and
then applied a fountain with a piezometric pressure
above ground level, as Figure 8 shows. The arrow
indicates the direction of flow, and the water level is
Figure 4 - Plan view of the Soberbo Road landslide (from Lacerda & Schilling, 1992)
significantly altered to a position close to the slope
surface. If a cut were made in this slope at the dry
season, it would eventually fail during the wet
season, and, even without a cut, the slope would
certainly show signs of instability. The observation
of some slides in natural slopes just after a very
heavy rainy period showed springs of water near the
crown of the slide, inside the slided mass.
202
5. CONCLUSIONS
The movement of infinite type colluvial masses are
strongly dependent on the position of the phreatic
level, and follow the equations of the infinite slope
equilibrium equations. In this case the velocity of
downward movement of the mass is reasonably the
Figure 5 - Flow conditions along Section ACDE (From Schilling, 1993)
Figure 6 - Idealized flow lines past the diabase dike
same along the entire extent of the colluvium. The
first case is a typical example, however local
anomalies of flowlines could be explained by the
presence of dikes or springs, as the latter part of the
paper shows.
Flux restrictions or the existence of covered
springs are also a cause movement initiation, and in
203
Figure 7 - a) Seepage along a slope with an
impermeable base parallel to the slope; b) -
Seepage pattern of the same slope affected by spring
in localized fracture of the underlying rock (Borges
& Eacerda, 1986)
this case local instabilities due to upward deflection
of the seepage direction. Portions of the colluvium
mass affected by these phenomena exhibit slides of
the circular shape type, which in turn leads to
loading of the lower part and to the unloading of the
foot of the upper part of the colluvial mass, in both
cases propagating the movement. These occurrences (1988) - Mechanism of Movements in Colluvial
are illustrated by the two last cases. Slopes in Rio de Janeiro - 5th International
Symposium on Landslides, Lausanne, V01.2,
121 1-1216
6. ACKNOWLEDGEMENTS Pinto, C. S., Gobara, W., Peres, J. E. E., e Nader, J.
J. (1993) Properties of residual soils, (in
The author thanks the PRONEX program of the Portuguese), Solos do Interior de 5'60 Puulo,
National Research Council (CNPq) and FINEP for ABMS, USP-Sgo Carlos. Siio Paulo, Vol.1, 95-
the partial funding of this research., and Mr. Luiz de 142
Franqa for the Figures. Teixeira, A.H. & Kanji, M.A. (1970) Stabilization of
the Landslide at elevation 500 of the Serra do
Mar of the Anchieta Highway (in Portuguese)
7. REFERENCES Proc. 4th Brazilian Conference on Soil
Mechanics and Foundation Engineering, ABMS,
Borda Gomes, D. (1996) Correlation among rainfall, Rio de Janeiro, Vol. 1-1, IV-33 to IV-53
movements, piezometric levels and Factor of
Safety in colluvial slopes in tropical regions, MS
(in Portuguese) COPPE-UFRJ, Rio de Janeiro,
186p
Borges, M.S.N. & Lacerda, W.A. (1986) On the
internal drainage of cut and fill slopes (in
Portuguese), Proc. 8th Brazilian Conference on
Soil Mechanics and Foundation Engineering,
ABMS, Port0 Alegre, Vol. 1, 17-33
Eacerda, W.A. (1991) Mass Movement Phenomena
in Tropical Soils. IX Pan-American Conference
on Soil Mechanics, Vifia del Mar, vol 4 1907-
1925
Lacerda, W.A., & Schilling, G.H. (1992) Rain
induced creep-rupture of Soberbo Road
Landslide, Landslides, ed. D.H. Bell, Balkema,
Proc. 6th Int. Symposium on Landslides,
Christhurch, vol 1,45-152
Lacerda, W.A. & Silveira, G.C. (1992) Shear
strength and compressibility characteristics of
residual and colluviai soils of the Soberbo
hillside, RJ (in Portuguese) 1st Brazilian
Conference on Slope Stability - 1st COBRAE,
ABMS, Rio de Janeiro, vol2 445-462
Lacerda, W.A. (1997) Stability of natural slopes
along the tropical coast of Brazil, Symposium on
recent developments in Soil and Puvement
Mechanics, June, COPPE-UFRJ, Rio de Janeiro,
Ed. Balkema, 17-40
Sandroni, S.S. (1982) Forecasting the behavior of
slopes, examined from case histories (in
Portuguese) 7th Brazilian Conf. On Soil
Mechanics and Foundation Engineering, ABMS,,
Olinda - Recife, vol 1, 74-97
Schilling, G.H. (1993) - Instrumentation and
Analysis of the movements at the Soberbo Road
hillside, Alto da Boa Vista, Rio de Janeiro, MS
Thesis, (in Portuguese) COPPE-UFRJ, Rio de
Janeiro,
Soares, M.M., Pedrosa, M.G.A., & Lacerda, W.A.

204
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 Slope Stability Engineering, Yagi, Yamagami & Jiang 0 1999 Balkema, Rotterdam, ISBN 90 5809 079 5

A new theory on instability of planar-sliding slope - Stiffness effect

instability theory

Qin Siqing
Institute of Geolog); Chinese Acudemy ($Sciences, Beijing. People’s Republic of’ China

ABSTRACT: A cusp catastrophe model is presented for instability of planar-sliding slope. The discrimination
formula for rapid and slow landslide is given and the stiffness effect instability theory is established.

1 PRESENTATION OF THE PROBLEM not a fixed value, so it is not reliable to evaluate

slope stability, neglecting the evolution of the slope
According to the traditional limited equilibrium evolution, merely according to the safety factor for
method of rigid body, the safety factor of slope is one certain state.
defined as the ratio of sliding force and anti-sliding
force, to evaluate the stability of slope. However,
there is a great shortcoming in this method. To be
understood easily, we take the instability of planar-
sliding slope as an example to explain it. In order to
guarantee the uniformity of sliding, we assume that
the upper part rock mass above sliding plane is rigid
body, sliding plane is composed of two kinds of
media with different strength, the sliding force is
Figure 1. Curve of sliding plane medium,
simultaneously reaching the peak value of strength

where, Fa,,,,= limited anti-sliding force by limited

equilibrium method of rigid body; z,,and % =the
peak value of anti-shearing stress for medium 1 and
2, respectively; L , and L, =the length of medium 1
and 2,respectively.
There is a defect in the above mentioned method .
Observing the curve of anti-shearing stress and
sliding displacement, we can find this method is
proper in the condition that the deformation of two Figure 2. Curve of sliding plane medium, not
media simultaneously reaches the peak value of simultaneously reaching the peak value of strength
strength (Fig.1). But in fact, it is hardly possible for
the two media to reach peak simultaneously (Fig.2),
so we can not calculate anti-sliding force with On summary, when tracing the failure reason of
equation (1). We have met two strange cases in the limited equilibrium method of rigid body
practice: landslide with safety factor more than 1 is sometimes, we should pay more attention to the
unstable and landslide with safety factor less than 1 defect of theory itself, rather than only consider the
is stable. I think the anti-sliding force by equation (1) unreasonable values of parameters of rock
is the reason. mechanics. To evaluate the stability of this kind of
Otherwise, it is the safety factor for one certain slope rightly, the new theory is needed to develop.
point by the limited equilibrium method of rigid Obviously, landslide is an unconsecutive and
body. In Fig.2, anti-shearing stress varies with the catastrophic process, and it is more rational than any
creep-sliding displacement U , and the safety factor is of the mathematical tools to describe successive

207
phenomenon for landslide to be described by the
catastrophe theory (Thom 1972), which can reflect
the dynamic instability process of slope. In view of
this, a simple mechanical model is presented to solve
the instability problem for planar-sliding slope, and
a new theory on instability of slope - the stiffness
effect instability theory is proposed by a cusp
catastrophe model in the paper, with which the
mechanical mechanisms of slope instability are
explained.
2 THE CUSP CATASTROPHE MODEL
2. I Mechanical model
Supposing the sliding plane as non-uniform weak
intercalation, upper part rock mass above the sliding
plane as rigid body (Fig.3), e s l o p e angle, psliding
plane dip angle, H=vertical height of upper part rock
mass, h=layer thickness of weak intercalation,
mg=weight of upper part rock mass @gravity
acceleration).
Figure 3. Mechanical model of instability of planar
sliding slope
Due to the sliding force caused by weight of rock
mass, there is a creep displacement U for the rock
mass to slide along the weak intercalation. At some
segments of weak intercalation, media, such as
locked patch, show elasticity or strain hardening
because of high strength of media or smaller
shearing stress, whose capability to resist
deformation adds up with the increasing deformation;
But at the other segments, because of the broken
media, muddying action of water or great shearing
stress, media are with strain softening property after
the peak stress value, whose ability to resist
deformation declines with increasing deformation.
To simplify the analysis and focus on the physical
essence of instability, assume the weak intercalation
is composed of two media with different mechanical
properties, one is elastic, the other is with strain
softening property.
The constitutive equation for the elastic segment
of weak intercalation is
208
where, G,=shear modulus; u*=critical displacement
of unstable point; z,,,=residualanti-shearing strength.
The constitutive equation for segment with the
strain softening property (Qin 1993) is
= G, ~ e - " ~ l i c (31
h
where,G,=initial shearing modulus; u,=displacement
at the peak value of stress (Fig.4). It is easily known
u,=221,, slope is equal to -G,e-'lh, at the turn point of
the curve, by the equation (3).
Figure 4. Curve of two media
2.2 Cusp Catastrophe model
In the system shown in Fig.3, the overall potential
energy is equal to the sum of strain energy and
sliding potential energy. The total potential energy is
where, I,, l,=the length of sliding plane with strain
softening and elastic property, respectively, I,+
l,=H/sinp. According to the catastrophe theory, we
can choose U as state variable to make cusp
catastrophe theory analysis by the equation (4).
Above all, according V'=O,the equilibrium surface
equation is expressed as
v' - G A ue-lIIu" +---u--mgsin/3
Gel, (5 1
h h
Apparently, this above equation is balancing
condition of forces. The cusp is solved by the
smoothness property of the equilibrium surface,
V "=0 at cusp, that is
and further, we can get
u=u,=2u, (7)
That is, the displacement value at cusp is exactly one
at turn point of the constitutive curve of medium
with strain softening property.
 Make Taylor extension with reference state u l , for
the equation ( 5 ) , neglecting the forth order item and
more, substituting (6) into ( 5 ) , we can obtain
Carry out variable substitution for equation (8), in
order to transform it into typical form of cusp
catastrophe. The equilibrium equation is
where,
x=( U-U I)/ul (10)
softening property is not more than 1. The smaller is
the stiffness of medium with elastic property and the
greater is the stiffness of medium with strain
softening property, the more possible is for slope
system to cause catastrophe. The necessary
catastrophe condition depends on internal properties
of system because the stiffness ratio depends on
geometric dimension and material characteristic of
system. If media of weak intercalation are wholly
hardening (the medium with strain softening
property is not exist) or one segment is with elastic
property and the other is with ideal plasticity, that is
analogous to k+co, landslide will not happen.
When across the left branch of bifurcation set,
b<O, the corresponding points stand unstable state,
value x has a jump. Combining equation (9) and (1 5 ) ,
we can determine the critical deformation value of
unstable points as follows

U* = uI[1--(1-
Jz
k)”’] (1 8)
2
When control variables meet

k=G,l,e’lG,l, (13) 2(k- 1)3+9(1+k-kg?<O (19)

~mghsinplG,l,u, (14) , show that, although slope is in limited equilibrium

state ,owing to action by internal and external factors,
Parameter k is stiffness ratio, which is the stiffness very small change of those factors also results in
of medium with elastic property divided by the very small change of equilibrium state, which is
stiffness at turn point of constitutive curve of corresponding to slow landslide in nature.
medium with strain softening property; 5 is called as
geometric-mechanical parameter, in relation with
weight of rock mass, geometric dimensions of 3 COMPARISON WITH THE TRADITIONAL
system and mechanical parameters of medium. From STABILITY ANALYSIS METHOD
equation (1 1) and (1 2), control variables a and b are
determined by stiffiiess ratio k and geonietric- We can change equation (1 6) as
mechanical parameter 6,that is to say, bifurcation set
that is possible to take place catastrophe is decided
by mechanical system characteristic itself and is
irrelevant to external action.
Substitute equation (1 1) and (12) into equation of For rapid landslide, h<O, the right side of equation
bifurcation set, (20) uses positive sign, that is

GI) ) - 0.5 e 2
mgh sin p &
uo[l + k + ---(1-
3 k)’”]
We get
The stability factor, defined by ratio of anti-sliding
2(k-1)’+9( 1 +k-ka2=0 (16) force and sliding force at certain deformation U , is
This equation is the sufficient-necessary mechanical
K=G1 “
e-‘i ’“o + kC,l,ue-’
criteria for instability of planar-sliding slope. mgh sin p
Apparently, only when a20, system can cut across
bifurcation set to result in catastrophe, the unstable
necessary condition is z/L
(22)
u , [ l + k + - - -(1-k)3’’]
3
k< 1 (17) It is easily known the stability factor only depends
That is to say, the stiffiiess ratio of the stiffness of on k and ulu,. that is to say, K is relevant to creep-
medium with elastic property and that with strain sliding deformation U and varies as increase U .

209
 When slope evolves to critical state, u=u*, to understand why landslide (slow landslide)
substitute equation (1 8) into (22), we can obtain the possibly takes place when the stability factor
critical stability factor as follows calculated by this method is more than 1.
We can also see that even if K,<1, but is not less
[1 - fi
_ - (1 - k)1/?][edl(l-k)”2
+ kl
than certain degree, the rapid landslide can not occur,
such as k 0 , O.82<K,<l7 not to happen to rapid
KL = (23)
landslide. So we easily understand why slope is still
1+k + &(l-
k)3/2 possibly stable (in this case, slow landslide probably
3
occurs, but during evolution process of slow sliding,
We know from equation (23), KL is only relevant to k.
landslide, affected by environment factors, becomes
Values calculated with equation (23) are listed in
stable midway, and can not evolve into disaster)
Table 1.
when K,<1 , sometimes.
We should note that the evolving path of slope
may change by the external environment, such as
slow landslide will probably change into rapid
K 0.0 0.2 0.4 0.6 0.8 1.0 lands1ide.
K, 0.819 0.895 0.947 0.979 0.996 1.0 We can come to such conclusion from equation
(16) and (19) that slope instability is with close
relation to stiffness ratio k, here, this theory to
It is clear that K, is the smallest at k-0 and KLwill evaluate slope instability is called as the stiffness
add up when k increases. This explains rapid effect instability theory.
landslide will take place when anti-sliding force is
more than sliding force and some condition is met.
But this condition can not be given with the limited 4 INSTABILITY MECI4ANISM OF SLOPE
equilibrium method of rigid body, for which,
landslide will occur when stability factor is less than It is generally thought that slope instability has great
1 and the effect of stiffness ratio is not considered. relationship with water’s action. Acted by water,
It is analogous to condition k=l and is a special shearing modulus of medium with elastic property,
example. becomes lower and its anti-shearing force also
The happening condition can be got for different decreases at the same time, so the stress borne by
stiffness ratio by equation (1 9), whose expression is media with strain softening property
[I - f i (1 -k)l’?][eJ’(1-”“2 correspondingly adds up and its peak strength value
+ kl become lower by water’s action. This coupling
<K, < interaction easily make medium deform into the
1+ k + &(I - k)3”
phase of strain softening after peak strength value.
3
[I - & (1 __ k)”?][e\/2(’”’‘2
+kl
2
(24)
l+k- (1 - k)j/z
3
and which is listed in Table 2.
70
0
k 0.0 0.2 0.4 0.6 0.8 0.9 Figure 5 . Steepening of inclination of the softening
0.819 0.895 0.947 0.979 0.996 0.999 segment of quartzite deformation curve with the
K‘ - - - - - - increase of pore water pressure (numerals on the
2.279 1.595 1.299 1.137 1.043 1.015 curve are pore water pressure, in Mpa)

We can see that when k<l, even if stability factor
is more than 1 but less than the certain critical value
listed in Table 2, rapid landslide can be only judged
not to occur but slow landslide is inevitable to
happen. So the limited equilibrium method of rigid
body is a kind of method to judge whether rapid
landslide will happen or not. Thus, it is not difficult
When it turns to the phase of strain softening.
water’s action makes stiffness add up (Fig.5) and at
the same time also makes stiffness of medium with
elastic property decrease, this easily causes stiffness
ratio less than 1 to result in slope instability. This
process can directly be understood through the
senses, the greater the stiffness of medium with

210
strain softening property, that is, the steeper the
curve T-U after peak strength value, that shows its
bearing capability decreases quickly at certain
deformation, and the elastic segment (locked patch)
will have to undertake larger load, and also bearing
capability of locked patch decreases by action of
water, the locked patch will break for the reason
not to undertake the higher shearing stress, this will
lose its original equilibrium state to cause landslide.

5 CONCLUSION

The problem, such as the slope with safety factor

more than 1 is unstable, but less than 1 is stable, is
reasonably explained. It is pointed out that there is
great shortcoming for the limited equilibrium
method of rigid body.
It is possible to make physical forecasting of
landslide and explain the cause of rapid landslide
with the theory presented in this paper.
To be sure, the above mentioned model and theory
are not too perfect, such as the form of constitutive
equation needs to develop further. But the author
believes that the concept and method proposed in
this paper will have vast developing prospect along
with deeper research on the theory.

REFERENCES

Qin, S. Q. 1993. An introduction to nonlineur

engineering geology. Chengdu: Southwest
University Press of Traffic.
Saunders, P. T. 1980. An introduction to catastrophe
theory. Cambridge: Cambridge University Press.

21 1
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 Slope Stability Engineering, Yagi, Yamagami& Jiang 0 1999Balkema, Rotterdam, ISBN 90 5809 079 5

Ultimate state of a slope at non-linear unsteady creep and damage

S.A.Elsoufiev
Odessa State Universiy, Ukraine

ABSTRACT: Non-linear deformation and ultimate state of a slope under vertical Ioads are considered.
Constitutive equations of a non-linear unsteady creep and a damage (the development of internal defects) are
introduced. Critical strains and time as well as the mode of fracture and ultimate load are found according to
the criterion of infinite rate of strains for a hardening body and the scheme of the perfect plastic media.
Some simple engineering formulae are proposed. The problem of a wedge penetration is also studied.

1 INTRODUCTION should be solved together with boundary conditions

The complications in soils behaviour do not allow to =

‘c(+~) o, oe(-h)= o, oe(k)= -p.
assume a single rheological law for all the earths. (2.2)
Great difference between the properties of a sample
and an element of a material in a structure makes Strains E F -Q,y subdue to the compatibility equation
difficulties in the usage of the Media Mechanics
methods. In this situation it is convenient to apply to rd(d(r2ee)/rdr)/dr- d2~e/d02= d(r&y/&)/dr. (2.3)
objects’ strength computation comparatively simple
constitutive equations with the determination of their The stresses are linked with the strains by the
parameters from the data on the structures rheological law (Elsoufiev 1978)
mechanical behaviour.

2 MAIN EQUATIONS
Here ye = d ( 2 ~ r+) ~$ - an equivalent strain, o - a
For a slope under loads P, in polar co-ordinates r, function of time t, p - an exponent of the hardening
8 (Fig. 1) static expressions for stresses Gr, law. The experiments (Elsoufiev, 1982)show that
zro ‘I:
~

(2.4) is valid at a monotonous loading while the

equivalent strain does not diminish. At stepwise or
a(ror)/dr -k - = O, doe/d0 + 2T = O (2’1) interrupted stress change equations (2.4) may be
used for the parts in which the equivalent stress is
not less than on the portions before it, if the time is
calculated from the beginning of the new loading.
The correlation of (2.4) with test data is better for
unsteadier creep. When the influence of time is
negligible expressions (2.4) turns to be the
constitutive equations of the plasticity theory. Basic
law (2.4) may be easily generalized for quasi-brittle
rupture(see below) that takes into account a damage
(the development of internal defects) that induces
the third parts of creep curves, the growth of materi-

213
als volume, the fall of critical strains and time for the similar way the cases m >2 and m <2 may be
not enough plastic media and other effects. studied, when with consideration of the symmetry
demands we have respectively

3 SOLUTIONS FOR ELASTIC AND

HARDENING AT CREEP BODIES
The constants D1, D2 can be found from (3.2) as
3.1 Elastic solution above. At p = 1 we have the result of 3.1 at h = n/2.
For practical purposes it is interesting to
The common solution may be received by the establish the dependence of yo,/P-value on angle 0.
superposition method when we have (Fig. 1) From (3.6) and well-known formulae of tensor
transformation we have for m = 1,2,4 respectively
z = Co(cos20-cos2h), 0 0 = Co(20cos2h-sin20) - p/2,
CTy( 1) = -(2Pcos40)/ny, oy(2)= -(Pcos30)/2y,
or= C~(20cos2h+sin28)-p/2+(Acos0+Bsin0)/r,
(3.1)
CTy(4)= - (o.4P(cosh2d~0)"4cos30
)/y.
where
The corresponding diagrams C T ~ = F(0) are
-
CO = (p/2)(sin2~ 2hcos2~)-' constructed in Fig.2 by solid, dashed and interrupted
by points lines and we can see that with the increase
and constants A, B can be found from integral static of m-value the distribution of the stress becomes
conditions more even.

h
Psinh = -Irorcos0d0, Pcosh -Srorsin0d0 (3.2)
-h -h
which give

A = -Psinh(h+O.Ssin2h)-', B = -Pcosh(h-O.Ssin2h)-'.

3.2 Non-linear solution.for the case p-0

Here as in 3.1 we suppose = z =O and from the

first static equation (2.1) we find

or=f(0)/r (3.3)

and according to rheological law (2.4) we have

E, = -E@ = Q(t)r-"g(0), (3.4)

wherein m = p-', g = f" and function SZ is linked

with a.Putting (3.4) into compatibility expression Fig.2
(2.3) we find
In order to appreciate the results we compute for
g"+ p2g = 0. (3.5) the case m = 1 the distribution of oyalong axis y
under the concentrated load as well as under the
Here p = dm(2-m), and " denotes the second centres of the stamp and uniformly distributed load
derivative by 0. The solution of (3.5) depends on on the length (-1,l) where we have respectively
the m-value.
If m = 2 g = C0 + D and due to the symmetry GU/q=4(iiY)in,oy/q =(2/~)(
1+2(~/1)~)(
1+ ( ~ / 1 ) ~ ) - ~ / ~ ,
condition C = 0 and constant D may be found from
(3.2). For the case of h = rc/2 we find <Tr = -P/2r. In os/q= 2(tan-'(l/y)+(y/l)/( ~+(y/l)~))/n.

214
Here q = P/21 and from Fig.3 where by solid, dashed
and interrupted by points lines the diagrams Oy=
=F(y/l) are constructed we can see that at y>41
these Curves practically coincide. AS with the growth
of non-linearity the stress distribution becomes more
uniform we can expect that solution (3.6) can be
valid at least in the above shown limit.
Sokolovski 1969 integrated (3.8) for p = 1/3, y<n/4
and received curves y = ~ ( e )T~, = ~ ( h ) where
, T~=
=((or- oe)*/4 + T*)”* - the maximum shearing stress.
The latter curve is shown in Fig.4 by dashed line.

Fig.4

Here we integrate (3.9) by the finite differences

method at boundary condition CD(0) = 1. Then we
integrate expression dWdy = -CD at border demand
Fig.3 8(n/4) = 0 which also gives condition 8 = h at y = 0.
Firstly we considered the case p = 1 when we have
3.3 The non-linear solutiorzfor the case P = 0 the rigorous solution (see 3.1) which in the new
variables here is (upper sign refers to h > n/4)
Here we suppose that the strains and stresses do not
depend on r (Sokolovski 1969) and putting
representation
cos28 = (1 - CD +cos22h)((2 - cD)cos2h)-I

The calculations by a computer reveal good

agreement with these formulae . It allows to use the
scheme above for other p-values. In Fig.5 diagrams
into (2.3) and (2.1) respectively we derive
y = y(8) are shown for different h which
practically coincide for 1-1 = 1,2/3, 1/2 and 1/3.

that at p = I gives the solution of 3.1 at P=O.

Fulfilling the operations in (3.8) we find the
second order differential equation that is shown only
in a common form i n the Sokolovski‘s book, 1969.
Replacing in it CD = -d8/dy we receive

+ 1 - 2/Y), (3.9)
tan2y(dCD/dy) = 2@(1-@)((@-1)/p

where
Fig.5

215
 When function ~ ( 0 is) known the z,-value may Here we again suppose z’= 0 that gives z“’=O and
be found from the equation following of (2.1), (3.7) with consideration of (2.1),(2.2)-the following result
and boundary condition (2.2) for cig as

h
dxe/zedO+ 2 ( d ~ / d 0+ l)cot2y, p = 4!zesin2~d0
0

that in combination give for maxx, =x,l= z,(O)

(h2d4) the equation
h 8
p=4~,l!sin2~exp(-2!( l+dy/d0)cot21yd€l)d8 (3.10)
0 0
Computations show that for p-values above
diagrams z,= F(h) are near to the solid line in Fig.4.
It may be explained by the absence of p in (3.10)
and the vicinity of curves in Fig.5 (for h equal to
n/4 and n/2 the straight lines coincide at all p). That
allows to use the solid curves for practical purposes.
In order to use the criterion of infinite strains at
fracture (Carlsson 1966) we write similar to (3.4)
From Fig.4 where the latter expression is shown by
the interrupted by points line we can see that this
solution may be used at least as the first approach.
4. PENETRATION OF WEDGE INTO SOIL AND
CONNECTED WITH THIS TASK PROBLEMS
Here we suppose as everywhere in Soil Mechanics
compressive stresses to be positive and use the
Mohr’s diagram for the ultimate state (Fig.6),.
where cp is an angle of repose and c - the cohesive
factor.

Here e - the Neper’s number, a - a damage factor

and E = As at 8 = 0 ci, = 00, then E, = €0 = 0, E =
= y/2 and according to the criterion dddt +m we
have from (3.1 1) the critical values (denoted by *)

As E = E* acts under angle n/4 to the line 8 = 0 the
destruction should begin on the line OH (Fig. 1).
In order to get simple engineering formulae we
put (3.1 1) at a = 0 into (2.3) which gives
Fig.6
Fig.6 allows to find many important formulae. In
particular we have for main stresses

+ ~(T~)”’-’)(T,’
((rn-l)(~,)’”~3~~2 + 42) = C2. (3.12) 0 3
=(,ic 1 k sincp) rt cxcoscp (4.1)
where C2 is a constant. According to the symmetry
01
demand ~ ’ ( 0 =
) 0 and taking this condition for the
whole wedge we get from (3.12) (zJn-’(z/, + 42) = and construct the simple fields of slip lines that are
= C2/4 which at m = 1 gives the solution of 3.1. To inclined to the planes of maximum and minimum
exclude C2 from (3.12) we differentiate it as stress action under angles n/4 -t 9/2. Another field
follows of this kind consists of straight lines r with the same
origin and inclined to them curves described by
equation

+42))(z”+4z)z ’+4(Q2(m-
( 1)z + 4(Q2)
(z, ’+4z’)=O.
r = r0exp(8tancp). (4.2)

216
From Fig.6 we can also derive
o, = Hexp(20tancp) - c/tancp. (4.3)
We construct the field of slip lines at the wedge
penetration as in Fig.7 and suppose that A 0 is a
straight line. From the Figure we compute that it is
inclined to the horizon AK by the angle h - v and we
Fig.7
have for the segment KE lcosh - h = llsin(h-v), and
from the equality of triangles AOG and GKD for the
material of constant density we compute
h’tanh=( 1I)’sin( h-v)(cos(h-v) + sin(h-v)tank). (4.4)
From geometrical considerations we find 11 = al,
where a = (1 - sincp)exp(-vtancp)/coscp, and h =
Il(acosh - sin(h - v)). Putting the latter expression
into (4.4) we derive the formula linking angles h
and v as
(4acosv + sin2v)tan2h - 2(a2 - C O S ~ V+ 2asinv)tanh -
- sin2v =O. (4.5)
Now we find the ultimate load. In triangle AOB
01 = 0 = 0 and from (4.1) qn(1 - sincp) = cxcoscp,
but from (4.3) o,,,= H - c/tancp, and so H = c/(l -
sincp)tancp. In the same manner for triangle OCD
where 03 = p., 0 = v we find from (4. l), (4.3)
p+= H( 1 + sincp)exp(2vtancp) - c/tancp
and with consideration of H-value we derive finally
p. = c(( 1+sincp)exp2vtanv/(
1-sincp) - l)/tancp. (4.6)
Lastly of static conditions we find P, = 2lp,sinh and
from diagrams PJ21c = F(h)in Fig.8 we can see that
P, increases with the growth of h and cp. It may be
217
much bigger its value for an ideal plasticity, where
cp = 0, c = zyi- the yielding limit at shear.
Fig.8
At v = 2h - n/2 we find from (4 6 ) the ultimate
load for a slope (Figl), and if v = n/2 we have the
well-known so-called second ultimate load for a
foundation with depth h in the soil with the weight
of its unit 6
P,, = (6h + c/tancp)(I+sincp)e”t””’P(1-sincp) - c/tancp.
5 CONCLUSION
In the same manner other problems for a non-linear
soil at unsteady creep can be solved: a strength of a
thin layer at tension or compression; the stability of
retaining wall, as well as of cylinder, sphere and
cone under internal and external pressure; a flow of
a material between two foundations, inclined rigid
plates and in a cone; the bearing capacity of piles
and sheets of piles; propagation of cracks and plastic
zones near stamps edges etc..
REFERENCES
Carlsson, R. 1966. Creep induced tensile instability.
J. of Mech. Eng. Sci. 7, 2: 218-229.
Elsoufiev, S. !978. On one scheme of determination
of ultimate creep strains. Strength of Muter. 10.
Elsoufiev, S. 1982.The use of simplified rheological
rules for describing the processes of deformation
and fracture of materials.Sov Mut.Sci. 13,1:62-65
Sokolovski, V. Theoiy ojplasticity. 1969.(In Russ.).
This Page Intentionally Left Blank
 Slope Stability Engineering, Yagi, Yamagami & Jiang 0 1999Balkema, Rotterdam, ISBN 90 5809 079 5

Application of FEM on the basis of elasto-viscoplastic model to landslide

problems

Hiroaki Fujii, Sin-ichi Nishimura & Kiyoshi Shimada

Faculty of Environmental Science and Technology, Okayama UniversiQ Japan
Toshio Hori
WESCO Incorporated, Hyogo, Japun

ABSTRACT : This paper discusses the applications of FEM on the basis of the elasto-viscoplastic model to landslide
problems. Fluidity parameter y which governs the time dependent behavior of landslide, is determined from the com-
parison of the calculated displacement of landslide with the measured in the Site. Concluding remarks are as follows:
1)The fluidity parameter identified from five typical landslide Sites is within the range of 1* 10-5+7*104(day-’);2)The
effect of dewatering method was proved by the proposed method; 3)Using this model, it may be possible to make pre-
dictions on the future trend of deformation.

1 .Introduction The viscoplastic strain rate is expressed by the

next equation based on the excess stress model and
The numerical method is discussed to predict the associated flow.
landslide behavior in this study. Particularly, the fi-
nite element method based on the elasto-viscoplastic
model (E-VP FEM) is described here. By E-VP
FEM, we can analyze the rheological (time depend-
y :fluidity parameter, @ ( F ):flow function,
ent) deformation behavior of landslide.
E-VP FEM is applied to some actual landslide 0 :stress vector, F : yield function
Sites in this paper. The measured displacement of
the landslide surface is compared with the calculated Mohr-Coulomb’s failure criterion is used as a
one. Then, the fluidity parameter y that is one of yield function here, and it is defined as follows.
the parameters constituting the elasto-viscoplastic (0’ - 0 ’ )
model and governs the deformation velocity of F = 1 + 0;).
- C’ . cos$’ - (0; sin$’
2
ground is identified in some landslide Sites. Finally,
the range of value of the parameter was grasped C’ : cohesion based on effective stress,
roughly in the actual landslide Sites. : internal friction angle based on effective stress,
0;,D; : maximum, minimum, effective principal
2. Elasto-Viscoplastic model’)’2) stress, ,o3:total stress
0,

2.1 Basic concept qf Elasto- Viscoplastic model ) - U , o3- U ) , u :pore water pressure
( o ; , ~=;(0,

The behavior of the soil is assumed to be elasto- In this research, the following simple function is
viscoplastic in this researchh the elasto-viscoplastic assumed concerning @ . That is,
theory, the strain rate is obtained by (i= ke + iVp
) as
summation of the elastic strain rate€, and the visco-
(x> 0) -+ (I+)) = 1, (x< 0) + (@(x))= 0
plastic strain rate ivp. Here, the time differentiation It can express viscoplastic behavior of the land-
of stress vector is obtained by the next equation ac- slide well enough. It is shown by the following ex-
cording to the elastic strain rate. amples.
ci = D i e D : elasticity matrix

219
2.2 Meaning of 7 and flow of the analysis
Site geology length width Pt c 6 ’ measurement velocity
(mm/Y)
A decision method of y has not been established
yet. Therefore, it is decided by the trial and error, so A Paleozoic 210m 120m 22.5 0 33.4 inclinometer 5-12
I
that the analytical and measured value agree with
B ” 600m 320m 19.6 19.6 23.4 extensometer 400-
each other well in this research. Here, the measured 3,300
values are obtained from the inclinometer and the C Tertiary 70m 30m 17.6 7.8 17.4 ” 80-100
extensometer in the actual landslide Sites.
The analytical values are compared with the D Mesozoic 18Om 90m 19.6 0 26.7 inclinometer 10
measured in many places of landslide Site and corre-
sponding y is determined at each point. The range P ,:unit weight(kN/m’), C :cohesion(kPa), d, :internal friction angle(- )

and the difference of y in the various points are

considered and the representative of the landslide
Site is determined. The representative in the objec-
tive Site is used as an analytical parameter. Finally,
the history of the landslide and the prediction of the
future displacement can be discussed according to
the result of analysis.

3. Application to Site A3’landslide

Figure- 1 Inclinometer (Site-A)
3. I Analysis condition

The outline and the movement situation of the

landslide in Site A are shown in Table-1. The posi-
tion of inclinometer 12, 11, and I3 in the landslide
block is shown in Figure-1.
As for the landslide activity of Site A, there is no
information about the initial movement. Here, it is
assumed that the initial movement was caused, when
the tail of the slope was cut for the improvement of
the highway. The cut spot is coincide with the end of Figure-2 Element division chert
the sliding surface. Various investigations and the
measurements were started 4,00Oday( = 11years) af- Table-2 Parameter of Site-A
ter the landslide start based on the assumption. The Pt E v c’ 6’
horizontal displacement is used for the comparison Surface 19.6 17,640 0.31 9,800 24.6
of the analytical with measured. Sliding 23.1 - I’ - 33.4
Base rock 22.5
4,900,000 0.25 9,800 45.0
3.2 Modeling qf stratum a n d n i t e elements 0 ,:unit weight(kN/m3), E : modulus of elasticity(kPa), v :
poisson’s ratio, c : cohesion(kPa), d, : internal friction angle( )

The finite element model is shown in Figure-2.

The stratum classified into three layers, “Surface”,
calculated displacement
“Sliding”, and “Base” as shown in Figure-1. The ( = 1 x IO-’) measurement
material parameters of these layers are shown in Ta- point ‘y ‘U

t=O 4000 8ooo average fitting Y

ble-2. The horizontal displacement corresponds to 7 7

the surface and the sliding surface are used for I2 : surface 43.2 cm 0.92 0.71 0.75 1.1 XlO-’
analysis. The positions of the bore holes for the in- : sliding 7.9 ’1 1.14 0.45 0.50 1.1 XlO-’
clinometer I2, I1 and I3 are given in Figure-1. The I1 : surface 42.4” 1.05 0.67 0.82 1.2X10-5
highest water level of the past during the measure- : sliding 8.4 ’1 1.09 0.94 0.77 0.8X 10”
ment period is shown in the figure.
I3 : surface 22.2 1’ 1.04 0.96 1.18 1.2X lO-’
: sliding 6.2” 1.10 0.79 0.80 1.0X10-5

220
3.3 Analvsis result and considerations

The value o f y which corresponds to the meas-

urement is within the range of (0.8-1.2) X 10-5(day-')
according to an analytical result. Table-3 gives the
analytical and measured results of the displacement
velocity and identified y -values in the six points.
Fig~re-3~ shows
) the relation of the surface dis-
placement of I2 point and the elapsed time in the
case that y =1.O* 10-5(day-').Here, the displacement
obtained by this analysis can be divided into the
elastic component and viscoplastic component. In
Fig.3, the analytical displacement is added to the
measured one so that the measured and analytical are
coincide with each other at the 4,000 days.
According to the result, the analysis predicts the
surface displacement of I2 point well, while on the
sliding surface the analysis a little underestimates the
displacement velocity. Almost similar results are
obtained in I1 and I3 points. From the analytical re-
sult, ~ = l . o * l O (day-')
-~ is adopted as a fluidity
parameter in Site A.

3.4 Prediction qf displacement

The deformations of slope on the t=5,050 day and Figure-3 I2 point displacement
t=l1,362 day after are shown in Figure-4. In the fig-
ure, the dotted and solid lines mean the initial and
deformed states respectively, and the displacement
scale is extended 50times.

4. Application to Site B * C * D landslide

4.1 Outline of Site B -C -Dlandslide

The outline of the landslide and the movement

situations of Site B5),6)37), Site C *), Site D9' are
shown in Table- 1.
Site B : The displacement had been measured by
the extensometer during 1989-1990. Due to the de- Figure-4(a) A-Site displacement
watering well or bore hole in the measurement pe-
riod, the displacement velocity measured by the ex-
tensometer decreased as follows. At the head, from
2 . 5 d d a y to 0.70mm/day, in the middle part, from
l.lmm/day to 0.43mm/day, and in the end part, from
9. lmm/day to 5 . 0 4 d d a y .
Site C : Small-scale cutting was conducted in the
vicinity of the center in the landslide block. The dis-
placement of extensometer about six months after
construction, is accumulated in the tensile direction.
The displacement velocity is 0 . 2 2 d d a y at the
landslide head and it's 0 . 2 8 d d a y in the middle
part. Figure-4(b) A-Site displacement

22 1
 Site D : The displacement shown in Figure-5 is ob-
tained by the inclinometer in the landslide block in
Site D.

4.2 Modeling of Site B -C *D

We divides into three zones of "Surface", "Slid-

ing" and "Base", and Table-4 shows the material
parameters of each zone. The finite element mesh is
also shown in the figure.

4.3 Fluidity parameter 7 of Site B .C *D

The highest ground water level of the past was

used in the analysis. The time-horizontal displace-
ment relationship is shown in Figures-6, 7 and 8.
Adopted values as the representative of yin the fig-
ures are 7*10-4(day-1)in Site B, 2*10-4(day-')in Site
C and5*10-5(day-') in Site D. The result of analysis
correspond to each Site is described as follows.
Site B : The parameter y is identified to be 1.2*10-3
(day-'), 7.1 *10-4(day*')and 9.5*10-4(day-')from the
measured displacements at the head, middle and end
zones respectively. According to Figure-6, the analy-
sis underestimates the displacement compared with
measured in the head and end zones, while in the
middle zone, calculated displacement agrees well
with the measured, y =7* 1O-'(day-') is adopted as a
representative value.
Site C: The parameter y is identified to be 1.9* 1OU4
(day-') and 2.2" 10-4(day-') from the measured dis-
placements respectively. According to Figure-7, an
analytical result when we use y =2* 1O-'(day-') that
is the average value of above-mentioned values. The
calculated displacement agrees well with the meas-
Figure-6 B-Site displacement

ured, though the observation period is shorter than

other Sites.
Site D: The parameter y is identified to be 5.0* 10-4
and 1.4*1O-4(day-') from the measured displace-
ments of the surface and the sliding surface respec-
tively. In Figure-8, the former value 5.0*10-4(day-')
is used. In this case, measured displacement of the
sliding surface exceeds the calculated and varies
widely. On the other hand, the calculated and the
measured displacements of the surface are corre-
sponding well. Here, y =5 * 1O-4(day-') obtained by
the measured displacement on the surface is adopted
as a representative value.

Figure-5 D-Site Inclinometer

222
4.4 Dewatering effect in Site B Table-4 Parameter of sliding layer (B,C,D)
parameter of sliding layer
An analytical result in the head of landslide, the Site displacement( mm/y)
o t ( l < ~ / m ~c) ~ a $) ( " I
middle zone, and the end zone is shown in Figure-9.
An analytical value of the displacement velocity at -?.zoo
,_- -
any point roughly agrees with the measured. In this
7.8 17.4 extensometer 80-100
calculation, it is assumed that groundwater level de-
creases to the sliding surface after the drain con- 19.6 0 26.7 inclinometer 10

the landslide behavior caused by the change of the

pore water pressure is predictable.
It is extremely difficult to evaluate the effect in the
design stage. Currently, the evaluation of the im-
provement effect is based on the observed ground
water level in the bore holes or the observed volume
of drained water. It is clarified the displacement
measurement is more effective for the evaluation of
the construction effect.

5. Conclusions

The representative y of the each Site is shown Ta-

ble-5. The value of y of Site A or D whose land-
slide is not active is small. On the other hand they
of Site B or C whose landslide is active are larger
than Site A and D. The obtained finding is surnma-
rized as follows.
(1)Site A, on the assumption that various measure-
ments were started 4,000 days( % 11y) after the initial
movement took place, we have compared the ana-
lytical value which is calculated by the material
parameters obtained from the conducted laboratory
soil tests and the identified parameter from the
measurement value of inclinometer 12, I1 and I3 in
the hole points. It turned out that the fluidity
parameter of this Site is y=l*lO-'(day-'). The cal-
culated displacement of the surface in each point
was adjusted to the measured to identify the fluidity
parameter y here.
(2)The fluidity parameter obtained by four typical
landslide which include Site A is within the range of
1*10-5-7*10-4(day'1). Moreover, there is great pos-
sibility that landslide is affected by geological fea-
tures. The older the geological features age is, the
smaller y is. The characteristic of yis clarified
by investigating deferent types of landslide cases and
accumulation of the identification.
(3)As for B Site, the effect of the dewatering
against the landslide is confirmed by comparing the
calculated displacement after the dewatering con-
struction with the measured one by the extensome- Figure-9 B-Site drainage
ters. Thus, the landslide behavior after construc-

223
tion is predictable by comparison of the measured
and the calculated displacement.
(4)The analytical technique shown in this study, E-
VP FEM is based on the comparison of various
measured data with the calculated and some kinds of
ordinary soil tests. The proposed method seems to be
practical to analyze a lot of types of landslide area.
However, the method of deciding the fluidity pa-
rameter y which governs the visco-plastic behavior
of landslide, depends heavily on the observation of
landslide movement. Some problems remains to
establish the better prediction method as follows.
1) Many of the measured displacement always
change the pattern by the influence of rainfall. The
accumulation of an analytical case with the tech-
nique to consider variable pore water pressure.
2) The method of identify the initial movement of
landslide is necessary considering the geological
property of the Site.
-Table-5 The Parameter y of A,B,C,D Site
landslide velocity
Site
length width ( d y ) day-’ lllI17/y
A Paleozoic 210m 120m 5-12 lX10-5 3 x 1 0 - ~
5) Ryousuke Amiki, Hiroyuki Nakamura, Kazumi
Itou : Measurement result and the predict of
Pore water pressure on a certain landslide area,
Landslide Academy research & lecture thesis
collection of 1990 term,pp.244-247,1990.
6) Tatsuo Iinuma, Masatate Funazaki, Tsuyosi
Yauchi : Geographical & geological features
consideration to large-scale landslide, Landslide
Academy research & lecture thesis collection
of 1991 te1-m~pp.33-36,1991.
7) Hiroyuki Yoshimatsu, Michio Takeshita,
Ryousuke Ichikawa : Measures worker and the
construction effect of Kuchisakamoto landslide
in 6. Pref.,Landslide Academy research
& lecture thesis collection of 1991 term,pp. 149-
152,1991.
8) Susumu Hoshino, Tamotsu Yoshida : The meas
-urement of the displacement on Rikushinai
Landslide in Hokkaido Furubira-cho,Landslide,
vo1.7-3,pp. 1520,1971
9) Masabumi Yuube, Norio Yagi, Ryuuichi Yatabe,
Meiketu Enoki : Characteristic of behavior of the
Chichibu belt Kitaobiutiki district landslide and
landslide clay, landslide Academy research &

B I! I O4 2 x 10”
600m 320m ~ o o ~ 3 70X01~
lecture thesis collections of 1991 term,pp. 114-
117,1990

C Tertiary 70m 30m 80-100 2X104 7 X 10”

D Mesozoic 11Omi 9Omi 10 i5X1O4 1 x 1O4

-
References
1) Yoshiaki Yamada : Finite element method of
plasticity, Science & Technology publisher inc.,
pp. 26-28,pp.96- 1 OO,pp.283-285,1988.
2) 0wen.J & Hinton : Finite Elements in Plasticity,,
Theory & Practice, 1980.
3) Hiroaki Fujii, Toshio Hori, Kiyoshi Shimada,
Shinichi Nishimura: Some considerations concerni
-ng precipitation and amount of movement on
landslide area, Ground EngineeringVol. 10-1,pp
13-24,1992.(Geotechnical engineering society
Chugoku branch thesis report collection)
4) Hiroaki Fujii, Shinichi Nishimura, Toshio Hori,
Kiyoshi Shimada : Application of FEM on the
basis of Elasto visco-plasticity model in a certain
landslide area, Ground Engineering,vol. 1 1-1,pp. 11
- 1,pp. 11-23,1993.(Geotechnical engineering
society Chugoku branch thesis report collection)

224
 Slope Stability Engineering, Yagi, Yamagami & Jiang 0 1999Balkema, Rotterdam, ISBN 90 5809 079 5

Coupled excavation analyses of vertical cut and slopes in clay

T. Hoshikawa & T. Nakai

Department of Systems Management and Engineering, Nagoya Institute of Technology,Japan
Y. Nishi
Deparhnent of Civil Engineering, Nagoya Institute of Technology,Japun

ABSTRACTS: Soil-water coupled analyses of vertical cut and slope excavations are conducted to investigate
the behavior of an excavated ground in clay. In this paper, an elastoplastic model for clay named the tij-clay
model (Nakai & Matsuoka 1986) is extended to one which can describe the behavior of over-consolidated
clay. To take into consideration the influence of stress history including over consolidation, the subloading
concept (Hashiguchi 1980) is introduced into the model. Employing this model, finite element analyses are
carried out on normally and/or over consolidated grounds. The difference of time dependent behavior of
excavated ground between normally and over consolidated states has been discussed on the basis of numerical
results.

1 INTRODUCTION In practice the ground conditions in many

In recent years, there are many cases of excavation
closely neighboring to other structures in urban areas.
Hence, it is necessary to consider not only the
stability of excavated slopes but also the settlement
of ground surface and the deformation of
surrounding ground. The stability of slopes is usually
analyzed by using the theory of rigid-plasticity. On
the other hand, ground deformations are predicted
using elastic finite element analyses in many
practical problems. In excavation problems, it is very
important to take into consideration the process of
the excavation (Nakai et. al., 1995, Nakai et. al.,
1996). Elastoplastic analyses, however, should be
conducted to consider the excavation process on the
mechanical behavior of grounds.
Nakai & Matsuoka (1986) proposed an
elastoplastic constitutive model for clay named the
t,-clay model. This model is based on the tij-concept
(Nakai & Mihara, 1984), can describe the
deformation and strength characteristics of normally
consolidated (NC) clay. The validity of this model
has also been confirmed by using many laboratory
test results. Nakai et al. (1996) discussed the
influence of the construction history on the earth
retaining wall. Model tests and elastoplastic finite
element analyses were conducted on sandy ground.
It was indicated that the settlements and earth
pressures on the retaining walls are very much
influenced by the excavation procedure. Also it is
necessary to carry out elastoplastic analyses in order
to predict the behavior of ground under excavation
accurately.
geotechnical problems are considered to be under
over-consolidated (OC) state. In order to simulate
the behavior of OC ground, the previous model has
been extended to one which can describe the
behavior of OC clay as well as NC clay. In this
extended model, the subloading concept by
Hashiguchi (1980) is introduced. Then, soil-water
coupled finite element analyses are performed for
different excavation times in order to investigate the
change of deformation on the excavated slopes and
vertical cuts with time.
2 ELASTOPLASTIC MODEL WITH SUB-
LOADING CONCEPT
Nakai & Matsuoka (1986) proposed an elastoplastic
constitutive model, named as the t,-clay model for
normally consolidated clay. The yield function of
the t,-clay model has been deduced by assuming
that a linear stress-dilatancy relationship is satisfied
in the tij-space.
Where t, and X are mean stress and stress ratio
respectively according to the tij-concept. The value
of t, at reference state on normally consolidation

225
line (NCL) is denoted as tN0.a and Cp = C,-C, are
the soil parameters.
Now, total strain increment is composed of elastic
and plastic component as follows

(2)

The elastic strain increment of clay is assumed to

follow isotropic Hooke's law

(3) Figure 1. Explanation of t,, and t,,, on the subloading

surface and normal yield surface in tN-tsplane.

Where E, is Young's modulus and v, is Poisson's

ratio for elastic component. It has been assumed that
the plastic strain increment satisfies the associated
flow rule not in the ordinary stress space but in the tii
stress space. Thus it can be given as
d ~ =; A - d f (4)
d tiJ
The above is the outline of the tjj-clay model. Now,
we extend this model by introducing the subloading
surface concept (Hashiguchi 1980). According to
this concept, Equation 1 is modified as Equation 5.
The proportionally constant A of Equation 4 can be
evaluated from the consistency condition df=O.
(9)
In the above Equation, the evolution rule of G can be
defined as Equation 10. In this Equation, the scalar
U should satisfy Equation 11, since the subloading
surface approaches the normal yield surface
monotonically with increase in plastic strain.

(5)

d G = + m for G = O
Where G is the inverse of over consolidation ratio in dG=O for G = l
accordance with the tij-concept and defined by dG<O for G > 1
Equation 6.

We adopted the following function for U for

definiteness, which is monotonically decreasing
function of G.

Where, t,, is given by Equation 7. It is the value of

t, on NCL and can be obtained from present stress
state (e.g. at P in Fig. 1). On the other hand, the
mean stress t,,, corresponds to the volumetric strain Substituting Equations 10 and 12 in Equation 9, the
and is expressed by Equation 8. The mean stresses scalar A of Equation 4 can be obtained as
tN1 and tNlein the tN-t, plane are shown schematically
in Figure 1.

Thus, the formulation of the subloading tjj-clay

model is complete. Due to the presence of the second
term in the denominator of Equation 13, the

226
proposed model can express some features of over-
consolidated clay. Namely, it reduces the magnitude
of strains and increases the strength compared to
those of normally consolidated clay (because
0 < G s 1). This model can describe not only the
strain hardening and softening but also positive and
negative dilatancy, which are typical features of the
over-consolidated clay. For normally consolidated
clay (G=l), the second term of the denominator in
Equation 13 disappears and the present model
coincides with the original tjj-claymodel.
Figure 2. Laboratory tests vs. model prediction for clays
with various OCR.
Now, we will show an example to verify the
performance of the proposed model. Figure 2 shows
the comparison between the observed results of
conventional triaxial compression tests at constant
mean stress on Fujinomori clay with various over
consolidation ratios (OCR=1,2,4 and 8) and
calculated ones by the proposed model. It can be
seen from this figure that the proposed model can
predict well the deformation and the strength
characteristics of clay (stiffness, peak strength,
dilatancy and so on) depending on the OCR. Soil
parameters of Fujinomori clay used in these
calculations are listed in Table 1. An additional
parameter ‘ a ’ of Equation 12 is required for the
proposed model, and the remaining parameters are
the same as the original model.
h /(1 +e,,) 5.08 X 10-’
K. /( 1+e,) 1.12 x 10-2
0 33.7 O
a 0.7
V 0.2
a 0.25
227
3 ANALYSES OF EXCAVATION PROBLEMS
Figure 3 shows the assumed excavation process of
the clay ground. CASE 1 and 2 are slope excavation
of ground. CASE 3 is the vertical cut of ground.
Normally consolidated ground is assumed in CASE
1. Over-consolidated ground in CASE 2 and 3 are
formed in such a way that a uniform load of
q=98kPa is applied on the surface of ground and
unloaded under drained condition. In the excavation
process, ‘gradual’ excavation (tE=10,000hr:A-series)
and ‘instantaneous’ excavation (t,=O:B-series) are
assumed for each case. The ground material of these
analyses is assumed as the Fujinomori clay, which is
used in previous section (see Fig. 2). All these finite
element analyses are carried out using the
subloading tij-clay model and the soil parameters of
Table 1. The coefficient of permeabillity (k) used in
these analyses is O.GxlO~”m/hr.
I NC
Slope
excavation I
n;:::E
e:
OC (q=98kPa)
I
t,=10,000hr
(-
t,=0hr
, CASE1-A CASE2-A CASE3-A
--- CASE1-B CASE2-B CASE3-B
In order to consider the influence of the migration
and dissipation of pore water pressure, coupled
analyses based on Biot’s theory are carried out under
plane strain condition. The mesh of Figure 4 is used
for CASE 1 and 2, while the mesh in Figure 11 is
used for CASE 3. The boundary condition is the
same for both meshes. The bottom boundary is
Figure 4. Finite element mesh of slope excavation
 Figure 5. Computed contours of principal stress ratio for NC ground

Figure 7. Computed displacement vectors

Figure 6. Computed contours of deviatoric strain for NC ground
for NC ground

Figure 8. Computed contours of principal stress ratio for OC ground

228
 assumed to be fixed, and the lateral boundaries are
assumed to be free only in the vertical direction. The
ground water level is assumed at the ground surface,
and the dissipation of pore water is allowed at the
top of the grounds. The initial stresses in the grounds
are calculated from the effective unit weight (y’=
0.93tf/m3) and the coefficient of earth pressure at rest
(&,=0.47). To prepare the over-consolidated ground
in CASE 2 and 3, the grounds were loaded with
overburden stress q=98kPa and then unloaded. The
excavation procedure is simulated by removing l m
thick layers one by one from top to bottom.

3.1 SLOPE EXCAVATION

Figure 9. Computed Contours of deviatoric strain
for OC ground
Figures 5 to 7 show the computed contours of
principal stress ratio, deviatoric strain, and
displacement vectors respectively for CASE 1
(normally consolidated ground). Here, figures (a)
correspond to ‘gradual’ excavations and figures (b)
correspond to ‘instantaneous’ Though
the region with high stress ratio firstly develops just
behind the top of slope in the case of ‘instantaneous’
excavation (see Fig.S(b)), the region moves with
time to the toe of slope and the surface of excavated
ground in the same way as the region for ‘gradual’
excavation. We can see from Figure 6 that though
the region with large deviatoric strain distributes
along the circular zone from top to toe of slope
ground in figure (c), such region is not so clear in
figure (a) even if the elapsed time from the
beginning of excavation is the same. The computed
patterns of displacement in Figure 7 depend on the
elapsed time.

Figures 8 to 10 show the computed contours of

principal stress ratio, deviatoric strain and
displacement vectors for OC ground (CASE 2). We
can see from these figures that deviatoric strain in
OC ground are less than NC ground, but the contours
of stress ratio and deviatoric strain qualitatively
show the same trend.

3.2 VERTICAL CUT

FigurelO. Computed displacement vectors
for OC ground
Figure 11. Finite element mesh of vertical cut
The excavation of vertical cut is simulated by
removing the rectangular domain ABCD from the
original mesh (see Fig. 11). The behavior of over-
consolidated ground under vertical cut is shown in
Figures 12, 13 and 14. As shown in Figure 12(b) in
CASE 3-B, high stress ratio area concentrates in the
vicinity of the vertical cut at the completion of
excavation. With increase of elapsed time, it
progresses toward the excavated surface. In the case
of ‘gradual’ excavation (CASE 3-A, Fig. 12(a)) the
stress ratio distribution shows the same trend as that
of ‘instantaneous’ excavation after t=10,000 hours
from beginning of excavation (CASE 3-B, Fig.
12(c)). It is also noticed from Figure 14 that under

229
 Figure 12. Computed Contours of principal stress ratio for OC ground
Figure 13. Computed contours of deviatoric strain
for OC ground
‘gradual’ excavation the vertical face deforms almost
horizontally. The ‘instantaneous’ pattern in Figure
14(b) is very similar to the ‘gradual’ one in Figure
14(a). But the vertical displacements increase only as
t approaches to 10,000 hours under ‘instantaneous’
excavation. That is due to the migration of pore
water after excavation. Such tendency can be seen in
the distribution of deviatoric strain in Figure 13.
CONCLUSIONS
An elastoplastic constitutive model (tij-clay model)
has been extended to one, which can describe the
behavior of both normally and over consolidated
clay and is named subloding tij-claymodel.
The numerical simulations of slope excavations
and vertical cuts have been performed using the
230
Fig U re 1 4. Coin p u t ed d i sp 1ace m e n t vectors
for OC ground
above-mentioned extended model. In order to
investigate the time depended behavior of the
excavated ground, the computed results of the
ground behavior for ‘instantaneous’ and ‘gradual’
excavation have been compared. It is shown from
the calculated results that the deviatoric strains in
‘instantaneous’ excavation are larger than those in
‘gradual’ one for every case. It is also found from
these comparisons that the behavior of ground is
different depending on the excavation procedure
even if the elapsed time from the beginning of
excavation is the same. Thus, we can conclude that
the simulation of excavation should be conducted
using coupled analysis and appropriately considering
the excavation process.
ACKNOWLEDGEMENTS

The first author acknowledges the financial support

of the Japan Society for the Promotion of Science
(JSPS).

REFERENCES

Hashiguchi, K., 1980. Constitutive equations of

elastoplastic materials with elasto-plastic
transition, J. Appl. Mech., ASME, Vol. 47, pp.
266-272.
Nakai, T., Kawano, H. and Hashirnoto, T., 1996.
Prediction of earth pressure and settlements due
to excavation: influence of wall deflection
process and wall friction, Proc. of Geotechnical
Aspects of Underground Construction in soft
Ground, Vol. 1, pp. 127-132.
Nakai, T. and Matsuoka, H., 1986. A generalized
elastoplastic constitutive model for clay in three-
dimensional stresses, Soils and Foundations, Vol.
26, NO. 3, pp.81-98.
Nakai, T. and Mihara, Y., 1984. A new mechanical
quantity for soils and application to elastoplastic
constitutive model, Soils and Foundations, Vol.
24, NO. 2, pp.82-94.
Nakai, T., Xu, L. M., Kawano, H. and Hashimoto, T.,
1995. Influence of construction history in
excavation, Proc. of 10'" Asian Regional
Conference on Soil Mechanics and Foundation
Engineering, Vol. 1,329-332.

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 Slope Stability Engineering, Yagi, Yamagami & JiangO 1999 Balkema, Rotterdam, ISBN 90 5809 079 5

Effects of a deep excavation on a potentially unstable urban hillside

in San Marino

G-Gottardi, G. Marchi & L.Tonni

DISTAR7; University of Bolognu, ltuly
E Bianchi
Engineering Service,FuenTa, Ituh

ABSTRACT: The paper reports the geotechnical engineering aspects of a deep, complex excavation into an
urban hillside in the Republic of San Marino for a multi-storey building. The soil to be excavated was
principally a highly over-consolidated, pliocenic silty clay and slickensided slip-surfaces - formed during
historic iandslips in it - were positively identified during site investigation. The new permanent excavation,
inore than 100 m long, progressed in front of a retaining wall of contiguous bored-piles of 800-1000 mm
diameter. During and after construction ground movements in the hillside were monitored by three
inclinometers which detected the re-activation of earlier landslip surfaces and other, smaller but deep-seated
movements. The relevant topography and soil stratigraphy, coupled with congested urban development, are
quite common in San Marino and the surrounding region (Marche and Romagna, Central Italy) and, therefore,
achieving a satisfactory and safe construction and monitoring methodology for deep excavations in them is of
considerable economic importance.

1. INTRODUCTION pavement. Causes of displacements, their monitoring

The paper reports the geoniorphological and
geotechnical aspects of a deep, complex excavation
into an urban hillside in the Republic of San Marino
for the construction of a new shopping centre. The
Republic of San Marino is an independent State,
located in Central Italy, contained between Marche
and Romagna regions (see map in Fig. 1).
A multi-:torey commercial building over an area
of 10000 in- had to be constructed in the circled area
at the bottom left corner of Figure 1. The basement
level of the new building was planned to be at a
depth of 7.5 m with respect to the previous surface
level (with an estimated amount of excavated soil of
100000 m3) and up to a maximum of 13 in below the
dual carriageway, heavy traffic road, running
immediately above the hillside and leading to the
main city centre. Excavation work started in
September 1997 and ended only in May 1998, after
the construction of a contiguous bored-pile wall,
incorporating three tiers of reinforced concrete
waling beams restrained by ground anchors.
From the start of excavation, clear evidence of soil
displacements (concentrated along the bedding plane
discontinuities of the existing formation) appeared in
front of the excavated cuttings. Furthermore, small,
but alarniing, cracks appeared in the major road
and the prediction of possible further movements
which might develop during and after completion of
the excavation work, were all studied intensively.
According to vertical cracks and local failures of
preexisting masonry walls and to records of
continuous road pavement repairs in the past,
shallow slope movements had already occurred, well
before excavation work started.
The main question was therefore whether the new,
but closely similar, soil movements were to be
simply related to the stress level reduction induced
by the excavation or, on the contrary and more
worrying, to the activation of a major deep-seated
slope movement (Bertuccioli et al., 1992).
2. GEOLOGICAL SETTING
The area shown in Figure 1 is a typical example of
the geologically complex situation of the Northern
Apennines towards the plane borders (Colleselli &
Colosimo, 1977) and is characterised by the general
outcropping of Pliocenic formations, locally overlain
by more recent alluvial deposits.
The older sediments essentially consist of blue-
grey silty clays deposited in 10-40 cm-thick, sub-
horizontal layers, sometime with the insertion of

233
 Figure 1. Map of tlie area investigated and relevant outcropping geological formation.

very thin arenaceous sub-layers. In the area
investigated, they reveal a main NE-S W direction
strike and a dip angle between 10” and 15”, as
shown in tlie geological section A-A’ sketched in
Figure 2. The undisturbed stiff “bedrock” is usually
topped by a softened and weathered shallow layer, a
Sew metres thick, essentially made of the same
material.
The dashed area of Figure 1 is where the more
recent alluvial deposits of the local Torrent Ausa
outcrop: they are soft brown silts and clays, with
organic matter and gravelly-sandy lenses.
The construction site is located beside the rivulet
named ”Fosso del Rio”, at the junction between
outcrops of the T. Ausa alluvium and the Pliocenic
clayey formation.
3.SITE INVESTIGATION AND GEOTECHNICAL
PROPERTIES
Figure 3 shows a general plan of the construction
site. The main dual carriageway road is shown at the
top; the dashed area represents the area occupied by
the building under construction, which is maxiinally
13 m lower than the current road level.
The site investigation for design purposes
basically comprised ten cone penetration tests, five

Figure 2. Schematic geological section along A-A’.

234
 Figure 3 - General plan of the construction site.
12 in-deep boreholes and two open standpipe
piezometers. Undisturbed samples from borings and
fi-om specifically dug trenches were used for the
determination of standard physical and mechanical
soil properties.
On such basis two stratigraphic units can be easily
identified, both belonging to the same geological
formation and essentially made from the same
material: a highly overconsolidated, strongly
anisotropic, pliocenic silty clay of medium plasticity
(classified as CL, with average activity index 1.2).
Howcvcr, the top layer (Unit A) shows clear
evidence of a strongly weathered material, i.e. a
higher water content and a considerably lower
undrained shear strength. As regards tlie
geotechnical parameters, the alluvial material -
where present - can be considered as part of the same
stratigraphic unit. Such shallow layer is between 4
and 5 i n thick and is separated from the underlying,
much stiffer, deeply fissured and stratified clay (Unit
B) by a transition layer a few centimetres thick.
Shear strengths laboratory (direct shear and
Ltiiconsolidated-uiidrained triaxial) tests were
performed on Unit B soil only, obtaining average
peak (cp = 70 kPa and @p = 25”) and residual (& =
19”) parameters. However it should be kept in mind
that the material is strongly anisotropic, not only
because densely stratified. but also because of the
frequent silty-sandy lenses on the bedding planes
which tend to influence the overall available shear
strength. During excavation, slickensided slip-
surfaces (which had developed during historic
landslips), were clcarly identified both along the two
units interface and within the Unit B, in
correspondence of the bedding planes.
Little information is available on the piezometric
levels, but they are probably rather low and related
235
to Unit A only. In fact, due to the very low
permeability of the clayey soils, perched water tables
- fed locally through the coarser upper alluvial
deposits - are likely to form. A secondary minor
groundwater circulation through the many fissures
and silty lenses is also possible in the clayey
“bedrock”, as detected during the excavation work.
4. THE DEEP EXCAVATION
The new permanent excavation, more than 100 in
long, progressed from north to south in front of a
contiguous bored-pile wall (800-1 000 min diameter
by 15-18 m long). The wall was supported by three
tiers of reinforced concrete waling beams restrained
by 40 ni long x 600 kN ground anchors, inclined of
25” with respect to the horizontal and spaced,
typically, at 2 m centres horizontally and 3 m
vertically. A schematic section of the designed
situation (X-X’ in Fig. 3), throughout the slope and
normal to the wall, is shown in Figure 4. Twelve
benchmarks (BMn in Fig. 3) were positioned on the
top edge of the pile wall in order to monitor the
horizontal displacements.
Since October 1997 some indication of soil
movements appeared on the face of the excavation
as relative displacements, up to 10 cm, either on the
two units interface or within the clayey “bedrock”, in
correspondence of the silty lenses, showing tlie same
average inclination of the existing bedding planes
(see Fig. 2). This situation, together with the
numerous previous records of shallow slope
movements. induced the contractor to ask for advice
and install three 20 in-deep inclinometers behind tlie
pile-wall (labelled In in Fig. 3), in order to measure -
with time and excavation progress - the
 Figure 4. Section X-X’: measured displacementsand possible slip surfaces.
displacements within the soil mass and detect any re-
activation of earlier landslip surfaces and other,
possible, deep-seated movements, the pile wall had
not been designed to accommodate.
5 . MONITORING OF DISPLACEMENTS
The three inclinometers were installed on 3 1 October
1997, read monthly until June 1998 and again in
January 1999. Inclinometer I1 showed immediately
(after the first two readings) a total displacement of 6
mm at a depth of 6 m, at the interface between Units
A and B; however in all subsequent readings,
movements at every depth appear to halt.
Inclinometer 12, the more northern located, displayed
some deep movement at a depth of 9 m and,
subsequently, of 12 m, i.e. well within Unit B;
however the main displacements were concentrated
in the first 5 m, with a maximum integral value at
the inclinometer head of 21 mm. Virtually nothing
happened after April.
Inclinometer I3 is situated along the mean section
X-X’and all the relevant incremental readings since
late October 1997 are reported in Figure 5 . Again
early data show a possible shallow slip surface at a
depth of 5 m, which progressed until April and then
practically stopped. It is interesting to note a much
deeper movement, occurring within the “bedrock”,
which advanced until last May and achieved a
maximum value of 7 nun; the last readings seems to
suggest that also those movements have now ceased.
The integral displacement at the inclinometer head
has been 37.1 mm so far.
The inclinometer readings are in good agreement
with benchmark measurements, which were carried
236
out in the same period. They also show initial
displacements of few tens of millimetres, essentially
normal to the wall axis, and, afterwards, the same
decreasing trend from May onwards. BM6, the
benchmark which moved most, exhibited a total
horizontal displacement of 48 mm, from late
October 1997 till mid May 1998.
In Figure 4 the I3 readings plot, together with the
total horizontal displacements as measured from the
benchmark BM5 at the top of the pile wall in the
same period, have been superimposed on section X-
X’. These information, together with the cracks
position in the main road pavement and record of
relative displacements on the face of the excavation,
enabled us to draw possible slip surfaces (labelled
from 1 to 3) for subsequent slope stability analyses.
In order to better understand all these data, the
excavation progress and the ground anchors
installation should be also taken into account: in fact
about 80% of the excavation work was quickly
completed by October 1997; then it stopped until the
end of March and resumed to end in June 1998.
Again only one tier of ground anchors was installed
by 1997 and the whole set completed in mid-April.
Some tendons were equipped with a load cell,
which, from the data available so far, have shown an
essentially constant trend with time starting from the
initially given value of 600 kN. As specifically
regards section X-X’, the middle ground anchor was
installed first, in December 1997, and subsequently
the other two in March 1998; the final situation was
reached at the end of April.
Therefore the soil displacements were clearly
detected at various depths only after October 1997,
i.e. when most soil had already been excavated. The
shallow movements could well be interpreted as the

Figure 5. Inclinometer I3 incremental readings.
reactivation of previously developed slip surfaces,
whilst the deep-seated displacements might, on the
contrary, be related to the soil deformations induced
by the stress level reduction and concentrated - in a
strongly anisotropic material - on the weaker layers.
All movements tend anyway to cease after the
excavation work completion and the ground anchors
installation.
6. STABILITY ANALYSES
In order to better investigate the causes of the
measured soil displacements and predict possible
further movements, two separate analyses were
performed.
The first applied standard limit equilibrium
methods to the slope stability analysis of section X-
X', taking into consideration the following three slip
surfaces (see Fig. 4): surface 1 essentially
corresponds to the two units interface, surface 2 is
the expression of shallower movements recorded
both by the inclinometer and on the face of the
excavation, finally surface 3 concerns the whole
slope and is related to the deep-seated movements
which developed within the Unit B. For each slip
surface the factor of safety towards slope instability
was calculated with reference to the original soil
profile (before the excavation) and the final situation
(end of works), with and without the ground
anchors. For the inclined concentrated forces applied
237
Table 1. Factors of safety (FS) from limit
equilibrium stability analysis.
Slip surface 1 2 3
Before excavation 1.38 1.52 2.27
After excavation
without ground anchors 1.16 1.28 1.64
After excavation
with ground anchors 1.21 1.32 1.66
by the ground anchors, the load cell measurements
were used. The stability calculations were carried out
assuming homogeneous and isotropic soils in Units
A and B, with the following soil strength parameters:
(PA = 16" and (PB = 20" and no cohesion. Results are
reported in Table 1.
FS is generally greater than unity, significantly
increasing with the slip surface depth. Of course the
most severe situation everywhere is after the end of
excavation and without the ground anchors, which,
however, do not seem to have a great effect on the
overall stability. It is interesting to observe that the
existence of a perched water table in the Unit A
would substantially reduce the factor of safety of
surface 1 (to 1.06 with a water level at -2 m from the
soil surface), which can even become less than unity
(0.99 when the water level coincides with the soil
surface).
A second analysis using a 2D finite element code
was aimed to verify what could be the order of
magnitude of the strains induced by the stress level
decrease, due to the excavation, in a strongly
anisotropic material and whether such soil
deformation could concentrate in thin levels of a
silty-sandy nature.
Therefore a much simplified situation was
considered: a steep, 9 m-deep slope, progressively
excavated in an elasto-plastic homogeneous material
(Fig. 6). A marked anisotropy was introduced as a
layer with no cohesion and an inclination of 10" with
respect to the horizontal, like the existing bedding
planes. Such model provides, as a consequence of
the unloading phase, total horizontal displacements
up to 10 cm and relative movements concentrated in
correspondence of the silty interface; these relative
displacements tend to progressively reduce, moving
from the face of the excavation towards inside the
soil mass, for a length of about 5 m, in good
agreement with what observed on site.
7. CONCLUSIONS
The geotechnical engineering aspects of a deep,
complex excavation into an urban hillside in the
Republic of San Marino were presented. The soil to
be excavated was principally a highly over-
 Figure 6. Horizontal displacemeiits induced by the excavation of a 9 in-deep slope (FEM analysis).
consolidated, stiff, silty clay, overlain by a few
metres-thick layer of the same material, but softened
and weathered.
The particular interest of this case-history is in the
analysis of the possible causes of the soil movements
which had been detected during the excavation
work, both on the cutting face and on the pavement
of the major road running immediately above the
hillside. Previous shallow slope iiioveinents had
already occurred and question arose whether the new
displacement evidence was to be related to the
reactivation of an ancient deep-seated slip surface or,
more simply, to the stress level reduction induced by
the excavation.
The displacemeiits of the bored-pile wall top edge,
through topographic surveys, as well as the soil
movements behind the wall, through the installation
of three inclinometers, were continuously monitored
and carefully kept under control during the
excavation. Total displaceinents greater than 30 nim
were measured at the surface level, mostly before the
ground anchors installation and, now that work is
completed, they appear to be substantially
attenuated.
Such important observation. together with the
results of the relevant limit equilibrium slope
stability analysis which provided factors of safety
well above unity and increasing with depth, would
suggest that major slope movements are unlikely to
occur in these circumstances. The deep-seated
displacements, measured by the inclinometers within
the stiff clay, could be better interpreted (as well
shown also by the schematic finite eleinent analysis
performed) as the soil strains resulting from the
considerable stress level reduction caused by the
excavation of a highly overconsolidated material.
Those strains, in a strongly anisotropic material, tend
to concentrate on the weaker layers, like the bedding
planes or the silty lenses trapped within the clayey
matrix.
On the other hand, surface evidence like the road
pavement cracks are to be related to much shallower
slope movements (also measured by the
inclinometers), probably situated at the two units
interface. Slope stability analyses have confirmed
that the actual factor of safety is considerably lower
in this case and can be further reduced by the
possible creation of a temporary perched water table.
However, these shallow slope movements had
already occurred previously and were just reactivated
by the major excavation work: once the wall was
completed and all the ground anchors installed, they
clearly stopped.
Such topographic and stratigraphic situation,
coupled with congested urban development, is quite
coinnion in San Marino and the surrounding region
and similar deep excavations have often to be
realised. It is hoped that the results of this study can
help to achieve a satisfactory and safe construction
and monitoring methodology.
REFERENCES
Bertuccioli P., Distefano D., Esu F., Federico G. (1992).
Initial deforinatioiis of high cuts in overcoilsolidated
jointed clay. Proc. 6" ISL, Christchurch, vol. 11, pp.
1265-1270.
Colleselli F., Colosimo P. (1 977). Coinportaiiiento di
argille plio-pleistoceiiiche in una faiesia del litorale
adriatico. Riv. It. Geot., vol. XI, N.1, pp. 5-22.
 Slope Stability Engineering, Yagi, Yamagami & Jiang (( 1999 Balkema, Rotterdam, ISBN 905809 0795

Displacements of a slope in the Euganean Hills induced by quarrying

ABSTRACT: The paper concerns the evaluation of stability conditions of a landslide which occurred behind a
marl and limestone quarry located in the Euganean Hills, Northeastern Italy. The limit equilibrium conditions
of the landslide is evaluated. Then, an analysis of the displacements induced by the excavation together with
their backward-propagation effect on slope movements is performed using the finite element method. The
influence of some recent drainage works on the overall stability is also briefly discussed.

1 INTRODUCTION stability are probably of less importance compared

The Euganean Hills rise isolated in the Venetian
alluvial plain, covering an area of about 120 km2 and
reaching an altitude of 600m above mean sea level.
They are composed of sedimentary and eruptive
rocks, the former composed of limestone and mar1
and the latter by basalst, ryolithes, trachytes and
latites (Piccoli et al., 1975).
The marl and basalt formations are normally
covered with layers of weathered clay materials.
These colluvial materials, having sometimes a
thickness of up to several metres, show a precarious
equilibrium also on gently conformed slopes. A
recent census of landslide movements singled out
about 140 unstable areas, corresponding to about 4%
of the total surface of the hills (Dal Pra et al.,
1995a,b). For example, during 1997 more than 60
landslides of various size and importance were
recorded (Mazzucato, 1998).
These landslides are due to anthropic as well as
natural causes.
Since about 2000 years, the morphology of the
Euganean Hills has been intensively modified by
several types of human activities, among which the
most important is probably represented by open
quarries of mark and trachytes. The former are
generally excavated from the toe of the slopes
whereas the latter from the volcanic outcrops. These
excavations involve sharp variations of the profiles
of the hills.
Terracing for agricultural purposes, construction
of new roads, changes of river paths or of the surface
drainage system also create alterations of the original
profiles of the hills, but their effects on slope
the intensive quarrying activity performed during the
last decades.
The influence of human activity on the stability
conditions of a landslide, located in the south eastern
area of the Euganean Hills and involving the
colluvial cover, is analyzed and discussed in this
paper using both limit equilibrium and finite element
method. The effects of some drainage works, carried
out recently in the most sliding zone, are also briefly
commented.
2 LANDSLIDE CHARACTERIZATION
Figure 1 shows a general view of the landslide area.
Features to note are: extension of the quarry and of
the unstable zone; position of tension cracks and of
damaged houses (Ravarotto house, S. Lucia Chapel,
ect.); location of water springs, irrigation wells and
drainage well; in-situ instrumentation such as
piezometers and inclinometers; section A-A and B-B
both considered in the analyses.
2.1 Brief history of the landslide
The quarrying activity was undertaken in the early
1960s and continued until about 1986: at that time
the scarps reached an height of about 60 m with a
slope of 20". During 1976, some small sliding
movements involving the colluvial sheet were
observed behind the top of the excavation front.
Again, in 1985 a larger failure with an extension of
about 1000 m2 occurred at the eastern border of the
quarry. Thereafter, it was decided in 1985 by the

239
Figure 1. General view of the landslide area.
Mine and Quarry Regional Department to suspend
the excavation works and the scarps were re-
profiled, as shown in the cross-section of Figure 2.
At the same time, the owners of some properties
located at the eastern border of the area, where the
rock outcrops emerge forming the Rusta Hill,
complained about damage (i.e. cracks, fissures, wall
rotations, etc.) occurring to their houses. The
presence of tension cracks at the ground surface was
also observed. Therefore an area of approximately
20,000 m2 was suspected to be active including a
transitional sliding area around the quarry involving
the whole detrital layer. The movements, occured
along slightly sloping surfaces (8’- 10’) and
continued at variable rate depending on hydrological
site conditions. The possibility that quarrying works
might influence the stability of the entire area, has
been and is still being debated. On the basis of the
limit equilibrium analysis carried out since then it
appeared that no significant interaction between
excavation and slope movements would have
occurred or would occur.
2.2 In-situ investigations
In order to characterize the nature and the extent of
this larger sliding movement, boreholes and
geopyhsical tests were carried out in 1986. Some
results have been already reported (Aquater, 1986,
Favaretti et al., 1991). These investigations were
performed mainly with the aim to provide the plano-
240
altimetric shape of the limestone bedrock supporting
the colluvial deposits.
2.3 Structural setting
Two types of sedimentary soft rock formations
characterize the investigated area: the “Scaglia
Rossa” (marly limestone) and the Euganean Marl,
whose emergences, having thickness of about 50 m,
can be observed in the quarrying zone. The soft rock
deposits slope in a east by south east direction with a
dip angle of 25-30”.
On the basis of the in-situ investigations two cross-
sections were reconstructed as shown in Figure 2
(section A-A) and Figure 3 (section B-B).
Section A-A was selected along the maximum slope
direction whereas section B-B intersects the zone of
quarrying.
The thickness of the colluvial sheet does not exceed
(about) 16 m in section A-A or 30 m in B-B. For
section B-B the ground surface and the bedrock are
counter-sloping in the proximity of the border of the
quarry.
2.4 Laboratory tests
Due to the nature of the overconsolidated detrital
materials, mostly composed of weathered trachytic
elements (with dimensions up to several decimeters)
in a clayey matrix, extensive undisturbed sampling
was not allowed. Nevertheless, some samples were
 Figure 2. Cross section along the maximum slope.
Figure 3. Cross section intersecting the quarrying area.
taken and subjected to geotechnical laboratory tests,
especially to determine shear strength parameters to
be used in limit equilibrium analysis.
Atterberg limits were determined both on the detrital
cohesive matrix and on the altered marl. For the
matrix plasticity index ranges from 10% to 29%
whereas for the marl from 20% to 29%. Liquid limit
lies in the range between 30% and 59% for the
cohesive matrix and between 43% and 53% for the
altered marl.
Residual shear strength was determined on a
cohesive fraction under 0.42 min by using
Bromhead's ring shear apparatus. Figure 4 shows the
results of the shear tests: note the higher values due
the clayey fraction composing the matrix of the
detritic colluvium (25"-3 1") compared to those of
the altered marl (16"-2 1"). Deforniability of colluvial
material was estimated from some triaxial tests
carried out on undisturbed samples as suggested by
Soranzo (1988). The average value of the elastic
Young's modulus at stress levels compared to those
acting in-situ were approximately equal to 2035
MPa.
24 1
2.5 Hydrological conditions
The ground water flow is relatively poor in the
whole area and confined in the detrital materials
resting above the impermeable marly bedrock. On
the basis of the geophysical investigations the
presence of an underground valley, delimited by two
watersheds having an East West direction was noted.
This was also confirmed by the presence of some
water springs located at the interface detrital
cover/marly bedrock in the southern part of the
quarry.
The ground water condition was monitored
throughout the observation by piezometers and
wells, whose position is reported in Figure 1.
Figure 5 gives the results of the water level
measurements in the period December 1985 to May
1986 and, for some wells, during 1998. These latter
measurements were taken in order to veri@ the
efficiency of drainage system constructed in 1997,
consisting in a large well with sub-vertical
microdrains departing radially from it.
More particularly, the Casagrande piezometers S2
Figure 4. Residual friction angles.
Figure 5. Ground water level measurements.
and s3 are located along the B-B section whereas
wells W I and w2 are along section A-A. No pore
pressure was measured in piezometer S 1.
on compar~sonwith the measurements taken in
early Spring 1986 and 1998 the influence of deep
drainage on the pore pressure can be appreciated.
2.6 Slope displacements
In the two boreholes S4-I1 and S5-I2 inclinometers
were installed. Figure 6 reports the displacements,
ranging from 2 mm to 11 mm with a SW direction,
measured from 24'h April to 25th May 1986. Despite
the limited period of observation, it appeared that the
sliding surface lies around 14 m below ground level
for I1 and 18 m for 12. Note that I1 is located close
to the most damaged buildings.
242
Figure 6. Displacements observed in inclinometers I1 and 12.
3 LIMIT EQUILIBRIUM ANALYSIS
The limit equilibrium analyses were carried out
along A-A section (maximum slope) and along B-B
section (intersection with the quarry). The Bishop
simplified method was used considering residual
strength of altered mar1 (20") as the minimum
resistance parameter influencing the stability of the
slope (Trevisan, 1998). Two types of pore pressure
conditions were assumed: phreatic surface
corresponding to the maximum levels measured in
piezometers and wells or coinciding with the slope
(i.e. fully saturated soils).
In both cases the safety factor resulted greater than
the unity, approaching the instability condition in
section A-A when the phreatic surface reaches the
ground level. Therefore, it was presumed that the
'lipping movement occurred prevalently NEE-
WSW direction as confirmed by inclinometric
measurements.
4 FINITE ELEMENT ANALYSIS
In order to evaluate the effect of excavation on slope
movements, numerical analyses were carried with
BEFE (Beer, 1986). The material models used for
sedimentary bedrock and detrital sheet were linear
elastic and elastic-perfectly plastic respectively. In
this context, for the detrital materials it is assumed
that the effect of lithic elements present in the matrix
with relatively small percentage do not influence
significantly the deformability of the detrital cover.
Figure 7. Contours of horizontal (a) and vertical (b) displacements.
Elastic modulus for sedimentary rock was assumed
as suggested by Meigh (1976).
On the basis of site and laboratory investigations and
on the above considerations, the following
parameters were selected:
* Detrital material: Young's modulus E=20 Mpa;
Poisson's ratio ~ 0 . 3 0Friction
; angle @=20";
Sedimentary bedrock: E=200 MPa; ~ 0 . 3 0 .
The mesh is composed of 8-node isoparametric
finite elements. Boundary elements were used at the
vertical and horizontal borders of the mesh. Figures
7a and 7b show the horizontal displacement contours
spaced at intervals of 0.04 m and the vertical
displacement contours at 0.01 m,
It can be observed that the swelling of the marly
bedrock induces a general heave of the whole area
especially in the zone close to the quarry. Small
vertical settlements, between 0.02 and 0.04 m, are
calculated at the ground level in that zone where
some tension cracks were observed in the field (see
Figure 1). In the same zone horizontal displacements
at the ground, ranging from 0.01 to 0.02 my were
determined in the direction of the quarry.
From numerical analyses, it appears that stress relief
due to the excavation propagated backwards up to
the upper border of the landslide. Even though the
calculated displacements are characterized by small
values, they should be taken into account if the
landslide is in a residual condition along with pre-
existing sliding surfaces. In other words, the
landslide was probably so close to limit equilibrium
conditions that the stress variation due to the lateral
excavation behaves as external perturbation inducing
movements towards new stable slope configurations.
243
5 CONCLUSIONS
A back-analysis of a landslide in the Euganean Hills,
involving detrital materials, carried out with the limit
equilibrium and finite element method was presented
in the paper.
On the basis of the results of the limit equilibrium
analysis it seemed that no significant interaction
between the landslide and the quarry could take
place.
The advantage of using a finite element approach
was given by the possibility of considering the effect
of excavation due to mar1 and limestone quarrying
not only on the overall stability but also on slope
displacements.
Therefore, it was shown that the influence of the
excavation back-propagates, even though with small
movements, up to the upper border of the landslide,
about 400 m far from the crest of the quarry.
Although the calculated displacements are
characterized by very small values (2-4 cm), these
are probably not negligible when shear stress levels
on pre-existing sliding surfaces are very close to
failure conditions.
Finally, on the basis of the last observations of the
displacements and pore pressure measurements, the
slope seems to be stabilized by the drain system
recently constructed in the most damaged zone of the
landslide.
REFERENCES
Aquater, (1 986). Versante Ovest Monte Rusta - Condizioni di
Stabilita, Regione Veneto, p. 36.
Beer G. (1 984). BEFE - A combined Boundary-Finite Element
Computer Program. Advances in Engineering Sofiare, 6,
No. 2.
Favaretti M., Previatello P. & Soranzo, M. (1991). Stability
analysis of landslides occurred close to a mar1 and
limestone. Proc. of the Sixth Int. Symp. on Lanslides, Vol.
1, pp. 397-402.
Mazzucato A. (1998). Studio sulla franosita dei Colli Euganei.
MSc Thesis, University of Padova.
Meigh A. C. (1976). The Triassic rocks, with particular
reference to predicted and observed performance of some
major foundations. Rankine Lecture. Geotechnique, Vol.
26, NO. 3, pp. 391-452.
Piccoli G., Sedea R., Bellati R. & Di Lallo, E. (1975). Note
illustrative della Carta Geologica dei Colli Euganei. Societa
Cooperativa Tipografica, Padova.
Dal Pra A., Di Lallo, E., Passuto A., Sedea, R. & Silvano, S.
(1995a). Le frane nei colli euganei. University of Padova,
Mem. Sci. Geol. Vol. 47.
Dal Pra A., Di Lallo, E., Passuto A., Sedea, R. & Silvano, S.
(1 995b). Carta della franosita dei Colli Euganei. Cartografia
SELCA, Firenze.
Soranzo, M. (1988). Results and interpretation of multistage
triaxial compression tests. Advanced Triaxial Testing of Soil
and Rock. ASTM, STP 977, pp. 353-362.
Trevisan A. (1998). Analisi di un movimento franoso nei colli
Euganei Sud-occidentali. MSc Thesis, University of
Padova.

244
 Slope Stability Engineering, Yagi, Yamagami & Jiang 0 1999Balkema, Rotterdam, ISBN 90 5809 079 5

Stability evaluation of sliding failure along thin mudstone deposit due

to excavation

Y. Nakamura - AICO Company Limited, Japan

J. Kojima - Tokai Technology Center,Japan
S.Hanagata - Wakachiku Construction Company Limited, Japan
K. Narita & Y.Ohne -Department of Civil Engineering, Aichi Institute of Technology,Toyota,Japan

ABSTRACT: This paper concerns the mechanism of sliding failure along a thin layer of mudstone deposit
due to excavation. Some laboratory tests were carried out on both undisturbed and reconstituted samples of
the mudstone material to know its shear strength characteristics, especially on the relation among strength
values of the peak, residual and normally consolidated states. Stability evaluation was then conducted by
use of FEM and a conventional limit equilibrium approach in order to discuss accuracy and reliability of
the estimated behavior of the clay slope as compared to that observed in the field during excavation.

1 INTRODUCTION 2 OUTLINE OF SLIDING FAILURE

A large scale sliding failure happened to occur in a
project of land improvement due to excavation. A
thin layer of mudstone deposit of 5 to 10cm thick
lies beneath deposits of clay and gravel mixture of
about 10m thick, and a big slide took place through
this thin mudstone layer immediately after
excavation of talus and clay deposit, accompanying
large horizontal and vertical deformation of the
order of 50cm to 150cm. Field investigation and
survey conducted after failure revealed that the
mudstone deposit lies with a very low angle to the
horizon and is considered to have some latent
sliding planes which had been a cause of instability
of the existing clay slope before excavation.
This paper concerns the mechanism of sliding
failure along a thin layer of mudstone deposit due
to excavation. Some laboratory tests were carried
out on both undisturbed and reconstituted samples
of the mudstone material to know its shear strength
characteristics, especially on the relationship among
strength values of the peak, residual and normally
consolidated states. Material tests were also
conducted on the clay deposit in order to estimate
stress-strain behavior of slope during failure and
lateral earth pressure acting in the field to promote
sliding. Stability evaluation was then conducted by
use of FEM and a simple conventional approach of
limit equilibrium in order to discuss accuracy and
reliability of the estimated behavior of the clay
slope as compared to that observed in the field
during excavation.
The sliding failure now under consideration took
place in a project of land improvement of about
32.5ha in area. The land has a topography of gentle
slope hill formed near a river, of about 40m in
height, as illustrated in a plan view in Figure 1 and
in the cross-sectional view of A-A in Figure 2a) .
The profile of the hill is geologically composed of
a Tertiary mudstone deposit of Neogene period as a
bedrock, Tertiary deposits of porcelain clay and
sand gravel overlying the bed, and a talus deposit
of Quaternary on the hillside.
A big sliding failure of soil block of 150m
wide, 120m long and 8 to 10m deep took place
immediately after the excavation of a part of talus
and porcelain clay deposit, along a thin flat layer of
mudstone deposit inclined with a very low angle of
2 to 3 to the horizontal. This mudstone deposit
of 10 to 20cm thick lying beneath the porcelain
clay differs a little from the bedrock deposit,
containing some kind of carbide, and a thin layer
of chocolate color alterated clay of 5 to 10cm thick
is considered to be a potential slip surface in this
sliding failure.
The sliding took place just after excavating the
clay deposit in 5 to 7m, and a large deformation
was observed, as indicated by displacement vectors
of point survey in Figure 1, in the horizontal and
vertical direction of the order of 50cm to 150cm in
the duration of two months until a countermeasure
construction is completed by replacing a part of
soil near the toe of the slope with crashed stone, as

245
shown in Figure 2c) . The land slide is thus Table 1. Physical properties of mudstone
characterized by a very flat and straight slip of a 2.7 1g/cmj
Density of solid particle:
soil block on along a polished latent sliding plane. Natural water content: 52.8%
Content of Sand: 4.2%
Silt: 30.6%
Clay: 65.2%
Liquid limit: 116.3%
Plastic limit: 31.1%
Plastic index: 85.2

3.1 Repeated loading direct shear test

In order to investigate the relationship between the
peak and residual strength of the material, direct
shear test was conducted on undisturbed samples
by applying shear force repeatedly from one side to
the other several times until the ultimate state of
shear failure is reached. The test was done under
CD condition: The sample was first submerged in a
week to be saturated state and consolidated in 24
hours under a constant vertical pressure, and then
loaded repeatedly up to * 6mm in horizontal
direction under a drained condition at the rate of
Figure 1. Plan view of sliding failure
O.Olmm/min..
Figure 3 shows an example of shear stress and
deformation relation curve in a repeated loading
under a vertical pressure of CI ~=200kPa.It is seen
that shear stress gradually decreases nearly at a
constant rate and tends to converge to a certain
ultimate state as the repeated loading proceeds. The
relation curves of shear stress and deformation are
again plotted in Figure 4 by taking as usual the
total absolute shear deformation on the abscissa.
Point of interests noticed in this figure is the fact
that the shear deformation until the peak strength is
reached is significantly smaller as compared to that
after peak to the ultimate state.

Figure 2. Cross sectional view along A-A

3 SHEAR STRENGTH CHARACTERISTICS OF

ALTERATED MUDSTONE DEPOSIT

Laboratory shear strength tests were carried out on

both the undisturbed and reconstituted samples of
the alterated mudstone deposit to know its peak and
the ultimate residual strength values. Some physical
properties of the mudstone material are summarized
in Table 1. Figure 3. Stress-deformation in repeated loading

246

Figure 4. Shear stress vs. total deformation
Figure 5. Comparison of failure lines
Failure lines are drawn for the peak and the
residual strength in Figure 5, where the latter is
defined here by the shear stress at deformation of
200mm. It should be noted that the undisturbed
samples have a certain small amount of cohesion
component in the peak strength, which is supposed
to be constituted with its stress history in the field,
but it disappears by a large shear deformation in
the residual state.
3.2 Direct shear test on reconstituted samples
Direct shear strength tests were also carried out on
the reconstituted slurry samples of the mudstone to
compare the strength value obtained above with
that at compIetely softened state. The slurry sample
of under 0.42mm was consolidated in a week with
its self weight and cut out and set in the shear box
for a CD test under a specified vertical pressure.
24
Shear stress and deformation curves obtained in the
test are hyperbola in shape as usually observed in a
normally consolidated clay and the maximum shear
stress at a large deformation was defined here as
the completely softened strength. Failure line thus
determined for the reconstituted sample is drawn in
Figure 5, indicating very small cohesion intercept,
similarly as normally consolidated clay, and rather
large angle of friction as compared to the residual
strength of the undisturbed samples.
4 FEM ANALYSIS
In order to discuss stress and deformation behavior
and safety against sliding along the thin mudstone
deposit, a FEM elastic analysis of excavation is
conducted on the cross section presented in Figure
2a), which was obtained through site investigation
after failure. The solution of a simple self weight
analysis for the model with the original ground
surface before excavation is superposed with that
by an inverse load due to excavation. Deformation
parameters used in the analysis, some of them were
determined from the results of triaxial tests, are
-
taken to be 5MPa for the thin mudstone layer and
10 25MPa for overlain clay and gravel mixture.
Figure 6 shows distributions of the local factor
of safety (Fs) obtained at elements along the
surface of the thin mudstone layer for the original
configuration before excavation. The factor FS is
defined here as a ratio of the radius of the stress
circle at failure to that at the present state and was
evaluated for three different cases of strength
values ( c , @ ) presented in Figure 5; i.e., 0 Peak
and @ Residual strength of the undisturbed sample,
and @ NC (normally consolidated) strength of the
reconstituted sample, respectively. Also shown in
Figure 7 is distributions of FS calculated for the
configuration after excavation and filling of banks
on the gravel layer. Distributions of the maximum
shear stresses z mbl acting along the thin mudstone
layer before and after excavation are also plotted in
Figure 8, together with the change in stress circles
before and after excavation at two representative
elements of No.10 and No.20 below the toe of the
first and the second step of the excavated slope,
respectively.
Discussions associated with these figures are
summarized in the following.
1)Distributions of FS before excavation in Figure 6
are rather flat in shape for every case of ( c , @ )
under consideration. This suggests equal potential
of sliding along the base, though the lowest value
of FS appears near the toe of the original slope in
the case of residual strength.
2) Distributions of FS after excavation in Figure 7
demonstrate locations of higher potential of sliding
near the toe of the first and second step of the
excavated slope. The value of FS becomes below
unity in the case of residual strength along two
sections (1) and (2) near the above toes, where
tension cracks were observed in the time sequence
as the 1st (1) and the 2nd (2) slide in the field.
3)Distributions of T: mar in Figure 8, together with
the change in stress states at No.10 and No.20
elements before and after excavation, suggest the
occurrence of different patterns of failure along the
Figure 6. Distribution of FS before excavation
Figure 7. Distribution of FS after excavation
Figure 8. Stress change before and after excavation
248
slip plane: i.e., failure at No.10 element is largely
dependent on the loss of confining pressure, not at
least on the increase in shear stresses, and that at
No.20 is mainly caused by an increase in shear
stress accompanied by a significant unbalance of
overburden weight due to excavation and filling.
4)Stability analysis was conducted by use of a
limit equilibrium method for two composite sliding
planes, which start in circles from the points where
tension cracks were detected, running along straight
surface of the mudstone layer, and passing through
in circles again near No.10 element, as illustrated
in Figure 7. The values of safety factor for the 1st
small and the 2nd large sliding planes obtained in
three cases of ( c , @ ) are listed in Table 2. Very
low safety in the 1st slide, irrespective of strength
values, suggests higher potential of a local sliding
failure and is considered to be a threshold of the
overall big failure due to excavation.
Table 2. Safety factor based on limit equilibrium
0Peak @Residual @NC
1st 1.13 0.35 0.61
2nd 2.03 0.75 1.23
Although much more discussion is still required
on the mechanism of progressive nature of sliding
failure, for instance presented by Bjerrum 1967 and
Burland et al. 1977, some useful suggestions were
supplied in this paper on the stability evaluation of
sliding along a thin weak mudstone deposit.
5 CONCLUSIONS
FEM analysis can be a practically useful tool for
evaluating stability of sliding failure along a thin
mudstone deposit due to excavation, together with
the residual strength obtained in the repeated
loading direct shear test. Distributions of local
factor of safety roughly indicate the position of
higher potential of sliding and stress circles at
elements along the failure plane suggest different
patterns of failure, which are supposed reasonable
to interpret sliding failure observed in the field.
REFERENCES
Bjerrum,L. 1967. Progressive failure in slopes of
over-consolidated plastic clay and clay shales,
Proc ASCE, 93-SM5: 3-49.
Burland,J.B. et al. 1977. A study of ground
movement and progressive failure caused by a
deep excavation in Oxford Clay, Geotechnique,
27-4: 557-591.
 Slope Stability Engineering, Yagi, Yamagami & Jiang 0 1999 Balkema, Rotterdam, ISBN 90 5809 079 5

Appraisal of Bishop’s method of slope stability analysis

G.L.Sivakumar Babu & A.C. Bijoy

Department of Civil Engineering, lndian Institute of Science, Bangalore, India

ABSTRACT: The stability of slopes is a major problem in geotechnical engineering. Of the methods
available for the analysis of soil slopes such as limit equilibrium methods, limit analysis and numerical
methods such as FEM and FDM, limit equilibrium methods are popular and generally used, owing to
their simplicity in formulation and in evaluating the overall factor of safety of slope. However limit
equilibrium methods possess certain disadvantages. They do not consider whether the slope is an
embankment or natural slope or an excavation and ignore the effect of incremental construction,
initial stress, stress strain behavior etc. In the work reported in this paper, a comparative study of actual
state of stress and actual factor of safety and Bishop’s factor of safety is performed. The actual factor of
safety is obtained by consideration of contours of mobilised shear strains. Using Bishop’s method of
slices, the critical slip surfaces of a number of soil slopes with different geometries are determined
and both the factors of safety are obtained. The actual normal stresses and shear stresses are determined
from finite difference formulation using FLAC (Fast Lagrangian Analysis of Continuaa) with Mohr-
Coulomb model. The comparative study is performed in terms of parameter Ac+ (= yH tan@). It is shown
that actual factor of safety is higher than Bishop’s factor of safety depending on slope angle and Lc+.

1 INTRODUCTION
The stability of soil slopes is a common problem in
geotechnical engineering and is a topic of
considerable interest to engineers as well as
researchers. Limit equilibrium methods, more
popularly Bishop’s simplified method provides a
simple means of evaluating the likelihood of failure
in many types of soils. These methods do not
consider whether the slope is an embankment or
natural slope or an excavation and ignore the
effect of incremental construction, initial stress,
stress strain behavior etc and is likely that these
methods predict the stability conservatively. In
many situations, it is often advantageous to know the
margin of safety so that this information could be
used in the event of additional stability measures. In
the work reported in this paper, a comparative study
of actual state of stress and actual factor of safety
and Bishop’s factor of safety is performed. The
actual factor of safety is obtained by consideration
of contours of mobilised shear strains. Using
Bishop’s method of slices, the critical slip
surfaces of a number of soil slopes with
different geometries are determined and both the
factors of safety are obtained. The actual normal
stresses and shear stresses are determined from finite
difference formulation using FLAC (Fast
Lagrangian Analysis of Continua) with Mohr-
Coulomb model.
2 LITERATURE REVIEW
Duncan and Dunlop (1969) superimposed upon the
finite element configuration of slope, the critical
circular slip surface from which the limit
equilibrium solution was evaluated. From finite
element solutions, the mobilised shear strength along
the failure surface was averaged and compared with
the assigned value. The ratio was taken as the factor
of safety against failure. Their results exceeded
those of limit equilibrium by more than 20 % for a
homogeneous and normally consolidated slope. Lo
and Lee (1 973) analysed the behaviour of slope of a
strain softening material. The residual factor based

249
on Skempton’s concept was calculated. Their comparatively smaller (Fig. 1(a)). These contours
results show that the limit equilibrium solutions define a locus of points, which can be considered as
overestimated the actual factor of safety when peak the actual potential failure surface. The maximum
strength was used and underestimated when the levels of strain are at the toe and decrease towards
residual strength was considered. Limit equilibrium top and variations in strain levels are due to the
methods have certain disadvantages (Wright et al, overburden at different levels and hence the above
1973, Duncan and Dunlop, 1969. Lo and Lee, 1973, assumption is considered to be in order. Fig.1
Deschamps and Leonards, 1992) such as; a) the (a)shows a typical actual failure surface as defined
nature of arbitrary assumptions employed with by strain contours and Bishop’s critical slip surface.
regard to the determination of normal stresses and In order to calculate the stresses and strains in
shear stresses which are determined without due slopes, finite difference scheme using FLAC (Fast
consideration to the stress strain characteristics of Lagrangian Analysis of Continuaa) is employed and
soils and b) the factors of safety being one and the Mohr-Coulomb model is adopted for modeling
same for all slices. Wright et a1 (1973) made a material behavior. Fig. 1 (b) shows the distribution of
detailed study of these factors and examined the resultant displacements that are essentially along the
variations of normal stress and factors of safety actual failure surface. The soil parameters
along the potential failure surface as well as the considered are treated as effective and hence results
overall factor of safety using finite element method. are applicable to end of construction as well as long
The distribution of normal stresses by both the term stability of slope. Incremental construction with
Bishop’s simplified method and finite element 12 lifts is considered for each slope.
calculations assuming linear elastic for the material
of the slope were determined. It was observed that
variations were small. Variation of local factors of
safety along the potential failure surface assumed by
the Bishop’s method were studied and noted that
along one-third to one-half of potential surface
length, the factors of safety calculated were less than
the average values for the slope, according to linear
elastic theory. A comparative study of average
values of factor of safety was made and it was
shown that the values calculated from line of safety
stress distributions were marginally higher, varying
from 0 to 4.5 % depending on the value of
parameter hc,+(= yH tan$/c). Deschamps and
Leonards (1992) carried out a detailed study of slope
stability analysis considering a simple wedge
problem, comprising a slip surface with two planar Fig. 1(a)Typical actual failure surface as defined by
segments and one interslice plane and determined strain contours and Bishop’s critical slip surface
the bounds of all possible solutions satisfying
equilibrium and limiting shear strength and showed
that these bounds were greater than those determined
from conventional limit equilibrium analysis. In this
paper, calculation of actual factor of safety and its
comparison with the limit equilibrium methods
particularly, Bishop’s modified method is carried out
in the following manner.

3 ACTUAL FACTOR OF SAFETY

Slopes on account of their geometry have induced

shear strains and the corresponding shear stress
within the soil mass on account of self weight. The
contours of the shear strain define a continuous band
of strain concentrations within the zone of Fig. 1 (b) Distribution of resultant displacements in
overstress. Out side this zone, the strains are the soil slope

250
4 PRESENTATION OF RESULTS

Fig.:! (a) and 2(b) show the variation of shear stress,

shear strength and Fig.2(c) shows the variation of
local factor of safety along the slip surface for 1:l
slope of 6 m height with c = 10 kN/m2 and @ = 37’
and bulk density of 18 kN/m’. It can be observed
that local factors of safety calculated along the
Bishop’s failure surface and the surface defined by
maximum shear strain are marginally different. The
average factors of safety are also given for
comparison. The correspooding Bishop’s factor of
safety is 1.76 and is less‘rhan the actual factor of
safety. It can also be observed that at the toe, local
factors of safety are less than the average values of
actual factor of safety. The letters ‘a‘ and ‘b‘ in
figures denote the slip surfaces as per maximum Fig.:!(c) Variation of local factor of safety along
shear strain and Bishop’s failure surface respectively. failure surfaces( 1: 1 slope of 6 m height with c = 10
kN/m2, $ = 37’ and yb , 18 kN/m3).
The letter ‘c’ denotes the Bishop’s factor of safety
and is determined from conventional slope stability
program. The above approach is extended to a
number of soil slopes of different heights and slope
angles and actual and Bishop’s factors of safety are
determined. Factors of safety obtained by Bishop’s
method and factor of safety along the Bishop’s
failure surface are given for comparison. The results
are examined in terms of a dimensionless parameter
Ac$ (= yH tan4/c), where y is the unit weight, H is the
height of the slope, 4 is the angle of internal friction
and c is the cohesion. As indicated earlier, Wright et
a1 (1973) also used the above parameter for slope
Horizontal distance from the toe along the slip surface in r~
stability analysis. Figs. 3 and 4 shows the variation
of factors of safety with Fig. 3 and Fig.4 present
Fig.2(a) Variation of shear stress along failure
results for I : 1 (V:H) and 1.5:1 slopes respectively.
surfaces, (1: 1 slope of 6 m height with c = 10 kN/m’
Results clearly show that the actual factors of safety
and 4 = 37’ and Yb, 18 kN/m3).
are more than Bishop’s factor of safety varying from
10 to 48 % depending on the slope angle and LC$

Horizontal distance from the toe along the slip surface in m

Fig.2(b) Variation of shear strength along failure Fig.3 Variation of actual factor of safety with A,,
surfaces. for I : 1 slope

251
Fig.4 Variation of actual factor of safety with XC$
for 1S:l slope

5 CONCLUDING REMARKS

In this paper, a critical examination of actual factors

of safety in slope stability analysis is undertaken. An
approach to evaluate the actual factor of safety in
terms of shear strains for soil slopes is suggested. It
is shown that the actual factors of slopes are more
than Bishop’s factors of safety to the extent of 10 to
48% depending on the slope angle and kC+.

REFERENCES

Deschmaps, R.J. and G.A. Leonards (1992). A

study of slope stability analysis. Stability and
performance of slopes and embankments - 11,
Vol.l, Geotech STP: 3I(Eds. R.B. Seed and
R.W. Boulanger) 267-291.
Duncan, J. M. and P. Dunlop (1969). Slopes in
Stiff figured clays and shales. JI. Of SMFE,
ASCE 5, N0.2,467-492.
Lo, L.Y. and C.F. Lee (1973). Stress analysis and
slope stability in strain softening materials,
Geotechnique, 23 (I), 1-1 1.
Wright S.G., Kulhawy, F.H. and Duncan, J.M.
(1973). Accuracy of equilibrium slope stability
analysis, Journal of SMFE, Vol. 99, No. 10,783-
791.

252
 Slope Stability Engineering, Yagi, Yamagami & Jiang (c) 1999 Balkema, Rotterdam, ISBN 90 5809 0795

A convenient alternative representation of Taylor's stability chart

R. Baker
Technion-lsruel Institute of Technology.ffctifu,Isruel
Y.Tanaka
Kobe University, J q a n

ABSTRACT': The evaluation of slope stability using a notion of safety factor with respect to strength usually
requires iteration as long as the strength envelope is defined by more than one strength parameter. Use of
Taylor's stability chart provides a classical example of this situation. Practically performing this type of
iterations using Taylor's stability chart is time consuming and not convenient, particularly in the range of
small slope inclination where the stability number varies considerably with the friction angle,
Utilizing the information in Taylor's stability chart, it is possible to construct a design chart resulting with a
safety factor with respect to strength, which avoids the need for iteration. The key to this representation is
the use of a non-dimensional parameter h = c/(y H tan$ ) which represents essentially the ratio of cohesive to
frictional forces. In this representation, the parameter h and the slope inclination $ are the two independent
parameters. It is believed that the new stability chart provides a convenient tool for practical slope stability
calculation using Taylor's approach.

1. INTRODUCTION 2. TAYLOR'S STABILITY CHART

Taylor's stability chart, Taylor (1937), is still the
main tool for analyzing homogeneous slope stability
problems. Taylor's original derivation was based on
a modification of the friction circle assumption. This
assumption can not be justified rigorously; however,
as noticed by Taylor himself, results obtained on
this basis are practically identical with results based
on the assumption that slip surfaces are log-spirals.
The log-spiral assumption can be justified on the
basis of the upper bound theorem of plasticity,
Chen and Liu (1990). Alternatively, using a
variational approach, it can be shown that slip
surfaces yielding the minimal safety factors are log
spirals in homogeneous problems, Baker and Garber
(1 978) and Baker (1 98 1). Consequently, Taylor's
results have rigorous theoretical support and it is
expected that his chart will continue to be used
extensively in practical applications.
Taylor presented his result in terms of mobilized
friction angles. This presentation makes it necessary
to use iterations in order to calculate a safety factor
for a given slope. In the present work we derive an
alternative representation of Taylor's results in
which safety factors can be established directly,
without iterations. The wide-spread use of Taylor's
results is expected to make such a representation a
useful design-aid.
Taylor's stability chart is a set of functions :
SN = SN [P I@rnl
where S N = C and d- = tan-'
Y HF
are the stability number and a mobilized friction
angle respectively;(c, @ } are the Mohr-Coulomb
strength parameters cohesion and angle of internal
friction; y is the unit weight, F is the safety factor
with respect to shear strength, and {H, P } are the
slope's height and inclination respectively. We use
the convention that quantities written to the right of
the vertical bar " 1 " are considered as constant given
parameters; i.e. SN[f31@,] is a system of functions
depending on p, each one of which corresponds to a
different constant value of the mobilized friction
angle. The functions SN[P ($rnJ are obtained by
specifying the general two dimensional function
SN[P, @m] to a constant value of $rn.
The functions SN[P I@,,] are shown in Fig. 1. The
stability chart shown in this figure was obtained by
Baker (198 l), and it represents results for log-spiral
slip surfaces (i.e. strictly speaking this figure is not
Taylor's chart). However, for all practical purposes
the results shown in Fig. 1 are the same as those
obtained by Taylor, and we will refer to Fig. 1 as the
Taylor's stability chart (the angles along the right
vertical coordinates in this figure are the given values

Figure 1. Taylor' s Stability Chart
It is instructive to note the following features of
Figure 1:
1, The two dimensional function SN[p, (9m] is
defined only for p ~(9,,,, and it satisfies the limiting
relation SN[p I(9 ,] = 0. Considering the definition
of Taylor's stability number, it is clear that the
only physically significant case in which SN can
be equal to zero is if the cohesion c is equal to
zero. Consequently SN = 0 can be realized only in
cohesionless materials, and in that case the
definition of the mobilized friction angle implies
that the safety factor is given by F =
tan[@]/tan[p]. Consequently, for c = 0, Taylor's
stability chart is consistent with the result usually
obtained on the basis of the infinite slope
approximation in cohesionless material.
2. Ta'ylor have shown that for (9, = 0 the horizontal
line BC in Fig. 1 represent situations is which the
critical conditions are realized for infinitely deep
slip surfaces. In such situations the height of the
slope is negligible compared with the depth of the
slip surface, and the slope's inclination does not
affect the stability number if the slope inclination
is less then approximately 52.5'. In order to
eliminate this obviously unreasonable result,
Taylor postulated a rigid bed-rock at some finite
depth Df, and incorporated the effect of Df in his
stability chart. Baker (1981) has shown that
infinitely deep critical slip surfaces occur only if
(9m is identically equal to zero, (i.e. critical slip
surfaces have finite depth for all finite values of
@,,,). Figure 1 shows that SN depends on ((9m =
l", and critical slip surfaces associated with ( 9 m =
1" have a finite depth. It is noted that the small
(but non-zero) compressibility of water implies
that even for un-drained conditions (9m is not
identically zero, and the "singularity" associated
with (9, P 0 is not physically significant. In the
present work we choose to consider the
completely homogeneous case which does not
include the effect of Df.
5 . The dashed line CF in Fig 1 represents the
boundary between situations in which the critical
condition are associate with 'khallow" slip
254
surfaces passing through the toe of the slope
(the region CDEFC), and situation in which the
critical conditions are realized on "deep" slip
surfaces passing below the toe (the region
ABCFA). It is noted that the present definition of
shallow and deep solutions differs from the one
employed by Taylor. Taylor's classification is
related to the depth of the lowest point on the
slip surface, while the present classification is
related to the location of the starting point of the
slip surface. The utility of the present
classification is related to the fact that the
functions SN [p $I], have a slope discontinuity
along this boundary (see Fig 1). The end points C
and F of this boundary occur at (approximately),
{8=52.5", (9m=O, S N ~ 0 . 1 8 )and { f ~ ( 9 ~ = 1 0SN
",
= 0).
4. Point E corresponds to the limiting situation in
which $ = Qm= 90" and SN = 0. (9 values larger
then approximately 50" are obviously not
realistic, however (9, depends also on F and if F <
1, it can have any value in the range 0 5(9m 590".
3. TRANSFORMATIONS OF TAYLOR'S
REPRESENTATION
For the present purpose it is convenient to "invert"
Taylor's stability chart, representing it as a system
of functions SN = SN[vm IS], where
vm= tan[4,,,1= ?r-]
tan 4
as shown in Fig.2.
Figure 2. The functions SN [vm
I@]
The "concentration point" A in Fig 2 corresponds to
the horizontal line BC of Fig 1, and the dashed line
AB in this figure is the boundary between deep and
shallow solutions in the "coordinates" (SN, q m }.
Consider any one of the functions SN [ q m I@]
shown in Fig. 2, and define the non-dimensional
uarameter h as:
Physically h represents the ratio of cohesive to
 frictional forces. The definition of h implies that SN
= h q,,,and this relation plots as a straight line
through the origin in the coordinates (SN, q)m>as
shown in Fig. 3. Inspection of Fig 3 shows that for
each pair ( h, p} the intersection point A between
the functions SN = h q,,,and SN = SN [v,,,lp] can be
obtained by solving the non-linear equation SN
[ q m l B ] = A q m . Solving this equation yields qy,=q,
[A, 4, and it is possible to define a function GI [A,p]
as

Figure 3. The basic transformation The value of h does not depend on F (Eqn. l), and

Figure 4. The stability chart G [ hI p]

255
knowledge of G1 [A,B] = F/tan[@]makes it possible
to calculate F without iterations (in essence solving
the non-linear equation SN [qmlp] = h q,,,replaces
the conventional iteration process).
Figure 3 shows that h = 0 is associated with SN = 0.
SN = 0 implies that c is equal to zero, and in that
case the safety factor is given by F = tan[$] / tan[P].
Introducing this result into the definition of G1 [A,
p] shows that this function satisfies the limiting
relation G I [ h=O, p] = l/tan[p]. Figure 3 shows also
that G1 [h I p] = 1/ q mincrease monotonically with
h. Consequently, when h is small, the functions G1
[h,p] start at a large value (l/tan[P] ), and continues
to increase with h, while large p values result with
small values of G1. It is convenient therefore to
normalize the functions G I [h I p] with respect to
their values at h= 0, and define G [hIj3]-as:
i.e. G represents the relative magnitude of safety
factors in comparison with the limiting case of a
cohesionless slope (subtracting the constant value
of 1 from the ratio F [$, c] / F [$Ic=O] is not
essential, and it is introduced for plotting
convenience only. The definition of G guaranties
that G [h=0, f3] = 0 for all values of (3 (except f3 =
90" where G [h,f3] is not defined).
Figures 4 show the functions G [LIB] plotted in two
different ranges of h values. Numbers along the top
and right hand side of this figure are slope
inclinations f3. The dashed lines OA in Figs. 4
represent the boundary between deep and shallow
failure mechanisms (solution points below those
lines correspond to slip surfaces below the toe).
Figure 5. Steep slopes
256
Figures 4 are the main result of the present work,
and in the following section we discuss various
features of those figures.
4. RESULTS AND DISCUSSION
a. The main advantage of the representation shown
in Figs. 4 is that it allows evaluations of safety
factors without the need for iteration. In order to
illustrate the utility of this figure consider a 10m
slope, with an inclination of 1 to 4 (f3-14"), c =
lOkPa, $=25" and y = 20 kN/m3 (these conditions
are typical of many clay embankments of small
water reservoirs in Israel). For this input
information Eqn. 1 gives h = c / (y H tan[$]) =
0.1 1; interpolation in the first one of Figs 4 gives
G[h=O.11, p=14"] = 0.43, and using Eqn. 2
results with F = (G+l) tan[$]/tan[p] = 2.67. It is
noted that this result was obtained directly (i.e.
without iterations).
b. Consider the limiting case of c = 0. The definition
of ( (Eqn. 2) shows that that c = 0 implies h=O,
and excluding the limiting case of p=9Oo (which is
considered below), Figs 4 show that G[h=O, f3] =
0. When G is equal to zero, Eqn. 2 yields the
classical result F = tan[$]/tan[f3] which is known
to be valid for the limiting case of c = 0. For the
present purpose the important point is that there
is no need to use Figs. 4 in the vicinity of h=O
where all the functions G [Alp] merge together,
and when c is small enough it is possible to
calculate the safety factor directly as F =
tan[$ ]/tan[ f3].
c. The representation in Figs. 4 is not useful when
(3=90" ( G [h, p=90"] -+ CO for all values of h
except h=O where G [h=O, f3=90"] = 0).
 Figure 6. Limiting behavior of G[h I p] when h is large

Therefore in this particular case it is convenient to REFERENCES

present results in terms of the functions G I [Alp]
3 F / tan[@]as shown in Fig. 5. Figure 5 makes it
possible to evaluate safety factors without
iterations in the limiting cases of vertical and
nearly vertical slopes.
d. Consider the limiting case of $=O, which is
associated with h-. 03. Figure 6 illustrates
behavior of the functions G [Alp] h is large;
showing that for such conditions G [hip] a[P] =(
Baker R. and Garber M. (1978), Theoretical analysis
of the stability of slopes. Geotechnique. Vol. 28,
NO. 4, pp. 395-41 1.
Baker R. (198 l), Tensile strength, tension cracks and
stability of slopes. Soils and Foundations. Vol. 21,
NO. 2, pp. 1-17.

h. It can be shown that Chen W.F. and Liu X.L. (1990), Limit Analysis in
Soil Mechanics (Developments in Geotechnical
Engineering Vol . 52). Elsevier Oxford, New-York,
where SN[pI$=O] is ihe limiting line ABCD in Tokyo.
Taylor's stability chart (Fig. 1). The validity of
this result is illustrated by the dotted lines in Fig. Taylor D. W. (1937 ), Stability of earth slopes.
6. It can be verified that in general G [ h l p ] a[P]
~ Jour. of Boston Soc. of Civil Eng. Vol. XXIV, No. 3,
h, so using the approximation G [LIP]= a[P] h pp. 197-246.
(which is valid only for large values of A), results
with a conservative estimate of safety factors.

Figures 4 and 6 make it possible to evaluate G [h, p]

for all pairs {A, p) (except p- 90" when the
analysis should be done in terms of the functions G,
[A, p] given in Fig. 5). As a result, it is possible to
calculate safety factors for all input variables {c, $,
p, y H} without the need for iterations. It is noted
that the presentations in Figs. 4, 5 and 6 contain the
same physical information as the classical stability
chart of Taylor (Fig. l), expressed in a different
(hopefully more convenient), way. Consequently,
the results presented in those figures suffer from the
same limitations as the original presentation of
Taylor (i.e. no external loads, constant strength
parameters, and dry or fully submerged slopes).

257
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 Slope Stability Engineering, Yagi, Yamagami & Jiang 6 1999 Balkema, Rotterdam, ISBN 905809 0795
I

Influence of stress-strain curves on safety factors and inter-slice forces

in FEM

A. Mochizulu & J.Xiong

nepurb?ient of Cilil Engineering, U n i l v i \it\ of rokushinin, Japun
M. Mikasa
Soil nrid Foumlotion Engineering Centei J q m i ~

ABSTRACT: The use of Limit equilibrium methods (LE-methods) over the past sixty years has proven them
to be reliable for evaluating potential danger of a slope. Recently, modeling the stresses and strains that
dcveIop within a slope has been an important area of research in civil engineering. The FE-method has been
used, however, this method has not been proven to be a reliable method for evaluating the degree of dangcr of
a slope. In thiy paper, the safety factor and inter-slice forces of a slope, which are obtained from the LE-
methods including two new methods presented by the authors, are compared to those obtained from the FE-
method. It is found that the safety factors obtained using the FE-method are in a range between values
obtained from the Bishop method and Modified Janbu method. This result shows that stress-strain curves
influence the safety factor of a slope even if soils have the same strength. Distributions of inter-slice forces
and normal forces obtained using the FE-method are similar to those obtained using the LE-methods.

1 INTRODUCTION Up to the present, however, the FE-method is yet

Fellenius et al. (1936) presented the original limit
equilibrium method (LEM) for slope stability
analysis which, today, is known as the ‘Swedish
method’. Following this, several methods based on
the limit equilibrium of forces have been developed.
At present, the M&P-method is regarded as being
the most reliable. Mochizuki et al. (1986)
presented the Advanced LE-method and Modified
Janbu method. Both methods are able to provide
accurate results with less computation than the M&P
method. One failing of the LE-methods is the fact
that displacements in a slope are not considered. In a
number of situations it is necessary to assess
potential danger of slope failure based on each stage
of slope deformation from stable to unstable states.
As an alternative technique, the FE-method has
been used since 1970. Penmun et al. (1973)
employed the FE-method successfully to evaluate
the displacements in dams. Following this, a number
of studies concerning the FE-method have been
carried out. These studies were discussed in J. M.
Duncan’s paper (1996) entitled ‘State of Art: Limit
equilibrium and finite-element analysis of slope’.
With regard to assessing potential danger of a slope
using the FE-method, Ugai (1993, 1995) presented
results showing that the safety factors obtained using
2-D and 3-D FEM were almost the same as those of
thc Swedish method in 2-D and 3-D systems
respectively.
to be proven for accurate evaluation of the degree of
danger of a slope. In this paper, inter-slice forces
acting on slices of potential slip surface and safety
factors arc evaluated using the FE-method and LE-
methods. In the FE-method three types of stress-
strain curves with the same strength were employed
in order to investigate the influence on safety factors.
2 INTRODUCTION OF TWO NEW LE-
METHODS AND COMPARSION OF RESULTS
2.1 The Modified Janbu method arid Advanced LE-
method.
Figure 1 shows inter-slice forccs acting on a slice in
a soil mass on a potential slip surface. Neutral
porewater pressure due to seepage flow, water table,
or consolidation etc., are regarded as external
pressures acting on each surFace of slices in both
methods.
The force, N, acting in a normal direction to a
potential slip surface is assumed to be acting at point
m, where the vertical line from the center of gravity
of a slice crosses the potential slip surface. For
seismic force, a lateral seismic coefficient, LY,~,is
included in the quasi-static coefficient method.
The Modified Janbu method (referred to in this
paper as the MJ-method) employs formulas for the

259
safety factor of a slope from equilibrium of inter-
slice forces for both horizontal and vertical
directions in addition to momentum equilibrium of
the forces at point tn. Height of the thrust line (h, in
Fig.1) is assumed to be 1/3 of a slice height in the
MJ-method. The derivation process of the MJ-
method is basically the same as that of the
Generalized Janbu method (Janbu 1973). Referring
symbols are shown in Fig. 1.
(l A V H , A H : inter-slice forces
U,E: water force due to water pressure
h,hl: height of the action point of E,H
E / , i l : distance to the action point of U,N
Fig.l Forces acting on a slice
The safety factor of a slice is defined by Eq. (1).
Here, Sfrepresents the potential resistance force and
T represents mobilized shear force on the slip
surface. This has the same magnitude as the sliding
force with an inverse sign. By considering
equilibrium of €orces in directions parallel and
normal to the potential slip surface, Eq. (2) is
obtained:
cb + (W - AV -U coscr ) tan 4
M=
~J(cos2a+sincrcosatan4/Ij,j
- M - K,W - (W - AV)tancx
Differentials of inter-slice forces A H and AV in
the above equation are shown in Fig 1. Taking
ZH=O into consideration for all slices, Eq. (3) can
be presented as follows:
a +(W-A I/)sin a ]
F,=A/,z[( AE+K~~W)COS
[cb+(W-AV-Ucosa)tan@]
A=C
[cosa + sin a tan $ / F , ]
Momentum equilibrium of forces around point m
will give Eq. (4) with respect to V when Eq. (5) is
assumed, and D in Eq. (4) is neglected as in Janbu’s
guide in his original method.
= -H tan P, - M h , / b + E[(h, - h, )/b - tan a ]
/b+(l-c)tana]+U(c
-E)/cosa
-~,w[h,/b -< tanaj+D (4)
Here, D = -AV(l- <)+ M(<tan cx - tan p, )
h,=h,s,/3 (51
Boundary conditions at both ends of a potential slip
surface are shown in Eq. (6):
The suffix of symbols in Eq. (6) denote slice number.
Thus, a safety factor of a potential slip surface can
be obtained when F , on the left-hand side of Eq. (3-
1) coincides with the assumed FJ on the right-hand
side of Eq. (3-2) under the conditions presented in
Eq. (6).
The safety factor using the Advanced LE-method
(referred to as the ALE-method) can also be
obtained by solving Eq. (3). Here it is assumed that
the direction of “total surplus thrust force, F, on a ‘I
slice surface coincides with that of the thrust line,
instead of using Eq. (5). Here, totul surplus thrust
force is a vector composed of AV and A H , as
shown in Fig. 3, and calculated using Eq. (7).
Eq. (9) can be obtained following the conditions of
Eq. (8).
The angle B,is defined by Eq. (lO), though the
angle in the MJ-method is defined as the angle from
(2) the horizontal. Smooth transference of surplus thrust
forces was assumed for each slice in the ALE-
method, rather than assuming V/H= 2 f(x) -
(Morgenstern and Price, 1965).
(3-1) 2.2 Comparison of solutions obtuined using LE-
methods
(3-2)
Table 1 presents known and unknown conditions,
and degree of redundancy for each LE-method. As
the Infinite Slope method is the only one”’ with a
statistically determinable system, it follows that
260
 ccrtain assumptions must be introduced in the other obtained using the LE-methods wcre compared to
methods. It should be noted that the Generalized those obtained from the ALE-method in the bottom
Janbu method, the MJ-method, the M&P-method'r2 line of the table.
and the ALE-method have the same number of
unknown conditions. They also have the same Table 1 known-unknow conditions and degree of
number of known conditions, with the exception of a redundancy of the LE-methods
condition of 2 A H =O in the M&P-method. Taking stabil~tycomputation In-sliSwedishl Blshop GJ MBP MJ ALI
the above into account, it can be said that all these ;hape~tslipsurlace P C C NC NC NC NC
analysis methods are based on the same fundamental number oi slice I n n n n n n
principle. known concls.
1. Force acts on slice
Table 2 presents assumptions introduced into each (1) w 1 n n n n n n
method. The degree of redundancy coincides with 2. Boundary conds.
numbers of assumed conditions. The Swedish (1) Vi, Vn+l=KI 2 2 2 2 2 2
2 2 2 2 2
method is thought to have a comparatively large - 2 2 2 2
crror in the safety factor because some inter-slice
forces are neglected in the formulas. 3. Safety factor I
Figure 2 shows the differences of thrust lines and (1) F 1 n i i n n n
safety factors by varyingf(x) and /1 in the M&P- 1.Total strcngth
method obtained by Whitman (1967). Fig.3 shows (1) s n n
5. Forcc acting on slice
the same solutions obtained using the ALE-method (1) N n n
and MJ-method. The obtained safety factor is almost (2) T n n
the same as, or slightly larger than, that of the M&P- -
(3) v n-1
-
method with a similar thrust line of slice forces (see (4) H n-1
(5) AV _I

n n 11 n n
Fig. 2 (1) and (2)). (6) AH - n n n n n
(7) h, - - n-1 n-1 n-1 n-1
?umberof unknowns 6 511-1 6n 'n-3) 711-1I 711-1 7n-
-ond. of sedundancy
I
5. Equilibrium of slice ,
'1)horizontal direction
)r slip surface direction 1 n n n n n n
'2)vertical direction or
iorrnal to the slip surface
lirection 1 n n n
'3) moment - - - n
7. Equilibrium of inter
Fig. 2 Solution by the M&P method slice force
(1) 2 AH=O 1 - 1
(2) 2 AV=O 1 - -
Table 3 shows safety factors of the slip surface 3. Total equilibrium
(I) H=O - -
from the LE-methods, including those of the two
new methods. The safety factor obtained using the (2) v=o
(3) M=O - (1)
Swedish method has the smallest value. The M&P- 3 . Strcngth formula
method provides a safety factor that has a range (1) Coulomb formula 1 n n
between the value calculated using the Bishop 10. Formula of safety factor
( I ) F=MR/MD - I
method and that of the ALE-method. Due to the
(2) F=S/T 1 - n
assumption that V=O and H=O, the Swedish method ( 3 ) Fl=I;,= ...=F,, , - - n-1 n-1 n-1 n-1 n-1
tends to estimate smaller normal forces for steep ,ootalof formulas 6 3i1+1 5n , 6n 6 n - 1 6n 6n
slopes, which results in a low safety factor. Iegreeofwdundancy 0 2n-2 n n-1 n n-i n-1
Computations by the Bishop method, which n-sl infinite slope P: plane C. cricular NC. non-cricular
assumes that A V d , result in a value of the safety
€actor between those given by the Swedish method The safety factors given by the Swedish method
and the MJ-method. The ratios of the safety factors and the Bishop inethod were 12% and 6% lower
respectively than those given by the ALE-method.
:*1:T h e Wedge method is also statistically determinable. Bishop noted that the safety factor given by his
'''2:One of the features of the M&P-method is that slope shape, simplified method was about 5% less than that from
slip surfacc, thrust liiic etc. can be replaced with appropriate his rigorous method (Bishop, 1955). Whitman et al.
fiinctions. T h i s enablcs problems of the slope to be treated in a (1967) reported that the Bishop method is subject to
morc gciieralizcd manner. 'This point, however, is not a errors of 7% or less compared with the M&P-
condition s h o w n in the table. method. Judging from the rate of F/F,, in the table,
the ALE-method provides almost the same solution
as that of other methods.

26 1
 Fig. 3 Distribution of surplus thrust forces and inter-slice forces

Table 2 Assumptions used in the LE-methods

method shape of slip assuming number of assumptior
Swedish circular v=o n-1
H=O n-1
total 2n-2 Here, rigidity Go,, is E / 2 ( 1 i’ ? I ) , and Rf is a
Bishop circular V=O n constant for adjusting stress-strain curves of a
Original Janbu circular & assumed n-1 numerical model to those of test results.
non-circular relevant ht
Table 4 shows model parameters for thrce cases
M&P circular & V= f(x)H: n-1
non-circular n-1 of f(x) 1
of different stress-strain curves with the same
total n strength parameters, c and d. Case 1 and 3 havc
Modified Janbu circular & n-1 the smallest and thc largest slope stress-strain curves
non-circular h,=h,/3 respectively. The same slope as shown in Fig. 2 was
4dvanced Limit circular & adopted in the analysis. Stress-strain curves
Equilibrium non-circular V/ H=-tan /3 I n- 1 represented by the parameters in Table 4 are shown
in Fig. 4. The slopc was meshed by 222 iso-
parametric elements with 250 nodes. Eq. (13) shows
Table 3 Safety factors obtained using the LE-methods the definition of the safety factor used in the FE-
F, F, F,, F, FMKP method (see Fig. 5).
F 1.43 1.54 1.63 1.63 1.53-1.66
FE,, 0.88 0.94 1.0 - 0.94-1.02

met hod Case 1 2 3

c, ci, c=0.044 kgf/cm2(=4.3kPa), 0 =32‘
p, 2.0 t/m‘ (=19.6kN/m’)
3 RESULTS FROM THE FE-METHOD 21 9 500 3,000
E,, (kgf/cm’)*
COMPARED WITH SOLUTIONS OF LE- N 0.421 0.420 0.421
METHODS
Rf 0.8 0.8 0.9
In slope stability analysis the basic process involves
evaluation of T and o N(or N in Fig.l), which are
mobilized shear forces acting on a potential slip
surface and normal stresses, respectively (see Fig.1).
The potential resistance force on slip surface Sf is a
€unction of o,,,. On this basis, the FE-method is
considered to be valid for evaluating T and oN,
instead of using a LE-method.
In the FE-method a hyperbola-type model was
adopted for describing the stress-strain relationship
of soil. For simplicity, a Poison’s ratio of 0.4 is used,
assuming only volume shrinkage during shearing.
Elastic moduli in the model are defined by Eqs. (11) Fig4 Stress-stain curves for Casel,2 and 3
and (12).

262
 Table 5 presents safety factors obtained using the
FE-method. Results from the ALE-method are also
shown in the table. Ratios of FFE/FAare shown in the
bottom line of the table. Case 1, with the gentlest
slope of the initial stress-strain curve, gives the
smallest safety factor, which coincides with that of
the Bishop method. The greatest safety factor is
given by Case 3, showing almost the equivalent
safety factor as that of the ALE-method. It is shown
that the safety factors differ due to the difference of
stress-strain curves.
Fig. 6 shows the distributions of safety factors
that are defined by Eq. (1) for each slice. In Case 2
and 3, the safety factors have the largest value at the
toe of a slope and reduce further away from the toe,
showing a feature of progressive failure of the slope.
However, in Casel, the value of the safety factor is
greatest near the top of the slope.

Case 1 2 3 F,
I?, r 1.54 1.63 1.64 1.63
F,JF,, 0.94 1.0 1.01 1.0 Fig.7 Inter-slice force obtained
using the FE-method

Fig. 5 The definition of safety factor

Fig.8 Inter-slice forces obtained

using the LE-methods

method were compared with those of the LE-

Fig.6 Safety factor distributions obtained
using the FE-method
Next, inter-slice forces H and V and their
differentials AH and A Vobtained using the FE-
methods (Figs. 7 and 8). In the solution of Case 1,
inter-slice forces and their differentials show similar
distributions to those obtained from the LE-methods.
However, solutions of Case 2 and 3 show some
differences from those of the LE-methods. It is

263
supposed that the tension zone of the potential slip
surface in Case 1 would yield. In Case 2 and 3 the
potential slip surface will move as a soil mass, then
values of +H and -I/ will not yield in the slice near
the top of the slope. Distributions of small
magnitude of +H in Case 2 and 3 is also one of the
features of the FE-method.
Figure 9 shows a comparison of distributions of
normal stress o N(=N/AZ) on the slip surface with
those of the LE-methods. The n, calculated using
the FE-method is more scattered, showing larger
values than those obtained from the LE-methods.
The stresses near the toe are obviously greater than
[hose obtained from the LE-methods. However, the
FE-method gives safety factor valves in a range
bctween those of the Bishop method and ALE-
method.
'3: In the LE-methods, the solution is obtained assuming the
safety factors of slices arc all the samc, while in FE-method,
the safety factors of slices differ from each other.
Fig.9 Comparison of 0 obtained using
the FE-method and the LE-methods
4. CONCLUSIONS
(1) The condition, equilibrium equations and degree
of redundancy made in LE-methods including two
new methods were clarified in Table 1 and 2.
Comparison of the safety factors provided by the
LE-methods was shown in Table 3.
(2) The FE-method was employed for evaluating
stresses and safety factors under conditions of soils
having the same shear strength but different stress-
strain curves. The safety factors presented by the
FE-method were in a range between those of the
Bishop method and ALE-method (about the same as
the Modified Janbu method). It should be noted that
the safety factors depended on stress-strain curves of
soils.
(3) Inter-slice forces H and V and their differentials
AH and A V obtained from the FE-method showed
similar distributions as those of the LE-methods.
264
The present paper has shown that the FE-method
is also practical for assessing the potential danger of
slopes.
ACKNOWLEDGEMENTS: The authors would like
to express their gratitude to Hirofumi Yumioka, who
is master student of civil engineering in Tokushima
University, for his help with the analysis.
REFERENCES:
Fellenius, W. (1936), Calculation of the Slability of Earth
Darns, Second Congress on Large Dams, pp.445-462.
Bishop, A.W.(1955), The Use of the Slip Circle in the
Stability Analysis of Slopes, Geotechnique, Vo1.5,
pp.7-17
Morgenstern, N. R. and Price, V.E. (1 9 6 3 , The Analysis of
the Stability of General Slip Surface, Geotechnique, Vol.
15, pp.79-93.
Whitman, R.V. and Bailey, W.A. (1967), Use of Computers
for Slope Stability Analysis, ASCE, SM4, pp.475-498.
Spencer, E. (1968), Effect of Tension on Stability of
Embankments, ASCE, SM5, pp.1159-1173.
Janbu, N. (1973), Slope Stability Computations,
Embankment-Dam Engineering, John Wiley & Sons,
pp.47-86.
Mochizuki, A., Mikasa, M. (1986), Two New Slice
Mcthods for Slope Stabillity Analysis, Journal of
Geotechnical Engineering, No. 370, IU-5, pp. 261-270.
Poulos, H. G., Booker, J. R., and Ring, G. J. (1972),
Siinplified calculation of embankment deformations,
Soils and Found., 'Tokyo, 12(4). pp. 1-17.
Penman, A., and Charles, A. (1073), Constructional
deformations in rockfill dam, J, Soil Mech and Found.
Div., ASCE, 99(2), pp.139-163.
H.Ida, K. Ugai, and T. Hagiwara. (1903), Analyses of 3-
dimensional slope failurc by FEM and the column
method, The 28th Japan national conference on soil
mechanics and foundation engineering, Kobe, No.799, pp.
2145-2148.
K. Ugai, and D. Leshchinsky. (199S), Three-dimensional
limit equilibrium and finite element analyses: a
comparison of results, Soils and Found.,Vol.35, No.4, pp.
1-7.
J. M. Duncan. (1996), State of art: limit equilibrium and
finite-element analysis of slopes, Journal of geotechnical
engineering, Vol. 122, No.7, July, 1996. ASCE, pp.
577-596.
 Slope Stability Engineering, Yagi, Yamagami & Jiang (c) 1999Balkema, Rotterdam, ISBN 90 5809 079 5

Slope stability analysis considering the deformation of slices

'r'.Terado - TechrzicdResearch L a ~ o r a t o Japan
r ~ Foundation Engineering Company Limited, Tokyo,Japi~i
W. Hazarika -Department of Civil Engineering,M & u - uNutiorzal College of Technology,Kyoto, Japan
T.Yamazak_l- Technology Section, Japan Fottndation Engineering Company Limited, Tokyo,Japan
H. fliayamizu - Retired Faculty Chiha Institute of Technology,Japan

ABSTRACT: With the aim of developing an analysis method that can give a uniquc solution for slopc stability
problcms, finitc elemcnt formulation is incorporatcd in the existing mcthod of slopc stability analysis using
sliccs and a new numerical method is devised. in this mcthod, it was considcrcd that thc nodal displaccmcnts
develop along the sliding surface. Also, the shear force and the normal forcc acting on the slopc arc considcrcd
a s the nodal forces on an element. A relationship is dcrivcd rclating the two forccs so that thc ~ o h r - C o u l o m b
critcrion is satisfied.
~ i g h rcl~ablevalues
~y of the global factor of safety and thc external nodal forcc could bc o ~ t ~ ~ i from
n c d thc
present method of analysis comparcd to the cxisting slope stability analyses, which arc bascd on thc mcthod of
sliccs. Howcvcr, concerning the nodal disp~dcementstwo C ~ S C Swcrc obscrvcd: 1) whcn thc slopc docs not fail,
the valucs arc closc to those that conventional FEM givcs and 2) whcn therc is a failurc, dcpcnding on the
valucs of the global safcty factor, the dispIa~mcntmagnitudes diffcr grcatly from thc convcntional onc.

1 INTRODUCTION statically dctcrminatc systcm, and hcncc a uniquc

Thcrc arc many circumstances in natural slopcs,
compacted embankmcnts and excavations where thc
civil enginccr must invcstigate the stability of a slope
by performing slopc stability analysis. Such analysis
should, therefore, be as inscnsitive as possiblc, to 'a
priori' conditions. Existing rncthods of slope stability
analysis using sliccs (Bishop 1955, Janbu 1957) arc
bascd on the limit equilibrium thcorern, however,
most of them rcndcr a statically i n d e t c ~ i n a t esystcm.
Thereforc, in order to obtain a unique solution it is
ncccssary to introducc an additional condition, Since
varictics of conditions can be imposcd, dcpcnding on
thc reasonableness of the imparted conditions, therc
may be significant differences in the results. Thus, it
is not possiblc to obtain rcliablc rcsults from thc
analyses based on the method of sliccs.
The reason why the mcthod of sliccs rendcrs
statically indeterminate system can bc attributed to the
fact that only the force and the moment acting on thc
slices arc considered with total disregard to the
deformation developing in the sliccs. In this research,
in order to do away with the necessity of additi(~na1
constraints, thc displaccmcnt and thc dcformation of
the sliccs arc takcn into considcration. In othcr words
thc slicc or thc portion of thc split slicc is considercd
as a planar elcmcnt of a finitc clcmcnt assembly. I n
this casc, since the forcc and thc momcnt cicvclopcd
in each slice automatically forms thc cquilibrium, they
naturally satisfy the analysis condition of thc
convcntional rncthods of sliccs as well. In addition
duc to thc abscncc o f any additional conditions a
solution can bc obtained. It is also possiblc to
improvc the accuracy of thc rcsults by making the
sizc of thc planar clement smallcr.
Sincc no stress analysis is pcrformcd for thc lower
stable formation (bclow thc failcd mass) of thc slopc,
it is important to handlc thc discontinuous
displacement that dcvclops bctwccn thc nodcs o f thc
movablc sliccs and thc stablc formation. Normally,
such discontinuity is takcn carc of by introducing
joint clcmcnt in such boundarics. H o u w w , since thc
forcc in thc nodc acting in thc dircction of thc slopc is
d e t e r ~ i n e dby thc forcc acting pcrpcndicui~to thc
slope, hcncc, it is not ncccssarily that thc problcm of
d ~ s c t ~ n t i ~ u displacement
ous can bc gottcn rid o f by
the usc of joint clement.
In the present method, it was assumed that the
nodal displacements develop along the sliding
surfacc. The shear force acting along the slopc and
the normal force acting at right anglc to the slope are
considcred as thc nodal forces. A rclationship is
derived, by introducing a factor of safety betwecn thc
two forces, so that the Mohr-Coulomb critcrion is
satisfied ( ~ a y a m i1996, ~ Kojima et. a1 1997,
Terado ct. a1 1998).
Thus, a ncw analysis method is developcd, based
on the finite element method, by considering the
slices thcmselves or thc portions of the split slices a s
planar elements. The nodal displacements, the global
factor of safety and other parameters were calculated
using the dcvelopcd method.

