A New Era in Slope

Stability Analysis:
Shear Strength Reduction
Finite Element Technique

This article examines the merits of

using finite element analysis versus

limit-equilibrium methods for slope

design and analysis

Geomechanics
software used
worldwide by
geotechnical
engineers

Article prepared for RocNews

software tools for rock and soil Summer 2004
A New Era in Slope Stability Analysis:
Shear Strength Reduction Finite Element Technique

Finite Element (FE) analysis is now widely accepted in routine excavation and support
design and analysis. It may also revolutionize routine slope stability analysis.

Practicing engineers and mass along a slip surface. The

academics alike are becoming popularity of limit-equilibrium
increasingly convinced of the methods is primarily due to their
benefits of the Shear Strength relative simplicity, ready ability to
Reduction (SSR) technique for evaluate the sensitivity of stability “Things should be

determining slope factor of to various input parameters, made as simple as

safety. This method is particularly and the experience geotechnical possible, but not any

useful when several different engineers have acquired over the simpler.”

modes of failure are possible; it years in interpreting calculated — Albert Einstein

automatically finds the critical factor of safety values. Limit-

mechanism. But has the SSR equilibrium methods require
technology matured to the minimal input data. The factor
stage where it can be used for of safety values they output
routine analysis? In this article, help engineers to guard against
we will attempt to answer this uncertainties such as ignorance
question, as well as offer insights about the reliability of input
into today’s slope engineering parameters and loadings, and
practices. the possibility that identified
failure mechanisms may differ
Limit-Equilibrium Slope from actual behaviour. As
Stability Analysis
well, recommended factor of
Limit-equilibrium methods safety values for slopes and
are the most commonly used excavations generally ensure
approaches for analyzing that deformations are within
the stability of slopes. The acceptable range.
fundamental assumption at
their core is that failure occurs Despite all the benefits, the
through sliding of a block or limit-equilibrium approach has
some important deficiencies.

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The technique neglects stress- literature. They were mostly
strain behaviour of soils and based on an approach that flows
rocks. It also makes arbitrary naturally from the definition
assumptions (mostly regarding of slope factor of safety, and is
inter-slice forces) to ensure now commonly referred to as
static determinacy. It is awkward the Shear Strength Reduction
to use for analyzing stability (SSR) technique. By definition,
problems, such as the failure of the factor of safety of a slope
cantilever and retaining walls, in is the “ratio of actual soil shear
which failure involves deformed strength to the minimum shear
wedges. strength required to prevent
failure,” or the factor by which
The Shear Strength soil shear strength must be Since the finite
Reduction Technique element method
reduced to bring a slope to
Rapid advances in computer the verge of failure (Duncan, was first applied

technology and sustained 1996). In the SSR finite element to geotechnical

development have pushed the technique elasto-plastic strength engineering in

finite element method (FEM) is assumed for slope materials. 1966, it has grown

and other numerical analysis The material shear strengths tremendously in

approaches to the forefront of are progressively reduced until popularity.

geotechnical practice. Since it collapse occurs.

was first applied to geotechnical
engineering in 1966, the FEM For Mohr-Coulomb material
has grown tremendously in shear strength reduced by
popularity, primarily due to a factor (of safety) F can be
its ability to analyze a very determined from the equation
broad range of problems, while
yielding realistic results. It can
accommodate practically all This equation can be re-written as
kinds of geometry, and can
model key aspects of material
behaviour such as stress paths
(construction sequence), and In this case,
coupled stress-pore pressure
variations. and

In the mid 1970s, techniques are reduced Mohr-Coulomb

for applying the FEM to shear strength parameters, and
slope stability analysis started these values can be input into an
appearing in geotechnical FE model and analyzed.

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Basic Algorithm Advantages
For Mohr-Coulomb materials, The elasto-plastic SSR FE
the steps for systematically approach offers a number of
searching for the critical factor significant advantages over
of safety value, F, which brings traditional limit-equilibrium
a previously stable slope to the analysis. First, it eliminates the
verge of failure, are as follow need for a priori assumptions on
failure mechanisms (the type,
Step 1: Develop an FE model of a
shape, and location of failure
slope, using the deformation and
surfaces). The SSR technique
strength properties established
automatically establishes the
for the slope materials.
critical failure mechanism. It
Compute the model and record The SSR FE
eliminates artificial separation
the maximum total deformation technique minimizes
of slope problems into those
in the slope. the expertise required
involving slip surface failures,
in finding critical
Step 2: Increase the value of F and those involving failure of
failure mechanisms
and calculate factored Mohr- deformed wedges.
for certain slope
Coulomb material parameters
Although possibly more problems.
as described above. Enter the
demanding in other aspects,
new strength properties into the
the SSR FE technique minimizes
slope model and re-compute.
the expertise required in finding
Record the maximum total
critical failure mechanisms
deformation.
for certain slope problems.
Step 3: Repeat Step 2, using At times this goes unnoticed
systematic increments of F, until by slope engineers. A typical
the FE model does not converge example involves the problem
to a solution, i.e. continue to of identifying the critical failure
reduce material strength until mechanism beneath a concrete
the slope fails. The critical F value dam on a foundation that
just beyond which failure occurs includes a weak layer. The search
will be the slope factor of safety. for the critical limit-equilibrium
mechanism, using Slide, is
(For a slope that is initially described in an AVI movie in
unstable, factor of safety
values in steps 2 and 3 must
be reduced until the FE model
converges to a solution.)

