GRAPHICAL METHODS FOR

SLOPE STABILITY ANALYSIS

K.W. JOHN
Institut fur Geologie
Ruhr- Universitat Bochum

-----------
All figures quoted in the text are at the end of the lectufI'_

L. Müller (ed.), Rock Mechanics

© Springer-Verlag Wien 1972
222 K. W. John

Introduction
Nature provided most rock masses with a three-dimensional structure of
more or less planar character. This geologic structure differentiates between the rock
element and the rock system composed of these elements. During the last decade it
has been firmly established that the geologic structure is, in many cases, of decisive
importance for the stability of man-made structures supported on or placed in rock.
Conventional geotechnical stability analysis generally consider the sliding of rigid
bodies along existing or newly formed planes of weakness in two dimensions only.
Three-dimensional problems can be solved by means of analytical geometry,
however, these approaches are often too sophisticated for the stability problems
encountered in engineering practice.
This lecture covers the use of the hemispheric projection, generally
considered to be a tool in mineralogy and structural geology, in combination with
conventional engineering methods for the analysis of three-dimensional slope
stability problems in jointed rock.
This set of lecture notes mainly consists of excerpts of three previous
papers by this lecturer supplemented by an up-to-date listing of references on this
specific topic. It should be noted that the material presented in this lecture is
intended to serve as first introduction to the proposed approach. For further study
specific reference is made to the recent paper by Hoek, Bray and Boyd.

Reference Hemisphere
The projection of the reference hemisphere is used to represent the
spatial orientation of lines and/or planes and their angular relations to each other.
Different types of such projections (also nets) are available, however, their use is not
principally different. In each of these nets the orientation of a plane can be
represented either by its pole (i.e. one point in the net) or by its great circle. The
graphical details of such possibilities are given on Figs. 1 and 2. Conventional
concepts of engineering mechanics, such as polygons of forces and shear strength
along a plane surface, are combined with the basic graphic tool of the reference
hemisphere to cover three-dimensional problems. The "friction cone" concept first
proposed by Talobre represents the first of such combinations being utilized. It is
briefly described and illustrated in Figs. 3 and 4.

Friction Cone by Talobre

The friction cone concept by J. Talobre is used m the approach
Graphical Methods for Slope Stability Analysis 223

described herein to represent or determine the angle between a line giving the
direction of a force and a line normal to a plane. Combined with the angle of
friciton along this plane, this approach can be used to evaluate graphically the
possibility of sliding along this plane under a load acting in any direction.
Fig. 3 illustrates this concept, reduced to the plane case for clarity. Fig.
4 presents the same concept expanded to three dimensions. The projection of the
traces of different cones on the equatorial net is shown in Fig. 4 (a). The example
shows a great circle representing a plane p with its pole, P, with cone tracings about
this pole for angles ¢ of 10°, 20°, and 30°. The "cone surface" represents the
directions of all lines which have a certain angle with the normal to the plane given
by the pole. The intersections of an arbitrary plane through the pole, P, represented
by its great circle, with a cone surface produces the directions of the two lines which
are located within this arbitrary plane and have an angle,¢ , to the normal of the
plane p. Fig. 4 (b) shows an example for a "friction" angle of 20° in spatial view,
with the directions of the two lines cited above labeled C and C' .
The tracings of a friction cone on the net is determined by plotting
several arbitrary great circles through the pole and marking off the respective angles
along them. The points of equal angles are then connected, to give the somewhat
distorted (with the exception of a cone about the origin) projection of a circle in the
equal area net.

Engineering Problem
The basic problem to be covered here is that of a rock wedge sliding on
one or two geologic planes of weakness. It is essentially a slope stability problem,
however, it also has been used in analyzing the stability of rock masses supporting
arch dams, and to investigate the possibility of rock falls from walls of underground
openings. The following aspects can be covered:
1. Failure pattern
1.1 Plane wedge formed by two plane sliding surfaces
1. 2 Modified wedge bounded by two mean en-echelon failure planes (see Fig. 11)
2. Forces acting on wedge
2.1 Gravity force
2.2 Seismic acceleration force
2.3 Hydrostatic forces acting on one or two bounding planes
2.4 Retaining forces introduced by rock tendons or rock bolts
224 K. W. John

3. Shear strength along geologic plains each potential sliding plane

3.1 Friction only
3.2 Friction and technical cohesion

Furtheron the hemispheric approach proved to be useful in the an;lysis

of
a) Overtoppling (overturning) of subvertical columnar rock elements formed by
the geologic structure, and
b) Direction of borings in relation to the geologic planes for drainage, grouting,
and rock tendons.

