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University of Wollongong

Research Online
Faculty of Engineering and Information Sciences -
Faculty of Engineering and Information Sciences
Papers: Part A

2010

Geotechnical analysis of slopes and landslides -


achievements and challenges
R N. Chowdhury
University of Wollongong, robin@uow.edu.au

Phillip N. Flentje
University of Wollongong, pflentje@uow.edu.au

Publication Details
Chowdhury, R. N. & Flentje, P. N. (2010). Geotechnical analysis of slopes and landslides - achievements and challenges. In A. L.
Williams, G. M. Pinches, C. Y. Chin, T. J. McMorran & C. I. Massey (Eds.), 11th IAEG Congress of the International Association of
Engineering Geology and the Environment (pp. 1-6). United Kingdom: CRC Press (Taylor & Francis).

Research Online is the open access institutional repository for the University of Wollongong. For further information contact the UOW Library:
research-pubs@uow.edu.au
Geotechnical analysis of slopes and landslides - achievements and
challenges
Abstract
This paper is concerned with the major achievements in geotechnical slope analysis and the challenges for
further advancement in the 21stcentury. New developments of great value have occurred over the past few
decades for carrying out both site-specific and regional studies. These include advanced limit equilibrium
methods, sophisticated stress deformation analysis, seismic analyses, applications of GIS, probabilistic
approaches, advanced geological modeling (2D and 3D) and knowledge-based methods of predicted
performance and decision-making. Outcomes of slope analysis are enhanced by advances in observational
methods including real-time or continuous field monitoring of slope performance. One of the challenges is to
further understand the causes and mechanisms of failure in order to minimize future losses through efficient
hazard and risk management of which slope analysis is a vital part. Climate change will present long-term
challenges associated with more unfavorable conditions for slope stability. Innovative engineering solutions
will be required for better risk management. In turn, such solutions will require substantial progress in slope
analysis in the context of multidisciplinary studies.

Keywords
analysis, geotechnical, slopes, landslides, achievements, challenges

Publication Details
Chowdhury, R. N. & Flentje, P. N. (2010). Geotechnical analysis of slopes and landslides - achievements and
challenges. In A. L. Williams, G. M. Pinches, C. Y. Chin, T. J. McMorran & C. I. Massey (Eds.), 11th IAEG
Congress of the International Association of Engineering Geology and the Environment (pp. 1-6). United
Kingdom: CRC Press (Taylor & Francis).

This conference paper is available at Research Online: http://ro.uow.edu.au/eispapers/1736


Geotechnical analysis of slopes and landslides - achievements and
challenges
R. Chowdhury and P. Flentje
University of Wollongong, Australia

ABSTRACT: This paper is concerned with the major achievements in geotechnical slope analysis and the
challenges for further advancement in the 21stcentury. New developments of great value have occurred over
the past few decades for carrying out both site-specific and regional studies. These include advanced limit
equilibrium methods, sophisticated stress deformation analysis, seismic analyses, applications of GIS, proba-
bilistic approaches, advanced geological modeling (2D and 3D) and knowledge-based methods of predicted
performance and decision-making. Outcomes of slope analysis are enhanced by advances in observational
methods including real-time or continuous field monitoring of slope performance. One of the challenges is to
further understand the causes and mechanisms of failure in order to minimize future losses through efficient
hazard and risk management of which slope analysis is a vital part. Climate change will present long-term
challenges associated with more unfavorable conditions for slope stability. Innovative engineering solutions
will be required for better risk management. In turn, such solutions will require substantial progress in slope
analysis in the context of multidisciplinary studies.

