Slope stability and

Earth retaining structures

Professor C F Leung
Ph D, C Eng, P Eng (Geo)
e-mail: cvelcf@nus.edu.sg; ceelcf@nus.edu.sg

CE203 Geotechnical Engineering

Slope stability and Earth retaining structures
• Introduction to slope stability
• Slope and embankments
• Active and passive earth pressure
• Rigid and flexible retaining structures
• Deep excavation

1
 2.1 Slope stability

Modes of slope failures

Method of analysis
• Limit equilibrium analysis
• Factor of safety against slope failure for a
given trial slip surface F
= restoring moment/disturbing moment
where restoring moment is contributed by
the soil resistance (strength) along the slip
surface and disturbing moment is mainly
contributed by weight of soil within the slip

2
 Limit Equilibrium Analysis
• φu = 0 (saturated clay undrained condition,
i.e. for temporary slope only)
• Factor of safety of a particular slip
F = restoring moment/disturbing moment
= cuLaR/Wd (see next slide for definition)
• Slip is assumed to be circular

Assume circular slip

Moment equilibrium (about centre of slip O)

Disturbing moment
(due to weight of soil
W inside slip circle)
= Wd

Resisting moment
(due to shear
strength cu along slip
arc) = cu La R
= cu R2 θ

Factor of safety for

this slip circle =
La is the slip arc length AB resisting/disturbing
R is radius of slip circle moment

3
 Effect of tension cracks
Depth of
tension
crack Zo

1. Additional disturbing force from cracks filled with water.

2. La reduced to arc length AC as BC offers no resistance

Factor of safety of a slope

• It is the absolute minimum of all the safety
factors for all potential failure slips
(thousands of potential slips for a given
slope)

4
Craig Example 9.1

What happen
if there are
tension
cracks (with
or without
water in the
cracks)?

Discuss on
Zo

5
 Taylor’s chart
• Applicable to quick and approximate
estimation for temporary slope excavation
(i.e. total stress analysis involving cu and φu)
• Factor of safety (of all possible slip
surfaces) F = cu/(Ns γ H)
where Ns is obtained from the Taylor’s
chart, γ is the unit weight of soil and H is
height of slope (see next slide)

Taylor’s chart

6
 Example on Taylor’s chart
Sewerage pipes will be placed in a vertical trench. Estimate
the maximum temporary excavation height for the pipe
installation by adopting a minimum F of 1.3. (Given γ =
17 kN/m3, φu = 0 and cu = 30 kPa, i.e. firm clay).
(1) Vertical trench implies slope angle β = 90o
(2) No information on bedrock so take D as infinity
(3) Ns = 0.26 from Taylor’s chart
(4) F = 1.3 = 30/(0.26 x 17 x H)
Hence maximum excavation depth H = 5.22 m
[Note: H will decrease significantly with time when negative
excess pore pressure (i.e. suction) has time to dissipate.]

Limitations of Taylor’s chart

• Homogeneous soil only
• F in terms of cu only (hence not for sand)
• Tension crack ignored
• Total stress analysis (only for temporary
slope such as the example in previous slide)

7
 Bishop’s simplified method
To handle a more general analysis involving
different soils, total or effective stress analysis
etc., Bishop simplified method is the most
commonly used. Assumptions:
– Circular slip analysis
– Limit equilibrium analysis
– Slip surface is divided into a number of slides
– An iteration approach by assuming an initial F until the
left hand and right hand F coincides

8
 Equations
• In terms of total stress (temporary excavation)
Factor of safety of a trial slip surface F
= ∑{(cub + W tan φu) sec α/(1 + tan α tan
φu/F)}/(∑W sin α)

• In terms of effective stress (permanent excavation)

F = ∑{(c’b + [W - ub]tan φ’) sec α/(1 + tan
α tan φ’/F)}/(∑W sin α)

Symbols
• b = width of individual slice,
• W = weight soil within each slice,
• α = angle of inclination of base of each slice with
respect to horizontal
• u = pore pressure at mid-base of each slice
• Use the shear strength parameters of the soil that
is in contact with the base of the given slice
[Note: water greatly affects slope stability as it
increases W and u and reduces soil strength.]