265
Figurc 1. FEM discretization of a slope
Figurc 2. Displaccmcnts and forccs acting on a
typical node
2 FINITE ELEMENT FORMULATION FOR
SLOPE STABILITY ANALYSIS
Figure 1 shows a typical finite element discretization
for a slopc stability problem using slices. As shown
in the figure, the failure mass is broken into a series
of vertical sliccs. Each slice is again sub-divided into
planar triangular elements. If Kij is the stiffness of
each node of the planar element, thcn FE formulation
givcs the following relationship between the nodal
force Fi and the nodal displacement uj:
In Eq. (l),in general, if Fi is unknown, Uj is
known or the vice versa. Therefore, the number of
unknowns and the number of equations are equal and
hence a unique solution can be obtained. However,
for the sclected problem rcprcsentcd in Figurc 1, thc
266
nodal displacement and the nodal forcc of a typical
nodc k (Fig. 2) should satisfy thc conditions (a) and
(b) statcd below.
(a) Sincc nodal displacement develops along the slip
surface, the displacement in the x direction U2k-l
and the displaccment in thc y direction u2k is rclatcd
by the following relationship:
u2k = u2k-l tanek (2)
Hcrc, 8k is thc angle of inclination of thc slip surfacc
with respect to thc position of thc nodc.
(b) The forces acting between thc movablc slicc and
the stable formation undcrncath act on thc nodc a s
external nodal forccs. The rcaction forcc Nk
acting pcrpendicular to thc slip surfacc and thc
shear forcc Tk acting parallcl to thc slip s u r f x c
obey thc relationship as in thc cxisting rncthods of
slopc stability analysis using mcthod of sliccs.
Tk
Here, c k is the cohesive force at the node calculated
from the distributed cohesion at the slip surface, Pk is
the nodal force due to the pore water pressure
generated inside the movable slice, @kis the angle of
internal friction, and Fs is the global factor of safety.
Conditions (a) and (b) render four unknowns:
U2k-1, U2k, Nk and Q. However, since we have
two additional equations (Eqs. 2 & 3), ultimately w e
are left with only two unknowns: u2k-land Nk. Thc
external forces, F2k-1 and F2k, acting at the node k
in the x direction and the y direction respectively can
be calculated from thc forces Nk and Tk (see Fig. 2).
(4)

(5)
Here w k is the force component acting on the node k
due to the self weight of the movable slice.
The forces F2k-1 and F2k can be divided into a
known part and an unknpwn part. The known parts
arc newly referred as F,,-, and F,, , and can be
written as follows:
Thc unknown parts G2k-1 and G2k bccomc,
Now, Eq. (1) is modified so that it satisfies the
conditions (a) and (b). Denoting k as the node
number of each node of the slip surfacc in the right
hand side of Eq. (I), and then using Eq. (2), the
CXpreSSiOn ( K i 2k-1 Uzk-l+Ki 2 k u2k) bccomcs
(Ki2k-ltKi2ktanC)k)U2k-1. Thc CxprCSSion
(Ki2k-l+Ki2ktanOk) is then substituted into Eq.
(l),and a new Ki 2k-1 is calculated. In addition, thc
following condition is introduccd: K i 2 k = 0 for all i .
Thcn, transfcrring G2k-1 and G2k from the left to
the right hand side of the Eq. (l), and rcplacing all
U 2 k by Nk, the following rclations can bc obtaincd:
Eq. (1) thus can be modified as above which
yields a unique solution by rcndcring the number of
unknowns and the numbcr of cquations equal. Morc
cvcr, the weight of the planar clcmcnt wk,which acts
as an external forcc o n the rnovablc slice is
considered as thc resultant of the forccs Nk and Tk
acting betwccn thc movable slicc and the fixed layer
underneath. Thus, it represents a condition that is
similar to thc forcc boundary condition considcrcd in
the convcntional method of sliccs. I n the above
derivation, since it was assumcd that thc valuc of Tk
in Figure 2 is positive, the nodal displaccmcnt u 2 k - 1
should havc a ncgativc valuc.
267
3 NUMERICALPROCEDURE
3.1 Finite element model
Numerical calculations wcrc pcrformcd for thc slopc
shown in Figure 3. Thc wholc slopc was dividcd into
10 movable slices, and a finitc clcmcnt asscmbly was
formed using each slicc as an clcmcnt. Thc triangular
sliccs were takcn as triangular clcmcnts, while thc
quadrilateral sliccs wcrc trcatcd as fivc nodcd
quadrilatcral elements. In addition, thc fifth nodc of
the five noded quadrilateral clcmcnt is madc to
coincide with the ccntcr of gravity of thc quadrilateral
slicc. For each clement thc following paramctcrs wcrc
adopted.
Young's modulus, E = 50 Mpa
Poisson's ratio, Y = 0.35
Average unit wcight, p = 17.0 kN/m3
Distributcd cohcsion, c = 12.0 kPa
The angle of intcrnal friction, $k = 16.3".
3.2 Method of analysis
It is worthwhile mentioning here some of thc
important points to be considcred while performing
the slope stability analysis using the developed
theory. A movable slice remains stationary unless the
slopc fails. At that moment, the minimum valuc of
displacement at cach nodc does not ncccssarily
bccomc zcro. Even though movement occurs in all
parts of a movable slicc, in ordcr to yield the rcsults
to the safe side, thc nodc at thc lowest part (node 28
in Fig. 3) of the failed mass was assumed to bc fixed.
Also, thc value of global safety factor Fs should
bc obtaincd from thc calculation. However, Fs
appears in many parts of the modified vcrsion of Eq.
(I), and hence a trial and error m e t h d was adopted
by rcpcating the calculation using various values of
Fs. Thc correct valuc of Fs was assumcd as thc onc
that is obtaincd whcn the displacement at the bottom
nodc (node 28) of thc failed mass becomes equal to
zcro.
Figurc 3. FEM mcsh of thc slopc undcr considcration
4 RESULTS Tdblc 2. Nodal forcc and displacements for Casc I1
Nodc Reaction Displaccmcnt Displaccrnent
The numerical analyses were performed for two Nos. forcc, Nk in x dircction in y dircction
cases: Case I. Neglecting the pore water and Case 11. (kN/m) (cm) (cm)
Considering the pore water.
1 117.8 -14.82 -11.33
4.1 Slope without pore water 2 941.1 -15.82 -10.04
Table 1shows the results of the analysis for the case 5 2029.5 -1571 -8.24
I where the presence of the pore water in the slope 8 2564.8 -13.97 -5.97
was neglected. The corresponding global factor of
safety Fs was 1.08 for this calculation. 11 3208.9 -11.08 -3.76
14 3543.5 -7.84 -2.02
Tablc 1. Nodal force and displaccments for Casc I 17 3527.6 -4.69 -0.85
Nod e Reaction Displaccmcn t Displaccm cn t 20 3206.7 -2.21 -0.24
Nos. force, Nk in x direction in y direction 23 2527.7 -0.65 -0.02
(kN/m) (cm> (cm)
26 1696.3 -0.13 0.00
1 124.0 -14.18 -10.84 28 263.3 0.00 0.00
2 937.1 -15.07 -9.56
5 2024.4 -14.72 -7.72
cases is the same and thcrc is a critical point in thc
8 2582.2 -12.75 -5.45 failure surface at which thc rcaction attains thc
11 3240.6 -9.80 -3.33 maximum valuc.
In thc abovc calculation using the modificd finitc
14 3572.7 -6.67 -1.72 element formulation, thc valucs of thc cohcsion and
17 3539.4 -3.74 -0.68 thc friction anglc changc according to thc valucs of
thc global factor of safcty uscd. This rcsults in thc
20 3200.6 -1.57 -0.17 differencc of the magnitudcs of thc displaccmcnt and
23 2500.7 -0.30 -0.01 the external force shown in Tablc 1 and Tablc 2 from
thosc given by thc convcntional FEM analysis cvcn
26 1658.3 0.00 0.00 whcn the slope is stablc. This factor should bc notcd
28 241.5 0.00 0.00 while interpreting thc rcsults.

It is clcar from thc x and y dircctional

displacemcnts that dcpcnding on thc forces Nk and
Tk acting bctwccn thc movablc slicc and fixcd
formation the magnitudc of thc displaccmcnt varics.
Thc negativc valucs of all thc x dircctional
displacemcnts imply that thcrc was nothing wrong in
the assumption of thc direction of thc forcc Tk.

4.2S h p e with pore water

Tablc 2 shows thc rcsults for thc Casc 11, whcrc thc
porc watcr insidc thc elcmcnts is considcrcd. In this
casc, thc global factor of safcty, Fs is 0.937. For this
valuc of Fs, practically thc slopc will fail and hcncc
thc numcrical valucs shown in Tablc 2 can not bc
obtaincd as it is. Howcvcr, thc cohcsion c and thc
friction anglc & wcrc recalculated (dividing cach by
thc abovc valuc of Fs) and thc rcsults obtaincd using
thcsc ncw valucs arc shown in Tdbk 2.
Thc rclation bctwccn thc rcsultant displaccmcnt Figure 4. Variation of the reaction force with
and the reaction forcc along thc failurc surfiicc is displaccmcnt
shown in Figurc 4 for thc two casts considcrcd in
this rcscarch. It can bc sccn that thc trcnd for both thc

268
5 CONCLUSIONS
This rescarch has established that the use of the Finite
Element Method in the slope stability analysis using
slices yields a unique global safety factor without
imposing any additional conditions. In addition, this
has also made clear some points regarding
displaccments of the nodes of the movable slices,
which was one of the drawbacks of the existing slope
stability analysis based on method of slices. When
the global factor of safety is greater than 1.0, the
results are not much different from the conventional
method. When the global factor of safety is smaller
than 1.0 attention should be paid, as in that case fairly
large difference exists between the results obtained
and conventional method. Regarding the magnitude
of the force that develops between the movable slice
and the stable formation, it is seen that the present
method gives more accurate results as comparcd to
those from the existing methods of slices.
Furthermore, even while using a value of Young's
modulus for the elements different from that used in
the reported calculations, no differences of the valucs
of the global safety factor and the force developed
between the failed mass and the stable formation
underneath were found. However, the magnitude of
displacement showed an inverse relation to the values
of the Young modulus.

REFERENCES
Bishop, A.W. 1955. Thc use of slip circle in thc
stability analysis of earth slopes. Ge~tecIzni~ue,5:
7-17.
Hayamizu, H. 1996. A ncw analysis mcthod for
slope stability evaluation. In Teclznology and
Constructiorz: (Rcscarch Report of Japan
Foundation Enginccring Co. Ltd., Tokyo): 54(2):
76-8 1.
Janbu, N.1957. Earth pressure and bearing capacity
calculation by generalized procccturc of sliccs.
Proceeding of the 4th International Conference of
Soil ~ ~ c h a ~ and ~ i cF~Iundati~>i~
s Engi~~eering~,
London: 2 : 207-212.
Kojima, Y., Yamazaki, T., and H. Hayamizu 1997.
Slopc stability analysis incorporating slice
deformation - Part 1. ~ ~ ~ ) of cthee 32nd e ~ ~ ~ ~ ~ ~
Annuul Coizference of .lupane.se Geotechnical
Society. 3: 1871-1872.
Lane, P.A. and Griffiths D.V. 1997. Finitc clcmcnt
slope stability analysis - why arc cnginccrs still
drawing circl cs . Proceedings of the Sixtlz
on urnerica1 ~ ~ ) d einl ~ s
~ ~ ~ t e ~ n a~,~ym~~o.siurn
ti~)na
Geomeclzanics. Montrcal, Canada: 589-593.
Tcrado, Y., Yamazaki, T., and H. Hayarnizu 1998.
Slopc stability analysis incorporating slicc
~eformation- Part If. P i - ~ > c e ~of ~ ~the
~ g33rd
~s
Annual Coizfirencc of Jupuncse Ck~teclinicul
S>ciety. 3: 1707-1708.

269
This Page Intentionally Left Blank
 Slope Stability Engineering, Yagi, Yamagami & Jiang ic) 1999 Balkema, Rotterdam, ISBN 90 5809 079 5

Slope stability analysis using a spring attached to inter-slice planes

K. Kondo
Public Works Department, Aichi Prefecrural Governmenr,Nugoya, Jupun
S. Hayashi
Faculiy of Bioresources, Mie UniversiQ Japan

ABSTRACT: A new slope stability analysis method is proposed by using springs attached to the inter-slice
planes based on the limit equilibrium method(LEM), and an evaluation of this method on typical soil fail-
ure problems is discussed. The subject of slope stability analysis using the slice method based on LEM,
involves determination of the inclination angles of the inter-slice forces related with a statically indetermi-
nate problem. In the method proposed, the inter-slice forces including these angles and the overall safety
factor can be determined logically by deformations of the vertical slices, which are obtained from the
stress-strain relation of the soil and the limit equilibrium condition. Results obtained by this method satis@
the force and moment equilibrium conditions on each slice and the whole slope. This method can be applied
to most soil failure problems, even on a non-uniform ground surface.

1 INTRODUCTION

The slice method based on the limit equilibrium

principle is the most common method for slope sta-
bility analysis. Various slice methods have been
proposed by Fellenius( 1936), Bishop( 1954),
Janbu ( 1955 ), Morgenstem-Price( 1965 ), Spencer
( 1967,1973) and others. However, owing to the
statically indeterminate nature of the problem, most
of these methods have done nothing but analyze by
only using groundless assumptions regarding
inter-slice forces.
For example, the Morgenstern-Price method
(MPM) and Spencer method( SPM) have been
based on a determinate state by using an additive of Figure 1 Situation of internal forces
unknown value( Sarma,1979, Imaizumi et al., 1988)
They satisfy the force and moment equilibrium con-
ditions on each slice and the whole slope, and as- the conventional methods is not clear, even for the
sume all acting inclination angles of inter-slice slope stability analysis.
forces( these hereafter will be called internal an- By the way, soil failure phenomena such as those
gles) to be set as usually parallel to each other as on a slope, footing and back-fill of a wall, are
shown in Figure 1 ( a ) . In an actual slope, the inter- caused mainly by soil shear failure. From the stand-
nal angles depend on the locations, as shown in point of mechanics, thou h these failures result
Figure 1 ( b ) . As a. matter of course, the results of from the same phenomena? Yamaguchi, 1990) , the
slope stability analyses are under the influence of slice methods are not usehl for soil failure phe-
the internal angles. Therefore, the appropriateness of nomena on the footing and the back-fill of a wall.
results obtained from the conventional methods The analysis of these requires other methods, be-
such as the MPM and SPM is not ascertained. The cause of the inability to determine the internal an-
bearing capacities whose correct values have al- gles with reasonable accuracy by the conventional
ready been known, are analyzed using conventional slice methods. It has been desired that these phe-
methods, and are high in errors( Hanssen, 1966). nomena can be dealt with uniformly by using one
This fact also indicates that the appropriateness of method (Imaizumi et al., 1986).

27 1

Figure 2 Several forces acting on a slice
The aim of this paper is to propose a new slope
stability analysis method by using the slice method
based on the limit equilibrium principle, and to dis-
cuss an evaluation of this method for typical soil
failure problems. This method is capable of deter-
mining the internal angles reasonably, and even re-
sults in accurate solutions for the problems of bear-
ing capacity and earth pressure. Therefore, this
method can be widely applicable to soil failure
problems.
2 NEW LIMIT EQUILIBRIUM FORMULAS FOR
SLOPE STABILITY
In the slice methods such as MPM and SPM, to de-
rive the limit equilibrium formulas, the force and
moment equilibrium conditions are usually em-
ployed in each slice. However, the principle of vir-
tual work can also make the derivation of the same
formulas as equivalent as the SPM. That is, the
force and moment equilibrium formulas using the
principle of virtual work can be derived from con-
sidering a virtual deformation without rotation, U * ,
and a virtual rotatory deformation, 8 * , respectively.
Figure 2 shows the several forces involved in the
derivation of formulas. The acting position of the
effective force, NI’, normal to the base plane of the
i-th slice is defined as the origin of the orthogonal
coordinates, and the coordinates of the acting
positions of several forces are defined as shown in
Figure 2 In this figure, the definition of each vari-
able of the i-th slice is as follows: Zj’: the left side
272
effective inter-slice force, Wi the self-weight of
slice, U1 and PI the total pore water pressure on the
base plane and on the left side inter-slice plane re-
spectively, QI the surcharge force, br the width of
the slice, 61’the internal angle of Zl’, Q I the incli-
nation angle between the tangent to the base plane
and the horizontal, w r the inclination angle of Qj,
SOZI( C I ~ b~
I sec Q I ) and ( NI’.tan q5 l?II the mo-
bilized shear strength owing to the cohesion and
friction angle on the base plane, LI and hrl vertical
distances of the acting position of Zl’ and P,from
the base plane respectively, Iiu, h’,Iv and IQ hori-
zontal distances of the gravity center and the acting
position of NI’, lJl and Qi from the left side
inter-slice plane respectively, hQ vertical distance of
the acting position of Ql from the acting position of
NI‘, where cnll’=clYFs, tan q5 )?I1 ’=tan q5 I YFs, Fs the
overall safety factor, cI’ and @ I ’ the cohesion and
the friction angle in terms of effective stress on the
base plane, du= ( b I - h )tan a I , dL=h tan a
By considering U * , whose direction is the mobi-
lized friction angle, dn,,‘, measured upward from
the base plane and considering 8 * , the sum of the
virtual work, wl, of the z-th slice can be obtained as
follows
WI = U*. el
-cos( x I + 61 ’ )
cos! T6I-1’ 1
-sin x I
Rr., = -cos q5 1n1
sin q5 ini
-cos x I
cos x I
-cos( x l - w l ) Ij T
RM =
where x i included in the above equation is q5 ml‘- Q i.
Eq. ( 1 ) must satis@ the following relational
equation concerning the principle of virtual work:
wi = 0 (2)
Since U * and 8 * are not zero, and Eq. ( 2 ) has to
be satisfied for all slices, the equilibrium formula of
the whole slope is written as follows:
=o

Figure 3 Model of the SSM
where i1 is the number of slices.
Eq. ( 3 ) which is as equivalent as an equation in
the SPM, has the generality of the slice method.
From now on, this new formula will be useful as a
general formula of the vertical slice method, be-
cause it is impossible to derive it clearly and
quickly from the principle of virtual work.
3 INTERNAL ANGLES 6 I’
The subject of the slope stability analysis using the
slice methods such as the SPM and MPM, deals
with how to determine internal angles This problem
is caused due to the lack of a number of mechanical
conditions as compared with the number of un-
known values Accordingly, to add the new
conditions, the new slope stability analysis method
utilizes springs attached to the inter-slice planes
( Kondo, Hayashi, 1997b ) This method hereafter
will be called the SSM (Slice Spring Method)
The SSM adopts a new limit equilibrium formula
as mentioned above, and is equivalent to the SPM
The SSM utilizes springs to determine the internal
angles which are impossible to determine reason-
ably by the SPM or others Initial trial forces,
namely, the horizontal inter-slice forces, ZH~’,and
NI’ are determined by the SPM Then the actual in-
ternal angles are yielded by a deformation of the
slices caused by action of the springs etc, intro-
ducing the stress-strain relationship attached to the
inter-slice planes
3.1 Model of SSM
Figure 3 shows the model of SSM to express the
characteristics of the soil mass as an elasto-plastic
body. Regarding the slices as a rigid body, the hori-
zontal elastic springs, H, and the vertical elasto-
plastic springs, V, are attached to the inter-slice
273
Figure 4 Deformation of slices in the SSM
planes. The plastic springs, N, normal to the base
plane and the sliders parallel to the base planes are
attached to the base plane. As for the deformation
of slices, the following are assumed:
1 )The slices are assumed to move basically parallel
to the base and inter-slice planes. The rotational
movement is not considered here.
2)The moving direction of slices is employed to a
dilatancy angle while being in a plastic state on
the inter-slice plane. The base plane is dealt with
in the same way.
3)Soil mass is assumed to be isotropic.
3 2 Dejbrmation of slice based on the model
In the SSM, the deformations of slices are obtained
from applying two forces (Zm‘,N‘) to spring-H
and spring-N, respectively
Considering the usual slope rising to the right
side, each slice being a base plane in the limit equi-
librium state moves downward to the left, shrinks
with Zm’ and then moves downward to the left side
along the slip surface Shrinking upper slices also
slip downward to the left side on the slip surface
following the lower moving slices If the inclination
angles of slip surfaces are all the same, namely, a
linear slip surface, a relatively vertical deformation
between the adjacent slices does not occur
However, since the inclination angles of slip sur-
faces usually become steep at upper sides of the
slope, a relatively vertical deformation between the
adjacent slices occurs due to a difference in the in-
clination angle of the base plane between the adja-
cent slices Furthermore, Ni’ caused by @,I’ ( 2 1 , ZI’,
etc which are acting on the slice, bring a sinking
normal deformation to the base plane into the slices
The difference of the sinking deformation between
the adjacent slices also yields a relatively vertical
deformation
As mentioned above, two kinds of vertical defor-
mation, which are caused by both moving of the
slices along slip surfaces and normal sinking of the
slices to the base planes, yield the relatively vertical
deformation, V I , as shown in Figure 4 This figure
indicates that point. P, which is stationary before the
moving of slices, moves to different positions( Pi,
P2) after this movement, and then by these defor-
mations the relatively vertical deformation,,1'1 occurs
3 3 b?rilml acting arigk of rrzter-slice force 6w
In the SSM, the virtual acting angles of inter-slice
forces (these hereafter will be called virtual internal
angles, ~ D I) , are calculated before determining the
internal angles, 6 Calculating 6D~ requires ZfIl'
1'
and NI', which are obtained from the SPM assuming
all the internal angles to be parallel Just after de-
termining these forces, the action of the springs
( H,N) diminished upon applying the forces
( ZH~',NI') to these springs ( H,N ) respectively, yield
V I as mentioned above Before determining 6 ~the~ ,
virtual internal shear force, ZDV~, needs to be ob-
tained from both 1'1 and the stress-strain relationship
of the spring-V as follows
where g the tangential spring constant of the
spring-V, ml=( dl+dI -1 )/Hi,
HI the vertical length
of the left side inter-slice plane, (dl+dl+i) the ho-
rizontal length between the midpoints of adjacent
slices
By determining ZDr.1, dol can be given as
shown in Eq ( 5 ) , using ZH!'obtained from the SPM
Details concerning the derivation process of 11, are
referred to in the paper by Kondo & Hayashi,
1997a.
3.4 Computing Method of 8I '
The internal angles 6 i ' satisfying the limit equilib-
rium conditions are obtained from Eq. ( 6 ), which
includes 8~ and the limit equilibrium in Eq.( 3 )
concerning slope stability derived from the principle
of virtual work.
where k is the scaling factor. In the SPM, the inter-
nal angles, 6 are derived from Eq. ( 7 ) with itera-
tion regarding 8 as the unknown variable.
t a n 6 I' = kl * tan8 (7)
where 8 : the scaling factor, kl: function that de-
scribes the manner in which the internal angle var-
ies across the slope. Usually, kl is taken as 1.0
owing to the inability to determine these angles
individually. On the other hand, in the SSM, the
274
unique internal angle, can be derived from Eq
( 6 ) regarding k as the unknown variable While k,
in the SPM needs to be assumed, the SSM does not
need to assume k and 6 ~which ~ , can be provided
by an iterative calculation of the conditions of Eqs
( 3 ),( 5 ) Namely, the SSM is also different from
the SPM in the usage of the scaling factor
In the SSM, Rs derived from the force equilibri-
um equation using 6,' and k derived from both the
moment equilibrium equation and Eq ( 6 ) , are de-
termined by calculating both Eq ( 3 ) and Eq ( 5 )
with iteration until Fs and each 6,' converge
During iteration, once transforming the inter-slice
plane to a plastic state, 61'are the imposed angles
on the plastic state as follows
where 7b: the shear resistance force on the inter-
slice plane, Zvl: the vertical internal force.
4 VERIFICATION OF SSM
To verify the SSM, the bearing capacities of which
the correct values are already known and of which
the results from using the conventional vertical slice
methods have much error, are computed using the
SSM. At the same time, computing by the SPM is
also performed to compare with the SSM.
A ground is considered for the bearing capacity
problem in which the parameters are given as c=l,
@ soil unit weight y =0, footing width B=l
and V ( Poisson's ratio) 4 3 . Namely, the value of
Nq is computed. The ground is divided into 5 slices
as shown in Figure 5 . The bearing capacity value
must be optimized for the geometry of the slip sur-
face on Fs set to 1.0 (the tolerance is 10-4 ) . The
method of optimization employed is a quasi-New-
tonian method similar to that of Arai et al. ( 1985 ) .
To search for an optimum geometry, the vertical 10-
cations of slip surfaces are taken as variables along
the inter-slice planes. Also, the slip surfaces located
at the mid-vertical plane on the active and passive
earth pressure wedges are moved along the rupture
line of each wedge, and the tip of the rupture line
on the ground is moved along the ground surface.
The computed results are shown in Figure 5
comparing with those by others ( Hansen, 1966).
The SPM gives 9.5 as the value of Nq and causes
an error of -45.6% as compared with the correct
value( 18.4) by Prandtl (Prandtl, 1921 ) . Though
the SPM is known as an accurate method for slope
stability analysis, this method gives rise to much
error because of being obliged to assume all the in-
ternal angles to be parallel to each other( in this
case, 6 T'=l.26" ) . Contrarily, the SSM gives 19.6 as
the value of Nq, and causes an error of only 6.5%
as compared with the correct value. This error is the
 Figure 5 Nq30" and slip surface shape obtained from several methods
same as the one obtained from GLEM( Enoki, et a1 ,
1991 ) , and much less than the one obtained from
the SPM Moreover, the internal angles on the
mid-vertical inter-slice planes of the active and pas-
sive wedges are known as horizontal, because of
being in an active failure state under the footing,
and being in a passive failure state adjacent to the
footing Eventually, with these internal angles set to
horizontal as the boundary condition (this hereafter
will be called the horizontal boundary condition),
the SSM still yields a more accurate value( 17 9,
error=-2 7% )
Figure 6 draws the bearing capacity values of Nq
obtained from the SSM where the ground is divided
into 6 slices with correct values( Prandtl ) (Kondo,
Hayashi, 1997b) Results of the SSM are computed
on the condition that v (Poisson's ratio) is given
at 0 3 Figure 6 shows the values obtained from
both conditions of the horizontal boundary and
without them
Values of Nq by the SSM agree well with the
correct values by Prandtl Errors of these values
without the horizontal boundary conditions are
about 1% in c,6'=10"and 10% in $'=40" Given
the horizontal boundary conditions, errors become
less than 4% on the whole
The examination above by means of analyzing
the bearing capacity indicates that the results ob-
tained from the SSM are appropriate and the SSM
can be verified
5 APPLICATION TO ANCHOR WORKS
A basic characteristic of anchor force variation de-
pending on the acting position of the anchor is clar-
275
Figure 6 Nq by SSM
ified by analyzing a model slope using the SSM
(Kondo, Hayashi, 1998 ) . At the same time, com-
puting by the SPM is performed to compare with
the SSM. Once anchor force is introduced into a
slope, the internal angles are supposed to change
partially at and around the slice with the introduced
anchor force. It is impossible for the conventional
slice methods to properly estimate the change of
these angles due to anchor force in the design of
anchor works to stabilize a slope. Therefore, the
necessary anchor force, in other words, the safety
factor and the slip surface to determine the position
of an anchor body, may not be able to be estimated
properly. On the other hand, the SSM is supposed
to be able to estimate these properly, because of
considering the slice deformations due to anchor
forces and then determining the internal angles
based on these deformations.
Figure 7 shows the model slope in which the pa-
rameters are given as @'=25.0",c'=9.982kN/m2, 7
=17.64kN/m3 and v =0.3. In the analysis to deter-
mine the necessary anchor forces in which the safe-
ty factor is 1.500, the directions of the five anchor
forces are assumed to be normal to the ground sur-
face, and then the anchor is acting position, L,
measuring from the left side inter-slice planes and is
varied simultaneously to the upper side of the slope.
An optimization method which is the same as that
in the above chapter is employed.
The computed results of slip surface shapes are
shown in Figure 7. Accompanied with increasing L,
the tops of slip surfaces have been moved toward
the center side of the slope, and the toe of these
have moved toward the opposite side of the slope.
Figure 8 indicates the difference and variations of
the necessary total anchor forces by the SSM and

Figure 7 Slip surfaces depending on acting location
Figure 8 Necessary anchor forces depending on
acting location (Fs=1.500)
SPM These forces increase with increasing L. The
tendency of its variation is linear in the SSM as
compared with a curved line in the SPM The line
of discontinuity at L=l Om is generated by changing
the slice acted upon by the anchor forces accompa-
nied with increasing L. The necessary anchor forces
by SSM are smaller than those by SPM The differ-
ence between the two methods increases with
increasing I,, and is 2% at L=OOm and becomes
29% at L=l 2m, which is indicated as a percentage
divided by the values of SSM
The verification of SSM carried out in the above
chapter can provide the results of SSM better than
the results of SPM Therefore, there is little differ-
ence between the SSM and SPM in the case where
the force acts on the lower part of the slope, but the
results by SPM are overestimated in the case where
the force acts on the upper part of the slope In such
cases, a method capable of estimating the effects of
inter-slice forces such as the SSM should be utilized
276
6 CONCLUSIONS
The slice method is convenient for the actual prob-
lems because of its ability to deal with several
problems in which conditions are complicated.
However, the conventional slice method cannot es-
timate the internal forces properly, so that when the
anchor works and bearing capacity problem where
the internal angles vary widely depending on the
surcharge force, the conventional slice method has
much error. The proposed method( SSM) can esti-
mate the internal forces properly. While the SSM
cannot deal with a ground whose soil parameters
are not uniform, it can deal with a non-uniform
ground surface which is difficult for the limit anal-
ysis and slip line methods to analyze. Therefore, the
SSM is capable of wide application to soil failure
problems.
REFERENCES
Arai. K. and Tagyo, K. 1985 : Determination of noncircular
slip surface giving the minimum factor of safety in slope
stability analysis. Soils and Foundations. V01.25, No. 1.
pp.43-51.
Enoki, M. , Yagi, N., Yatabe, R. 1991 : Generalized limit
equilibrium method and its relation to slip line method.
Soils and Foundations, Vo1.3 1, No.2, pp. 1-13.
Hansen, J. B. 1966 : Comparison of methods for stability
analysis, Danish geotechnical institute, Bulletin No.2 1
pp.5-9.
Imaizunu, S. and Yamaguch. H. 1986: Bearing capacities of
shallow foundation calculated by the method of slice.
Soils and foundations, V01.26, No.2, pp.143-150 (in
Japanese 1.
Imaizumi. S.; Yamaguclu, H.,Oohasl~i,K.. 1988 : Stability
annlysis by the generalized slip surface. Tsuchi-to- Mso,
Vo1.36, No.5, pp.55-60 ( in Japanese).
Kondo, K. and Hayashi. S. 1997a : Slope stability analysis
using the springs attached to the interslice plains, Journal
of Geotechnical Engineering, ,JSCE, No.561lIII -38,
pp.33-46 ( in Japanese).
Kondo. K. and Hayashi, S. 199% : Evaluation of the SS
method on typical soil failure problems, .Journal qf
Geotechnical Engineering, J Y E , No.5821III -3 1,
pp. 137-149 ( i n Japanese) .
Kondo. K. and Hayashi. S. 1998 : Analytical study on the
location of anchor works to stabilize a slope, Journal qf
The Japan Society qf Erosion Control Engineering,
Vol.50, No.5. pp.12-20 ( i n Japanese) .
Morgensteni. N. R. and Price. V. E. 1965 : The analysis of
the stability of general slip surfaces, Geotechnique, 15.
pp.79-93.
Prandtl, L. 1921 : Uber die eindringungsfestigkeit plastischer
baustoffe und die gestigkeit von schneiden, Z. Anyew.
Math. Mech.. Vol. 1. No. 1. pp. 15-20.
Sarma, K.. 1979 : Stability analysis of embankments and
slopes. .Journal of the Geotechnial Engineering Division,
.,ISCE, GT12, pp.1511-1524.
Spencer. E. 1967 : A method of analysis of the stability of
embankments assuming parallel inter-forces. Geotechniqu
17. pp. 1 1-26.
Spencer. E. 1973 : Thrust line criterion in embankment stabil-
ity analysis. Geotechiiique. 23, No. 1. pp.85-100.
Yamaguchi. H. 1990: Soil mechanics, Gihoudou- shuppan
pp. 197( in Japanese ) .
 Slope Stability Engineering, Yagi, Yamagami & Jiang cc) 7999 Balkema, Rotterdam, ISBN 90 5809 079 5

Three-dimensional stability analysis of locally loaded slopes

X.Q.Yang& S.X.He
Hubei Polytechnic University, Wuhan, People’s Republic of China
Z. D. Liu
Wuhun Universify of Hydraulic and Electric Engineering, People’s Republic of China

ABSTRACT: Stability analysis of locally loaded slopes is a complex three-dimensional research topic. Based
on limit analysis theory and three-dimensional failure mode, corresponding calculation method of local limit
surcharge on top surface of slope is proposed. By use of energy safety factor, some relations between slope
general stability and local stability are revealed for locally loaded slopes in this paper.

1 INTRODUCTION 2.1 Smaller local surcharge

When the local surcharge is smaller, it does not
Many practical geotechnical problems involving influence slope general stability. In such the
local surcharge on top surface of slopes require circumstances, the surcharge can be neglected, and
reasonable stability analysis evaluation. When the corresponding slope with no local surcharge can be
local surcharge is smaller, it does not influence slope used to study the slope general stability, as shown in
general stability. When the local surcharge is bigger, Figure 1.
it is proved by many geotechnical engineering
practices that dimension and location of the local
surcharge will control slope failure state, and local
three-dimensional slope failure will be easy induced.
Because of complexity of problem, beneficial
influence of two end failure surfaces is neglected,
and the slope with local surcharge is analysed by
means of two-dimensional methods, assuming the
surcharge of an infinite extent, this may lead to a
very conservative design.
Based on limit analysis theory (Chen 1975) and
some research results reported in literatures( Baligh Figure 1. General stability analysis of slope
1975. Hovland 1977 and Michalowski 1989), and
combined with energy safety factor(Yang et al. 1977 The slope general stability analysis can be
a,b), the paper gives out a further study about the regarded as a two-dimensional stability problem,. for
three-dimensional stability problem of slope with certain failure angle p, external force work rate W ~ . , I
local surcharge. done by weight of failure soil mass is expressed as
follo~vs:
2 LOCAL SURCHARGE ON TOP SURFACE OF
SLOPE

There is a slope with an infinite extent, its top surface Internal dissipative work rate J;,,,,, produced by
is horizontal, slope height is h. and slope angle is failure soil mass sliding along failure surface AD can
(9O”-~).Soilmass’s unit weight is r, cohesion and be obtained:
internal friction angle are C and p respectively. If the
soil mass satisfies Mohr-Coulomb yield criteria and = ChV cosiplsin p
W,,,; (2)
obeys associated flowing rule, then slope stability
analysis will be detailed under two kinds of local According to definition method of energy safety
surcharge conditions in the following sections. factor (Yang 1997 b ),the energy safety factor FS, of

277
Figure 2. local stability analysis of slope

the slope general stability can be gotten: mode of total three-dimensional sliding soil mass is
w ,,,I 2c cos p shown in Figure 2(b).
FS I =-=--. Based on some geometry relationships, weight W,
.
rh (ctgp - tgE) s i n ( p - p) sin p
W,YI of total three-dimensional failure soil mass can be
In order to calculate FSI,,,,,,
making dFS,/dpO, expressed as follows:
then critical failure angle p,,. has a following
relationship: w,= 1 rBH
-
I
(ctgP - t g E ) -
1
;
3
I-H =.
sin ,8
(ctgfl - tgE) (5)

Then external force work rate done by the W,

and local surcharge on top surface of the slope can be
Formula (4) coincides with failure angle derived
obtained :
by literature (Hunt 1986). For vertical slope (FO"),its
=45 p/2. O+
1 1
Putting p,, obtained by formula (4) into formula i r , z = [-I-BH '(ctgp - t g E ) - ; r H 3 *(ctgp - tgc)
2 3 sin ,8
( 3 ) then corresponding FSjlllll,
of the slope general
stability can be gotten. + 41bIC' sin( p - p) (6)
Just shown in Figure 2(b), area S, of bottom failure
2.2 Bigger local surcharge surface GEFK can be derived as follows:
tgq)
If rectangular surcharge on top surface of slope is s,= H ( B s isin?
np-H
p
uniform, when the local surcharge is bigger, local
three-dimensional failure of slope is easy induced. as And area S, of end failure surface AEG(or DFK)
shown in Figure 2, corresponding failure angle p can can also be gotten:
be calculated by use of the relationship H2 2
tgpH/(g+b+HtgE). Under such the circumstances. s, = -{ 4 + 2(ct@-tg&)' -~

sliding velocity V of the total failure soil mass is 4 sin' pco? pco? E cos?E sin' pcos?E
I
shown in Figure 2 (a) and angle between velocity 'I I 1
- _ _ _ _ -, [ -(ct&- tg&)'l2}?
and sliding tangent GG'(or KK') of bottom failure COiE sin-p
surface GEFK is equal to 9.At the same time, GE
and KF are sliding tangents of two end failure Then internal dissipative work rate M', produced
surfaces AEG and DFK respectively. so angle along velocity discontinuity surfaces GEFK, AEG
between Vand GE(or KF) is also equal to p. Based and DFK can be expressed as follows:
on the construction of kinematically admissible W,,,' = C(S, - + 2 S 2 ) V c o s p
velocity field. such field has to comply with the
kinematical boundary conditions and compatibility
conditions, it can easy be conjectured that angle
between GE and GG'(or KF and KK') must be equal , q c t g p - &E)? 2 I
to p. corresponding lower-bound length EF of the ' cos2& sin2Pcos2& cos4&
three-dimensional failure soil mass should satisfy the
relationship B=I+2HtgpIsinp. If AE and DF. two (9)
failure lines exposed on the slant slope surface, are
vertical to the line AD, then GA and KD must be two Corresponding energy safety factor FS, of the local
failure lines exposed on top surface of the slope. three-dimensional stability has following relation-
According to above demonstrations. then the failure ship:

278
 (1)When the local surcharge is smaller, it does not
influence the slope general stability, then energy
- safety factor of the slope with no local surcharge can
1 1
[T r-BH'(ctgp-tg~)- ~ r-H5*-(ctg,8-tgs)+y bI ] be obtained by formula (3): FS,,,,,,,=1.54, its
I J sinp PC,=45"+p/2=6Oo.
H(Bsinp- H tgp) H ' 2(ctgP- tgE)? (2)When the local surcharge is bigger, local
sin' p
+--E 2 sin' P C O4S ' ~ C O S ~ E+ COS'€ three-dimensional failure will be induced, then
qilllllll=148.88kPa can be calculated through trial and
error by formula ( I I ) , PC,=59.04O and H=5 m
corresponding to the q,,,,,,,,can be obtained respective-
ly-
In above formula(lO), making FS2=1,then limit (3) Putting &=59.04" and H=5 m into formula (IO),
rectangular uniform surcharge q,, can be obtained as then q=46 kPa corresponding to FS2,,,,=1.54 can also
follows: be gotten by trial and error.
Example I1 :Some vertical cohesive slope (c=Oo),
H(Bsinp- Htgq) H' 4 there is a rectangular uniform surcharge on its top
q,, = c sin' +-[
2 sin' pcos'qcos 'E
surface, its g=lm, b=2m, and I/b+x,other known
parameters are same as that of example I . Please
2(ct@ - tgs)? 2 1 give out q,,,,,,,and its 3/,
+ COS?€ sin'pcos?E COS4€ q,,,,,,,=36.53kPacan be calculated through trial and
error by formula (12), &,=59.04" and H=5m
corresponding to the q,ll,,lll can be obtained respective-
ly.
Example 111: Some vertical cohesive slope (FO"),
its top surface is horizontal , corresponding h=5 m ,
r=18 kN/m', C=20 kPa and ~ 3 0 " .There is a
rectangular uniform surcharge on top surface, its
If I / b - + x , i t means the surcharge with an infinite g=O, b=2m, and I=4m. Please give out q,,,,,, and its
extent, Putting B=I+2Htgp/sinp into the formula( 11 ),
then formula (12) can be derived:
P',.
(1)When the local surcharge is smaller, it does not
influence the slope general stability, then energy
CHcosq rH2 safety factor of the slope with no local surcharge can
--(ctgP- tgs)
= hsin psi@ - p) 2h (12) be obtained by formula (3): FS,,,,,=1.54, its
~cr=450+p/2=600.
(2)When the local surcharge is bigger, local three-
To locally loaded slope, local three-dimensional dimensional failure will be induced , then
failure soil mass could be slided out either from toe q,,,,,,,=99..54kPacan be calculated through trial and
of the slope or from the slope surface, so it often error by formula (11)- ,8,,=61.93" and H=3.75 m
needs to calculate through trial and error by putting corresponding to the qrllnln can be obtained respective-
different values of H=cx h(a< I .O) into formula (1 1)
ly.
or formula (12), in which the selected value q~lmln is (3) Putting &=61.93" and H=3.75 m into formula
called limit rectangular uniform surcharge, and the (10), then q=43 kPa corresponding to FS21,1n=1 .54 can
failure angle corresponding to qllllllll
is named critical also be gotten by trial and error.
failure angle ,8, of the local three-dimensional failure Example I\/: Some slant slope ( F I O O ) , its top
soil mass. surface is horizontal , corresponding h=5 m , r=18
It can be proved that failure surface corresponding kN/m', C=20 kPa and ~ 3 0 " There . is a rectangular
to FS2,,,,,,derived by formula (10) is identical with uniform surcharge on top surface, its g=O.12m, b=2
failure surface corresponding to q,,,,,,,calculated by m, and I=4m. Please give out q,,,,,, and its p,,.
formula (1 1). (1)When the local surcharge is smaller, it does not
influence the slope general stability, then energy
safety factor of the slope with no local surcharge can
3 CALCULATION RESEARCHS be obtained by formula (3): FS,,,,,,=2.12, its pcr=(90"-
Et p)/2 =5 5".
Example I : Some vertical cohesive slope (~0"). its (2)When the local surcharge is bigger, local three-
top surface is horizontal, corresponding h=5m, dimensional failure will be induced, then q,,,,,
~=18kN/m', C=20kPa and ~ 3 0 " . There is a =172.46kPa can be calculated through trial and error
rectangular uniform surcharge on top surface, its by formula ( l l ) , ,8,,=54.77" and H=4 m
g=lni, b=2m, and I=4m. Please give out qLllnln and its corresponding to the qlllnln can be obtained respective-
P' I - ly.

279
Figure 3. local failure as distance g increases
(3) Putting ,3i ,= 54.77" and H=4 m into formula
(1 O), then q=42 kPa corresponding to FS2,n,n=2. 12 can
also be gotten by trial and error.
According to above calculation results, some
understanding can be summed up as follows:
(1)To locally loaded slope, there are general failure
surface and local failure surface, When the local
surcharge is smaller, for examples q646kPa in
example I , q G 3 k P a in example 111 and g
642kPa in example 1V. energy safety factor of slope
general stability is smaller than that of slope local
stability, then the stability will be controlled chiefly
by slope general failure surface. As increasing of the
local surcharges, energy safety factor of slope general
stability is bigger than that of slope local stability,
then the stability will be controlled chiefly by slope
local failure surface.
(2) When the stabi~ityi s control chiefly by general
failure surface, the slope should be reinforced along
its entire length. When the stability is controlled
chiefly by local failure surface, the slope should be
reinforced locally, some active reinforcing techniques
such as soil-nails and bolts et al. in-suits suppo~ing
systems can be adopted to restraint the local failures,
other passive supporting techniques such as retaining
structures et al. can also be adopted.
@)By comparison between example I and
example 11, it is clearly indicated that assuming the
surcharge with an infinite extent will lead to a very
conservative design for locally loaded slope.
(4) By comparison between example I and
example 111, it is shown clearly that q,,,,,, of local
surcharge will increase rapidly as distance g
increases.
( 5 ) By comparison between example I , example
111, and exampleIV, it is also shown clearly that the
local three-dimensional failure soil mass induced by
local load easy slides out from slope surface as
distance g decreases or as angle F increases.
4 CONCLUSIONS
Based on energy safety factor and local three-
dimensional failure mode. some relations between
280
slope general stability and local stability for locally
loaded slope are detailed in this paper, corresponding
local limit surcharge yu,,l,,tcan be given out by
formula (1 1).
I t should be noted here that the local three-
dimensional failure mode suits to a smaller distance g.
As the distance g increases, local three- dimensional
failure mechanisms will change and approach failure
inechanisms of shallow foLindations gradualfy, as
shown in figure 3. When the distance g exceeds
certain critical value, local surcharge on top surface
will have no any effects on the slope stability.
REFERENCES
Baligh, M. M. & A . S. Azzoiiz 1975. End effects on stability
of cohesive slopes. J. Geotech. Engng Div. Am. 101 (1 1):
1105-1117.
Chen, W.F. 1975. limit analysis and soil plasticity. New York:
Elsevier.
Wovland, H.J. 1977. Three-dimensional slope stability
analysis of locally loaded slopes. J. Geotech. Engng Div.
Am. 103 (9): 971-986.
Hunt, R.E. 1986. Geotechnical engineering analysis and
evaluation. New York: McGraw-Hill.
Michalowski, R.L. 1989. Three-dimensional analysis of
IocaIiy loaded slopes. Geotechnique 39 (I): 27-38.
~ang,X.Q.,H~,S.X.&G.L.Chen1997. Research about sta-
bility of slurry trench excavation i n soft clay. I n J.X.
Yuan(ed.), computer methods and advances in geo-
mechanics: 1903-1908. Rotterdam: Balkema.
Yang, X.Q., Liu, Z.D.&S.X. He 1997.A new definition
method of safety factor and its application. In J.X.
Yu~n(ed.~.coinp~ter methods and advances in geo-
mechanics: 1625-1630. Rotterdam: Balkema.
 Slope Stability Engineering, Yagi, Yamagami & Jiang (01999Balkema, Rotterdam, ISBN 90 5809 0795

A lower-bound solution of earth pressure of cohesive backfill with inclined

slope surface

M. Luan & T. Nian - Depurtment c?fCivil Engineering and State Key Luborutor-y ( ~ C o a s t u l
and Oflyhore Engineering, D u l i m University of Technology, People’s Republic of China
c.E Lee & K.T Law - Depurmzent of Citil ancl Stmc~turulEngineering, Urzi~~ersip
of H m g Koizg,
People’s Republic of China
K.Ugai - Departnient of Civil Engineering, Gunmn Universitv, Kiryu, Japan
Q.Yang - Department of Ciiil Engineering. Dalian Vniiw-sityof Techology, People’s Rejmh/ic oj‘Chinu

ABSTRACT: Rankine’s theory of earth pressure cannot be directly employed to the backfill with an
inclined surface. For this practical case, it seems that there is no analytical solution available. In this paper, a
theoretical solution of active and passive earth pressures of cohesive backfill with an inclined surface is
developed on the basis of the lower-bound theorem of limit analysis. First a statically-equilibrium stress field
of the slope ground consisting of cohesive soils is constructed from elasticity theory. Then it is enforced to not
violate the Mohr-Coulomb yield condition. According to the lower-bound theorem of limit analysis, two
extreme values of lateral stress which respectively correspond to active and passive earth pressures will be
found and expressed in the superposition form. Based on numerical computations conducted for different
combinations of key parameters related to the problem, and the computed results useful for engineering
practice are given in tabular form.

1 INTRODUCTION In the case of active state of limit equilibrium

While analyzing stress conditions in the limit-
equilibrium state attained under self-weight in semi-
infinite mass of cohesive soil, Rankine (1857)
presented following analytical formulae for
calculating lateral active and passive earth pressures
of cohesive backfill on retaining wall with a vertical
and smooth back and horizontal surface of backfill,
p , = CT, = p k , - 2cJka
pP =O = p k P + 2J ~
kP
P problems, since several Mohr’s circles of stress need
where p , and y,, are respectively the active and
passive earth pressure given by Rankine’s theory, y
is bulk unit weight of soil, z is the depth to any soil
element on the vertical back of the retaining wall
from the level ground surface, c and qJ are cohesion
and internal friction angle of backfill soil, k, and
kp are respectively the active and passive earth
pressure coefficients based on Rankine’s theory with
the following expressions
k, =-1-sin4 = tan;(:
1 + sin 4
- $)
based on Rankine’s theory, the depth of surface
tension cracks zo may be found by equating oa to
zero as
A graphical method was presented by Terzaghi
(1943) for obtaining the lateral earth pressures of
cohesive soil in the case of backfill inclined at an
angle a to the horizontal. This method becomes
rather tedious for solving practical retaining wall
to be drawn for several points along the back of the
retaining wall to determine the lateral active and
passive earth pressures profile. At present, it seems
that there is no theoretical solution available. In this
paper, an analytical procedure for solving this
problem is developed on the basis of the lower-
bound theorem of limit analysis. Numerical
calculations are made for different combinations of
related key parameters of the problem, e.g., friction
angle 4 of soil, inclination angle a of backfill
surface slope and non-dimensional ratio c / p of
cohesion to vertical self-weight stress. The
computed values of active and passive earth pressure
coefficients are given in tabular form for direct
applications in engineering practices.

28 1
2 FUNDAMENTAL AND FORMULATION expressions of the vertical stress o,and shear stress
z, satisfying the equilibrium conditions with the
Shown in Figure 1 is a typical differential soil strip lateral stress ox as an unknown variable,
element with the height of z and width dx cut from
the inclined earth slope. The bottom of the element
is designated to parallel to the slope surface. Their relevant principal stresses will have the
According to equilibrium conditions of forces, when
q=O, notice that the self-weight dW of the soil strip following values
element is given by dW = y t d x , normal reaction
force dN = dWcosa and shear force
dT = dW s i n a along the bottom surface can be /7\

expressed respectively as
CW = ytdxcosa, dT = p d x s i n a (4)
The stress field ( ox,oz,zn) or ( oI,oj) obtained
Notice dx = dl cosa , the average normal stress in this way is an equilibrium one which fulfills both
o = dN/d/ and shear stress z = d'/dl acted on the soil the equilibrium conditions within the soil domain of
strip bottom surface may respectively be written as slope and the stress boundary conditions. In
accordance with the concept of limit analysis, this
o=pcos2a, r=yirsinacosa (5) stress field will be a statically allowable stress field
if it everywhere doesn't violate the yield condition
such as Mohr-coulomb criteria. According to the
lower-bound theorem of limit analysis, the limit load
corresponding to the statically allowable stress field
will be a lower-bound estimation of its real ultimate
load. Mohr-Coulomb failure criteria can be
expressed in the form of principal stresses as
+ E
(oI--o3 (oI+~,)sin4 + c cos 4 (8)
By substituting Equation 7 into Equation 8, the
following relation can be formulated,
Figure 1. Stress state of soil in slopes.

Solving this equation yields two limit values of

horizontal stress ox in the statically allowable
Figure 2. Stress analysis of wedge. stress field
Referring to Figure 2, in order to determine the
vertical stress oz, lateral stress ox and shear stress
2, of soil in the slope in the limit-equilibrium state,
==
ox
[l+k'
p P--
2kp
2sin2a
cos2$ ]
+ 2c tan 4F

the stress condition acted on the inclined cross

section of the differential element under
consideration is analyzed for obtaining the inter-
relationship among various components of stresses,
Further simplification of this equation will give two
o= + + ox)+ t (oz- ox)cos 2 a rxzsin 2a
(Uz - principal values of lateral stress o x ,i.e., horizontal
components o and cr, of passive earth pressure
p , and the acfive earth pressure p , . Referring to
z= (oz- ox)sin2a + zn cos2a
Figure 2 and Equation 6, it can be observed that the
Substituting the expressions of normal and shear passive and active earth pressures of backfill with
stresses (i.e., o and z) given by Equation 5 into inclined surface on the retaining wall will be parallel
above equations and rearranging lead to following to the slope surface and have the following values

282
 Table 1. Comprehensive active and passive earth pressure coefficients values ( k,", k i )
for various combinations of 4 , a and c / p .

vertical and smooth interface, two principal values

of lateral earth pressure in infinite slope obtained
They can further be expressed in the superposition- above will be the active or passive earth pressure of
type form backfill with an inclined surface on retaining wall.
The optional sign in the above equations (e.g.,
Equations 10 and 11) will take the upper and lower
sign respectively for passive state and active state of
limit equilibrium. The first and second items in the
in which right side of Equation 10 respectively stand for earth
2sin2a c o s a - pressures caused by the self-weight and cohesion of
+ cohesive backfill on retaining wall. ky and kc are
cos2@ respectively referred to earth pressure coefficient
2 cos a (1 1 4
ca tan$!- due to the contributions of soil self-weight and
cos @ cohesion.
Setting p , in Equation 10 to be zero and making
a series of simplifications will yield a quadratic
equation with respect to tension-crack depth zo,
y 2 z," - 4 c y t a n @ z o- 4 c 2 = O
where ca is a factor that is dependent on the non-
dimensional ratio of the cohesion and self-weight- From this equation, the same value of the tension-
induced vertical stress of soil, crack depth zo as given by Equation 3 will be
obtained. It may be noted that the depth of the
tension crack is independent of backfill slope angle.
Especially, for the cohesionless backfill and
inclined slope surface, i.e., c=O and a g o , the
above formulae will be reduced to

It is supposed that the effect of the left-side soil mass

of any cross section in infinite slope on the right-side
soil is replaced by a rigid retaining wall with a

283
 Table 2. Active earth pressure coefficients (kay,kac)for various combinations of 4, a and c / p .

Friction
angle

&20"

&30"

which is the solution of Rankine's theory of earth

pressure for cohesionless backfill with inclined
surface. Furthermore for the cohesionless backfill

284
 Table 3. Passive earth pressure coefficients (kp.,,kpc)for various combinations of (s , a and c / p

Friction
angle

630"

6-40"

and horizontal surface, i.e., c=O and a=O, which is Rankine's formula of earth pressure for
cohesionless backfill with level surface.
(13) Equation 10 can be further expressed in the
comprehensive form as
 three items of passive earth pressure coefficient
increase with increasing values of 4.

in which
4 CONCLUSIONS

Analytical expressions (see Equation 10 or Equation

where k,’ and k i are the comprehensive values of 14) of active and passive earth pressures of cohesive
active and passive earth pressure coefficients backfill on retaining walls with inclined surface of
respectively. Active earth pressure and passive earth backfill are developed based on the concept of
pressure given by numerical calculations are linearly lower-bound theorem of limit analysis. Combined
distributed along the depth z. with numerical calculations, both the branch values
and comprehensive values of active and passive
earth pressure coefficients for various combinations
of relevant key parameters, such as soil friction
3 NUMERICAL RESULTS AND ANALYSES angle 4, backfill surface slope inclination a and non-
dimensional ratio c/yz of cohesion and self-weight
According to Equations 11 and 15, numerical values vertical stress, are given in tabular form (see Tables
of comprehensive or branch active and passive earth 1-3). The active and passive earth pressures of
pressure coefficients are computed for various cohesive backfill on retaining walls with inclined
combinations of relevant key parameters such as soil surface can be conveniently achieved by the
friction angle 4, inclination angle a of backfill proposed formulae for practical applications.
surface slope, and non-dimensional ratio c / p of
cohesion and self-weight-induced stress of soil. The
corresponding results are presented in ta)ular form ACKNOWLEDGEMENTS
and given in Tables 1-3. The negative k, values in
Table 1 show that tension develops within the soil The financial support from the Trans-Century
behind the wall leading to surface tension cracks in Training Programme Foundation for the Talents
the soil. If the tension cracks are filled with water, offered by the Ministry of Education of China for
hydrostatic pressures will develop on the wall. this study is gratefully acknowledged.
Subsequently, the tension components of active earth
pressure in Equation 10 should be removed.
Tables 1-3 together with Equation 10 or Equation REFERENCES
14 can be used for calculating earth pressures of
backfill on retaining wall with inclined cohesive Terzaghi, K. 1943. Theoretical Soil Mechanics. New
backfill (y-c-q5 type soil). For given values of friction York: John Wiley & Sons, Inc. 35-41.
angle 4 and surface slope a of backfill, with the
increase of the non-dimensional ratio c / p , both the
branch value k,,, due to soil self-weight and
comprehensive value k,* of active earth pressure
coefficients decrease while the branch value k,, due
to cohesion increases. However all the branch values
(i.e., kpyand kd) due to self-weight and cohesion of
soil and comprehensive value kpc of passive earth
pressure coefficient increase with increasing values
of c./ For given values of non-dimensional ratio
c / and~ friction angle 4 of soil, the branch value kay
due to self-weight and comprehensive value k,’ of
active earth pressure coefficients increase while the
branch value k,, resulting from soil cohesion
substantially decreases with the increase of backfill
surface slope inclination a. At the same time, all the
branch values kpy and kpc arising from self-weight
and cohesion of soil and comprehensive value k i of
passive earth pressure coefficients decrease with
increasing values of a. For given values of a and
c/p, two branch values and comprehensive value of
active earth pressure coefficients decrease, while all

286
 Slope Stability Engineering, Yagi, Yarnagarni& Jiang 0 1999Balkerna, Rotterdam, ISBN 905809 079 5

Shear band formation and propagation in clay slopes

Luis E.Vallejo
Department of Civil and Environmental Engineering, University of Pittsburg, Pa., USA

ABSTRACT: Stiff clays in the ground are highly overconsolidated, with lateral pressures several
times greater than the present overburden stress. When a cut is made in deposits of stiff clays, the
resulting stress relief causes the clay near the cut faces to exhibit large lateral movements towards
the face of the cut. Such movements lead to the concentration of stresses in regions close to the toe
of the cut, resulting in the formation of what is referred to as “shear band” or “toe crack” at the
base of the cut. The present study presents the results of laboratory and theoretical investigations
designed to understand the mechanics of formation and propagation of a shear band in vertical cuts
in clay. Laboratory tests on simulated vertical slopes in clay containing a small shear band (crack)
at their toe indicated that the shear band did not propagate in its own plane when subjected to a
combination of normal and shear stresses. Instead, the shear band or toe crack propagated in the
form of a secondary crack that developed an angle with respect to the plane of the shear band. This
study also presents a way to obtain the critical height of a cut in clay considering a failure surface
that is made of a shear band of small length at the base of the cut, a secondary crack at an angle
with the plane of the small shear band, and a tensile crack at the top of the cut.

1 lNTRODUCTION

The stability of a vertical cut made in a homogeneous

clay layer has been a subject of great interest to
geotechnical engineers. Fig. 1 indicates the failure
mechanisms used by geotechnical engineers to obtain
the critical height, H, at which the cut fails. The
first two mechanisms (I and 11) assumes the failure to
take place in a clay which is saturated and has an
angle of internal friction, 4 , equal to zero; a
cohesion, c , equal to the undrained shear strength,
cLl; and a unit weight, y , equal to its saturated
value. The third mechanism (HI) assumes the failure
to take place in a clay that have both, cohesion (c)
and friction(a), to resist failure. Mechanism (I) is
due to Coulomb (1 773) who calculated the cut to fail
when the height, H , reached a value equal to
(4cu/y ). Mechanism (11) is due to Taylor (1948)
who calculated the height at failure, H , to be equal to
(3.83cJy). Mechanism (111) is due to Lohnes and
Handy (1968). Mechanism (111) assumes a tensile
crack in the upper section of the cut. This tensile
crack joints a plane failure surface that starts at the
toe and is inclined at an angle (45 + @2) with the Fig. 1 Interpretation of the failure
horizontal. The height at failure, H ,can be obtained of a cut in clay.

287
from Eqs. (1) and (2).
The above mentioned mechanismsdo not consider
the shear band or closed crack that develops at the toe
of the cut when the excavation is completed. The
introduction of this toe crack in the stability analysis
is vital for our understanding how vertical cuts in
clay fail.
2 SHEAR BAND DEVELOPMENT IN VERTICAL
CUTS IN CLAY
Stiff clays and shales in the field are highly
overconsolidated, with lateral pressures several times
grater than the present overburden. In London Clay
deposits, Skempton (1961) measured lateral stresses
that were in some instances equal to 2.5 times the
vertical overburden stresses. When a cutting is made
in stiff clay deposits, the resuIting stress relief causes
theclay near the cut face to exhibit large lateral
movements (elastic rebound) towards the face of the
cut. Smith and Redlinger (1953) described how a 3
inch wide cut i n the Fort Union shale closed in about
24 hours. Such movements in open cuts in stiff clay
will lead to: (a) the formation of a “shear band” or
“toe crack” at the base of the cut (Bjerrum, 1967)
(Fig. 21,and (b) concen~rationand re-orientation of
stresses in the region close to the toe of the cut.
3 SHEAR BAND PROPAGATION
The propagation mechanics of the shear band which
forms at the toe of a cut immediately after it is made
in a layer of stiff clay has been the subject of various
studies (Christian and Whitman, 1969; Bjerrum,
1967; Palmer and Rice, 1973). Patmer and Rice
(1973) made their analysis of shear band propagation
iii slopes made of stiff clay using fracture mechanics
principles.
According to Linear Elastic Fracture Mechanics
(LEFM) theory, a crack or fissure in clay can be
stressed in three different modes (Broek, 1984).
Normal stresses to the crack walls give rise to the
mode I type of cracking. In this mode I, the
displacementsof the crack surfaces are perpendicular
to the plane of the crack. In-plane shear stresses
288
F i g . 2 Shear band f o r m a t i o n i n a c u t
i n clay.
cause the walls of the crack to slide in the plane of
the crack. This is a sliding mode and represents the
mode IT type of cracking. Cracks can propagate in
materials as a result of one or a combination of the
two modes.
In the study conducted by Palmer and Rice (1963),
they indicated that even in the absence of
gravi~tionalinduced driving shear stresses, the
magnitude of strain energy stored in a stiff clay
deposit plus the existing lateral earth pressures can
cause a shear band or toe crack formed right after a
cut was made in the stiff clay to propagate inside the
slope. In the analyses presented by Palmer and Rice
(1973) and Bjerrum (1967), the propagation of the
shear band was assumed to take place in a self-same
manner, “analogousto direct shear test conditions.’‘
Thai is, an initial horizontcrl cmck at the base of
vertical cut made in a horizotita? ground wotitd
advance into the intact material of the excavation
I?orizontciIly (mode I1 type of crack propagation
using the terminology of fracture mechanics) . Field
work conducted by Biirland et al. (1977),indicates
that the self-same manner of propagatio~iof a crack
under mixed-mode type of loading (mode I plus
mode II) indeed occur in in a cut in Oxford clay
containing a shear band at the toe of this cut.
However, Hutchinson (1972) found that horizontal
notches at the toe of chalk cliffs in England did not
propagate inside the slope following the direction of
the plane of the notches. Hutchinson (1972)
established that the notches propagated in the form of
secondary failure surfaces that extended from the tip
of the notches in a direction equal to 67 degrees with
the horizontal plane of the notches. Therefore, there
is field evidence contrary to the assumption advanced
by Palmer and Rice ( 1973) that shear bands in slopes
propagate following the direction of their own
planes. The purpose of this study was to conduct a
laboratory study to clarify the shear band propagation
mechanism in slopes.
3.1 Laboratory study involving shear bands in
simulated clay slopes
To better Linderstand how shear bands propagate at
the base of slopes, a laboratory and a theoretical
study using the principles of LEFM theory were
carried out. The laboratory study involved the use of
a prismatic clay sample containing a cut and a pre-
existing toe crack as shown in Fig. 3. The sample of
clay that simulates a vertical cut in a horizontal clay
deposit, was subjected to stresses similar to the ones
a vertical slope will experience in the field. This was
done using the Plane Stress Direct Shear Apparatus
(PSDSA) described in detail in articles by Vallejo
(1987, 1991). The sample of clay with the planar
dimensions shown in Fig. 3 and a thickness equal to
3.18 cm was subjected in the PSDSA to a
combination of normal, on , and a lateral normal
stress, oh . The normal stress, o n ,simulates the
gravity stress acting on the slope material, and the
lateral normal stress, o h ,simulates the lateral earth
pressures. One can also obtain the shear stress, T ,
acting on the clay in a direction parallel to the plane
of the crack (Fig. 3). This shear stress is obtained
by dividing the known lateral force
(oh x 5.13 cm x 3.18 cm) by the area on which it
acts (8.76 c m x 3. 18 cm). The prismatic clay
sample used in the experiment was cut from a larger
clay sample prepared by conso~idatin~ a soft mass of
kaolinite clay in an oedometer 30 cm in diameter
(Vallejo, 1987, 1988, 1989). The water content of
the clay sample used for the crack propagation
experiment was equal to 27%.
F i g . 3 L a b o r a t o r y e x p e r i m e n t of shear
band p r o p a g a t i o n i n a c u t i n c l a y .
During the experiment, the normal stress, oil ,
applied to the clay sample was equal to 40 kPa and
was kept constant ~hroiighoLitthe experiment. The
lateral stress was gradually increased until the toe
crack propgat4 in the sample. The application of
the 40 kPa on stress to the clay sample caused the toe
crack to doso. T/ZecIostJdroe c*rt~kpropagated in
the sample when the lateral norinal stress (Oh ) and
289
the shear stress (T) on the plane of the closed crack
were equal to 78 kPa and 45.7 kPa respectively. The
closed toe crack propagated in the clay sample in the
form of a secondary crack the extended from the tip
of the pre-existing toe crack and deviated from its
original horizontal direction. This secondary crack
was inclined at an angle c( equal to 70 degrees from
the horizontal direction of the original toe crack (Fig.
3) . This finding is contrary to the Bjerrum (1967)
and Palmer and Rice (1973) assumption that states
that when a shear band or closed toe crack at the base
of a slope is subjected to a combination of normal
and shear stresses, it will propagate in a direction that
follows that of the plane of the shear band.
3.2 Theoretical evaluation
To evaluate the laborato~results shown in Fig. 3,
the maximum tangential stress criterion of LEFM
theory developed by Erdogan and Sih (1963) is
used. According to this criterion, the tangential
stress, o0 , in the material located in the vicinity of
a crack subjected to a mixed mode type of loading
(normal and shear stresses) can be obtained from the
following relationship (Ingraffea and Heuze, 1980)
(Fig 4)
In the equations above r is the radius between the
tip of the crack and a point in the clay surrounding
the crack where the stresses are being measured, 0
is the angle that the radius r makes with the axis of
the crack (Fig. 4), and KI and KII are the stress
Fig* Stresses near Of shear
intensity factors for an open crack under mode I and
mode II type of loading. These stress intensity
factors are given by (Ingraffea and Heuze, 1980)
KI = 1.1215 0, ( T c ) I I2 [41
and
KII = 1.1215 T ( T c ) 1I2 ~51
where on is the normal stress that acts
perpendicular to the plane of the open crack
(Figs. 3 and 4) and T is the shear stress that acts
parallel to the crack, and c is the length of the crack
in Figs. 3 and 4.
Erdogan and Sih (1963) have proposed the
hypothesis that crack extension in brittle materials
takes place in a direction in which o8 , given by
Q. 1 11 ,reaches its maximum value. That is, crack
extension will take place in a radial direction from its
crack tip and that the direction of crack growth is
nonizul to the direction of the maximum tangential
stress o8 (Fig. 4). Hence the direction of crack
propagation taking place when 8 reaches a value
equal to a is can be obtained after differentiationof
o8 with respect to 8 (d o8 / d 8 ). If this is done
the following relationship is obtained from which to
obtain a (Ingraffea and Heuze, 1980)
The solution of Q. [7] gives the angle of
propagation of the shear band or closcd cruck .The
theoretical value of the angle of crack propagation,
a , is equal to 70.5 degrees. The angle of crack
propagation in our simulated slope experiment was
equal to 70 degrees (Fig. 3). Thus, LEFM theory
has proved very effective for the interpretation of the
laboratory results on the propagation of shear bands.
The theoretical findingsare also close to the field
findings by Hutchinson (1972) of notch propagation
in chalk cliffs in England. Hutchinson found the
horizontal notches at the base of the cliffs to
propagate at 67 degrees with the horizontal. Thus,
the laboratory and field values of crack propagation
are validated by the maximum tangential stress
criterion of fracture mechanics.
If the crack remains open, the angle of crack
propagation, a , can be obtained from the following
equation
sina + (KII/K1) ( 3 cos a - 1 ) =0 181
Using Q. [ 81, Fig. 5 was developed and shows
the values of a for different values of the ratio
(I<IrfiI). Using Q s . 14 and 51, the ratio (I<rIA<I) is
also eqiial to the ratio (do).

KI sina + KII ( 3 cos a - 1 ) = 0 161

where a is the value reached by 8 when crack

propagation takes place (Figs. 3 and 4).

3.3 Direction of crack propagation.

The direction of crack propagation, cx , can be

obtained by using Fq. 161 . @. 16) applies to an
opcv7 crctck. That is the stress intensity factors KI
and K 11 apply when the cmck is open. If the cmck
close.~as was the case of the laboratory experiment
depicted in Fig. 3, the stress intensity factor K I
becomes equal to zoro (Broek, 1984), and Elq. 16)
can be written as
F i g . 5 Angle of p r o p a g a t i o n of a s h e a r
band assumed open.

290
4. CRITICAL HEIGHT USING FRACTIJRE
MECHANICS APPROACH
The critical height for a vertical cut in clay with a
shear band of sincrll length at the toe of the cut, as
well as a tensile crack at its upper surface can be
obtained very easily from a stability analysis of the
failing soil geometry shown in Fig. 6. This
geometry is very similar similar to that shown in Fig.
1 (mecanism 111). The only difference between the
mechanism 111 of Fig 1 and that shown in Fig. 6 is
the angle that the lower failure surface males with
the horizontal. For mechanism III of Fig. I , this
angle is equal to (45 + $12). For the failing geometry
depicted in Fig. 6 this angle is equal to a . Values of
this angle a can be obtained from the plot shown in
Fig. 5. From a simple slope stability analysis of the
geometry depicted in Fig. 6 a relationship to obtain
the critical height H of the cut can be obtained. This
relationship is the following:
H= 4c -I,
y sin 2 a - 2cos2a tan@ 191
The depth of the tensile crack, z, can be obtained
from Eq. I 2 1 and the vaule of a from Fig. 5 .
F i g . 6 F a i l u r e mode of a c l a y c u t w i t h
a s h e a r band and s e c o n d a r y and
t e n s i l e cracks.
5 CONCLUSIONS
1. When a cut is made in a stiff clay, a shear band
or toe crack develops at the base of the cut as a result
of a relief of the lateral stresses that acted normal to
the face of the cut.
29 1
2. A shear band at the toe of a vertical clay cut is
subjected to a combination of normal and shear
stresses (mixed mode type of loading) and
propagates in the form of a secondary crack that
grows from the tip of the shear band. This
secondary crack is inclined with respect to the
direction of the plane of the shear band.
3. The maximum tangential stress criterion from
LEFM theory predicted very well: (a) the type of
stresses (tensile) that caused the shear band to
propagate, and (b) the direction of propagation of
the shear band under the mixed-mode type of
loading. This result indicates the usefulness of
LEFM theory for understanding crack propagation in
clay slopes.
4. The critical height of a vertical cut with a shear
band or toe crack was influenced by the value of the
shear and normal stresses acting i n a direction
parallel and normal to the shear band.
6 REFERENCES
Coulomb, CA. 1773. Essai sur line application des
regel de maximis et minimis a quelques problems
de statique relatifs a I'architecture, Mein. Muth.
Phys., 7:343
Bishop, A.W. 1967. Progressive failure-with special
reference to the mechanism causing it.
Proc.Geotcch. Conf:,Oslo, 2: 142-150.
Bjerrum, L. 1967. Progressive failure in slopes of
overconsolidated plastic clay and clay shales. J
Journal qfthe Soil Mechanics and Foundutions
Dillision, ASCE, 93: 1-49.
Broek, D. 1984. Elcinentary Enginrwing Fracture
Mcchunics. Martinus Nijhoff Publishers, Boston.
Burland, J.B., Longworth, T.I., and Moore, J.F.A.
1977. A study of ground movement and
progressive failure caused by a deep excavation in
Oxford clay. Geotcchnique, Vol. 27 (4):557-591.
Christian, J.T., and Whitman, R.V.1969. A one
dimensional model for progressive failure.
Proc. Selmth Int. Con$ Soil Mech. und Found.
Eng., Mexico, 2541-545.
Erdogan, R., and Sih, G.C. 1963. On the crack
extension in plates under plain loading and
transverse shear. Journal qfBasic Eng., ASME,
85: 519- 527.
Hutchinson, J.N. 1972. Field and laboratory studies
of a fall in Upper Chalk cliffs as Joss Bay, Isle of
Thanet. Stress-Strain Behaviour oj'soils, Parry,
R.H.G., ed., G.T. Foulis and Co., London,
England, 692-706.
Ingraffea, A.R., and Heuze, F.E. 1980. Finite
element models for rock fiacture mechanics. Znt.
Journal jbr Numericul Methods in Geomechanics,
4( 1): 25-43.
Lohnes, R. A., and Handy, R.L. 1968. Slope angles
in friable loess. J. of Geology, 76(3):247-258.
Palmer, A.C., and Rice, J.R. 1973. The growth of
slip surfaces in the progressive failure of
overconsolidated clay. Pi-oc. ofrhe Royal Sociqy
of Lnnihn, A332: 527-548.
Sltempton, A.W. 1961. Horizontal stresses in an
over-consolidated Eocene Clay. Proc. Fiflh [}It.
Conf:on Soil Mech. unrl Found. Eiig., Paris,
1:351-357.
Smith, C.K., and Redlinger, I.F. 1953. Soil
properties of Fort Union Clayshale. Proc. Third
Irir. Conf.‘ on Soil Mmh. mid Found. Etig., Zurich,
1: 62-66.
Taylor, D.W. 1948. Firnhrni~nrcrlsqfSoil
Mr.chcmics.New York: Wiley.
Vallejo, L.E. 1987. The influence of fissures in a
stiff clay subjected to direct shear. Gootechniyue,
37( 1): 69-82.
Vallejo, LE. 1988. The brittle and ductile behavior
of clay samples containing a crack under mixed
mode loading. Thcoi-cticul and A pplicd Fi-ucrurc.
Mr.chunic.s, 10: 73-78.
Vallejo, L.E. 1989. Fissure parameters in stiff clays
under compression. J ou rn(iI of Gmtc.ch . E H ,~ .
ASCE, Vol. 115 (9):1303-1317.
Vallejo, L.E. 1991. A plane stress direct shear
apparatus for testing clays. Gcwtc.cl?nicul
Etiginocring Congress 1991. McLean, F.G.,
Campbell, D.A., and Harris, D.W., eds.,
ASCE’Special Geotechnical Publication No.
27(11): 85 1-862.

292
 Slope Stability Engineering, Yagi, Yamagami & Jiang 0 1999 Balkema, Rotterdam, ISBN 90 5809 079 5

Progressive failure analysis of slopes based on a LEM

Takuo Yamagarni & Jing-Cai Jiang

Depnrhnent of Civil Engineering, UniversiQ of Tokushirnu, Japan
Masakazu Taki
Fukken Conzpaizy Limited, Consulting Engineers, Hiroshinza, Jupnn
Satoiu Yarnabe
A ruig Limi Company Limited, Hyog o, J c p n

ABSTRACT: A new method for progressive failure analysis of slopes is presented, based on the variable local
factors of safety in the limit equilibrium approach. A local factor of safety is defined at the base of each slice,
and used to account for the progressive, local failure along a slip surface. It is also used to approximately
simulate the softening behavior of soil. The introduction of local factors of safety results in an increase of the
number of unknowns. In order to render the problem determinate, simplifying assumptions are simultaneously
made of the interslice forces and the line of thrust which are separately used in the Morgenstern-Price method
and the Janbu method. Two different techniques called AILC and AGLC are devised to deal with the local
factors of safety in the failure zones. The results of case studies show that the proposed approach can simulate
the actual behavior of progressive failure.

1 1NTRODUCTION lov's method, the number of equations is one more

In this paper, a slope stability analysis method con-
sidering progressive failure is developed based on the
limit equilibrium approach. A local factor of safety is
defined at the base of each slice to represent progres-
sive failure. Although the number of unknowns in-
creases due to the local factors of safety, the problem
can be easily made determinate through introducing
simplifying assumptions. The softening of soil can al-
so be taken into account in terms of local factors of
safety. Limit equilibrium equations are derived using
the slice method.
In an actual slope, local yielding or failure initiated
at some points gradually develops, and finally leads
t o overall slope failure. This phenomenon is known
as progressive failure (e.g. Skempton, 1964; Bjer-
rum, 1967; Bishop, 1971). The stress or strain levels
are non-uniform along the slip surface, so the factor
of safety varies from place to place as well. There-
fore, the local factors of safety have to be used to
express the progressive failure within the framework
of the limit equilibrium method. A single value factor
of safety, however, is assumed along the whole slip
surface in conventional limit equilibrium methods.
Hence it is impossible to deal with progressive failure
using such existing methods.
Law and Lumb (1978), Srbulov (1995), Chugh
(1 986) put forward limit equilibrium analysis consid-
ering progressive failure respectively. However, all
these methods are quite limited. Law and Lumb do
not take into account the interslice forces. In Srbu-
than the number of unknowns, which makes the con-
ditions redundant. Chugh considers the variations of
the factor of safety (8, and stipulates the character-
istic hnction g(x) [F=g(x)T where T is the unknown
scalar factor], but he fails to explain how to deter-
mine it.
On the other hand, FEM (e.g. Lo and Lee, 1973;
Potts ef al., 1990; Rowe, 1991), Discrete Element
Method (Chang, 1992), Discontinuous Deformation
Analysis (Huang & Ma, 1992) are all effective
methods for progressive failure analysis due to their
available stress and strain fields. Nevertheless, these
methods are complicated and the amount of compu-
tation required is quite large. Furthermore, the initial
stress state and pore water pressure are difficult to
determine in practice. Therefore, they have not been
widely used.
In this paper we propose two different techniques
to treat the local factors of safety after local failure
has occurred at some location: the AlLC method and
the AGLC method. The former permits a local factor
of safety to have a value less than unity, while the
latter does not. Once local failure takes place, the lo-
cally failed zone is in limiting equilibrium, that is, the
local factor of safety of the zone becomes equal to
unity. Therefore, the latter method seems preferable
from a physical standpoint, while the former still has
a mathematical significance.
The following abbreviations are used in the main
body of this paper:
L.F.S. = Local factor of safety
L.Fs.S.= Local factors of safety

293
 Table I The numbers of unknowns and equations

The number of unknowns The number of eauations ~~~

Nonnal force N at base of slice 11 Horizontal force equilibrium for each slice n
Location of nonnal force N n Vertical force equilibrium for each slice n
Shear force 5' at base of slice n Moment equilibrium for each slice n
Nonnal force E at interslice n- 1 Definition of local safety factor F n
Location of interslice force E n- 1 (F=RIS. R shear strength at base of slice)
(line of thrust) Location of normal force N (middle of base) n
Shear force X at interslice n- 1 Relation between interslice forces X and E n- 1
Local safety factor F a t base of slice n [X=;1f(x)q
An unknown parameter 1 Location of interslice force 11- 1

Total number of unknowns 7n-2 Total number of equations 7n-2

O.F.S. = Overall factor of safety

2 STATICALLY DETERMINANT SOLUTION b,

= M,-, + 0 L
[ALf(x)- 41 E,-,L, + e x + -b,2

L, + Kzx
1,
As the slope stability problem is highly indeterminate,
some simplifying assumptions are necessary to make
the problem determinate In the present analysis, the where b,;x,-x, I and M,=E, (yt,-yJ,M, denotes a mo-
assumptions used in the Morgenstern-Price method ment of E, about the rightmost point of the base of
(1965) and the Janbu method (1957) are employed the z-th slice
simultaneously, namely one is the relations between
shear force X and normal force E on the interslice
faces, and the other is the acting points of normal
force E i e the line of thrust.
A typical slope, which is divided into n slices, is
illustrated in Fig 1. The forces acting on a slice are
also shown in this figure For such a slope, the num-
bers of unknowns and equations are summarized in
Table 1 We can see clearly from Table 1 that the
numbers of unknowns and equations are in corrspon-
dence; namely, the problem becomes determinate.
As for the detailed solution procedures, refer to (a) Potential sliding mass
our companion paper (Yamagami, Yamabe, Jiang &
Khan, 1999). The basic equations from which the
solutions can be obtained are as follows (see Fig. 2).

(b) Forces acting on an infinitesimal slice

Fig. 1 Forces acting on a slice Fig. 2 Diagram for formulation

294

Slice number
(b) Local factors of safety
Fig.3 Simple example problem
AGLC
From Eq.[l] a value of El is determined with a
known value of El-). Substituting this value into
Eq.[2] yields an equation which contains F; as the
only unknown, enabling us to solve for P', iteratively.
Solving the two equations for each slice thus
provides local safety factors as well as the location of
the thrust line, interslice forces, and so forth.
The result of an illustrative example is given here
to demonstrate how the above procedure yields the
solution Fig.3 (a) shows the configuration of a ho-
mogeneous slope, a given slip surface and division of
slices. The soil parameters used are y=19.6kN/m3,
cp=ci=2.56kPa, friction angle at peak strength $p =
27.6" and friction angle at post-peak residual
strength $i= 23.4.6' ($1l$~=0.85). Fig.3 (b) illustrates
the distribution of L.Fs.S. together with the overall
factor of safety. It can be seen from Fig.3 (b) that a
local failure zone where the L.Fs.S. are lower than
unity appears though its overall factor of safety is
1.129. This indicates that local failures may have al-
ready occurred at some locations even if the slope is
safe as a whole. Conventional single value factor of
safety analyses do not represent this essential phe-
nomenon.
3 DEFINITIONS OF AILC AND AGLC
The preceding procedure provides the L.Fs.S. dis-
tribution along a given slip surface just as can be seen
295
in Fig.3. If the L.Fs.S. lie below or equal unity at a
portion of the slip surface, this means that local fail-
ure has occurred on that portion. Even under this
situation, no sliding as a whole will take place along
the slip surface unless the O.F.S. is smaller than
unity. It is true, however, that as long as the soil
mass above the slip surface is in equilibrium, the
factor of safety should be equal to unity on the lo-
cally failed zone. The reason for this is that the shear
forces become equal to the shear strengths on the
failed zones. Then, is a result wrong in which L.Fs.S.
are less than unity, e.g. those in Fig.3? The answer is
of course not. In short, the method of analysis ad-
dressed so far has allowed values of L.F.S. below
unity, while it meets all the equilibrium conditions for
the entire sliding soil mass. This approach, as will be
briefly discussed below, can be justified. Hereafter,
we call this method AILC: Analysis of Instantaneous
Loading Condition.
In the meantime, it is also necessary to establish an
approach in which once local failure takes place on
some part of the slip surface during the solution pro-
cess, the factor of safety for that part is kept at unity.
Hereafter we call this type of analysis method
AGLC: Analysis of Gradual Loading Condition, and
will explain its details in the following section.
In a stable slope, in which local failure has oc-
curred at some location, shear stresses must be equal
to shear strengths, i.e. the local factor of safety is in-
evitably equal to unity over the failed zone. An analy-
sis method that satisfies this condition has been
named as AGLC. In the following we propose an it-
erative procedure of the AGLC which starts with the
solution of AJLC.
The slices i to m in Fig.4 are assumed to have
L.Fs.S. less than or equal to unity as the result of the
AILC. In other words, let's suppose that the part poq.
of a given slip surface AB has locally failed as the re-
sult of AlLC. Suppose also that the L.F.S. of slicej
is the smallest of all the L.Fs.S.. In the schematic fig-
ure the locally failed slices occur continuously, but
Fig.4 Schematic diagram illustrating a situation im-
mediately after solution of kdLC has been obtained
this is not a prerequisite. They may appear at discon-
tinuous locations without loss of generality.

First step
The iterative procedure starts with making the
factor of safety for slicej that has a minimum factor
of safety equal to unity. That is to say, computation
is made of the AILC on condition that c=l.O. More
specifically, starting with the first slice the procedure
of AILC described before is performed, and when ar-
riving at slicej, the factor of safety 6 is made equal
to unity, followed by the subsequent procedure. It is Fig.5 Schematic diagram showing a situation in which
essential that we treat the L.F.S. for slicej as known the first converged solution has been attained at
(l.O), whereas the rest of L.Fs.S. are all unknown. the end of the first step
Nothing else is otherwise different from the original
AILC. And when the last slice is reached, a check is
made of the boundary condition (En=O)at the right-
most end; if the condition is not satisfied, the process
is repeated until a converged solution (the first con-
verged solution) is obtained.

Secorid Step
Fig.5 shows schematically a situation in which the
first converged solution has been attained. Assume
that the slices above a part p q of the slip surface have
failed as the result of the First Step. The part p q does
not necessarily coincide with the initial failure zone
poqcj(slices i-n) in Fig.4. There might have occurred
discontinuous failure zones as well at this stage;
however, causing no problems at all.
Here, pay attention to the slice having the smallest
factor of safety again, e.g. slice k. This time we con-
duct a similar computation of AILC on condition that
fi;=l.O and Fk=l.O. Consequently, a new set of
L.Fs.S. will be obtained as a converged solution. The
third iteration is done in order to obtain the solution
in which, beside the two slicesj and k, a third slice,
e.g. slice I, retains a factor of safety of 1.0. Ob vi-
ously, slice I possessed a minimum factor of safety
less than unity at the end of the second iteration pro-
cess (see Fig.6).
In this way, it is the AGLC method that renders
each factor of safety equal to unity one by one for the
slices in locally failed zones. The iteration processes
are continued until no slices having factors of safety
smaller than unity exist. Hence, all the L.Fs.S. are
greater than or equal to unity when a solution for the
AGLC is attained.
We may encounter a case where a converged so-
lution cannot be obtained even after all the L.Fs.S.
have become equal to unity. This case suggests that
the O.F.S. is less than unity and implies that com-
plete failure will take place along the slip surface un-
der consideration. The AGLC thus fails to provide
the solution for this case; only the AULC may solve
these types of problems.
Fig. 6 A schematic diagram illustrating
the second converged situation
4 CASESTUDY
The Selset landslide (Skempton and Brown, 1961) is
employed to show how the proposed method works.
This landslide has been also solved by Law and
Lumb ( I 978) with their progressive failure analysis
method. Hence we omit showing the pre-slide slope
profile here.
Fig.7 illustrates the conditions employed for the
analysis and the results obtained. As seen at each ba-
se of the slice in Fig 7(a), ru values are different from
one slice to another. These values have been read
fiom the original flow net profile, while the r,, value
is a constant of 0.35 in Law and Lumb’s analysis.
It is quite interesting as can be seen in Fig.7 that
both AILC and AGLC have predicted almost the
same 0. F. S., but the distributions of L. Fs. S. are
totally different. The result of AGLC is, of course,
physically much more reasonable.
5 CONCLUDING REMARKS
Within the framework of the limit equilibrium ap-
proach, a progressive failure analysis method has

296

(a) Thrust lines for AILC and AGLC for Selset slope
(b) Local factors of safety f?om AILC and AGLC
Fig. 7 Selset slope failure
been presented. This method, a variable local factor
of safety analysis method, completely satisfies the
equilibrium of forces and moments. Occurrence of
local failure along a slip surface and its progress are
recognized on the basis of the local factor of safety
defined at the base of each slice. Softening can be
simply handled through the use of local factors of
safety. Furthermore, the overall factor of safety has
been used to evaluate the overall stability of the slid-
ing soil mass.
Introduction of the local factors of safety resulted
in an increase in the number of unknowns, thereby
making the problems highly indeterminate. However,
simple assumptions from the Morgenstern and Price
method and the Janbu method could equalize the
number of unknowns and that of equations or rela-
tionships available. In other words, the analysis has
been rendered statically determinate.
Two different treatments are developed for the lo-
cal factors of safety after locally failed zones have
occurred: the AILC and AGLC methods. The AILC
method allows the local factors of safety of the failed
297
zone to be less than unity. In the AGLC method,
however, they are kept at unity based on an iterative
procedure starting with the solution of the AILC
method. Physically, the AGLC method is rational,
and indeed it has turned out through case studies that
this method provides highly accurate solutions. The
AGLC is, nevertheless, not available for a situation in
which the overall factor of safety will fall bellow
unity, i.e. complete failure is anticipated to occur.
The AILC method still holds for the situation. It has
also turned out that locations where local failures
take place and overall factors of safety predicted by
the AILC method approximately coincide with those
from the AGLC method.
The proposed method should be expanded in the
hture in order that it may search for the critical slip
surface that has the minimum overall factor of safety.
With regard to this, a possible way is to use the
AILC method in search of the location and shape of
the critical slip surface. And then the AGLC is ap-
plied to the critical slip surface so as to obtain de-
tailed solution. This is the subject for our fbture
study.
ACKNOWLEDGEMENT
The authors would like to thank Dr. D. Leshchinsky,
Professor of Delaware University, for his kind review
and advice on the main parts of this paper.
NOTES: The main contents of this paper were pre-
sented at the Special Sino-Japanese Forum on Per-
formance and Evaluation of Soil Slopes under Earth-
quakes and Rainstorms, June 28-29, 1998; Dalian,
China.
REFERENCES
Bishop, A.W. 197 1. The influence of progressive failure
on the choice of the method of stability analysis. Geotech-
nique. 21 (2). 168-172.
Bjerrum; L. 1967. Progressive failure in slopes of over-
consolidated plastic clay and clay shales. ASCE Journal
of Soil Mechanics and Foundations. 93 (SM5). 3-49.
Chang, C.S. 1992. Discrete element method for slope sta-
bility analysis. ASCE Journal of Geotechnical Engineer-
ing. 118 (12). 1889-1905.
Chugh, A. K. 1986. Variable factor of safety in slope sta-
bility analysis. Geotechniqe. 36 (1). 57-64.
Huang, A. B. & Ma, M. Y. 1992. Discontinuous defor-
mation slope stability analyses. Proc. Sfahilify and Per-
formance of Slopes and Bmhankments- D. 1. 479-492.
danbu N. 1957. Earth pressures and bearing capacity cal-
culations by generalized procedure of slices. Proc. 4th
ICXMIX Lolldon 2. 207-2 12.
Law K. T. & Luiiib P. 1978. A limit equilibrium analysis
of progressive failure in the stability of slopes. Canadian
Geotechnical Jozirnal. 15. 113- 122.
Lo K. Y. & Lee C. F. 1973. Analysis of progressive fail-
ure in clay slopes. Proc. 8th ICSMFE. Mockba. 1. 25 1-
258.
Morgensteni N.R. & Price V. E. 1965. The analysis of
the stability of general slip surfaces. Geofechnique 15 (1).
79-93,
Potts D. M., Dounias G. T. & Vaughan P. R. 1990. Finite
element analysis of progressive failure of Carsington em-
bailluiieiit. Geotechnigue. 40 (1). 79- 101.
Rowe P.W. 1991. A reassessment of the causes of the
Carsington embankment failure. Geotechnigue. 41 (3).
395-42 1.
Skeiiipton A. W. 1964. Long-term stability of clay slopes.
Ceotechnigzie. 14 (2). 77-102.
Srbulov M. M. 1995. A simple method for the analysis of
stability of slopes in brittle soil. Soi1.s and Foundations.
35 (4). 123-127.
Yaniagami, T., Yamabe, S. Jiang, J.-C., & Khan, Y. A.
1999. A promising approach for progressive failure ana-
lysis of reinforced slopes. Pi-oc. ofInt. Sym. on Slope Sta-
bility Engineering: Geotechnicnl and geoenvironmental
Aspects ('s'-S'hikoki~'99), Yagi N.et al. Eds, Rotterdam:
Balkema.

298
 Slope Stability Engineering, Yagi, Yamagami & Jiang 0 1999Balkema, Rotterdam, ISBN 90 5809 079 5

Progressive failure analysis based on a method of non-vertical slices

Takuo Yamagami & Jing-Cai Jiang

Department of Civil Engineering, University c?f’ Tokushima, Japan
Younus Ahmed Khan
Gracluare School of Engineering, Universify of Tokushima, Japan

ABSTRACT: An approach of progressive failure analysis of slope stability is proposed based on a method of
non-vertical slices within the limit equilibrium framework. Variable factor of safety is defined along a shear
surface and the local safety factors are calculated. Simplifjring assumptions about the inter-slice forces and their
points of action made this method determinate. Force and moment equilibrium equations are derived from the
equilibrium conditions and the Mohr-Coulomb failure envelope. The softening behaviors of the soil materials
are also included in the method. To evaluate the ultimate stability of a slope an overall factor of safety is intro-
duced. The method is presented with two case studies

1 INTRODUCTION
A limit equilibrium method of non-vertical slices for
slope stability analysis considering progressive failure
is developed. In this method, variable factor of safety
is defined along a shear surface to represent the
nature of progressive failure. The required assump-
tions are made in order to get the solution of the
method. The equilibrium equations are derived using
the static equilibrium of non-vertical slices and Mohr-
Coulomb failure criterion.
There are many instances, where local yielding or
failure initiated at some points along the shear sur-
face develops which finally leads to the failure of the
slope as a whole. This process is called as progres-
sive failure (e.g. Skempton, 1964; Bjerrum, 1967;
Bishop, 197 1).
In geotechnical engineering practice, slope stability
analysis of artificial and natural slopes is usually
performed by the limit equilibrium method. In limit
equilibrium analysis certain assumptions are made to
solve the problems using static equilibrium and fail-
ure equations. The commonly used procedures are
those of Bishop (1955), Morgenstern and Price
(1965), Spencer (1967), Sarma (1973) and Janbu
(1973). These conventional limit equilibrium
methods are generally regarded as best available for
stability analysis, but they will not result in the true
progressive failure mechanism. A complete method
should satisfjr force and moment equilibrium. Multi-
ple wedge methods have proved capable of satisfjring
all these needs and the approach of Sarma (1979) is
widely accepted.
All these methods assume a single value factor of
safety for the entire failure surface; i.e. the factor of
safety is the same for all locations along the shear
surface. However, in an actual slope stress or strain
levels vary along any slip surface, and the non-
uniform distributions of either stress or strain level
inevitably cause local failures along the surface.
Therefore the single value factor of safety is unable
to define these failure surfaces. So, the local factors
of safety have to be introduced to express this non-
uniform distribution of local stress levels during pro-
gressive failure within the limit equilibrium frame-
work.
Finite Element Method (e.g. Lo and Lee, 1973;
Potts, et. al., 1990; Rowel, 1991), Discrete Element
Method (Chang, 1992) and Discontinuous Deforma-
tion Analysis (Huang and Ma, 1992) are all effective
methods of progressive failure analysis. But due to
the complicated nature and large computation proce-
dures, these methods have not widely been used so
far.
There are number of limit equilibrium methods
considering progressive failure, for example, Law
and Lumb (1978), Chugh (1986), Srbulov (1995),
Yamagami and Taki (1997). However, these
methods are not so satisfactory except, that of Ya-
magami and Taki (1997). Yamagami and Taki have
satisfied all equilibrium conditions in their method
satisfactorily to make the problem deterministic. In
an accompanying paper, two different techniques
called AILC (Analysis of Instantaneous Loading
Condition) and AGLC (Analysis of Gradual Loading
Condition) are devised to deal with the local factor of
safety in the locally failed zone (Yamagami, Taki,
Jiang & Yamabe, 1999). Furthermore, an approach

299
for progressive failure analysis of reinforced slopes
with vertical slice have been developed and presented
in a companion paper (Yamagami, Yamabe, Jiang &
Khan, 1999). All of these methods of progressive
failure analysis are based on the vertical slices.
Therefore, progressive failure analysis using non-
vertical slice needs to be considered.
This paper presents a simple limit equilibrium
method of progressive failure analysis using non-
vertical slices. Here, the analysis is based on the
AILC (Yamagami, Taki, Jiang & Yamabe, 1999)
technique where, the local factors of safety are al-
lowed to be less than unity in stable slope.

2 METHOD OF ANALYSIS
2 1 Necessary ussirmptrons
In this method, the body of mass contained within the
assumed slip surface and the ground surface is divid-
ed into n non-vertical slices (Fig 1) Now, we have
the following 7n-3 unknowns n number of the nor-
mal force N, n number of the shear force T, n-1 num-
ber of the inter-slice force E, n-1 number of inter- Figure 1. (A) Division of non-vertical slices and
slice force X,n- 1 number of the points of application (B) forces acting on an inclined slice.
of the E forces given by Z , n number of the points of
application of the N forces and n number of the local
factors of safety I; where,
On the other hand, we have the following 4n num- c; , 4 i are the strength parameters
ber of equations n number of horizontal force equi- li is the length of the slice base
librium equations, n number of vertical force equilib- Ni & ui are the total normal force.and pore pres-
rium equations, n number of moment equilibrium sure acting on the base of the slice and
equations and n number of Mohr-Coulomb failure Fi is the safety factor of the slice
criterion equations for each slice
In order to get the solution of the proposed Resolving the forces vertically and horizontally we
method, the number of required assumptions are 3n- have,
3 We assume 17-1 acting points of E forces and
another ii acting points of N forces at the middle of
the slope base Another n-1 assumptions are made 7,’sin a, + N, cos a, = - El+1 + X,+ I cos6,r,
sin 6,+,
about the relationship between X and E forces, i e +E, sin 6, - X i cos.6, (2)
X= A. f(x)E This type of relationship is considered
here to introduce one extra unknown, A. to equalize
the unknowns to the number of equations as pro- T c o s a , - N I sina, =KIT+
E,-, cos6,+,+ X i , ,sin6,+,
posed by Morgenstern & Price (1965) in their
method Therefore, the actual number of assumptions -E, cos 6,- X,sin 6 (3)
is reduced to 3n-2
From equations (1) & (2),we get,
2.2 Resolving eyiruiions
Considering a failure surface as shown in Figure 1,
the mass contained within the slip surface and the
free ground surface is divided into n non-vertical
slices.
Since we define a local factor of safety (I;,) at the
base of each slice, we get the following expression By combining the equations (2), (3) and (4) for
from the Mohr-Coulomb equation: eliminating T, and NI,we have,

I?,+,A1 = E , A2 + Xi+,A3 - XIA4 + A5- A6 (9

300
where,
A1 = m, sinS,,, +m,cosS,,,

A2 = m, sin 6, + m,COSS,
A3 = m, COSS,,, - m,sin 6,+,

A4 = m, COSS,
- m,sin 6,

A5 = (m,sina, -m,cosa,)
14~1,tan @, c,b,
+ ym, where, (xgi, ygi) is the center of gravity of the slice
and d, is assumed to be half of the base length (I,).
A6 = K,W;m, Z,+] andf(x) must be optimized in the present analy-
sis (Yamagami, et. al. 1999)
A value for E,+,is determined from equations (6)
s i n a , tan@,
m,= + cos a, and (7) with a known value of E,. Substituting this
I;; E,+,value into equation (9) yields an equation which
cosa, tan@, contains F, as the only unknown.
mz = - sin a , By solving the equation (lO), with for example the
E Secant method, the moment equilibrium for individu-
Wi= weight of the slice al slice is satisfied and the value of <(i = 1 . . . r?) in
Ki = horizontal Earthquake acceleration sequence can be obtained. The complete solution
b; = horizontal length of the slice base must satis@ the boundary condition, E,,+,= 0.
6i & & + I are the inclinations of slice interfaces
with y-axis 2.3 Cnlculatiori procedures
ai= angle between the slice base and x-axis.
For any slope, the above mentioned equations are
Therefore, we obtain a recurrence equation (6) of applicable to find a solution for safety factor calcula-
inter-slice forces. tion. The calculation procedures for a slope, which
is divided into n non-vertical slices numbering 1 to n
from left to right, are as follows:
1
E,,, =-[EiA2+X,,,A3-XlA4+A5-A6] (6)
A1 Step I:
1. Assume A. = A. 1 & A.2 for Secant method
2. Start with A.1
To solve this equation, we assume, as mentioned
Step 11:
before, the relation between normal force E and
1. i=l, setting Ei and Xi to zero
shear force X, which is similar to that of Morgen-
2. Assume two initial F values, Fit and Fi2 for Se-
stern-Price method.
cant method
3. Start with FI1
4. Calculate E,+1and X1+lfrom equations (6) & (7)
5 . Find N, value from equation (4)
6 . Find moment value M,,[Al, F,,] from equation
where, A is an unknown parameter, and .f(x)is a
known hnction. (9)
7. Putting another initial F (=F12)value and recal-
Considering moment equilibrium(M, = 0) about
the left corner-point, C (xb;, ybi) of the base of the culate M1,[~1,Fi,1
8. Find F,.,,, from the Secant method as,
slice, we obtain,
c-,,,,= 6Mi,(A1, <,I- E,Mr,(AL E,)
M,, (A4 e,)- M,,(AI, <I)

If (F,-ne~\..~-F,-ne~\)>tolerance, then recalculate

Now putting the value of Xi.] from equation (7)
into equation (8), we have the following equation of
moment equilibrium:
M,[A,F,]with this F,.,,, and find next F,-,,, until
(F1-nea-l-FI-nea )< tolerance, is satisfied
SO, F, = Fi.,,,, if (Fi-nem-1-F1-nas)< tolerance Here,
F,-new-l is the immediately previous value of F,-,,,
and tolerance is1 O'6
9. Calculating the processes from 2 to 8 of step-11,

301
 for n numbers of slices we find the values of F1,
FZ,F3, . . . . F,. Now, check the boundary condi-
tion, =O; usually En+lf 0.
10. Recalculate the processes from 1 to 9 of step-
11, with A.=A.& and we will get another set of F
values.
11. Then, reiterate the processes from 1 to 10 of
step-I1 with A..,value until the boundary condi-
tion =0) is satisfied. A value is found
from the Secant method as follows,
if ( A. new-l - A. new)<l.O-', then 1 new = final 2.
value, if not reiterate the processes from 1 to 11
of step-I1 with the successive A. new , until it is
satisfied. 1 newt-1 is the immediately previous
value of A. new.
12. At this stage, we get a set of F values after
satisfying all the conditions. This set of F values
represents the local safety factors of the slices.
2.4 Considering softening
The softening can not be defined with the amount of
deformation or strain in the limit equilibrium analysis.
In this study, it is assumed that the soil resistance will
drop abruptly to the final residual value (as Law and
Lamb, 1978) immediately after reaching the peak
value (Fig. 2).
Peak ,strength (Rp) and Residual-strength (Rr) are
expressed as,
Rp = c ' , l + N t a n @ ,
Rr = clr I + N tan @ r
Figure 2. Schematic diagram of softening. (after
Law & Lumb, 1978)
The softening processes are included by the follow-
ing iterative procedures:
a. At the beginning, every slice is assigned with the
peak strength.
302
The local factors of safety are calculated using
the calculation procedures discussed in the previ-
ous section.
If slices whose F<1 emerge, the peak strength of
such slices is then replaced by the residual
strength.
The calculation is continued until the peak
strength of all the slices with F<1, are replaced
with residual strength.
2.5 Optimization of f(x) and Z
In the Morgenstern-Price method, f(x) is taken as an
arbitrary function, for example, a constant (e.g. 1) or
half sine and so on. In the Janbu method, Z is as-
sumed usually to be 1/3 of the slice height. How-
ever, many studies have indicated that f(x) and 2 in
this method must be optimized to obtain a complete
converged solution. The boundary condition can be
reached by optimizing the following equation:
I'Il+l 1' = F2m[a>f(x, 1, f (',), "'> f ('n)7 1' > 2' 7 "' 1
> z~l
-+ minimize(= 0) (13 )
The Nelder-Mead simplex method for non-linear
programming is applied to solve the equation (1 3).
2.6 Overall safety factor
For evaluating the safety factor of the slope as a
whole, we define the overall safety factor, Fc,,.era,lby
the ratio between the sum of the mobilized shear
forces (T, and TP) and the sum of the available shear
strengths along the entire slip surface.
Therefore,
where, m is the number of slices with residual
strength among the total slices (n).
3 EXAMPLE SOLUTIONS
Here, we present solutions of the two illustrative ex-
amples.
3.1 Example I :Simple homogeneoirs slope
Figure 3 illustrates the geometry and strength prop-
erties of a slope problem with no pore pressure. The
slip surface for this case is non-circular. Yamagami &
Taki (1997) solved this problem considering progres-
sive failure with vertical slices.
The solutions including no softening as well as
softening process are presented. Figure 3b shows the
 Figure 4. Solution of Selset landslide (example 2)

distributions of local factors of safety along the slip

surface. The Morgenstern & Price method provided
a single value factor of safety of 1.20 for the case of
no softening, where the proposed method showed an
overall factor of safety of 1.25. To demonstrate the
effects of the softening behavior of the soil, we con-
sider several cases with residual strengths (Figs.3~&
3d). For these cases, we find the overall factor of
safety gradually decreases with strength.

3.2 Example 2 :Selset Landslide

Figure 3. Solution of a simple homogeneous slope
(example 1)
This is a failed valley slope of the River Lune, near
Middleton-in-Teesdale in Yorkshire, which is ana-
lyzed by Skempton & Brown (1961). A number of
researchers have analyzed this slip surface for exam-
ple, Law & Lumb (1978) and Chang (1992). Figure
4 depicts this slide with the calculated results.
For this case the slip surface is circular. In the pre-
sent approach, the calculated overall factor of safety
is 0.98. We used the strength parameters, c=8.6 kPa
& $=32.0° and unit weight of the material(y) =21.8
kN/m3. Here, we find that the local safety factors of
about two-third of the slip surface are below unity.

303
4 CONCLUSIONS
A method of progressive failure analysis considering
non-vertical slices within the limit equilibrium ap-
proach has been proposed. This method hlly satis-
fied the force and moment equilibrium conditions.
The method became statically determinate with the
inclusion of simple assumptions from the Morgen-
stern & Price method and Janbu method. By defining
the local factors of safety, local failures along a slip
surface and softening behavior of the soil materials
have been taken into account. The locally failed zone
has been treated with the AILC technique. The over-
all factor of safety judged the safety factor of the slo-
pe as a whole. Finally, the method provided ac-
ceptable solutions of the two example problems.
This method should be treated with AGLC tech-
nique for locally failed zones of the slope. Moreover,
it might be extended for the slopes with reinforcing
elements. So our hture research is aimed to these
possibilities.
der clay at Selsct, Yorkshire. Geotechnique, 11:4:280-
293.
Srbulov: M.M. 1987. Limit equilibrium method with local
factors of safety for slope stability. Canadian Geot. J..
24:652-656.
Yamaganii, T. and Taki, M. 1997. Limit equilibrium slope
stability analysis considering progressive failure. Proc.
Intl. Symposizim on Deformation and Progressive IG+htre
in Geomechanics (edited by Asaoka, A. and et.al), Na-
goya, Japan, 7 19-724.
Yamagami, T., Yamabe, S., Jiang, J.-C. & Khan, Y. A.
1999. A promising approach for progressive failure analy-
sis of reinforced slopes. Proc. of Inter. Svmp. on Slope
Stability Engineering: Geotechnical and Geo-environ-
mental Aspects (IS'-Sliikokzr '99), Yogi, N. et. al. eds.,
Rot terdam, Balkem a.
Yamagami, T. Taki, M., Jiang, J.-C. & Yamabe, S. 1999.
Progressive failure analysis of Slopes Based on a LEM.
Proc. of Inter. Symp. on Slope Stability Engineering:
Geotechnical and Geo-environmental Aspects (IS-
Shikoku '99). Yogi, N.et. al. e h . , Rotterdam, Balkema..

REFERENCES

Bishop, A.W. 1955. The use of slip circle in the stability

analysis of earth slopes. Geotechnique, 5: 1:7- 17.
Bishop, A.W. 1967. Progressive failure-with special refer-
ence to the mechanism causing it. Panel discussion. Proc.
Geotech. COTIFO~l0,2:142-150.
Bishop, A.W. 1971. The influence of progressive failure 011
the choice of the method of stability analysis. Geotech-
niqzte, 21:2:186-172.
Bjerrum, L. 1967. Progressive failure in slo es of overcon-
solidated plastic clay and clay shales. 3"Terzaghi Lec-
ture, .J. Soil Mech. Found. Div., ASCE, 93:SM5:3-49.
Chang. C.S. 1992. Discrete element method for slope stabil-
ity analysis J. Geot. Eng. Div., ASCE, 118:12:1889-1905.
Chugh, A.K. 1986. Variable factor of safety in slope stability
analysis. Geotechnique,36: 1:57-64.
Janbu, N. 1954. Application of composite slip surfaces for
stability analysis. Proc. European Con$ On Stability of
Earth Slopes, Stockholm,3 :43-49.
Janbu, N. 1954. Stability analysis of slopes with dimension-
less parameters. Hanrard Soil Mechanics Series, No.46.
Law, K.T. and Lumb, P. 1978. A limit equilibrium analysis
of progressive failure in the stability of slopes. Canadian
Geot. .I., 15:113-122
Lo, K.Y. and Lee, C.F. 1973. Analysis of progressive failure
in clay slopes. Proc. gfh.ICSMFE, Mokba, 1.1:251-258.
Morgenstern, N.R. and Price, V.E. 1965. The analysis of the
stability of general slip surfaces. Geotechnique, 15:1:79-
93.
Potts, D.M., Dounias, G.T. and Vauglian, P.R. 1990. Finite
element analysis of progressive failure of Carsington em-
bankment. Geotechnique,40: 1:79-101.
Sarma, S.K. 1979. Stability analysis of embankments and
slopes. J. Geot. Eng. Div., A X E , 105:GT12:1511-1524.
Sarma, S.K. 1973. Stabilty analysis of embankments and
slopes. Geotechnique, 23:3 :423-433.
Skempton, A.W. 1964. Long term stability of clay slopes. 4h
Rankine Lecture, Geotechnique, 14:2:77-102.
Skempton, A.W. and Brown, J.D. 1961. A landslide in boul-

304
Back analysis of unsaturated shear strength from a circular slope failure

Jing-Cai Jiang & Takuo Yamagami

Depurmient of Civil Engineering, Uni\wsitv of Takwhimu, Jupatz
Yasuhiro Ueta
HLInshin Consultunts Comnpuny Lini ited, Osuki, J u p n

ABSTRACT: A back analysis method is described to determine three unsaturated strength parameters (c’, 4’,
4”) in Fredlund’s failure criterion. This method is based on two essential conditions which take full advantage of
the information provided by a slope failure in a unsaturated zone. A back calculation procedure is constructed
by combining these two conditions with the Bishop factor of safety equation with Fredlund‘s failure criterion.
Application of the proposed method to a hypothetical slope failure illustrates that a unique and reliable solution
of (c’, bb) can be back calculated quickly. The back analysis method proposed has the potential to determine
the magnitude of (c’, 4”) from an actual slope failure as long as the suction distribution along the slip surface
at failure is known.

1 INTRODUCTION internal friction, 4 - angle of internal fi-iction associ-

In engineering practice, it is often encountered that
the groundwater table in a slope is deep and/or only a
shallow slope failure is possible due to particular
geological and geographical conditions (for example,
a slope overlying a relatively shallow strong layer of
soil or rock). In such cases, when slope failures occur
slip surfaces will be located in an unsaturated zone.
Therefore, it is necessary to consider the effect of un-
saturation of soil on slope stability. In other words,
an unsaturated strength criterion, instead of the
Mohr-Coulomb model for saturated conditions,
should be adopted in order to evaluate reasonably the
stability of slopes in unsaturated zones.
An effective failure criterion for unsaturated soil
(Fredlund, 1979) is expressed as (see Fig. 1).
where c’ - effective cohesion, 4’- effective angle of
Fig. 1 Failure criterion for unsaturated soil
ated with suction of soil, U , - pore air pressure, U , -
pore water pressure, (on-u.) - net normal stress state
variable on a failure surface at failure, (U,-U,) - ma-
tric suction on the failure surface at failure.
Eq.[l] can easily be combined with the conven-
tional limit equilibrium methods to carry out stability
analyses for unsaturated slopes. The unsaturated
strength parameters (c’, $b) in Eq.[l] are usually
determined by triaxial compression tests and/or
modified direct shear tests (e.g., Gan et al., 1988;
Tadepalli, Rahardjo & Fredlund, 1992; Abramento &
Carvalho, 1989; Vanapalli et al., 1996). However,
laboratory testing is not a practical method as it re-
quires costly laboratory equipment, expert test tech-
niques and long test times. In addition, the difficulties
in undisturbed soil sampling from an unsaturated soil
also greatly limit applications of laboratory testing.
Back analysis is an effective tool for obtaining
shear strength parameters for design of landslide
control works because it avoids many of the prob-
lems associated with laboratory tests. However, all
existing back analysis techniques to determine
strength parameters are only available for slope fail-
ures under saturated conditions. Some being used to
back calculate both c and $) (e.g. Nyugen, 1984;
Yamagami & Ueta, 1986, 1992) and others being
used to estimate the magnitude of 4 only by assuming
a value of c or vice versa.
The objective of this paper is to present an effec-
tive and quick method for determining the unsaturat-
ed strength parameters from a slope failure. The ba-
sic idea of this method is based on two fundamental

305
conditions (Yamagami & Ueta, 1986, 1992), which
take full advantage of the information provided by a
slope failure. The back calculation procedure for (c',
b', $b) is described in detail by applying these two
conditions to the Bishop safety factor equation with
Eq.[11. Finally, an illustrative example problem is
presented to demonstrate the effectiveness of the
back analysis method.

2 BASIC IDEA OF BACK ANALYSIS

2 1 7ivo Essential Conditionsfor Back Analysis
Two essential conditions suggested for back analysis
of strength parameters (Yamagami and Ueta, 1986,
1992) are presented here for the sake of complete-
ness Since the aim of this paper is to develop a sim-
ple and quick back analysis method for the unsaturat-
ed strength parameters, we assume the slope in
question to be homogeneous in strength In other
words, c', 4' and +'' are back calculated as an average
of the strength parameters along a failure surface
The Bishop method for unsaturated conditions is
employed in this paper and the factor of safety equa-
tion is written as follows (Fredlund, 1987)
some point on the relation surface. In Fig.2, maxi-
mum values of the strength parameters, crmax,tan$',,,
and tan$',,,, limit ranges of variation of c', tan$' and
tan$'. In other words, a solution (c'o, tan4'0, tan+")
to be back analyzed should meet the inequalities of
O<C'O<C'~~X, O<tan$'~~tan$',,,, and O~tan$bO<tan$bmax.
The c',,, tan@,,, and tan$b,,, can be calculated re-
spectively by

hrd + W tan@+ ( U , - u,,)d tan@b}/ma

>- = [21
Y'Wsina
where m,=cosa+sinatan$'/F, W is the weight of a
slice, d=Icosa is the width of the slice ( I is the length
of the slice base), and a is the inclination of the slice
base to the horizontal.
Back analysis of strength parameters is carried out
based on a known or assumed failure surface within a
slope. As an actual failure surface reflects the most As Eq. [4b] is implicit in tan$',,, an iterative pro-
cedure, e.g. the Newton-Raphson method, is neces-
critical conditions, its factor of safety should be the
sary to obtain a solution of tan$',,, .
smallest of all admissible slip surfaces in the vicinity To summarize the above descriptions, the two es-
of the failure surface. That is to say, a solution (c'o, sential conditions for back calculation of the strength
tan$'o, to be back analyzed should make the parameters are yielded:
factor of safety of the failure surface minimum. I). Strength parameters to be identified must satisfy
The value of the factor of safety of a failure sur- the relation surface shown in Fig.2, i.e. the cr-
face is usually taken to be F p l . 0 . Substituting the tan$'-tan$b relationship of Eq.(3);
known value ofF=Fo (=1 .O)into Eq.[2], we have 11). Strength parameters to be identified must satisfy
that the factor of safety of the failure surface is
the minimum among any admissible slip surfaces
c {crd+Wtanbr+(u,
mcr
-u,,)dta~~+~)
F, C W sin a = close to the failure surface.
These two conditions take full advantage of the
c31
information provided by a slope failure, and are es-
where W, d, and m, are evaluated from the informa- sential for any back analysis procedure of strength
tion of the failure surface. parameters. Based on the above two conditions, we
Eq. [3] indicates the relationship between c', tan$' will first show that when a parameter among (c', $I,

and tan$b, representing a 3-D surface, egf in c'-tan$'-
tan$b space, as shown in Fig.2. This surface will be
called the "relation surface" hereafter. Note that the
c'-tan$b relationship is linear when tan+' in Eq.[3]
keeps unchanged (constant). The required strength
parameters satisfying Eq.[3] is corresponding to
$b) is given through experimental or empirical means,
the other two strength parameters can be determined
by Yamagami and Ueta's back analysis (1986) of c
and 4 for saturated conditions. Then, a procedure,
which is able to back calculate three unsaturated
strength parameters simultaneously, is presented.

306
2.2 Application of Yamagamiand Ueta s method
In this section, a similar method to that proposed by
Yamagami and Ueta (1986) is applied to dealing with
back calculation problems where one of (c’, $I, $b) is
given. Since one parameter is known, say =$I0 is $I

assumed to be known here for convenience.

As the Bishop method is employed, a circular fail-
ure surface is illustrated in Fig.3. In order to explain
the back analysis procedure, a number of trial slip
circles are also chosen in the vicinity of the failure
surface (Fig.3). For computational convenience, all
trial slip circles are constrained to pass through the
two ends A and B of the failure surface.
Substituting $‘=$‘ointo Eq. [3] and re-arranging the
terms of the equation, we have

t:c’d + ( U , - u,,)d

ma
tan bb =
w(hosin a tm4i) [5]
--
ma

This equation indicates the relationship between c‘

and tan$b, which can be represented by a straight line
PQ on the relation surface, as shown in Fig.2. In the
present case, the condition I) means that strength pa-
rameters (c’o, tan$”) to be identified must satisfy the
c‘-tan$b relationship shown in Eq. [5]; corresponding
to a point on the line PQ in Fig.2.
Next, we consider the condition 11) which requires
that the factors of safety, F,, of trial slip surfaces
should be greater than Fo, i.e.
F, 2 F,
For any trial slip surface, the factor of safety, F,,
may be expressed as:
Y hand, the F,-c’ and
where the overlined symbols indicate that they are
evaluated from the trial slip surface in question.
Fig.4 Restriction of ranges of variation of (c‘, tan$”)
It is of interest to note that the factor of safety, F,,
in Eq.[7] is considered to be a knction rather than a
constant in the present analysis, varying with the
parameters c’ and tan$b. Application of the Yama-
gami and Ueta back analysis (1986) has shown that
when (c’, tan$b) change along the line PQ in Fig.2,
the F,-c‘ and relationships for a trial slip cir-
cle above the failure surface (such as AO’B in Fig.3)
can be illustrated by a curve a1a2in Fig.4 (a) and by a
curve dldz in Fig.4 (b), respectively. On the other
relationships for a trial
slip circle below the failure surface (such as A0‘’B in
Fig.3) can be represented by a curve blb2 and a curve
ele2, respectively (Fig.4).
From Fig.4 we can see that satisfaction of the con-
dition 11) signifies that values of c’ and tan$b cannot
be beyond the ranges AB and DE, respectively. In
other words, the required c’o and tan$bo should sat-
isfy the follow inequalities (see Fig.4).

Fig.3 Circular failure surface and trial slip circles
c; d c ’ o 5 c;/ P I
tan$bIStan$bo 5 tan+bn P I
Eqs.[8a] and [Sb] indicate that application of the
two essential conditions to a pair of trial slip surfaces
resulted in reduction of possible range of the required
c’ and tan$b. It has been shown that when the above
procedure is performed with respect to an appropri-
ate number of pairs of trial slip circles close to the
failure surface, the range of variation of c‘ and tan$h
can be restricted to an extremely narrow zone in

307
which a required solution of (c', tan$b) exists.
2.3 An efficient and Aysternatic back analysis proce-
dure
Similarly to the method by Yamagami and Ueta
(1986), the back analysis procedure described in
Section 2.2 can be performed more efficiently and
systematically by applying the following calculations.
1) An appropriate number (n) of trial slip circles
are separately chosen above and below the failure
surface (but in the vicinity of it). Their radii are de-
noted by ri and ri* (i=l, 2, ..., n), respectively (see
Fig. 3 in which only two trial circles on each side are
shown for simplicity).
2) Values of c;~.,. and tan$',,,,,, are calculated re-
spectively using Eqs.[4a] and [4c] on the basis of the
failure surface information. Note that $' =$I0 is as-
sumed to be known in the present case.
3 ) The range of O-C',,,,~ is divided into (m)equal
parts, and the value of c' at a dividing point is repre-
sented by c', ('j=l, 2, ..., m+l) where c'l=O and c;+,
=c ',a.r.
4) Substituting c' = c', into Eq.[3], values of tan$';.
(j=l, 2, ..., m+l) corresponding to c; are calculated.
The pairs of (c;, tan$'j) so calculated certainly meet
the condition I), i.e. Eq.[3].
5) Using the above (c;, tan$'j), j=l, 2, ..., m+l,
computations of Ft by Eq.[8] are carried out for each
trial slip surface, and the results are recorded.
6) For the trial slip surface with the radius r1, a
value c ' ~of c' at the point of intersection of the Ft-c'
curve with the line of Ft=Fois obtained from the re-
sults in step 5 ) (see Fig.5). Also, a value (tan$")l of
tan$' at the point of intersection of &tan$' curve
with the line of Ft =Fois determined in the same way.
The above procedure is repeated for each trial slip
surface.
7) Accor$ng to the obtained values of c'i (C*'i),
tan$'; (tan$' ;) associated with r,(r*,)(i=1,2,, . . ,n), r-cr
and r-tan$" relationships can be drawn schematically
(Fig.6). The point of intersection of the r-cr curve
with the line of r=ro (radius of the failure circle) cor-
responds to a required solution of c'. And the point
of intersection of the r-tan$" curve with the line of
r=ro yields a solution of tan$', as illustrated in Fig.6.
Fig.5 points of intersection of the Ft-c' curve
with the line of Ft =Fo
308
Fig. 6 An efficient and systematic procedure
It has been shown that when c' or tan$' is given as
a known value, similar back calculations can be con-
structed to determine (tan$', tan$') or (c',tan$').
2.4 Verification
An illustrative example problem is presented here to
verifl the effectiveness of the back analysis proce-
dure described in section 2.3. The example has a
configuration with a height of 5.Om, an inclination of
1:2 and a lower groundwater table, as shown in
Fig.7. The distribution of suction is assumed to be
(ua-u,)=4.9H (kPa), in which H (m) denotes the
height from the groundwater table. In order to obtain
a failure surface, a search using the soil parameters of
ct=4.9kPa, $'=loo, $'=6' and y=17.64 kN/m3 has
been carried out by combining Eq.[2] with the con-
ventional repeated trials. The obtained critical circle
and the corresponding minimum factor of safety are
also shown in Fig.7.
By assigning a known value to one of (c', $', $'),
the other two parameters are back calculated ac-
cording to the information shown in Fig.7. When $'=
$'o=lO' is given, the results of (c1=4.91kPa, $'=
6.24') are obtained by the efficient and systematic
procedure (see Fig.8). In addition, ($I= 10.1', $b=
6.03') and (c'=5.0 kPa, $'= 9.85') are back calculated
respectively by giving c'=c'0=4.9kPa and $b= $'o=
6.0'. It can be seen from these results that in each
case the back calculated strength parameters agree
with the assumed values quite well.
Stability analyses for the slope shown in Fig.7 are
performed using the back calculated strength pa-
rameters. As a result, the critical slip surfaces and the
associated minimum factors of safety obtained from
the above three situations are almost the same as tho-
se shown in Fig.7.
3. BACK ANALYSIS PROCEDURE FOR DE-
TERMINING(c', 4', 4')
It has been indicated that when one of the three
parameters c', $' and $' is given as a known value, a
similar back analysis to the Yamagami and Ueta

Fig.7 Critical slip surface of a hypothetical slope
(H: vertical distance from the water table)
Fig. 8 Back calculation results based on T-c' and
r-tan$b relationships ($'=$'0=1Oo)
method (1986) can be applied to determining the
other two strength parameters uniquely. Based on
this fact, a procedure is presented here to back cal-
culate three unsaturated strength parameters simulta-
neously where the following condition is used:
Required strength parameters (c'o, $'o, 4'0)
should satisfy that the critical slip surface
searched by do, and $"o must be identical with
$Io
the failure surface, and the associated minimum
factor of safety must be equal to FO(=1 .O).
By considering the above condition, the back cal-
culation procedure for determining (c', $', +b) is de-
scribed as follows.
1) Calculate values of,,, 'c tan$',,, and tan$bma,us-
ing Eqs.[4a]-[4c] on the basis of the failure sur-
face information.
2) Divide the range of 0-tan$',,, into an appropriate
309
number of equal parts (tan$;, j=1, 2, . . .m)where
tan$'l=O and tan$k+l=tan$lmax.
3)Regard each value of tan$; to be a solution of
tan$', i.e. tan$'o = tan$;, and back calculate (c),
tan$") by the procedure described in the previous
sections. Eliminate back calculated values of (c',
tan$b) which are beyond O - C ' ~ , and 0- tan$b,,,.
4) Search for the critical slip surfaces and the mini-
mum factors of safety using each group of (c),
tan$:, tan$") obtained in 3).
5 ) Take such values of (c), tanb;, tan$bj) as a re-
quired solution which give the critical slip surface
that is most close to the failure sudace.
While the above procedure is described in terms of
tan$', similar back calculations can also be carried
out in terms of c' and tan$b separately.
If the range of 0-tan$',, is divided sufficiently
small, the above-mentioned back calculation proce-
dure can result in a sufficiently accurate solution of
strength parameters. However, such computations
require long computer time.
An optimization approach is constructed to enhan-
ce the efficiency of back calculations. In order to ex-
plain the approach, a value of tan$' is chosen be-
tween 0 and tan+',,, first, and then c' and tan$b can
be back calculated by giving tan$'o = tan$'. Usually,
three parameters (c', tan$', tan$b) so obtained are not
a required solution. Therefore, the critical slip sur-
face located using these parameters differs from the
failure surface. It is obvious that the magnitude of
difference between the locations of the critical slip
surface and the failure surface depends upon the cho-
sen value of tan$'. In other words, difference be-
tween critical slip surface and the failure surface can
be regarded to be a fknction of tan$'.
In searching for critical slip surfaces, it is conven-
ient to constrain them to pass through the two ends
A and B of the failure circle (Fig.9). Thus, the differ-
ence between a critical slip surface and the failure
circle can be represented by the distance DR (Fig.9)
between their centers. DR varies with tan$', being a
hnction of tan$'. The minimum value of DR, DRmm
(=O), corresponds to a required solution of unsatu-
Fig.9 Optimization problem for back analysis
rated strength parameters.
The golden section method is employed to solve
the above optimization problem. Details of this are
described in the following.
A value of tan$',,, is calculated, then 6m=O and 6,
=tan$'maxare denoted.
The following two values of tan$' are calculated
by the golden section method: 61=6,+0.382 (6n-
Sm), and 62=6,+0.618 (6n-6m).
(c'l, tan$"') and (~'2,tan$'J are back calculated
by giving tan$'o = 61 and tan$'o = 62, respectively.
Two circular critical slip surfaces are located us-
ing the obtained (~'1, 61, tan$") and (c'z, 62,
Then, DRI and DRz, differences between
the two critical slip surfaces and the failure circle,
are obtained.
If DRl <DRz, assume 6,=6, and 6, 4 2 ; if DRl >
DRz, assume 6,=61 and 6, =6n; and if DRI =D&,
assume 6,=61 and 6, =62.
Repeat steps from 2) to 5 ) until the difference
between 61 and 62 does not exceed a prescribed
tolerance.
The average value, 6 (tan$'), of the final 61 and 62,
and the corresponding c' and tan$" are taken as a re-
quired solution of the three strength parameters. Of
course, the above solution procedure can also be
performed in terms of c' or tan$".
4. EXAMPLE PROBLEM
Based on the critical slip surface, the minimum
factor of safety and the distribution of suction shown
in Fig. 7, three unsaturated strength parameters are
back calculated by the back analysis method de-
scribed in the preceding section. The results obtained
from the procedures in terms of c', $' and $" are
summarized in Table 1. Their average values and the
correct solution of (c', $', $") are also shown in this
Table. It can be seen from Table 1 that in all cases
the back calculated values of (c', 4") are in good
$I,
agreement with the assumed parameters (correct val-
ues). This indicates that the proposed back analysis
procedure can provide sufficiently accurate results of
unsaturated strength parameters.
5. S U M A R Y
A back analysis method for determining the un-
saturated strength parameters (c', 4') in Fredlund's
$I,
failure criterion, has been presented. This method is
based on the two simple and rigorous conditions
which take full advantages of the information provid-
ed by a slope failure. It is an extension of Yamagami
and Ueta's (1986, 1992) back analysis of (c, $) for
slope failures in saturated conditions.
The back analysis procedure for (c', $', 4") was
suggested by applying the two essential conditions to
310
Table 1 Back calculation results
Cases
in terms of $'
1 correct solution I 5.0 I 10.0" 1 6.0" I
the Bishop factor of safety for unsaturated condi-
tions. Application of the proposed method to a hy-
pothetical back analysis problem indicates that the
back calculated strength parameters agree well with
the correct values of (c',$I, 4').
Future research planned is to carry out laboratory
failure tests for model slopes to further verifL the ac-
curacy of the back analysis method. In addition, the
same idea will be combined with factor of safety
equations for noncircular slip surfaces for back cal-
culation of unsaturated strength parameters.
REFERENCES
Abramento, M., & Carvalho, C. S., 1989. Geotechnical para-
meters for the study of natural slopes instabilizatioii at
'Serra do Mar'. Proc. the 12th Int. Con$ on Soil Mechan-
ics and Foundation Engineering, Rio de Janeiro, 3. 1599-
1602.
Fredlund, D. G. 1979. Second Canadian Geotechnical Collo-
quium: Appropriate concepts and technology for unsatu-
rated soils. Canadian Geotechnical Journa, 16. 121-139.
Fredlund, D. G. 1987. Slope Stability Analysis Incorporating
the Effect of Soil Suction, Slope Stability (Ed. by M.G.
Anderson and K.S. Richards), John Wiley & Sons, Ltd.,
113-144.
Gan, J. K. M., and Fredlund, D. G., and Rahardjo, H. 1988.
Determination of the shear strength parameters of an un-
saturated soil using the direct shear test. Canadian Geo-
technical Journal. 25. 500-5 10.
Nguyen, V. U. 1984. Back calculations of slope failure fail-
ures by the secant method. Geotechnique. 34(3). 423-427.
Tadepalli, R., H. Rahardjo, and Fredlund, D. G. 1992.
Measurements of matric suction and volume changes dur-
ing inundation of collapsible soil. Geotechnical Testing
Journal, GZJODJ. 15 (2). 115-122.
Vanapalli, S. K.; Fredlund, D. G. Pufahl, D. E. and Clifton.
A. W. 1996. Model for the prediction of shear strength
with respect to soil suction. Canadian Geotechnical Jour-
nal. 33. 379-392.
Yamaganii, T. & Ueta, Y . 1986. Back analysis of average
strength parameters for critical slip surfaces. Proc. Int.
Symp. on Computer and Physical Modelling in Geotech-
nical Engineering (A. A. Balkema). Bangkok, 53-67.
Yamagami, T. & Ueta, Y. 1992. Back analysis of strength
parameters for landslide control works. Proc. 6th Interna-
tional Symposium on Lanhlides (A. A. Balkema). Christ-
ChUrCh. 1. 619-624.
 Slope Stability Engineering, Yagi, Yarnagarni & Jiang 0 1999 Balkerna, Rotterdam, ISBN 90 5809 079 5

A back analysis of MC-DP model parameters based on FEM

and NLSSQP method

T.Q. Feng
Sun Brain Plan Company Limited, Tokushima,Japan
T.Yamagami & J.-C. Jiang
Department of Civil Engineering, University of Tokushima,Japan

ABSTRACT: This paper presents a possible method to back analyze the parameters of MC-DP model by in-
corporating FEM into a minimization method NLSSQP. The NLSSQP method is capable of solving Nonline-
ar Least Squares problems with constrained conditions by means of Sequential Quadric Programming
method. The model parameters are estimated by minimizing a norm of the difference between observed and
calculated values at specified observation points. Although only MC-DP model is investigated in this paper,
there is no necessity to prescribe the constitutive model; any model can be used as a subroutine program. The
proposed method is applied to an excavation performed in a homogeneous and isotropic slope. The results in-
dicate that the proposed method can provide convergent and accurate solutions.

1 INTRODUCTION parameters on the basis of displacement measure-

The parameters of constitutive models are conven-
tionally determined using two ways such as labora-
tory tests and in situ tests. With the development of
the measuring instruments and techniques, the re-
sults of laboratory tests and in situ tests become
more and more reliable. However, in some cases
such as large-scale natural slopes, it is extremely dif-
ficult to quantitatively estimate the mechanical
properties of soils by tests. This difficulty is mainly
due to the complex and non-homogeneous geologi-
cal conditions of the ground. It is not surprising that
material properties largely scatter from place to
place, although soil formation seems to be identical.
Therefore the real behaviors of structures such as
displacements often differ from the predicted ones,
even after a carefid investigation.
In order to avoid these difficulties, some re-
searchers proposed back analysis methods, and these
methods have been more and more frequently used
in the estimation of the model parameters. For ex-
ample, the strength parameters (c' and +') of failed
slopes have been successfblly back analyzed by
combining limit equilibrium method and optimiza-
tion techniques (e.g. Nguyen, 1984;Yamagami &
Ueta, 1989, 1990). These methods, however, can not
be applied to the slopes without failure slip surfaces;
in fact there is no effective back analysis methods so
far for the stable slopes. But if the stable slopes are
subjected to loading (e.g. excavation), a sophisticat-
ed numerical analysis method such as finite element
method (FEM) can be used to back analyze the soil's
ments (Sakurai, 1990).
One important and difficult task in FE analyses is
the choice of constitutive models for soils. An elastic
and transversely anisotropic model was assumed for
rocks and applied to cut slope problems (Sakurai,
1990); however, the elastic model is not applicable
to soils, because it is well known that the soils usu-
ally present elasto-plastic behavior. So it is essential
to employ elasto-plastic model for soils. The prob-
lem is that there are more material parameters in
elasto-plastic model than in elastic model. In back
analysis, there are mainly two types of errors: one is
the system modelling error which can be evaluated
by the goodness of fit of the calculated results to the
observed data; and the other is the error corre-
sponding to parameter uncertainty. An increase in
parameter number generally improves the system
modelling error, but it also increases the parameter
uncertainty and vice versa. Therefore it should be
recognized that increase in parameter uncertainty re-
duces the prediction reliability which is the most
important aim of the back analysis. Thus, a complex
model may not give better prediction. So one should
choose the most appropriate model depending on the
quality and quantity of the given information for
prediction purpose.
In the present paper, a simple but practical model
called MC-DP elasto-perfect-plastic model (Tanaka,
et al., 1996) is employed in which Mohr-Coulomb
failure criterion is used and Drucker-Prager model is
taken as plastic potential functions. There are only
four parameters (E, v , c' , 41' ) to be back analyzed.

31 1
It should be noted that there is no necessity to pre-
scribe the constitutive models; any model can be
used as a subroutine program. So the proposed
method can be applied not only to the homogeneous
and isotropic soils discussed in this paper, but also to
various types of soils.
The other important task in back analysis is to
solve minimization problems. So far, there are sev-
eral minimization methods available (e.g. Luenber-
ger, 1973). Many methods, however, suffer fiom
non-uniqueness and instability solutions. The solu-
tions obtained are very much affected by the set of
initial values in the optimization schemes and some-
times, different schemes give different answers. The
present paper introduces a minimization method
(NLSSQP method), which is capable of solving
Nonlinear Least Square problems with constrained
conditions by using Sequential Quadric Program-
ming method. This method is applied to an excava-
tion in a fictitious slope. The convergent solutions
by the proposed method are very close to the correct
values.
2. MINIMIZING FUNCTION
The constitutive parameters are estimated by mini-
mizing a norm of the difference between observed
and model calculated values at specified observation
points. The observation data can be related to the
calculated values at the specified points by the fol-
lowing relationship:
U* = ~ : + r(x)
( xe)
where
U*:field observation data vector;
U: calculated results vector by FEM based on the
employed physical model with a chosen parameter
vector;
x: model parameter vector to be estimated;
8: known input data vector, e.g. soil profile, loading
conditions and boundary conditions;
r(x): error vector.
The most comprehensive function to be mini-
mized in the parameter value estimation procedure is
given as:
where
1 N=PxK
f(x) = r(x)T
2
'('1 = ~ l l r ( x ) l ~ = 2 c ( r ('~))'
J=1
rj(x) = u l -U,
P: the number of the observation points;
K: the number of the time steps; N: the total number
of the data.
3. NLSSQP METHOD
Equations (2) and (3) are commonly called Least
Square problem. Due to the complexity of the con-
stitutive relationship, the relation between r(x) and x
is usually nonlinear and non-convex as well; there-
fore the problem described above is a Non-linear
Least Square (NLS) problem. There are some
methods available such as quasi-Newton method for
the optimization of NLS problems. The quasi-
Newton method, however, can not be used to solve
the NLS problems with some constrained conditions.
In fact, it is very common in geotechnical engineer-
ing that most model parameters have definite ranges
which can be known by experience or laboratory
tests in advance. Although in some cases, it is diffi-
cult to determine such ranges, it is clearly under-
stood that the parameters are at least positive. Hence
we usually need to solve the NLS problems with
some constrained conditions. In order to solve such
problems, this paper employs NLSSQP method (Ta-
kahashi et al., 1987), in which Sequential Quadric
Programming is used to solve Nonlinear Least
Square problems with constrained conditions. It is
the authors' opinion that NLSSQP method has so far
been the only method to be capable of solving NLS
problems with constrained conditions. The .details
will be described in the following.
First let's see the following nonlinear least square
(1) problem:
Constrained conditions:
and the objective function is:
Denoting the Lagrangian multiplier vectors of con-
straints g(x)SO and h(x)=O by A. andp , the La-
grangian hnction is defined by:
1
L(x,h,p) = -r(x)Tr(x)+hTg(x) +pTh(x) (8)
2
(3) The Hesse matrix corresponding to x is given as:
(4) V,,L= J(x)TJ(x)+$rj(x)V2rj(x)
j=l
312
 m Step 4: Let xk+l=xk+
+ChiV2gi(x)+$,pjV2hj(x)
j= 1 (9)
i=l
where J(x) stands for the Jaccobi matrix of r(x). The
B matrix in SQP method can be expressed as:
Then the algorithms of NLSSQP method can be de-
scribed briefly as follows:
Step 0: To set up initial x,,,the matrix of A,,, C,and
parameter 6 >O, LL) '(0,0.5), z E(O,l), k=O.
Step I : When the xk, Ak,Ck are known, we can sol-
ve the following QP problem with respect to d.
h(Xk) + Vh(xk)d = 0 (13)
The solution of this problem is dk by which
we can determine the searching direction. Cor-
respondingly, Lagrangian multiplier vectors of
constraints g(x) 5 0 and h(x)=O become 2- k + l
and p k + l respectively.
Step 2: If (xk, 1 k,l, p k + l ) satisfy Karush-Kuhn-
Tucker (K-K-T) conditions, then stop; other-
wise, go to step 3 to judge the convergence.
Step 3: To determine a k in the following procedure
(Line Search):
Step 3. I : Let Y k,1=1 and j=1.
Step 3.2: Regarding the following line search
evaluation fkction:
then let a k= Y kJ7and go to step 4; otherwise,
go to Step 3.3.
Step 3.3: let Y kJ+l=z Y 4, j=j+l, then go to Step
3.2.
313
a kdk.
Step 5: Renew the matrixes of 4 and ck to produce
Ak+,(DGW Equation) and Ck+l(BFGS Equa-
tion).
Step 6 : Let k=k+l, go to Step I
4. MC-DP MODEL
The constitutive models of soils (from simple linear
elastic ones to very sophisticated elasto-plastic ones)
have been developed for several decades and a great
deal of achievement has been acquired. Generally,
elasto-plastic models can simulate the behaviors of
the soils better than elastic ones do, but the number
of the model parameters increases correspondingly.
An increase in parameter number generally im-
proves the system modeling error, but also increases
the parameter uncertainty. Therefore, it is essential
to employ an appropriate constitutive model that can
provide reasonable results. Considering this point,
this paper employs an elastic-perfectly-plastic model
(Tanaka et al., 1996; Oettl, et a1.,1998). The Mohr-
Coulomb failure criterion, which coincides with ex-
periment data very well, was adopted in this model;
and the non-associated flow rule is assumed in
which Drucker-Prager model was taken as plastic
potential fhction. So a mixed model (MC-DP
model) was produced. The Mohr-Coulomb failure
criterion and Drucker-Prager plastic potential func-
tion are given in Equations (21) and (22), respec-
tively.
 0; +o; 5 . BACK ANALYSIS PROCEDURES
f=-------- sin $' +
2
The determination of the mechanical properties from
the measured values of displacement is referred to as
/(o;+o$ + T2, - c' cos$' = 0 a back analysis. The proposed method belongs to in-
4 direct back analyses in which the FEA is one of the
subroutine of NLSSQP. The flow chart of back
analysis for determining model parameters is briefly
given in Figure 1. The convergent solutions have
0; +o; been obtained when Karush-Kuhn-Tucker (K-K-T)
a=--- sin cp +
2 conditions are satisfied (Takahashi et al., 1987).
Note that the number of the measured values
should be large enough in order that optimization
techniques can be adopted to determine the un-
knowns.

where c' represents effective cohesion; $' is effective

angle of internal friction and cp represents angle of
dilatancy. ox',o,',
and z,' are stress components.
The stress-strain relation then can be expressed as
follows:

d o = [Del--(1-
~

where

2(1-v)
~ _ _ _
2v
_ _ 0
_
(1-2v) (1-2v) Figure 1. The flow chart of back analysis
E ~
2v_ 2(1-v)
_ _ _
[Del =- 0
2(1-v) (1-2v) (1-2v)
6. NUMERICAL EXAMPLE
0 0 1
An excavation performed in a homogeneous and
isotropic hypothetical slope is taken into considera-
tion in this paper. The finite element mesh and six
and r represents a coefficient; when stress state is at observed nodal points are shown in Figure 2.
elastic zone r=l; at perfectly plastic zone r=O; in
other cases O<r<l. Neglecting the angle of dilatancy
cp (i.e. assuming cp=O), there are four parameters to
be back analyzed in this model, (i.e. c' , $' and E, v,).
It should be noted that we employ MC-DP model
only for the sake of the simplicity. The MC-DP
model like many other models is confined to iso-
tropic conditions. In most cases, however, the soils
of natural slopes exhibit anisotropic behavior due to
geological formation. In these cases, we should
choose the anisotropic models (e.g. Nova, 1986,
Schmidt et al. 1993).
Figure 2. FE mesh and the observed points

314
 This excavation was done in the slope in 5 stages. Table 2. Four sets of initial values
The height of the original slope is 20 m at 1:l. The
height of the cut slope is 10 m with the slope of 1: 1. Property case 1 case 2 case 3 case 4
The initial stresses are determined by elastic ana- c (KNm-2) 15.50 4.50 15.00 7.49
lysis in which self-weight is handled as loading 4(0) 38.00 25.50 42.00 24.70
force. The boundary conditions for the displace- E(KNin-') 5130 5540 12000 10300
ments are described as follows: there are only hori- v 0.22 0.22 0.35 0.35
zontal restrictions at left and right sides (i.e. AB and
CD in Figure 2). There are both horizontal and verti-
cal restrictions at bottom (i.e. BC). For the sake of 7. RESULTS AND DISCUSSIONS
simplicity,
- - we do not take into account the pore wa-
ter pressure. The back-analyzed results of four cases are listed in
The constrained conditions for the parameters to be Table 3. We can see that the present procedure could
back analyzed are handled as: back analyze the reasonable constitutive parameters,
which provide the good approximation of measured
displacements. Like other optimization methods, the
c'> 0 (25) present method also needs to do trial computations
with different initial values till the convergent solu-
tions are obtained. Therefore, the computation time
may be quite long if the initial values are given im-
properly and may be quite fast if the initial values
are set properly. Nowadays, with the development of
the fast, small size computers, the computation time
is no longer the most difficult problem. From table
As we do not have in situ observed horizontal dis- 3 we can conclude that the back-analyzed values
placements, which are usually taken by inclinome- having the smallest error can be taken as the final
ter, the observed data are then produced from for- back analyzed results. For example the results of
ward FEA. The material parameters used in the Case 4 can be chosen as the best one. Figure 3 pre-
forward FEA are regarded as correct values (see Ta- sents the comparison of the displacements between
ble 1). The corresponding output of horizontal dis- the observed and computed values at the end of the
placement of specified points is taken as observed excavation. It is shown that the values of Case 4 and
values for the following back analysis. The model Case 2 are nearer to the observed values compared
parameters are back analyzed by optimizing the with Case 1 and Case 3. The development of the
norm of the difference between observed and calcu- displacements of nodal point 41 1 with construction
lated displacements at the specified observation process is given in Figure 4. In this figure, we can
points. see that the displacements of Case 3 meet the ob-
served ones better than other cases do. This does not
mean that the back analysis results of Case 3 are the
Table 1. Material parameters best one, because this figure represents only one
point other than all the points. Due to the limited
Property Value space, we do not list the results of all the observed
Cohesion (c) 9.00 KNm-2 points.
Angle of internal friction ($) 32.00'
Young's modulus (E) 7 140 KNm-2
Poisson's ratio (v) 0.30 Table 3. Back analysis results
Density (y) 22.3 KNm-3
Property case 1 case 2
correct values initial results initial results
As it is well understood that the back analysis re- C (KNm-') 9.00 5.50 9.01 4.50 4.71
sults depend closely on the initial input material pa- No) 32.00 38.00 31.10 25.50 31.80
rameters. As we do not know whether the solutions E(MNm-2) 7140 5130 6900 5540 6940
with the input initial values are convergent or not in V 0.30 0.22 0.31 0.22 0.31
advance, we first set the initial values arbitrarily. If Errors( x 10-4) 4.74 1.36
the solutions are not convergent, then we need to Number of cycles 5 6
change the input initial parameters till the conver-
gent solutions come out. The following four sets of
initial values can provide convergent solutions (see
table 2).

