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Factor of safety of strain-softening slopes

Hossein Rafiei Renani, C. Derek Martin

PII: S1674-7755(20)30037-8
DOI: https://doi.org/10.1016/j.jrmge.2019.11.004
Reference: JRMGE 645

To appear in: Journal of Rock Mechanics and Geotechnical Engineering

Received Date: 17 June 2019

Revised Date: 24 September 2019
Accepted Date: 12 November 2019

Please cite this article as: Renani HR, Martin CD, Factor of safety of strain-softening slopes, Journal of
Rock Mechanics and Geotechnical Engineering, https://doi.org/10.1016/j.jrmge.2019.11.004.

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Factor of safety of strain-softening slopes

Hossein Rafiei Renani a, *, C. Derek Martin b

a Klohn Crippen Berger Ltd., Vancouver, Canada

b Department of Civil and Environmental Engineering, University of Alberta, Edmonton, Canada

Received 17 June 2019; Received in revised form 24 September 2019; Accepted 12 November 2019

Abstract: Stability analysis of strain-softening slopes is carried out using the shear strength reduction method and Mohr-Coulomb model with degrading
cohesion and friction angle. The effect of strain-softening behavior on the slope factor of safety is investigated by carrying out a series of analyses for various
slope geometries and strength properties. Stability charts and equations are developed to estimate the factor of safety of strain-softening slopes from the
results of traditional stability analysis based on perfectly-plastic behavior. Two example applications including an open pit mine in weak rock and clay shale
slope with daylighting bedding planes are presented. The results of limit equilibrium analysis and shear strength reduction method with perfectly-plastic
models were in close agreement. Using perfectly-plastic models with peak strength properties led to overly optimistic results while adopting residual strength
properties gave excessively conservative outcomes. The shear strength reduction method with a strain-softening model gave realistic factors of safety while
accounting for the process of strength degradation.
Keywords: Slope stability analysis; Factor of safety ratio; Shear strength reduction; Perfectly-plastic behavior; Open pit slope; Clay shale slope

1. Introduction
Stability of soil and rock slopes has long been a subject of study in
geotechnical engineering with applications in civil and mining projects.
The most common indicator of slope stability is the factor of safety (FOS)
defined as the value by which the shear strength of the slope material
must be divided in order to bring the slope to the point of failure. Limit
equilibrium analysis is a simple and commonly used method for
determination of the FOS from the driving and resisting forces and
moments acting on a critical sliding mass (e.g. Morgenstern and Price,
1965; Fredlund and Krahn, 1977; Zhou and Cheng, 2013; Rafiei Renani
and Martin, 2020). However, displacements are not taken into account in
such analysis assuming that driving and resisting forces are independent
of deformation. This corresponds to a perfectly-plastic behavior in which
strength remains unchanged after failure.
In reality, a wide range of soils and rocks exhibit a reduction in
strength properties with excessive deformation, damage and failure. This
characteristic is referred to as strain-softening behavior. The combination
of strain-softening behavior and non-uniform distribution of stresses can
lead to progressive failure of slopes (Terzaghi and Peck, 1948; Skempton,
1964). Strain-softening behavior can be incorporated in stress analysis of
slopes using the finite difference method (FDM) or finite element method
(FEM). Adopting the shear strength reduction (SSR) method, the slope
FOS can be obtained from stress analysis (e.g. Zienkiewicz et al., 1975;
Griffiths, 1980; Smith and Griffiths, 1988; Zhou and Cheng, 2015; Rafiei
Renani et al., 2019).
Despite its significance, the effect of strain-softening behavior on
slope stability has been explored in relatively few studies. Early attempts
were made by Lo and Lee (1973) who used the FEM to explore the effect
of strain-softening on slope stability. Nonveiller (1987) discussed the
impact of strain-softening on the progressive failure of the Vajont
reservoir slope. Griffiths (1989) used the von Mises criterion with
cohesion softening for stability analysis of an undrained clay slope. Chen
et al. (1992) used strain-softening models to back-analyze the
progressive failure of the Carsington Dam. A similar approach was taken
by Potts et al. (1997) to investigate the delayed collapse of cut slopes in
London Clay. Troncone (2005) implemented a strain-softening model to
back-analyze the Senise landslide. Mohammadi and Taiebat (2016) used
the FEM to investigate the evolution of deformation and failure in strain-
softening slopes. More recently, Zhang and Zhou (2018) incorporated the
SSR method in a discrete particle model to study the behavior of a strain-
softening slope. Most of these studies have focused on in-depth analysis
of specific slopes limiting the relevance of the results to other projects.
Explicit incorporation of strain-softening behavior in practical slope
design remains rare, largely due to the additional complexity and
computation cost involved. In addition, there are no preliminary design
tools for strain-softening slopes such as the slope stability charts
frequently developed based on perfectly-plastic behavior (e.g. Hoek and
Bray, 1981; Leshchinsky and Mullet, 1988; Michalowski, 2002; Li et al.,
2008; Steward et al., 2011; Shen et al., 2013).
This study aims at providing practical tools for preliminary design of
slopes in strain-softening material. A comprehensive series of slope
stability analyses has been carried out on slopes with a wide range of
geometries and strength characteristics. The results have been used to
develop new stability charts and equations to estimate the impact of
strain-softening on the slope FOS. The level of simplicity maintained in
the stability analyses render the findings useful for a wide range of slope
conditions. Two examples are presented to illustrate the application of
the strain-softening model in slope stability analysis.
2. Strain-softening behavior in soils and rocks
The process of deformation and failure of geomaterials under various
loading conditions has been well documented. For example, Wawersik
and Fairhurst (1970) investigated the stress-strain behavior of Tennessee
marble using a series of triaxial compression tests. Fig. 1a shows the
strain-softening behavior of Tennessee marble especially at lower
confinement

