cut slope design recommendations for sub-horizontal hard sedimentary rock units in ohio, usa

13
ORIGINAL PAPER Cut Slope Design Recommendations for Sub-Horizontal Hard Sedimentary Rock Units in Ohio, USA Yonathan Admassu Abdul Shakoor Received: 21 November 2012 / Accepted: 28 March 2013 / Published online: 4 April 2013 Ó Springer Science+Business Media Dordrecht 2013 Abstract Although most cut slopes in Ohio consist of inter-layered, sub-horizontal units of hard and soft sedimentary rocks (sandstone, limestone, dolostone, shale, claystone, mudstone), slopes consisting of relatively thick hard rock units are not uncommon. Design of stable cut slopes in hard rock units needs to consider rock mass strength and orientation of discontinuities with respect to slope face. Results of kinematic stability analyses show that hard-rock cut slopes are less likely to have conventional plane and wedge failures, caused by unfavorable orientation of discontinuities. The main cause of failure is identified to be the undercutting-induced toppling, which is not amenable to traditional kinematic or rock mass strength-based analyses. Therefore, to recommend a suitable slope angle, numerical models, using UDEC software, were employed to study how various slope angles affect the process of undercutting-induced toppling failures. The UDEC models showed a slope angle of 45° (1H:1 V) to be the most stable angle. However, a 63° (0.5H:1 V) slope angle can signifi- cantly reduce the potential for such failures and is therefore more appropriate than the widely used angle of 76° (0.25H:1 V). Keywords Cut slope design Kinematic analysis UDEC Toppling 1 Introduction In this paper, cut slopes refer to slopes excavated into bedrock during road construction. Cut slopes can fail due to: Unfavorable orientation of discontinuities (joints, bedding planes, foliation, faults and shear zones) with respect to slope face, causing plane, wedge, and toppling failures. Low rock mass strength which can result in rotational slides. Low rock mass strength can be attributed to low intact rock strength and undesir- able discontinuity characteristics such as close spacing, wide aperture, low roughness, clayey infilling material, and presence of groundwater (Bieniawski 1976). The potential for slope failures associated with unfavorable orientation of discontinuities, i.e. plane, wedge, and toppling failures, is usually evaluated by performing kinematic analyses. Criteria leading to such failures are provided by Hoek and Bray (1981) and Goodman (1989) (Figs. 1, 2). In order to perform kinematic analysis, poles of discontinuity planes are Y. Admassu (&) Kent State University Ashtabula, Ashtabula, OH 44004, USA e-mail: [email protected] A. Shakoor Department of Geology, Kent State University, Kent, OH 44242, USA 123 Geotech Geol Eng (2013) 31:1207–1219 DOI 10.1007/s10706-013-9644-4

Upload: abdul-shakoor

Post on 11-Dec-2016

218 views

Category:

Documents


1 download

TRANSCRIPT

Page 1: Cut Slope Design Recommendations for Sub-Horizontal Hard Sedimentary Rock Units in Ohio, USA

ORIGINAL PAPER

Cut Slope Design Recommendations for Sub-HorizontalHard Sedimentary Rock Units in Ohio, USA

Yonathan Admassu • Abdul Shakoor

Received: 21 November 2012 / Accepted: 28 March 2013 / Published online: 4 April 2013

� Springer Science+Business Media Dordrecht 2013

Abstract Although most cut slopes in Ohio consist

of inter-layered, sub-horizontal units of hard and soft

sedimentary rocks (sandstone, limestone, dolostone,

shale, claystone, mudstone), slopes consisting of

relatively thick hard rock units are not uncommon.

Design of stable cut slopes in hard rock units needs to

consider rock mass strength and orientation of

discontinuities with respect to slope face. Results of

kinematic stability analyses show that hard-rock cut

slopes are less likely to have conventional plane and

wedge failures, caused by unfavorable orientation of

discontinuities. The main cause of failure is identified

to be the undercutting-induced toppling, which is not

amenable to traditional kinematic or rock mass

strength-based analyses. Therefore, to recommend a

suitable slope angle, numerical models, using UDEC

software, were employed to study how various slope

angles affect the process of undercutting-induced

toppling failures. The UDEC models showed a slope

angle of 45� (1H:1 V) to be the most stable angle.

