TITLE: Slope stability in slightly fissured claystones and marls

AUTHORS: Eduardo E. Alonso and Núria M. Pinyol

AFFILIATION: Department of Geotechnical Engineering & Geosciences, UPC, Barcelona, Spain

CORRESPONDING AUTHOR:
Prof. Eduardo E. Alonso
UPC-Campus Nord
Dep. Ingeniería del Terreno, Cartográfica y Geofísica
c/ Jordi Girona 1-3, Edificio D2, 2ª Planta, Despacho 206
Barcelona 08034
SPAIN

EMAIL: [email protected]
TELEPHONE: +34 93 401 68 62
FAX: +34 93 401 72 51

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ABSTRACT:
The paper deals with the behaviour of some characteristic soft rocks found in the Iberian Peninsula. In
geological terms they belong to Tertiary basins, the Keuper period and the Jurassic-Cretacic transition.
The discussion is organized around the following aspects: (a) the intact material and its brittle behaviour;
(b) the weathering action of atmospheric events; (c) the persistent discontinuities and scale effects; and
(d) the modification of strength after failure. In all cases instability phenomena are addressed in
connection with several case histories.
Regarding material brittleness and the initial stress state, two cases of first time failures are discussed.
Practical implications concerning the selection of operative strength will be given
Field observations of the relevance of weathering and, also, on the rate of weathering, are given for a
Weald claystone. Field observations emphasize the importance of sharp transitions between weathered
and intact (or slightly weathered) levels A recent long term laboratory investigation on the nature of
degradation will be summarized. Macroscopic variables such as stiffness and tensile strength have been
found to be uniquely predicted by a degradation law in terms of the accumulated plastic deformations.
Persistent discontinuities and, in particular, sedimentation planes, play a dominant role to explain slope
failures not related to the shallow failures, usually associated with weathered profiles. The strength of
discontinuities in a Weald formation was investigated by means of tests performed at two scales.
Finally, the evolution in time of residual strength induced by chemical actions, associated with
groundwater flow, is highlighted in connection with actual field data of unstable slopes.

KEYWORDS: Slope instability, claystone, weathering, discontinuities, scale effects, in situ tests, case
history.

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SLOPE STABILITY IN SLIGHTLY FISSURED CLAYSTONES AND MARLS
Eduardo E. Alonso and Núria M. Pinyol
Department of Geotechnical Engineering & Geosciences, UPC, Barcelona, Spain

1. INTRODUCTION
This paper concentrates on slope problems in natural formations of the Iberian Peninsula. A significant
part of the territory is occupied by Tertiary sedimentary basins (Fig. 1). These basins, drained by the
longest rivers of Spain, are filled by horizontally layered sequences of claystones, including marls,
siltstones, sandstones and limestone banks. The exposed slopes of the river valleys offer the possibility of
observing the sequence of these materials. Figure 2 provides one example of horizontally layered
Oligocene strata. The exposed claystones often exhibit a varying degree of cementation that explains the
resistance to weathering. When submerged in water these materials may degrade very fast or resist
essentially unharmed. Variable cementation coexists often in a given location. Horizontal layering leads
to stable slopes in general terms, and this is the situation prevailing in the central areas of the valleys.
However, folding and faulting are more common in basin boundaries and slope stability problems become
more frequent.

Figure 1: Simplified geological map of Iberian Peninsula.

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 Figure 2: Claystone and sandstone layers, horizontally layered, in Albagès, Lleida, Ebro basin.