Basic Method of Analysis

In the following pages the four basic steps of the proposed method of
analysis are presented using a simple sliding wedge problem: The steps are
a) Digest of the geologic input data
b) Establishing of geotechnical model and kinematics of sliding
c) Establishing of active forces
d) Establishing of equilibrium limits with consideration of passive forces.

The approach in its most basic form is non-dimensional, assuming

only gravitational or gravity-related loadings, such as seismic acceleration, and
frictional resistances along the planes of weakness. However, further development of
the basic concept allows now to consider cohesion along potential slide planes and
specific external forces acting on the potentially unstable rock mass, such as dam
thrusts, hydrostatic thrusts, and supporting forces introduced by post-tensioned
rock tendons.
The method of analysis consists of the following steps which are
illustrated in a slope stability problem.
a) Digest of the geologic input data, Fig. 5 illustrates the problem posed and the
pole diagram representing the orientations of the given planes of weakness,
using an equatorial net in equal-area projection
b) Establishing of geotechnical model with the determination of modes and
directions of failures geometrically possible. Fig. 6 presents the concept for the
above example in the hemispheric net relating the direction of active resultants
with the thereby produced modes of failure. The spatial diagram serves to
illustrate the general concept.
Graphical Methods for Slope Stability Analysis 225

c) Establishing of active forces acting on a sliding wedge of given dimensions. Fig.

7 illustrates the use of supplemental polygons of forces to determine the active
resultant due to weight and hydrostatic thrusts acting normal to the two planes
of weakness. The same graphic procedure is used to consider any other active
external forces.
d) Establishing of equilibrium limits utilizing the friction cone concept. Fig. 8
illustrates the friction cone concept originated by Talobre and the resulting
stability limits. In the example solely frictional resistance is assumed for the
first set of joints represented by pole Pl' Friction and cohesion is considered for
the second set of joints, requiring supplemental planar polygons of forces. The
stability factors can be assessed by inclusion in both friction cones and cohesive
resistance, thus modifying the equilibrium limits.

Specific Aspects
After the basic method two specific aspects are presented
a) Modified failure wedge bounded by two en~echelon "mean failure planes" after
Jennings. This concept, with its representation in the hemispheric projection is
illustrated on Fig. 9, 10, and 11.
b) Graphical analysis of wedge sliding along the intersection of two "mean failure
planes", with shear resistance consisting of both friction and cohesion. The
sequence of analysis with hemispheric projection and supplemental planar
polygons of forces is given on Fig. 12 and its comments.

Mean Failure
Jennings' concept of the mean failure surface can easily be introduced
to the hemispheric representation. Jennings' definition of Fig. 9 lead to the
representation of Fig. 10.
(1) The orientation of the a joints representing the shear plane is expressed by
pole Pa' The shear parameters, the apparent friction angle <Pa' and the
hypothetical cohesive strength k are referred to this pole, resulting in the
cones of apparent friction and total shear resistance, respectively.
(2) The vector of the movement along the a-joints is normal to the pole Pe('
(3) The mean failure surface, p -plane, is used to determine both the weight of the
potentially sliding rock mass, Wp ,and the length or area effective for k, Lp or
Ap , the latter for the three-dimensional case.
226 K. W.John

Failure Pattern
Fig. 11 represents the difference between the modified failure wedge
formed by two mean failure planes, possibly complemented by deep tension cracks
paralleling the <p-joints, with failure surfaces following the shear planes (Xl and (X2 ,
It is believed that for large-scale failures the modified wedge is quite realistic. The
plane wedges appear to be limited to small-scale stability problems.