However, a 63� (0.5H:1 V) slope angle can signifi-

cantly reduce the potential for such failures and is

therefore more appropriate than the widely used angle

of 76� (0.25H:1 V).

Keywords Cut slope design � Kinematic analysis �UDEC � Toppling

1 Introduction

In this paper, cut slopes refer to slopes excavated into

bedrock during road construction. Cut slopes can fail

due to:

• Unfavorable orientation of discontinuities (joints,

bedding planes, foliation, faults and shear zones)

with respect to slope face, causing plane, wedge,

and toppling failures.

• Low rock mass strength which can result in

rotational slides. Low rock mass strength can be

attributed to low intact rock strength and undesir-

able discontinuity characteristics such as close

spacing, wide aperture, low roughness, clayey

infilling material, and presence of groundwater

(Bieniawski 1976).

The potential for slope failures associated with

unfavorable orientation of discontinuities, i.e. plane,

wedge, and toppling failures, is usually evaluated by

performing kinematic analyses. Criteria leading to

such failures are provided by Hoek and Bray (1981)

and Goodman (1989) (Figs. 1, 2). In order to perform

kinematic analysis, poles of discontinuity planes are

Y. Admassu (&)

Kent State University Ashtabula, Ashtabula,

OH 44004, USA

e-mail: [email protected]

A. Shakoor

Department of Geology,

Kent State University, Kent, OH 44242, USA

123

Geotech Geol Eng (2013) 31:1207–1219

DOI 10.1007/s10706-013-9644-4

Page 2: Cut Slope Design Recommendations for Sub-Horizontal Hard Sedimentary Rock Units in Ohio, USA

plotted on a stereonet. Discontinuity cluster sets can be

identified by using density contours or visual

inspection of poles of discontinuities on a stereonet

(Fig. 3). Mean orientation values as determined from

pole clusters are then used as representative values for

kinematic analysis (Fig. 3). Great circles for each

representative pole concentration, a great circle rep-

resenting the slope face and a friction circle repre-

senting the friction angle are plotted on the same

stereonet for kinematic analysis (Fig. 1) (Hoek and

Bray 1981; Watts et al. 2003).

The representativeness of mean or highest density

values for cluster sets depends on how well tightly

poles are clustered. Representative values for poorly

clustered poles may result in unreliable kinematic

analysis results. Due to the unreliability of results from

using stereonets an alternative method, probabilistic

kinematic analysis, is becoming popular. The proba-

bilistic kinematic analysis considers the uncertainty in

dip direction, dip amount, and friction angle values

Plane Failure

Wedge Failure

Toppling Failure

Great circle representing slope face

Great circle representing a discontinuity set

Friction angle shown as friction circle

Shaded critical zone for plane and wedge failures

Great circle representing slope face

Great circle representing a discontinuity set

Friction angle shown as friction circle

Great circle representing slope face

Great circle representing a discontinuity set

Friction angle shown as friction circle

Shaded critical zone for plane and wedge

Shaded critical zone for toppling failures

Fig. 1 Slope failures

associated with unfavorable

orientation of

discontinuities. Based on

stereonets, plane failure

occurs if the dip vector

(middle point of the great

circle representing a

discontinuity) falls within

the shaded area bounded by

the slope face and the

friction circle, wedge failure

occurs if the intersection of

two great circles

representing discontinuities

falls within the shaded area

bounded by the slope face

and the friction circle, and

toppling failure occurs if the

great circle representing a

discontinuity is sub-parallel

(within 30�) to the great

circle representing the slope

face and its dip vector

(middle point of the great

circle) falls in the triangular

shaded zone (Modified after

Hoek and Bray 1981)

90 -

j

N

Fig. 2 Kinematics of toppling failure (Goodman 1989). a is

slope angle, r is dip of discontinuity, Uj is the friction angle

along discontinuity surfaces and N is the normal to discontinuity

planes. The condition for toppling is (90 - r) ? Uj \a

1208 Geotech Geol Eng (2013) 31:1207–1219

123

Page 3: Cut Slope Design Recommendations for Sub-Horizontal Hard Sedimentary Rock Units in Ohio, USA

used in the kinematic analysis. Instead of using

representative discontinuity values, a range of random

values, that satisfy a chosen probability density

function (PDF), are generated for each discontinuity

and evaluated for failure potential (Park and West,

2001). The Monte Carlo simulation techniques can be

used to generate random values based on the chosen

PDF (Park and West 2001). If kinematic analysis

indicates the potential for failure, a gentler slope angle

maybe used to reduce failure potential.

