Indian Geotechnical Conference 2017 GeoNEst

14-16 December 2017, IIT Guwahati, India

STABILITY ASSESSMENT OF A HEAVILY JOINTED ROCK SLOPE USING LIMIT EQUILIBRIUM

AND FINITE ELEMENT METHODS

Aswathi CK, Amalesh Jana, Arindam Dey, Sreedeep S

Department of Civil Engineering, Indian Institute of Technology Guwahati, Guwahati – 781039
E-mail: aswathi@iitg.ernet.in; janaaamalesh@gmail.com , arindamdeyiitg16@iitg.ernet.in , srees@iitg.ernet.in

Abstract – Equivalent continuum model considering homogeneous system of reduced rock mass strength parameter
derived from Geological strength index, is very useful to predict the stability of heavily jointed rock slope where
incorporation of all joints requires high computational efficiency. Selection of an appropriate method of stability
analysis is an important task and effort should be given to understand their failure mechanism which resembles the
actual field instability. Detailed study of working principles of two most common methods, LEM and FEM with
reference to the stability analysis of a rock slope is performed. FEM analysis is performed using shear strength
reduction(SSR) technique to find the factor of safety value without assuming any predefined failure surfaces. Since
SSR does not need to assume failure shape and location, failure mechanism is well simulated by FEM. Among all the
Limit Equilibrium methods Morgenstern Price method satisfies all the equilibrium methods and can be used for any
shape of failure surface and failure slip surface from the FEM analysis is in fair agreement with that obtained from
this method. The present study reports about the stability analysis of a typical cut slope along a road way in
Rudraprayag, Uttarakhand, India.

Keywords: Limit equilibrium methods; Finite element method; Factor of safety; Jointed rock slop: Shear strength
reduction technique
1. Introduction
Failure mechanism of a heavily jointed rock slope is
guided by a general failure surface which might be
developed through intact rock and joints. In order to
perform stability analysis of a heavily jointed rock
slope, incorporation of all the joints in numerical model,
require immense computational efficiency. Under such
cases, equivalent continuum model (Hoek et al. 2002)
considering isotropic, homogeneous system of reduced
rock mass strength parameter derived from Geological
strength index, is useful to predict the stability of rock
slope. However, selection of an appropriate method of
stability analysis is an important task and effort should
be given to understand their failure mechanism which
resembles the actual field instability. Stability analysis
considering different types of failures can be performed
using different techniques. Each of these procedures
accounts for different assumptions to achieve the factor
of safety values. The aim of the study is to compare the
FOS values and the corresponding failure mechanism
obtained from LEM and FEM techniques, considering
equivalent continuum model.
Limit equilibrium method (LEM) and finite element
methods (FEM) are the two most common methods
used in the geotechnical computations. Detailed study of
working principles of LEM and FEM with reference to
the stability analysis of a rock slope along NH- 109,
Uttarakhand, India, is presented in this paper. Two
software packages of Rocscience, Slide and phase2 are
used for the LEM and FEM analysis respectively.
1.1 Study area
The study area lies along NH -109 in Uttarakhand,
India, which runs from Rudraprayag to Kedarnath, is
situated at the confluence of the Mandakini and the
Alaknanda rivers. As transportation and communication
in this region is entirely dependent on the NH-109 road
constructed in the hilly area, Stability analysis is
essential to minimize the losses due to slope failure. The
highest and lowest elevations in this area are 1650 and
600m respectively. The study area occurs in the
Garhwal Group of the Lesser Himalaya, which
comprises diverse rock types of Paleoproterozoic to
Mesoproterozoic ages. Rudraprayag metavolcanics type
rock is selected for this study. Rudraprayag
metavolcanics are massive and jointed in rock mass
with quartz, pyroxene, plagioclase, epidote as mineral
constituents. Slope geometry of 30 m height and
65degree slope angle is used in this case study. (R K.
Umrao et al.2011)
(a) (b)
Figure 1 (a) Location map of study area (b) A view of
exposed hill-cut slopes along NH-109 as well as the
slope at the banks of the mandakini river
Paper title

2. Background of the study GSI is the Geological strength index, D is the

Stability of rock slopes is mainly influenced by
structural discontinuities present in the rock such as
bedding plane, schistosity, foliation, joint, cleavage,
fracture, fissure, crack, or fault plane etc. The common
types of failures in rock slopes are circular, non-
circular, planar and wedge failures. Circular and non-
circular failure occurs in heavily jointed or fractured,
and highly weathered rock slopes. Wedge, planar and
toppling failures are influenced by the orientation and
spacing of joints. Selection of an appropriate method of
stability analysis is an important task and effort should
be given to understand their failure mechanism which
resembles the actual field instability The conventional
limit equilibrium and Kinematic analysis and numerical
methods are the common methods of stability analysis.
Numerical modelling techniques have been widely used
and is divided into three approaches continuum,
discontinuum and hybrid methods.
Disturbance factor which depends upon the degree of
disturbance to which the rock mass has been subjected
by blast damage and stress relaxation. The value of the
D varies from 0 for undisturbed rock mass and 1 for the
disturbed rock mass.
Since there are some difficulties in applying SSR
technique directly in Hoek- Brown criteria in FEM
analysis, we use equivalent Mohr-Coulomb envelope to
get the rock mass properties.
3.4.1 Mohr-Coulomb Criterion
The equivalent Mohr-Coulomb parameters, cohesion
and friction angle are obtained by fitting a line to the
curve generated by the equation 1 as shown in the figure
2