KEYWORDS: Slope Stability, Landslides, Pore-water Pressure, Probabilistic Analysis, Observational Ap-
proach, Risk Management

1 INTRODUCTION AND OVERVIEW pressure develops as a consequence of water infiltration


and seepage. Rainfall-induced slope failures occur gener-
Advances in geomechanics and engineering geology ally, but not always, in saturated soils. Such failures are
have led to a variety of methods for designing, assessing caused by the increase of pore-water pressures to critical
and managing natural slopes, embankments and excavat- values. Back-analyses of rainfall-induced slope failures
ed slopes. While new and sophisticated methods of ge- enable the estimation of critical pore-water pressures.
otechnical analysis have been developed, steady im- Concepts related to “excess” pore-water pressure are par-
provement of conventional methods continues to occur. ticularly important for behavior of soil slopes under un-
Moreover, new perspectives concerning slope reliability drained or partially drained conditions. It is of particular
can be gained by using methods within a probabilistic interest to study the stability of constructed or excavated
framework. It is important to distinguish between region- slopes immediately after construction and to understand
al and site-specific studies and, in each case, to consider the changes in stability of submerged slopes during draw-
carefully the requirements, suitability and limitations of down, complete or partial (Chowdhury et al, 2010).
qualitative and quantitative approaches (Chowdhury and Methods of analysis developed for saturated slopes of
Flentje, 2008). soil and rock can be extended to slopes comprising un-
The development of geotechnical analysis for slopes saturated soil zones as well. However, the relevant shear
of soil and rock has progressed as a consequence of im- strength equation (different from that applicable to satu-
provement in the knowledge of basic geotechnical con- rated soils) must used. In unsaturated soils, rainfall-
cepts and an understanding of the causes, processes and triggered failures are a consequence of the elimination of
mechanisms associated with slope failures. Pore-water negative pore-water pressures (soil suctions). Thus it is
pressure often plays an important role in slope stability necessary to estimate the distribution of suctions (nega-
and it may determine how the factor of safety varies spa- tive pore pressures) within unsaturated soil zones.
tially and over time. The effective stress principle is fun- Understanding the regional context of a site in terms
damental to an understanding of the short-term and long- of topography, geology, groundwater flow and geomor-
term behavior of soil and rock slopes in which pore-water phology is important. Knowledge about the location,
character, types, distribution and behavior of landslides in dimensional (2D) limit equilibrium analyses are, of
a regional context can be very valuable. The development course, the most widely used. However, considerable
of comprehensive databases including a landslide inven- progress has been made in the development and use of
tory is most desirable if not essential especially for the three-dimensional (3D) analyses. Post failure behavior
assessment of slope stability in a regional context. It is including the dynamics, mobility and travel distance of
important to study the occurrence and spatial distribution landslides is often associated with significant uncertain-
of first-time slope failures as well as reactivated land- ties (Chowdhury, 1980; Chowdhury et al, 2010).
slides (Flentje and Chowdhury, 2005a, Reeves and West, The use of advanced numerical methods for stress-
2009). A successful knowledge-based approach for as- deformation analysis is essential when the estimation of
sessment of landslide susceptibility and hazard has been strains and deformations within a slope is required. In
described by Flentje (2009). most cases, two-dimensional (2D) stress-deformation
Dealing with seismic slope stability requires consider- analyses would suffice. However, there are significant
ation of slope behavior under cyclic loading conditions. It problems which need to be modeled and analyzed in
is important to estimate the decrease in the factor of safe- three-dimensions. Methods appropriate for 3D stress-
ty of a slope or an earth structure as a consequence of a deformation analysis have been developed and used suc-
design seismic event. For earth dams and other major cessfully. Advanced stress-deformation approaches in-
earth slopes, it is also important to estimate the cumula- clude the finite-difference method, the finite-element
tive permanent deformation which might result as a con- method, the boundary element method, the distinct ele-
sequence of a design seismic event. Analyses after an ment method, and the discontinuous deformation analysis
earthquake can be based on the actual recorded earth- method.
quake ground motion if such data are available. Moreo-
ver, geotechnical engineers have the task of assessing the