Highway slopes in eastern and southeastern parts of

Ohio are cut into sub-horizontal Paleozoic age (Fig. 4)

hard rock units (sandstones, limestones, dolostones),

soft rock units (shlales, mudstones, claystones), and

inter-layered hard/soft rock units. The definition of

hard and soft rock units is purely dependent upon

durability (resistance to weathering), where hard rocks

are highly resistant to weathering and soft rocks can

easily weather. Although most cut slopes in Ohio are

composed of inter-layered hard/soft rock units, cut

slopes consisting entirely of hard rock units up to 100

ft (33 m) thick do exist in a number of places. Field

investigations revealed slope failures mainly along

sub vertical joints (Figs. 5, 6). Failures due to low rock

mass strength were not identified, and therefore, only

kinematic analysis was performed to investigate the

potential for discontinuity-orientation controlled fail-

ures. This paper focuses on stability analysis of cut

slopes in hard sedimentary rock units, specifically

sandstones and limestones, for the purpose of selecting

appropriate design slope angles.

2 Research Methods

2.1 Site Selection

Twelve sites consisting of thick units of sandstone and

limestone were selected for the study (Fig. 4; Table 1).

Site designation followed the ODOT (Ohio Depart-

ment of Transportation) standard, hyphenated notation

which uses a three letter county code, the numerical

route code of the road, and the mile marker measured

from the county line (also referred to as the section).

For example, WAS-77-15 refers to a site in Washing-

ton County along Interstate 77 at mile marker 15.

Discontinuity data for the 12 sites were collected

using the detailed line survey method (Piteau and

Martin 1977), the window mapping method (Wyllie

and Mah 2004), and random measurements. Based on

visual observations, a representative portion of the

rock layer was chosen and, in most cases, discontinu-

ities were measured along an approximately 100 ft

(30 m) long line crossing 40–100 discontinuities.

Random measurements were made to capture prom-

inent discontinuities missed in the detailed line survey.

A pocket transit compass was used to measure

discontinuity orientations (strike and dip).

2.2 Laboratory Testing

The tilt test, proposed by Stimpson (1981), was used to

determine the basic friction angle used for kinematic

analyses. The test consisted of placing two cores of the

Discontinuity cluster sets

Highest density within a cluster set

Fig. 3 a Stereonet showing

4 cluster sets of poles,

b Contoured poles for the

poles in (a). Contours

spaced at every 1 % pole

density

Geotech Geol Eng (2013) 31:1207–1219 1209

123

Page 4: Cut Slope Design Recommendations for Sub-Horizontal Hard Sedimentary Rock Units in Ohio, USA

Fig. 4 Geologic map of Ohio and location of study sites

1210 Geotech Geol Eng (2013) 31:1207–1219

123

Page 5: Cut Slope Design Recommendations for Sub-Horizontal Hard Sedimentary Rock Units in Ohio, USA

rock on a horizontal base in contact with each other. A

third core from the same rock unit was placed on top of

the two, forming a triangular stack. The two base cores

were restricted from sliding whereas the top core was

free to slide. The base on which the cores were placed

was slowly tilted until the top core began to slide. The

angle of tilt (a) was recorded and the basic friction

angle (/) calculated using the following equation:

Tan/ ¼ 1:115� tanða� 2�ÞÞ ð1Þ

�a ¼ 1.

2Xðaþ 2

� Þ=nþXða� 2

� Þ=n� �

ð2Þ

where n is number of trials, a is the weighted average

of tilt angles (a).

The tilt test was performed on both sandstone and

limestone cores. The test was repeated several times

on each set of cores and the average tilt angle (a) was

used to estimate the friction angle.

2.3 Data Analysis

Kinematic analyses, based on Markland’s criteria

(Hoek and Bray 1981) and Goodman (1989) proce-

dures were conducted for all 12 sites to evaluate the

potential for discontinuity-controlled failures (plane,

wedge, and toppling failures). RockPack, software

(available from RockWare) for slope stability analy-

sis, was used for the stereonet-based kinematic

analyses of all discontinuity dependent failures.