*Corresponding author. E-mail address: rafiaire@ualberta.ca

 (a)
Fig. 1. Stress-strain response of (a) Tennessee marble at various levels of effective confining stress,
normal stresses, (Skempton, 1985).
(a)
Fig. 2. Peak and residual strength envelopes of (a) Buchberg sandstone (Kovari, 1977) and (b) Walton’s Wood clay (Skempton, 1964).
levels. As effective confining stress increases, the amount of post-peak
stress drop decreases and perfectly-plastic behavior may be observed at
relatively high confinement levels. However, instability and failure of
geostructures such as slopes and tunnels typically occur in regions with
little to no confinement where strain-softening behavior is most
pronounced. This underlines the importance of considering strain-
softening behavior in geotechnical analysis and design.
Strain-softening behavior has also been observed during tests on
overconsolidated clays and dense sands (Bjerrum, 1954; Skempton, 1964;
Hettler and Vardoulakis, 1984). For example, Fig. 1b shows the response
of Yellow clay from the Carsington Dam under shear tests (Skempton,
1985). Similar to many types of rock, a significant decrease in post-peak
strength can be observed in strain-softening soils.
Using a series of triaxial compression or shear tests at different
confinement levels, peak and residual strength envelopes can be
obtained. Fig. 2a shows the peak and residual strength envelopes
obtained from triaxial compression tests on Buchberg sandstone (Kovari,
1977). It can be observed that residual strength is consistently and
significantly lower than peak strength. However, the slopes of peak and
(b)
(Wawersik and Fairhurst, 1970) and (b) Yellow clay under different effective
(b)
residual strength envelopes are similar, indicating that strain-softening
behavior of Buchberg sandstone is mainly due to loss of cohesion while
friction angle is largely unaffected.
Peak and residual strength envelopes of Walton’s Wood clay obtained
from shear tests (Skempton, 1964) are shown in Fig. 2b. Similar to the
Buchberg sandstone, complete cohesion loss contributes significantly to
the strain-softening behavior. However, the slope of residual strength
envelope is also lower than that of peak strength envelope, indicating a
reduction in friction angle of Walton’s Wood clay in the residual state due
to microstructural reorientations and alignment of clay platelets in the
direction of shear displacement.
3. Modeling of strain-softening behavior in slopes
Shear strength of soils and rocks is composed of two main
components; cohesive strength resulting from intergranular bonds and
cementation, and frictional strength resulting from frictional resistance
during shearing which is directly related to confining stress. The most
common strength criterion for geomaterials is the Mohr-Coulomb
criterion in which frictional strength is a linear function of effective
normal stress:
= + tan
(1)
where and are the shear stress and effective normal stress on the
plane of failure, and and are the cohesion and friction angle of the
material, respectively. It can be observed from Fig. 2b that linear Mohr-
Coulomb criteria can adequately describe peak and residual strength
envelopes of Walton’s Wood clay. Peak strength envelope of rocks may
display some degree of nonlinearity which can be better captured by
nonlinear failure criteria such as those suggested by Hoek and Brown
(1980) and Rafiai (2011). However, nonlinear strength envelopes may
still be approximated with linear Mohr-Coulomb envelopes with sufficient
accuracy for engineering purposes (e.g. Hoek et al., 2002; Rafiei Renani
and Martin, 2020).
In a perfectly-plastic Mohr-Coulomb model, shear strength
parameters remain constant regardless of the extent of plastic
deformation. This causes the strength to remain constant even after
failure. In order to capture the post-peak stress drop observed for strain-
softening materials, strength parameters can be degraded as plastic strain
increases. Linear and nonlinear variations of strength parameters have
been used for modeling brittle failure of rocks around underground