Figure 1 also shows the extent of the Mesozoic basement of the Peninsula. It characterizes also much
extended areas, especially in the eastern part of Spain. Some specific Mesozoic geologic units are well
known for their susceptibility to generate landslides at different scales: the Keuper (Triassic) materials,
the Weald facies at the Jurassic-Cretaceous transition and the Garum facies at the end of the Jurassic
period. These are claystones and siltstones that have experienced, if compared with deposits of Tertiary
basins, a more intense tectonic action. One example of these materials is given in Figure 3: A Weald
claystone found in the foundation excavation for Castrovido dam in Burgos. Paleozoic rocks, also
represented in Figure 1 are left outside this paper.
It is unrealistic to try to define a common set of geotechnical properties for these materials. However, a
number of features that help to introduce the discussion could be mentioned:
 Carbonates and sulphates are often present in variable proportions.
 Discontinuities at a large scale (sedimentation planes, faulting, joints) play very often a
significant role in slope stability (Skempton and Petley, 1967; Morgenstern, 1977; Dixon and
Bromhead, 1991; Mesri and Shahien, 2003). Their behavior is a key piece of information in
many cases.
 Dense microfissuring is sometimes observed, but this is not a very common feature in the
geologic formations mentioned.
 The clay or silt matrix exhibits a brittle behavior when sheared. This is a consequence of
overconsolidation and cementation. The initial state of stress (before excavation, in the case of
open cuts) is seldom investigated, but it plays a very relevant role to explain stability conditions.
One may suspect that K0 values in excess of 1.5-2 is the rule. Both factors (brittleness and high
K0) imply that progressive failure should be a widespread phenomenon in first time failures. A
recent analysis of the effect of K0 and brittleness on the failure of Guadalquivir overconsolidated,
plastic, marine blue clays, of Miocene age, is given by Zabala and Alonso (2011).
 Their permeability may be very low, especially when the clay exhibits a high plasticity. Medium
to low plasticity materials dominate.
 Lack of saturation is very common, because of the semi-arid or arid climates in most of the
Iberian Peninsula, especially in central and eastern regions. More precisely, suction changes
induced by direct atmospheric action result in major irreversible changes in porosity and
strength, which explain slope failures in exposed surfaces. These are processes developing in
time and they are superimposed to the effect of stress changes (in case of excavations) and
dissipation of pore pressures.
 The reactivation of old landslides is generally accepted to involve the residual strength along the
(ancient) failure surface. However, there is evidence showing that chemical processes lead to a
modification of the laboratory measured residual strength. Any process leading to a change of

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 the clay content and clay mineralogy in the sliding surface will lead to a modification of shear
strength (Mesri and Huvaj-Sarihan, 2012).

Figure 3: A sedimentation plane in Castrovido Weald claystone. Despite the sheared aspect of this surface there were
indications of a sin-sedimentary feature. If this interpretation is correct, the observed geometry is a consequence of
early deformations, including some shearing, at the time of deposition

Some of these features will be described in the paper and discussed further in connection with some slope
stability case histories.
The discussion is organized around four topics:
 Material brittleness and progressive failure (first time failures)
 Weathering
 Discontinuities
 The modification of strength after failure (landslide reactivation)
2. MATERIAL BRITTLENESS AND PROGRESSIVE FAILURE EVENTS
2.1. Sabadell cut
Figure 4 shows a slope failure triggered by an excavation at the toe of a relatively gentle slope ( 12º).
The cross section in Figure 5 shows the sequence of Tertiary claystones, siltstones and lightly cemented
sands of Tertiary origin which characterize the slope. These are hard soils that could only be sampled by
rotary coring.
Inclinometer readings (the position is given in Figure 5), taken immediately after the failure, indicated a
slope creeping motion that allowed the identification of a well-marked failure surface at a claystone-
siltstone contact, which followed the inclination of sedimentary layers. It was clear that the excavation
favored the development of a planar motion, which daylighted at the toe of the excavated slope.
Plasticity of the claystone was medium to high (wL = 48 to 56%; wP = 20 to 23%) and “in situ” water
content (w = 26 to 28%) was close to the plastic limit. A series of direct and ring shear tests in remoulded
samples allowed the determination of the strength envelopes shown in Figure 6. The plot shows the brittle
behavior of the claystone. The minimum residual friction angle determined was close to the natural slope
inclination and also to the dip angle of the sequence of strata. No indication of pore water pressures was
found. In fact, four of the borings drilled after failure were equipped with vibrating wire piezometers

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located at increasing depths (7.5 to 24 m; three sensors per boring). In no case positive pore water
pressures were recorded in a few weeks following the failure. No significant rainfall was either measured
in the weeks previous to failure. The strongest daily rainfall was 17 l/m2 during this period and the
sequence of relatively impervious layers parallel to the exposed ground surface made an unexpected
increase of rainfall induced pore water pressure very unlikely.

Figure 4: Sabadell slope failure

Figure 5: Sabadell slope failure. Cross section along slide axis. The position of the sliding surface and remedial
stabilizing measures are indicated.