9
Example on Bishop method, see earlier figure for slide configuration

From C R Scott

Example is in terms of effective stress

Note: ru = ub/W;
mα = (1 + tan α tan φ’/F)

10
 Factor of safety
• The above example only gives a factor of safety
against slope failure for a given trial slip surface.
Many trials need to be carried out to obtain F of
all possible trial slices and the factor of safety of a
slope is the absolute minimum F of all F values
determined.
• Hence computer program is required to handle the
analysis.
• Use effective soil parameters c’, φ’ and water
pressure u (long term is more critical) except for
temporary cuts.

Infinite slopes

11
 (1) End effect ignored
for a sufficiently long
slope.
(2) Failure plane
(depth z) and water
table (at mz above
failure plane) are
assumed parallel to
the slope surface.
(3) Water flows
parallel to the slope
surface with a simple
flow net.
(4) Taking an inclined
slope length of 1 m
as shown, the pore
pressure u (anywhere
on the failure plane)
and weight of soil can
be determined by
geometry (see left).

Factor of safety F
• F = available shear strength τf/ mobilized shear
strength τ
Mohr-Coulomb concept
• In terms of total stress (short term/end of
construction) τf = cu + σ tan φu
• In terms of effective stress (long term)
τf = c’ + (σ - u) tan φ’
• By geometry (previous slide) [β is slope angle]
– σ = W cos β
– τ = W sin β

12
 Example

A long natural slope in clay is inclined at 20o to the

horizontal. The relevant soil parameters are γsat = 20
kN/m3, c’ = 15 kPa and the water table is observed to be
very close to the surface (i.e. m = 1). Estimate the depth of
the shear failure plane z. [Take γw = 10 kN/m3]
Solution [use equations from previous slides to verify the
following]
• σ = 20 cos2 (20) z
• u = 1 x 10 x cos2 (20) z
• τf = 15 + (10 cos2 (20) z) tan (15) = 15 + 2.366z
• τ = 20 sin (20) cos (20) z = 6.428 z
• At failure F = 1, τf = τ. Hence z = 3.693 m.

Discussions

• Circular and non-circular failure slips

• Effect of water table
– High water table implies higher pore water
pressure. Hence slope is more critical!
• Submerged slopes
– Slope is more stable if there is water in front of
slope (e.g. seaside or waterside slopes. Thus
need to evaluate lowest tide condition!)

13
 Embankment (short term is critical)
uo = original pore
Embankment pressure (before
construction)

Δu = excess pore
pressure built up due to
embankment
construction

tc = time at end of
construction

Factor of safety of slope F increases with time, use total stress analysis!

time After Craig

Cut slope (long term is usually more critical)

uo = original pore pressure (before construction)
Δu = excess pore pressure built up (negative due to
slope excavation, i.e. soil is swelling)
uf = final long term steady state pore pressure
tc = time at end of excavation

Slope excavation

After Craig
Factor of safety of slope F

Generally adopt effective stress analysis. If not sure, conduct both

total and effective stress analysis to evaluate the critical case.

14
 Tell-tale signs of slope failure
• Development of cracks especially near the
edges
• Abrupt changes in a short period of time
– soil settlement
– lateral soil movement
– pore water pressure
[Note: quickly stabilise slope base area if
there are danger signs]

Remedial measures for unstable slopes

• Cut and fill approach

– Cut at slop crest or fill at the slope base
• External support approach
– Bored piles, sheet piles, retaining wall, soil
nails, ground anchors
• Soil improvement approach
– Vegetation, drainage improvement,
goesynthetics, shotcrete

15
 Slope
failed &
house had
moved
down
Drainage channels
Shotcrete
on slope
protection
on slope
Contiguous bored pile
to stabilise slope

Cut back
of slope Piles
crest

Slope stability software

Slope-W computer program

16
 2A Derbyshire Road

1.
6
1.555

1.6
Description: Fill
Unit Weight: 17.5
103 Cohesion: 25
101
Description: Peaty clay
99 Unit Weight: 14
97 Cohesion: 20
95
93 Description: Marine clay
91 Unit Weight: 15
89 Cohesion: 20
87
85
83
0 5 10 15 20 25 30 35 40 45 50 55 60

Fig. 11

2.2 Embankment
• Slope stability concern at both edges under
embankment loading

17
Preloading using an embankment

The purpose is to accelerate consolidation settlement using

preloading/surcharge such that the remaining settlement under
working condition is relatively small.