Three-dimensional Analysis
Fig. 12A and 12B represent the comprehensive stability analysis for a
simple example. It should be noted that only directions are represented in the
reference hemisphere, whereas forces are determined in the supplemental polygons
of forces which are based on angular relations determined in the hemisphere. The
analytical procedure consists of the following steps.
(1) The poles P", and P(X represent two sets of (X-joints, (Xl and (X2whichare part
.... ·1 '2
of t3-planes and along which shear is to take place.
(2) The direction of movements along the Cit and(X2 planes is given by point!(X.1.2
representing the intersection of the two (X-planes.
(3) The first supplemental polygon of forces, see Fig. 12B, in the plane of section
I, serves to divide the arbitrary loading, including weight, of the rock mass
defined by the two t3 -planes, R~ into the components normal to the direction
of movement, P , and the driving force, DF , in direction of I(X.1.2.
(4) The second polygon of forces, section II, serves to determine the normal forces
of both (X-planes, P(X,l and P(X.2'
(5) The polygons of forces sections III and IV, respectively, serve to assess the
resisting forces developed along the two shear planes. The frictional
component is given by P(X tan <Pa. the cohesional component by Ap (k), with
A~ derived from the geometric configuration of the t3-planes. The angles of
total shear resistance, <Pr, , can now be determined.
(6) Planes, i.e. great circles, through the points F(X and S(X, respectively, represent
equilibrium limits; F(X for friction only, S(X for total shear resistance. These
limits divide the 'safe' and 'unsafe' zones on the hemisphere.
(7) The factors of safety can now be determined by comparing the resisting forces
along both (X-planes, ~,with the total driving force, DF . In the present
example the factor of safety considering friction only is 1.0 (with the resultant
R~ located on the respective limit line). A simple computation based on the
results of the polygons of forces results in a factor of safety of the order of 2.0
Graphical Methods for Slope Stability Analysis 227

for the total shear resistance.

(8) The factors of safety can also be graphically represented by adding
modified equilibrium limits, using

tan~~ tan ~a/FS and

k' = k/FS

The primed values, obtained by dividing the actual parameters by different

factors of safety, are plotted on the hemisphere resulting in a family of limit
lines with different factors of safety.

Overturning Problem in Slope Stability

Whereas the sliding problem, either planar or spatial, is often
over-emphasized in engineering slope stability analyses, the stability probelm arising
from overtoppling of steeply inclined columnar rock elements is often completely
neglected.
This problem and the possibility to utilize hemispheric projections in its
analysis are illustrated on Figs. 13 and 14.

Overturning Failure in Three Dimensions

Fig. 14 represents an analysis of the overturning problem in three
dimensions. The reference hemisphere shows the three poles of an orthogonal joint
system. More general systems can also be considered. The approximately rectangular
pattern about pole Pl represents the 'safe' range with respect of overturning. It is
formed by the tracings of two overturning wedges on the surface of the reference
hemisphere, with P 1 giving the direction of their common axis. Any forces with
directions falling in this zone will not result in overturning. Section I shows a plane
section through one of the overturning wedges with respect to planes P l and P2 As
can be seen, the wedges are defined by the centre angles {j c with respect to the pole
Pl •

The hemispherical plot of the chosen example shows the following:

(1) The weight of the rock element, which acts in a direction through the centre of
the hemisphere, falls outside of the safe limit. Thus, it would produce
overturning of the element about the northerly edge formed by planes Pl and
P2 (see also plan view of actual rock element in lower left of Fig. 14).
(2) Any free surfaces, either natural or man-made (which are not shown on the
228 K. W.John

hemisphere for clarity) striking about EW and dipping towards N would be

effected by this overturning mechanism.
(3) Because of the given geometry of the rock elements, overturning about the Pl
and P3 edge is practically excluded.
The above conclusions indicate that a slope not subject to primary
shear failure can represent a stability hazard, depending on the geometry of the
surficial rock elements. In civil engineering applications such conditions are generally
corrected by installation of rock bolts and/or post-tensioned rock tendons.

Conclusions
In several years of wide-spread use the geologic tool of the reference
hemisphere has demonstrated its usefulness in three-dimensional stability analyses
involving discontinuous rock system. It is now considered a routine method of
analysis in engineering practice, particularly in professional environments in which
geologists and engineers collaborate very closely.
It should be noted that the illustrated examples of the application of
the reference hemisphere in engineering analyses do not at all limit the potential of
such combination. Continuously new aspects are being introduced.
 REFERENCES

[1J Talobre, J., "La Mecanique des Roches (Rock Mechanics)", Dunop, Paris,
1957, pp. 39-44.

[2J Terzaghi, K., "Stability of Steep Slopes on Hard Unweathered Rock,"

Geotechnique, Vol. 12, Dec., 1962, pp. 251-270.