315
Table 3. (Continued) Attention, however, should be paid to the large
Property case 3 case 4 number of the parameters associated with the com-
correct values initial results initial results plicated models, which may lead to the instability of
C (KNm-’) 9.00 15.00 5.29 7.49 6.83 the solutions. This is another topic of the authors’
No> 32.00 42.00 33.80 24.70 31.00 interests (Feng et al., 1999).
E(KNm-*) 7140 12000 7240 10300 7120
v 0.30 0.35 0.30 0.35 0.30
Errors(x 1(Y4) 5.35 1.06 REFERENCES
Number of cycles 7 11
Feng T.Q., Yamagami, T. & Jiang J.C., 1999 A fi-
nite element analysis for transversely isotropic
soils and the determination of model parameters
by means of back analysis. International symposi-
um on slope stability engineering: Geotechnical
and Geoenvironmental aspects. IS-Shikoku’99,
Japan.
Luenberger D.G., 1973. Introduction to linear and
nonlinear programming. Addison-wesley Pub-
lishing Company.
Nova R., 1986. An extended Cam clay model for
soft anisotropic rocks. Computers and Geotech-
nics, 2: 69-88.
Nguyen, V.U., 1984. A technique for the back ana-
lysis of slope failures. Proceedings of the Fourth
Australia-New Zealand Conference on Geome-
chanics, Perth: 6 17-622.
Oettl, G., Stark, R.F. & Hofstetter, G., 1998. A com-
parison of elastic-plastic soil models for 2D FE
analyses of tunnelling. Computers and Geotech-
nics 23:19-38.
Sakurai, S., 1990. Numerical analysis for the inter-
pretation of field measurements in geomechnics.
Numerical Methods and Constitutive Modelling
in Geomechanics, CISM courses and lectures
No.3 1I, Edited by C.S. Desai/G. Gioda, Springer-
Figure 4. The comparison of horizontal displacement
verlag: 35 1-407.
Schmidt, R.J. Wang D.Q. & Hansen A. C., 1993.
at Nodal point 41 1
Plasticity model for transversely isotropic materi-
als. Journal of Engineering Mechanics, ASCE,
119(4): 748-767.
8. CONCLUSIONS Takahashi, S., Yamaki, N. & Yabe, H. 1987. Some
modifications of sequential quadratic program-
A back analysis method for determining the soil ming method for constrained optimization. TRU
parameters has been proposed by incorporating FEM Mathematics. 23(2):28 1-295.
into NLSSQP method. This method has been applied Tanaka, T., Ugai, K., Kawamura, M., Sakajo, S. &
to an excavation in a hypothetical slope. The solu- Ohtsu, H. 1996: Three dimensional elastic-plastic
tions obtained were very close to the correct values finite element analysis for foundations. Maruzen
in case the solutions were convergent; and the com- Co. Ltd., Japan (in Japanese).
putations were quite fast. Correspondingly, the solu- Yamagami, T. & Ueta, Y., 1989. Back analysis of
tions with the smallest error could be regarded as fi- average strength parameters for critical slip sur-
nal results. faces. Computer and Physical Modelling in Geo-
The proposed method belongs to indirect back technical Engineering (eds. A. S. Balasubrama-
analysis methods. The advantage of this method is niam et al.) Balkema: 53-67.
that there is no necessity to prescribe the constitutive Yamagami, T. & Ueta, Y., 1990. Back analysis of
models. Hence this method is not limited to the ho- failed slopes in heterogeneous soils. Proceedings
mogeneous and isotropic problem discussed here; it of the Tenth Southeast Asian Geotechnical Con-
can also be used to solve more complicated cases ference: 2 13-2 16.
(for instance, elasto-plastic and anisotropic condi-
tion) if the constitutive relationships are available.

316
 Slope Stability Engineering, Yagi, Yamagami & Jiang 0 1999 Balkema, Rotterdam, ISBN 90 5809 079 5

An FE analysis of anisotropic soil slopes and back analysis for its parameters

T.Q. Feng
Sun Bruin Plan Coinpany Limited, Tokushimu, Japan
T.Yamagami & J.-C. Jiang
Depnrtnient of Civil Engineering, University oj'Tokushimu,Jupun

ABSTRACT: A finite element analysis has been implemented by employing an elasto-plastic model for an-
isotropic soils proposed by Nova (1986). Owing to the complexities of the anisotropy, the number of model
parameters increases in comparison with that of isotropic soils. Also, these parameters are quite difficult to be
determined by laboratory tests, because it is hardly possible to acquire the specimens of high quality for rep-
resenting the anisotropy of geotechnical materials. At present, there are few acceptable methods proposed for
the determination of the parameters of anisotropic models. In the present paper, an attempt has been made for
the determination of the model parameters by combining FEA with an optimization method. The proposed
procedure is illustrated through a cutting in an orthotropic slope. The results indicated that the present proce-
dure is applicable for transversely isotropic soils

1 INTRODUCTION the model parameters (Sakurai, 1990; Feng et al.

In the numerical analyses of soil behaviors, it has
been generally assumed that the .properties of soils
are isotropic. However, this assumption does not ap-
pear reasonable for the natural slopes, which exist
broadly in the mountainous regions of Japan. The
mountainous regions of Japan consist of very com-
plicated, heterogeneous and anisotropic geological
materials varying from soft soils to hard rocks. It is,
therefore, essential to take into account the anisotro-
py of the geological materials. In order to present the
anisotropy of the soils, some researches have been
done in the past decade (e.g., Oda & Nakayama,
1989; Sakurai, 1990). Oda and Nakayama (1989)
introduced a fabric tensor to express the anisotropy
of the discrete particles. Sakurai (1990) described
the anisotropy of the soils only in elastic behavior. It
has been well understood that most geological mate-
rials present elasto-plastic rather than elastic behav-
ior. At present, however, there are no generally ac-
cepted elasto-plastic constitutive models that can be
used with confidence to simulate the nonlinear re-
sponse of anisotropic materials under a variety of
loading conditions, because it is either difficult or
costly to determine the parameters used in aniso-
tropic models by laboratory tests. The difficulties
exist in that it is nearly impossible to obtain the spe-
cimens of high quality through samplings in moun-
tainous areas.
A back analysis substituted for laboratory tests has
become an available method for the determination of
1999). A very important task in FE analyses is the
choice of constitutive models. A complex model is
not always preferable to a simple one due to its large
number of parameters, which may leads to parame-
ter uncertainty. Thus the final goal of our research is
to develop a rational method in which the constitu-
tive models should be implemented in a simple and
proper manner to present the anisotropy of the
geological materials. As a first step, a simple and
practical model (Nova, 1986) dealing with the an-
isotropy of soils, is introduced into the present pa-
per. It is the authors' opinion that this model is the
most suitable for FE analysis because it is extended
from a well-known Cam-clay model (Burland, 1967)
and there is a small number of parameters compared
with other models. These parameters are to be back
analyzed by a minimization method in which
NLSSQP method is combined with FEA. This pro-
cedure has been successhlly applied to isotropic
soils (Feng et al. 1999). Its effectiveness is also il-
lustrated in the present paper through a fictitious ex-
cavation performed in a transversely isotropic slope.
2. CONSTITUTIVE RELATIONS OF TRANS-
VERSELY ISOTROPIC SOILS
To start with, the transversely isotropic soils are
taken into consideration in which the axis of sym-
metry is normal to the bedding plane. We shall de-
fine a cartesian frame where one axis y coincides

317
with the symmetry axis, and cofisequently, the plane
of isotropy is the plane (x, z) as shown in Figure 1.
J X
Figure 1 . A cartesian coordinate system
for transversely isotropic soils
If the soils are isotropic, the yield surface may be
expressed by a hnction of the state of the stress dij
and the plastic history of the material through
hardening variables, k, which is a hnction of plastic
strains, ePhk
f = f(oij,k(&))
If the material is orthotropic, the yield function
and in general all mechanical properties depend on
the orientation of the principal axes of the stresses
which are inclined to the orthotropy axes with angles
8,. Since the strain history may change the initial
anisotropy of the soils, 8, will be in general hnctions
of the plastic strains. Thus
Then the elasto-plastic stress-strain relationship can
be expressed as
(3)
Dep]represents the elasto - plastic matrix
where H is referred to as hardening parameter and is
written as
318
In plane strain condition, the elastic matrix for trans-
versely isotropic materials is known as (Zien-
kiewicz, 1977)
n(l-nv:) nv2Al 0
[Del = T
lnv2A, 1-v: 0
AlA, 0 0 mA1A2
where
A, = l + v , , A, = 1-v, -2nv; (7)
E,, v , are associated with the behavior in x-z plane
and E,, G2,v along y direction; perpendicular to the
x-zplane. Hence, there are 5 elastic parameters such
as m, n, E2,Y , and v 2 . There has been no effective
testing techniques for them so far; and they will be
back analyzed in the present paper.
3 . YIELD FUNCTION FOR TRANSVERSELY
ISOTROPIC SOILS
In order to present the elasto-plastic matrix (i.e.,
equation (4)), one needs to choose a yield function f
and a potential hnction g. In the following, we shall
employ the associated flow rule. Although it is
widely accepted nowadays that the associated flow
rule is not valid for geological materials (e.g., Lade
and Duncan, 1975; Lade and Musante, 1978), the as-
sociated flow rule will be, as a first step, assumed
here for the sake of simplicity.
For anisotropic materials, Nova (1 986) proposed
a constitutive model by generalizing the yield hnc-
tion of the modified Cam Clay model (see Burland,
1967). The model for anisotropic materials was in-
vestigated through triaxial compressions for soft
sedimentary rocks (e.g., Nova, 1986). Although the
quantitative agreement between experimental data
and predicted values, as reported by Nova, was not
always satisfactory, this model, however, gives an
overall picture of the behavior of sedimentary rocks.
In the following, the derivation of the yield hnction
for anisotropic materials is briefly described.
The yield hnction of the modified Cam-clay
model is given by the expressions
where
p' = -(G;
1 +20;)
3
q = 0;- 0 ;
M =strength parameter; pc= initial mean effective
stress. Equation (9) can be expressed in a general-
ized formulation
where
4. FINITE ELEMENT FORMULATION
The finite element method follows a conventional
elastic-plastic formulation except that the stress
components corresponding to local x-y coordinate
system must be transformed into those of global XI-y'
system as shown in figure 2.

p2=2M2/9, k= pc /2, 6, is the Kroneker delta. Equa-

tion (12) holds for an isotropic material.
A generalization of equation (12) to orthotropic
conditions was given by Nova (1986) who followed
Hill's ideas (1950). The generalized equation may
be expressed by the following equation
Figure 2 . Two sets of coordinate systems
C..11'sz..~..
IJ IJ
- 3k2 = 0

The relation of elasto-plastic matrix between the two

where C,, is a quadruple tensor whose components coordinate systems can be given as
are linked to the anisotropic characteristics of the
material. In plane strain condition, the quadruple
tensor Cllrsis given by

in which [D',,] is an elastic-plastic matrix corre-

sponding to XI-y' global coordinate; [D,,] represents
the elastic-plastic matrix associated with x-y local
coordinates; [T] is a transformation matrix and may
be expressed as

Equation (15) is the yield fimction for anisotropic -cos2 e sin2e - 2 sine cOse
materials. To obtain the elasto-plastic matrix of
equation (4), it is still necessary to define the fimc-
,.
tions k and 8 Nova (1986) pointed out that it is [T]= sin28 cos2e 2sin€Icose (19)
very difficult to choose a suitable expression for 8 I
because few experimental findings have been
achieved so far. Therefore 8 I is not taken into ac- -
sine cose - sine cos0 cos28 - sin28
count in this paper as a first approximation. A pos-
sible expression for k( E Phk) may be assumed as fol-
lows where 8 is the angle between the x-y and XI-y' coor-
dinate systems (see Figure 2).
The basic governing equilibrium equation, based
on the principle of virtual displacement, is given by

in which A. represents the volumetric compressibil-

ity.
In equations (15) -
(17), there are 5 plastic pa-
rameters (i.e, Q , p , y , p , l.). Since y may be where [BIT is the strain-displacement transformation
linked to 0: (see Nova,1986), the number of plastic matrix; and
parameters then reduces to 4.
{ U )= j[Nr{Afb}dV+ /[N]T{Af,)dS (21)
v S

where [NI =displacement interpolation matrix; { A

f,}=body force vector; { Af,}=external load vector.

319
5. DETERMINATION OF THE PARAMETERS The constrained conditions for the parameters are
BY MEANS OF NLSSQP METHOD prescribed as

There are 10 parameters in this model (i.e., m, n, E,,
v ,, Y , ,U, a , P , ;L and 8 ). These parameters are
conventionally determined by laboratory tests. How-
ever, these tests cannot be carried out successhlly
because it is hardly possible to acquire specimens of
high quality for representing the behavior of aniso-
tropic soils. This does not imply that the authors un-
derestimate the value of laboratory tests. On the
contrary, we believe that the researches should be
contributed to the essential development in tests,
since the intrinsic properties of anisotropic soils may
be revealed only through a wealth of test data. This
paper does not contribute to this aspect, while fo-
cussing on the determination of the parameters in
terms of an optimization procedure, in which
NLSSQP method is employed. The NLSSQP meth-
od is capable of solving Nonlinear Least Square
problems with constrained minimization conditions
by means of Sequential Quadric Programming
method. With regard to the details about the optimi-
zation method, the readers are referred to the related
papers (e.g., Takahashi, et al., 1987; Feng et al.,
1999).
6. NUMERICAL EXAMPLE
A cutting made in a fictitious slope of transversely
isotropic soils is investigated in the following sec-
tions. The finite element mesh and six observed no-
dal points are shown in Figure 3 . Due to lack of the
observational data of practical projects, we need to
do a forward FEA to produce them. The properties
of the soils and the model parameters listed in table
1 are regarded as real solutions.
The initial stresses are determined by elastic ana-
lysis in which self-weights are handled as loading
forces. The boundary conditions for the displace-
ments are described as follows: there are only hori-
zontal restrictions at left and right sides (i.e. AB and
CD in Figure 3). There are both horizontal and verti-
cal restrictions at bottom (i.e. BC). For the sake of
simplicity, we do not take into account the pore wa-
ter pressure.
O<n<l; m>0; E2>0
0 < v1 < 0.5; 0 < v2 < 0.5
0 > 0; a>0; p o
Table 1. Material parameters.
Property Value
n 0.50
m 0.09
Young's modulus (E,) 7000 KNm-'
Poisson's ratio (v,) 0.30
Poisson's ratio (v,) 0.30
8 45.00"
a 2.50
P 1.35
P 1.oo
A. 0.03
Density ('yJ 20.0 KNm"
Theoretically speaking, all the 10 parameters and
density yt ought to be evaluated. As the excessive
number of parameters , however, may lead to unsta-
ble solutions, some parameters can be determined by
tests in advance. For example, the value of density yt
can be easily obtained by routine tests. Also the val-
ues of A. can be determined by performing a com-
pression test since it is affected little by anisotropy.
In addition, the value of 0has no influence on'the
shape of the yield surface for 8 =O" and 8 =90", and
is of minor importance for other values of 8 (Nova,
1986). So the value of 0is assumed to be 1.0 in the
present example. As a result, only 8 of them are
herein left for back analysis.
Like some other optimization methods, the pre-
sent procedure also needs to set up a group of initial
values. Here four groups of initial values are taken
into investigation as listed in table 2.
Table 2. Four groups of initial values

Property case 1 case 2 case 3 case4

n 0.20 0.37 0.70 0.80
m 0.03 0.05 0.10 0.20
E, (KNm-') 10500 5500 9000 11000
VI 0.21 0.20 0.35 0.20
v2 0.21 0.20 0.35 0.20
8 (0) 20.00 20.00 70.00 70.00
a 1.25 1.90 3.20 1.50
Figure 3. The finite element mesh and the observed P 1.15 1.15 1.45 1.10
point number

320
7. RESUL,TS AND DISCUSSIONS

The back-analyzed parameters are listed in table 3,

and the corresponding horizontal displacements are
given in figure 4. The displacements back analyzed
are generally approximate to the observed values,
especially those of case 4 meet the observed values
very well (see figure 4(b)). It is very common that
the back-analyzed values of parameters having the
smallest error, which is a norm of the difference
between observed and model calculated displace-
ments at specified observation points, can be taken
as the final results (Yamagami et al., 1992; Feng et
al., 1999). Here, the results of case 4 can be chosen
as the final values of the parameters.
It is worth noting that the value of the angle be-
tween local and global coordinate systems (i.e., 8 )
can be well optimized to the real value in the four
cases. This means that the present method can pre-
dict accurately the values of 8 , which is difficult to
be determined in practice. Hence, this method is
worth hrther studying. However, some values (e.g.,
a , y in case 3) are not convergent towards correct
values, which leads to a larger errors (i.e., 1.027X
103 in case 3 ) . To avoid such discrepancies, the sim-
plest way is to choose the results with smallest er- Figure 4. The comparison between observed
rors. and computed values at the end of excavation

Table 3. Back analysis results 8. CONCLUSIONS

Property case 1 case 2
A finite element analysis has been implemented by
correct values initial results initial results
introducing a constitutive model for the transversely
n 0.50 0.20 0.45 0.37 0.52 isotropic geotechnical materials. The significance of
m 0.09 0.03 0.08 0.06 0.12
introduction of this model is that some materials
E, (KNm-,) 7000 10500 7180 5500 6340
such as sedimentary rocks enjoy an intrinsic or
v1 0.30 0.21 0.35 0.20 0.30
structural anisotropy due to their formation process.
v2 0.30 0.21 0.27 0.20 0.38
However, this model has not been widely used so far
0 (") 45.00 20.00 44.73 20.00 45.45
due to the complexities of determining the model
ff 2.50 1.25 2.60 1.90 2.29
parameters by laboratory tests. An attempt has been
P 1.35 1.15 1.39 1.15 1.45 made in the present paper to employ a back analysis
Errors(x w 4 ) 0,0802 0.0800 method in which FEM was incorporated into
Number of cycles 18 28 NLSSQP method. The proposed procedure has been
verified using an example of excavation in a strati-
fied slope. The values of the parameters back ana-
Table 3. (Continued) lyzed were very close to the correct values. Corre-
Property case 3 case 4 spondingly, the solutions with the smallest error
Correct values initial results initial results could be regarded as final results.
n 0.50 0.70 0.60 0.80 0.51 Since the study on the constitutive relations of
m 0.09 0.10 0.09 0.20 0.09 anisotropic geological materials are insufficient at
E, (KNm-,) 7000 9000 6220 11000 6910 the present stage, various attempts, including labo-
V1 0.30 0.35 0.24 0.20 0.29 ratory tests and back analyses, should be made in
v2 0.30 0.35 0.34 0.20 0.31 order to predict more accurately the behaviors of
0 (") 45.00 70.00 45.39 70.00 44.60 heterogeneous and anisotropic slopes existing
ff 2.50 3.20 3.30 1.50 2.33 broadly in Shikoku of Japan.
P 1.35 1.45 1.50 1.10 1.29
Errors(x l(Y4) 1.0270 0.0 120
Number of cycles 4 30

321
REFERENCES

Burland, J. B., 1967. Deformation of soft clay. Ph.

D. Thesis, University of Cambridge.
Feng, T. Q., Yamagami, T. Jiang, J.C., 1999. A back
analysis for parameters of MC-DP model by com-
bining FEM with NLSSQP Method. International
symposium on slope stability engineering: Geo-
technical and Geoenvironmental aspects. IS-
Shikoku'99, Japan.
Hill, R. 1950. The mathematical theory of plasticity.
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Lade, P. V. & Musante H. M., 1978. Three dimen-
sional behavior of remoulded clay. Journal of
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soft anisotropic rocks. Computers and Geotech-
nics 2: 69-88.
Oda, M. & Nakayama H. 1989. Yield Function for
Soil with anisotropic fabric. Journal of Engineer-
ing Mechanics, ASCE, Vol. 115, No. 1: 89-104.
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ming method for constrained optimization. TRU
Mathematics. 23(2):28 1-295.
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322
3 Rock slope stability analyses
This Page Intentionally Left Blank
 Slope Stabhty Engmeenng, Yagi, Yamagami & Jiangco 1999 Balkema, Rotterdam, ISBN 90 5809 079 5

An upper bound wedge failure analysis method

Z.Y.Chen, Y. J. Wang, X.G. Wang & J.Wang

China Institutue of Water Resources und Hyclsopor~wResecisch, Bei jing, People's Republic of' China

ABSTRACT: The solution to a wedge failure of a rock slope is normally obtained by employing force
equilibrium analysis (Hoek, 1976). It has been found that the problem is in fact statically indeterminate and
some assumptions were made to render the analysis tractable.
A new method based on the upper bound method of plasticity has been proposed by which Pan's
postulates( 1980) can be numerically performed. More than 80 potentially unstable wedges in the Ship-lock
slopes of the Three Gorges Project were evaluated, compared with the traditional approaches. It has been
found that for material that has no friction angle, the new method gave exactly the same answers as those
from the textbooks. However, for wedges with cohesionless material, the textbook answers can be as low as
60 percent of the upper bound solutions. This means that the currently available wedge failure method may be
too conservative if failure potential is assessed on the ground that cohesion of the material are not considered.
This is certainly an area of much needed firther research.

1 INTRODUCTION assumption that the shear forces on the failure

Wedge failure is a common collapse mode found in
rock slopes. In this case, the sliding mass falls along
two well defined weak planar structures either with
or without a tension crack at the crown (Figure 1).
Hoek and Bray (1 977) discussed the conditions upon
which a typical wedge failure may take place. In
general, a wedge failure may occur if the line of
interaction of the two slip planes daylight at the
slope surface.
The limit equilibrium method is generally used to
find the factor of safety for this kind of failure mode.
The procedures are well documented in textbooks
(e.g. Hoek and Bray, 1977). However a detailed
study of these procedures will come to the fact that
the problem is statically indeterminated. When
establishing the force equilibrium equations, there
are generally two unknown force vectors on the two
failure surfaces, which involve a total of six
components in the x,y,z co-ordinate axes(Figure 1).
The value of factor of safety to be searched adds one
more. The numbers of available force equilibrium
equations for the wedge block are three. Mohr-
Coulumn failure criterion on the failure surfaces
would provide another two equations. Therefore,
two assumptions must be made to allow the problem
statically determinate. The traditional method
presented in Textbooks actually implies an
surfaces are parallel to the line of intersection of the
two failure surfaces.
To understand the effect of the assumption made
in the conventional method, let us examine an
example that has a symmetric geometry and material
properties with respect to the line of intersection.
Main parameters are shown in Table 1. Cohesion of
the two failure surfaces is set to zero. Figure 2 gives
the factor of safety associated with different values
of the angles between the line of intersection and the
shear forces applied on the failure surfaces, which is
represented as p. It is apparent that the case p=O"
corresponds to the conventional method which
assumes that the shear forces on the two failure
surfaces are parallel to the line of intersection. It can
be found that the conventional method gave a value
of factor of safety F = 0.87. However F can be as
large as 1.136 at p =39". The question thus arises is
what the true answer to F would be and in what
cases the deviation between different assumptions
regarding the directions of the shear forces can be of
significance and caution must be exercised to select
appropriate answers.
In this paper we would investigate the theoretical
background regarding this issue and try to establish
a new analytical method that is based on the upper
bound theorems of Plasticity.

325
 Figure 2. Factors of safety for different value of p

Figure 1. The wedge failure analysis

where W is the weight vector of the wedge. The

Table 1. Parameters for an example of symmetric wedge
subscripts r and I refer to the right and left failure
Surface Dip direction Dip angle
surfaces respectively.
Left 120" 65" Now, we assign a velocity V that inclines at
Right 240" 65" angles q,,,qerto the left and right failure surfaces
Crest 180" 0" respectively. According to the virtual work principle,
Slope 180" 90" we have
Unit weight = 27KN/m3
w + P,,,V + P,,,V + C,,,V + c,,y= 0 (4)
2 AN APPROACH BY THE VIRTUAL WORK Since the work done by the frictional forces P on
PRINCIPLE V is zero, the work and energy balance equation
becomes
Let us examine the forces applied on the two failure
surfaces that constitute the wedge. Each force
comprises two components. The first component,
designated as P (Figure lb), is a resultant of the where y is the angle between the weight vector.
normal force N and its shear resistance N tanq,, . P Equation ( 5 ) involves only one unknown, the value
inclines at an angle qeto the normal of the failure of F, which is implicitly involved in the shear
surface. The second component designated as C is strength parameters with the subscript e and can be
the shear resistance force contributed by the solved by iterations.
cohesion, whose magnitude is c ',,A . The velocity V that inclines at angles qel,q,,, to
The subscript e involved in the strength
the left and right failure surfaces respectively can be
parameters defines the factor of safety F, which
reduces the available shear strength parameters c ' uniquely determined by solving the following
and 4' to the new values of c', and $'c by the equations:
following equations to bring the wedge into a state
of limiting equilibrium.

ck = c ' l F (1) V, . N, + Vy- N, + V, . N , = sin ye,,, (7)

tan 4; = tan 4; / F (2) V,' + Vy' + Vz2= 1 (8)

Considering force equilibrium for wedge leads to where the components of V in x, y, z directions are
designated as (V,,Vy,V,) . (N,,Ny, N,) is the
W + ?,e + Pr,, + C/,c+ Cr,e = 0 (3) directional component of the normal of the failure

326
surface. IVI is the magnitude of I?
3 THE THEORETICAL BACKGROUND
3.1 Pan s postulates of maximum and minimum
The value of factor of safety obtained by the
procedures described in Section 2 is one of many
possible solutions that satisfy Equation (3). It is
different from the one obtained by the conventional
method introduced in the textbook, which assumes
Pie,Pr,eparallel to the line of intersection.
Perhaps Pan was the first one who challenges the
conventional approach. In his book (Pan, 1980), he
put forward the famous postulates in China as
follows:
(1) Among many possible slip surfaces, the real
one offers the minimum resistance against failure
( Principle of minimum);
(2) For a specified slip surface, the stress in the
failure mass as well as on the slip surface will be
reorganized to develop the maximum resistance
against failure ( Principle of maximum).
Pan tried to find the maximum values of F in
Equation (3) among all the two possible extra
unknowns. However the mathematics was too
complicated to be approached in the time when his
theory was advocated. It is now possible to
demonstrate that the procedure described in Section
2 is actually the maximum value of F based on the
upper bound theory of Plasticity. The procedures
described in Section 2 actually gave the maximum
factor of safety of 1.136 for the example shown in
Figure 2.
3.2 The Upper bound theorem of Plasticity
The upper bound theorem of Plasticity as applied for
soil mechanics is discussed in detailed in Chen’s
textbook (Chen, 1975) and can be stated as follows:
If an increment in compatible plastic deformation
V* (called velocity) and strain filed E,; are
assigned to a failure mechanism R*bounded by
a failure surface P, then the external load T*
determined by the following work-energy balance
equation will be either larger or equal to the true
load T that brings the structure to failure.
(9)
The first and second terms refer to this energy
dissipation developed in the failure mass and on the
failure surface respectively. In wedge slide the
failure mass is a rigid body, therefore the left first
327
term in Equation (9) does not exist. On the other
hand, for problems which concerns factor of safety
rather than the external ultimate load, T* is zero,
performing the upper bound statement would be the
determination of the minimum values of F involved
in the following equation
L. = WV*
The second term D,,refers to the energy
dissipation developed on the slip surface, based on
the reduced shear strength parameters c and @Ie.
For a Mohr-Coulomb material the yield surface is
given by
where z and G are shear and normal stress on the
failure plane respectively, U is the pore pressure. The
associative flow rule thus requires that the normal
velocity V, and tangential velocity y, obey the
following relationship
This implies that for a Mohr-Coulumb material
the plastic velocity is inclined at an angle of 4Ie to
the failure plane.
The energy dissipation developed on a unit area of
the failure surface can therefore be determined by
the expression.
dD = zy,+ oV, = (zcos 4; + o sin 4; )V
= (c‘cos 4; - U sin 4: )V (13)
Now it is not difficult to find that: (1) the velocity
determined by solving Equations (6), (7), (8) is
exactly the plastic velocity determined by Mohr-
Coulumb associate flow law which obeys (12); (2)
Equation (10) is identical to (5). Therefore, the
solution obtained by the procedure presented in
Section 2 is an upper bound, or in other words, a
solution that offers the maximum resistance.
Use of the bound theorems of Plasticity to
Geomechanics is not new. Chen, W. F. (1975) gave
a comprehensive review on its fundamentals and
applications to solving bearing capacity, earth
pressure and slope stability problems. Sloan (1988,
1989) used finite elements and linear programming
to approach both upper and lower bounds for the
determination of bearing capacity on both uniform
and layed foundations. Donald and Chen (1997)
presented an upper bound slope stability analysis
method which employed a multi-wedge failure
mechanism. Optimization was followed to find the
velocity field that offered the minimum factor of
safety, which according to the upper bound theory
would be either equal or slightly higher than the true
answers of the problem. The method presented
herein belongs to the same theoretical framework,
but is particularly applicable to wedge analysis. It is
also not difficult to demonstrate that for material
with $',=O, the method described in Section 2 will
give identical results to those obtained by the
conventional method.
4 CASE STUDY - THE THREE GORGES
SHIPLOCK SLOPES
In evaluating the stability of potential wedge failure
of the shiplock slopes of the Three Gorges project,
we performed some 80 wedges. Some of them
exhibited quite large difference between the results
obtained by the conventional method and the upper
bound method described herein. The following is a
typical example.
Example Stability analysis for the No. 4 Wedge of
the shiplock slope of the three Gorges
Table 3 shows the result for No. 4 Wedge based
on a different combination of parameters. Geological
and strength parameters are shown in Table 2. We
found that:
(1) When the friction angles of both failure
surfaces are zero, the two methods gave identical
results;
(2) Great discrepancy was found for cases where
the cohesion of both surfaces is zero.
Table 2 Parameters of Wedge No. 4 of the Three Gorges
shiplock slope
DiD direction DiD angle
left 345" 76"
right 130" 80"
crest 21" 0"
slope 21" 90"
Height = 32.1 m
Unit weight = 27 KhJ/m3
5 CONCLUSION
It hzs been found that the limit equilibrium method
involved in a wedge failure analysis is in fact
statically indeterminate. The conventional method
(Hoek and Bray, 1977) introduced an assumption
that the shear forces on the failure surfaces are
parallel to the line of intersection of the two failure
surfaces.
This paper presents a new method based on the
328
upper bound method of plasticity and Pan's 'Theory
of maximum-and minimum'. This method gives the
maximum possible factor of safety among all
statically admissible stress fields. More than 80
potentially unstable wedges in the shiplock slopes of
the Three Gorges Project were evaluated, compared
with the traditional approaches. It has been found
that for material that has no friction angle, the new
method gave exactly the same answers as those from
the textbook. However, for wedges with
cohesionless material, the textbook answers can be
as low as 60 percent of the upper bound solutions.
This means that using currently available wedge
failure method may be too conservative for
cohesionless materials.
Further experimental research is certainly much
needed to justify the issue raised in this paper.
Table 3 Factors of safety associated with different
strength parameters for Wedge No. 4 of the Three Gorges
shiplock project
Friction c=O KN/m2 c=25 KhJ/m2 c=50 KN,/m2
angle U.P. L.M. U.P. L.M. U.P. L.M.
O0 - - 0.982 0.982 1.97 1.97
5" 0.285 0.172 1.176 1.15 2.154 2.142
10" 0.573 0.346 1.405 1.328 2.361 2.317
15' 0.872 0.526 1.661 1SO8 2.591 2.497
2OQ 1.184 0.715 1.942 1.697 2.846 2.685
5 O 1.516 0.916 2.25 1.898 3.129 2.886
3l0 1.953 1.18 2.665 2.16 3.154 3.150
*L.M. stands for the conventional limit equilibrium
method, and U.P., for the upper bound method proposed
in this Section.
REFERENCES
Chen, W. F. 1975. Limit analysis and soil plasticity.
Elsevier Scientijk Publishing Co., New York.
Donald, I and Chen, 2. Y. 1997. Slope stability
analysis by the upper bound approach:
fundamentals and methods. Canadian
Geotechnical Journal, 34: 853-862.
Hoek, E. and Bray, J.W. 1977. Rock slope
engineering. The Institute of Mining and
Metallurgy.
Pan, J. Z., 1980. Stability analysis and landslide
assessment for structures. Water Resources
Press, Beijing. (In Chinese).
Sloan S. W. 1988, Lower bound limit analysis using
finite elements and linear programming. Inter-
national Journal for Numerical and Analytical
Methods in Geomechanics, 12, 6 1-67.
Sloan S. W. 1989, Upper bound limit analysis using
finite elements and linear programming. Inter-
national Journal for Numerical and Analytical
Methods in Geomechanics, 13,263-282.
 Slope Stability Engineering, Yagi, Yamagami& Jiang 0 1999 Balkerna, Rotterdam, ISBN 90 5809 079 5

Stability analysis of rockfill dam and retaining wall constructed

on dip bedrock

Chen Shengshui & Fang Xushun

Department of Geotechnical Engineering, Nanjing Hydraulic Research Institute, People’s Republic of China

ABSTRACT: Modified Janbu’ s general slice method is used to calculate the stability of the downstream shell
of rockfii dam along the dip bedrock, the in - situ direct shear test are carried out to determine the shear suen,oth
between rockfill and the bedrock. Results show that the stability safety factor does not meet the desired value.
As a result, a concrete gravity retaining wall is used to cut the long dip bedrock, and modified Coulomb theory
is used to analyses the stability of gravity concrete retaining wall along the dip bedrock and the soft intercalated
layer in the bedrock again. Results show that the stability of the retaining wall is sufficient.

1 INTRODUCTION and k d m k surface is one of key factors to determine the

A lOOOMW pumped storage hydro - plant will be
built in %a, the major dam of upper reservoir con-
structed on the dip bedrock is a remforced concrete
face rockfill darn. The average gradient of bedrock
surface is about 1 : 1 . 5 , and the maximum height is
about 270111, see Figure 1 . Therefore, the stability of
downstream shell is one of key problems. As a result,
two kinds of type of downstream shell is chosen at
preliminary design stage, one is that the downstream
shell is all rockfill, the other one is that a gravity con-
crete retaining wall is built to cut the long downstream
shell in order to increase its stabllity. In what fol-
lows, the stability of downstream shell of two kinds
of type is discussed respectively.
stability of the downstream shell of rockfill dam along the
dip k d m k surface. Tnus, an in-situ dimt shear test is
carried out to m m the shear stren,&. The curve of
shear stress and dsplacexmt, and the shear stren-a index
between the n8mkfZI and weak warherd quarti! sand-
stone and strong h e r e d gmxteprphyry are shown in
Fi,.ure 2. and Fi,.ure 3 respectively. It is found that the
shear mn,& betwen rockfill and tedrcck is obviously
less than that of mkfill itself ( G x n & Guan 1 5 9 ) .
’Therefore, the interface of downstream shell and k d m k
b e c m of the mt p b l e slide plane. The stabdity
analysis of downstream shell along be$rock suface is irn-
plemnted by rmm of d e d Janbu s general slice
mthd. In the mthd, the following assqtions are
made (see Fi,oure 2):
Figure 2 Forces applied on soil slice

1.slide plane has saT1z: safety factor;

It is wll known that the shear strength between mkfill ~ pint of vertical load AW and sLide plane
3 . 3 CITES

329
is also the acting pint of reactive force AN;
3.?he push E is linear distribution, and the distance
between its acting pint and the bottom of soil slice equals
1
- w

3
Based on the esphbrium of force and rrmmx, the
following expsiions can be obtained for i soil slice:

- ( p + t)Axtga (1)
when the width of soil slice is srr!all enough, then

where t = AT/a?G,p = y z , y is the unit wight of soil,

hi and h i + l is the distance betwen acting pint of push
f a E and the bottomof soil slice, U is the pressure of
pore water. As a result, the expresson of stability safety Figure 3 . Direct shear test results
(benveen tuff rock-fill and weak weathered quartz sandstone)
factor F , can be given:

F
3 -
2 [ cllz + (pAz + AT - u h ) t g 4 ~[ (1 + $ a ) / ( 1+ F)]
( p ~ +z ar)tga
, = I

(3)
?he iteration m t h d will be q l o y e d to calculate
the stability safety factor F,. In the calculation, the acting
force E and T betven soil slices are obtained from lower
position to uppx position, different from Janbu’ s general
slice IrEthd.
Moreover, the simpl5ed Bishop’ s mthod is em-
ployed to a n a l p the stability of mkfill, the slide plane
in rockfill is detemdned by t d and m.In above calcu-
larion, the shear strengh between rock-fiu and w a k
weathered quartz sandstone or granite - porphyry is used
respectively for merent bedrock (see E ,- 3 and Fi,a
3 ) , the inm~ockingforce of mkfill c = W a , internal
firction angIe $ = 4P. It is worth to indicate that the seep- Figure 4. Direct shear test results
(between tuff rock-fill and strong weathered granite-porphyry)
age force applied on tedmk surface and rockfill is not
considered in the calculation. ?he calculation result shows
that the safety factor is 1.34, less than 1.50 requested by 9m,the average height is about 28.9m, the total lengch of
the Chinese design code of earth and mm darn. ?he axis of retaining wall is about 4 1 3 . k . As a result, che
combined slide plane of typical section campnding to stability of downstream shell tlansfers into the stabil~tyof
the rninimm safety factor is show in F i
m
, 1. retainhg wall. It is well known that the stability of retain-
ing wall contains the following two aspects:
3 WILITY ANALYSIS OF REc4TMNG MI?vL I. ?he stability of retaining ~+aLlalong the kdrcck
SLlIface;
Considering the long and steep k d m k surface of down- 3,. ?he stability ofretaining wall along the softinter-
stream shell, a gravity concrete retaining wall is sugested calated layer in k h x k .
to M d in order to increase the statxlity of downstream Figure 4 gives three typical Sections that mml the
shell and d u c e the volunx: of midill. The distance be- stability of retaining wall along the k d m k surface. Fig-
twen axis of ~tainingwall and axis of mjcx damis about ure5 is a typical section, it indicates the disolbunon of
1&, the maxirrmm height of retaining wall is about 62. faults and soft inferabed layers in becjtrock.

330
3.1 stability d y i s qf retauwzg ud &ng beasock srqfpace
Generally, for ' L' type retaining wall, the connect-
ing line BC of wall top and wall toe can be approxi-
mately regarded as the wall back (Guang 1996). Ac-
cording to Coulomb theory, the angle between direc-
tion of active soil pressure E, and normal direction of
BC plane equals to the internal friction angle of rock-
fill. As for slide plane AB, it can be determined
based on the principle that the active soil pressure E,
induced by rockfill reaches the maximum. Thus, the
following expressions can be obtained from Figure 4:

J 1 + tg(a + $)ctg( 4 - a ) ] - tg($ -13) (7)

+ ctg( $ -a) 1
Where G is the rockfill weight of slide mass AI3C
(D) , 6 is the angle between slide plane AI3 and hori-
zontal plane. It is worth to note that the obtained by
above expressions less than the dip angle of bedrock
surface for section 3 , therefore, the interface of
bedrock and rockfid becomes of slide plane. Accord-
ingly, the direction of acting force applied on slide
plane is determined by the friction angle between
rockfii and bedrock surface.
Now, the active soil pressure E, induced by slide
mass ABC(D ) can be calculated by means of vector
mangle method. Moreover, the lirmt equrlibrium the-
ory of rigid body can be used to calculate the stability
safety factors of retaining wall. In stability analysis, Figure 5 Sraoilip anaihsis o i r m i n i n g nail along becrock surhcs

the unit wei&t of rockfii and concrete are 31.5kN/

m3 and 23,5kN/rn3 respectively, the internal friction Table 1 Stabdity analysis results
angle of rockfii 4 = 42", the friction angle between
rockfill and bedrock $ = 33.1' , the cernendng power 1 34609.8 6.42 3.93
between concrete retaining wall and bedrock c =
2 30479.7 8.11 1.75
GOOkPa, the hction factor f = 0.8 . Consider that the ~~ ~~

dip contact face of retaining wall and the bedrock is 3 9772.8 10.8 6.50
possible tensile stress zone, only the cementing power
and friction force of horizontal contact face between tion 3 have an excessive safety factor. As a result,
reraining wall and bedrock are considered. The active the toe slab length of retaining wall may be reduced in
soil pressure E, and stability safety factors F,, Fo a- order to reduce the volume of concrete.
gainst sliding and overturning of retaining of above
tkree typical sections are listed in table 1 . It is found 3 . 2 Stability analysis of retaining waLL along s o j In-
that the stability safety factors of retaining wall along tercalated layer and fault in Bedrock
bedrock surface are lager than 3 . 0 requested by (31-
nese design cede, especially , the section 2 and sec- Fi,me 5 indicates that interconnected Fig, F4 faults

331
and St20, St21 soft intercalated layers exist in the foun- obvious influence on the deep slide stability of retain-
dation of retaining wall, therefore, it is necessary to ing wall ,the 3", 5" and 8" dip angle of soft interca-
analyses the deep slide stability of retaining wall along lated layers are chosen to cany out the sensitivity
faults and soft intercalated layers. At first, on the ba- analysis. Calculation results are listed in table2. It is
sis of Coulomb theory, the active pressure E, applied found that the stability increases with increasing depth
on wall back HI is obtained. In the calculation, fault of soft intercalated layer, and the stability safety fac-
F19 is redarded as slide plane of slide mass AHI. For tor F, = 1.30 when the dip angle of soft intercalated
conservative aim, the direction of acting force R ap- layer St20reaches 8", less than 1 .50 requested by Chi-
plied on slide plane AH is determined by the friction nese design code of earth and rockfiu dam. As a re-
angle $ r of fault FI9. Then, the active soil pressure sult, the anchoring measures should be taken to ensure
E, is regarded as external force, the stability analysis the deep slide stability of retaining wall.
of retaining wall along the soft intercalated layers and
faults is canied out. Table 2 D e e ~slide stabilitv safetv factor
The stability analysis of retaining wall along fault Slide type Dip angle Safety factor
F19 and F1 is implemented by means of equivalent 3" 2.05
safety factor method (Lu 1984) . In the calculation, HD-DE 5" 1.67
block DBE and EBC are assumed in limit equilibrium
8" 1.30
state, the weight of block MDEJKL is assumed as the
external load, the cohesion and friction angle of fault 3" 2.93
FI9 and F4 c = 30kPa, $ = 17.7",the unit weight of HF- FG 5" 2.19
bedrock is 24. 5kN/m3 . Calculation result shows the 8" 2.08
stability safety factor F, = 3.44. Therefore, the sta-
bility of retaining wall along fault F19and F1 is suffi-
cient. 4 CONCLUSIONS
Conventional Limit equilibrium method is used to
calculate the stability of reraining wall along soft in- Based on above analysis results, the following conclu-
tercalated layer St20and Sbl . In the calculation, HD sions can be obtained:
or HF plane is assumed in critical unjoint state. The 1 . The shear stren,gh between rockfill and
shear stren,gh of soft intercalated layer Stzo and St21is bedrock surface is less than the shear stren,gh of rock-
determined by in - situ test, the cohesion and friction fill itself, the dip bedrock surface conn-ol the stability
angle c = 30kPa, 4 = 15.6". Consider that the dip of downstream shell of rockii dam.
angle of soft intercalated layer of Sb0 and St21has 2. The stability of proposed concrete reraining
wall along bedrock surface is sufficient. However,
the deep slide stability of retaining wall along shallow
soft intercalated layer does meet the requested value
when its dip angle a = 8". Thus, the anchoring engi-
neering measures must be taken.

REFERENCES

S.S . Chen & B . H. Guan (1999). Study on shear

snen,& between rockfill and bedrock surface.
NHRI Rport.
F. N . Guang ( 1996) Design of Retaining Wall. Chi-
nese Hydropower Press.
S . S . Lu (1984) Rock Mechanics and Engineering.
Hohai University Press.

Figure 6 Srabilip analysis ofreramng n a i l along iauirs and soft layer

332
 Slope Stability Engineering, Yagi, Yamagami & Jiang 0 7999 Balkema, Rotterdam, ISBN 90 5809 079 5

Soil-water coupling analysis of progressive failure of cut slope using a strain

softening model
T.Adachi, EOka, H.Os& & H.Fukui
Department of Civil Engineering, Kyoto University,Japan
E Zhang
Department of Civil Engineering, Gifu University,Japan

ABSTRACTS: In the present paper, based on an elasto-plastic model with strain hardening and strain softening
(Oka, and Adachi, 1985), a finite element analysis of soil-water coupling problem is conducted to investigate
the progressive failure of a cut slope in a model ground. The mechanical behaviors of a cut slope, such as the
change of excessive pore-water pressure, the redistribution of stress in ground due to strain softening, the
propagation of shear band and the progressive failure are discussed in detail. It is found that a soil-water
coupling analysis based on an elastoplastic model with strain softening can simulate the progressive failure of a
cut slope.

1 INTRODUCTION are two types of time-dependent behavior, one is due

It is commonly known that soft sedimentary rock can
be linked to many geotechnical engineering
problems, such as the instability of cut slopes and
foundations. Generally speaking, the mechanical
behavior of soft sedimentary rock is elasto-plastic,
dilatant, strain hardening-strain softening and time
dependent. From a physical point of view, soft
sedimentary rock has an unconfined compressive
strength of 1-10 MPa and its mechanical behavior is
between the behavior of soil and rock. Cementation
plays an important role in its shearing strength.
Compared to other geological materials formed in
the same epoch, the void ratio is relatively large and
a special structure formed during sedimentation. Its
mechanical behavior during shearing is largely
dependent on the confined stress and the pore-water
pressure. The cementation existed in the structure,
deteriorates due to the breakdown of the structure.
Various processes, such as large shearing
deformation, cyclic drying-wetting or stress release
cause such a breakdown. The softening behavior of
soft sedimentary rock becomes a very important
factor in the long-term stability of cut slopes
It is known that progressive failure of cut slopes is
usually caused by the following two factors, namely,
(a) the deterioration of the structure of geologic
materials due to the swelling and the weathering
during and after the cut of the slopes, and (b) a
reduction in the apparent shear strength due to the
dissipation of negative pore-water pressure caused
by rapid excavation of the cut slope. In general, there
to the interaction of free water and soil skeleton and
the other is brought about by the inherent viscous
characteristics of soil skeleton.
Yoshida et al. (1991), Adachi and Yoshida (1993)
discussed the softening behavior of soft sedimentary
rock and the instability of cut slopes. Adachi et al.
(1 994) proposed an elasto-viscoplastic model that
can describe the aspects of time dependency, such as
strain rate dependency, creep and stress relaxation,
but also the strain softening of geologic materials. In
the present paper, a finite element analysis was
carried out to investigate the instability of a cut slope,
using the strain softening model. In the analysis, Biot
type solid-fluid mixture theory with effective stress
concept were adopted in order to take into
consideration soil-pore water interaction. Long term
stability and progressive failure of cut slope have
been studied due to strain softening and time
dependency due to the dissipation of pore water
pressure with small permeability of soft rocks.
2 ELASTOPLASTIC MODEL WITH STRAIN
SOFTENING
Oka and Adachi (1985) proposed an elastoplastic
model with strain softening, using a strain measure
expressed as
dz = (de,,de,,)"' (1)

333
where dz is an incremental strain measure. The stress It is assumed that plastic potential function is
history tensor is expressed by introducing a single expressed by the relation as
exponential type of kernel function, namely,

where zis a material parameter which expresses the

retardation of stress with respect to the time measure where Sq is the deviatoric stress tensor and omis the
and a;/ is the effective stress tensor. The total strain mean stress and M is the parameter that controls
increment tensor is composed of the elastic and the development of the volumetric strain. omb, the
plastic components: plastic potential parameter, is determined by
isotropic consolidation tests and takes the value of
+ d&T the pre-consolidated stress.
d E q = dE,f (31
The following relation expresses a boundary
The plastic strain increment is given by the non- surface, which defines the normally consolidated
associated flow rule as, and overconsolidated region as shown in Figure 1:

fb= i + g , n l n [ ( o , n +b)l(o,, +b)]=O (11)

where & is the plastic potential function, fy is the Based on this relation, the value of M in equation
yield function and H is a positive function 10 can be determined based on the boundary
describing the strain hardening-softening character- surface:
istics. The subsequent yield function is defined by

L,= q ' - K = O , 7' = .,/-/U:, (5)

where S*,, is the deviatoric stress history tensor, b is
the plastic potential parameter that represents the
extensive. o',,~is the mean stress history. K is the
strain hardening and softening parameter and is
given by the following evolution equation:

In the case of proportional loading, it can be

integrated as

Figure 1 Plastic potential and boundary surface

y p = jdyP
Combining Equations 4, 5, 6, 8, 10 and 12, the
where 8,is a deviatoric plastic strain tensor. G' and following equation for the plastic strain increment
h f fare the strain hardening-softening parameters. tensor can be derived:
For the yielding function defined in Equation 5 ,
the following Prager condition should be satisfied,

dfy = d 7 * - dK = 0
The loading condition is given by the following
relations:
# 0 if f J= 0, dfy > 0 loading
= 0 if A = 0, dfy = 0 neutral
= O if f,= 0 , d&, < 0 unloading
(8)
+b)
A = M;' IG'I(M; - q*)' , q,, = SV/(o,,,
8 parameters are involved in the model and they can
be determined with the conventional triaxial
compression tests. Detail description of the
determination of these parameters can be referred to
references (Oka and Adachi, 1985)

334
3 FINITE ELEMENT ANALYSIS OF PROGRESSI- stress field of the model ground is a gravitational
VE FAILURE I N CUT SLOPE OF MODEL field with a value of K0=0.43. In the calculation, the
GROUND excavation of the slope is completed within one
month, simulated by releasing the initial stress with
In this paper, a soil-water coupling finite element 500 steps (0.2%/step, 6000 sec/step). After the
analysis based on the model introduced in section 2 completion of the cut slope, 30000-step calculation
is conducted to analyze a progressive failure of a cut with a time interval of 6000 seclstep is conducted to
slope in a model ground of soft rock. simulate the dissipation of the excessive pore-water
For strain softening material, when it is subjected to pressure caused by the excavation of the slope.
a shearing force, it will firstly exhibit strain
hardening. After it reaches a peak value, strain
softening will occur and if the shearing deformation
continues, it will finally reaches a residual state. In a
boundary-value problem such as an excavation, a
stress concentration will occur, which often results in
a localized softening zone. In this case, because of
the strain softening, the stresses around the zone will
redistribute to satisfy the equilibrium equation. For
this reason, the strain-softening zone will develop
gradually due to the redistribution of the stresses. If
the development of the zone stops, an overall failure
of ground will not occur. However, if the zone
develops to such an extent that the surround ground
cannot bear any more stress shifted from the
softening zone, then an overall failure will occur and
it is called as progressive failure. Table 1 shows the
material parameters of the ground.

Table 1 Material Darameters of model ground

Young' modulus E Residual stress ratio
1.oo
(MPa) M'f
Poisson Ratio v 0.33 b (MPa) 0.87
Density y' (g/cm3) 1 .O - (MPa)
omh 16.0
Permeability k (cdsec) 1O-' M ," 1.25
Strain-softening
45.2 z 0.025
parameter G ' (MPa) Figure 2 Comparison of stress-strain-dilatancy
relations obtained from theory and FEM
Figure 2 shows a comparison of stress-strain-
dilatancy relations of the model ground in
conventional triaxial compression and extension
condition obtained from the theory and the finite
element analysis. It is found that the calculated
relations agree well with the theoretical ones, which
implies that the finite element analysis is convincible.
Figure 3 shows the finite element mesh adopted in
the analysis of the cut slope. The size of the ground
is 1000 m in length and 360 m in depth. The height
and the slope gradient of the cut slope are 150 m and
5:l respectively. The numbers of the node and 4-
node isoparametric element are 1120 and 1053 Figure 3 Finite element mesh
respectively. In the soil-water coupling analysis, an
excessive pore-water pressure is taken as the In order to fully study the process of the progressive
unknown variable. The boundary condition is given failure, the following two points are discussed,
as: (a) for displacement, it is fixed at the bottom in (1) Overall changes of the field quantities such as
both x, y directions and is fixed at the vertical plastic strain, excessive pore-water pressure and
boundaries in x direction; (b) for excessive pore- stress state
water pressure, the ground surface is the drainage (2) Time history of stress, strain, strain rate and
boundary and the others are impermeable. The initial dilatancy of individual element.

335
3.1 OVERALL VIEW OF CHANGE IN FIELD
QUANTITIES IN PROGRESSIVE FAILURE

Figure 4 shows the change of the distribution of

stress-history ratio. In Adachi-Oka's model, the
failure state or the residual state is described by the
equation as

Figure 5 Change of plastic shear strain

Figure 4 Distribution of stress-history ratio with time

In'the residual state, the cohesion or the cementation

of the geologic material tends to be zero and only the
frictional strength that depends on a confining stress
remains. In this case, the stress-history ratio will be
the same as the stress ratio and takes the value of
In the figure, t=O means the time immediately after
the completion of the excavation. At the beginning,
the value of q* is kept as a constant of about 0.80.
4.67 years after the completion of the excavation, it
increases abruptly at the toe of the slope and then the
phenomenon propagates to other regions. 5 month
later, a failure band formed from the toe to surface,
in which the q* reaches to the residual value. Finally
an unstable block appears in slope, taking the band
as its boundary connecting the stable area of ground.
Figure 5 shows the change of the distribution of Figure 6 Change of excessive pore-water pressure
plastic shear strain. Similar to the stress-history ratio,
shear strain develops very quickly in a zone at the Figure 6 shows a change of distribution of excessive
time of 4.67 years. The propagation of the shear zone pore-water pressure with the time. At the time
in which a large shear strain occurs takes the same immediately after the completion of excavation, a
form as the failure zone shown in Figure 4. large excessive pore-water pressure developed in the

336
ground, resulting in an apparent shear strength that
keeps the slope stable. After 4.67 years, it dissipated
gradually and the failure zone shown in Figure 4
began to develop due to the loss of the apparent
shear strength. At the moment, the excessive pore-
water pressure reached its minimum value. When the
shear zone formed, strain softening occurred and a
dilatancy develops in some area, resulting in an
increase of excessive pore-water pressure as shown
in Figure 6.
From Figures 4-6, it is clear that because of the
dissipation of an excessive pore-water pressure due
to excavation, the ground of cut slope lost its
apparent strength and a strain softening occurs in
some area. Then a redistribution of stress leads to a
start of the propagation of the softening zone,
resulting in the formation of the failure band and the
shear zone. The failure band develops gradually and
finally a global failure in cut slope happens.
Figure 8 shows the change of stress ratio with time
and the stress-strain relations. It is also known that
the stress ratio increased very slowly but did not
change for a long time, meanwhile the plastic strain
was very small. When the ratio reached its peak
value, strain softening occurred and the plastic strain
developed very quickly, resulting in a sharp
reduction of the stress ratio. It is also found that the
time when strain softening occurs is different for
different elements, showing a clear propagation of
the softening zone. In group A, the softening
propagated from inner to outer, while for group Byit
propagated from the lower to the up part. In both
cases, the softening started from the shear band.

3.2 TIME HISTORY OF FIELD QUANTITIES IN

THE ELEMENTS

In order to clarify the mechanism of the progressive

failure, the time history of field quantities such as
stress ratio etc. in individual element is studied in
detail. Two groups of elements located in the shear
zone, one is grouped along a horizontal line and the
other is grouped along the slope surface, are
considered.
Figure 7 shows the change of stress-history ratio
with time in the elements. Obviously, the stress-
history ratio kept as constant for a long time and then
increased abruptly to the failure line.

Figure 8 Time change of stress ratio and stress-strain

relation

Figure 7 Change of stress-history ratio with time Figure 9 Relation of strain rate with time

337
Figure 9 shows the relation of strain rate with time. It
is found that although the strain softening occurred at
different time for different elements, the creep failure
that is usually marked by an acceleration of strain
rate occurred at the same time in all elements,
implied that the global failure does not depends on a
single element, but depends on the deformation of
surrounding ground.
Figure 10 shows the stress and stress-history path
of element 423. The stress at the end of excavation
has already excceed the residual line, while the stress
history is under the line, showing that it is stable at
the moment. Then the stress history and the stress
move towards the failure line and finally they
reached the line and failed.
Figure 10 Stress and stress-history path
Figure 11 Change of stress and strain in element 423
338
Figure I1 shows the time history of the stress ratio,
the stress-history ratio, the volumetric strain and the
excessive pore-water pressure of element 423. The
figure gives a clear description of the change in these
valuables. The strain softening of the element always
accompanied with dilatancy, resulting in an increase
of excessive pore-water pressure and an acceleration
of the strain rate
4 CONCLUSION
Based on the numerical analysis of progressive
failure in a cut slope conducted in this paper, the
following conclusions can be obtained
(1) A cut slope of soft rock may remain stable for a
long time after the completion of a rapid excavation.
Sometime, however, a failure band may forms
abruptly in the slope and then slope may fail
overwhelmingly at a few months.
(2) The propagation of the shear zone in cut slope
takes the same form as the propagation of the failure
zone.
(3) The progressive failure in a cut slope is caused by
the redistribution of a stress due to the stain softening.
(4) Before a global failure of cut slope, an
acceleration of a strain rate, and an increase of a
negative excessive pore-water pressure that has
dissipated long time before, can be observed in a
localized area.
( 5 ) By conducting a soil-water coupling analysis, it is
possible to simulate the time dependent behavior of
geologic materials due to pore water-soil interaction.
(6) The progressive failure of cut slope can be
simulated with a soil-water coupling analysis based
on an elasto-plastic model with strain softening.
REFERENCES
Adachi, T., and Yoshida, N., 1993. Analysis of
excavation in clay shales with high KO stress states,
Proc. Int. Symp. on Application of Computer.
Mathematics in Rock Mechanics and Engrg, Xian,
China, pp835-842.
Adachi, T., Oka, F. and Zhang, F., 1994. An elasto-
viscoplastic constitutive model with strain softening
and its application to the progressive failure of a cut
slope, AMD-Vol. 1 83/MD-Vo1.50, Material
Instabilities: Theory and Applications, ASME,
pp.203-217.
Oka, F. and Adachi, T. 1985. A constitutive equation of
geologic materials with memory, Proc. 5th Int. Conf.
on Numerical Method in Geomechanics, Balkema,
V01.1, pp.293-300.
Yoshida, N., Morgenstern, N., and Chan, D. H., 1991,
Finite-element analysis of softening effects in fissured,
overconsolidated clays and mudstones, Canadian
Geotech. Jour., Vo1.28, pp.5 1-6
 Slope Stability Engineering, Yagi, Yarnagarni& Jiang 0 1999Balkerna, Rotterdam, ISBN 90 5809 0795

A back analysis in assessing the stability of slopes by means of surface

measurements

S.Sakurai
Hir-oshimuInstitute oj Technology, Jupun
T. Nakayama
Kohe University, J q m n

ABSTRACT: This paper deals with a back analysis method for assessing the stability of slopes which can
determine not only a sliding plane, but also the strength parameters, such as cohesion and internal friction angle,
by using displacements measured at the slope surface alone. This method makes it possible to use a GPS
surveying for monitoring the slopes. The method is based on a concept of strain-induced anosotropic damage
of geomaterials, and formulated by finite element method. Furthermore, taking into account the critical strain
of geomaterials, the strength parameters can be determined, so that a factor of safety is easily evaluated by this
method.

1INTRODUCTION This paper addresses the question of how to

The stability of slopes is in general assessed by a
factor of safety. In this method, strength parameters
such as cohesion and internal friction of angle of
concerned geomaterials are most important. The
laboratory tri-axial tests on small specimens which
have been most commonly used may be adequate for
either soils or soft rocks. However, the strength
parameters of hard rocks are difficult to obtain by
using a small specimen in a laboratory. This
difficulty is because the strength of hard rocks
entirely depends on joints and joint systems existing
in rock masses. Therefore, the effect of joints on
the strength of rocks must be taken into account.
For this purpose, in-situ tests such as direct shear test
may be useful, but it is costly.
As an alternative for the in-situ tests, field
measurements by using extensometers and
inclinometers are carried out during the excavation of
soils and rocks. The objectives of the field
measurements are first to monitor the stability during
excavation of the concerned structures like tunnels
and slopes. The idea of monitoring arises because
the real behavior of structures under excavation quite
often differs from the one predicted at the design
stage. In such a case that the real behavior differs,
the original design must be modified. This
evaluation and modification of the initial design, then,
is the second objective of field measurements. In this
process of evaluation and modification, the
question of how to design parameters such as
cohesion and internal friction angle arises.
monitor the stability of slopes and how to assess the
strength parameters, cohesion and internal friction
angle. A back analysis is described which can
determine the location of sliding planes, and can
evaluate the cohesion and internal friction angle from
field measurement results. Since displacement
measurements are most commonly carried out, the
field measurement results are usually displacements.
This proposed method is also used for interpreting
the measurements results of GPS surveying.
2 MODELING OF ROCKS
It is assumed that the concerned rocks are highly
jointed, so that the continuum mechanics approach
can be adopted. The constitutive equation adopted
in the back-analysis is based on the concept of stain-
induced damage (Sakurai et al, 1998). The strain-
induced anisotropic damage is defined in such a way
that the geomaterials start to yield as the shear strain
along the slip plane reaches a certain level, the slip
planemay occur along the direction of the maximum
shear strain. However, slip does not occur
completely unless the maximum shear strain becomes
quite large, Therefore, in this paper we call it a
“potential slip plane.”
When the principal stress directions are known, the
direction of a potential slip plane is determined,
considering the Mohr-Coulomb’s failure criterion.
The conjugate slip plane is also defined as shown in
Fig. 1. The constitutive equation expressed in the

339
local coordinate system x’ - y ’ is shown for two-
dimensional plane strain condition in Eq.(l):

Fig. 2 Parameter m (= U E )versus shear strain.

Fig. 1 Conjugate slip planes under a triaxial
compressive stress condition.
11-Y Y 0
where E and Y are Young’s
Poisson’s ratio, respectively. The
the ratio of shear rigidity to Young’s
anistropic damage parameter d is
follows:
It is noted that there are two ways for the cause of
displacement in slopes. One is due to the reduction of
stress caused by excavation. The other is due to the
reduction of strength of soils and/or rocks. In other
words, in the second case the displacements occur as
the parameter of m decreases, even though there is
no excavation. This type of decrease of the
parameter m may be caused by weathering.
However, it should be noted that no matter what
cause may be the increase of shear strain causes the
reduction of the parameter m (see Fig. 3).
1
0 ! (2)
2(1+
1 7
U )
modulus and
parameter m is
modulus. The
then defined as Fi
m

where Y is Poisson’s ratio. Laboratory experiments

Fig. 3 Relationship between increments of
show that the parameter m is expressed as a function
parameter m and shear strain.
of the maximum shear strain in the following general
form. One of the results for sand is shown in Fig. 2.
It is worth mentioning that Young’s modulus remains
In this study, the finite element method is adopted.
almost constant, while shear modulus decreases as a
When the parameter m decreases in a certain
function of shear strain.
increment, say Am (see Fig. 3), the external forces
Eq. (2) can be transformed to a global coordinate
acting at each nodal point, which are the equivalent to
system as follows:
the reduction of m values, can be represented by the
following equation:
(4)
where [ T] is a transformation matrix. (5)

340
 . .. .
where [ B ]is a matrix connecting strain in an element
with displacements at nodal points of the element.

{cr} is stress induces by gravitational force.

Sakurai and Hamada (1996) demonstrated that the

constitutive equation shown in Eq.(l) can simulate
well three different types of deformational modes of
slopes, that is (1) elastic, (2) sliding and (3) toppling.

3 PROPOSED METHOD FOR PREDICTING A

SLIDING PLANE
A method for determining a sliding plane from
displacement vectors measured at the ground surface
is proposed. Though the method may be extended
to a three dimensional case, a two dimensional case is
illustrated here.
Fig. 5 Application of the proposed method for
predicting a sliding plane from the ground surface
displacements
displacement vectors as the measuring value, a
sliding plane is predicted by using the proposed
method. It is obvious that the predicted sliding plane
falls exactly within the assumed damaged zone.
This means that the proposed method is well
applicable to accurately predict a sliding plane from
surface displacements alone.

4 BACK ANALYSIS OF STRENGTH

PARAMETERS

As already mentioned the stability of slopes is usually

assessed by the factor of safety. The determination
Fig. 4 Schematic diagram for the procedure of the of factor of safety generally requires strength
proposed method. parameters such as cohesion and internal friction
angle. These strength parameters are difficult to
evaluate at the design stage because there are many
Consider the displacement of vectors measured along uncertainties involved in geological and
the surface of slopes, as shown in Fig. 4. It is
assumed that we can find the edge of the sliding plane geomechanical characteristics of geomaterials. To
at point A, considering displacements of the ground overcome these difficulties, field measurements are
surface. A sliding plane starts from the point A carried out for the monitoring of slope stability during
parallel to the displacement vector ul, until hitting its excavation. Monitoring displacement
point B on a straight line which is perpendicular to measurements by using extensometers, inclinometers
the slope surface and passes through point E located and surveying are commonly used. The question is
at the center of the two measuring points @ and 0. however how to determine the strength parameters
From point B, the sliding plane stretches parallel to from the measured displacements.
the displacement vector u2 until hitting point C. There are two different approaches available to
After that we repeat the same procedure as before answer this question: (1) a non-linear back analysis in
until arriving at the last point D. the determining strength parmeters directly from
In Fig. 5 w e demonstrate the adequacy of the displacement measurements, and (2) a linear back
proposed method. In this figure the displacement analysis in which the moduli of deformation such as
vectors u1-ul0 were obtained by the finite element Young’s modulus and shear modulus, is firstly
method assuming a damaged zone indicated as the obtained, and the strength parameters are then
shaded zone in the figure. In this damaged zone, determined from the back-analyzed deformation
the parameter m decreases. Considering these

34 1
moduli by considering the correlation between the
strength and deformability of geomaterials. This
paper uses the second approach.
Sakurai (1983) demonstrated that there exists a
good correlation between the strength and
deformability of geomaterials like soils and rocks.
The ratio of uniaxial strength to Young’s modulus is
defined as “critical strain”, which is a function of
Young’s modulus.
It is a great advantage for the critical strain that
there is no scale affect, so that if Young’s modulus is
known, critical strain can be immediately evaluated.
Once the critical strain together with Young’s
modulus are known, uniaxial strength can be
evaluated by the definition of critical strain, and Fig. 6 The relationship between critical shear strain
cohesion of the materials can be obtained by and shear modulus.
assuming the internal friction angle. The procedure
of this back analysis is as follows:
(5) Cohesion c is then determined by the following
(1) The parameter mi and m (see Fig.3) are equation assuming the internal friction angle q5 :
determined by a back analysis of the displacement
vectors measured at the ground surface. In this
back analysis, m; and m may be determined as to
minimize the following equation:
(6) The factor of safety can then be calculated by a
conventional limit equilibrium method. The
procedure of this back analysis is illustrated in Fig. 7.
(7)
2
i=l
Uirn

where U; and uic are measured and computed

displacements at measuring point i , respectively,
and N is the total number of measuring points.

(2) Since Young’s modulus E has also been

determined by the back analysis, shear modulus G
can be evaluated by
G Sheor Hodu I U S
G = mE (8) (a) Relationship between shear modulus
(3) The critical shear strain y , is determined by the and critical shear strain
following equation (Sakurai et al, 1993):

where E , is the critical strain and Y is Poison’s ratio.

The critical shear strain y, is plotted in relation with
shear modulus G, as shown in Fig. 6. Thus, from
this figure the critical shear strain can be evaluated
from shear modulus determined by Eq. (8).
I I
>
0
(4) Shear strength zccan then be determined by the
following equation: (b) Shear strength

Fig. 7 Schematic diagram for critical shear strain

( The definition of shear strain is y , = ‘A
)
and shear strength

342
5 CONCLUSIONS

(1)To represent the deformational behavior of slopes,

the parameter m, whose physical meaning is the ratio
of shear modulus to young’s modulus, was proposed.
Considering this parameter a constitutive equation has
been proposed.

(2) A method for determining the location of a sliding

plane has been described. This method requires the
displacements at the ground surface alone be known.
This means that this method can be used for
interpreting the results of GPS surveying being
carried out during the monitoring of slopes.

(3) A back analysis method for evaluating the

strength parameters such as cohesion and internal
friction angle from measured displacements have
been described. In this method, the parameter m,
together with the critical strain plays a key role. It is
a great advantage that according to this method, the
strength parameters can be evaluated by displacement
measurements which are commonly carried out
during monitoring of slopes. Once the strength
parameters are obtained, the factor of safety can
easily be evaluated.

REFERENCES

Sakurai, S., I. Kawashima and T. Otani, 1993. A

criterion for assessing the stability of tunnels,
EUROCK’93, Lisboa, 969-973
Sakurai, S. and K. Hamada, 1996. Monitoring of
slope stability by means of GPS. Presented at
the 8th Intl. Sympo. Deformation Measurements,
Hong Kong, June 25-28.
Sakurai, S., A Hiraoka and K. Hori, 1998, Strain-
induced damage of rocks, Proc. 3rd Intl. Conf.
on Mechanics of Jointed and Faulted Rock,
Vienna, 21-27

343
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 Slope Stability Engineering, Yagi, Yamagami 8 Jiang 0 1999 Balkema, Rotterdam, ISBN 90 5809 079 5

Numerical simulation of excavation of the permanent ship lock in the Three

Gorges Project
Yongxing Zhang & Ke Yin
Chongqing Jianzhu Universiv, People’s Republic of China

ABSTRACT: According to the characteristics of rock mass slope of the permanent ship lock in the Three
Gorges Project, it is simplified to be orthotropic. Based on the characteristics of unloading, the law of
mechanical parameters changing with the degree of unloading caused by slope excavation is presented in this
paper. The software of unloading nonlinear finite element analysis of rock mass excavation named UNLOAD
has been programmed. Numerical simulation of excavation of the rock mass slope of the permanent ship lock
has been done by this program. The results are consistent with the in-situ observed data. There are differences
of several orders of magnitude between these results and those of other past researches.

1 INTRODUCTION For examples, in-situ gaps of cracks in rock mass of

The permanent ship lock is one important part of the
Three Gorges Project. It is also one of the biggest
navigation buildings over the world. Its charac-
teristics are:
(1) Huge dimension The total length of the lock
is 1617m, and the effective lock room dimension is
280mX34mX5m. The ship lock is located in a
trough valley excavated deeply in granite rock mass.
(2) Obvious anisotropy There are many kinds of
structural planes in the bedrock that is mainly
composed of granite. The structural planes include
dikes, faults, joints and cracks. These structural
planes, especially those have large inclinations,
make the rock mass anisotropic.
(3) High initial stress Because of complex
geological conditions, the initial stress is up to
10Mpa. After rock mass excavation, the initial
stress-unloading area is wide, and the secondary
stress field is induced in the new rock slope. The
deformation of rock mass is relatively large.
(4) Obvious horizontal unloading The river valley
topography of the Yangtze River makes the rock inass
unload in the East, West and South directions, which mainly
occurs in the Huangling anticlinal plagio-granite. The
dominating unloading direction is perpendicular to the axis
of the lock slope. It is typical rock mass unloading and
natural unloading is coupled with artificial unloading.
The main problem in past analysis of rock slope
stability or stress-strain relationship is that the value
of deformation obtained from computation or lab
test is much less than that from in-situ observation.
Lian Zi Ya precipice, which is in the Three Gorges
of Yangtze River, are over 2m, but results of past
computations and lab tests are only about 3cm. The
actual deformation of the slope of Jin Chuan Open
Mine is already over 5m, but results of past compu-
tations and lab tests are only about 20cm. Obviously,
these results can not correctly represent the
mechanism of slope deformation and damage.
The main reason of above problems is that there
are many joints, cracks and the existence of initial
stress in rock mass, which make the stress-strain
relationship different for loading and unloading. The
rock mass deformation of unloading is much larger
than that of loading. When tensile stress appears in
rock mass, the difference is even more evident. In
past research it is assumed that the constitutive
relationships under loading and unloading condition
are the same. The relationships are also thought to
be the same when rock mass is subjected to tensile
and compressive stresses. Generally, the mechanical
parameters used are obtained from loading
mechanical tests as well.
According to the actual situation of the high
rock mass slope of the permanent ship lock in the
Three Gorges Project, the mechanical characteristic
of unloading with slope excavation is studied in this
paper. The numerical simulation has been done for
excavation of the high rock mass slope of the
permanent ship lock.

345
2 MECHANICAL CHARACTERISTIC OF SLOPE
EXCAVATION AND UNLOADING
In the geological history a sequence of architectonic
actions have made various joints and cracks in rock
mass of the ship lock, so the strength of rock mass is
much less than that of the rock. In the tests for the
in-situ deformation curve or strength of rock mass,
or when rock mass being excavated, the stress-strain
curve of rock mass is a continuation of the
architectonic loading and unloading curve, as shown
in Figure 1. Because of the architectonic actions, it is
assumed generally that the initial state of stress is at
point a in the figure. Due to unloading in rock
mass, the stress-strain relationship will advance
along the unloading curve abc into the tension
region. As to loading in rock mass, it will be along
the curve ab'c' to the compressive strength of the
rock mass, point c' . It is seen in the figure that the
initial modulus of loading is much larger than that of
unloading, and the strength point c' is the residual
strength of rock mass.
In 1986, in-situ tests were done for studying the
mechanical characteristic of the bedrock of the dam
in San Dou Pin. The method of flexible plates was
used at all test points. The stress-strain relationship
curve was obtained from the tests, just as shown in
Figure 2. The results of these tests indicate that the
slope of the unloading curve decreases rapidly with
the stress reducing to low level. In rock mass
excavation, the stress is usually unloaded to low
level and there are relative large tensile regions
appear, so it is important to study the stress-strain
relationship under condition of unloading and to
tensile stress.
Chongqing Jianzhu University and Ge Zhou Ba
College of Hydraulic and Electric Engineering, in
order to study thoroughly the unloading mechanical
characteristic of rock mass with tensile regions, have
done some mechanical tests with similar models.
Figure 1. Diagram of stress-strain curve of unload-
ing and loading tests
346
The test simulation material is a mixture of barite
powder, gypsum and water. There are many class
111, IV and V structure planes in the rock mass
slope of the permanent ship lock. For analyzing the
influence of the various structural planes on the
strength of rock mass and deformation behavior, the
engineering dominant structural planes have been
considered in these tests. These structural planes
have large inclinations and are the most important
influence factor of anisotropy and unloading
characteristic in rock mass of the slope.
The special triaxial test equipment was designed
for the tests. Thus, the actual unloading condition of
slope excavation can be simulated, in order to
achieve the nonlinear constitutive relationship and
corresponding mechanical parameters. According to
the past geological research, the loading paths of
these tests are based on principle of architectonic
movements in this area, which started from the
structural system of the rock mass formed by the
sixth tectonism (Movement of the Himalayas). The
loading and unloading paths of triaxial tests are
keeping with the actual plane strain problems. The
error is about 20% when 3D problem is simplified to
a plane one. Therefore, the result of the tests is very
useful in engineering, and it is the basis of nonlinear
mechanical analysis of the permanent ship lock and
research of anchorage methods.
Figure 2. Stress-strain curves of the tests with
flexible plates
Table 1. Unloading modules of horizontal
deformation of slightly weather and fresh granite
rock mass. (E0=40GPa, o ,=lOMPa) (unit: GPa)
<30 30- 50- 80- 90- 100%
"load % 50% 80% 90% 100%
E 26 18 12 3.2 0.4 0.25
E'/E 0.65 0.45 0.30 0.08 0.01 0.006
"Tensile stress
 The horizontal deformation modules of slight
weathered granite rock mass in different unloading
period are shown in Table 1. E, is the initial
“loading” modulus, which formerly was used in
almost all cases, no matter what condition rock mass
was under; E, is the “unloading” modulus. It is
shown in the table that the horizontal deformation
modulus of rock mass decreases with the increase of
amount of unloading, this phenomenon is more
apparent in the region of tensile stress. Moreover,
for any particular stress the unloading modulus is
less than the corresponding loading one.
3 COMPUTATION METHOD OF ROCK MASS
EXCAVATION AND UNLOADING
The degrees of unloading are different in different
regions of rock mass as it is excavated. The
unloading mechanical parameters used should be
consistent with the unloading condition in the rock
mass. The excavation can be approximately simu-
lated by the following steps:
(1) The rock mass in computational area is
considered as an anisotropic continuum. The stress
field and unloading forces on the excavation
boundary are computed firstly.
(2) Without changing the parameters of the rock
mass, the stress field of the rock mass slope is
computed when it is acted with the unloading forces
from the first step. Comparing this stress field with
that of step 1, the rock mass after excavation of the
slope can be divided into several regions with
different degrees of unloading.
(3) According to unloading mechanical charac-
teristic of the rock mass, the unloading mechanical
parameters are determined in corresponding regions
with different unloading degrees. When the unload-
ing forces are applied in opposite directions, the
initial displacement and stresses of rock mass are
computed, and the quality of rock mass is degraded
by excavation and unloading.
(4) The unloading regions computed above will
expand continuously. The unloading regions can be
determined again by the same way, and the iterative
process will last until satisfactory accuracy.
In the computation of the rock mass slope of the
permanent ship lock, according to the degrees of
natural weathering, the rock mass of the slope is
classified into strongly weathered, less weathered,
slightly weathered and fresh. The results of
computation show that after excavation of the rock
mass the depth of strongly degraded region is about
5m, and that of the influence region where the
quality of rock mass is degraded by excavation is
about 20m. Then there are over ten computational
regions, in which the corresponding macro mecha-
nical parameters used are different in different
347
iterative steps. Thus, they can represent the unload-
ing characteristic of the rock mass. The process of
deformation to damage of the rock mass slope can
be simulated by this method.
The conventional programs of finite element
method can not be used directly in computation and
analysis of unloading nonlinear rock mechanics. We
have expanded and developed ADINA, a well-
known standard structural nonlinear FEM program.
It was used in computations of Jin Chuan Open
Mine slope and Qian Mu Rock Tunnel, where there
are plentiful observation data. The order of
magnitude and tendency of computation results are
consistent with in-situ values. However, the program
used is expanded from others, so the amount of
manual work is very large. One specific program for
unloading nonlinear excavation has been pro-
grammed by the authors, named UNLOAD. Results
computed by this program are the same as that by
the expanded one, but manual work is reduced to the
least amount.
4 SIMULATING THE EXCAVATION OF HIGH
SLOPE OF THE PERMANENT SHIP LOCK
4.1 Comparing and analyzing the results of
computation and observation
In the past analysis, the observation data in one
particular period were compared with computation
results, which were the total value of deformation.
Thus, the comparison is worthless obviously. In this
paper where the observation points locate and when
the observation start as well as the corresponding
excavation elevation are paid enough attention. Then
the computation results at same time and excavation
elevation are compared with the corresponding
observation data.
The UNLOAD program was used in the
stepwise computation of three observation points in
the high slope of the permanent lock: TP40GP02,
TP41GP02 and TP42GP02. The excavation level of
every computation step is based on the observation
data of the three points. The comparison between
observation data and computation results is shown in
Table 2.
It indicates that the displacement computed by
unloading nonlinear program UNLOAD is consist-
ent with that of observation. Thus, the above-
mentioned model and parameters of unloading
nonlinear rock mechanics can represent the actual
rock mass condition of the high slope of the
permanent lock.
4.2 Predicting the deformation of high slope of the
permanent ship lock
Results of Computation are shown in Table 3 when
the permanent lock is excavated completely to its
design altitude in the simulation computation. We
also computed the deformation of the same sections
with the elastic-plastic Drucker-Prager criterion with
corresponding tensile strengths, in which the usual
isotropic deformation parameter (E=3 5Mpa) of less
weathered and fresh granite rock was used. The
results are equal to those of other past research. The
horizontal displacements of the top of the lock room,
which are computed by UNLOAD and traditional
method respectively, are both shown in Table 3. It
indicates that there are different orders of magnitude
between results of these two computations. If the
loading mechanical parameters of rock mass are
used in computation, the results show that terminal
horizontal displacement of the rock mass in this
section without supporting is about 4cm. However,
the computation results of UNLOAD program show
that the corresponding displacement depends on the
tensile strength of rock mass, and it is over lOcm at
least.
5 CONCLUSIONS
1. Because of many structural planes with large
inclinations and nonhomogeneous behavior to a
certain extent, the rock mass in this area is obviously
anisotropic. In order to simulate the behavior of the
rock mass, it is suitable to choose an orthotropic
model in computation.
2. The natural condition is changed with
excavation of the rock mass slope of the permanent
lock, large unloading and tensile regions appearing.
The rock mass characteristics of unloading are
different from those of loading. Only when the
mechanical parameters be considered as degrading
Table 2. Comparison between computation results
and observation data. (unit: mm)
Obser- Computation result
Observa- Altitude vation
(r ,*=2.2 cr t=l .5
tion point (m)
Value MPa MPa
TP40GP02 +170 17.38 15.10 18.2
TP41GP02 +185 24.33 26.60 30.8
TP42GP02 +200 22.88 20.05 21.0
*Tensile strength used in computation.
Table 3. Horizontal displacements of the top of the
lock room with different tensile strength. (unit: mm)
- 1 , - I
Unloading 14.82 15.95 21.37 56.00 72.00
Loading 4.06 4.06 4.06 4.08 4.11
*Tensile strength used in computation.
348
continuously in the computation process can the
results be consistent to the actual situation.
3. The research shows that macro mechanical
parameters should be adopted in simulation
computation of excavation of rock mass slope, and
the anisotropy should be considered. Thus, the
results of computation can reflect that of observation.
The results of unloading computation show that
without supporting the tensile strength of rock mass
of the permanent lock decrease gradually, and the
largest displacement is over lm, but only 4cm in
usual computation.
4. The results of computation indicate that
according to the present design plan there will be
several large tension regions after excavation. These
regions are mainly concentrated under the two walls
of the lock rooms and in the middle partition wall.
This is unfavorable to maintain the lock gates.
5. The largest unloading displacement is about
14cm during excavation. It occurs in one very short
period. This displacement is hard to be controlled by
any past reinforcing methods. Therefore, initial
lateral pressure should be applied beforehand or
promptly during excavation. This can prevent rapid
development of the unloading process and stop more
quality degrading of the rock mass that may cause
too large displacement and even make the slope
collapse.
REFERENCE
Ha, Q.L. & G.L. Liu 1996. Research of engineering
geology in unloading rock mass of rock slope.
Beijing: Chinese construction industry.
Ha, Q.L. & J.L. Li 1996. Research of macro mecha-
nical parameters in unloading rock mass of rock
slope. Beijing: Chinese construction industry.
Ha, Q.L. & Y.X. Zhang 1998. Research of unload-
ing nonlinear rock mass mechanics of rock slope.
Beijing: Chinese construction industry.
 Slope Stability Engineering, Yagi, Yamagami & Jiang 0 1999 Balkema, Rotterdam, ISBN 90 5809 079 5

Numerical simulation of the buckling failure in rock slopes

Y. Hu & H.-G. Kempfert

Institute of Geotechnics, University of Kassel, Germany

ABSTRACT: The buckling of slope in jointed rock is a special failure mode. In this paper, a numerical
method is presented simulating the buckling failure process of rock slope. The calculation model is based on
the geometrically nonlinear theory and implemented by using finite element method. The discontinuity
behavior is simulated using "joint element". A calculation example is illustrated for a slope in an open pit
mining.

1 INTRODUCTION

It is well-known that the geological structure and

strength of the rock discontinuities as well as its
orientation with respect to the slope face are the
essential factors to the failure of rock slope. The
preexisting weak planes or discontinuities with
unfavorable orientation are usually the failure sur-
faces of an unstable rock slope, whereas in soils it
appears generally in the form of a circular arc. The
pure sliding is predominately the failure mode in
rock slope engineering. However, it was reported in
the literature that the buckling failure of rock slope a) photograph of the buckling
can occur if the rock mass contains one or more
throughgoing discontinuities approximately parallel
with the rock surface, see e.g. Fig. 1. This failure
mode appears in sedimentary rocks containing slabs
separated by bedding planes, and also in jointed
rocks.
In general, the buckling failure may occur in the
rock slopes, if the slope dips more steeply than the
internal friction angle of the discontinuities parallel
to the slope. The basic boundary conditions may be
described as follows:
a) Major discontinuity set is parallel to slope face;
b) The spacing of discontinuity set is relatively
small;
b) three hinge buckling model
c) The discontinuities have a low friction angle
smaller than slope angle.
Kutter (1974) as well as Hock Lk Bray (1977) Figure 1. A buckling failure of sandstone strata
in an o en it coal mine and modeling, from
described and discussed the buckling failure of the
6 17.
Cavers 98

349
rock slope qualitatively. For plane slope, Cavers
(1981) assumed four possible failure modes of
single slab lying on the slope and formulated two
simple approaches to the analysis of buckling failure
of rock slabs. Hu & Cruden (1992) reported the
buckling of beds in the sedimentary rocks occurring
on steep underdip and dip slopes in the Highwood
Pass, Alberta, Canada. The observation and the
analysis of the four buckling sites indicated that the
bedding thickness is an important parameter
determining the modes of buckling. The correspon-
ding mechanical models were proposed for predic-
ting the initiation of the observed buckling behavior.
In these approaches, however, only the critical state
at failure is referred to and the failure procedure
can't be simulated.
In this paper, a numerical method is presented
simulating the process of buckling failure in rock
slope. A calculation example i s given for the
buckling failure of a rock slope in an open pit
mining.
2 MODELING OF JOINTED ROCK
Jointed rock is essentially a discontinuous system. In
general, there are two ways modeling its stress-strain
behavior. To represent the hndamental behavior, a
rock mass containing three families of disconti-
nuities (joints) is illustrated in Fig. 2 a).
Figure 2. Modeling of jointed rocks.
350
As a simplified way, the jointed rock can be
approximately seen as a continuum material, see e.g.
Zienkiewicz & Pande (1977), if the dimension of
building is much smaller than that of joint spacing.
In the replacement material, the real spacing of the
discontinuities exists no longer (dT1, d7.2, d7.3,
compar. Fig. 2 a) and b)), and each point in this new
material behaves mechanically same, whereas the
orientation (striking and dip angles of the
discontinuities ( ~ t 7 . 1 , P7.l Ct7.2, P T ~ aT3,
, p.1.3) remains.
This represents the deformation and strength
anisotropy. The influence of discontinuities in elastic
stage (kN,T1, kS,TI ,~N,Tz, kS,T2, kN,T3, kS,T3) is taken
into consideration using the average values for rock
mass (EF,UF). The analysis using this modeling lead
normally to conservative results. Separate treatment
of joints becomes necessary, if the joint opening or
large sliding along joints occurs. In these cases, a
combined modeling seems to be computationally
economical. That is, the discrete modeling is applied
to the area where the joints should be individually
considered, whereas the other area of the jointed
rock is simulated using the homogeneous model, see
Hu (1997).
 Compared to this procedure, the distinct element {f?(t+At)}: body force vector at step t+At;
method was specifically developed for discontinuum { f"(t+At)}: total surface traction vector applied at
analysis in rock mechanics about thirty years ago, step t+At;
see e.g. Cundall (1988). Here, jointed rock mass is (F'(t+At)}: total concentrated load vector applied
represented as an assemblage discrete blocks. All at step t+At.
joints in rock mass are individually treated and
viewed as interfaces between distinct rock blocks. This equation can then be converted into a finite
The corresponding contact forces and displacements element formulation:
at the interfaces are determined through a iterative
procedure using the principle of mechanics. For
many years, however, it was seen as not-yet-proven
numerical technique and has not been applied so
extensively as conventional continuum analysis
technique. In the recent years, the theoretical further
refinement and the development of the software
related to this method were made. More and more [KL,tl : linear stiffness matrix referred to the
rock engineering projects are analyzed using this configuration at step t;
technique. In the near future, it may become a [KN,~]: nonlinear stiffness matrix referred to
generally recognized tool in the analysis of rock the configuration at step t;
engineering as the continuum technology. {Rt(t+At)}: total force applied at step t+At
referred to the configuration at step t;
{ Ft } : equivalent internal force vector at step
3 FORMUALTION OF THE APPLIED MODEL
{ AFtVp}
: equivalent visco-plastic force vector
For the analysis of the buckling failure of rock slope at step t+At referred to the confi-
presented in this paper, the continuum model is guration at step t.
applied with the special treatment for some key
joints. In order to investigate the buckling pheno- Upon the finite element equation (2) a finite
mena, the geometrically nonlinear theory is used. element program has been developed for analyzing
Arising from the updated Lagrangian formulation the deformation and stability of buildings in jointed
and the elasto-viscoplastic theory, the controlling rock. In addition, "joint element" has also been
equation can be written to: implemented in this program which makes the
separate treatment of some key joints possible.

4 NUMERICAL CALCULATION EXAMPLE

4.1 Details of the problem

W(t + At) - i,,,
~ ( A E , ) ' (a(t)}dV(t) +
*

Fig. 3 shows the cross section of an open pit coal

L t ,
'I 7
~ ( A E . [D] . {AE jdV( t) mine as well as the planed excavation procedure.
The slope is located in a geological fold and covered
(1) by two rock slabs being 0.6 m thick, respectively.
6 : variationof; The dip above the fold is 50" and below the fold 70".
(As,> : incremental linear strain vector The total height of the slope comes to 49 m. The
referred to the configuration at step t; discontinuities between the two slabs as well as
PI : elastic matrix; between the underlying slope surface and the slab
(A?-it}: incremental nonlinear strain vector below have the same mechanical behavior as that of
referred to the configuration at step t; three cross joints. It is assumed that the tension
{o(t)) : incremental linear strain vector strength perpendicular to the joints is zero. The
referred to the configuration at step t; geometrical and mechanical parameters of the
(Acvpt): incremental visco-plastic strain vector jointed rock are given in Table 1.
referred to the configuration at step t;
{Au} : incremental displacement vector at
step t+At;

351
 Figure 3. Details of the problem, COSS section of an open pit coal mine with the rock slope.

Figure 4. Computation cross section and FE-mesh.

4.2 Computation cross section and FE-mesh

Table 1. The geometrical and mechanical parameters Fig. 4 illustrates the chosen computational cross
of the jointed rock section and FE-mesh. Apart from the area of slope
surface, 8-node finite element elements were used
rock: y = 25 kN/m3; E = 10000 MN/m2; U = 0.2. for other area in the cross section. The rock slabs
and joints on the slope surface were separately
parallel joints: a = 180"; p = 50"/70"; c = 0; considered using finite elements and joint elements,
cp = 26"; y~ = 12"
so that the possible sliding and opening along the
cross joints: a = 180"; p = 50"/30"/20"; c = 0; parallel and cross joints can be well simulated.
cp=26"; y ~ = 1 2 " The excavation was divided into 5 part excavations
in the numerical simulation, see Fig. 3. Totally 6
calculation steps are necessary. In the first step the

352
Figure 5 . Relative sliding of the second slab to
the slope surface.
primary stress state before the construction was
determined. The following 5 steps simulated the 5
step excavations. The designed FE-mesh consists of
1274 nodes, 189 elements as well as 58 joint
elements.
4.3 Calculation results
In Fig. 5 and 6, the sliding as well as opening of the
second slab relative to the underlying slope surface
are illustrated for the excavation down to 45 m and
49 m, respectively. The relative sliding of the slab
part above the fold appears toward the bottom while
the slab part below the fold toward the top. It comes
to ca 1.9 mm at the excavation depth of 45 m and
increases drastically to 8.25 mm at 49 m. At the
same time, the opening of the parallel joints occurs
Figure 6. Opening of the second slab to the slope
surface.
round the fold and increases from 5.7 mm to 27 mm
at the last two stages. From the development of the
relative displacement, it can be concluded that the
slope is in the critical state of buckling failure. Any
minor disturbance may trigger the massive slab
slide. Fig. 7 gives the total displacement arising
from the excavation with the reference to the
primary state.
5 CONCLUSIONS
The numerical method using the geometrically
nonlinear theory and the discrete modeling of joints
has been applied for simulating the buckling failure
of rock slope in an open pit mining. The calculation
example illustrates the gradual failure process in the
course of the excavation until the critical state.
Figure 7. Total displacement with the reference to the primary state.

REFERENCES

Cavers, D. S. 1981. Simple methods to analyze

buckling of rock slopes. Rock Mechanics 14.
Cundall, P. A. 1988. Conceptual, analytical and
numerical modeling. Key address in 29'h U.S.
Sym. on Rock Mech., Minneapolis, Minnesota.
Hoek, E., Bray, J. W. 1977. Rock slope engineering.
2'ld ed. London: The Inst. of Mining and
Metallurgy.
Hu, X.-Q., Cruden, D. M. 1993. Buckling defor-
mation in the Highwood Pass, Alberta, Canada.
Can. Geotech. J. 30.
Hu, Y. 1997. The buckling failure analysis of a
cavern in jointed rock. Proceedings of the 36'h
US Rock Mechanics Symposium (CD-ROM),
NYRocks'97, Columbia University, New York.
Kutter, H. K. 1974. Mechanisms of slope failure
other than pure sliding. Rock Mechanics,
International Center for Mechanical Sciences,
Course and Lectures No. 165, L. Miiller ed.
New York: Springer.
Zienkiewicz, 0. C., Pande, G. N. 1977. Time-depen-
dent multilaminate model of rocks - A numer-
ical study of deformation and failure of rock
masses. Int. J. Num. & Anal. Methods in
Geomech., Vol. 1.

354
 Slope Stability Engineering, Yagi, Yamagami & Jiang (c) 1999 Balkema, Rotterdam, ISBN 905809 0795

Fuzzy-based stability investigation of sliding rock masses

N.O. Nawari & R. Liang

Civil Engineering Depurtment, Universig of Akron, Ohio, USA

ABSTRACT: Stability of rock sliding surfaces is governed not merely by the shear strength of rock alone,
but also by various rock defects, such as jointing, cracks, fissures and other possible weaknesses. In bedded
or foliated rock, cut by joints, there are many possibilities for a block mass movement along weakness
planes and a large variety of behavioral modes are exhibited. The appreciation of modes of failure in such
cases has usually ill defined boundaries. Gravity, tectonic, weathering and erosion brought about by the
environment are factors contributing eventually to the instability of rock slopes. Such factors are generally
difficult to quantify with the present approaches. In this paper a new procedure to estimate the risk of
instability of sliding rock masses will be presented using fuzzy-safety techniques. This will enable to solve
the difficulties mentioned above in quantifylng the noisy geological and environmental data. The application
of this method in the practice will be illustrated by numerical examples.

1 INTRODUCTION hypotheses. Other uncertainties, especially those

Rock slope stability analysis and design are rarely
free from uncertainty. Uncertainty in a design
situation emerges whenever information pertaining
to the situation is deficit in some respect. It may be
imprecise, incomplete, fkagmentary, unreliable,
ambiguous, vague, contradictory or deficit in some
other way. For example, the real behaviour of rock,
soil and soft rock-hard soil near failure remains
unknown in most cases because of the diversity of
complex factors affecting the behaviour.
Unexpected loading conditions, or unseen
deficiencies in soil or rock continuum are likely to
cause the geotechnical structure (tunnels, dams,
natural slopes, waste deposits,. ..etc.) to behave
other than usually assumed (modelled as linear or
idealised non-linear) and it is not practical in most
cases to conduct even a single full scale test of these
massive geotechnical structures.
Conventionally, in the construction of the
mathematical models of these ambiguous systems,
the imprecision is standardly modelled as a random
process (classical stochastic model). This
conventional probability theory require idealised
assumptions such as the independent of evidence
and the mutual exclusiveness and exhaustiveness of
involving description and, judgmental opinions, as
well as those based on very scarce information have
never been incorporated satisfactory in the
probability theory (Klir, 1988, Kosko 1992). In
other words, uncertainties of geotechnical
parameters (geological materials and structures,
boundary conditions, loading, ground water, ...etc.)
can not be adequately described with probabilistic
models.
Rock slope failure represents one of the most
complex geotechnical problems that can not be
grasped and analysed totally by any conventional
mathematical models. This is due to the diversity of
factors affecting the stability of the slope. Factors
such as variation of geological formations,
hydrogeology, tectonic forces, vegetation, rainfall,
erosion, temperature fluctuation, frosts effects,
...etc. are difficult to include in safety analysis
computation. Difficulties stem from the vague,
incomplete, and ambiguous terms and concepts
concerning these parameters.
It is more rational to describe these factors in the
manner of fuzzy variables. Presented in this paper is
a new approach to estimate risk and safety of rock
slope stability employing methods of fuzzy
quantification, synthetic fuzzy evaluation, and

355
computation with imprecise and uncertain
parameters utilizing the concept of fuzzy variables
and fuzzy preference functions.
2 THEORETICAL SETTING
The essential theoretical backbone for the fuzzy-
based slope stability investigation will be stated
below:
2. I Tlzejkzzy variable:
The preference fiinction of a fuzzy variable A, (AA)
is a mapping from % (real number line) to the unit
interval [0, 13 and is defined as a ,,class" with a
continuum of grades of membership (Nahmias,
1978). Let X be a set of objects, called the universe
of discourse, whose generic elements are denoted
by Xi . Then if A is a subset of X with hA(Xi) is the
grade of membership of Xi in A, A is completely
characterised by the set of pairs:
A = ((h~(x)/X):X E x,L*(X) E[0,1] 1 (1)
2.2 Fuzzy Relations
A fuzzy relation R is a fuzzy set in a Cartesian
product X x Y of universe of discourse X and Y
(Zadeh, 1971, 1973). R(x,y) is the membership
value of (x, y) in R. Fuzzy relations generalize
ordinary relations. As such, they can be composed:
let R and S be two fuzzy relations on X x Y and Y x
Z respectively, the membership function of the
fuzzy relation R o S, on X x Z is defined by:
S O S ( x ,z ) = SUP min (All ( x ,Y ) , ( x , 4) (2)
YEY
Note that in (2), a product or other algebraic
operations could replace "min".
R can be interpreted as a fuzzy restriction on the
value of a variable (u,v) ranging over (X x Y), i.e. R
acts as an elastic constraint.
The governing equation at the limit state is given by
where
356
2.3 The Extension Principal:
Owing to this principle, any mathematical
relationship between non-fuzzy elements can be
fitted to deal with fuzzy entities. This principle will
be stated below and its main applications will be
seen later.
Let AI, ..., A, be fuzzy sets over XI, ... X,.
respectively, their Cartesian product is defined by:
A ~ ...
X XA,, = J ~ i n A ~ i ( x i ) / ( x , , . . . , x " ) (3)
x,x.,.x X" i = l , 1 1
Let f be a mapping f : XI x.. . x X, + Y . The
fuzzy image B of AI, ..., A, through f has a
membership function:
AB( y ) = sup min AA8(xi) (4)
x I,... X " E X I X ...X X , i=',n
under the constrain y = f(x1, - .. x,).
3 APPLICATION EXAMPLE
Rock slope failure is generally governed by the
intercalated change in lithologies and the related
change in discontinuities such as faults, bedding
planes and joints. The stability of rock slope is
conducted to evaluate the possibility of slope failure
in terms of plan sliding, wedge sliding and toppling.
The first computation model for the slope
investigation will be based upon the Direct Sliding
Block Method(DSBM) (Nawari et. al., 1997b). This
method assumes an admissible collapse mechanism
of the sliding rock blocks and satisfies the
conditions of statics and kinematic, (i.e. statics-
kinematic correct solution for the stability analysis).
The second computation model deals with the
quantification of subjective excitation conditions.
This practical example concerns the
determination of the safety of cut along a highway
alignment passing through a rock formation. The
characteristic values of rock properties and
geometry are given in figure.1. The failure
mechanism can be approximated by three sliding
blocks as shown.
r 1
 Figure 1: Jointed Rock Slope

xIa,, u>o

;il
L(Q = L((a, - x) / U )
4r = R(Q=L((x-a,)/v) a, Ix, _<a,(7)
x < a , - U , x>a, -v
where, In case of non-linear functions, the reference
dCi = Cohesion force; 1; = Length of the block hnctions L(<) and R(<) are given by the following
along the sliding surface; dui= Porewater pressure relations:
along the sliding surface of Block(i); dUi-,,i =
Porewater pressure along the left side of Block(i);
dUi,i+l = Porewater pressure along the right side of
Block($ dWi = Weight of the sliding block(i)
(including applied load); cpi = Friction angle along (9)
the sliding surface of Block(i); Vi-l,i = Friction
angle along the left side; (Pi,i+l = Friction angle Table 1. Definition of the Fuzzy Variables
along the right side of Block(& 0; = Slope of the 1 Variable 1 Function parameters
sliding surface in Block(i); a i,i+1 and ai-l,i =
inclination of Qi,i+l and Qi-l,i from the horizontal;
dQj = Resultant from normal and shear forces along
the sliding surface of Block(i); dQij = Vectorial
difference (dQi.l,i - dQi,i+l) with unknown
inclination pi; dQi-l,i = Inter-block force from left
inclined with the angle Oi-1,i against the horizontal; b3 [m] 1.3 1.35 0.35 0.35
dQi,i+l = Inter-block force from right inclined with y [ ~ \ ~ / m ~20] 21 3 2
the angle oi,i+lagainst the horizontal; T = Fictitious $["I 22 23 4 3
disturbing shear stress; c[M\T/~ 5 ~] 6 5 4
The safety measure is then adequate when T 2 0. 44 45 3 2
Now, all design parameters in equation 5 will be
considered as fuzzy variables and the computation
of the fictitious disturbing shear stress T will be
determined using the extension principle. The fuzzy The results of the computations are depicted in
variables are defined using linear and non-linear Figure 2. In the fuzzy failure event, there is no
functions (equations 7-9) and are summarized in unique precise limit state surface to provide a crisp
table 1. portioning of strict dilapidated and survival sets.
hstead a family of limit state surfaces will be

1. U ' , \
-15 -10 -5 0 5 10
Figure 2. Safety Grade for the Rock Slope
introduced to reflect the real structural environment
(Nawari & Hartmann, 1997a, 1998):
(a)- Safety state (I): absolute safe (b)-Safety state
(11): safe (c)-Safety state (IQ: more or less safe
(slightly damaged) (d)-failure state (I): partial
collapse (require maintenance) (e)-failure state (n):
absolute collapse.
Now, we can assess the slope stability as more or
less safe (Safety state III) (see figure 2). The area
under the curves in Fig2 varies from negative to
positive having almost equal values. Performing
conventional Factor of Safety analysis in this
problem results in FS=1.19.
In the second model, consideration of the
climatic conditions, tectonic activity, vegetation and
unexpected loading in the safety evaluation will be
made. As a first step for the system identification,
the causes or actions which affects the safety of the
rock slope system will be described using fuzzy
variables (see Table 2):
ile 2. Fuzzy Variables for the synthetic analysis
snow, frost,
TemDerature)
2 Tectonic activity
3 \Vegetation and
II medium
small
II
The preference functions for the fuzzy variable
in Table (1) are defined below:
Awl = {(0.4/0.7), (0.5/0.8), (0.9/0.9), (1/1) }
Aw2 = {(0.1/0.2), (0.2/0.3), (0.8/0.4), (1/0.5),
(0.8/0.6), (0.2/0.7), (O.UO.8) }
hw3 = ((UO), (0.910.l), (0.5/0.2) }
h~1= A, = CON(K3) = ((0.16/0.7), (0.25/0.8),
(0.81/0.9), (14) }
>
hm = {(0.4/0.7), (0.5/0.8), (0.9/0.9), (1/1)
The total effect on the degree of danger of slope
failure will be determined using the following
equation:
G = ( W I A K1) V (W2 A K2) V (W3 A K3) (10)
If the measure of safety is defined using the index
b (13), then the interaction between consequence (K)
15 and the index (13) is to be considered. Theses inter-
playing actions will be described using the
following approximate reasoning relations:
if K is significant, then 131 is very significant =
{(O.O4/n), (0.64/(n-0.5)), (l/(n-1)) >.
if K is medium, then 132 is significant = ((0.2/n),
(0.8/(n-0.5)), (l/(n-1)) >.
if K is small, then 133 is also small = {(l/n),
(0.8/(n-0.5)), (0.2/(n-l)) }.
where n = safety index (considered safety level ).
Now, fuzzy relations between (K1, Bl), (K2,132) and
(K3, 0,) can be constructed. These relations will be
denoted by RI, R2 and R3. Further, a relation
between RI, R2 and R3 will be created to estimate
the entire interaction: R = R1 v R2 v R3
A subjective measure of risk of failure (S) will be
built using the fuzzy composition:
S=GoR
W n n-.5 n-1
0.0 0.2 0.64 1.0
0.1 0.2 0.64 0.9
0.2 0.2 0.5 0.5
0.3 0.16 0.2 0.2
0.4 0.16 0.64 0.8
S = 0.5 0.16 0.64 1.0
0.6 0.16 0.64 0.8
0.7 0.16 0.4 0.4
0.8 0.16 0.5 0.5
significant 0.9 0.16 0.64 0.9
1.0 0.16 0.64 1.0
simificant
very
significant
II It is now necessary to find ftom S a subset S,(n),
which represent the risk assessment. The selection
of Sm(n) will be as considered as a fuzzyfied
process. For example, if the maximum value in
every column is selected, then results
S m (n) = ((0.2/n), (0.64/(n-0.5)), (l.O/(n-1)) 1
(12)
358
 From Eq.( 1l), if one specifies the largest g a d of
membership as a diffzification criteria, one gets the
safety index (n-1). This represents the influence of
the subjective, vague and experience wise
disturbing actions. For example, if n is chosen to be
T (as defined in Eq.5), then due to climatic and
geological factors we must reduce T by one. This
result would changing the state of safety in our
example from safety state III (more or less safe) to
failure state I.
4 CONCLUSIONS
Journal of Rock Mechanics, Vo1.34, No.3 14,
pp.516, 1997.
Zadeh, L. A.(1965). Fuzzy sets and systems, Proc.
Symp. System Theory, Polytech. Inst. Brookl, ,
pp. 20-37.
Zadeh, L. A. (1971). Similarity relations and fuzzy
ordering. Inf. Sci, vo1.3, pp.177-200.
Zadeh, L. A. (1973). Outline of a New Approach to
the Analysis of Complex Systems and Decision
Processes. IEEE Trans. on Systems, Man and
Cybernetics, Vol. SMC-3, pp. 28-44,

Rock slope stability analysis is associated with

inherent uncertainties, which arise in the reduction
of actual site conditions to a representative
analytical model, and in the determination of
physical properties of the subsurface formations.
Not all these uncertainties can be considered
adequately within the probabilistic safety concept.
The fuzzy model presented is a more reliable
procedure for mapping the slope failure potential
because it is based upon the incorporation and
managing of uncertainties through a combination of
objective and mostly explicitly expressed data and
from information that is eminently subjective.

REFERENCES :

Klir, G.J. and Folger, T. (1988). Fuzzy Sets,

Uncertainty, and Information. Prentice-Hall,
Englwood, Cliffs, New Jersey.
Kosko B. (1992). Neural networks and fuzzy
systems. Prentice Hall-Englewood Cliffs.
Nahmias, S. (1978). Fuzzy variables. Fuzzy sets and
systems I, pp.97-110.
Nawari, 0. and Hartman, R. (1997a). Determination
of the Characteristic values with respect to the
new European Codes in Civil Engineering using
Fuzzy Modeling. (in German) Journal of “Die
Bautechnik” 74, Heft 4, pp.227-232, Berlin,
April.
Nawari, 0. and Hartman, R. (1998).Fuzzy Logic
Concept in the Limit States of Geotechnical
Structures. The XI Danube-European Conference,
25-29 May,, Porec, Croatia, pp.855-862.
Nawari, O., Hartman, R. and Lackner, R. (1997b)
Stability Analysis of Rock Slopes with the
Direct Sliding Blocks Method”, International

359
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 Slope Stability Engineering, Yagi, Yamagami & Jiang (0 7999 Balkema, Rotterdam, ISBN 90 5809 079 5

Stability evaluation of discontinuous rock slope

K. Kawamura & M. Nishioka

Department of Civil Engineering, Kanuzawa Institute of Technology,Ishikawu, Jupun

ABSTRACT : In Japan, the evaluations of many dangerous discontinuous rock slopes have been urgently
carried out from view-points of geography, geology, slope conditions and the risky aspects of present slope
location, etc, in each local region since Toyohama Tunnel in Hokkaido largely failed in 1996 and
consequently a number of passengers suddenly died. However this evaluation method is not now perfect,
because the contents of it cannot clearly determine both the influcnce zone and the degree of rock block
falling on the road nearby the toe of dangerous rock slope. The purpose of this paper is to propose an original
procedure for drawing up a road hazard map along the toe of dangerous rock slopes. The map will be based
on the analyses for both the possibility and the extended length of each rock block falling from the Distinct
Element Method with taking the Image Processing Method into consideration.

1 INVESTIGATED ROCK SLOPES the road$ is very important in practical engineering

to exactly predict a path and an arrival distance of
The discontinuous rock slopes investigated for the rock block falling. This prediction has been carried
risk analysis are located in about 250m between out under the following conditions:
Sosogi Tunnel to Hase-no Tunnel in the traffic road 1. The direction range of rock block falling may
Route No.159 along the Sea of Japan in the Noto he generally indicated to be about 45" each zone to
Peninsula, Japan. There, rock slopes which consist both wings under the condition of a flat surface on
of rhyolite, volcunic brecciu and tuj"-brecciu in rock slope.
geology have slope angles of 40 to 50 degrees on 2. As a general rule, a risky rock block may
average and can be especially found either large or
small dominant discontinuities in site by site, as
shown in Photograph 1. Topically, the 50m near the
Wajima side entrance of Hase-no Tunnel can be
recognized as the most dangerous zone of rock
block falling and sliding highly possible to occur in
the near future.

2 SIMULATION OF ROCK BLOCK FALLING

2.1 Puth of rock block fulling

On the occasion that dangerous rock block of
discontinuous rock may fall down toward Photo.1 Near entrance of Hase-no Tunnel
Fig.1 Path of rock block Palling

mainly fall down along the nearest valley line on dangerous discontinuous rock slope can be counted
rock slope surface, except that it is also possible to from the distribution of dominant discontinuous
jump over a low ridge line in case of a shallow planes, such as the cracks and the fissures, and each
valley line. size is also able to be determined from several clear
3. The actual path of rock block falling along photographs of rock block induced into the Image
discontinuous rock slopes in the past may be Processing Method. The simulation of rock block
registered as a path again in the future. falling is carried out with the Distinct Element
Figure 1 shows each predicted result of falling Method under the following conditions:
path of dangerous rock block according to the
above-mentioned rulc. It can be determined that the
topical rock blocks on the most dangerous Table 1 Input data for the Distant Element Method
discontinuous rock slope are highly likely to fall I Vertical elastic modulus kn I 26.0 X 1 O6 1 10 3 (m)
(kN/m2)
down along either Path 1 or Path 2 in this figure. Lateral elastic modulus ks 9.0 X 1O6
(kN/m2)
Coefficient of viscosity r) 41.8
2.2 Simulation by using the Distinct Element
(kN -s/m2)
Method Internal friction angle 35.0
4 ("1
Cohesion C 0.0
The section of rock slope, along which the most (kN/m2)
Unit weight y 23.5
dangerous rock blocks may probably topple and roll
(kN/m3)
down along either Path 1 or Path 2 of Figure 1, can Time interval A t 9.5 x m5
(sec)
be shown in Figure 2. Each rock block consisting of

362
 be demonstrated that almost all dangerous rock
blocks will fall down along Path 1 and soon stop by
the small dam below the rock slope which was
constructed in order to protect against the mud
outllow and also store it. However, although almost
all rock blocks will probably stop over this dam, a
few large blocks will jump over it and arrive at
Route No. 249 road. That is, the rock block falling
along Path 1 makes the downward road much
dangerous. While if along Path 2, their behavior
may be predicted to be more serious than Path 1,
because several large rock blocks falling will not
only easily jump over the steel nets on retaining
wall which was constructcd in order to protect
against the falling, but also they come to Route No.
249 road. Especially, it is highly possible to destroy
the steel nets by the large impact of dangerous rock
falling, so that this falling energy through Path 2

Table.2 Investigation sheet for rock slope stability

Fig.2 Simulation rcsults

That is, a simulation has been continued until either

dangerous rock block behaviors stop perfectly or
the falling rock block arrives at a road lower down.
Both the distribution of dangerous rock blocks more than lOOm 10
height of 50m to lOOm 7 7/(10)
divided by some dominant discontinuous planes of rock slope 30m to 50m 4

the Image Processing Method and the input data of

the Distinct Element Method for the material
characteristics determined based on comparing a
few results of actual cases with the simulations of
rock block falling can be indicated i n T a b l c l ~

2.3 Sim it La t ion result s

An example of simulation results by the Distinct

Element Method is shown in Figure 2, where it can

363
 % 1 Risk for rock block falling and rock slope sliding
EZZ3 Any possibility for rock block falling and jumping in near future
Any possibility for rock block falling and arrival in near future
5 q Any possibility for rock block falling and arrival in near future
% 2 Effective action of protector structure against falling and sliding
No expectant structure
IlTTrmOl A part of expectant structure
Effective structure
% 3 Integrated judgement for road hazard
Needful to urgently make measure for road safety
ma Needful to make measure for road safety
E -Needless to make measure and only observation for road safety
- --
% 4 Examples of unsafe degree of dangerous rock blocks and slopes, Ha, Hb, Hd, * ,Hn
--- Needful to urgently make measure against dangerous rock block falling and sliding

Needful to make measure in near future against dangerous rock block falling and sliding
mx Needful to make measure in future against rock block falling and sliding
;_3 Needful to observe behavior

Fig.3 Road hazard map

364
will be not able to be decreased because there is not
the same small dam as Path 1. Path 2 is assumed to
be more dangerous.
3 ROAD HAZARD MAP
A road hazard map against rock block falling of the
most dangerous slope area can be concretely
illustrated in order to maintain a safe road. Making
a road hazard map is based on adding the results of
conventional investigations, which have been
composed of the position and the size of dangerous
rock block, the unsafe conditions of discontinuous
rock slope surface, the possibility of slope sliding
and the other of Table 2, to the original simulation
results of an arrival length and a falling path of
dangerous rock block falling determined from the
Distinct Element Method. This simulation can fully
consider the effective actions of structures, such as
the shade of reinforced concrete and the steel net, in
order to protect against rock block falling. In this
paper, a road position where there is any possibility
for dangerous rock block either falling or passing is
defined as increasing the degree of safety by one
rank. This road hazard map can illustrate the unsafe
degree by three bands shown in Figure 3, in which
the first band described on the mountain-side can
indicate any possibilities of dangerous rock block
falling and discontinuous rock slope sliding. The
second band, in other words, the central band
demonstrates an improved and effective structure
in order to protect against rock block falling and
rock slope sliding. Finally, the third band on the
sea-side is examined to show an integrated hazard
judgement while taking both the first and the second
bands into consideration. It is easy from this
proposed road hazard map to not only keep a road
safe but also to make i t possible to carry out
meaningful measures against rock block falling and
sliding in the case of extreme danger.
4 CONCLUSIONS
This paper proposes a valuable road hazard map
from the practical views of how to keep a road safe
365
and to predict the influence of damage by rock
block falling and slope sliding. Conclusions
obtained from this study are summarized as follows:
1. An original road hazard map, which is based
on not only several results for any possibilities of
rock block falling and rock slope sliding determined
from the conventional investigation method but also
results of an arrival length and a falling path of
dangerous rock block obtained by simulation of the
Distinct Element Method, can be proposed in
engineering practice.
2. It is possible from a proposed road hazard
map to comprehensively evaluate the road safety
while simultaneously taking both the danger of rock
block falling and the effectiveness of structure in
order to protect against rock block falling and slope
sliding.
3. It is easy by using a proposed road hazard
map to select a extreme dangerous road position,
where either the hard protection measure of any
structures should be constructed in the near future
or the soft protection measure of traffjc control
rapidly carried out against rock block falling and
rock slope sliding.
5 ACKNOWLEGMENT
The authers are grateful to Ishikawa Prefecture Civil
Engineering Office for their valuable data and
comments in this study.
6 REFERENCES
Kawamura,K. and Ogawa,S. (1989). Topographical
consideration for landslide prediction. 12th
I C M F E V01.3 1587-1590
Kawamura,K. ,Murayama,H. and Kondo,H.( 1997).
Applicability of Distinct Element Method t o failure
prediction of discontinuous rock slope based on an
actual slope failure. Proc. .!SCE, NoS68/ -39 175-
185 (in Japanese)
Kawamura,K. and Ogawa,R. (1997). Slope failure
in major Tertiary mud-stone zone. Proc.
Dejbrmation and Progressive Failure in
Geomechunics in IS-Nagoya 701-706
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 Slope Stability Engineering, Yagi, Yamagami & Jiang (o 1999 Balkema, Rotterdam, ISBN 905809 079 5

Earthquake and seepage effects on the mobilised shear strength of closely

jointed rock

ABSTRACT: This paper continues a long-standing interest of the author on the shear strength parameters for
closely jointed rock masses. Greywacke (an indurated sandstone of Mesozoic age in which the unweathered rock
material is very strong and hard) is one of the principal basement rocks in New Zealand. Because of the complex
tectonic history of NZ these greywackes are closely jointed. In a previous paper the Casagrande resistance enve-
lope for greywacke slopes in the Wellington area was estimated from the back analysis of existing stable slopes.
As this envelope lies well below the estimated Hoek-Brown failure envelope for the rock mass, the effects of seep-
age and earthquake loading are investigated herein. It is found that earthquake effects are more severe than seep-
age; in fact, an earthquake with a peak ground acceleration at about the maximum expected in the region is likely
to move the mobilised shear strength curve out to the estimated Hoek-Brown failure envelope.

1 INTRODUCTION shear strength of the rock mass that can be obtained by

This paper continues work reported earlier (Pender
& Free 1993, Pender 1990) in which back analysis
of existing slope height - slope angle data was used
to obtain a lower bound on the shear strength enve-
lope of a closely jointed rock mass. The particular
slopes are those around the city of Wellington in
New Zealand in which the rock type is greywacke -
a highly indurated sandstone of Mesozoic age.
The standard method for assessing the strength of a
geotechnical material is to recover a sample and test it
in the laboratory, or, alternatively, conduct in situ
tests. In the case of a closely jointed rock mass nei-
ther of these approaches is feasible; consequently back
analysis is used to give some indication of the shear
strength properties of the rock mass.
The slope height - slope angle relation (Grant-
Taylor 1964), is shown in Figure 1. Two limiting
cases are evident in this figure, an upper limit for the
best material and a lower limit for the material near
the Wellington Fault. As the context of this paper is
stability analysis, there is a temptation to consider all
the points on Figure 1 as the result of slope instability.
However, Grant-Taylor emphasises that other
mechanisms, for example erosion, are likely to be
responsible for at least some of the points in the
diagram. Therefore, it seems reasonable to assume
that the upper bound of all the points in Figure 1 is a
contour of constant factor of safety. The upper bound
curve leads to the highest values for the mobilised
back analysis of the data. The majority of the work
reported in this paper was based on three points along
the upper bound curve in Figure 1 : a 17 m high slope
at 75", a 72 m high slope at 60", and a 188 m high
slope at 45". Preliminary back analysis shows that it
is not possible to model these three combinations of
slope height and angle with a single linear c and @
failure envelope. The mobilised shear strength curve
obtained (Pender & Free 1993) for a dry rock mass
when under static conditions is plotted in Figure 2.
Clearly the rock close to the Wellington Fault
cannot be expected to stand as well as material remote
from the fault, as near the Wellington Fault the rock is
likely to be more closely jointed with interlocking
much reduced. Unlike the upper bound in Figure 1,
the data for slopes near the Wellington Fault can be
matched reasonably well with a single set of Mohr-
Coulomb shear strength parameters: c = 30kPa and @
= 26". As this friction angle is considered too low for
a typical closely jointed rock mass, the heights of the
slopes adjacent to the Wellington Fault must be
controlled either by the properties of the fault zone or
by a gradual surface deterioration of the rock.
The Hoek-Brown failure criterion is, in principle,
capable of describing rock masses such as those in
closely jointed Wellington greywacke. The modified
version of the criterion (Hoek at a1 1992), used herein,
assumes that a closely jointed mass has zero cohesion;
it is expressed in terms of principal stresses and has
the form:

367
Figure 1. Wellington slope-height slope-angle data.
The parameters a and mnb depend on the intensity of
jointing in the rock mass. A basic input parameter is
the unconfined compression strength, oc, of the
unweathered rock; for NZ greywacke this is
frequently well in excess of 100 MPa. However, in
the earlier paper it seemed more appropriate to use a
smaller value of 50 MPa. (It is of interest that
independent work on the shear strength properties of
greywacke rock masses (Read et a1 1999) found that a
value of 60 MPa for the unconfined compressive
strength was needed to achieve a reasonable Hoek-
Brown failure envelope.) Using the guidance given in
the Hoek et a1 (1992) paper, and the comments of
Hoek (1998), values were chosen for the parameters a
and mb (0.5 and 1.2). The corresponding Mohr-
Coulomb failure envelope for the rock mass, obtained
after calculations outlined by Hoek et a1 (1992), is
plotted in Figure 2 along with the mobilised shear
strength curve for the Wellington slopes. In passing, it
is of note that the shear and normal stresses in the rock
mass are a very small fraction of the assumed
unconfined compression strength for the intact rock.
The previous back analysis (Pender & Free 1993)
was done on the assumption that the slope is dry and
that there is no earthquake acceleration present; this
gives a lower bound on the mobilised shear strength
curve. There is the possibility that inclusion of other
effects on the slope might go some way to spanning
the gap between the two curves in Figure 2. The
rainfall in Wellington is such that seepage is likely
to be a significant effect on slope behaviour. Simi-
larly, as NZ is in a seismic region the effect of ac-
celerations on slope stability is a legitimate question.
The relevance of these two classes of action is thus
investigated in this paper. The conclusions reached
368
Figure 2. Mobilised shear strength curve for dry Wellington
greywacke under static conditions and the estimated Hoek-
Brown failure envelope.
are that water pressures will not explain the differ-
ence between the two curves in Figure 2, but earth-
quake shaking may be the key to understanding the
observed slope-height slope-angle data. This does
assume, of course, that the estimated Hoek-Brown
failure envelope is appropriate for the rock masses,
perhaps the greatest assumption of the whole paper
and the one that is most difficult to verify.
2 TERMINOLOGY
2.1 Closelyjointed rock masses
A rock mass is described as closely jointed when the
joint spacing is small in relation to the scale of the
project in question. The cuts in the greywacke slopes
in and around the city of Wellington provide a good
example. In these rock masses, and at many other
locations throughout NZ, the joint spacing is a small
fraction of a metre. It is, therefore, very much smaller
than the scale of the cut slopes which are up to several
tens of metres high. Furthermore, at many locations
there is no clearly defined characteristicjoint direction
(notwithstanding that plotting a large number of joint
directions may indicate other than random joint
orientations). As the individual joints do not seem to
have great continuity, a particular joint cannot exert a
dominant effect on the rock mass behaviour. The
behaviour of the mass is thus a consequence of the
combined action of a large number of individual
joints.
At stress levels of interest in slope stability
assessment, the strength of the intact rock between the
joints is usually so high that failure of the mass is
controlled, in a complicated way, by the joint system.
This comment restricts the consideration herein to

Normal stress (MPa)
Figure 3. Mobilised shear strength curve with, along with the
curves from Figure 2.
hard rocks that are unweathered or only slightly
weathered. However, many of the concepts
developed are also valid for slopes in weathered
rock and soil.
Assumptions about the type of failure mechanism
are also required. In closely jointed media it seems
appropriate to assume that the material is
approximately homogeneous, i.e. there are no clearly
defined joint planes or joint sets which control the
form of the failure mode. With this assumption of
homogeneity it is necessary to search for the critical
case of each type of failure mechanism. If, for
example, a circular failure mode is under
investigation then a search has to be made until the
critical circle is found.
2.2 Resistance envelopes und mobilised shear
strength curves
A further point of terminology needs clarification. As
originally formulated (Casagrande 1950) the
resistance envelope refers to one particular slope
geometry. This relation tells us nothing more than the
stress combinations required to satisfy equilibrium in
the slope. The envelope of a number of separate
resistance envelopes gives a better bound on the
failure envelope for the material in the rock slope.
Herein the term resistance envelope is confined to
information derived from a single slope geometry and
the term mobilised shear strength curve is used when
information gained from the back analysis of slopes
with different geometries is combined. It should be
noted that the mobilised shear strength curve is not the
failure envelope of the rock mass, it will have more
curvature than the actual failure envelope, but may
approach the failure envelope from below.
The stability charts of Hoek and Bray (1981) have
been replotted as resistance envelopes by Baikie
369
I f I
Normal stress (MPa)
Figure 4. Mobilised shear strength curve with a pseudo-static
horizontal acceleration of 0.4 g, along with the curves from
Figure 2.
(1988). These provide a method for generating
mobilised shear strength curves both for dry and
saturated slopes. For slopes subject to earthquake
accelerations the logarithmic spiral approach of Prater
(1979) is adapted to the back analysis.
3 EFFECT OF SEEPAGE
There is little information about the water conditions
in the steep slopes in Wellington greywacke. It is not
common to see water seeping out of slope faces
around the city. Furthermore water was not a
particularly difficult problem during the construction
of the Terrace Tunnel in the late 60’s and early 70’s or
during the construction of the investigation drive
several years earlier. SimilarIy most of the prebored
holes for piles on the Shell Gully structures for the
Wellington Urban motorway were dry. The
topography of the Wellington region, with roughly
parallel ranges of hills separated by steep sided
valleys, means it is unlikely that the highest slopes
will ever be completely saturated. Finally, as pointed
out by Grant-Taylor, the higher less steep slopes are
mantled by a layer of weathered greywacke having a
low permeability, so water falling on the slopes will
runoff rather than infiltrate the unweathered and
closely jointed rock mass below. These comments
provide another perspective on the assumption in the
earlier back analysis that the rock masses are dry,
which was made to give a lower bound on the
mobilised strength curve.
Using the curves developed by Baikie the effect of
having the slopes completely saturated with water is
easily investigated. The resulting mobilised shear
strength curve is plotted in Figure 3. This diagram
shows that seepage through the slopes, even when
the slopes are fully saturated, gives rise to only a
modest change in the mobilised shear strength curve
which remains far short of the estimated Hoek-
Brown failure envelope in Figure 2. Clearly, then,
seepage will not explain the difference between the
two curves in Figure 2.
4 EARTHQUAKE EFFECTS
The Hoek and Bray charts do not include inertia
forces in the slope generated by earthquake
accelerations. Prater ( 1979) presents a pseudo-static
approach, although he uses a logarithmic spiral rather
than a circular failure surface, to assess the effects of
horizontal and vertical accelerations in the slope.
Prater does not include a vertical tension crack at the
top of the slope, which is incorporated into the Hoek
and Bray charts. However, Baikie has investigated this
and found that it is not of great significance for slope
inclinations 60" or less. For given values of friction
angle and cohesion Prater tabulated values of the
horizontal acceleration coefficient, k,,, which will just
have a slope of a certain height and angle at limiting
equilibrium. In the work herein the range of the
tabulated values was extended by coding in Mathcad
the expressions given by Prater. One thus obtains
from Prater's equations a range of linear c, Cp failure
envelopes corresponding to the limiting equilibrium of
a particular slope configuration at a given horizontal
acceleration. The resistance envelope for the
particular geometry is then obtained by plotting the
linear failure envelopes and sketching an inner
envelope to them. These steps, with a horizontal
acceleration of 0.4g, lead to the mobilised shear
strength curve plotted in Figure 4. From this it is
apparent that the demands on the slopes of earthquake
accelerations of this level are considerably more
severe than those of water seeping through the slope.
5 DISCUSSION
It is clear from Figures 3 and 4 that a psuedo-static
horizontal earthquake acceleration of 0.4g has a more
severe effect on the Wellington slopes than seepage.
Even so we are still some way short of being able to
conclude that the mobilised shear strength curve for kh
= 0.4 in Figure 4 is the failure envelope for the
Wellington greywacke rock masses. The following
points preclude this:
The earthquake shaking of the slopes is a transient
process, whereas the above calculations have been
done in a pseudo-static manner.
The horizontal acceleration of 0.4g used in the
calculations is thought to be representative of the peak
ground acceleration to which slopes in the Wellington
region will have been subjected a number of times in
the past. Unfortunately we have no direct information
370
about slope deformations during and after these
earthquakes. Thus we cannot reach a definite
conclusion that they are responsible for the existing
slope configurations.
Current assessment of the earthquake risk in the
Wellington region suggests that peak ground
accelerations in the 0.6 to 0.8g range could occur for a
major earthquake on the Wellington fault. It is
apparent from Figure 4 that a peak horizontal
acceleration in the 0.6 to 0.8g range would scale the
mobilised shear strength curve into the proximity of
the estimated Hoek-Brown envelope in the figure.
Although less frequent, horizontal accelerations of this
magnitude will have a more severe effect on the
slopes than 0.4g. Once again we are hampered by
lack of information about slope damage during large
earthquakes.
The pseudo-static analysis discussed in this paper
indicates the stresses that will be generated during
earthquake loading. However, the above two
paragraphs indicate that we cannot decide if the
geometry of the greywacke slopes around
Wellington is defined by relatively infrequent major
earthquakes or a series of more frequent events with
a smaller peak ground accelerations. In particular
we need information about the long term effect of
the earthquake accelerations on the slopes. If the
earthquake causes loosening of the rock mass then
long term deterioration may follow.
The pseudo-static calculations have been done with
horizontal acceleration only; in reality vertical
accelerations will accompany the horizontal. This will
be another effect on the mobilised shear and normal
stresses.
Another possibility would be to combine
earthquake and seepage effects to further expand the
mobilised shear strength curve. This has not been
considered herein as the simple addition of the two
effects is most unlikely. A closely jointed mass
behaves as a very dense medium, thus, when
saturated, any shearing, and even more so any
loosening, of the rock mass will lead to a short term
reduction in water pressures.
6 CONCLUSIONS
The following conclusions are reached:
Extending the Casagrande resistance envelope
concept to encompass different slope geometries,
means that the lower bound on the shear strength
properties of the rock masses is also extended.
It appears that earthquake loading with a peak
ground acceleration of the magnitude that could be
expected in the Wellington region in a major event
would mobilise shear strengths approaching the es-
timated Hoek-Brown failure envelope in Figure 2.
The effects of pseudo-static earthquake loading at
the level of 0.4g are much more demanding of the
shear strength behaviour of the jointed rock masses
than seepage under fully saturated conditions.
In as much as the pseudo-static analysis per-
formed herein tells us nothing of the deformations in
the slope, it is not possible to conclude definitely
that earthquake shaking can account for the observed
slope height - slope angle relation.
Although the this paper extends the mobilised
shear strength curve obtained by Pender and Free
(1993), there is still considerable uncertainty about
the actual shear strength properties of the closely
jointed greywacke rock masses in Wellington.
The actual unconfined compression strength of
unweathered greywacke gives what seems an unrea-
sonable Hoek-Brown rock mass failure envelope.
Herein a smaller value (5OMPa) was used.
The range of shear and normal stresses in the
slopes associated with the mobilised shear strength
curve is a small fraction of the assumed unconfined
compression strength of the intact rock material.

7 REFERENCES

Baikie, L. D. 1988. Casagrande resistance envelopes for rock

and rockfill slopes having circular slip surfaces. Canadian
Geotechnical Journal, 25: 42-49.
Casagrande, A 1950. Notes on the design of earth dams. Jour.
Boston Societ), Civil Engineers. 37: 405-429.
Grant-Taylor, T. L. 1964. Stable angles in Wellington grey-
wacke. New Zealand Engineering. 19: 129-130.
Hoek, E. & J. W. Bray 1981. Rock slope engineering. London:
Institution of Mining and Metallurgy.
Hoek, E., D. Wood, & S. Shah 1992. A modified Hoek-Brown
criterion for jointed rock masses. Proc. Eurock’92: 209-
2 13. London, Thomas Telford.
Hoek, E. 1998 Reliability of Hoek-Brown estimates of rock
mass properties and their impact on design. Int. J. Rock
Mech. Min. Sci. 35( I): 63-68.
Pender, M. J. & M. W. Free 1993. Stability assessment of
slopes in closely jointed rock masses. Proc. Eurock’93:
863-870. Balkema: Rotterdam.
Pender, M. J. 1990. Stability of slopes in closely jointed rock
masses. NZ Road Research Unit Bridge Design and Re-
search Seminar, RRRU Bulletin 84: 1 15-126. Wellington:
RRU.
Prater, E. G. 1979. Yield acceleration for seismic stability of
slopes. Jnl. Geotechnical Engineering, 105(GT5): 682-687.
Read, S. A. L., L. R. Richards, & N.D. Perrin 1999. Applica-
bility of the Hoek-Brown failure criterion to New Zealand
greywacke rocks. Proc. 9”’ Congress of the ISRM, Paris.

371
This Page Intentionally Left Blank
4 Effects of rainfall and groundwater
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 Slope Stability Engineering, Yagi, Yamagami & Jiang 0 7999 Balkema, Rotterdam, ISBN 90 5809 079 5

Design chart for cut slope in unsaturated residual soils

R. Subramaniam
KTA Tenugu Sdn Btid, Mulaysia
EH.Ali
Civil Engineering Department, University of Malaya, Kualu Liinzpur,Malaysia

ABSTRACT : In the past, tlie effects of soil suction , rainfall and conductivity of soil were not considered in
the coiiveiitioiial slope stability analysis that were carried out using parameters based on saturated condition.
The analysis when linked to shallow failure, deep ground water conditions or climatic fluxes, should however
be extended to incorporate unsaturated soil mechanics. This study has been carried out in view of partial
saturation with other related parameters involved in the stability of slopes in residual soils using a
combination of seepage and slope stability programs.

1 INTRODUCTION 3. To use the predicted hydrological condition

The relatively steep cut slopes in residual soils are
initially stable aiid partly saturated. The partial
saturatioii of the soil allows the negative pore
pressure (matric suction) to exist aiid develops an
apparent cohesion, which in iiiajority of the cuts is
the predominant stabiliziiig factor. The rain initiates
the absorption of water by the surface layers causing
the degree of saturation to increase. The saturation
zone advances to greater depths. The advancing
saturation front alters tlie hydraulic gradient and the
hydraulic Conductivity thus changing the flow
patterns and the distribution of moisture content in
the soil.
This project has been carried out in view of tlie
partial saturation with other related parameters
involved in tlie stability of slopes in residual soils.
The following objectives have been o u t l i d .
1. To identify tlie different hydrological, physical,
geometrical aiid strength parameters that affect
tlie stability of slopes in unsaturated residual
soils.
2. To produce a physically based coupled
dimensional (2D)dynamic slope hydrological
condition (transient) model controlling stability
due to various parameters identified above using
tlie available SEEP/W software.
(steady state and transient state analysis) as input
to a physically based two diiiiensional (2D)slope
stability sub model (SLOPEIW) to study tlie
changes in factor of the safety of slopes based on
the various parameters determined above.
4. To apply the combined seepage and slope
analysis to arrange a slope form aiid antecedent
condition for the production of design chart for
partially saturated soils which summarizes the
effect of a particular storm event on slope
stability.
2 DEVELOPMENT OF SLOPE STABILITY
CHARTS
Standard approaches to stability analysis usually
simplify consideration of the hydrological condition
to that of a static, fixed grouiidwater level. Stability
analysis procedures are then used to determine the
factor of safety for the slope, given the distribrrtion
of positive pressures along the slip surfaces. Soil
suctions are generally ignored in such analysis,
being assumed zero.
Many researcher have produced chart that enable the
stability of simple slopes to be assessed without the
necessity of coiiipletiiig detailed calculations. They
are a1v ~tscfu!fgr prcliiiiinary aiialysis and enable

375
the designer to quickly assess the sensitivity of a
problem to changes in different input parameters.
The main objectives of this exercise is to :-
To find the critical condition where the
landslide could occur or the combination of
permeability of the soil and the rainfall intensity
which will be critical.
To find a linear relationship between the f ctor
t
of safety and the diinensionless factor tan $ for
unsaturated residual soils.
To establish a design chart for approximation of
preliminary design.
Determination of the critical condition
Before the slope stability charts are produced a table
is formed to study the different rainfall intensity and
conductivity f~inction. The critical case is to be
found and to be used for the development of slope
stabilitp charts. The following parameters are
identified as these values represent the comnion
values for residual soils at the Kuala Lumpur - Karak
highway project and these values can also be used at
other residual soils in Malaysia (Othman, 1989).
9s = I ~ I o - M~ ,O - ~ , 1 x 1 0 - ~ni/s for a
duration of 24 hour.
1% = MO-~M , O-~M , O-~
H = 10, 20, 30, 40, 50,60 meters
tan p = 1:1,2:1, 3:2
C’ = 0, 5 , 1OltPa
= 20,25, 30, 35,40 degrees
$b
Q, = 0, 0.25, O$O, 0.75, 1.00
Yb = 18 kN/ni’
2.2 Procedure
A homogeneous slope model is developed with the
respected parameters using tlie SEEP/W programme
and the various iiifiltratioidrainfall intensities is used
as input to run the transient condition. A typical
initial condition is simulated with the groundwater
table to be at 10 meters perpendicular distance from
the toe of the slope. A maximum suction value of
100 1;Pa is fixed to siniulate tlie site condition.
A transient analysis is carried out and the respective
profile changes in tlie suction are then observed.
376
This output model is later used as input to
SLOPE/W programme for stability analysis.
2.3 Results
2.3.1 Factor of Safety vs Permeability (ks) for
various slope heiglits(H)
For a fixed qs = 1 ~ 1 0 m/s - ~ (Figure I), the factor of
safety tends to decrease with the increase of
permeability of the soil. For all the various heights
ranging from 20 meters to 50 meters, the factor of
safety seems to decrease with increasing saturated
conductivity. For qs = l ~ l O -m/s ~ the factor of
safety is the lowest at permeability value of ks =
1x10-7 m/s and increases at ks = 1 ~ 1 0 m/s ‘ ~ and
6
1x10- m/s. or qs = 1 x 1 0 - ~m/s, the lowest value
is obtained at ks = 1xlOb8 m/s. This signifies that the
lowest factor of safety is achieved when the
infiltration rate is alinost or equal to the permeability
of the soil. However the lowest value is obtained at
qs = 1xl 0p6 m/s wliicli means the liiglier the
permeability the lower is the factor of safety.
Figure 1 Factor of Safety vs Permeability (lts) for
various slope heiglits(H)
2.3.2 Factor of Safety vs Heiglit(H) for various
rainfall intensity (qs)
2-
For a ixed saturated permeability of the soil, ks =
1x10- m/s (Figure 2), the factor of safety seems to
decrease with increasing slope heights. When the
rainfall intensity is close or equal to the saturated
permeability the lowest factor of safety is achieved,
whereas there is not much changes in factor of safety
when the rainfall intensity (qs) is M O - ~m/s or
8
1xl0- d s ) . Again when the saturated permeability
(ks) is l ~ l O m/s,
- ~ the factor of saftty tends to drop
also with tlie increase in height. The difference
between the threc different rainfall intensity do not
 Figure 2 Factor of Safety vs Height(H) for various
rainfall intensity (9s)
Figure 3 Factor of Safety vs Saturated Permeability
seem to be big when compared to when ks = 1 ~ 1 0 (ks) ~ ~for various slope angle (tan p)
d s . However when ks = ~ x I O -m/s, ~ the various
rainfall intensity tends to be close to one another. The
soil can only infiltrate the maximum value of ks =
1x10-8 m / s and the excess water acts as surface
runoff.

2.3.3 Factor of Safety vs Saturated Permeability (ks)

for various slope angle (tan 0)

For a fixed rainfall intensity (qs = I X ~ Om/s)

- ~ and
height (H = 50 meters) as in Figure 3, the factor of
safety tends to decrease with increasing saturated
permeability . The drop in the factor of safety is very
much greater for slope 1V:lH compared to slopes
3V:2H and 2V:IH. The lowest factor of safety is
obtained when the rainfall intensity is close or equal
to the permeability of the soil. However the drop in
the fact r of safety whe the rainfall intensity is (qs
9/ 1
= 1x10- m/s and 1x10- m/s did not vary much for
each slopes.
2.3.4 Factor of Safety vs slope angle (tan p) for
various rainfall intensity (9s)
For a fixed height (H = 50 meter) and saturated
-6
permeability (ks = 1x10 m/s) as in Figure 4, the
factor of safety tends to decrease with increasing
s!ope angles. However when qs is less than or more
than the saturated permeability, the difference is not
very much. The critical condition occurs when qs =
ks and the worst case is for slope 2V: 1H.
Figure 4 Factor of Safety vs slope angle (tan p) for
various rainfall intensity (qs)
2.4 Discussion
In the computation of the data for the development
of stability charts it has been assumed that the slope
is homogeneous and constructed of a single material
with effective stress strength parameter c’ and 4’.
The critical condition qs = ks is chosen when ks =
l x 10-6m/s because of its high permeability and the
duration of rainfall intensity is fixed at 24 hours as
determined from the analysis. The ks = 1x 10-6 m/s
was found to give the lowest safety factor during the
sensitivity analysis for the slope of Kuala Lumpur -
Karak Highway.
The range of the parameter are as follows:-
tan p = 2:l , 1:1, 3:2
o9
c’/yH
= 0.0,0.25,0.50,0.75, 1.00
= 0,0.015,0.030
pore water pressure = SEEP/W Heads

377
An accurate and extensive general solutions is made
possible by these factors:-
2.4.1 Dimensionless iiuiiiber c’/yH
For a given value of tlie dimensionless number
c‘lyH, the factor of safety depends only on tlie
geometry of the section, expressed as tan p, 011 the
pore-pressure given by SEEP/W and on the aiiyle of
shearing resistance,$’ aiid suction resistance, $B for
unsaturated residual soils.
To reduce the amount of computation cn!y three(3)
values of c’/yH have been used that is 0.0, 0.015,
0.03. Considering that tlie cohesion intercept in
terms of effective stress is gradually somewhat lower
than the cohesion intercept in total stress, these
values have been selected as represeiitiiig the range
coiniiioiily encountered in effective stress analysis
and also a range within which a linear interpolation
can be used without significant errors. Tlie
intermediate values for c’lyH can be interpolated as
shown in Figure 5 for a particular slope angle and
strength value. It should however be renieiiibered
that for cross sections of natural slopes or wide
embankments some errors inay be iiicurred due to
the neglect of tension cracks whose effect on
stability becomes more pronounced at higher values
of c’lyH. For these problems, a modified analysis is
generally required.
2.4.2 Factor of safety (F) varies linearly with the
magnitude of tlie tan $b
Figure 5 Linear relationship between factor of safety
and dimensionless number c’/yH for a particular =
30 degrees and = 15 degrees for various slope
angle
370
For a simple soil profile and specified shear strength
parameters, it had been found that to a closer
approximation, the factor of safety, (F) varies
linearly with the magnitude of the tan 6b
(dimensionless value of rate of change in shear
strength with respect to suction). A typical example
of this linear relationship is given iii Figure 6
F = f + s.tan --------(1)
where f and s are termed the stability coefficient for
a particular slope and soil properties, tan $b .is the
rate of change in shear strength with respect to
suction (ua - U*).
Figure 6 Linear relationship between factor of safety
and dimensionless tan $b value for = 30 degrees
and c’/yH = 0.005 for various slope angle
Linear relationship between F and tan$b for a givcn
value of c’lyH, tan p as shown in Figure 6 can
be described in t e r m of two parameters, f. and s
where geometrically, f is the intersection with factor
6
of safety (F) axis of me describing the relationship
between F aiid tan 4 and corresponds to the v 1
of tlie factor of safety for zero suction value (4 =
O)., and s is the slope of this line. Since the slope of
4
this line is always positive (Fredlund. 19 4), the
factor of safety increases with increasing $ value.
whilst all other parameters being held constant and
inay be expressed in tlie form of equation (1 ).
These two parameters f and s are determined from
tlie fitting curve passing through all or near all the
b
respective points where $ /$* = 0.0. 0.25. 0.50, 0.75.
1.00 for various 4’ values process using the
blicrosoft EXCFL programme \\it11 an a\ erage
standard error. R- value of 0.9 (Fredlund. 1994).
The values of the stabilit) coefficients f and s Lire
then plotted against tan 0.the tangent of the slope
angle. for varying $‘ bet\veeii 30 degrees to 40
degrees. Figures 7. 8, 9 shoib the f m d s coefficients
for values c‘h{H = 0. and also for three different
heights. H = 0 - 20m. 21 - 4Om. 41 - 60111
respectively.