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 Figure 6: Shear tests on Sabadell slope claystone
The case is interesting because equilibrium was achieved for a friction angle similar to the minimum
measured residual friction angle. Stabilization was achieved by a pile barrier that was designed accepting
that the minimum residual friction angle was operating on the shearing surface. The failure surface was
probably located within the high plasticity claystone layer (Figure 5).
The measured strength envelopes indicate that failure was most probably preceded by a progressive
failure mechanism induced by the excavation. Tertiary deposits in the region are known to exhibit high
horizontal stresses. In an investigation of the “in situ” stresses in a shallow tunnel excavated in Tertiary
claystones in the neighboring city of Tarrassa, Gens et al. (1996) reported K0 values of 1.7 – 2.2. A
previous “damage” (slip contact) of the shearing strength of sedimentary planes may also explain the
failure, but no evidence of striations was found in the cores recovered or in the visual inspection of the
exposed slope.
2.2. Viladesens embankment failure
In May 2004, 200 m of a motorway embankment in the Province of Girona (Viladesens in the remaining
description) experienced a progressive instability that forced the interruption of traffic. The embankment
was built 30 years before and no significant incidents were recorded except for some occasional
settlements. Figure 7 shows the head of the slide which destroyed one of the motorway lanes. The
embankment was built on a natural clayey slope of gentle inclination (8º). The failure was unexpected
because of the long period of stability after construction.

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 Figure 7: Scarp of Viladesens slide. May, 2004
However, the nature of the natural soil, an overconsolidated high plasticity clay, suggests that a slow
creeping motion combined with a progressive failure mechanism could have played a critical role. Figure
8 shows a representative cross section of the embankment. The sliding surface was located, by
interpreting inclinometer readings, close to the contact between the compacted embankment and the
brown stiff natural clay. The slide may be described as a translational motion essentially parallel to the
natural slope. A water table was also identified in the lower third of the embankment height. During the
months prior to failure, intense rainfalls were reported.
Borings performed immediately after the first cracks were detected on the pavement identified a
substratum described as stiff, sometimes hard, overconsolidated and fissured clay. Sand lenses were also
detected in the upper levels of the natural formation, close to the embankment contact. These pervious
materials may have contributed to increase the water pressure on the embankment-natural clay interphase.
Liquid limits in the range 50100% were measured. Natural water content (2122%) was lower than
plastic limit (2930%). Void ratios ranged from 0.5 to 0.65. In cores recovered, slickensided surfaces
(Fig. 8) were also observed. Direct shear tests were performed on cores. Residual strength was also
measured in a ring shear device. Some results are given in Figures 9.

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 Figure 8: Cross section of Viladesens slide and striated and polished surface in brown clay observed in recovered
cores.
Intact core samples tested on direct shear tests exhibited a marked brittle nature. Peak strengths were
reached for relative shear displacements close to 1 mm. Positive (expansion) dilatancy rates were also
recorded.
There was a particular interest in investigating the residual strength conditions that should prevail at the
embankment-natural clay contact after failure. Figure 9 collects data from three different sources: the ring
shear test, some direct shear tests performed on natural slickensided joints and the strength measured on
direct shear tests on cores for large relative displacements (6 mm). Also given in the figure are the peak
strength points (stress ratios) measured in direct shear tests on cores.

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 Figure 9: Stress ratios and secant friction angles for different shearing conditions. Viladesens clay.

The minimum residual friction was found in ring shear tests on remoulded material (res  9º). This
friction angle is equal to the natural slope inclination.
The backanalysis of the failure provided friction angles for the embankment-clay contact slightly above
the minimum residual friction mentioned before. A reasonable estimate was   11.5º. Therefore, it was
expected that additional slide displacements, once the slope was stabilized, could reduce somewhat the
available basal resistance.
2.3. Aznalcóllar failure
Aznalcóllar dam failure was a case of sliding of the dam and an upper slab of foundation soil on a high
plasticity overconsolidated marine Miocene clay. It has been described in a number of papers (Alonso and
Gens, 2006a, b; Gens and Alonso, 2006; Zabala and Alonso, 2011). The failure, represented in Figure 10
was attributed to the persistence of high load-induced pore water pressures in the foundation clay, the
brittle behavior of the clay and the “downstream” construction method of the dam, which generate high
shear stresses under the evolving dam toe. Aznalcóllar is a good example of a progressive failure
phenomenon, analyzed in Zabala and Alonso (2011). Figure 11 is taken from this reference and shows the
predicted position of the shearing band, eventually transformed into a full failure surface, when the dam
reached a height of 25 m, 2 m below the dam height at the time of collapse.

Figure 10: Cross section of Aznalcóllar slide: (a) geometry after slide, as interpreted from borehole data and surface
topography; (b) reconstruction of position of sliding surface before failure (Alonso and Gens, 2006a).