In case of heavily jointed rock slopes a general failure

surface is developed through intact rock and joint,
incorporation of all the joints is a very difficult task It
practically impossible to explore orientation of all joints
and to find out all the mechanical and geological
characteristics and implementing them in numerical
model. In that case Equivalent continuum model
considering homogeneous system of reduced rock mass
strength parameter derived from Geological strength
index, is very useful to predict the stability. Equivalent
continuum model considers rock slope as continuum
mass without any joints and effect of discontinuity is
introducing by reducing strength and properties of intact
rock into rock mass.

2.1 Evaluation of the rock mass properties

The geo mechanical properties of intact rock obtained
from the laboratory test are used to obtain
corresponding rock mass properties. Roc Lab software
program is used to obtain the rock mass strength
parameters which is based on generalized Hoek Brown
failure criterion. Hoek Brown criteria calculates rock
mass strength properties based on the following
equation (Hoek et al. 2002). Figure 2. Mohr-Coulomb curve fitting
𝑎
𝜎3
𝜎1 = 𝜎3 + 𝜎𝑐𝑖 (𝑚𝑏 + 𝑠) (1)
𝜎𝑐𝑖 6𝑎𝑚𝑏 (𝑠 + 𝑚𝑏 𝜎 , 3𝑛 )𝑎−1
Where, σ1 and σ3 are major and minor principal stresses ∅ˈ = sin−1 [ ]
2(1 + 𝑎)(2 + 𝑎) + 6𝑎𝑚𝑏 (𝑠 + 𝑚𝑏 𝜎 , 3𝑛 )𝑎−1
at failure, σci is the uniaxial compressive strength of the
intact rock 𝑚𝑏 the reduced value of the material  ci [(1  2a) s  (1  a)mb ,3n ]( s  mb ,3n )( a 1)
constant 𝑚𝑖 and is given by, c, 
𝐺𝑆𝐼−100 (1  a)(2  a) (1  (6amb ( s  mb ,3n )( a 1) ) / (1  a)(2  a)
𝑚𝑏 = 𝑚𝑖 𝑒𝑥𝑝 ( ) (2) Where, 𝜎 , 3𝑛 = 𝜎 , 3𝑚𝑎𝑥 /𝜎𝑐𝑖
28−14𝐷
Here the range of minor principal stress is defined by
s and a are constants for the rock mass given by 𝜎𝑡 < 𝜎3 < 𝜎 , 3𝑚𝑎𝑥
𝐺𝑆𝐼−100
𝑠 = 𝑒𝑥𝑝 ( ) (3) Where 𝜎 , 3𝑚𝑎𝑥 is the upper limit of confining stress over
28−14𝐷
which the relationship between the Hoek Brown and
1 1 Mohr-Coulomb criteria is considered.
𝑎 = + (𝑒 −𝐺𝑆𝐼/15 − 𝑒 −20/3 ) (4)
2 6

2
3. Methodology
The basic purpose of slope stability analysis is to assess
the current state of vulnerability of a slope against a
potential failure. Such an evaluation is presented in
terms of the Factor of safety, provided in terms of the
mobilized shear strength along the most probable failure
envelope. In this study, Limit equilibrium analysis of
the slope was performed using ordinary, Bishop’s
simplified, Janbu’s simplified, Janbu’s corrected,
Spencer and GLE/Morgenstern Price methods for both
circular and non-circular slip surfaces. FEM analysis is
performed using shear strength reduction(SSR)
technique to find the factor of safety value without
assuming any predefined failure surfaces.
3.1 Limit Equilibrium Method of analysis
The limit equilibrium method (LEM) is a traditional
method of analyzing slope stability that is used to
estimate Factor of safety (FOS) considering static force
based on FEM using shear strength reduction(SSR)
technique.
The shear strength reduction technique is used widely in
numerical modelling which gives better results
compared to the conventional methods. SSR does not
need to assume failure shape and location, failure
mechanism. SSR automatically satisfy all the
equilibrium conditions and the factor of safety of a
slope can be computed by reducing the rock shear
strength based on the equation 7 and 8, until the failure
occurs. Actual shear strength properties cohesion (c)
and internal friction angle (∅) are reduced for each trial
using equations 7 and 8. The trial factor of safety is
gradually increased until the slope fails and the shear
strength reduction factor at failure is taken as the factor
of safety value.
𝐶
𝑐𝑓 = (7)
𝑆𝑅𝐹