The presentation and tabulation of the results are

greatly simplified by the use of these stability
coefficients, which also have the advantages of
giving an immediate picture of the influence of
suction on the factor of safety.

To calculate the factor of safety of a section whose

c’lyH lies within the range covered by these figures,
it is necessary only to apply the equation ( 1 ) to
determine the factor of safety of the two nearest
values of c’lyH and then perform a linear
interpolation between these values for the specified
c’lyH as the factor of safety(F) is also linearly
increasing with dimensionless value c’lyH.

Figure 8 Stability coefficients for c’lyH = 0 and H =

21 - 4 0 m

Figure 7 Stability coefficients for c’lyH = 0 and H =

0-20m

3 CONCLUSION Figure 9 Stability coefficients for c’lyH = 0 and H =

41 - 6 0 m
The following conclusion can be derived from this
study:-
1) Eiig]1er suction values give higher factors of 2) The factor of safety for unsaturated soil seems to
safety. be increasing with a dimensionless value tan+b .

379
3) A linear relationship can be obtained for the
factor of safety of unsaturated residual soil.

F=f + s tail 4'' -------(I)

Where
F = factor of safety.
f aiid s = the stability coefficient
= is the rate of change in shear
strength with respect to suction ( Ua - Uw).

Hence tlie factor of safety for a particular slope can

be deteriiiiiied from the coiiibinatioii of stability
coefficients obtained from tlie stability chart.

4 ACKNOWLEDGMENT

Special thanks to the authors colleagues Mr. Low

Tiaii Huat and Mr. Saravaiiaii Mariappaii for their
kind assistance in helping to write this paper.

REFERENCES
1. Affeiidi, A ( I 996). Field aiid laboratory study on
unsaturated residual soils in relation to slope
stability analysis, P1i.L). thesis, University of
Malaya. Unpulished.
2. Fredlund, D.G and Raliardjo, H. (1993). Soil
Mechanics for Uiisaturated Soils. John Wiley &
soils.
3. Morgentern, N (1963) Stability Charts for earth
slopes during rapid drawdown, Geotechnique,
vo113,pp121-13 1.
4. Othmaii, M.A., (1990). Highway cut slope
instability problems in West Malaysia, P1i.D.
thesis, Uiiiversity of Bristol, unpublished.

380
 Slope Stability Engineering, Yagi, Yamagami & Jiang e) 1999 Balkema, Rotterdam, ISBN go 5809 079 5

Factors affecting on water retention characteristic of soils

Katsuyulu Kawai
Deparhnerzt of Citd Engineering, Kohe University,Japan
Daizo Karube & Hitoshi Seguchi
Graduate School qf Science und Technology,Kobe University, Japun

ABSTRACT: The mechanical behaviors of unsaturated soil are strongly influenced by the suction value and
the pore water distribution. The water retention curve is provided as the relationship between the suction
and the moisture content and widely used in the analyses for an unsaturated soil medium such as the
unsaturated seepage flow. However, since the water retention curve essentially shows hysteresis loop, the
moisture content is not uniquely determined even if only the suction is specified. Void ratio also affects the
degree of saturation. Therefore, some physical quantity considering the volume change of unsaturated soil
element has to be introduced in the expression of water retention characteristics. In this paper, a new
expression of water retention characteristics of unsaturated soil is presented, in which the initial void ratio of
the soil is introduced as a variable in the mathematical expression of water retention characteristics.

1. INTRODUCTION hysterisis loop in the water retention curve and the

Slope failures are often connected with the rainfall
and statistically analyzed with the total amount
and/or the intensity of the rainfall. It is well known
that the mechanical behavior of unsaturated soils in
the slope is much influenced by the water retention
characteristic of the soils. The water retention
characteristic is conventionally represented by the
“water retention curve” provided as a unique relation
of the suction value and the degree of saturation of
the soil. Some models describing its relation have
been proposed and used in the analyses. However,
in actuality, the values of degree of saturation are
different in the drying and wetting processes.
Since the relation of suction and degree of saturation
draws a sort of hystresis loop depending on the
loadinghnloading process of suction stress, the
degree of saturation is not uniquely specified for a
suction value.
Vachaud et al.’) examined the hysteresis loop of
water retention curve using the soil column method.
Nakano’) 3 , proposed the water retention model,
which can express the hysteriesis loop in the relation
of the suction and saturation degree, considering the
geometrical shape of soil pore. The exponential
function is employed to express the distribution of
pore size after the expression of energy distribution
in the classical statistical mechanics. However, there
would be of much difficulty in specification of
parameters in the practical use of it.
Toll )‘ pointed out the similarity between the
loading/unloading response of saturated soils. He
introduced “Virgin Drying Line (VDL)”, defined as
the relationship between the water content and the
suction value for an initially saturated normally-
consolidated soils under the drying process without
applying any external stress, and proposed a simple
model. Toll’s model can rationalize the volume
change of the soil by separating the volume change
of water from it. However, a question whether
VDL can be uniquely defined for a soil has been left.
In this paper, a series of laboratory tests, i.e.
oedometer tests for compacted soils and triaxial tests
for reconstituted soils, are carried out to obtain the
water retention curves. And possible factors
effecting on the water retention characteristic is
discussed by fitting it to the relationship between the
suction stress and the degree of saturation obtained
from experiment. Then, new model that contains the
effect of void ratio is introduced.
2. EXPERLMENTAL METHOD
2.1 Soil S’ecinieri
The soil specimens used in the experiment are No.5
clay and Catalpo clay which are on the market.
Their material properties are summarized in
Table.2.1.
Table.2.1 Material properties of clays
! No.5
1 Gs
2.7
1 wp
29.6%
I WL
43.0%
I 1,
13.4
]
Catalpo 2.7 20.3% 33.5% 13.2

381
The grain size of Catalpo clay is finer than that of
No.5 clay. Water Degree of

2.2 Experimental procedure

Uedometer test on compacted soils
The powder of No.5 clay is mixed with water and 1.62 30.2 50.5
clay specimens are prepared around prescribed water c 1.59 17.5 29.7
content. Clay specimens are compacted statically d 1.20 23.1 52.0
in the oedometer test apparatus. The initial 1 e 0.99 1 30.4 82.9
conditions of thus prepared clay specimens are
summarized in Table 2.2. The experiments are
carried out as follows. Under the condition of the Confining Pressure Suction (Wa)
constant vertical pressure of 196 Wa, the suction (&a)
stress is changed by means of applying air pressure IAl 19.6 1 0-+490+0 1
directly to the compacted soil specimen of which
B 19.6 0-392-+49+245
boundaries are set to be permeable. Namely since
the pore water pressure is measured, the suction C 19.6 0+294+49-+245
value can be calculated as, ID1 98.0 I 0-490-49 I
s = zc, -U,, (1) E 19.6 0+490+0
in which s is the suction, zi, is the pore air F 196.0 0+490-0
pressure and U, is the pore water pressure. Thus, Test-A, B, C, D: No.5 Clay; Test-E, F : Catalpo Clay
the suction stress is increased from 196 to 492 kPa
and then reduced to 0 kPa under the condition of
constant vertical pressure of 196 kPa in the 2.3 Experimental Results
experiment. Fig. 1 shows the experimental results obtained from
oedometer tests for compacted clay specimens.
Trimial test on reconstituted soils And changes of water content, void ratio and degree
Slurry paste of clays is prepared and of saturation with the suction stress are compared.
preconsolidated in the container. Thus obtained In the process of suction increase, the change of void
reconstituted clay materials are trimmed in the shape ratio with suction is not seen. But the water
of the diameter of 35 mm and the height of 80mm. content decreases with the increase of suction and
The reconstituted clay specimens are set in the seems to converge into a certain constant value in all
triaxial test apparatus and air pressure is applied in cases. On the contrary, in the process of suction
the same manner with the oedometer test. The decrease, the void ratio drops at the low value of
stress paths chosen in experiment are summarized in suction. It is called “collapse” phenomenon and is
Table 2.3. The suction stress is applied as shown in seen more conspicuously in initially higher value of
the table under the condition of constant confining void ratio.
pressure. F i g 2 shows changes of water content, void ratio
and degree of saturation obtained from triaxial tests

382
for reconstituted soils. The effect of suction stress
history on the water retention characteristics can be
examined from Fig.2. The water retention curves
obtained in the loading process of suction (with
increase of suction) are different from those obtained
in the unloading process of suction (with decrease of
suction). But the water retention curves in the
unloading process of suction gradually converge into
the curves of specimen applied higher suction stress.
Fig.3 shows influence of confining pressure on
water retention property of soil. The results
obtained from Test-A and Test-D for No.5 clays are
compared. It appears that the degree of saturation
in the case of Test-A more rapidly decreases with the
383
increase of suction stress than that in the case of
Test-D. However, its difference is quite small.
Moreover, since the drainage of pore water is hard to
be made under higher confining pressure in the
experimental practice, its difference due to the
confining pressure cannot be immediately accepted
as a mechanical property of unsaturated soils. In
fact, the experimental results obtained from Test-E
and Test-F for Catalpo clays do not show
dependency on the confining pressure as shown in
Fig.4. Therefore, it would be concluded that the
confining pressure does not influence the water
retention characteristics of unsaturated soils.
 Fig.5 Application of Fig.6 Relation of
Brooks and Corey's model air entry value and void ratio
3. THE EFFECT OF VOID RATIO ON THE FORM
OF WATER RETENTION CURVE
In order to examine the effect of void ratio on the
water retention curve, a model proposed by Brooks
and Corey is applied to the water retention curves
from experiments and the fitting parameters
employed in the model are considered. The Brooks
and Corey's model is expressed as,
in which S,is the normalized degree of saturation, S,
is the degree of saturation, Slo is the degree of
residual saturation when the suction, s + C O , s, is
the suction at saturation and a is the fitting
parameter and s, is generally called the air entry
value in drying process or the water entry value in
wetting process. Experimental data are plotted on
the bi-logarithmic plane of S, and s with assuming
the value ofS, and a straight line is drew so as to
best fit experimental data by using the least square
method. Such trial and error are made and fitting
parameters of s, and a are determined. And
simultaneously the air entry value and the water
entry value are also estimated. Fig.5 shows a
example of data fitting lines (solid lines) by Eq.(2),
in which s , ~and s,, in the figure are the air entry
value and the water entry value, respectively. The
Fig.8 The Capillary Model
384
Fig.7 Relation of
water entry value and void ratio
air entry value and the water entry value
corresponding to the value of void ratio are different
in each test. Since each entry value corresponding
to the void ratio can be specified for each of all tests,
the dependency of s, and s, on the void ratio is
summarized as shown in Fig.6 (air entry value) and
Fig.7 (water entry value). It is found that each
entry value can be expressed by a power fknction of
the void ratio as shown in the figures.
In order to examine the void ratio dependency, a
capillary model as shown in Fig.8 is introduced.
From equilibrium of forces, the suction value is
expressed as,
2T
s = zi, -74," = ___ ( 31
r
in which T is the surface tension, Y is the radius of
the capillary tube. If the sectional area of the
capillary tube per a unit surface of the model shown
in Fig.8 can be regarded as being equivalent to the
void ratio, Eq.(3) means that the suction stress
becomes smaller as the void ratio becomes larger.
Actually, the experimental results shown in F i g 6
(drying process) and Fig.7 (wetting process) are
consistent with it. The suction value is expected to
be in inverse proportion to the square root of void
ratio.
However, the pore structure in real soils is much
more complicated. It would not be suitable that
such a simple model shown in Fig.8 is directly
applied to quantitative prediction of suction stress in
the real soils. In this paper, the power law is used
in the expression of water retention curve to
consider the void ratio dependency. First, the idea
by Toll is employed here. He introduced the
"equivalent void ratio" which was defined as,
e," = w.G, = e . S , . (4)
The effect of void ratio on the water retention
characteristic of soils can be considered if one
employs the equivalent void ratio instead of the
degree of saturation as in Eq.(2). Then, the
following expression is presented.
 Fig9 Water retention curve Fig. 10 Theoretical drying curves Fig. 11 Theoretical drying curves
in terms of equivalent void ratio from saturated state from unsaturated state

Fig. 12 Relation of 0: and Sro Fig. 13 Predicted and experimental Fig. 14 Theoretical wetting curves
wetting curves from unsaturated state

suction works so as to compress the soil mass as the

(5)
in which e,is the equivalent void ratio and e,, is the
equivalent void ratio at residual state (s + a).
When one compares Eq.(5) with Eq.(2), he becomes
aware that both expressions have the same
parameters, i.e., CL and s,. Therefore, these fitting
parameters can be determined by the same manner
as shown in Fig.5 and then the fitting curves are
obtained as shown in Fig.9. The equivalent void
ratio at residual state, e,,, is uniquely specified from
S,,and the water content at the residual state in the
drying process. However, in the wetting process, it
is necessary to assume a proper value of equivalent
void ratio at the residual state (s -+ a) for each
case
The water retention curves in the drying process
are drawn in Fig. 10 in terms of the equivalent void
ratio. Two cases in which the initial void ratio is
different are considered, i.e. 0 and 0. The
broken line in the figure indicates the air entry value,
which is obtained from Fig.6. If the suction is
applied to initially saturated soils, the water
retention characteristics of the soils are expected to
change along the curves shown in Fig.10. The
external force until the suction reaches the air entry
value. The drainage begins when the suction
reaches the air entry value and the remarkable
compression of soils occurs. However, after that,
the amount of compression of soils gradually
reduces with the increase of suction and finally the
void ratio reaches its residual value, ewe.
Fig. 11 shows the case that the suction is applied to
initially unsaturated soils indicated by “P” in the
figure. Likewise, the suction at first works so as to
compress the soils as the external force until the
suction reaches to the water retention curve of
initially saturated specimen in this case. Then, the
drainage occurs along the water retention curve as
shown in the figure. The timing when the drainage
begins is different depending on the initial void ratio
as indicated by 0and 0in Fig. 10.
On the other hand, in the wetting process, the
equivalent void ratio at the residual state cannot be
specified uniquely. It is different in each wetting
process even for the same soil. And the water entry
value shows void ratio dependency as indicated in
Fig.7. Then, to address this problem, considered is
the shape of water retention curve in the wetting
process. As seen in Fig.1 and Fig.2, the gradient of

385
the water retention curve becomes smaller as the 3) M. Nakano. 1976. Pore volume distribution and
degree of saturation is lower. Since the gradient of curve of water content versus suction of porous
the curve is governed by the parameter, a, the body: 2. Two boundary wetting curve. Soil
relation of a and the degree of saturation at residual Science. Vol. 122. No.2: 100-106.
state (S,, = e,, / e ) is examined. Fig. 12 indicates 4) D. G. Toll. 1995. A conceptual model for the
drying and wetting of soil. Proc. 1st Int. Con$ on
the relationship between a and S,, . It is found Unsaturated Soils.Vol.2: 805-8 10
that there is a unique linear relation between CL and
S,,independent of soil properties. Then, once a is
specified, S,, and ew, can be estimated using the
linear relation shown in Fig.12. Fig.13 shows the
performance of above mentioned approximation
method that makes it possible to draw the water
retention curve in the wetting process.
Experimental data shown in Fig.2 are used and
compared with the theoretical curves. Good
agreement between them can be seen. Fig.14
shows the theoretical water retention curves in terms
of equivalent void ratio. Two cases in which initial
void ratio is different are drawn in the figure. Once
initial state of the soil indicated by “P” in the figure
is given, the water retention curve considering void
ratio dependency can be predicted fiom Eq.(5) as
shown in the figure.

4.CONCLUDING REMARKS
The main conclusions described in this paper are as
follows,
1. The void ratio dependency of the water retention
curve is quantitatively examined throughout
laboratory experiments. It is shown that the air
entry value and the water entry value are also
influenced by the void ratio.
2. The model proposed by Brooks and Corey is
introduced and the influence of void ratio on the
water retention curve is quantitatively examined
based on the model. It is found that the
parameter that effects on its gradient has a linear
relation with the degree of saturation in the
wetting process.
3 . The idea of the equivalent void ratio by Toll is
adopted to express more realistic water retention
characteristics of soils and a new model to
rationally predict the water retention
characteristics of soils is proposed.

REFERENCES
1) Vachaud. G. and Thony. J. L. 1971. Hysteresis
during infiltration and redistribution in a soil
column at different initial water contents. Water
Resources Research. Vo1.7. N o . 1 : 11 1-127.
2) M. Nakano. 1976. Pore volume distribution and
curve of water content versus suction of porous
body: 1. Two boundary drying curves. Soil
Science. Vol. 122. N o . 1: 5-14.

386
 Slope Stability Engineering, Yagi, Yamagami & Jiang 0 1999 Balkema, Rotterdam, ISBN 90 5809 079 5

Suction profiles and stability of residual soil slopes

E.C. Leong, B. K. Low & H. Rahardjo

NTU-PWD Geotechnical Research Centre, Nanycrrzg TechtzologicalUniversity, Singapore

ABSTRACT: In the tropics, many residual soil slopes stand at a very steep slope angle. The stability of these
very steep slopes is attributed to the suction or negative pore-water pressures within the soil. Measurements of
suction within a slope showed that the suction in the surface soils can change drastically due to climatic con-
ditions. As the pore-water pressure condition in the slope is never a constant, it is very difficult to account for
suction in slope stability analyses. Hence in practice suction is often not considered in slope stability analyses.
The paper attempts to illustrate how suction may be accounted for in the stability of residual soil slopes
through limit equilibrium analysis. Suction profiles, typical of residual soil slope conditions found in Singa-
pore, will be used in the analyses.

1 INTRODUCTION ingly, a number of landslides occurred during the

The relief of Singapore island can be divided into
the central hilly region of igneous rock formation in
Bukit Timah, Bukit Panjang and Bukit Mandai, the
western region of sedimentary rocks forming a suc-
cession of northwest trending hills and valleys, and
the relatively flat eastern region of sand and gravel
deposits. The igneous rock formation is known
geologically as the Bukit Timah granite formation
and the sedimentary rocks as the Jurong sedimen-
tary formation. Each formation occupies about one-
third of Singapore’s land area. The upper strata of
these formations are highly weathered where weath-
ering depth may vary from several metres to tens of
metres. The groundwater table in these soils is usu-
ally quite deep, thus most of the residual soils are in
an unsaturated state. Most of the island’s steepest
slopes are found in the ridges of the Jurong sedi-
mentary formation.
Singapore lying in the tropics is uniformly hot and
humid throughout the year, with an average mean
temperature of 27OC and average daily humidity of
about 85%. Rain falls throughout the year but is
heavier in the months of November, December and
January. Most of the rain falls as sudden showers,
with rainfall of more than 50 mm per day. The aver-
age annual rainfall is about 2400 mm. Not surpris-
months of November, December and January (Pitts
1983, Tan et al. 1987).
The factors affecting slope instability due to rain-
fall are: slope geometry, groundwater condition, soil
properties, rainfall pattern and slope surface condi-
tions (Leong & Rahardjo 1997a). In this paper, em-
phasis is placed on the effect of rainfall duration and
intensity on soil suction profiles and hence its effect
on slope stability. A typical slope geometry found in
parks and along highways in the Jurong sedimentary
formation is selected for the study.
2 SLOPE INSTABILITY DUE TO RAINWATER
INFILTRATION
To evaluate slope instability due to rainwater in-
filtration, two processes need to be examined. One
process is the change in pore-water pressure condi-
tions in the slope due to movement of rainwater into
the slope. The other process is the change in shear
strength of the soil due to the increase in pore-water
pressure and hence its effect on the factor of safety
against slope failure. Specialized computer programs
are available to evaluate the factor of safety for the
slope taking into account the reduction in suction
during rain. The most commonly adopted approach

387
is to use a finite element program for transient seep-
age to obtain the pore-water pressures in the slope
during rain and to incorporate the pore-water pres-
sures in a slope stability evaluation using limit equi-
librium analysis (e.g. Fredlund & Barbour 1992,
Alonso et al. 1995, Sun et al. 1995). Nowadays with
the improvement in desktop computing power, it is
possible to formulate and solve the problem using a
spreadsheet program. Such an approach is adopted
for the present study.
2.1 InJiltration
In this study, the process of rainwater infiltration
is treated in one dimension only. The transient one-
dimensional water flow into unsaturated soils can be
solved using Richard's equation:
where 8, = volumetric water content, t = time, z =
vertical ordinate, k, = unsaturated permeability and
h = hydraulic head.
A widely used solution of Equation 1 in terms of
the depth of the wetting front zw was proposed by
Lumb (1 975). The depth zwto which a wetting front
will penetrate into a slope in time t is given as:
where D = diffusion term, k, = saturated coefficient
of permeability, n = porosity, Sf = final degree of
saturation and So = initial degree of saturation. How-
ever, this solution is based on the restrictive as-
sumption that unsaturated permeability is constant
with depth and is valid only for the case where the
rainfall intensity exceeds the saturated permeability
of the soil.
Equation I can be recast in finite difference nota-
tions and implemented in a spreadsheet. To solve
Equation I , the soil-water characteristic curve and
permeability function of the soil are required. The
infiltration rate is dependent on both the rainfall in-
tensity and the permeability of the soil at the soil
surface. Using this approach, the pore-water pres-
sures at various depth can be obtained at different
rainfall durations. The pore-water pressure condi-
tions in a slope can be determined at different verti-
cal sections of the slope.
300
2.2 Limit equilibrium analysis
A number of limit equilibrium methods are avail-
able for slope stability analysis mash 1987). Fred-
lund and Krahn (1977) found that differences be-
tween factors of safety obtained from Bishop's
simplified method (satisfying moment equilibrium
only) and Spencer's and Morgenstern and Price's
methods (satisfying both force and moment equilib-
rium) are less than 0.4% for the cases that they had
analysed. The limit equilibrium method adopted for
this study is the Bishop's simplified method for non-
circular slip surfaces. Details of a spreadsheet for-
mulation for slope stability analyses can be found in
Low & Tang (1 997) and will not be elaborated here.
3 SOIL PROPERTIES AND SLOPE GEOMETRY
The Jurong sedimentary formation consists mainly
of interbedded layers of mudstone and sandstone
which are highly folded and faulted. The top portion
of the formation is generally weathered to residual
clayey or sandy silts. The weathered depths can ex-
tend to 40 m and is generally deeper in the faulted
areas and in the mudstone region. The groundwater
table can generally be found as shallow as 1.5 m
from the ground surface in the low lying areas and
can be deeper than 10 m in the hilly areas. The satu-
rated permeability k, of the Jurong formation resid-
ual soils ranges from 10-4m / s to 10-9m/s depending
on the depth and degree of weathering. Typical unit
weight y of the residual soils ranges from 17 to 20
kN/m3. The shear strength z of the Jurong formation
residual soils may be described using the extended
Mohr-Coulomb envelope (Fredlund et al. 1978):
(3)
where c' = effective cohesion, (T, = normal stress, ua
= pore-air pressure, $' = effective friction angle, U,
= pore-water pressure and $b = angle defining the
increase in shear strength for an increase in matric
suction (ua - U,). The value for 4' ranges from 20' to
40'. The value for c' is quite variable ranging from 0
to about 50 kPa. Typical $b angle for Jurong fonna-
tion residual soils ranges from 20' to 30'.
Typical cut slopes in the Jurong formation can be
found in parks and along highways. These slopes
have a height of about 10 to 15 m with a slope angle
between 20' and 30'. The slope geometry selected
for this study is shown in Figure 1 with the ground-
water table (GWT) at the level corresponding to the
toe of the slope. It was assumed that the slope con-
sists of homogeneous residual soil of the Jurong
sedimentary formation. The Jurong formation resid-
 ual soil properties used for the study are y = 18
kN/m3, k, = 10-5d s , c' = 5 kPa, and 4' = $b = 26".
The soil-water characteristic curve and permeability
functions used are given in Equations 4 and 5, re-
spectively. Details of the form of Equations 4 and 5
can be found in Leong & Rahardjo (1997b, 1997~).
(4)
In the above equations, (U, - U,) is in kPa and y, is
in kN/m3. The saturated volumetric water content 8s
used in Equation 4 was 0.4. Equations 4 and 5 were
used together with Equation 1 in the infiltration
analysis at sections 1 to 4 of the slope. The pore-
water pressure conditions in the slope were deter-
mined by interpolations from the four sections and
together with Equation 3 were used in the factor of
safety calculation using limit equilibrium analysis.
Section 11
Figure 1. Slope geometry and groundwater condition.
4 RAINFALL CONDITIONS
In the tropics, rainfall of high intensity is of short
duration and rainfall of low intensity is of much
longer duration. In Singapore, the relationships of
rainfall intensity and duration for return periods of 1,
10 and 100 years are shown in Figure 2. The chart is
normally used for surface drainage design (ENV
1992). The rainfall intensities selected for the analy-
ses were 8 mm/h, 16 mm/h and 61 mm/h or ap-
proximately 0.22kS, 0.44k, and 1.69k, (where ks is
saturated permeability of the soil), respectively. The
rainfall intensities correspond to rainfall duration of
10h, 5h and l h respectively for a rainfall return pe-
riod of 1 year as shown in Figure 2. In all cases, the
389
Figure 2. Rainfall intensity - duration plot for return
periods of 1, 10 and 100 years.
groundwater table is assumed to remain constant at
all times during rainfall.
5 INFLUENCE OF INITIAL SUCTION PROFILE
The suction or pore-water pressure profiles in the
slope are affected by the position of the groundwater
table and the climate (Leong and Rahardjo 1997a).
The deeper the groundwater table, the higher is the
suction at the ground surface which can increase to
even higher values due to evaporation and evapo-
transpiration. With rainwater infiltration, the upper
part of the ground may lose part of or in the extreme
case all of its suction. Such changes in the suction
profiles have been observed in Singapore residual
soil slopes (Lim et al. 1996, Rahardjo et al. 1998).
Two initial suction profiles for the residual soil
slope were used in the analyses. The initial suction
profiles at Sections 1 to 4 of the slope are shown in
Figure 3. Suction profile A represents the typical
pore-water pressure condition in a slope during the
dry season. Suction profile B represents the typical
pore-water pressure condition in a slope during the
wet season. The suctions are highest at Section 1 and
lowest at Section 4 as the ground surface at Section
1 is furthest from the groundwater table compared
with the other sections. The changes in suction pro-
file at various times under a rainfall intensity of 16
mm/h (0.44kS)are shown in Figures 4 and 5 for ini-
tial suction profiles A and B respectively. It can be
observed in Figure 4 that the suctions at Sections 1
and 2 did not change any further after 3h of rainfall.
The depth of influence is less than 2 m. At Sections
3 and 4, the situations are very different. At Section
3, the suction decreases with rainfall duration
reaching almost zero suction after 18h of rain. The
reduction is much faster at Section 4 where the pro-
file reaches almost zero suction after 6h of rain. In
Figure 5 , the reduction in suction is more rapid. The
suctions reduce to zero in all sections after a certain
rainfall duration. Similar to that of initial suction
profile A, the suctions reduce the fastest at Section 4
Figure 3. Initial suction profiles A and B.

Figure 4. Changes in suction profile with time for rainfall intensity, i = 16 mm/h, starting with initial
suction profile A.

Figure 5 . Changes in suction profile with time for rainfall intensity, i = 16 mm/h, starting with initial
suction profile B.

390
and slowest at Section 1. Using these suction pro-
files at different rainfall duration, a limit equilibrium
analysis of the slope was conducted using Bishop’s
simplified method with a non-circular slip surface.
The factors of safety with rainfall duration are
shown in Figure 6. Also shown in Figure 6 is a dash
line indicating the factor of safety of the slope if
pore-water pressures above the groundwater table
are assumed to be zero at all times. For initial suc-
tion profile A, the slope will show a reduction in
factor of safety but it will not reach the factor of
safety of the slope where zero pore-water pressures
were assumed zero above the groundwater table. Not
all the suctions in the slope were diminished by the
rainfall even after a long rainfall duration. For initial
suction profile B, the factor of safety of the slope re-
duces with rainfall duration reaching the factor of
safety of the slope without suction consideration af-
ter 27h of rain. The results indicate that initial suc-
tion profiles play an important role in slope stability
during a rainfall event. The results also provided ex-
planation for the role of antecedent rainfall in slope
instability due to rain.
Figure 6. Factors of safety versus rainfall duration for
different initial suction profiles.
Figure 7. Factors of safety versus rainfall duration for
different rainfall intensities.
391
6 INFLUENCE OF RAINFALL INTENSITY
Some researchers have suggested that if the rain-
fall intensity exceeds a critical value, slope failure
will occur. The influence of rainfall intensity on
slope stability was studied using three different rain-
fall intensities, 8 m d h , 16 mm/h and 61 m d h , with
initial suction profile B. The factors of safety for the
different rainfall intensities at different rainfall du-
ration are shown in Figure 7. For the rainfall inten-
sity of 8 m d h , the factor of safety reduces very
slightly at the initial stage and does not change any
further. The critical slip surfaces at various times for
8 mm/h rainfall intensity are shown in Figure 8a. For
the rainfall intensity of 16 m d h , the factor of safety
reduces as the rainfall duration increases, reaching a
constant value that is above the factor of safety for
the case where the pore-water pressures are assumed
to be zero above the groundwater table. The critical
slip surfaces for this case, shown in Figure 8b, indi-
cate that the critical slip surfaces become shallower
with the increasing rainfall duration. For the rainfall
intensity of 61 mm/h, the decrease in factor of safety
is more rapid, decreasing to the factor of safety for
the case where the pore-water pressures were as-
sumed to be zero above the groundwater table (Fig-
ure 7). The change can be more clearly observed in
the progression rate of the critical slip surfaces in
becoming shallower with the increasing rainfall du-
ration as shown in Figure 8c. The results in Figure 7
seem to indicate that there is a critical rainfall inten-
sity dependent on the initial suction profile, below
which the stability of the slope will not be affected.
7 CONCLUSIONS
In this paper, a way of accounting for suction in
the stability of residual soil slopes through limit
equilibrium analysis has been illustrated. The for-
mulation can be implemented in a spreadsheet and
does not require any specialized computer program.
The analyses showed that initial suction profile plays
an important role in the stability of residual soil
slopes during rain. In some cases, the suction profile
does not diminish significantly even after a long
rainfall duration. The analyses also showed that for
an initial suction profile, there exists a critical rain-
fall intensity, below which the stability of the slope
will not be affected even after a long rainfall dura-
tion.
ACKNOWLEDGMENTS
The work described in this paper is part of a re-
search project funded by the National Science and
Technology Board, Singapore, Grant No. NSTB ENV 1992. Code of practice on surface water drainage/
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392
 Slope Stability Engineering, Yagi, Yamagami L3 Jiang 0 7999 Balkema, Rotterdam, lSBN go 5809 079 5

Effects of perched water table on slope stability in unsaturated soils

Low Tian Huat, Faisal Haji Ali, Saravanan Mariappan & Phang Kam Soon
Civil Engineering Department, University of Malaya, Kuala Lumpur, Malaysia

ABSTRACT: Instability is an extremely important consideration in the design and construction of man-made
slopes and natural slopes. Slope failures and landslides are influenced by geologic topographic and climatic
factors. In tropical region, most of the slope failure occurs during severe rainfall. Rain water infiltrates into
the slope and reduce the soil matric suction and the strength of the soil. Perched water table may also
develops depending on the permeability of the soil layers in the slope and the rate of infiltration. In the paper,
effect of perched water table, which occurs after severe rainfall and underlying of impermeable layer were
studied. The effects of perched water table on factor of safety of slope were analysed by varying the
permeability ratio of soil layers, thickness of impermeable layer, position of impermeable layer, number of
impermeable layer and orientation of impermeable layer.

1 INTRODUCTION stability become unpredictable. Perched water table

Tropical countries like Malaysia experiences warm
and wet climatic conditions throughout the year.
Most of the highlands are covered with tropically
weathered residual soils. Significant infiltration into
residual soils can cause slope instability. Many
constructions of roads and highways are carried out
especially on undulating terrain that mainly consist
of residual soils.
Recently, slope stability problems had gained
attention from both public and local authorities after
a few cases of serious landslides occurred and
caused losses in properties and even lives. A huge
amount of money had to be spent on slope remedial
works yearly and giving rises for the need of
thorough and detail research on slope stability.
Most of the slope failures occurred during rainy
seasons. Many researchers found that rainfall
infiltration is the triggering factors of most
landslides (Affendi, 1996; D.G. Fredlund 1993). The
slope failure basically caused by the reduction of
soil suction during prolong period of rainfall and
reduced the shearing resistance.
Most of the sedimentary residual soils in
Malaysia are not homogeneous. The non-
homogeneity also caused by the weathering
process. They usually overlaid by one or more
layer of soils. Due to the different characteristic of
the soil layers, ground water condition and seepage
flow would be too and their influences to slope
effects of perched water(for both the permeable and
impermeable strata).
393
would probably built up when these non-
homogeneous soil strata are exposed to prolong
period of infiltration which is common for the
climatic condition in this region.
2 METHODOLOGY
In this study, the water flux and seepage on slopes
were simulated first by using a water seepage
(SEEPN) software (refer to Figure 1 for typical
output). The output from S E E P N was then
exported to a slope analysis (SLOPEN) software to
find the safety factor of slope (refer to Figure 2 for
typical output).
Before using S L O P E N , the moisture condition
for transient analysis from S E E P N has to be clearly
defined. The output at different interval of time was
combined with S L O P E N to make it possible to
determine the factor of safety of each interval of
time. For all cases, Bishop method of analysis were
chosen for the stability check.
In the analyses, the strength parameters for soils
has been defined as follow:
Unit weight (y) = 18 kN/m3
Angle of friction (phi) = 20°
Cohesion (C) = 20 kN/m’
The strength parameters were used to study the

Figure 1. Typical output from S E E P N
Figure 2. Typical output f r o m x O P E / W
Figure 3 Laboratory Hydrological Model
Parametric Study
The pattern of rainfall chosen was constant rainfall
with intensity 2.1 x 1 0 ' ~m / s for all cases. The
duration of rainfall was 12000 sec (3.333 hrs).
394
Under this type of rainfall intensity perched water
table can be generated in most of the cases. Thus the
effect of perched water table under these specified
parameters can be studied carefully.
The effect of the permeability ratio (ratio of
permeability of a permeable stratum to impermeable
stratum) was also studied. The critical ratio that
causes perched water table was determined.
The parameters chosen were as below:
i) 2.1 x 10-4m/s and for sloping surfaces was
1.05 1 0 - ~dS.
ii) Thickness of impermeable layer was 2m and
it was modelled at 4m below top surface.
iii) Height of slope was 8m.
iv) Permeability of impermeable layer had been
selected as 1 x 10.' m/s. The ratios were
defined in the range of 30000 to 100000.
In the study few possible cases were considered: -
I) Effect of position of impermeable layer.
2) Effect of dipping of impermeable layer.
3) Effect of thickness of impermeable layer.
4) Effect of number of impermeable layer.
5) Effect of rainfall intensity
Verification of the SEEP/W program
Before the parametric study, verification of the
suction values was carried out by comparing the
measured suction values in the laboratory
hydrological model (Figure 3) with the simulated
suction values by the S E E P N program. Figure 4
shows one of the typical variations of with time. The
difference of the lowest simulated and measured
suction is just 2 kPa. However, there is a time lag of
about 100 minutes between the simulated and
measured suction values. The rainfall pattern agrees
well with the drop in suction. The trend in recovery
of the suction values for the simulated and site
values are also found to be almost the same.
The initial difference of the suction values might
be due to the hysteresis effect of the soil water
characteristics of the sample used. .
Figure 4 comparison of simulated and measured
suction value.
3 DISCUSSION

Rainfall intensity for all the cases was specified for

horizontal surface as well as dipping surface. The
water flow into the slopes will be much more
complicated as the interference of water flow from
horizontal and dipping surface will happen. So,
fluctuation is expected.
The conditions that cause slopes to become
unstable and the factors that initiate the slip failure
should be able to be identified. These factors are by
the geological structure and hydro-geological Figure 6. Effect of position of impermeable strata
conditions of the slope. (distance referring to the top of the slope)
Generally in all cases the safety factor drops as
the perched water table starts to build up. The drops
are not very large i.e., not more than 20 %. 3.3 Effect of Dipping of Impermeable Layer

Cases with dipping layers generally have safety

3. I EfSect of Permeability Ratio of Permeable Layer factor with sloping bed dipping backward (Figure 8).
to Impermeable Layer This is because the dipping backwards enables more
water to accumulate above impermeable layer. The
By varying the permeability ratio, it will affect the effect of perched water table is more significant as it
seepage and water content in the slope and hence the is easier to form as safety factor drops earlier
stability of the slope. From the results shown in compare to model with dipping bed gradient same
Figure 5 , it is clear that safety factors drop at certain direction with dipping surface.
interval of time when perched water table starts to
build up. The perched water table starts to build up
earlier for higher permeability ratio and this causes
safety factor drop earlier. This is true because the
higher ratio means the permeable layer with higher
hydraulic conductivity, which allows water to
infiltrate into the soil faster. Generally perched water
table starts to build up from interval time 6000 sec to
8000 sec.

3.2 Effect of Position of Impermeable Layer

By varying the position of impermeable layer, the

time to build up perched water table seepage
infiltration and water content will be affected. From
graph (Figure 6), the safety factor of slip surface Figure 7 Typical profile showing the impermeable
starts to drop at time 6000 sec. This means perched stratum
water table starts to build up at this time. Generally
the effect of position of the impermeable strata is not
significant.

Figure 8. Effect of dipping of impermeable soil

Figure 5. Effect of soil permeability ratio on slope layer on slope safety factor. (negative in the figure
safety factor (Permeability of 1 X lo-' m / S for indicates dipping backwards)
impermeable stratum was used as datum)

395
3.4 ESfect of Number of Impermeable layer.
As the number of impermeable layer increases the
safety factor drops accordingly as shown in Figure 9.
In all the three cases shown in Figure 7, the safety
of factor seems to drop after a critical duration i.e.,
about 4000sec. This is due to the build-up of
perched water table in the slope.
Figure 9. Effect of number of impermeable strata on
slope safety factor.
3.5 EfSect of Rainfall Intensity
Figure 10 clearly shows that for rainfall intensity of
1 x 10-5 m/s or less the factor of safety remains
constant as no perched water table build up. For
rainfall intensity 5 x 10-5 m/s and 5.2 x 10-5 m/s
there are only slight drops i.e., not more than 2 %.
The drop of safety factor becomes more significant
for higher rainfall intensity. Rainfall intensity of 1 x
10-4m/s records a maximum drop of 4.4% while
rainfall intensity of 2.1 x 10-4 m/s records a
maximum drop in factor of safety.
Generally the safety factor starts to drop at time
6000 sec or 7000 sec. The reading is constant for set
of data with lower rainfall intensity, as for lower
rainfall intensity the effect of perched water table is
not significant. The safety factor for rainfall
intensity 2.1 x 10-4m/s shows fluctuating trend
before perched water table starts to build up because
seepage of high rainfall infiltration is more
complicated and difficult to predict. Interference of
water flow from horizontal and slope surface is
another contributing factor.
The permeability of the soil also plays an
important role in this study because when the
rainfall intensity is lower then the permeability of
the soil, the infiltrated rain water can dissipate fast
into the slope and does not cause perched water table
to build up. But, when the rainfall intensity equal to
or more than the soil permeability value, perched
water table will start to form.
In the analysis, the flux boundary condition needs
396
to be considered carefully. If the rainfall intensity is
more than the permeability of the soil, surface runoff
needs to be specified.
Figure 10 Effect of rainfall intensity on factor of
safety
4 CONCLUSIONS
From the studies carried out, the following
conclusion can be summarised:
i) Factor of safety will drop lower for slope
with higher ratio of permeability.
ii) When perched water table is formed, it
decreases the factor of safety. Further rainfall
does not seem to lower the safety factor.
iii) Cases with impermeable stratum dipping
backward generally gives lower safety factor
compares to cases with impermeable stratum
dipping forward.
iv) As the number of impermeable layer
increases the safety factor will drop. The
drop in safety factor is rapid after the critical
duration.
REFERENCES
Affendi, A (1996). Field and laboratory study on
unsaturated residual soils in relation to slope
stability analysis, Ph.D. thesis, University of
Malaya. Unpublished.
Fredlund D.G. , “Slope Stability analysis
incorporating the effect of soil suction”, 1987,
Slope Stability, John Wiley & Sons Ltd.
Fredlund, D.G and Rahardjo, H. (1993). Soil
Mechanics for Unsaturated Soils. John Wiley &
sons.
Morgentern, N (1963) Stability Charts for earth
slopes during rapid drawdown, Geotechnique,
vol13,pp 121- 131.
Othman, M.A., (1990). Highway cut slope instability
 problems in West Malaysia, Ph.D. thesis,
University of Bristol, unpublished
T.H. Low F.H. Ali, R. Subramaniam, “Parametric
Studies of Slope Stability in Unsaturated Residual
Soils” 13‘h. Southeast Asian Geotech. Conference,
Taiwan, 1998, pp 117-122.

397
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 Slope Stability Engineering, Yagi, Yamagami & Jiang 6 1999 Balkema, Rotterdam, ISBN 90 5809 079 5

Field suction variation with rainfall on cut slope in weathered sedimentary

residual soil

Low Tian Huat, Faisal Haji Ali & Saravanan Mariappan

Civil Engineering Departnzent, Uiziversity of Malaya, Kualu Lumpur, Muluysiu

ABSTRACT: Most residual soils especially in slopes are in unsaturated condition and therefore matric suction
is an important factor to be considered in the design or analysis of slopes. The suction has an important
bearing on water entry, structural stability, stiffness, shear strength and volume change. The soil matric
suction, the water content and the solute content and how they vary with time are often the most important
variables in soil engineering design. The field instrumentation for automatic continuous measurement of soil
matric suction, rainfall and other slope instability related parameters are presented in this paper. Description
of the selection. fabrication and installation of the instrumentation are discussed.

1 INTRODUCTION covered by different types of synthetics

Construction activities in hilly terrain covered by
residual soil frequently confront geotechnical
engineers with slope instability problems. Failures in
both natural and cut slopes in residual soils of
Peninsular Malaysia are usually brought about by
rainfall during the monsoon season. The upper layer
of the residual soil profile is always partially
saturated , but invariably has a relatively high
permeability to infiltrating rainwater. This obviously
causes the pore water regime to be governed largely
by rainfall pattern.
The mechanism of slope failure is that the
infiltration of rainwater causes a reduction of matric
suction in the unsaturated soil, resulting in a
decrease in the effective stress. This in turn reduces
the shear strength to a point where equilibrium can
no longer sustained in the slope. Good correlations
between rainfall intensity and frequency of
landslides have been reported by some researcher
from Hong Kong, Japan, United State and
NewZealand.
The instrumentation is attempted to study the
change of soil matric suction with the rainfall on a
cut slope along the link road of The Kuala Lumpur
International Airport (KLIA) Malaysia. The cut
slope mainly consists of two types of weathered
sedimentary residual soil, i.e., weathered sandstone
and shale. These residual soils come in alternate
bedding which is almost vertical. The weathered
sandstone bed basically is the thicker bed and the
study is concentrated in one of these beds. The soil
consists of very fine sand and silt. The slope is
(biodegradable) and non synthetic covers ( poly-jute)
after hydro-seeding to prevent erosion .
Instrumentation is carried out on every berm with
respect to different weathering grades of soil.
2 ROLE OF SUCTION IN SLOPE STABILITY
The principle of effective stress for unsaturated soil
was first used by Terzaghi (1923) and proposed by
him in the first International Conference on Soil
mechanics in 1936. Numerous researchers have
carried out work since then in order to confirm. But
the validity of the principle for unsaturated soil
mechanics has been questioned by Jennings and
Burland (1962). Following an extensive research
program on unsaturated soil conducted in Imperial
College the shear strength of partially saturated soil
was hypothesised ( Bishop, 1959) to be a function of
an effective stress defined as:-
where cf and 0 are the effective and total stresses
respectively, ua is the pore air pressure and uw is the
x
pore water pressure. is a function that depends on
the saturation with value 1 at 100% saturation and 0
for completely dry soil.
Fredlund and Morgentern (1987) showed from a
stress analysis that any two combination of the

399
three possible stress variables (0 -U,), (0 -U,,,) and system is set in such that when there are rapid
(U,-U,) can be used to define unsaturated soil. The changes (in terms of percentage change of suction
equation for unsaturated shear strength ‘I: is written in value) the 10 minutes interval would be utilised, or
terms of the stress state variables for an unsaturated else, the 30 minutes interval is used. The recorded
data are downloaded from the data logger direct to a
soil and is an extension of the form of equation used
portable notebook computer through an RS232
for saturated soils interface.
An automatic logging tipping bucket rain gauge is
installed at the study site. The rain gauge records
rainfall events on a real time basis. The clock of the
where, data logger for the tensiometers and moisture blocks
and the rain gauge recorder are always synchronised.
C’ = effective cohesion Figure 1 shows the schematic arrangement of the
0 = total stress instrumentation at the study site.
Ua = pore air pressure
The infiltration characteristics of the soil are
deduced by using a sprinkler system installed at the
UW = pore water pressure
site. A V- Notch fixed with a flow meter is used to
0’ = effective angle of friction measure the surface run-off in a control section in
(u,-uw) = matric suction the study (refer to Figure 2). Besides, an
0 = gradient with respect to changes in (ua-u,) infiltrometer P-88 from Geonor (refer to Figure 3) is
when (0 -U,) is held constant. used to obtained the infiltration capacity at the site
for the comparison with the sprinkler system.
The factor of safety for slope stability analysis
using method of slices can be derived using shear
strength equation [2] above. The shear force
mobilised at the base of slice can be written as:-

S, =OR { c’ + (0 -U,) tan$ + (Ua-U,) tan$ } [3]

Where
S, = the shear force mobilised on the base of
each slice.
F = the safety factor
p = the sliding surface of the slice.

3 INSTRUMENTATION Figure 1. Instrumentation Layout of the study Site.

20 numbers of tensiometer and 20 numbers of

moisture block and a rain gauge are installed on the
slope to monitor the changes of matric suction with
respect to rainfall. The tensiometers and moisture
blocks are installed at different depths. At each
berm, 4 numbers of tensiometers and moisture block
are installed i.e., with depth of OSm, l m , 3m and
3m. An automatic data acquisition system is
designed to record the output from tensiometers and
moisture blocks. Automatic data acquisition system
solves the problems of reliability, access and safety
which are difficulties associated with manual data
recording and allows continuous monitoring. The
data acquisition system is supported by a solar
powered set and specifically designed for low power
consumption. The logging intervals are achieved by Figure 2. Field Infiltration Sprinkler System
prescribing the appropriate interval during the set-up
process. Two time intervals are adopted in this
study, i.e., 30 minutes interval and 10 minutes. The

400

Figure 3. Infiltrometer
4 MATRIC SUCTION MEASUREMENT
In this study, matric suction of the soil is measured
using jet-fill tensiometer and moisture block (Soil
Moisture Corporation U.S.A). Moisture blocks are
used because tensiometer can only measure matric
suction below 1 bar of negative pressure while
moisture block can measure more than 4 bar. The
matric suction obtained from the tensiometer is the
difference between the gauge reading and the head
of the water in the stamp. The longer the
tensiometer, the lower the suction it can measure.
In this study the tensiometer is installed
perpendicular to the slope surface to reduce the head
of water ( refer to Figure 4)
Figure 4. Sensors Layout for each berm.
The accuracy of the moisture block when the
suction is below 1 bar is not as good as tensiometer.
To overcome the limitation of both the devices, both
the tensiometer and moisture block are installed at
the same depth for comparison and cross checking
purposes.
40 1
5 INSTALLATION OF INSTRUMENT SENSORS
In this study, normal coring tools cannot be used
because the soil is brittle and hard (various
weathering grades of weathered sandstone). A
special in-house designed motorised auger is
fabricated for the installation purposes. The
motorised auger consists of two motors with ?hand
% horse power. The quarter horse power motor is
fitted at the top of the machine to push the auger into
the slope as the half horse power motor is used to
rotate the auger. Both the motors are fitted with a
speed controller. During installation, four sand bags
are placed at the base of the augering machine and
the speed of the motors are properly controlled to
prevent the auger machine from being pushed up
when drilling through hard layers. The set-up is
shown in Figure 5.
The auger used in this study is designed to suit
the soil condition at the study site. The most suitable
distance between the flights is determined to be
25mm in order to ease the process of augering. Due
to the difficulty in fabricating long auger, 2 or 3
lengths of short extension flights are jointed
together.
After the hole has been augered, a special tool is
used to remove the residual from the hole.
Precaution needs to be taken because an intimate
contact with the soil is necessary in order for the
tensiometer and moisture block to function properly.
Moisture blocks are inserted into the bored hole
using a fabricated tool in the form of a long rod with
a modified tip. The soil is tamped firmly after
placing the blocks and bentonite is placed at the
surface of the hole in order to prevent the hole from
becoming an abnormal water passage.
All the wire leads are inserted into a poly-pipe
and are buried in a shallow trench in the ground. The
wires are connected to the data logger situated at the
midway between the berms. The adverse tropical
climate and vandalism are major concerns in the
installation. The tensiometers and moisture blocks
installation are protected by lockable steel security
cages grouted to the slope. The data acquisition
system is contained in a lockable steel hut. All the
transducers for the tensiometers are protected from
sunlight by wrapping them with a double layered
foam rubber on the inside and aluminium foil on the
out side.
6 DISCUSSION
Figure 6 shows a typical suction variation with
rainfall (one month duration) for one of the berm at
the study site. It is clearly shows that as the depth
increases, the matric suction reduces.
During the time interval of 14000 to 24000

Figure 5. Special Fabricated Augering Machine
Figure 6. Typical suction variation with rainfall for
on e-month duration.
minutes, there was no rainfall occurred. All the four
tensiometers experiencing increments in matric
suction. When the rain started to fall, matric suction
did not reduce immediately. Due to the infiltration of
rain water into the ground after rainfall, the matric
suction reduced slowly for all depths even without
any rainfall after the rainstorm.
From Figure 6 , the time interval of 0 to 13000
minutes, suction of the 3.0m depth tensiometer
gives very low suction values. This is mainly due to
the cumulative rain water during the raining period.
From the field infiltration test, the water
infiltration rate is 2.31 x10-6m/s.From Figure 6, it is
clearly shown that during heavy rainstorm, the
suction drops very fast and also recovers fast. One of
the reasons- is that the rainwater infiltrate nto the
slope through quartz veins in the soil.
Figure 7 shows one of the typical high rainfall
intensity patterns at the study site. The rainfall
intensity at the site can be very high, i.e., 1. 3 x 10-
4m/s.
402
Figure 7. Typical High Rainfall Intensity from The
Study Site
As shown in Figure 6, high rainfall intensity with
short duration may not play an important role in the
instability of slope. Prolong rainfall even with low
intensity could be significant.
7 CONCLUSIONS
The automatic data logging system for monitoring
tensiometers, moisture blocks and other devices has
been detailed. The desired attributes of the system
have been reasonably achieved and the advantages of
a fully electrical installation are credited to its
flexibility and continuity of data obtained.
Installation method which creates much less
disturbance helps to obtain more accurate data from
the instruments.
Generally as the depth increases, matric suction
reduces. But, in some circumstances, due to the flux
condition, this can be the other way round.
Heavy rainfall intensity may necessary cause
instability to slope but prolong rainfall can be
significant.
Geological features like quartz vein could be
significant in slope instability because it increases
the rainwater infiltration.
8 ACKNOWLEDGEMENT
Acknowledgement is due to the Road Section,
Public Work Department, Malaysia for providing
part of the research grant.
REFERENCES
Abdullah, Affendi M.L. & Ali Faisal, "Field
Instrumentation for Slope Stability in Residual
Soil ". GEOTROPIKA 92' Johor Bahru,
Malaysia.
Anderson , M.G. & Burt, T.P. “Automatic
monitoring of soil moisture conditions in a
hillside spur and hollow”, Journal of hydrology,
V01.33,1977,~~27-36.
Bishop, A.W. and Blight, G.E. (1967) “Effective
stress evaluation for unsaturated soils” Jour. Soil
Mech. & Found. Engg. Div., ASCE 93 (SM2),
pp. 125 - 148.
Fredlund D.G. “Appropriate concepts and tecnology
for unsaturated soils”. Second Canadian
Geotechnical Colloquim, Canadian Geotechnical
Journal, No. 1 6 , 1979, pp 121-139.
Fredlund,D.G., ”Slope stability analysis
incorporating the effect of soil suction”, Slope
Stability : Geotechnical Engineering and
Geomorphology, Edited by Anderson,M.G., and
Richards, K.S., John Wiley and Sons,
Chichester,1987, ppl13-144.
Rahardjo.H, Loi, J., and Fredlund, D.G.,” Typical
matric suction measurements in the laboratory
and in the field using thermal conductivity
sensors”, presented at Indian Geotechnical
Conference (IGC-89), Vol. 1, Visakhhapatnam,
December 1989.

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 Slope Stability Engineering, Yagi, Yamagami & Jiang C) 1999 Balkema, Rotterdam, ISBN 90 5809 079 5

Study of slope stability for Pleistocene cemented sandy sediments

in Singapore (Old Alluvium)

K. K. Poh, F! B. Ng & K.Orihar-a

Koso-Jihun Singupore Pte Limited,Singupore

ABSTRACT: This paper describes the methodology in the design of the 10 to 20m high cut slope in Old
Alluvium which is Pleistocene cemented sandy sediments in Singapore. Also described are the measures
taken to improve the safety margin of the cut slope and proposed monitoring program to verify the design
assumption and concept.

The project is in the initial construction stage and some of temporary cut slopes have been constructed. Based
on the monitoring results and field observation, the slopes designed according to the above methodology
(analysis and assumption) are found to be adequate.

1 INTRODUCTION 2 GEOLOGYAJVDOCCURANCE

Over a kilometer of cut and cover tunnel is currently
being constructed in the northeastern part of
Singapore using open cut excavation. Because o f ‘
space constraint, it is necessary to design steeper
slope based on the best estimate of the soil
properties and ground water condition.
Due to the high permeability of the Old Alluvium,
drained analysis is carried out for the design of
temporary cut slope. Nevertheless, short term
undrained analysis is also conducted as a check.
Drained shear strength and groundwater
conditions of the slope are critical parameters in the
drained analysis. Drained shear strengths were
determined by consolidated undrained triaxial tests
with porewater measurement on undisturbed
samples, and design values were then determined by
statistical method after consideration of safety
margin. Seepage analyses were carried out using
two-dimensional FEM seepage programme to
The Old Alluvium is alluvial fan or piedmont plain
deposits formed in the period of Pleistocene (10,000
to 1 million years ago), which is found lying on the
eastern part of Singapore.
The Old Alluvium consists mainly of lightly
cemented to cemented coarse quartz-feldspar sand. It
is heavily weathered near the ground level to the
greater depths.
3 SOIL PROPERTIES
-
; Gmii1 Size Distr ih U tion
>
Figures 1 and 2 show the distribution of grain size
i
and clay/silt content in the Old Alluvium. The Old
I
I
Alluvium is divided into sandy and clayey layers.
I
Stiff clayey layers are present as lenticular bodies
5 (Tan et a1 1980).
)

estimate the groundwater levels both at transient and
steady state.
The stability analyses were then carried out using 5
Modified Bishop method. During the construction, ,
groundwater levels are monitored by piezometers to I
verify the design information.
1 There is no significant difference in the grading
curves of sandy layers. The silt/clay contents in the
sandy layers range from 15 to 35% with an average
of 25%. There are little clayey layers in the present
site, with clay content as little as 10%.

405
Figure 1. Grading Curves of Old Alluvium

Figure 2. Silt/Clay Contents in Old Alluvium Figure 3 . P - q’ Plots

Permeability Figure 3 presents the p-q plots of sandy soils for

OA 1(N<I 0), OA 2a (1 O<N<15) and OA 2b (1 5<N<
The coefficient of permeability of the sandy soil
30), which constitute the main excavated soil for the
range from I x ~ O -to~ l ~ l O idsec
- ~ as obtained from
project. The data falls in the small range after
in-situ rising head permeability tests. The
divided into sub-layers. The lower quartile lines
permeability values estimated based on Dzo are one
(parallel to best fit line) were used for the slope
or two order higher than from field tests. This may
design (Orihara et al 1998).
be due to cementation of the Old Alluvium.

UrzdruiriedShear Stsergth
Undrained shear strengths were obtained from
laboratory unconsolidated undrained triaxial tests on
undisturbed soil sample. The undrained shear
strength was correlated to SPT N-values, and the
average line of Cu/N = 6N (Wa) was used in design.
Efft’ctive Shear. Strerigth
The effective shear strength parameters vary in a
wide range. To simplify the ground for analysis, the
Old Alluvium was divided into sub-layers according
to SPT N-values.
4 SEEPAGE ANALYSIS
To determine the phreatic surface, seepage analysis
was carried out using a two-dimension FEM seepage
programme. The computer programme “Soil2F”
developed by Kiso-Jiban is used in the seepage
analysis.
Goveniirig Eqircrtrons
The governing equation of seepage flow in
saturated/unsaturated soil is written as follows. For
simplicity, the equation for one-dimensional vertical
flow is given as follows :-

406
Figure 4. Phreatic surface of a single slope by FEM
seepage analysis
Figure 5. Phreatic surface of a single slope with
subsoil drain by FEM seepage analysis
Figure 6. Phreatic surface of two step slope with
subsoil drain at toe by FEM seepage analysis
0 : unsaturatedregion
a = [I : saturated region
Where z is the vertical co-ordinate
t is the time
k is the permeability of soil
\v is the pressure head
S, is the specific storage coefficient
8 is the volumetric water content
The seepage at transient and steady state were:
studied based on initial groundwater table and soil I
407
Figure 7. simplified phreatic surface for design
permeability. The boundary condition of the seepage
analysis are defined as follows:-
(a) constant head at 3 to 5H from edge of slope
(b) constant head at base of slope
From the seepage analyses, it is noted that at
steady state, a residual water head will form near the
toe of the slope. Figure 4 shows the lowering of
ground water level in a one-step slope. Figure 5
shows the water level when subsoil drain is provided
at the base. The residual water head will drop below
the base when drain is provided.
Due to the relatively high permeability of the Old
Alluvium, water level will reach almost steady state
in about 30 days, which is approximate time
required for excavation.
Figure 6 shows the lowering of ground water level
for two-step slope. Water level will reach almost
steady state in about 90 days.
Based on the above study, a standard simplified
approach is proposed for determining ground water
profile or phreatic surface for stability study of other
slopes. Figures 7a and 7b illustrate the approach.
Generally, the following assumptions are made :-
1. a residual water head at the toe of each slope
2. a rise in groundwater level due to rainfall

Figure 8. Toe failure due to residual water head
Figure 9b. Undrained analysis
Figure 9a, 9b. Results of slip circle analysis
The residual water head can be determined by
seepage analysis and verified by monitoring the
drawdown of ground water level, The rise in
groundwater level can be assumed by seepage
analysis which allows seepage by rain fall into
408
ground. However, there is a difficulty to determine
unsaturated soil parameters and local rain fall data.
In our case, we assumed phreatic surface before
excavation close to the slope although seepage
analysis shows lower level.
Preferably, the monitoring shall coininence over a
suffjcient period of time prior to the actual
excavation in order to assess the rise in ground water
level due to heavy rain.
5 SLIP CIRCLE ANALYSIS
Analysis
Modified Bishop's method was used in the slope
stability analysis and the minimum safety factor of
1.2 was used.
The slope stability analyses were carried out
under the following conditions:-
a) Stability of slope was studied under drained
condition and also checked under undrained
condition.
b) Tension crack was assumed to be filled with
water to the ground level for undrained analysis.
No tension crack was assumed for drained case.
c) Surcharge load of 15 kN/m2 to 30 kN/m2 was
also considered depending on construction
equipment. Adverse combination of loads are
considered for slope of more than one-step.
d) The phreatic surface was determined by seepage
analysis and modified slightly. Equi-potential
line determined by seepage analysis was not
used in the stability analysis. Phreatic surface
and linear increment of porewater pressure was
used in the analysis for safe design.
Measures to intprove safety iiiai-gin af slope
To improve the safety margin of slopes, subsoil
drains were proposed to be provided at the base of
slopes. There was a case that slope toe was eroded
due to residual water head (seepage force) and
subsequently partial slope failed. Figure 8 shows toe
erosion due to residual water head.
The residual water head will be lowered when
subsoil drain is provided. This lowering of water
head is not considered in design to allow for possible
rise in Water level due to rain, O r other reasons.
 Piezometers and Observed Ground Water Levels

Figure 10 Figure 13

Ground Water Levels versus Time

Figure 11 Figure 14

Comparison with Seepage Analysis

Figure 12 Figurc 15

409
 Turfing may also be provided to protect the slope
from surface erosion. Piezometers may also be
provided at suitable location to check the actual
phreatic surface and to confirm the design.
6 RESULTS AND VALIDATION
Monitoring results from piezometers are only
available at sections A and B at the present stage of
construction. The slope at section A and B are
typically one-step slope of 8m height, with a
gradient of 1 (vertical) : 1 (horizontal). At the
moment, subsoil drain has not been installed.
The stability of the slope indicates that the design
approach is adequate. Figures 9a and 9b show the
result of slip circle analysis for the slope.
Section A
Two piezometers, GWC( 1) and GWC(2), were
installed at section A. Figure 10 shows the slope and
the observed lowering of water level at the section.
Figure 11 presents the graph of ground water and
excavation level versus time for the piezometers.
There is an abrupt change of pressure head at
GWC( 1) just before the excavation reaching the
base. The reduction of overburden probably had
caused dilatancy of the ground, and thus the build u p
of negative pore pressure. The water level finally
stabilized at lm above the toe level
Figure 12 shows a comparison of the observed
ground water level and the results of seepage
analysis (transient state).
The trend line of ground water lowering compares
reasonably with the results from seepage analysis.
Based on the comparison, the permeability of the
soil at section A corresponds to a permeability of
1x10-*d s .
At Section B
One piezometer, GWC(3) was installed at section B.
Figure 13 shows the slope and the observed
lowering of ground water level at the section.
Figure 14 presents the graph of ground water and
excavation level versus time for the piezometer.
41 0
Figure 15 presents the comparison of observed
ground water levels and water levels from seepage
analysis (transient state).
The comparison of ground water level, between
the observed and analysis is good, indicating a
permeability ranging from l x 10‘ to l ~ l Om
-d
~s.
7 CONCLUSION
As the constructed slopes are stable and predicted
phreatic surfaces are reasonably close to the
monitored, the following conclusions are made :-
1) the phreatic surface at transient and steady state
can be determined by two dimensional FEM
program
2) simplified approach can be used for one-step
slope. For two-step slopes, verification will be
carried out with monitoring results.
3 ) rise in phreatic surface of ground water may be
estimated by seepage analysis. However,
unsaturated parameters and local rain fall data
are required.
4) the permeability of Old Alluvium is estimated to
be varied between lx 10-6to 1 ~ 1 0m/s
‘ ~ based on
monitoring results.
5) Piezometers are usehl tools for observing the
changes in phreatic surface during construction
and comparing with it to design.
REFERENCES
1. Orihara, K. and Khoo, K.S. (1998).
“Engineering Properties of Old Alluvium in
Singapore and Its Parameters for Bored Pile and
Excavation Design.” Thirteenth Southeast
Asian Geotechnical Conference, Taipei, pp 545-
550.
2. Tan, S.B., Loy, W.C. and Lee, K.W. (1980).
Engineering Geology of the Old Alluvium in
Singapore.” Sixth Southeast Asian Conference
on Soil Engineering, Taipei, pp 673-684.
3, Scott, R.F. (1 965).Principles of Soil Mechanics
pp 63-77, Addison-Wesly Publishing Company
Inc.
 Slope Stability Engineering, Yagi, Yamagami & Jiang v 1999 Balkema, Rotterdam, ISBN 905809 079 5

Influence of pore water pressures in partly submerged slopes on the critical

pool level

E. N.Bromhead, A. J. Har-ris & I? D. J.Watson

School of Cil-ilEngineering, Kiii\q\ton Uni\wsity, Kingcton upon 7‘harne.s UK

ABSTRACT: Variation in the external water level of a partly submerged slope causes changes in stability which
show up in the Factor of Safety computed by limit equilibrium methods. This paper considers the computation of
stability in partly submerged slopes, and shows that several alternative procedures give essentiallythe same result.
In many cases, there is some critical level for submergence at which the Factor of Safety is a minimum. This
is shown to be not a fixed location or level for a given slope, but to vary according to the response of pore water
water pressures inside the slope to the changing external water level. For example, in cases of declining water
level where water flows out of the slope, both the critical pool level and the minimum factor of safety are different
to the case where the water level is rising, and pore water pressures in the slope are lagging behind.
The implications of this to slope engineering is discussed.

INTRODUCTION Rather than to consider the arbitrary extremes of pore

In Bishop’s paper of 1955, a method of dealing with
partly submerged slopes was introduced. This was of
particular importance in connection with embankment
dam stability. It was recognised then, as now, that a
critical stability condition could arise on drawdown.
Indeed, it was also recognised that critical conditions
could occur during impounding. Thus there is an
apparent paradox that both filling and emptying a
reservoir gives rise to potential stability issues.Although
this has been recognised for decades, the partly
submerged case is a comparative rarity. The Authors
have found that engineers often have a “blank spot” in
respect of this aspect of slope stability, and even where
the principle is understood, the detail of the procedure
to solve the problem is poorly covered. An increasingly
widespread use of computer s o h a r e appears to have
had surprisingly little impact on the understanding of
slope stability analysis in general, but in this area at
least, it has probably reduced awareness ofthe problem.
Since some software does not make provision for the
partly submerged case, the situation can only worsen.
The procedure which Bishop set out for dealing with
these cases, discussed below, is only one of a set of
strategies for handling reservoir loading within limit
equilibrium methods generally. The alternative proce-
dures can have advantages when dealing with water
retaining embankments with different external water
levels on both sides - a case which Bishop’s method
handles only with difficulty.
water pressure response to loading which go under the
titles “drained loading” and “undrained loading”, the
Authors prefer to split the problem into two parts: the
imposition of the load itself, and the pore water pres-
sure response. The pore water pressure response at
any time may be made up fiom elements of steady seep-
age, with elements of unsteady seepage arising from
either (or both) soil compressibility or the emptying of
soil pores. What really counts in conventional limit
equilibrium slope stabilityanalysis are the resulting pore
water pressures, and not the mechanisms which give
rise to them.
Water loads on the face of a slope can improve sta-
bility. Both the horizontal and vertical components of
water loading on the toe of a slope act to decrease the
overturning forces and moments. In the early stages of
submergence of a slope, for example, in the first im-
pounding of a reservoir, the increased support for the
slope fiom the reservoir water load may be more than
offset by the effect of rising piezometric pressures in
the slope. In such cases, the factor of safety of the
slope against sliding may be found to be a minimum at
some critical reservoir level. This level is known as
“the critical pool level”. Factors controlling the criti-
cal pool level are discussed below. An analogous ef-
fect may be observed when the water level is drawn
down, but the critical external water levels for impound-
ing and drawdown may not be the same, especially if
the pore water pressures in the slope lag behind the
external water level.

41 1
 The four alternative procedures are considered
individually below.
The explicit procedure
An explicit procedure is to add the forces and moments
arising out of the external water loads on to the
individual slice force components. For a completely
satisfactorysolution, a method which handles additional
horizontal forces explicitly is required. This requirement
is a surprisingly difficult one to meet, and many methods
do not fblfil it (e.g. Bishop’s iterative method). If the
horizontal load transfer is not carried out correctly, the
effect of the water load is usually underestimated.
Figure 1 shows how the forces fiom the reservoir
water load are applied to the top surface of slices which
are submerged by the “downstream” and “upstream”
water levels. The vertical force component is naturally
easiest to deal with, because the weight of water acting
on a slice is simply added to the slice self weight
component.
As always in slope stability analyses based on a slices
method, the pore water pressures are treated as a
completely independent set of variables.
Some sofbvare will assume that pore water pressures
underneath the external water level are hydrostatic, but
this is by no means always the case, and a more general
situation is indeed better catered for when no such
assumption is made. An outstanding instance of the
assumption not being appropriate is the case of a lined
reservoir, with a drain immediately underneath the
impermeable liner.
Methods in which the explicit representation of water
loads can be made include those by Maksimovic (see
Bromhead, 1986, 1992), Sarma (1973) and Janbu’s
Generalised Procedure of Slices (1983).
Figure 1. Adding the water load forces to each slice.
The pore water pressures are handled independently.
Strengthless soil zone procedure
In this method, the external water loads are represented
by soil layers devoid of strength but having selfweight,
with a unit weight equivalent to that of water. The slip
412
Figure 2. Adding the wedges through the external wa-
ter zones. Pore water pressures inside the slope are
handled independently.
surfaces must be extended to the level of external water
at the toe and head of the slip if appropriate (Figure 2)
It is essential to include hydrostatic pore water along
the slip surfaces at these locations. A method which
uses inter-slice forces is de rigeur, but these forces must
be horizontal, at least in those parts of the slip surface
extended through the water. The vertical loads of water
are added to slice weights where appropriate.
Wedges through the water at the toe and head of a
potential slide are shown shaded in Figure 2, with the
force diagram for the toe wedge also shown inset. Slip
surface extensions through the water are shown dashed.
The force polygon with the slip surface through the
“water” gives the correct horizontal resultant acting at
the position of the toe. A similar result is found at the
head of the slide.
Problems which can arise when using this method
usually relate to the inability of some methods to cope
with zero shear strength. One reason for this might be
accidentally rotating the interslice forces in between
slices which consist wholly or largely of water, implying
that the water can sustain shear! Such a problem arises,
for example, when injudicious use is made off(x)
functions in Morgenstern and Price’s (1965) method.
The method is particularly sensitive tof(x) = 0 (no
inclination) and this is worse in some computer codes
than others. For small slip surface extensions, and good
codes, the problem may not arise at all, but for sensitive
codes and long, especially curved, slip surface
extensions, it may prevent a solution from converging.
Figure 3. Treating the water load as end forces to the
whole slip. Once again, the pore water pressures are
handled independently.
 Pre-calculated end forces procedure
In this procedure, end forces are applied to the slip
surface at the toe and head, computed from the depth
of submergence (Figure 3). This method replaces the
slip surface extensions of the “strengthless soil zone”
method, and therefore works in methods which fail
when strengthless soil is input. It is, however,
imperative that the end forces are not rotated (implying
shear!) as can easily be overlooked. Such a problem
arises, for example, when injudicious use is made of
f(x) hctions in Morgenstern and Price’s (1965) method
and is related to the problems noted above for the
strengthless soil procedure.
Some software can handle this procedure, with
varying degrees of completeness, simulating a “water-
filled tension-crack”. In cases where this can be done,
it is almost certain that it will only be permitted at the
slide head - and not at the toe.
Problems can also arise with programs which judge
the direction of failure from the relative heights of the
ends of the slip surface. In this case, the external water
forces may cause sliding in a direction which is
“downstream” but “upslope” with respect to the
inclination of the slip surface (see slip surface xy on
Figure 3). Whereas at first sight this may seem an
improbable slide surface, the combination of the nett
imbalance in water thrusts, a pre-existing (tectonically)
sheared zone on this alignment, taken together with
some seismic acceleration in the appropriate direction
(from y to x), could cause this to be the critical slide
surface.
Bishop k procedure
The procedure outlined by Bishop is one where the
forces from the external water load are omitted from
the analysis. To do so without effect on the computed
factor of safety, a set of internal force and moment
components which exactly equilibrate the external
water loads are also removed. Figure 4 shows this for
the whole slope and for sample slices.
Consider slip surface abcde and the possible sliding
of soil above it. The external water load acts along af
Figure 4. Slope submergence handled via Bishop’s
method.
413
at the toe of the slope. The linef c is at the level of the
external water. Bishop noted that the hydrostatic
pressures along af were exactly counterbalanced by:
(a) a set of pore water pressures along abc such that
the piezometric head at every point on abc is the
pressure head rising up to the linefc.
and
(b) the forces and moments due to the self-weight of
a body of water shaped like the polygonal figure abcfa.
The forces along af can be removed from
consideration, provided that forces equivalent to (a)
and (b) above are also removed. This is done, for
example in the slice illustrated, by modifying the pore
water pressures and the slice weights. The water weight
and moments are removed by taking only the submerged
unit weight in the dark shaded part of the slice.
Pore water pressures are modified by only considering
the piezometric heads above the linefc. In effect, this
reduces the piezometric heads on the illustrated slice
from the total shaded area down to the light shaded
area. Segments of the slip surface below the external
water (say, for example, from a to vertically belowjj
may end up with zero pore water pressure after
modification. Of course, if the pore water pressures in
this zone are not hydrostatic with respect to the external
water level, then the modified pore water pressures may
be non-zero positive (in the case of greater-than-
hydrostatic pore water pressures) or even negative
(when the pore water pressures are less than
hydrostatic, for example, because there is downward
flow).
Apparently negative pore water pressures come about
where the piezometric line dips below the external water
level line projected into the slope. This is seen in the
curved slip surface xy in Figure 4.Of course, there are
situations where the pore water pressures are genuinely
negative, for example in deeply desiccated clays in arid
regions, or in newly-placed clay fills in low height
embankments. This is not such a case, but is one where
the pore pressure modificationwhich in an integral part
of Bishop’s procedure creates the apperance of a
negative pore water pressure.
It is essential to use the resulting pore pressures after
modification without further adjustment. Some
software will, for example, take zero pressures when
negative pore water pressures are indicated. This is
conservative in ordinary engineering practice, but can
be misleading in dealing with submergence as well as
in back analysis (Chandler, 1977).
Problems arise when the external water is high on
one side of an embankment (Figure 4), and the method
deals with two water levels with difficulty, if at all.
Different water levels are normally dealt with by a
variation of the “End force” method, at least for the
higher of the two external water levels, or occasionally
by use of the “strengthless soil zone” method.
TEST CALCULATIONS
Effects of part submergence on pre-selected slip
surfaces
The above procedures have been tested with a variety
of methods implemented as computer codes. Both
codes written by one of the Authors and codes produced
by others have been tried. Within the limitations of
each implementation, and the quantum nature of the
method of slices, they all provide equivalent answers.
A consistentdifficultywas found with some codes when
the slope was entirely submerged. To analyse this case
with many computer codes is possible, when the
following practice is followed:
(a) Consider only the submerged unit weight in the
slope
(b) Operate only with those pore water pressures
which are different from hydrostatic with respect to
the external water level.
A series of calculations was also made with varying
external water levels on a simple test slope to examine
the “critical pool” effect. This test slope in indicated in
Figure 5 , which shows the simple geometry used in the
analyses. The height of the slope was taken as lOm,
and the slope angle was l(V) to 2 (H). While this is
comparable to many earthworks slopes, it is obviously
a small scale problem compared to many earth dams
and valley slopes submerged by reservoirs. However,
for purely frictional soil with a constant angle of
shearing resistance, the slope height does not enter into
the problem, and the same answers would be obtained
for a lOOm high slope. Scale does enter into the equation
when the soil properties contain appreciable cohesion.
For a given slope angle in a soil which is partly or wholly
cohesive, the initial factor of safety decreases with
increasing slope height, but the negative effects of part
submergence become progressively less important as
the proportion of cohesion rises, since they are
essentially an effective stress effect.
Two slip surfaces through the test slope were
considered: a shallow slip surface, slip 2, and a deeper
Figure 5. Different cases analysed. Water pressure con-
ditions inside the slope vary, and the effect is calcu-
lated for a deep slip (slip 1) and a shallow slip (slip 2).
414
seated slip surface, slip 1. Both of these slip surfaces
are slip-circles, and the analyses have been done with
an implementation of Bishop’s (1955) iterative method,
coded by one of the Authors. All of the strategies listed
above, with the exception of the “end force” strategy
can be employed in this code, and selected cases have
been analysed for comparison purposes. The majority
of the analyses have been carried out using Bishop’s
procedure. The selected cases provided identical results.
The end forces procedure is available within a
computer code implementation of Morgenstern and
Price’s method. This models the slip surface less
accurately as a circle (although probably more
realistically in practice) as a series of wedges. Certain
of the deep slip surface cases were modelled. In
addition, this code permits the other strategies to be
adopted. There were differences between the base
results obtained by the Morgenstern-Price procedure
and Bishop’s method, so that they never yielded
identical results, although they were close enough for
practical purposes, especially when enough slip surface
points were used. A further complexity with the
Morgenstern Price method is that the results are
influenced by the interslice force assumptions made.
However, the results satisfied the Authors that the
different strategies produced the same effect within a
given code. Even the differences between codes were
at the level of small changes in the second decimal place
for the numerical value of the Factor of Safety.
Slip 2 does not extend to the crest of the slope, and
thus becomes totally submerged by the higher external
water levels. The changes in factor of safety are shown
in Figure 5 , expressed as a ratio between the Factor of
Safety for the submerged case, and the Factor of Safety
without submergence (Fsub/ F ,).
Four different piezometric distributions have been
considered, labelled cases A to D inclusive. Case A
ignores pore water pressure change inside the slope.
This situation could arise with a perfectly lined reservoir,
Figure 6. The results: for the shallow slip (2) above,
and for the deep slip (slip 1) below. Results are plotted
for different reservoir elevations and the cases shown
in Figure 5.
 o r where the bank is of clay and operates undrained in
respect of the reservoir filling so that it is modelled
using total stresses, and any pore water pressure effects
are ignored. It was found that for this case there was
no critical pool effect, but that the imposition of
reservoir load acts always to increase stability. Slip 2
(the shallow one) increased in stability as the depth of
complete submergence increased. This was the result
o f the increase in pressures acting on the slope face as
the submergence depth increased. The base result for
the evaluation of Fo was no submergence and no pore
water pressure in the slope.
Case B could occur in a variety of field situations. A
good example would be a dam with a rockfill upstream
shoulder, where the permeability of the shoulder was
such that the water level in the rockfill was at all times
equal to the external water level. Both on impounding
and drawdown the same conditions would apply. In
case B, the piezometric levels rose with the reservoir
level, such that the water levels in the slope were always
the same as the external water level. The base result
for the evaluation of Fo was no submergence and a
piezometric line level with the toe of the slope. This
case demonstrated a critical pool effect, shown on
Figure 5, occurring when the external water level was
between 40 and 50% or the slope height.
Cases C and D, respectively for water flowing-into
and out of the embankment, correspond crudely to the
piezometric conditions expected when filling or
emptyinga reservoir where the piezometric equalisation
lags behind the reservoir level change. Another field
situation modelled by Case C is the flow through a
homogeneous embankment to a toe drain, where we
are consideringthe upstream slope. Ofcourse, the shape
of the top flow line (shown in a variety of positions as
the water level was progressively raised) is grossly over-
simplified, even for the situation where an idealised
homogeneous soil is taken, but the intention of the
demonstration was to identify general principles only.
Steady state conditions corresponding to Case D are
the flow of groundwater towards a river or pond, where
the external water level is lower than that in the
surrounding ground.
Critical pool effects were also noted in both of‘these
cases. The analyses of the deep slip exhibited greatest
clarity, and the the three cases B to D exhibit different
critical pool levels, as well as different percentage
reductions in stability, demonstrating clearly that the
critical pool effect is caused by pore water pressure
change in the slope and not by the external loading
which followed the same sequence for all analyses.
The shallow slip case was less clear because of
additional effects, but showed a critical pool effect for
water pressure cases B, C and D. The base result for
the evaluation of Fo with cases B and C pore water
pressures was the same as for case A, because the slip
surface did not dip below the toe of the slope. Case D,
however, did have pore water pressures in the base
415
analysis. The unit weight of soil in the slope was taken
as twice the unit weight of water, and the soil was
considered to be non-cohesive. As a result, the fully-
submerged results should be the same as the
unsubmerged result without pore water pressure, and
indeed, the Factor of Safety ratios for cases B & C did
return to 1.O when the slip was fully submerged. Case
D started with a lower factor of safety for the base
case than did cases B and C, and ends up, when fully
submerged, with a higher factor of safety ratio.
Cases B, C and D represent very similarpore pressure
conditions for the small shallow slip, and thus the
stability analysis results are very close. For the deeper
slip, there is more separation between the results for
all cases, in effect because the pore water pressure
conditions are more clearly different.
The deep slip is never fully submerged in these test
analyses, but the results are explicable using a similar
logic for the shallow slip. The base case is never (except
for case A) a “no pore pressure” case, and so the fully
submerged result will never be the same as the
unsubmerged case.
Total stress analyses (using cuonly as a soil property)
do not appear to exhibit the critical pool effect. Quite
simply, as the effect as the external water level rises is
an interaction between the increasing load (which
increases stability) and the corresponding rising pore
water pressures (which decrease stability), the total
stress analyses which are subject only to the first of
these can only show a rising factor of safety with
impounding.
These calculations did not attempt to address the
question of the location of the critical slip surface for
different degrees of submergence. This provides a
degree of further complexity which obscures the
simplicity of the interactions found. However,
experience suggests that there are two classes of field
situation which can be clearly distinguished.In the first
of these, similar to the model analysed here, the position
of the critical slip surface is constrained only very
loosely by the slope geometry, materials and pore
pressures. In such a situation, the critical slip surface
does change as the external water level rises. In addition,
the critical pool effect tends to be accentuated and
caused to occur at lower externalwater levels. A second
class of problems is encountered when the slope
contains an internal structure which constrains the slip
surface to follow a definite path. Examples of this
include pre-existing shears, or where the critical slip
surface location runs along thin weak layers. In these
problems the critical slip surface position does not
change on submergence.
Eflects of submergence on the critical slip surface
In none of the cases investigated did the critical slip
s d a c e mode, or even the factor of safety for the critical
slip surface, change on part submergence. For Case A
and Case By with a soil exhibiting non-cohesive
characteristics, the critical slip surface is always an
extremely shallow slip sub-parallel to the slope face
and located above the external water level. As the water
level rises, the length of this surface shortens, but its
factor of safety remains unaltered. Deeper slip surfaces
may have reductions in their factor of safety against
sliding, but riot to a value which is as little as the critical
factor of safety for shallow sliding. With the extremely
simplified pore pressure distributions shown in Cases
C and D, the same effect is also shown. It is, however>
clear that particularly with Case D, the effect of the
external water level in the slope could have some effect
on the stability of even shallow slips with toes
immediately above the external water level. For
example, if the phreatic surface was a convex-upwards
curve, then it could approach ground level above the
external water level, and thus have some effect on the
critical slip surface.
Non-homogeneous slopes, where due to materials
or geology the critical slip surface lies well within the
slope, have not been investigated specifically, but
experience shows that there the part-submerged Factor
of Safety does reduce with submergence. There does
not appear to be a simple rule for this, and each case
must be treated and analysed independently.
Ground deformations on submergence
The limit equilibrium method makes no allowance for
ground strains. However, on submergence, some
potential slide mechanisms in a slope need to mobilize
a greater proportion of the available shear strength. It
is impossible to visualize this without imagining some
correspondingground strains, leadingto settlementand
possible shearing (if the soil material has brittle stress-
strain characteristics).
A mechanism similar to this was invoked to explain
slope deformation due to flooding by Lauffer et al.
(1967) in slopes adjacent to the Gepatsch Reservoir.
Slopes subject to the critical pool effect may suffer
stability problems both on impounding and on
drawdown, and the critical pool levels for the two
situations will differ slightly, as the water pressure
regimes on filling and emptying of a reservoir will differ
appreciably.
REFERENCES
Bishop A. W. (1955). The use of the slip circle in
stability analysisof earth slopes. Gkotechnique 5, 7-
17.
Bromhead E.N. (1986, 1992). The stability of slopes
(1st or 2nd edition), Blackie Academic and
Professional, Glasgow.
Chandler R.J. (1977). Back analysis techniques for
slope stabilisation works: a case record.
Gkotechnique 27, 457-466.
Janbu N. (1973). Slope stability computations. In
Embankment Darn Engineering, Casagrande
Memorial Volume, Hirschfield E., Poulos S. Eds.
John Wiley, New York, pp. 47-86.
Lauffer, H., Neuhauser, E. and Schober, W. (1967)
Uplift responsible for slope movements during the
filling of the Gepatsch Reservoir.Proc 9th Congress
on Large Dams, Istanbul, 669- 693,
Maksimovic M. (1970). A new method of slope
stability analysis.Private communication.
Morgenstern N.R. Price V.E. (1965). The analysis of
the stability of general slip surfaces. Gkotechnique
15, 79-93.
Sarma S. (1973). Stability analysis of embankments
and slopes. Ggotechnique23,423- 433.

CONCLUSIONS

Partly submerged slopes with varying reservoir levels

can be analysed with equal validity making use of a
variety of procedures implemented within the limit
equilibrium method. Some of these procedures may
be available in stabilityanalysis sofhvare not explicitly
designed to cater for the partly submerged slope case.
Where the pore water pressures in the slope vary as
the reservoir level is changed, a minimum factor of
safety may be found at a critical reservoir level, termed
the critical pool level. Critical pool levels depend on
the piezometric distributionswithin the slope. A critical
pool level is more easily found for a specific individual
slide mechanism: the critical pool effect may not exist
for the slope as a whole.

416
 Slope Stability Engineering, Yagi, Yamagami & Jiang 0 1999 Balkema, Rotterdam, ISBN 90 5809 079 5

Role of pore water and air pressures on slope stability in reservoir for pumped
storage power plant

T. Sat0 & N. Nishizawa

Department of Civil Engineering, Gifu UniversiQ,Jupan
M.Wakamatsu & Y. Hiraiwa
Tokuru Construction Cornpuny Limited, Nugoya, Japan
I. Kumazaki
Chubu Electronic Power Company Incorporuted, Nagoya, Japan

ABSTRACT: Pore water and air pressures were measured at a slope of a reservoir by using a special
waterproof filter to prevent from water or air invasion into sensor chamber. The observations revealed that air
entrapment takes place at pressure of much greater than A.E.V. and suction starts to decrease earlier than the
time when water table rises above the elevation of the installation once air entrapment occurs.

1 INTRODUCTION on infiltration rate into unsaturated soil. Despite of

Fluctuation of water table sometimes accelerates the
increase of damages to slope stability. Several
instability factors have been reported, such as
decrease of soil strength, increase of pore water
pressure, progress of weathering, etc. There have
been no field measures to show good understandings
of slope instability induced by water table fluctuation.
A top reservoir of a pumped storage power plant was
chosen as a case study for investigations of pore
water and air pressure changes to show a good
performance of instability due to water table
fluctuation. The site locates at the northeast edge of
Aichi prefecture, Japan. Soil type is mainly
composed of granite.
Water content varies as water taljle rises and Ialls.
Measurements of TDR(Time Domain Reflectometry)
reveal that soil does not become fully saturate
condition even when water tablc rises above the
ground surface. The degree of water saturation varies
from 60 to 80 percent at submerged condition. Soil
pore contains air even after the surface is submerged.
Entrapped air builds bubble that tends to move
upwards into atmosphere with buoyancy. This easily
happens in pore with large radius. At this moment,
pressure of the entrapped air is no longer the same as
the atmosphere.
Former researchers had already reported that air
entrapment causes an reduction of infiltration as
compared with the case where air is allowed to
smoothly escape from soil pore as water enters into
soil (Christiansen 1944, Horton 1940). Youngs and
Peck( 1964) and Peck( 1965a, 1965b) observed
fluctuation of air pressure and escape of air bubbles
in bounded column. The studies, however, focussed
the investigations, lots of unknowns still remains
with respect to the effect of air entrapment onto
slope stability.
The purposes of this study are: ( I ) to offer an
example for measuring pore water and air pressures
in field; (2) to give a good understanding on
measured values; and (3) to show air entrapment
effects on slope stability, especially on failure due to
suction decrease near the surface.
2 FIELD MEASUREMENTS
2.1 Pore water pressure
Three types have been proposed for measuring
negative value of pore water pressure in soil. Type 1
is the use of manometer displaying water potential
inside soil as height of water surface. Type 2 uses
sensor instead of manometer. This shows a good
response to soil-water pressure change. Type 3 is a
pressure meter applicable to the negative. Filter
selection is important to detect hydraulic potential of
water affected from capillary. Large amount of
A.E.V. (air entry value) is recommended for
preventing from air invasion into sensor chamber.
Pore pressure meter of which filter is replaced by
a ceramic is installed in the slope. A.E.V. is 200kPa
with considering fluctuation of water table from 846
to 868 meters above the mean sea water level
(M.S.L.). Tension meter is also installed to find out
capillary potential near ground surface. The pressure
meter applicable to negative value is illustrated in
Fig.1. Air is removed from the filter by putting it
into boiled water before installation.

417
Figure 1. Device for pore water pressure.
Figure 3. Layout of gauges at a reservoir slope.
2.2 Pore air pressure
A waterproof filter called as Bio-filter is applied.
This enables air to pass through it. Water can not
invade into the chamber containing air pressure
sensor. An apparatus is displayed as Fig.2. This is
originated from water level gauge equipped with the
filter fixed by a holder. The space bounded among
Bio-filter, filter holder and sensor is as small as
possible since responsibility to a small volumetric
change is improved. It amounts to 34 cm3, which is a
little too large to measure.
2.3 Layout
Pressure meters are installed as Fig.3. P1, P3, P4 and
P5 are Type 3. T2, T3 and T4 are Type 2. Pore air
pressure is installed at the point of A, of which
elevation is the same as T2. Measurements by P1, P3,
P4 and P5 started in Oct. 1995, T2, T3 and T4 in
Aug. 1996 and pore air pressure in Oct. 1998. The
paper addresses to the observations within Dec. 1998
418
Figure 2. Device for pore air pressure.
because pore water and air pressures are
simultaneously detected this month.
3 RESULTS
3.1 Pore water pressure
Figure 4 shows results of pore water pressure and
reservoir water table. Unit of pressure is expressed
by gauge pressure that is different from absolute one.
The figure implies that the pressure inside slope
changes dependently on the elevation of water table.
P3 and P4 similarly behave with good response to
water table fluctuation, but P5 does not respond
when water table falls below 861 meters above
M.S.L.
3.2 Tension ineter
Measurement of tension meter is shown in Figure 5.
Behavior within the positive value shows a good
Figure 4. Results of pressure gauges.
Figure 5. Results of tension meters.
response to water table fluctuation. On the other
hand, changes become slow once the pressure turns
into negative. This comes from capillary force acting
at the soil-water interface. Rapid increase is also
seen after the increase of negative value.
3.3 Pore air pressure
Results are described in Figure 6. Air pressure is
recoverable until Dec. 9. Residual pressure is
generated in a couple of days later and it gradually
41 9
increases dependently on water table. Air entrapment
takes place at this moment. Reservoir water table had
never risen above the elevation of the pressure gauge
until Dec. 9. Once pressure gauge is submerged, air
can not escape from the chamber since the bio-filter
prevents from water invasion. The increase results
from air invasion into the chamber surrounded by
waterproof filter. The pressure is no longer the same
as atmospheric once the entrapment happens. The
measurement is for air in the chamber, but the same
situation is expected in entrapped air in soil pore.
Figure 6. Results of a pore air pressure gauge.
Figure 7. Pore water of T2 and air pressures of A.
4 DISCUSSIONS
4.1 Air entrapment
Air pressure recoverably changes even when pore
water pressure turns into positive value until Dec.9.
Once air entrapment occurs, the measurements
describe the residual value larger than the
atmosphere. The residual air pressure is kept at a
constant until pore water pressure reaches to a
minimum value. According to Fig.6, the residual
420
value tends to gradually increase as water table
fluctuation goes on.
Air entry value (A.E.V.) of this soil is estimated as
10 cmH,O from laboratory measures of water
retention characteristics. The entrapped air pressure
increases from 20 cmH,O on Dec. 10 to 50 cmH,O
on Dec.24. The difference results from exchange of
air and water in addition to effect of the waterproof
filter. Laboratory tests are conducted at a slow speed
enough to smooth exchange of air and water. Rapid
rise and fall of water table induces air entrapment
 Figure 8. Suction change at air-water interface.
inside the slope. Once air is entrapped, it does not
escape from the soil even when air pressure attains
A.E.V. because water is applied to overburden
pressure. Youtigs and Peck( 1964) declared that the
maximum value of air pressure is about A.E.V. plus
overburden water pressure above the depth of
considering point. Their estimate meets with the
measurements in Fig.6.
The iiiaxiiiium value of air pressure appears at the
peak of water pressure. Air and water pressures are
theoretically the same at air-water interface in the
equilibrium condition. Figure 7 shows that the
generating air pressure is a little less than the water
pressure. The difference ranging from 5 to 17
cmI3,O may come from displacement due to
elasticity of the Bio-filter. Nolie of exact
relationships can be seen between the difference and
pore water pressure.
4.2Suction chungeJ
Pressure difference at air-water interface is defined
as suction. In engineering practices, air pressure is
assumed to be alniost the same as atmosphere. The
physical meaning of suction corresponds to the
negative value of capillary pressure.
Once entrapment occurs, air possesses pressure
differing from atmosphere. Figure 8 shows suction
defined as difference between pore air and water
pressures. Rapid fall down and rise up in water table
induces suction change. Soil-water capillary is an
important factor for suction increase generated at
water table draw down. On the other hand, air
pressure induced by entrapment in soil pore mainly
takes an effect on suction increase when water table
rises. Important things happen after growing up
suction due to water table rises. Suction dissipation
suddenly takes place after water table rises. At this
moment, air is replaced by water. Air escapes and
water invades into soil pore.
Suction dissipates at different value before and
after air entrapment takes place. Once entrapment
occurs in the chamber, rapid dissipation takes place
at lower elevation of water table. Before Dec. 9,
dissipation starts at 863 meters above M.S.L. After
Dec.15, suction decrease arises at lower level of
water table less than 862 meters above M.S.L. and
the amount becomes large.
One of the reasons is residual pressure of entrapped
air in the chamber. Microscopic investigations may
be required to well understanding on the mechanism
of air replacement by water in soil pore.
4.3 Air-water exchnage
Diagrams are displayed in Figs.9, 10, 11 and 12 to
show the relationships between reservoir water table,
pore water and air pressures. The vertical axis
describes gauge pressure. Focus is on the rises of
reservoir water table, of which elevation is given on
the horizontal axis. The switching point, where pore
water pressure turns into the positive (hydrostatic
condition) from the negative (capillary condition),
increases as the elevation of the tension meter
decreases. This implies that air smoothly escapes
from the shallow rather than the deep. Differences
between the hydrostatic pressure line and the
measures are the pressure generated by air
entrapment at each depth.
The results of T4, of which depth is 120 cm below
the surface, describes that switching point arises
much later than the other two. The difference from
Figure 9. Relationship between T2 and water table.
Figure 10. Relationship between T3 and water table.
hydrostatic pressure is also as big as the other two.
Air is replaced by water in conjunction with drastic
change of water pressure at this moment. This is one
of reasons for slope instability.
5 CONCLUSIONS
Pore water and air pressures were simultaneously
measured at a slope of a reservoir to find out suction
decrease effects on slope stability. A special filter
was applied to water level gauge for preventing from
water invasion into the sensor chamber. The
conclusions of this study are as follows,
(1) Field measurements reveal the possibility of air
entrapment in slope when water table rapidly rises,
(2) Entrapped air builds up pressure much greater
than A.E.V. estimated from laboratory tests for water
retention characteristics, and
(3) Air replacement with water takes place at slope
inside later than the near ground surface and it
accompanies a drastic decrease of water suction.
REFERENCES
Christiansen J.E.( 1944). Effects of entrapped air
upon the permeability of soils. Soil Science 58?
422
Figure 11. Relationship between T4 and water table.
Water table (M.S.L.m)
Figure 12. Relationship between A and water table.
355-366.
Horton R.E.( 1940). An approach towards a physical
interpretation of infiltration capacity. Soil Sci.
Soc. Am. Proc. 5,399-417.
Peck A.J. (1965a). Moisture profile development and
air compression during water uptake by
bounded porous bodies: 2.Horizontal columns.
Soil Science 99, 327-334.
Peck A.J. (1965b). Moisture profile development and
air compression during water uptake by
bounded porous bodies: 3.Vertical columns.
Soil Science 100,44-51.
Youngs E.G. and Peck A.J. (1 964). Moisture profile
development and air compression during water
uptake by bounded porous bodies:
1 .Theoretical introduction. Soil Science 98,
290-294.
 Slope Stability Engineering, Yagi, Yamagami & Jiang ((-1 1999 Balkema, Rotterdam, ISBN 90 5809 079 5

Seepage characteristics of decomposed granite soil slope during rainfall

S.Sasaki
Depu r tnz ent of En viromnen rul and Civil Engineering, Wukuyuma Nurionu1 Col1eg e cf Technology, Goho,Jupu n
S.Araki
Osako Ojjke of Dn iya ConsLil tunt, Jupan
K. Nishida
Depurh?ienrof Civil Engineering, Kaiuui Uizivei-sity,Suitu, Jupan

ABSTRACT: This paper deals with the relationship between seepage parameters of undisturbed decomposed
granite soil and degree of weathering, and examines the seepage characteristics of natural slope in a
decomposed granite soil area during heavy rainfall. The severely weathered sample contains much confined
water evaluated at pF4.2 than the slightly weathered sample does. Especially, the confined water affects not
only on the soil water characteristic curve with hysteresis but also on the relationship between hydraulic
conductivity and volumetric water content. It has demonstrated that the water flow pattern in slope during
rainfall can be clarified by means of the seepage analysis depending on the seepage parameters

1.INTRODUCTION physical properties of compacted decomposed

The disasters such as natural slope failure and
ground collapse take place during rainfall on every
year in the decomposed granite soil region of Japan.
In examining a weathering zone in detail, it is often
seen to take place the several layers, which are
different in the degree of weathering. The reason
why the soil collapses is closely connected with the
peculiarity of the soil.
The decomposed granite soil has already used a: ;
a material for embankment constructions. However ,
slope failure due to rainfall is caused in this soi 1
region and the following property peculiarities haw :
been pointed out:
(I) Soil particles are easily broken and deformation
due to collapse occurs during water permeation. (2)
A physical property of soil varies with the degree of
weathering. Accordingly, this soil is referred to one
of problematic soils in Japan.
Many investigators have already clarified the
relationship between degree of weathering and the
granite soil and also many data relating to the soil
have been applied for the embankment design or
slope analysis. However, it is found that the natural
slope failure due to the heavy rainfall takes place
mainly the region in which the decomposed granite
soil is distributed. Therefore, it is important to
investigate the seepage characteristics and
mechanism both on undisturbed sample and on
natural slope of the decomposed granite soil regions
during rainfall. But, in this case, it has been stated
that the informations of seepage parameters have
not been fully collected yet for the practical seepage
analysis of natural slopes. Because it is difficult to
examine the pore water pressure of the specimen
collected in undisturbed state on slope of
decomposed granite soil.
In this study, the relationship between degree of
weathering and seepage parameters such as
hydraulic conductivity and soil water characteristic
curve are examined for undisturbed decomposed
granite soil specimens and moreover the seepage

423
mechanism is clarified for the natural slope during
rainfall by applying the numerical analysis
2 .EXPERIMENTAL PROCEDURE
The samples of undisturbed decomposed granite
soil with different degree of weathering were
obtained from a cutting slope. In order to examine
the soil fabric effects on the seepage characteristics
of decomposed granite soil, a large undisturbed
specimen (length 3Omm, section 13 0 x 13 Omm) were
prepared by means of the nail sampling method
(Nishida, 1986).
The ignition loss of samples was adopted as a
criterion of the degree of weathering and the
coefficient of permeability in saturated state was
determined by the constant head permeability test at
a definite hydraulic gradient (1). The confined water
content at pF4.2 was measured by making use of the
pressure membrane method.
The physical properties of samples are shown in
Table 1. It is shown in this table that the degree of
weathering increases with the increment of sample
number depending on the values of ignition loss. In
Table 1, the water content at pF4.2 of the severely
weathered sample is also larger than that of the
slightly weathered one. This fact suggests that much
water should be held within or around the
weathered soil particles depending on the soil fabric,
It is important to evaluate the confined water
content as water content at pF4.2 in the estimation
of seepage parameters of decomposed granite soil.
Photos. 1 and 2 show the photomicrograph of the
soil fabric of samples. The specimens were prepared
after infiltrating the methylmethacrylate into the
sample of the diameter of 6 cmxlength 5cm.
The slightly weathered sample is given as Photo.
1. It shows the flat surface of feldspar without the
existence of intragranular voids. On the other hand,
Photo.2 of the severely weathered sample shows
porous soil fabric which correspond to intragranular
voids.
3.RESULTS AND DISCUSSION
The soil water characteristic curves for the samples
of different degrees of weathering are given in Figs.
1 and 2, which are measured by the pressure plate
method. In order to measure the volumetric water
content in undisturbed sample, the experiment was
done for a large sample with the length lOcm,
diameter 14cm. The experiment of pressure plate
method carried out by using a n apparatus shown
Fig. 3 equipped with neutron ray radiation
equipment (15'Cf 1.85MC').
The measurement of volumetric water content

Physical Specific Ignition Dry Water Coefficient of Degree of

Properties Gravity loss Density Content a t Permeability Weathering
Sample \ Ps (%) (glcm3) pF4.2 (cm/s)
(cm3/cm3)
No.1 2.675 1.192 2.166 0.040 6.00X 10.' Slightly
2 2.617 1.269 2.145 0.040 4.77 Weathered
3 2.676 1.514 1.876 0.040 4.59
4 2.732 3.750 1.291 0.130 2.50

424

Fig.1 Soil water characteristic curves of
samples
425
Fig.2 Soil water content characteristics
of sapmles
Fig.3 Layout of experimental appratus
has been done periodically under a definite air
pressure by means of the air pressure control system,
after the sample is h l l y saturated
The first hysteresis loop that means the difference
between drainage and infiltration process for the
severely weathered sample is remarkably revealed
in comparing with the slightly weathered one. For
the second hysteresis loop in these figures, the
difference in degree of weathering can be found.
The phenomenon suggests that water should be held
tightly within or around the soil particles.
In examining the seepage phenomenon of an
undisturbed sample, it is important to estimate the
amount of confined water for the analysis of soil
water characteristic curve.

Fig.5 Relationship between relative
permeability and volumetric water content
The shape of the curves is expressed by Eqs. (1)
(Brooks et.al.1966) and (2) (Matsukawa et. a1.1983)
which have been derived experimentally.
Se = (8- 8 r/O s- 8 r)
where, Se : effective degree of saturation
?)/. :suction (kPa)
'$ cr : critical suction(kPa)
h , A,B,C constants
8 :volumetric water content(cm3/cm3)
8 ssaturated water content(cm3/cm3)
8 r:residul volumetric water content
(cm3/cm3)
In Eqs. (1) and (2),Se was caluculated by using the
equation defined by (3). In these equations, 8 r is
the volumetric water content at pF4.2 shown in
Table 1.Water content at pF4.2 is not involved in
permeation. The evaluated values from Eqs. (1) and
(2) are shown in Fig.4. It is clear that the values
evaluated in Eqs. (1) or (2) fit relatively well the
measured values for the slightly weathered sample.
On the other hand, the difference between values
calculated by both equations is remarkable for the
severely weathered sample. From these data, it is
useful to estimate the soil water characteristic curve
making use of Eq. (2), which has been ascertained
for the various kinds of compacted soil.
The relationship between by hydraulic
conductivity and volumetric water content for the
representative samples in Table 1. is plotted in Fig.5.
The difference is appeared between compacted and
disturbed samples. At first, the hydraulic
conductivity of compacted sample varies in
smoother paraboratic curve, comparing with that of
one. Especially, it is seen that for the severely
weathered samples, the sudden drop of the
hydraulic conductivity can be seen at volumetric
water content because of the presence of macro pore
as shown in Photo.2.
In order to analyze the seepage properties of
decomposed granite soil layer, the failed slope in
Masuda City was adopted as a model slope for
seepage analysis by FEM. In the numerical analysis,
it is reasonable to choose the multi- layered model
which is consisted of layers of the different degree
of weathering and the pressure head @ = 0 kPa is
given along the slip surface of the layer as an initial
(3)
condition.
426
Fig.6 The seepage analysis o f FEM

427
 Volumetric Water A 0.339 0.365 0.413 0.445 0.460
Content 8(cm3/cm3) B 0.374 0.381 0.413 0.461 0.50
Suction$ (KPa) A 11.3 5.8 1.3 0.5 0.4
B 10.9 8.9 2.7 0.5 0.3

Relative Permeability A 0.003 0.015 0.05 0.15 1.00

Kr B 0.007 0.014 0.06 0.29 1.00

Saturated Volumetric A 0.46

Water Content B 0.50
0 s(cm3/cm3)
Residual Volumetric A 0.10
Water Content B 0.20
0r(cm3/cm3)
Specific Moisture A 7.3 x 10.4
Capacity C($) (llcm) B 9.9 x 10-4
Coefficient of
Permeability Ks(cm/s) 11
A
B
2.0 x 10.3
7.0 x 10-4
A: Slightly weatherd sample B: Severely we athered sample

The behavior of water stored within a soil layer 4. CONCLUSION

during rainfall is expressed in Fig.6 obtained by
applying the physical parameters of Table 2. As the
results, the magnitude of flow vector in slightly
weathered lower layer is larger than that in severely
weathered upper layer and the values increase
toward the slope toe. Moreover, it can be
understood that the ground water level rises
gradually until the surface of slope and the high
water pressure is generated in a localized portion at
the toe of slope.
Another simulation result for examining the
factors relating to the water pressure generation
described above is shown in Fig.6, which was
calculated by assuming the inverse rainfall pattern.
It is realized from the result that the water level is
lower, comparing with the carrier of real rainfall
pattern state. As a result, for the factors affecting
slope failure, it can be pointed out that the water
stored at the interface of different weathered layers
contributes greatly to the generation of high water
pressure.
1.The seepage parameters such as soil water
characteristics curve and hydraulic conductivity
are dependent on the degree of weathering.
2.It is reasonable to understand that from the results
of seepage analysis, the increment of water
pressure due to rainfall causes the slope failure.
REFERENCES
Nishida, K. 1986. Engineering properties of
weathered residual soil, Kashima Publish Company,
Tokyo.
Brooks, R.M.& Corey, A.T. 1966. Properties of
porous media affecting fluid flow. A.S.C.E.: 61-88.
Matsukawa,S.&Souma, K. 1983. New experimental
equation describing the soil moisture characteristic
curves (desorption curve),J.S.I.D.R.E., No.104:31-
38.
Nishida, K., Aoyama,C. 1985. Weathered residual
soil properties & failure mechanism of slope. Proc.
Ivth International conference field workshop on
landslides, Tokyo: 289-294.

428
 Slope Stability Engineering, Yagi, Yamagami & Jiang (c i 1999 Balkema, Rotterdam, ISBN go 5809 0795

Relation between slope stability and groundwater flow caused by rainfalls

M.Enoki & A.A. Kokubu

Department of Civil Engineering, Tottori University, Jupan

ABSTRACT: In this paper, slope failure due to rainfall is analyzed considering some simplifications con-
cerning the stability analysis, infiltration and seepage parallel to the base rock. Then, the conditions required
for the slope to fail are obtained. Accuracy by means of field tests in the determination of the parameters that
arc required for stability analysis, that is, permeability. strength parameters, etc. is very difficult to attain.
This is principally owing to field tests and measurements involving only a small portion of the slope. The
degree of influence of the error in the measurement for cach parameter is investigated through a sensitivity
analysis. Furthermore, permeability of the slope is investigated by means of tests based on the actual velocity
principle and the apparent velocity principle.

1 INTRODUCTION Slope failures of such proportions are the aim of

Nearly all slope failures occur during o r after a pre-
cipitation. Slope failure is a common natural disas-
ter in mountainous regions and the most dangerous
type of sliding due to the quick movement of the
mass of soil. Japan, being a mountainous country
with an annual precipitation of approximately 1800
mm, suffers frequently from this kind of natural
disasters during rainy seasons.
The distribution of dimensions of failed slopes in
Japan is shown in Figure 1. Numerous invcstiga-
tions carried out in this country led to the conclu-
sion that the representative slope failure has the
following dimensions: length L = 10 m, depth of
failure H = 0.5 m and width W = 15 m.
this investigation. Sliding of the mass of soil of the
slope takes place along a base rock, which has high
shear strength and low permeability. In every case,
slope failure is sliding of thin layers along a base
rock. The cause of failure of natural slopes is gener-
ally infiltration of rainwater which reaches the base
rock and make the surface layer fail.
The aforementioned characteristics makes the
process of failure of natural slopes different from
that of landslide which involves slow sliding of an
extremely large mass of soil. Concerning landslide
problems, the infiltrated rainwater cannot reach the
base rock because of the magnitude of the depth of
the soil layers overlying the base rock. The water
that reaches the base rock has a different origin
which is not explained in this paper.

2 MECHANICAL STUDY OF SLOPE FAILURE

CAUSED BY PRECIPITATION

2.1 Meclzuiiism of' slope fuilure cuused by precipitu-

tioii
From laboratory and field observations. the
mechanism of slope failure was disclosed as fol-
10 lows:
1 2
a. Infiltration process (Figure 2-a): After a given
Length L (m) Depth of failure H (m) precipitation begins, infiltration phenomenon com-
mence in the form of Wetting Front (WF). The
Figure 1. Distribution of dimensions of failed volume of flow of the WF and its descending ve-
slopcs if Japan. locity arc conditioned by rainfall intensity and ca-

429
pacity of infiltration of the soil
b Seepage flow along the base rock (Figure 2-b)
A few moments after the WF reaches the base rock,
a seepage flow along it is generated The height of
the groundwater table at any point along the base
rock depends on the rainfall intensity, the perme-
ability along the base rock, the distance of the point
from the top of the slope and the inclination of the
slope
c Slope failure (Figure 2-c) If the height of the
groundwater table at one point along the base rock
is large enough, pore pressure at that point on the
base rock grows too large to support the overlying
soil, consequently slope failure occurs
yr.oce.s.s
2 2 II!filtr~cftlon
During the infiltration process for any position of
the WF, the hydraulic gradient is unit This is de-
rived from the fact that for a given column of soil
subjected to the wetting front, both upper and lower
ends are at atmospheric pressure Also, the effects
of suction are neglected, otherwise the hydraulic
gradient takes a value different from unit
Then the infiltration velocity I' is I' k, where k,
is the vertical permeability If rainfall intensity is
larger than k, then infiltration velocity takes the val-
ue I' = k, . If rainfall intensity is smaller than k, in-
filtration velocity is I' - R where R is the rainfall
intensity Therefore, the infiltration velocity is I' =
min (R,k,) The time required for the WF to reach
the base rock may be expressed as
Figure 2. Process of failure in slopes due to pre-
cipitation.
430
where I I , is the effective porosity of the soil and H S
the depth of the soil layer overlying the base rock
The height of the groundwater table at a distance .s
measured from the top of the slope is
s I'
HI, = HI,,+-
k, sin [I
where H,, is the depth of the ground water table at
s - 0, fl is the inclination of the slope, Kh is the
permeability along the base rock and i' is the infil-
tration velocity
For infinite slopes there have been many slice
methods to analyze the stability of slopes However,
one of the authors has already clarified that every
slice method is not valid (Enoki et a1 1992), though
the explanation I S omitted here Moreover, it is ob-
vious that the closer a safety factor obtained by ar-
bitrary slice method gets to one obtained by an
analysis method for infinite slopes, the more slen-
der the slipping mass becomes
Generally, for a slope of thickness N and length L ,
the ratio of H/L of actual slipping masses is about
0 1, then, an analysis method for infinite slopes is
used here For a given seepage of depth H,, along
the base rock, the pore pressure ZI on the base rock
is as follows
I[- y ,, H,,, cos: P (3 1
Therefore, the depth H,,,at the instant of failure is
where, H is the thickness of surface layer of slope,
,8 is the angle of slope, yis the unit weight of the
mass of soil, and @(/, c ~are
, the strength parameters
of soil.
3 CONDITIONS FOR SLOPE FAILURE
General description of the failure condition: For a
given rainfall of intensity R and period 7: two con-
ditions for the slope to fail are required, that is
1. The wetting front must reach the base rock,
which means that Equation 5 is satisfied
 Table 1 Sensitivity analysis for each parameter of
the slope
Slope Standard Coefficients Relatn e
2. The pore pressure due to the seepage flow along parameters Ialues dispersion
the base rock must be large enough to make the rr(c111) 50 10 12
mass of soil of the slope slide along the base rock. I,(I l l ) 10 -1 1
Assuming the slope length to be L , from Equations r: ,,(ClldS) 2x102 1 4
2 and 4, the following equation is obtained. SlnB 0 64 1 02
y (g/cm') 2 1 0 15
Y w (dC11l3) 1 -1 0
tall/ 0 84 6 25 0 11
tan d<, 1 5 25 0 35
These two conditions of slope failure are summa-
rized in Figure 3. In Equation 6 the values of slope
parameters affect the required rainfall intensity i ;
therefore sensitivity of the potentiality of failure to From one measurement of permeability to another,
every parameter of the slope must be evaluated. the range of dispersion may be ten times or more
This analysis is explained in the next section. For this reason, it has a high relative dispersion in
the term drh: The same strong influence of vertical
permeability k,, on Equation 5 is expected. The
4 SENSITIVITY ANALYSIS terms tan/ and tan dcjhave a low relative disper-
sion, but in turn, their coefficients are large. These
The sensitivity of the principal slope parameters are coefficients becomes larger for closer values of /
analyzed and shown in Table 1 Every parameter of and @(,. Therefore, it can be concluded that k,,, tan
Equation 6 and their standard values are shown in / and tan d',are the most sensitive terms in Equa-
the first two columns In the right part of the table, tion 6 or in other words, in the term d d r .
the corresponding coefficients and relative disper-
sions in the term ddr. are shown Standard values of
the parameters are representatives of nearly all 5 INVESTIGATION FOR PERMEABILITY
slopes that have failed in the mountainous areas
When measuring permeability, field tests are 5 1 fiield tests f i ir!filti.ntiori
~
generally more adequate than laboratory tests per- 5 1 1 Ring test c?f nypnr.erit velocity
formed on samples Sample represents only a very
small portion of the slope, in addition to this the The procedure of this test is as follows
sample is in many cases disturbed However, becau- A metal ring is set on the ground surface (Figure 4),
se of the hardships founded in carrying out field sweet water is poured inside the ring by means of a
tests in natural slopes, generally the scale of the Mess cylinder in a way that all the time a film of
tests is relatively small Therefore, the uncertainties water appears on the surface ground By means of
that appear in the measurement of permeability are this procedure the soil immediately below the ring
still unavoidable. is subjected to a saturated flow The rate of flow of
the supplied water is measured by means of a stop-
watch The permeability is calculated as follows

Figure 3. Conditions of slope failure.
k,,= A (2 / (A A t ) (7)
where A t is the time necessary to pour the volume
of water A Q and A is the cross-sectional area of
the ring The intrinsic characteristics of this test,
makes Equation 7 valid for only a short period of
time. That means that only at the beginning of the
test, the flow of water is one-dimensional.
With elapsing time the flow of water becomes
three-dimensional, therefore, the accuracy of Equa-
tion 7 decreases. Moreover, the unsteady flow of
water is subjected always to the effect of suction
which is not considered in Equation 7. A good point
of the test is its simplicity and readiness to perform.

43 1
Figure 4. Ring test of apparent velocity for a soil
layer.
5.1.2 Ring test of actual velocity
The test procedure is similar to that of the ring test
of apparent velocity. The principal differences are
as follows:
1. Sensors that are sensible to salty water are
placed beneath the ring, at depths corresponding
with the border line between two layers.
2. Sweet water is poured in the ring until the satu-
ration of the layers of which the permeability will
be measured is attained.
3. Supply of sweet water is replaced suddenly by
salty water. By means of the sensors shown in Fig-
ure 5 , the flow of salty water is detected and the
time to cover the corresponding depths of the
layers are recorded by a stopwatch.
The steady flow of salty water is not subjected to
the effect of suction because of the saturation of the
mass of soil carried out in the preceding step.
Therefore, the hydraulic gradient for the flow of
salty water may be considered as unit in the calcu-
lation of permeability.
The permeability of layer 1 is calculated as fol-
lows k,, = H,.nel IT, where H I is the depth of layer 1,
(v,
neI= /VT)is the effective porosity of layer 1 and
T, is the time required for the flow of salty water to
cover the distance H p Permeability of every layer is
calculated in the same way.
In the proposed formula of k,, the flow of water is
assumed as a block of uniform height leaving be-
hind soil in saturated condition though actually in-
filtration under saturated condition is not possible.
Also, the voids distribution of the soil is assumed as
homogeneous but actually it is not. If the voids dis-
tribution of the soil is assumed as homogeneous, the
velocity of the flow according to Darcy’s law vd and
the average actual velocity v,, are related as follows
v,, = vJn,, where ne < 1.
If the actual case of inhomogeneous voids dis-
tribution were considered, the average actual veloc-
ity is less than the actual velocity or in other words
the maximum velocity of the flow.
432
Figure 5. Ring test of actual velocity for two soil
layers (Layer 1 and Layer 2).
Tests for infiltration based on the actual velocity
principle are not dependent of the three dimensional
spreading of salty water, because only the actual
velocity along the known flow line is measured to
calculate the permeability of the layers. This is an
advantage when compared with the ring test of ap-
parent velocity which is affected by the spreading of
the flow of water and the effect of suction. Layered
deposits usually consisting of a mixing of two or
more types of soils with erratic soil grain properties
are common characteristics founded in the field.
Because of this, the weak point of the test is the
difficulties founded in the positioning of sensors.
5.2 Field tests for permeability along the base rock
Two vertical holes separated a distance d that range
from 50 to 100 cm are perforated on the slope sur-
face (Figure 6). Hole A is filled with sweet water,
with the purpose to establish a steady flow between
holes A and B. Sweet water is replaced by salty
water which is detected in hole B by means of a
sensor. Then the permeability along the base rock is
as follows
kh= d n,l (i A t ) (8)
where A t is the time for the salty water to cover the
distance d and i = (h2- h,) I d is the hydraulic gra-
dient. This test is also based on the actual velocity
principle, therefore it has the same advantages and
disadvantages of the ring test of actual velocity. To
obtain conditions of steady flow in the field are ex-
tremely difficult. For this purpose, a large amount
of water and a long duration test would be required.
Due to the distance from water sources, precarious-
ness of the approach roads etc, the amount of water
is generally restricted. Because of this, tests of per-
meability along the base rock are usually performed
under the conditions of unsteady flow.
 Figure 6. Actual velocity test (Seepage along the
base rock) for a soil layer (Layer 2).

5 3 Pimcrpnl dffewmxs hetweeii the ring test of

nppnrwit wdocrtj)arid the mig test of nctiinl ~wlc)cif~
Intending to explain the differences between the
ring test of apparent velocity and the ring test of
actual velocity, the voids distribution of soils may
be made alike to a model pipe
This model assumes the voids distribution of
soils as pipes of different sizes aligned parallel to
each other As for permeability tests based on the Figure 7. Portions of slope showing the values
apparent velocity principle, the rate of flow through of k,, and kh for every kind of test.
each one of the pipes as a whole is measured in or-
der to calculate the coefficient of permeability In
other words, the apparent permeability of the
phoon 5 as shown in Figure 8 Because of this natu-
mass of the soil is calculated
ral disaster, 80 families of a village had to take
On the contrary, for permeability tests based on
rehge and numerous houses were destroyed.
the actual velocity principle, instead of rate of flow,
Location of the slope failure, contour lines repre-
the maximum velocity of the flow along the known
sentation, geometry of the slope as well as its
flow line is measured For this purpose, salty water
strength parameters are shown respectively in Fig-
etc may be used as tracer The larger the diameter
ures 9, 10 and 11 The characteristics of permeabil-
of the pipe, the larger the velocity of the flow, there-
ity are shown in Figure 7
fore, the calculated value of permeability is larger
Rainfall intensity during the precipitation of Ty-
than the apparent
phoon 5 is shown in Figure 12
From the rainfall pattcrri of Figure 12, rainfall in-
5 4 Resiilts of permenhrlrty tests tamed orrt in nnfii- tcnsity is lcss than thc capacity of infiltration of the
rzrl .slope.s soil. Bccausc of this I’ = R must bc uscd in the first
Figure 7 shows observational data obtained from condition of slopc failurc, Equation 5. According to
field tests performed on natural slopes of
‘Egoouchi’ and ‘Taka no Su’ district, Hiroshima
prefecture Subscripts meanings are as follows
v vertical infiltration, b base rock, a ring test of
actual velocity, r ring test of apparent velocity and
s permeability tests performed on samples Units in
cm/s The dispersion for the values of kh and k, is
evident as it was already mentioned in section 4

6 APPLICATION OF FAILURE CONDITION

The conditions of slope failure, Equations 5 and 6,

were applied to a natural slope located in ‘Taka no
su’ district, Hiroshima prefecture, in which slope Figure 8. Slope failure in ‘Taka no su’.(July 27,
failure happened on July 27, 1993 during the Ty- 1993)

433
this cqiiation and the rainfall pattcrn indicated in
Figurc 12, thc WF rcachect thc basc rock on July 27
at 18 h. Thcn, application of thc sccond condition of
slopc failurc indicatcs that the slope failed during
thc intcrval lrom 18 to 19 h.
The slopc failurc caused dcbris flow, and it attacked
the villagc on July 27 at 20 h.

Figure 12. Rainfall pattcrn for ‘Taka no su’ area

7 CONCLUSIONS

The mechanism of slopc failure presented in this

paper assumes both infiltration and sccpage along
1 :1,500,000 the basc rock as proccsses of steady flow, although
these processes arc unsteady. For cvcry case, sliding
Figurc 9. Location of slopc failures. of thc mass of soil is assumcd to occur along a base
rock of low pcrmcability. Morcovcr, actual finitc
slopcs arc assumcd to lx iiifinitc. Ttic conditions of
slopc failurc are C X ~ J C S S Cb~y iiicans o f cquations
that rclatc failurc with thc pattcrn of tlic prccipita-
tion, gcomctry o f thc slopc and its strcngth pa-
ramctcrs. Thc rcsult of thc thcorctical analysis
shows a good agrccmcnl with thc practical c;isc
prcscntcd in this papcr.
From thc rcsults of thc scnsitivity analysis, pcr-
mcability along thc basc rock has a marked influen-
ce in the conditions of slope failure. For this reason,
determination of pcrmeability along the base rock
by means of large scale field tests that improve the
I :25,000 accuracy of the measureinents should be developed.
Figure 10. Contour lincs.

REFERENCES

Enoki, M., Ikeda, Y. & Kokuhu, A.A. 1998. Mechanism of

slopc surface failure caused by precipitation. The First
Asia-Pacijic Corlferetice otid Exhibition.
Enoki, M., lketla, Y. & Terauchi, K. 1YY8. Field tests related 10
slopes stabilily. Proc. of the 53lh aritiual cotlfererice ofthe
.Iapati Society of Civil Etigiricers. (In Japanese)
Enoki, M. & Ikcda, Y. lYY8. Theorelical analysis of slope
failure due 10 precipitation. Proc. ofthe 53th aririual cot!&
o f f h eJaporz Sociefy of Civil Eizgirieers. ( I n Japanese)
Enoki, M. & Kokubu, A.A. 1998. Using of tracer in the analy-
sis of tlie pipe diainelcr distribution of soils. Proc. ofihe 53th
atitiuol cotiferetice o/ [tie.Inparr Society of Civil Etigitieers.

Figure 11. Geometry and strength parameters of

the slope.

434
 Slope Stability Engineering, Yagi, Yamagami & Jiang (U 1999 Balkema, Rotterdam, ISBN 90 5809 079 5

Salient aspects of numerical analyses of rainfall induced slope instability

C.-H.Wmg
Department of Civil Engineering, Tiunjin Univel-sif?!People’s Republic of China

ABSTRACT: This paper outlines principally some salient aspects of numerical analyses of rainfall induced
slope instability problem, while discussing on diverse ideas as well as different techniques presented in
literature. Suggestions are given, concerning with the following aspects: (1)infiltration and evaporation as
transient boundary conditions; (2)simulation of the effects of vegetation; (3)assessment of initial stress con-
dition; (4)definitions of factor of safety.

1 INTRODUCTION problems will be of great significance. It is this topic

Rainfall induced slope instability is one of the most
sophisticated geoenvironmental problems and has
been increasingly the focus of the interests of re-
searchers from multidiscipline. Conventionally used
slope stability analysis methods such as limit equili-
brium methods are incapable of solving so compli-
cated problems as they, by nature, can not take so
many complex factors into analysis of the problem.
On the other hand, numerical methods are now
taking an increasingly important role in analysing
slope stability problems, as they can also by nature,
simulate the behaviour of slopes under complicated
conditions (Cai et al. 1998, Fourie et al. 1999, Ng &
Shi 1998).
Though numerical methods, especially finite ele-
ment methods, are most promisingly used at present
for analysing andor predicting the behaviour of soil
dopes under transient infiltration conditions due to
rainfalls, some old difficulties do still exist and new
problems merge in conducting these analyses.
The numerical analysis of rainfall induced slope
instability include mainly three subjects. The first is
how to represent the rainfall as a transient boundary
condition, i.e. to describe properly the nature of rain-
fall such as the intensity, duration, pattern, distribu-
tion and direction, to the slope to be analysed. The
second is how to represent the existing status of
slopes, which include the shape, materials, initial
conditions such as initial stress field, initial ground
water table, and so on. The last is how to present
properly the results of the analyses, i.e. to select a
rational way to define degree of safety of slopes.
A comprehensive understanding of the correct and
efficient ways of application of the methods to these
the writer tries to address.
This paper outlines four important aspects of the
numerical analysis of rainfall induced slope insta-
bility. They are: (1)infiltration as flux boundary con-
dition; (2)effects of vegetation on slope stability; (3)
initial ground stress condition; (4)definitions of the
factor of safety.
2 INFILTRATION AS BOUNDARY CONDITION
Infiltration is the direct reason for the seepage and
changes in stress and strength condition of soil body.
Infiltration due to rainfall is now commonly consi-
dered as a boundary condition prescribed on to sur-
face of slopes. There have been misunderstanding
and difficulties in taking infiltration as a boundary
condition, which needs to be examined to conduct
the analysis successfully.
To prescribe a variable value, e.g. an external load
or a displacement, as a boundary condition, gene-
rally in numerical techniques, is to decompose it into
normal and parallel components to the boundary sur-
face. For example, in conventional seepage analy-
sis, water pressure or pressure gradient at a boundary
is easy to apply in this way provided that these
values are known.
Unfortunately, a boundary condition involving in-
filtration due to rainfall can not be so easily set,
which is a problem that is being overlooked.
2.1 Capacity of Infiltration
There must be a limit capacity for a soil layer at the
surface of a slope to actually intake flowing water.

435
It is wrong to set an amount of water flow velocity
to a surface just without caring about whether this
amount is within the limit capacity of the boundary.
The capacity for a surface to let water to come in is
determined by many factors such as soil type, poro-
sity and degree of saturation of soil, water viscosity,
permeability of soil and so on. Though at present an
exact solution of the capacity is not generally avai-
lable, the rate of infiltration due to rainfall could be
set within the limit value of permeability as the
infiltration can, for practical use, be best regarded as
under zero or very small water pressure condition.
In some analyses, boundary values of infiltration
were set as rainfall intensity that were much greater
than that the infiltration rate could have reached, i.e.
coefficient of permeability of soils (Zaradny 1993,
Cai et al. 1998). In fact, the part of such an infi-
ltration intensity that surpasses the capacity will
build up a mass of water on the boundary, and sub-
sequently alters the boundary condition.
There will be changes not only in quantity but also
in type of boundary condition when an effective
rainfall intensity is greater than the capacity of infi-
ltration of ground surface. If a boundary is capable
of maintaining the part of rain water that is over the
amount of infiltration, the type of the boundary con-
dition will change from Neumann condition to De-
richlet condition. That is to say, water pressure
should be then exerted on the area where a water
flow was once allowed with a velocity value.
If the boundary is not be able to maintain the addi-
tional water, the additional water will be definitely
spread under the action of its gravity. This process is
even more difficult to simulate. For a horizontal
surface that is near the initial part of infiltration
boundary, there will be a newly generated seepage
boundary, be either Neumann type or Derichlet type,
according to the volume of additional water and sur-
face conditions.
Here some difficult problems may be encountered
and need to be answered. What is the range of the
newly generated boundary? How can one to distri-
bute the additional water over this range? Which
type of boundary condition should be for this range?
All these problems are of importance in analysing
the state of seepage in unsaturated soil slopes, and
may be difficult to be incorporated into a computer
code.
2.2 Directions of infiltration
The issue of the direction of infiltration rises from
three aspects: slope surface gradient, permeability
and direction of rainfall.
In dealing with rainfall on non-levelled slopes sur-
face, the formal way to supply rainfall intensity is to
decompose the total effective rainfall intensity I;
(Equ.1) into two components, i.e. a normal compo-
nent I,, (as infiltration) and a tangential one I , (as
436
runoff) to the surface as shown in Figure l(a), which
have been used in numerous literature (Fredlund &
Rahardjo 1993, Yagi et al. 1985). This could be
right in case where effective rainfall intensity is
greater than the capacity of infiltration.
(4 (b)
Figure 1 Direction of infiltration on slope surface
Unfortunately, from simple tests and field observa-
tions it can be seen that the infiltration takes place in
almost vertical direction for some materials with
high permeability, e.g. sand, gravel, as shown in
Figure l(b). That is to say, the surface runoff and
inflow are not simply determined only by the slope
gradient or surface direction but also some other
factors such as soil permeability and its anisotropy
and sometimes even the direction of rainfall. Though
the mechanism is not quite clear at present, it is true
that the traditional way of applying boundary con-
dition is no longer valid in such a situation. The way
to set up a boundary condition under such circum-
stances will have a great influence on the results of
numerical analysis, especially in analysing unsatu-
rated soil slopes with high permeability under a pro-
longed rainfall with low intensity.
3 EFFECTS OF VEGETATION
Vegetation effects on slope stability include interce-
ption and evapotranpiration, reinforcement, exerting
forces to slope and absorption of chemicals of soil.
Stability analysis of vegetated slopes is necessary to
include these effects, but now little attention has
been given to this issue in numerical analyses.
3.1 Incorporation of Interception
Interception by vegetation can significantly reduce
the mount and delay the time of rain water fallen on
the ground surface. Knowing this is very usefil in
conducting transient seepage analysis in determining
the factor of safety that changes with the process of
rainfall. The effective rainfall intensity is given as
where I ; is the effective intensity of rainfall direct-
ly to the surface of a slope, q is the intensity of rain-
fall, I , is the rate of interception, and t is time.
In Equation (l), the term of interception rate may
become zero when the capacity of total interception
is reached, and all rainfall intensity will be effective.
 If the rate of interception is equal to the rainfall
intensity, there will be no infiltration. This is quite
true in heavy forested slopes in tropical areas.
3.2 Simulation of reinforcement
Roots are natural fabric materials while streng-
thening soil. The strength increase due to root sys-
tem can be determined experimentally and statisti-
cally in relating to root intensity or a distribution
function (Zaradny 1993).
As roots are arbitrarily distributed, it is nearly
impossible and unnecessary to represent every root
with elements, a simple yet economical way to take
the reinforcement effects in numerical analysis is to
add an increase to soil cohesion (Wu 1997), and
sometimes also to soil hctional angle. At where
tension is of importance, an increase in tension
strength of soil should be considered, for use of
tension failure criterion.
Root reinforcement may be practically negligible
where root system are quite shallow distributed as
the critical slip surface may be deeply seated in a
slope or where bed rock surface is covered with a
thin soil layer and roots can hardly penetrate across
soil-rock interface, because it is more likely to such
slopes the most part of slip surface is at the interface.
3.3 Simulation of hydraulic effect
Living roots draw water from unsaturated soils. The
water uptake flow process affects the water balance
of under ground water. There are four possible ways
in all to simulate this process in finite element
analysis, i.e. to prescribe a negative flux boundary,
to add an element sink, as add a quasi-suction to soil
mass or set an increase in permeability of soil.
To prescribe a negative part flux flow of water is a
simple way when the information of spatial distri-
bution of roots is not available. This negative flux of
boundary condition should be regarded as to have
included evapotranspiration as well as evaporation
of pore water directly from soil surface.
Add an element sink of water is the most direct
way to take this effect into calculation. The sink is
dependent on factors such as root distribution, mean
root conductivity and soil type, and can be roughly
assessed using a root distribution fimction (Zaradny
1993).
To add a quasi-suction and to add an increase in
water conductivity are two indirect ways to simulate
the phenomena based on the relationship between
water conductivity and metric suction of unsaturated
soil. Both methods have the side effect that they do
not distinguish the direction of water flow, i.e. they
may result in an acceleration of water flow inward as
well as upward. So under general conditions, the two
methods should be used where only upward flows
exist.
437
A quasi-suction is only for seepage calculation, and
it should not be included in metric suction in deter-
mining unsaturated soil strength.
All the last three methods need the knowledge of
root distribution. If the root distribution can be
assessed, the second will be the best and should be
the first choice.
4 JNITIAL, STRESS CONDITIONS
One of the advantages of finite element methods
over limit equilibrium methods is that finite element
methods give stress results that can be used in
calculation of factor of safety and in examination of
failure mechanism of soil of particular interests.
Such stress results can be affected by initial ground
stress condition as in stability analyses soils are
necessary to be mechanically nonlinear materials.
Therefore, how to simulate initial ground stress con-
dition is a vital aspect to finite element analyses of
slope stability problems.
All slopes have undergone a complicated geo-
logical process that can not be mimicked from its
very beginning stage. Generally speaking, the initial
condition of a slope is referred as a state that is just
prior to new changes to the slope conditions.
4.1 Total or net stresses
There are two methods in current practice in setting
up the initial ground stresses. One is to specify stress
values to an element according to its vertical posi-
tion (either at gauss points or nodes of elements).
This is referred as the direct method. The other is
apply material gravity and other loads already
exerted on a slope prior to any new changes is made
to the slope, conduct an initial step of calculation,
then set the horizontal stress results to be (the
coefficient of lateral pressure at rest) times of ver-
tical stress to achieve static equilibrium at rest.
The direct method can be best used in where the
shape and soil condition are both relatively simple
(Zou et al. 1997). For most natural slopes with
complicated geometry, large error may be intro-
duced in this way, as secondary stresses may have
been resulted from structural geological movements
and from other possible geoenvironmental influen-
ces, and as a consequence, the stresses at a point can
not be determined simply by its position.
In analysing a reinforced natural slope, Mastui et
al. (1995) adopted a technique to assess initial
ground stresses. In the analysis, an original ground
was assumed to be horizontal, then an excavation
analysis was taken to simulate an erosion process to
form the existing natural slope.
This is a simple yet useful measure to get initial
ground stresses provided that the so called original
ground could be represented with rational geotech-
nical parameters. Unfortunately the authors failed in
giving clear information about what was the diffe-
rence between parameters of original ground soils
and those of existing natural slope. This issue has
not been able to be shed on lights yet, and, therefore,
need for further investigations.
In order to simulate the process of formation of
existing slope, excavation is usually mimicked by
cutting off elements from the top of the slope to its
bottom from initial ground element mesh, whereas
embanking is simulated by adding elements from the
bottom to the top of the slope from the initially
levelled ground mesh. Both ways are exposed to an
unconditional use of the presently available para-
meters rather than parameters before or after a slope
has been formed. This is to say that soil parameters
remain unchanged in both stages of the simulating
the formation of a slope and analysing the behaviour
of the existing slope.
Another severe shortcoming to these methods for
simulation initial ground stress condition is that
when the simulation is finished, some elements may
be already failed before a stability analysis is taken,
while the existing slope was supposed to preserve
static equilibrium according to the direct methods.
Can stresses of the failed elements be simply set to
values that meet requirement of the static equi-
librium, as in the direct method? This is a key pro-
blem that needs investigation.
4.2 Initialpore pressure distribution
Initial pore pressures include pore water pressures
and pore air pressures. Their initial distribution has
an unusual influence on the results of seepage ana-
lysis and stress analysis.
Pore air pressures are generally set to nullity where
pore air is assumed to connect with atmosphere,
which is widely accepted. However, at where the
pore air is enclosed from atmosphere, a determi-
nation of initial pore air pressure becomes a nece-
ssity to numerical analysis. Such an issue may be
concerned in dealing with deeply seated organic
unsaturated soils, in where gases may be generated
in chemical andor biochemical processes. Waste
deposit slopes covered by a clay barrier is more
likely the case.
Pore water pressures have tremendous effects on
soil strength of both saturated and unsaturated soils.
For the propose of analysing slope stability due to
rainfalls, an initial state of pore water pressure dis-
tribution must be linked with the permeability of un-
saturated soils.
There have been several ways to prescribe the ini-
tial pore water pressure condition. Yagi et al. (1985)
considered a capillary rise h in determining the
seepage characteristic curve for initially unsaturated
sand, and set the initial potential value to be a give
value. Vargas et al. (1990) used a constant moisture
or pressure head through the unsaturated soils as the
initial pore water pressure condition in a series of
transient seepage analyses due to rainfall. Spieren-
burg et al. (1992), in analysing slope stability during
infiltration into a dike, assumed a linear negative
initial pore water pressure head above phreatic sur-
face until a suction head had reached 1.0 my and
above this level, soil suction is assumed to be con-
stant up to the top surface of the dike. Ng & Shi
(1998) conducted an analysis steady state seepage in
unsaturated soil slope under specific hydraulic head
boundary condition, and its pore water pressure
result were then used as an initial condition in
subsequent transient seepage analyses. This seems
the most reasonable way to set up initial ground
condition, like the indirect method in determining
net or total stress of soils. In analysing the effects of
horizontal drain on the stability of unsaturated soil
slopes, Cai et al. (1998) assumed an initial degree of
saturation distribution that was 61.7% at the crest of
a slope and linearly increased to unity at the height
of the initially assumed ground water table. This
method is most feasible as the degree of saturation is
easy to assess and applicable in setting initial pore
water pressure based on the relationship between soil
moisture and suction. For shallow slopes, assump-
tion of constant negative pore water pressure may
not introduce severe errors, as it was demonstrated
by Fourie et al. (1999).
It may be seen from above examples of setting
initial conditions to the seepage and stress analyses
that the ways are quite diversified. This situation
reveals the badly needs for making filed measure-
ment of initial state of slopes for stability analyses.
Only with comprehensive measurements and back
analysis techniques, can we improve the theory of
applying initial ground conditions for geotechnical
numerical analyses.
5 DEFINITIONS OF FACTOR OF SAFETY
By nature, finite element stress analyses do not link
directly their results to the value of factor of safety
for a slope. The factor of safety of a slope can be cal-
culated by using the stress results from finite
element analysis. There are many methods to calcu-
late the factor of safety, but not all the methods are
suitable for use based on the stress results of finite
element analysis. A rational definition of factor of
safety should reflect the basic mechanism of slope
stability, not be in conflict with basic rules in mathe-
matics and mechanics, and be easy to use in practice.
Although there have been a number of ways to
define the factor of safety for finite element analysis,
they are exposed to severe shortcomings. In this
section, several main definitions of factor of safety
are discussed, as to make it clear that how they can
be used in particular situations. For brevity, yet
 preserving generality, the discussion is limited in
two dimensional cases.
Among the definitions of factor of safety in litera-
ture, the following one seems to be most popular
(Yamgami & Ueta 1988, Zou et al. 1994, Shi 1998,
Farias & Naylor 1998). For the convenience in
choosing shear stress and compute the shear strength
in practical calculation, Equation (2) is widely used
in its difference form .
i=l i=l
where is the line of slip surface, x and z are hori-
zontal and vertical co-ordinates of a point on the slip
surface, respectively, zand zj . are the shear stress
and shear strength at point (x,z), respectively where
Alli is a segment line in the slip surface, i denotes
the number of segments in the slip surface and n is
the total number of the segments (Fig. 2).
Although Equation (2) is widely used, it has an
illness in physical meaning when used with non-
circular slip surface. Both the sliding forces and
the potential resistant forcesq are summed up
numerically rather than geometrically. To add the
vectors by their numerical value without caring a-
bout their directions is in conflicting with mathema-
tically and mechanical principles. As it can be seen
in Figure 2 there are differences among the direc-
tions of sliding and antisliding forces and between
their resultant vectors. So Equation (2) can be used
free from illness only with circular and translational
slip surfaces.
Figure 2 Directions of sliding and antisliding forces
In avoiding this illness, another way is to calculate
the overall factor of safety through integration of
local factor of safety along the slip surface, i. e.
(3)
where FsLis the local factor of safety at print (x, z) in
the slip surface and is defined as
Fa =--z P
(4)
xi
439
In Equation (3) there is no illness as that in Equation
(2), but in practical use of this definition, another
numerical difficulty may be encountered. Infinity of
local factor of safety can be resulted in at some
points or some areas in soil body where the shear
stresses happen to be zero.
Another definition of local factor of safety is the
inverse of the stress level (Matsui & San 1990)
whereo, ando, are maximum and minimum princi-
pal stresses of at a point on the slip surface, respec-
tively, and f denotes the stress difference at failure
condition according to Mohr-Coulomb's criterion.
One can also see from above that this method has
the same numerical problem as in Equation (4).
Furthermore, this definition of local factor of safety
does not mean the real shear stress level on the slip
surface.
Ge (1987) suggested a method called main-sliding
direction method, for calculating factor of safety. In
this method, all forces are summed up in the main
sliding direction which is determined by the resul-
tant sliding force vector (Fig, 2), and the factor of
safety is given by
n
Sinai +zli COSai)Ali
Z<G,,~
sina, +zi COS~~>AZ~
\ I
i=l
where a , i s the angle between direction of ith force
and the main-sliding direction ,o,.is normal stress.
This method is free from above illness, but it invo-
lves an equivocality about the role of normal stresses
in stability as they appear in both sides of sliding
and antisliding forces. The confusing feature pre-
vented the method from being widely recognised.
Recently, Wang et al. (in prep.) suggested a weigh-
ted method similar to that used in calculating the
factor of safety with respect to moment equilibrium
in general limit equilibrium method (Fredlund &
Rahardjo 1993). The definition is given as
where w(x,z) is a weight function and is same for
both shear stress and shear strength and at point
(x,z) along the entire slip surface. Other symbols are
of same meanings as above. The weighted function
w(x,z) acts as the arm of force in limit equilibrium
method and can be determined by the distance from
a reference point to the point (x,z) along the entire
slip surface.
For translational slip surface, the function is al-
ways set to unity. For a circular slip surface it is the
radius of the circle. For a noncircular slip surface,
the reference point is the intersect of two lines nor-
mal to the slip surface at its upper and lower end
segments. The factor of safety can be calculated with
moments in one direction with this technique.
6 CONCLUSIONS
Four salient aspects in numerical analyses of slope
stability under rainfall condition are summarised and
analysed in this paper. The key issues that are now
not well established or generally overlooked at
present are discussed and emphasised on with regard
to further studies and applications.
Completely solving of these problems may take
great efforts and may not be achieved within a short
step forward. But without a comprehensive under-
standing of these complex problems and without a
firm engineering judgement about the applicability
of methods and results of presently numerical analy-
ses, application of the results can be dangerous.
Through the discussion of problems raised in this
paper, it is clear that great improvement should be
made in numerical techniques in analysing rainfall
induced slope instability by solving these problems.
Shi, H.-T. 1998. Nonlinear finite element analyses of
stability of complex slopes. Thesis submitted to
Tianjin University for the degree of Master of
Engineering (in Chinese).
Spierenburg, S.E.J. et al. 1992. Slope stability during
infiltration. In. Pande & Pietruszcak (eds), Nume-
rical models in geomechanics: 3:2499-2503. Rot-
terdam: Balkema.
Vargas,E.A. et al. 1990. Saturated-unsaturated analy-
sis of water flow in slopes of Rio De Janeiro, Bra-
zil. Computers and geotechnics, 10(3):247-261.
Wang, C.-H. et al. (In prep.). A parametric analysis
of rainfall induced instability of unsaturated soil
slopes. Submitted to the 8th international sympo-
sium on landslides. 2000. Cardiff.
Wu, T.H. 1997. Slope stabilizaion. In Morgan &
Rickson (eds), slope stabilization and erosion
control: 221-264. E & FN SPON
Yagi, N. et al. 1985. Slope failure mechanism and
prediction method due to rainfall. In Proc. of the
5th international conference and workshop on
landslides. 209-2 14. Tokyo.
Yamagami, T. & Ueta, Y. 1988. Search for critical
slip lines in finite element stress fields by
dynamic programming. In Proc. of the 6th inter-
national conference on numerical methods in
geomechanics. 1347-1352. Innsbruck.
Zaradny, H. 1993. Groundwater flow in saturated
and unsaturated soil. Rotterdam: Balkema.
Zou, J.-Z. et al. 1994. Search for critical slip surfaces
based on finite element method. Can. Geotech. J.
32:233-246

REFERENCES

Cai, F. et al. 1998. Effects of horizontal drains on

slope stability under rainfall by three-dimensional
finite element analysis. Computers and geotech-
nics, 23(4): 255-275.
Farias, M.M. & Naylor D.J. 1998. Safety analysis
using finite elements, Computers and geotech-
nics, 22(1): 165-181.
Fourie, et al. 1999. The effect of infiltration on the
stability of the slopes of a dry ash. Geotechnique.
49 (1): 1-13.
Fredlund, D.J. & Rahardjo, H. 1993. Soil mechanics
for unsaturated soils. New York: Wiley.
Ge, X.-R. 1987. Finite element analyses of rock
engineering problems using micromachine CP. In
Proc. of the first national symposium on compu-
tatioal geomechanics, Southeast Jiaotong Univer-
sity Press (in Chinese).
Matsui T.& San K.-C 1990. A hybrid slope stability
analysis method with its application to reinforced
slope cutting. Soils and foundations. 30(2):70-88
Ng, C.W.W. & Shi, Q. 1998. A numerical investi-
gation of the stability of unsaturated soil slopes
subjected to transient seepage. Computers & geo-
technics, 22(1): 1-28.