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this issue of RocNews Summer – a combination of block search
2004. Regular non-circular limit- with surface optimization – a
equilibrium analysis with the more critical slip surface with a
Morgernstern method produced 2.36 factor of safety value was
a factor of safety of 3.0. Using located. The images of these
advanced features in Slide not results are shown on Figures 1a
applied by most modelers and 1b.

Figure 1a. The critical

failure surface and
factor of safety
from conventional
Morgernstern limit-
equilibrium analysis of a
concrete dam. The thin,
beige-coloured material
beneath the dam is the
weak layer.

Figure 1b. The critical

failure surface and
factor of safety obtained
using block search,
combined with surface
optimization. Notice
the differences between
this surface and that in
Figure 1a.

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The problem was then modeled solution), and an exaggerated
in Phase2, the finite element deformed mesh. Contours of
analysis program developed maximum shear strain are shown
by Rocscience, using the SSR on Figure 2b. These figures
technique. This yielded a factor indicate failure in the weak zone
of safety value of 2.35. Figure and a critical failure surface
2a shows the contours of total similar to the non-circular limit-
displacement at the modeling equilibrium surface obtained
stage preceding total failure from the combination of block
(non-convergence of the search and optimization.

Figure 2a. Contours

of total displacement
calculated for the FE
model of the dam,
and the (exaggerated)
deformed mesh. These
contours indicate
a critical failure
mechanism similar
to that obtained
from advanced limit-
equilibrium analysis.

Figure 2b. Contours of

maximum shear strain
calculated for the FE
model of the dam. Like
the previous image,
these contours indicate
the critical failure
mechanism as shearing,
passing through the
weak zone.

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Another benefit of the SSR aspect for some embankments
approach is its elimination of and excavations. Drawing on
arbitrary assumptions regarding the robustness of the FEM,
the inclinations and locations the technique performs very
of inter-slice forces. As well, well under a wide range of
the method can automatically conditions. Lastly, it can be
monitor the development of more readily applied to three-
failure zones, from localized dimensional slope modeling than
areas all the way to total slope limit-equilibrium methods.
failure. This is particularly
important in the analysis of high Will Use of the SSR Technique
Become Widespread?
slopes such as those found in
large open-pit mines, and the In the past, a number of factors
impact of slope excavation on limited application of the SSR
nearby structures. Given the technique for routine slope
correct deformation properties stability analysis. Compute The FEM is
of materials, the SSR method can times for analyses were long, able to compute
predict expected deformations computing power adequate for deformations and
at the stress levels found in such analysis was expensive, and quantities such as
slopes. model preparation and results bending moments,
interpretation required extensive allowing the method
Due to the FEM’s ability to effort and time due to clumsy, to be used to design
compute deformations and difficult-to-use interfaces. The the support elements
quantities such as bending above-listed factors combined to in a slope.
moments, it can to be used to push SSR costs very high.
design the support elements
in a slope. For example, in a Most practicing engineers had
slope stabilized with piles, the another complaint against the
FEM is capable of predicting technique: they felt it was data
axial loads, bending moments hungry, requiring material
and deformations of the piles, input parameters, which were
making it possible for engineers not collected in routine site
to select appropriate dimensions investigations, at least not with
and materials that ensure reasonable accuracy. They also
adequate performance. felt that the reliability of SSR
results was unproven.
The SSR FE technique can
model construction procedures
and sequences (i.e. loading
paths), a particularly important