RockPack software does not have a pole contouring

module therefore, the DIPS software, another stere-

onet software (available from RocScience) was used

to contour poles and evaluate mean dip direction and

dip of discontinuity cluster sets. DIPS was also used to

generate 95 and 68 % confidence interval values for

the calculated mean values. After obtaining mean

orientation values from DIPS, RockPack was used for

kinematic analysis using the great circles representing

the mean dip direction and dip values of each cluster

set.

A major challenge with using stereonets for kine-

matic analysis is that for each cluster set, a single mean

dip direction/dip value, represented by a great circle, is

used. Mean values may or may not be good represen-

tation of a data cluster depending on how tight the

cluster is. Therefore, a more practical approach that

considers variability is to use two great circles that

represent the upper and lower bounds of mean

orientation values. The upper and lower bounds are

based on the 95 % confidence interval of mean values

as calculated by DIPS. To obtain the dip of great

circles representing the upper bound, the 95 %

confidence interval is added to the mean dip, whereas

for the lower limit, the interval is subtracted. However,

Vertical planes defining a wedge

Near vertical line of intersection

Fig. 5 Example of a wedge toppling failure within a slope

consisting mostly of sandstone. Notice the near vertical line of

intersection

Vertical planes defining a wedge

Near vertical line of intersection

Fig. 6 Example of wedge toppling slope failure within a slope

consisting mostly of limestone. Notice the near vertical line of

intersection

Geotech Geol Eng (2013) 31:1207–1219 1211

123

Page 6: Cut Slope Design Recommendations for Sub-Horizontal Hard Sedimentary Rock Units in Ohio, USA

the dip direction for both the upper and lower bounds

is the same as that of the mean dip direction. In

addition, great circle representing mean dip direction/

dip is used. Therefore, three great circles for each

discontinuity set are used to perform kinematic

analysis, which would be more reliable than just using

a single great circle for each cluster set (Fig. 7). It is

also useful to vary dip directions in addition to dip

amounts. However, the major controlling factor to

failure at the study sites was the steepness of dip

amounts, and therefore only dip amounts variation was

considered.

3 Data Summary

Discontinuity orientation data for the hard sedimen-

tary rock units of the study sites were plotted on

Table 1 Sites selected for

stability analysis of hard

rock units

Site Rock unit Hard rock unit

thickness

Slope angle

(degrees)

Slope azimuth

(degrees)

ADA-32-12 Limestone 59 ft (18 m) 75 315

ATH-33-14 Sandstone 98 ft (30 m) 79 50

BEL-470-6 Limestone 23 ft (7 m) 65 350

CLA-4-8 Limestone 26 ft (8 m) 69 330

COL-7-5 Sandstone 16 ft (5 m) 75 175

GUE-77-8 Sandstone 40 ft (12 m) 59 280

JEF-CR77-0.38 Sandstone 19 ft (6 m) 76 15

LAW-52-11 Sandstone 32 ft (10 m) 58 215

LIC-16-28 Sandstone 58 ft (18 m) 69 170

MUS-70-11 Sandstone 12 ft (4 m) 75 180

RIC-30-12 Sandstone 36 ft (11 m) 79 0

WAS-7-18 Sandstone 19 ft (6 m) 80 130

Great circle for slope face

Great circle for J1Great circle for J2

Cluster set for discontinuity set 2 (J2)

Cluster set for discontinuity set 1 (J1)

Bounding great circles for J1

Bounding great circles for J2

Fig. 7 An example of

kinematic analysis by

RockPack software. The red

great circle represents the

mean dip direction and dip

for a discontinuity set. The

green represents the lower

bound of mean value

whereas the blue represents

the upper bound. Bedding

planes are excluded

1212 Geotech Geol Eng (2013) 31:1207–1219

123

Page 7: Cut Slope Design Recommendations for Sub-Horizontal Hard Sedimentary Rock Units in Ohio, USA

Ta

ble

2D

escr

ipti

ve

stat

isti

csfo

rd

isco

nti

nu

ity

ori

enta

tio

n

Sit

eN

o.

