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Abstract
A general analytical solution is presented for the limit equilibrium of block toppling failure in rock slopes. The method follows
the well-known solution of Goodman and Bray, but with innitesimal thickness of blocks. This leads to a set of ordinary dierential
equations that can be integrated in cases of simple geometry. The case of a uniform slope is analysed in detail. Two main failure
modes have been identied: sliding toe (ST), and tension toe (TT), depending on the relative values of the dip, cut slope and friction
angle. The solution can be considered as accurate enough for slopes higher than 2030 times the average block thickness. For thicker
blocks, a linear reduction of the force is proposed. The method has been applied to a number of actual cases and a particular
example is presented in detail. # 2001 Elsevier Science Ltd. All rights reserved.
1365-1609/01/$ - see front matter # 2001 Elsevier Science Ltd. All rights reserved.
PII: S 1 3 6 5 - 1 6 0 9 ( 0 1 ) 0 0 0 1 1 - 9
422 C. Sagaseta et al. / International Journal of Rock Mechanics & Mining Sciences 38 (2001) 421435
Nomenclature
Fig. 3. Continuum approach. Basic assumptions. (a) Denition of geometry; (b) Forces on a dierential block.
upper precedent block, and to check all the kinematic an angle y. The friction angle is fi between the bedding
and static conditions. Only when some of these planes and fb at the base of the blocks (between the
conditions can not be fullled, a change of failure transverse joints). It is convenient to use a system of
mechanism is considered. coordinate axes aligned with the bedding planes, with
The above equations must be solved not only for P, OX downwards in the direction normal to dip,
but also for the base stresses, s and t, to check the a 908 Z, and to measure all the inclinations with
limiting conditions for friction with no tension at the respect to this line: cut slope (c b a), natural
base: ground (o bg a), base line (x y a) and the
s50 applied anchor force, F (r d a). Furthermore, it is
t 5 convenient to use the following auxiliary angles, denoted
4 tan fb with a prime (0 ):
s
tan c0 tan c tan x
3.2. Basic case tan o0 tan o tan x note that o0 is always negative
The method is applied to the basic case of a slope of tan f0i tan fi tan x
height H shown in Fig. 4. The strata dip at an angle Z,
and the base line passes through the toe of the slope at tan f0b tan fb tan x 6
4. Application procedure
Fig. 8. Design charts [4]. Horizontal ground surface (o a); horizontal anchors (r a); base line: x y a 58.
formulations. For instance, Zanbak [3] uses the thick- failure passes from general sliding to sliding toe and
ness of strata, t, instead of the height of the slope, then to tension toe. The range for sliding toe decreases
resulting in very high factors (range 0200), which are with the slope angle, and for relatively steep slopes
then multiplied by a very small number 1=2gt2 . (b > 558 for a friction angle of 258) it vanishes, and only
The charts in Fig. 8 correspond to the case of tension toe modes are possible.
horizontal ground surface (o a), base line 58 above
the normal to dip line (x 58), horizontal anchors 4.2. Inuence of nite block thickness
(d 0), and friction angle along the transverse joints 58
higher than along the bedding planes (fb fi 58). All The continuum approach is a reasonable upper
the modes of failure (GS, ST, TTSW and TTTW) are bound, close enough to the exact solution in most
considered. As the dip angle increases, the mode of practical cases. However, in order to assess the degree of
C. Sagaseta et al. / International Journal of Rock Mechanics & Mining Sciences 38 (2001) 421435 429
accuracy, the inuence of nite block thickness can be of the force determined by the continuum approach can
investigated with the GoodmanBray method (Fig. 1). be applied for this intermediate range of l.
As shown in Fig. 2, there is always a threshold value
for the slenderness (l H=t) for stability without 4.3. Some possible extensions
external anchor forces, lcr . Fig. 9 shows the results for
the same basic cases studied in Fig. 8. Excluding extreme The solution presented can be easily extended to cover
situations (almost vertical dip, or very gentle slopes), the other situations dierent from the basic case considered,
threshold slenderness lcr shows very small variations, such as water pressures (Bobet [5] has considered the
being always in the range 510. case of seepage parallel to the slope), seismic actions
A number of calculations have been run for a wide (quasi-static body forces), or forces and distributed
range of cases, with values of l above lcr , with the result pressures on the slope face (anchors, bolts, wire meshes).
shown in Fig. 10. The force increases linearly with l and The consideration of all these factors requires only a
for a slenderness between 2 and 3 times lcr it is very slight modication of the equilibrium diagrams in Fig. 3,
close to the asymptotic value. Hence, a linear reduction with some additional terms in the resulting Eqs. (1)(5).