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 Figure 11: Development of the failure surface. The plot shows the contours of equivalent plastic strain calculated in
the foundation of clay when the dam reached a height of 25 m K0 = 1 (Zabala and Alonso, 2011).
2.4. Discussion
One important issue in practice is to predict the average friction angle leading to instability in the sense of
a limit equilibrium analysis. This question has been discussed by some authors and also in the case of
Aznalcóllar. An answer is given in Figure 12, which shows results complied by Stark and Eid (1997) and
the slope stability results of the case of Aznalcóllar.

Figure 12: Mobilized, fully softened and residual stress ratio for field case histories (data from Stark & Eid, 1997;
Alonso & Gens, 2006a; and present paper).
The plot shows, for backanalyzed cases reported by Stark and Eid (1997), the stress ratio mobilized at
failure and two additional values for each of the cases represented: the so-called “fully softened stress
ratio” and the residual stress ratio.
Samples of Guadalquivir clay were remoulded and tested in a direct shear box at very low strain rate and
under different vertical effective confining stress. The stress ratio measured for the average effective
stress in the central part of the slide (around 300 kPa) is 0.47, equivalent to a friction angle of 25º. This
value is very close to the peak and post-peak friction angle measured on intact samples. This result
suggests that the post-peak (at small additional straining) friction of intact samples may approximate the
peak friction angles of remoulded samples. A possible explanation is that in both cases the clay retains a
random non-oriented microstructure of clay platelets and aggregates.
The remoulded, mobilized and residual friction angles in the case of Aznalcóllar are plotted also on
Figure 12, in terms of the liquid limit. Data for the previously described Sabadell and Viladesens failures

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are also included in the plot. In the case of Viladesens an average liquid limit (wL = 75%) was selected to
plot the friction data.
The data by Stark and Eid (1997) and Aznalcóllar tend to indicate that the prevailing average friction at
failure is halfway between fully softened (or peak) and residual friction angles. Other contributions
supporting the fact that a mobilized shear strength of claystones may be at an intermediate value between
the fully softened strength and residual strength have been reported by Chandler (1984), Mesri and
Abdel-Ghaffar (1993) and Potts et al. (1997).However, there is nothing fundamental in this observation.
The mobilized (average) friction angle at failure depends on many aspects (pore pressure generation and
dissipation, clay brittleness, initial stress state…) and also on the external actions leading to the slope
failure. The cases of Sabadell and Viladesens, also plotted in Figure 12 are two extreme cases.
Sabadell is a first time failure induced by a rapid excavation in a highly stressed Tertiary formation. The
failure took place along a sedimentary plane between a high plasticity claystone and a siltstone.
Differential displacements of tectonic origin tend to concentrate on surfaces which are a boundary
between layers of different stiffness. This may be the case in the Sabadell. Then the sliding surface
followed a partially damaged contact. Mesri and Shahien (2003) conclude that in many first time failures
a large proportion of the sliding surface may be at the residual condition. The high initial horizontal stress
identified in these Tertiary formations certainly contributes to reduce further the available shear strength
due to a progressive failure mechanism. The slope has not yet been analyzed in detail to take into account
the expected high K0 value and the strain softening behaviour of the plastic claystone.
Viladesens is a long-term failure induced by an embankment loading. In both cases the average mobilized
friction angle was found to be very close or equal to the residual strength. These two cases suggest that
unless a careful analysis able to handle progressive failure is made, a conservative attitude should be
adopted when selecting the mobilized average friction in brittle overconsolidated high plasticity clays.

3. WEATHERING
Weathering induced by atmospheric cycles on clayey rocks invariably lead to an increase in porosity and
loss of stiffness and strength. Mechanical and chemical reasons explaining the deterioration of shear
strength of claystones have been reported by several authors (Terzaghi 1936, Bjerrum 1967, Wilson 1970,
Skempton 1970, Morgenstern 1977, Hutchinson 1988). Creeping, suction cycles (highlighted below) and
freezing-thawing cycles (of limited intensity in the Iberian Peninsula) also contribute to claystone
degradation (Chandler 1972, Tavenas and Leroueil 1981, Graham and Au 1985).
Vertical profiles of P or S waves are useful to identify the thickness and intensity of weathering. An
example is given in Figures 13 and 14 in connection with the foundation of a large gravity dam
(Castrovido dam). Figure 13a shows a schematic plan view of an excavation in Weald claystones and the
position of P-wave seismic profiles on the right margin of the river valley. Profiles PS-1 and PS-2 are
located on the bottom of the excavation (8 m deep on average), whereas profiles PS-11 and PS-12 are
located on natural undisturbed ground a few meters upstream of the PS-1 and PS-2 profiles. The purpose
of this arrangement was to compare a long-term weathering action (PS-11 and PS-12) and a short-term
exposure to atmosphere (PS-1 and PS-2). Short-term here means 3 years because the excavation remained
open a relatively long-time because of administrative reasons.