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Cheap, and yet very powerful, that are close to those obtained
computers, and tremendous from method-of-slices and other
improvements in program limit-equilibrium approaches.
interfaces and user-friendliness The references provided at the
have radically changed the end of this article will provide
situation. Today the typical details for the interested reader.
desktop computer can
The advances described above
perform two-dimensional FE
should change perceptions of
analysis within minutes. New
SSR slope analysis. Most of the
commercially available computer
issues that hindered application
programs, such as Rocscience’s
yesterday have been eliminated,
Phase2, significantly reduce the
or are rapidly being addressed.
amount of time required to build
A few of the outstanding issues
models, to interpret results, and
with the SSR technique remain
to produce output for reports.
and companies like Rocscience
Obtaining input material are finding ways of addressing
parameters for finite element them.
analysis is possible through
testing, similar to those required Outstanding Issues with
the SSR Technique
for traditional settlement
or stability analysis. Triaxial To date, all published discussions
and direct shear tests can be on the application of the FEM
combined with consolidation to slope stability analysis have
tests to obtain required input assumed Mohr-Coulomb
data. For elasto-plastic analysis strength. This may be primarily
involving conventional Mohr- due to the ease with which
Coulomb strength, with the reduced Mohr-Coulomb
assumption of associative flow strength parameters can be
rule, the FEM requires the same calculated for application in the
parameters as limit-equilibrium SSR technique. As shown earlier
analysis (except for the modulus in the article, reduced cohesion
of deformation and Poisson’s (c*) and friction angle (φ*) values
ratio). can be explicitly determined
from original parameters c and
The question of the reliability φ. With nonlinear criteria such as
of the SSR technique has been the Generalized Hoek-Brown and
comprehensively answered. Power Curve strength models,
Several studies have shown that it is impossible to obtain such
the technique produces results closed-formed relationships.

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To get around the difficulty Conclusion
described above, Rocscience By examining the merits of
engineers have helped develop finite element analysis and limit-
an approach that uses a Mohr- equilibrium methods for slope
Coulomb approximation of a design and analysis, it is our
nonlinear strength criterion. opinion that, for the foreseeable
The details of this approach are future, these two approaches will
described in a recent paper, coexist. Together, they supply
(Hammah et al, 2004). We are engineers with a more complete
currently developing a more toolkit for tackling slope stabillity
generalized and more accurate problems. The experience,
method for performing SSR amassed by the geotechnical
analysis for nonlinear material engineering profession over the
strength. decades, with limit equilibrium
Although the SSR technique is methods is invaluable and
highly intuitive and relatively cannot be readily displaced.
straightforward to conduct On the other hand, several
using any existing finite types of geotechnical problems
element program, the manual are not readily analyzed with
effort involved in calculating limit equilibrium methods, but
reduced material properties for can be handled by the SSR FE
multiple factor of safety values approach. Today’s technological
can get tedious, therefore advances, combined with the
hampering routine use. The reduced costs of computing
SSR technique has been built power, enable the SSR technique
into a few geotechnical finite to solve these problems easily. In
element programs, but aspects addition, the SSR technique can
of the problem have not been be used to resolve ambiguities in
sufficiently automated to levels limit-equilibrium slope stability
found in limit-equilibrium analysis.
software packages. Rocscience is Recent improvements to the SSR
working on releasing, in the near technique and its applications
future, a version of Phase2 that do indeed have the potential
more completely automates SSR to enhance the quality of
analysis. slope designs, and expand our
understanding of slope behaviour
and interactions between the

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various factors that influence We invite readers to comment on this
article or express their thoughts and
stability. While we may not be
observations on the issue of limit-
ready to abandon tried and true equilibrium versus finite element analysis.
approaches all together, we may Contact us at: [email protected].
be on the threshhold of a new
era in slope engineering.

Useful References on the SSR Technique

The references below supplied most of the technical background and

descriptions of the SSR technique described in this article. Although
the list is by no means exhaustive, it will provide the interested reader
an excellent starting point for learning more about the SSR technique.

Dawson, E., Motamed, F., Nesarajah, S. and Roth, M., Geotechnical stability analysis
by strength reduction, Slope Stability 2000, Proceedings of Sessions of Geo-Denver
2000, ASCE Geotechnical Special Publication no. 101, pp. 99-113. 2000.

Dawson, E.M., Roth, W.H. and Drescher, A., Slope stability analysis by strength
reduction, Geotechnique, vol. 49, no. 6, pp. 835-840. 1999.

Duncan, J.M., State of the art: limit equilibrium and finite-element analysis of slopes,
Journal of Geotechnical Engineering, vol. 122, no. 7, pp. 577-596. 1996.

Griffiths, D.V. and Lane, P.A., Slope stability analysis by finite elements, Geotechnique,
vol. 49, no. 3, pp. 387-403. 1999.

Hammah, R.E., Curran, J.H., Yacoub, T.E. and Corkum, B., Stability analysis of rock
slopes using the finite element method. To appear in the Proceedings of Eurock 2004
& 53rd Geomechanics Colloquy. 2004.

Lechman, J.B. and Griffiths, D.V., Analysis of the progression of failure of earth slopes
by finite elements, Slope Stability 2000, Proceedings of Sessions of Geo-Denver 2000,
ASCE Geotechnical Special Publication no. 101, pp. 250-265. 2000.

Matsui, T. and San, K-C., Finite element slope stability analysis by shear strength
reduction technique, Soils and Foundations, vol. 32, no. 1, pp. 59-70. 1992.

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