and moment equilibrium above a predefined failure 𝑡𝑎𝑛∅

surface based on the method of slices. The material ∅𝑓 = 𝑡𝑎𝑛−1 ( ) (8)
𝑆𝑅𝐹
above the slip surface is divided into different vertical
slices. The stability of the material above the slip In this case study numerical modelling is performed in
surface is analyzed by considering the static equilibrium rock slope considered as continuum mass without any
of the individual slices and the entire equilibrium of the joints and effect of discontinuity is introducing by
failing slope. Several methods are available to perform reducing strength and properties of intact rock into rock
Limit equilibrium analysis, each of these procedures mass to get equivalent Mohr coulomb strength
accounts for different assumptions to achieve the factor parameters.
of safety values.
The entire slope model is divided in to six nodded finite
Fellenius (1936) introduced the first method which elemental mesh and deformation at each nod is
satisfies the moment equilibrium for a circular slip calculated. Roller type boundary condition is given at
surface, but neglects both the interslice normal and the right boundary and base of the model is restrained
shear forces. Bishop’s method (1955) satisfies moment against vertical and horizontal movement.
and vertical force equilibrium. Janbu’s Generalized
method (1954) can be used for any slip surfaces which 3.3 Material properties
considers interslice normal forces but neglects the shear To perform numerical simulation, intact rock properties
forces. Lowe ‐ Karafiath’s method satisfies only force reported in Singh R et al. (2014)
equilibrium. Corps of Engineers method considers both Table 1. Intact rock properties
interslice normal and shear forces and satisfies only UCS(MPa) GSI Mi D Ei
force equilibrium Morgenstern‐Price method /GLE
123 30 20 1 80000
procedure and Spencer’s method satisfies all the
equilibrium conditions and can be used for both circular
and non -circular failure surfaces. Slide software of Table 2. Rock mass properties
Rocscience is used to perform the Limit equilibrium Unit Cohesion Friction Tensile
method of analysis in this case study. Equivalent Mohr weight (KPa) angle Strength
coulomb strength parameters obtained from Roc Lab are (KN/m3) (KPa)
used for the analysis. 28.33 184 38 8.0

3.2 Finite element analysis
The factor of safety computed in LEM is not uniquely
determined, because of the different assumptions made
for the slip surface and the result may not be reliable for
nonhomogeneous and anisotropic conditions. Finite
element analysis is a better solution in such cases which
considers the interrelationship of forces, stress, strain
and displacements. In this case study Phase 2 software
of Rocscience is used for numerical modelling which is
Here the lower limit (𝜎𝑡 ) and upper limit(𝜎 , 3𝑚𝑎𝑥 ) of
confining stress over which the relationship between the
Hoek Brown and Mohr-Coulomb criteria is considered
are 0.00785 MPa and 0.7193MPa respectively.
4. Important Outcomes
The minimum FOS value obtained from the LEM is
2.34, as which is predicted by Morgenstern-Price
methods using auto refine search algorithm to generate

3
Paper title

non-circular slip surface as shown in figure 3. Shear References

strength reduction technique incorporated in FEM
predicts non- circular critical slip surface with a critical
SRF of 1.95. It can be seen from the Fig. 4. that the
failure slip surface shape from the FEM analysis is in
fair agreement with that obtained from LEM based on
Morgenstern Price methods
Fig. 3 Critical failure surfaces for LEM
Hoek, E., Carranza-Torres, C. and Corkum, B. (2002)
Hoek-Brown criterion-2002 edition, Proceedings of
the NARMS-TAC Conference, 10 July 2002, Toronto,
Canada 1, 267-273. University of Toronto Press
Umrao, R.K., Rajesh Singh, Singh, T.N. (2014).
“Stability evaluation of road-cut slopes in the Lesser
Himalaya of Uttarakhand, India: conventional and
numerical approaches.” Bull Eng Geol Environ.,
73:845–857
Umrao, R.K., Singh, R., Ahmad, M., Singh, T.N.
(2011).” Stability Analysis of Cut Slopes Using
Continuous Slope Mass Rating and Kinematic
Analysis in Rudraprayag District, Uttarakhand.”
Geomaterials., 1, 79-87
Pain, A., Kanungo, D.P., Sarkar, S. (2014). “Rock slope
stability assessment using finite element based
modelling – examples from the Indian Himalayas.”,
Geomechanics and Geoengineering international
journal,9(3),215-230
Hammah, R.E., Yacoub, T., “A comparison of finite
element slope stability analysis with conventional limit-
equilibrium investigation”, Rocscience Inc., Toronto,
Canada

Fig. 4 Critical failure surfaces for FEM

5.Conclusions
Among all the limit equilibrium methods Morgenstern
Price methods, predicts minimum FOS and gives better
result for non-circular slip surface. FEM, using shear
strength reduction technique predicts the critical slip
surface without assuming any predefined failure
surface. The result shows that the FOS obtained from
FEM analysis is less than that obtained from LEM.

In case of heavily jointed rock slopes a general failure

surface is developed through intact rock and joint.
Equivalent continuum model reduces the complexity in
implementing all the joint in a heavily jointed rock
slope. Since SSR does not need to assume failure
shape and location, failure mechanism is well simulated
by FEM. This enhances the applicability of FEM
equivalent continuum model to predict stability of
heavily jointed rock slope.