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(a)

(b)

13
 (c)
Figure 13: (a) Arlanza Valley in Weald claystones and contours of Castrovido dam. Also indicated is the position of
P-wave vertical profiles; P-waves seismic profiles: (b) PS-1 and PS-2 and (c) PS-11 and PS-12.

Figure 14: Vertical profiles of P-wave velocity in positions C and D (Fig. 16).

The P-wave seismic profiles are given in Figures 13 b and c. Long-term natural weathering (Fig. 13b)
reaches deeper levels than the short-term (3 yrs) exposure to atmosphere (Fig. 13c). This is better
appreciated if vertical profiles of P-wave velocity are compared at two given positions (profiles “C” and
“D” in Fig. 13 b and c). The comparison is shown in Figure 14. In both cases all profiles show a distinct

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pattern: the rate of increase of Vp with depth is relatively high in the upper levels and decreases to a lower,
approximately constant value at depth. The deep trend of Vp increase with depth may be interpreted as an
indication of undisturbed claystone. Then, the plots in Figure 14 may indicate some maximum depth of
the weathering action (7-10 m in the excavated abutment, and 1220 m in the natural ground). Note that
the origin of the plot in Figure 14 does not correspond to the same elevation for the two cases shown. If
the plot for the excavated ground is displaced vertically downwards 10 m (the depth of the excavation)
the straight lines describing the increase in seismic velocity in the undisturbed rock essentially coincide.
The profiles also show a very low value of (extrapolated) P-wave velocity at the surface. This is, in this
case, an indication of the effect of lack of confining stress on wave velocity. In fact, Vp measures
essentially the soil volumetric stiffness, which depends on the confining stress but also on the “quality” or
degree of weathering of the material.
This double dependence makes it difficult to separate the two effects in a clear way. In this particular
case, the Weald claystone foundation of the Castrovido dam in Burgos, core samples were recovered in
several borings drilled from the abutment excavation and vertical profiles of water content and natural
density with depth could be plotted. They are given in Figure 15. Void ratio could be also calculated (s =
2727.5 kN/m3). At depth void ratio is close to 0.1 and it increases steadily when the surface is
approached. At depths of 02 m calculated values of void ratio range between 0.4 and 0.5.

(a)

(b)
Figure 15: Castrovido Weald claystone. Variation with depth in the exposed excavation of (a) water content and (b)
natural density. Symbols refer to different borings

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The profiles of water content and density of Figure 15 are reasonably consistent with the Vp plots vs.
depth (for the excavated ground) shown in Figure 14. A weathering depth of about 6 m may be identified
in Figure 15. This weathering is the result of 3 years of exposure to atmospheric action and also the result
of the large stress reduction implied by the abutment excavation.
Castrovido Weald claystone in its undisturbed state is a dense mixture of Calcite, Quartz, Muscovite and
Kaolinite. It has a low plasticity (wL = 2435%; PI = 1015%) and its unconfined compression strength is
rather variable (240 MPa). Strength and stiffness is lost at a fast rate when water content increases and
this is shown in Figure 16. The implication in terms of slope stability is the development of shallow
failures. Instabilities are typically triggered by intense rainfall events but, in this case, the main factor was
the slope deforestation which reduced the suction induced by the tree roots.