excavations under high confinement (Vermeer and de Borst, 1984;
Hajiabdolmajid et al., 2002; Rafiei Renani and Martin, 2018a,b). For
simplicity, linear degradation of cohesion and friction angle is typically
assumed in slope stability analysis (e.g. Potts et al., 1997; Troncone, 2005;
Conte et al., 2010; Mohammadi and Taiebat, 2013). Hence, the Mohr-
Coulomb criterion with linearly degrading strength parameters was
adopted in this study to model the strain-softening behavior slope
material (Fig. 3).
Fig. 3. Linear degradation of effective cohesion and friction angle from peak to
residual values in the strain-softening model.
The plastic shear strain threshold ∗ controls the rate of strain-
softening and may be considered as a measure of material brittleness.
Results of tests on brittle soils and rocks indicate that post-peak strength
drop occurs quite rapidly. When possible, the stress-strain curves
obtained from laboratory experiments may be used to estimate this
parameter (Skempton, 1985; Chen et al., 1992; Rafiei Renani and Martin,
2018a,b). In other cases, values reported in the literature for similar
materials may be used as a first estimate. In the absence of relevant
experimental and empirical evidence, the conservative assumption of
instantaneous softening may be adopted. It is typically assumed that ∗
is independent of confining stress. Although this may be a simplification,
the stress-strain curves obtained with this assumption can be quite
realistic (e.g. Vermeer and de Borst, 1984; Skempton, 1985; Chen et al.,
1992; Rafiei Renani and Martin, 2018a,b).
In order to illustrate the effect of strain-softening behavior on
slope stability, it is useful to analyze a simple homogeneous slope with
vertical displacements applied over a finite area of its crest. Although
this is not a typical loading, it was chosen to illustrate the impact of
strain-softening behavior on the load-displacement response of the slope.
In this case, a slope with a height, H, of 10 m and slope angle, β, of 60° was
analyzed. The material parameters of the slope including unit weight, ,
Young’s modulus, , Poisson’s ratio, , peak and residual cohesion, and
, peak and residual friction angles, and , and plastic strain
threshold, ∗ , are given in Table 1. Non-associated plasticity with zero
dilation angle was assumed. A perfectly-plastic model with peak strength
parameters and a strain-softening model with partial cohesion loss and
constant friction angle were compared.
The FLAC3D code (Itasca Inc., 2017) based on explicit FDM was used
to analyze the slope response. A uniform mesh with 50 quadrilateral
elements across the height of the slope was used to discretize the slope
(Fig. 4). The boundary conditions include horizontal restraints on the
sides and full fixity at the base of the model. The initial state of the slope
was obtained by bringing the model to equilibrium under gravity and
resetting displacements. Subsequently a vertical displacement with a rate
of 1 μm/s was applied over a 3 m strip of the crest. Development of
failure and evolution of vertical displacement and induced vertical stress
on the strip were monitored during loading.
Table 1. Material parameters for the slope subjected to displacements at the crest.
∗
Model
(kN/m3) (MPa) (kPa) (kPa) (°) (°) (%)
Perfectly-plastic 20 25 0.25 30 30 30 30 -
Strain-softening 20 25 0.25 30 15 30 30 4
Fig. 4. Homogeneous slope subjected to vertical displacement δv at the crest.
The mechanism of development and final position of the failure
surface in perfectly-plastic and strain-softening models were similar,
starting above the toe and extending upward towards the crest. Fig. 5a
shows the corresponding vertical displacements when failure reaches
different points along the slip surface obtained using the strain-softening
model. At different stages of analysis, normalized failure length was
calculated as the ratio of the current length of failure to the final length of
slip surface. Fig. 5b shows the relationship between the normalized
failure length, induced vertical stress and vertical displacements at the