of

dis

con

tin

uit

ies

Set

*K

Dip

(deg

rees

)

Dip

dir

ecti

on

(deg

rees

mea

sure

d

east

of

no

rth

)

Co

nfi

den

cein

terv

al

(deg

rees

)

No

.o

f

dis

con

tin

uit

ies

**

Inte

rsec

tin

g

sets

Inte

rsec

tio

n

azim

uth

(deg

rees

mea

sure

d

east

of

no

rth

)

Inte

rsec

tio

n

plu

ng

e

(deg

rees

)6

8.2

6%

95

.44

%

AD

A-3

2-1

25

71

65

89

31

31

.93

.13

32

/11

68

7

28

08

73

13

.35

.39

AT

H-3

3-1

41

31

53

71

24

6.0

9.9

43

/11

87

2

22

16

87

23

4.2

6.9

23

/27

88

3

35

18

38

85

.59

.05

BE

L-4

70

-61

27

16

67

91

1.5

2.4

55

2/1

13

80

22

88

92

87

2.6

4.2

43

2/1

31

88

5

CO

L-7

-59

31

27

73

16

92

.34

3.8

45

2

CL

A-4

-85

51

14

68

62

79

1.5

2.5

22

25

28

61

2.7

4.5

20

2/1

34

18

6

GU

E-7

7-8

87

12

08

32

71

3.8

6.3

28

2/1

33

57

6

21

35

75

33

52

.74

.48

3/1

34

56

7

34

66

96

4.3

7.1

9

LA

W-5

2-1

15

11

11

27

82

26

2.5

4.1

11

3/2

34

25

6

28

98

92

52

.24

.26

.95

3/1

29

55

4

33

75

73

21

.75

.99

.76

2/1

16

53

7

LIC

-16

-28

28

14

15

81

69

.24

.98

.08

3/1

10

03

2

25

93

71

33

.84

.77

.76

2/1

23

82

9

36

68

61

51

.02

.43

.92

2/3

61

12

MU

S-7

0-1

16

61

61

81

15

1.1

2.9

4.7

15

2/1

20

17

7

23

07

72

20

.73

.86

.21

8

RIC

-30

-12

91

12

48

82

92

.72

.54

.05

42

/12

06

84

25

1.2

85

20

5.2

2.5

4.1

24

JEF

-CR

77

-0.3

83

91

26

.38

99

7.4

2.7

4.4

41

2/1

90

90

24

0.6

89

20

1.3

2.8

4.6

24

WA

S-7

-18

87

11

10

83

11

5.8

2.9

4.8

83

/11

09

82

21

01

86

19

2.0

3.9

6.4

52

/11

33

81

39

8.5

84

67

.05

.08

.33

*T

he

Kv

alu

e,al

sok

no

wn

asF

ish

er’s

K,is

use

dto

des

crib

eth

eti

gh

tnes

so

fa

clu

ster

.H

igh

Kv

alu

esin

dic

ate

tig

htl

ycl

ust

ered

dat

a,i.

e.sm

all

var

iati

on

sin

ori

enta

tio

nw

ith

ina

set

**

Inte

rsec

tin

gse

ts2

/1re

fer

toin

ters

ecti

on

bet

wee

nd

isco

nti

nu

ity

set

1an

d2

Geotech Geol Eng (2013) 31:1207–1219 1213

123

Page 8: Cut Slope Design Recommendations for Sub-Horizontal Hard Sedimentary Rock Units in Ohio, USA

stereonets and contoured to determine principal joint

sets (clusters of poles of discontinuities on the

stereonets), using the DIPS software. The software

program also calculated the confidence interval for

mean dip direction and dip values of all discontinuity

sets (Table 2). Figure 8 shows the means of all

discontinuity sets for all sites, along with their

corresponding confidence circles, plotted on a single

stereonet. It can be seen from Fig. 8 that there are no

preferred dip directions and the dip values are

predominantly steep with an average dip value of

79�. The DIPS software also calculated the plunge of

intersection lines between discontinuity sets for each

site (Table 2). A histogram for plunge of lines of

intersection between discontinuity sets (Fig. 9) shows

that 70 % of the lines of intersection plunge at angles

greater than 70�.