likelihood of liquefaction occurring within deposits of
2.2 Analysis of Progressive Failure
loose saturated sand or zones or pockets of such sand Progressive failure of natural slopes, embankment
within cohesive soil deposits such as clays. dams and excavated slopes is a consequence of non-
While analysis is important, its role should not be uniform stress and strain distribution and the strain-
considered in isolation. Therefore it is necessary to high- softening behavior of earth masses. Thus shear strength
light the importance of an observational approach. In par- of a soil element, or the shear resistance along a disconti-
ticular, the monitoring of slope movement and subsurface nuity within a soil or rock mass, may decrease from a
pore-water pressures can be critically important. Monitor- peak to a residual value with increasing strain or increas-
ing of slope performance is often part and parcel of an ing deformation. Analysis and simulation of progressive
important geotechnical project such as an earth dam, a re- failure requires that strain-softening behavior be taken in-
inforced embankment or major excavation. However, it is to consideration within the context of changing stress or
also desirable to monitor the performance of natural strain fields. This may be done by using advanced stress-
slopes in urban areas because of the adverse economic deformation approaches. (See, for instance, Richards,
and safety consequences of urban landslides. Analysis of 1982; Potts et al, 1990; Sitar et al, 2005) Other approach-
data from such monitoring can help validate concepts es which may also be used include initial stress approach
concerning causes and mechanisms of landsliding and fa- and shear-band approach and the reader will find an
cilitate decisions concerning remedial measures and overview of several methods with references and relevant
warning systems (Flentje and Chowdhury, 2006). details in Chowdhury et al (2010).
Of the many historical landslides in which progressive
failure is known to have played an important part, per-
2 DETERMINISTIC METHODS OF ANALYSIS haps the most widely studied is the catastrophic Vaiont
slide which occurred in Italy in 1964. The causes and
mechanisms have not been fully explained by any one
study and there are still uncertainties concerning both the
2.1 Limit Equilibrium and Stress deformation
statics and dynamics of the slide. Simulation of progres-
Approaches
sive failure on the basis of an initial stress approach is
Broadly the deterministic methods can be categorized discussed fully elsewhere (Chowdhury et al, 2010). An
as limit equilibrium methods and stress-deformation alternative approach based on limit equilibrium and the
methods. Starting from simple and approximate limit assumption of high artesian pore-water pressures was
equilibrium methods based on simplifying assumptions, proposed by Hendron and Patton (1985).
several advanced and relatively rigorous methods have
been developed. Advanced methods are versatile, ena-
bling the analysis of a slope with complex geometry,
2.3 Seismic Slope Analysis
formed in an anisotropic, non-homogeneous or reinforced For earthquake analysis, a pseudo-static method of
earth mass, assuming either linear or non-linear stress- limit equilibrium analysis is used in which the effect of
deformation characteristics. The history of slope for- earthquake shaking is simulated by a lateral force which
mation can also be taken into consideration. Two- is a product of the gravitational force and a seismic coef-
ficient. This method can be successful if a reasonably ac- A probabilistic approach should not be seen simply as
curate value can be assigned to the lateral seismic coeffi- the replacement of a calculated ‘factor of safety’ as a per-
cient based on past experience in the particular region. formance index by a calculated ‘probability of failure’. It
An interesting approach for estimating permanent defor- is important to consider the broader perspective and
mation of an embankment under seismic conditions is greater insight offered by adopting a probabilistic frame-
based on the Newmark model which considers the mo- work (Chowdhury, 1984; 1988). It enables a better analy-
tion of the slope as a rigid block. Deformations are esti- sis of observational data and enables the modeling of the
mated for those time intervals during an earthquake (rep- reliability of a system. Updating of reliability on the basis
resented by an acceleration-time record) for which the of observation becomes feasible and innovative ap-
disturbing forces exceed the resisting forces. The total of proaches can be used for the modeling of progressive
these is the permanent deformation of a slope for that failure probability (Chowdhury, 1992) and for back-
particular earthquake event. Basic and advanced applica- analysis of failed slopes. Other innovative applications of
tions of a rigid-block displacement model have been a probabilistic approach with pertinent details and refer-