loading strip. The failure length in perfectly-plastic and strain-softening
models followed a similar trend and accelerated as loading progressed.
However, initiation and propagation of failure occurred sooner in the
strain-softening model. In both models, slip surfaces were fully developed
immediately after the maximum vertical stresses were reached. The
perfectly-plastic model showed no meaningful stress drop after reaching
(a)
Fig. 5. Slope response to applied displacements: (a) Development of failure surface and (b) Vertical stress and normalized failure length in perfectly-plastic (PP) and strain softening
(SS) models.
4. Application of the shear strength reduction method
The slope FOS is commonly determined using limit equilibrium
analysis. In this approach, the sliding mass is divided into slices, and
equations of force and/or moment equilibrium of slices are satisfied.
Beside the assumptions regarding the interslice forces and the necessity
of using secondary search algorithms to find the critical slip surface with
the lowest FOS, this approach does not take into account the
interrelationship between stress, strength, and displacement (Krahn,
2003). One implication of ignoring displacements is the inherent
assumption that strength is independent of deformation, i.e. perfectly-
plastic behavior. As a result, limit equilibrium analysis may not capture
the progressive failure of strain-softening slopes (e.g. Chen et al., 1992).
In order to enhance the method by which the FOS is calculated,
Zienkiewicz et al. (1975) introduced the shear strength reduction (SSR)
method which was later developed by Dawson et al. (1999) and Griffiths
and Lane (1999). In this approach, a series of stress analyses are carried
out in which shear strength is progressively reduced to bring the slope to
the point of failure where numerical convergence is no longer possible.
According to Eq. (1), scaling of shear strength is possible by applying a
strength reduction factor (SRF) to shear strength parameters:
= (2)
tan = (3)
where and are the trial values of cohesion and friction angle for
a given SRF, respectively. Hence, by changing SRF and using
corresponding trial values of cohesion and friction angle in numerical
analysis, it is possible to find the critical SRF which corresponds to the
state of limiting equilibrium. The critical SRF in the SSR method has the
same definition as the FOS in limit equilibrium analysis. Similar results
have been obtained from limit equilibrium analysis and SSR method for
slopes with simple geometry and perfectly-plastic behavior (Dawson et
al., 1999; Griffiths and Lane, 1999; Cheng et al., 2007).
the maximum vertical stress while the strain-softening model captured
the post-peak reduction in load bearing capacity.
(b)
In the shear strength reduction approach, the constitutive relationship
between stress and strain as well as strain compatibility of the continuum
is satisfied. In addition, the mechanism of failure and associated slip
surface emerge naturally during stress analysis. Another benefit is that
realistic material models can be incorporated in numerical stress analysis
and SSR method.
The strength reduction method was originally applied to perfectly-
plastic models in which strength parameters were independent of
deformations. In this study, application of the strength reduction method
was extended to strain-softening models. This was achieved by applying
the SRF to the values of cohesion and friction angle which were functions
of plastic strain rather than constant value. Fig. 6 illustrates the
application of the SRF in perfectly-plastic and strain-softening models.
Original strength parameters (SRF = 1) are constant in the perfectly-
plastic model and variable in the strain-softening model. Reduced
strength parameters (SRF > 1) are obtained by applying the SRF to the
original strength parameters according to Eqs. (2) and (3). These reduced
strength parameters are also constant in the perfectly-plastic model and
variable in the strain-softening model.
Fig. 6. Application of the strength reduction factor to perfectly-plastic (PP) and
strain-softening (SS) models.