[3J Miiller, L., "Der Felsbau (Rock Construction)," Enke, Stuttgart, Germany,
1963, pp. 263-264.

[ 4J Goodman, R.E., "The Resolution of Stresses in Rock Using Stereographic

Projection," International Journal of Rock Mechanics and Mining
Sciences, Vol. 1, 1963, pp. 93-103.

[5 J Friedman, M., "Petrofabrics Techniques for the Determination of Principal

Stress Directions in Rocks," Proceedings, Conference on the State of
Stress in the Earth's Crust, W.R. Judd, ed., American Elsevir
Publishing Co., New York, 1964, pp. 451-550.

[6J Wittke, W., "Verfahren zur Berechnung der Standsicherheit belasteter und
unbelasteter Felsboschungen",.(In German), Felsmech. u. Ing. Geol.,
Suppl. II, Springer, Vienna, 1965, pp. 52-79.

[7J Goodman, R.E., and Taylor, R.L., "Methods of Analysis for Rock Slopes
and Abutments: A Review of Recent Developments," Failure and
Breakage of Rock, C. Fairhurst, ed., AIME, New York, 1967.

[8J John, K.W., "Graphical Stability Analysis of Slopes in Jointed Rock", J. Soil
Mech. and Found. Div., Proc. ASCE Vol. 94, SM2, March 1968, pp.
497-526, with discussions, and closure, Vol, 95, SM6, Nov., 1969,
pp. 1541-1546.
230 K. W. John

[9J Londe, P., Vigier, G. and Vormeringer, R., "Stability of Rock Slopes, a
Three-Dimensional Study", J. Soil Mech. and Found. Div., Proc.
ASCE, Vol. 95, SM1, Jan., 1969, pp. 235-262.

[1OJ John, K.W., "Engineering Analyses of Three-Dimensional Stability Problems

Utilizing the Reference Hemisphere", Paper 7-16, 2nd Intern. Congr.
Int. Soc. Rock Mech., Beograd, Sept. 1970.

[11 J McMahon, B.K., "A Statistical Method for the Design of Rock Slopes", Proc.
1st Australia-New Zeland Conf. Geomech., August 1971.

[12J Londe, P., Vigier, G. and Vormeringer, R., "Stability of Slopes - Graphical
Methods", J. Soil Mech. Found. Div., ASCE, Vol. 96, No. SM4,
1970.

[13J Jennings, J.E., "A Mathematical Theory for the Calculation of the Stability
of Slopes in Open-Cast Mines", Proc. Open Pit Mines Symp.,
Johannesburg 1970, Ed. P.W.J. van Rensburg, S. African Inst. Mining
and Metall. 1970.

[14J John, K.W., "Three-Dimensional Stability Analysis of Slopes in Jointed

Rock", Proc. Open Pit Mines Symp., Johannesburg 1970, Ed. P.W.J.
van Rensburg, S. African Inst. Mining and Metall. 1970.

[15J Heuze, F.E. and Goodman, R.E., "Three-Dimensional Approach for Design
of Cuts in Jointed Rock", Proc., 13th Symposium on Rock
Mechanics, Univ. of Illinois, Ed. E.J. Cording, ASCE, 1972.

[16J Hoek, E., Bray, J.W. and Boyd, J.M., "The Stabilty of a Rock Slope
Containing a Wedge Resting on Two Intersecting Discontinuities",
Imperial College, Rock Mech. Res. Report, No. 17, April 1972.
 C')
....
p.>
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(b
I~...
::r
0
~
8"
....
CJ)

0'
"'0
(b

CJ)
....
p.>
CT'
=:.
........
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»
::I
e..
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til
....
til

SM All CIRCLES GREAT CIRCLES

I PARALLflS I IMERIDIANS I

POLE P REPRESENTING PLANE p WITH

ORIENTATION N 30 W . 60 NE Fig.1b

Plane p represented by pole P, with plane p parallel to plane p

Fig.1a

Pole P representing plane p with orientation N 30 W, 60 NE

tv
\".)