18
19
 2.3 Earth pressures
Permanent Retaining structures:
use effective stress soil parameters drained
cohesion c’ and friction angle φ’ plus water
pressure

Temporary Retaining Structures:

use total stress soil parameters undrained
cohesion cu and friction angle φu

20
 Earth pressure at rest
• Earth pressure at rest situation:
Wall is fixed and therefore soil cannot move
Fixed
wall

Earth pressure at rest

• Vertical pressure at a given elevation
= σv = γz
where γ is the unit weight of the soil, and
z is the depth of soil below ground level

• Lateral pressure = po = Ko γz
where Ko is the coefficient of earth pressure at rest
= OCR0.5 (1 - sin φ)
where OCR = overconsolidation ratio
[=1 for normally consolidated (soft) clay; >1 for
overconsolidated (stiff) clay.]

21
 Active earth pressure
Soil pushes wall (soil behind a retaining wall situation)

Active earth pressure coefficient Ka

• There is stress relief in the lateral direction
due to soil moving out towards wall.
• Thus the major principal stress σ1 is in the
vertical direction and minor principal stress
σ3 is in the horizontal direction
• Active earth pressure pa at a given elevation
= Ka γz - 2c sqrt(Ka)
where Ka = tan2(45 - φ/2)

22
 Passive earth pressure

Wall pushes soil (soil in front of retaining wall situation)

Passive earth pressure coefficient Kp

• There is stress built-up in the lateral
direction as soil is squeezed by wall.
• Thus the major principal stress σ1 is in the
lateral direction and minor principal stress
σ3 is in the vertical direction
• Passive earth pressure pp at a given
elevation = Kp γz + 2c sqrt(Kp)
where Kp = tan2(45 + φ/2)

23
What you have learned so far is the “Rankine earth pressure theory”

At
rest

Active pressure: pa < po and only small wall outward movement

(of the order 0.1% of retaining wall height) is necessary to
mobilise pa.
Passive pressure: pp >> po and large wall inward movement
(of the order of 3% of wall height) is necessary to mobilise pp.

Earth pressure thrust

• For a single soil with no water table, the pressure
distribution is triangular (see earlier figures).
• The total pressure against the wall is termed as the
earth pressure thrust.
• Thus active pressure thrust PA
= 0.5 Ka γH2 - 2c sqrt(Ka)H (unit kN/m run)
where H is the height of retaining wall.

24
 Earth pressure thrust
• Passive earth pressure thrust PP
= 0.5 Kp γH2 + 2c sqrt(Kp)H (unit kN/m run)

• Soil parameters --
– For permanent wall, use effective stress soil parameters
c’ and φ’
– For temporary wall (e.g. temporary sheet pile wall for
excavation), use total stress soil parameters cu and φu

Effects of surcharge, water and soil layers

This is the general situation (note: need to take care

of zi or H to arrive at kN/m run of wall)
PA = ΣKai (q + γizi) - 2ci sqrt(Kai) + γwHw
PP = ΣKpi (q + γizi) + 2ci sqrt(Kpi) + γwHw
Use (1) c, Ka and Kp of present soil layer
(2) γ of respective soil layer
(3) γ for soil above water table and effective soil
unit weight γ’ (= γ - γw) for soil below water table
(4) Hw is height of water table above wall base.