430 C. Sagaseta et al. / International Journal of Rock Mechanics & Mining Sciences 38 (2001) 421435
Reference
[4]
[4]
[4]
[1]
[1]
Comparison
kT (comp)a
0.076
0.019
0.035
0
0
kT (corr)
0.005
0.080
0.020
0.070
Block thickness correction
0
6.5
lcr
9
8
9
6
10.56
9.25
9.25
24
39
l
0.005
0.080
0.017
0.048
0.116
Fig. 10. Inuence of block thickness. Relative variation.
kT
L xT
L xB
0.184
0.328
0.281
0.344
0.371
5. Actual cases
Continuum approach
Mode of failure
5.1. Basic examples
TTTW
TTSW
application of the procedure to ve documented cases.
ST
ST
ST
These cases were the basis for the development of the
solution [4], and cover all the described modes of failure.
d (8)
20
0
0
0
0
In all of these ve cases, the continuum method has been
used, with the additional correction for block thickness.
fi (8)
38.15
21.45
The nal result is compared with the GoodmanBray [1]
39
25
analysis. 33
fb (8)
21.45
39
35
33
35.8
35.8
45
56.6
56.6
55
65
60
angle of 258 was adopted for the bedding planes and 358
H (m)
105.6
92.5
92.5
Data
G-B.1b
G-B.1a
G-B.2
Reference
taken of lowering the slope to 3(H) : 2(V), with no
anchoring.
[10]
[11]
[9]
The last three cases in Table 1 are not actual slopes,
but the three examples (1a, 1b and 2) presented by
Goodman and Bray [1] to illustrate the applicability of
Anchors: F 34 t/m
(kT 0:14020:190)
Anchors: F 15 t/m
As can be seen, the slenderness in the two actual cases
is well above the critical value, and hence the continuum
(kT 0:024)
(kT 0:071)
Slope b 458.
solution is valid. Only in the three last illustrative
examples the ratio l=lcr is in the range 13, justifying
corrective
measures
Applied
the correction for block thickness. The agreement with
the block analysis is good. The largest dierences are in
the last case (example GB.2), associated to the strong
variations of the load with the particular block
0.104
0.020
0.049
0.089
0.070
0.134
distribution in cases with tension toe (TT), and
kT
slenderness ratio l=lcr in the range 23 (Fig. 2).
In all these cases, the inclination of the basal plane
Continuum approach
L xT
L xB
0.262
0.910
0.266
0.196
0.444
0.508
(either observed or assumed) is well above the normal to
dip line. A sensitivity analysis of the inuence of this
inclination is presented in Fig. 11. The force decreases
signicantly as the angle x y a increases. The force
Mode of
TTTW
TTSW
TTSW
failure
calculated for the design value of x ranges between 70%
ST
ST
ST
and 50% of the value for x 0.
d (8)
15
0
5.2. Further applications
fi (8)
As stated above, the outlined method has been used
28
25
35
by dierent designers in a number of actual slopes in the
last four years. Three cases were presented in a National
fb (8)
35
35
are summarised in Table 2.
The rst case [9], Cereixal, is a cut in a motorway
y (8)
30
47
37
schist and sandstone, dipping at 558 with an average
joint spacing of 1 m parallel to the slope. The slope was
Z (8)
55
65
76
70
80
bg (8)
12
15
30
b (8)
62
45
45
72
g (t/m3)
2.2
2.5
2.6
Further applications to actual cases
t (m)
0.2
1
1
H (m)
Data
36
13
25
Paracuellos
viaduct
River Sil
tunnel
portal
Cereixal
Table 2
cut
Case
Fig. 11. Basic cases. Inuence of the inclination of the base line on
anchor force.
432 C. Sagaseta et al. / International Journal of Rock Mechanics & Mining Sciences 38 (2001) 421435
excavated with an angle 1(H) : 2(V) (b 628), and a 5.3. A particular case
toppling failure was observed. The inclination of the
basal plane was inferred from the tension crack at the Fig. 12 shows a front view of the San Antol!n cut in
crest. The required anchor load was evaluated as a the motorway A-8 in Northern Spain [12]. There was
factor kT of 0.104, that was reduced to 0.024 if the slope already a cut, 70 m high, for the existing road, running
was lowered to 1 : 1. This solution was nally adopted, parallel to the shore. The enlargement to four lanes
with rock bolts 125 mm, length 5 m, with a density of implied that a further excavation, with a maximum
one bolt every 12 m2, with a total anchor load per meter height of 110 m with ve intermediate berms would be
of slope of 34 t/m. required. The rock consists of Ordovician quartzite,
The second case [10] is the North portal of the with a dip direction of 1608 and a dip of 808 in the upper
Paracuellos tunnel (length 4670 m) in the high-speed part of the slope, decreasing to 608 in the lower part.