Figure 16: Variation of unconfined strength and stiffness measured in cores recovered from the Weald formation in
Castrovido. Symbols refer to different borings
The preceding discussion indicates that two main effects control weathering: the atmospheric cycles
(evaporation-rainfall induced wetting) and the confinement stress. An investigation of the damage
induced by cycles of suction change at different isotropic confining pressures was reported by Pineda et
al. (2013). Core samples of Lilla claystone, a similar low plasticity dense claystone to Castrovido, were
subjected to stress-suction cycles paths involving different confining stresses and a varying intensity of
suction change (Pineda et al, 2013). Sample stiffness was measured during testing by P and S-wave
transmission. Sample volumetric deformations were also monitored. Strength and pore size distributions
were determined at the end of the cyclic suction changes.
A general damage rule could be established by relating the loss stiffness and strength with irreversible
(plastic) volumetric expansion (Fig. 17). This rule may be used in constitutive models to simulate
weathering effects. It shows that weathering effects may be related in a simple way to volumetric
expansion, a result which was also present in the plots given in Figure 15.
A final remark concerns the evolution of pore size distribution (Fig. 18b, e). The initial pore size
distribution of the undisturbed specimens of Lilla claystone is essentially characterized by a monomodal
distribution of very small pores. Suction cycles create a family of very large pores (Fig. 18e). The
practical implication is a significant increase in permeability. In fact, weathered soil profiles in a given
claystone unit exhibit a decrease in permeability with depth. Often, definite weathering fronts are
identified (Alonso et al., 2003). The associated sharp changes in permeability may explain the
development of positive pore water pressures at the interfaces as a result of rainfall infiltration. These
interfaces mark the position of shallow failure surfaces as discussed in detail in the previous reference.

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 Figure 17: Reduction of strength and stiffness with accumulated plastic deformation

Figure 18: SEM photomicrographs at initial (b) and (e) degraded states. After Pineda et al.(2013).

4. DISCONTINUITIES
Two types of slope instability are present in the Castrovido dam area: shallow failures and planar failures
controlled by sedimentation planes (Fig. 19). The photo shows the large excavation of the right abutment
of the dam and a collapse of the downstream side of the excavation. The discontinuous lines show the dip
of the sedimentation planes. At a large scale the Weald formation is a sequence of claystone and
interbedded sandstone layers although the claystone lithology dominates the sediments.

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 Figure 19: Planar failure in Castrovido claystone controlled by sedimentation planes
Slope stability and, indeed, the stability of the concrete gravity dam designed depend critically on the
strength available in these sedimentation planes. Three types of contacts were identified in the course of a
detailed field surveying campaign: sandstone-sandstone, sandstone-claystone and planes inside the
claystone. One significant aspect of this soft rock formation was the presence of Muscovite mica. Mica
platelets were dispersed in the claystone matrix but they were often found also in some sedimentation
planes inside the sandstone strata. The shear strength of stratification planes was investigated by direct
shear tests at two scales: (a) tests were performed on block samples, up to 30 × 30 cm, recovered from
several locations of the entire dam excavation area, and (b) large-scale “in situ” tests, 80 × 80 cm in size.
Table 1 shows the results of the shear tests on block samples containing the plane being sheared. In all
cases the joints were saturated prior to shearing.
Table 1: Laboratory direct shear tests on block samples (up to 30 × 30 cm).
Type of interface Peak friction angle Residual friction angle
Sandstone-sandstone (mica contact) 14º 14º
Sandstone-claystone contacts 19º 13º18º
Planes inside the claystone 24º 14º20º

Residual conditions were approximated by applying a reversal loading cycle. The sandstone-sandstone
contacts, when filled by mica sheets exhibited a ductile behavior and a low friction angle ( = 14º).
However, they were not commonly found and sandstone-claystone contacts dominated the apparent
behavior of the Weald formation at a large scale. These contacts were planar at the scale of the recovered
blocks and the data in Table 1 does not reflect the contribution of geometrical irregularities of the contacts
beyond a certain scale.
This is better illustrated if one examines the roughness of a natural claystone-sandstone contact at a much
larger scale (Fig. 20). The figure shows an uncovered contact during the preparatory works to locate the
large-scale “in situ” shearing tests. Subvertical local fractures led a rough surface having abundant
“jumps”, difficult to characterize by a typical random roughness. The “in situ” shear tests were arranged
to test the contact plane shown in Figure 20. Figure 20 also shows the tested plane in one of the six tests
performed.
“In situ” tests were performed in a “staged” manner by applying an increasingly large normal stress and
shearing the joint until limiting conditions for each normal stress applied. Shear displacements to reach
the joint strength were very small (a few mm), as shown in Figure 21, and the reduction of contact area
was of no concern. The sheared plane was maintained under water during the test preparation and the
shearing stage.

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 Figure 20: Castrovido Weald form. Exposed sandstone-claystone sedimentation surface. Zoom-in of contact after
insitu shearing test.

20

16
Shear load (Ton)

12

0
0 2 4 6
Displacement (mm)

Figure 21: Staged shearing of an “in situ” 80x80 cm sample.