25
 Critical effect of water pressure
From the previous slide, you may note that water has
no Ka (i.e. its K = 1 because it is a liquid). Thus
water pressure can be a major component of the
pressure thrust on a wall especially for sandy
backfill (with Ka << 1). Thus it is good to let the
water behind a retaining wall to drain away as
quickly as possible. That is
– Place sand between wall and impermeable
cohesive backfill
– Provide weep holes at the wall and maintain
them properly during service life of wall

Craig Example 6.1

26
Craig Example 6.2

27
Comments:
(1) For retaining wall, backfill is used. Thus soil profile is simple and
earth pressure calculations are easier.
(2) For sheet pile wall, insitu soils are involved. The soil profile can
be complex and earth pressure calculations are very tedious.

28
 2.4 Rigid retaining walls
• Stability of wall relies on the weight of wall
and soil above the wall.
Soil above wall base
increases wall stability

soil
Gravity Soil
Wall (active
pressure) soil Cantilever
Soil
wall
(passive
pressure)

Sequence of rigid wall construction

(b) Base reinforcement

(a) Cutting of (c) Stem
back slope reinforcement

(d) Construction in progress (e) Completed wall

29
 Weep hole
Old fashion rigid to drain away Reinforced earth
retaining wall water wall (AYE Ayer
Rajah Crescent)

Crib wall at Close-up view

Hillview Ave of crib

Design checks
• Reinforcement of cantilever wall by
structural engineers
– (Caution: wrong re-bar design and placement
had caused many wall failures)

• Global slope stability check -- the whole

slope including the retaining wall may fail

30
 Design check against sliding
Wall may fail by sliding laterally
Factor of safety against sliding failure
F = (ΣHorizontal resistance)/(Σ Horizontal force)
where horizontal resistance = W.tanδ,
W is total weight of wall and soil above wall base
and δ is the angle of friction between wall base
and soil (typically about 0.5 to 0.67φ)
and horizontal force is the active pressure thrust on
the wall.

Sliding check (cont.)

• Desired F > 1.75
• In many instances, sliding is the most
critical case for wall stability. If F against
sliding is insufficient, a key may be
provided at the base to enhance stability.

wall Additional passive resistance

is provided in front of the key
to resist sliding
key

31
 Design check against overturning
Wall may fail by overturning and design is by
examining moment about the wall toe.
F = (Σ resisting moment about toe)
/(Σ overturning moment about toe)
wall
PA
W
Moment arm
toe
Moment
arm
Desired F > 2

Bearing capacity design check

R = resultant of wall e = eccentricity
W and PA = B/2 - (moment due to
B = wall base width W - moment due to
PA at mid-wall base)/W
R
W

PA
Pmax = (W/B)(1+6e/B) e Pmin = (W/B)(1-6e/B)
O.5B
should be < allowable & should be > 0
bearing capacity pmin I.e. e < B/6
pmax [middle third rule]
Base pressure distribution

32
Example on rigid wall (from Craig)

33
34
BCA on slope protection structure

35
 2.5

Sheet pile
wall

Sheet piles are commonly used for

(a) temporary excavation [as they can be re-used again)
(b) permanent water front structure

36
Sheet pile cofferdam

Sheet pile wall anchored by ground anchors

(for deeper excavation)
Ground anchor

Waler

Close-up view
of ground
anchor

37
 Cantilever Sheet pile wall

Steel
sheet
pile

Simplified design approach

Cantilever sheet pile wall

• Design approach (see fig. (c) of last slide)
– Dredged level h is given
– Determine PA (behind wall) and PP (in front of
wall) in terms of depth of penetration d [Some
engineers divide Pp by 1.5 for extra safety]
– Take moment about C to avoid R and to obtain
depth of penetration required d
– Increase d by 20% to account for the
simplification in design

38
 Anchored sheet pile wall

Net of water
pressure for
both sides

If h is large, it is necessary to install an anchor to help stability.

Anchored sheet pile wall

• Design:
– Take moment about A to avoid T and hence d is
obtained
– Once d is obtained, determine T by horizontal
force equilibrium. I.e. T = Pp - Pa
– Increase d by 20% and T by required factor of
safety (typical value 2)
• Sheet pile section design (for cantilever wall also)
Work out bending moment from pressure diagram
and choose pile section that can resist the moment.