To illustrate the process of obtaining the FOS using the SSR method, a
10 m high slope with an angle of 60° and parameters given in Table 1 was
analyzed under gravitational forces. Two uniform meshes, referred to as
the medium and fine meshes, were used with 50 and 77 elements across
the height of the slope, respectively. A series of analyses with
progressively increasing SRF values was carried out to reach the state of
limiting equilibrium.
Fig. 7a shows the relationship between the total displacement at the
crest and SRF using perfectly-plastic and strain-softening models. As
expected, increasing SRF led to increased displacements in all cases.
Perfectly-plastic models with medium and fine meshes showed very
similar responses with no numerical convergence beyond SRF of 1.55.
This compares closely with the FOS of 1.56 obtained from limit
equilibrium analysis with the Morgenstern and Price (1965) method and
non-circular slip surface search using the SLIDE software (Rocscience
Inc., 2018a).
The critical values of SRF for the strain-softening models were 1.22
and 1.19 using the medium and fine meshes, respectively. Hence, the
effect of element size on the FOS in this range of mesh resolution is less
than 3% which is acceptable in most geotechnical applications. Fig. 7b
shows the slip surface obtained using the strain-softening model and the
fine mesh.
5. Factor of safety of strain-softening slopes
In order to develop practical tools for preliminary design of slopes in
strain-softening materials, a comprehensive series of slope stability
(a)
Fig. 7. (a) Relationship between strength reduction factor and total displacement at the crest using perfectly-plastic (PP) and strain-softening (SS) models and (b) Displacement
vectors indicating the predicted sliding mass using the strain-softening model and medium mesh.
It is well known that associated flow rule considerably overestimates
the dilation of frictional materials, resulting in frequent use of non-
associated plasticity with zero dilation angle in modeling the behavior of
geomaterials (e.g. Roscoe, 1970; Griffiths, 1981, 1989; Vermeer and de
Borst, 1984; Griffiths and Lane, 1999; Troncone, 2005). This was also
adopted in all the analyses presented in this study. However, it has been
shown that using higher values of dilation angle has minimal influence on
the slope FOS (e.g. Zienkiewicz et al., 1975; Chen et al., 1992; Cheng et al.,
2007). To illustrate the effect of strain-softening behavior on the slope
analyses was carried out using the SSR method with perfectly-plastic and
strain-softening models. The analyses were based on typical simplified
assumptions to keep the findings relevant for general slope conditions.
Gravity loading of the completed slope with horizontal restraints on the
sides and full fixity at the base of the model was adopted (e.g. Zienkiewicz
et al. 1975; Griffiths, 1989; Griffiths and Lane, 1999; Cheng et. al., 2007).
Quadratic triangular elements were adopted in numerical analyses with
the FEM using the RS2 software (Rocscience Inc., 2018b). The height and
angle of slope as well as shear strength parameters were varied to cover a
wide range of potential conditions. In stability analyses using the
perfectly-plastic model, peak shear strength parameters and were
used.
In all stability analyses using the strain-softening model,
( = 0). This is in keeping with the fact that the residual strength
instantaneous and complete loss of cohesion after failure was assumed
envelopes of most geomaterials pass through the origin (Fig. 2). Two
scenarios were considered for the post-peak variation of friction angle. In
=
the first scenario, the friction angle remained unchanged after failure
( ). This may be considered as an upper bound for residual
strength and is consistent with the behavior of materials whose peak and
residual strength envelopes are approximately parallel (Fig. 2a). The
= /2). This
second scenario represents a crude lower bound for residual strength in
which the friction angle is reduced by half after failure (
is consistent with the behavior of materials whose peak strength
envelope is significantly steeper that the residual strength envelope (Fig.
2b).
(b)
FOS, the results of stability analyses were presented in terms of the FOS
ratio defined by
=
!!
""
(4)
where FOSPP is obtained using the perfectly-plastic model with peak
strength parameters and FOSSS is obtained from the strain-softening
model with similar peak strength parameters and degraded residual
strength parameters.
 =
#$ % /('( %)
#
= 0 and =
#$(+,-./0 1) % /('( )
Fig. 8 shows the FOS ratios obtained for the first scenario in which
%
(5)
in the strain-softening model. In this scenario, the
difference between perfectly-plastic and strain-softening models was due It should be emphasized that # is derived from strain-softening
to cohesion loss only. For the case of zero peak cohesion, there was no models with zero residual cohesion and similar peak and residual friction
cohesion to be lost and therefore the perfectly-plastic and strain- angles.
softening models coincided giving an FOS ratio of unity. By increasing
peak cohesion, the amount of cohesion loss during strain-softening
increased and the FOS ratio decreased and approached an asymptotic
value. The FOS ratio in the first scenario can be approximated using