440
 Slope Stability Engineering, Yagi, Yamagami& Jiang 0 1999Baikema, Rotterdam, iSBN 90 5809 079 5

Centrifuge model tests and stability analysis on mobilizing process of shear

strength of decomposed granite soil slope

S.Yoshit ake
Nihon Kensetsu Gijutsu Company Limited, Saga, Japan
K.Onitsuka
Department of Civil Engineering, Saga Universify,Japan

ABSTRACT :Centrifuge model tests were performed on slope models made from
undisturbed and statically compacted decomposed granite soils with and
without rainfall to clarify its characteristics of slope failure. From
the tests, shallow sliding type of failure of undisturbed and compacted
granite soil are observed in the centrifuge model tests, independent of
the case with and without rainfall. It can be observed that the local
failure occures initially at the toe and gradually reach the top of the
slope and finally result in failure of the slope.
In order to explain such a failure state for decomposed granite soil
slope, a new stability analysis method is proposed. It considers the
variation of shear strength coefficients(c,,cbm) with the increase in
deformation under low confining pressure. A proposed slope stability
analysis can explain the failure pattern or failure occurrence phenomenon
of the decomposed granite soil slope very well.

1. INTRODUCTION tion of the strain or deformation

Natural and man-made slopes of
decomposed granite soil are stable
under normal dry condition, but are
sometimes unstable under wet condi-
tion such as a rainy season. Most
failures are shallow sliding
failures of 1.0m to 2.0m depth.
Such shallow failures is one of
the characteristics of decomposed
granite soil slopes. Shallow slid-
ing type of failure of the
decomposed granite soil slope was
observed in the centrifuge model
tests with and without rainfall.
For the stability analysis of the
decomposed granite soil, therefore,
it is necessary to consider the
shear and strength characteristics,
including the effect of soaking,
under low confining pressure.
In addition, it is the general
pattern for the failure of the
slope of decomposed granite soil
that the failure occurs firstly at
the toe of the slope, and progres-
sively develops toward the upper
part of the slope. In order to
explain such a failure state, an
analytical method with considera-
is necessary than the critical
equilibrium method in which the
strength mobilized along the slid-
ing surface is assumed to be the
peak strength without considering
the magnitude of the deformation.
The shear strength is not constant
during the shear process, and
varies with the change in the mag-
nitude of the deformation (Hayashi,
1982, Onitsuka and Yoshitake, 1987,
Yoshitake and Onitsuka, 1990).
Stability analysis is done with
consideration of the variation in
the shear strength coefficient and
its results are compared with the
centrifugal experimental results.
2. SAMPLES AND TEST PROCEDURE
2 . 1 Sample
The samples used in this study
were obtained from two sites in
Saga prefecture. Sample A was
obtained by pressing a CBR mould
with a cutting edge into the
natural decomposed granite soil
slope. Sample B was obtained by a
nail sampling method for the cen-

441
 Table 1 Soil properties larger than that of the prototype.

3. MOBILIZING PROCESS OF SHEAR

STRENGTH COEFFICIENTS ( c rn , C$ rn )
WITH INCREASE IN SHEAR DIS-
PLACEMENT
Shear strength coefficients(c,, + m )
can be obtained from the relation-
ship between normal stress o and
shear stress ‘1:. The observed
changes in the values of shear
strength coefficients(c,, + m ) can be
used to describe the mobilizing
process of shear strength as a
function of shear displacement D .
Linear relationships are observed
for each particular shear displace-
trifuge model test. Properties of ment D . Thus, different values of
these samples are shown in Table 1. shear strength coefficients can be
obtained at every stage of shear
2.2 Direct shear test displacement, e.g. at the primary,
The consolidated constant normal
stress direct shear tests were failure and residual states.
carried out on both undisturbed and Fig.l(undisturbed specimens) shows
statically compacted soils. The the variations of shear strength
range of the normal stress is from coefficients with increase in shear
1.96 to 17.6(kN/m2) under low con- displacement for unsoaked and soak-
fining pressure and from 19.6 to ed conditions under both low and
294(kN/mZ) under moderate confining moderate confining pressures. For
pressure. Tests were carried out the undisturbed specimens, the co-
under unsoaked and soaked condition hesive component coefficients( c r n )
wi.th strain control(O.Eimm/min). increase to the peaks value at
(Onitsuka and Yoshitake, 1988). small shear displacement. After
that, it decreases gradually with
2.3 Centrifuge model tests increase in shear displacement and
Centrifuge model tests were gradually approaches a constant
performed on slope models of value. The frictional component co-
both undisturbed and compacted
unsaturated soils with and without
rainfall. The undisturbed soil
slope model were prepared with
various inclinations, a , after
setting the sample mass in the
container. In the case of the
compacted slope model, decomposed
granite soil was compacted from
five to seven equal layers of 2cm.
In the case of without rainfall,
the centrifugal force is gradually
increased till the failure of the
slope occurs. In the model test
under rainfall, the rainfall begins
after the centrifugal acceleration
become to 9O(G). Details of test
procedure have already been pre-
sented elsewhere(Y0shitake and
Onitsuka, 1992, 1994) The failure
patterns of the slope and its
seepage characteristics were inves-
tigated. In order to make the
slope failure and make clear the
failure state, the slope gradient
of the compacted slope is somewhat Fig.1 Influence of soaking on the variation of
shear strength coefficients

442
 efficients ( b m ) increase gradually
with shear displacement and gradua-
lly becomes constant regardless of
the soil conditions. It can be con-
cluded that, therefore, the cohe-
sion component mobilizes maximally
at a small shear deformation, while
the friction component mobilizes
maximally only at quite large shear
deformation. In case of compacted
specimens(figure not shown), the
cohesive component coefficient also
increases to the peak value at
small shear displacement and re-
mains constant after taht. As shown
in Fig.1, the mobilizing process of
shear strength coefficients is not
affected by soaking. In addition,
the decrease in shear strength due
to soaking depends mainly on the
decrease in cohesive component
coefficients. In particular, the
degree of decrease in cohesive
component coefficients is great
under low confining pressure. On
the other hand, the frictional com-
ponent coefficients are unaffected
by soaking.
Fig.2 shows the relationship be-
tween the degree of decrease in
shear strength due to soaking (the
ratio of peak strength of soaked
specimen to that of unsoaked speci-
men) and confining pressures. The
degree of decrease is nearly con-
stant under moderate pressure.
Under low confining pressure, it
becomes large, particularly, when
the confining pressure is less
than about 20 ( k N / m 2 ) (Onitsuka and
Yoshitake,l988). It is necessary to
consider the degree of decrease in
shear strength, espesially under
low confining pressure for the
slope stability analysis of surface
failure.
Fig.2 Ratio of peak strength of soaked specimen
to that of unsoaked specimen
443
4. CENTRIFUGE SLOPE MODEL TESTS
4.1 Slope Failure without Rainfall
The centrifuge model tests were
conducted to investigate the
failure characteristics of the
decomposed granite soil slope
without rainfall. For undisturbed
decomposed granite soil slope,
sliding surfaces are not obserbed
clearly. The slope failure pattern
was a slide at the top of the
slope. Shallow sliding type for all
kinds of slopes was observed in the
centrifuge model tests. In case of
the compacted slope model, a slid-
ing surface can be clearly observed
by centrifugal tests. The sliding
surface is close to a circular in
the shape as shown in Fig.3. The
failure pattern in the compacted
slope is similar to that occurred
in the undisturbed slope of the
decomposed granite soil. That is,
the sliding surface occurs in the
shallow surface layer.
In order to make clear the process
of the failure for the slope of
the decomposed granite soil, the
photographs are continually taken
on compacted slope during the cen-
trifugal model test. An example of
the failure process is shown in
Fig.4, in which the slope gradient
is 45" and the height is 14cm. The
failure process is observed as
follows: 1)settlement occurs in the
whole model slope and a little
movement forward is found in the
toe of the slope(centrifuga1 accel-
eration: 90G); 2)cracks oriented in
parallel to the slope occur in the
vicinity of the toe, and quite
swelling occurs in middle of the
slope(94G); 3)cracks in both the
toe and top slope develop to the
middle of the slope, and the slid-
Fig.3 Failure state of the slope(Compacted slope model,
without rainfall ,inclination of slope : 60' )

Fig.4 Process of slope failure
(compacted slope, sample A)
ing seems beginning in the shallow
layer of the slope(96G); 4)the
shallow surface layer in the slope
slides down and failure occurs(97G).
Above observation makes clear that
the failure process for the slope
of decomposed granite soil develops
progressively in the following
order: firstly, deformation occurs
in the vicinity of the toe, then
the deformation increases, finally
failure occurs in the shallow
surface layer.
4.2 Slope Failure Under Rainfall
The failure state of the slope for
undisturbed decomposed granite soil
under rainfall shows a straight
line of the sliding surface from
the top to the middle of the slope.
This failure state i s almost the
same as that without rainfall. The
failure of the slope under rainfall
occurs before seepage develops for
all slope models.
Next, centrifuge model test was
performed on the slope model of the
compacted decomposed granite soil
under rainfall. The purpose is to
investigate the effects of the ini-
444
tial state(void ratio, water con-
tent) and the slope gradient on the
slope failure. As shown in Fig.5,
three types of failure states were
observed. The first type occurs as
a straight line from the top to the
middle of the slope in Fig.5 (a).
As shown in Fig.Fj(b) for the large
void ratio, the sliding surface is
in a little deeper position from
the toe to the top with a shape of
the circular. It is clear that the
effect of the initial viod ratio is
large on the failure state of the
slope. In the case of high rainfall
intention for a low gradient of a
slope as shown in Fig.5(c), the
decomposed granite soil in the
shallow layer runs of along the
slope, like a debris flow.
5. SLOPE STABILITY ANALYSIS
Relationships between shear stress
and shear displacement were ob-
tained from direct shear test. As
mentioned above, variation of shear
strength coefficients can be ex-
pressed in terms of shear displace-
ment. In the analysis using the
finite element method, the stress-
strain relationship is needed.
Hence, the concept of relative dis-
placement which is correspondent
with strain is newly introduced.
For example, in the case of low
confining pressures for undisturbed
samples, the maximum cohesional
component is mobilized at shear
displacement of 2.0mm. It is called
as maximum shear displacement,
D,,,, . The concept of relative
displacement was proposed based on
the maximum shear displacement,
Dcmax , responsible for the relative
displacement, D r e , is defined as
the ratio of shear displacement D
to D c m a x , D r e = D / D c m a x .
The analysis of decomposed granite
soil slope was done by finite
element method considering the
variation of the shear strength co-
efficients with increase in rela-
tive displacement. Nonlinear secant
modulus method was adopted in the
stability analysis.
The following equation is used to
judge whether the local failure
occures.
local safety factor F ~ ,
sinq5,*(a l t a 3 ) / 2 t c m * c o s 4 m
Fr. =
( 0 1- a3)/2
 Type of slope failure state

The analysis is done considering

of the variation of the shear
strength coefficients with relative
shear displacement obtained from
direct shear test. The value of
deformation modulus 10000(kN/m2) and
poisson's ratio is 0.30. Fig.6
shows the variation of the shear
strength coefficients in approxi-
mately linearized form with respect
to the relative displacement. The
analysis results are shown in Fig.7
(a),(b). Fig.7(a) shows the distri-
bution of the deveioped relative
strain. Fig.7(b) shows the distri-
bution of local failure elements
with F ~ < 1 . 0 .The relative strain
develops from the initial stage in
the analysis, and a sliding surface
gradually develops from the toe of
the slope as shown in Fig.'l(a). Fig.6 Simplified shear strength coefficients
From Fig.7(b), it can be observed with relative displacement
that the local falure occurs at the
toe of the slope at the initial
stage. Finally, failure occurs when the same as those without rainfall.
the local failure elements reach The distribution of local failure
the top of the slope. This gradual elements under rainfall shows a
slope failure pattern is correspon- relative deeper position.
dent with the centrifuge model test Therefore, the stability analysis
results. which considers variation of shear
Next, in the case of undisturbed' strength coefficients, especially
decomposed granite soil slope model, under low confining pressure, can
the value of deformation modulus is explain the failure pattern of the
15000(kN/mZ) and poisson's ratio is decomposed granite soil slope very
0.28. The analysis results using well.
relative displacement are shown in
Fig.8(a)(without rainfall) and (b)
6. CONCLUSIONS
(under rainfall). From Fig.8(a),
the local failure elements develop The centriguge model tests were
initially at the toe and gradually performed on both undisturbed and
reach the top of the slope and statically compacted decomposed
finally result in failure of the granite soil with and without rain-
slope. In the undisturbed decom- fall to study slope failure charac-
teristics. The failure character-
posed granite soil slope, the local istics of the decomposed granite
failure elements develop in the soil slope were also simulated by a
relative shallow position comparing new stability analysis, which is a
to the slope of compacted decom- finite element method considering
posed granite soil. As shown in variation of shear strength coeffi-
Fig.8(b), the distribution and de- cients with the increase in rela-
veloped state of local failure tive displacement. The following
elements under rainfall are almost results are summarized.

445
1)For both undisturbed and com-
pacted decomposed granite soil,
the cohesional component mobi-
lizes maximally at the initial
stage during the shearing. On the
other hand, the frictinal compo-
nent gradually increases with in-
crease in the shear displacement
and become constant.
2)Shallow sliding type of failure
of the decomposed granite soil
slope was observed in the cen-
trifuge model tests with and
without rainfall.
3)The slope failure of decomposed
granite soil always occurs before
the all part of slope is soaked.
This indicates that the strength
obviously decreases in the sur-
face part of the slope(overburden
pressure is small) due to soaked.
4)A proposed slope stability analy-
sis, especially under low confin-
ing pressure, can explain the
failure characteristics of the
decomposed granite soil slope
very well.

REFERRENCES Fig. 7(a), (b) The distribution of the developed

l)Hayashi,S.(l982):A study of relative strain y R and the local failure
three-dimensional friction rule
of soils, Dr. Eng. Thesis, Kyushu
University.(in Japanese).
2)0nitsuka, k. and Yoshitake, S .
(1987):Consolidation on the var-
iation of strength parameters,
c , q~ with shear displacement,
Proc. of JSCE, Vo1.382, III-7,
pp.265-268(in Japanese).
3)0nitsuka, K. and Yoshitake, S .
(1988): Shear characteristics of
decomposed granite soil compress-
ible under low pressure, Proc.
J.S.C.E., V01.400, III-10, pp.141-
150(in Japanese).
4)Yoshitake, S . and Onitsuka, k .
(1990):Factor's influence strength
parameter behaviour of decomposed
granite soil, Residual soil in
Japan, pp. 105-110.
5)Yoshitake. S . and Onitsuka, K.
(1992):A study of slope failure
of decomposed granite soil due to
rainfal1,Report of the 26th Japan
Annual meeting on Soil Mechanics
and Foundation Engineering,JSSMFE.
pp.1873-1874(in Japanese)
6)Yoshitake, S and Onitsuka, K.
(1994):Stability of decomposed
granite soil slopes, Proc. Int.
Conf. Centrifuge 94, Singapore,
pp.599-604. Fig.8(a), (b) The distribution of the local failure

446
 Slope Stability Engineering, Yagi, Yamagami & Jiang 0 1999Balkema, Rotterdam, ISBN 90 5809 079 5

Centrifuge tests on slope failure during water infiltration

H.G. B.Allersma
Deljt Universityof Technology,Netherlunds

ABSTRACT: A description is given of centrifuge tests for investigating the behaviour of slopes of embankments during
water infiltration. The stability of embankments during infiltration has to be known in order to predict the degree of
safety provided for the protection of land fiom flooding. Tests have been performed for investigating tlie failure
mechanism and for verifying assumptions of tlie mechanisms in calciilation tnetliods. Tlie phenomena are relatively
simple to simulate in a centrifuge and reproduction of the test was good possible. Fiirtliertiiore, the phenomena could be
made visible in detail and it was possible to manipulate the water table in tlie embankment.

1 INTRODUCTION tlie University of Delft are devoted to tlie behaviour of

Centrifuge research is a method with world wide
acceptance for investigating the behaviour of soil
structures. A large variety of geotechnical problems can
be modelled by this technique (e.g. Kitnura et al. 1998). A
powerful application is tlie validation of calculation
methods and tlie visualization of mechanisms.
Furthermore, several geotechnical problems are currently
not susceptible to any solution by mathematics, so that
experimental research is the only possibility for gaining
insight into a particular geoteclinical phenomenon. I n a
centrifuge, even in a small model, it is possible to obtain a
good ratio of shear stresses to cohesion. This
circumstance allows small scale tests to be performed on
clay models. Furthermore, tlie stress dependent behaviour
of sand can be scaled correctly. It is usual to validate
calculation mctliods by predicting ttie behaviour of real
scale problems. However, in reality, tlie geometry is often
rather complicated and tlie soil characterization contains
several uncertainties, so that tlie validation has to be
carried out on a complex problem. In centrifuge models,
however, a start can be made with simple configurations,
and the soil parameters are under much tighter control, so
that a better connection with the theory is obtained.
Because tlie models can be reproduced accurately.
differences in behaviour arising from slight changes in the
construction procedure can be made visible. For
tnechanistn studies, a small centrifuge is preferred,
because models can be built in a short time and several
tests can be performed thanks to tlie low costs of
operation. Tlie applications of centrifuge research to slope
stability engineering in the Geotechnical Laboratory of
embatiktiients for the protection of tlie land from floods.
'I'he resistance of dikes to tlie infiltration of water are of
interest in the prediction of the degree of safety provided.
I n 1953, several dihes protecting tlie low lying areas of
tlie Netherlands against tlie sea were breached during a
heavy storm in combination with spring tides. It appeared
that for several dikes, damage was riot sustained in tlie
first instance by the mechanical forces of tlie waves on the
sea side, but, rather, on tlie land side. Tlie sea had reached
such a high level that it flowed over tlie top of tlie dikes as
a result of tlie wave action. Tlie water infiltrated into the
dike because tlie top of tlie dike arid the slope on the land
side were not covered with a waterproof layer. Water flow
in tlie soil reduced tlie stability of tlie slope on the land
side, causing failure of tlie dike. Centrifuge tests have
been performed to gain more insight into tlie mechanism
causing failure. Clay dikes that were made higher by sand
were tested in a previous test prograin (Allersnia et al.,
1994~).In a later test program niore attention was paid to
homogeneous dikes of sand that were covered with a clay
layer.
I n a centrifuge model, tlie cohesion attributable to
capillary action exhibits tlie same ratio to the shear
stresses as pertains i n the prototype problem. Because tlie
capillary rise of tlie water is also in good correspondence
n i t h the prototype dimensions, tlie warer flou tliroiigh ttie
dike can be made visible by means of tracers and tlie
mechanism of failure can be visualized.
The aim of this test program was to investigate tlie
mechanism leading to slope failure of pure sand dikes and
sand profiles covered with clay, during water infiltration.

447

Fig. 1 The University of Delft geotechnical centrifuge.
Furthermore, methods were tested that could improve tlie
stability, and tlie effect of homogeneity was examined.
When the mechanisms of failure are known, there is a
better possibility of designing methods that improve the
stability. I n many cases, new methods can be tested
relatively simply i n a centrifuge model to investigate the
effect. Examples are the use of drains to improve the
stab i I i ty during in fi I trat ion.
2 TEST FACILITIES
2.1 The cenlrijuge
The tests are performed in a small geotechnical centrifuge
(Fig. 1). This device has been developed at the
Ceotechnical Laboratory of the Faculty of Civil
Engineering of the University of Delft (Allersma, I994b).
The design goal was to obtain a device that is flexible and
cheap in operation. The centrifuge, which has a diameter
of 2.4 metres, contains two swinging platforms to carry
the samples. With tlie present motor power, samples with
a weight of more than 3OON and a volume of 15x40~40
cm can be accelerated up to 150 times earth’s gravity. I n
most cases, the weight of the model containers is less than
200N, so that the tests can be conducted by one person.
This makes the centrifuge very convenient i n use. An
advanced electronic system, containing a single-board
1BM PC compatible computer (486 central processor,
66Mhz), is installed i n tlie spinning part of the centrifuge
for the purpose of controlling the tests. The computer can
be accessed in a normal way via slip rings. A link with the
mechanical devices is made by means of an analogue to
digital converter with a 16 channel multiplexer, two
voltage controlled outputs of more than 5 amps each and
two 16 bit counters.
A special feature is that several plienomena can be
measured by using the video images of the on-board
camera. Digital image processing is used to visualize and
digitize automatically the surface deformation of clay and
sand sainples (Allersma, 199 I ) . I n this test program, the
448
Fig.:! Test box with an air lift to simulate the effect of
wave overtopping.
course of the tests could be analyzed in inore detail by
subtracting images of the tests taken at the end of
different time steps. Several devices have been developed
in order to perform tests in flight (Allersma, 1994a). I n
this test program, a computer controlled water circulation
system has been used to manipulate the course of the test.
2.2 In,jlight test equipmerit
Water is circulated by means of an air lift (Fig.2). I n this
technique, air is injected into water confined within a
plastic tube. The advantage of this system is that the
water supply can be controlled very smoothly from zero
to the maximum flow and the device is very simple and
cheap to build. The flow rate is detected by a small
turbine, the rotational speed of which is converted to a
voltage via an optical sensor. A maximum flow of about
10 I/min can been obtained at I OOg.
3 WATER INFILTRATION TEST
The tests were performed in plane boxes with transparent
walls separated by 50 mm (Fig.2). The dimension of the
box was 360x400 min. The model of a dike was located
on a metal platform. The space left under the platform
was used as a water reservoir. An air lift driven by
compressed air was used to circulate the water. The tests
were performed at XOg. At this gravity, dikes with a
height of approximately 2 to 7 meters could be simulated
in the test box. The water was supplied at the top of the
dike through a small box with holes. A filter at the
bottom distributes the water evenly and prevents erosion
of the top layer through fast running water. I n reality,
during wave overtopping, the water infiltrates not only
into the crest, but also into the slope of the dike. It was
found, however, that the infiltration pattern did riot
change significantly if tlie water was supplied at tlie crest
only.
During centrifuge tests. a video camera was focused on
the model. Thanks to the transparent boundaries it was
possible to watch the groundwater behaviour i n the soil.
 Since the capillary rise is only a few inm at 80 g a
phreatic line could be created in the small model. The
water table in the sand layer was visible as a result of the
difference in contrast between wet and dry sand. The
stream lines are visualized by means of a tracer. The
tracer consists of grains of potassium permanganate,
which are inserted into the sand during preparation. As
soon as the groundwater flowed around the grains,
coloured stripes representing the streamlines of the water
flow became visible. Owing to the higher g level, the
pseudo cohesion induced by the capillary forces (36 cm
water at 1 g) could be ignored. On the other hand, the
flow rate of the pore water in the dune sand during tests
at 80 g was still low enough (maximum flow rate in the
test series was 0.01 6 m/s) to keep the Reynolds number
(the estimated max. value was 1.6) below the value
indicating turbulence (Goodings, 1984). If the flow can
be assumed to be steady state and laminar, the flow rate
of the water varies linearly with the acceleration of the
centrifuge. Additional tests have shown that Darcy's law
is valid at the acceleration level employed. The slopes are
made of dune sand, which is characterized by

Unit weight 16 kN/m3

Permeability 0.01 cm/s
DlO 0.1 m m
D50 0.2 iiim
Friction angle 36"

3.1 Dike qfpure sand

I n Fig.3, a number of test stages are presented where a

dike of pure sand is infiltrated by water. If a
homogeneous dike of sand with a critical slope is
infiltrated in the centrifuge, the failure of the dike started
in all cases near the toe owing to seepage-induced local
instability. The initial failure of a homogeneous dike
appeared to be a surface phenomenon. Even in the case of
a critical slope, the test did not show a Bishop like
shear band mechanism. The local instability proceeds
with increasing water flow, which results finally in a total
failure of the embankment. I n Fig.3c a slope with a
smaller angle is shown after failure. Also in this case
failure starts near the toe. 111 Fig.3d the stream lines are
made visible by a tracer. The seepage is clearly visible,
which explains the erosion of the sand. I n accordance
with the exception more water can be infiltrated if the
slope angle is smaller. It was found that the mechanism is
not significantly influenced by density and particle size.

3.2 Sand dike with clciy

In this case a dike is constructed with a sand body to

which a clay layer is applied to prevent erosion of the
Fig. 2 Different stages showi11g the bellaviour o f a dike of sand by wirld and rain. Usually grass is growing on the
pure sand during water infiltration. clay layer. Because the clay layer has relatively poor
contact with the subsoil. the clay becomes dry. This

449
 drying process can cause small cracks in the clay layer. If
water runs over the slope, infiltration occurs via the
cracks. In Fig.4 a test is performed on a sand dike
covered with a clay layer. In this test the water is
infiltrated at the crest only. The stream lines are made
visible by a tracer. If the sand slope is covered with a clay
layer, the first visible sign of failure is the crack in the
clay layer (Fig.4~).The crack is caused by the fact that
the clay layer is lifted up, so that the friction between
clay and the sand slope is reduced strongly. A crack
appears as a result of tlie inherent weight. The moment of
uplift of the clay layer can be deduced from the curvature
of the visualized stream lines. It appeared that the
location of the crack in the clay layer was dependent on
the thickness of the layer. The larger ttie thickness of ttie
clay layer, the closer the crack comes to the crest of the
dike. This tendency is shown in Fig.4d. In practice tlie
crack is mostly located at the transition between slope
and crest.

Fig.5 Centrifuge tests to examine the effect of a drain at

the toe of the embankment.

The influence of a drain close to the toe of the dike is

tested in Fig.5. This is a typical demonstration of how
centrifuge modelling can be used to examine alternative
constructions. It should be pointed out that it is almost
impossible to make such a comparison in field tests. As
was expected more water was required to cause failure.
The stream lines show clearly that water is discharged via
the drain. The practicability of a drain as a solution is a
matter for debate. Dikes have to be reliable for hundreds
of years. whereas there can be no certainty of the drain
continuing to work well for such a long time. For the
same reason, the use of geotextile for dikes has not been
common to date.
Fig.4 Moment of cracking of a clay layer covering a sand
dike; the stream lines are visualized by means of a tracer.

450

Fig. 6 Effect of a heterogeneity during infiltration
I n Fig.6, the effect of a heterogeneity i n the sand body is
visualized. This test was performed as a response to
critical remarks that only liomogeneous sand bodies
could be tested. The stream lines of the groundwater flow
are made visible by a tracer. It was found that a
heterogeneity can have a positive effect on the stability.
F i g 7 Deforniation of a real eriibanknient during water
i nfi Itration.
The centrifuge tests could be compared with field tests.
I n this test a real dike with a height of 6 metres was
infiltrated by water. The construction of the dike was
comparable with a sand Fig.7 Deformation of a real dike
during water infiltration.
covered with a clay layer. The water was supplied over
some length via holes i n a large tube at the crest of the
dike. The water ran over the slope, so that some
proportion infiltrated into the sand body. The surface
451
deformation of the dike was measured by digital image
processing (Allersnia, 1996). For this purpose, labels
were placed at the slope of the dike. The labels are
monitored by a video camera mounted on a fixed point 30
metres distant. The deformation of the dike body could
be visiialized easily by subtracting two images. taken at
different time steps. A typical example is shown in Fig.7.
It can be seen that in the field tests almost tlie same
mechanism is visible as i n the centrifuge tests, i.e. failure
does not occur along deep shear bands. Rather, the clay
layer slides over the sand surface, so that a crack is
formed at the transition between slope and crest. After
that, the water infiltrates the sand body via the crack,
which causes a gradual erosion of the dike body.
I n practice, the water siipply by wave overtopping is
given i n litres/s/ni. In the field test, about 1 litre/s/m was
supplied. I n the centrifuge tests the water infiltration at
failure varies between 0.1 and 0.3 I/s/m. There are no
accurate measurements available from practice. In the
design rules, the permitted quantities lie between 0.1 and
10 I/s/m. depending on tlie protection of the slope. The
data show that there is a realistic agreement between the
tests.
4 CONCLUSION
The small geoteclinical centrifuge was very convenient
for investigating the behaviour of slopes of embankments
during water infiltration. I11 a relatively short time a large
number of test conditions could be investigated, were the
costs are very reasonable.
The niotnent of failure of a sand slope during wave
overtopping is dependent on the degree of saturation and
the slope angle of the sand body. Critical slopes with an
angle of 36" show failure if the phreatic line has reached
the soil surface at a height of 1/3 of the slope. Non-
critical slopes can be completely saturated before failure
occurs. It appeared that the failure of sand slopes during
water infiltration is initiated by seepage-induced local
instability. This is i n contradiction to some theoretical
hypotheses, which assume that failure starts with a slip
circle mechanism, as is supposed in the failure
mechanism of Bishop. I n the centrifuge tests, the
behaviour of a clay layer covering a sand slope could be
visualized. It appeared that tlie clay layer is lifted up by
the water pressure. Due to reduction of friction between
clay and sand the self weight of the clay causes tensile
cracks. Infiltration of the water into the cracks results in
progressive failure of the slope. A similar mechanism
could be observed in a field test. This agreement is a
satisfying demonstration that centrifuge tests are a very
realistic simulation of practice.
The centrifuge tests can be used to examine the effect
of alternative constructions. A typical example is tlie
visualization of the effect of a drain. Moreover, tlie effect
of a heterogeneity can be visualized, so that conclusions
can be drawn about tendencies in practise. It is believed
that a small centrifuge is valuable tool for testing new
ideas i n geotechnical engineering.

ACKNOWLEDGEMENT

The research described is assisted by several graduate

students from different countries, they are: I.A.G.
Ligtenberg (the Netherlands), 0. Mareschal (Belgium).
Many thanks are expressed to the technicians of the
laboratory for their assistance in this project.

REFERENCES

Allersma, H.G.B., 199 I : Using image processing in

centrifuge research. Proc. Int. Conf. Centrifuge9 1,
Boulder, Balkema, Rotterdam, pp. 55 1-558.

Allersma, H.G.B., 1994a: Development of miniature

equipment for a sinall geotechnical centrifuge.
Transportation Research Record no. 1432, Inovation in
Instrumentation and Data Acquisition Systems, National
Academy Press, Washington, D.C.,pp. 99- 105.

Allersma, H.G.B., 1 9 9 4 ~ : The University of Delft

geotechnical centrifuge. Proc. Int. Conf. Centrifuge94,
Balkema, Rotterdaqpp.47-52.

Allersma, H.G.B., I.A.G. Ligtenberg, B.A.N. Koehorst,

1994d: Sirnulation of failure of dikes by water infiltration
by waves. Proc. Int. Conf. Centrifuge94, Balkema,
Rotterdam, pp. 289-294.

Allersma, H.G.B. 1996: Using digital image processing in

field measurement. Geotechnique 46(3), pp.561-563.

Goodings, D.J., 1984: Relationships for modelling water

effects i n geotechnical centrifuge models. Proc. Symp.
Application of Centrifuge Modelling to Geotechnical
Design, Manchester: 1-24.

Kimura, T., 0. Kusakabe, J.Takernura, 1994: Editors

Proceedings Centrifuge 98, A.A. Balkema, Rotterdam.

452
 sfabil‘fy EngineerW yagi, Yamagami & Jiang U 1999Balkema, Rofferdam, ISBN 90 5809 079 5

Reinforcement’s effects in the tank-model prediction of slope failures due

to rainfalls

Masayoshi Shimizu
Faculiy o j Engineering, Tottori Universih;Jupurz

ABSTRACT: In 1983, heavy rains caused senous disasters including slope failures in San-in Regon, Japan.
Using undisturbed samples taken at a slope that failed, tnaxial and unconfined compression tests were conducted.
Results say that not only physically dscontinuous plane such as a crack but also non-uniformity of mineral
composition can form weak planes. It was verified that the rain in 1983 is the heaviest by Characterizing hourly
rainfall data from 1976 to 1997 in two ways: one is using R-T diagram and the other based on the tank model
method. One of conclusions is that, although reinforcement techmques adopted as countermeasures for disasters
in 1983 are effective up to present, the effectiveness would be verified by possible record-brealung rains.

1. INTRODUCTION t h s parameter St.

One purpose of this paper is concerned with
mechanical view of slopes. It is crucial to assess
mechanical properties of geomaterials for examining
the mechanical stability of a slope. Geomaterials have
to be tested in the undisturbed conditions.
In 1983, heavy rainfalls caused many serious disasters
including slope failures in Shimane Prefecture, San-in
Regon, Japan.
Slopes that failed in 1983 have been reinforced. The
main purpose of this paper is to examine the
effectiveness of the reinforcement. The reinforcement
would be effective unless reinforced slopes fail in a
rain heavier than or equal to the rain in 1983. Whether
a rain is heavier than another rains or not has to be
examined through the characterization of rains by an
objective manner.
The duration of raining T and the amount of the rain
R during T are important factors characterizing the
rain in relation to disasters due to rains. In this sense, a
rain can be characterized in the R-T diagram.
Another way of characterizing rains is utilizing a
tank model. The tank model was originally developed
as a method for predicting discharge in hydrology and
it is used for that purpose. The tank model, however,
was used to predict the occurrence of disasters such as
slope failures due to rains by Michiue & Kojima
(1981) and the effectiveness of the method has been
verified (Shimizu & Sugimoto, 1984a; Shimizu, 1988).
In the tank model method, a parameter, ‘storage
height’ St, representing the height of the water in tanks
is used as an index with which the occurrence of
disasters is predicted. A rain can be characterized by
For two purposes of this paper, i.e. the examination
of the effectiveness of reinforcement of slopes and the
assessment of mechanical properties of geomaterials
of a slope, a failure that hlled 13 people at a site in
Hamada City, Shlmane Prefecture, in 1983 is studied
as a representative case.
The first half of this paper describes geographical,
geological and geotechnical conditions based on the
investigation and researches previously made by the
authors . Geotechcal researches include biaxial tests
on undisturbed samples of the soil taken on the failure
surface and uniaxial compression tests on specimens
cored from rocks that have fell down the slope at the
failure (Shimizu & Sugimoto, 1984b).
The second half discusses the characterization of
hins on the basis of analyses of hourly rainfall data
observed at a meteorologcal station in Hamada City
from 1976 to 1997.
2. DESCRIPTION OF THE SLOPE
2.1 Outline
Figure 1 shows the plan of the site where four slopes
failed on the 23rd July 1983. The biggest slope failure
occurred at 12:30. The debris attacked houses at the
foot of the slope and killed 13 people. The section of
the slope is shown in Figure 2 with geologcal
information.
The investigation of the site showed that the
thickness and volume of the sliding mass, which had
fallen down, were about 20m and 15,000m3,
respectively. The inclination of the slope’s surface was

453

Figure 1: Plan of the site.
Figure 2: Section and geologCa1 Profile Of the 'lope
m
w.
over 30".
At the investigation on August 2, 1983, water was
flowing with a murmur from the point marked with X
in the figure. However on November 5 , no water flew.
From the measurement of the water table in bonngs
dug at four points in different height, the groundwater
surface was supposed to be as shown in the figure.
From these observations, we can assume that the levels
of groundwater's surface arose as well as its pressure
on the sliding surface to much higher level than those
before the failure, which led to the loss of the stability
of the slope.
2.2 Geological features of the slope
The slope comprises masses of crystalline schist,
rhyolite and diorite. All the masses are heavily
weathered with cracks in particular along faults. The
thickness of the mass having fallen makes us suppose
that the weathered mass had developed as thick as
more than 20m. The weathering has deteriorated
diorite rocks to be clayey soft-rocks and crystalline
schist and rhyolite rocks to be fissured.
454
3. STRENGTH OF UNDISTURBED SAMPLES
3.1 Samples
Three kinds of samples were taken:
undisturbed block-samples of heavily weathered
and soft diorite, which were taken at the point
indicated by the mark 0 in Figure I ,
rock masses of rhyolite having fallen down in the
debris, and
Physical and mechanical properties of these samples
will be described separately in the following.
3.2 Weathered diorite rocks
Some of the undisturbed samples were taken in the
way. that the author had employed for taking
undisturbed samples of weathered granite (Shimizu,
1983) and some with many cracks in the way
developed by Nishida and Aoyama (198 1). In the latter
way steel nails 15 cm in length were forced into the
ground so that they surround an area to be a block
sample. The rock of the ground was so soft that nails
could be forced into with hammer.
X-ray diffraction patterns were examined on two
fractions of one of undsturbed samples (Figure 3).
The sample A is a fraction of the white part that is
rather uniform in color and texture. The sample B is a
fraction of the part that appears relatively black.
Minerals common to both samples are quartz and
chlorite; the peak for feldspar is not high. The peaks of
28=8.8O and 17.6', observed only for the sample B
reflect the existence of black mica and
montmorillonite, respectively.
Figure 3: X-ray diffraction patterns of the dioritic
sample.
Triaxial compression tests were conducted on
undisturbed samples. Specimens of cylindrical form, 5
cm in diameter and 10 cm in height, were prepared by
the following way: at first sample blocks were frozen
with liquid nitrogen, and cylindrical specimens for
triaxial tests were cored by using a boring machine.
The coring bit of the machine is a special one designed 3.3 Rhyolite rocks
for coring weathered granite soft rocks (Shimizu, The blocks ot' rhyolite that we took in the debris
1990). deposit had Fallen from the upper part of the slope;
Each specimen was photogaphed both before and they had been separated by existing cracks. Each block
after the triaxial test (Figure 4). The comparison of
photos could help us to examine the effects of the tone
of color and the existence of cracks upon the
mechanical behavior in triaxial tests. The tone of color
seems to retlect the non-uniformity of mineral
composition as pointed out in the reference o f Figure
-I
3.

Figure 5 : Stress-strain Figure 6: Effective stress

relationships. paths.

itself appeared intact without clayey material although

they have flow texture.
Blocks were cored to be cylindrical specimens, 3 cm
Figure 4: An example of photos taken before (left) and in diameter and 7 cm in height, by using a boring
after the test (right) machine. The direction of the coring was varied so that
the direction of the flow texture, p, varies (See the
Tnaxial tests were conducted under the conditions of figure inserted in Figure 7). Unconfined compression
consolidation-undrained (CU) with measurement of tests were conducted on specimens that have different
pore pressure. Figures 5 and 6 show the effective values of p. Results are shown in Figure 7, in which
stress paths and stress-strain relationships, the unconfined compression strength qu and the secant
respectively. Young's modulus E, are plotted against the angle p. E,
We observe in these figures two distinctive types of was determined from the secant corresponding to qJ2.
behavior: one is strain-hardening but less rigid type for This fi,we shows that both qu and E, take relatively
specimens No. 3 , 3 and 5 ; the other is strain-softening low values for p higher than 65". The direction of
and relatively rigid type for specimens No. 1, 4 and 6. failure planes for all the specimens were also in this
The observation of photos showed that the strain-
hardening type is for specimens of which failures
occurred along preexisting cracks or plane parts of
black-color tone, and that the strain-softening type
corresponds to specimens in which failure planes were
neither coincident with preexisting cracks nor with
black-colored plane parts.
Different values of strength parameters, Cp' and c',
were determined between two different types:
and c'=58 kPa for No. 2, 3 and 5 ; and Cp'=39" and
c'=66 kPa for No. 1, 4 and 6. This difference in the
value for strength parameters, especially, for $', as
high as about loo, reflects not only the existence of
cracks but also the non-uniformity of mineral
composition. As a conclusion, physical discontinuity,
for example, due to cracks and non-uniformity of
mineral composition such as micaceous composition Figure 7: Unconfined compression strength qu and
form 'weak planes', which reduce inacroscopic shear secant Young's modulus Es versus the direction of
strength. flow texture p for rhyolite rock samples.

455
range of angle, which indicates that the direction of the
flow texture of rhyolite can be the mechanically weak
direction.
According to the Deere,s classification which
is used to classify rocks from the relationships
between E, and qu, the data shown in Figure were
plotted in the lowest end for intact igneous rocks.
According to meteorobY~warm O r stationay fronts
and typhoons Cause h e a y rains in Japan. A rain would
be characterized with the consideration of these
meteorological causes. However, the detailed data on
these causes other than records of rainfalls are not
available particularly for disasters several decades ago;
records of rainfalls have been provided as fundamental
records for long years.

4. REINFORCEMENT OF SLOPES 5.1 R-T diagram

A usual way of characterizing a rain is to use the
In the district, as well as the main slope that failed to duration of raining and the amount of rain. A rain will
kill 13 people, indicated as @ in Figure 1, another continue for some duration of time and stop; after
slopes failed, too, or became unstable. In particular, stopping, it may rain again. Therefore, the duration
the slope in the west of the main slope, tension cracks and the amount depend on whether we include the
were observed. Countermeasures were adopted to duration ofthe stopping in that of the rain or not.
prevent further loss of human lives and estates of The definition of a rain depends on how to treat the
inhabitants in the district. time-duration, AT, during wtuch the raining was
As stated in the preceding section, the main slope- stopping. BY setting a value of AT, the raining with the
failure occurred due to the rising of the groundwater's intemption less than AT or equal can be defined as a
level and therefore its pressure. The most appropriate rain. Suppose that it rains for some time, stops for the
countermeaSure for possible failure in future was duration longer than AT and rains again; in this case
considered to keep them low even in heavy rains. For the raining is w w d e d to comprise WOrains.
this purpose, borings for drainage were dug at ten Analyses were made using data on hourly rainfalls,
different vertical levels, and 7 or 9 at a level. Total observed at a meteorological station, locating Hamada
number of borings reached 80. Usual level of CW, S h h a n e Prefecture, from 1976 to 1997. Figures
groundwater could be lowered by two to one meters. 8 (a) and (b) show the results, in which the
Boring tubes were fixed in retaining walls constructed relationships between the duration of raining, T, and
on the slope surface at those ten vertical levels. the amount of rain, R, during the duration T. The
In 1999, more than 15 years after the failure, a figure (a) corresponds to the case when and (b)
bamboo forest develops in the surrounding area AT=12 hours. Only rains of R more than 150mm are
outside the area where borings were dug, but no inside shown for clearness.
the area. Considering that the bamboo can grow only Figures 8 (a) and (b) show that the rain from July 22,
in wet conditions, the cowtemeasure is effective in 1983 was record-breaking in the examined range of
the sense that it could keep the groundwater level low. Years that Precede with regard to the amount R. If the
This c o u n t e m e a u e can be regarded as an indirectrain is counted as the same rain as that from July 20,
reinforcement for the main slope. the amount R will be more than 500 mm.
As for the slope in the west of the main slope, The a m u n t R of the rain recorded from July 15,
concrete frames were constructed on the surface to 1988 exceeded that of the rain of 1983. This rain
make the slope more stable. In 1999, a grove mainly of caused floods and broke banks along two rivers in
bamboo is growing so that the frames can not be Hamada City but did not cause serious slope failures
viewed. This direct type of reinforcement appears to other than river banks. By comparing figures (a) and
be also effective. (b), we see that it rained before and after this rain for
the time as long as about 10 days.
Another rain of July 7 or 8, 1997 caused disasters
5. CHARACTERIZATION OF RAINS due to slope failures in mountainous area. This year,
fortunately, disasters were rather insignificant so that
This section discusses whether the rainfall in July no one died.
1983, which caused serious disasters in San-in Region,
was really record-breaking or not, comparing with 5.2 Tank-m~delmethod
rainfalls that we experienced before and after that time. The tank n d e l used for analyses is the Same as that
It seems that the tern 'record-breaking' is too often used in previous studies (Figure 9; Shimizu, L9xx).
used without proof for rainfalls having caused Parameters 9i (i=1,2,3) represent the rate of
disasters. Whether a rain was record-breaking or not discharges; Pi (i=l,2,3) the rate of vertical percolation
has to be examined by defining or characterizing the or infiltration into ground; S, (i=1,2,3) the height of
rain in an objective or quantitative manner. Here two water or storage height in tanks; a, (i=l to 4) and bi
methods of characterizing rains are examined: one is (i=1,2,3) are coefficients to control the discharge and
based on the duration and amount of a rain and another Percolation; and L, (1'1 to 4) the height of outlets. For
on the concept of the storage height used in the tank-
model method.
456
 Figure 9: The tank model used for analyses.

Figure 8: R-T diagrams for rains from 1976 to 1997.

our purposes, the total height of storage St(=SL+S2+S3)
is of importance. The intensity of rainfall r to be input
is hourly rainfall.

Table 1: Values of coefficients for the tank model. Figure 10: Variations of total storage height St with
Discharge Percolation Height of outlets time in selected years.
coefficients coefficients
1h o u r lhour mm
Whether slope failures occur or not depends on not
a l a2 a3 a4 bl b2 b3 L1 Lz L3 L4 only the level of St but also the duration in which the
.15 .10 .05 .01 .12 .05 .01 15 60 15 15
level continues. From this point of view, Figures 11 (a),
In Figure 10, the variation of S, with time is shown (b) and (c) were prepared. The proportion of the
duration in which S, exceeds a certain value X,
only for particularly selected years; the years in which
T(S0X) to the total time T (=a year) is plotted against
the high amount of a rain R was recorded were
to the value X. All the years from 1976 to 1997 were
selected (see Figure 8).
examined; for clearness three figures are provided for
In the previous studies, the critical storage height SIC
every several years. For the comparison, the data for
was determined to be 157mm in Hamada City
the year 1983 is shown in all the figures.
(Shimizu & Sugimoto, 1984a; Shimizu, 1988),. The
We can see in these figures that how much more
value was determined on the basis of the criterion that
heavily it rained in 1983 and in 1988 than in other
we could predict 85% of those slope-failures which
years. Comparing these two years, however, the rains
would fail due to the rain in which S, exceeds StG. In
this regard, the level of St=157mm is shown in the
in 1983 was heavier than those in 1988 because, for
example, the time proportion for which St exceeds
figure with a dotted line for each year. At a glance, this
150mm reaches 0.3% in 1983 and 0.15% in 1988.
level was reached in 1983 and 1988.

457

Figure 11: Characterization of rains from 1976 to
1997. T(SPX)/T vs. X
6. CONCLUSIONS
Results of triaxial and unconfined compression tests
on undisturbed samples of weathered diorite and
rhyolite rocks showed that not
mineralogical discontinuity
deteriorate macroscopic shear strength.
Rains in Hamada City, Shimane Prefecture, Japan,
from 1976 to 1997 were characterized in two ways.
One way is to use R-T diagram, where T is the
duration in which a rain continues and R is the total
amount of the rain during T. The other is to use a
parameter for the tank model, the total storage height
st.
Through these two ways of characterizing rains, it
was verified that the heavy rains in 1983, which
caused serious disasters in San-in Region, Japan, was
record-breaking. After that year, in 1988, so heavy
rains attacked this regon that rivers' banks broke and
flood occurred, however tremendous disasters dld not
occurred in slopes other than river banks. Although the
rain of 1988 was really so heavy that the amount of
rain R was the highest in the examined years, the
duration in which St was higher than the critical value
was shorter comparing with the rain of 1983.
Slopes that failed or deteriorated due to the rain in
1983 were reinforced by direct or indirect techniques.
Up to present, 1999, the reinforced slopes have been
kept stable. Although the effectiveness of
reinforcement can not be denied, we have to continue
to observe their stability because we have not yet
experienced a rain heavier than the rain in 1983 in the
sense that S, in 1983 has not been exceeded.
ACKNOWLEDGMENTS
The Author sincerely thanks Mr. T. Inoue, Engmeer of
Shimane Prefecture, and Mr. A. Tsumiya, Engineer of
WESCO, Co., Ltd. for their help in field investigation.
Mr. N.Sugmoto, Engmeer of Muramoto Kensetsu Co.
Ltd., former student of Tottori University, is also
acknowledged for his co-operation in conducting
laboratory tests and investigating the site.
REFERENCES
Michiue, M. and Kojima, E. 1981. study of forecast
for occurrence of land slides due to heavy rain storm.
Reports of Faculty of Engineering, Tottori University,
12:167-178. (in Japanese)
Nishida, K. and Aoyama, C. 1990. Evaluation of
permeability of residual soil. Residual Soils in .Japan.
JSSMFE. 133-136
Shimizu, M. and Sugimoto, N.1984a. Application of a
method for predicting occurrence of slope failures
due to rain falls, Report of Faculty of Engineering,
Tottori University. 15: 130-140.
Shimizu, M. and Sugimoto, N. 1984b. Strength
characteristics of strongly weathered rocks taken at a
slope-failure site. Proc. of the 31st Annual
Conference of Civil Engineering. JSCE. 3:633-634.
(in Japanese)
Shimizu, M. 1987. Weathering and strength behavior
of granite Soils. proc. Of8th Pun-American conf: on
sMrE3 2: 141-152.
physical but also Shimizu, M. 1988. Prediction of slope failures due to
weak planes to heavy rains using a tank model. Lundslides. Proc. of'
(he Fdth lnt. Symposium on Lundslides. Balkema.
77 1-776.
458
 Slope Stability Engineering, Yagi, Yamagami & Jiang k-' 1999 Balkema, Rotterdam, ISBN 90 5809 079 5

Investigation of danger rainfall prediction system for natural and cut slopes

H. Miki, A. Fujii & M. Furuta

Soil Mechanics Division, Public Works Research Institute, Ministry of Construction, Tsukubu, J n p n

ABSTRACZIt is difficult to predict both the quantity of rain that must fall for a cut and natural slope to collapse
under its effects and when the collapse will actually occur. This means that under present conditions, warning and
danger rainfall levels are established by referring to the relationship between past rainfall records and disasters in
the surrounding area to empirically set rainfall criteria for closing roads. In the past, the authors have conducted
studies based on a series of field monitoring results to determine wheather it is poscsible to quantitatively evaluate
stability and danger rainfall levels at specific slopes based on the rainfall permeation and the destabilization mechanism.
This paper proposes a survey and analysis system that can quantitatively evaluate the danger rainfall level of a
specified slope: a task formerly very difficult to perform to a degree adequate for practical use.

1 PURPOSE OF THE STUDY
Because of the extreme difficulty in predicting the
quantity of rainfall that may cause the failure of a
natural or cut slope and when such a collapse will
occur, the establishment of rainfall levels to serve as
standards for closing roads is now generally done
based on experience with reference to the relationship
(1) Slope survey : The actual state of the slope is
surveyed in order to obtain the analysis model and
basic parameters necessary to perform a stability
evaluation.
The items surveyed are the shape of the slope,
seepage properties, and mechanical properties, and
these are tested by means of both in-situ experiments

I-
between past rainfall records and disaster records in r In-situsurvey -y- Soil testing 7 Monitoring
the region where the road is located. Rainfallgauge
The authors have drawn on a series of monitoring oil mdsturemeter
results to conduct a study to clarify to what extent it is Sampling Moisturecontent
ore pressuremete
n-situ seepagetesting testing
possible to quantitatively evaluate the rainfall that will
cause the failure of a specific slope (referred to Analysis precision improvement
hereinafter as the "danger rainfall") based on the
rainfall seepage and accompanying dmtabilization
mechanism. Purp0se:recreatethesite
This paper introduces a proposal for a survey and Resultconfirmationofthe usefulness
analysis system that can be used to perform the of theanalysis method

hitherto difficult feat of quantitatively evaluating the

danger rainfall of a specific slope and illustrates
typical examples of the application of the proposed
system.

2 STUDY OF THE NATURAL AND CUT SLOPE t

emage tlow analysis I
t
Stabilityanalysis I
DANGER RAINFALL PREDICTION METHOD Purpose:clar/ficationofthe Purpose:clarificationofthe degree
rainfallquantityqrior tothe failure of saturationprior to the failure
2.1 Overall Procedures Result failure at Xmm of Resultfailure at satur ationof X %
cumulativerainfall
Figure 1 is a flow chart of the proposed a natural and
cut slope danger rainfall prediction method.
The basic overoil evaluation procem is divided into Figure 1 Slope dunger rainfall setting process
three stages.

459
and laboratory experiments using specimens obtained
at the site.
(2) Slope monitoring :This monitoring is performed
to clarify the rainfall seepage properties on the slope at
the site in order to obtain information needed to bring
the analysis model and parameters established
tentatively in stage (1) closer to actual conditions at the
site.
It is vital to perform the monitoring using
appropriate methods in order to improve the precision
of the analysis because the data obtained through this
monitoring b information directly related to the figure 2 Example of a detailed topographical clwifiation
establishment of the parameters of the seepage model. topographical maps and records of past disasters.
The monitoring is performed by installing soil At the site, more detailed visual observations
moisture meters, pore pressure meters, water level focussed on the natural and cut slopes selected by the
indicators, and other monitoring instruments to above procedure are carried out to estimate the latent
measure changes continuously in water content, the danger of a failure of the slopes and the form of failure
water level, etc. likely to occur. Then traverse lines are established on
(3) Slope analysis and danger rainfall forecasting : the natural and cut slopes which are assumed to be at
Danger rainfall forecasting is performed through both the highest risk of failure in light of their geological
seepage flow analysis and stability analysis. and topographical nature, vegetation conditions,
Seepage flow analysis can be used to forecast disaster occurrence history, and spring water situation
changes in the degree of saturation of the interior of a and with reference to the same conditions on nearby
slope under the effects of rainfall of various intensities natural and cut slopes.
by developing a slope seepage model that represents (2) Internal slope exploration : After the traverse
the response and behavior of the actual slope related lines are determined, the geological structure of the
to rainfall seepage. interior of the slope is investigated using the following
Stability analysis can forecast the stability of a slope exploration methods.
under various seepage states by developing a slope a) Hand sounding staff(Figure 3) : A steel rod with a
stability mechanical model based on the relationship diameter of about 5mm that can be inserted into the
between the saturation and strength of the slope ground manually. It is a good method that provides
obtained based on laboratory soil experiments. test results in a few seconds for sites with the
By performing a failure simulation based on the weathered layer lem than lm. It has a small slit at the
results of the above two kinds of analysis, it is possible end that allows the user visually check the soil at the
to link the state of the rainfall to the degree of stability insertion depth after pulling it out. It is a method used
of the slope in order to set the danger rainfall at which to perform a simple survey in order to determine
the slope may fail. whether or not the weathered layer is deeper than lm.
2.2 Proposal of Practical Slope Survey Technology
Because the geological structures of natural and cut
slopes are very inhomogeneous, it is very difficult to
correctly verify their internal geological structures.
This research project was a study of the application of
various kinds of survey technologies in order to
ebzabliih survey methods that are simple and can be
used to obtain information with the maximam possible
practical precision.
The slope survey is divided into the following three
StageS.
(1) Preliminary survey : The interpretation of
topographical maps and photographs completed
before entering the site focuses on topographical
classification and vegetation. The first step is the
classification of the slope into detailed topographical
features such as the valley top, knick line, and failed
ground(F4gure 2) in order to estimate the form of the
failure and at the same time prepare for a field survey
centered on those natural and cut slopes that are
assumed to be at high risk of failure while referring to Figure 3 Hand sounding 6 h f f Figure 4 Simple penetration test device

460
 Figure 5 Example of a summary of the state of the the state of the interior of a slope
b) PWRI type simple penetration test(Figure 4) : A
rod with a diameter of 16mm and a cone on its tip is
equipped with detachable 5kg weight The weight is
dropped from a height of 50cm to push it into the
ground to investigate the penetration resistance of the
interior of ground. It can investigate the ground down
to a depth of about 3m, and because it can obtain
specific and continuous strength information in a
relatively short time, it is an extremely useful method
of investigating a natural and cut slope.
c) Physical exploration : Other new exploration
technologies developed to quickly obtain data
regarding the ground over a wide area include the
underground radar method, electromagnetic wave
reflection method, and the specific resistance
exploration method. Since it is difficult to convert data
obtained by these methods into actual strength
constants, it is necessary to use them in conjunction
with a direct test such as the PWRI type simple
penetration test
An actual survey begins with a simple hand
sounding staff survey followed by the use of more
detailed survey methods considered necessary in light
of the results of the simple survey. The data obtained
is recorded on a single diagram to summarize the
interior condition of the slope(Figure5).
(3) Soil quality tesbs : Soil quality tests are
performed in order to confirm the properties of each
soil layer categorized using the exploration
technologies described above.
The soil quality tests include in-situ tests done at the
same time as the slope interior exploration and
laboratory soil tests of specimens of soil taken from the
site.
a) Soil testing related to basic properties of the soil
specimens : The soil testing is done to confirm a
fundamental categorization of the soils. The tests
performed include wet density testing, dry density
testing, specific grain testing, moisture content testing,
and grain size analysis. These are the tests that can
also be done to the disturbed specimens.
b) Soil testing related to seepage : Tests are
performed to confirm properties related to the soil's
46 1
seepage properties. These are seepage testing, pF
testing, etc. The specimens used are ones obtained by
block sampling or other undisturbed specimen
collection method must be used. Because the results of
these tests are seriously effected by disturbance of the
specimens.
c) Soil tests related to strength : These tests are
performed to confirm the strength-related properties
of the soil. The test items include box shear testing,
triaxial compressive testing, and so on. A study of the
failure mechanism of a natural and cut slope must
account for the fact that it is almost impossible to
account on the internal friction angle component of
the soil cover and that a major cause of failure is a
reduction in strength caused by soil moisture. For this
reason, the test must be done at a low confining
pressure of l.0kg/cm2 or less, and if possible, at a
confining pressure of 0.2kg/cm2. The box shear test
method is recommended because it permits this to be
done with ease. These teshs should also be done using
undisturbed specimens.
2.3 Proposal of a Practical Slope Monitoring Method
The following precautions are observed in order to
continuously metss changea in saturation inside a
slope and the deformation of the slope in order to
obtain stable long-term data.
a) Soil moisture meters (Tensiometers)(Figure6) : A
soil moisture meter is a device with a porous cup filled
with deaerated water on itS. tip (made of unglazed
porcelain to allow a little water to pass through) that is
also equipped with a sensor to measure the suction
(force that draws water) by sensing the force the
moisture adsorbs from the area where the cup presses
tightly on the soil. The data obtained is represented by
the unit gkmH20 (pF value = log10(suction value)).
If a model of soil moisture meter that can also
measure positive pressure is selected, it can be
substituted for a pore pressure meter. Hut because a
meter of this kind is not as sensitive as a pore premure
meter, it is better to also install a separate pore
pressure meter when it is necessary to obtain real-time
water p r m u r e fluctuation data.
 A soil pressure meter is installed by drilling a
vertical hole with a hand auger etc., inserting the
meter in the hole, and pouring in slurry so that the
cup adheres closely to the soil. This must all be done
carefully to prevent any damage to the cup on the tip.
Accurate evaluations can be performed by installing
this meter at the end of the slope where rainwater is
likely to collect or at a location where the weathered
layer is deeppigure 7). A data logger records data at
intervals ranging from 15min. to lhr. In s l o p suscep
tible to severe dryness, the deaerated water inside
these meters is exhausted and they stop working in
between one month and one week. As necessary,
maintenance workers have to replace the deaerated
water. Although not done in this case, it is possible to
track the seepage of a slope in real time by installing
telephone lines to transmit the data to an office.
b) Pore pressure meterpigwe 8) : Pore pressure
meter measures the water pressure generated when a
water level appears in the soil and converts the
pressure to data. These meters can be installed any
locations where water level will certainly appear
because this meter basically does not respond where a
water level fails to appear.
The model of pore pressure meter selected must
perform extremely precise measurements because it
will be installed to detect the failure of shallow layers.
Pore pressure meters are installed in boring holes and,
as in the case of soil moisture meters, at locations
where rainfall collects easily.
As in the soil moisture meter case, the measure-
ments are done at short intervals of time so that the
process of seepage can be tracked closely. One good
feature of this type of meter is that it requires less
maintenance than a soil moisture meter.
Because there are some slopes where a water level
does not appear, this meter is installed after
confirming to the greatest degree possible that a water
level exists.
c) Miscellaneous instruments : Because the data
obtained with soil moisture meters and pore pressure
meters is closely related to the rainfall, a rainfall gauge
Figure 6 k%oil moisture meter Figure 7 Example of instrument installationlocations
462
is installed close to the other measurement locations to
measure the rainfall. The installation of inclinometers,
extensometers, and other instruments are useful to
measure the deformation of a slope. But they are not
necessarily required where the main object is to gain
an understanding of the seepage properties of the
slope.
The data obtained using the aforementioned
monitoring techniques is summarized by plotting
them on a common time axis(Figure 9).
2.4 Analysis and Prediciion Method
The results of the in-situ survey and monitoring
described above are reflected in an analysis model and
seepage flow and stability analyses are performed to
predict the danger rainfall.
The following sections present methods of reflecting
the various kinds of data obtained from the in-situ
survey and monitoring in the analysis model.
a) Seepage flow analysis : Seepage flow analysis is
done to investigate the behavior of moisture that
seepage a slope following a rainfall. The slope shape,
weathered layer depth, moisture properties curve, the
specific coefficient of permeability, coefficient of
permeability, rainfall, etc. obtained from the site are
entered into the analysis program in order to find
changes in the water content (degree of saturation) at
various points inside the ground.
As explained in Section 2.1, in order to increase
analysis precision, it is important to add the rainfall
data obtained by the rainfall gauge to the analysis
model and repeatedly perform analysis while making
fine adjustments to the input parameters until the soil
moisture content output by the analysis model
conforms as closely as possible to the data from the
soil moisture meter that has been buried in the slope
in order that the analysis model closely resembles the
actual slope.
b) Stability analysis : Stability analysis is performed
to investigate the relationship between a slope's
stability and the increase in the moisture content of
the slope caused by rainwater seepage.
Figure 8 Pore preasure meter
 Figure 9 Example of a aummarization of monitoring results
The slope 6hape that basically serves as the analysis tions that closely resemble the actual site can be
model is a stratification model consisting of the obtained by finely adjusting the parameters.
bedrock and weathered layer. The approximation method is to increase or
The calculation performed by the analysis model decrease the coefficient of permeability, pF curve,
treats the weathered layer and bedrock layer as an specific coefficient of permeability etc. to an extent that
infinite slope. The incline and weathered layer depth does not deviate sharply from the actual test values
of the slope may be entered as the maximum that were initially entered. And this definition is
inclination and the maximum depth of the slope. And performed by focussing on the decline and recovery of
the cohesiveness, internal friction angle, and wet the pF value and the delay between the rainfall and
density are obtained by using relationship with the the rise in the saturation.
saturation found from the results of the soil test and b) Stability analysis : Figure 12 presents the results
varying the saturation in 10% steps as it is entered. of providing the relationship between the saturation of
c) Overall evaluation : Because the stability analysis the slope obtained experimentally with c ,cl) ,y t to
clearly shows the state of the moisture (degree of
saturation) of a slope where the safety factor of the
slope is less than 1.0, the seepage analysis model is
used again to study what kind of rainfall conditions
must be provided for the corresponding saturation to
be achieved. Rainfall intensity between 5 and 30mdhr
may be consecutively applied because simple
consecutive rainfall more readily clarifies the failure
conditions.

3 EXAMPLE OF AN APPLTCATION OF T€ESYSTEM

This section of the paper introduces a case where the

above danger rainfall establishment system was
applied to a natural and cut slope facing a national
highway in Yamanashi Prefecture.
Figure 10 shows the site layout The survey revealed Figure 10 site condition6 and seepage flow analysis no del
that it is a steep slope with an average gradient of
4Odegrees and that it6 top is almost completely covered
with thick deposits of collapsed soil and that bedrock
is exposed at its bottom.
a) Seepage flow analysis :Figure 10 also illustrates a
FEM mesh modeled basedon information obtained
from an insitu survey.
Figure 11 defines the soil moisture changes on the
slope obtained by monitoring and the soil moisture
changes in the slope model obtained by analysis by
superimposing the two results on a single axis. It
reveals that a model indicating soil moisture fluctua- Figure 11 Similarityof monitoring resdts and analytical results

463
calculate the safety factory by varying the saturation
for the model of the site shown in the upper right part
of the figure.
As the saturation rises, the safety factor against
failure gradually declines until the safety factor falls
below 1.0 at a saturation level of 80%. From this
graph, it can be concluded that the slope will fail at a
saturation of 80% or more.
R g w e 12 Saturation and safety factor decline of the slope
c) Overall evaluation : The next step was the
introduction of a hypothetical rainfall to set the danger
rainfall of the slope.
Figure 13 shows a summary of the cumulative
rainfall - safety factor (calculated from the degree of
saturation) relationship.
This shows that the cumulative rainfall that would
cause failure varies according to rainfall intensity. As
an overall trend, the higher the rainfall intensity, the
more rapid the rise in the degree of saturation and the
lower the cumulative rainfall required to reduce the
Figure 13 Cumulative rainfall - safety factor relationship
464
safety factor below 1.0. And at a rainfall intensity of
5mm, the safety factor will stop declining at 1.3, a
result of the fact that at this intensity, the rainfall
seepage and L\e drainage of moisture from the bottom
of the slope are balanced, maintaining the saturation
at a constant level.
In this case, it is possible to predict that when
rainfallof 20mdhr continues, the failure could occur
at the minimum cumulative rainfall level of 340mm
and at a rainfall intensity of S m d h r , the safety factor
stops declining at 1.3. This is because of the fact that at
this intensity, the rainfall seepage and the drainage of
moisture from the bottom of the slope are balanced,
maintaining the saturation at a constant level.
And results of the above study for a number of
other slopes indicate that this is a plausible result.
4 CONCLUSION AND RECOMMENDANTIONS
The proposed danger rainfall prediction system for
natural and cut slopes that feeds back rainfall seepage
monitoring results for analysis purposes can be used
to quantitatively predict the danger rainfall of a
specific slope.
Future research themes may include the
development of simple soil survey methods to be used
to accurately mess the strength properties of soil, the
continued study of failure predicting based on the use
of monitoring instruments, and research on ways to
apply these to actual road management.
 Slope Stability Engineering, Yagi, Yamagami & Jiang 0 1999Balkema, Rotterdam, ISBN 90 5809 079 5

Predicting rainfall-induced slope failures from moisture content measurement

M. Nishgaki, A.Tohari & M. Komatsu

Department of Environmental Design and Civil Engineering, Okayama Universio,Japan

ABSTRACT: This paper presents the results of a series of laboratory slope failure experiments conducted to
examine the effectiveness of monitoring moisture content to predict the occurrence of rainfall-induced slope
failure. Numerical seepage analyses were also conducted prior to the experiments to identify the hydraulic
response of the model slopes to the simulated rainfall. The changes in moisture content and pore-water
pressure were monitored during rainfall infiltration and at the initiation of failures. The experiments showed
that moisture content of soil slope increased to the saturated value at the time of failure. This indicated the
possibility in predicting the critical time of failure initiation by monitoring the change in moisture content.
Upon advantages of moisture sensing instruments over pore-pressure measuring instrument, therefore,
monitoring of moisture contents during rainfall is more effective and more reliable than that of pore
pressures to predict failure occurrences. The results of precise monitoring of moisture contents in the field to
predict the rainfall-induced slope failures are encouraging.

INTRODUCTION A series of small-scale experiments on rainfall-

induced slope failure were conducted to examine
Rainfall-induced slope failures are among the most the effectiveness of monitoring the changes in
dangerous and destructive natural hazards that moisture content to predict the occurrence of
affect humans and human works. Worldwide, rainfall-induced slope failures. This investigation
especially in the tropical slope areas during high forms part of a program of studies at Okayama
rainfall intensity, these mass movements have University into the development of method of
claimed untold numbers of casualties and millions predicting the occurrence of rainfall-induced slope
of dollars in property losses every year. failures.
Recently, there have been some attempts to find
the ways to predict rainfall-induced slope failures.
Sammori, et a1 (1996) investigated the effect of soil 2 SOIL PROPERTIES
thickness on slope failure initiation, and pointed out
the possibility of predicting the initiation of rainfall- Two different types of soil were used in the
induced slope failures by monitoring soil thickness experiments, namely river sand and residual
and physical soil properties. However, this approach granite soil. The properties of the soils determined
only applies to soil slopes with uniform thickness. by laboratory experiments are summarized in
Predicting the occurrence of slope failures may also Table 1.
involve monitoring the change in pore-water
pressures of the soil during rainfall. Nevertheless,
the present-day devices for measuring soil suction Table 1. Properties of soils used in experiments
still show some limitations, and require special care I Soil type I
D,, I
D,,JD,,, I Density of I K, I
and regular maintenance when used for a long-term (mm) particles, (cds)
measurement activity (Rahardjo et al. 1998). p, (gr/cm’>
Therefore, considering the practical limitations of River sand 0.175 7.14 2.69 0.064
the above-mentioned methods, the findings of an Residual 0.157 4.63 2.70 0.0072
effective and reliable monitoring method for granite soil
predicting failure time are of major importance to
mitigate loss of life and property.

465
 Figure 1. Overview of experimental apparatuses

3 EXPERIMENTAL APPARATUSES induced in each of model slopes by simulating the

The basic apparatus consisted of a landslide tank in
which one-meter high model slopes could be
constructed, and brought to failure by the simulated
rainwater infiltration. The geometry of the model
slopes was chosen not to confine the development
of failure surface and the occurrence of slope
failure.
The model slopes were instrumented with pore-
water pressure transducers (P1-P8) and moisture
sensors (Amplitude Domain Reflectometry type:
ADR I-ADR4). The instruments were mounted in
custom fitting at certain points on the vertical
section of the model slopes, and were connected to
a microcomputer-based data acquisition system as
illustrated in Figure 1. Each of the instruments was
logged at approximately 60 seconds intervals.
rainwater infiltration into the model slope. The
rainfall intensity was set at 100mm/h for all
experiments. The measurements focused on the
changes in moisture content (0) and pore-water
pressure just prior to slope failure.
Prior to each experiment, the process of
infiltration into the model slope was analyzed
using a finite element method, UNSAF code
(Nishigaki, 1987). Each analysis used the initial
pore-water pressure in the slope as the initial
boundary conditions, and the respective SWC
curves shown in Figure 2.

4 EXPERIMENTAL PROGRAM

In the experiments, two homogenous model slopes

were constructed under the specific properties
summarized in Table 2. The changes in the initial
hydrologic condition, and the instability were

Table 2. Properties of experimental model slope

1 Exp. I Soil type I Slope I Average I Porosity I
No angle (") fl
1 Sandy soil 45 0.081 0.454 Figure 2. Soil-water characteristic curve of river
2 Residual 35 0.17 0.342 sand used in Case 1.
I granite soil I

466
5 EXPERIMENTAL RESULTS

5.1 Failure process

The results of transient seepage analyses
demonstrated the simulated rainwater infiltration
had introduced the developments of groundwater
level in the slopes and the formation of seepage face
near the toe of the slopes (Figures 3 and 4). As far
as the prediction of slope failure is concerned, the
development of seepage face can be indicative of
the generation of the instability of the slope.

Figure 5. Change in moisture content with time

during experiment 1.

5.2 Case I : moisture content at failure

Figure 3. Level of groundwater at the time
of failure in experiment 1.
Experimental evidences indicated that the
development of seepage face at the area near the toe
of the slope resulted initially in the generation of
tension cracks just above the saturated soil. In sandy
soil slope (Case l), the tension cracks introduced
instability to the whole portion of the slope. In
contrast, in residual granite soil slope (Case 2),
tension cracks only induced local instability on
saturated soil portion. Therefore, the experiments
have demonstrated the critical influences of seepage
face development on local and overall instability.
Detailed moisture content measurement records for
all moisture sensors are shown in Figure 5. The
records showed two phases of significant increase
in moisture content. The first phase was associated
with the ingress of the wetting front by which the
soil reached about 50% degree of saturation. This
saturation condition lasted until the groundwater
level was developed in the slope. The increase in
groundwater level had resulted in the next phase of
increase in moisture content and saturation.
Moisture sensor ADRl indicated that the moisture
content of the soil near the toe of the slope reached
the saturated value at failure. This clearly
suggested that saturation of the toe of the slope
contributed to failure initiation.

Figure 4. Level of groundwater at the time of Figure 6. Variation of pore-water pressure

failure in experiment 2. with time during experiment 1.

467
5.3 Case I : Pore-wuter pressure at f d u r e
Pore-water pressure records frorn all transducers are
shown in Figure 6. The advancing rainwater-
wetting front resulted initially in sharply increased
pore-water pressures near the surface of the slope.
The pore pressures were then constant and finally
increased slowly again in response to the rise in
groundwater level. In contrast, pressure transducers
located near the bottom part of the slope (P5 and
P7) initially displayed no pore-water pressure
increase until the arrival of advancing groundwater-
wetting front, when there were sharp increases to
zero.
Transducers located near the slope surface (Pl-
P3) showed pore-pressure increases to positive
values prior to the occurrence of slope failure. This
gave the indication that the development of seepage
face was responsible for failure initiation.
Figure 7. Change in moisture content with time
during experiment 2.
5.4 Cuse 2: Moisture content at fuilure
Variation of moisture content with time is presented
in Figure 7. Moisture sensor ADRl located 30 cm
above the base of the tank initially indicated the
existence of a nearly saturated area.
Moisture content in the most parts of the soil
slope increased slowly throughout the experiment.
The first significant increase occurred in the near
slope surface area of the slope as displayed by
moisture sensor ADR2. This increase suggested the
rise in groundwater level and development of
seepage face during which a slope failure initiated.
Moisture sensor ADR2 showed the soil failure
involved nearly saturated soil slope. The next
468
increase in groundwater level indicated by ADR3
and ADR4 resulted in the next Occurrence of slope
failure.
Figure 8. Variation of pore-water pressure with
time during experiment 2.
5.5 Case 2: Pore-water pressure at failure
Pore-water pressure records are given in Figure 8.
Pressure transducers located at the bottom of the
slope (P5 and P7) indicated the appearance of
initial groundwater table.
The changes in pore-water pressure in response
to rainfall infiltration commenced with the
generation of significant increase in pore-water
pressures near the surface of the slope. Pore-water
pressures then increased slowly during the ingress
of wetting front and rise in groundwater level.
Then, seepage face developed in the area near the
slope toe as indicated by the development of
positive pore-water pressure at P1 and P2. Further
increase in groundwater level enlarged the seepage
face area, which was believed to initiate two
subsequent failures.
6 DISCUSSION
The experiments have demonstrated the possibility
in predicting failure initiation by monitoring the
changes in either moisture Content or pore-water
pressure during rainwater infiltration. Precise
monitoring of moisture contents and pore pressures
in relation to failure initiation consistently
indicated that moisture content of soil approached
saturated value, while pore-water pressure reached
zero value at failure initiation.
Instruments for the monitoring of negative pore
pressure (suction) have suffered from a number of
disadvantages. The present-day instruments are
restricted to measuring a very low suction, and
require special care and maintenance for long-term
monitoring program. In contrast, long-term
monitoring of moisture content has been possible by
the present-day moisture-sensing instruments. This
advantage of moisture sensing instrument over
suction measuring instrument suggests that
monitoring of moisture content during rainfall is
more effective and more reliable to predict the
occurrence of slope failures compared with that of
pore pressure. However, in order to observe
properly the changes in soil moisture content, it is
so preferable that soil is initially at low moisture
content.
The general profile of variation of moisture
content with time due to rainwater infiltration,
inferred from the experiments, as shown in Figure 9
suggests two phases of significant increase in
moisture content. Referring to this Figure, the
initiation of second increase in moisture content
(Profile 11) may be used for early warning towards
the occurrence of slope failure. Knowledge of the
value of saturated moisture content of soil and the
rate of moisture increases will assist one to estimate
the critical time of failure.
The experiments reported in this Paper indicated
that the development of seepage faces at the slope
surface were responsible for the initiation of slope
failures. This clearly illustrates the importance of
precise monitoring of moisture contents in seepage
face area to predict failure time. The use of
numerical analysis would help to determine the
location where the seepage face will develop.
The conclusions drawn from this study are that
direct monitoring of the change in moisture content
Figure 9. General variation of pore-water
pressure and moisture content with time at failure
(under the effect of rainwater infiltration)
469
provide a higher possil$ity in predicting slope
failure occurrences during rainfall. The advantage
of moisture sensors for long-term measurement
would tend to recommend this predicting method
over other available method. Field experiments to
investigate further the application of this method
are desirable.
REFERENCES
Abraham, L. W., T. S. Thomas, S. Sharma & G.
M. Boyce 1995. Slope srability and
stabilization methods. New York: John Wiley
and Son.
Fredlund, D.G & H. Rahardjo 1993. Soil
mechanics for unsaturated soils. New York:
John Wiley and Son.
Nishigaki, M 1987. Unsaturated seepage analysis
(UNSAF), Okayama University, Japan.
Rahardjo, H., E.C.Leong, G.M. Gasmo & S.K.
Tang 1998. Assessment of rainfall effect on
stability of residual soil slopes. Proc. 2"" Znt.
COT$Unsaturated Soils, Beijing, 2 7-30August
1998: 280-285. International Academic
Publisher.
Sammori, T., Y. Okur, H. Ochiai & H. Kitahara
1996. Seepage process in sloping sand layers
and mechanism of landslide-Effects of soil
thickness on landslide initiation by laboratory
and numerical experiments. Proc. 7"' Znt. Symp.
Landslides, Troizdlzeim, 17-2I Juni 1996:1351-
1356. Rotterdam: Balkema.
van Genuchten, M. Th. 1989. A closed-form
equation for predicting the hydraulic
conductivity of unsaturated soils. Soil Sci. Am.
J. 44: 892-898.
This Page Intentionally Left Blank
 Slope Stability Engineering, Yagi, Yamagami L? Jiang 0 1999 Balkema, Rotterdam, ISBN 90 5809 079 5

Analytical study on the slope stability during rainfall and the rainfall indexes

A.Togari-Ohta
East Japan Railway Company,Japan
T. Sugiyama & T. Nara
Railway Technical Research Institute, Tokyo, Japan
S.YamaZaki
Kyushu Railway Company,Japan

ABSTRACT: In order to ensure a safe rail-transportation during rainfall in Japan, the operation control is
performed to limit a speed of train or to suspend a train operation, comparing the measurements of rainfall
with the assigned rainfall indexes. The combination of an hourly rainfall and an accumulative rainfall is
mainly applied for the operation control as the rainfall indexes at present. Aiming at clarifying scientifically
that these rainfall indexes can catch up the instability due to rainfall within the adequate timing, we performed
the analytical investigations for relationship between stability and rainfall indexes. By two different-
conceptual simulations, so as the saturated-unsaturated seepage analyses and the stability analyses of limit
equilibrium method, we obtained the time-dependent series of safety factors as stability. With comparing the
calculated safety factors and the rainfall indexes on a time-series, we succeeded to educe the characteristics of
the interested rainfall indexes for the instability at the patterned rainfalls.

1 INTRODUCTION using for engineering and practical fields.

Railways are obligated to ensure a safe and steady
transport as mass transport. The geotechnical and
meteorological conditions in Japan, however, tend to
induce collapses of embankments or cuttings even
along railways, during Typhoons or heavy rainy
season.
In order to keep a safe transportation away from a
disturbance of disasters due to rainfall, the
construction works for disaster prevention must be
done at the places judged as danger spots. At the
same time, the operation control must be performed
by the rainfall indexes or the detecting sensors
against collapses as countermeasures. Although the
occurrence of disasters becomes relatively
decreasing by the effects of advancement of
disaster-prevention technology, more developing
countermeasures for safe transportation becomes
necessary, because a speed-up and a high-frequency
of train are required by public.
Rainfall indexes are applied for the operation
control during rainfall and the combination of an
hourly rainfall and an accumulative rainfall is widely
used as rainfall indexes for railway in Japan. On
these background and requirement, we perform the
analytical investigations to ensure the relationships
between stability of earth structures and rainfall
indexes, aiming at clarifying it scientifically and
Additionally, we also investigate the effectiveness of
an antecedent rainfall, which is not reflected to the
present operation control. We, herein, report the
results of analytical investigations and the
conclusion from these results.
2 OBSERVATIONS OF PAST COLLAPSES DUE
TO RAINFALL
The past cases that the collapses of embankments
or cuttings occurred along the railways sites are
classified by the types of the measured rainfall.
Herein we observe how the antecedent rainfall
would influence the collapse phenomenon.
2.1 Procedure of analysis
The used data are based on the actual collapse
cases which caused at the embankments or cuttings
along the railways after 1975 (Sugiyama et al.,
1995). These include 67 cases of embankments and
119 cases of cuttings. As amounts of rainfall, the
data of AMEDAS provided by Japan Meteorological
Agency are used for all the cases.
For classification, we set four types of rainfall.
The definition is follows;
* type I : no or less than 50mm as antecedent rainfall,

471
 *typeI1 : the antecedent rainfall is more than 50mm
but less than the accumulative rainfall of the
collapse’s occurrence,
*type111-1 : the antecedent rainfall is more than the
accumulative rainfall of the collapse’s
occurrence, and the time interval between the
antecedent rainfall and the following rainfall
is less than 24 hours,
*type111-2 : the antecedent rainfall is more than the
accumulative rainfall of the collapse’s
occurrence, and the time interval is more than
24 hours,
An antecedent rain means to have fallen within 10
days before the collapse occurred.
2.2 Occurrence frequency of collapses for classified
types
Failure of cuttings can be distinguished into two
types; one is shallow failure whose slip surface goes
through a relative shallow depth with a relatively
linear shape, and the other is deep failure whose slip
surface goes relatively deeply with a rather circular
shape. The classification of the interested 186 past
cases is shown in Figure 1.
The past cases of type I and I1 occupies about 80 96
of all for the both of embankments and cuttings, thus,
it is figured out that the rest of 20% can be judged to
depend on the antecedent rainfall. This result
implies that some past collapses should be analyzed
with the antecedent rainfall, and thus, represents the
influence of antecedent rainfall noticeably.
n u m b e r inside:occurrence of collapse
embankment
39 17
(67 data)
cu ttingshallow 32 20
cuttingdeep
30 20
(59 data)
0% 20% 40% 60%
Figure 1. Occurrence frequency of collapses.
3 NUMERICAL ANALYSES FOR STABILITY
AND RAINFALL INDEXES
From the hereinabove results of the classification
for the 186 past cases, we can clarify that the 20 96 of
these can be collapses influenced by antecedent
rainfall.
Several studies and practical applications have
been attempted for setting the rainfall indexes which
have possibility to present the influence of an
antecedent rainfall and also to imply the influence
with disasters due to rainfall. One of these rainfall
indexes is an effective rainfall.
We investigate analytically the relation and
consistency between the stability of rail-
embankments during rainfall and the rainfall indexes
including an effective rainfall and practically used
rainfalls. As the first step of procedures, we set the
embankment-model for numerical analysis with the
data from actual sites of railway, and then, perform
the saturated-unsaturated seepage analyses with the
data of patterned rainfall. As the next step,
embankment-models are remodeled with the
moisture distributions obtained by the former
analyses, and then perform the stability analyses with
assumed shear strength of soils.
The calculated rainfall indexes of the patterned
rains are compared with the time-dependent series of
safety factors obtained as results of these two
different-conceptual numerical analyses to educe the
characteristics of the rainfall indexes for stability at
the each patterned rainfall.
3.1 Procedures of analyses
For analyzing slope instability due to rainfall, an
infiltration of rain water into a ground or soil
material of earth structures is essential phenomenon
to be in interest. Here, we apply the saturated-
unsaturated seepage analysis which can treat a
permeability of an unsaturated domain to get hold of
the distribution of soil moisture inside of slope.
The embankment-model for this seepage analysis
is set up with the profile data based on the standard
cross section for Shinkansen. For setting the soil
5 6 moisture property for this model, p F tests and
permeability tests are done with the samples taken
from railway sites. As the rainfall data, we adopt
4 4 eight patterns of rainfall, of which total amounts are
all set to be 400mm.
After the series of moisture are obtained, the
6 3
stability of slope can be calculated at the selected
time-point by Janbu’s Simplified procedure of a
80% 100%
limit equilibrium method of slices.
The embankment-models are remodeled at the
selected time-points by setting the layers for several
ranks of saturation degree to reflect the moisture
distributions obtained at the former seepage analysis.
The shear strength of soil generally tends to vary
depending on its moisture content. Using the data of
triaxial compression tests of unsaturated soil
samples, we assume the variation of cohesion of soil
due to saturation degree while the constant value of
an internal friction angle. As results of a series of
stability analyses, we obtain the time-dependent
series of safety factors as stability. An hourly
rainfall, an accumulative rainfall, a 24-hour’s
472
rainfall, and two effective rainfalls with 24 and 72
hours’ half-life periods are also calculated for the
adopted patterns of rainfall as the interested rainfall
indexes.
3.2 Targets and conditions of analysis
The target of this series of analyses is to reflect the
moisture situation into the stability analyses for
embankment models with a standard profile and
property along a railway under the patterned rainfall.
The analytical conditions are the follows.
(1)Profile of embankment-model
The external form of embankment-models for
both of the seepage analysis and the stability analysis
is referred to the Standard of Design for Shinkansen
(RTRI, 1992). The embankment-model is shaped as
the only half profile of embankment because of
symmetry. The height of embankment is set to be 6.0
meters , the gradient of embankment slope to be
l(vertica1): 1.5(horizontal), the half width on crest to
be 5.35 meters.
(2) Soil moisture property and permeability
The parameters of the soil moisture property and
permeability for the seepage analysis are set on the
base of representative or average data from saturated
permeability tests and pF tests. The samples for
these tests were taken from the railway sites of
commercial lines or used for the past experiments of
a slope failure. The parameters are shown in Table 1.
Since the seepage analysis concerns not only
saturated domain but also unsaturated domain, the
soil moisture characteristics and the unsaturated
permeability should be defined before the analyses.
For soil moisture characteristics, the $ ,,,-8 relation is
defined by Brooks & Corey equation (Brooks et al.,
1966) as;
where 8 is a volumetric water content, 8 is a
saturated volumetric water content, B is a minimum
volumetric water content, $ is a pressure head, $ c r
is a limit suction pressure head, and h is a
coefficient. The unsaturated permeability is defined
using Irmay equation (Irmay, 1954) and Nishigaki
assumption (Nishigaki, 1983) as;
Table 1. Parameters set from soil tests
Darameter value
coefficient of saturated permeability (k,J 3.6 X 10” cm/s
soil gravity (G,,) 2.65
void ratio (e) 0.698
dry unit weight ( P d) 1.30 g/cm3
saturated volumetric water content ( 0 b) 0.41 1
minimum volumetric water content ( 0 0.180
473
TZ = 0.69 - 1311 k,? (3)
where k is a coefficient of unsaturated permeability
with an arbitrary water content, k, is a coefficient of
saturated permeability, K, is specific coefficient of
permeability, and n is a coefficient. These parameters
for the approximate equation of (I),@), and (3) are
obtained by the least squares methods using soil test
data, shown in Table 2.
(3) Rainfall data: patterned and measured rainfalls
The eight patterns of assumed rainfalls and the
practical rainfall are adopted as rain data for the
analyses.
The variations of eight patterned rainfalls are set as;
* 40mm/h pulse (40mm/h X 10 hours) rainfall,
- 10mm/h pulse (10mm/h X 40 hours) rainfall,
- 100mm/h pulse (100mm/h X 4 hours) rainfall,
* double pulses I (300mm+100mm) rainfall with
interval of 14 hours,
- double pulses I1 (100mm +300mm) rainfall with
interval of 14 hours,
* equal-double pulses (200mm+200mm) with
interval of 14 hours,
- increasing intensity (increased linearly form
Omm/h to 30mm/h for 26.3hours) rainfall,
decreasing intensity(decreased linearly from
30mm/h to Omm/h for 26.3hours) rainfall.
The total amounts of patterned rains are all set to be
constant value of 400 mm, which has been obtained
as the maximum daily amount of rainfall with 70-
years-probability in the district of Tohkai, Japan. The
rainfall intensities of patterned rain are set to be
varied as 0 to 100 mm/h due to the variation of each
patterned rainfall.
As a practical rainfall data for the analysis, it is
selected a series of rains measured in Shizuoka
Prefecture from August 15‘hto 31” , 1983, of which
maximum hourly rainfall is 62 mm/h and total
amount is 600 mm.
(4) Shear strengths of soil
For the stability analysis, we need to set shear
strengths of soil material inside an embankment-
model. Based on the moisture distribution obtained
the seepage analysis, several layers are set due to
ranking of the saturation degree inside
embankment-model. Every rank holds the individual
property of moisture and water content on which the
Table 2. Parameters set for approximate equations
Parameter value
Coefficient ( A dry ) :for drying process 0.35
Coefficient ( A wet ) :for wetting process 0.60
limit suction pressure head ($ cr) -2.80 cm
Coefficient for Irmay’s Equation (n) 3.7
values of cohesion and wet unit weight of soil are
dependent.
Using the existing data of triaxial compression
tests on unsaturated soil samples taken from the
actual railway sites, we assume the valuables of
cohesion of soil depending on saturation degree of
soil’s ranking. The internal friction angle of soil is
assumed to be constant of 30 degree, because the
relation between waterlmoisture content and this
value has not been clarified enough yet. The assumed
shear strengths of soil due to ranking of saturation
degree are listed in Table 3. (a) Patterned rainfall : 40mmh pulse rainfall

3.3 General concept of an eflective rainfall

The concept concerning to an effective rainfall has
been recognized on the base that a slip movement of
ground relates to a groundwater level rising due to
rainfall. The effective rainfall, which is used herein,
is defined by Suzuki et al.(Suzuki et al., 1981).
3.4 Results of analyses
(1) Patterned rainfalls
The analyses are carried out for all eight patterned
rainfalls. For representatives cases of patterned (b) Patterned rainfall : 10mmh pulse rainfall
rainfalls, the time-dependent changes of safety
factors are shown with rainfall indexes in Figure 2.
The rainfall indexes examined herein are an
accumulative rainfall, which is applied to
conventional railways, a 24-hour’s rainfall, which is
a rainfall cumulated for 24 hours before an arbitrary
time and applied to Shinkansen, and two effective
rainfalls with a halt-life period of 24 hours and 72
hours.
The followings are considerations against the four
representative patterned rainfalls for relations of
safety factor and rainfall indexes.
(a) Patterned rainfall :40mmlh pulse rainfall (c) Patterned rainfall : double-pulses rainfall
As the characteristics of this patterned rainfall, it
is found out that the safety factor takes a minimum
in nine hours after rainfall-stop. At the point of
timing of a peak value, only an accumulative rainfall
and a 24-hour’s rainfall are realized to keep enough
consistency with safety factors. An effective rainfall
tends to start to go down at the very time of rainfall-

Table 3 . Cohesion (c) of soil and saturation degree (S,)

rank of S, representative c (kPa) wet unit weight
value of S, (kN/m3)
100 % 100 % 1.961 16.10 (d) Patterned rainfall : decreasing intensity rainfall
100 - 90 %
80 - 90 %
95 %
85 %
2.452
3.334
15.94
15.60
--
_.
hourly rainfall
effective rainfall ( M = 2 4 h )
-a c c u m u l a t i v e rainfall
- - - - 2 4 - h o u r ’ s rainfall
70 - 80 % 75 % 4.315 15.27 ... . . effective rainfall ( M = 7 2 h ) safety factor
60 - 70 % 65 % 5.394 14.94
Figure 2. Change of rainfall indexes and safety factor for
50 - 60 % 55 % 7.257 14.59
patterned rainfalls.

474
stop, while a safety factor not to start to increase at
that time. An effective rainfall, however, can follow
better than the others in regard to the recovering
tendency of a safety factor.
(b) Patterned rainfall :10mmlh pulse rainfall
At this pattern a safety factor tends to start to
decrease at the very time of rainfall-start and to
recovery just after rainfall-stop. On the other hand,
all examined rainfall indexes take their peaks at the
time of rainfall-stop, and those except an
accumulative rainfall tend to start to decrease after
rainfall-stops. Thus, since the value of a safety factor
does not recovery enough to reach at the beginning
value in twelve hours after rainfall-stops, there is not
any difference to be recognized between the
examined rainfall indexes except an accumulative
rainfall which takes a zero value at that time.
(c) Patterned rainfall :double-pulses rainfall I
The accumulative rainfall becomes zero due to the
interval period of the over twelve hours without any
rainfall before the second pulse-rain of 100mm. For
both half-life periods to be set here, the effective
rainfalls take non zero values. Additionally, for 24-
hours’ half-life period the effective rainfall during
the first pulse-rain becomes bigger than one during
the second pulse-rain, while for 72-hours’ half-life
period the effective rainfall during the second pulse-
rain becomes bigger than one during the first pulse-
rain.
The safety factor decreases gradually during the
first pulse-rain and the ratio of its decrease becomes
slightly smaller during the interval after the first
pulse-rain’s end. After the second pulse-rain starts,
the safety factor once indicates to recover, then starts
to decrease again at the time around the end of the
second pulse-rain, and eventually takes the
minimum value when it spends more than twelve
hours after rainfall completely ends. That is the
reason why all rainfall indexes can not catch up the
timing to cause the minimum factor of safety. The
24-hour’s rainfall and effective rainfalls with
Figure 3. Changes of safety factors and rainfall indexes in the case of the practical rainfall.
475
relatively long half-time periods, however, can be
recognized to be better than the others at the point
that their peak values occur during the second
pulse-rain when factor of safety has not begun to
recover yet.
In addition, the tendency that the minimum factor
of safety occurs after rainfall ends is the common
phenomenon for all other patterns of double-pulse
rainfalls. Thus, when the rainfall similar to this
pattern would occur practically, all examined rainfall
indexes have difficulty to satisfy to get hold of the
appropriate timing of change of the instability.
(d) Patterned rainfall :decreasing intensiy rainfall
The characteristics shown for effective rainfalls
are distinctive, namely, the shorter a half-life period
becomes, the earlier a peak amount of effective
rainfall tends to appear.
The tendency of decreasing factor of safety seems
relatively stronger at the immediate after rainfall
starts, and then, because a intensity of rainfall
becomes linearly smaller, the ratio of decrease
becomes flatter and the factor of safety reaches at a
minimum three hours after a rainfall ends. Therefore,
the rainfall index which can hold the consistency of a
factor of safety with their limits is only an
accumulative rainfall not the other rainfall indexes.
However, for the decreasing and recovering
tendencies an accumulative rainfall has much
difficulty to follow the safety factor.
(2) Practical rainfall
Picking up the period including antecedent
rainfalls enough to be concerned, a series of analyses
is carried out with the selected practical rainfall data.
Figure 3 shows the results of rainfall indexes and a
safety factor. There is not seemed the significant
differences between the examined rainfall indexes
for this practical rainfall, concerning the decreasing
tendency of safety factor and the timings when the
peak and the minimum appear. The accumulative
rainfall has also difficulty to hold the recovering
tendency of safety factor as recognized for
Table 4. Consistency between a change of safety factor and rainfall indexes.
comparison with F, at a consistency of peak timings comparison with F, after
Patterned rainfall beginning of rainfall with F, niin rainfall-end
Rainfall index R R24 Rc24 Rc72 R24 Rc24 Rc72 R R24 Rc24 Rc72
40mm pulse o o o o ~ o x x x x A o
100mm pulse O O O O x x x x x x x n
10mm pulse O O O O O O O O x ~ n O
equaldoublepulse x 0 0 0 x x x x x X 0
double pulse I x O O O x x x x x x n O
double pulse I1 n O O O O A n n x x n O
increasing intensity 0 0 0 0 0 0 0 0 x x A 0
decreasing intensity 0 0 0 0 0 X x x x A 0 0
practical 0 0 0 0 0 0 0 o x x a o
ovcrall A O O O n n n n x x n O
<regent> R: accumulative rainfall, Rc24:effective rainfall with 24-hours’ half-life period, RZ4:24-hours rainfall, F,: safety factor,
Rc72:effective rainfall with 72-hours’ half-life period, 0:relatively good consistency, A: rather consistency, X : no consistency
(difference of peak timings is less than 3 hr.(O), or more than 6 hr. (X), otherwise (A).)

the patterned rainfalls. The interested practical
rainfall includes the non-rainfall interval of 36 hours,
however, in case that the interval would be shorter,
the minimum factor of safety could be expected to
appear during the following rainfall, then an
accumulative rainfall might be not able to hold the
existing consistency with safety factor.
4 COMPARISON O F RAINFALL INDEXES
BASED ON STABILITY OF EMBANKMENT
We herein verify the consistency between the
time-dependent change of safety factor and
examined rainfall indexes for all patterned rainfalls.
For this verification, we aim at (1) the consistency
between the decreasing tendency of safety factor and
the time-dependent change of rainfall amount at the
beginning of rainfall, (2) the consistency of timings
when a safety factor take a minimum and when the
peak of rainfall indexes appear, (3) the consistency
between the recovering tendency of safety factor and
the decreasing tendency of rainfall indexes. This
result for engineering judgement is listed in Table 4.
From the general judgement in Table 4, an effective
rainfall is realized to have the most consistency with
the tendency for time-dependent change of safety
factor.
Since an accumulative rainfall keeps a cumulative
value for 12 hours continually after rainfall ends, it
can catch up the timing of a minimum safety factor to
appear some hours after rainfall ends. However,
because it must be zero 12 hours after rainfall-end, it
can not follow the recovery tendency of safety factor.
By the same reason, in case of a series of rainfalls
with any antecedent rainfalls and interval period of
more then 12 hours, an accumulative rainfall may be
caused to count as bigger value for the antecedent
rainfall than one for following rainfall even a safety
factor becomes smaller than after antecedent rainfall.
A 24-hour’s rainfall seems to show the middle
characteristics of an effective rainfall and an
accumulative rainfall, while it tends to recover
earlier than an effective rainfall and a safety factor.
5 CONCLUSION
We succeed to educe the characteristics of the
examined rainfall indexes for the stability in the
patterned rainfalls through the numerical analyses.
Shown in Table 4, the engineering judgements are
obtained, and then, an effective rainfall is recognized
to hold the most consistency to stability. On the other
hand, resulting from our verification, even an
effective rainfall might miss at the timings to catch
up an instability, it is necessary to remark such points
for applying to a practical operation.
REFERENCES
Brooks, R.H., and Corey A. T., 1966 Properties of porous
media affecting fluid flow, ASCE, IR(92), pp.61-88.
Irmay, S. 1954 The determination of the hydraulic conductivity
and diffusivity of unsaturated soils, Soil Science, ~01.113,
110.4,pp.264-276
Nishigaki, M., 1983 The considerations on permeability
characteristics of soil moisture in saturated and unsaturated
domains, Journal of Japan Society of Soil Mechanics,
vo1.23,no.3, pp.165-176 (in Japanese)
Railway Technical Research Institute (RTRI), 1992 Design
standard and its explanation for railway structures - Earth
structures, Maruzen (in Japanese)
Sugiyama, T., Okada, K., Muraishi, H., Noguchi, T., Samizo,
M., 1995 Statistical rainfall risk estimating method for a
deep collapse of a cut slope. Soils and Foundations 35-4
Suzuki, M., Kobashi, S., 1981 Correlation between the
occurrence of collapse and the rainfall. Shi-Sabo 121 (in
Japanese)

476
 Slope Stability Engineering, Yagi, Yamagami & Jiang 0 1999 Balkema, Rotterdam, ISBN 90 5809 079 5

Evaluation of critical rainfall with logit model

T. Sugii & K.Yamada

Chubu University, Aichi, Kusugui, Jupun
T.Uno
Giju University, J q u n

ABSTRACT The critical rainfall that triggers slope failure has been evaluated based on the history of slopes,
disregarding the properties of the slope. In this paper, a statistical method of evaluating the critical rainfall
considering the properties of the slope is proposed. The strength of slope (the resistance potential) is evaluated
with a logit model. The results showed several significant characteristic factors that affect the slope stability.
The rainfall intensity and the effective rainfall corresponding to the resistance potential determined the rainfall
threshold. Management of the slope and traffic control could be controlled based on the LM (Logit Model)
line and the curves of rainfall intensity and effective rainfall.

1 INTRODUCTION cumulative rainfall and effective rainfall, as shown

in Fig.1.
In the past, decisions on critical rainfall have been
based on the history of the slope or data of the
neighboring area. However, critical rainfall should
consider the influence of many characteristic factors
of the slope such as the gradient of the slope, as well
as the permeability, cohesion and water retention
curve of the soil that affect slope stability. This paper
proposes a method of evaluating critical rainfall
considering properties of the slope with a logit
model. The logit model is a regression model
(Domencich et al., 1971). In the previous study, it
was clarified that river levee stability could be
evaluated with a logit model (Uno et al., 1991),
which could identify characteristic factors for levee
failure and express the probabilities of failure. It can
also incorporate qualitative factors, too. In this paper,
slope properties are evaluated as a function of
“resistance potential” obtained by calculation using
the logit model (Sugii et al., 1998). The critical Fig.1 Indexes of rainfall
rainfall to trigger slope failure is decided by the
resistance potential, the effective rainfall and the
rainfall intensity with a logit model again. The (1) Rainfall intensity (Hourly rainfall): R,
effective rainfall is an index expressing the Rainfall intensity R, is defined as the amount of
antecedent rainfall, and the modified cumulative rainfall in one hour. In this paper, it is the amount of
rainfall. rainfall from one hour to the next using
AMeDAS(Automated meteorological data
2 INDEX OF RAINFALL acquisition system, JMA).
(2) Cumulative rainfall: RA
There are three kinds of index used to indicate This is the amount of rainfall intensity from a certain
rainfall at present. They are rainfall intensity, time until the present time, and is defined as:

477
 R , = C R I I= R I i+ R I , + * - * - . . + R I , (1)
where RI, is the rainfall intensity of the previous i
hours
(3) Effective rainfall R ,
When cumulative rainfall is used, the starting time
of rain is an important issue Effective rainfall is a
modification of cumulative rainfall considering the
antecedent rainfall It is given by the half-life,T
where
a , = 0 5(l-') ' (3 1
T is dependent on the period of antecedent rainfall
If a, is equal to 1, R , corresponds to the cumulative
rainfall As a, approaches infinity, R,\ becomes equal
to the rainfall intensity The half-life is not defined at
present The data used for this study consists of cut
slope data for the last 10 years, therefore, T is set as
12 hours in this paper
3 CRITICAL RAINFALL DISREGARDING
THE SLOPE PROPERTIES
In the debris flow, the critical rainfall is evaluated
using rainfall intensity and effective rainfall.
Rainfall intensity is concerned with the permeability
of the slope, effective rainfall done with strength of
its soils. Though the critical line for judging the
rainfall that triggers slope failure is decided
empirically, its line is estimated by following the
logit model in this paper.
1
P, =
1 + exp(- z,)
(7)
where P, is the probability of slope failure, Z, is
damage potential function and C are unknown
parameters estimated by the maximum likelihood
method R,, is the effective rainfall, and RI is the
rainfall intensity The dummy variable, C ,,,
however, is a constant that is affected by unknown
factors
If P, is regarded as 0 5 , the critical line of R,\ and R,
is given by equation (8) Substituting equation (7)
into (6) gives
If RI exceeds equation (8), it is supposed that slope
failure occurs. Thus, we can predict whether slope
failure will occur. When the probability of slope
failure, P,, is greater than 0.5 (50%), it is judged that
slope failure will occur.
Fig.2 shows the critical line estimated by the logit
model using 14 slope failures and 70 no-failures.
By using the logit model, the critical line can be
decided objectively. But the critical rainfall is not
independent of many characteristic factors of the
slope. It is necessary to define the critical rainfall
appropriate to the properties of slopes.

3.1 OUTLINE OF LOGIT MODEL

Slopes are regarded as randomly selected samples.

For the n th slope, the damage potential fimction is
denoted by U,. If U, is greater than 0, the slope
collapses, but if it is less than 0, there is no collapse.
The function is defined by

U, = V, (deter min istic part) + E, (random part) (4)

where V, is expressed by the characteristic factor of
the slope, and F consists of unknown factors and
random errors in the data. The probability of
collapse, therefore, is
Fig2 Critical line by logit model
P, = Prob(U, > 0) = Prob(V, +E, > 0)
= h o b ( - E, < V,) (5)
4 METHOD OF EVALUATING SLOPE
where Prob(, . ,) is the probability that satisfies the STABILITY
conditions in the parentheses. When the Gumbel
distribution is applied to the random part, P, is In this section, the logit model is reformulated to
evaluate the properties of the slope. In order to

478
evaluate the stability of many slopes easily, the logit done “Upheaval types”. In the case of containing
model is used The probability of non-collapse category of unknown as in Table m , they are
concerning slope stability is given by classified into “Recognized water flowing and
1 seeping out (Recognized spring)” and “Others”. In
(9)
’sn 1 + exp(- v, the same way as these, categories are modified.
Modified categories are shown in Table JY.
where
Table V shows the coefficients of correlation
v, =B,] + P , X , , +P2Xn3 + . a * + BkXk (10) among the properties of the slope.
P,, is the probability of non-failure, V, is the The coefficient of correlation between classification
resistance potential, [3 is an unknown parameter stratum and weathering is the highest.
estimated by the maximum likelihood method and
X,, is a characteristic factor of the slope. The
probability of non-collapse, Psn, increases with the Number Number Failure
value of resistance potential, V, The larger V, is, the s of of proporno
more stable the slope is. stable failure n
This model of evaluating slope resistance is called as slopes slopes (%)
“Resistance potential model” in this paper. Mountain Upheaval 72 40 36
t\ pe
Hill 169 86 34
4.1 SELECTION OF CHARACTERISTIC Plateau Scdimentar 5 4 44
SLOPE VARIABLES AND DATA CATALOG A l l ~ i 1 ~fan
1 t’pe 4 1 20
Bench 46 3 6
Many possible characteristic slope variables are
shown in Table I.
TableIII Fail U re proportions (Spring)
Table I Characteristic slope variables
Chsrnctcristic rlopc variahlcs I Numher I Slope 1 Backgr I Arti1ic.i proportion

Unrecognized Others 0 1 100

Unhionm 190 85 31

Table IV Modified categories

Categories
L e n g h of slope x,,k=1 x,,=O
X,,,1 Topography Sedimentary type Uphea\.al

Xn3 Shape of slope

-
Flat
-
h pe
Noi1-flat
X,,,Utih/;ltion of upper Developed Uiidel eloped
field
x,,,Classificatron Sods Rocks
Where “ A ’ shows a qualitative variable and “B” I stratum
does a quantitative variable. The numbers of 1
x,,,Weathering 1 Fresh I Weathered
categories is 70. We selected thirteen characteristic Xn6 Degree of fissuring Existence Others
X,,- RecogniLed fault Recognized Others
slope variables as following description. Tables II X,, Recognized spring Recognized Others
and Ill show the failure proportions of each X,,, Slope protection protection except Others
I\ ork planting
category of topography and spring (the water
1
~

flowing out of the slope). Both of topography and x,,,,LengtIi of slope Unit (in)
spring are classified into two categories, respectively. 1 Degree of slope
X,,,? 1:11
In variables of topography, plateau, alluvial fan and I Width of berm
X,,,, Unit (111)
bench are defined as “Sedimentary type”, others

479
 Table V Coefficients of correlation
4.2 RESISTANCE POTENTIAL BY LOGIT
MODEL
A resistance potential model is formulated using the
selected variables in Table V . Parameters, fi k,
estimated by the logit model are shown in Table VI.
-------
Parameter
Alternative specific dummy constant 0 4.28
Topography (sedimentary Qpe) 0I -1.74
Shape of slope (flat type) 2.10
Height of slope I BII I-0.06
Hit ratio 0.92 / Likelihood of model
Other variable factors in Table VI are rejected by
the t-test. With parameters B ,), P ,, fi and /3 ,,, the
resistance potential of the slope, V,, can be evaluated.
The greater V, is, the greater the probability of non-
failure, P,,, is. Therefore, the positive parameter, fi k,
affects slope stability, and the negative one fi
affects instability.
V, = 4.28 - 1 . 7 4 ~ ,+, 2 . 1 0 -~0~. 0~ 6 ~ ~ ; (1 1)
It is clear that the value of V, indicates the relative
stability of the slope. Sedimentary type of
topography and height of slope are negative
parameters, causing slope instability. But a flat type
slope is a positive parameter, improving slope
stability.
5 MODEL OF EVALUATING RAINFALL
CONSIDERING RESISTANCE OF SLOPE
We combine the resistance potential given by
equation (1 1) with the rainfall model by equation (7).
Rainfall data for the slope failure period were
obtained from AMeDAS. The logit model is
formulated with rainfall intensity, effective rainfall
and resistance potential as the variables of equation
(7). Estimated parameters are shown in Table W .
The parameters of effective rainfall and rainfall
TableW Parameters for rainfall model
t-value
constant
Effect rainfall
Rainfall intensity
Resistance potential of slope i,
Hit ratio 0.99 / Likelihood of inodel 0.93
intensity are positive variables that affect slope
failure. The parameter of resistance potential is
negative. From analyses, the LM line is obtained as
1
RI - {0.0039R,\, - 0.66V, + 0.088> (12)
0.0573
where R,\, is the effective rainfall, R, is rainfall
intensity, V, is resistance potential. The safety factor
of critical rainfall is determined by the probability of
slope failure, P, as in equation (8). In this case, P, is
regarded as 0.5, because it is considered that slope
t-value
failure will occur when P, exceeds 0.5 (50%).
3 76
Equation (12) is called as LM line in this paper.
2.20
1.89
5.1 DECIDING THE LM LINE FOR THE
1.93
CRITICAL RAINFALL
0.67
The LM line shows the dangerous combination of
effective rainfall and rainfall intensity for a slope
with a certain resistance potential. The dangerous
combination of R,\, and R, is decided by the
resistance potential, V,. The plane in Fig.3 shows the
relations among effective rainfall, rainfall intensity
and resistance potential. When the relation between
effective rainfall and rainfall intensity exceeds this
plane (LM lines), slope failure will occur.
Fig.3 Effective rainfall, rainfall intensity
and resistance potential
480
 Since the two slopes are located near each other, the
same rainfall data are observed by AMeDAS. The
resistance potential of the failure slope (No.57) is
evaluated as 2.016, and that of the non-failure slope
(No.57) is 3.584. LM lines are calculated using
equations (13) and (14), respectively.
The LM lines of slope No.57 are given by
R =--- (0.0039R1\,- 2.2774) (13)
I 0.0573
The LM lines of slope N0.60 are given by
1
R , = -----(0.0039R, - 1.3306) (14)
0.0573
Where R, is the effective rainfall and RI is rainfall
intensity.
Fig.4 Decided LM line
Figs.5 (a) and (b) show the snake curves of rainfall
and two LM lines of equations (13) and (14),
LM lines are shown on the plane. Solid lines present respectively.
the same resistance potential lines. The figure shows In the case of No.57, the rainfall is always less than
that the greater the resistance potential is, the greater the LM line as in Fig. 5 (a), so slope No.57 does not
the effective rainfall and the rainfall intensity are. collapse. Since slope No.60 is not stable, the LM
If the resistance potential of the slope, V,, is line is shifted down to the left, therefore, the rainfall
evaluated as 2.0 by the resistance potential model in intensity exceeds the LM line. It is estimated that the
equation ( l l ) , the LM line is given by the slope failure in N0.60 occurs at the time exceeding
intersection of the plane of resistance potential equal the LM line. The exact time of slope failure in slope
to 2.0. This LM line is shown in Fig. 4, and is drawn N0.60 is not observed, but it is clear that the slope
in the horizontal plane with equal resistance failure can be predicted from Figs. 5(a) and 5(b).
potential. Therefore, it is easy to evaluate the critical According to this method, it is easy to manage the
rainfall by using the two indexes of effective rainfall slope against rainfall considering the strength of the
and rainfall intensity as shown in Fig. 4. slope. If the resistance potential (equation (1 1)) and
LM line (equation (12)) are obtained beforehand,
6 SLOPE STABILITY MANAGEMENT WITH and if the snake curve approaches the LM line using
CRITICAL RAINFALL s, and R,, slope failure can be predicted, and
countermeasures should be taken.
The case of slope stability management for rainfall
with equations (1 1) and (12) is presented in the next 7 CONCLUSIONS
example. Two slopes are selected in the neighboring
area and equations (11) and (12) are calculated. This paper presents a method to evaluate critical
However, the two slopes are not used in the rainfall with a logit model. The conclusions are
formulation of those equations. The properties of summarized as follows:
these slopes are shown in Table w1. (1) The characteristic factors for evaluating the
strength of the slope are identified from various
Table w1 ProDerties of selected slooes properties of the slope according to the logit model.
Num ofslope No 57 No 60 (2) It is clarified that the critical rainfall can be
Non-Failure Failure defined using the strength of the slope as well as
Topographr Sediinentap t>pe Sedinientap t>pe effective rainfall intensity.
x.7 ,=1 XA,, ,=1
(3) A method of predicting slope failure against
Shape of slope Flat t j pe Flat t> pe rainfall considering the stxength of the slope is
propose d.
xj7 2=1 X61, 3= 1
Height of slope xi, ,,=17 6(m) xhi\,,=43 7(m)
ACKNOWLEDGEMENT
Resistance V,,=3.5 84 V6,=2.016
potential of slope
The authors thank Japan Highway Public
Corporation, and Mr. Y. Kato for his assistance

481
 Report of Grant-in- Aid for Scientific Research
(No.07555446), 1997.
Japan Meteorological Agency: Rainfall intensity
data in Gifu and Nagano Regions, automated
meteorological data acquisition system (AMeDAS),
1976-1983.
M. Suzuki: Prediction of slope failures by
monitoring rainfall (review) (in Japanese), Proc. of
Symposium on Forecast and Prediction of Landslide,
Japan Landslide Soc. and Soc. of Erosion Control
Eng., pp.31-42, 1991.
T. Uno, T. Sugii and M. Hayashi: Logit model for
river levee stability evaluation considering the flood
return period, Structural safety, Vol. 14, pp.81-102,
1994.
T. Uno, H. Morisugi and T. Sugii: Identifying
dangerous levee location, Proc. 9th Asian Conf.
Fig. 5 (a) LM line for slope No.57 and ISSMFE, pp.441-444, 1991.
the snake curve. T.A. Domencich and D.MacFadden: Urban Travel
Demand (A Behavioral Analysis), North-Holland,
Amsterdam, Ch.5, 1975.
H. Morisugi: Estimation and testing of disaggregate
behavioral modeling (in Japanese), in: the Research
Committee on Infrastructure Planning (Eds.), Theory
and Practice of Disaggregate Behavioral Modeling,
JSCE, pp.121-147, 1984.

Fig. 5(b) LM line for slope No,60 and

the snake curve.

contribution in collecting data and assisting

arrangement part of this work.

REFERENCE

T. Sugii, K. yamada and T. Uno: Evaluation of

rainfall considering resistance of slope (in Japanese),
Porc. 53rd Annual Japan National Conf. on JSCE.,
pp.450-451, 1998.
T. Uno and T. Sugii: Evaluation of critical rainfall
considering characteristics of slope (in Japanese),

482
 Slope Stability Engineering, Yagi, Yamagami & Jiang (c) 1999 Balkema, Rotterdam, ISBN 90 5809 079 5

Strategy for prevention of natural disaster due to slope failure

R. Kitamura & K.Yamamoto - Kagoshima University,Japan

T. 1170- Univer-sih)of Western Ontario, Ont., Canada
H.Abe - Cliubu Chishitsu I'ornpany Limited, Japan
H.Yakabe -Diva Con.s~rlta~it Cornpany Limited, Japan

ABSTRACT: In Kagoshima Prefecture a non-welded part of pyroclastic flow deposits, Shirasu in Japanese,
is widely distributed on the surface ground. The slopes composed of Shirasu and other volcanic products
often fail due to the heavy rain in the rainy season every year. The mechanism of slope failure is
qualitatively known, but can not quantitatively estimated at present. In this paper the strategy to establish the
prevention system for natural disaster due to slope failure caused by heavy rain is proposed based on the
combination of current field measured data with those obtained by the laboratory soil tests and the numerical
models. The field measurement apparatuses for the suction in soil and the amount of rain fall, the
unsaturated-saturated permeability testing apparatus and the numerical models to simulate the seepage
behavior of rain into unsaturated soil are firstly introduced. And then the method to qualitatively estimate
the risk of slope failure is explained where the measured data are processed and used to calculate the safety
factor of slope by means of the numerical models. Finally the synthetic system is proposed to apply for the
disaster prevention in Kagoshima Prefecture.

1 INTRODUCTION Our laboratory started to measure the suction and

In Kagoshima Prefecture, which is located in the
southern part of Kyushu Island, Japan, there are a lot
of volcanoes such as Mt. Sakurajima, Mt. Kirishima,
Mt. Kaimon etc. Consequently most of the surface
ground is covered with various volcanic products.
The non-welded part of pyroclastic flow deposits is
locally called Shirasu in Japanese that is classified
into sandy soil and forms steep slopes. In the rainy
season (June - September) the slope failures often
occur due to heavy rainfall on such steep slopes. In
this paper the strategy to establish the strategy to
establish the prevention system for natural disaster
due to slope failure caused by heavy rain is proposed
based on the combination of current field measured
data with those obtained by the laboratory soil tests
and the numerical models.
2 FIELD MEASUREMENT
It is qualitatively known that the slope failure due to
heavy rainfall is caused by the increase in water
content which brings the increase in the self-weight
of soil mass and the decrease in suction related to the
apparent cohesion in soil. But the seepage process
of rainwater into soil is not made clear quantitatively.
rainfall in the field to investigate the seepage process
in Kagoshima Prefecture (Kitamura et al., 1999a,
1999b). The data is filed at intervals of one hour
for suction and ten minutes for rainfall in the data
loggers, and acquired by the personal computer.
This system can be remotely controlled through the
cellular phone by the personal computer in the
laboratory. Figure 1 shows an example of obtained
data, which are processed to be the change in suction
and rainfall with time.
3 NUMERICAL. MODELS
A numerical model for seepage of water into soil
element was proposed based on the mechanical and
probabilistic consideration on the soil particle scale
(Kitamura et al, 1998), where this model is called
the model for voids. The water void ratio, water
content, unsaturated-saturated permeability
coefficient, degree of saturation and suction can be
obtained by using this model. In model the grain
size distribution curve is only needed to obtain the
above physical quantities. Figure 2 shows an
example of moisture characteristic curves obtained
by this model. A numerical model for seepage of

483
 Fig. 1 Change in suction and rainfall with time in the field

water into ground was also proposed, in which the measurement of suction and rainfall, and the
calculus of finite differences was used (Fukuhara et numerical simulation. The in-situ test such as the
al., 1995). This model is called the seepage model. cone penetration test should be carried out to
Figure 3 shows an example of simulation result for identify the layer composition of slope. As the
the infiltration test where the contour lines of waterlaboratory tests, the permeability test, water retention
content are presented with time. A numerical test, and the shearing test should be done for
method to relate the suction to the apparent cohesion undisturbed sample. The permeability test and the
was proposed by Kitamura & Yamada (1997) based water retention test with the grain size analysis are
on the mechanical and probabilistic consideration on needed to prove the validity of model for voids.
the particle scale. Figure 4 shows an example of The shearing test such as the triaxial compression
the relation between the suction and apparent test and the direct shear test on unsaturated soil are
cohesion. This relation was applied to calculate the needed to prove the validity of numerical method to
safety factor of slope where the infinite slope relate the suction to apparent cohesion. The field
stability analysis is used. Figure 5 shows an measurement of suction and rainfall should be done
example of the relation between the safety factor and to prove the validity of numerical simulation of
apparent cohesion. seepage of rainwater into soil by the seepage model.
Once the numerical models and method are proved
4 LABORATORY SOIL TESTS to be valid, the rainfall data are only needed to
A permeability testing apparatus was tried to calculate the safety degree of slope. Figure 7
manufacture in our laboratory to prove the validity shows the procedure to achieve the proposed
of the numerical model for voids (Abe et al., 1999~). strategy.
Figure 6 shows the arrangement of this apparatus.
The air and water circuits can be controlled 6 CONCLUSIONS
independently. The moisture characteristic curves The strategy for the prevention of natural disaster
are simultaneously obtained from one specimen by due to slope failure is proposed in this paper. The
this apparatus. system to measure the suction and rainfall in the
field has been established and the data are filed
5 STRATEGY FOR PREVENTION OF NATURAL every day at several field measuring points. The
DISASTERDUE TO SLOPE FAILURE system for laboratory tests on saturated soil are also
The strategy is composed of three parts, which are established. The validity of numerical methods is
the in-situ and laboratory tests, the field now checked by the field measuring and laboratory

484
 Fig. 2 Moisture characteristic curves

Fig. 3 Simulation result for infiltration test

485
Fig.6 Schematic arrangement of permeability testing apparatus

486
 I 1 I
Sampling of soil from slope Numerica1

Undisturbed sample
Shearing test on
Disturbed sample
Permeability test & I
Water retention test Grain size analysis >
Numerical experiment
I

Numerical experiment
to obtain the relation No > Improvement of numerical
model and soil test
between suction and
Yes\/
apparent cohesion
I Numerical seepage model
Comparison
I I II
I

In-situ infiltration test Numerical simulation

Improvement of of infiltration test
numerical method I
I
and shearing test Comparison
I

Improvement of
seepage model and
slope by surveying,
sounding and in-situ
2Yes
in-situ test condition
V
cone penetration test
Numerical simulation
Measurement of
suction and rainfall

Improvement of
/ es No >. numerical simulation
Slope stability analysis
of infiltration
~

Safety factor Nn > Improvement of slope

stability analysis

487
test data. The in-situ test should also be developed
to promote the accuracy of identification of the
geological condition of slope in the near future.

This research was supported by the grant-in aid of

scientific research (B) (Project No. 09555153) of the
Ministry of Education.

REFERENCES

S. Fukuhara, R. Kitamura and T. Muranaka (1995):

A numerical experiment by seepage model, Proc.
of 50th Annual Conf. of JSCE, Part IIIA, pp.182-
183, (in Japanese).
R. Kitamura and M. Yamada (1997): Slope stability
analysis for Shirasu taken account of cohesive
component, Proc. Sympo. on Geotechnical
Engineering for Prevention of Slope Failure due to
Heavy Rain and Earthquake, pp.77-80, (in
Japanese).
R. Kitamura, S. Fukuhara, K. Uemura, G. Kisanuki
and M. Seyama (1998): A numerical model for
seepage through unsaturated soil, Soils and
Foundations, Vo1.38, No.4, pp.261-265.
R. Kitamura, T. Iryo, H. Abe and H. Yakabe(l999a):
Field measurement of suction on Shirasu ground,
Proc. 1st Asian-Pacific Conference and Trade
Exhibition on Ground and Water Bioengineering
for Erosion Control and Slope Stabilization,(to be
appeared).
R. Kitamura, H. Abe, T. Iryo, K. Jomoto, K.
Yamamoto and T. Terachi (1999b): Field
measurement of suction in soil and rainfall in
Kagoshima Prefecture, Proc. Int. Sympo. On
Slope Stability Engineering(IS-Shikoku'99), (to be
appeared).
H. Abe, R. Kitamura, K. Jomoto, M. Seyama and H.
Shikata (1999~):Permeability and water retention
tests on unsaturated soil, Proc. 34th Japan
National Conf. on Geotechnical Engineering, (to
be appeared), (in Japanese).

488
 Slope Stability Engineering, Yagi, Yamagami & Jiang (( 1999 Balkema, Rotterdam, ISBN 90 5809 079 5

Relationships between rainfalls and landslides after forest damages

by typhoons

S. Murata, H.Shibuya & K. Hayashi

Depurhnent of Civil EiizineeriiigVKLmiunioto Institute of Techiiologj! Jupun

ABSTRACT: Many severe disasters occurred by heavy rainfalls during rainy and typhoon season in Kyushu. We
investigated many disasters and rainfalls. As a result, we found the relationships between rainfalls and degrees of
disasters in Kyushu. Furthermore, big forest damages occurred by typhoons and bulky trees were blown down.
After the typhoons, many landslides occurred in the areas of forest damages and those landslides occurred by
weaker rainfalls than those which caused the former disasters. And most of landslides were overlapped with the
areas of forest damages. Therefore, these landslides were caused by the influence of the forest damages due to the
typhoons. These slopes and mountains in the areas of forest damages have changed to different situations and
strength of ground decreased severely after the typhoon.

1 INTRODUCTION rainfall in the late rainy season. This rainfall had a lot
We have had many sediment disasters, landslides and of antecedent precipitation before the disaster and this
debris flows, caused by rainfalls in Kyushu. Therefore, point is a distinguishing character of this rainfall. On
i t is needed to find a method of mitigation of disaster. the other hand, Figure 2 shows a example of heavy
It is widely known that there are some relations rainfall which had not antecedent precipitation1 before
between rainfalls and sediment disasters. However, the disaster and the heavy rainfall happened only on the
those relationships are not yet found exactly. At first, day of disaster. Since both rainfalls caused severe
we examined about those relationships using AMeDAS disasters, antecedent precipitation before the disaster is
data of the Meteorological Agency. And then, we not so important for the occurrence of the disaster.
discuss sediment disasters after typhoons. We had big We can easily realize that disasters occurred by the
typhoons in 1991 and 1993 and bulky trees were intensive rainfall within a short period of time.
suffered severe damages. Some damaged trees were
completely overturned from their roots and others were
bent like an arch and broken at the middle of their
trunks. At the same time, the ground was disturbed by
the overturned trees and the strength of ground were
decreased. Therefore, it was worried that landslides
would occur by rainfalls more easily than before the
typhoons. After the typhoons, many landslides
occurred by the weaker rainfalls than those which
caused the former disasters in the areas of forest
damages. These landslides show that the strength of
ground was extremely decreased. Those subjects were Figure 1 Hourly rainfall hyetograph observed at Aso
described in this paper. Otohime in Kumamoto, July, 1990

Most disasters occurred while the intensive rainfall

2 RELATIONSHIP BETWEEN RAINFALLS AND
SEDIMENT DISASTERS
Typical examples of rainfall which caused severe
disasters in Kumamoto Prefecture are shown in
Figures 1 and 2. Figure 1 shows an example of heavy
continued for several hours and when the maximum
hourly rainfall happened. Therefore, relationships
between the hourly rainfalls and the amount of rainfalls
before the disaster were already pursued by several
researchers. However, these relations are not complete

489
Figure 2 Hourly rainfall hyetograph observed at
Manotaniyama in Kumamoto, May, 1988

and have to be improved by the new data. Then we

pursued to find new relations about the hourly rainfalls
and the amount of rainfalls before the disaster. Data
used in this research are rainfalls of big disaster
occurred in Kyushu during the past 50 years and
rainfalls of rainy season in 1998 in Kumamoto
Prefecture. The rainfall of rainy season in 1998 gives
special data, because the total rainfall in one week was
more than 1,000 mm in several places. If this rainfall
was concentrated in one or two days, we could imagine
that sever disaster occurred in everywhere. However,
only small disasters occurred in several places in
Kumamoto, because the rainfall dispersed during one
week. So the rainfalls give the lower level of the
occurrence of the disaster.
As times of antecedent precipitation before the
maximum hourly rainfall, 3, 4, 5 , 6, 12 and 24 hours
are selected. And relationships between these
antecedent rainfalls and the maximum hourly rainfall
are plotted in Figures 3(a), (b), (c), (d), (e) and (9.
It
become clear from these figures that 12 or 24 hours as
the antecedent precipitation are better to estimate a
degree of disaster. For example, if w e had a
antecedent precipitation of 12 or 24 hours, we could
estimate a degree of disaster for the next intensive
rainfall.

3 FOREST DAMAGES DUE TO TYPHOON NO.

19 AND LANDSLIDES DUE T O RAINFALL
AFTER THE TYPHOON
Typhoon No. 19 went through northern part of Kyushu
on September 27, 1991 as shown in Figure 4. The
typhoon brought very strong wind and its maximum
wind velocity was 60 m/sec. The typhoon caused big Figure 3 Relationship between antecedent
forest damages in wide areas in Kyushu Island Bulky precipitation and maximum hourly rainfall
trees were also blown down by the typhoon in Oguin
Town, Kumamoto Prefecture. Most blown-down trees
were Japanese cedars, which were planted artificially

490
 Figure 4 Courses of Typhoon No. 19, 1991 and
No.13, 1993

and aged 30-40 years. Some damaged trees were

completely bend like an arch. The rest of them were
broken down a t the m i d d l e of their trunks o r
overturned form the roots. At the same time, the
ground was disturbed by the overturned trees and the
strength of the ground decreased.
After the typhoon, many landslides and debris flow
occurred in Oguni town and other places by the
rainfall. Especially, the severe disaster occurred in
Tsuetate village, a hot spring resort. This village is
located on narrow places in the village and surrounded
by steep slopes, 40m-50m high. People have often
suffered from damages by floods of the Tsuetate River
which flows through the center of the village. These
steep slopes were undamaged for a long time.
Therefore, people only worried about a flood at that
time.
The rain which began from June 13 continued as a
typical rain in the rainy season and the accumulative
rainfall became about 200mm by the time of the
disaster as shown in Figure 5. The rainfall became
heavy from early morning and continued until the
afternoon. Many landslides occurred between 1O:OO
am and 12:OO am as shown in Photo 1. The first small
landslide and rockfall occurred around 9:OO am. Most
people evacuated t o s a f e t y places before the
occurrence of severe landslides. A big landslide
occurred at 11:lO am. And two people were killed by
the landslides. These landslides occurred during a day
time so that the occurrence of landslides and rockfall,
etc. were actually observed.

4 COMPARISON OF RAINFALLS BETWEEN

Figure 3 Relationship between antecedent THIS TIME AND JULY 1990
precipitation and maximum hourly rainfall Distinctive feature in this rainfall was that the
rainfall continued for six hours from 6:OO am. to 12:OO
am. However, this rainfall was not distinctive in
comparison with the former ones which caused severe

491
 Figure 5 Hourly rainfall hyetograph observed at Tsuetate in Kumamoto, 1993

Figure 6 Hourly rainfall hyetograph of the day of

landslide at Tsuetate on June 18, 1993

Photo 1 Landslides of Tsuetate on June 18, 1993

Figure 7 Hourly rainfall hyetograph observed at

Tsuetate on July 2, 1990

Photo 2 Forest damages of Tsuetate due to typhoon

No.19. 1991

disaster. And landslides usually do not occur by this

magnitude of rainfall. The rainfall was investigated in
details to verify the cause of these landslides. Figure 6
shows the rainfall of the day when the disaster
occurred. The cumulative rainfall until the occurrence
of the first rockfall and landslide was about 100 mm
and the hourly rainfall was about 30 mm.
On the other hand, Figure 7 shows the rainfall on July
1990. There was no landslide in this area at that time, Figure 8 Relation between landslides and areas of
although the cumulative rainfall was 150 mm and the forest damages

492
hourly rainfall was about 45 mm. If the ground
situations of these slopes were the same as in 1990, the
landslides would not occur at 9:OO am. These slopes
and mountains suffered from the damages by blown-
down trees which caused by Typhoon No.19 (Photo
2).
T h e areas of forest damages and the places of
landslides were illustrated together in Figure 8. Many
landslides were overlapped with the areas of forest
damages. Therefore, these slopes and mountains have
changed to different situations after the typhoon. And
these failures were caused by the influence of the forest
damages due to Typhoon No.19.

5 FOREST DAMAGES DUE T O TYPHOON

N 0 . 1 3 AND LANDSLIDES DUE TO
RAINFALL
Typhoon No.13 went through the southern part of
Kyushu on September 3, 1993 as shown in Figure 4.
T h e typhoon caused severe forest damages in
Sakamoto Village, Kumamoto Prefecture. Bulky trees
were also blown down by the typhoon. Most blown-
down trees were Japanese cedars, which were planted
artificially and aged 30-40 years. Some damaged trees
were bent and others were completely overturned. The
rest of them were broken down at the middle of their
trunks. At the same time, the landslide occurred in
many places as shown in Photo 3.
These landslides occurred due to the rainfall carried
the typhoon. The rainfalls were timely measured by the
Aburatani Dam station located in the center of the
forest damaged area. The hourly rainfalls on the day of
typhoon are shown in Figure 9. However, this rainfall
was not so strong. There were stronger rainfalls on
August 1 and 18 before the typhoon. The ground was
disturbed by the overturned trees and as a result the
strength of the ground decreased. Therefore, it is
Photo 3 Landslides of Sakamoto Village on
September 3, 1993
Figure 9 Hourly rainfall hyetograph observed at
Aburatani Dam on September 3, 1993
clear that these landslides occurred by the influence of
blown-down trees caused by the typhoon.
6 ANOTHER LANDSLIDE IN SAKAMOTO
VILLAGE
A big landslide occurred in Sakamoto Village on July
15,1998 as shown in Photo 4. This area suffered from
forest damages by the Typhoon No.13, 5 years ago as
shown in Photo 5. The bulky blown-down trees and
some landslides are seen in the photo. The landslide
was overlapped completely with the area of forest
damage as shown in Figure 10.
The rainfall was measured by the rain recorder of
Highway Office station located at only 600m from the
failure place. There were a lot of rain from July 7 to 9
in this area, but it did not rain on the day when the
failure occurred as shown in Figure 14. Therefore, this
landslide did not occur directly due to the rainfall.
Thess slopes and mountains have changed to different
situations after the typhoon. And this landslide was
caused by the influence of the forest damages due to
Typhoon No.13.
After the failure, we found that a lot of water flowed
out from the middle of the slope as shown in Photo 8.

493

Photo 5 Forest damages of Ayugaeri in Sakamoto
Village due to Typhoon N0.13~1993
Figure 10 Relation between landslide and areas of
forest damages
Photo 6 Flow of groundwater from landslide surface
Rainfall permeated into the ground and reached non-
permeable layers, and then concentrated and flowed in
the permeable layers. This groundwater acted of the
slope from behind and the pore water pressure in the
weathered stratum went up, then the failure occurred.
It is estimated that the groundwater gathered not only
in the failure area but also in other areas.
494
7 CONCLUSIONS
Conclusions are summarize as follow:
1. When w e m a k e a relationship between the
antecedent precipitations and the maximum hourly
rainfalls, as antecedent precipitation 12 or 24 hours
is better for estimation of the degree of disaster.
2. The ground was disturbed by the overturned trees
and the strength of the ground decreased by
typhoons. Slopes and mountains suffered from
forest damages areas have changed to different
situations after the typhoon. Therefore, the
landslides occur due to more small rainfall in those
areas, so we have to pay attention to weaker
rainfalls for several years in future.
3. Rainfall permeated into the ground and reached the
non-permeable layer, then concentrated and flowed
in the permeable layer. After that, groundwater act
on a slope and the pore water pressure in the
weathered stratum went up, then the landslides
occurred. It is estimated that the groundwater may
gathered not only in the failure area but also in other
areas.
ACKNOWLEDGMENTS
We obtained information regarding rain record, photo,
map etc., from Kumamoto Local Weather Station,
Oguni T o w n , S a k a m o t o T o w n , K u m a m o t o
Prefecture, Kikuchigawa Branch in Ministry of
Construction, Japan Highway Public Corporation
and Kyushu Power Electric Co. Ltd. The authors
express their sincere acknowledgments with many
thanks.
REFERENCES
Murata, S. & Shibuya, H 1994. Failure of Sabo dams
and rockfall prevention walls caused by the heavy
rainfalls of Kumamoto in 1990and 1993, Int. Conf
Landslides Slope Stability and the Infra-Structure,
Malaysia, 257-263..
Aboshi, H. & Sokobiki, H. 1972. Failure of natural
slopes in Masa area, Conf 7”” Soil and Foundation
Engineering, 507-5 10.
 Slope Stability Engineering, Yagi, Yamagami & Jiang 0 1999Balkema, Rotterdam, ISBN 90 5809 079 5

Threshold rainfall for Beragala landslide in Sri Lanka

A. K. Dissanayake & Y. Sasaki

Department of Civil and Environmental Engineering, Hiroshima University,Japan
N.H. Seneviratne
Department of Civil Engineering, University of Peradeniya, Sri Lanka

ABSTRACT: Particularly during the monsoonal rainy seasons, landslides occur very frequently in the central
highlands of Sri Lanka causing numerous problems. In order to study the appropriate instrumentation in
understanding the mechanism of rain induced landslides, a research study was undertaken to monitor the
Beragala landslide, which is particularly significant because of the possible disruption it causes to the national
transportation system in the southern part of the central highland. This paper describes the results of the field
monitoring carried out at this landslide and the stability analysis with respect to the variation of ground water
levels. Both the piezometric levels and surface movement observations showed that the one-week cumulative
rainfall causes the instability of the landslide at Beragala. The threshold value of the one-week cumulative
rainfall at which the landslide becomes unstable was estimated to be 310mm. Outcome of the results showed
that the selection of appropriate monitoring techniques are indispensable in understanding the mechanism of
landslides and thereby to provide both economical remedial measures and warning systems to mitigate the
sliding induced disasters.