39
 Choose pile section that can resist the bending moment

Example on sheet pile wall (from Craig)

40
41
 2.6 Deep excavation
Retaining wall type Support type
Soldier pile & lagging Lateral strut
Sheet pile wall Raker (inclined strut)
Contiguous bored piles Berm
Diaphragm wall Ground anchors

42
Nil support or single support walls. Applicable for stiff soils and/or
shallow excavation. Previous sheet pile wall analysis is valid.

Refer to
case studies
later

Multiple support walls: analysis is empirical.

43
 2
5

4 (strut)

3 (King post)

Connection details between strut and king post

44
 Deep excavation construction sequence

First stage excavation Placing of waler on bracing King post

Placing of strut on
king post and waler
Proceed to second stage excavation

Tanjong Pagar Station under

construction in 1980s

Weak
rock:
Only lean
concrete
required
for such a
deep
excavation

Stiff soils: Timber lagging with ground anchors

45
 Typical modes of failures

Wall and support

too weak

Soil too soft

46
Design against base heave

F > 1.5 for temporary excavation

F > 2 for permanent excavation

47
 Earth pressure on supports

Peck’s apparent
pressure diagram

Settlement behind wall

Settlement/Maximum depth of excavation (%)

(Distance from excavation)/(Maximum depth of excavation)

48
 Settlement behind wall
• Zone I: Sand and soft to hard clay average
workmanship
• Zone II: a) Very soft to soft clay
– 1) Limited depth of clay below bottom of
excavation
– 2) Significant depth of clay below bottom of
excavation but N < 5.14
b) Settlements affected by construction difficulties
• Zone III: Very soft to soft clay to a significant depth
below bottom of excavation and with N > 5.14
[Stability number N = γH/cb]

Ground settlement
Excessive ground movements when
• excavation is allowed to proceed too deep
before uppermost strut is placed
• layer of stiff clay for sheet pile embedment
is located at great depth
• strength of sheet piles and struts inadequate

49
 Example on temporary deep excavation
Base heave check:
F = Nbc/(γH + q)
where Nb = 5.5 for a strip
excavation with H/B = 7/20 =
0.35,
c = cu = 15 kPa,
Average
Cu = 15 kPa H=7m
γ = 16 kN/m3
Thus F = 0.67
grossly inadequate as
expected for excavation in
soft clay. The retaining wall
needs to penetrate deeper into
Width of excavation B = 20 m
sound formation to prevent
base heave.

For temporary excavation in soft clay, it is not

necessary to consider water pressure but use full γ.

Earth
pressure

Assuming soft clay below excavation depth, take m = 0.4

50
Settlement behind wall: Stability number N = γH/cb
= 16 x 7/15 = 7.5 > 5.14. Worst scenario – Zone III soil.
Settlement is expected to be very large.

Ground movements can be

minimised
• Adequate strutting especially at the lower
strut levels
• providing sufficiently large section modulus
for the sheet pile
• driving the sheet pile to sufficient depth in
stiffer soil

51
 Practical considerations to minimise
ground movement
• good monitoring program
• reduce storage of materials adjacent to
excavation
• excavation of soft soil in small and alternate
stages
• cross-strutting and attachment to king post must
be done as soon as possible
• wedging or jacking to maintain tight contact for
all bracing members
• preloading of struts to remove Preloading
slackness of support system jack

‘Chicken feet’ to
spread load at
waler and corner

Cut and cover

while excavation proceeds
below

52
 Basement slab
(usually very thick
and heavily reinforced
to resist uplift)

Water proofing basement slab, side wall and column base

Sand (which is highly permeable)

below sheet pile wall base caused
large amount of water inflow into
site during excavation

Excessive settlement
results in the
neighbourhood
(due to rapid
drawdown of water
behind wall)

53
 Important points
• Water is a major culprit in retaining
structures and water behind retaining walls
should be drained away quickly
• Deep excavation analysis: base heave,
pressure acting on strut and ground
settlement
• Ground settlement is a major concern for
deep excavation in soft soil and needs to be
monitored frequently.

54