The average friction angle calculated using Eqs. (1)

and (2) was 36� for sandstones and 44� for limestones.

Although surfaces of sandstone samples appeared

rougher, their friction angle values turned out to be

lower than those of limestones. The major disconti-

nuity surfaces are planar, not having irregular surfaces

and therefore basic friction angles were used.

Fig. 8 Stereoplot of mean orientation of poles for all discon-

tinuity sets with their corresponding circles of confidence as

determined by DIPS

Fig. 9 Frequency distribution of the mean plunge of the lines of

intersection of discontinuity sets as determined by DIPS

Table 3 Results of kinematic analyses for slopes composed of sandstone and limestone rock units, using RockPack software

Site Plane failure potential Wedge failure potential Toppling failure potential

Upper bound

mean values

Mean

values

Lower bound

mean values

Upper bound

mean values

Mean

values

Lower bound

mean values

Upper bound

mean values

Mean

values

Lower bound

mean values

ADA-32-12- No No No No No No No No No

ATH-33-14 No No No Yes No No No No No

BEL-470-6 No No No No No No No No No

CLA-4-8 No No No No No No No No No

COL-7-5 Yes Yes No No Yes No No No No

GUE-77-8 No No No No No No No No No

JEF-CR77-0.38 No No No Yes No No No No No

LAW-52-11 No No No No No No No No No

LIC-16-28 Yes Yes Yes No No Yes No No No

MUS-70-11 No No No Yes No No No No No

RIC-30-12 No No No No No No Yes No No

WAS-7-18 No No No Yes No No No No No

1214 Geotech Geol Eng (2013) 31:1207–1219

123

Page 9: Cut Slope Design Recommendations for Sub-Horizontal Hard Sedimentary Rock Units in Ohio, USA

4 Results

The results of kinematic analysis, using RockPack

software applications, are summarized in Table 3.

Based on mean dip direction and dip values, 10 sites

show no potential for plane failure, 11 sites show no

wedge failure potential and no site shows toppling at

the present slope angles. Based on the great circles

representing the upper and lower bounds, no other

sites show plane failure potentials but 5 more sites

show potential for wedge failure and one site shows

the potential for toppling failure (Table 3).

The results of kinematic analysis based on mean dip

direction, show very little likelihood for plane, wedge

or toppling failures. Although considering the upper

and lower bounds of mean values show more sites

having the potential for wedge failure, but still 87 % of

the analyzed discontinuity intersections do not show

any potential for wedge failure (Table 3).

The result of the kinematic analysis is in agreement

with field observations that revealed very few discon-

tinuities, or their intersections, emerging unsupported

on the slope face and causing the potential for plane or

wedge failures. This is because of the dominance of

the steep dip angles and intersection plunges at the

study sites (Figs. 5, 6).

5 Cut Slope Design

Although the potential for discontinuity orientation

controlled failures does not appear to be significant at

the 12 study sites, ample evidence exists for the

occurrence of a special type of toppling failures. The

rock blocks involved in these failures are bounded by

steeply dipping, intersecting discontinuities. Such

discontinuities cannot lead to failures unless the lines

of intersection day-light on the slope face. Careful

examination of the failures in Figs. 5 and 6 reveals the

Fig. 10 An example of undercutting-induced rockfall bounded

between two steep discontinuity planes. Note the undercutting

being promoted by the presence thin layers of friable sandstone

Fig. 11 An example of undercutting-induced wedge toppling

failures with undercutting being promoted by the presence thin

shale layers

Geotech Geol Eng (2013) 31:1207–1219 1215

123

Page 10: Cut Slope Design Recommendations for Sub-Horizontal Hard Sedimentary Rock Units in Ohio, USA

presence of friable layers within the hard rock units.

The rapid weathering of these friable layers results in

undercutting of the overlying stronger layers, eventu-

ally causing rockfalls that appear to have begun as

toppling of wedge-shaped rock blocks. Such failures,

therefore, require not only the presence of steeply

dipping and intersecting discontinuities \3–4 ft

(1–1.3 m) apart, but also the presence of layers of

friable layers of sandstone (Fig. 10) or thin layers of

shale (Fig. 11). These failures are similar to the

undercutting-induced wedge-falls described by Sha-

koor and Weber (1988). The presence of thin layers of

friable sandstone can also be seen promoting rockfalls

in the adjacent state of Pennsylvania (Fig. 12). Ster-

onets were used to identify the sites that have steeply

plunging ([80�) intersection lines. The results show

that 7 of the 12 sites have discontinuities intersecting at

[80� (Table 2). These sites have the potential for

undercutting-induced rockfalls, if friable layers are

present.