demonstrated by a number of authors such as Seed ences are discussed by Chowdhury et al (2010)
(1979), Sarma (1988), Chowdhury (1996),and Jibson et An interesting approach for probabilistic seismic land-
al (2000) while an overview is presented in Chowdhury slide analysis which incorporates the traditional infinite
et al (2010). slope limit equilibrium model as well as the rigid-block
Dynamic finite–element analysis offers an advanced displacement model has been demonstrated by Jibson et
approach for earthquake analysis. Such a sophisticated al (1998; 2000).
approach must be used for important earth structures such A probabilistic approach also facilitates the communi-
as earth dams. Understanding and assessing the potential cation of uncertainties concerning hazard assessment and
liquefaction of loose, saturated cohesionless soil materi- slope performance to a wide range of end-users including
als in slopes, dams and their foundations is often im- planners, owners, clients and the general public.
portant. The first and foremost task is a very careful site Although the adoption of a probabilistic approach by
investigation. The second and related task is a careful in- the geotechnical profession was initially a slow process,
terpretation of such data in the light of empirical the considerable benefits in doing so are now increasing-
knowledge gained through research over several decades. ly recognized. Often there are difficulties in applying a
If such investigation and interpretation reveals that lique- quantitative probabilistic approach because data concern-
faction can occur in particular zones and to what extent, ing one or more key parameters are insufficient or lack-
then advanced analysis can be justified. Even if a simpler ing in quality. In such cases, a subjective approach, based
analysis is used, it should be modified in an appropriate on expert judgment may be used. However, such an exer-
way to include the zones of potential liquefaction. cise should be used with caution and with full recognition
of its inherent limitations.
In this regard it is pertinent to refer to a recent paper
3 PROBABILISTIC APPROACHES AND (Silva et al., 2008) where the development of empirical
SIMULATION OF PROGRESSIVE FAILURE non-linear relationships between the factor of safety F
and annual probability of failure pF is outlined. Slope sta-
The importance of uncertainties in geotechnical engi- bility problems are classified into one of four types, cate-
neering and engineering geology is now widely under- gory I to category IV, depending on a number of factors
stood. There are systematic uncertainties related to the es- such as the extent of investigation, the reliability of shear
timation of geotechnical parameters because of the limits strength data and the quality of engineering including
to the extent and quality of investigation and testing. It is construction supervision. For each category, there is a
also necessary to consider the natural variability of pa- different empirical curve relating factor of safety to prob-
rameters, both spatial and temporal. For example, one ability of failure.
frequently encounters spatial variability of shear strength Adopting such an approach may prove useful in par-
parameters and pore-water pressures in natural slopes. ticular cases where a lot of previous experience is availa-
Consequently there are limitations to the conventional de- ble. On the other hand, such an approach discourages the
terministic methods of analysis and the calculated factor consideration of each problem as unique and inhibits an
of safety, often designated by F, may not be a true reflec- understanding of the components of uncertainty and their
tion of the reliability of a slope. New approaches within relative influence on the results. For example, in prob-
the framework of statistics and probability have, there- lems of natural slope stability, variability of pore-water
fore, been developed. Estimation of the probability of pressure, spatial and temporal, is often a significant
failure, often designated by pF, is feasible when the prob- source of uncertainty. Such variability can not be fully
ability distribution of each significant geotechnical pa- understood on the basis of a simplistic empirical ap-
rameter is taken into consideration. There are, of course, proach.
other uncertainties which must be included in a probabil-
istic analysis such as statistical uncertainty, bias and ge-
otechnical model uncertainty.
4 GEOTECHNICAL SLOPE ANALYSIS IN A Geographic Information Systems’ while Gibson and
REGIONAL CONTEXT Chowdhury (2009) pointed out that the input of engineer-
ing geologists (and, by implication, geotechnical engi-
Understanding geology, geomorphology and ground- neers) to urban geohazards management is increasingly
water flow is of key importance. Therefore judicious use through the medium of GIS.
must be made of advanced methods of modeling in order The linking of multiple datasets representing different
to gain the best possible understanding of the geological influencing factors for slope stability is a powerful basis