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 Figure 22: Strength envelopes determined by different tests on claystone –sandstone sedimentation contacts.
Castrovido Weald formation

The most significant difference, when comparing the tests at the two different scales (80 cm “in situ” and
2030 cm in the laboratory) was the nonlinear response of the “in situ” specimens that resulted in
relatively high friction angles (but extremely variable) at low confining stresses (say lower than 0.2 MPa).
An educated average strength envelope for the entire area is also shown in the figure.
The preceding results bring the question of scale effects when testing stratification surfaces. Figure 32, at
normal stresses n < 0.2 MPa, indicates that the large “in situ” tests incorporate a more significant
geometrical term in the measured strength. Hoek (2000) reports an empirical correction for scale effects
on his joint roughness coefficient, JRC:
. ∙
(1)

where is the roughness value for Lo = 100 mm and Ln is the “in situ” prototype length. This
relationship is not supported by the preceding data. In fact, as an example, if Ln = 10 m and = 10º,
then = 4º. This reduction in strength is not observed in the tests performed.
This case illustrates the significance of sedimentation surfaces in practice, especially when they explain or
can be integrated into a critical failure mechanism. The large lateral extent and the possibility of pre-
shearing have been widely recognized in the literature. The case discussed here highlights the difficulty to
quantify the available strength even if a significant effort and economic resources are applied. An
additional issue is the effect of scale, which is related to the particular geometrical details of the critical
discontinuity surfaces.
5. THE MODIFICATION OF STRENGTH AFTER FAILURE (LANDSLIDE
REACTIVATION)
The residual friction angle is known to depend on rate effects but also on “state” effects. Ageing or
healing has been reported to be a state effect leading to the progressive increase in residual friction angle
during stability periods. Alonso (2012) provides a recent account of some experimental data on strength
recovery in terms of “resting” time. Mesri and Huvaj-Sarihan (2012) question the gain in residual strength
in resting periods. They believe that the gain observed in drained reversal shear box tests as well as in
torsional shear tests is a consequence of spurious experimental results. However, the healing effect has

20
often been observed when testing rock joints and gouge materials in faults (Karner et al. 1997, Marone
1997, Niemeijer and Spiers 2006). Mechanisms invoked to explain the changes in friction during holding
times are pressure solution of minerals, breakage and deformation of particles (cataclasis) and foliation of
phyllosilicates. The first and third mechanism may be present in dormant slides in clayey soft rocks. This
issue probably requires further examination.
An additional state effect is associated with chemical interactions on the failure surface. Strength may
increase accumulation of salt especially in coastal areas, precipitation of carbonates and iron compounds,
and exchange of lower valence to higher valence cations (Kenney 1967; Chandler 1969; Hutchinson,
1969, 1970; Hawkins 1988; Moore 1991; Hawkins and McDonald 1992; Moore and Brunsden 1996;
Anson and Hawkins 1998, 2002; Tiwari et al. 2005).
There are also mechanisms leading to the reduction of strength. They constitute a more serious challenge
because they imply a long term loss of safety. Alonso (1998), when reviewing a few reactivation
landslides in low to medium plasticity clays, found that the backanalyzed friction angle was
systematically below values reported in well-known correlations (Lupini et al., 1981) between residual
friction angle and a number of index tests. Figure 23, for instance, shows the position of four cases
(Cortes, La Riba, Vallcebre upper and lower) on a plot relating residual friction and Plasticity Index. The
four points lie below the correlations.

Figure 23: Bounds of residual friction angle reported by Lupini et al, 1981 and residual friction angles from
backanalysis of four actual failures described in Alonso (1998)

In one of the cases presented (Cortes), the thin shearing surface was located within a 2 m thick marly
layer of secondary origin. The “marl” was in fact a mixture of dolomite and quartz-crystals and kaolinite
and illite clay particles. However, when the thin shearing band that constitutes the actual failure surface
was analyzed by X-rays, dolomite was almost entirely absent. Shearing tests on the “marl” matrix and the
shearing surface itself showed a difference of almost 5º in residual shearing friction (Alonso et al., 1993).
The process leading to the vanishing of dolomite crystals in the sliding surface is not clear. But a
possibility advanced in Alonso et al. (1993) is the progressive dissolution of dolomite by acid rainwater
after the first landsliding event. Hawkins et al. (1988) have shown that decalcification process lead to a
reduction in residual friction. Whether the sliding surface is a preferential path for subsurface water or not
is however not well documented. More recently, Thuro and Hatem (2010) tried to explain the historic
Goldau fast landslide in Switzerland by a process of decalcification and loss of strength in the weathered
marl where the rupture surface was located.
There are, however, other chemical processes that may also play a role. Shuzui (2001) analyzed samples
taken along the failure surface in Kunimi landslide. The failure surface was located in a hard mudstone.
He found an increase in smectite content when moving from the top to the toe of the slide.