-
232 K.W.John

Plane upon which the points A and B are located dips 60 degrees.
Angle between A and B equals 105 degrees.
Fig.2a

STRIKE

LOWER
REFERENCE
HEMISPHERE
I MERIDIANS I

Fig.2b
Graphical Methods for Slope Stability Analysis 233

- 'pHYSICAL SIGNIFICANCE
OF fRICTION CONE
PLANE p SHOWN BELOW

SURFACE OF
FRICTION CONE

VERTICAL SECTION
THROUGH LOVER
REFERENCE HEMISPHERE

" PLANE P AND TRAC ING OF FRIC TION CONE REPRESENTING

bl DIRECTION OF FORCE N THE DIREC TIONS OF AL L POSSIBLE FORCES
NORMAL TO THIS PLANE R WHICH ACT UPON PLANE p UNDER THE
ANGLE 13 TO ITS NORMAL N

Fig. 3

N
TRACINGS OF FRIC TION GREAT CIRCLE
CONES FOR o OF PLANE p
ANGLES II' REPRESENTED
BY POLE P

GREAT CIRCLE

Fig.4a
234 K.W. John

90 E

GREAT CIRCLE
OF PLANE p
0 _ 20 0 REPRESEN TED
BV POL E P

INTERSECTION Of
HEMISPHERE THE TWO GREAT
Fig. 4b CI RC LES

a)

CSL NSL

.-' 3 l .'-1:'0 SOC, l'J ae

CS t N IOE . 2 7E

I, N 04E , SONW
I, N32E , 40SE
I, N 78W , 90

Fig. 5
Graphical Methods for Slope Stability Analysis 235

Fig. 6

N
al o bl I - I

m§tJmE3390 E

o
s

Fig. 7
236 K.W. John

.
)
N
b)
III-III

HC.

W 90~_

HC

s
Fig. 8

TENSION IN ROCK

ROCK

a. JOINTS

Fig. 9
MEAN FAilURE PLANE

SHEAR ALONG. JOINTS .hear failure in jointed rock a-

)ng mean plane after Jenninp.

RESISTING FORCE . IN DIRECTION OF MOVEMENT VECTOR

R F ...,,,, - l ~ { k ) + W P cos (> un ~a

t
HYPOTH[ TICAL
t
APPARENT
COHESI VE STREN GTH FRICTION ANGLE
EQUATIONS { 11 a I (11 d )
BY IENNINGS
Graphical Methods for Slope Stability Analysis 237

SECTION OF REFERENCE APPARENT fRICTION CONE

TOTAL SHEAR
RESISTANCE CONE
FOR a PLANE

POLES OF a. fl.AND 'I'

PLANES . SEe FIG. 1

Fig. 10
Shear along mean plane represented in plane section of reference hemisphere.

HO RIZONTAL SECTI ON

JOINTS

fI, MEAN
FAILURE PLANE
- A, .2

fI, MEAN
MOVEMENT FAI LURE PLANE
VECTOR ----.... A_ .1

I NTERSECTION OF
a,
a, AND JOINTS -
- MO\IEM~NT VECTOR

FAILURE WEOCE

Fig. 11
Failure pattern of modified wedge bounded by two mean failure planes.
 N
\j.)
IX>

SeCTION II

III
SECTION II

SECTION III SECTION IV

SECTION IV
RF I A,8lkl + Pa tan \!Sa

tan0.I = A,8(kl +tan ¢a

Pa
la ,'.2
.1 FRICTION ONLY
b I TOTAL SHEAR RESISTANCE FS, 1;;

Fig. 12 A Fig. 12 B

Equilibrium limits for wedge fqiling qlong combination of two mean Supplemental planar polygons of force to Fig. Sa :;0::
failure planes using reference hemisphere. ~
~
o
::T'
=
 ...CJ
N I"g.
'"
O·
e:..
3::
~
CASE A
SET Of g-
IOINTS p, ~. & . 1 O
d,
I. E. SAFE AGAINST
c:l-
en
OVE'TUANING
CUT fACE
...0'
en
0
-
'"0
~

SET Of IOINTS p, en
...
tr
'"
CASE B !?
...
_d, .1
'<
OUVERTURNING
d, »
Of SURfICIAL \ U . SUB JECT TO
ROCK ElEMENTS \ OVERTURNING =
e:..
'<
en
....
en
SET Of JO IN TS p,

PLANE p,

SET Of IOINTS p, ~-1

d,
6 c ,3 ..... 34(1

PLANE P,

.!t _ 0 ,4 , 6c .2 ...... 15°

Fig. 13 d,

SECTION I

Joint spacing governing secondary failure of slope surface by overturn-

ing of rock elements. Fig. 14

Rock element subject to overturning using reference hemisphere.

N
~

'"