Fig. 8. FOS ratio for the first scenario ( = 0, = ) obtained using the shear strength reduction method (data points) and the proposed Eq. (5) (solid lines).

= 0 and = /2 in the strain-softening model. In this case, the

Fig. 9 shows the FOS ratios obtained for the second scenario in which negligible for slopes at an angle of 30°. The FOS ratio in the second
scenario can be estimated using
perfectly-plastic and strain-softening models differed in terms of both
0.42 (for 8 = 30°, %
≥ 0.1)
=3
'(
cohesion and friction angle. In the case of zero peak cohesion, the FOS
2
(for 8 ≥ 45°, ≥ 0.1)
#$ % /('( %) %
was controlled by friction angle alone which was reduced by half in the (6)
strain-softening model, resulting in the FOS ratios of about 0.5. In cases #$(2./$=>01) % /('( %) '(

with peak cohesion of greater than zero, the results were affected by
cohesion loss leading to a brief increase in the FOS ratio followed by a
continuous reduction towards an asymptotic value. Because cohesion
plays a more significant role in the stability of steeper slope, the observed
variation of the FOS ratio is more pronounced for steeper slopes and is
As indicated earlier, 2 is obtained from strain-softening models with
zero residual cohesion and residual friction angles that are half the peak
friction angle. Note that for 30° slopes, similar to steeper slopes, both
FOSPP and FOSSS increased with increasing peak strength parameters and
FOSSS always remained lower than FOSPP due to strain-softening.
However, the ratio of FOSSS to FOSPP varied over such a narrow range
which justified approximation with a constant value.
It is worth emphasizing that Figs. 9 and 10 and Eqs. (5) and (6) were
derived to provide a first estimate of the likely range of FOS reduction due
to strain-softening behavior for a wide range of slope geometries and
strength properties. To maintain generality, simplifications were made in
the analysis such as using idealized and completed geometry for the
slopes. When dealing with a specific slope, however, the actual geometry,
construction sequence and coupled hydro-mechanical processes may be
Fig. 9. FOS ratio for the second scenario ( = 0, = /2) obtained using the shear strength reduction method (data points) and the proposed Eq. (6) (solid lines).
Fig. 10. Cross-section of the open pit slope.
modeled. In addition, the results were obtained from analysis of dry
slopes and, strictly speaking, are only applicable to slopes where the
water table is low enough, naturally or by using drainage measures, to not
interact with the slip surface. However, if the presence of pore pressure
causes a similar percentage of reduction in the FOS of perfectly-plastic
and strain-softening slopes, then by definition, the FOS ratio will not be
affected by the presence of pore pressure and the equations remain
applicable.
6. Example applications
Capturing the fundamental characteristics of geomaterials is
necessary in engineering design and analysis. As discussed previously,
strain-softening behavior associated with the post-peak reduction of load
bearing capacity has been observed in a wide range of geomaterials. Yet,
such fundamental characteristic is rarely accounted for in practical slope
stability analyses. In this section, two examples are presented to illustrate
the application of strain-softening model in slope stability analysis using
the SSR approach.
6.1. Open pit slope in a weak rock
 To demonstrate the application of the presented FOS ratios, an open an example, Fig. 12 shows the sliding mass obtained using the strain-
pit slope with a height of 200 m and slope angle of 45° excavated in a softening model SS1 and intermediate water table WT2.
weak rock was considered. Stability analyses were carried out assuming a
dry condition as well as using three water tables designated as WT1, WT2 Table 2. Material parameters for the open pit slope.
and WT3 in Fig. 10. In addition to a perfectly-plastic model (PP), two
strain-softening models with instantaneous reduction of cohesion to zero Model
were used. In the first strain-softening model (SS1), the residual friction (kN/m3) (MPa) (kPa) (kPa) (°) (°)
angle was equal to the peak friction angle whereas in the second strain- Perfectly-plastic (PP) 24 530 0.25 950 950 19 19
softening model (SS2), it was half the peak friction angle (Table 2). Limit Strain-softening (SS1) 24 530 0.25 950 0 19 19
equilibrium analysis of the open pit slope was carried out using the Strain-softening (SS2) 24 530 0.25 950 0 19 9.5
Morgenstern and Price (1965) method and non-circular slip surface
search in the SLIDE software (Rocscience Inc., 2018a). The SSR approach
with FEM was also adopted using the RS2 software (Rocscience Inc.,
2018b). Two uniform meshes, referred to as the Mesh 1 and Mesh 2, were
used with 30 and 50 quadratic triangular elements across the slope
height, respectively.
Fig. 11 shows the results of the SSR method for different scenarios
using the Mesh 1 and Mesh 2. In all scenarios, the values of FOS obtained
from the Mesh 1 and Mesh 2 were very similar. This suggests that for the
range of mesh resolutions adopted here, the slope FOS is not significantly
affected by mesh resolution. This is consistent with the observations of
Griffiths (1989) and the results presented in Section 4. The slip surfaces
Fig. 11. Factors of safety of the open pit slope obtained using the SSR method with
obtained using the Mesh 1 and Mesh 2 were also in close agreement. As
the perfectly-plastic (PP) and strain-softening (SS) models.