railway under construction between Madrid and Barce- There is a fault, parallel to the bedding, clearly visible in
lona. Some cracks appeared in the front slope, in the upper part of the slope. Above the fault the rock is
metamorphic schist, indicating incipient toppling fail- massive, with bedding planes spaced at more than 5 m.
ure. Further site investigation with exploration test pits However, below the fault, the spacing between open
showed a discontinuity set parallel to the slope, with bedding planes is less than 1 m, and there are some
variable dip from 658 to 768. The solution adopted was interbedded layers of shale.
to install horizontal anchors, 25 m long, with a total The road alignment is N708W, forming an angle of
force of 15 t/m, corresponding to a factor kT 0:071, 408 with the strike of the bedding planes. It is usually
average of the values calculated for the two extreme considered that this obliquity is enough to prevent the
values of the dip. No further movements were recorded. possibility of toppling failure. However, the present case
The last case [11] involved the design provisions for has some particular features in this respect. Due to the
the open excavation with very steep slopes (b 728) for dierences in rock mass quality, dierent slope angles
the foundations of a viaduct over the River Sil, in were adopted, decreasing from the upper part to the toe,
Northwestern Spain, in slightly weathered granite. and also decreasing longitudinally from East to West.
There is a family of sub-vertical joints (J4), parallel to The average angle was 418 in the western part of the
the slope and dipping 70808, that could lead to toppling slope, and 528 in the eastern end (see Fig. 12). The
failure, favoured by the presence of a transverse set (J3), transition between these two zones resulted in an
orthogonal to it. The inclination of the potential basal unfavourable orientation, with an obliquity of less than
plane was inferred as 478 from the analysis of the 208 with the bedding strike.
spacing of the two families J3 and J4 involved. The During the excavation, several local toppling
angle of friction (358) was determined from tilt tests of failures were observed in the transition zone, below
rock cores. Several distributions of anchors and bolts the fault. This led to a detailed analysis of the failure
were considered, with a force per unit length of mechanisms.
slope between 120 and 155 t/m, corresponding to kT The analyses were performed by the consultant [12]
between 0.140 and 0.190, above the calculated values using the Goodman and Bray [1] method, taking into
(0.0700.134). account the presence of the fault, and the particular
geometry of the slope. The average block thickness was slope can be considered by imposing the condition of
taken as 0.50 m. The inuence of the ground water level zero transmitted force at the fault location (this is
was introduced as a normal pressure between the blocks common to the block analysis and to the continuous
and at their bases. Six transverse proles in the dip solution). This represents a slight modication of the
direction, numbered T0 to T5, were studied in the resulting expressions. In particular, the general law for
critical zone (Fig. 13). For each prole, local failures transmitted force (12) transforms to
aecting one or more benches between berms were
1 tan2 c0
considered. P g sin a L xB 2
The friction angle along the bedding planes was
2 tan f0i 3tan c0
" 0 0 #
measured by tilt tests in the eld and in the laboratory. Lx 2 L x tan fi =tan c 1
A peak value of 408 was found for the quartzite, 25
L xB L xB
decreasing to 378 due to the inuence of the interbedded
shale layers. A safety factor of 1.2 was adopted, leading The toe wedge for the ST case is (instead of Eq. (14)),
to a mobilised friction of 328. dened by
In parallel with these analyses, the preceding con- 0 0
L xT tan fi =tan c 3 2tan c0
tinuous solution was also applied. The inuence of the
fault, limiting the unstable zone to the lower part of the L xB tan f0i tan c0
3tan c0 tan f0i tan fb tan a
1
26
tan a tan c0 1 tan fi tan fb
For the TT case (instead of Eq. (17)), it is dened by:
0 0
L xT tan fi =tan c 3 2tan c0
L xB tan f0i tan c0
3tan c0 tan f0i
1 27
tan atan c0 tan fi
The rest of the formulation remains unchanged.
The calculations are summarised in Table 3. For each
case studied, the average slope and dip angles are
shown, together with the base line inclination adopted.
Provided the high slenderness (20100) is maintained, no
Fig. 13. San Antol!n cut. Typical transverse prole. correction for block thickness is required. The results
Table 3
San Antol!n cut: results for studied sections
Transverse prole Section H (m) b (8) Z (8) y (8) Mode of failure kT kT (comp)a
6. Conclusions
are given in terms of the anchor force factor kT and the The authors wish to thank Mr. I. Garc!a-Arango,
relevant failure mode. Most of the cases are of ST type, ! chief engineers
Mr. J.A. Herrero and Mr. C. Gascon,
due to the relatively low values of the slope angle. Only for the works at San Antol!n, El Haya and Derio,
C. Sagaseta et al. / International Journal of Rock Mechanics & Mining Sciences 38 (2001) 421435 435