framework and to minimize the role of uncertainties on for hazard assessment. Knowledge-based approaches re-
the outcome of analyses (Marker, 2009; Rees et al, 2009). quire spatial databases, advanced geological and ge-
Variability of ground conditions, spatial and temporal, otechnical models as well as GIS. Such approaches are
is important in both regional and site-specific analysis. very powerful for assessment of landslide susceptibility,
Consequently probability concepts are very useful in both hazard and risk as well as for decision-making under a
cases although they may be applied in quite different wide variety of scenarios.
ways. Meeting future challenges will require continued ef-
Spatial and temporal variability of triggering factors forts for understanding changes in landslide hazard over
such as rainfall have a marked influence on the occur- time caused by different factors including potential cli-
rence and distribution of landslides in a region (Flentje, mate change. Regional modeling of geohazards change
2009; Flentje and Chowdhury, 2005b). will therefore be an important task for geoscientists and
This context is important for understanding the uncer- geotechnical engineers. Consequently, 3D geological
tainties in the development of critical pore-water pres- models have been discussed by a number of authors such
sures. Consequently, it helps in the estimation of rainfall as Rees et al (2009) who envisage that such models
threshold for on-set of landsliding. Regional and local should be the basis for 4D process modeling in which
factors both would have a strong influence on the combi- temporal changes and factors can be taken into considera-
nations of rainfall magnitude and duration leading to crit- tion. They refer, in particular, to time-series data concern-
ical conditions (Flentje and Chowdhury, 2001; Murray, ing precipitation, groundwater, sea level and temperature.
2001). Such data, if and when available, can be integrated with
Since earthquakes trigger many landslides which can 3D spatial modeling.
have a devastating impact, it is important to understand
the causative and influencing factors. The occurrence,
reach, volume and distribution of earthquake-induced 6 CHOICE BETWEEN CONVENTIONAL AND
landslides are related to earthquake magnitude and other ADVANCED METHODS OF ANALYSIS
regional factors. Among the important studies published
on regional seismically-induced landsliding are those by The choice amongst limit equilibrium methods de-
Keefer (1984) Rodriguez et al (1999) and Keefer (2007). pends on the type of slope (e.g., soil, rock), the shape of
the slip surface (e.g., planar, multi-planar, circular, non-
circular) and other aspects. Even so, more than one meth-
5 GEOGRAPHICAL INFORMATION SYSTEMS od may be suitable and many available software packages
(GIS) AND OTHER POWERFUL TOOLS do include several alternative methods and options. Simi-
larly there are several sophisticated methods of analysis
GIS enables the collection, organization, processing, for determining stresses and deformations and there is a
managing and updating of spatial and temporal infor- corresponding choice of software packages.
mation concerning geological, geotechnical, topograph- The use of one or more limit equilibrium methods is
ical, and other key parameters. The information can be sufficient in most slope problems where the aim is to de-
accessed and applied by a range of professionals such as termine values of factor of safety F as the main perfor-
geotechnical engineers, engineering geologists, civil en- mance indicator. Moreover, one of these methods can
gineers and planners for assessing hazard of landsliding serve as a useful geotechnical basis for probabilistic
as well as for risk management. Traditional slope analysis modeling and analysis. On the other hand, if slope de-
must, therefore be used within the context of a modern formations need to be calculated and if detailed
framework which includes GIS. Amongst the other ad- knowledge of stress and strain distributions is important,
vantages of GIS are the ability to deal with multiple haz- the use of advanced stress–deformation methods is desir-
ards, the joining of disparate data and the ability to in- able and, in fact, may be necessary. However, the re-
clude decision support and warning systems (Gibson and quired input data must be available and, in fact, the moni-
Chowdhury, 2009). toring of deformations in the field would be desirable in
Papers concerning the application of basic, widely order to validate the results based on the input data. Us-
available, GIS systems as well as about the development ing a finite element solution simply to calculate the factor
of advanced GIS systems continue to be published. For of safety offers little or no advantage over a limit equilib-
instance, Reeves and West (2009), covering a conference rium approach.
session on ‘Geodata for the urban environment’, found
that 11 out of 30 papers were about the ‘Development of