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Azañón et al. (2010) report the presence of bands of clay rich layers in the position of sliding surfaces of
two landslides in shales and flysch in the south of Granada province, Spain. Smectite is the dominant
mineral in these clay-rich layers. These authors, as well as Shuzui (2001), explain the mineralogical
evolution of the clay-rich layers by establishing the balance relationship that regulates the concentration
of different clay minerals. For instance, in the case of calcium montmorillonite and kaolinite:
6 2 9 ↔7 2 8 (2)

In the slides described by Azañón et al (2010) carbonated rocks located at a higher elevation provide a
continuous supply of calcified water which explains the abundance of Ca++ and CO3H- ions. Direct
infiltration from rain also increases after instability because of the heterogeneous nature of the involved
soils: a mixture of clay and blocks of different lithologies (marls, gypsum, limestone, sandstones). In situ
resistivity surveys indicated that the moving mass had a low resistivity if compared with nearby locations.
This situation favours the water infiltration towards the sliding surface. Therefore, the hydrologically
drive process contributes to leaching of carbonate minerals, increasing the Ca+2 and ion
concentration. This increase displaces the balance towards the left in the preceding equation and the
montmorillonite concentration tends to increase. In practice, an increase in the contents of bicarbonate in
the landslide water (when following the landslide slip surface) is correlated with an increasing content of
montmorillonite.
The implication of these phenomena is clear for the analysis of the reactivation of landslides: it appears
that the hydraulic regime established after an initial instability may lead to an increase in the clay content
of the sliding surface and therefore to a reduction of the available residual friction. One of the practical
problems associated with these phenomena is the difficulty to identify thin shearing bands by means of
regular geotechnical surveying techniques.

6. CONCLUSIONS
Four main topics have been addressed:
 Brittleness and progressive failure in first time events
Progressive failure is probably a widespread phenomenon in first time failures although it is difficult to
identify and measure in practice. There are no precise simple rules to select an engineering estimation of
“average” strength explaining the initiation of failure. Examples given show that this average (limit
equilibrium related) strength varies between the residual friction and an intermediate value between
residual and peak friction angle. The precise determination of the failure process requires specific
attention to a number of contributing aspects: initial stress state, process leading to the generation of the
slope (excavation, loading, stability problem) and its geometrical and time development, pore water
pressure dissipation, constitutive soil model, etc. Available computational tools have difficulties to handle
these problems.
 Weathering
Weathering explains the occurrence of shallow slides. Physical weathering is controlled by confining
stress and atmospheric cycles of suction (water content) changes. In stiff and dense claystones,
weathering results in an increase in porosity and a very rapid decrease in stiffness and strength. In
addition, permeability increases also in a significant way. As a result, the hydrologic response of the slide
against rainfall action is controlled by the specific permeability profile. Weathering fronts are also a
boundary separating zones of large permeability changes. Maximum pore water pressures localize at
these boundaries, which then become a natural position for sliding surfaces.
 Discontinuities
Discontinuities are ever present in most of hard soils/soft rocks. Attention has been given to
sedimentation planes in connection with a relatively involved field investigation to determine the
available strength on the critical contacts between a softer material (a claystone) and harder layers
(sandstone). The conclusion is rather pessimistic. Despite the effort, strength envelopes remain
heterogeneous in an otherwise well-characterized geological unit. Large-scale “in situ” shear tests seem to
be a good option, but, again, their reasonable size (in the order of 1 m × 1 m) is not able to cope with the
size of irregularities. The size or scale effect remains an open question.
 Modification of strength after failure (landslide reactivation)

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Field studies, progressively being published, indicate that the residual friction angle actually operating at
the failure surface have experienced a significant change if compared with some original (or first time
value). The examples mentioned indicate an increase in clay content in all cases and, therefore, a
reduction in residual friction. The operating mechanism seems to be related to the dissolution of
carbonates and to the parallel increase in clay minerals (in some cases montmorillonite, but not always).
The implication for practice is related to the difficulty of identifying in the field the thin shearing layer in
which these phenomena have been active in the past.

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