Mesh 1 Mesh 2

(a) (b)

Fig. 12. Displacement vectors for the open pit slope indicating the predicted sliding mass using the strain-softening model SS1 and water table WT2 with (a) Mesh 1 and (b) Mesh 2.

The values of FOS obtained using limit equilibrium analysis and SSR
method with the Mesh 2 are given in Table 3. As expected, the results of
limit equilibrium analysis and SSR method using the perfectly-plastic
model were similar. In addition, incorporating the strain-softening
behavior significantly reduced the FOS. Although the absolute values of
FOS decreased with increasing water table, it is interesting to note that
the ratio of FOS from a given strain-softening model to that from a
perfectly-plastic model remained almost unchanged. This suggests that
increasing pore pressure causes almost the same percentage reduction in
calculated values of FOS obtained from perfectly-plastic and strain-
softening models.
The ratios of FOS obtained from the strain-softening models SS1 and
SS2 to those obtained using the perfectly-plastic model varied over 0.61-
0.63 and 0.51-0.53, respectively. These values compared closely with the
corresponding FOS ratios of # = 0.62 and 2 = 0.53 calculated using Eqs.
(5) and (6), respectively. Multiplying these FOS ratios by the values of
FOS from perfectly-plastic models gave the estimated FOS values given in
Table 3. It can be observed that the values of FOS obtained for strain-
softening slopes using Eqs. (5) and (6) are in close agreement with those
obtained directly from the SSR method.
This example demonstrated that although FOS ratios given by Eqs. (5)
and (6) were based on systematic stability analysis of dry slopes, they
remained almost unchanged in the presence of pore pressures caused by
the water levels, as shown in Fig. 10. It also illustrated that Eqs. (5) and
(6) can be effectively utilized to find a likely range for the FOS of strain-
softening slopes from traditional slope stability analysis based on
perfectly-plastic behavior.
6.2. Clay shale slopes along Canadian river valleys
Stability of a slope excavated in the clay shale deposits typically found
along river valleys of Western Canada was considered. River down
cutting in these formations has caused valley rebound and subsequent
shearing displacement along weak bedding planes. The process of
induced shearing on weak planes was described by Ferguson (1967) and
Matheson and Thompson (1973) and its impact on slope stability was
investigated by Soe Moe (2008), Bromhead (2013) and Rafiei Renani and Table 3. Factor of safety of the open pit slope using the perfectly-plastic (PP) and
Martin (2018c). These clay-rich rocks are susceptible to gradual loss of strain-softening (SS) models.
cohesion due to the mechanism of softening first described by Terzaghi
Limit Shear strength Estimated using
(1936). Progressive loosening of the slope due to valley rebound can also equilibrium reduction Eqs. (5) and (6)
Condition analysis
contribute to cohesion degradation. Hence, failure mechanism in these
PP PP SS1 SS2 SS1 SS2
bedded clay shales is a combination of shearing along weak planes and Dry 1.83 1.84 1.15 0.98 1.15 0.98
failure through strain-softening rock. WT1 1.79 1.81 1.12 0.95 1.13 0.96
WT2 1.72 1.76 1.08 0.91 1.10 0.94
The clay shale slope analyzed in this study contained two sub- WT3 1.64 1.67 1.02 0.86 1.04 0.89
horizontal bedding planes daylighting into the slope face. Parameters of
the clay shale and bedding plane material typical of river valley clay Table 4. Material parameters for the clay shale slope.
shales of Western Canada (Cornish and Moore, 1985) are given in Table 4.
∗
Material
(kN/m ) 3 (MPa) (kPa) (kPa) (°) (°) (%)
Clay shale 25 400 0.25 250 25 35 35 1
Bedding plane 25 100 0.25 0 0 9 9 -

Limit equilibrium analysis Shear strength reduction

(a) (b)

Fig. 13. (a) Slip surfaces of the clay shale slope obtained using limit equilibrium analysis with peak strength (solid line) and residual strength (dashed line), and (b) Displacement
vectors indicating the predicted sliding mass using the shear strength reduction method with strain-softening model.