7 OBSERVATIONAL APPROACH At the level of analysis methods and techniques, one
of the important challenges for the future is to use slope
Slope analysis cannot be considered in isolation since deformation (or slip movement) as a performance indica-
a good understanding of site conditions and field perfor- tor rather than the conventional factor of safety. Also at
mance is essential. Thus observation and monitoring of the level of analysis, attention needs to be given to better
slopes are very important for understanding all aspects of description of uncertainties related to construction of
performance; from increases in pore-water pressures to slopes including the quality of supervision.
the evidence of excessive stress and strain, from the de- Research into the effects of climate change and, in
velopment of tension cracks and small shear movements particular its implications for geotechnical engineering is
to initiation of progressive failure, and from the devel- urgently needed (Rees et al 2009; Nathanail and Banks,
opment of a complete landslide to the post-failure dis- 2009). The variability of influencing factors such as rain-
placement of the landslide mass. fall and pore-water pressure can be expected to increase.
Observation and monitoring also facilitate an under- However, there will be significant uncertainties associat-
standing of the occurrence of multiple slope failures ed with estimates of variability in geotechnical parame-
within a region after a significant triggering factor such ters and other temporal and spatial factors. Consequently
as a rainfall event (Flentje and Chowdhury, 2005b; Flent- geotechnical engineers need to be equipped with better
je and Chowdhury, 2006; Flentje et al, 2007; Flentje, tools for dealing with variability and uncertainty. There
2009). Most importantly, observational approaches help may also be other changes in the rate at which natural
in the back-analyses of slope failures and landslides. processes like weathering and erosion occur. Sea level
From the beginning of soil mechanics as a discipline, rise is another important projected consequence of global
back-analyses have been very useful in understanding the warming and climate change and it would have adverse
mobilization of shear strength, the development of stress- effects on the stability of coastal slopes.
es and deformations and several other aspects of slope
behavior. Whether considering new or existing slopes or
the strengthening of slopes, a well designed program of 9 CONCLUSIONS
observation and monitoring can be useful for validating
geotechnical analyses. Moreover, data for slope analysis, A wide range of methods, from the simplest to the
such as pore-water pressure and shear strength can be up- most sophisticated are available for the geotechnical
dated as more observational data become available. The analysis of slopes. This includes both static and dynamic
availability of real-time data will contribute to more ac- conditions and a variety of conditions relating to the infil-
curate assessments and to more accurate back-analyses. tration, seepage and drainage of water. Considering re-
Consequently, real-time monitoring will lead to further gional slope stability, comprehensive databases and pow-
advancement in the understanding of slope behavior. erful geological models can be combined within a GIS
framework to assess and use information and data rele-
vant to the analysis of slopes and the assessment of the
8 EMERGING CHALLENGES hazard of landsliding. The use of knowledge-based sys-
tems for assessment of failure susceptibility, hazard or
First and foremost we must consider the challenge of performance can be facilitated by these powerful tools.
the increasing numbers of slope failures and their increas- It is important to understand the changes in geo-
ingly adverse consequences. These trends have developed hazards with time. In particular, geotechnical engi-
in spite of significant progress in our understanding of neers and engineering geologists will face long-term
natural processes and in spite of the successful develop- challenges due to climate change. Research is re-
ment of experimental, analytical and design tools. quired to learn about the effects of climate change in
Often catastrophic landslides are caused by high mag- greater detail so that methods of analysis and inter-
nitude natural events such as rainstorms and earthquakes. pretation can be improved and extended. Exploration
It is also important to consider the contribution of hu- of such issues will be facilitated by a proper under-
man activities such as indiscriminate deforestation and standing of the basic concepts of geotechnical slope
rapid urbanization to landslide hazard. There is an in- analysis and the fundamental principles on which the
creasing realization that poor planning of land and infra- available methods of analysis are based.
structure development has increased the potential for
slope instability in many regions of the world.
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