1. INTRODUCTION experiences 3000 to 2000mm annual rainfalls, which

covers the entire hill country. Almost all the
Because of the great damage that landslides cause to landslides occur within these two climatic zones in
the forest growth, farmlands, communication the central highlands due to the heavy precipitation.
systems, engineering constructions, infrastructure, Beragala landslide area belongs to Badulla district
such as supply systems, roads, railway lines, etc. and in the central highlands of Sri Lanka, which is in the
buildings, they are attracting increasing attention in intermediate climatic zone. The landslide is situated on
many countries in the world (Ng., et al., 1998 and the southern slope of Ohiya-Idalgashinna-Haputala
Bhandari, et al., 1994), and have become a serious ridge at an elevation of about 1200m above mean sea
economic problem. In Sri Lanka, many landslides level (MSL). This landslide is on a scarp slope and its
occur in residual terrain of the central highlands, location is shown in Fig.1.
particularly during rainy seasons, which present
difficulties in understanding the behavior and
mechanism due to the inherent heterogeneity of the
soil involved. The central highlands of Sri Lanka
starts from an elevation of about 270 m above Mean
Sea Level (MSL) and nearly 22% of the land area is
covered with hilly or mountainous terrain, embracing
well over one million hectares, spread over seven
districts. Predominantly, Precambrian crystalline
rocks underlie ninety percent of the Sri Lankan land
area, including the entire hill country. (Cooray,
1994). According to the annual precipitation
experienced, Sri Lanka has been divided into three
climatic zones. The Wet Zone that covers nearly one
third of the area of central highlands and
southwestern sector of the island receives above
3000mm annual rainfall, The Intermediate Zone
Fig. 1 Location of Beragala landslide

495
 This slide is of major national significance as the
sliding area encompasses two major motor ways A4
and A16, which connect the capital, Colombo, with
outstation cities of Wellawaya and Haputale
respectively. Beragala landslide crosses Beragala-Hali
Ela (A16) road just after the 1st kilometer post from
Beragala junction.
Fig. 2 Cross section of Beragala landslide showing the
soil profile and borehole locations
Soil Description Y C'
layer kN/m3 Deg.
1 Bed rock 21.0 45.0
2 Weathered rock 20.5 40.0
3 Dense top soil 19.0 27.5
4 Colluvium 20.0 27.5
I 5 1 Soil mixture I 18.5 1 25.0
with SPT>15
6 Top soil with 18.0 21.0
I SPT<15
1.1 History of Bcragala landslide
The area above the road A16 (Fig. 2) had been under
tea cultivation over the years. Subsequently, a part of
this area came under vegetable cultivation and small
holdings of the original tea estate, which are in and
around the sliding area, have been badly maintained
since 1970s. The land on the upper slope has been
replanted in early 1970s after clearing of land.
Several years before the first failure of the slide, a
stream had been diverted into the landslide area,
towards the Beragala junction, for watering the
vegetable cultivation below the road Al6. Following a
heavy rain in June 1986, the first major slide at
Beragala took place depositing debris on the road A4
and the area below. Sincc then the area above the slide
has been creeping continuously, badly affecting the
road Al6. After this event. due to the poor water
retention as a result of ground cracks and subsidence,
Vegetable cultivation was partially abandoned.
However in May 1987. the slide recurred causing
severe damages to both roads A4 and A16 and made
these roads impassable for several weeks.
In 1958. because of the possibility of recurrence.
geotechnical investigations were done at Beragala
landslide area under Second Road Improvement
Project. Following the consultant's report, the Road
Development Authority of Sri Lanka has undertaken
the stage 1 of the remedial work in 1992, focusing
mainly on improving the drainage of the area. This
work consisted of constructing a 500m long surface
diversion drain which has been built using 0.9m
diameter hume pipes and a 4m deep trench drain of
length 50m by the side of the road A16. These drains
had been designed to collect the surface water from
the area above the road and to discharge them safely
into a stream far away from the slide. In addition, three
horizontal underground drains have been constructed
across the road A16 to relieve the artesian pressure in
the area.
At the time when this project began in July 1995,
several cracks at the joints of hume pipes of the
surface diversion drain, which was spanning across the
sliding area, were visible and water stagnant could
also be seen at places along this diversion drain caused
by sinking of hume pipes. Some catch pits in the
sliding region have been damaged due to ground
subsidence. Water was leaking from several places
KN/m' along the surface drain and it was obvious that this
0 drainage system has been badly maintained since after
0 the construction. Nevertheless, the water coming out
1 10 of the horizontal drains, which relieve the artesian
I 20 pressure of the slide above the road A16, has been
1 10 1 discharged on to the lower part of the sliding area.
Further, the water flowing in the diversion drain has
5 been tapped for watcring vegetable cultivation in the
lower slope of the slide below the road A16 by farmers
living in that area. These illegal tappings supply water
for several unlined wells dug on the landslide through
out the day. Because of the above reasons, the ground
water level has been increased in the area down slope;
a marshy area could be observed in the middle of the
slide between the roads A4 and A16 and a stream
originates from there. Because of these evidences of
instability of the area, it was decided to reinvestigate
the state of the slope, focussing mainly on the surface
movements and subsidence as the data of the complete
geo-exploration and topographical surveying of the
area was available (RDA, 1989).
1.2 General geology, topography, subsoil conditions
and the climatic variations in the vicinity of the
landslide
Beragala landslide area is underlain by the
Precambrian rocks, which consist of quartzite,
charnockite, charnocketic gneisses, biotite gneisses
and granulitcs rock types (Cooray, 1994). Charnokites
encountered at the site area are sparsely jointed while
the quartzites are highly jointed. Biotite gneisses fall in
between. Majority of joints is near vertical having a
strike direction of NS to N20E and N O W to N80W.
496
The strike of the rock foliation trends in N50W to
N70W with North-Easterly dips of 30 to 40 degrees
(RDA, 1989 and Bandara, et al., 1994). Two well-
developed sub vertical joint sets occur approximately
in the east-west and north-south directions. The
combination of the foliation and these two major joint
sets has produced a step like morphology on the
surface of the bedrock. Therefore, it can be observed
steep escarpments alternate with less steeply sloping
benches; the latter covered with colluvium and
talluvium of varying thickness.
The general topography of the landslide area is
shown in Fig. 3 (Loganathan et al., 1992). The cross
section along the major upper centerline of the
landslide area shows that the southern slope of Ohiya-
Idalgashinna-Haputale ridge above the landslide area
rises to an elevation of 1680m above MSL. The upper
part of the slope, which runs from the level of 1200m
above MSL to the ridge of the slope, inclines about 40
degrees to the horizontal whereas the lower slope
below 1200m contour, where the landslide encounters,
is inclined only about 20 degrees. The surficial slope
just below the road A16 has even been much lowered
down to 15 to 12 degrees due to the landslide activities
that have taken place in the recent past.
Fig. 3 General topography of Beragala landslide area
Many gullies and toppled boulders remaining down
the slopes in the vicinity of Beragala landslide show
evidence of intensive land degradation, which has
taken place over the years. Many landslides and rock
falls were reported, since early 1 9 7 0 ' in
~ ~this area.
According to the geotechnical investigation done at
Beragala landslide site in 1988 (RDA, 1989), the
subsurface soil profile has alternating silt and silty
clays down to the bedrock level of which the thickness
varying from 0 to about 20m (Fig. 2). The
geotechnical properties of these layers are given in
497
Table 1. Gravel and boulders of different sizes are
encountered between ground level and the top of the
bedrock. The upper part of the bedrock is usually
weathered. The bedrock has been encountered, in
general, between 20 to 25m below the ground surface
with exception of areas near the road A5 and estate
bungalow where some outcrops of the bedrock are
visible.
Beragala landslide area is located in the
Intermediate Climatic Zone, where the annual rainfall
receives is in between 2000 to 3000mm. Monthly
variation of the rainfall at the site, for a ten-year period
starting from 1987, is shown in Fig. 4. It indicates that
the landslide area receives heavy monthly rainfall of
about 500mm in average during the months of April
and November. In addition, it has been observed that
the ground water level also varies between the ground
surface and several meters below the ground level
during the rainy periods. (RDA, 1989)
Fig. 4 Monthly rainfall at Beragala landslide since
1987
2 INSTRUMENTATION OF THE SLIDE
The stability of the slope can be checked by measuring
the slope movements within a potential landslide area
as a failure is characterized by relatively large
displacements and displacement rates, which increase
with time. Therefore, Beragala landslide was
instrumented, basically to observe the surface
movements and subsidence as the data on detailed
exploration was available from an investigation done
at the site in 1988. The surface movements were
measured by deploying Extensometers. Ten constant
tension type extensometers were setup within 300m
distance along the centerline of the slide as shown in
Fig. 3. Continuous recording of surface movements
with time was made for 75 weeks starting from
November 1995. The first extensometer was installed
at a stable location above the crown of the landslide
close to estate bungalow, where an outcrop of the
bedrock was visible (extensometer No. 1 as shown in
Fig. 3). The movements of the other extensometer
points were calculated relative to this extensometer.
As shown in Fig. 3, fifty concrete markers were
installed on the slope, close to road A16 in May
1996, because this area seemed to be critical during
the visual inspection of the slide. In October 1996,
another 25 numbers of markers were positioned
below the road A16 to enhance the intensity of data
in that region. Precise leveling was carried out
monthly of these markers with respect to the fixed
points located well away from the sliding area,
starting from May 1996.
The rainfall for the site during the period of
monitoring was obtained from a measuring station
situated at the adjacent tea estate approximately 30 m
perpendicularly away from the extensometer line
between 4th and 5th extensometers.
Apart from above data, the piezometric pressure
observations made in the previous investigation in
1988 at Beragala landslide were also utilized in this
study.
3 FIELD OBSERVATIONS AND ANALYSIS OF
DATA
The use of extensometers, in surface movement
observations, started in November 1995 and
continued for 75 weeks, which includes a complete
weather cycle. The cumulative movements of each
extensometer with respect to the extensometer No. 1
and cumulative rainfall, during the monitoring
period, are presented in Fig. 5. These data show that,
even after a complete weather cycle (i.e. after 55
weeks), the average rate of surface movement is only
75 mm per year and also indicates that the movement
of the slide increases with the increase of rainfall
intensity.
Fig. 5 Variation of cumulative movement of
extensometers with weekly rainfall
Analysis of the variation of weekly cumulative
movements of extensometers against the 1, 2 and 3
weeks rainfall at Beragala landslide showed that a
better COrrelatiOIl exists between weekly CUmUlatiVe
498
movements of extensometers and the one-week
cumulative rainfall (Fig. 5) than with 2 and 3 weeks
cumulative rainfall. This observation shows that the
landslide had reactivated on the 57th week with
weekly rainfall of about 400mm.
The horizontal displacements of greater than 2mm
of individual extensometer on respective weeks
along the centerline of the landslide and the positions
of the boreholes 2, 4 and 5 are shown in Fig.6. The
extensometer Nos. 4 to 7 show consistently
increasing movements during the respective weeks
where as the movements have almost ceased at the
extensometer No. 8. The extensometers 7 and 8 are
located below the road A16 whereas the other
instruments are located above this road. Since this
stretch of the landslide undergoes large deformations
during the rainy periods, it was considered as a
critical section for stability analysis.
Fig. 6 Horizontal displacements of extensometers
along the centerline of the slide
Monthly subsidence of the ground at Beragala
landslide was observed using precise leveling since
May 1996 and carried out uninterruptedly until
October 1996. There was no significant subsidence
of the ground observed until about five months after
the commencement of the measurements. Markers
were surveyed again in the 8th month (Jan.’97) and
in the 13th month (Jun.’97) and the observations are
shown in Fig. 7.
~ i 7 Subsidence
~ . Contours at Beragala landslide
 These observations also indicate that the landslide by 1.6m, l.lm, 2.3m and 0.9m at boreholes 2, 4, 5
has reactivated during 5th and 8th months probably and 8, respectively due to 310mm weekly rainfall
after heavy rainfall periods in November and above the “normal” ground water level, which
December 1996. The sliding area, especially just prevails most of the time during a complete weather
below the road A16, has undergone a considerable cycle as found by the previous investigation in 1988.
amount of subsidence 0f up to 45 cm during the
period of 5th month to 13th month. This observation
also confirms the fact that the area around road A16
is more susceptible to failure during heavy rainy
periods. It is also clear from these figures that the
upper centerline of the landslide has shifted to the
left of the proposed centerline. This may be due to
the alteration of the drainage after the stabilization
measures in 1992.

The piezometric pressure variation observed

during the period of August to November 1988 also
showed a better correlation with one-week rainfall as
presented in Fig. 8. The fact of increasing the
piezometric heads during the rainy spell between
October 9th, 13th and October 30th to November
13th illustrates the above argument. The almost
constant piezometric levels during the period after
November 15th may be explained by the fact that the
time elapsed between rise and reduction of pore
pressures in the sliding area. Further, the continuous
accumulation of water in the landslide area is less
than the accumulation of water during the period
between October 9th and 13th.
Fig. 9 Piezometric pressure relations with weekly
rainfall
4 STABILITY ANALYSIS OF THE SLOPE
A computer program based on Spencer’s procedure
was adopted in computing the factors of safety of the
slope for several ground water conditions
corresponding to different weekly rainfalls as found
by using the relations shown in Fig. 9. The sub-soil
profiles and their geotechnical properties, as shown
in Fig. 2 and Table 1 respectively, were used for the
stability analysis of the slope. The boundary
conditions were imposed considering the surface
movement observations as mentioned earlicr and
thus, the stability of the lower (below the road A16)
and upper (above the road A16) slopes were
analyzed separately and the critical shear surfaces
found from this analysis are given in Fig. 10.

Fig. 8 Variation of piezometric pressures along the

centerline of the landslide

Linear relations with reasonable accuracy were

found between piezometric pressure and one-week
rainfall at Beragala landslidc at each borehole as
shown in Fig. 9. Almost all the piezometers indicate
good linear relations with the cumulative rainfall
except the piezometer at BH8-7.35m. Gradients of
the trend lines are varying between 0.0031 to 0.0077
m per millimeter of weekly rainfall. These gradients
were utilized in determining the ground water profile
at the sliding area for various weekly rainfall Fig. 10 Critical Failure surfaces at Beragaja landslide
intensities. For instance, the ground water level rises (R = Radius of the Circle, Fs = Factor of safety)

499
 The factors of safety of the slope for different
ground water levels corresponding to the weekly
rainfall of 250, 300, 350, 400, and 450 mm
respectively, were calculated and are plotted in Fig.
11.
Fig. 11 Variation of safety factor with weekly rainfall
(Failure profile : NC- Non Circular, C- Circular)
From this analysis, it was found an exponentially
decaying relation between the safety factor of the
upper circular slide and the weekly rainfall. Utilizing
this relation, a threshold value of one-week rainfall
of 310 mm was estimated, which could trigger the
failure of the upper slope. In fact, the recurrence of
the landslide was observed when the weekly rainfall
was about 400 mm as shown in Fig. 5. It was also
found that the circular slide at the toe of the landslide
becomes unstable at a low weekly intensity of
rainfall of about 210mm. The stability analysis
further showed that the whole slide becomes
unstable after the collapse of this toe slide.
Therefore, this fact was brought to the notice of the
relevant authorities in Sri Lanka and an immediate
attention to stabilize this critical slope prior to any
other counter measuring work was recommended.
5 CONCLUSIONS
The detailed geotechnical investigation at
Beragala landslide in Sri Lanka was carried out to
identify the mechanism and thereby to propose
economical remedial measures. Following
conclusions were made after the analysis of the field
observations and the stability of the slope.
1. The observed surface movement during a
complete weather cycle was 75 mm before the slide
was reactivated. The small value of the movement is
due to poor rainfall during the first 55 weeks. After
the heavy weekly rainfall of 400 mm in November
1996, the landslide has reactivated and the
extensometer observations and subsidence
measurements showed a surface movement of about
700 to 800 mm per year, subsequently.
2. Use of the extensometers in landslide
observations is also a very effective technique not
500
only in monitoring the movement, but also in
determining the critical sections for stability
analysis.
3. A shift of the subsidence zone is probably
caused due the alteration of the drainage patterns
after stabilization. Therefore, it can be concluded
that the conventional precise leveling technique
provides useful information, although it is time
consuming. It further concludes that the monitoring
of surface movements is indispensable in
understanding the mechanism and discussing the
stability of landslides.
4. Observations show that the slope above the
existing landslide becomes unstable during heavy
rainy periods. It also showed that the 1-week
cumulative rainfall has a good correlation with the
variation of the surface movements.
5. The stability analysis of the slope at
Beragala landslide shows that the circular slide at the
toe of the landslide becomes unstable at low
intensity of weekly rainfall of about 210mm. The
studies also showed that the whole slide becomes
unstable after the total failure of this toe slide.
Therefore, it was recommended to offer priority to
this slide in the stabilization work of the landslide
area.
6. It was also estimated a threshold value of
3lOmm weekly rainfall, which could trigger the
landslide at Beragala; a value of which might be
used to implement an early warning system to
mitigate disaster due to sudden collapse of the slide.
REFERENCES
Bandara, R.M.S. and Kumarapeli, K.A.D.S.P. 1994.
Mharagala debris flow cuin rock full, Proc.
National Symposium on Landslides in Sri Lanka,
83-88
Bhandari, R.K and Thayalan, N. 1994. Landslides
and other mass movements including failures of
ciittings in residual soils in Sri Lanku, Proc.
National Symposium on Landslides in Sri Lanka,
73-82.
Cooray, P.G., 1994. Geological fuctoi.s affecting
landslides in Sri Lanku, Proc. National Symposium
on Landslides in Sri Lanka, 15-22.
Ng, C.W.W and Shi, Q. (1998) “A numerical
investigation of unsaturated soils slopes subjected
to transient seepage” Journal of Computers and
Geotechnics, Vol. 22, No. 1, 1-28
Loganathan, N., De Silva, S and Thurairajah, A.
1992. Strength correlation fuctors for residual
soils, Journal of Geotechnical Engineering, ASCE,
Vol. 118, NO 1, 593-610.
Road Development Authority (RDA) of Sri Lanka,
1989. Phase I report, Asian Developtneizt Bank
Fiinded Second Roud Improvement Project.
 Slope Stability Engineering, Yagi, Yamagami & Jiang 0 1999 Balkema, Rotterdam, ISBN 90 5809 079 5

The importance of the groundwater regime studies of unstable slopes

- An example of investigations on the landslide 'Plavinac ', Yugoslavia

Goran Rasula
Jaroslav Cerni Institutefor the Development of Wuter Resources, Belgrade, Yugoslavia
Mladenka Rasula
CIP Institute.for Transportation,Departmentfor Geotechnics, Belgrade, Yugoslavia

ABSTRACT Many unstable slopes with active or partially soothed sliding processes are limiting factors
in urban planning, and urban, traffic and other development on the Danube river bank (right). Because of
complex lithological structures, neotectonics, erosion and other current geodynamical processes in the
area, a multidisciplinary approach to investigations is required and particularly needed for any local
remedial or protection measures. Our numerous papers on engineering-geological investigations on
unstable slopes clearly show that we have not enough experience in the determination of groundwater
table fluctuations, although its presence is one of the key active factors in slope stability. During 1997, the
engineering-geological and hydrogeological investigations performed for the purpose of planning and
developing the lands of the "Zlatni Breg" Ekonomija (Golden hill Farm estate) located in the central part
of the "Plavinac" landslide, near Smederevo included a detailed groundwater table study after which
geotechnical conditions for planning the land development and adequately and rationally protecting it
were established. This paper puts an emphasis on the hydrogeological activities and methodology of a
reliable, quality determination of the groundwater regime in the landslide body as a basis for geotechnical
modelling of slope stability, all for the purpose of planning the farm estate development, i.e. preparing
optimum measures of protection.

Key words: hydrogeology, engineering geology, landslides, groundwater regime, slope stability,
protection measures

1 INTRODUCTION protection measures of the level of a detailed

For the purpose of determining geotechnical
parameters for local land development, vineyard
raising, construction of access communications,
subsidiary buildings, an optimum irrigation system
and drainage systems in the overhumid zones in
the area of Golden hill farm estate near
Smederevo, which is fully situated in the central
part of the "Plavinac" landslide, a program of
specific, dedicated, hydrogeological and
engineering geological investigations, in the office
and in the field, was first defined and then
implemented in due time. The main approach was
to first identify all ground stability disturbing
processes bearing in mind its planned use, and
then to briefly refer to the groundwater regime and
balance in the wide surrounds of the landslide. In
the final phase the ground stability was to be
modelled using different groundwater tables, and
design were to be planned in order to arrange and
develop the land on an area of about 3 1 hectares.
2 MAINPOINTS
The central section, precisely the Golden hill farm
estate lies in the west end of the urban area of
Smederevo, south of the old Smederevo Ironworks
on an area of 3 1.5 ha, 21 ha of which are under
plantations of pear trees, apple trees and vineyards
and 10 ha under auxiliary buildings,
communications and the park with a very
interesting historical museum building, the old
villa of the Obrenovic dynasty. The estate extends
between Bratstvo i Jedinstvo St. in the north, at
altitude of 115 m above sea level, Goricka St. in
the south, at about 190 m above sea level,
Timocka St. at the east, 115-190 ni above sea level

501
 used to touch the Smederevo-Belgrade road
(Goranska St.) while today its bank is moved by
about 60 m towards the river stream centre.
Morphology in the area of the Old Villa shows a
ground leap of 2-5 m, sloped at about 30' that
cannot be noticed on the topographic plan of 1941.
Moderate continental climate is evident.
Average annual amount of precipitation (1949-
1995 records) is 665.8 mm, maximum 916 mm
(1954), and minimum 447 mm (1950). In the dry
months only (July, August) the minimum monthly
precipitation is 4 mm (July, 1958), and maximum
194 mm (August, 1975). Average annual air
temperature is 11.3"C. The lowest temperatures of
0,06-2OC on average occur in winter months
(January, February), while they are maximum
20.9-21.2OC in summer months (complete
records).

3 CAUSES OF INSTABILITY IN THE

Fig 1. Situation map of the investigated area
and Nevesinjska St. in the west, at about 125-190
m above sea level.
The entire investigated area lies in the body of the
"Plavinac" landslide (Fig.1). In order to make a
comprehensive review of the soil engineering
geological and hydrogeological characteristics, a
broader district was investigated encompassing the
land lying eastward, i.e. the western flanks of the
adjacent "Provalije" landslide around the Cir
Antina fountain. With regard to geomorphology
the investigated area lies on a relatively gentle
slope (from 129 m in Goricka St. down to 70 m
along the bank of the Danube river). Watched
along the south-north line first comes a steep cut
inclined at 1:2 (in the zone of a loess cap on Zlatni
breg). South from the park the slope is inclined at
1:5, while in the park itself at the location of the
Old villa of the Obrenovics the inclination is 1 :10.
The inclination of the rest of the investigated area,
the farmland zone north of the villa to Bratstvo i
Jedinstvo St. is 1:15 (Fig.2).
The stretch below the estate northern
boundary, at the Danube side (on which numerous
unplanned private housing projects and other
buildings have been built) is much steeper and
shows evident scars of active sliding (toe of the
landslide).
A comparison of the topographic plans of
1941 with those of 1976 shows that the section of
the Danube river opposite the "Plavinac" landslide
INVESTIGATED A'REA
Based on the analyzed properties of the ground
from the aspects of geomorphology, engineering
geology, hydrogeology in the wide zone of the
investigated area, the causes of the "Plavinac"
landslide formation were determined and found to
be still causes of stability disturbance, though
occasional and localized. In the period before the
completion of the hydroelectric power plant of
"Djerdap" the Danube river used to undermine the
shore belt by permanent linear erosion. As the
labile balance was thus disturbed and the toe of the
slope taken away, sliding processes were actuated
both occasionally and continually with a regressive
up slope tendency to an altitude of 175 m above
sea level. With regard to geology, frequent
alternating of loessoid clays and dusty sands as
well as coal clay beds are evident (Fig.2) which
caused local fragmentation of sedinients and
which, due to geomorphologic and neotectonic
processes made disturbances of the slope stability
easier. The landslide was activated to a major
extent after the Bucharest earthquake.
The hydrogeological properties of the
ground with three fully separated aquifers (Fig.2),
where the first aquifer groundwater plays the most
active role in water saturation of the ground in
surface and subsurface colluvial deposits down to
the depth of about 10-I5 m constitute one of the
main factors of adverse strain, particularly in wet
periods.
Inappropriate human activity also partly

502
contributed to ground instability such as: extensive
unplanned (wild) housing, construction of sheds
md other buildings, private water intakes, sump
pits for waste and other waters, drains for runoff
and faecal waters in the wide surrounds of the
farm estate.
4 THE CONCEPT AND METHODOLOGY
OF APPLIED INVESTIGATIONS
After a preliminary study of the basic geological
documents and detailed reconnaissance in the wide
investigated area and pursuant to the terms of
reference for the farm estate development and
preservation of the "Old villa of the Obrenovics"
museum and its grounds (the park), the following
study and investigations were first designed and
then realized:
* Desk-top study of the available documents in
order to define the programme and schedule of
field work.
* The field work included: engineering geological
ground mapping (wide surrounds of Golden hill
farm estate); an expert inspection of the Old villa
building (detailed in the basement); detailed
hydrogeological mapping, a questionnaire on the
use and yield of all the existing wells; preparation
of a cadastre of all observation water structures,
for the six selected wells, tests were carried out in
order to identify filtering parameters of their
aquifers and set water intake rules, regulate the
groundwater levels and specify ground remedial
measures and requirements for future drainage and
irrigation systems; at all registered water structures
a systematic observation of the groundwater table
fluctuations and daily observation of the amount
of precipitation on the farm were started.
* The desk top and laboratory work included: a
detailed study of the past engineering geological
and hydrogeological investigations, an engineering
geological map; a detailed hydrogeological-
hydrodynamic study of groundwater fluctuations
in the determined aquifer environments,
particularly in the first phreatic aquifer and
correlation with the observed daily amounts of "in
situ" precipitation this becoming the base for a
geotechnical analysis of soil stability.
A summary of the results of past
investigations is given as a general statement that
tlic ground in the farm estate is in a so-called
tranquilized state and that any possible future
disturbance of its stability may be associated with
the sliding plane which lies at the average depth of
about 10 m (in the first phreatic aquifer floor) and
503
that any extremely high groundwater rise in this
aquifer can almost in a nick of time activate the
whole landslide or some of its parts. For this
reason additional hydrogeological investigations
and quantification of groundwater regime and
balance was started in the wide surounds of the
investigated area.
5 HYDROGEOLOGY OF THE TERRAIN
A detailed analysis of the available documentation
and additional hydrogeological investigations
designed to the purpose down to the relative depth
of about 138 m pointed to three characteristic
aquifer complexes (Fig. 2):
a) The "first phreatic aquifer" located in the
surface and subsurface complexes in colluvial
loessoid sands and clays to the depth of about 10
m and depths to the groundwater table of 0.90 m
(at the lower sections around 125 m above sea
level) to about 4 m (on higher ground at 150-155
m). Replenishing conditions in the first aquifer are
directly related with vertical balance parameters
(precipitation, evaporation, evapotranspiration,
humidity, temperature etc.) as well as with
inflows from the background (from hypsometric
higher loess deposits while drainage, depending on
ground morphology is in form of gravity
percolation to lower ground sections. In the wide
investigated area, this aquifer drains through
numerous dug out and drilled wells that serve as
water supplies in households mostly for garden,
vineyard and courtyard watering).
b) The free level phreatic aquifer is formed
in the complex of the so called roof sands that
occur mostly at the depths of 15-30 m (Fig. 2). In
the higher ground sections (south of the park)
these sands lie at the depth of 34-78 m (thicker
than 30 m) while in the lower grounds, below the
level of 125 m they lie at the depth od 17-45 m
(thickness about 25 rn). In the lower ground
sections this aquifer practically blends with the
first aquifer (borehole Sb-19) and because of a
pronounced sliding process, waters from both of
the aquifers percolate by gravitation and diffuse
downwards towards the shore belt of the Danube
(without visible springs, filtration springs or
pools). The depths down to this aquifer table
measured on the highest ground sections (borehole
Sb-34) amount to about 69 m while on the lower
ground (well Sb-29) they are about 25 m. Water is
replenished at the expense of infiltration from the
"first aquifer" in shallow subsurface complexes
and particularly from the loess deposits in the
Fig. 2 Hydrogeological and engineering-geological yroJile of the wide investigated area

504
 Fig 3. Comparison between groundwater table diagrams of the 'tfirst aqufer" and
precipitation in the period of investigation
background. The aquifers are drained, in addition
to gravity percolation towards the Danube stream,
by intense water intake in local wells in the wide
investigated area wherefrom water is taken for
household water supply systems.
c) A subartesian aquifer is formed within the
so called floor sands at the depth of over 75 m
below the surface. Groundwater observations
show that the groundwater table varies between
absolute levels of 76 m (Sb-18) and 79 m (Sb-23).
In the course of the preliminary investigations the
thickness of this aquifer was determined only in
two boreholes in the coastal belt of the Danube
(Sb-29 and VB 4) where it was about 10 m while
in the Sb-18 borehole it exceeded 20 m and its
floor has not been located with precision. This
aquifer is replenished with infiltrated water from
the shallow aquifers in the wide investigated area
(Sumadija hinterland) of the general N and NW
direction of migration. The aquifer is drained
practically in the whole wide investigated area.
It is evident that the absolute groundwater
levels of the first aquifer in the zone of the farm
estate lie between 149.76 m above sea level (in the
park south of the Old Villa) and 117,93 m (in the
zone of water intake wells at the lowest part of the
estate - along Bratstva i Jedinstva St.). One may
say that the piezometer profile practically follows
ground morphology (Fig. 1 and Fig.2.). In the same
period the groundwater table in the deeper phreatic
aquifer (within roof sands) ranged from 124.20 m
above sea level (SB-23) and 98.06 m (Sb-28). The
subartesian aquifer (within floor sands) has the
most gently falling piezometer line and its
groundwater table varies between 79.29 m above
505
sea level (Sb-23) and 72.92 m (Sb-29) - (Fig.2).
Continuous systematic observation of
groundwater table in all three aquifers is
performed on more than 40 registered water
structures with simultaneous daily recording of the
amount of precipitation on a local pluviograph
stationed in the estate. Groundwater observations
are so programmed that the retardation period and
the infiltration rate particularly in the zone of the
"first aquifer" are determined with the highest
possible reliability after any intense precipitations.
Data from trial pumping in selected wells were
analyzed on a full hydrogram using original
hydrodynamic software programme for trial
pumping data processing MVAS 17 (Jaroslav
Cerni Institute, Belgrade). Transmissivity
coefficient values for the "first aquifer" vary
within the limits of T=5 x 10-6- 7 x 10-' m2/s and
T = 1.2 x 10-4m2/s for the deeper aquifer (Sb-29).
Effective porosity varies within the limits of E =
0.002-0.05. It is evident that the yields of both
phreatic aquifers ("first aquifer" to the depth of
about 10 m and the deeper phreatic aquifer to the
depth of about 30 m) are very small the average
one being about 0.1 l/s/well.
On the other hand, a preliminary
hydrodynamic model was formed to analyze
primary and basic hydrogeological prerequisites
for selecting a drainage system in order to monitor
and control groundwater table on the basis of the
identified filtration parameters of the "first
aquifer".
6 GROUND STABILITY AS A FUNCTION
OF THE "FIRST AQUIFER"
GROUNDWATER TABLE
Extensive hydrogeological investigations were
conducted for a reliable separation of characteristic
aquifer complexes down to the investigated depth
of 138 my and were followedby a specific
quantitative analysis of the "first aquifer"
groundwater table. The aim was to determine
conditions for possible active monitoring and
control of the "first aquifer" groundwater table in
particular for the purpose of preserving the
existing conditional ground stability (by
appropriate geotechnical measures of protection)
on the one hand and design optimum and rational
hydrotechnical amelioration measures for ground
development and raising of new plantations in the
estate on the other hand. A six-month analysis of
fluctuations of the first aquifer groundwater table
indicated risky sudden rising of the table after
abundant precipitations (about 1.7 m at Sb-2,
Fig.3) with an approximate 7-day retardation
period. Thanks to this, guidelines were established
for an approach to a concrete targeted geotechnical
analysis of soil stability. With regard to earlier
landslide engineering geological investigations
and hydrogeological properties of the colluvial
complex in the first aquifer, conditions were
considered for preserving ground stability by
maintaining groundwater table at the given
optimum depth. A quantitative geotechnical
analysis of slope stability was done, first of all, in
the narrow zone of the investigated area from
which the toe of the landslide was excluded.
A calculation was made by Janbu modifying
method that depends on the type of the slide
planes that were considered to the depths of 10-15
m:
* Slide "A" extending from the loess plateau cut at
the level of 175 m (the front scar zone)
Tuble I .
The average groundwater level at the depth
from 1 to 4 m below the ground surface
y7=19.6 kN/m3
The average groundwater table is at the
Around level
For the groundwater table (1 - 2 m of higher
than average) after one day of intense
precipitation of > 130 d m 2
For the groundwater table 2 m below the
average
Fully drained surface permeable soil
complex ('first aquifer')
506
to Bratstvo i Jedinstvo St. (1 15 m).
* Slide "B" extending from the youngest front scar
in the Old villa zone (at the level of
about 150 m) to Bratstvo i jedinstvo
St. (1 15 m).
In addition to the hydrogeological
parameters of the existing water structures in the
wide surrounds of the Farm estate, a need
appeared in the course of 1997 to adopt values for
the physical-mechanical parameters of the
lithological environment derived from
preliminary investigations (1 986). The standard
for an analysis of the impact of groundwater table
fluctuations on stability is the limit state of the
balance Fs=l and the average observed
groundwater levels in the period (May-June, 1997).
For different conditions of the first phreatic aquifer
groundwater table, the values of safety factor Fs is
giving in Tab 1.
On the basis of a stability analysis and with a view
to all preliminary hydrogeological observations
the definite conclusions and recommendations
have been made.
7 FINAL COMMENTS
The results of the conducted engineering-
geological and hydrogeologic works and study in
the wide surrounds of Golden hill farm estate have
been used to prepare the main geotechnical plans
for a detailed design for the estate development in
order to raise vineyards and orchards on the area
of 31 ha. This paper puts an emphasis on
contributions that the groundwater regime
determination of quality and quantity, an
interactive implementation of hydrogeological
experience and a good communication with
geotechnical modelling of soil stability have for
modern and rational approach to solving concrete
problems of unstable slope protection and
rehabilitation.
"A" Slide "B" Slide
Fs= 1 Fs= 1
y,=2 1.O kN/m3
Fs = 0.758 Fs = 0.696
Fs = 0.908 Fs = 0.870
Fs = 1.135 Fs = 1.095
Fs = 1.473 Fs = 1.352
REFERENCES

1. Todorovic T., Cvetkovic T. et. al., 1986: Synthetic

report of geotechnical investigation of
Plavinac-Provalije zone in Smederevo,
“Kosovoprojekt”, Belgrade, Yugoslavia
2. Rasula G. et al., 1997: Report of engineering-
geological and hydrogeological investigations
for designing and developing the lands of the
Golden hill Farm estate near Smederevo,
“Jaroslav Cerni” Institute for the Development
of Water Resources, Belgrade, Yugoslavia

507
This Page Intentionally Left Blank
 Slope Stability Engineering, Yagi, Yamagami8.Jiang 0 1999 Balkema, Rotterdam, ISBN 905809 079 5

Landslides induced by rainstorm in the Poun area of Chungchongbukdo

Province

Daesuk Han & Kyeongsu Kim

Korea Institute of Geology,Mining m d Materials, Tccejon, Korea

ABSTRACT: A rainstorm occurred on 12th August 1998 causing over 120 landslides in the Poun area of
Chungchongbukdo Province; the maximum hourly rainfall was as much as 91 mm. The landslides, most of
which were classified into debris and mud flows, caused loss of life, injury of people, and property damage.
Seven typical cases, Kumgulri, Waisujong, Jangiaeri 1, Jangiaeri 2, 2nd Uhamri, 2nd Jukjonri, and Sokaeri are
discussed in the paper.
Based on the results of field checking on the landslides and laboratory investigation on the soils taken from
some of the landslide sites including the above mentioned cases, most of the landslides occurred in the areas
having a slope angle greater than 30" and composed of the thin colluvial soils overlying granite saprolite. The
landslide deposits were classified into SC-SM, SM, and SP-SM according to the Unified Soil Classification
System.

1 INTRODUCTION The terrain was divided into areas of five units, 0-5",
5-15', 15-30", 3040", and >50' slope. Based on the
A project entitled Geologic Hazard Investigation was slope classification map constructed using the units,
carried out during the period from January to the distribution of terrain angles for the study area
December, 1998 for the middle region of the (Figure 1) was prepared. According to the figure, the
Republic of Korea; the region included parts of natural slopes of the study area are steep, more than
Chungchongbukdo and Chungchongnamdo Prov- 50% of the land area being steeper than 15' and
ince, encompassing about 3080 km2. This paper about 40% being steeper than 30".
deals with the Poun area of Chungchongbukdo, a
northern part of the study region. The area encom-
passes about 137 km2, lying between 36'25" and
36'3 0 ' N.
Over 120 natural slopes in the Poun area suffered
rapid failures due to the rainstorm occurred on 12th
August 1998; the maximum 24-hour and one-hour
rainfalls were 409 mm and 91 mrn, respectively. The
most abundant type of landslide that formed during
the rainstorm was debris flow, mud flow being the
next abundant one. The landslides caused loss of life,
injury of people, and property damage.
This paper focuses on the flows that occurred at
Kumgulri, Waisujong, Jangiaeri 1, Jangiaeri 2, 2nd
Uhamri, 2nd Jukjonri, and Sokaeri.
Figure 1. Distribution of terrain angles for the study
area.
2 TOPOGRAPHY AND GEOLOGY
2.2 Geologic setting
2.1 Topographic setting As illustrated in Figure 2, the rock types in the study
The land of the study area is rugged, with a number area are phylIite and Hwanggangri Formation
of mountains exceeding 250 m above the sea level. @ebble bearing schist) of Ordovician age, Jurassic

509
Figure 2. Geologic map of the study area with the locations of raingauge stations and landslides.

granite, and the rocks of Cretaceous age comprising and 3) Waisokri. Their locations are shown in Figure
Tongjungri Formation (conglomerate, sandstone and 2. Figure 3 shows the hourly rainfall records at the
shale), tuff, porphyries, and acidic dyke. Of the rock
types, the most predominant one is the medium to
coarse grained granite which occupies about 54% of
the land area.
In the granite terrain where the landslide events
took place, colluvium is commonly in a loose state,
thus being of high permeability; it varies in thickness
from 0.2 to 1.5 m. In general, the colluvium directly
overlies the saprolite defined here as the weathering
product of granite that was decomposed andor dis-
integrated in-situ to the consistency of a soil, while
retaining the original rock structure that is still largly
intact. The thickness of the saprolite rarely exceeds 3
m.
The residual soil of granite is normally not found
beneath the colluvium at the landslide sites having a
slope inclination greater than 30"

Figure 3. Hourly and cumulative rainfalls at the Po-

3 RAINFALL
On 12th August 1998, a rainstorm occurred in the
Poun area of Chungchongbukdo Province. Hourly
rainfalls were recorded by the automatic raingauges
installed at the three stations, 1) Pounup, 2) Suhan,
unup station on 12th August 1998.
Pounup station. The distributions of hourly rainfalls
at the Suhan and Waisokri stations, which are lo-
cated 2 km southwest and 6.5 km southeast of the

510
 Pounup station respectively, are very similar to that colluvium (about 30-cm thick) and the granite sapro-
of the Pounup station. The 24-hour and maximum lite (about 1.5-m thick) overlying on the highly to
one-hour rainfalls at the three stations are listed in moderately weathered granite; the slope inclination
Table 1 for comparison. of the flow-material source area, which is located
near the ridge, was measured at 30". Large amounts
Table 1. Rainfall records on 12th August 1998 in the of runoff were infiltrated into the permeable colluvi-
um and the granite saprolite of medium permeability,
Poun area.
the infiltration elevated pore pressures enough to
cause flow failure of the soils. The soil-and-water
Location Raingauge Rainfall, mm
mixture began to move downslope, scouring the ex-
No. Station
24-hour Max. 1-hour isting drainage channel (Figure 4). The source mate-
rials, combined with the scoured material, moved
1 Pounug 409 91 rapidly along the channel and destroyed two houses
2 Suhan 400 78 located near the mouth of the channel (Figure 5 ) , a
3 Waisokri 395 87 life being lost. The flow materials finally spread into
the nearby paddyfield. The distance from the source
head to the paddyfield was about 300 m; the total
4 LANDSLIDE EVENTS damaged area was estimated at 1.4 ha.

The field investigation on 120 landslides, which

were undertaken during the period from 18th August
to the end of November, 1998, revealed that most of
them were flows. The flows were grouped into the
three types as defined in Table 2.

Table 2. Classification of the flows occurred in the

Poun area.

Group Mode of slope failure

1 Failure started at source head; the soil-and-

water mixture rapidly moved downslope,
scouring the existing drainage channel.
2 Flow generated by semi-planar failure that Figure 4. Scoured channel in the Kumgulri landslide.
started at source head and emerged at the
toe of the slope, the lower part of the slope
being entirely scoured or flow generated by
the semi-circular slide, the toe of which
emerged from the face of the slope, the
lower part of the slope being partly scour-
ed.
3 Failure started at tomb site, the mode of
failure being similar to that of the group
No.2.

The numbers of landslide occurrence for the group

Nos. 1, 2: and 3 arel2, 87, and 11, respectively.
Seven typical cases of the flows, Kumgulri,
Waisujong, Jangjaeri 1, Jangjaeri 2, 2ndUhamri, 2nd
Jukjonri, and Sokaeri are briefly discussed in this Figure 5. Homes destroyed by the Kumgulri flow.
chapter.

4.2 Waisujong landslide

4.1 Kumgulri landslide The Waisujong landslide also belongs to the group 1
This flow belongs to the group 1 in Table 2. The in Table i.The landslide started at the six source
flow formed as a result of failure of both the thin areas having a slope inclination that ranges from 30

51 1
to 35" and comprising about 1-m thick colluvium.
Though the topographic and geologic conditions
somewhat differ from those for the Kumgulri land-
slide, the failure mechanism was the same as that
described in the preceding paragraph. At the mouth
of the existing drainage channel, two homes were
carried away and three cattle sheds were damaged;
fortunately, nobody was either killed or injured, but
20 cattle were killed. The nearby paddyfield was
covered by the flow materials, the damaged area
being about 0.7 ha. The distance from the source
head to the paddyfield was about 700 m and the total
damaged area was predicted at 3.0 ha.
Figure 6 shows the panoramic view of the Waisu-
jong landslide.
Figure 7. Houses destroyed by the Jangjaeri 1 flow.

Figure 6. Panoramic view of the Waisujong landslide

that damaged two homes and three cattle sheds. Figure 8. Jangjaeri 2 landslide.

4.3 Jangjnevi 1 and 2 landlsides

The Jangjaeri 1 landslide belongs to the 1st case of
the group 2 in Table 2. The saturated colluvium (50-
cm thick) and granite saprolite (about 80-cm thick)
of the upper part of the slope (32 to 35") moved
along the surface of highly to moderately weathered
granite in the manner of semi-planar failure, scour-
ing the lower part of the slope. The flow materials
destroyed a house completely and another one partly
(Figure 7); they farther moved along the alleys of the
village, damaging several fences and houses. A life
was lost and several people were injured; the total
damage area was estimated at 1 ha.
The Jangjaeri 2 landslide (Figure 8) belongs to the
2nd case of the group 2 in Table 2. The semi-circular
failure of flow type first occurred in the upper part of
the slope (45") comprising the saturated colluvium
(about 25-cm thick) and granite saprolite (about 1.2-
m thick) and then the soil-and-water mixture partly
scoured the lower portion of the slope, finally dam-
aging an area (about 0.3 ha) of the farm land located
in front of the slope. The semi-circular slide surface
was analyzed using a stereographic projection meth- Figure 9. Stereographic projection for the grid points
od as shown in Figure 9. on the slide surface of the upper part shown in Fig. 8.

51 2
4.4 Landslides at 2nd Uharnri and 2nd Jukjonri
The 2nd Uhamri landslide belongs to the group 3 in
Table 2.There were two tombs at the site shown in
Figure 10; one of them was carried away by the
landslide, while the other remained undamaged ex-
cept that the flat part of its front side moved away.
The thickness of colluvium and the slope inclination
around the tombs were measured at 1.2 m and 25 to
30", respectively. All the saturated colluvial soils
moved downslope together with the underlying
weathered and fractured granite and acidic dyke,
damaging several fences and barns. The total
damaged area was estimated at 0.3 ha.
4.5 Sokaeri landslide
The landslide, which belongs to the group 1 in Table
2, started at the source area having a slope angle of
35" and composed of the 50-cm colluvial soil
together with the underlying granite saprolite (about
1.5-m thick). The saturated soils moved downslope,
scouring the nearby drainage channel. The flow
materials destroyed only a home (Figure 12); the
total damaged area was estimated at 0.5 ha.

Figure 12. Home destroyed by the Sokaeri landslide.

Figure 10. Damaged tomb-site. Note that the right
(arrow mark) remains, while the left is missing.
The 2nd Jukjonri landslide also belongs to the
group 3 in Table 2. The flow-materials source area
neighboring a tomb and comprising the thin collu-
vium (about 10-cm thick) and the completely
weathered acidic dyke (about 90-cm thick) was
subjected to a semi-circular failure. The soil-and-
water mixture moved rapidly downslope, partly
scouring the lower portion of the slope ranging in
inclination from 30 to 35". A home was damaged
(Figure 11) and three people were injured. The total
damaged area was predicted at 0.4 ha.
5 LABORATORY INVESTIGATION
5.1 Shear strength
The undisturbed samples, which were taken from the
sites of the seven landslides described in the preced-
ing chapter, were subjected to shear strength test.
The measurement on the samples was accomplished
by means of an ELE direct shear box machine. The
specimen size used for the test was 60 mm square
and 20 mm thick; the normal stresses applied to each
of the three specimens were 20, 34, and 53 kN/mz,
while the loading rate was 1.06 mm/min. The shear
strength parameters are presented in Table 3.
Table 3. Results of the shear box test on the soils
from seven landslide sites.

Sample Soil "USCS Shear strength

Location Type c,kPa 0
Kumgulri Colluvial SP-SM 2 31"
<<
Waisujong SP-SM 1 34"
<<
Jangjaeri 1 SC-SM 5 33"
<L
Jangjaeri 2 SP-SM 3 34"
2nd Uhamri " SC-SM 4 31"
2ndJukjonri **CW SM 2 32"
Sokaeri Colluvial SM 2 32"
"Unified Soil Classification System.
Figure 1 1. Home damaged by the 2nd Jukjonri flow. * *Completely weathered.
513
5.2 Landslide deposits
The samples of landslide deposits, which were col-
lected from 50 landslide sites, were tested for their
grain-size distribution and Atterberg limits in ac-
cordance with ASTM D 422 and ASTM D 4318,
respectively. Of all the grain-size distribution curves
constructed based on the test results, seven typical
ones are presented in Figure 13. Their liquid limits
and plasticity indexes ranged from 21.5 to 32.5%
and from non-plastic to 7.9%, respectively.
Figure 13. Grain-size distribution curves for the
landslide deposits of Kumgulri, Waisujong, Jangjaeri
1, Jangjaeri 2, 2nd Uhamri, 2nd Jukjonri, and
Sokaeri.
6 DISCUSSION AND CONCLUSION
The intense rainstorm on 12th August 1998 in the
Poun area, which was associated with a slow-
moving trough of low pressure, caused over 120
landslides. One-hour rainfalls of more than 40 mm
occurred consecutively from 3 up to 7 o'clock in
the morning; the 4-hour rainfalls ranged from 233 to
247 mm depending on location. It has been reported
that most of the landslide events took place during
the hours mentioned above.
As mentioned in the chapter No. 3, the terrain
angles of the seven landslide sites vary from 25 to
45'; according to the slope analysis on the 120 land-
slides, 10, 95, and 15 of them occurred in the moun-
tains with the slope angles of 15 to 30°, 30 to 50°,
and X O " , respectively.
The analysis on the relationship between the geo-
logic units shown in Figure 2 and the 120 landslides
reveals that 109 of them occurred in the granite ter-
rain composed of the relatively thin colluvial soil
(0.2 to 1.5 m thick) and the underlying granite
514
saprolite, both of which generally were of high to
medium permeability. The shear strengths of the 6
colluvial soils (Table 3) are quite similar, the inter-
nal fnction angle being 31 to 34" and the intercept
cohesion being 1 to 5 kPa.
As can be seen in Figure 13, 53 percent or more of
the grains of the landslide deposits from the site Nos.
1 to 6 are larger than 2 mm in diameter, whilst 87
percent of the grains of the landslide deposit from
the site No. 7 is smaller than 2 mm in diameter.
Judging from the definitions of Varnes (1978), the
landslides of Kumgulri, Waisujong, Jangjaeri 1,
Jangjaeri 2, 2nd Uhamri, and 2nd Jukjonri are debris
flows and the Sokaeri landslide belongs to mud flow.
Based on the gradation analysis on 50 landslide
deposits, 45 of the 50 landslides are debris flows, the
rest being mud flows; the flow deposits are classified
into SC-SM, SM, and SP-SM according to the
Unified Soil Classification System
Considering all the available information, it is
concluded that the granite terrain in the Poun area,
which is steeper than 30°, is more liable to become
unstable than the terrain of phyllite, porphyries, etc.
under the weather condition that hourly rainfall of
more than 40 mm occurs consecutively for several
hours.
7 REFERENCES
American Society for Testing and Materials1 980,
Annual Book of ASTM Standards, Section 4 vol.
04.08.
Davis, G.H. 1984. Structural geology of rocks and
regions: 68-8 1. New York: Wiley.
Han, D. et al. 1998. Geological hazards investigaion.
KIGAM Research Report KR-98(C)-03: 18-70.
Head, K.H. 1982. Manual of soil laboratory testing
v01.2. London: Pentech.
Johnson, A.M. & J.R. Rodine 1984. Debris flows. In
D. Brunsden & D.B. Prior (eds), Slope instability:
257-357. New York: Wiley.
Keefer, D.K. & A.M. Johnson 1983. Earth flows:
Morphology, mobilization, and movement. Geo-
logical Survey Prof. Paper 1264: 1-41. US Gov-
erment Printing Office, Wahsington.
Kim, O.J. et al. 1977. Geological map of Bouen
sheet (scale 1:50,000). Korea Research Institute
of Geoscience and Mineral Resources.
Kim, D.H. & B.J. Lee 1986. Geological map of
Chongsan sheet (scale 1:50,000). Korea Institute
of Energy and Resources.
Varnes. D.J. 1978. Slope movement types and pro-
cesses. In R.L. Schuster & R.J. Krizek (eds),
Landslides: Analysis and control. Transportation
Research Board Special Report 176: 11-33. US
National Academy of Science, Washington.
Zaruba, Q. & V. Mencl 1976. Engineering geology:
163-197. Amsterdam: Elsvier.
 Slope Stability Engineering, Yagi, Yamagami& Jiang 0 1999Balkema, Rotterdam, ISBN 90 5809 079 5

Characteristics of Cretaceous granite slopes that failed during heavy rainfall

T.Yamamoto & M.Suzuki

Departnient of Civil Engineering, Yamugiichi UiiiLvrsity, Uhe,Japan
N.Matsurnoto
Graduate School of Science and Engineering, Yiinia<quchiUiiivei-sity, Uhe,Japan
Y. Sehara
7hkiwa chiku K o g y Compcrtiy L im ired, Uhe, Jupun

ABSTRACT: 215 slopes consisting of cretaceous granite-namely, Hiroshima granite, older Ryoke granite, and
younger Ryoke granite-failed due to rainfalls during the years 1978 to 1997 in Yamaguchi prefecture, located at
the west end of Honshyu in Japan. Case or field investigations of the slopes were made in order to examine the
features of the failed slopes and the physical and mechanical properties of surface soils in relation to granite type.

1 INTRODUCTION southern region of Yamaguchi prefecture, while Ryoke

Granite formed in the Cretaceous period in the
Mesozoic is widely distributed in Chugoku district of
Japan. Granite distributed in Yamaguchi prefecture,
located at the west end of the Chugoku district, are
classified into three kinds: namely, Hiroshima granite,
older Ryoke granite, and younger Ryoke granite. All
three types are notably weathered, and the weathered
soil they form is well known as masado (the
decomposed granite soil). As shown in Figure 1,
Hiroshima granite is distributed in a belt through the
granite is distributed only in the southeast (Nishimura
& Matsusato 1991).
215 slopes consisting of granite failed due to heavy
rainfalls during and at the ends of the rainy seasons of
1978 - 1997 in Yamaguchi prefecture
Case investigations were performed on 192 failed
slopes consisting of the above three kinds of
Cretaceous granite during the years 1978 to 1994
(Yamaguchi prefecture 1994). In addition, field
investigations were conducted on 23 slopes that
consisted of the above three types of granite that failed

Figure 1. The distribution of Cretaceous granite in Yamaguchi prefecture and the location of slopes failed
during the years 1978 to 1997.
515
Figure 2. Frequency distribution of dimensions of
failed granite slopes.

during the years 1994 to 1997. Physical tests,

permeability tests, direct shear tests, and compaction
tests were conducted on the surface soils (masado)
sampled from these slopes.

2 FAILED SLOPES AND RAINFALLS

215 slope failures occurred in the locations shown in

Figure 1. The closed circles indicate the slopes at
which case investigations were made, and the double
circles indicate the slopes at which field investigations
were made.
All of 192 failed slopes were classified by
inclination, height, and depth for each type of
granite. The results are shown in Figures 2(a), (b), and
(c). It was found from Figures 2 that irrespective of the
kind of granite, the dimensions of the failed slopes
generally ranged between 40-49 degrees in
inclination, 5.0-9.9 m in height, and 1.00-1.49 m in
depth. 96 slopes were found to have failed due to plane
slips.
Figures 3(a) and (b) represent the amount of rainfall
Figure 3. Rainfall amounts over at two week period
and a single day prior to slope failure.
preceding failures of slopes consisting of Hiroshima
granite and Ryoke granite, respectively. The two
curv~sin both figures were obtained by Aboshi (1972)
and Ohara (1988) ,who investigated numerous failed
slopes in Yamaguchi and Shimane prefectures. As can
be seen, most of the slopes consisting of Hiroshima
granite failed at a rainfall accumulation of 40-230 mm

516
 Dimensions of failure Type Amount of Rainfall (mm)
Place Slope Kind of granite Inclination Height Width Depth of One Two Date
N 0. (degree) (m) (m) (m) failure day weeks
Mine A I - 35.3 130.0 2.0 Toppling 15.0 352.0 August 22, 1993
Mine B I(1)
- - - - - - -
1987

Yanai B I Younger Ryoke 48 14.9 11.5 - Surface 134.5 241.0 July 27,1993
Yanai C I 45 4.8 5.0 1.5 Circular - - June-August, 1995
Kaminoseki A' 1 31 7.5 66.0 1.8 Surface 173.0 325.5 July 28, 1993
Kaminoseki B' I 50 14.6 18.0 1.0 Surface 177.0 325.5 July 28, 1993

during 1 day rainfalls and 100-500 mm during two
weeks rainfalls. In contrast, most of the slopes
consisting of Ryoke granite failed at a rainfall
accumulation of 100-190 mm during the one-day
rainfall and at an accumulation of 180-600 mm during
the two weeks rainfalls. This difference may be
explained as follows. As shown in Figure 1, since
Hiroshima granite is more widely distributed in
Yamaguchi prefecture than Ryoke granite, the amount
of rainfalls needed to cause slope failure in areas of
Hiroshima granite is more widely dispersed than the
amount for failure in Ryoke granite areas.
Furthermore, the slopes consisting of Hiroshima
granite failed under smaller rainfall accumulation that
did slopes consisting of younger and older Ryoke
granites.
The results of the 23 field-investigated failed slopes
are summarized in Table 1. Among them, 13 slopes are
consisted of Hiroshima granite, and 4 of older and 6 of
younger Ryoke granites. Rainfall accumulation on
the failed slopes consisting of Hiroshima and Ryoke
granite are indicated by closed symbols in Figures
3(a) and (b), respectively. As can be seen in Table 1,
with the exception of slope I at Mine and slope I at
Yanai B, for which the dimensions of failure were
much larger, all the failed slopes had dimensions
similar to those shown in Figure 2. All failures
occurred due to surface slips, with the exception of
the failures of Mine A and Yanai C slopes, which
occurred due to toppling and circular slip, respectively.
Furthermore, as seen in Table 1, the slopes I (1) and
(2) at Kumage failed during one day rainfalls of 0
and only 1.0 mm respectively. Both slopes are located
in geological discontinuity positions, in which
biotite-rich granite interpenetrates into Sangun
metamorphic rock (Nishimura & Matsusato 1991;
Yamamoto et al. 1996).
3 PROPERTIES OF ROCKS
Table 2 summarizes the minerals composing the three
kinds of granite sampled at each location. The
properties of rocks are described below for each type
of granite.
(1) Hiroshima granite
Hornblende contained in quartz diorite at Mine B
altered into chlorite due to weathering. Aplite at Ube
interpenetrated as a dyke into Sangun metamorphic
rock. Biotite granite at Hofu had an equi-granular
texture, and a large amount of alkali feldspar, some of
which had been altered into muscovite.
(2) Older Ryoke granite
In the biotite granite at Oshima, the gneissic structure,
which is a typical structure in old-age Ryoke granite,
was observed. Garnet, a mineral typically contained

517
Yanai A Garnet biotite granite Quartz, Plagioclase, Alkali feldspar, Biotite, Muscovite, Chlorite, Garnet
Oshirna Older Ryoke Biotite granite Quartz, Plagioclase, Alkali feldspar, Biotite, Apatite, CNorite
Biotite granite Quartz, Plagioclase, Alkali feldspar, Biotite, Chlorite
Hirao Biotite granite Quartz, Plagioclase, Alkali feldspar, Biotite
Kurnage Biotite granite Quartz, Plagioclase, Biotite, Muscovite, Garnet
Biotite granite Quartz, Plagioclase, Biotite, Chlorite
Yanai B Younger Ryoke Muscovite-biotite granite Quartz, Plagioclase, Alkali feldspar, Biotite, Muscovite, Garnet
Yanai C Biotite granite Quartz, Plagioclase, Biotite, Muscovite, Chlorite
Kaminoseki A Muscovite-biotite granite Quartz, Plagioclase, Alkali feldspar, Biotite, Muscovite
Kaminoseki B Muscovite-biotite granite Quartz, Plagioclase, Alkali feldspar, Biotte, Muscovite, Chlorite

Table 3. Physical properties and soil classification of surface soils.

in Ryoke granite, was observed in garnet biotite granite minerals such as chlorite were produced by the
at Yanai A. weathering of hornblende or biotite.

(3) Younger Ryoke granite

Unlike older Ryoke granite, the gneissic structure was
not observed in younger Ryoke granite. Garnet was
observed in biotite granite at Kumage and in
muscovite biotite granite at Yanai B.
As shown in Table 2, all three kinds of granite were
composed primarily of quartz, plagioclase, alkali
feldspar, biotite, and a little muscovite. Also, clay
4 PROPERTIES OF SURFACE SOILS
4.1 Physical properties
Table 3 shows the physical properties of surface soils
sampled from each slope, and the soils’ classification
according to the Japanese Unified Soil Classification

518
 Figure 5(a). Internal friction angles, ((b ,),, and ((b &
for each surface soil.

Figure 4. The change of coefficient of permeability k

with void ratio e for each surface soil.

System. It can be seen in Table 3 that Ryoke masado

samples had much lower finer content (FJ and were all
classified as NP,while Hiroshima masado samples had
comparatively higher F, content and all showed I,,
values. Both Ryoke masado samples were classified as
S-M (sand with silt) or SM (silty sand), and almost all
Hiroshima masado samples were also classified as S-
M or SM, with the exception of a ML (silt with low
liquid limit) at Mine and a CL (clay with low liquid
limit) at Onosaka B. Masado samples at Mine B, C
and Onosaka B consisted of enriched hornblende,
which is easily altered to clay minerals by weathering.
In contrast, since the enriched acidic-rich granite at
Kumage and the aplite at Ube contained enriched
biotite, their I,, values were low in spite of their
comparatively large clay content (FC,;J.
4.2Permeability
Constant head permeability tests were performed on
three kinds of disturbed masado. Figure 4 shows the
change of the coefficient of permeability k with the
void ratio e. It is found from Figure 4 that each masado
is characterized by a unique change in k with
decreasing e. The higher the content of color minerals
such as biotite and hornblende, the smaller the
coefficient of permeability of masado. That is, with the
exception for Kaminoseki A masado, Hiroshima
masado has a larger coefficient of permeability as
compared with both Ryoke masado. Similar results
have been obtained by Matsuo et al. (1970).
Figure S(b). Cohesion, (c,), and (c,), for each surface
soil.
4.3 Strength parameters
Direct shear tests using a direct shear test apparatus
were performed on several disturbed masado
specimens ( b ,=60 mm, h=20 mm) under both natural
and submerged conditions.
Figure 5(a) shows the relationship between the
internal friction angle ( (b,),, and ((b,) under natural
and submerged conditions, respectively, for three kinds
of masado. Figure 5(b) shows the relationship between
the cohesion (c,)" and (c& under natural and
submerged conditions, respectively. It can be seen
from Figure 5(a) that although no distinct difference of
(6d),, was observed among the various kinds of
masado, the decrement of the internal friction angle of
Hiroshima masado due to the submergence was larger
than that of older and younger Ryoke masados. It can
also be seen from Figure 5(b) that the cohesion of

519

Figure 6. Relationship between P dmax and M, for
each surface soil.
almost all masado samples decreased remarkably, or
disappeared due to submergence. The same results
showing that the strength parameters of masado
decrease remarkably due to submergence have been
obtained by Onitsuka et al. (1985).
4.4 Compuctionproperties
Compaction tests were performed on three kinds of
masado according to the A-b method (the dry and
cycle method) by the Japanese Society of Geotechnical
Engineering. Figure 6 shows the relationship
between the maximum dry density p dmax and the
mole ratio of each oxide M, given by Eq.4.1 for each
masado. The mole ratio increases with the increase of
colored minerals such as biotite and hornblende. It was
observed that the maximum dry density decreases with
the increase in the mole ratio value. In particular, the
p ,,,,,=1.55-1.60 g/cm3 of older Ryoke masado rich in
biotite are very small compared with the p dmax=1.80-
1.90 g/cm3of biotite-poor Hiroshima masado.
M, = A1,0, / (Na,O f K,O 9-CaO) (44
It is known that a micaceous sand will often have a
large void due to little interlocking (Lambe &
Whitman 1979). Therefore, our test results reflected
the fact that, in the case of earthworks using masado in
Yamaguchi prefecture, although the degree of
compaction of Hiroshima masado is high, the
compaction of Ryoke masado is not achieved
satisfactorily.
520
5 CONCLUSIONS
The conclusions of the present study are as follows:
Most slope failures during rainfall occurred due
to plane slips of comparatively small magnitudes
irrespective of the kind of granite involved.
Namely, 96 slopes among 215 failed slopes failed
due to plane slips of 0.5-0.8 m in depth.
The slopes consisting of Hiroshima granite failed
with a small amount of rainfall as compared with
those slopes consisting of older and younger Ryoke
granites.
Though most Hiroshima masado were classified as
ML, SM, or S-M, all Ryoke masado were
classified as SM or S-M.
The degree of decrease of the internal friction
angle (5, and the cohesion c, of the surface soils
by submergence were larger for Hiroshima masado
than for either type of Ryoke masado.
Older Ryoke masado has lower degrees of
compaction and a lower coefficient of permeability
level than either younger Ryoke masado or
Hiroshima masado.
REFERENCES
Aboshi, H. 1972. Heavy rainfalls and failures of
masado slopes, Seko-gijutsu, 5 (11): 39-49 (in
Japanese).
Lambe, T. & Whitman, R.S. 1979. Soil mechanics, SI
version. John Mley & Sons:147.
Matsuo, S. & Nishida, K. 1970. The properties of
decomposed granite soils and their influence on
permeability, Soils and Foundations, 5(1):93-105.
Nishimura, Y. & Matsusato, H. 1991. An illustrated
Book of rocks in Yamaguchi prefecture, Duiichi
Gakusyusya Ltd. :21-22 (in Japanese).
ahara, S. 1988. Investigation of prediction procedure
of occurrence for ground disaster by heavy
rainfalls. Report on important area study(1) in
research expenses on Ministry of Education
(No.62601529):1- 17 (in Japanese).
Onitsuka, K., Yoshitake, S. and Nanri, M. 1985.
Mechanical properties and strength anisotropy of
decomposed granite soil, Soils and Foundations,
25(2):14-30.
Yamaguchi prefecture 1994. Tables of results of
investigation on slopes failed due to heavy
rainfalls during the years 1978 to 1994 (in
Japanese).
Yamamoto, T., ahara, S., Nishimura,Y. & Sehara, Y.
1996. Characteristics of cut slopes consisting of
Sangun metamorphic rocks which have failed due
to heavy rainfall in Yamaguchi prefecture,
Domestic Edition of Soils and Foundations,
36(1):123-132 (in Japanese).
 Slope Stability Engineering, Yagi, Yamagami 6: Jiang 0 1999 Balkema, Rotterdam, ISBN 90 5809 079 5

Seepage analyses of embankments on Tokaido-Shinkansen

in long terrn rainfalls

K. Kato
R&D Ceizter,TechnicalResearch and Development Division, Central Japan Railway Company,Nagoya, Japan
S.Sakajo
Numerical Analysis Section of Geo-mechanics,Kiso-jiban Consultants Company Limited, Tokyo,Japan

ABSTRACT:The sensitivity of seepage soil properties was studied in the seepage analysis of the seven embankments
on Tokaido-Shinkansen. It is obvious that the un-saturated soil property is the key of success of saturated and un-
saturated seepage analysis. However, the consistent analytical study based on soil properties obtained from in-situ has
never been studied. Re-evaluation of seepage soil parameters was discussed in the present study. The computed results
were compared with the observed water pressure in the embankments.Finally, the authors have proposed a procedure to
determine the various un-saturated seepage soil propertiesfor Tokaido-Shinkansen.

1 INTRODUCTION low, where a river is existing beside this embankment.

JR Tokaido-Shjnkansen is between Tokyo and Osaka. At
many portions of the line, embankment structures are
constructed for the railway foundations, which have
been faced with damage due to heavy rainfalls. The
embankment height varies from 3 m to 10 m. Eispecially,
small scale slope failures have occurred on the line in
Shizuoka and Aichi Prefecture. On the other hand these
days, the computer facilities have been advanced very
much and many sophisticated softwarecan be applicable
using high speedy computers. Now is the time to start to
simulate the seepagebehavior and assess their stability in
rainfall using the these computer software. In this study,
a saturated and un-saturated seepage analysis on -finite
element analysis is emplyed, which was proposed by
Prof. Nishigaki (Akai,Ohnishi,Nishigaki, 1977). The
used rainfall records for a long term are two kinds. One
is one month in April 1998. Another is one month in
August 1998( except for G site ) (Central JR. and Kiso-
jiban ConsultantsCo., Ltd., 1999).
2 SEVEN EMJ3ANKMENTS AND SOIL
ZNVESTIGATIONS
Fig. 1 shows embankments and foundations at seven
sites of A, B, C, D, E, F and G. The characteristics of
these embankments can be described as follows. The
embankment at A site was constructed with mud stone
fractures from a nearby tunnel excavation. This kind of
material is not easy tc! define the seepage properties
because of the complicated composite mixtures of soils.
It seems hke silt gravel. The initial water table is rather
The embankment at this site has cut off walls on their
right and left sides of the embankment. The
embankment at B site is made of loam mixed with
gravel from Mt. Fuji. The strength of the embankment is
rather week. This soil of the embankment at C and D
sites were constructed with clayey circular gravel.
However these gravel contain little clay. Therefore, it is
d%cult to evaluate the seepage properties. The E
embankment was constructed with the residual soils of
sand and mud stone from a nearby tunnel excavation.
The embankment at E site is about 3m high. The
embankment at F site was made of sand with clay. The
embankment at G site was contains sand. The
embankment at B, C and E sites used a structure of
retainingwall. The embankment at B site has the walls at
the right and left sides of the embankment. The
embankment at C site has one at its left side and the
embankment at E site has one at its right side. These
embankmentsdiffer from each other in size and soil. The
G embankment was selected near from Toyohashi and
Mikawa-Anjo area, Aichi prefecture. The others were
selected from Shizuoka prefecture. The heights of
embankmentsvary from 3 m to 10 m. The constitution
soils of these embankments are from silt clay to gravel.
Their soil profiles were made by the boring results
(Radway T e c h c a l Research Institute, 1997a;
Central J R and &so-jiban Consultants Co., Ltd.,
1998).
A set of soil investigations was conducted to obtain
soil properties. Standard penetration test (SPT) was
conducted to evaluak the soil profile and the basic
strength of the embankments. Un-disturbed tube and
biock samples were obtained for the laboratory tests for

521
 Fig. 1 Embankment models for the seven sites

measuring soil strength and soil seepage properties, scepagc properties of soil, coefficient of pernieability and
respcctively. TA-axial compression tests were conducted pF curve of soil was measured.
to riieasurc soil strength. Tlie CD test was applied for From the results of the boring data, the following
sand soils and CU test was applied to clay soils. As classifications ~ a i be
i obtained. The embankment at A

522
site is silt gravel, which is residual soil from tunneling
but it was found to be gravel. The embankment at B site
was classified as gravel clay but it was found to be clay.
The embankments at C and D site were classifiedas clay
gravel but they were found to be silt. The embankment
at E, F and G site arc classified as sandy soils but they
were found to be sand. These reasons would be
explained at the next section. The W, and the W, are the
observation wells of pore water pressures in this figme.
The computed poic water pressures were compared with
these observed valucs. (Central J R and IGso-jiban
Consultants Co., Ltd., 1999).

3 MEASURED AND USED SEEPAGE

PROPERTIES OF SOILS

The soil properties for the saturated and un-saturated

seepage analysis are the coefficient of permeability at
saturated state ks, the volumetric water content in
saturated state 6's and the residual volumetric water
content Br. To obtain these parameters, permeability
test and pF test were conducted using block samples.
These test results are shown in Table 1. The coefficient
of permeability at unsaturated state ku can be obtained
by h a y ' s equation. :

where, the @isvolumetric water content and the n

canbe defined as n = O.69-1.311og1&
The permeability test is free water head test. pF test is
conducted with tension meter for pF value of 0.0 to 2.0
and centrifuge test for pF value of 2.0 to 3.0. The
maximum suction was applied up to 1Om because
embankment height is 6 to 7 m w w a y 'lkchcal Fig. 2 Un-saturated seepage soil properties
Research Institute, 1997a;199713).
These results do not match with soil classifications.
For example, the soil at the distance of E section was
classified as sandy clay from boring data but the
measured coefficient of permeability ks was 7.78 X 10"
(cm/sec), which was like a clay. The values of 0 s and
8 r from pF tests were 48.9 and 40.6 respectively,which
were rather large values corresponding to the clay soil.
All the pF curves from @ to 0are shown in Fig. 2. D clay gravel 1.20X 10-5 39.8 30.6 @
The 0, 8 and 0 is for silt gravel, sandy gravel and E sandy clay 7.78XIO-j 48.9 40.6 @
sand. The 0, 0, @ and @ are for gravel clay and F sandyclay 1.13X10-3 41.1 23.5 @
clay gravel. Therefore,these values must be re-evaluated G sand 1.OOX 10-3 26.0 20.5 a
through comparing the numerical simulation with the
observation.
conducted and these properties were changed
into 4 categories, 1)gravel, 2) silt, 3) silt clay and
4 SlMULATIONS AND RESULTS 4) sand as shown in Table 2. Then, the last
seepage analyses on h t e element methods
To assess the measured seepage properties, were conducted for long term ramfall (Central
many trial numerical simulations were JR and &so-jiban Consultants Co., Ltd., 1999).

523
 Fig. 3 Simulated results at the seven sites

The retaining walls were modeled as a concrete

material in the seepage analysis. However, the
cutoff walls are not modeled in the analysis
because of the a c u l t judgement for the
seepage properties.
Fig. 3 shows the simulated results for long
term radaUs. The computed relationshps
between pore water pressure and r d d time
can be seen in these figures compared with the
observations.
At A OyJ and B (W,) sites, the computed pore
water pressures can fit with the observed ones

524
 Fig. 4 Patterns of water lines in embankments at
the moment of the heaviest rainfall

F sand 1.13X10-3 41.1 23.5 @

G sand 1.OOX 10-3 26.0 20.5 0

525
very well for the one month. Thzse pore water
pressures are very sensitive due to the very
large permeabhty. At C (WJ site and D (W,) site,
the computed pore water pressures are flat
against the r d a l l time because of the low
permeabdity at these sites, whch are similar to
the observations although there is a gap
between the both values at C site. At E (WJ, F
(WJ, and G (Wd sites, the computed results
could explain the observations very well. From
these computed results at E, F and G, the sand
embankments could rise the water line much
hgher than the others. It inhcates that the
embankments at E, F and G are very dangerous
for the real r d a l l s . From the above tlungs, it
can be concluded that the computed results
explained the observations very well and the
seepage properties are very important in the
seepage analyses.
Fig. 4 shows the patterns of water lmes at the
moment of the heaviest rainfall. These figures
show the characteristics of the above seepage
properties very well. One can see the veiy h g h
water h e in the embankments at E, F and G .
The others have very low water h e s in the
embankments. From these figures, it can be also
concluded that the seepage properties are very
important in the seepage analyses.
M. S.Suzuki at Shizuoka Shinkansen Structure
InspectionCenter of Central Japan Railway Company.
REFERENCES
Akai, K, Ohnishi, Y and Nishigaki, M. 1977, Finite
element saturated and un-saturated seepage analysis,
Journal of Japanese Civil Engineering Society,
V01.264, pp. 87-96 ( in Japanese ).
Central JR and Kiso-jiban Consultants Co., Ltd. 1999.
Report on the stabilityanalysis of the embankments
of JR Tokaido-Shinkansen Line 309km and other 6
locations ( in Japanese ).
Central J R and &so-jiban Consultants Co., Ltd.
1998. Report on Soil Investigation results for
embankments on Tokaido-Shinkansen in Shizuoka
StructuralInspection Center.
Sakajo, S. and Kato, K 1999, In-stab&@Analyses of
Embankments on Tokaido-Shmkansen in
Heavy hnfalls, IS-Shikoku ( under submitted ).
Railway Technical Research Institute, 1997%Report on
Soil Investigation and permeability test results of
Toukai-dou Sin-kan-sen at 309kmZOOm ( in
Japanese ).
Railway Technical Research Institute, 1997b, Research
on evaluation procedure of railway slope damege for
rainfalls ( in Japanese ).

5 CONCLUSIONS

The followingconclusionsare developed:

1)The consistent analytical study based on soil
properties obtained from in situ has never been
studied.
2)The measured seepage properties were be re-
evaluated through comparing the numerical
simulationwith the observation.
3)Then, a set of seepage properties was proposed for the
embankmentson Tokaido-Shinkansen.
4)The computed results could explain the
observations very well.
5)The seepage properties may effect on the iise
of water lmes in the embankment. T h s would
be related to the safety of embankment is long
term r d a l l s .
6)The embankments at E, F and G sections are
very dangerous for the real rainfalls. The other
embankments are not dangerous in the actual
rdalls.
7)The seepage properties are very important in
the seepage analyses.

ACKNQWLEGEMENTS
The authors would like to show sincerer appreciation to

526
 Slope Stability Engineering, Yagi, Yamagami& Jiang 1999Balkema, Rotterdam, ISBN 90 5809 079 5

Instability analyses of embankments on Tokaido-Shinkansen

in heavy rainfalls

S.Sakajo
Numerical Anulysis Section of Geo-Mechanics, Kiso-jiban Consultants Compuny Limited, Tokyo, Japan
K. Kato
R&D Center, Technical Research and Development Division, Central Japan Railway Company, Nagoya, Japan

ABSTRACT : The authors studied in-stability of embankments on Tokaido-Shinkansen due to heavy rainfalls. At first,
a set of seepage and stability analyses of a model embankment was carried out. Then, a set of seepage and stability
analyses of the seven real embankmentswas conducted.From these results, it was found that the safety of embankments
might be deeply related with the seepage properties. The used seepage properties in the present study were re-evaluated
through the numerical simulations of pore water pressures in the embankments by the long term rainfall. Stability
analysis was a circular stability analysis based on a limit equilibrium method. The analytical results of the embankments
showed the importanceof the seepage soil properties on the stability analysis.

1 INTRODUCIlON properties were assessed through the numerical

Several numerical procedures are now available for the
stability analysis of slopes in rainfall. For example, The
first author has proposed a procedure of slope stability
analysis coupling seepage analysis on finite element
method (Yoshimaru,Sakajo and Ugai, 1997; Ugai, Cai,
Sakajo and Wakai, 1999). In this procedure, the stability
analysis proposed by Ugai (Ugai, 1990; Tanaka, Ugai,
Kawamura, Sakajo and Ohtsu, 1997) is employed,
which could be the most rational evaluation method for
several countermeasure works like piles in slope,
because it can consider the critical state deformation of
piles and ground in their resistance. This method also
can be applied to embankment as an artificial slope. In
this procedure, a saturated and un-saturated seepage
analysis on finite element analysis is employed, which
was proposed by Nishigaki (Akai, Ohnishi, Nishigaki,
1977). Therefore,saturated and un-saturated seepage soil
properties can be required in this analysis. To increase
computational accuracy, seepage lines coordinates in the
seepage analysis results are transferred to the stability
analysis. However, in the present study, a circular
stability analysis based on rigid plasticity is used, which
is simpler than the that on finite element method and can
be applicableto the ground without piles.
The strengths of soils are not only important but the
seepage properties of soils are also important, for the
safety evaluation of embankment in rainfall. However,
seepage properties of soils are not well investigated
usually. Therefore, it seems that there are yielding many
bad simulations using in-realistic seepage properties.
The authors conducted a set of soil investigations to
measure the seepage properties at in situ and then these
simulations of embankments at many different locations
on Tokaido-Shinkansen. (Kato and Sakajo, 1999). The
authors attempted to investigate the importance of these
seepage properties for the safety evaluations of these
embankmentson Tokaido-Shinkansen.
2 SOIL INVESTIGA?rlONS AND
EMBANKMENTS ON TOKAIDO-
SHINKANSEN
The 7 different embankments were chosen from
Tokaido-Shinkansenand their soil profiles were made by
the boring results (Nishio et al., 1998; Kanda et al, 1998;
Railway Technical Research Institute, 1997a; Central JR
and Kiso-jiban Consultants Co., Ud.,1998). These
embankments differ from each other in size and soil. A
set of soil investigations was conducted. Standard
penetration test (SP") was conducted to evaluate the soil
profile and the basic strength of the embankments. Un-
disturbed tube and block samples were obtained for the
laboratory tests for measuring soil strength and soil
seepage properties, respectively.
Tri-axial compression tests were conducted to
measure soil strength. Table 1 shows the soil
characteristics and their strength of soils of
embankments. The c denotes and the 6 denotes
cohesion of soil and frictional angle respectively. The
CD test was applied for sand soils and CU test was
applied to clay soils. As seepage properties of soil,
coefficient of permeability and pF curve of soil was
measured.

527
Table 1 Soil classificationand unit weight, strengths Table 2 The used soil classifications and seepage
of embankments

(site) classdkation (cdsec) (%) (%) curve

A gravel 1.22X 10-' 48.9 19.2 0
B silt 1.00X10-3 80.5 64.0 @
C siltclav
silt clay 1.06X10-5
1.06X 10-5 38.3 21.4 @
1 D 1 silt clav 1 1.20X10-' 1 39.8 I 30.6 1 ?' $ 1
E sand l.00X10-3 26.0 20.5 0
F sand 1.13X10-3 41.1 23.5 @
G sand 1.00X10-3 26.0 20.5 0

were conducted using block samples. The permeability

test is falling head permeability test. pF test is conducted
with tension meter for pF value of 0.0 to 2.0 and
centrifugemethod for pF value of 2.0 to 3.0. Suction was
applied up to 10 m because the maximum embankment
height is around 10 m (Rdway Techrucal Research
Institute, 1997a;199713). However, these seepage
properties obtained fkom tests were re-evaluated by the
numerical simulations of seepage behavior in long term
rainfall (Central JR and Kiso-jiban ConsultantsCo., Ud.,
1999; Kato and Sakajo, 1999). These re-evaluated
seepage properties are tabulated in Table 2. The used pF
curves from @ to 0are shown in Fig. 1. The 0, 8
and 0is for sand and gravel. The 0, @ and @ are
for silt and silt clay silt clay. The computed results using
the above seepage properties could explain the observed
pore water pressures very well.

4 INFLUENCE OF SEEPAGE PROPERTIES

ON SAFETY OF A MODEL EMBANKMENT
AT E SITE

A 5 m high model embankment was assumed to show

Fig. 1 The used pF curves
3 USED SEEPAGE PROPERTIES OF SOILS
Necessary soil properties for the saturated and un-
saturated seepage analysis are the coefficient of
permeability k, the maximum volumetric water content
6's and the minimum volumetric water content Br.
To obtain these parameters, permeability test and pF test
the influence of soil properties on safety. This is a
simplified embankment at E site, which consists of two
soil layers. The embankment slope was set 1.0 to 1.5.
Rainfall intensity was set 10 mm/hour. The total rainfall
was set 800 mm. It can be said a kind of heavy rainfall.
Fig. 2 shows the cross section of this model
embankment. Table 3 shows the used seepage
parameters for three cases.
Fig. 3 shows the computed water lines for this
embankment at the moment that 30 hours passed for the
three cases. The water line does not change at all for
CASE-1. However, the water line went up to 4 m for
CASE-2 and it reaches to the embankment top For
CASE-3. This implies that the coefficient of
permeability influenced the change of water line very
much.
Fig. 4 shows the change of water lines for CASE-3 at
the moments that 0, 10, 20 and 30 hours passed. From
this figure, it was found that there was significantchange
of water lines with time passing. At the initial stage,
water line goes up near the slope of embankment by

528
Table 3 The used seepage and strength properties

ki 9s Or
CASE % pF-curve
(cm/sec> (%)
CASE-1 7.78X1Op6 48.9 40.6
CASE-2 LOOX 10-3 48.9 40.6 0
CASE-3 1.00X10-3 26.0 20.5

Fig. 2 The cmss section of model embankment with a

height of 5 m

Fig. 3 The computed water lines for this

embankment at the moment that 30 hours passed

Fig. 5 The pore water pressure change and rainfall

time

Fig. 4 The change of water lines for CASE3 at the

moments that 0,10,20 and 30 hours passed

rainfall. Then, the water line goes up at the center of

embankment.This may yields the non-linearity of safety
change.
Fig* shows the Pore water pressure change Of the
fig. 6 The relations of safety factor and rainfall
three cases at the two points, 1) under the embankment
time
shoulder and 2) at the center of embankment on the
ground surface level. The pore water pressures at the two
points W, ( under the embankment shoulder ) and w2 W, is much faster than W, at the initial stage. However,
( at the center of embankment ) do not change for the rise of water line for CASE-3 is faster than that for
CASE-1. CASE-2 and CASE-3 show a similar increase CME-2, because of the differenceof the pF curves.
of pore wa-ter pressures, where the rise of water line at Fig. 6 shows the relations of safety factor (S.F.) and

529
 Fig. 7 The safety and rainfall time relations

elapsed time. Safety factor of the embankment is around a significant drop of safety factor happens at the moment
1.7 at the beginning and it decreased to be 1.2 by the that 25 hours passed since start of rainfall. On the other
rainfall. For CASE-1, the safety factor does not decrease hand, a significant drop happens at the moment 20 hours
but it decreases for CASE-2 and CASE-3. For CASE-2, passed since start of rainfall. This is correspondingto the

530
 Fig. 8 The patterns of water lines

differencebetween CASE-2 and CASE-3 in Fig. 5. 5 INFLUENCE OF SOIL PARAMETERS ON

From above things, it can be said that the seepage
properties of soils may influence the safety of railway
embankment very much. The permeability is the
primarily important and the pF curves are the secondary
important.
SAFETYOFREALEMBANKMENTS
It is not easy to judge the safety for the long
embankments of various soils along Tokaido-
Shinkansen. The safeties of the seven real embankments
were computed for the heavy rainfalls. Rainfall
intensities(R.1.) were 10, 20, 30, 40, 50, 00 and 70
mmhour. The total rainfall was 800 mm. The computed
safety and rainfall time relations were shown in Fig. 7.

531
The patterns of water lines corresponding to the
minimum safety are shown in Fig. 8. The computed
safety in rainfall corresponds to the seepage analysis
(Kato and Sakajo, 1999). From Fig. 7 and 8, it was
found water line rising does not change at the sections of
A, B, C and D site. On the other hand, it was found the
water line goes up at the sections of E, F and G site. The
former sections keep very safe in the rainfall but the
latter sections become very dangerous at E, F and G site
in the end of the rainfall. Especially, the safety of the
sections at F and G site becomes less than 1.0. The
section at A site belongs the same group with B, C and
D site fiom the water line change and safety change with
rainfall. However, the section at A site has very
permeable embankment and foundations and the others
have not permeable embankment made of silt and clay.
It was seen that the water line change looks similar
although the mechanism of water flow is different. It can
be explained by the difference of seepage soil properties
in Table 2 and Fig. 1. From these things, it can be said
that the safety might be deeply related with the seepage
properties.
6 CONCLUSONS
The authors studied in-stability of embankments on
Tokaido-Shinkansendue to heavy rainfalls in the above.
The following conclusionsmight be developed:
1)The seepage properties on Tokaido-Shinkansencan be
classified into four types.
2)A 5 m high model embankment at E site could show
the importance of the seepage properties on the safety
evaluation. From this result, it was found that
permeability and the un-saturated seepage properties
of soil might be primarily and secondarily important
on the analysis.
3)From the seepage and stability analyses of the seven
model embankments, it was found that the safety
might be deeply related with the seepage properties.
4)It was also found that the sandy embankments at E, F
and G site are more dangerous in the heavy rainfall
than the other embankmentsat A, B, C and D site.
5)The gravel embankment at A site is very safe because
of the large permeability.
6)The silt clay embankments at C and D site are very
safe because there are very few rain penetrations into
the ground similarly as the silt embankment at B site.
ACKNOWLEGEMENTS
The authors would like to show sincerer appreciation to
Prof. Ugai at Gunnma University for his discussion. He
is the co-researcherof land sliding in rainfall.
532
REFERENCES
Akai, K., Ohnishi, Y. and Nishigaki, M. 1977, Finite
element saturated and un-saturated seepage analysis,
Journal of Japanese Civil Engineering Society,
V01.264, pp. 87-96 ( in Japanese ).
Central JR and Kiso-jiban Consultants Co.,Ltd. 1999.
Report on the stability analysis of the embankments
of JR Tokaido-ShinkansenLine 309km and other 6
locations ( in Japanese ).
Central J R and &so-jiban Consultants Co., Ltd.
1998. Report on Soil Investigation results for
embankments on Tokaido-Shinkansen in Shizuoka
Structural Inspection Center.
Kanda, H., Suzuki, S., Nishio, A. and C h h m a , T. 1998,
Field measurement of the pore water pressure in the
embankment of Tokaido-Shinkansen (2), Proc. of the
33 rd annual conference of JGES, pp.321-322 ( in
Japanese ).
Kato., K. and Sakajo., S. 1999, Seepage analysis of
embankments on Tokaido-Shinkansen in long term
rainfalls, IS-Shikoku ( under submitted ).
Nishio, A, Kanda, H., Fukuyama, F., Kokubo, M. and
Fukuda, K., 1998, Field measurement of the pore
water pressure in the embankment of Tokaido-
Shmkansen (l),Proc. of the 33 rd annual conference
of JGES, pp.319-320 ( in Japanese ).
Railway Technical Research Institute, 1997%Report on
Soil Investigation and permeability test results of
Toukai-dou Sin-kan-sen at 309km2oOm ( in
Japanese ).
Railway Technical Research Institute, 1997b, Research
on evaluation procedure of rainfall slope damege for
rainfalls ( in Japanese ).
Tanaka, T., Ugai, K., Kawamura, M., Sakajo, S. and
Ohtsu, H., 1997, Three dimensional finite element
analysis in geomechanics,Maruzen. ( in Japanese ).
Ugai, K. 1990. Availability of shear strength reduction
method in stability analysis, Tsuchi-to-kiso, Journal
of JGES, Vo1.38, No.1, pp.67-72 (in Japanese).
Ugai, K., Cai, F., Sakajo, S. and Wakai, A. 1996.
Evaluation of slope safety in rainfall, Journal of land
slide. Vo1.35, No.1, pp.19-23 ( in Japanese).
Yoshimaru, T., Sakajo, S. and Ugai, K 1997, Effect of
un-saturated seepage properties of slope stability in
rain fall, Proc. of symposium of JGES on
geotechnid engineering to protect the slopes from
rainfall and earthquake damages, pp.99-102 ( in
Japanese ).
 Slope Stability Engineering, Yagi, Yamagami & Jiang 0 1999Balkema, Rotterdam, ISBN go 5809 079 5

Chemical effect of groundwater from acid rain on slope evolution

Zemin Xu & Runqiu Huang

Depurtment of Hydrogeology and Engineering Geology, Chengdu University of Technology,
People’s Republic of China

ABSTRACT. Taking a railway slope located in Chongqing acid rain region as an example, the paper
investigated the chemical effect of acid groundwater on slope evolution. Based on this research result, model
experiments on the prevention and control measures against corrosion of acid groundwater on slope rock and
soil were carried out. The results demonstrated that the corrosion of acid groundwater on the slope rockmass
was very intense. Both minerals easily dissolved and a great deal of minerals hard to dissolve such as feldspar
and laumontite were corroded on a large scale and the total corrosion amount amounted to 30 t or so per year.
Since occurred mainly along the discontinuities, the corrosion had an important influence upon the
mechanical and hydraulic properties of the rockmass. Model experiments showed that the neutralizing barrier
formed by mixing the sand clay covering the slope with a proper amount of limestone could effectively
contain the corrosion of acid groundwater on the slope rockmass.

1 INTRODUCTION property. At the same time, the effective porosity of

In the rocky slope evolution process from stable to
unstable state, as well as complete failure,
groundwater from rain is the most active inducing
factor The effect of groundwater may be
summarized into chemical or long-term effect and
mechanical or short-term effect. The former covers
the changes in structure, strength, as well as porosity
and so on of rockmass caused by corrosive
groundwater and the latter means that during rain or
rainstorm the large margin elevation of slope
groundwater level causes slope failure, that is,
landslide
The long-term effect causes gradual change of
slope and short-term brings about the sudden change.
Oabviously, the latter is based on the former and the
sudden change would not appear without necessary
gradual change The chemical effect of groundwater
on slope evolution shows mainly in the following
two aspects A, it makes the loose layers covering
rocky slopes become thicker and thicker with time,
and under proper condition these loose
accumulations separate themselves from the
rockmass and cause shallow landslide or mud-rock
flow B, it causes the decrease in JRC and JCS, and
the increase in aperture, which lead to the profound
change of rockmass strength and deformation
rockmass will be gradually elevated and the storing
and conducting water capacity strengthened. Thus,
the stress field and stability of rockmass will become
more and more sensitive to the fluctuation of slope
groundwater and under proper condition a heavy
rain or a long time rain may induce rockmass
landslide. That is why the researches on the effect of
groundwater on slope evolution is of importance to
the prediction, prevention and control of landslide.
The former relevant researches were focused on
the mechanical effect of groundwater and although
the existence of chemical effect has been realized for
a long time, the researches about it have been few as
yet. The difference in research degree maybe results
from that the chemical effect is not only a very slow
process and not evident enough to attract wide
attention, but also highly complicated and very
difficult to study. In contrast, mechanical effect is
rather apparent and the natural phenomena that most
of landslides occur during rain season have attracted
close attention.
Taking some railway bed slope as an example, the
paper investigated a method of estimating effect of
the groundwater from acid rain on slope evolution
and a corresponding measure of containing the
effect.

533
2 EFFECT OF ACID GROUNDWATER ON corrosion along discontinuities such as
SLOPE EVOLUTION microfractures was intense especially.
The observation about corrosion phenomena was
Some railway slope is located in Chongqing suburbs. easy, but the evaluating quantitatively these complex
It is mainly made of sandstone and mudstone and is phenomena was relatively difficult. Based on mass
covered by a layer of sand clay of l m thick. The balance reaction modeling theory (Plummer et al.
strata incline down to outside and angle of 1977, 1980, 1983, 1993; Katz et al. 1995), the
inclination is 10"-15". In the backside of the slope corrosion intensity of acid groundwater on the slope
there is a tensile fracture zone forming in 1960's. rockmass was estimated.
The fluctuation of the groundwater and slope
deformation are sensitive to rain and during rain
seasons, tensile fractures develop and the 2.1 Equilibrium specintiori cnlciilntioii
deformation of the slope aggravates, which seriously Equilibrium speciation calculations were made to
threatens the security of the railway. It has become provide saturation indices (So of minerals that may
clear that rain is the most important factor inducing be reacting in the system The Sl of a specific
the slope deforming, which should be contributed to
mineral is defined as (Plummer et al. 1993)
the long-term corrosion of groundwater on the
fracture and pore system of the slope rockmass. UP
The slope groundwater stems from rain and 5'1 = lg-
recharge amount from regional groundwater is small K,.
(Figure 1). The groundwater discharges in the way
of a serious of springs, whose chemical composition where IAP is the ion activity product of the mineral-
was given in Table 1 . Congqing is a famous acid rain water reaction and K,is the thermodynamic
region in china and the pH of rain is usually below 5
equilibrium constant. Calculated values of the
(Table 1).
Table 1 showed after the acid rain had seeped saturation indices of gypsum, calcite and dolomite
through the slope body, not only its acidity was were presented in Table 2.
neutralized but also the element concentrations were
apparently raised by way of corroding the various
minerals in the rockmass. Under a SEM, it was
found that minerals hard to dissolve, such as feldspar Table 2. Results of saturation indices calculation
and laumontite, were dissolved intensely along Mineral iiaiiie rain water spring \\ ater
cleavage seam and seams around mineral grains and gypsuin -1.5 -0.59
honeycomb-like mineral skeleton and a great deal of calcite -CO 1.11
secondary quartz and clay minerals were left over
(Figure 2). The study of rock casting thin sections doloinite -CO 1.90
using polarizing microscopes found that the

F i g r e 1. H-0 stable isotope diagram of the slope groundwater

Table 1 The analytical data of the water

pH SiO, Ca" Mg" K' c1 DS DIC 6 "U%") "S(%")
Rain 4.3 0.020 0.045 0.013 0.025 0.029 0.135 0.604 -12.83 -3.97
Spring\vater 7.35 0.149 6.600 0.810 0.132 1.109 1.480 3.829 -18.41 5.2.3
All concentrations of cleiiietits and species are 111 iiimol/l; DS denotes total dissoh ed sulfur. DIC denotes total dmoh cd inorganic
carbon; the Ialues of Ca' , Mg' , Na-, K , C1 and DS of the rain after Zhilal Shen et a1 ( 1992 )

534
 Figure 2 SEM photograph of corroded minerals and minerals left over

2.2 Pln~isihlephases 2 3 A4ns.s halarsce reaction niodeliiig

Plausible phases refer to constituents that enter or The chemical evolution of the water along the flow
leave the aqueous phase during the course of water- path were constrained by the relationship of
rock (soil) interaction. The determination of
conservation of mass that was represented by the
plausible phases is the basis of mass balance
reaction modeling. following equations
By way of comparing the chemical composition of 0 calcite + 0 dolomite + a ,o = 1777 (3 (2)
rain and spring water, analyzing the mineralogy and
microstructure of the slope rock and clay by X ray a gvpvp’um = A 1771s (3)
diffraction, casting thin section ( that is, rock 0 calcite + 0 laumontiv + 0 iioloniite + 0 g ’ p u i n = illrc;r (4)
samples being impregnated with a red resin prior to a dolomite = n7T4fg (5)
sectioning) and SEM observation, the plausible a NaCl = n7TCl (6)
phases of the slope water-rock system were selected 0 poias,iurn icld5par + 0 illlie = ll?TAk (7)
(Table 3).

Table 3 Selected plausible phases for mass balance reaction modeling

Phase laumol~tltc feldspar
potasslulll calcite doloinite gypsum Sodiuiii Carbon llllte
quart/
clilonde dioude

Composition CaSi ,AI20,? KSi,A10, CaCO, CaMg(CO,), CaSO, NaCl CO? KAISi-020(OH)I SiO?

535
 results of the mudstone from XRD, the phase was
pyrite. The corrected mass balance reaction models
were following
where o P is the number of moles of yth mineral
entering (positive) or leaving (negative) the solution,
b , , is the stoichiometric coefficient of kth element in
the yth mineral, A indicates a difference (final
value minus initial value), nrT,kis the total molality
of the kth element in solution.
Considering the dissolving process and carbon
isotope equilibrium, there were the following
relationships

modeling results were showed in Table 4

The preliminary modeling results were obtained 2.5 Esiinzniion qf fotnl m m m t of niim.cils
from the mass balance reaction model consisting of cor.roded
equation (2)-equation (10) The total discharge rate of the slope groundwater per
year (0t/a) was calculated using the following
equation

where Q f ( t ) is the discharge hnction with time of

24 L x a n m m v 1 oj 17?0dtdI?lgresrdt ith spring.
The total corrosion amount (M t/a) was defined as
Comparing the above relevant a , with the
saturation indices in Table 2 indicated modeling P
results were reasonable from one aspect M = 1 x 10 - " x QC a I , n 7 , , 113)
P- 1
The sulfur isotope data in Table 1 offered relevant
information for examining the modeling result The
where Y is the total number of reactant phases and
examining be carried out on the basis of equation nip is
the molal mass ofyth phase.
(11) (Hummer et a1 1993) The total corrosion amount calculated using
I'

077T J7w,,l,f +, < ,a,$ , , ~ 7 9 "equation

1 > (13) equaled to 38.93 t/a, of which the
( b 3 byr 5 ) = P-1 cements such as laumontite accounted for 99.05% or
(m, 5 so. According to this result, the estimated corrosion
),,8,f,d

(11) depth per year was about 3mm. Because the main
where h,,, is the stoichiometric coeficient of sulfur
in the y t h phase, 6 ''SI, is the sulfur isotope
composition in per mil of the yth phase, inTSand 6
"S, denote the total molality of sulfur in solution
and the average isotopic composition, in per mil, of
total dissolved sulfur, respectively
The calculated ~ ~ " SforI J final water equaled to
18 92%0, but the corresponding measured value was
only 5 23 %o, which indicated that in addition to
gypsum other phase containing sulfur existed in the
water-rock system According to the analyzing
phases of mass transfer were aluminosilicate
minerals, the corrosion amount of 3 8 . 9 3 did not
denote that so amount of mass was bought out from
the slope, but the amount of the minerals whose
structure were destroyed.
The above research results showed that the
corrosion of acid groundwater to the slope rockmass
was very intense. Since occurs mainly along the
discontinuities, the intense corrosion action will
speed up the slope evolution process from stable to
unstable state, as well as complete failure.

Table 4 Results of the mass balance reaction modeling

~ l isea u lit i t e
~ a iiio ssiuill Calcite Dolomite Gypsum
feldspar chlonde diovde Illite Quart'
a I1 5 390 0 134 0 24 0827 0098 108 2 158 -0 027 -22 02

536
3 PREVENTION AND CONTROL MEASURES
It was clear that if seepage water was neutralized
prior to entering the slope rockmass, the corrosion
action may be effectively contained. Since the slope
rockmass was covered by a sand clay layer of 1 m
thick, the sand clay may be changed into a
neutralizing barrier by mixing it with some additive.
Considering the neutralizing effect, cost as well as
availability, limestone was chosen as additive.
3.1 Modelirig experinient OH corroding capacity of
acid izliti OH the slope rock and clay
Acid rain was modeled by adding hydrochloric acid
into distilled water and the modeling experiment on
conoding capacity of acid rain on the slope rock and
clay was made using a leaching column. Water-rock
interaction time was controlled within 20 hours by
circulating leaching The sand clay, weathering and
fresh mudstone, as well as fresh sandstone from the
slope were leached respectively. The fresh mudstone
and sandstone were ground to pass a lcm sieve. The
results were given in Table 5 .
Table 5 demonstrated the corrosion of acid rain on
the slope rocks was very intense. Although the
modeling water-rock interaction time was far shorter
than the real that, and in the course only part of the
minerals to dissolve easily were corroded, the
concentration of every ion of the four leaching fluids
had an apparent rise. Except the sand clay the pH of
the leachates amounted to 7 or so. Because modeling
the corrosion of aluminosilicate minerals such as
feldspar was hardly possible, the ion concentration
margin of the leachate from the sandstone was
relatively lower.
3 2 Modeling experiment or7 tiei4ti*aImrighariwr
According to carbonic acid equilibrium theory, when
the action between water and CaCO; gets balance in
a open system, the pH of the solution is equal to 8 4,
which indicates that limestone has the capacity of
neutralizing acid water Moreover, as a natural
material it is not only inexpensive but also may be
obtained easily So, limestone was chosen as
additive Limestone was ground into broken stone of
2cm in diameter to increase interaction time The
sand clay was mixed with limestone at some fraction
to turn it into a neutralizing barrier Mudstone and
sandstone were ground to pass a lcm sieve
Simulating experiment was conducted in a leaching
device (Figure 3) The interaction time of water-
barrier and water-rockmass was controlled within 20
hours

Table 5 Chemical composition of acid rain and leaching fluids (mg/l)

Na' K' ca ?+ M ?+ c1 SO,? HCO, CO,? CO? pH TDS
1 OS6 060 5 11 255 1443 535 599 000 1051 42 33 1 3
2 7 11 7 33 2558 348 1413 41 98 4545 000 1583 5 95 1197
3 1086 281 1918 417 2367 1239 10023 0 0 0 122 7 10 183 52
4 3016 212 3716 526 6839 2099 7592 000 844 7 1 201 11
5 8 1 1 221 2575 391 1841 2099 7226 000 422 73 115 54
1. acid ran, 2. sand cla!. 3. weatheniig mudstone. 4, Fresh mudstone. 5. sandstone. TDS denotes total dlssol\ed sollds

Figure 3. Experimental model of neutralizing barrier

537
Table
_.- 6. The comoosition of leachate
Number Na' K Ca?' Mg?' C1- SO:-
0 0.86 0.60 5.11 2.55 14.43 5.35
1 7.51 1.36 71.03 15.07 11.43 38.28 223.77 0.00 21.51 7.10
2 10.35 1.86 59.23 20.40 21.01 39.92 209.93 0.00 10.12 7.10
0:acid rain (input ivater); 1, leachate from neutralizing barrier; 2, leachate from roclunass
Table 7. The composition of leachate
Number Na- K Ca?' Mg" C1'
1 4.12 2.42 71.12 8.81 74.31 31.28 123.51 0.00 7.72
2 15.63 1.77 61.51 9.50 78.25 31.69 114.22 0.00 7.52
1. leachate froin neutralizing barrier: 2, leachate from rockinass
The comparison of the compositions of acid rain
and leachates from the barrier and rockmass were
presented in Table 6. The neutralizing barrier not
only elevated the pH of acid rain from 4.3 to 7.1 but
also raised its TDS by about 7 times. The
concentrations of all the ions increased apparently,
especially HC0;- and Ca". Comparing Table 6 with
Table 5 , these changes obviously stemmed from
limestone, but from sand clay. So, the neutralizing
effect of the barrier was striking.
After passing through the neutralizing barrier, the
seepage water from acid rain lost basically the
capacity to corrode the rockmass. Having penetrated
the rockmass, the increase margins of ion
concentrations were all little, and even those of Ca2+,
HCO; and TDS were negative. That is why the
effect of neutralizing barrier was conspicuous.
In order to confirm further the above conclusion a
dilute solution whose pH was 4.2 was compounded
by adding hydrochloric acid into running water and
a repeated experiment was conducted. The result
was given in Table 7. The concentration changes
trend of Na*, Ca?' and HCO; and the change in TDS
indicated in Table 7 were basically consistent with
that shown in Table 6. It became clear that after
passing through the neutralizing barrier, the seepage
water from acid rain lost basically corrosiveness and
the neutralizing barrier made of limestone could
prevent effectively the slope rockmass against
corrosion.
Considering slope property, neutralizing barrier is
suitable to those covered by weathering clay layer;
In light of geographical condition, it is proper not
only in acid region but also most of areas where
chemical weathering are intense and soil acidity are
strong, such as vast southern china.
4 SUMMARY AND CONCLUSION
Groundwater originating from rain plays an
important part in slope evolution and deformation.
Its effect may be divided into mechanical and
chemical two aspects.
HC0,- CO:- CO? pH TDS
5.99 0.00 10.54 4.2 33.33
259.65
257.79
SO:- HCO,' CO? pH TDS
255.83
255.46
The chemical effect of groundwater from acid rain
on some railway bed slope located in Chongqing
suburbs was investigated and a corresponding
prevention and control measure were studied. The
results demonstrated that the corrosion of acid
groundwater on the slope rockmass was very intense.
Both minerals easy to dissolve and those hard to
dissolve, such as potassiuni feldspar and laumontite,
were intensely corroded. The porosity of rockmass
was obviously raised. The corrosion took place
along the discontinuities and was the most important
factor causing the rockmass strength decaying.
The total leaching amount of the slope amounted
to 30 t per year or so, which meant the structure of
about 30 t minerals, especially the cements such as
laumontite, were destroyed. The corrosion depth was
about 3mm per year. The experiments indicated that
the neutralization barrier made of the slope sand clay
and limestone could effectively lowered the acidity
and corrosive capacity of the seepage water from
acid rain and prevent the rockmass against
corrosion.
REFERENCES
Pluinmer L. N. 1977. Defining reaction and mass transfer in
parts of the floridan aquifer. l ? b w resoiiiw.~resenrcli.
Ibl. 13. Xo. 5.
Plummer L. N. et al. 1980 The iiiass balance
approach :application to interpreting the chemical
evolution of hydrological systems. .lii/ericnii journnl oj
science. I bl. 280
Pluinmer L. N.et al. 1983. De\clopiuent of reaction models for
ground-water system. Geochimicn e l Cos~rocl7iii/icn .Icm
Tbl. 17
Plurmner L. N. et al. 1993. Geochemical modeling of the
Madison aquifer in parts of Montana Wyoming and South
Dakota. Ilhter resoiirces rcseni-ch. Ibl. 26. NO. 9
Younger P. L. 1992. The hydrogeological use of thin sections:
estimates of groundwater flow and transport parameters.
Qiiorter!v Jouri7ol of Ei7gineeriiig Geolo<p. 25 . 159-
161
538
 Slope Stability Engineering, Yagi, Yamagami & Jiang GJ 1999 Balkema, Rotterdam, ISBN 90 5809 079 5

Slope failures triggered by an earthquake and a heavy rain in Chiba

S.Yasuda, Y.Yoshida, T. Kobayashi & T. Mizunaga

Tokyo I l m k i Universig, Suitnnia,J u p n

ABSTRACT: Slope failurcs during thc 1971 hcavy rain and 1987 Chibaken-toho-oki carthquakc in Chiba were
studicd by aerial photo survcy. Slopes failed during thc second trigger wcrc thc slopcs saved from the failure
during thc first triggcr. Laboratory tcsts for thc failcd soil showcd that cohcsion dccrcascd with weathering. It
was concludcd that thc soils of the slopcs arc scnsitivc to wcathcr and tend to fail during rains or earthquakcs.

1 INTRODUCTION

In Japan, slope failures occur frcqucntly because

there arc many big carthquakcs and hcavy rains.
Morcovcr, soils or rocks of slopcs arc weak and
sensitivc to slidc bccausc they arc young and tend to
wcathcr. Sharp fluctuation of tcmpcraturc and
moisturc accclcratcs thc wcathcring of thc soils and
rocks. Tcmperaturc is ovcr 30°C and under 0 "c
in
summer and in wintcr, respcctivcly. Rainfall continues
during about 2 month in rainy scason but no rain falls
in dry scason.
Thcrcforc the study on dccrcasc of strcngth of soils
and rocks due to wcathcring sccms to be important.
Rccently, many slope failurcs occurred during a
heavy rain and an carthquakc at almost samc slopcs in
Chiba. It scemcd that thc soils of the slopcs arc
scnsitivc to wcather. Thcn, thc authors studicd thc
soil and topographical conditions of thc failcd slopes,
and conductcd laboratory tcsts to ciemonstratc thc
dccrcasc of strcngth duc to wcathcring.

2 TOPOGRAPHICAL AND GEOLOGICAL

CONDITIONS OF THE STUDIED AREA Fig. I Location of the arca studicd

Figurc 1 shows thc arca studicd. Thc arca is in and

around Naruto and Matuo towns, mrhich arc about 60
km wcst of Tokyo, in Chiba Prcfccturc. Shimofusa
Tcrrdcc is formcd bchind Kujyukuri lowz land. Height
of thc tcrracc is several tcns mctcrs. Figure 2 shows a
cross section of thc tcrracc at thc sampling sitc shown
latcr. The tcrracc is composed mainly of dcnsc and
ccmentcd sand laycrs named Narita Sand which was
dcposited in Plcistoccnc. Surface soils of Narita Sand
are fairly wcathcrcd. Top of thc terracc is covered
with a thin layer of loam.
3 SURVEY OF FAILED SLOPES DUE TO TWO
TRIGGERS
3.1 Slope failures during U heavy ruin and an
earthquake
Slope failurcs occurred at about 7760 sites in Chiba
Prefecture due to the heavy rain on September 6 to 8
in 1971. Most failures were shallow slides of Natira
Sand. In 1987, Chibaken-toho-oki earthquake, with a

539
 Fig.2 Soil cross section at the sampling site (Sambu Construction Work Office of Chiba
Prcfecture Government)
magnitude of 6.7 on the JMA scale occurred about
10 krn southeast Kujyukuri low land. Many terrace
slopes failed. Most of failures were shallow slides of
Narita Sand again.
3.2 Survey of failed slopes by aerial photoes
Locations of failed slopes during the 1987 Chibaken-
toho-oki earthquake were investigated and plotted on
maps by Chiba Prefecter Government. However,
locations of failed slopes during the 1971 heavy rain
were not clear. Then, aerial photo survey was carried
out for both disasters to find the locations with a
same accuracy. Aerial photos used were taken in the
following years:
a) 1971 heavy rain:
1970 (before the disaster, 1/20,000)
1972 (after the disaster, 1/13,000)
b) 1987 Chibaken-toho-oki earthquake
1986 (before the disaster, 13,000)
1988 (after the disaster, 12,500)
Figure 3 shows the locations of failed slopes during
two disasters. As shown in this figure, many slope
failures occurred on terrace slopes which are the
boundary between Kujyukuri lowland and Shimofusa
Terrace during the 1971 heavy rain. Slope failures
occurred also on almost same line of terrace slopes
during the 1987 Chibakn-toho-oki earthquake.
Volume of slid mass is also similar. However,
locations of failed slopes were slightly different. This
means that slopes which had been saved from failure
during the 1971 heavy rain, failed during the 1987
Chibaken-toho-oki earthquake.
From topographical points of view, terrace slopes
are not curved in this area. Topographical conditions
of failed slopes during the two disasters were not
540
different. Therefore, it can be concluded that surface
sand of slopes had been weathered and sensitive to
failure before two disasters. Some slope failed during
the 1971 heavy rain and remaining slopes failed
during the 1987 Chibaken-toho-oki carthquake.
3.3 Effect of failure of neighbor slope
In detailed survey of Failed slopes, several interesting
locations where failures during the former disaster
affected the failures during the latter disaster, were
found. Figure 4 s h o w the dctailcd map of these
locations. At Site No.1 and 3, east and west slopes
failed during the heavy rain, then central slope failed
during the earthquake. At Site No.2 east slope failed
at first, then west neighbor slope failed. Neighbor
slope also failed at Site No.4. In these sites, the
central or neighbor slopes must be sensitive to failure
during the earthquake because side friction of these
slopes had been lost due to the Failures of neighbor
slopes during the heavy rain.
4 RING SHEAR TESTS TO STUDY THE
DECREASE OF STRENGTH DUE TO
WEATHERING
4.1 Sampling and weathering procedures
As mentioned above, typical pattern of slope failures
was shallow slide of a surface weathered soil layer. It
seemed also that the soil named Narita Sand is
sensitive to weather. Then, decrease of shear strength
of the Narita Sand due to weathering was tested by a
ring shear test apparatus.
Undisturbed samples of Narita Sand were taken at
the site shown in Figs.2 and 3. As the slope had failed
 Fig.3 Locations of failed slopes during the heavy rain and the earthquake

Fig.4 Detailed map of the interesting sites

541

Fig.5 Grain size distribution curve of the samlpe
Fig.6 Procedure of drying and wetting
Fig.7 Procedure of freezing and thawing
surface soil only was excavated to the depth of about
l m at the middle height of the slope. Then
undisturbed samples were taken by block sampling
technique. Figure 5 shows grain size distribution
curve of the sample. As shown in the figure the
sample was silty sand with 27.6 % of fines. Samples
were trimmed for specimens. Height, outer diameter
542
and inner diameter are 2.5cm, 15cm and 10cm,
respectively.
In this district, heavy rain falls in June and July but
no rain falls in winter. Moreover, it’s very hot in
summer though snow falls in winter. Then two
procedures to weather the specimens were selected:
cyclic drying and wetting, and cyclic freezing and
thawing. In the first procedure, specimens were dried
in a drying furnace with the temperature of 60°C for
22 hours and wetted by a spray for 2 hours as shown
in Fig.6. This procedure was repeated for prescribed
numbers of cycles. In the second procedure,
specimens wcre frozen with -20°C for 3 hours and
thawed with 40°C for 3 hours as shown in Fig.7.
Numbers of cycles were selected as 0, 1, 4, 16 and 64.
Confining pressure was not applied during these
processes because only surface soil layer must be
weathered. Figure 8 shows volume change of
specimens during the weathering processes.
Specimens swelled up to 16th cycle. Especially, the
volume changed rapidly up to fourth cycle. The
volume change by drying and wetting was larger than
that by freezing and thawing.
4.2 Ring shear tests
Shear strength of the weathered specimens were
tested by a ring shear test apparatus. Water content
of the specimen were adjusted as natural water
content in situ, then vertical pressure of 50, 100 or
200 kPa was applied. Torsional shear stress was
applied with a speed of 0.183 degrees/minute, up to
50 degrees under drained condition. Torsional shear
strcss, torsional angle and vertical displacement were
measured during the tests.
Torsional shear stress increascd with torsional
angle, then decreased slightly after a peak strength.
The peak strength was induced at several degrees of
torsional anglc. Figures 9(a) and 9(b) show the
change of peak strength and residual strength,
Fig.8 Volume change of specimens during
weathering process
 Fig.9 Change of pcnk and residual strengths with
Fig. 10 Change of peak aiid residual strengths with
repeated number oi':;~ks for drying and wetting
repeated number of cycles for freezing and thawing
respectively, with repeated number of cycles for dried
and wetted specimens. Figures 10(a) and 10(b) show
test results for the specimen weathered by freezing
and thawing. Both peak and residual strengths
decreased up to fourth cycle. This number of cyclc is
similar as the number in which volume change
occurred, as mentioned above. Reduction of the
strengths for the specimens weathered by drying and
wetting were more sevcrc than that weathered by
frcczing and thawing. As mentioned above, volume
change during the drying and thawing was larger than
that during the freezing and thawing. Therefore, it
can be said reduction of peak and residual strengths is
attributed to the swelling of the specimen, because
cementation of particles decreases with the swelling.
Figures 11 and 12 show relationships between
vertical pressure and peak strength for the two series
of tests. Change Of angle Of internal friction, d , and Fig. I 1 Relationships betweell vertical pressure and
cohesion, C , from zero cycle to 64th cycle, derived peak strellgth for dried and wetted specimen
from these figures are:
a) weathered by drying and wetting: c=15 kPa-0
kPa, #=35' -311' Therefore it can be said that the main reason of
b) weathered by freezing to thawing: c=15 kPa-5 decrease of strength is attributcd to the loss of
kPa, 4=35" -33" cohesion. In general, the loss of cohesion causes

543
 Denki University. Their cooperation and assistance
are gratefully acknowledged.

REFERENCE

Yasuda, S., T. Kobayashi, T. Mizunaga & K.

Yamamoto 1999. Decrease of shear strength of
two types of soils during the cyclic drying-wetting
and freezing-thawing, Proc. of the 34lh Annual
Convention of the Japanese Geotechnical Society
(in press, in Japanese).

Fig. 12 Relationships between vertical pressure and

peak strength for frozen and thawed specimen

shallow slide because the strength of surface soil is

controlled not by internal friction but cohesion. This
must be the reason why shallow slides occurred
during the heavy rain and the earthquake as
mentioned beforc.
The authors has been conducted same tests for
Kdntoh Loam which is volcanic ash soil (Yasuda et
al., 1999). Test results showed that not cohesion
but internal friction decreases due to weathering for
the Kanto Loam. It is interesting that the mechanism
of decrease of strength due to weathering is different
between the Narita Sand and the Kdntoh Loam.

5 CONCLUSIONS

Slope failure sites during the 1971 heavy rain and

1987 Chibaken-toho-oki earthquake in Chiba were
studied by aerial photo survey. Laboratory tcsts to
demonstrate the decrease of strength due to
weathering were also carried out. Based on these
studies, following conclusions were derivcd:
1) Type of the slope failures during both disasters
was shallow slides.
2) Surfdcc sands of the slopes had been wcathered
and sensitivc to failure before the two disasters.
3) In this soil, cohesion decreases with weathering
and bring shallow slides.

ACKNOWLEDGMENTS

Boring data shown in Fig.2 are provided by Sambu

Construction Work Office of Chiba Prefecture
Government. Great support was given by the office
and Nihonkohatsu Co. Ltd. in the sampling of the
Narita Sand. Ring shear tests were conducted with
the assistance of Messrs. S. Imura, Y. Uno and K.
Yamamoto who were former students at Tokyo

544
 Slope Stability Engineering, Yagi, Yamagami & Jiang 0 1999 Balkema, Rotterdam, ISBN 90 5809 079 5

Numerical evaluation of the effects of drainage pipes

Takuo Yamagami & Jing-Cai Jiang
Department of Civil Engineering, Universityof Tokushima,Japan
Kenji Nishida
Obayashi Corporation Technical Research Institute, Tokyo,Japan

ABSTRACT: An evaluation method is presented for the effectiveness of horizontal/semi-horizontal drains to

reduce ground-water pressures in soil slopes. A system of horizontal/semi-horizontal drains is commonly used
to enhance the stability of slopes in which ground-water is the main cause of instability, this is the usual case
for almost all landslide slopes in Japan. Despite its quite frequent use, no design guidelines have been
established. In this paper ground-water behavior is solved by the 3D-finite element saturated-unsaturated
seepage analysis. One dimensional linear finite elements are incorporated into the 3D-finite element ground-
water system to simulate the influence of the drains. An experiment was conducted on a model sandy ground
in a metal tank in which perforated drainage pipes were installed. The observed results were compared with
the numerical ones, and good agreements were obtained, indicating the usefulness of the proposed method.

1 INTRODUCTION approach (Cai, et al. 1998) has been presented in

Fans of perforated drainage pipes are installed
almost invariably in Japan to improve the stability of
landslide slopes. To the authors' knowledge
however, a rational design method has not yet been
developed for this type of stabilizing measure. The
choice of drain length and drain spacing for systems
of drainage pipes are usually chosen on the basis of
engineering judgement by the engineers in charge.
This is unavoidable, in one sense, because of Japan's
natural ground conditions. Mountainous regions in
Japan, where usually landslides take place, consist of
very complicated, unsystematic and heterogeneous
geological materials varying from soft soils to hard
rocks. It is thus quite difficult to treat the ground-
water behavior quantitatively. These circumstances
have hindered progress in the theoretical aspects of
the design criterion for drainage systems. We must
nonetheless make efforts to overcome this difficulty.
Thus, the goal of our research is to develop a rational
design method which will adapt to the actual
situations mentioned above. And as the first step
toward this goal, ground conditions in this paper are
restricted to soil systems only, without
discontinuities with regard to seepage flow.
This paper presents a 3D-finite element
representation of the effectiveness of drainage pipes,
provided that the ground consists of soils amenable
to an integrated saturated-unsaturated seepage
analysis. The key to success of the proposed method
is how to numerically model the drainage pipes. An
which pressure heads are simply forced to zero along
drainage pipes. This treatment however dose not
seem to reflect the real state of seepage flow.
Drainage effects may vary widely according to the
size and perforation ratio of each pipe. The scheme
of zero-pressure head along the pipe however,
cannot take into account the above fact. Regardless
of the type of pipe, it will yield the same result. On
this point, the present method discretizes a drainage
pipe as one-dimensional finite elements with a
hydraulic conductivity, thereby enabling us more
flexible treatment.
An experimental investigation was made for
verification of the proposed method, based on a
small scale model sandy ground with some model
drainage pipes. Good comparisons were obtained
between the predicted and the measured values,
demonstrating that the proposed method can be used
with confidence for design purpose as long as soil
grounds are concerned.
2 NUMERICAL MODEL
A three-dimensional saturated-unsaturated finite
element technique is employed to simulate transient
seepage for ground-water flow systems including
drainage pipes. The soil system is treated as a
continuum, without hydro-geological discontinuities
which may become preferred flow paths,
encompassing flow in both saturated and unsaturated

545
zones. The governing equation for this system is
as
- CC(4) + as,]- = 0
at
where xi : the spatial coordinate, k,( 4 ) : the
relative hydraulic conductivity, $ : the pressure
head, ki,' : the saturated hydraulic conductivity,
C( 4): the specific moisture capacity(=a B / a $I),
(Y : a = l ( $20), a = l ( 4 < 0 ) , S, : the specific
storage, t : time.
But descriptions of the formulation of finite
element technique based on this equation are omitted
here, because it is well-documented elsewhere.
One-dimensional finite elements are used to
represent the flow in the drainage pipes. Fig.1
illustrates schematically part of a drainage pipe
installed in a drilled hole. It is clear that water flows
predominantly in one direction in the pipe, taking in
neighboring water through perforations or slits on
the peripheral wall of the pipe.
Now suppose that water is incompressible and no
pipe deformation occurs during drainage, then the
continuity equation of saturated-unsaturated seepage
in the pipe can be expressed as
aeB
-div?+q =-
at
where v : the velocity, q : the flow rate into the pi e
per unit length of it from surrounding ground, 8 E: :
volumetric moisture content.
Eq.(2) can be rewritten as
-div?+q =CB($)-
34
(3)
at
where CB( 4) : the specific moisture capacity
(= a B B/ a y5 ) for the flow in the pipe.
We assume here the following equation of motion,
that is Darcy's law, for the flow in the pipe for both
saturated and unsaturated conditions :
v =kB($)I (4)
where
+
where k,"( ) : the relative hydraulic conductivity (0
S k,"( 4)5 1 ).
Then we can finally obtain the governing equation
for the pipe flow:
divkB($)6(9+x3)+q=CB($)-3s
at
The Galerkin method has been applied to this
equation for the finite element formulation. In
Eq.(6), if the pipe under consideration lies in a
saturated zone, then the pipe is also assumed to be
saturated ; and if it is in an unsaturated zone, then
the pipe may be, either.
It is how to determine adequately the saturated-
unsaturated seepage characteristics for the pipe flow
that is the biggest problem. There is no existing
testing method to determine these properties. We
have thus established an empirical approach that was
attained through trial and error. In the approach, soil-
. water characteristic curve and unsaturated hydraulic
conductivity are respectively defined in a bilinear
form as shown in Fig.2.
For the saturated flow in the pipe, required
property is the hydraulic conductivity only, and this
value has influential effects on the computed results.
Therefore, how to determine an adequate value of
the hydraulic conductivity is of great importance.
About this essential point a brief discussion will be
given later.
Complete solutions are provided by the
simultaneous treatment of the 3D-model governing
the equation of the ground-water system, Eq.( I), and
the governing equation for the pipe flow, Eq.(6),
with appropriate boundary and initial conditions. In
the finite element formation, 8-node isoparametric
and one-dimensional linear elements are used for the
Fig. 1 Drainage pipe in a drilled hole
Fig.2 Unsaturated properties for drainage pipes
546
ground-water system and for the flow in the pipe,
respectively.
In what follows, the numerical model mentioned
above is named LE (Linear Element) model ;
whereas the existing model is called PP (Prescribed
Pressure) model in which the pressure head is
prescribed to be zero. Even in the PP model, nodal
flow rate is zero for the nodes located in an
unsaturated zone.
3 EXPERIMENTS
A test tank used is shown in Fig.3 ; the size of which
is 190cm wide , 9Scm high and 40cm deep. The
front face of the tank is made of a transparent acrylic
(resin) plate. On the rear, steel plate are attached 60
manometers to measure pore water pressures along
the inside surface of the rear plate.
Toyoura sand was used in the tank to make a
model ground which measured 1S0.5cm wide,
64.Scm high and 40cm deep as shown in Fig.3. The
specific gravity of the sand was 2.65 and the dry
density was 1.Sg/cm3. Sufficiently strong, pervious
wire screens were vertically installed on both sides
of the ground.
Fig3 Experimental apparatus
547
In the ground four perforated metal pipes imitating
horizontal or semi-horizontal drains were placed.
The outside and inside diameters of each pipe were
8mm and 6mm respectively. Perforations were made
over the whole length of the pipes. Each pipe was
protected on the outside by wire gauze stocking.
Arrangement of the pipes on the front and rear faces
are shown in Fig.3. The rear side ends of the pipes
protruded penetrating through the steel plate and
were put in a plug.
The water tables on both sides of the ground were
gradually raised from the bottom up to a height of
S5cm and this final condition was kept for 24 hours,
followed by the following two types of experiment :
1) The first case (Case 1) : Drainage was
performed for 2 minutes after pulling out the four
plugs simultaneously. The water tables were kept at
the height of S5cm during this experiment.
2) The second case (Case 2) : First, one water
table was lowered down to a height of 4.5cm, while
the other was kept at the initial level. The water level
variation with time is given in Fig.4. Then, the four
plugs were pulled out at an elapsed time of 10
minutes, without changing the levels of water table
on both sides. Under this condition drainage was
conducted for 2 minutes.
4 NUMERICAL PREDICTIONS AND 4.1 Case I
EXPERIMENTAL OBSERVATIONS
Fig.8 shows the locations of the free surfaces on the
inside surface of the rear steel plate at the end of the
Unsaturated seepage characteristics for the sand, i.e.
experiment of Case 1, where a free surface means a
the pressure head-volumetric moisture content and
line connecting points of zero water pressure head.
the pressure head-relative hydraulic conductivity
The hydraulic conductivity kB for drain pipes are
figures are shown in Fig.5. These characteristics are
unknown in advance. Thus, a parametric study has
obtained from Kohno and Nishigaki's
been done in which three different values were used
research(Kohn0 and Nishigaki, 1981). The hydraulic
for kB as shown in Fig.8. Table 1 lists total volume
conductivity k" is 2.04 X 10-2cm/sec for saturated
of drained water from the mouth of each pipe. The
condition. The specific storage S, is zero assuming
LE model with kB=lOOcm/sec has yielded the best
that the sandy ground will not deform at all.
Unsaturated seepage characteristics for the flow in
pipes are shown in Fig.6. As seen in the figure, the
same form is assumed for both relations, with a
porosity of n= 1.O.
The largest value available is preferable for C1 in
reflecting the actual behavior ; however an excessive
value of C I causes a numerical instability. Thus we
need some experiences to manage to deal with this
problem.
The finite element mesh division is shown in Fig.
7 ; the total number of elements is 560 and that of
nodes is 825. This seems like a rather coarse mesh
division.

Fig.6 Unsaturated properties for drainage pipes

Fig.4 Water level variation with time (Case 2)

Fig.7 3D-finite element mesh (A view from steel side)

Fig.8 Comparison of numerical and experimental free surface

Fig.5 Unsaturated properties for sand locations at the end of Case I (120sec, Steel side)

548
 Fig.9 Free surface locations at the end of Case 1
(120sec, Vertical sections including drainage pipes)

solution among the competitors in the light of the

locations of the free surfaces. On the other hand, the
LE model with kB=40cm/sec is considered to be
preferable based on the out-flow amount of water.
Fig.9 shows the locations of the free surfaces in
vertical sections including drainage pipes.

4.2 Case2
Fig.10 shows the transition of the free surface
locations, on the same surface as that in Case 1, from
Fig. 10 The transition of free surface locations from the
the beginning up to the time immediately before the beginning up to the time immediately before the
start of drainage from the pipes. The final conditions start of drainage from the pipes of Case 2 (Steel side)
in Fig.10 become the initiaI ones for the following
drainage analysis.
Fig.11 shows the locations of the free surfaces at Judging from the discussions above synthetically,
the end of the experiment of Case 2. Table 2 lists the kB of 100cm/sec seems to be the most desirable for
same kind of data as Table 1. Again, the LE model the pipes used here. In this way, a promising method
with kB=lOOcrn/sec has yielded the best result of determinin an adequate value of the hydraulic
regarding the locations of the free surfaces, and also conductivity kT3 for any drainage pipe is to perform a
from the viewpoint of the discharged amount of well-controlled, high quality experiment, together
water. Fig. 12 shows the locations of the free surfaces with a parametric study such as that shown in this
as in Fig.9. paper. Back analysis procedure is recommended to
identify the adequate value.
Table 1 Comparison of numerical and experimental total
volume of drained water from each pipe in Case 1
(Unit : cm3)
No.1 No.2 No.3 No.4 Total

Experimental 420 1750 1980 2120 6270

PP model 72 2829 1265 2495 6661

LE model
(kB=100cm/sec) 283 2432 2058 2566 7339

LE model
(kB=SOcm/sec) 338 2141 1831 2221 6531 Fig. 11 Comparison of numerical and experimental free
surface locations at the end of Case 2
LE model (120sec, Steel side)
( k ~ = 4 0 ~ ~ /366
~ ~ ~2097
) 1786 2152 6401

549
 Fig. 12 Free surface locations at the end of Case 2
(1 20sec, Vertical sections including drainage pipes)

5 CONCLUDING REMARKS REFERENCES

A new attempt has been employed for the evaluation Cai, F., K. Ugai, A. Wakai and Q. Li : Effects of horizontal
of the effects of drainage pipes based on the 3D- drains on slope stability under rainfall by three-
finite element seepage analysis, on the premise that dimensional finite element analysis, Computers and
Geotechnics, vo1.23 , pp.255-275, 1998.
the proposed method is valid only for soil slopes.
Kohno, I. and M. Nishigaki : An experimental study on
Numerical simulations were made of experimental characteristics of seepage through unsaturated sandy soil
results on the model ground in a tank, and good (in Japanese), Proceedings of the Japan Society of Civil
comparisons were obtained. It has been also known Engineers, No.307, pp.59-69, 198 I .
that the existing approach, i.e. the PP model is much
less accurate than the proposed one, the LE model.
This is because the PP model cannot take a variety
of drainage pipes into consideration.
Horizontal andor semi-horizontal drains are
installed in almost every case as a controlling
measure for landslide movements in Japan.
Nevertheless, a rational design method has not been
established for this kind of stabilizing works. In
order to improve this situation, the present study has
been done ; but this is not sufficient because it is of
only use for soil slopes. Therefore, we must develop
the proposed method into a more versatile one which
may be adapted to strongly heterogeneous
formations with flow channeling.

Table 2 Comparison of numerical and experimental total

volume of drained water from each pipe in Case 2
(Unit : cm3)
No.1 No:2 No.3 No.4 Total

Experimental 30 1510 1490 1240 4270

PP model 1 2364 737 701 3803

LE model
(kB=]OOcm/sec) 2 1700 141 1 1177 4290
LE model
(kB=’jocm/sec) 2 1849 1239 1026 4116
LE model
( k ~ = 4 0 ~ m / ~ ~2~ ) 1747 1180 975 3904

550
 Slope Stability Engineering, Yagi, Yamagami & Jiang 0 1999 Balkema, Rotterdam, ISBN 90 5809 079 5

Effects of horizontal drains on ground water level and slope stability

Fei Cai & Keizo Ugai
Department of Civil Engineering, Gunnza University,Kiryu, Japan

AEISTRACT: The effects of the horizontal drains on the ground water level are predicted by 3D FE analysis of
transient water flow through unsaturated-saturated soils. The slope stability is evaluated with the global safety
factor, obtained by 3D elasto-plastic shear strength reduction FEM, where the pore water pressure is obtained
from the transient water flow analysis. The numerical results of a typical slope show that the ground water level
is effectively lowered with the horizontal drains installed, and that the steady-state pressure head is independent
of the hydraulic properties of soils. The slope stability increases with the length of the horizontal drains, and
lengthening the horizontal drains is more effective than making the spacing smaller and increasing the drains
number in a group when the length of the horizontal drains is shorter than the critical length.

1 INTRODUCTION 2 MODELING WATER FLOW IN SOILS

The horizontal drains are an effective measure to 2.1 Fitnabmenfa1flow equation

lower the ground water level and to increase the
The Darcy’s law has been shown to be valid for the
slope stability. The effects of the following
water flow through unsaturated soils as well as the
parameters, i.e. the length, spacing, and direction
flow through saturated soils (Richards 193 I). The
angle of the horizontal drains, on the ground water
main difference is that the hydraulic conductivity is
level and slope stability are the factors concerned in
assumed to be constant for saturated soils, while it
the design of the horizontal drains .
depends on the pore volume occupied by water for
In the present paper, the effects of the horizontal
unsaturated soils. Based on the mass conservation
drains on the ground water level in a typical slope
and the Darcy’s law, the differential equation
with upstream water level of 14m and down stream
governing the water flow through unsaturated-
water level of 5m are predicted with 3D FE analysis
saturated soils is given by:
of transient water flow through unsaturated-saturated
soils. The slope stability is evaluated with the global
safety factor, obtained with 3D elasto-plastic shear
strength reduction FEM, where the water pressure is
obtained from the above-mentioned transient water
flow analysis. The conventional elasto-plastic FEM is where K ( 0 ) is the hydraulic conductivity, 8 is the
modified to predict the global safety factor of slopes, volumetric moisture content, 0 is the pressure head,
whose definition is identical to that of the z is the elevation head, t is time, and c(B) is the
conventional limit equilibrium methods (Ugai & specific moisture capacity.
Leshchinsky 1995). The shear strength of the
unsaturated soils is expressed with the Bishop’s
effective stress equation (Bishop 1959). Three sets of 2.2 Hydraulic characteristics
hydraulic characteristic parameters of van Genuchten Equation (1) includes two soil parameters that must
model (van Genuchten 1980) are used to investigate be determined: the hydraulic conductivity and the
their influences on the ground water level and the specific moisture capacity. These parameters under
slope stability. unsaturated conditions are dependent on the

551
volumetric moisture content, which is in turn related
to the pressure head. A widely used representation of
the hydraulic characteristics of unsaturated soils is the
set of closed-form equations (van Genuchten 1980).
The soil-moisture retention, specific moisture
capacity, and hydraulic conductivity are given by:
s, = (8 - 8,)/(8, - 8,) = (1 +I U @/'I
rm
c(8) = U (n - 1)(& - 8,) sym
(1 - Sk'"')'I
respectively, where
m = 1 - 1/M n>l
and S, is the relative degree of saturation, and 9, and
Ss denote the residual and saturated volumetric
moisture contents, respectively. K, and K,are the
saturated and the relative hydraulic conductivity,
respectively. a , n, and nz are empirical parameters
of the hydraulic characteristics. The hydraulic
hnctions are determined by a set of five parameters,
6, , 9,, a , n, and K,.
2.3 Numerical approach
The FE formulation for the transient water flow
through unsaturated-saturated soils can be derived by
the Galerkin principle of weighted residual:
d@
D@+E-=Q
df
where, D is the seepage matrix, E is the capacitance
matrix, and Q is the flux vector.
The time derivative can be approximated with
Crank-Nicolson algorithm. Because the hydraulic
conductivity and specific water capacity are fbnctions
of the volumetric moisture content, Equation (6) is
highly nonlinear and is solved by an iterative method.
3 FE ANALYSIS OF SLOPE STABILITY
The shear strength reduction FEM can analyze the
slope stability under a general frame. The numerical
comparison shows that this method can yield nearly
the same safety factor and the corresponding critical
sliding surface as the conventional limit equilibrium
methods (Ugai & Leshchinsky 1995).
The global safety factor of slopes, defined in the
shear strength reduction FEM, is identical to the one
in the limit equilibrium methods. The reduced
strength parameters ck and 4; replace the shear
strength parameters c' and #' of the Mohr-
Coulomb's failure criterion. Stresses and strains are
then calculated in the slope by the elasto-plastic FEM.
The initial F is selected to be so small that the soils of
the slope are under elastic condition. Then the value
of F is increased step by step until the global failure
of the slope finally develops, which means that the FE
calculation diverges under a physically real
convergence criterion. The global safety factor at
failure lies between the F, at which the iteration limit
is reached, and the immediately previous value. The
detailed procedure can be seen elsewhere (Ugai &
(5) Leshchinsky 1995).
For unsaturated soils, the water phase occupies
only parts of the pore volume, while the remainder is
covered by air. Bishop (1959) introduced a x -factor
to account for the fact, and suggested an equation for
the effective stress of unsaturated soils. The shear
strength of unsaturated soils is then calculated as:
where zJ is the shear stress at failure, c' is the
effective cohesion, CT is the total normal stress, U , is
the pore-air pressure, U", is the pore-water pressure,
@' is the effective friction angle, and x is a
parameter with the value between zero and unity,
depending on soil type and the degree of saturation.
The x -factor can roughly be replaced by the
relative degree of saturation. The shear strepgth
obtained from the hypotheses are in good agreement
with the experimental results. When the degree of
saturation is larger than 50%, there is a better
correlation between the predicted and measured
shear strength for unsaturated soils (Oberg & Sallfors
1997, Vanapalli et al. 1996).
4 EFFECTS OF HORIZONTAL DRAINS
An idealized slope with the height of 10m and the
gradient of 1: 1.5 is analyzed with a mesh, as shown in
Figure 1. The initial ground water level is supposed
to be 14m in the upstream and 5m in the downstream.
The slope and the ground are assumed to be
composed of the same soil. Three sets of the van
552
Figure 1. Typical slope and FE mesh

Table 1. Hydraulic properties

Soil tvne GCL USS BLS
a (m-') 1.060 7.087 2.761
Figure 3. Time histories of pressure head
n 1.395 1.810 3.022
0, 0.106 0.049 0.044
0, 0.469 0.304 0.375 linearly increases to unity at the height of the initial
K,( 10'4cm/s) 1.516 18.29 63.83 water level for each type of soil. The initial moisture
content has not influence on the pressure head in the
steady state.
Table 2. Mechanical properties The effects of the horizontal drains on the slope
Parameter Value stability are predicted with the shear strength
Young's modulus 98.1 MPa reduction FEM, in which the pore water pressure is
Poisson's ratio 0.3 obtained from transient water flow analysis. In order
Unit weight 17.66 kN/m3 to compare the effects of hydraulic characteristics on
Effective cohesion 7.85 kPa the slope stability when the horizontal drains are
Effective friction angle 25" installed, it is assumed that mechanical parameters of
Dilatancv angle 0" GCL, USS, and BLS are the same, as shown in Table
2, in spite of these soils with different grain
characteristics and micro-structures.

4.1 Effects of horizontal drains length

Figure 2. Contours of pressure head (m)
Genuchten model parameters of the hydraulic
characteristics for the Glendale clayey loam (GCL),
the Uplands silty sand (USS), and the Bet Degan
loamy sand (BLS), as shown in Table 1, are used to
investigate their effects on the ground water level and
the slope stability (van Genuchten 1980).
The initial relative degree of saturation is assumed
to be the same, i.e. Se=0.617, at the slope crest, and
The horizontal drains are installed at the height of the
lower ground surface. The spacing is 10m, i.e. S=5m
as shown in Figure 1 , when the effects of the length
are analyzed. The pressure head along the horizontal
drains is specified as zero. The length of the
horizontal drains, L, from the slope toe is changed to
clarify its effects on the ground water level and on the
slope stability.
The pressure head contours for the cross section
show that the ground water level is effectively
lowered with the horizontal drains installed(Figure 2).
The numerical results show that the steady-state
phreatic surface (the zero pressure contour) is
independent of the hydraulic properties of soil for the
homogeneous slope. However, the time histories of
the pressure head on appointed points from the
steady-state without the horizontal drains to the
steady-state with the drains of L=15m are dependent
on the hydraulic properties, and can not be

553

Figure 4. Pressure head versus length
Figure 5. Safety factor versus length
Figure 6. Discharge versus length
normalized with the saturated permeability, Ks, as
shown in Figure 3.
Figure 4 indicates the relationships between the
pressure head and the length of the horizontal drains.
These relationships are the same for all three types of
soil. It is shown that the rate of the decrease in the
ground water level at the points B and C becomes
smaller and smaller when the horizontal drains are
extended beyond a critical length, i.e., the distance
between the slope toe and the slope shoulder.
The slope stability increases with the increase in
554
the length of the horizontal drains, but it does not
increase further when the horizontal drains are
extended beyond the critical length, as shown in
Figure 5. This is because only the pressure head of
the zones along the slip surface influences the slope
stability.
Figure 6 shows that the discharge of the horizontal
drains, Q, can be normalized with the saturated
permeability, Ks. It implies that the other hydraulic
parameters have no influence on the discharge. The
normalized discharge almost linearly increases with
the length of the horizontal drains.
4.2 Effec fs of hosizontnl drains syncirig
The relationships between the pressure head and the
spacing of the horizontal drains (L=7.5m and L=l5m)
are shown in Figure 7. For all three types of soil the
ground water level is definitely lowered only in the
zones in the extent of the horizontal drains with the
spacing becoming smaller. Figure 7 shows again that
the steady-state pressure head in homogenous slope
is independent of the hydraulic properties of soil.
When L=7.5m7 the slope stability increases a little
with the spacing becoming smaller. In contrast, when
L=l5m, the slope stability comparatively more
increases with the spacing becoming smaller (Figure
8) By comparing the rate of the increase in the safety
factor in Figure 5, it is shown that lengthening the
Figure 7. Pressure head versus spacing

Figure 8. Safety factor versus spacing
Figure 9. Discharge versus spacing
Figure 10. Pressure head versus direction angle
555
horizontal drains is more effective to lower the
ground water level and increase the slope stability
when the length of the horizontal drains is shorter
than the critical length.
Figure 9 shows that the discharge of the horizontal
drains with different spacing also can be normalized
with the saturated permeability. The normalized
discharge almost linearly increases with the length of
the horizontal drains whether L=7.5m or L=l5m.
4.3 Eflecfs of horizontal draiia directiori
The horizontal drains are installed in a group in the
horizontal plane for easy construction. It is assumed
that the group consists of three horizontal drains, and
only half of the group is analyzed due to its symmetry.
The direction angle, i.e. the angle between the drains
is assumed to be 0", 30°, 45", and
respectively. When the length of every horizontal
drains in the group L=7.5m, the spacing is assumed to
be 15m, i.e. S=7.5m. When L=15m, the spacing is
assumed to be 30m, i.e. S=15m.
The relationships between the pressure head and
the direction angle of the horizontal drains (Figure
10) show that for all three types of soil, the direction
angle influences slightly the pressure head. When the
direction angle is 30 degree, and the length reaches
the critical length, the ground water level is the
lowest, and the pressure head decreases only 10%
further. This implies that the ground water level is
slightly lowered firther with the increase in the
number of the horizontal drains in a group if the
length of the drains in the group is the same. This is
because the ground water level has been lowered with
installing the horizontal drains with the direction
angle of zero degree and the other drains in the group
are installed in the region with the lowered ground
water level.
The direction angle of 30" obtains the maximum
increase in the safety factor whether L=7.5m or
L=15m. The increase in the safety factor for the
spacing of 30m and the length of 15m is larger than
that for the spacing of 15m and the length of 7.5m.
Under these conditions, the total length of the
horizontal length is the same. This implies that the
lengthening the horizontal drains in the extent of the
critical length is more effective than increasing the
number of the horizontal drains in the group in order
to lower the ground water level and to increase the
slope stability.
The discharge increases a little with the number of
drains in a group, and the direction angle of the drains
almost does not influence the discharge, as shown in
Figure 11, where the discharge ratio with the
 drains in a group when the length of the horizontal
drains is shorter than the critical length.

REFERENCES

Bishop, A.W. 1959. The principle of effective stress.

Plrblicnfion 32. Oslo: Norwegian Geotechnical
Institute.
van Genuchten, M.T. 1980. A closed-form equation
for predicting the hydraulic conductivity of
unsaturated soils. SoiI Sci. Soc. Anzer. J. 44: 892-
Figure 1 1. Discharge versus direction angle 898.
Oberg, A.L. & G.Sallfors 1997. Determination of
direction angle of 90" includes the seepage flow shear strength parameters of unsaturated silts and
through the toe of the slope. sands based on the water retention curve. Geotech.
Testing J. 20(1): 40-48.
Richards, L.A. 193 1. Capillary conduction of liquids
5 CONCLUSIONS through porous mediums. Physics 1: 3 18-333.
Ugai, K. & D.Leshchinsky 1995. Three-dimensional
The 3D FE analyses have been conducted to limit equilibrium and finite element analyses: a
investigate the effects of the horizontal drains on the comparison of results. Soils Foz~rzd.35(4): 1-7.
ground water level and the slope stability, where the Vanapalli, S.K., D.G.Fredlund, D.E.Pufah1, &
effects of the length, spacing, and direction angle on A.W.Clifion 1996. Model for the prediction of
the ground water level in a typical slope are predicted shear strength with respect to soil suction. Cm.
with 3D FE analyses of transient water flow through Geofech.J. 33: 379-392.
unsaturated-saturated soils. The slope stability is Zienkiewicz, O.C. & R.L.Tayor 1989. The Jinite
evaluated by the global safety factor, based on the elenienf niefhod, 4th edn. London: McGraw-Hill.
elasto-plastic shear strength reduction FEM. From
the calculated results, the following conclusions are
obtained:
1. The procedure proposed in the present paper
can be used to determine the length, spacing, and
direction angle of the horizontal drains, and 3D
analyses can give more realistic results than 2D ones.
2. The effects of the horizontal drains on the
ground water level, in turn, the slope stability under
steady-state are independent of the hydraulic
properties of soil for homogenous slope. However,
the time histories of the pressure head from the
steady-state without drains to the steady-state with
drains are influenced by the hydraulic properties.
3. The ground water level is effectively lowered
due to the drainage effect of the horizontal drains.
The slope stability increases with the increase in the
length of the horizontal drains, but the rate of the
increase in the safety factor of the slopes becomes
smaller and smaller when the horizontal drains are
extended beyond a critical length, i.e., the distance
between the slope toe and the slope shoulder.
4. In order to lower the ground water level and
increase the slope stability, lengthening the horizontal
drains is more effective than making the spacing
smaller and increasing the number of the horizontal

556
5 Effects of seismicity
This Page Intentionally Left Blank
 Slope Stability Engineering, Yagi, Yamagami & Jiang (01999Balkema, Rotterdam, ISBN 905809 0795

Collapse of high embankment in the 1994far-off Sanriku Earthquake

Y. Shioi
Huchinolze institute of Technokogv,Aomol-i,Japan
S.Sutoh
East Japan Passenger Ruilway Company Limited, Morioku, Jupuii

ABSTRACT: A study using the sliding circle mcthod indicated that a high railway embankment, in Hachinohe, collapsed
in the 1994 Far-off Sanriku Earthquake due to strong vertical seismic motion. Combined with other types of structural
damage, this information should prove useful in evaluating the stability of other embankments.

1 THE 1994 FAR-OFF SANRIKU EARTHQUAKE

The 1994 Far-off Sanriku Earthquake occurred in

northeastern Japan at 21:19 on December 28, 1994,
heavily damaging structures in the city of Hachinohe, 200
km west of the epicenter (Figure 1). The Far-off Sanriku
Earthquake measured 7.5 in magnitude on the Japan
Meteorology Agency (JMA) scale and put forth a very
strong motion with a maximum acceleration of 675 gal
(Figure 2). Table 1 gives the maximum values of
acceleration recorded at Hachinohe Port Construction
Office, Hachinohe Meteorological Observatory and
Hachinohe Institute of Technology (HIT). This quakc
occurred 20 days before the 1995 Hyogoken Nanbu
(Hanshin) Earthquake that ravaged the city of Kobe.
The largest aftershock occurred 10 days after the main
shock with a magnitude of 6.9 and with nearly the same
Figure 1. Important sites in the 1994 Far-off Sanriku
level of acceleration (Table l), 80 km southwest of the
Earthquake
epicenter (Figure l), heavily damaging area of Hachinohe

only lightly affected by the main shock.