Limit equilibrium analysis of the clay shale slope was carried out
using the Morgenstern and Price (1965) method and non-circular slip
surface search in the SLIDE software (Rocscience Inc., 2018a). The SSR
approach and FDM were adopted for stability analysis of the clay shale
slope using the FLAC3D code (Itasca Inc., 2017). Mechanical behavior of
the clay shale was represented using a perfectly-plastic model with peak
strength, a perfectly-plastic model with residual strength and a strain-
softening model.
The slip surfaces obtained from limit equilibrium analysis and SSR
method are shown in Fig. 13. Failure on the lower bedding plane was
predicted from limit equilibrium analysis. In addition, the slip surface
obtained using residual strength was closer to the slope face than that
predicted using peak strength. The SSR method with strain-softening
model also predicted a slip surface similar to that obtained from limit
equilibrium analysis with peak strength parameters.
The factors of safety obtained using different approaches are given in
Table 5. It can be observed that the results of limit equilibrium analysis
and SSR method with perfectly-plastic models were in close agreement.
The FOS obtained using peak strength was quite high and acceptable in
most projects. However, the strength of clay shale along river valleys may
fall to residual levels due to stress relaxation, moisture uptake and
weathering. Therefore, using peak strength in traditional stability
analysis can lead to dangerously misleading results. On the other hand,
adopting residual strength in stability analysis led to an alarmingly low
FOS. This is because the peak strength that must be overcome before
reaching residual strength is ignored in such analysis. The strain-
softening model, while allowing for the process of strength degradation,
gave a reasonable FOS which was in between those obtained using peak
and residual strength properties.
Table 5. Factor of safety of the clay shale slope using perfectly-plastic (PP) and
strain-softening (SS) models.
Method PP (Peak) PP (Residual) SS
Limit equilibrium analysis 1.94 1.00 -
Shear strength reduction 1.97 1.02 1.55
7. Conclusions
Strain-softening is a fundamental characteristic of a wide range of
geomaterials which cannot be incorporated in traditional slope stability
analysis using the limit equilibrium approach. In this study, application of
the SSR method was extended to determine the FOS of slopes in strain-
softening materials. A Mohr-Coulomb model was adopted in which
cohesion and friction angle were degraded by increasing plastic shear
strain. A comprehensive series of finite element analyses was carried out
on slopes with various geometries and shear strength properties. The
results were used to develop new stability charts and equations for
estimating the effect of strain-softening behavior on the slope FOS. It was
shown that using peak strength in stability analysis of slopes in strain-
softening material can lead to unsafe design.
Two examples were presented to illustrate the application of the
strain-softening model in slope stability analysis. The first example
involved an open pit slope excavated in a weak rock with different levels
of pore pressure. As expected, the results of limit equilibrium analysis and
SSR method showed that higher pore pressures lead to lower values of
FOS. However, the ratio of FOS from strain-softening model to that from a
perfectly plastic model was found to be almost identical for various levels
of pore pressure considered in this example. In addition, the proposed
equations provided accurate estimates of the FOS for the strain-softening
slope.
The second case involved a typical clay shale slope in the river valleys
of Western Canada with sub-horizontal bedding planes daylighting into
the slope face. The mechanism of instability consisted of failure through
the strain-softening clay shale and slip on the bedding plane. The results
of limit equilibrium analysis and SSR method with perfectly-plastic
models were in close agreement. The values of FOS obtained using peak
and residual strength properties were overly optimistic and excessively
conservative, respectively while adopting the SSR method with a strain-
softening model gave realistic results.
In traditional slope stability analysis based on perfectly-plastic
behavior, the designer is faced with a dilemma as using peak strength
typically results in overly optimistic results, while using residual strength
gives excessively conservative values of FOS which are below unity in
many cases. Yet, it is well-established that the strength of slope material
and therefore the slope FOS can vary between these extremes. The SSR
approach with strain-softening model adopted in this study provides a
solution to this dilemma and properly accounts for strain-softening
behavior of geomaterials and its impact on slope stability.
Declaration of Competing Interest
The authors wish to confirm that there are no known conflicts of
interests associated with this publication and there has been no
significant financial support for this work that could have influenced its
outcome.
Acknowledgments
This work was financially supported by the Natural Sciences and
Engineering Research Council of Canada (NSERC: RES0014117).
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Dr. Rafiei Renani is a geotechnical consultant who has

offered services to major civil and mining projects in North
America, South America, and Europe. He has made
contributions in the areas of field characterization and
constitutive modeling of rock mass, and design of tunnels,
shafts, and underground mines. Other research areas have
included 3D modeling and design of dams and open pit
mines in weak fractured rock.
September 24, 2019

The authors declare no conflict of interest.

Dr. Hossein Rafiei Renani Dr. C Derek Martin