Table 1. Maximum accelerations of the main shock and
The main shock evidenced such phenomena as damage
aftershock of the Far-off Sailriku Earthquake
due to the vertical component of seismic force and
1 I 1
Observa- Seismo Max. main 1 Max. aftershock
effectiveness of ground improvement for soil liquefaction,
tory -graph ;k ac el.
shc ___ accel.
similar to the Hanshin Earthquake. The seismic measures
EW NS UD EW NS UD
for water supply in Hachinohe, after the 1968 Off Tokachi
PortConst SMAC
Earthquake were functioned efficiently and became a
Office -B2 675 - 470 132 552 295 140
standard methods for repair and reconstruction works after
Meteorol. JMA87
a great earthquake, including the Hanshin Earthquake.
Observa. 488 - 602 94 363 499 95
H. JEP- > >
I. GL-1 m 4B3 300 300 192 627 292 186
2 VERTICAL SEISMIC FORCE PHENOMENA
T. JEP-
G1-20 m 4B3 149 __ 109 69 174 102 56 While the damage in Hachinohe was relatively small
compared to the Hanshin disaster, several types of damage

559
Figure 2. Corrected main shock acceleration record of the 1994 Far-off Sanriku Earthquake, Hachinohe Port Construction
Office, the Ministry of Transportation
Figure 3. Cracks in columns at Hachinohe city hall
Figure 4. Railway viaduct column breakage
were very difficult to explain in terms of conventional
horizontal seismic force alone, in both cases.
Geologically, the Hachinohe area consists of tertiary and
Pleistocene (Dilluvium) terraces covered by thick loam and
Holocene (Alluvium) soft sediment on Paleozoic
formations. Most of damage occurred, interesting enough
on terraces compared to Holocene ground, as detailed
below..
The columns of the city hall, built on a low hill, shows
cracks (Figure 3). Intermediate columns had X shaped
cracks, while end columns, which carried a comparatively
light load, remained sound. If horizontal force caused these
560
Figure 5. Comparison of damaged and undamaged
masonry lanterns
cracks, the building should have collapsed under
alternative load.
A viaduct side column (Figure 4) lying on a border
between terrace and sedimentary ground suffered buckled
reinforcing bars at the top and coarse aggregate cut finely
on the shear face.
A comparison of damaged and undamaged masonry
lanterns at a Shinto shrine 011 a hill in central Hachinohe
(Figure 5 ) showed those damaged with ashlars heaped and
plastered upon each other. Another in slender type was
connected firmly part to part by other means. Had
horizontal force predominated, undamaged lantern should
have been toppled and the damaged ones with stable shape
remained sound.
A tall stone monument at the same shrine rotated only
slightly, with the top stone plate remaining sound (Figure
6). Had horizontal force alone operated here, force should
have exceeded 0.6 g corresponding to the frictional
resistance between the massive footing and the ground,
breaking the plate.
Figure 7 shows a comparison of a leaped natural stone
monument and a small masonry tower, set on rocky
ground at another shrine. The former was plastered to
footing with concrete mortar and parts of the latter was
 Figure 9. Embankment collapse in the 1994 Far-off
Sanriku Earthquake

Figure 6. Shape and rotational deviation of monument

structure

Figure 10. Collapse of high railway embankment

Figure 7. Comparison of leaped natural stone monument

and a small masonry tower

Figure 11. Embankment collapse in the 1968 Off Tokachi

Earthquake

not. A masonry lantern and small towers on the stairway

to the same shrine remained sound (Figure 8). Had even a
small horizontal force been acting, these towers should
have been toppled.

3 RAILWAY EMBANKMENT DAMAGE

3.1 Overview

Although it is surmised that vertical seismic force

predominated in damaging embankments and cut slopes
observed in the Far-off Sanriku Earthquake, it is difficult
Figure 8. Masonry lantern 011 stainvay to shrine
to prove.
A typical railway embankment collapse occurred on
Holocene ground near Hachinohe (Figure 9 and 10). This

56 1
Figure 12. Completed rehabilitation works
embankment had evidence of severe slope sliding (Figure
11) in the 1968 Off Tokachi Earthquake, which had a
magnitude of 7.9, a relatively long period, and a maximum
acceleration of 233 gal. The embankment was repaired
using sheet piles at the slope end and gabions implemented
over the slope.
The top of the collapsed embankment remained
positioned almost the same (Figure lO), but gabions at the
slope end were thrown several tens meters, suggesting that
a strong, abrupt force acted on the embankment. To restore
the embankment and enable trains to pass as soon as
possibility, a rehabilitation plan (Figure 12) was quickly
implemented.
Repair work was completed in 3 days working 24-hour
shifts and the first train passed through slowly at midnight
December 31, 1994.
Other railway damage was mainly railbed misalignment
and settlement, with similar heavy darnage not occurring
elsewhere nearby. About 1.5 km away, however, a similar
road embankment slide (Figure 13) was seen along an old
small basin. No marked damage was seen to houses or
Figure 13 Collapse of road embankment near railway
embankment
562
other structures in nearby residential areas.
Interestingly, while the maximum aftershock had the
same level of acceleration as the main shock (Table l), it
did riot produce the same degree of damage. Train
operation continued under careful observation after the
railbed had been inspected. The aftershock mainly
damaged houses in eastern Hachinohe that were located on
relatively firm ground, even so, damage was not great.
3.2 Collapsed embankment Case study
After the collapsed embankment had been repaired, East
Japan Passenger Railway Co. Ltd. conducted a surveys
and analysis series to examine the mechanism of damage.
The rehabilitation plan was based on a triangle block
analysis (Figure 14).
The soil survey provided the geological section (Figure
15) at the center of collapsed bank and soil coefficients
required for analyses, which were conducted using the
waves of the Far-off Sanriku and the Off Tokachi
Earthquakes (Table 2).
Figure 14. Loads adopted in the triangle block analysis
 Seismic Comp Top of slope Slope end
wave onent Acc.ga1 Dsp.cm 1
Acc.gal Disp.cm
Tokachi EW 325 6.3 260 5.3
Sanriku EW 678 10.9 403 7.9

Figure 15. Geological section at center of collapsed Table 5. Safety factors of circle sliding in embankment
embankment and in embankment and ground in the Off Tokachi and the

As a result, one dimensional response analysis shows

the acceleration and displacement of the top and end of wave minimum minimum
slope (Table 3). Two dimensional analysis with an EW
component is shown in Table 4. The sliding circle method Sanriku 0.76 0.85
using finite element method (FEM), gives the safety EW+UD 0.73 0.77
factors in the embankment itself and in the embankment
and ground in Table 5. seismic force. In these cases, many similar slides should
Shioi calculates the safety factors along a assumed have been easily found all over on the same ground nearby
sliding line for the horizontal and the vertical forces and their lateral movements of collapsed embankment
(Figure 16). must have been great.
The safety factors for a vertical force 1 g in Figure 16
3.3 Discussion is nearly 1.0 and the forces are so great as 1 g or 2 g
which mean a phenomena of leaping upward, observed in
Except one dimensional analysis, values calculated for the large earthquakes, although this motion have not yet been
Far-off Sanriku Earthquake are so great enough to excite recorded. This motion appears to have been extremely
slope collapse in embankment due to the Off Tokachi short as was the impact from other phenomena discussed.
Earthquake and previous heavy rain Actual sliding through In pile driving, the impact acceleration was some tens or
the base ground involved a great vertical displacement and hundreds gs and some hundreds of microsecond.
a small horizontal movement of main embankment. If 1 g is a critical value to slide, these phenomena are
The values of safety factor in the Sanriku Eq. in Table due to the strong impact of a vertical force that barely
5 and Figure 16 are too small even for a small horizontal generates embankment failure but the amount of its works
(force x distance) is not so large. This presumption can
Table 2. Surface and base accelerations in the Off Tokachi
explain the difference in failure between the two
and the Far-off Sanriku Earthauakes
earthquakes, the sliding of road embankment, the lack of
Seismic Component Surface acc. Base acc.
marked damage of structures nearby and embankments,
wave (gal) (gal) and railbed settlement.
Tokachi NS ' 232.7
Despite the small safety factor for the horizontal force,
Eq. EW 180.6
the lack of further damage to neighboring embankments by
Sanriku NS 431.3
the maximum al'tershock appears to indicate that vertical
force predominated in the Far-off Sanriku Earthquake.

4 CONCLUSION

A series of case studies for collapse of the railway

embankment in the Far-off Sanriku Earthquake, led to the
Seismic Comp Top of slope Slope end
following conclusions.
~~

wave onent Acc.ga1 Dsp.cm Acc.gal Disp.cm

1. There is a possibility that the collapse of railway

!:
Tokachi NS 213 4.2 235 3.9 ,
Eq. EW 2201 5.5 5.4
embankmeiit occurred mainly due to the vertical impact of
the seismic wave in the Far-off Sanriku Earthquake.
Sanriku NS 249 3.8
2. The hypothesis of strong impact wave with a great
Eq. EW 280 8.8 325 8.8
1UD 1521 0.4 , 0.4
4.2
acceleration and a very short period can explain clearly the
mechanism behind damage to neighboring structures.

563
Figure 16. Calculation of safety factor for sliding circles to various seismic coefficients

3. These analyses suggest the importance of examining

the stability of embankments under vertical seismic force
with horizontal force added.

To prove the existence of such impact wave in large

earthquakes, Hachinohe Institute of Technology is
exploiting a special minute seismograph because existing
apparatus can not record such impact wave with very short
period.

REFERENCE

Disaster survey committee for the 1994 Far-off Sanriku

Earthquake 1995. Disaster survey report for the 1994
Far-Ofi Sanriku Earthquake.
Japanese Geotechnical Society 1994. Disaster survey
report for the 19Y4 Far-OfiSanriku Eurthquake.
Morioka Branch, East Japan Passenger Railway Co. Ltd.
1996. Disaster record (technicul version) for The Fur-
Off Sanriku Earthquuke.
Shioi, Y 1996. Phenomena influenced by vertical force
in the Far-off Sanriku Earthquake, Proc. 51st Conf:
Jupun Society of Civil Engineers, Nagoyu, Oct.1996.

564
 Slope Stability Engineering, Yagi, Yamagami & Jiang 0 1999Balkema, Rotterdam, ISBN 90 5809 079 5

Slope instability of large embankments in residential areas caused

by the Hyogoken-Nanbu Earthquake, 1995
Toshitaka K m a i
Department of Civil Engineering, College of Science and Technology,Nihon University,Tokyo, Japan
Yoshiyuki Kobayashi
Graduate School of College of Science and Technology,Nihon University,Tokyo,Jupan
Haruo Shuzui
Nippon Koei Company Limited, Japan

ABSTRACT:The Hyougoken-nanbu earthquake triggered numerous instances of slope instability in the gentle
slopes of residential areas between Nishinomiya and Kobe cities. These cities have developed on the alluvial
plain and southern slope of the Rokko Mountains. The slopes consist of the semi-consolidated clay, sand and
gravel of the Lower Osaka group, Plio-Pleistocene. Urban development, such as, housing, road and lifeline
construction has been continuing since the 1920’s in this region. The crests of the hills have been removed and
the valleys have been filled by cutting soil and industrial waste, and many valleys have been filled artificially.
The following four types of landslides were found in this areas:
A) Slide associated with high-speed flows (0.9%)
B) Creep and slide in artificial valley fill (53.3%)
C) Creep and slide of embankments caused by liquefaction in alluvial deposit (at the toe of slope) (10.7%)
D) Slide on steep slopes (small-scale slope failure) (35.1%)
Soil strength for B- and the C-type slides was investigated by simplified penetration tests. Most of the artifi-
cial embankments in the residential areas were insufficiently compacted and had low mean N-value of below 5.
However, no marked contrasts in soil strength were found between cases of unstable embankments and stable
cases. Rather, differences in the shapes of embankments, their depth, width, the inclination angle of the base,
transverse form, etc. seem to be key factors in determining slope instability. Consequently, based on studies of
artificial geomorphological changes in residential areas in the past, we can identify embankments are likely to
be unstable following an earthquake.
Many large cities in Japan have ground conditions almost identical to those of the Hanshin district; and thus
have potential for future landslide disasters. Clearly, there are geological aspects for all government develop-
ment plans, not only geotechnical engineering for surveying ground conditions, but also importantly in provid-
ing information to residents. Earthquake hazard mapping for slope instability in urban region is urgently needed.

I INTRODUCTION

A disastrous earthquake shook the southern part of

Hyogo prefecture and the eastern part of Osaka, Japan
on 17 January 1995. Its epicenter was about 50 km
east of Osaka. The magnitude of 7.2 placed this event
among the strongest earthquake in densely populated
areas of Japan in the last 70 years. The earthquake was
due to a dextral movement along the Rokko active fault
system, and caused 1 1 km rupture (Fig.1). The earth-
quake killed about 5500 residents and involved great
property loss. During the earthquake, two main types
of landslides occurred: landslides in the mountainous
slopes of the Rokko Mountains, and landslides in the
hillside urban districts between Nishinomiya and Kobe
cities on the southern slope of the Rokko Mountains.
In the latter case, landslides occurred in areas that have
been covered by artificial materials. These landslides
caused serious damage, injured 34 people and destroyed Figure 1. Index map of the disaster district.
a few thousand houses at the time of the earthquake.

565
Beyond causing serious damage to the lives and people
living in the Hanshin district, these landslides also re-
vealed the weaknesses of urban development in Japan
over the past half century.
This paper describes the landslides which occurred
in the residential areas; including their distribution,
classification, movement and the serious problems in
the urban environment which they caused.
2 GEOLOGIC SETTING
The Hanshin District, between Osaka and Kobe cities
is one of the most important, densely populated areas
in Japan. Takarazuka, Nishinomiya, Ashiya and Kobe
cities are located together on the alluvial plain and
hills of the southern slope of the Rokko Mountains.
The Rokko Mountains’ elevation is 100-900m above
sea-level, and mainly consist of: Rokko Granite,
Quartz Diorite, small patches of Palaeozoic sedimen-
tary rocks (Tamba Group) and Cretaceous-Paleogene
volcanic rocks. The hills of the piedmont area consist
of overlying strata, which are members of the Lower
0s ak a G ro LIp , P 1 i o - P 1e ist oc en e : se m i -conso 1id ated
clay, sand and gravel. Plio-Pleistocene sediments have
filled the Osaka Basin with a thickness of more than
l000m (confirmed by deep drilling in the northeast-
ern part of Osaka). The highest peneplain elevation of
the Rokko Mountains is 800-900m. This means that
the vertical displacement of the surface of the base-
ment between the Rokko Mountains and Osaka is
about 2000m, most of which accumulated in the Qua-
ternary Period. The Quaternary tectonic movenients
in this district are clearly visualized by the active fault
system in the southern side of the Rokko Mountains,
that is the stepwise vertical displacements of 200-3OOm
along the large faults with NE-SW and E-W trends.
The average movement rate of each fault is in order of
0.1 mm/yr, but the total amount of displacement be-
tween the Rokko Mountains and the alluvial plain is
about 1 mni/yr.
3 FIELD INVESTIGATION
The strong ground shaking caused by the earthquake,
created many cracks at the ground surface. These
cracks were classified based on their. characteristics
such as opening width, height and sense (tension, corn-
pression and strike-slip). Both compressional cracks,
pressure ridges in toe of slopes, and tensional cracks,
scarps in upper part of slopes can be used as clear
markers to indicate the toe and head of a landslide.
Distortion of roads and buildings were also effective
in determining landslide area in the slope. We mapped
the distribution of cracks and landslides on topologi-
cal maps with a scale of 1/2,500, and then, compiled
these, to maps with a scale of 1/1,000. The prepared
map nearly covers the entire the Hanshin district; the
566
southern part of Takarazuka to the west end of Kobe.
The geological details of two typical landslides in
Nishinoniiya were prepared using drillings and the
Swedish sounding method. The N-values of land fill-
ing material was measured by simplified penetration
tests for eighteen representative landslides in the east-
ern part of the region. Simplified penetration test re-
sults can be converted into N-value for SPT based on
the experirnental results on abundant soil materials.
4 DISTRIBUTION OF LANDSLIDES
4.1 Landslide concentration regions
Fig.2 shows the distribution of landslides in the
Rokko Mountains and in the urban district. Numer-
ous shallow landslides in residual soil occurred in the
Rokko Mountains. The Rokko Granite in the moun-
tains is strongly sheared by several fault movements.
This granite is deeply weathered which has caused
many previous slope failures. These landslides have
sometimes caused debris flow and damage to down-
stream areas. In July, 1938, this district suffered from
one of its heaviest rainfdls, many landslides occurred
in the Rokko Mountains, and debris flow damaged
the urban district. Fortunately, due to the occurrence
of recent earthquake in the dry season, no debris flow
was caused by the landslides.
During 1995 earthquake, more than two hundred
landslides occurred in the gentle hillsides slopes of
residential areas on the southern slope of the Rokko
Mountains. They directly affected the urban conimu-
nities, and caused more serious problems in this dis-
trict. As shown in Fig.2, landslides in the gentle slopes
of residential areas were distributed mainly in two
separate regions: The eastern region was from
Nishinoniiya City to the eastern part of Kobe City,
and the western region was the middle part of Kobe
City.
4.2 Influence of urbanization
The original hillside landform has been changed com-
pletely due to urban development in this district. The
crests of the hills have been removed and the valleys
filled by cutting soil and industrial waste, with many
artificial slopes and valley fills have been formed in
the hillside. Now, i t is difficult to distinguish the origi-
nal landform. Urbanization has continued since 1920’
s, from the hillside which consists of the Osaka Group
(semi-consolidated clay, sand and gravel). However,
in the hills that consist of the Kobe Group, Miocene
marine sediments, and mountainous slope of the Rokko
Mountains, major development has taken place since
1970. Remarkable progress has been made in construc-
tion methods and management systems in recent de-
cades. Therefore, in order to clarify the effective fac-
tors in the occurrence of disaster, not only geology
Figure 2. Distribution of major landslides caused by the earthquake. Geologic map is modified from Huzita
& Kasama, 1982 and Huzita & Kasama, 1983.

Figure 3. Four types of landslides and their occurrence ratio in the Hanshin
urban district.

567
and geomorphology, but also the quality of construc-
tion in urban development should be take into account.
By comparing the topographical maps of different
ages, we can reveal the age of urbanization in each
area. The topographical maps from 1888 show the
original landscape of this district. Many small valleys,
ponds, marshes and rice fields are shown on this map,
but today, most of this area is covered by houses. This
contraction extended from the area surrounding rail-
way stations (located on the alluvial plain), to the up-
per part of the hillside after 1920. Development on
the hillside consisted of the Osaka Group was almost
completed in 1960. Most recent landslides occurred
i n the area with artificial landform changes. It is
thought that the loose and uncompacted material of
filling slopes with poor drainage systems are respon-
sible to the occurrence of the landslides.
5 TYPE OF LANDSLIDES
The following four types of landslides were found in
the gentle slopes of the residential areas (Fig.3):
A) Slide associated with high-speed flows
B) Creep and slide in artificial valley fill
C) Creep and slide caused by liquefaction in allu
vial deposit (at the toe of slope)
D) Slide on steep slopes (small-scale slope failure)
Distribution of occurred landslide of types A, B, C
and D was 0.9,53.3, 10.7 and 35 % respectively. Nor-
mally landslides occurred in the youngest material and
on steep slopes.
5.1 Landslides associated with high speed flow slide,
A-type
A-type landslides have occurred in two locations: the
Nikawa landslide in Nishinomiya and the Takarazuka
golf course landslide in Takarazuka. These landslides
were characterized by high mobility. The landslide
mass of both slides mainly consisted of artificial fill-
ing material with high water content. This material
settled on the steep valley side, with about 20-30 deg.
of its original slope angle (base angle of embankment)
, and the bank faced the valley with no retaining wall
(embankment slope angle of 20-25 deg.). These em-
bankments collapsed instantaneously during earth-
quake, and the associated high speed flow (partially
changed to %surge€)caused fatal damage to the resi-
dential areas in the valley side. In the Nikawa land-
slide, 34 people were injured by the rapid motion.
5.2 Landslides in artificial valley fill, B-type
B-type landslides were found conimonly in the ur-
ban district. Similar types of earthquake-induced land-
slides have also been reported in previous research,
568
such as the Miyagiken-oki earthquake (1978) in Ja-
pan (Tamura et al., 1978). The largest one of this type
was the Morikita-cho landslide in Kobe City that had
a long and narrow shape along the original valley
(300m in length and 150m in width), thirty or forty
houses were moved by this slide.
The slip surface of landslides formed in artificial fills
consists of loose material of silt, sand and gravel. A
high ground water level is usually found in this filling
material. This type of landslide was moved frequent
in the hillside that consisted of the Osaka Group.
Both the heads and toes of the B-type landslides were
clear, tension cracks were usually found at the head
of the original valley, and compression cracks and an
uplifting area were formed at the end of the landslides.
However, the landslide mass remained in its source
area; that means no collapse were occurred and com-
pared to A-type landslides, the total strain of this type
was very small.
5.3 Landslides caused by liquefaction in alluvial de-
posit, C-type
Distribution of the C-type landslide was limited to
the Shukugawa area. In this area, due to the erosion of
terrace deposit, a gentle slope was formed between
the terrace surface and the alluvial plain. This gentle
slope consists of artificial embankment, old landslide
mass and talus deposit (recent slope deposits). At the
lower part of slope, these sediment partially covers of
the alluvial plain (mainly consists of loose sand).
Sand boiling in the inland district was discovered only
in this area. It is thought that ground liquefaction took
place in the alluvial loose sand underlying the slope
deposits, and caused the collapse of the toe of the slope.
The the landslide moved down due to the failure at
the toe area.
5.4 Landslides on steep slopes, D-type
D-type landslide mainly occurred in the steep slopes
of the terrace scarp and artificially cutting slopes in
the urban district. This type is a small-scale and a shal-
low slope fdilure comparing to A, B and C-types. The
largest one of this type was the Satsukigaoka-cho land-
slide in Nishinomiya City that had a rectangular shape
on the terrace scarp (60m in length and 70m in width)
, an old people’s home was moved by this slide. De-
spite to its small size, this type of landslide was dan-
gerous due to its rapid movement.
6 SOIL STRENGTH (N-VALUE) OF EMBANK-
MENTS
Investigations as to the extent of damages due to the
earth q u ake re vea 1ed that 1an ds 1 i des in art i f i c i a 1 em -
bankment (B- and C-type) occupies the majority of
slope instability that occurred in the urban region of

Figure 4. Frequency of N-value in embankments by
simplified penetration tests.
Figure 5. The N-value distribution in Higashi-ashiya
embankment
Kobe. Soil strength (N-value) of the artificial filling
material was measured by simplified penetration tests
in the eastern part of the region. The main geotechnical
characteristics Of the filing soil found in this survey
are as followers.
1. The average N-value of embankment soil was
569
generally at low levels of between only 2-5.(Fig. 4 ).
2. Soil compaction was still ongoing in surface
layers of embankments (limited within 2m from
ground surface). N-values reduce from the middle lev-
els down to the base levels of the embankment (Fig.
5).
3. Allowing for the accuracy of the tests, no marked
differences were found in soil strength between the
sliding unstable embankments and the stable ones .
4. A weak, low N-value layer often forms at the
bottom of the embankments. This layer develops at
ground surface before formation of the embankment.
5. The embankments were confirmed as having a
shallow ground water level.
7 ASSESSMENT OF SLOPE INSTABILITY OF
LARGE EMBANKMENT
The results of field investigations on artificial valley
fill landslide suggest that the bottom shape of embank-
ment, that is, the shape of the valley before artificial
filling is a primary factor behind embankment land-
slides. Despite large displacements by landslides, the
N-values in some embankments (i.e., Nishi okamoto
in Kobe city) was relatively high (5- 15).In these cases,
a slip surface probably developed along the weak bot-
tom layer of embankments.
Although, Morikitachou embankment in Ashiya city
was destroyed by the earthquake, the adjacent
Kounandai embankment in Kobe city was safe despite
the fact that the two embankments had similar N-value
and mass scale (volume). Topographical deference be-
Figure 6. Topographical deference between the two
embankments. The Morikitachou embankment is
semicircular in shape, the Kounandai embankment has
a V-shape cross section.
tween the two embankments suggests that there was a
clear difference in earthquake ground motion. Al-
though the cross section of the Morikitachou embank-
ment is semicircular in shape, the Kounandai embank-
ment has a V-shape cross section (Fig.6).
As the driving force for landslide is not so great, land-
slide can be easily controled by the presence of an
internal resistor for distortion in embankments (i.e.,
foundations of large buildings). The Higashi-ashiya
embankment in Ashiya city was stable despite its very
low N-value (below 5). Distortion in this embankment
was reduced by the foundations for an apartment
building situated in the center of the slope. This sug-
gests that how the land is used on an embankment can
also be a factor controlling landslide.
These results show that based on topographical re-
search and field studies, it is possible to objectively
assess the slope instability of an embankment. Using
GIS methods, it is not very difficult to survey the to-
pography of valley before embankments created, in-
cluding the inclination of valley floor and valley cross
sections. Based on these methods and such research,
it will be possible to make landslide avoidance maps
with assessments of slope instability.
8 CONCLUSIONS
The following main conclusions can be made on the
basis of the research presented in this paper.
1. Artificial landform changes in urban region tend
to be at great risk of landslide. Many cities in Japan
have ground conditions almost identical to those of
the Hanshin district, where there is a danger of land-
slide disasters.
2. The following four types of landslides were
found in residential areas on gentle slopes.
A) Slide associated with high-speed flows
B) Creep and slide in artificial valley fill
C) Creep and slide caused by liquefaction
in alluvial deposit (at the toe of slope)
D) Slide on steep slopes (small-scale slope
failure)
Normally landslides occurred in the youngest mate-
rial (artificial material) and on steep slopes.
3. Soil compaction was still ongoing in surface
layers of enibankments. (in B- and C -type slides).
The N-value of embankment soil is generally at low
levels, and this reduces from the middle levels down
to th base levels of the embankments.
4. The shape of a valley before formation of artifi-
cial fills, that is, the topography of an embankment, is
a primary factor behind embankment landslides. Based
on topographical research and field surveys, it is pos-
sible to objectively assess the slope instability of an
embankment.
570
5. The geological aspects of all government de-
velopment plans should considered not only in terms
of geotechnical engineering for surveying ground con-
ditions, but also importantly in providing information
to residents. The work of preparing landslide avoid-
ance maps for urban regions, especially in Tokyo and
Yokohama, is a necessary first step in mitigating fu-
ture disasters.
ACKNOWLEDGEMENTS
We express our appreciation for useful discussion to
Mis. Chikako Jinbo of Central Research Institute for
Construction Technology. Particular thanks are due
to the menbers of Ohta georesearch Inc., Mr. Hidemasa
Ohta, Mr. Yoshitaka Hayashi and Mis. Mayunii
Furuta, for their support in the field survey.
This research work has been financially supported
in part by the scientific research grant of the Ministry
of Education (No. 1 1680475).
REFERENCES
Huzita, K. & Kasama, T. 1982. Geology of the Osaka-
seihokubu District. Quadrangle Series, scale 1 :
50,000, Geol. Surv. Japan. (in Japanese with
English Abstract)
Huzita, K. & Kasama, T. 1983. Geology oftlie Kobe
District. Quadrangle Series, scale 1 :50,000,
Geol. Surv. Japan. (in Japanese with English
Abstract)
Kaniai, T., Suzuki K. & Isobe, I. 1995. Landslides in
the Hanshin Urban Region caused by the
Hyougoken-nanbu Earthquake 1995. Jour. Ja
pan Soci. Engineering Geology 36- 1 :47-50. (in
Japanese)
Kamai, T 1995. Landslides in the Hanshin Urban Re
gion Caused by the 1995 Hyogoken-Nanbu
Earthquake, Japan. Landslide News 9: 12- 13.
Kamai, T., Suzuki K. & Isobe, I. 1996. Landslides in
gently sloping residential areas caused by the
1995 Hyougoken-nanbu Earthquake. Bill. Geol.
Surv. Japan 47:175-200. (in Japanese with En
glish Abstract)
Okimura,T. 1995. Characteristics of Slope failures
caused by the Hyougoken-nanbu Earthquake,
Landslides caused by the Hyougoken-nanbu
Earthquake. Cornniitteeon Landslides and Slope
failures caused by the Hyougoken-nan bu Earth
quake, Japan Landslide Society: 1-31 . (in
Japanese)
Tamura, T. , Abe, T. & Miyagi T. 1978. Housing
Construction in Hillside and Earthquake Disas
ter. General Urban Research 5: 1 15-13 1. (in
Japanese)
 Slope Stability Engineering, Yagi, Yamagami & Jiang 0 1999 Balkema, Rotterdam, ISBN 90 5809 079 5

Analysis of toppling failure of mountain slope caused

by the Hyogoken-Nanbu Earthquake

Takashi Olumura, Nobuyuki Yoshida & Nobuyuki Torii

Reseurch Center for Urban Sqfety arid Securig, Kobe University,Japan

ABSTRACT: The Hyogoken-Nanbu Earthquake, Japan, of Jan. 17, 1995, induced a lot of slope failures or collapses in
the Rokko Mountains, near Kobe. A field investigation carried out immediately after the earthquake and its showed that in
the most location the outcrop after collapse exhibited marked discontinuous faces and the debris was not soils but rock
fragments. It can be deduced that rock blocks were detached form base rock along well-developed joint systems due to
seismic forces and brought to collapse, and it is not unreasonable to consider that most such collapse occurred in a toppling
mode. This research presents a limit equilibrium analysis of toppling failure of mountain slope due to earthquake and
discusses the effects of seismic acceleration on slope stability and its failure mode through an example analysis and a case
study. I n the example analysis, the relationships between seismic acceleration and the critical angle of friction are presented.
From these relationships, the magnitude of seismic acceleration sufficient for slope to collapse can be determined and the
mode of collapsing can also be evaluated, provided that the friction angle of slope material is known. From the analysis of
mountain slope collapsed in a toppling-dominated mode caused by the Hyogoken-Nanbu Earthquake, it was suggested that
the strength of the slope material and the seismic acceleration are conjectured.

I . INTRODUCTION 2 . L I M I T EQUILIBRIUM ANALYSIS OF

TOPPLING FAILURE
Due to the Hyogoken-Nanbu Earthquake in January 17,
1995, it is said that slope failures or collapses took place 2.1 Prelimin~rrj.
about 750 locations in the kokko Mountain System in Toppling failure involves the forward rotation of columns
Iiyogo Prefecture, Japan. A field investigation carried out or blocks of rock about some pivot point.
immediately after the earthquake and its showed some In this paper, toppling failure of rock blocks on an
characters of slope failures or collapses . For example, 1 ) inclined stepped surface due to earthquake is analyzed
their scales almost were small, 2 ) they almost took place using the method proposed by Hoek and Bray ( 1981 .
in steep slope, 3 ) they almost took place in the convex and Figure 1 shows a model for limit equilibrium analysis of
linear slope, 4 ) in most locations the outcrop after collapse toppling on a stepped base rock.
exhibited marked discontinuous faces and 5 ) the debris
was not earth but rock fragments ( Okimura, 1996) . In
these, 4 ) and 5 ) are especially characteristic and it can be
deduced that rock blocks were detached from base rock
along well-developed joint systems due to seismic forces
and brought to collapse, and it is not unreasonable to
consider that most such collapse occurred in a toppling
mode.
In this paper, a limit equilibrium analysis is presented
for toppling failure by introducing the coefficient of
seismic acceleration into the analysis. An example analysis
is first performed to grasp the influence of the coefficient,
type and inclination of slope and shear strength ( friction
angle) on the slope stability. Next an actual collapse of
mountain slope is anaiyzed and the strength of the slope Figure 1. Modei for limit equilibrium analysis of
material and the seismic acceleration are conjectured. toppling on a stepped base rock

571
 The slope consists of a system of rock blocks dipping at
(90- d, ) underlain by the base rock with an overall
inclination of 0 . The inclination of the surface of rock
blocks is 0 1 for the low portion and 02 for the upper
portion. From the geometry, the constants a,, b,, and cn €or
the n-th block are obtained as:

where xn,x,\.t is the width of each block.

When the equilibrium of the block system is disturbed

and the blocks start to move, they are classed into three
groups of behavior: ( 1 ) a set of sliding blocks in the toe Figure 2. Forces acting on the n th block
region, ( 2 ) a set of stable blocks at the top, and ( 3 an
intermediate set of toppling blocks. Under a certain
geometry, the toppling zone extends down to the toe and
the group of sliding blocks may be absent.
Forces acting on the n-th block is shown in Figure 2.
The forces R,, and S,, act between the block and the base
rock, and the forces P,,, Q,,, P,).Iand Q.-I act between the
adjacent blocks. As the body force of each block, seismic
effect is also taken into account in terms of the coefficient
of horizontal seismic acceleration, kt,.
When the block under consideration is one of the
toppling group, the application points of all forces on the
block are determined, and the following relations are
satisfied on the sides of the block at the limit condition
(shown in Figure 3 ) . Figure 3. Toppling of the n th block

Thus, R, and S,, are expressed as:

From the equilibrium condition for moment, the force

Pn.l,,,sufficient to prevent toppling is obtained as:

Figure 4. Sliding of the n th block

where M,, and L,, are the distance from the block bottom to
the application point of force for the M th block, 4 is the However, the magnitudes and points of application of all
angle of friction, Y, is the height of the block, W,, is the the forces on the sides and base of the block are unknown.
weight of the block and ki, is the coefficient of horizontal Here, an assumption is made that just like for the toppling
seismic acceleration. case, conditions for limit equilibrium are satisfied on the
sides of the block; that is, Equations [ 6 I and [ 7 1 are
When the block under consideration is one of the sliding applicable. Then, using Equation [ 91 the force, Pn.t.>,
group, the following condition is met at the base ( shown sufficient to prevent sliding is obtained as:
in Figure 4 ) .
P,i.l., =P, { W,tan 4 cos 9 - sin 4 - kt, (cos d,
S,=R, tan 4j [91 +sin tan 4 1 I / ( 1-tan' 4j ) [ 101

572
 2.2 Analisis procedure
Define that nl is the uppermost block of the group of
toppling blocks and that n? is the uppermost block of the
group of sliding blocks. The analysis is to determine the
critical value of @ for the limit equilibrium of a system of
rock blocks.

1: Assume a value of 4 which satisfies the condition that

4 > ( 4" +tan.'ks) .

2: Find the uppermost block of a group of blocks which

satisfies the condition that x,JY,,< tan ( (1, +tan"kl,) , and
set it as nl. The blocks higher than the nl are in a stable
state.

3 Staiting with this n-th block, calculate P,,l I and P,,I ,

using Equations [ 8 1 and [ 10 I , and comparc. with each
other If P.I, is greater than P,,I,, the block is about to
topple and P , I IS set equal to P,I, If P , , I ,is smaller than
P,,I , the block is about to slide and P,, I is set equal to P,,I

4 : Repeating this procedure for the ( n-1) -th block and all
the lower blocks, nz may be determined. Note that the
critical condition of nz and all the lower blocks is in a
sliding state. If the condition which P,>.I.,
is smaller than Figure 5. Two type models in example analysis
P , > I is
\ not satisfied for any block, there are no sliding
blocks and toppling extends down to the block 1.
Table 1. Analysis condition for example analysis
5 : If POis greater than zero for the block 1 at the toe, the
slope is unstable for the assumed value of 4 . Thus, the
calculation should be repeated assuming a larger value of
cp. On the other hand, if P,, is smaller than zero, the
calculation should be repeated with a smaller value of Cp .
When PI)becomes very small, 4 is set as the critical value
for the limit equilibrium, O L . In this study, the calculation
is repeated until the condition that /Pi11 < 0.1 ( k N ) is
satisfied.

6: In this study, the 4 1 is determined for a given value of

kl,, and the stability of slope is evaluated by comparing it 10
with the friction angle of the slope.

2.3 Example anal.ysi.7
In this example, two type of model slope are considered as
shown in Figure 5. In model type A ( the slope inclination
changes at the middle block ( Block 5 ) , while in model
Type B the slope inclination changes at the uppermost
block (Block 10) . Table 1 shows analysis condition for
example analysis. Total six slopes are analyzed as seen
from the table; and for each slope, the critical angle of
friction for limit equilibrium is calculated for values of the
coefficient of horizontal seismic acceleration from 0.0 to
0.5.
Figure 6 shows the relationships between horizontal
seismic acceleration, kh, and the critical angle of friction for
limit equilibrium, @ I . For a given k,,, regardless of the
model type, as the inclination of rock blocks ( 4 increases,
OL tends to increase. For instance, in the case of kh equal to
0.1, OL is zero for Slope 1, 24 for Slope 2 and 41.5
for Slope 3. This suggests that, Slope 1 remains stable even
if the friction angle of the slope is zero, while Slope 3 will
topple or slide if the friction angle of the slope is sinaller
than 4 1.5 . It can be said that, the larger the inclination of
rock blocks is, the more likely the slope fails. Both the
model types show a similar tendency for kl, smaller than
0.2 but as light difference beyond it. O L can be obtained
even for kh equal to 0.5 for Slope 1 but not for kl, greater
than 0.32 for Slope 4, which suggests that Slope 4 is more
susceptible to toppling or sliding than Slope 1.
Figure 7 shows the behavior type of each block at the .
limit equilibriumFrom this figure, a tendency can be that;
for limit equilibrium for Slopes 1, 2, 3, 4, 5 and 6,

573
 Figure 6. Relationships between ki, and qh

Figure 7. Behavior type of each block at the limit equilibrium ( a ) - f) )

574

Figure 8. Location map of two slopes
observed slopes 1, 2 and 3, the blocks higher than the
middle block remain stable, the middle block and its
neighbors topple, and those lower than the middle block
slide. As kt, increases, the toppling group extends upward
and downward. On the other hand, for Slopes 4, 5 and 6,
toppling starts at the uppermost block and extends
downward as ki, increases. Once toppling takes place in
these slopes, no blocks remain stable.
In the case of applying this analysis to an actual case of
collapsed slope, the magnitude of seismic acceleration
(ki,) for bringing the slope to the limit state can be
determined from the relationships between kt, and @ I as
presented in Figure 6, provided that the friction angle of
Figure 9. Longitudinal profile of two slopes
575
Table 2. Analysis condition for collapsed slopes
the slope ( 6 ) , the inclination of rock blocks ( 4 ) and
the overall inclination of base rock ( [3 are known.
The behavior of each block, moreover, can be seen from
the relationships between ni and nz.
2.4 Analysis of’ collupsed slopes
The analysis presented in the previous section is applied to
an actual case in which mountain slope collapsed in a
toppling-dominated mode caused by the Hyogoken-Nanbu
Earthquake.
The collapsed mountain slopes are located near
Koininegahara checkdam in the upper stream of Sumiyoshi
River in Kobe City ( denoted as Nos. 1 and 2 in Figure
8 ) . The collapse surfaces of these slopes were found
markedly discontinuous and stepped along well-developed
joint systems, and rock fragments at the toe of slope
contained boulders as large as 1.5m in diameter. The
longitudinal profile of two slopes is shown in Figure 9,
respectively, which was determined based on a field survey
or from topographic maps with a scale of 1:2,500. The
slope consists of weathered granite with highly-developed
joints, and analysis condition for collapsed slopes is given
in Table 2. The analysis procedure is the same as in the
previous example, and the critical angle of friction for limit
equilibrium is computed for a given seismic acceleration.
Figure 10 shows the computed relationships between the
horizontal seismic acceleration and the critical angle of
friction for limit equilibrium. In the case of horizontal
seismic acceleration equal to zero, the critical angle of

Figure 10. Relationships between kil and 6 I
discusses the effects of seismic acceleration on slope
stability and its failure mode through an example analysis
and a case study.
2. In the example analysis, the relationship between
seismic acceleration and the critical angle of friction are
presented. From these relationships, the magnitude of
seismic acceleration sufficient for slope to collapse can be
determined and the mode of collapsing can also be
evaluated, provided that the friction angle of slope material
is known.
3 . Froin the analysis of collapsed slope, it was
suggested that, for the Slope 1 all the blocks were in the
toppling mode while for the Slope 2 upper thee blocks
were in the toppling mode and two blocks from the toe
were in the sliding mode.

REFERENCES

Okimura, T., 1996. The Hyogokcn-Nanbu Earthqtiake and Slope

Disaster -Mountain Slope Failure-, Landslide Control Techniques,
23-2, pp.38-44. ( i n Japanese)
Hock, E. and Bray, J.W., 1981. Rock Slope Engineering. Inst. Min.
Met. London. 358p.

Figure 1 1 . Behavior type of each block at the limit

equilibrium

friction for limit equilibrium is 27.5 ' for Slope I and

42.9 '' for Slope 2. As the seismic acceleration increases,
the critical angle of friction for each slope approaches
44.7 " . From this, it can be said that, if the both slopes had
the same friction angle, Slope 1 would be more stable than
Slope 2 for a low level of seismic movement.
Considering that the distance between these two slopes
is only about 230111 and that both the slopes consist of the
same type of Rokko granite, it inay be assumed that the
two locations experienced almost the same magnitude of
seismic movement. Hence the critical angle of friction and
horizontal seismic acceleration given by the intersection of
the two curves in Figure 10 could correspond to the friction
angle of the material of both slopes and the seisinic
acceleration acted, respectively; and these are read out from
the Figure as 44.7 '' and 0.28, respectively.
Figure 1 1 shows the behavior type of each block at the
limit equilibrium. This figure indicates that all the blocks
topple in Slope 1 and that in Slope 2 the upper three blocks
topple and the lower two blocks slide.

3. CONCLUSIONS

1. This study presents a limit equilibrium analysis of

toppling failure or mountain slope due to earthquake and

576
 Slope Stability Engineering, Yagi, Yamagami & Jiang 0 1999 Balkema, Rotterdam, ISBN 90 5809 079 5

Stress condition and consequence of liquefaction on weathered granitic sands

Y. Okada
Graduate School of Science, Kyoto Universiy, Uji,Japan
K. Sassa & H. Fukuoka
Disaster Prevention Research Insrirure,Kyoto UniversiQ Uji,Japun

ABSTRACT: This paper presents the results from a series of the undrained speed-controlled ring shear tests,
carried out on weathered granitic sands taken from a landslide source area caused by 1995.1.17 Hyogoken-
Nanbu earthquake. The stress condition which marks the onset of contractive deformation and the
consequence of liquefaction through collapse behaviour are examined. Though all normally consolidated
specimens have not exhibited liquefaction but the newly proposed sliding-surface liquefaction, the collapse
behaviour before the stress paths reaching the failure line has been obtained from all tests. These collapse
points in stress space can be bound by the straight line passing through the origin (collapse line). And the
steady state line from the ring shear tests shifts downward compared with that from the triaxial compression
tests, it is interpreted as the ultimate estimate of steady state line, "ultimate steady state line."

1 INTRODUCTION the liquefaction through collapse behaviour are

Among some types of landslides, liquefaction-
induced landslide is one of the most hazardous
landslides. Geo-disasters by liquidizing landslides
were recently caused also in Japan, for example,
Otarimura debris flow (1996), Harihara debris slide-
debris flow (1997), and Sumikawa reactivated
landslide (1997). As the responsibility for
socioeconomic losses of landslides is increasing, it is
more and more important to reveal the liquidizing
mechanism of landslides.
After the catastrophic earthquakes of 1964 in
Niigata, Japan, and Alaska, United States, the
extended laboratory tests on the liquefaction
behaviour have been conducted (Castro 1969, Poulos
198lj. Collapse line by Sladen et al. (1985) and
critical stress ratio line by Vaid et al. (1985) as for
the triggering stress condition of liquefaction, and
steady state line by Poulos (1981) as for
consequence of liquefaction were proposed. But it
was almost entirely conducted by using the triaxial
test, the shear behaviour along the sliding surface
especially after the long shearing have not been
investigated. In other words, remarkable concepts
were proposed by many researchers using the
triaxial test, but the investigations by the ring shear
test which can closely simulate the stress condition
along the sliding surface are really limited.
In this paper, an investigation and examination
about the stress condition and the consequence of
conducted by the undrained speed-controlled ring
shear tests.
2 RING SHEAR APPARATUS
Apparatus employed in this study is the fifth version
in a family of the ring shear apparatuses developed
by Disaster Prevention Research Institute, Kyoto
University (DPRI Ver.5) in 1996 (Sassa 1997). DPRI
Ver.5 is considered to be improved intelligent type
because of satisfying criteria of the simplicity of
both construction and operation, and the capability
of complete undrained testing to investigate pore
pressure generation before and after the failure or
the collapse of soil.
After the pioneering work by Bishop et al. (1971),
the ring shear apparatus is widely used to study the
mechanical behaviour of landslide motion (Tika et al.
1996) especially in residual state. For the purposes
other than the measurement of the residual strength,
it has all the disadvantages of the shear box, such as
high local concentrations of the strain and the
uncertainty about the direction of the principal
stresses as the test proceeds. But it is the most
powerful tool to reproduce the stress condition along
the sliding surface of the landslide in situ for very
long shear displacement, the extended laboratory
tests by means of the ring shear test were performed
(Sassa 1988, Sassa et al. 1996).

577

Figure 1. Schematic figure of the shear box of
the ring shear apparatus Ver.5.
The soil specimen is set in the donut-like
(circular) shear box made of steel. The outer
diameter of shear box is 18.0 cm and the inner
diameter is 12.0 cm, thus the area of the sliding
surface is 141.37 cm’. The nominal specimen height
after initial consolidation is around 6.0 cm and the
sliding surface is located at around the middle of the
specimen. Rubber edge is pasted along the upper
surface of the lower half of the shear box (Fig. 1).
And it was turned on a lathe to completely remove
unevenness and designed for preventing the leakage
of water and specimen in the process of
consolidation or shearing. The constant contact force
at 1.4 kN between the rubber edge and the upper half
of the shear box is supplied during the test. Before
each test, rubber edge was covered by Teflon spray
and silicon grease was laid on it for the complete
undrained condition.
3 PROPERTIES OF SPECIMEN
The soil specimen employed in this study is Osaka-
group coarse sandy soils and Silica sand No.8.
Osaka-group coarse sandy soils widely distributed
in the Knasai area was sampled from the source area
of Takarazuka Landslide, which was triggered by
1995.1.17 Hyogoken-Nanbu earthquake. The depth
of the sampling point was approximately 4 m.
Osaka-group is a lacustrine and marine deposit of
weathered granitic sands in the Pliocene to the Mid-
Pleistocene (Ichihara 1996). It is an angular sandy
soil made up of 77 percent of quartz and 23 percent
of feldspar, and has a mean diameter D,, = 0.9 mm, a
uniformity coefficient of Uc = 5.2, and specific
gravity of Gs =2.6 1.
578
Silica sand No.8 is the construction material for
industrial use. It consists of weathered silica sand. It
is almost angular sand with 92 through 98 percent of
quartz and a little amount of feldspar and has a mean
diameter D,, = 0.057 mm, a uniformity coefficient of
Uc = 10.2, and specific gravity of Gs = 2.63.
4 TEST PROCEDURE
It is said that air-pluviation method provides a more
uniform specimen (Gilbert et al. 1988) and yielded
the specimens of the lowest resistance to
liquefaction (Mulilis et al. 1977). Since air-
pluviation is difficult for the donut-shaped shear box,
the oven-dry specimen was poured into the shear
box from the top of the upper shear box by a cup as
close as air-pluviation. To make saturated specimens,
CO2gas was supplied into the specimens to expel air
for about 1 hour first, and then de-aired water was
percolated for around 12 hours. For checking the
degree of saturation of the specimens, pore pressure
parameter B,, in the undrained direct shear condition
(Sassa 1988) was measured.
B, = AuIAo (1)
where U = pore pressure; and CT = normal stress.
The specimens were consolidated at 50 kPa of
normal stress, and then the generated pore pressure
was measured when the additional 50 kPa of normal
stress was applied under undrained condition. In this
study, the specimens with B, value larger than 0.95
were adopted as the fully saturated specimens.
Normal stress was decreased to 50 kPa under
undrained condition and then certain initial normal
stresses for each test were applied and the specimens
were consolidated.
The specimens were sheared up to 10 m of shear
displacement at the 1.0 d s e c of shear speed.
During shearing, the data of normal stress, shear
resistance, pore pressure, shear displacement, and
 Figure 2. Collapse line on stress paths of normally consolidated Osaka-group coarse sandy soils.
vertical displacement were measured at very high
frequency. And it should be mentioned about the
rubber edge friction between the gap. In this study
by the ring shear tests, obtained shear resistance
includes the real shear resistance of soils and the
rubber edge friction. Thus, after the undrained ring
shear tests, the shear box was changed into the
drained condition. And by decreasing normal stress
gradually to almost 0 kPa, a clear failure line was
obtained for each test. Assuming zero cohesion of
sandy soils, the value of the intercept (shear
resistance at 0 kPa of normal stress) was interpreted
as the rubber edge friction. These values were
subtracted from the measured shear resistance for
each test. The conducted test numbers and test
conditions are listed in Table 1.
5 STRESS CONDITION OF LIQUEFACTION
THROUGH COLLAPSE BEHAVIOUR
As for liquefaction phenomenon, Bishop et al.
(197 1) pointed out that the mobilized peak internal
friction angles were considerably smaller than the
maximum angle of shear resistance based on the
Mohr-Coulomb criterion. Sladen et al. (1985) put it
forward the collapse line in the stress space (p-q
diagram) by using the triaxial compression test. The
stress points of peak shear resistance when the
specimens at a certain void ratio were collapsed fell
on the straight line. Hence the collapse line reached
the steady state stress point of the specimens at a
certain void ratio. As the void ratio is getting smaller,
the collapse line shifts its position upward in the
stress space. Meanwhile, Vaid et al. (1985) proposed
the critical stress ratio line by the triaxial test. This
line is passing through the origin and independent of
initial void ratio. When the stress path reaches a
certain stress ratio of shear resistance divided by
effective normal stress, in other words, the stress
path is trying to cross the critical stress ratio line, the
579
specimens collapse into liquefaction. The
controversy of which line shows the real undrained
shear behaviour of sandy soils has not been resolved.
Besides very few investigations have been conducted
by means of the ring shear test.
In order to investigate the collapse behaviour by
the ring shear test, the specimens of Osaka-group
coarse sandy soils (Test RO1 through R07) were
normally consolidated at different initial normal
stress from about 103 kPa through 628 kPa. Relative
density varies from 80.4 to 96.1. Figure 2 shows the
effective stress paths of these tests. All stress paths
reached almost the same failure line on the way to
the final stress points and effective normal stresses at
steady state were as small as around 20 kPa. It
means liquefaction was not generated but sliding-
surface liquefaction (Sassa et al. 1996) was yielded
from all tests. In the ring shear test, the shear
deformation is concentrated at around the sliding
surface and it seems difficult to whole liquefy.
Although the postpeak loss of shear resistance was
small and the pore pressure in Test RO1 and Test
R 0 2 showed the small turnaround into decreasing,
the collapse behaviour of sandy soils was observed
from all tests. Each collapse point (circles in Fig. 2)
before the stress paths reaching the failure line fell
on the almost straight line passing through the origin
(collapse line as for ring shear test). Based on the
test result, when the stress paths reached a certain
stress ratio of the temporal peak shear resistance
divided by effective normal stress under the failure
line, the specimens collapsed and the stress path
moved to the failure line with shear resistance
decreasing. The collapse line in this study which was
from the undrained speed-controlled ring shear tests
on normally consolidated Osaka-group coarse sandy
soils is harmony with Vaid's critical stress ratio line.
However, as to the speed controlled ring shear tests
on normally consolidated Silica sand No.8 (Test RS 1
though RS5), effective stress paths (Fig. 3) did not
show the temporal peak shear resistance before
 Figure 3. Effective stress paths of normally consolidated Silica sand No.8.
Figure 4. Negative dilatancy region and grain
crushing dominant region of Osaka-group coarse
sandy soils.
reaching the failure line and the collapse points ware
not able to be observed. Although the shape of
effective stress paths were similar to those on Osaka-
group coarse sandy soils and pore pressure was
monotonically increased without decreasing, no
collapse line was defined on Silica sand No.8.
6 NEGATIVE DILATANCY AND GRAIN
CRUSHING
As to Figures 2, 3, effective stress paths of Osaka-
group coarse sandy soils and Silica sand No.8 could
be divided into two parts. The first region is from the
beginning to the stress path reaching the failure line
and failed, and the second is from what time the
stress path went left-downward along the failure line
580
Figure 5. Negative dilatancy region and grain
crushing dominant region of Silica sand No.8.
to the final stage under steady state condition. In the
first stage pore pressure considered to be generated
entirely by negative dilatancy, and in the second
stage by negative dilatancy plus grain crushing
(grain crushing dominant). The relationship of
excess pore pressure ratio, r,,(t)expressed as the ratio
of excess pore pressure increment to initial effective
normal stress, d o ' (Popescu et al. 1997) versus
shear displacement of Test RO1 through Test R07 is
presented in Figure 4 and that of Test RSl through
RS5 is in Figure 5.
where uo= initial pore pressure.
In Figure 4, excess pore pressure ratio, ru(t)of
Osaka-group coarse sandy soils was positively
increased just from the beginning of shearing.And at
around 4 mm of shear displacement, some of them
 Figure 6. Ultimate steady state line compared with steady state line and quasi steady state line.
showed the temporal peak and the others showed the
very small increase of excess pore pressure ratio.
And then from around 10 mm of shear displacement
excess pore pressure ratio was re-increased. From 1
m to 10 m of shear displacement, excess pore
pressure ratio was almost constant for each test and
this final value was proportional to the initial
effective normal stress. Though there was the scatter
of about 0.1 as for excess pore pressure ratio, the
generated excess pore pressure ratio at 4 mm and 10
mm of shear displacement could consider to be
independent of initial void ratio or initial effective
normal stress. Accordingly it should be noticed here
that the negative dilatancy region when effective
stress path moved under the failure line and the grain
crushing dominant region when effective stress path
moved left-downward along the failure line could be
demarcated by the shear displacement of 4 mm and
10 mm respectively for Osaka-group coarse sandy
soils.
From Figure 5 on Silica sand No.8, the negative
dilatancy region could be also finished at 7 mm of
shear displacement. And the emphasis should be
placed on the complete coincidence of the excess
pore pressure ratio from 5 tests at different relative
density. Grain crushing dominant region might be
from about 15 m of shear displacement and the
find excess pore pressure ratio under steady state
condition was in order of initial effective normal
stress.
From these results, it was revealed that negative
dilatancy region and grain crushing dominant region
of each specimen could be demarcated by the certain
values of shear displacement respectively. And
excess pore pressure ratio under steady state
condition was affected by initial effective normal
stress.
581
7 CONSEQUENCE OF LIQUEFACTION
THROUGH COLLAPSE BEHAVIOUR
It is stated in the definition of the steady state by
Poulos (198 1) that the steady state is achieved only
after all particle orientation has reached a
statistically steady state condition and after all
particles breakage, if any, is complete, and that these
conditions normally can be attained only at larger
strains - well beyond those that can be reached in the
triaxial tests. Nevertheless the widespread concept of
steady state line and the subsequent of quasi steady
state line proposed by Alucon-Guzman et al. (1988)
are mostly based on the test results by using the
triaxial test and examinations about steady state have
been scarcely conducted by means of the ring shear
test.
Figure 6 compares steady state line from the ring
shear tests with quasi steady state line and steady
state line from the triaxial compression tests (Okada
et al. 1998). As to the triaxial compression test, a
sliding surface would be theoretically formed in the
cylindrical specimen with the angle of (45 + $72)
degrees from the vertical direction, and effective
normal stresses on a theoretical sliding surface at
quasi steady state and steady state conditions are
calculated by the following equation assuming
internal friction angle at quasi steady state and
steady state conditions as 3 1 degrees.
(3)
where U ' = effective normal stress on the sliding
surface; p:, = p ' at quasi steady state or steady state;
and +
' = internal friction angle at quasi steady state
or steady state.
 Of evidence is that the steady state line from the
ring shear tests was located under the other two lines
from the triaxial compression tests and the
inclination of the steady state line from the ring
shear tests was steepest of all three. Since the ring
shear tests (Test RO1 through R07) all generated
sliding-surface liquefaction, much generation of
excess pore pressure was due to grain crushing. Thus
effective normal stresses at steady state by the ring
shear test were obtained after possible grain crushing
was finished. Accordingly it could be considered that
the steady state line which is completely conformity
with the original definition by Poulos (1981) was
obtained ultimately. In this sense, the steady state
line from the ring shear tests after long shearing
should be interpreted as "ultimate steady state line."
There is a controversy on which of quasi steady
state strength or steady state strength from the
triaxial tests should be used as residual strength, but
the authors emphasize that the ultimate steady state
line from the ring shear tests should be concerned in
relation to some practical problems considering
residual strengths of soils.
8 CONCLUSIONS
1. As to the speed-controlled ring shear tests on
normally consolidated Osaka-group coarse sandy
soils, the collapse line was obtained as the criterion
for liquidization phenomenon.
2. Effective stress paths of normally consolidated
Osaka-group coarse sand soils and Silica sand No.8
could be divided into two regions of the negative
dilatancy region and the grain crushing dominant
region. And these regions could be demarcated by
shear displacement from the viewpoint of the
relationship of excess pore pressure ratio versus
shear displacement for each normally consolidated
specimens.
3. Steady state line from the ring shear tests on
Osaka-group coarse sandy soils obtained after
finishing grain crushing as much as possible should
be treated as the real steady line, and it was
interpreted as "ultimate steady state line."
REFERENCES
Alarcon-Guzman, A., G. A. Leonards & J. L.
Chameau (1988): Undrained monotonic and cyclic
strength of sands. ASCE Journal of Geotechnical
Engineering Division, Vol. 114, No. 10, pp. 1089-
1109.
Bishop, A. W., G. E. Green, V. K. Garga, A.
Anderson & J. D. Brown (1971): A new ring shear
apparatus and its application of the measurement
of the residual strength. Gkotechnique, Vol. 2 1, No.
4,pp. 273-328.
Castro, G. (1969): Liquefaction of Sands. Ph. D.
Thesis, Harvard Soil Mechanics Series, No. 81.
Harvard University, Cambridge, MA.
Gilbert, P. A. & W. F. Marcuson (1988): Density
variation in specimens subjected to cyclic and
monotonic loads. ASCE Journal of Geotechnical
Engineering Division, Vol. 114, No. 1, pp. 1-20.
Ichihara, M. (1996): The Osaka group layer and
Chinese loess layer (in Japanese). Tokyo: Chikuji-
Shokan .
Mulilis, J. P., H. B. Seed, C. K. Chan & J. K.
Mitchell (1977): Effect of sample preparations on
sand liquefaction. ASCE Journal of Geotechnical
Engineering Division, Vol. 103, No. GT2, pp. 91-
108.
Okada, Y., K. Sassa & H. Fukuoka (1998):
Comparison of shear behaviour of sandy soils by
ring-shear test with conventional shear tests.
Environmental Forest Science, Proceedings of
IUFRO Div. 8 Conferences, Kyoto, Kluwer
Academic Publisher, pp. 623-632.
Popescu, R., J. H. Prevost & G. Deodatis (1997):
Effects of spatial variability on soil liquefaction:
some design recommendations. Giotechnique, Vol.
47, NO. 5, pp. 1019-1036.
Poulos, J. (1981): The steady state deformation.
ASCE Journal of Geotechnical Engineering
Division, Vol. 107, No. GT5, pp. 553-562.
Sassa, K. (1988): Motion of Landslides and debris
flows - Prediction of hazard area -, Report of
Grant-in-Aid for Scientific Research by Japanese
Ministry on Education, Science and Culture (No.
61480062).
Sassa, K., H. Fukuoka, G. Scarascia-Mugnozza & S.
Evans ( 1996): Earthquake-induced-landslides:
Distribution, motion and mechanisms. Special
Issue for the great Hanshin Earthquake Disasters,
Soils and Foundations, pp. 53-64.
Sassa, K. (1997): A new intelligent type dynamic
loading ring shear apparatus. Landslide News
(Japanese Landslide Society), No. 10, PP. 33.
Sladen, J. A., R. D. D'Hollander & J. Krahn (1985):
The liquefaction of sands, a collapse surface
approach. Canadian Geotechnical Journal, Vol. 22,
pp. 564-578.
Tika, T. E., P. R. Vaughan & L. J. L. J. Lemos
(1996): Fast shearing of pre-existing shear zones
in soil. Gkotechnique, Vol. 46, No. 2, pp. 197-233.
Vaid, Y. P., J. C. Chern & H. Tumi (1985): Confining
pressure, grain angularity, and liquefaction. ASCE
Journal of Geotechnical Engineering Division, Vol.
11 1, NO. 10, pp. 1229-1235.
 Slope Stability Engineering, Yagi, Yamagami & Jiang 0 1999Balkema, Rofterdam, ISBN 90 5809 079 5

Effects of density, stress state and shear history on sliding-surface liquefaction

behavior of sands in ring-shear apparatus

Gonghui Wang
Graduate School of Science, Kyoto Universir)! Uji,.Inpm
Kyoji Sassa
I1 isci.5 ter Presention a i d Re.,eu rch I n s titu re, Kyoto Uni rsi 9,
U ji , J upa n

ABSTRACT: The concept of sliding-surface liquefaction was proposed by Sassa in the studies of landslides
triggered by the Hyogoken-Nanbu earthquake through undrained ring-shear tests. In the present research, to
make a further understanding of sliding-surface liquefaction, a series of tests was conducted on silica sands in
ring-shear apparatus to study the effects of initial density, stress state and shear history on sliding-surface
liquefaction behaviour. The tests on different initial relative densities showed that undrained shear behaviour
was affected greatly by initial density. While the tests on different initial shear stress proved that initial
drained shear stress had some influences on static liquefaction resistance and the resulting deformation after
failure, but no effect on steady state shear strength. Repeated shear tests on the same sample showed that with
increase of repeated shear times, the peak shear strength and the steady state shear strength become greater.

1 INTRODUCTION tremendous ring-shear tests on different samples

Liquefaction landslide is always characterized by
high-speed movement and long run-out distance, so
it is usually accompanied by tremendous hazards. To
predict the potential of this kind of failure and
mitigate the disasters, it is necessary to have a good
understanding of its mechanism. In the studies of
landslides triggered by the Hyogoken-Nanbu
earthquake through undrained ring-shear tests, a new
concept “sliding-surface liquefaction” was proposed
by Sassa et al. (1995), which could reasonably inter-
pret many initiated high speed landslide phenomena.
Sliding-surface liquefaction is a special kind of
liquefaction, it differs from the normally known
Liquefaction (namely mass liquefaction) (Sassa
1995). Mass liquefaction is a process during which
the soil losses a great number of its strength due to
the generation of excess pore pressure, and shows
the behaviour of liquid. Sliding-surface liquefaction
is a phenomenon that liquefaction only takes place
along the sliding surface. With increasing of shear
displacement, accompanying the grain crushing,
pore water pressure builds up gradually, and shear
resistance decreases slowly, finally reaches a certain
value, known as the steady state strength (Sassa et al.
1996, Sassa 1997). Therefore, Sliding-surface
liquefaction can take place even in medium or dense
soil structure; it is a localized liquefaction limited in
the shear zone both in laboratoryand in the field.
Recently, Sassa and colleagues had carried out
under different loading conditions (static load and
cyclic load) to study the effects of these factors on
sliding-surface liquefaction behaviour, and had made
this phenomenon widely understood. However, most
of the studies were on the mechanism of sliding-
surface liquefaction, with some emphasis on the
relationship between grain crushing and pore
pressure generation, etc (Wang 1998). The
evaluation of sliding-surface liquefaction
susceptibility of a soil element under a certain stress
state and the evaluation of post failure behaviour
that could be connected with the potential resulting
disaster were less studied. And even more, there is
no research concerned with the failure of re-activate
field slopes. In practical situation, a slope could have
suffered several times of failure, it means that the
soils within the sliding zone may have repeatedly
suffered shear failure arid grain crushing. This kind
of slope should be paid more attention, because the
stability factor is small (usually considered as l.O),
when triggered by some factors (such as earthquake,
rainfall, etc.). Therefore, it is necessary to make the
behaviour of the soils within the shear zone of this
kind of failure clear.
The data presented in this research is to aid
understanding of the effects of initial relative density,
previously mobilized drained shear stress, and shear
history on the undrained shear behaviour in ring-
shear apparatus. These constitute the main purpose
of the present research.

583
Figure 1. Grain size distribution of silica sand no. 8
(W.
2 SAMPLE CHARACTERISTICS
Silica sand no.8 (abbreviated as S8) was selected as
the sample. S8 is a kind of sand material for building
made from silica sandstone by grinding, comprised
of sub-angular to angular quartz. S8 has a mean
diameter of D,, = 0.057 mm, uniformity coefficient
of U , = 10.2, maximum void ratio of 1.657 and
minimum void ratio of 0.852, and specific gravity of
2.63. Figure 1 shows the grain size distribution of S8.
The permeability coefficients range from 0.001 to
0.01( c d s ) when the void ratios vary from 0.9 to 1.3.
3 TEST APPARATUS AND TEST PROCEDURE
3.1 Ring-shear apparatus
Two new sets of almighty intelligent ring-shear
apparatus (DPRI Ver.5, DPRI Ver.6) were developed
and improved by Sassa and colleagues. In the
present research, DPRI-6 was employed. The shear
box for DPRI-6 is very large, of 250cm in inner
diameter, 350cm in outer diameter and 15cm in
height. The detailed information on ring-shear
apparatuses could be referred to Sassa (1997).
Corresponding to the shear stress control, there are
three kinds of rotating gear with final speed of
I0mdsec (Low), 30cdsec (Medium) and 21dsec
(High). In this study, the Low gear was selected.
3.2 Test procedure
The oven-dried sample was set into the shear box
by means of dry deposition (Ishihara, 1993). Sample
was saturated with aid of carbon dioxide and de-
aired water. In all the tests, full saturation was
ensured by using B,, parameter (proposed by Sassa,
1988) with B, 2 0.95.
The sample was normally consolidated. After
consolidation, initial mobilized drained stresses
corresponding to those of a given slope were applied
Undrained shear stress was subsequently applied at a
loading rate of 0.098 kPa/sec. Transducers were
584
Figure 2. Shear stress-shear displacement curve in
ring shear test.
scanned at an interval of 1 second before the peak
shear stress; after that, the sampling rate was
increased to 20 sampleshec. To observe the
generation of pore pressure accompanying the shear
displacement, the samples were usually sheared to a
large displacement of 10m.
4 STATIC LIQUEFACTION RESISTANCE AND
BRITTLENESS INDEX
Static liquefaction refers to these liquefaction
resulted from monotonically increasing of static
loading. The criterion for the analysis of liquefaction
susceptibility of sand under a certain condition
(stress state and density) had been made clear
(Castro 1969, Castro & Poulos 1977). Considering
that both in the field and in the laboratory,
liquefaction can only occur when shear stresses
under undrained conditions are greater than or equal
to those required to initiate liquefaction, Kramer &
Seed (1988) proposed a new concept of static
liquefaction resistance to evaluate the liquefaction
potential at a given site, that was defined as the
increase in shear stress under undrained conditions
required to initiate liquefaction, and formulated as:
,.
where r = peak undrained shear strength, r =
previously mobilized drain shear stress, as shown in
Figure 2.
A parameter “Brittleness index” was proposed
and used by Bishop (1967) with which to relate post-
rupture behaviour. It was defined as:
Where T , is the residual undrained shear strength,
usually referred to as the steady state shear strength.
A greater brittleness index indicates a greater re-
duction in shear strength that may be associated with
larger deformation after the initiation of liquefaction.
In this paper, we will use R, to evaluate the
liquefaction susceptibility and Z, to analyse the post-
failure behaviour of liquefied soil in ring-shear tests.
Figure 3. Ring shear test on very loose sand showing
mass liquefaction phenomenon.
(a) and (b): Variation of pore pressure and shear
resistance in relation to shear displacement for the
tests with shear displacement being 10 m and 3 cm,
respectively; (c): Effective stress path. (B, = 0.99, D,.
= 63.3%, = 196 kPa.)
5 TEST RESULTS
5 . I Muss liquefuction and sliding-su@uce lique-
fulctian behavior
To make a good understanding of the distinction
between sliding-surface liquefaction and mass
liquefaction, test results were presented to show
their unique characteristics. The results of two tests
on loose sands showing the behaviour of Inass
liquefaction during undrained shearing are illustrated
in Figure 3 (S,, and Soo3), Both of these two tests
were carried out under the same initial stress state
and initial density. S,, was sheared to 10m. So,, was
a complementary test of S,,, and its purpose was to
observe the undrained shear deformation of soils.
Two vertical slices of lcm width made from Toyoura
standard sands with different color were made inside
the samples. After undrained sheared to 3Cm, the
shear box was opened and the shear deformation
was observed, which confirmed the character of
mass liquefaction. Figures 3a shows the variation of
pore pressure in relation to shear displacement for
585
Figure 4. Ring shear test on dense sand showing
sliding-surface liquefaction phenomenon.
(a): Effective stress path; (b): Variation of pore
pressure and shear resistance in relation to shear
displacement. (B,,=0.99, D, = 9 1.2%, CT =I96 kPa.)
test of S,(),and Figure 3b for test of S,,,,. As shown,
immediately after the undrained shear stress was
applied, shear displacement was generated.
Accompanying the increase of shear displacement,
pore pressure built up quickly within limited shear
displacement range (about 1cm), and shear resis-
tance decreased remarkably. This period is usually
known as the collapse period, mainly due to the
failure of metastable structure. It could be seen that
test S,, and S,,, behaved almost the same. After that,
pore pressure built up gradually with the shear
displacement, and as a subsequence, shear resistance
decreased slowly (Fig. 3a). Figure 3c shows the
effective stress paths and failure line. The failure
line was measured after the undrained shear test was
stopped by means of reducing the normal stress at a
very slow unloading rate while keeping the shear
box rotating at a constant speed under drained
condition. From this figure, it could be seen that
after undrained shear stress was loaded from 0.0,
with increasing of shear stress, stress path extended
towards but did not reach the failure line with a final
point, known as the steady state point.
Mass liquefaction occurred only in the very loose
sands. Because all the tests were carried out under
normally consolidated state, there were limited tests
showing mass liquefaction, while most of them
showed sliding-surface liquefaction.
Figure 4 shows the results of a test on dense sands,
in which typical sliding-surface liquefaction
phenomenon occurred. This sample was made
through tamping method. After saturated, sample
was normally consolidated. Figure 4a illustrates the
variation of pore pressure and shear resistance in
relation to shear displacement; Figure 4b shows the
corresponding effective stress path. As shown in
Figure 421, in the initial period after shear stress was
applied, with increase of shear displacement, pore
pressure built up gradually, but after point “L”, it
decreased due to the dilatancy of dense sands. After
the peak shear strength was reached (Point F in Figs.
4a,b), sample failed, and thereafter, pore pressure
built up gradually with shear displacement, finally
reached about 110 kPa. The shear resistance
decreased slowly consequently, and finally fell to
about 60 kPa. The pore pressure ratio (pore pressure
/ normal stress) was about 0.56. As shown in Figure
4b, upon increase of shear stress, the effective stress
path extended left downward due to the pore
pressure generation. After point “U’, the path went
right-upward accompanying further shearing,
showed a turn point. After failure point “F”, the path
fell downward along the failure line until a small
shear resistance. This is a typical stress path of
sliding-surface liquefaction. The generation of high
pore pressure is due to grain crushing in the shear
zone. The undrained shear behaviour in triaxial
apparatus as that before the point “F’ in Figure 4b
was described as limited liquefaction (Castro 1969).
Due to the limitation of triaxial apparatus in shear
displacement, the behaviour after “F” was not
obtained and not made clear until undrained ring-
shear apparatus was developed. Obviously, the
prerequisite for this kind of liquefaction is that
enough shear displacement could be offered for the
completely grain crushing.
5.2 Effects of initial relative density
As widely known, void ratio plays an important role
for the liquefaction. To study the influence of soil
density on shear behaviour in ring-shear apparatus, a
number of tests were conducted on sands with initial
normal stress being 196.0 kPa and shear stress being
0.0. Relative density was selected as the parameter
to expressed the density.
Figure 5 presents the variation of shear resistance
(Fig. 5a) and pore pressure response (Fig. 5b) in
relation to shear displacement for samples with
different relative densities. Two of them (D,.= 63.3%
and D,.= 91 2%)had been presented in detail in the
proceeded section, therefore, emphasis will be
focused on the description of another two tests
586
Figure 5 . Results of tests on samples with different
initial relative density.
(a) and (b): the variation of shear resistance and
pore pressure in relation to shear displacement for
these tests, respectively.
results. As shown, both the samples tested at relative
densities of 76.0% and 74.1% exhibited transient
period of dilative behavior with decreasing excess
pore pressure and increasing shear stress after a
period of limited liquefaction. Thereafter, with the
increase of shear displacement, excess pore pressure
was built up gradually, and shear resistance
decreased subsequently, finally, dropped down to a
certain value respectively, which is usually much
less than the peak value of shear resistance, this
means that the soil was liquefied.
The increase in shear stress under undrained
conditions required to initiate liquefaction in
samples tested at 63.3, 74.1,76.0 and 91.2% relative
density was progressively greater. This means that
the static liquefaction resistance increases with
increasing relative density. It could be found easily
(in Fig. 5a) that steady state shear resistance
becomes greater with increase of relative density
also. In the liquefaction potential analysis based on
triaxial test results, it has been pointed out that, at
relative densities greater than those corresponding to
the steady state line, the soil will exhibit dilative
behaviour, and there will be no potential for
liquefaction. However, the test results presented here
shows that, provided that shear stress is enough to
initiate the failure of soil, liquefaction could be
resulted in, no matter the soil is denser or looser than
that of steady state line.
5.3 Effects of initial drained shear stress
To study the influence of initial drained shear stress

Figure 6. Results of tests on sample at different
initial drained shear stress.
(a): effective stress paths; (b): variation of shear
resistance in relation to shear displacement.
on the following undrained shear behaviour of sands,
a series of tests was conducted on sands under
different initial drained stresses. Initial drained shear
stresses were 0.0, 26.3, 58.0, 70.2 and 99.7kPa
respectively, while the normal stresses were kept the
same, 196.0kPa. Duiing test, after the normal stress
was applied and sands were normally consolidated,
initial drained shear stress was loaded, and then
switched the shear box into undrained condition and
increased the shear stress until failure. Theoretically,
all the tests should be performed under the same
relative density, but due to the difficulties in making
samples and effect of initial shear stress, there were
still little differences between their initial relative
densities among the tests presented here.
Figure 6 shows the results of tests on different
initial shear stresses. Figure 6a presents the effective
stress paths for these tests; and Figure 6b is the
variation of shear resistance in relation to shear
displacement. From Figures 6a, b, i t could clearly be
seen that with increase of initial shear stress, the
peak shear strength become greater. However, the
differences between the peak strength and initial
shear stress were approximately 54.8, 26.3, 15.6,
11.3 and 3.8 for the tests at initial shear stress of 0.0,
26.3, 58.0, 70.2 and 99.7kPa respectively, namely
the static liquefaction resistance becomes smaller
with increase of initial drained shear stress. It should
587
Figure 7. Test results of three shear times.
(a): effective stress paths; (b): variation of shear
resistance in relation to shear displacement; S 1, S2,
S3: final shear strength for the first time, second
time, and third time, respectively.
be noted that the static liquefaction resistance for the
test on initial drained shear stress of 99.7kPa is just a
very little proportion of the initial shear stress (about
3.8%). This means that a soil that have been
subjected to high initial drained shear stress is easier
to suffer from sliding-surface liquefaction because a
very little change in shear stress under undrained
condition could initiate sliding-surface liquefaction.
This result showed a good consistent with other
studies on mass liquefaction (Castro 1969, Castro &
Poulos 1977, Kramer 1988).
Although the tests on sands with different initial
shear stresses showed different peak shear strength
and different static sliding-surface liquefaction
resistance, it could be seen easily (Figs. 621, b) that
the final liquefaction resistance was approximately
the same. The little differences between their values
may be due to the little differences between their
initial relative densities. As described above, denser
sand will have greater steady state strength.
Therefore, i t could be concluded that initial shear
stress has no influence on the steady state strength.
Figure 6 presents another phenomenon that is, the
peak shear strength ( i- ,) becomes greater with
increase of initial shear stress while the steady state
shear strength ( T ,) is the same. Therefore, the
brittleness index (In) becomes greater consequently
( I , for these five tests were 1.42, 1.75, 2.19, 2.53 and
3.5 1 at initial shear stress of 0.0, 26.3, 58.0, 70.2 and
99.7kPa respectively). It shows that the soil liquefied
at a steeper slope will suffer from larger progressive
deformation, namely greater run-out distance.
5.4 Efsects ofrepeated shear history
Considering that failure could happen on a pre-failed
slope or along an existed sliding surface, repeated
shear tests on sands were performed to study the
shear behaviour of soils that have even experienced
prefailure. During test, sand was normally
consolidated and sheared (under undrained condition
with a given drained initial shear stress) to about
10m. Then, unloaded the loading and turned the
shear box into drained condition, re-consolidated the
once sheared sample, and performed the test under
the same condition as that of the first time for the
second and third time.
The effective stress paths for three times of tests
on the sample subjected to an initial shear stress of
70.2 kPa were presented in Figure 7a. Figure 7b
shows the corresponding variation of shear
resistance in relation to shear displacement. As
shown in Figure 7a, for the first shear time, after
undrained shear stress was applied, accompanying
the excess pore pressure generation, effective stress
path extended leftwards remarkably before reached
the failure line. After reached the failure line, due to
grain crushing, excess pore pressure continued to
build up until reaching the steady state. Focusing on
the effective stress path for the second time, we can
find that, although accompanying the increase of
undrained shear stress, the excess pore pressure was
built up, but it did not lead to the quick failure. After
the stress state reached the failure line, with increase
of shear displacement, shear resistance decreased
slowly accompanying the built-up of pore pressure.
For the third time, it could be seen that once the
undrained shear stress was applied and increased,
negative pore pressure was generated due to the
dilatancy. When shear stress was increased to a
certain, the sample failed, and then shear strength
fell to the failure line, thereafter, dropped down
along the failure line towards 0 point with increase
of shear displacement.
From Figures 7a, b, it could be seen that with
increase of repeated shear times, the steady state
shear strength and the peak shear strength became
greater. It indicates that with increase of shear times,
it becomes difficult for the liquefaction failure to
occur, because the collapse of metastable structure
and the grain crushing are tending to be finished
with increasing of repeated shear times.
6 CONCLUSIONS
A series of tests was conducted on silica sands to
588
study the sliding-surface liquefaction behaviour in
ring-shear apparatus. Through changing the initial
density and shear stresses, shearing the same sample
repeatedly, the effects of initial density, initial
drained shear stress and shearing history on the
undrained shear behaviour of sands were analyzed.
The conclusions could be drawn as follows.
1. Mass liquefaction could only happen in very
loose sands, while sliding-surface liquefaction could
take place even in medium or dense state.
2. Initial shear stress has no effect on the steady
state shear strength. With increase of initial shear
stress, the static sliding-surface liquefaction
resistance decreases, while brittleness index
becomes greater. It shows that a steeper slope is
more prone to suffer from the sliding-surface
liquefaction failure with rapid deformation.
3. With increase of repeated shear history, the
static liquefaction resistance and residual shear
strength become greater, namely soils become
difficult to suffer from liquefaction failure.
REFERENCES
Bishop, A.W. 1967. Progressive failure-with special
reference to the mechanism causing it. Proc.
Geotechn. Conf., Oslo, Norway 2, 142-1 SO.
Castro, G. 1969. Liquefuction ofsands. Ph.D. Thesis,
Harvard University, Mass.
Castro, G. & S.J., Poulos. 1977. Factors affecting
liquefaction and cyclic mobility. J. Geotech.
Eng. Div., ASCE 103, 50 1 -5 1 6.
Ishihara, K. 1993. Liquefaction and flow failure
during earthquakes. GPotechnique 43(3):349-45 1.
Kramer, K. L. & H. B . Seed 1988. Initiation of soil
liquefaction under static loading conditions. J .
Geotech. Engrg., 114: 4 12-430.
Sassa, K. 1988. Geotechnical model for the motion
of landslides. Special Lecture of 5th International
Symposium on Landslides, “Landslides”, 1.
Rotterdam: Balkema. 37-55
Sassa, K. & H. Fukuoka. 1995. Prediction of rapid
landslide motion. Proc. X X IUFRO World Cong.,
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Sassa, K., Fukuoka, H., Scarascia-Mugnozza, G. &
S.Evans 1996. Earthquake-induced-landslides:
Distribution, motion and mechanisms. Special
Issue for the great Hanshin Earthquake Disaster,
Soils and Foundations, 53-64.
Sassa, K. 1997. A new intelligent type of dynamic
loading ring-shear apparatus. Landslide News.
No.10, pp.33.
Wang, F. W. 1998. An experinzentul study on grain
crushing and excess pore pressure generation
during-shearing of sandji soils-A key factor for
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University.
 Slope Stability Engineering, Yagi, Yamagami & Jiang 0 1999 Balkema, Rotterdam, ISBN 90 5809 079 5

Real seismic-wave loading ring-shear test on the Nikawa landslide

EW W a g , K. Sassa & H. Fukuoka

Disaster Prevention Research Institute, Kyoto University,Uji,Japan

ABSTRACT: By employing an undrained cyclic-loading ring-shear apparatus, a series of tests to reproduce

the sliding behavior of the Nikawa landslide was conducted. Test sample was taken from the landslide. The
initial stress condition acting on a soil element in the sliding surface was applied on the sample. Based on the
monitored seismic-wave records, the input seismic wave was synthesized to obtain the seismic stress acting
on the sliding surface. The most remarkable result is that the pore pressure generation and the acceleration of
shear displacement continued after the main shock. Combining with the grain crushing at the shear zone in the
drained ring-shear test, the mechanism of this landslide is interpreted as that the main shock triggered the
failure of the slope, then shear displacement caused grain crushing in the shear zone, and resulted in residual
excess pore pressure generation and sliding-surface liquefaction.

1 INTRODUCTION granite. The Osaka-group layer and terrace deposit

The January 17, 1995 Hyogoken-Nambu earthquake
in Japan killed more than 5,500 persons, destroyed
about 200,000 houses, and triggered many disasters
of landslides. The Nikawa landslide is one of the
largest geo-disasters of the earthquake. It destroyed
11 houses and killed 34 persons. According to Sassa
et al. (1996), the landslide volume was 110,000 -
120,000 m3. The moving distance was 175 m. No
observation data of the sliding speed is available.
However, it is believed that it was a high-speed
landslide, because no one could evacuate from the
destroyed houses and all 34 residents were killed.
The landslide occurred on a gentle slope, and
moved for a long distance to the nearby residential
area. Figure 1 shows the plan of the landslide area
before the landslide occurred. The sliding direction
of this landslide is about 60"NE. Location of borings
and excavation pits PI and P2 for observation and
sampling point S1 are plotted. Standing ground
water was observed at secondarily moved debris.
Although January in this area is very dry, the Osaka-
group layer composing the slope retained ground
water. The ground water table was confirmed by
ground water level monitoring in them later.
Figure 2 is the A-A' section shown in Figure 1. It
is drawn based on the ground surface survey, boring
investigation and the ground water monitoring at the
boreholes. The average angle of the sliding surface
was about 20". The base-rock of the slope was
distributing on the slope overlaid on it. Above the
old slope surface, landfill was consisted of the
Osaka-group layer, and the landslide occurred in the
landfill. Test sample was taken from the landslide
mass just above the sliding surface by excavating the
landslide debris, namely the same materials (Osaka-
group coarse sandy soil) where the sliding zone was
formed.
To investigate the depth of groundwater table,
some boreholes were drilled immediately after the
occurrence of the landslide. The ground water table
existed in 6-7 m below the ground surface near and
outside of the landslide area in three boreholes from
February to March 1995.
As an example of rapid landslides induced by
earthquakes, the Nikawa landslide was studied by
Sassa et al. (1996), with an undrained ring-shear
apparatus, DPRI-3. In that study, normal stress was
kept as constant, and shear stress was applied as a
sine wave of 0.1 Hz with the amplitude increasing
cycle by cycle. In undrained condition, dense sample
was sheared and effective stress path was obtained.
Basing on the study, a concept termed as "sliding-
surface liquefaction" was proposed. Sliding-surface
liquefaction can take place even in medium-dense or
dense soil layer because grain crushing in the shear
zone results in potential of volume reduction and
generation of excess pore pressure.
It is of great geotechnical significance to perform
a test using a real earthquake record to investigate

589
Figure 1 Plan of the slope before the Nikawa landslide occurred and the outline of the landslide area
(from Sassa et al. 1996).
Figure 2 Geological section along A-A’ line in
Figure 1 (from Sassa et al. 1996).
the sliding behavior of landslide triggered by
earthquakes. For this purpose, an improved
undrained ring-shear apparatus, DPRI-5, which is
possible to load real seismic wave, was developed in
1995 (Sassa 1997) and used in this study.
2 INPUT OF SEISMIC LOADING
Theoretically, it would be the best to use a seismic
record monitored at the landslide site, but it did not
exist. -4mong seismic records monitored in the
earthquake, the seismometer at the JR Takarazuka
Station is the nearest one from the Nikawa landslide
site. Therefore, the real seismic wave monitored at
the JR Takarazuka Station was used in this study by
590
courtesy of the Japan Railway Technical Research
Institute.
There are two important factors in the input
seismic wave. One is the peak ground acceleration,
and the other is wave shape. Concerning the peak
ground acceleration, an attenuation equation (Eq. 1)
proposed by Fukushima & Tanaka (1992) was
employed.
(1)
10gA=0.42Ms-log(R+O.O25~10~~~~’)-0.0033R+1.22
where A is the average of two peak horizontal
acceleration in cds’, Ms the moment magnitude and
R the distance from an observatory station to the
fault rupture in km. Eq. (1) is for the horizontal
acceleration, because vertical acceleration also
attenuates following the same law, the correction of
the vertical acceleration was also processed with this
equation.
According to the Active Faults Map in Urban Area
published by Geographical Survey Institute of Japan
(1996) and Lrikura & Fukushima (1995), the distance
from the active fault, the Koyo active fault, to the JR
Takarazuka Station and the Nikawa landslide are
about 7 km and 0.5 km, respectively. The peak
acceleration for the moment magnitude ( M s ) value
for the Hyogoken-Nambu earthquake is 7.0. By
calculation, the peak ground acceleration at the
Nikawa landslide was about 1.4 times to that at the
JR Takarazuka Station.
Fukushima & Tanaka (1990) also found that, in

Figure 3 The synthesizing procedure from
seismic loading to normal stress and shear stress.
(a) Transfer the horizontal acceleration (EW
and NS) components to the horizontal slope
direction.
(b) Transfer the horizontal component along
the slope direction and the vertical component
(UD) to the components (NR and SH) along the
sliding surface.
(c) Sum the initial stress according to the self-
weight (w)and the increments of normal stress
(Ao) and shear stress (AT) acting on the sliding
surface by multiplying acceleration and mass of
the soil columns.
general, the mean value of the peak ground
acceleration for loose soil was 140% times of the
average value. The seismic measurement system was
set in stiff layer at the JR Takarazuka Station. While,
as described previously, the Nikawa landslide mass
was consisted of landfill of the Osaka-group coarse
sandy soil. So the peak acceleration in the landslide
591
Figure 4 Loading stresses on the sample.
(a): Normal stress, (b): Shear stress
consisted of landfill was assumed to be 140% of that
measured by seismometers at the JR Takarazuka
Station. Considering the two factors, 2.0 (1.4~140%
= 2.0) was selected as the amplifying coefficient of
the peak ground acceleration.
Concerning the wave shape and loading
magnitude, through the procedure shown in Figure 3
(Fukuoka et al. 1998), the seismic wave acting on
the soil element in the sliding zone was calculated.
Here, we use the following values based on the
field investigation. H = 14 m, 8 = 20°, 'yl = 17.6
kN/m3, E = 20.6 kN/m3, respectively (Kawasaki
Geology Corporation 1995). The pore pressure table
above the sliding surface was assumed to be about 7
m (at least), because the ground water table outside
the landslide area was 6-7m below the ground
surface. Accordingly, the initial normal stress 0,was
236.1 kPa, the initial shear stress T, was 85.9 kPa,
and the initial static pore pressure U, was 60.6 kPa.
Eventually, the dynamic-loading stress input was
obtained as shown in Figure 4. The seismic wave
lasts for 40 seconds. The main shock distributed
between 4 second and 7 second. After the seismic
wave is over, the stress state of the soil element
returns to the initial stress state at the slope.
3 SAMPLE PREPARATION AND TEST
PROCEDURE
Grains greater than 4.75 mm are about 7% of the
sample. They were eliminated after dried in oven,
considering the size of the shear box. The physical
properties of the sample are shown in Table 1.
The seismic loading simulation test on the Nikawa
Table 1. Physical properties of the Osaka-group
coarse sandy soil.
Specific gravity, G,y

Minimum void ratio, ernin

Uniformity coefficient, U,
0.50 mm

landslide was performed by following procedures.

1) Weigh and set the dry sample in the shear box
with free-fall deposition method, and then saturate it.
The degree of saturation is confirmed by B D value, a
pore pressure coefficient in direct shear state. The BD
value at this test was 0.99, means a high degree of
saturation was achieved.
2) Consolidate the sample at the initial normal
stress, 0,and then apply the initial shear stress, z, at
drained condition.
3) Apply the initial pore pressure U , from the
upper drain line of the shear box to simulate the
ground water condition. The relative density of the
sample was 121.2 percent.
4) Change the shear box to undrained condition
and load the seismic-wave loading of normal stress Figure 5 Time-series data of the simulation test
and shear stress simultaneously. on the Nikawa landslide.
S ) Keep on the shearing with the shear box in the B, = 0.99, Dr = 121.2 percent
undrained condition, until the steady state of the (a): Normal stress (kPa); (b): Pore pressure
tested sample is reached. (kPa); (c): Shear resistance (kPa) and shear
displacement (x100 mm).

4 TEST RESULTS AND ANALYSES

Figure 5 shows the time-series data of monitored
parameters of normal stress 0,pore pressure U , shear
resistance z and shear displacement. In Figure 5a,
the monitored normal stress is almost the same as
the control signal. Figure 5b shows the variation of
pore pressure. During the main shock (4-7 second),
the excess pore pressure changed rapidly as a
response to the loaded stresses. The low boundary of
pore pressure curve indicated the built-up of pore
pressure during the main shock. It is noticed that
pore pressure is built-up to a certain value after the
main shock. Figure 5c shows the variation of shear
resistance and shear displacement. During the main
shock, the sample failed because the loaded shear
stress exceeded the shear strength of the soil. Shear
displacement was observed. However, it was so
small during the main shock that almost invisible in
this figure. The mobilized shear resistance changes
rapidly, while the maximum value did not decrease
so much during the main shock. It is quite
remarkable that the shear displacement accelerates
through the whole process after failure. It is
apparently resulted from the decrease of shear
resistance to a certain low value, reasonably
corresponding to the tendency of pore pressure built-
up after the main shock. This is the same
phenomenon observed in the previous research in
the 0.1 Hz cyclic-loading ring shear test for the same
soil sample.
Figure 6 shows the stress path obtained in the
simulation test. ESP means the effective stress path,
while TSP means the total stress path. Because of
possible delay of pore pressure measurement during
the period of high frequency, some stress points
distributed above the failure line. Although it is
difficult to follow the process of both stress paths
with this figure, referring to the time series data, it is
reasonable to describe the stress path as following.
At first, the stress path reached the peak strength
failure line ($I,) = 39.6') and the soil failed. The state
of shear zone became to residual one. With the
progress of shearing after failure, the effective stress
path turned to the residual failure line ($Ir = 35.5').
Shearing under a high effective stress should cause
the grain crushing and then result in the generation
of excess pore pressure. Thereafter, with the
generation of large excess pore pressure, the
effective stress path descended along the residual
failure line to a very low effective stress level. The

592
Figure 6 The stress path for the simulation test on the Nikawa landslide.
ESP: Effective stress path, TSP: Total stress path
B, = 0.99, Dr = 121.2 percent
Figure 7 The relationship between residual
excess pore pressure ratio and the shear
displacement.
apparent friction angle is 6.3”. The grain crushing
process went to close, until the effective stress
became small enough that grain crushing can not
take place any more. This is somewhat different
from the usual liquefaction, in which the stress path
instantaneously reduces to a very low stress level
without reaching the peak strength failure line. It is
consistent with the phenomenon of “sliding-surface
liquefaction”. In it, the excess pore pressure, which
caused by grain crushing in the shear zone during
shearing is important. The grain crushing makes
volume reduction potential, and results in the built-
up of excess pore pressure. To examine the concept,
the built-up of residual excess pore pressure with
shear displacement is presented here, and the grain
crushing property of the sample is investigated later.
Figure 7 shows the changing process of the
593
residual excess pore pressure ratio (T,,~(t)).r,, ( t ) was
defined as Eq. (2).
= ( ( u ( t ) - uo) - A o ( t ) B ~ ) / o o ’
rilr(t) (2)
where, u(t) is the monitored pore pressure, uo is the
initial pore pressure, do ( t ) is the applied normal
stress increment, and oo’ = o, - uo is the initial
effective stress. B, is pore pressure coefficient in
direct shear state. The residual excess pore pressure
ratio is independent for the initial pore pressure and
the loaded normal stress, and has the maximal value
of unity. It is shown that, although there is possible
measurement delay of pore pressure between the
shear displacement of 0.2 mm and 3 mm, the
increase trend of r,, ( t ) with shear displacement is
clearly observed. Especially, after 10 mm, it is
convinced that, the excess pore pressure is generated
with the increasing of shear displacement. When the
shear displacement exceeds 1000 mm, the excess
pore pressure ratio reaches about 0.8. Sliding-
surface liquefaction occurred with the progress of
shear displacement.
5 GRAIN CRUSHING PROPERTY OF THE
TESTED SAMPLE
After the simulation test, drained constant-speed
ring-shear test was carried out on the same kind of
sample to investigate the grain crushing property of
the tested sample.
Under a normal stress of 196 kPa, and shear speed
of 3 m d s e c , the sample was sheared for 42 m in
drained condition. In order to investigate the state of
grain crushing in the shear zone, the sheared sample
after the drained test was excavated and the cross
section was exposed. Figure 8 is the photograph
showing the cross section of the sheared sample in

Figure 8 Photo of the sample after drained shear.
A trench cut in the shear box. Pins show the
upper and lower boundary of the grain-
crushing zone.
Figure 9 Grain size distribution analysis results for
the original sample, sample at the shear zone,
samples at the upper part and the lower part of the
shear box after sheared for 42 m under 196 kPa
normal stress, shear speed = 3 m d s e c .
the sample box. It is clearly observed that a grain-
crushing zone, which was finer and denser than the
upper and lower sample, was formed at the shear
zone. The pins show the upper and lower boundary
of the grain-crushing zone. Then, the samples in the
shear zone, and that at the upper part and lower part
of the shear box were taken out, and grain size
distribution analyses were conducted on them.
Figure 9 is the result comparing to the original
sample. The samples at the upper part and lower part
have just the same grain size distribution as that of
the original one, while that in the shear zone was
much finer. It is indicated that grain crushing only
took place in the shear zone. Based on this result, it
is reasonable to estimate that the built-up of pore
pressure is resulted from the grain crushing in the
shear zone. It is confirmed that, because of the grain
crushing occurred in the shear zone, sliding-surface
liquefaction happened.
594
6 CONCLUSION
The mechanism of the Nikawa landslide was
investigated. Dynamic loading synthesized from the
real seismic-wave was loaded in this test. Results
presented that shear displacement started during the
main shock, but it was very small. The major
phenomenon representing the rapid motion of the
landslide occurred after the main shock. After the
main shock, shear displacement increased rapidly,
pore pressure was built-up continually and shear
resistance reduced to a very low value. Through
confirmation of the grain crushing process in the
shear zone after the drained shear test, it is
concluded that the sliding-surface liquefaction is
caused by grain crushing.
ACKNOWLEDGEMENTS
We would like to express our special thanks to Japan
Railway Technical Research Institute, for providing
the real seismic record at the JR Takarazuka Station.
REFERENCES
Fukuoka, H., F.W. Wang & K. Sassa 1998. Ring
shear test with real seismic loading. Proceedings
of 1998 Annual Con. of the Japan Society of
Erosion Control Engng., JSECE Publication.
Sapporo, 25:98-99 (in Japanese).
Fukushima, Y. & T. Tanaka 1990. A new attenuation
relation for peak horizontal acceleration of strong
earthquake ground motion in Japan. Bull. of the
Seis. Soc. of Am., 80(4):757-783.
Fukushima, Y. & T. Tanaka 1992. Revised
attenuation relation for peak horizontal
acceleration using a new data base. Prog. and Abs.
of Seisrn. SOC,Japan, 2: 116 (in Japanese).
Geographical Survey Institute of Japan 1996. Active
Faults Map in Urban Area: Northwest part of the
Osaku area.
Irikura, K. & Y. Fukushima 1995. Attention
characteristics of peak amplitude in the
Hyogoken-Nambu earthquake. J. of Natural Dis.
Sci., 16(3):39-46.
Kawasaki Geology Corporation 1995. Field
Investigation Report on the Nikawa Landslide.
Sassa, K., H. Fukuoka, G. Scarascia-Mugnozza. & S.
Evans 1996. Earthquake-induced-landslides:
Distribution, motion and mechanisms. Special
Issue for the great Hanshin earthquake disasters,
Soils and Fdn. 53-64.
Sassa, K. 1997. A new intelligent type dynamic
loading ring shear apparatus. Landslide News
(Japan Landslide Society), 10:33.
 Slope Stability Engineering, Yagi, Yamagami L? Jiang 0 1999Balkema, Rotterdam, ISBN 90 5809 079 5

Dynamic properties of fine-grained soils in pre-sheared sliding surfaces

M.Yoshimine - Tokyo Metropolitan University, Japan

R. K U W ~-O University of Tokyo, Japan
J. K U W ~- OTokyo Institute of Technology,Japan
K. Ishihara - Science University of Tokyo,Chiba. Japan

ABSTRACT To evaluate the seismic stability of slopes containing pre-sheared surfaces, a series of cyclic
loading tests on samples with pre-sheared surface were conducted with a dynamic ring shear apparatus. The
effects of the dynamic loading such as the number of cycles and fiequency were examined. It was also
attempted to find if the dynamic behavior of soil with pre-existing shear surface is correlated with physical
properties of the tested materials.

1 INTRODUCTION
Slopes of clay and weak mudstone often contain
shear surfaces at residual strength which were
created by previous landslides or tectonic
movements. For evaluating the stability of such
slopes during earthquakes, dynamic properties of
materials with pre-existing shear surfaces at or close
to residual strength should be known. For this
purpose, high speed shear tests have been conducted
on clayey materials by means of ring shear apparatus
(Skempton, 1985, Lemos et al., 1985, Tika et al.,
1994 and Tika and Hutchinson, 1999). Based on the
relationship between shear resistance of slip plane
and the rate of displacement derived from these
experiments, Lemos et al. (1994) proposed a method
to calculate the displacements of slopes induced by
earthquake loading.
Although these previous studies addressed
dynamic and cyclic properties of pre-existing shear
surfaces, only monotonic loading tests have been
conduced and cyclic loading tests have not been
performed. To directly observe the cyclic behavior
of of fine-grained soils in pre-existing shear surface,
a dynamic ring shear apparatus was manufactured
(Ijuin et al. 1987, Kuwano et al. 1991) and a series
of cyclic loading tests on pre-existing shear surface
have been carried out. This paper reports on the
results of these tests.
15cm and 2cm, respectively. The torque arm and the
load cell for torque-measurement fix the rotation of
the loading head and the upper half of the specimen.
During displacement-control and monotonic loading
tests, the electric motor and the gear system rotates
the lower half of the specimen. A shear surface is
created at the middle height of the specimen. In case
of load-control cyclic tests, the pulley is lifted up by
air pressure and fixed to the base platen. Then the
gear system is disconnected, and the cyclic load is
applied to the lower half of the specimen by air
pressure in torque cylinder through the wire-pulley
system. This mechanism enabled soil samples to
create shear surfaces at residual state in one
direction. Then cyclic load was applied on the shear
surfaces successively.
In the ring shear testing, setting adequate gap
between upper and lower rings is necessary for
precise measurement of vertical load and torque on
the shear surface. The gap controlling system of the
Imperial College - NGI type ring shear apparatus
(Bishop et al., 1971) is not suitable for dynamic
loading, because it is impossible to keep normal
stress on the shear plane constant due to the
fluctuating vertical friction between upper ring and
specimen. To overcome this limitation, the gap is
adjusted using the screw on the loading head as
shown in Fig. 1. This system is superior also for
monotonic loading providing that residual state is
achieved and the height of the specimen is constant.

2 THE RING SHEAR APPARATUS

3 TESTED MATERIAL AND TEST PROCEDURE
The outline of the dynamic ring shear apparatus used
in this study is shown in Fig. 1. The outer diameter, Sixteen materials were obtained from some sites of
inner diameter and height of the specimen are 20cm, landslides in natural or manmade slopes and tested.

595
Table 1. List of ring shear tests
Li,qu,id Plasticity Normal
limit index
( < 2 p ) stress
The physical properties of the materials are
summarized in Table 1. Some of these materials
were sampled near ground surface, and therefore
they might not be exactly the same as the materials
causing the landslides in the field.
After processing the natural materials through the
sieve to remove particles coarser than 2mm, distilled
water was added to make the water contents around
the liquid limit. Then the material was poured
between outer and inner rings and consolidated
under the target vertical stress of 49 to 490kPa, but
mostly in the range of 98 to 294kPa. Only normally
consolidated specimens were tested.
First, specimens were sheared at constant rate of
0.01mndniin until residual strength was attained.
Very smooth and clear slip surface was created for
all of the materials. Second, the shear rate was
gradually accelerated up to 300mdmin to study the
rate effects during monotonic loading. Third,
sinusoidal loading with fixed amplitude were
~
Residual shear strength, T, (kPa) Dynamic strength, q, ( H a )
[ Rate of displacement ( m d m i n ) ] [ Sinusoidal loading ] [Earthquake]
applied on the residual slip surface to examine the
effects of the nuniber of cycles, then sinusoidal
loading with increasing amplitude were applied to
examine dynamic strength characteristics. Finally,
the behavior of the shear plane under earthquake
loading was studied. Before each steps of dynamic
loading, it was made sure that the slow residual
strength, ~ ~ ( 0 .mdmin)
01 ,was achieved by applying
monotonic load.
During the final stage of consolidation and the
monotonic and dynamic shear process, the gap
between upper and lower rings was kept constant
around O.lmm. The test results are also summarized
in Table 1.
4 TEST RESULTS AND DISCUSSIONS
4.1 Slow sesidid stsength
Secant residual friction angle at shear rate of 0.01
596
Figure 1. The dynamic ring shear apparatus
Figure 2. Slow residual strength
597
Figure 3. Effect of displacement rate on residual
strength
m d m i n is displayed in Fig. 2. Skempton (1964),
Voight (1973), Kanji (1974), Lupini et al. (1981),
Skempton (1985) and Tika et al. (1999) pointed out
that the residual friction angle of clay decreases with
increasing plasticity index or clay fraction. Fig. 2(a)
and (b) indicate the same tendency, although the
measured residual friction angle was somehow
larger than the previous studies. Stark and Eid
(1994) reported that the residual friction angle was a
function of liquid limit, clay fraction and overburden
pressure. The same trend may be seen in Fig. 2(c),
though more scatters were detected.
4.2 Rate effect in monotonic loading
Fig. 3(a) shows the shear rate effect on residual
strength. Generally, shear resistance increases with
higher speed, but in some cases the resistance
dropped with increasing the rate of displacement,
especially when the rate reached 300 mndmin. It
should be noticed that the shear resistance of
Kalabagh clay at high rate of displacement was less
than half of the slow residual strength. Skempton
(1985) and Tika et al. (1996, 1999) also reported
such “negative rate effects” especially for Kalabagh
soils. Pore pressure on the slip surface was not
measured in this study.
Skempton (1985) pointed out that “intermediate
soils” that had clay fraction of 20 to 30% could
exhibit negative rate effects. The same trend may be
seen from Fig. 3(b).

Figure 4. Sinusoidal loading test (fixed amplitude)
Figure 5. Sinusoidal loading test (increased amplitude)
598
Figure 6. Dynamic stress versus displacement
4.3 Effect of the nuniber. of cycles in a'yriuinic
loading tests
A typical example of the result of sinusoidal loading
test with fixed amplitude was shown in Fig. 4.
Before all of the cyclic loading, including sinusoidal
and earthquake loading described below, initial static
load equal to 70% of the slow residual strength (q,
= xr x 0.7) was applied to the shear surface. Hence,
the movement during cyclic loading was observed
mostly only in the same direction as the initial static
loading.
Fig. 4 shows that the deformation was negligibly
small when stress level was smaller than a threshold
value. Sudden increase in plastic deformation started
when stress level became larger than the threshold
value in each cycle. Another prominent feature of
the behavior of residual slip surfaces shown in Fig. 4
is the fact that displacement in one cycle was nearly
constant for any cycles. This means that the number
of cycles did not influence the cyclic behavior, i.e.
no hardening or softening occurred during cyclic
loading on residual slip surfaces.
4.4 DeJinition of Dynamic strength
Fig. 5 shows a typical example of the sinusoidal
loading tests with increasing amplitude. Based on
the finding that the cyclic stress - displacement
behavior was not much affected by the previous
cycles, peak stress of cyclic loading (to+ tc.yc)and
displacement in each cycle was plotted in Fig. 6 (a).
One may see from this figure that when the cyclic
stress level reached to -Some level, the stress-
displacement curve became nearly flat and large
 4.6 Dynamic strength characteristics
Cyclic loading test results were summarized in Fig.
9. In this figure, the ratio of dynamic strength to
slow residual strength was plotted against clay
fraction of each material to see if the dynamic
behavior of pre-existing shear surface is correlated
with the physical properties of the tested materials.
The dynamic response of materials that had larger
clay fraction was more ductile and the ratio of
dynamic strength to slow residual strength tended to
be higher, but scatter of data was considerably large.
From Fig. 9, it may be seen that, in general, the
dynamic strength was 1.2 to 2.0 times larger than the
slow residual strength.

5 CONCLUSIONS

Sixteen materials, ranging from low plastic silt to

Figure 7. Earthquake loading test (Hachinohe EW)
deformation developed. This stress level, zd, was
defined as the dynamic strength in this study. In
addition to the sinusoidal loading tests, EW and NS
components of acceleration record acquired at
Hachinohe Port during Tokachi-oki Earthquake,
Japan (1964) was used. Due to the fiequency
limitation of the pneumatic loading system, the time
scale was four times as the reality. Fig. 7 is an
example of earthquake loading tests. The dynamic
strength for earthquake loading was defined in the
same manner as sinusoidal loading tests as shown in
Fig. 6 (b).
very high plastic clay, were tested by means of
dynamic ring shear apparatus. In the first series of
the tests, sinusoidal cyclic stress with fixed
amplitude was applied on pre-existing shear surface
in the specimen at residual state. It was found that
the number of cycles showed almost no influence on
the stress-displacement behavior, i.e. no hardening
or softening occurred during cyclic loading.
Sinusoidal cyclic stresses with increasing amplitude
were loaded on the shear surfaces to study the
relationship between dynamic stress ratio and the
magnitude of deformation in one cycle. The increase
in the loading frequency from O.1Hz to 1.OHz
resulted in the increase in the dynamic strength by 5

4.5 Frequency and random loading efects

Fig. 8 (a) shows the frequency effect in sinusoidal
loading. It may be seen that, in the majority of the
cases, dynamic strength of residual shear surface
increased around 5 to 20% when the frequency of
sinusoidal loading became 10 times in the range of
0.1Hz to 1,OHz, though opposite frequency effects
appeared in some cases. Dynamic strength against
the earthquake loading (four times extended in time
scale) was nearly the same level as 1.OHz sinusoidal
loading as shown in Fig. 8 (b). The relationship
between the frequency effect and physical properties
of the material was hardly detected as shown in Fig. Figure 8. Effects of frequency and random loading on
8 (4. dynamic strength of residual slip surfaces

599
Figure 9. Dynamic strength characteristics and physical property of tested material
to 20%. In addition, the dynamic response to the
random loading simulating earthquakes was
examined. Using these test results, it was attempted
to find if the dynamic behavior of pre-existing shear
surface is correlated with the physical properties of
the tested materials such as clay fraction. Though
scatter of data was very large, it seemed that the
higher the clay fraction, the larger the ratio of
dynamic strength to slow residual strength. In most
of the cases, the dynamic strength was 20 to 100%
larger than slow residual strength.
ACKNOWLEDGMENT
The ring shear tests on the material No. 8 to 16
(Table 1) were performed by Mr. Y. Kamegai
(Chubu Electric Power Co.), Mr. K. Sat0 (Tokio
Marine and Fire Insurance Co., Ltd.) and Mr. K.
Amano (Shimizu Corporation).
REFERENCES
Bishop, A.W., G.E. Green, V.K. Garga, A. Andresen & J.D.
Brown 1971. A new ring shear apparatus and its
application to the measurement of residual strength.
Gkotechnique 2l(4): 273-328.
Ijuin, R., K. Ishihara & J. Kuwano 1987.Residual strength
and dynamic strength of pre-existing sliding surface. Proc.
42nd Annual Con$ of JSCE 3: 148-149 (in Japanese).
600
Kanji, M.A. 1974.The relationship between drained friction
angles and Atterberg limits of natural soils. Gkotechnique
24(4): 671-674.
Kuwano, J., K. Ishihara, R. Kuwano & M. Yoshimine 1991.
Dynamic strength of cohesive soils from landslide sites.
Proc. 1st Young Asian Geotechnical Engineers Con$:
207-216.Bangkok.
Lemos, L.J.L., A.W. Skempton & P.R. Vaughan 1985.
Earthquake loading of shear surfaces in slopes. Proc.,
11th Int. Con$ Soil Mech. And Found. Engrg. 4: 1955-
1958.
Lemos, L.J.L., A.M.P. Gama & P.A.L.F. Coelho 1994.
Displacements of cohesive slopes induced by earthquake
loading. Proc., 13th Int. ConJ Soil Mech. And Found.
Engrg. 3: 1041-1045.
Lupini, J.F., A.E. Skinner & P.R. Vaughan. 1981. The
drained residual strength of cohesive soils. Gkotechnique
31(2): 181-213.
Skempton, A.W. 1964.Long-term stability of clay slopes.
Gkotechnique 14(2): 77-102.
Skempton, A.W. 1985. Residual strength of clays in
landslides, folded strata and the laboratory. Gkotechnique
35(1): 3-18.
Stark, T.D. & H.T. Eid 1994. Drained residual strength of
cohesive soils. J. of Geotech. Engig., ASCE 120(5): 856-
871.
Tika, TH. E., P.R. Vaughan & L.J.L. Lemos. 1996. Fast
shearing of pre-existing shear zones in soil. Gkotechnique
46(2): 197-233.
Tika, TH. E. & J.N Hutchinson. 1999. Ring shear tests on
soil from the Vaiont landslide slip surface. Gkotechnique
49(1): 59-74.
Voight, B. 1973. Correlation between Atterberg plasticity
limits and residual shear strength of natural soils.
Gkotechnique 23(2): 265-267.
 Slope Stability Engineering, Yagi, Yamagami & Jiang 0 1999 Balkema, Rotterdam, ISBN 90 5809 079 5

Dependence of pore pressure generation on frequency of loading

at sliding surface
D. A.Vankov & K. Sassa
Landslide Section, DPRI, Kyoto UniversiQ Uji,Japan

ABSTRACT: This paper presents results of series of shear stress controlled and shear displacement con-
trolled cyclic tests, conducted by an advanced model of ring shear apparatus, with different frequencies of
loading. It was found that frequency of loading has an effect on shear displacement in shear stress con-
trolled tests. Due to large shear displacement, mechanism of pore pressure generation was strongly affected
by type of loading.

1 INTRODUCTION 2 APPARATUS EMPLOYED

Extensive field investigations conducted after the
1995 Hyogo-ken Nanbu earthquake (Kamai 1995;
Sassa et a1 1996), revealed that many landslides
occurred on very flat slopes in urban and residen-
tial areas. These landslides usually formed in sandy
soils. Some of them were reported to have moved
several days after the main seismic shock. Gener-
ally, all houses and structures constructed on these
landslides were not completely destroyed by the
movement and no casualties were reported. How-
ever, since all these houses and structures should
be rebuilt, they created substantial financial dam-
age for owners. The mechanism movement in these
landslides was not clear. However, it was sug-
gested by the second author, that pore pressure
generation might play a decisive role in landslide
occurrence and movement. Therefore, the mecha-
nism of pore pressure generation in sandy soils at
potential sliding surfaces should be investigated in
detail. Frequency of loading is one of possible
factors affecting pore pressure generation at direct
shear state. Completion of this task requires a se-
ries of basic experiments, for obtaining primary
dependencies, however the sample condition as
well as stress state at potential sliding surface
should be reproduced with accuracy. It is believed
by the authors, that an advanced ring shear appa-
ratus is the most suitable device for studying the
process of pore pressure generation at the sliding
surface.
A ring shear apparatus (DPRI-4) was used in pre-
sent investigation. In addition to ordinary advan-
tages of a ring shear device, such as limitless
shear displacement, clear location of shear zone,
etc, this apparatus has following features, which
were important in carrying out our investigation:
0 Possibility of applying reversible cyclic shear
stress;
0 In a cyclic loading test, either shear stress
controlled or shear displacement controlled
modes are available;
0 Undrained condition with pore pressure meas-
urements along shear zone provided;
0 In a cyclic loading test, a frequency of loading
up to 5 Hz can be produced;
0 Large shear box (approximately 2000 cm')
enabling testing of coarse grain soils.
The structure of this ring shear apparatus was de-
scribed in details by Vankov & Sassa (1 998).
3 EXPERIMENTAL OUTLINES
3.1 Sarizple properties
The soil used in our investigation was a
coarse-grain sandy soil belonging to the Middle-
Upper Subgroup of Plio-Pleistocene Osaka Group
(Osaka Formation) widely distributed in the Kan-
sai Area. The Osaka group consists of loose sedi-

601
ments made of gravel, sand and clay, and is di-
vided into three subgroups, Lower, Middle and
Upper. The Lower Subgroup is clearly distin-
guished from the others due to the absence of ma-
rine deposits. Differences between the Middle and
Upper Subgroups are not so clear. Geomorphologi-
cally the Osaka Group forms hilly lands and up-
lifted areas.
The sampling site was at the headscarp of
the Takarazuka Landslide, triggered by the 1995
Hyogoken-Nanbu earthquake. The landslide was
described in details by Sassa et al. (1996). The
depth of the sampling point was about 4 meters.
Totally more than 1000 kg of soil were taken by
machine excavation.
Results of the grain-size distribution analy-
sis and basic physical properties are summarized in
Table 1. The mineral composition analysis was car-
ried out visually and shows that the investigated
soil consisted mostly of quartz and feldspar, proba-
bly albite.
Both of these minerals, being interacted with water
are chemically passive, i.e. they are unlikely to
change their physico-mechnical properties.
3.2 Saiizple preparation
The procedure of preparation of samples for
the tests was as follows. The sandy soil was dried
at 105°C for 48 hours. Then it was removed from
the oven and cooled. After that soils were dis-
persed by means of a rubber hammer and sieved
through a sieve with a diameter of 4.0mm. The soil
finer than 4.0mm diameter was used in the ex-
periment.
During field observations, it was concluded that
sandy layers are sometimes confined between
clayey ones and partially saturated. The perme-
ability of clayey layers seems to be very low.
___Table 1. Basic properties of investigated soil.
Parameter Value
Grain size, mm
-2.00 12%
2.00-0.84 36%
0.84-0.42 33%
0.42-0.25 7%
0.25-0.105 8%
0.105-0.074 2%
0.074- 2%
Coefficient of uniformity (D60/D10) 5.55
Maximum void ratio 1.17
Minimum void ratio 0.66
Specific gravity (g/cm') 2.61
602
Therefore, in extreme cases, these sandy layers
could be completely saturated and during loading
they would be in an undrained state. The same
state should be provided during experiment.
The high degree of saturation is necessary
for obtaining correct data. Samples were saturated
with help of carbon dioxide and back pressure.
For checking of degree of saturation before cyclic
test we used B, : the pore pressure coefficient in
the direct shear state, which was devoted as:
Au
B, =- (1)
AD
where Au and Ao are increment of pore pressure
and total normal stress respectively.
Xia & Hu 1991, reported that value of
back pressure has significant influence on the liq-
uefaction resistance of sands. They even sug-
gested, that in liquefaction tests the back pressure
technique should not be used to enhance the de-
grees of saturation of the tested sand. The ob-
served phenomenon of the effect of back pressure
can be summarized as: the higher the applied back
pressure, the higher the liquefaction resistance of
the sand.
The goal of this research is not to simulate
field conditions but to obtain principal dependen-
cies of pore pressure generation on the rate of
loading. In such cases back pressure technique
could be used.
Another sensitive aspect, is the moment of
checking saturation degree, i.e. before or after
consolidation of the sample. Measurement of pore
pressure response before consolidation is rather
common among geotechnical researchers
(Drnevich 1972, Ladd 1977, Mulilis et a1 1977,
Novak & Kim 1981, Towhata & Ishihara 1985,
Figueroa et a1 1994, Boulanger 1995, Hatanaka et
a1 1997). However, it was established by prelimi-
nary tests that in ring shear apparatus pore pres-
sure response parameters after consolidation are
substantially less (sometimes lcss than 50% of
initial value) than before consolidation. Based on
this fact, all BD parameters were measured after
consolidation.
Table 2. Parameters of SSC-tests.
No f BD e 0'0 U() A
(Hz) (kPa) (kPa) (kPa)
1-s 0.01 0.95 0.77 220 106 52-58
2-s 0.05 0.95 0.74 213 69 52-58
3-s 0.10 0.98 0.75 201 84 52-58
4-s 0.50 0.96 0.72 210 85 52-58
5-s 1.00 0.97 0.71 206 103 52-58
6-s 2.00 0.96 0.67 199 108 52-58
 Table 3. Parameters of SDC-tests.

1-d 0.01 0.95 0.68 200 47 1.00

2-d 0.02 0.97 0.68 200 50 0.98
3-d 0.04 1.00 0.67 192 57 0.98
4-d 0.08 0.97 0.66 195 63 0.98
5-d 0.10 1.00 0.66 182 68 0.96
6-d 0.20 0.95 0.67 204 39 1.00
7-d 0.30 0.96 0.67 202 47 0.92
8-d 0.40 0.95 0.67 169 51 0.86
9-d 0.50 1.00 0.67 202 56 0.76 Figure 2. Effective stress path for 4-s test
f -loading frequency, BD-pore pressure parameter in direct
shear state, e-void ratio, 0'0-initial effective normal stress, UO-
initial pore pressure, A-amplitude of shear stress, A*- ampli-
tude of shear displacement.

3.3 Test program

A series of shear stress controlled tests (hereafter
SSC-tests) and shear displacement controlled tests
(hereafter SDC-tests) has been conducted. The test
parameters for SSC-tests and SDC-tests are given
in Table 2 and Table3. All samples were subjected
to reversible cyclic loading. Figure 3. Time series data for 6-d test
Liquefaction was believed to have occurred when
the pore pressure was not less than 95% of the total
normal stress at all stages of loading.

4 TEST RESULTS AND DISCUSSION

Representative test data are plotted in Figures 1, 2

(SSC-data, time series and effective stress path,
respectively), and Figures 3, 4 (SDC-data, time se-
ries and effective stress path respectively). In both
types of test pore pressure gradually built-up and
subsequently reached the value of total normal Figure 4. Effective stress path for 6-d test
stress. Due to a decrease of effective normal stress
the amplitude of shear displacement increases decayed to almost zero (SDC-test). This mecha-
(SSC-test), and shear resistance decreases (SDC- nism is almost the same for all tests conducted.
test). When a sample reached liquefaction state the In order to analyze whether the frequency
amplitude of shear displacement obtained its of loading has any influence on pore pressure gen-
maximum value (SSC-test), and shear resistance eration, the number of cycles required to liquefac-
350 , , 500 tion was counted and total dissipated energy re-
300 4 00
quired to liquefaction was calculated.
300
250 m Total dissipated energy per area of shear
-
m
200
200
100
4
0
plane required to liquefaction, was calculated by
2 150
000
&
7
-
w means of following equation:
3
v)
100
3
' 50
-1 00

-200 I
3

0 300 3
-50

-100 '
0 2 4 6 8 10 12 14 16 18 20 22 24 26 28 30
4 00

-500

Time (sec)
Where z is shear resistance, I is shear displacement,
Figure 1. Time series data for 4-s test n is number of points recorded to liquefaction.

603

Figure 5. Dependence of number of cycles required
to liquefaction (N) on frequency of loading (0in
shear stress controlled (SSC) and shear displace-
ment controlled (SDC) tests.
It can be seen, from Figure 5 , that different
types of test provide different tendencies, in terms
of the number of cycles required to liquefaction. In
SSC-test the number of cycles required to lique-
faction increases with increasing loading fre-
quency. However, SDC-tests demonstrate a differ-
ent tendency, it appears that with increasing load-
ing frequency there is no significant changes in the
number of cycles required to liquefaction. The lat-
ter statement is in agreement with conclusions of
other researchers, who reported an absence of in-
fluence of the frequency of loading on the dynamic
behavior of sand (Wood 1982).
Dependence of total dissipated energy re-
quired to liquefaction on loading frequency has
similar trend for both types of testing. With in-
crease of loading frequency, total dissipated energy
required to liquefaction decreases as it shown in
Figure 6. However, the character of the trend is
different for SSC and SDC tests. In SSC-tests as
the loading frequency increases total dissipated
Figure 6. Dependence of total dissipated energy
required to liquefaction (W) on frequency of
loading (0in shear stress controlled (SSC) and
shear displacement controlled (SDC) tests.
604
energy decreases abruptly, while in SDC-tests W
decreases much more gradually. In terms of the
absolute value of total dissipated energy required
to liquefaction a large difference is observed at
low-frequency range of testing, as loading fre-
quency increases the difference is decreases.
This effect is an outcome of variance in
shear displacement during testing. In SDC test
shear displacement is servo controlled by the ap-
paratus and its amplitude is always the same.
However, during SSC test shear displacement is
dependent on the values of applied shear stress
and shear resistance. At the beginning of tests,
when shear resistance of a sample is large, shear
displacement is almost equal to zero. As pore
pressure is gradually built-up, under cyclic load-
ing, shear resistance of the sample decays due to
the decrease of effective normal stress and shear
displacement gradually increases. During the final
stage of testing, when pore pressure approaches the
value of total normal stress, shear resistance drops
almost to its zero value and shear displacement de-
pends solely on the frequency of loading. The
lower frequency is, the greater shear displacement
becomes. In Figure 7 total dissipated energy is
plotted versus cumulative shear displacement re-
quired to liquefaction.
For both groups of points (SSC and SDC
tests), linear trend lines were drawn and the value
of the coefficient of correlation was calculated. For
SSC tests the coefficient of correlation obtained,
was very high (0.992), while for SDC test this pa-
rameter demonstrates a total absence of any corre-
lation (0.064). This supports our idea, that value of
total dissipated energy is controlled by shear dis-
placement.
From Figure 8 it is obvious, that most of energy
dissipates while shear displacement is developing,
because of the remaining shear resistance. On the
Figure 7. Total dissipated energy required to liq-
uefaction versus cumulative shear displacement in
SSC and SDC tests.

Figure 8. Time series of total dissipated energy
(W) and shear displacement (1) for 4-s test
other hand, a shear displacement reaches its maxi-
mum value, shear resistance is almost equal to
zero, thus very small amount of energy is dissi-
pated.However, during SDC-test shear displace-
ment was constant and about 1 mm amplitude.
Since shear resistance has highest values at first
cycles, the largest amount of energy dissipated
durins the first cycles (Figure 9).
Therefore, the mechanism of pore pressure
generation for different types of loading is differ-
ent, from the standpoint of such criteria as total
dissipated energy. It was also mentioned above,
that absolute values of dissipated energy in each
test vary significantly (Figure 6). These differences
could be explained on the basis of grain crushing
phenomena. The necessary condition for grain
crushing is movement of particles, i.e. shear dis-
placement. It is very likely, that during large shear
displacement grain crushing occurred. This would
lead to an increase of dissipated energy and pore
pressure generation because of volume shrink in
the shear zone due to comminution of crushed
particles. This phenomenon is called “sliding sur-
face liquefaction” (Sassa 1996). The fact that the
number of cycles required to liquefaction in-
creases with increasing of loading frequency (for
SSC-tests), supports this explanation.
It also should be noted that values of inter-
Figure 9. Time series of total dissipated energy
(W) and shear displacement (1) for 6-d test
605
nal friction angles are different from each other
for SSC and SDC tests (Figures 2, 4). For SSC
test it is 33O, while for SDC it is 31”. Therefore,
sample exhibit more resistance to shearing during
stress-controlled tests. The peak failure line for
the same soil tested under monotone loading in
drained condition inclined at 34”. During mono-
tone shearing grain crushing certainly takes place.
Although method of determination of friction an-
gle has precision of about O.5O-l0, it could be
stated that its value in SSC test is closer to that of
monotone loading, than in SDC test. This is one
more indirect evidence of possibility of grain
crushing during stress controlled test.
Therefore, we can assume, that if shear
displacement starts, it can lead to liquefaction
within the first 2-3 cycles. If dynamic load has a
low-frequency spectra with magnitude large
enough to induce shear displacement of about 2-4
mm, it could trigger grain crushing along the
sliding zone with subsequent pore pressure gen-
eration. It is very probable, that there is a certain
treshold value of shear displacement for given soil
in a given stress condition. If shear displacement
overcomes this threshold value, pore pressure will
start to build-up, which ultimately will lead to liq-
uefaction. Verification of this idea requires addi-
tional studies.
5 CONCLUSIONS
After a series of shear stress-controlled and shear-
displacement controlled tests with different fre-
quencies of loading were performed on sandy sam-
ples the following conclusions could be drawn:
Frequency of loading has direct influence on
magnitude of shear displacement in shear
stress-controlled tests. With increasing of
loading frequency, shear displacement in-
creases.
Due to increase in shear displacement, the
value of total dissipated energy increases in the
same manner. For shear displacement-
controlled tests the value of loading frequency
has little effect on value of total dissipated en-
ergy.
Liquefaction within first few cycles is possible
under low frequency of loading due to grain
crushing and comminuting along sliding zone.
REFERENCES
Boulanger R.W., Seed R.B. 1995. Liquefaction of
sand under bidirectional monotonic and cy-
 clic loading I/ Journal of Geotechnical En-
gineering Division. 121:870-878.
Drnevich V.P. 1972. Undrained cyclic shear of
saturated sand. Journal of the Soil Mech-
nics and Foundations Division, Proceed-
ings of ASCE. 98: 802-825.
Figueroa J.L., Saada A.S., Liang L., Dahisaria N.M
1994. Evaluation of soil liquefaction by en-
ergy principles. Journal of Geotechnical
Engineering. 120(9):1554-1569.
Hatanaka M., Uchida A., Ohara J. 1997. Liquefac
tion characteristics of a gravelly fill lique-
fied during the 1995 Hyogo-ken Nanbu
earthquake. Soils and Foundations. 37(3):
107-115.
Kamai T. 1995. Landslides in Hanshin Urban Re-
gion Caused by 1995 Hyogoken-Nanbu
Earthquake, Japan. Landslide News. 9: 12-
13.
Ladd R.S. 1977. Specimen preparation and cyclic
stability of sands. Journal of Geotechnical
Engineering Division, Proceedings cf
ASCE. 103(6): 535-547.
Mulilis J.P., Seed H.B., Chan C.K., Mitchell J.K.,
Adanandan K. 1977. Effects of sample
preparation on sand liquefaction. Journal
of Geotechnical Engineering Division,
Proceedings ofASCE. 103(2):91-108
Novak M., Kirn T.C. 1981. Resonant column
technique for dynamic testing of cohesive
soils. Canadian Geotechnical Journal. 18:
448-455.
Sassa K., Fukuoka H., Scaraccia-Mugnozza G.,
Evans S. 1996. Earthquake-Induced-
Landslides: Distribution, Motion and
Mechanisms. Soils and Foundations (spe-
cial issue on Geotechnical Aspects of the
Junuary 17 1995 Hyogoken-Nambu
Earthquake53-64.
Towhata I., Ishihara K. 1985. Shear work and
pore water pressure in undrained shear.
Soils and Foundations. 25(3):73-84.
Vankov D. A., Sassa K. 1998. Dynamic Testing
of Soils by Ring Shear Apparatus. Pro-
ceedings of 8‘” Congress of IAEG, Van-
couver, Canada, (1):485-492.
Wood D. M. 1982. Laboratory investigation of
the behaviour of soils under cyclic load-
ing: a review. in the book “Soil Mechan-
ics-Transient and Cyclic Loads”, edited by
Pande and Zienkevich:5 13-582.
Xia H., Hu T. 1991. Effects of Saturation and
back Pressure on Sand Liquefaction. Jour-
nal of Geotechnical Engineering.
117(9):1347-1362.

606
 Slope Stability Engineering, Yagi, Yamagami & Jiang k j 1999 Balkema, Rotterdam, ISBN go 5809 0795

On-line earthquake response tests on embankments founded on saturated

sandy deposits

T Fujii
Fukken Company Limited, Hiroshimn, Japun
M. Hyodo, Y.Nakata & K.Yabuki
Deparbrient of Civil Engineering. Yhiaguchi Uni\wsity, Ube,J c p a n
S. Kusakabe
Okunzuru Conipuny Limited, Tsukubci, Japun

ABSTRACT River dykes and road embankments are frequently damaged during earthquakes. The
liquefaction of foundation, the behavior of which is not yet well realized. is considered to be the main cause
of the damage. Based on the results of past studies, the foundation of an embankment was divided into three
zones to examine the failure modes. One-dimensional on-line earthquake tests, which were conducted by a
combination of element tests and computer earthquake response analyses, were performed for such zones of
actual river dykes damaged during earthquake. The cumulative horizontal displacement values obtained by
the tests were compared with the measured enibanknient-crest settlement data, which showed that the
liquefaction sliding failure under the toe of slope of such an embankment is found to be the most detrimental
of all failure modes.

1 INTRODUCTION 2 CLASSIFICATION OF FAILURE MODES

Numerous river dykes and road embankments
suffered severe damages in the 1994 Hokkaido-
Nanseioki Earthquake and the 1995 Hyogoken-
Nanbu Earthquake. Since rivers have long
embankments and small breakage of embankments
may be permitted where such failure dose not cause
a disastrous overflow, it has long been a cherished
desire of engineers to establish a method of
predicting the magnitudes of deformation of river
dykes under earthquakes. The liquefaction of
fourdation, the behavior of which is not yet well
realized, is LuA3deredto be the main cause of the
damase.
Based on the results of past studies, the
foundation of an embankment was divided into
three zones to examine the failure modes.
Considering the embankments of the Shiribeshi-
Toshibetsu River struck by the I994 Hokkaido-
Nanseioki Earthquake, the authors performed one-
dimensional on-line earthquake tests which were a
combination of element tests and computer
earthquake response analyses under the boundary
conditions of failure modes in the three zones of
each embankment. The crest settlements of the river
embankments, measured in the field, and the
cumulative horizontal displacements of their
foundations obtained by the on-line earthquake
response tests were compared to find which failure
mode contributes most to such crest settlement.
According to the study by Koga and Matsuo with
a shaking table (1990), different typical modes of
earthquake behavior were observed in three zones;
i.e., a zone directly under an embankment, a zone
under the toe of slope, and a zone of the horizontal
glL.:iid, In the horizontal ground, the exce~sf-?re-
water pessure ratio rose close to 1.0 to causc
liquefactioa in the ground. In the zone directly
under the embankment, although the excess pore-
water pressure ratio rose to less than 0.6, residual
deformations in both the vertical and horizontal
directions were built up. In the zone under the toe of
the slope, though the pressure ratio did not reach 1 .O,
the deformation in the horizontal direction was large,
forming a circular slip surface, as is shown in Fig. 1.
Thus three liquefaction failure modes were
identified in the horizontal ground (Zone I>, circular
slip under the toe of slope (Zone IQ, and shakedown
directly under the embankment (Zone 111). Fig. 2
Fig. 1. Result of shaking table test

607
 Fig. 2. Classification of failure modes
shows the failure modes, condition of elements,
effective stress paths, and stress-strain relations.
To verify the validity of the above zoning and
classification of the failure modes, on-line
earthquake response tests were carried out.
3 OUTLINE OF ON-LINE EARTI-IQIJAKE
RESPONSE TEST
Fig. 3 shows the concept of the on-line
earthquake response test (Kusakabe et al. 1990). A
system of lump mass on the ground is modeled. and
earthquake ground motion is input from the base of
the layers to be examined. The equation o l motion
of the lump-mass model is solved by a computer to
find corresponding displacements in the ground.
Then, shear strains equivalent to the corresponding
displacements are applied to specimens under
coinputer control to measure shear stresses
automatically, and shear stresses are used for the
calculation of the corresponding displacemcnts of
the next step. This process is repeated for the
608
duration of an earthquake. In this way, the
continuously changing non-linear shear stress
response in the ground during an earthquake are
obtained directly from element tests of specimens,
and they are processed on-line by a response-
analyzing system to simulate the behavior of the
ground. For cyclic loading tests, the simplified
simple-shearing tester developed by Kusakabe
(1 999) is available.
4 TESTRESULTS
The embankments of the Shiribeshi-Toshibetsu
River struck by the 1994 Hokkaido-Nanseioki
Earthquake developed, at their top surfaces, crest
settlements of over 2 meters. Fig. 4 shows the cross
s e c t i o n ( N o . 1 s e c t i o n ) o f t h e most s e v e r e l y
damaged embankment. Soil investigation carried
out after the earthquake revealed the N values of the
alluvial sand layers As, and AsZto be as low as 3-7,
suggesting their liquefaction during the earthquake.
In this study, therefore, the layers As, and As2 were

Fig.3. Conceptual flow for on-line testing
Fig.4. Section of damaged river dyke
treated as the on-line layers the other layers were
treated as non-linear elastic bodies. Fig. 5 shows
that each zone of the two-dimensional section was
replaced by a one-dimensional lump-mass model.
For the initial shear stress acting on and around the
toe of the slope due to the dead weight of the
embankment, the static circular slip analysis was
performed to calculate the average shear stress,
which was applied to the model in advance of the
testing. Toyoura sand of such relative density as
Fig. 5. On-line testing model
609
Presents a liquefaction strength curve overlapping
that of the undisturbed sand in situ, as is shown in
Fig. 6 was used in the tests. The other conditions for
the tests and analyses were also set up based on the
results of the soil investigation. The acceleration
waveforms recorded by the Suttsu Observatory were
modified by taking into account the damping over
distance to obtain the input earthquake motion,
which was an input from the bottom of the layer
AC2.
Fig. 7 shows the input acceleration waveform
and the corresponding mass acceleration waveforms
in Zone I. The period of the waveform was
prolonged in the upper liquefaction layers rn, and m?.
The amplitude of the waveform was amplified in the
clay layers m6 and m,, damped in the liquefaction
layers m4, m3 and m2, and again amplified in layer
m1.
Fig, 8 and Fig. 9 show the effective stress paths
and the stress-strain relationships, respectively, of
the on-line layer As2 in the zones. In Zone I, the
effective stress reached almost zero and the shear
modulus decreased rapidly, indicating the
occurrence of liquefaction. In Zone 11, the effective
stress did not reach zero due to the initial shear
stress but reached a steady state when it approached
the phase-changing line. Simultaneously. the shear
strain began to develop rapidly, indicating the
occurrence of sliding failure with a liqued flow. In
Zone 111, the effective stress decreased by only 30%
or so and reached a steady state without reaching the
phase-changing line, and although there occurred
vertical strain of a few percent, it hardly increased
after the effective stress had reached a steady state.
Figs. 10 (a) and ( b ) s h o w t h e calculated
magnitudes of settlement of the embankment in
Zones I1 and 111. The magnitude of settlement of

Fig.6. Cyclic shear strength
Fig. 7. Input acceleration and responding
acceleration
each layer was calculated by multiplying the strain
obtained in tests by the thickness of the layer, and
all the settlement magnitudes of the layers were
summed to obtain the magnitude of settlement of
the embankment. In Zone 11, the shear displacement
calculated by multiplying the residual shear strain in
610
soil by the thickness o f soil was regarded as
equivalent to the crest settlemcxt of the
embankment, assuming that sliding failure crvies
the soil within the circular slip surface uniformly. In
Zone 111, the settlement was calculated from the
vertical strain in soil multiplied by the thickness of
soil. Zone I does not appear here because no
residual shear strain or vertical strain occurred. It is
apparent from these figures that large settlement
occurred in the on-line layers in both Zones I1 and
111. The Zone I1 settlement picked up rapidly about
10 seconds after the startup to reach over 60 cm,
whereas Zone 111 exhibited a settlement growing
rapidly i n the first 10 seconds or so, progressing
slow thereafter. and reaching a mere 10 cm or so
finally. In Fig. 10 (a), the cumulative curves
terminate at around 20 seconds after the startup,
because the strain-measuring range of the tester was
25%. If the test had been continued up to 40 seconds,
it should have presented considerably large
settlements.
The above results are consistent with those of the
shaking table test mentioned earlier, proving the
validity of the classification of the failure modes
made in the present study. Zone I1 of the sliding
failure which was liquefied exhibited the largest
strain, which seemed to be the main cause of the
heavy crest settlement of the embankment.
5 COMPARISON OF DEFORMATIONS
The above tests indicated that the failure mode
most detrimental to an embankment was the sliding
failure under the toe of the slope (Zone 11).
Accordingly, further damaged (No. 3 and 5 sections
in addition to No. 1 section) and undamaged (No. 2
and 4 sections) embankments of the River were
chosen, and on-line earthquake response tests for
their Zones I1 were carried out. In Fig. 11, the
cumulative horizontal displacement values obtained
by the tests are compared with the crest settlement
values of the embankments measured in the field.
Although the values of displacement obtained by the
tests are not in such so good agreement with the
measured values of settlement, the former well
reflect the trend of the latter. One factor contributing
to the underestimation of the settlement by the tests
would be that the survey of the ground deformation
was carried out several days after the earthquake,
allowing later subsidence due to the dissipation of
pore water pressure. a d d i t i o n a l p e r m a n e n t
deformation over time. and so on. Another factor is
that the soil properties of the ground would have
changed under the influence of the earthquake
hampering the accurate estimation of the input
acceleration based on the liquefaction strength and
daniping over distance. It was assumed in the
present study that sliding failure with a circular slip
 Fig. 8. Effective stress paths

Fig. 9. Stress-strain relations

Fig. 10 Cumulative settlement

61 1
 Kusakabe, S., Morio, S., Okabayashi, T., Fujii T.
and M. Hyodo (1999). Development of a simplified
simple shear apparatus and its application to various
liquefaction tests, Journal of Geotechnical
Engineering, No. 617, m-46,pp.299-304.

Fig. 11 . Comparison between results of on-line tests

and results of measured in situ of crest settlement

surface occurred in the soil directly under the

damaged embankments. However, the embankments
should also have been subjected to the effects of the
nearby liquefaction. In addition, although no
damage was reported for the No. 2 and 4
embankments, the above tests suggested that some
horizontal displacement occurred. When these
factors are taken into account, it can be said that the
cumulative horizontal displacement values obtained
by the on-line earthquake response tests are in fairly
good agreement with the crest settlement values
measured in the field.

6 CONCLUSION

In this study, the foundation of an embankment

was, on the basis of the results of past studies,
divided into three zones for the examination of
failure modes, and a liquefied sliding failure
occurring under the toe of slope was ascertained
being the most detrimental failure mode, though
other modes, should of course, be considered
together with it since actual failure involves
multiple factors and modes. The approach taken in
this study proved itself to be a feasible method for
estimating the earthquake crest settlement of river
dykes.

REFERENCES

Koga, Y. and Matuo 0.(1990) . Shaking table tests

of embankments resting on liquefiable sandy ground,
Soils and Foundations, Vol.30, No.4, pp. 162-
174.
Kusakabe, S., Morio, S . and Arimoto, K.(1990).
Liquefaction phenomenon of sand layers by using
on-line computer test control method, Soils and
Foundations, yOl.30, No.3, pp. 174-184.

612
 Slope Stability Engineering, Yagi, Yamagami& Jiang 0 1999 Balkema, Rotterdam, ISBN 90 5809 079 5

Dynamic centrifuge tests of embankments on sloped ground and their

stability analyses

Junichi Koseki - Institute of Industrial Science, University of Tokyo,Japun

O S ~Matsuo
U - Public Works Research Institute, Ministry of Construction,Jupan
Koichi Kondo - Nugushimu Dam Construction Office, Ministry of Construction,Jupan
Satoshi Nishihara - Geo-TechnologicalAnalysis Division, Chuo Kaihutsu Corporation,Japun

ABSTRACT: Dynamic centrihge tests were performed on model sandy embankments with a height of 20 cm,
which were prepared by compacting Edosaki sand having a mean diameter of 0.17 mm on a rigid slope ending
with a flat base layer. After adjusting the oil table used as pore water, a centrihgal acceleration of 40 or 50 G
was applied t o the model, and it was shaken horizontally with 20 cycles of sinusoidal waves at 100 Hz.Limit-
equilibrium and pseudo-static stability analysis assuming a circular failure plane was conducted on the tested
models, in which combined effects of excess pore pressure generated in the submerged portion of the
embankment and inertia force during shaking were considered. In general, with increase in the crest settlement,
the calculated safety factor decreased irrespective of the oil table. On the other hand, different relationships
between these values were obtained for cases with different degree of compaction.

1 INTRODUCTION retrieved from Edosaki Town, Ibaraki Prefecture,

The 1993 Kushiro-Oki earthquake caused severe
damage to road embankments constructed on sloped
ground in hilly area. Based on survey results
conducted after the earthquake, it was estimated that
the damage was induced by reduction in the shear
strength of the fill material which was partly
submerged in the ground water, as typically shown in
Figure 1 (PWRI, 1994). However, it has not been
fully understood how the ground water affects the
seismic behavior of embankments on sloped ground.
In the present study, to investigate the effects of
the ground water on the seismic stability of
embankments on sloped ground, a series of dynamic
centrifuge tests were performed with changing the
ground water level in the embankment and some
other configurations.
2 TESTING PROCEDURES
A typical cross-section of the tested model is shown
in Figure 2. In a rigid soil container having inner
dimensions of 800 mrn in length, 200 mm in width
and 300 mm in depth, a rigid original slope that ends
with a rigid flat base layer was made with gypsum.
Then, embankment was filled by using a fine sand
Japan, having a mean diameter of 0.17 rmn and
uniformity coefficient of 2.0. In several layers having
a thickness of about 2 cm, the embankment was
compacted at an optimum water content of 19 % to a
specified degree of compaction, D ("A), defined as:
where pd is the dry density of the embankment, and
Pdmax is the maximum dry density of the sand that was
determined to be 1.588 glcm' based on standard
compaction tests.
In total, seven models as listed in Table 1 were
tested. The inclination a: of the original slope was set
to 35 degrees in cases 2-5 through 2-7 and to 30
degrees in other cases. The embankment was made to
have crest width of 200 mm and the same slope
inclination as the original slope. In case 1-3, the
embankment was compacted relatively heavily to the
D value of 85 %, while in other cases the D values
were set about 80 %. It is to be noted that, as shown
in Figure 2, the actual model configuration was
slightly modified according to the rotational radius of
the centrifuge.
In cases 1-3 and 1-4, the whole sand box was put
in a larger box in order to apply a partial vacuum to
the embankment. Under this condition, silicone oil

613
Figure. I Cross section of road embankment at Higashi-Arekinai, Shibecha Town along National Highway

s
Route No. 272 damaged by the 1995 Kushiro-oki earthquake (PWRI, 1994)

: Oil level (upper: wL=160

mm, 1 : Displacement gage (DV)

+
lower: WL=80 mm) .

DV
I 0 : Horizontal accelerometer (A)
: vertical accelerometer (AV)
i 0 : Pore pressure gage (P)
I A \A& 5-- -
\
I

_------
- ---
of colored sand c _ _ / - - c

----I
Original

L
I 160 , 60 '"80AU, 140 , 60 , 160
i Unit inmm
0
W
N

P-
N O

(R: rotational radius)

1 I I I
a @ a @
Figure. 2 Cross-section of model embankment having a slope inclination a equal to 35"

which is 50 times as viscous as water was injected Table Clonditions of model embankments
from the bottom of the embankment to submerge it Slope I Oil* tablein I Centrihgal
up to a specified height, WL, measured from the base inclination, embankment, acceleration, n,/
layer. After setting the sand box to the rotor, a al WL / amplitude of
centrifugal acceleration of 50 G was applied, and degree of existence of base shaking
several steps of horizontal shaking were conducted compaction, oil table in acceleration in
by using 20 cycles of sinusoidal waves at a frequency D open space each step, abase**
of 100 Hz. 30°/85.2% 80mmiyes 50/6.9,14.5,18.6C
On the other hand, in cases 2-5 through 2-9, the 30"/ 79.2% 1 6 0 d yes 50/ 6.8,13.3G
same silicone oil as used in cases 1-3 and 1-4 was 2-5 35"/79.8% 160mm/no 40/ 13.1, 12.6G
poured i n t o the o p e n space at t h e side of t h e 2-6 35"/ 81.4% 80mmlno 40/ 12.5, 12.6G
2-7 35'/80.9% Odno 40/ 13.8, 14.3G
embankment. By applying a centrifugal acceleration
2-8 30"/ 80.2% 801nm/ no 40/ 10.9, 12.2G
to the model, the embankment was submerged to the 307 79.4%
2-9
__ O m m / no 40/ 14.2, 14.3G
specified height, WL. After stopping the rotation, L -:I
. 311
excessive silicone oil that was left in the open space ** by 2o cycles ofsinusoidal waveS at Hz
was expelled. A centrifugal acceleration of 4 0 G

614

Base layer
Figure. 3 Circular failure plane assumed in the
stability analysis
was reapplied quickly in order to maintain the
submerged condition in the lower part of the
embankment, and several steps of horizontal shaking
were conducted by using the same input form as in
cases 1-3 and 1-4.
It should be noted that lowering of oil table in the
embankment during the process of reapplying the
centrifugal acceleration could not be prevented in
cases 2-5 through 2-9. By monitoring the pore
pressure gages installed in the embankment, attempts
were made to evaluate the oil table at the time of
shaking. However, accurate evaluation was not
successfully made, due possibly to effects of partial
suction in the unsaturated layer. For simplicity,
lowering of the oil table was neglected in the
following analysis.
3 STABILITY ANALYSIS
Based on the modified Fellenius method assuming a
circular failure plane as shown in Figure 3 , which is
one of the Iimit-equilibrium and pseudo-static
analyses, a factor of safety F, of the model
embankment was evaluated as:
where kh is the horizontal seismic coefficient; r is the
radius of t h e failure plane; Wi, b, and Li are the
weight, the horizontal width, the bottom arch length
of i-th soil block, respectively; hi is the vertical
distance between the mass center of the i-th soil block
and the center of the circular failure plane; fi i is the
average angle of the partial failure plane at t h e
bottom o f the i-th soil block measured from the
Degree of Submerged Unsaturated
Applied compaction, region region
case D beIow oil above oil
table table
1-3 about 85% c=O, c=3.9kPa,
(5 =45" 4 =35"
1-4 and 2-5 about 80% c=O, c=2.9kPa,
through 2-9 (5 =42" 4 =33"
. ' '
horizontal direction; and U; is the pore pressure acting
on the bottom of the i-th soil block that is evaluated
as a summation o f the hydrostatic pressure U,; and the
excess pore pressure dui induced by shaking.
In the present study, values of c and 4 , cohesion
and shear resistance angle of the embankment, were
determined as listed in Table 2 based on triaxial test
results on specimens with 5 cm in diameter and 10 in
height, which were prepared by compacting the sand
in a mold in the same way as employed to prepare the
embankment.
By neglecting the amplification in the response
acceleration of the embankment, the value of kt, was
determined from the amplitude of the base shaking
acceleration abase as
where nE is the centrihgal acceleration applied to the
embankment (either 50 G or 40 G).
Further, the value of Au; was determined by
dividing the submerged region of the embankment
into several sub-regions and by assuming a uniform
distribution of the excess pore pressure ratio A U ~ O , ~ ~ '
within each sub-block, which was assigned based on
the maximum excess pore pressures measured by
pore pressure Sages installed in the embankment. The
initial effective overburden pressure o,~' was
calculated one-dimensionally.
For cases 1-3 and 1-4 having free oil table in the
open space at the side of the embankment, effects of
hydrostatic oil pressure applied to the slope surface in
the submerged region were also considered in the
analysis.
4 RESULTS AND DISCUSSIONS
Typical r e s p o n s e s o f t h e m o d e l embankment
recorded during shaking are shown in Figure 4.
Generation of excess pore pressure during shaking
was observed i n the submerged portion o f the
615

Figure. 4 Recorded responses in the first shaking step
of case 2-5
embankment, and the crest settlement accumulated
mostly during shaking. These behaviors suggest that
the combined effects of the excess pore pressure and
the inertial force should be considered in analyzing
the stability of model embankments under the present
testing conditions,
It is also seen from Figure 4 that the excess pore
pressures did not reach their maximum values
simultaneously. Further, horizontal response
accelerations were not the same as the horizontal
base acceleration, and vertical response acceleration
measured at the crest was much larger than the
vertical base acceleration. However, these behaviors
were not considered in the stability analysis.
Residual deformation of the embankment in case
2-5 observed after the first shaking step is shown in
Figure 5 . The whole embankment deformed largely
by the shaking, and a failure plane having a relatively
small radius was formed near the slope surface.
Similar failure planes were formed in cases 2-5, 2-6
616
. .. . ... : Before first shaking
-. . After first shaking
1Not observed
Figure. 5 Residual deformation of embankment after
the first shaking step in case 2-5
Figure. 6 Relationships between horizontal seismic
coefficient and normalized crest settlement
and 2-8, in which the embankment was partially
submerged without having a free oil table in the open
space at the side of the embankment. Because these
failure planes did not cross the crest in these cases, it
was estimated that the crest settlement was caused
mainly by s h e a r d e f o r m a t i o n o f t h e w h o l e
embankment. N o t e also that no failure plane was
formed in other cases. Therefore, in the present study,
the F, values evaluated by assuming a circular failure
plane should be regarded as an index indicating the
relative extent of the combined effects of the inertia
force and the excess pore pressure as well as those of
 Figure. 7 Relationships between horizontal seismic
coefficient and safety factor
different initial configurations and densities, which
may be correlated with the extent of the damage
although they do not directly reflect the actual failure
mechanism.
To investigate a possible link with the amount of
residual crest settlement measured at the shoulder
(DV in Figure 2), the F, value was evaluated by
assuming a failure plane crossing the lines a-a’ at the
crest and b-b’ at the toe of embankment, as shown in
Figure 3 , which mobilize a relatively large failure
zone including both the crest shoulder and the lower
part of the embankment.
Figure 6 shows relationships between t h e
horizontal seismic coefficient kh that was calculated
from the base shaking acceleration using Eq. (3) and
the crest settlement induced by each shaking step that
w a s n o r m a l i z e d by d i v i d i n g w i t h t h e i n i t i a l
embankment height (=200 mm). At nearly the same
value of kh about 0.3, the normalized crest settlement
was larger for the cases having higher oil table (i.e.,
with larger value of WL). When cases with the same
oil table are compared, it is seen that embankments
having a steeper slope (Le., with a = 3 5 O as shown by
solid symbols in the figure) showed larger settlement.
On the other hand, the embankment in case 1-3 that
617
Figure. 8 Relationships between safety factor and
normalized crest settlement
was compacted to the D value of 85 YO showed
smaller settlement than those compacted to the D
value of about 80 %.
Relationships between the kh and the F, values are
shown in Figure 7. At nearly the same value of kh,
embankments having higher oil table yielded smaller
F, values With the same oil table, embankments
having a steeper slope yielded smaller F, values.
Further, in cases 1-3 and 1-4 having free water table
in the open space at the side of the embankment, the
F, value was reduced with the increase in the khvalue
Consequently, as shown in Figure 8, relatively
unique relationships were obtained between the F,
value and the normalized crest settlement. In general,
the F, value was reduced with the increase in the
normalized crest settlement. On the other hand, at the
same F, value, the normalized settlement was smaller
for the embankment in case 1-3 that was compacted
to the D value of 85 % than those compacted to the
D value of about 80 %. Such different relationships
may be caused by difference in the residual
deformation behavior of embankments compacted
at different degrees of compaction and subjected to
cyclic loading, which was not considered in
evaluating the F, value.
 It is also seen from Figure 8 that the normalized these values were obtained for cases with different
crest settlement in the second shaking step was degree of compaction. Further investigations on
sometimes smaller than that in the first shaking step in procedures to evaluate the seismic coefficient and the
spite of the reduction in the F, value. This may be excess pore pressure and those on possible scale
caused by the change in the embankment effect are required in order to employ the above
configuration and possibly by the change in the oil relationships in designing actual sandy embankments.
table in the embankment due t o the previous shaking
hstory, which were not considered in evaluating the
F, value. REFERENCES
Figure 8 may be used t o roughly estimate the
amount of seismically induced crest settlement of Public Works Research Institute. 1994. Report on the
actual sandy embankments from the F, value obtained disaster caused by the Kushiro-oh Earthquake of
by the stability analysis under the same conditions as 1993, Repoyt of PWRI, Ministry of Construction,
employed in the present study; i.e., strength Japan, Vol. 193, pp.158-170 (in Japanese).
parameters of the embankment material are
determined from relevant triaxial compression tests;
combined effects of the excess pore pressure and the
inertial force are considered in the same way as in the
present analysis; and the embankment configurations
with respect to the slope angle, crest width, and the
degree of compaction are similar to those in the
present model tests. However, further investigations
are required to determine horizontal seismic
coefficient that is equivalent t o the actual irregular
seismic motion, to estimate the distribution of excess
pore pressure rationally, and to check if there is a
scale effect on the behavior of the tested models.

5 CONCLUSIONS

The results of the present study could be summarized

as follows.
1) For model sandy embankments compacted to 80 %
or 85 ?40 of the maximum dry density, excess pore
pressure was generated in the submerged portion by
shaking. The crest settlement accumulated mostly
during shaking. These behaviors suggest that
combined effects of the excess pore pressure and the
inertial force should be considered in analyzing the
stability of model embankments under the present
testing conditions.
2) The major failure mode of the model embankments
was overall deformation, while a failure plane was
also observed near the surface of the embankment
slope for submerged cases without free water table at
its side. Therefore, safety factors obtained by
assuming a larger circular failure plane should be
regarded as an index which may be correlated with
the extent of the damage although they do not
directly reflect the actual failure mechanism.
3) With increase in the crest settlement induced by
each shaking step, the calculated safety factor
decreased in general. Different relationships between

618
 Slope Stability Engineering, Yagi, YamagamigJiang 0 1999 Balkema, Rotterdam, ISBN go 5809 079 5

Evaluation of liquefaction potential for loose minefill slopes

€? Kudella
Institute of Soil Mechanics and Rock Mechanics, Universityof Karlsruhe, Germany

ABSTRACT: Uncompacted embankments of certain fine sands exhibit a spontaneous liquefaction potential,
which cannot be evaluated based on undrained shear strength alone. A novel procedure for stability analysis
has been developed, based on Hill’s stability criterion and a hypoplastic constitutive law. With given relative
densities, assumed initial stress states and variations of perturbation directions, stability or instability of slope
sections can be assessed. Catastrophic landslides observed in the past could thus be explained.

1 INTRODUCTION 1.2 Conventional failure analysis

1.1 Spontaneous liquefaction
The East German open-pit lignite mining has left
large areas of refilled sandy mining deposits behind
embankments of up to 70 m height. During the next
decades, the groundwater table will rise again to its
original level creating an artificial lakeland. Some
of the prevailing sands exhibit significant liquefaction
potential when inundated. The most important factors
which contribute to this behaviour are:
Extremely inhomogeneous, mainly loose pa-
cking due to ”moist dumping” without densifi-
cation;
Unknown stress state due to the dumping process,
including residual shear stresses;
Uniform grain size distribution and rounded grain
shape;
Insufficient drainage due to small grain size.
Prior to inundation, the unsaturated material is stable
due to capillary forces. Quite a number of catastrophic
landslides have been observed already, involving up
to 12 Mio. m3,claiming a number of lives and causing
great material damage (Warmbold & Vogt 1994).
Sometimes, large moving loads or stabilization
measures can be identified as so-salled ”initials” trig-
gering spontaneous liquefaction events. Great efforts
are made to minimize danger before the land is rende-
red to public use. Common techniques are vibrofloa-
tation and compaction by blasting (Raju & Gudehus
1994). There is urgent need for a rapid and economi-
cal evaluation procedure for the remaining liquefac-
tion risk and also for quality control of stabilization
measures.
Usually, stress equilibrium analyses are perfor-
mend for risk assessment of embankments. Characte-
ristic shear strength values are taken from undrained
triaxial tests with undisturbed or reconstituted sam-
ples. These tests typically exhibit a raise of porewater
pressure and a deviatoric stress peak before reaching
a plateau with a lower - or even zero - shear resistance
(Ishihara 1993).
For different initial stress levels, deviatoric stress
peaks can be connected with an ”instability line” in
the p-q-diagramm (Lade 1992) or a ”collapse surface”
(Sladen e.a. 1995), and have been compared with
results calculated for special constitutive laws (Do-
anh e.a. 1997). According to the experts opinion,
either the undrained peak strength c , , ~= a‘ tan pupor
the steady state strength c,, = CT’ tan pIL,(Poulos e.a.
1985) or any value in between is introduced into con-
ventional slope failure mechanisms. This approach,
however, cannot capture the problem for the following
reasons (Gudehus 1993):
e Mechanical histories in reality are far different
from the triaxial test regime, and they vary with
the soil element’s position in the slope;
a For a soil skeleton with overcritical void ratio,
brittle failure may propagate from weak points
where the peak has been passed;
Q Clearly defined slip surfaces are not observed;
Q Residual strength cannot be determined confi-
dentially in most triaxial tests due to restricted
deformation capacity or early bifurcation.
That means that any evaluation of slope stability re-
quires a high portion of empirical judgement. Coinci-

619
dence of calculation and observation may be inciden-
tial.
1.3 Stability concept
Figure 1: schematic energy cases (left = stable, right
= instable)
Our novel stability evaluation approach uses a con-
sistent energy-based definition of stability (Hill 1958).
A system in static equilibrium is unstable, if a small
perturbance of the actual state exists for which an ex-
cess second order work will be released as kinetic
energy and accelerate the initial motion (see fig. l a as
an example).
If a soil element of volume V under external dead
loads cij is subjected to a monotonic initial deforma-
tion gradient, say gij = dvi/dzj in an arbitrary di-
rection, the excess second order work reads (Drucker
1964):
The criterium only gives a yes-or-no-answer for the
actual state: A 2 E 2 0 means stability and A2E < 0
instability. It cannot answer questions about the future
system behaviour after non-vanishing deformations or
about the amount of necessary energy to transform the
system from one equilibrium state to another (fig. lb).
For evaluation of the actual state, the second order
energy can be summarized over a set of elements un-
der infinitesimal deformations forming a kinematic
chain (fig. lc).
2 CONSTITUTIVE LAWS
2.1 Hypoplasticity
For calculation of the stress rates in eq. ( l ) , a hypo-
plastic soil model is used which has proved it’s ability
to predict the pre-failure stress-strain-relation of the
soil under changing stresses and densities (Gudehus
1996). It holds for so-called ”simple grain skeletons”
where the stress transfer can be characterized by the
mean values of grain contact forces alone. It’s applica-
bility has been questioned with regard to macrovoids
and pseudo-grains of moist minefill sands (Herle e.a.
620
1998), but it seems justified as long as only the inun-
dated soil body after macrovoid breakdown is consi-
dered. The following properties are implied:
e Effective stress principle and rate-independence
hold;
0 The soil state is characterized only by grain pres-
sures and void ratio;
e Characteristic limit void ratios (critical, upper
and lower limit e,, e, and e d ) decrease with mean
pressure;
e Proportional strain paths lead to proportional
stress paths independent of the initial state;
The stress rate tensor can be written (v. Wolffersdorff
1996): as
For non-symmetric$ deformation gradients, the co-
rotated stress rate d.has to be transformed into the
initial configuration a’: but in most cases, the simpli-
fication a’ N8/is sufficient. The factors HI,H2, H3
describing the incremental stiffness depend on mean
pressure and relative density. The derivation is ex-
plained elsewhere in detail.
The equations require 8 constants as material pa-
rameters: critical friction angle (pc),granulate hard-
ness (h,), minimum, critical and maximum void ra-
tio at zero pressure ( e d o , e d , eio) and three exponents
( a ,b,72). They can all be referred to granulometric
properties and be determined on reconstituted sam-
ples using laboratory element tests and standard index
tests (Herle 1997).
2.2 Partial saturation
Eq. (2) describes the effective stress development
only. Due to field data, degrees of saturation in the
order of S,.= 0 , 8 ...O, 95 are reached after inundation.
Using Boyle-Mariotte’s law p G + $& = 0 and as-
suming that the pore gas fraction V, is distributed in
the pore liquid forming isolated bubbles, the gas pres-
sure (initial atmospheric plus hydrostatic pressure, p
positive) rate can be expressed as
Capillary effects can be accounted for by a further
constitutive law (Gudehus 1995), but they can be ne-
glected for fine sands. In that case the generated gas
pressure is transferred totally to the pore water, and
we thus expect a pore pressure increase for contractive
and a drop for dilative deformations.
3 STABILITY ANALYSIS
3.1 Stability criterion
Combining eqs. (2) and (3) with eq. (1) and omit-
ting small terms, the stability criterium for an unsatu-
rated soil element finally reads
The lower the relative density, the wider the range of
possible stress states with instable deformation paths.
As the second term for the pore pressure is always
positive, a low degree of saturation always stabilizes
the grain skeleton.
One of the advantages of the above criterion is
that no time integration of the constitutive equation is
required. For the same reason, however, it can only
provide a snapshot-like criterion for the actual state.
3.2 Single soil element
Figure 2: definition of strain and stress directions in a
slope
For the analysis of an embankment, the above cri-
terion can be applied to a number of soil elements each
representing one material point. If we assume that the
trigger deformation acts in a plane strain cross section,
the equations are considerably simplified. The defor-
mation gradient is defined with an angle of dilatancy v
and an arbitrary angle 6 according to fig. 2. The most
unfavourable combination of both, giving a minimum
A’E for each soil element, can be found by variation.
In practice, there are static constraints for v: As
the vertical stresses cannot differ much from the dead
load of the overlying soil mass, the condition of zero
total stress rate
b,, = 0 = b;, +p i
~
e(1 - S?.)
62 1
Figure 3: critical void ratios for different angles 6 and
horizontal pressures
has to be satisfied and determines the unknown initial
dilatancy v (or contractancy if it is negative).
Fig. 3 shows ”critical” (in the sense of A’E = 0)
relative densities for a certain set of hypoplastic para-
meters and full saturation.
There are also kinematic constraints for 6: an initial
strain direction 6 > ,O cannot accelerate in the long
term, even if it produces excess kinetic energy at the
beginning. The following general rules can be dedu-
ced from the analysis of single soil elements:
0 Liquefaction is at first to be expected for shear
directions coinciding with the directions of ma-
ximum shear stress;
0 The greater the mobilized degree of friction in
the initial state, the higher the liquefaction risk;
e A steep slope angle is a sufficient, but not neces-
sary condition for liquefaction.
The disadvantage of this single soil element consi-
deration is that the critical deformation directions of
neighbouring elements are not kinematically compa-
tible as the kinematic chain of fig. lc.
3.3 Coherent deformation.jields
The velocity profile for the initial perturbation can
be chosen in such a way, that the deformations of adja-
cent soil elements are fully compatible. The simplest
deformation mode is the constant-volume shear of a
triangular region below the water table (Raju 1994)
which was later extended to contractant shear (Ku-
della 1995). Dilatancy v and the angle of shear base
6 = ?9. are constant for all material points (comp. fig. 2
and 4 4 . As a kinematic chain like the one of fig. l c
acts, the excess energy can now be summarized over

Figure 4: kinematically possible velocity fields
the whole wedge. For steep slopes, a stability mini-
mum for 0 < f l c r Z t < @ can always be found.
Another option is a circular section reminding of a
slip circle, leading to slightly higher critical densities
(fig. 4b). The geometric boundaries of the mechanism
have to be varied until a stability minimum has been
found. However, there is still an infinity of other
possible velocity fields of that kind.
3.4 Local arid global instability
Figure 5 : schematic representation of so-called local
and global instability
A strong argument for Hill’s stability criterion
can be drawn from calculations of liquefaction onset
using time integration. It has been shown by detailed
calculations that, if an initial deformation field with
A’E < 0 exists for the whole slope while also ki-
nematically possible, all perturbations will cause the
slope to fail. With time, the deformations are di-
rected into the critical direction, and the same steady
state flow pattern will be approached independently of
the initial perturbation’s specific direction, magnitude
or location (fig. 5b). The simultaneously acting in-
622
finitesimal deformation (kinematic chain) can indeed
replace the real initials.
Global instability arises, if a kinematically pos-
sible coherent deformation field (fig. 4) can be
found yielding A’E < 0 . Because this field is
not necessarily the most critical mode, the crite-
rion is a sufficient, but not necessary condition
for liquefaction. A’ E > 0 as a condition for sta-
bility is thus on the unsafe side for the coherent-
field-consideration.
Local instability may still arise, if the decisive de-
formation field yields A’E < 0 only in an isola-
ted region or for directions which are not globally
compatible (fig. 5a). Such modes may be iden-
tified using the single-element-consideration. In
terms of safety, this case refers to fig. l b and
remains unclear without further time integration.
Global failure is not necessary, contractant defor-
mation causes local pore water increase, but may
stop again at a new equilibrium state.
Global stability is surely demonstrated only if
A 2 E > 0 results for all directions and for every
single point. As a condition for stability, the
single-element-consideration is on the safe side
as the decisive deformations, though incompati-
ble, represent a lower limit of A’ E.
Fluctuations of void ratio e may initiate local insta-
bility which evolves into global instability. The re-
mainig open question is therefore, whether void ratio
mean values can describe reality or whether a statisti-
cal density fluctuation should also be accounted for in
the model.
3.5 Parameter variation
The analysis uses the computer program STABIL
which carries out the necessary variations of deforma-
tion field geometry. Slope geometry, initial density
and hypoplastic material parameters are supplied as
input data. The program calculates a field of A’E-
values and shows them grafically according to fig. 6.
Figure 6: distribution of A’E, typical result plot of
stability analysis
 1,o 1 I or undisturbed sampling. Apart from costly ground
7
o,201 0,2 0.4 0,6 0,8
inundation ratio H,.,kRIk
0.4 - Osinov 1999).
1.0 , - 1 -___I___?
Figure 7: critical relative density for parameter varia-
tion
Non-constant void ratio distributions can be accoun-
ted for. The realistic assumption of the initial stress
state is one of the crucial factors. Depending on a
preselected horizontal stress ratio ( K a 5 I( 5 K O )
and the slope angle ,O the program derives a set of
combined equilibrium stress fields. Alternatively, it
would also be possible to use initial stresses from FE
models. By variation, the influence of the different
input parameters on liquefaction risk can be separated
(fig. 7):
e high influence: slope inclination p, horizontal
stress ratio K , hypoplastic exponent n and rela-
tive density I D ;
e medium influence: inundation ratio H,k/Hk,de-
gree of saturation S,,critical friction angle cpc and
hypoplastic granulate hardness h,;
o low influence: slope height Hk and for other
hypoplastic parameters.
The calculated critical water level corresponds to ob-
servations. An active horizontal earth pressure is more
critical because of the higher mobilised shear resis-
tance. Low saturation stabilizes, but full saturation
should be assumed if no data are available. The risk of
global liquefaction rises with increasing slope angle,
but with the single-element-consideration also slopes
with less than 15" can liquefy under certain void ratios
and initial stress states.
4 BACK-CALCULATION AND PREDICTION
4.1 Identification of state parameters
In-situ densities can be measured using radiome-
tric combination sounding, cone penetration testing
623
freezing technologies, no sampling method for ex-
tremely loose sands under water can provide reliable
undisturbed densities. The derivation of relative den-
sities from CPT results needs careful calibration and
experience. For an objective interpretation CPT data
and comparative cone pressiometer sounding data can
be combined with a calculation model (Cudmani &
Many attempts have been made to measure the in-
situ stresses directly (Wehr e.a. 1995). Results show
that horizontal stress ratios can be as low as Kmor as
high as I< = 1 , 5after densification. Shear stress com-
ponents cannot be measured as yet; a limited nume-
rical variation of empirical stress distributions makes
more sense. It is also promising to extend the calcula-
tion program by a statistical distribution of initial state
parameters, as has already been tried with success for
settlement analysis (Nubel & Karcher 1998).
4.2 Case studies
1 A2%:rder
AZE
enerav distribution
0 ' h 6 = 3 5 42"
decisive shear direction 1
Figure 8: cross section of the embankment showing
the distribution of 2nd order work
A back-calculation has been made for 37 docu-
mented landslides which happened since 1960 in the
East German mining areas. Although a single set of
hypoplastic parameters was adopted, most of them
could be well justified. The reported in-situ densities
lie in between the back-calculated critical values for
the limiting horizontal stress ratios Kmand KO. The
case study presented here refers to a site where first
spontaneous liquefactions were reported in the 70s
a few years after ceasing of groundwater lowering.
Slope inclination at that time was about 30". To in-
crease stability the slope was flattened to an average
angle of 6,3" (fig. 8). The deposit consisted of 27 m
thick very loose silty fine sand. Soil parameters were
taken from frozen specimens. The measured average
in-situ void ratio was e = 0,87 with a recorded ma-
ximum of e = 0,97, and the average saturation was
S, = 0,8. As the water will rise 19,8 m above slope
toe in the year 2030, stability was further increased
by blasting in the lower part and by vibratory rollers
in the upper part. This technique creates a so called
"hidden dam" parallel to the slope and the later sho-
reline, a defined region densified to e = 0 , 7 6 which
obstructs the undensified soil mass from flowing out
into the lake in case of liquefaction.
Back calculation using STABIL proves that the
steep original slope with an assumed water level of 5 m

Figure 9: critical void-ratio prior to and after cons-
truction of the hidden dam for several K values
must have liquefied for void ratios above ecrit = 0,74.
For a representative cross section of the 6O-slope no
instable coherent deformation fields were found.
But using the single-element-consideration, local
instability is possible for void ratios of e = 0,7 to
1,l and horizontal stresses between active and at-rest
earth pressure (fig. 9). This instability occurs with sli-
ding directions, however, in which global flow-out of
the slope is not possible (6 >> p,fig. 8) as in fig. 5a.
Significant contractant perturbations, like for exam-
ple saturation sagging, will nevertheless produce pore
water overpressure and thus diminish static resistance.
Prior to compaction, stability of the embankment was
given d u e to capillary effects and horizontal stresses
probably well above K, (see range of in-situ state in
fig. 9). But following the analysis, safety for future
flooding can not be guaranteed without compaction.
T h e hidden d a m improves the overall stability as
it balances the negative 2nd order work of the un-
compacted soil mass to some extent (fig. 8). The
stabilizing effect of densification is further improved
by simultaneously increasing the horizontal stress to
a .&-state. A stable behaviour can thus be predicted
for the highest water table in the year 2030.
REFERENCES
Cudmani, R., Osinov, V. 1999. The cavity expansion pro-
blem for the interpretation of cone penetration and
pressiometer tests. submitted to Can. Geotechn.
Journal
Doanh, T., Ibraim, E., Dibujet, Ph., Matiotti, R. 1997.
Static liquefaction: performances and limitations
of two advanced elastoplasticity models of loose.
NLUII.Methods in Geoinechanics, eds: Pietruszcak
& Pande, Balkema.
Drucker, D. C. 1964. On the postulate of stability of ma-
terial in the mechanics of continua. Journal de
Mkcan ique, 3(2) :236-249
624
Gudehus, G. 1993. Spontaneous liquefaction of saturated
granular bodies. Modern approaches to plasticity, ed:
Kolymbas, Elsevier, Amsterdam, pp. 691-714, 1993
Gudehus, G. 1995. A comprehensive concept for non-
saturated granular bodies. Unsaturated Soils, eds.
Alonso & Delage, Balkema.
Gudehus, G. 1996. A comprehensive constitutive equa-
tion for granular materials. Soils and Foundations,
36(1): 1-12.
Herle, I. 1997. Hypoplastizitat und Granulometrie einfa-
cher Korngeriiste. PhD thesis, Veroffentlichungen
des IBF der Universitat Karlsruhe, I42
Herle, I., Wehr, W,, Gudehus, G. 1998. Influence of ma-
crovoids on sand behaviour. 2nd. Int. Cont on
Unsaturated Soils, Beijing.
Hill, A. 1958. A general theory of uniqueness and stability
in elastic-plastic solids. Joinrn. Mech. Phys. Solids,
61236-249
Ishihara, K. 1993. Liquefaction and flow failure during
earthquakes. Gkotechnique, 43(3):35 1-415
Kudella, P. 1995. Stabilitatsberechnung von setzungs-
flieflgefahrdeten Kippenrandboschungen. Geotech-
nik, 19(1):7-15
Lade, P.V. 1992. Static instability and liquefaction of loose
fine sandy slopes. Journal of Geotechnical Enginee-
ring, 118(1)
Nubel, K., Karcher, Ch. 1998. FE simulations of granular
material with a given frequency distribution of voids
as initial condition. Granular Matter, 1 : 105-112
Poulos, S.J., Castro, G., France, J.W. 1985. Liquefaction
evaluation procedure. Journal of Geot. Eng. Div.
ASCE, 1 1 1(6):772-792
Raju, V. & Gudehus, G. 1994. Compaction of loose sand
deposits using blasting. In Proc. XIII ICSMFE, New
Delzli, 1 145- 1 150
Raju, V. 1994. Spontane Verflussigung lockerer granula-
rer Korper - Phanomene, Ursachen, Vermeidung.
PhD thesis, Veroffentlichungen des IBF der Univer-
sitat Karlsruhe, 134
Sladen, J., d'Hollander, R., Krahn, J. 1985. The liquefac-
tion of sands, a collapse surface approach. Canadian
Geotechrzical Journal, 22:564-578
Warmbold, U. & Vogt, A. 1994. Geotechnische Probleme
und technische Moglichkeiten der Sanierung und Si-
cherung setzungsflieflgefahrdeter Kippen und Restlo-
chboschungen in der Niederlausitz. Suijace Mining,
7:22-28
Wehr, W., Cudmani, R., Stein, U., Bosinger, E. 1995.
CPT, shear wave propagation and freeze probing to
estimate the void ratio in loose sands. Int. Symp. on
Cone Penetration Testing, Linkoping, (2):35 1-356
von Wolffersdorff, P.-A. 1996. A hypoplastic relation for
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 Slope stability Engineering, Y'Si, Yamagami 8,Jiang 0 1999Balkema, Rotterdam, ISBN 90 5809 079 5

Runout distances of earthquake-induced landslides

Yoshimasa Kobay ashi

Hiroshima Institute of Technology,Japan

ABSTRACT: Cases of earthquake-induced landslides in Japan are described. Items such as name, date, location,
causative event, volume, area, thickness, drop height H, attained distance L, Fahr-boeschung WL, velocity,
composition,references, etc. of investigated landslides are given. Fahr-boeschungs or WL ratios, which correspond
to net coefficient of friction, are variable depending on size, geology and other factors. Moisture content is one of
the important factors for triggering and for increasing runout distances of slides. Volume is another important
factor affecting the runout distance. Volcanic areas are particularly susceptible to debris avalanches. The time-
distance relationships of some of the slides are reproduced, and the maximum velocity is found to reach about 5 to
50 d s .

I lNTRODUCTION 3.5km2 devastating farmland and houses with toll of

Landslides have caused many fatalities in past
destructive earthquakes. It is hence desirable to
understand their characteristics. In particular,
prediction of the runout distances of slides is
important for mitigating this kind of hazard since they
often reach unexpectedly long causing disaster.
However, the data base for this category of hazard is
relatively poor. I have hence tried to collect data of
well-documented earthquake-induced landslides in
Japan mainly in the recent past. The information will
be usehl for preventing disaster as well as in preparing
land-use planning.
In the following, case histories are first described
briefly, then based on the cases the correlations
between the runout distances and volume or other
factors are examined. Estimated velocities of
landslides if available are given for reference.
Lessons are extracted fkom the experiences described
in this article.
2 CASE HISTORIES
2.1 Bandaisan volcano(1888)
Volcano Bandai erupted on the 15' of July, 1988 and
caused a well-known giant debris avalanche amounting
to 1.5km3 on the northern flank of the volcano. It
attained the distance of 11.4km, covered an area of
477 lives.
Sekiguchi et a1.(1993) divide the process of the
activity into 5 stages as follows: 1) Ascent of magma
and expansion of the edifice starting around the 8' of
July accompanying marked tremors and noise at 7:OO
on the 15', 2) eruption of the first stage with a
phreatic explosion below Kobandai peak. 15 to 20
strong explosions occurred and the last one broke the
north flank causing a rock avalanche. An avalanche
valley was formed by this event and debris buried the
villages in the northern foot of the mountain causing
great hazards. It formed also hummocks along the
flowed-down course, 3)relative quiescence at around
8:50, 4)a small explosion at around 9:30 caused a slide
of Kobandai. Fan-shape cleavages and a pressurized
zone were formed by this slide, and 5)cease of
eruptions around 16 hr.
The avalanche valley is 1.2km wide and 3km long.
The sizes of hummocks located on the extension of
the avalanche valley mostly range 70 to loom, and the
maximum is 300m in longer diameter.
This slide was extraordinary since it accompanied a
volcanic explosion and undoubtedly gaseous content
had some effect on the mobility of the rock mass. This
type of slide is relatively rare but cannot be ignored,
since in volcanic areas similar phenomena can occur
occasionally as exemplified by the slide at Mt. St.
Helens in 1980.

625
2.2 N e b u b a ( 1923)
A rock avalanche was triggered by the 1923 Kanto
earthquake of September 1, 1923, and it rushed into the
village of Nebukawa, south of Odawara, and
demolished the village killing 300 to 400 people. This
is the most catastrophic case among earthquake-
induced landslides in modernized Japan (Kobayashi,
1985).
The source area of the avalanche is supposed to be
3.5 km upstream of the Shiraito river along which the
rock mass flowed down. The volume is estimated at 1
to 3 million m3.
2.3 Dedo-Nishime(1964)
In the Niigata earthquake of June 16,1964 (M 7.5) a
7 m high railway embankment failed as long as 150 m
and the soil deposited flat on one side of the railroad
covering paddy field up to 115m from the foot of the
slope (Tada et al., 1964). From the fluid-like
appearance of the deposit the fill material is presumed
to have liquefied during shaking or sliding. According
to an eyewitness account by a farmer, the soil in the
embankment broke through the mid-slope surface and
the higher part of the embankment dropped vertically
down on that portion. The deposit was 1.0 to 1.5 m
thick at 50 m and 0.3 to 0.5 m thick at 90 m from the
railroad, respectively. Patches of the slope-surface
with grass on them were scattered overriding the rice
field giving little damage to rice plant below.
At this site the railroad crosses a buried valley of
10m deep unconsolidated silt and clay deposits
including thin sand lenses. This subsurface may have
been responsible to strong shalung of the site.
2.4 Shiriuchi(l968)
The Tokachioki earthquake on the 16* of May, 1968
(M 7.9) caused a number of slope failures of railroad
embankments of the Tohoku line of Japan National
Railways. It is noteworthy that this earthquake was
preceded by a heavy rainfall amounting to 150 mm in
total till the previous day of the event.
Among others a failure between Shiriuchi and
Mutsu-ichikawa stations is a typical flowslide with
liquefaction of material (Yamada et al. 1968). Slope
surface of the embankment 15m high failed as long as
80 m and the surface soil slid 80m from the slope end
over a paddy field. T h s location was underlain by
soft ground containing peat of 1 to 2 m thickness. On
the day of investigation on June 17, there still remained
pools of seepage water at the foot of the slope
suggesting ground water played an important role in
this slide.
626
2.5 Nahzgi(1974)
The off Izu Peninsula earthquake of the 9“’ of May,
1974 (M 6.9) caused a Shirohatayama slide at a
fishermen’s village Nakagi and took 27 lives by
burying 19 houses. The rock type is volcanic breccia
and tuffaceous sandstone underlain by pumice tuff.
Short drifts had been driven into the latter for storage
and their effect on the stability of the slope was argued
after the event. Seepage of ground water was
observed at the outcrop of pumice tuff after the slide,
which suggests the base rock was saturated on the
earthquake.
The slide was rapid, and after destroying the village a
part of the soil mass flowed into the bay.
2.6 Mitaka-Iriya(1978)
In the near Im-oshima earthquake of Jan. 14, 1978
(M 7.0) many slides were triggered including the
present one. This slide of about 10,000 m3 took place
at a slope with 110 m relative height with maximum
width of 200 m, slope length of 120 to 200m, and the
depth 2-3m. A characteristic feature of the slide is its
speed estimated at 1 5 d s or more, and the slid mass
stopped after climbing some height on the opposite
bank. Seven people who could not flee died by the
slide.
This is a slide of recent pyroclastics along a bedding
plane. Although the size of the slide is not large, this
type can be dangerous because its speed is high and its
runout distance is relatively large.
2.7 Nashimoto-West and East( 1978)
In the same earthquake as above, two slides took
place at Nashimoto along the Amagi-pass road. The
slides amount to 19,000 and 15,000 m3, respectively.
The former buried a bus and 3 passengers died. At
this location cutting was made in 1971-72 to widen the
road into the rock mass of volcanic breccia or tuff
breccia as high as 30m or more on the mountainside
and several meters on the valley side, respectively.
The slope was unstable since then and failed
repeatedly; e.g. by a 94.5 mm daily precipitation of Oct.
9, 1976. On the earthquake the western part of the
slope was being reconstructed after a failure while
closing one of the lanes. The west slide was 50 m high,
120 m wide and 10 m deep in the maximum. The
east slide was 53 m high, 110m wide and 7 m deep in
the maximum. The basic cause for these slides is
undercutting of layers sub-parallel to the original
ground surface.
2.8 Kotobukiyama(l978) 3 RUNOUT DISTANCE VERSUS VOLUME AND
A part of the slope of a fill for residence area in TYPE OF LANDSLIDES
Kotobukiyama, Sliroishi city failed during the
Miyagiken-oki earthquake of the 1 2 of~ June, 1978 (M It is well known that there is a general tendency that
7.4). The size of the slide was 120m wide, 230m larger landslides exhibit lower net frictions or smaller
long involving 16,000m2 residential area. One person Fahrboeschungs H/L (Scheidegger, 1973). I have
died buried by the slide. The failed mass flowed compiled data for the cases described in the foregoing
about lOOm fi-om the foot of the slope and is estimated sections(Table1 and Fig.1). They e h b i t a similar
at 80,0001n3 in volume. The site is underlain by tendency as usual except that some smaller slides have
pumice tuff and the fill material is provided by sand extraordinary low net frictions; the latter group belongs
from the same rock. The fill thickness ranges up to to those where materials liquefied. Those with
25m in the maximum. The slide is rather fluid-like volume larger than 106m3 are debris avalanches at
and is 5 to 6 m in the deposited area. The ground- Bandai, Ontake and Nebukawa. They have in general
water table measured in 1976 had been less than 10 m smaller net frictions than other slides. It may not be by
from the surface. This suggests an effect of soil chance that all of them were in volcanoes. In
liquefaction on the present slide. particular, the Nebukawa debris avalanche was very
likely facilitated by light loaniy soils involved.
2.9 Ontake(1984)
The Western Nagano Prefecture earthquake of the
Table 1. Volume and Fahrboeschung WL of
14'h of September, 1984 (M 6.8) triggered a giant rock earthauake-induced landslides
slide which turns into a debris avalanche and flowed
down along the Denjogawa canyon as long as 8 km or year event name voiume(m3) WL
more. 15 people were killed by this debris avalanche.
1888 Eruption Bandaisan 1 . 5 ~ 1 0 ~ 0.070
The volume is estimated at 36x106m3. According to 1923 Kanto Nebukawa 1 . 0 ~ 1 0 ~ 0.15
eyewitness account it took about 6 minutes after the 1964 Niigata Dedo-nishime 1 . 8 ~ 1 0 ~0 ,047
onset of the main shock to reach the 8-km point, 1968 Tokachi Shiriuchi 3 . 4 ~ 1 0 ~0.15
Yanagase, giving an average speed of 2Ods. 1974 IzuPen. Nakagi 1 . 7 ~ 1 0 ~0.37
1978 Izu-oshima Mitaka-inya l.0x105 0.30
The slide occurred on the south-eastern slope of
1978 Izu-oshima Naslimoto W 1.9~10' 0.83
Volcano Ontake in two steps, the first in the foot of the 1978 Izu-oshimaNashimoto E 1 . 5 ~ 1 0 ~0.73
slope contains about 10% volume and the second in the 1978 Miyagiken Kotobukiyama 6 . 0 ~ 1 0 ~ 0.12
upper part of the slope about 90%. The slid mass fell 1984 Naganoken Ontake 3 . 6 ~ 1 0 ~0.12
into the Denjogawa canyon and flowed down in the
note: H is the dropped height, L the horizontal distance of slide
canyon leaving little deposit till the canyon meets the
Nigorikawa canyon about 5 km downstream. In the
farther stretch than the confluence with the Nigorikawa 4 VELOCITY OF MOVEMENT
the quantity of deposit grew rapidly and there were also
huge hummocks. Debris avalanches are in general rapid phenomena
Whether the debris were dry or wet was actively and their velocity is an important factor of concern.
argued. Relevant lnformation is that mud was found However, estimation of the velocity is difficult because
sticking to ground and trees where the debris flowed very few were measured in field in real events and it is
through; that the quantity of water contained in the in general hard even to collect data for simulations.
debris of 36x106m3is estimated at 7.7x106m3and it is Nevertheless, I have tried simulations of the slides
not sufficient to saturate the whole debris. One of the based on limited evidence; only three cases so far; the
hypothesis is that only the lower part of the mass was Nebukawa, Mitakairiya and Ontake cases.
saturated facilitating slide while the upper part Based on a simple simulation incorporating hction
remained dry. Another category of hypotheses and air-drag resistance Kobayashi (1985) estimated the
assumes mechanism for facilitating dry debris velocity-distance relationship of the Nebukawa debris
avalanches (e.g. Kobayashi, 1994). avalanche as shown in Fig.2 to fit the eyewitness
account that it reached Nebukawa village about 3-5
minutes after the main event. If the estimation is true
the maximum speed attained 40 to 50 m/s in the fulst
third of its travel.
627
 Fig.1 Net fhction of landslides versus volume

Fig.2 Velocity-distance and travel-time-distancecurves for the Nebukawa debris avalanche

in the Kanto earthquake 1923 under the effect of gravity and friction as well as air
turbulcnce .

Next example is for the Mitaka-iriya slide in
the1978 Lzu-oshima earthquake. Assuming the friction
angle of sliding plane between 11 and 16 degrees,
Kobayashi (1981) estimated the speed as shown in
Fig.3. It ranges between 5 and 15 m/s depending on the
assumed f?iction angle.
The last example is for the Ontake debris avalanche
in 1984. Kagawa and Kobayashi (1987) conducted a
computer simulation to reproduce the debris avalanche
by representing the debris by a number of spherical
masses flowing down on a three dimensional canyon
topography and obtained a result as shown in Fig.4.
The left panel is a bird eye’s view of the trajectories of
rock masses on the three dimensional topography, the
central one locations-time of rock masses ( upper line:
leading rock mass; lower line: average rock masses),
and the right one is the instantaneous average speed of
rock masses and time.
5 CONCLUDING REMARKS
Relatively a few number of cases are available at the
present moment, but even in such a limited situation it
is possible to draw some lessons from experience.
 Fig3 Velocity-distance curves for the Mitaka-iriya landslide in the Izu-oshima earthquake 1978.

Fig.4 Computer simulation of the Ontake debris avalanche in the Western Nagano Prefecture
earthquake 1984. Left: bird eye’s view of the trajectories of rock masses; Center: locations
of the leading (top) and average rock masses; Right: velocity-travel time of average rock masses.

From Fig.1 showing examples of net hction or WL
of earthquake-induced landslides, it is evident that it
can be lower than 0.1; one is in case of a large debris
avalanche and another is the case affected by
liquefaction.
The data of speed of earthquake-induced landslides
are more limited, and only three examples could be
discussed. In these examples the values range
between 5 and 50 m / s depending on conditions
including the size. Larger slides seem to have greater
speed and tend to be more dangerous.
It is important to collect more data on this relevance

629
to make a more concrete recommendation to prevent
slope hazards by earthquakes.

REFERENCES
Japan Scientists Association (1978) Report of the
1978 Izu-oshima -kinkai earthquake, p.76(in Japanese).
Kagawa, T. and Y. Kobayash (1987) Simulation of
debris avalanche of Mt. Ontake induced by the
Western Nagano Prefecture earthquake, 1984. Proc.
Japan National Symp. Rock Mechanics, 3 19-324 (in
Japanese).
Kawakanii, F., A. Asada and E. Yanagisawa (1978)
Damage to embankments and earth structures due to
Miyagiken-oki earthquake of 1978, Soils and
Foundations 26-12,25-3 l(in Japanese).
Kobayashi, Y. (1984) Back-analysis of several
earthquake-induced slope failures on the In1 peninsula,
Proc. 8WCEE, similar contents also in Annuals of
Disaster Prevention Res. Inst. Kyoto Univ.24 B-
1(198 l), 401-410.
Kobayashi, Y. (1985) A catastrophc debris avalanche
induced by the 1923 Great Kanto Earthquake, Natural
Disaster Science, 7,l-9.
Kobayashi, Y. (1994) Effect of basal guided waves on
landslides, PAGEOPH 142,329-346.
Scheidegger, A. E. (1973) On the prediction of the
reach and velocity of catastrophic landslides, Rock
Mechanics 5,23 1-236.
Seluguchi, T., K. Haraguchi, J. Iwahashi, T. Otani, Y.
Inazawa and M. Tsusawa (1993) Study of topography
forming process in the 1888 eruption of the Bandai
volcano, Report of Geodetic Survey Inst. Japan D1-
No.308, 150-160 (in Japanese).
Tada, Y., M. Saito, M. Ihara, T. Matsunami, T.
Muromachi, T. Fujiwara, C. Ueda, Y. Kobayashi, Y .
Sat0 and H. Uezawa (1964) Survey report of Niigata
earthquake, Report of Railway Res. Inst. 448, 92p. (in
Japanese).
Yamada, G., T. Takayama, T. Muromachi, T.
Fujiwara, Y. Sat0 and Y. Kobayashi (1968) Survey
report of Tokachioki earthquake, Report of Railway
Res. Inst. 650, 137p., (in Japanese).

630
 Slope Stability Engineering, Yagi, Yamagami Jiang 0 1999 Balkema, Rotterdam, ISBN 90 5809 079 5

Evaluation of measured vertical and horizontal residual deformation at crest

of rockfill dam under earthquake

Toshiro Okamoto
Geotechnical and Eurthquake Engineering Department, Abiko Laboratory, Central Reseurch Institute of Electric
Power Industry,Jupun

Abstract: Many data have been collected concerning the deformation of completed rockfill dams under strong
earthquake from all over the world, in this study some data, especially horizontal deformation and recently
observed data are added to evaluate the effect of magnitude, compaction, gradient and so on. In this study
settlement and horizontal deformation ratios are defined to be the values of crest deformation / dam height, and the
relation among deformation, acceleration and duration are evaluated by regression analysis. Then the influences
of performance and dam structure are studied.

1 INTRODUCTION was conducted, so its data is included herein. Table 1

It is more necessary for seismic design to take account
of seismic behavior and structure function in Japan
especially after Hyogo-ken Nanbu earthquake, it
needs the study of earthquake input motion and
evaluation method of stability taking in account of the
function appropriate to the kind of structures. Also
the design of rockfill dam should be reflected by dam
function evaluation according to seismic behavior. It
may be said generally that rockfill dam has high
seismic resistance, however measured deformation
should be analyzed rationally to lead to the design
taking account of dam function.
2 INVESTIGATION METHOD AND MAIN
RESULTS
Technical Research Center of Japan Development,
1982, Bureau et.al, 1985, Kondou, 1990, Finn et.al,
1995 collected many data and evaluated them. As the
recently observed data this study includes the
following, namely Anderson dam by Morgan-Hill
Earthquake (1984) (Bureau, et.al. 1985) and Loma
Prieta E. (1989) (Tepel, et.al. 1996), Matahina dam by
Edgecumbe E. (1987) (Gillon, et.al. 1989),
Ambuklao dam by Philippines E. (1990) (Japan
Society of Civil Eng. 1993), and Los Angels dam by
Northridge E. (1994) (Bureau, et.al. 1996). Los
Angels dam is zoned earthfill dam replaced San
Fernando dam, but its data seems to be valuable
because gentle design, performance and observation
is their summary.
3 SETTLEMENT AND HORIZONTAL
DEFORMATION
3.1 Settlement ratio and base acceleration
Settlement ratio E ,is defined and introduced to be
crest settlement S, / dam height H (Bureau et.al, 1985).
According to Fig. 1, it found that the data distributed in
some region between settlement ratio and base
acceleration.
3.2 Settlement ratio and crest acceleration
Fig.2 shows the relationship between settlement ratio
and crest acceleration and it found that the distributed
region seems to be wide comparatively as well as
Fig. 1. Fig. 1 and 2 shows that the maximum E , is
less than 1% and most of E ,are less than 0.5%, and
no poundage function damage of leakage increment
were reported about soil core type dams listed in Table
1 or Fig. 1 and 2. The maximum settlement in Fig. 1
and 2 is 80 cm in Matahina dam and is less than 1.Om
and the more, which was observed in earth fill dam
with large damage of poundage function by
earthquakes (Tani, 1982). On the other hand, Cogoti
and Minase of CFRD type dams leaded to increased
leakage though their E , were less than 0.5%, so it
found that E , related dam function of poundage are
deferent between soil core type and concrete facing
type of rockfill dam.

631
 Table 1 Measured deformation and dam characteristics

dam I nation :earthquake base ;crest rest residicrest resit lam type Refference
. (Magnitude) accerel. laccerel. e t t h e n 4 horiz. del 1) Okamoto,S.,Yoshida,N. and Nakayama,K( 1961)
Ab (gal) IAc (Pal) v (cm) ISh (cm) : On the behavior of dams during earthquake, J.
Malpasso jPeru i 1938.10.10 *loo ___ 7.6 I 5.1 of Japanese society of Large Dam, No.26,33-48
Cogoti /Chile 1Illapel 1943 (8.3) '190 --- 60 . .. 2) Committee of damage investigation by Niigata
Miboro :Japan 1Kita-Mino 1961 (7.0) *200 1 --- 3 1 5 earthquake, Japanese Society of Civil Enginerring
Minase !Japan fNiigata 1964 (7.5) 55 I --- 13.9 j 11.4 (1966) Report of damage investigation by
LaVillita IMexiccj 175.10.11 (5.5) 72.8; 300.2 2.5 ; 2 Niigata earthquake
LaVillita :Mexico (75.11.15 (6.5) 40.8; 191.6 2.5 : 2 3) Noguera, Larrain,G.(1979) : Seismic behavior of
LaVillita :Mexico 179.3.14 (7.6) 17 i 371 5 j 2.5 some Chilean earth dams, 13th Intem. Congress
LaVillita ;Mexico 181.10.25 (8.1) 85 j 338 11 : 4.5 60
CECRD of Large Dam
LaVillita \Mexico j85.9.19 (8.1) 125 I 450 32 ; 11.5 60
CECRD 4) Nose,M. and Baba,K.(1981) Dynamic behavior
Infiemillo ;Mexico j75.11.15 (5.5) 52.9; 130.1 0.54 j --- 148
CECRD of rockfill dams, Proc. of Dams and Earthquake
Infiemillo ;Mexico j79.3.14 (7.6) 105 355 7.55 j 12.9 148
CECRD Conference, Institute of Civil Engineers, London,
1nfiemillo:Mexico j85.9.19 (8.1) 125 1 303 10.6 I 10.7 148
CECRD 5) Rom0,M.P. and Resendiz,D. (1981) Computed
Namioka [Japan 1Nihon-kai Chubu 83 (7.7) 79 j 223 5.7 j --- and observed deformation of two embankment
Makio j Japan iNaeano-kenSeibu 84(6.8' *400 1 '750 50 j --- CECRD
105 dams under seismic loading, Proc. of Dams and
Anderson :USA jMorgan-Hill84 (6.2) 410 j 630 1.5 0.9 Earthquake Conf. Institute of Civil Engineers,
Anderson !USA ILomaPrieta89 (7.1) 78 j 421 3.9 j 2.4 London, 267-274
Matahina i ~ e wzeallvnajEd~ecumbe1987(6.3) 324.7/ 764.e 80 1 26.8 IECRD 6) Arrau.L.. 1barra.I. and Noguera.G.(1985) :
86
AmbuklaoiPhilippin$85.4.24 (6.3) --- I --- 40 9 129
CECRD Performance of Cogoti dan under seismic loading,
AmbuklaojPhilippinej1990 Ruzon (7.8) '200 I --- 68 28 129
CECRD Concrete face rockfill dams-Design Construction
LosAngels \USA ;Northridge 1994(6.7) 270 I 600 8.89 I 3.81 46.5
CECFDl and Performance, ASCE, 1-14
7) Bureau.C., Volpe.R.L., Roth,W.H. and Udaka,
T.( 1985) Seismic analysis of concrete face rock-
fill dams, Concrete Face Rockfill Dams - Design,
Construction and Performance, ASCE, 479-508
8 ) Ohne,Y.( 1985) : Behaviorof Makio dam under
earthquake, Specialty session, 20th Symposium
of Soil Enginerring, Japanese society of Soil
Engineering, pp 47-54
9) Construction Department of Mexico United Mini-
stry of Electric Power(1985) : Prompt report on
structure behavior of Jose Ma Morelos and El
Infemillo Hydrolic Power Station by 1985/9/19
and 20 earthquake El Infemillo Hydrolic Power
Station by 1985/9/19 and 20 earthquake
10) Matsumoto,N., Takahashi,M. and Sato,F.( 1985)
: Repairing the concrete facing of Minase rockfil
Sv observed at abutment dam, 15th ICOLD, vol N 203-225
11) Sawada.T (1986) : Behavior of fill dam under
earthquake- example of Namioka dam by Nihon-
Anderson 25 25 kai Chubu earthquake, J. of JSIDRE. Dec 37-40
Matahina 2.5 2.3 12) Tamura,C (1986) report of damage investi-
Ambuklao 1.75 1.75 gation by Mexico Earthquake, J. of Japanese
Ambuklao I 75 1.75 Society of Large Dam, No. 116,40-5 I
13) Uzu,N (1987) : Dictionary of earthquake,
Asakura Library, 372-374
* : estimated 14) Gil1on.M D. and Newton,D J.(1989) : Earth-
CECRD : Center Earth Core Rockfill Dam, CECFD : Center Earth Core Fill Dam, quake Effects at the Matahina Dam, New Zealand
IECRD : Inclined Earth Core Rockfill Dam, CFRD Concrete Facing Rockfill Dam proc of discussion session on influence of local
conditions on seismic responce, 12 th I C on
S.M.F E , 37-46
15) Kondou,N( 1991) : Research on behavior of rockfill dam basing long-term observation result, doctor thesis
16) Matsumoto,N., Yasuda,N. and Shougoku,Y.(1991) Behavior of dams by Loma Prieta earthquake, J. of Dam Technology, NoS6, 19-33
17) Tepel,R.E., Nelson,J.L and Hosokawa,A.M (1996) Seismic responce of eleven embankment dams, Santa Clara county,Califomia, as measured by crest
monument surveys,ldth annual USCOLD Lecture Senes, Seismic design andPerformancc o f Dams , 185-199
18) Japan Society of Civil Engineers( 1993) : Reconnaissance Report on the July 16,1990 Luzon Earthquake, the Philippines
19) Bureau.G , Ine1.S , Davis C.A and Roth W H( 1996) Seismic responce of Los Angels dam, CA During the 1994 Northndge earthquake,l6th annual
USCOLD Lecture Series. Seismic design and Performance of Dams ,281-295

3.3 Horizontal deformation and acceleration
Fig. 3 and 4 indicate horizontal deformation ratio, it
can be recognized that horizontal deformation ratio
relates acceleration, however the correlation is lower.
Fig.5 shows low correlation between horizontal
deformation and settlement. After completion some
dam showed the horizontal deformation to upstream
side not to downstream side not by earthquake
(Japanese Association of Electric Civil Engineering,
198l), and some data of earth dam showed horizontal
deformation to upstream side by earthquake (Tepel,
R.E., 1996). The reasons are not clear, but the
following factors can be listed, crest center or top
slope of observation position, difference of slope
gradient between upstream and downstream,
foundation shape and embankment height difference
between upstream and downstream side, earthquake
input direction and wave.

632
 Fig.4 Horizontal deformation ratio and crest
acceleration
Fig. 1 Settlement ratio and base acceleration

Fig5 Crest settlement and horizontal deformation

Fig.2 Settlement ratio and crest acceleration

Fig.6 Effect of Magnitude on the relation between

Settlement ratio and base acceleration

4 ANALYSIS OF FACTORS AFFECTING

DEFORMATION

Fig.3 Horizontal deformation ratio and base 4.1 Earthquake characteristics

acceleration Magnitude M is known in each dam. The longer
duration the larger M, and cyclic number increase
when the duration is longer. Now the data classified
to 8 2 M , 8 > M 2 7 and 7 >M, and the results are
showed in Fig.6 and 7. It found that the deformation
occurred by small acceleration if M 2 7.

633
Fig.7 Effect of Magnitude on the relation between
settlement ratio and crest acceleration
Fig.8 Effect of performance or dam structure on the
relation between settlement ratio and base
acceleration
4.2 PerJomnce and dam structure
As the other factors except for earthquake
characteristics, compaction of performance and slope
gradient, and foundation ground of dam structure has
some possibility to affect the measured deformation by
earthquake. Concerning compaction, most of dams
embanked by compaction after 1965, but before 1940
compaction was not applied (Cook,J.B., 1984,
Yamamura, 1995). And the compaction and slope
gradient clearly affect the deformation of rockfill dam
due to the results by shaking table tests (Okamoto,S.
et.a1,1972). Now collected data are classified by the
following conditions to “easily deform” case and
“hardly deform” case. Dams in ( ) means that they
don’t satisfy the condition.
asufficient compaction (not dumped) (Malpaso,
Cogoti, Minase, AmbuMao)
Blower gradient than 1: 1.8 (Malpaso, Cogoti,
Minase, El Infernillo)
634
Fig.9 Effect of performance or dam structure on the
relation between settlement ratio and crest
acceleration
@no damage under construction and first filling
(Matahina)
@rock foundation (La Villita)
@no local settlement (Namioka)
According to the results of Fig.8 and 9, it found that
the data of each case distribute in some different region.
However for most of “easily deform” case, which are
satisfied the above-mentioned conditions, they
suffered the bigger earthquakes of M 2 7 , so it is not
clarified whether the deformation depends on
magnitude or the above-mentioned condition of
performance and dam structure. So further analysis is
needed.
5 REGRESSION ANALYSIS
5.1 Effect of duration
Bureau et.al, 1985 suggested ESI (Earthquake
Severity Index) which is defined to AD2 (A:
foundation base acceleration, D: duration =7(M-
4.5)1.5 ). Japanese Association of Electricity (1987)
applies widely the relation log D=0.3 1M-0.774, and
the relation between settlement ratio and D calculated
by its equation are shown in Fig. 10. Good relation
is obtained except for Matahma dam data, but its
correlation is comparatively low.
5.2 Regression analysis
ESI depends on the simple estimation method of
Newmark, 1965. Now fundamental relation E =
-
1 * A” D” is introduced to clarify the affecting
degree of acceleration and duration by regression
analysis. D is estimated by the equation of Japanese
Electric association (1987). Replacing E v1 , A, , D, to
2, , XI, Y,, here i means each data, and N is the number
of the data. Generally N should be more than 60 to get
generalized relationship, so it needs 100 years and

Fig. 10 Effect of duration on settlement ratio
Fig. 11 EIDI for base acceleration of rockfill dams in
Japan without deformation by earthquake
Fig. 12 Relation between EIDI for base acceleration
and settlement ratio
more. This analysis is basing on the restricted number
and the result depends on the character of each data.
Z,=log E v i - ( 1 /” C log E ,,
Xi=logA, - ( 1 /N ) C log A,
Yi=logDi - ( 1 /N ) C logDi
635
Constants are as follows.
m= ( c z , x , c Y , ~ - C Z , Y ~ C X ~ Y/ ,)
-
1 C X i 2CYi2 ( C X i Yi)2 1
n = ( C Z Y , C X , ~ - C Z ~ X ~ C X ~/ YJ
1cx,“Cy,”- ( C X i Y , ) 2 1
I = ( 1 / N ) C l o g E v i - m * (1,”)
* C log&- n * (1,’” ) C logD,
Final relations are followed.
E .=7.79X 10 -74,0.5 * D’
E v = 1 . 1 9 X 1 0 - 9 A , 1 . 8 3 . D0.84
4, and A, are base and crest acceleration each other.
The ratio of the POW ers of base acceleration and
duration is almost 1:2, and this result is similar to
ESI, however the crest settlement depends highly
on the crest acceleration.
6 EVALUATION BY EIDI
6.1 Inntroduction of EIDI
The relation obtained by regression analysis
Fig. 13 EIDI for crest acceleration of rockfill dams in
Japan without deformation by earthquake
Fig. 14 Relation between EIDI for crest acceleration
and settlement ratio
indicated average relation among settlement,
acceleration and duration. And then it can be
recognized that if the settlement is larger than the
relation by regression analysis, other factor will
affect the deformation, which are seem to be
especially compaction and / or gradient and so on.
So new index EIDI (Earthquake Induced
Deformation Index) is introduced, EIDI= A"' *
D". For base and crest acceleration,
EIDI,= & o . 5 3 D 1 , 3 g
EIDI,= 3D0.s
6.2 Evaluafion by EIDI
According to the results of regression analysis,
E /EIDI=7.79X 10 - 7 0 r 1.19X 10 -',
however E should be 0 if EIDI is small. Then the
EIDI in non deformation case is evaluated by
calculating A" * D" for the data without
deformation measured in Japan, and the relation
between E and EIDI is evaluated by least square
method for the data with larger EIDI than it.
Fig. 11 and 12 show the results of EIDI without
deformation and the relation between E and EIDI
with deformation. The average re1ation is
E = 2 . 2 2 x 10 - 6 (EIDI, - i,ooo)
It found that the performance and dam structure
don't affect the settlement ratio.
Fig. 13 and 14 are for crest acceleration. The
average relation is
E =1.67X 10 -' (EID1,- 2 x 1 0 ')
Fig. 14 can evaluate the effect of the performance
and dam structure on the deformation.
Table 2 indicates the correlation coefficients when
each relation is linear, and the settlement of
Matahina dam is 10.2cm. And it found that the
coefficient in applying EIDI, is bigger.
Table 2 Correlation coefficient
CON CLUSI ON
Recent data of measured settlement and horizontal
deformation of rockfill dam are collected. Applying
the regression analysis settlement ratio relates
acceleration and duration. Introducing EIDI
settlement ratio is more rationally recognized, and
EIDI for crest acceleration can evaluate the effect of
performance and dam structure.
636
REFERENCES
Bureau.G, Volpe,R.L., Roth,W.H. and Udaka,T.
(1985) Seismic analysis of concrete face rockfill
dams, Concrete Face Rockjill Dams - Design,
Construction and Pe$omzance, ASCE, 479-508
Bureau, G., Inel, S., Davis, C.A. & Roth, W.H.
(1996) :Seismic response of Los Angeles dam, CA
during the 1994 Northridge earthquake, Seismic
design andpei$omzance of dams, USCOLD, 281-
295
Cooke, J.B. (1984) Progress in rockfill dams, J.
of Geotechnical Engineering, Vol. 110, No. 10,
1383-1414
Finn, W.D., Ledbetter, R.H. & Marcuson, W .F.
(1995) The Evolution of Geotechnical Earthquake
Engineering Practice in North America : 1954-1994
(State of the Art Paper), 3rd International
Conference on Recent Advances in Geotechnical
Earthquake Engineering and Soil Dynamics, 88 1-
909, Vol. II
Gil1on.M.D. and Newton, D.J.( 1989) : Earthquake
Effects at the Matahina Dam, New Zealand, proc.
of discussion session on influence of local
conditions on seismic response, 12th I. C. on
S.M.F.E., 37-46
Japanese association of Electric Civil Engineering
( 1981) Recent Fill Dam Engineering
Japanese Association of Electricity ( 1987) :Technical
Standard of Seismic Design of Nuclear Power
Plant (JEAG 460 1)
Kondou, N. ( 1990) :Research of Rockfill Dam based
on long-term.Observation, doctor thesis
Newmark, N.M. (1965) :Effects of Earthquakes on
Dams and Embankments, Rankine Lecture,
Geotechnique, No. 15
Okamoto, S., Tamura, J. and Katou, K. (1972)
About failure of rockfill dam by vibration, 12th
meeting of Japanese Earthquake Engineering, 23-
26
Research Center of Japan Development (1982)
Seismic Design of Dams
Tani, S (1982) :J. of Japanese Large Dmz, No.140,
32-50
Tepel, R.E., Nelson, J.L. and Hosokawa, A.M.
( 1996) : Seismic response of eleven embankment
dams, Santa Clara county, California, as measured
by crest monument surveys, 16th annual USCOLD
Lecture, design and Per$orm.mce of Dams, 185-
199
Yamamura, T. ( 1995) :J. of Japanese Electric Civil
Engineering, No.259, 17-26,
 Slope Stability Engineering, Yagi, Yamagami & Jiang 0 1999Balkema, Rotterdam, ISBN 90 5809 079 5

Displacements of slopes subjected to seismic loads

Radoslaw L. Michalowski & Liangzhi You

Departnzent of Civil Engineering, Johns Hopkins University,Baltimore, Md., USA

ABSTRACT: Geotechnical structures, such as slopes, subjected to earthquake loads, are often designed using
quasi-static design loads. The displacement-based design method was suggested in the nineteen-sixties, with
a relatively simple one-block translational mechanism. However, the most adverse failure pattern known for
uniform slopes is the one where the soil mass rotates as one rigid block, separated from the stationary soil by
a failure surface. A scheme for calculating displacements for the rotational mechanism will be shown. Yield
accelerations for slopes will be calculated, and expected displacements for seismically loaded slopes will be
computed.

I LNTRODUCTION during shear has been experimentally proved and it

Recent earthquakes in the U.S. and Japan have re-
newed interest in the analysis of displacements of
earth structures subjected to seismic loads. A rigid
sliding-block method was suggested more than 30
years ago, and, even though this method is only ap-
proximate, it is still widely accepted today. Originally
this technique was used for a translational mechanism
(Newmark 1965, Goodman and Seed 1966), but later
it was adapted to a rotational failure pattern (Chang
et al., 1984).
This paper briefly reviews the rigid block tech-
nique as applied to rotational failure, and gives a
practical means for its application to earth slopes.
Similar considerations have been the subject of
research in recent years (e.g., Ling & Leshchinsky
1995, Cai & Bathurst 1996). Results directly
applicable in engineering practice are presented in
this paper.
2 ROTATIONAL MECHANISM OF SLOPE
FAILURE
is also the consequence of the normality rule in mod-
eling effort. Whereas the dilatancy predicted by the
flow rule associated with the Mohr-Coulomb yield
condition is larger than the dilatancy seen in experi-
ments, the normality rule is the reasonable flow law
to be used in perfectly plastic models.
It was found out earlier (Chen 1975) that the ro-
tational mechanism of slope collapse is the most ad-
verse of all known collapse patterns. A kinematically
admissible failure mechanism for a uniform slope is
shown in Fig. 1. The failure surface is a log-spiral
where ro is the log-spiral radius related to angle 80,
and cp is the angle of internal friction of the soil.
Velocity discontinuity vectors along the failure sur-
face BC are all inclined at cp to that surface, assuring
kinernatical admissibility of the deformation process.
Block ABC rotates about point 0, and the moment
of the block weight about 0 can be calculated as the
moment of block BCO about 0 minus moments of
AB0 and ACO

It is a common practice to assume that slopes collapse M7

L l = r d (fl - f 2 - f3)
along failure surfaces that separate a moving rigid where y is the specific weight of the soil. Analo-
block of soil mass from the base soil at rest. Com- gously, the moment of an inertial force caused by
monly assumed circular surfaces in frictional soil are horizontal shaking can be calculated as
not admissible, since they do not allow for the dila-
tion of soil during shear. Dilation of granular soils f; - f a (3)

637
where k is the coefficient representing horizontal ac-
celeration as a fraction of the gravity acceleration.
Coefficients f i are given in the Appendix. The mo-
ment of the resisting shear on BC about point 0 is
where c is the soil cohesion.
If the acceleration coefficient reaches its critical
value k,, then the three moments must be in limit
equilibrium
3 SLOPE DISPLACEMENTS
3.1 Critical acceleration
Critical acceleration for uniform slopes now can be
derived directly from eq. ( 5 )
Figure I : Collapse of a slope: (a) rotational mecha-
nism, and (b) displacements.
638
fl - f 2 - f3
fl" - f2" - fi
The yield accelerations were calculated from eq. (6),
and an example of results (for the soil with ip = 30")
is shown in Fig. 2. The geometry of the failure
surface was optimized where the minimum of k,
was sought with angles Bo and Bh being variable.
Figure 2: Yield acceleration for homogeneous slopes
(soil internal friction angle cp = 30").
3.2 Acceleration of rotating block
If the ground acceleration exceeds the critical level,
then block ABC will start rotating with relative ac-
celeration e, and an additional term will appear in
the equation of motion
where G is the weight of the moving block, g is
the gravity acceleration, and 1 is the distance from the
center of gravity of the block to point 0 (both G and
1 are given in Appendix). Acceleration 4 necessary to
maintain transient equilibrium now can be calculated
by subtracting eq. ( 5 ) from eq. (7)
Y r,3
Q = (k: - k,) -
E 12 ( f ; - f2" - f3") (8)
9
Expressions similar to eq. (8) were developed earlier
by Chang et al. (1984), for both the translational
and rotational failures.
3.3 Toe displacement
The acceleration in eq. (8), integrated twice over the
shaking record for time intervals for which the ve-
locity is positive, leads to the irreversible rotation of
block ABC (Fig. 1). Maximum horizontal displace-
ment occurs at the toe of the slope, and it can be
written as
Consequently, the horizontal displacement at the toe
of the slope can be written as
U% = Cllg(k - k,)dtdt (10)
where
Coefficient C depends on the slope inclination,
internal friction angle of the soil, and the geometry
of the displacement mechanism associated with 00
and 6 h such that this mechanism is the most adverse
of all rotational patterns. There are four parameters
needed for calculations of C: p, p, ;;"i? and k,.
However, the number of independent parameters
is reduced to three if C is determined from the
mechanism for which k, is to be the minimum.
An example of results is shown in Fig. 3 for
slopes whose critical acceleration is equal to 0.2.
According to eq. (10) the displacement of the
Figure 3: Coefficient C for slopes with critical ac-
celeration k, = 0.2.
slope at its toe can be calculated as the product
of coefficient C and the double time integral of an
acceleration record above the critical threshold. To
facilitate practical use of the technique, integration
639
was performed for a number of different acceleration
records. An example of results for the Northridge
(1994) record at Moorpark Station is shown in
Fig. 4. The displacement is, of course, dependent
on both the duration of the seismic event and the
pattern of the acceleration record above the critical
level. Seismic events are characterized here by
their peak acceleration k,. To make the application
of different earthquake records possible for a wide
range of earthquake intensity, peak acceleration
for different seismic records was scaled in such
a way so that the integral in eq. (10) could be
presented as a function of the difference between
peak acceleration and the critical acceleration of
the structure ( k , - k,) for different k,. Results
for a variety of earthquake records will be shown
elsewhere (You and Michalowski 1999).
The traditional block sliding technique appears to be
quite useful in calculations of displacement of slopes
subjected to seismic loads. This technique, as pre-
sented here, allows one for estimating of displace-
ments using precalculated charts and thus eliminat-
ing the necessity of elaborate integration of seismic
records or optimization of collapse mechanisms for
slopes.
Reinforced soil slopes and walls seem to have
performed well in recent earthquakes both in the
U.S. and Japan. The extension of the technique for
reinforced soil structures seems to be straightforward.
ACKNOWLEDGMENT
Results presented in this paper came from research
supported by the National Science Foundation under
grant No. CMS-9634193. This support is greatly
appreciated.
Figure 4: An of double time integral for a
specific seismic record.
REFERENCES center of rotation, both of which appear in eq. (7)
and eq. (8), can be expressed as follows
Cai, Z. & Bathurst, R.J. 1996. Deterministic sliding
block methods for estimating seismic displacements
of earth structures. Soil Dynamics and Earthquake
Engineering I996 15: 255-268.
Chen, W.F., Giger, M.W. & Fang, H.Y. 1969. On
the limit analysis of stability of slopes. Soils and
Foundations 9(4): 23-32.
Chang, C-J., Chen, W.F. & Yao, J.P. 1984. Seismic
displacements in slopes by limit analysis. J. Geot.
Engrg. 1lO(7): 860-874.
Goodman, R. & Seed, H.B. 1966. Earthquake-
induced displacements in sand embankments. J.
1 = -:7 J( f 1- f2 - f3)2 + (ff - f2” - fa2
Soil Mech. Found. Div. 92(2): 125-146.
Ling, H.I. & Leshchinsky, D. 1995. Seismic per-
formance of simple slopes. Soils and Foundations
35(2): 85-94.
Newmark, N.M. 1965. Effects of earthquakes on
dams and embankments. GLotechnique15: 139-
160.
You, L. & Michalowski, R.L. 1999. Displacement
charts for slopes subjected to seismic loads. Corn-
puters and Geotechnics 24.

APPENDIX

Coefficients fi were first derived by Chen et al.

(1969), and can be found also in Chen (1975). Co-
efficients f ,are given below

1B
fi = -- sin 280
3 To

where

H
__ -
- s i n ~ ~ e ( ’ h - ’ ~ ) t ’-
* ~sinQ0
TO
The weight of block ABC (Fig. l(a)), and the dis-
tance from the gravity center of that block to the

640
 Slope Stability Engineering, Yagi, Yamagami & Jiang 0 1999Balkema, Rotterdam, ISBN 90 5809 079 5

Permanent displacement analysis of circular sliding block during shaking

H. R. Razaghi, E.Yanagisawa & M. Kazama

Civil Engineering Department, Tohoku Universig, Sendai, Japan

ABSTRACT The model of a rigid block sliding on a circular surface is used to analyze the effect of inertia
forces on the stability of a slope subjected to different input motions. The study is based on Newmark’s
method, and the Mohr-Coulomb failure criterion is assumed. A soil mass with a circular sliding surface inside
the earth slope is considered to be a rigid block that will move relative to the slope when the driving moment
exceeds the resisting moment. Permanent displacement must be studied for a critical slip surface that is
determined by pseudo-static slope stability analysis. Sinusoidal waves and random waves are used as input
acceleration data, and then the effect of the maximum acceleration magnitude, the natural frequency of earth
slopes, the frequency of input motion, the time history of acceleration, and the strength parameters of soils on
the permanent displacement are evaluated.

1 INTRODUCTION the circular rigid block. Consider a soil slope

In the analysis and design of earth slopes and
embankments under seismic loading conditions,
permanent displacement is one of the significant
parameters which shows the degree of deterioration
in the stability of slopes. Displacement depends on
the shear strength of the embankment materials and
on the inertial force during shaking. A circular rigid
block model, Newmark’s method and Mohr-
Coulomb failure criterion are used for the
calculation of the safety factor along a circular slip
surface. The problem is analogous to the problem of
a rigid block resting on an inclined plane. Herein, it
is assumed that a soil mass resting on a circular
sliding surface inside the slope is a rigid block that
will not move relative to the slip surface as long as
the driving moment, including moment due to
inertial force, does not exceed the resisting moment
due to frictional force and cohesion. When the
acceleration exceeds, the circular block will rotate
relative to slip surface. The movement continues
until the inertial force drops below the frictional
force long enough for reduction of the relative
velocity of the circular block to zero.
with a slope angle of a which has strength
parameters of c and $ and which is subjected to
horizontal acceleration, a(t), (Figure 1). The earth
slope is connected to the ground by a spring and a
damper and behaves in the manner of a mass
spring system with one degree of freedom. The
equation of motion is solved to determine the
displacement.
To determine the critical slip surface, pseudo-
static analysis is used. Assuming that the input
acceleration is constant, the safety factor is
calculated based on a fraction of the gravitational
acceleration, g, and the geometry of the circle. By
changing the radius and the coordinates of the center
of the slip circle at a certain acceleration, the
minimum safety factor of the case is determined.
The minimum acceleration that makes the minimum
safety factor against rotation equal to 1 is defined as
the yield acceleration in the pseudo- static method,
and the corresponding circle is the critical slip
surface.
3 ROTATION OF A CIRCULAR RIGID SLIDING
BLOCK

2 THE EQUATION OF MOTION 3.1 General concept

The permanent rotation of a circular rigid sliding A sliding block resting on the critical circular slip
block is estimated by simultaneously solving the surface is assumed to be rigid. This block is subjected
equation of motion for the earth slope body and to a sinusoidal acceleration wave of a(t)=aosincut.

641
 Figure 1. Circular sliding block inside an earth slope: a) earth slope and circular rigid block,
b) analytical model
Newmark’s method and the equation of motion
are used to determine the angular velocity and
rotation of the rigid block during a certain time
history. The moment due to gravitational force
and inertial force acts as the driving moment
and the moment corresponding to cohesion and
frictional force on the sliding surface acts as the
resisting moment:
M, = mg(x, - x,) + ma, sin c.t(y, - y,)
where x,, and y,, are the coordinates of the
gravitational center of the circular block, and xc
and y , are the coordinates of the center of the
circle.
X’
MR’ = -tana - -(ye + x,tana) + xxcyc
(4)
where a is the soil slope, y is the unit weight of
the soil and R is the radius of the circular block.
PI and pz are the angles shown in Figure 1. While
the inertial force acts in the downward direction
of the slope, M R ~is negative and the total
resisting moment decreases. When the direction
of the inertial force changes to the upward, the
total resisting moment increases. In this situation
the resistance is so high that it is not usually
overcome by the driving moment and the
movement will stop in this direction.
The equation of motion for the circular block
is given by:
R:gm2$= M D- M R (5)
(1)
where R,, is the distance between the
gravitational center of the b&k, m2 is the
mass of the block and 8 is the angular
acceleration of the rigid block which causes
rotation. As initial conditions for solving this
equation, angular velocity and rotational
displacement are given as zero at t=O. I[ the
absolute value of the driving moment is less than
that of the resisting moment, there is no relative
movement:
When l M ~ lbecomes greater than IMRI, sliding
occurs. Rotation starts and continues until
reversal of inertial force; furthermore the relative
angular velocity between the block and the slope
becomes zero. Figure 4 shows the plot of the
angular velocity, Re, and the rotational
displacement, R e , versus time for a slope with
values of a=25, +=30, c=4O KPa and an input
acceleration of OSgsinot. This stepwise plot
shows when the acceleration reverses, the
velocity in the upward direction becomes zero
and displacement remains constant. As time
passes the displacement increases. In this case,
effect of damping is not taken into account,
although it plays an important role in the motion.
642
Figure 2. Angular velocity and displacement during
sinusoidal shaking
3.2 Effect of damping
Considering the mass and spring system for
connecting the earth slope to the ground, the
effect of the natural frequency of the
embankment and the frequency of the input wave
are taken into consideration. By assuming certain
values for the coefficient of damping in the
equation of motion, the influence of damping on
permanent displacement can also be calculated.
In Figure 3, it is assumed that the natural
frequency of the embankment is 2 Hz and the
frequency of the input wave is 2.5 Hz. Then the
value of permanent rotational displacement
against the time history for the harmonic motion
is plotted. Three cases with respective damping
coefficient of 1%, 5% and 10% are comparcd
with the case without damping. As shown in this
figure, by considering a damping ratio of only
1%,the displacement after 10 seconds is reduced
from 5.76 m without damping to 3.24 m for a
damping ratio of 1%.
3.3 Effect of frequency of input waves
To show the effect of frequency, it is again
assumed that the natural frequency f, is 2 Hz and
that the time history of dynamic loading is 10
seconds. Figure 4 shows a plot of circular block
rotation after 10 sec versus different frequencies
of input waves. It can be seen that the rotational
displacement will increase when the input
frequency is close to the natural frequency.
Maximum displacement corresponds to f= fn (i.e.
resonance condition). Even if the input
acceleration is less than the yield acceleration of
the critical circular slip surface which is
643
Figure 3. Effect of damping on displacement during
harmonic motion
found in the previous section, there will be
failure and considerable rotation in the slope
under the resonance condition and also at some
frequencies around the natural frequency. This
means pseudo-static solutions do not yield
acceptable results, at least when the frequency of
input waves is sufficiently close to the natural
frequency.
3.4 Effect of maximum amplitude
Figure 5 shows the permanent displacement
versus the maximum amplitude of sinusoidal
wave acceleration after 10 seconds for various
frequencies of input waves. It can be seen from
this figure that the permanent displacement
increases as the maximum acceleration increases.
In the resonant state, however, the values of the
displacement become far larger than those of the
non-resonant states.
It can be said that the ratio of frequency to
natural frequency is more important than the
magnitude of amplitude in terms of the
permanent displacement.
4 STRENGTH PARAMETERS O F SOILS
One of the important parameters which affects
the permanent displacement under dynamic loads
is the strength parameters of soils. In this section,
the influences of the strength parameters are
examined. For determining quantitative values of
dynamic sliding of a soil mass with different
angles of internal friction and the different values
of cohesion, other conditions ar assumed to
be constant as follows: a=25, fn=2 Hz,
Figure 4. Effect of frequency on the displacement
for differnt acceleration
Figure 5. Effect of acceleration on the displacement
for differnt frequency
a(t)= OSgsinot , f=2.5 Hz.
In the first stage, it is assumed that the value of
the cohesion is constant; c=40 KPa, and the
internal friction is changed from 15 to 45 at 5
intervals. The results of permanent rotational
displacement after 10 seconds for different
internal frictions are shown in Figure 6. The
coefficient of damping is considered to be 1% in
all cases. As it is shown in Figure 7, the
maximum permanent rotational displacement
after 10 seconds is plotted against the internal
angleof friction. It can be seen in this case, when
the angle of friction is increased from 15 to 45,
the permanent displacement is decreased from
7.21 m to 1.23 m.
644
Figure 6, Muence of internal friction angle of
material (c=40 KPa)
Figure 7. Maximum diplacement after 10 seconds
against internal friction angle
In the next stage, keeping the friction angle
constant at +=30, the cohesion changes from 0
to 50 KPa at intervals of 10 KPa. The effect of
the cohesion o n the permanent displacement
during shaking is shown in Figure 8. The
coefficient of damping is the same as that
previous cases (i.e., 1%). The maximum
permanent deformation after 10 seconds against
the cohesion is plotted in Figure 9. As shown in
this figure, when the cohesion is increased from
0 to 50 KPa , the displacement decreases from
4.94 m to 2.89m.
Comparison of these results indicates that the
strength of the soils under seismic loading is
more influential in the internal friction than the
cohesion.
 Figure 8. Influence of cohesion of material (+=30) Figure 9. Maximum displacement after 10 seconds
against cohesion of material

5 EARTHQUAKE ACCELERATION AS AN small enough to limit the damping coefficient to

INPUT MOTION 1096, then the Hardin and Drnevich method
should be utilized to calculate the coefficient of
5.1 Displacement during random shaking damping at each step.
It can be seen that the ultimate displacement due
For engineering purposes, the responses of slopes to the Kushiro earthquake changes from 1.9 m
to the real earthquakes must be studied. For this for 1% damping to 11 cm for 5% damping.
purpose, the random shaking based on earthquake
motion records of acceleration is employed as 5.2 Influence of natural frequency of slopes
input waves instead of sinusoidal waves. If the
coefficient of damping is considered to be zero, As seen in harmonic motion, the ratio of the
the earth slope which is considered to be frequency of input waves to the natural frequency
connected to the ground by a spring will continue of the slope has a considerable influence on the
its movement even after cessation of the input
earthquake. Herein, the component N-S of the
Kushiro earthquake record of acceleration is used
to analyze the permanent displacement of the
slope. Maximum amplitudes of this wave are -
496 and +351 Gal with a time history of 100
seconds. Assuming the same condition for the
earth slope as discussed in the previous section
and a natural frequency of 2 Hz, the permanent
displacement is calculated and plotted in Figure
10. The damping coefficient changes from 1% to
5%. As shown in this figure, the displacement
diagram is stepwise. This means that the driving
moment is below the resisting moment when the
acceleration reverses to the upward direction of
the slope. Consequently, the velocity becomes
zero and the displacement remains constant.
If the value of deformation is small, the
coefficient of damping is usually considered to be
less than 5% to 10%. Since the block movement
is not continuous and stops at each step of the Figure 10. Comparison between displacements for
displacement plot, the displacement and shear various coefficients of damping (Kushiro Eq.)
strain are not so large at each step. However,
when the deformation and shear strain are not

645
 Figure 12. Predominant frequency of the Kushiro earthquake
displacement. It is expected that the ratio of the
pr e do mi n an t fr e q u e nc y of ear t hq u ak e
acceleration to the natural frequency of slope
affects the displacement. To observe this effect,
the natural frequency of the slope is changed
from 0 to 5 Hz. Then the permanent rotational
displacement of each case is calculated. Figure 11
shows the ultimate permanent displacement
against the natural frequency for two cases of
damping: 1% and 3%). It can be seen that the
maximum displacement occurs when the natural
frequency becomes 0.65 Hz.
The Fourier Transform is utilized to compute
the predominant frequency of the earthquake
acceleration. The result is shown in Figure 12 for
the N-S component of the Kushiro earthquake.
By comparing Figure 11 and 12, it can be seen
that there is good agreement between the
predominant frequency and the natural frequency
for maximum displacement.
6 CONCLUSION
Bascd on thc results of this study, the following
conclusions can be made:
1) One of the important parametcrs affecting
the failure of slopes is the relation between the
frequency of seismic loading and the natural
frequency of slopes. This appears while utilizing
sinusoidal waves with various frequencies and
when the predominant frequency of an
646
earthquake wave is near the natural frequency
of earth slopes. This is usually ignored in pseudo-
static analysis and determination of the dynamic
safety factor, and may result in unrealistic
findings.
2) Increasing the maximum amplitude of the
input wave increases the permanent displacement.
In the resonant state, however, the values of the
displacement become far larger than those of the
non-resonant states.
3) Improvement of the strength parameters of
the soils results in a decrease in the permanent
displacement of the sliding block under seismic
loading. However, improvement in internal
friction is more influential than improvement of
cohesion.
REFERENCES
Cai 2. & Bathurst R.J. 1996. Deterministic sliding
block methods for estimating seismic
displacements of earth structures. Soil Dynam.
Earthq. Engg. 15, Elsevier: 255-268
Kramer S.L. & Smith M.W. 1997. Modified
Newmark model for seismic displacements of
complaint slopes. J. Geotech. Engg, ASCE,
123(7): 635-644
San K. C. & Leshchinsky D. 1995. Seismic slope
stability design by pseudo static variational
method. Earthquake Geotechnical Eng.,
Balkema: 1123-1128
 Slope Stability Engineering, Yagi, Yamagami& Jiang (( 1999 Balkema, Rotterdam, lSBN 90 5809 0795

Dynamic analyses of slopes based on a simple strain-softening model of soil

A.Wakai & K.Ugai

Gunma Universir), Kiryu, Japan

ABSTRACT: In this paper, the seismic response analyses of a simple homogeneous slope which consists of
strain-softening soil are presented. The analyses are based on the elasto-plastic finite element method (FEM)
in which a very simple strain-softening model of soil is used. In order to evaluate a strain concentration along
the slip surface, the width of shear band is also considered in the analyses. It is shown that the dynamic FEM
can evaluate the residual deformation of slopes induced by a large earthquake.

1 INTRODUCTION strain-softening model. They have indicated the

The total stability of a slope is usually estimated by
the peak strength of soils in the ground. However,
over-consolidated clayey soils and dense sandy soils
show a strain-softening characteristics in their stress-
strain relationships. In cases where such soils are
included in the ground, the strain-softening effect
often cause the degradation of the total stability of
the slope.
In this paper, the numerical analyses on a simple
homogeneous slope are presented. These are based
on the 2D elasto-plastic FEM in which a very simple
strain-softening model of soil is used. In order to
evaluate a strain concentration along the slip surface,
the width of shear band is also considered in the
analyses.
With regard to the modeling of shear bands and
strain softening, a very simple analytical method has
been proposed by Tanaka (1996). In the analyses
presented here, we have adopted this method. In this
method, only the volume ratio of the strain-softening
zone in each finite element is considered. This
feature is completely different from other more strict
approaches such as the smeared crack model
(Pietruszczak & Mroz, 1981) in which the
geometrical shape of shear band is strictly
considered. The model proposed by Tanaka has been
applied to various problems with strain softening,
such as the lateral behavior of a short pile and the
passive earth pressure of a retaining wall (Mori &
Tanaka, 1995).
There have been a few studies on the stability of
slopes with strain softening. Lo & Lee (1973) have
evaluated the total stability of a slope which consists
of over-consolidated clayey soils, based on the
possibility such that the total factor of safety was
overestimated when the peak strength was used.
Ugai & Ida (1994) have performed the analyses of
a homogeneous vertical slope and reported about a
comparison of analytical results based on the simple
strain-softening model and the elasto-perfectly
plastic model. They did not referred to shear bands.
As a result, it was shown that the strain-softening
effect of soil would cause the degradation of the
total stability of slopes. In their report, the total
factor of safety Fs was investigated by the shear
strength reduction finite element method (SSRFEM),
which had been originally proposed by Zienkiewicz
et al. (1975). If the associated flow rule is adopted,
the factor of safety obtained by this method, by
definition, is the same as the one in limit equilibrium
analysis. More detailed discussion about this topic
has been presented by Ugai & Leshchinsky (1 995).
In this paper, both the static and seismic response
analyses of a simple homogeneous slope are
presented. In the static analyses, the total factor of
safety is calculated by SSRFEM. On the other hand,
in the seismic response analyses, the residual
displacement induced by earthquakes are evaluated
by the dynamic elasto-plastic FEM (Ugai et al,
1996a, 1996b). The horizontal acceleration is
applied to the base of the ground and the response of
the system is analyzed numerically.
The attention of this paper is focused on
investigating the effect of strain-softening behavior
on the seismic stability of slopes. It is shown that the
results obtained by these analyses are useful for the
seismic design of slopes, based on the allowable
displacement for earthquake resistance.

647
2 ELASTO-PLASTIC MODEL WITH STRAIN
SOFTENING (2D FORMULATIONS)
2.1 Modeling of strain softening
According to Tanaka (1996), the yield function J'
is given by Eq.(l) which is similar to that of the
elasto-perfectly plastic model based on Mohr-
Coulomb failure criterion.

Figure 1. Relationships between p and yp

a, =sin4, p, =2ccos@ (31

af = sin 4r, /, = 2cr cos br

3 (4) 2.2 Modeling of shear band
cr and #r indicate the values of and 4 in the The stress-strain relationship for each element is
residual stress state, respectively. A and B are generally given by Eq. (9)*
constants. y p is a hardening Parameter which is
related to the accumulated pla&i shear strain. ( i3u f i3f 7'

" p " added to each strain component indicates the

plastic component. dEp =A-

ag
(10)
On the other hand, the plastic potential g is a0
given by Eq. (7), which is also similar to Mohr-
D e is the elasticity matrix. K is a hardening
Coulomb equation.
parameter which corresponds to the parameter y p in

g= Jm 1 - %ox+ oY (7)
this model. Therefore, the next equation concerning
with A is derived from Eqs. (5), (7) and (1 0).

A parameter s in Eq. (9) is assumed to be given

C is a constant. U ,I is the dilatancy angle at the by Eq. (12) (Tanaka, 1996).
peak stress. According to Eqs. (7) and (8), the plastic
volumetric strain decreases, as the plastic shear
strain increases. After the shear stress reaches to the
residual state, the dilatation induced by shear
becomes almost zero. d and 1 are the width of a shear band and of a
A , B and C are related to the rapidity of strain finite element, respectively. This equation means the
softening. Figure 1 shows the variation of the volume ratio of the strain-softening zone in each
relationship between the accumulated plastic shear finite element. In this study, I is assumed to be
strain y p and the strength parameter ,8 in Eq. (l), given by the average of the length of each side in
where the constant B was varied. Other input each finite element. d is an input parameter.
parameters are consistent with material constants
used in the analyses of a simple slope as described in
the following chapter. It can be seen that the strain- 3 ANALYSES OF A SIMPLE HOMOGENEOUS
softening behavior occurs more rapidly as the value SLOPE
of B decreases. 3.1 Analytical model
Figure 2 shows an example slope with finite element

648
meshes for both the static and dynamic analyses. softening soils can be designed based on the
The height of the slope is 10m and its gradient ratio allowable displacement for earthquake resistance.
is 1 : 2. The soil is assumed to be homogeneous. The
material constants, in cases where the strain-
softening model is adopted, are shown in Table 1. Table 1. Material constants used in the analyses.
The width of shear band is assumed to be 1Ornm.

3.2 Total factor of safety Fs Young’s modulus E 40000 kPa

Poisson’s ratio V 0.4
Based on SSRFEM, the total factor of safety of the Cohesion (peak) c 10 kPa
slope was calculated. The analytical results in both Friction angle (peak) 4 15”
cases of the elasto-perfectly plastic model and the
strain-softening model are shown in Table 2. It is - (peak)
Dilatancy- angle .. I
Y 10”
found that the values of the total factor of safety Cohesion (residual) cr 6 kPa
obtained in both cases are close to each other. This Friction angle (residual) C 9”
is because the values of input parameters A , B Softening uarameter A A I 0.3
and C were relatively large in these cases and the Softening parameter B B 1 0.3
effect of strain softening was relatively small in such Softening uarameter c c I 0.3
a static equilibrium analysis. Unit weight Y I 16. kN/m3
Shear band width d 1 IOmm
3.3 Effects of strain softening on seismic behavior
In order to evaluate the seismic stability of the slope,
the dynamic elasto-plastic analyses were performed. Table 2. Total factor of safety Fs
The constitutive model adopted here is the same as calculated by the static FEM.
the one used in the static analyses. Rayleigh
damping ( a = 0 , p = 0 . 0 2 ) was adopted in the
analyses. The positive direction of horizontal 1 With strain softening 1.226
acceleration and displacement in the following 2 Elasto-perfectly plastic 1.228
figures corresponds to the movement to the right in (no strain softening)
Figure 2. Similarly, the vertical component of them
corresponds to the upward in Figure 2. The input
horizontal acceleration is 10 sine waves whose
amplitude is 200gal. The period of input sine waves
is 0.75 sec.
Figures 3 and 4 show the histories of acceleration
and displacement at the “top” and “toe” of the slope,
respectively. The strain-softening model described
before was adopted here. As seen in Figure 3, the
acceleration response is magnified at the top of the
slope, while the one at the toe is relatively small. In
addition, the responses to the negative direction of
the axis of acceleration are very sharp and greatly
magnified at the top. On the other hand, the
responses to the positive direction are not sharp
because the sliding of the slope occurs during the
duration of those periods. This phenomenon is also
suggested by the histories of displacement as shown
in Figure 4. A large residual deformation after
earthquake can be seen in the figure.
Based on the dynamic elasto-plastic FEM
presented here, actual slopes composed of strain-

Figure 3. Histories of acceleration (with softening).

Figure 2. Finite element meshes for a simple slope.

649

Figure 4. Histories of displacement (with Softening).
Figure 5. Residual deformation after earthquake
(with softening).
Figure 5(a) shows the residual deformation after
earthquake. The magnitude of relative deformation
has been emphasized as 5 times the real scale. A
large settlement and upheaving can be seen at the
top and the toe, respectively. Figure 5(b) shows the
calculated shear strain in the slope after earthquake.
Residual shear strain is concentrated to the region
650
(b) Vertical displacement
Figure 6. Histories of displacement (no softening)
near the toe. It suggests that the strain softening
during excitation occurred in the area around the toe.
In order to investigate the effect of strain
softening, a similar analysis based on the elasto-
perfectly plastic model was performed. In this case,
the residual strength are consistent with the peak
strength, that is, c = Cr = lOkPa and 4 = @ = 15" .
Figure 6 shows the history of calculated relative
displacement in this case. Compared them to the
results based on the strain-softening model, it is
found that the residual deformation based on the
elasto-perfectly plastic model is smaller.
As described before, the total factor of safety
calculated by SSRFEM are almost the same in these
cases. This indicates that the strain softening has a
greater influence on the seismic stability, compared
to the stability based on the static equilibrium.
3.4 Parametric studies on the width of shear band d
The results calculated by changing the width of
shear band are stated here. Figure 7 shows the time
histories of horizontal displacement at the top of the
slope. The following four cases were performed
here; (i) the elasto-perfectly plastic model (indicated
as 'no soft.'), (ii) the strain-softening model without
shear bands (as ‘d=non’), (iii) the strain-softening
model with shear bands whose width is 50mm (as
‘d=50’) and (iv) the width of shear band is lOmm
(as ‘d=10’).
As seen in the figure, the decrease of the width of
shear band slightly increases the residual
deformation. This is a similar tendency to the
analytical results reported by Tanaka (1996), such
that the decrease of the width of shear band
decreases the shear resistance after the peak stress.
This is caused by the difference of the extent of a
strain concentration along the slip surface.
3.5 Analyses for aftershocks
Several aftershocks often occur after a large
earthquake. The amplitude of them is much smaller
than the main earthquake. Therefore, the damage of
slopes during aftershocks is usually very small.
However, if the strain-softening soils are included in
the slope, there is a possibility of the large
deformation induced by aftershocks. In this section,
in order to evaluate such phenomena caused by
strain softening, a few cases of the seismic response
analyses were performed.
Figure 8 shows the input waves which is
Figure 7. Horizontal displacement in each case.
(width of shear band is varied)
Figure 8. Input random waves composed of the first shock and three aftershocks.
651
composed of the first shock (maximum acceleration
is 818gal) and the following three aftershocks (max.
is 102gal). Figure 9 shows the history of horizontal
displacement at the top of the slope, in a case where
the material constants used are the same as Table 1.
As seen in Figure 9, most part of the total
displacement was induced by the first shock, while
slight deformations were induced by each small
aftershock.
Figure 10 shows the horizontal displacement at
the top induced by each aftershock. The following
three cases were performed here; (i) the elasto-
perfectly plastic model (indicated as ‘no soft.’), (ii)
the parameters are as Table 1 (as ‘A=B=C=0.3’) and
(iii) the same as (ii) except for the values of A, B
and C replaced by 0.2 (as ‘A=B=C=0.2’).
As seen in Figure 10, the residual displacements
based on the strain-softening model were much
larger than the one based on the elasto-perfectly
plastic model. In addition, the increase of the
number of aftershock slightly increases the residual
displacement during each aftershock, in cases where
the strain softening is considered. It is shown that
the strain-softening phenomena have a great
influence on the residual displacement induced by
small aftershocks as well as the first shock.
3.6 Analysis for more sensitive soils
Figure 11 shows the history of horizontal
displacement at the top and toe of the slope, in a
case where A , B and C are assumed to be 0.G1. Shear
bands are not considered in this case. Input waves
are 10 sine waves whose amplitude is 200gal.
It is found that the residual displacement increases
even after the earthquake has ended. This seems to
be caused by the progressive failure of soil after the
earthquake. This suggests that the analyses presented
in this paper can simulate the behavior of more
sensitive soils such as quick clay.
4. CONCLUSIONS
The summary of this paper is as follows:
(1) The seismic behavior of actual slopes composed

Figure 9. Horizontal displacement in a case where
the random waves including aftershocks are input.
Figure 10. Horizontal displacement by aftershocks.
Figure 11. Typical result for the progressive failure.
of strain-softening soils can be simulated by
FEM. The effect of strain softening has a great
influence on the residual displacement induced
by small aftershocks as well as the first shock.
(2) The decrease of the width of shear band
assumed in the analyses slightly increases the
residual deformation of slopes after earthquake.
652
ACKNOWLEDGEMENT
The authors wish to thank Mr. Kei Takafuji, a
graduate student of Gunma University, for his great
help in FE calculations.
REFERENCES
Lo, K. Y. and Lee, C. F. (1973) : Stress analysis and
slope stability in strain softening materials,
Geotechnique, Vo1.23, No. 1, pp. 1- 11.
Mori, H. and Tanaka, T. (1995) : Three-dimensional
elasto-plastic finite element analysis of short pile
and retaining wall and model test, Proc. Symp. on
the Three-dimensional Evaluation of Ground
Failure, Japanese Geotechnical Society, pp.267-
274 (in Japanese).
Pietruszczak, S.T. and Mroz, Z. (1981) : Finite
element analysis of deformation of strain-
softening materials, Int. J. Numer. Meth. Engng. ,
V01.17, pp.327-334.
Tanaka, T. (I 996) : 3-2 Constitutive Relationships
for Strain Softening and Dilatancy Properties,
The Three-dimensional Elasto-plastic Finite
Element Analysis of Ground (a joint work),
Maruzen Press., Tokyo, pp.81-86 (in Japanese).
Ugai, K. and Ida, H. (1994) : Calculations of total
safety factor for slopes of strain-softening soils,
Proc. 29Ih Meeting of Japanese Geotechnical
Society, pp. 1825-1826 (in Japanese).
Ugai, K. and Leshchinsky, D. (1995) : Three-
dimensional limit equilibrium and finite element
analyses; a comparison of results, Soils and
Foundations, Vo1.35, No.4, pp. 1-8.
Ugai, K., Wakai, A. and IdayH. (1996a) : Static and
dynamic analyses of slopes by the 3-D elasto-
plastic FEM, Proc. 7th Int. Symp. on Landslides,
pp.1413-1416, Trondheim, Norway.
Ugai, K., Ida, H. and Wakai, A. (1996b) : 3D effects
on the stability of slopes during earthquakes, Proc.
JSCE, No.554 / 111-37, pp.119-128 (in Japanese).
Zienkiewicz, O.C. et al. (1975) : Associated and
non-associated visco-plasticity in soil mechanics,
Geotechnique, Vo1.25, No.4, pp.671-689.
 Slope Stability Engineering, Yagi, Yamagami & Jiang cc) 1999 Balkema, Rotterdam, ISBN 905809 0795

Slope instability due to rainfall and earthquake

KShimada, H. Fujii, S. Nishimura & T. Nislyama

Faculty of EnLGronmentul Science and Technology, Okayuma Universig,Japan
T. Morii
Fmulty of Agriculture, Niigata Universitv,Jupun

ABSTRACT : This paper discusses the coincident effects of rainfall and earthquake on the slope stability.Anumerical
program for the analysis of the slope instability due to rainfall has been already developed.The program unites a finite
element program for the infiltration analysis and a Rigid-Body-Spring-Model(RBSM) program for the slope stability
analysis. The numerical results for a model slope show that the reduction of the shear strength of the slope surface soil
due to rain infiltration causes the reduction of the safety factor of the slope. When the slope suffers from both rainfall
and earthquake, its safety factor will decrease more and it must become more unstable. The effect of seismicity is
taken into account by applying the additional horizontal seismic force in RBSM as the pseudo-staticlimit equilibrium
procedure of the slope stability analysis. The calculation results show that the slope suffering from the rain infiltration
becomes more unstable when the additional seismic force acts. The greater magnitude of the seismic intensity strongly
reduces the safety factor of the model slope.

1 INTRODUCTION showing the relationship between the horizontal

Rainfall and earthquake are essential factors in slope
stability. When rain water penetrates into unsaturated
slope soils, the matric suction in the soils will decrease.
This change will cause the reduction of the shear
strength of the slope soils and will then cause the
instability of the slopes.
The major cause of the slope failures due to rainfall
can be the rise of a ground water table and the reduction
of the effective stress in the slope soil. Then, the
reduction of the shear strength due to rain infiltration
cannot be a major one. However, the slope becomes
unstable even though it does not fail. If an earthquake
strikes the slope during rainfall, its safety factor will
decrease more and the slope must become more
unstable.
This paper discusses the coincident effects of rainfall
and earthquake on the slope stability through the
numerical analysis.
2 REDUCTION OF SHEAR STRENGTH OF
UNSATUFUTED SOILS DUE TO WE?TING
2.1 Experimental results
Shimada (1986) has shown the reduction of the shear
strength of a compacted soil due to soaking. Figure 1(a)
presents a result of the direct shear box test for a clayey
soil compacted with the optimum water content,
displacements and the shear stresses. The shear test was
carried out with the stress-controlled method under the
drained condition. Figure 1(b) shows a test result of the
same soil with soaking. The shear stress was increased
with the same procedure as that of Figure 1 (a) up to the
stress level of 80 % of the shear strength. Water for
soaking was supplied to the specimen through the lower
porous stone while the stress level was kept constant.
When the specimen was soaked, the horizontal
displacement started to increase gradually, and then the
specimen finally failed.
Figure 1 shows that the specimen compacted even
with the optimum water content has failed by soaking at
the 80 % stress level of the shear strength. However, the
change of the matric suction was not measured in the
soaking test. We therefore only recognize the reduction
of the shear strength due to soaking, but we cannot
obtain the shear strength of the soil for an arbitrary
matric suction.
Figure 2 (Shimada et al. 1998) shows results of the
suction-controlled direct shear box tests for an
unsaturated decomposed granite soil, showing the
relationship between the horizontal displacements and
the shear stresses with the different matric suctions (S,).
The shear strengths decrease with the decrease of the
matric suction under the same normal stress (0).The
shear tests were carried out with the controlled matric
suction method. We can therefore obtain the shear
strength for an arbitrary rnatric suction.

653
2.2 Introducing strength change due to wetting into
numerical analysis

We have two approaches for introducing the change of

shear strength with the matric suction into the numerical
analyses. Elastoplastic deformation analyses coupled
with the analysis of infiltration (Alonso et al. 1990,
Kohgo et al. 1993) are rational, but are somewhat
complicated. An uncoupled analysis is the other one,
which is simple and is easily applicable to the slope
stability analysis.
When we confine discussion in the slope stability
analysis, we can ignore the effect of the displacements
prior to failure. We can then apply the uncoupled
analysis for the stability analysis of unsaturated slopes
considering the change of the matric suction within the
slopes due to rain infiltration. Since we employ the total
stress in the uncoupled analysis, we do not consider the
change of the effective stress in describing failure, but
consider the changes of the shear strength parameters, c Figure 1 Reduction of shear strength due to soaking
and $, with the matric suction in the next Coulomb
equation;

where c is cohesion, cp angle of shear resistance. Both

parameters are associated with the total normal stress.
They are not constant, but they vary with the matric
suction. It is not difficult to introduce the change of the
parameters into numerical analyses.
Figure 3 (Shimada et al. 1998) summarizes the result
of the direct shear box tests shown in Figure 2. The
figure indicates that both the shear strength parameters,c
and $, appear to vary with the matric suction. The
variation of c and 4 can be directly introduced into the
numerical analysis, and no functional relations of c and $
with the matric suction are employed in this paper. The
magnitudes of c and $ for an arbitrary matric suction are
linearly interpolated from the experimental data shown
in Figure 3. Figure 2 Change of shear strength with matric suction

3 NUMERICAL ANALYSIS
3.1 Uncoupledprogram
A FORTRAN program used herein has united 1) a finite
element program for the infiltration analysis and 2) a
Rigid-Body-Spring-Model program for the slope
stability analysis.
The finite element program for infiltration had been
coded according to the paper by Neuman (1973), who
had firstly presented the finite element treatment for
saturated-unsaturated seepage.
The Rigid-Body-Spring-Model (RBSM) had been
originally proposed by Kawai et al. (1977). The model
employs the Coulomb’s failure criterion and the
associated flow rule for the plastic constitutive relations
of the springs, which connect with rigid triangular Figure 3 Variation of cohesion and angle of shear
elements. In the slope stability analysis, RBSM resistance ofMasa96 with matric suction

654
 multiplies the unit weight of a slope soil to yield the
springs one by one. R m i n is the multiplying factor at
which the slope becomes unstable.
The program can predict the change of the safety
factor, R m i n , of unsaturated slopes considering the
reduction of shear strengths of the slope soils due to rain
infiltration (Shimada et al. 1995).
When the ground water table has developed in the
slope, we can evaluate the stability of the slope in terms
of effectivestress with introducing the seepage force and
the buoyancy into the analysis for the domain of the
positive pore water pressure (Morii et al., 1995).

3.2 Analysis for-earthquakes Figure 4 Mesh of model slope

The effect of earthquake on slopes is analyzed with the
pseudo-static limit equilibrium procedure, which applies
the horizontal seismic force to each element in RBSM.
The seismic force is assumed to be equal to the weight of
a slope soil multiplied by the horizontal seismic
coefficient, Kh. The effects of the rise of the pore water
pressure and loss of the shear strength during dynamic
loading imposed by an earthquake are ignored in this
paper.
Figure 4 shows the mesh descretization for the model
slope used in the analyses. A soil spreads uniformly on a
stiff rock foundation. The right boundary is located 50 m
away from the origin of the coordinates for avoiding
effects of constrains at the boundary, but is not shown in
the figure.
The calculation results are shown in Figure 5 ,
comparing with the result by the Bishop's simplified Figure 5 Results of slope stability analyses
method considering seismicity. Presented with the line considering seismicity
segments in the figure is the displacement vectors
calculated from RBSM with soil constants indicated in
the figure. The slip circle, which is calculated from the
Bishop's method with the same soil constants, is also
drawn in the figure. The magnitude of R m i n is almost
equal to the safety factor (Fs)from the Bishop's method.
The location of the slip circle is also fairly identical to the
slip line presumed from the displacement vectors
calculated from RBSM.
When a slope suffers from raining, the safety factor of
the slope decreases with time. If an earthquake strikes
the slope suffering from rainfall, it must become more
unstable and the safety factor drops suddenly. The
situation is schematically shown in Figure 6.
Figure 6 Drop of safety factor due to earthquake

4 COINCIDENT EFFECTS OF RAINFALL AND

EARTHQUAKE ON SLOPE STABILITY
Calculations are carried out for the model slope shown in
Figure 4. Since the surface of the model slope is assumed
to be bare, the effects of vegetation on the slope stability,
i.e., the root reinforcement and the change of the
infiltration rate etc, are ignored.
Carrying out the uncoupled analysis, we need
information of the changes of the shear strength
parameters with the matric suction, and that of the
unsaturated properties of soils, i.e., the soil-water
characteristic curve and the coefficient of unsaturated
permeability. The following conditions are employed in
the calculations:
1) The variation of the shear strength parameters, c
and $, with the matric suction is that of the
decomposed granite soil shown in Figure 3.
2) The unsaturated properties of the slope soil is that

655
 of a decomposed granite soil, obtained by Aoyama
(1987), shown in Figure 7. The maximum matric
suction is modified according to that in the data set
of the shear strength parameters.
3) The initial matric suction, S, = 50 kPa, spreads
uniformly in the soil.
4) The rain intensities ( I ) on the slope surface are 20
and 30 mm/h, and are kept constant throughout
the analyses.
5) Young's modulus = 9.81 x 104kPa, and Poisson's
ratio = 0.3 for the soil in the slope.
6) The variation of the unit weight of the soil with the
matric suction is also introduced. (Shimada et al.
1998)
Figure 8 shows the result for the case of the horizontal Figure 7 Unsaturated properties of Masuda Masa
seismic coefficient, Kh = 0 to 0.2, with the rain intensity, (Aoyama 1987, partly modified)
I = 20 m m h . The safety factor of the model slope drops
fast for the greater magnitude of Kh. The simulation
result for I = 30 mm/h is shown in Figure 9. The figure
gives the same tendency as that in Figure 8, however
safety factors of the slope decrease faster than that for
I = 20 m m k .

5 CONCLUSIONS

When a slope suffers from both rainfall and earthquake,

its safety factor will decrease and it must become more
unstable. This paper presents the coincident effects of
rainfall and earthquake on the slope stability through the
numerical analysis. Simulation results for a model slope Figure 8 Reduction of safety factor of slope of
show that the slope suffering from the rain infiltration Masuda Masa, I = 20 mm/h
becomes more unstable when the additional seismic
force acts. The greater magnitude of the seismic intensity
strongly reduces the safety factor of the model slope.

REFERENCES

Alonso, E.E., A.Gens & A.Josa 1990. A constitutive model

for partially saturated soils. Gkotechnique, 40(3) : 405-
430.
Aoyama C. 1987. Physical and engineering properties of
decomposed granite soils. Doctoral dissertation :Kansai
Universip. (in Japanese)
Kawai T. & Toi Y. 1977.Anew element in discrete analysis of
plane strain problem. Journal of Seisan Kenkyu' Institute Figure 9 Reduction of safety factor of slope of
of Industrial Science, University of Tokyo 29(4) : 204-207. Masuda Masa, I = 30 mm/h
Kohgo Y., Nakano M. & Miyazaki T. 1993. Theoretical
aspects of constitutive modelling for unsaturated soils.
Soils and Foundations, 33(4) : 49-63. Shimada K., Fujii H., Nishimura S. & Morii T. 1995. Stability
Morii T., Hattori K., Hasegawa T. & Shimada K. 1995. analysis of unsaturated slopes considering changes of
Stability of earth dams subjected to storms with changing matric suction. Proc. of 1st. Int. Conf on Unsaturated
external water levels, Tram of JSIDRE, 180 : 85-92. Soils, 1:293-299.Rotterdam : Balkema.
Neuman, S.P. 1973. Saturated-unsaturatedseepage by finite Shimada K., Fujii H., Nishimura S., Nishiyama T. & Morii T.
elements. Proc. of ASCE 99(HY12) : 2233-2250. 1998. Hysteresis effect of decomposed granite soil on
Shimada K. 1986. Changes in shear characteristics of slope instability due to rainfall. Proc. of 8th. Int. Cong.
compacted soils due to soaking, Bulletin of Ishikawa International Association for Engineering Geology and
Prefecture College ofAgriculture, 16 : 29-37. the Environment : 1981-1986.Rotterdam : Balkema.

656
 Slope Stability Engineering, Yagi, Yamagami & Jiang 0 1999 Balkema, Rotterdam, ISBN 90 5809 079 5

Shaking table tests of concrete block retaining walls

S. Mori
Department of Civil and Environmental Engineering, Ehime Universig, Japan
T. Matsuyama
Nihon Kogyo Incorporated, Japan
T.Ushiro
Dai-lchi Consultants Incorporated, Japan

ABSTRACT: Authors conducted 1G shaking table tests with models of concrete block retaining walls for the
development of their seismic safety evaluation method. The objectives of this paper are to investigate the
failure mechanism of the block retaining walls, to understand the influential factors on their failure, and to
clarify the effect of the reinforcement on the walls. The test results clarified the failure process, and enabled
us to define the yield of the walls. It is concluded that the weight of the block composing the walls, the ap-
parent cohesion of the backfills behind the walls, and the presence of the reinforcement increase the
acceleration amplitude required to make the walls yield; also that the reinforcement makes their ductility
increase effectively.

1 INTRODUCTION light block, and the other the same filled up with
Precast concrete block retaining walls are being concrete as a heavy block.
widely used in Japan in recent days, because of the
performance and the economy in construction
(Research Committee for Aseismic Large Concrete
Block Retaining Walls 1998). However, the meth-
odology to evaluate their seismic safety has not yet
been established. For this reason, authors conducted
a series of 1G shaking table tests with instrumented
models of block retaining walls for the seismic
safety evaluation. The objectives of this paper are to
explain the failure mechanism of the block retaining
walls, to understand the influential factors on their
failure, and to clarify the effect of the reinforcement
on the walls.

2 EXPERIMENT

2.1 Experimental uppuratus and models

Model wall and backfill prepared for the test in a
container were excited in horizontal direction on a
shaking table by’ using a mechanical vibrator. Figure
1 shows the experimental apparatus and the model.
The container 90 cm wide, 60 cm high, and 30 cm
deep was made of a steel frame with three pieces of
transparent acrylic plate fixed on it.
The model wall consisting of 10-step blocks was
50 cm high with a slope of 1: 0.5. Two blocks
different in weight were prepared: one composed of
some pieces of chloro-vinyl plate, 5 cm in height, 5
cm in thickness, and attached with a shear key, as a Figure 1-Experimental apparatus and model

657

Figure 2. Configuration of model blocks
Figure 3. Grain size distribution of test soil
Figure 2 shows the configuration of the blocks. The
bottom of the wall was horizontally restrained, but
free to rotate.
Backfill with 1.5 g/cm3 dry density was pre-
pared behind the wall by tamping dry or wet
decomposed granite soils. Figure 3 shows the grain
size distribution of the test soil. Colored sand as
index was put horizontally into the backfill at an
interval of 10 cm so as to be observed the deforma-
tion of the backfill and slip lines in it.
2.2 Experimental paranieters
The main experimental parameters were the weight
of the blocks, the strength of the backfill soil and
the reinforcement.
The apparent densities of the light and the heavy
blocks were 0.61 and 1.55 g/cm3 respectively.
The strength of the backfill was controlled by its
water content, w. According to preparatory direct
shear tests, values of apparent cohesion of the soils
with 0, 5 , and 10 96 in water content were 0.98, 10.8,
and 19.6 kPa respectively; and value of internal
friction angle of all the three cases was the same, 42
degree.
For the reinforcement, two types of model wall
were prepared; one was unreinforced, and the other
reinforced with some pieces of cotton textile as
geotextile. A piece of cotton textile, 1 cm wide and
20 cm long was used as a model of geotextile.
Three pieces were horizontally set up on every stage
at 5, 15, 25, 35, and 45 cm in height from the bot-
tom of the container, and one end of every piece
was fixed on the top of the corresponding block.
658
2.3 Shaking condition and measurements
The models were shaken by sinusoidal waves of 5
to 5.5 Hz in predominant frequency with 50 cycles.
The shaking amplitude was adapted to adequate
level for each specimen based on the results of
preliminary tests.
The horizontal acceleration of container, top
block and bottom block of the wall were measured
by strain-gauge type transducers (AS-2GB), and
recorded in 0.006 second’s interval. Moreover,
deformation images of the wall and the backfill
were taken by a CCD digital video camera at a rate
of 30 frames per second.
3 RESULTS AND DISCUSSIONS
After a series of tests, all the unreinforced walls
collapsed but most of the reinforced walls did not.
Therefore in this reason, in this section, the failure
mechanism and the vibration characteristics of
unreinforced walls, and the deformation process and
the deformation resistance of both reinforced and
unreinforced walls are discussed.
3.1 ~~~l~~~~
illec.zani,srlz of block retainiizg wall
The digital video images made it easy to understand
the failure mechanism of the block retaining wall.
The illustration of the failure process of the unrein-
foced wall is shown in Figure 4.
In the cases of the unreinforced walls, when the
backfill began to move backward just after the
return, the wall remained moving forward due to the
inertial force. This resulted in the phase delay in the
motion of wall, in the separation of the backfill and
the wall. Subsequently the separation led to a slide
in the backfill. The slide was then promoted by the
oscillation inducing new slides in further interior
region, which led to the expansion of the sliding
area, and to the accumulation of the whole defor-
mation of backfill. The progress in sliding caused
deformation in the wall, which was folded out at the
mid-height. After this, the upper portion of the wall
leaned backward and the lower portion forward,
pushing the middle portion outward resulting to the
wall collapse. This is the process of the accumula-
tion of the residual deformation and the subsequent
collapse of the wall.
On the other hand, in the cases of the textile-
reinforced walls, no sliding occurred in the backfill
and the residual deformation of the wall was very
small.
3.2 Mbration charucteristics of block retaining
wall
The acceleration time histories of the container and
the top of the wall in the case of unreinforced heavy
 Figure 4. Schematic diagram for failure process of unreinforced wall
Figure 5. Acceleration time histories of container and top of wall in a case of unreinforced heavy block wall
with no water content backfill
block wall with no water content backfill are shown
in Figure 5, as an example of the cases of the unre-
inforced walls. The accelerogram of the container
seemed to be approximately steady sinusoidal
oscillation, whereas two distinctive features are
recognized in that of top of the wall: one is the
subsequence of gradual amplification and sudden
attenuation, and the other the appearance of pointed
sharp wave-peaks during the amplification process.
The amplification may be attributed to the defor-
mation of the wall, the sudden attenuation to the
fall-down of the top block, and the pointed sharp
peaks to the re-contact of the blocks during their
rocking (Fig.5).
In the cases of reinforced walls, the response of
the wall was almost steady.
Based on the analysis of the acceleration records
described above, Fourier spectra of the wall and
container, and their transfer function are shown in
Figures 6a and 6b respectively. Figure 6a indicates
659
that the predominant frequencies of the container
and the wall coincide at about 5 Hz. Both figures
show the amplification of the wall at 10 Hz, which
may be due to rocking of blocks. According to the
observation of video images, the response dis-
placement in the wall amplified consistently with
the height of block, and when the wall moved
backward, the joints of blocks opened at the front
side and the whole wall bent visibly.
In the cases of reinforced walls, residual defor-
mation of the wall and amplification of its
displacement was relatively very small.
3.3 Deformation process of block retaining wall
The displacement time histories of the container and
the top blocks were calculated by double integral of
their acceleration records with the linear accelera-
tion method. Their displacement time histories and
some phenomena like block separation, subsidence
of backfill, etc. are shown in Figure 7. The separa-
Figure 6. Fourier spectra of container and wall’s top, and their transfer function
Figure 7. Time histories of integrated displacement of container and wall top, and some phenomena in a
case of unreinforced heavy block wall with no water content backfill
Figure 8. Progress of residual shear deformation of
the wall with number of cycles of excitation in all
cases of unreinforced heavy block wall
tion and the phase delay in the motion of wall
observed through the video images, are supported
by integrated displacement wave forms. These
integration analyses clarify that the phase delay
increased from 90 to 180 degree with increasing
number of cycles, and the separation began when
660
relative forward displacement increased. However,
the error in the double integration is not negligible,
so that the residual displacement of the wall can not
be evaluated quantitatively.
Thereupon, shear deformation of the backfill was
calculated based on the rotation of the lower portion
of the wall measured on the video images. The
number of cycles of excitation and the residual
shear deformation of the wall in all the cases of the
heavy block walls are shown in Figures 8 and 9;
Figure 8 shows those for unreinforced wall and
Figure 9 for reinforced. In the unreinforced cases,
the shear deformation increases radically after it
reaches 5 to 10 %. The number of cycles at the start
of the radical shear deformation increases with the
increase in cohesion of the backfill. According to
analysis of the video images, the time of start of the
radical increase corresponds to the time of occur-
rence of an initial evident slide in the backfill.
Consequently, 5 % shear deformation, which is the
start point of its radical increase due to the initial
evident slide occurrence can be defined as the yield
of the block wall. On the other hand, in case of the
reinforced wall with dry backfill, shear deformation
increases gradually after it reaches 5 to 10 %,
whereas with the 5 % and 10% water content back-

Figure 9. Progress of residual shear deformation of
the wall with number of cycles of excitation in all
cases of heavy reinforced block wall
Figure 10. Relation between input acceleration and
number of cycles at 5 % shear deformation in case
of heavy block wall
Figure 11. Relation between input acceleration and
number of cycles at 5 % shear deformation in case
of light block wall
661
Figure 12. Relation between yielding input accel-
eration, Ayield and cohesion of backfill, c (number
of 5 5% shear deformation, N5=10)
fills, it increases not so distinctly even after it
reaches 2 to 5%. Consequently, this result reveals
the effect of reinforcement that increases the ductil-
ity of the wall.
3.4 Deformation resistance of block retaining wall
The deformation resistance of block retaining wall
is discussed on the point of the yield of wall men-
tioned in the previous section.
Based on the relation between the number of
cycles of excitation and the residual shear deforma-
tion of wall as shown in Figures 8 and 9, the
number of cycles at 5 % shear deformation, N5 can
be obtained. Then, the amplitude of input accelera-
tion, Airrpict is calculated as mean of the three peak
values except the maximum and the minimum
values from second to sixth pulses in the accelera-
tion time history of container. The dynamic
deformation resistance of wall is defined by the
relationship of Ai,~p~l with N.5 which is a resistance
curve as shown in Figures 10 and 11. These figures
with various resistance curves lead us to understand
that the input acceleration required to make the wall
yield increases with the increase in water content or
cohesion of backfill, the increase in weight of block,
the existence of reinforcement, and the decrease in
the number of cycles.
So from the Figures 10 and 11, the yielding input
acceleration, AyieId as a simple index of the strength
of wall may be defined as the input acceleration
required to make the wall yield at 10 cycles. The
relationship between the yielding input acceleration
and the cohesion of backfill is shown in Figure 12.
This figure clearly summarizes the whole results of
this research, as mentioned in the last paragraph.
The results of the present study seem to provide
some useful information for the development of
seismic safety evaluation method, and for the de-
velopment of seismic retrofit technique.
4 CONCLUSION

The failure mechanism, the vibration characteristics,

the deformation process and the deformation resis-
tance of block retaining walls were studied by
carrying out a series of shaking table tests with
various models. Based on the results of the tests,
following conclusions are drawn as follows:

(1) The failure process of unreinforced wall was

clearly understood after the tests. At first, there
occurs a phase delay in the motion of wall that
causes a separation of backfill and wall leading to a
slide in the backfill. Then, the sliding gets promoted
and expands due to the oscillation of the container.
After that, the wall is folded out at the mid-height
and the residual deformation of wall is accumulated,
which finally causes the collapse of the wall.
(2) In the case of reinforced wall, the shear defor-
mation of wall increases gradually and reaches the
maximum value of 2 to 5 %, which is not sufficient
to cause the collapse of the wall. So none of the
reinforced wall models collapsed during the tests.
(3) The shear deformation of unreinforced wall
increases radically after it reaches 5 to 10 %. So the
5 % shear deformation, which is the start point of its
radical increase due to the initial evident slide
occurrence, can be termed as the yield of block
wall.
(4) The input acceleration required to make the wall
yield increases with the increase in water content or
cohesion of the backfill, increase in weight of the
block, and the existence of reinforcement. Conse-
quently, it can be said that the reinforcement by
geotextile is highly effective in increasing the
ductility of block retaining walls.

ACKNOWLEDGEMENT
Authors would like to express their sincere gratitude
to Prof. N.Yagi and Prof. R.Yatabe of Ehime Uni-
versity for their advice. Authors would like to thank
O.Futagami, technical official and K.Morino,
undergraduate student of Ehime University for their
assistance during the experiments.

REFERENCE
Research Committee on Aseismic Large Concrete
Block Retaining Walls 1998: Manual of design and
construction of large-block retaining walls. Taka-
matsu, Japan: Shikoku Blanch of Japan Society of
Civil Engineers (in Japanese)

662
 slope stability Engineering, Yagi, Yamagami & Jiang 0 1999 Balkema, Rotterdam, ISBN 90 5809 079 5

Shakedown analysis of soil foundations under varied loads

Maotian Luan & Yongzhe Cao

Department of Civil Engineering and State Key Laboratory of Coastal and Offshore Engineering, Dalian
University of Technology, People’s Republic of China
Keizo Ugai
Department of Civil Engineering, Gunma University, Kiryu, Japan

ABSTRACT: In this paper, the importance of fundamental concept and analysis method of plastic
shakedown in geotmechanics is emphasized. The temperature parametric procedure developed by Qian &
Wang (1989) in which nodal temperature is taken as adjustable variable of finite element analysis is
introduced for constructing self-equilibrium stress field. Then the mathematical formulation and numerical
algorithm for limit analysis and shakedown analysis are established on the basis of the lower-bound theorems.
Numerical computations and analyses are made for strip footing on soil foundation subjected to varied loads
and the effect of the cyclic and variable property of externally-applied loading on bearing capacity of
foundation is discussed. A comprehensive method based on the envelope diagram of the shakedown load is
proposed for evaluating stability of foundations under complex variable loading.

1 INTRODUCTION elastically upon subsequent cycles of loading as long

Ultimate bearing capacity of soil structures and
foundations under simple loading programs can be
predicted directly and effectively by applying limit
analysis theorems of plasticity. In fact, loading mode
or pattern exerted on structures and foundations are
usually rather complex, e.g., for a gravity-type
offshore platform foundation, seismically- or wave-
induced loads are always alternating in both
direction and acting position. However, the
magnitude bounds of load variations can be defined.
For these structures and foundations, only pseudo-
static evaluation of bearing capacity under
monotonic loads and purely elastic analysis of
transient responses under cyclic loading do not mean
that whole structures can offer sufficient strength to
actual varied loads, also permanent deformation can
be constrained. In fact, for the structure with the
elastic-plastic deformation nature, unconstrained
irrecoverable deformation will be either accumulated
progressively or two-directional alternating plastic
deformation will continue without ceasing under
transient or cycle loading programs. If the increasing
plastic deformation or hysteretic-energy dissipation
can attain a stable state, the soil mass will be said to
shakedown to corresponding deformation and
residual stress field. If a stable plastic deformation
state is attained after a finite number of cycles or
within a limited time of instantaneous loading, the
structures or foundations will behave purely
as the applied loading varies arbitrarily within the
given range. Otherwise, soil mass will be in either
incremental collapse caused by one-way progressive
plastic deformation, or alternating plasticity collapse
caused by fatigue failure while different directional
alternating plastic deformation will unceasingly
continue. Soils in the shakedown state will deform
continually until the deformation reaches a finite
ultimate value and stabilizes after several cycles. In
the case of incremental collapse or alternating
plasticity, soils will deform limitlessly with loading
time. Therefore, for the structures and foundations
subjected to complex loading sequence, shakedown
analysis is of practical significance. For the offshore
platform foundations, shakedown under repeated
varying loads or even dynamic loads should be
ensured so that the structures are both safe under
static loads and shakedown under varied loads.
Shakedown analysis is the extension of limit
analysis. In the engineering design, shakedown
analysis is aimed to estimate shakedown loads of
structures or foundations subjected to varied loads.
In order to ascertain the actual meaning of
shakedown analysis in geotechnical engineering, an
effort is made to develop the computational method
on the basis of existing elasto-plastic shakedown
analysis theorem. In consideration of the state-of-
the-art and the importance and necessity of
shakedown analysis (e.g., Aboustit & Reddy 1980,
Pande et a1 1982), advanced numerical analysis

663
procedure is combined with mathematical
programming techniques to develop practical
mathematical formulations and effective numerical
algorithm of shakedown analysis. Numerical
computations are performed for a strip footing on
soil foundation and comparisons between the limit
loads and shakedown loads are made. Shakedown
load envelope diagram in the load space is proposed
for evaluating dynamic stability of soil foundations
under complex loading condition. Some preliminary
findings are given for improving design of
foundation under varied load.
2 LIMIT ANALYSIS AND SHAKEDOWN
ANALYSIS
In limit analysis and shakedown analysis of solid
mechanics, two bound theorems are usually used to
directly solve for the upper-bound or lower-bound
ultimate loads of structures. Upper-bound theorem is
based on kinematically allowable velocity fields
while lower-bound theorem is on the basis of the
statically admissible stress field. However, it is
difficult to search the best kinematically allowable
velocity field of structures by using finite element
method. Therefore, in the most cases, to search for
the optimum statically allowable stress field is the
main objective in order to get the lower bound of
limit load or shakedown load. Lower theorem of
shakedown analysis, i.e., so-called Melan’s theorem,
can be stated that if such a time-independent residual
stress filed can be found that the combination of
these residual stresses with elastic stresses 01“
induced by arbitrary load within a given range stifl
does not violate the yield condition, i.e.,
f ( a g +oT)5 0 (1)
then the structure will shakedown, where
f(o,) I 0 is the yield function. Therefore in solving
for lower-bound shakedown load based on static-
type shakedown theorem, the key issue is to find or
construct a time-independent residual stress field
which is in self-equilibrium. The shakedown load
corresponding to such a stress field will be a lower
bound of the real shakedown load. Among all the
statically allowable stress fields, the best or optimal
one is the stress field that can allow the variation
range of externally-applied loads to attain its
maximum value. Two main aspects are contained in
implementation of the lower-bound shakedown
analysis, i.e., (1) constructing of self-equilibrium
residual stress fields which meet all mechanical
In order to reduce the shakedown analysis issue to a
equilibrium conditions within the soil mass and
linear programming problem, the linearization of the
boundaries and don’t violate the yield condition, (2)
Mohr-Coulomb yield criterion is made. The yield
searching of the optimum self-equilibrium residual
criterion f(o,.) I 0 can be expressed in the form of
stress field. Noticing the fact that thermo-elastic
linear inequalify as follows
stress field caused by temperature variation is a self-
equilibrium stress filed, nodal unknown temperatures
664
can be taken as independent variables and the
corresponding thermo-stress field can be taken as
self-equilibrium residual stress field. The procedure
for constructing self-equilibrium stresses on the basis
of the above-mentioned technique is called
temperature-parametric method. By adjusting nodal
temperature variables, the corresponding self-
equilibrium thermo-stress fields will be changed.
Additionally such self-equilibrium stress fields are
constrained not to violent the yield condition in order
to achieve statically admissible stress fields. The
thermo-stress which can make the load multiplier
acquire its maximum is the optimum residual stress
field, and the corresponding load multiplier is
shakedown load multiplier. The product of
shakedown load multiplier and basic load factor is
the shakedown load, which is one of the maximum
lower bound of the real shakedown load. All the
components of the shakedown load will constitute an
outward convex envelope in the load space. The
boundary-value problem to be evaluated can be
induced to a mathematical extreme-value issue and
can be solved by mathematical programming
techniques. Since the widely-used Mohr-Coulomb
yield criterion is the non-linear function of the stress
components, therefore the resulting mathematical
programming problem is usually of non-linear type.
To simplify the problem, linearization of the Mohr-
Coulomb yield criterion is conducted iii order to
solve the final problem by using usual linear
programming procedures. Limit analysis can be
stated as the special case of shakedown analysis
while the range of load is set to be zero. Numerical
analysis approach based on finite element method is
used. An unified computational formulation for both
limit analysis and shakedown analysis is established
on the basis of temperature parametric method. The
resulting extreme-value problem is solved using
linear programming techniques. The effective
approaches to reduce the constraint number are
proposed. A strip footing on soil foundation upon
varied loads is analyzed as an illustrative example for
application of shakedown analysis in geotechnicai
engineering. Comparisons among the computed
results and existing theoretical or numerical solutions
are made for verifying the reasonability and
effectiveness of the proposed technique.
3 SHAKEDOWN ANALYSIS BASED ON
TEMPERATURE PARAMETRIC METHOD
 in which N' is the assemblage of outward normal
unit vector of the i-th element, NI is the unit
outward normal vector of the j-th plane, ,K,
represents the distance of the j-th linearized yield
plane from the origin, r represents the number of
elements, 1 is the number of linearized planes.
Equation 2 indicates that the projection of stresses
on the outward normal of each yield plane should
not exceed the distance of the yield plane from the
origin. The Mohr-Coulomb criterion in the plane
condition can be expressed as follows
[ K ) = [ 2 c 2c 2c 2c 2c 2 c r (5)
where c and p are cohesion and internal friction
angle of soil respectively, e = sin p .
For the j-th linearized plane, the yield condition
can be written as
4; = Ni,QL + NfQ; - Ki, I 0 (6)
where QE is elastic stress and QR is residual stress.
This equation can be stated in the vector form as
(7)
Furthermore (QE] can be resolved into two parts,
i.e., purely-elastic stress {Qd,-} which is in
equil'brium with basic loads, and elastic stress
(Qs,-) which is corresponding to the fixed static
loads. As a result, the lower-bound theorem of
shakedown analysis can be stated that for a known
elastic stress field (Q, ] which fulfills equilibrium
conditions, a residual stress field {QR} which can
make load multiplier A of basic load to attain its
maximum value is to be found. This statement can
be mathematically formulated
max A
s.t*
220
a[N](~d,}+[N]{~sE]+[N]{~~]- (K} ' (8)

The maximum of the projection of elastic stresses

QiE(t) on the outward normal vector Ni, of the
yield plane is assumed as M J
Figure 1 Linearized Mohr-Coulomb criterion
MJ = max{NJQ;, (t)) (9)
where

In shakedown analysis, it is assumed that the

externally-applied load varies in the following
pattern

or
<(,' ') = (')pk (t>
<k (1 1)

{WI = PITWI (12)

Figure 2 Linearized Mohr-Coulomb criterion
The yield surface is an elliptic awl in the stress space
(ox,o Y zxJ,).
, Six planes used to linearize the
surface are shown in Figure 1 and Figure 2. The
elements of the matrix N and vector K are given as
follows (Luan 1989 after Anderhaggen)
where T k ( x ) represents the basic loading pattern,
p k ( t ) is the combination coefficient of various
loads . In the most cases, the variation range of each
load coefficient is known or can be assumed in
advance, e.g., p- 5 p ( t ) . < p + , the history of
variation p ( t ) with the time is usually unknown,
pi pk (')' p i , '
{p-}' (p(')> (p') (I3)
Elastic stress under the k-th basic load pattern
T k ( x ) is stated as a,dE,the total elastic stress

665
under all load patterns can be written as
(o.)= [DekzO}= [ H e ] { T e }
odE -
- C.OiEPk tf) (14) where
While ,u-=,u+,i.e., there is no variation of external '3 11 1 11
1
load, the computation will be of limit analysis.
While p- + p+ , all or parts of loading components 'H ' - 3 o - P ) 0 0 0
are varied, each basic load component can vary
independently in the given range. Assembling leads to
According to the temperature parametric method
developed by Qian & Wang (1989), the temperatures b}= [DIIBl{4- [ M E 0 1= [SIKI-' {QI- [HIfO
of finite element nodes are taken as independent
= [Sl[Kl-' [CllrrI- [Hl(r) (23)
variable, the elastic stress field caused by the Shakedown theorem can be stated as
variation of temperatures is taken as self-equilibrium
residual stress field. This self-equilibrium stress field max A
will be adjusted by varying each nodal temperature i { K '} (24)
s.t. A { M }+ [N]([SIK]-'[G]{T}- [H]{7.})
and then will be statically allowable by fulfilling the 220
no-yield condition. The optimum statically- in which {K'} = ( K }- [NI' {osE
} . Introducing non-
admissible stress field can be constituted. The negative constraints and setting ( T }= (T'}- {T"},
maximum of the load multiplier corresponding to the mathematical programming can be rewritten as
such a stress distribution is the limit multiplier or max A
shakedown multiplier.
Triangle-type finite elements are used in the s.t. A ( M )+ [Ax{T')- {T"})i ( K } (251
following as example. In constructing residual stress a 2 O , T ~2 O,T" 2 o
field QR,the temperature change of three nodes of where
triangle element in the plane problem is designated
as T, , T, and T,n respectively and the temperature [AI = "1 QI[Kl-"Gl- (HI)
Equation 25 is a standard linear programming
(26)
within element is assumed to distribute linearly, the
interpolation function is taken as the same as the problem. The constraint number is equal to rnl, i.e.,
displacement function, product of the number r of elements, the number n
of nodes and the number 1 of linearized yield planes,
i
T(x,Y) = NJk (15) and the number of the variables is 2ri-1. Since the
number of variable is less than the number of
Equivalent nodal loads caused by this temperature constraints, it will be more efficient to solve the dual
field can be written as form of the programming as stated as follows
[Q' ] = I [Bf'[DIQdy (16)

where t is the thickness of structure. Substituting

boundary conditio s and constitutive law as well as s.t. (27)
initial strain {EJ= aT[l 1 01' into the above
equation leads to
[Qe] = [G. IT'} (17)
The fact that [A]' {y}2 0 and -[A]' {y}5 0 leads
to [A]' {y}= 0 . Therefore the problem can be finally
in which stated as

{ ~ e ) =[T~ T, T J (19) Introducing artificial variables in the above

Then the characteristic sub-matrices Q e , G', T'
of each element are assembled to lead the global
characteristic matrices Q , G, T of the structure. The
varying temperature-caused stress of the element can
be given
formulation, a standard linear programming is
obtained and can be solved by existing algorithms.
4 EXAMPLE STUDIES

Shakedown analyses of the strip foundation under

different circumstances are made by the above
formulations and proposed method.

666

Figure 3 Loading pattern and the finite
element model of the strip footing.
The loading mode and finite element model are
shown in Figure 3 in which B is the width of the strip
footing and A is the area of the foundation with unit
length. p , = ‘yA represents the uniformly-
distributed vertical load, and p,, = ‘yA defines the
uniform horizontal load intensity while A4 is the
gross moment acted on the footing. A number of
cases are computed and main typical computational
results are shown in Figure 4 and Figure 5 . Based on
numerical results, comparative studies of limit
analysis and shakedown analysis are performed. The
main findings are presented as below,
(1) For the strip footing founded on purely
cohesive soil foundation subjected to the vertical
loading, the vertical bearing capacity of 5 . 2 0 ~is
estimated by the present method. The numerical
solutions using elasto-plastic finite element method
given by Hoeg, Chen, Valliappan, Aboustit and
Reddy are respectively 5.14c, 5.26c, 5 . 2 0 ~and 4 . 8 6 ~ foundation.
(referring to Aboustit & Reddy 1980) while the
theoretical solution given by Prandtl (192 1) is 5 . 1 2 ~ . studies show that the shakedown load is obviously
It can be concluded that the present result agrees well
with the existing numerical or analytical solutions.
However, the shakedown vertical load computed by
the present procedure is 4 . 3 0 ~which
~ is reduced by
16% compared with the corresponding limit load.
(2) For the strip footing founded on cohesive-
frictional soil under the inclined (the inclined angle
with vertical is +45’) and eccentric (the eccentricity
distance e varies between -B/12 and B/12) loads, the
numerical results show that shakedown load
increases linearly with the increase of the soil
uniaxial compressive strength f,,, where
fcL, = 2c cos @/(1 - sin 4). Therefore shakedown load
increases remarkably with increaseing of soil internal
friction angle.
(3) For the strip footing on cohesionless or
cohesive-frictional soil foundation subjected to
simultaneous exerting of horizontal load and vertical
load as well as moment, the inter-relationship among
667
vertical component, horizontal component and
moment (or eccentricity) will constitute an outward
convex envelope in the load space. Typical
illustrative presentations are shown in Figure 4 and
Figure 5 . Such an interaction diagram is called here
the ultimate load envelope for limit analysis or
shakedown load envelope for shakedown analysis.
When the actual load is located within the envelope,
the structure or foundation will be statically safe
under monotonic loading or will be shakedown
under varied loading. Otherwise, limit equilibrium
state or plastic non-shakedown (i.e., alternating
plasticity or progressive failure) state will occur.
Based on the ultimate load diagram and
shakedown load diagram, a comprehensive method
is proposed for evaluating static or dynamic stability
of structures and foundations under complex loading
conditions. In three-dimensional space consisting of
three loading components, various combinations of
shakedown loads or limit loads constitute a three-
dimensional outward convex surface. For a given
value of one component, the inter-relation graph
between other two components is called shakedown
load or limit load curve, which is an outward convex
curve and dependent on the third component value.
For example, when the load eccentric distance e is
fixed, the horizontal component and vertical
component of load in the shakedown state or the
limit-equilibrium state will establish the p,,-py
diagram, as shown in Figure 4. The shape and
magnitude depend on the eccentric distance of the
load and the soil strength property. Obviously the
shakedown load envelope must be situated in the
inside of the limit load envelope. The difference
between two envelopes indicates that variable nature
of cyclic or transient externally-applied loading has
a significant effect on bearing capacity of
Based on computational results, comparative
lower than the limit load due to alternating or cyclic
nature of load. Therefore, in the design of structures
and foundations subjected to varied loads, e.g.,
cyclic or transient load induced by earthquake
shaking or ocean wave, shakedown analysis is
necessary in addition to evaluation of bearing
capacity under monotonous loading. Furthermore,
both ultimate bearing capacity and shakedown load
increase remarkably with the increase of soil
cohesion and internal friction angle. The influence
of the friction angle is more significant. Since
offshore foundations are usually subjected to
horizontal loads, vertical loads and moments
simultaneously, shakedown analysis is more
important compared with limit analysis and the
proposed envelope can be used for rationally
evaluating stability under complex loading modes.
 cyclic loading will result in obvious reduction of
bearing capacity of soils. These results and
conclusions have important indications on
improving the design of offshore platform
foundations.

ACKNOWLEDGEMENTS

The financial supports from the National Natural

Science Foundation of China through the grant No.
597790 17 and from the Trans-Century Training
Programme Foundation for the Talents offered by
the Ministry of Education of China are gratefully
acknowledged. The authors would like to express
thanks to the Heiwa Nakajima Foundation which
makes their cooperation possible.
Figure 4 pI,-pv
interaction diagram

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In this paper, the lower-bound theorem of
shakedown analysis is extended to the pressure-
dependent frictionally-behaving soil material. The
approach for constituting self-equilibrium residual
stress field by integrating the finite element method
and temperature parametric procedure is developed
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shakedown analysis and mathematical formulation
and numerical algorithm are provided. For the strip
footing on cohesive or sandy soil foundations, the
shakedown loads are computed. For the soil
structures and foundations subjected to complex
loading, the comprehensive methodology for
stability evaluation using the proposed limit load
diagram and shakedown load diagram is presented.
It is found that the variable nature of transient or

668
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670