Steronets can be used to identify the sites with

intersecting steeply dipping discontinuities, but cannot

be used to define a slope angle that would eliminate the

type of failure described above. A stable slope angle

needs to be a unique uniform angle across the entire

slope since the friable layers promoting undercutting,

which ultimately leads to failure, are too thin for

independent consideration during design.

In order to obtain a unique, stable angle, 2D

computer models generated by UDEC (universal

distinct element code) software were used. UDEC is

a distinct element program which treats discontinuity

bounded blocks as distinct elements having contacts or

interfaces (UDEC 2011). Distinct element programs

allow finite displacements, rotations, and complete

detachments of rigid or deformable blocks. Blocks can

be rigid in cases of low stress situations such as slopes

(UDEC 2011). Simple 2D (10 m 9 10 m) models,

with horizontal bedding (spaced at 1 m) and through-

going vertical jointing (spaced at 1 m), were generated

considering rigid blocks with zero cohesion and a

friction angle of 36�. The first set of models use an ideal

slope cut into equi-dimensional rock blocks bounded

by equally spaced horizontal bedding planes and

vertical joints (Fig. 13). Four slope angles are chosen

to illustrate the models: 90�, 76� (0.25H:1 V slope),

63� (0.5H:1 V slope), and 45� (1H:1 V slope). The

purpose of the analysis was to investigate the effect of

undercutting by removing the two bottom left corner

blocks to mimic a 2 m undercutting (Fig. 13). After

removing the rock blocks and upon running UDEC,

unstable rock blocks can be observed displaced from

their original positions (Fig. 13). To analyze the result

of the simulated undercutting, the total volume of

displaced blocks is measured (Table 4). The least

amount of displaced rockfalls in terms of volume is

observed for a 1H:1 V slope. Additional models, where

joints are not through going (spaced at 2 m) were also

investigated with similar inputs (Fig. 13). Again the

1H:1 V slope resulted in the least volume of rockfalls

generated by a 2 m undercutting at the base of the slope

Table 4 Results of simulation of undercutting using UDEC

software

Slope angle Thoroughgoing

continuous joints

Non-thoroughgoing

discontinuous joints

Volume of displaced

rockfalls*

Volume of displaced

rockfalls*

Vertical (90�) 18 m3 1 m3

0.25H:1 V (76�) 6.1 m3 0.87 m3

0.5H:1 V (63�) 2.26 m3 0.25 m3

1H:1 V (45�) 0.5 m3 0 m3

* Volume is calculated by multiplying cross-sectional area by

1 m

Fig. 12 Undercutting-induced rockfall with undercutting being

promoted by the presence thin layers of friable sandstone.

(Photo taken just north of Pittsburgh, PA along I-279 N)

1216 Geotech Geol Eng (2013) 31:1207–1219

123

Page 11: Cut Slope Design Recommendations for Sub-Horizontal Hard Sedimentary Rock Units in Ohio, USA

(Table 4). Comparing the two sets of models, the non-

through going discontinuities appear to result in less

amount of rockfalls.

Although a 1H:1 V slope angle would be the

optimum angle to prevent toppling or associated

rockfalls, it would result in excessive excavation. A

slope angle of 63� (0.5H:1 V slope) can adequately

minimize these undercutting-induced failures based

on the results of the above models. It should also be

noted that slope angles steeper that 1H:1 V are highly

preferred for cutting slopes by pre-split blasting

technique. In addition to slope angle considerations,

the trajectory of released rockfalls is also taken into

account during slope design for the purpose of

designing the catchment ditch (ditch at the base of

the slope to contain rockfalls). According to the charts

by Pierson et al. (2001), the 0.5H:1 V slope results in

shorter roll out distances of rockfalls than that of

1.H:1 V and 0.25H:1 V (Fig. 14). Although the

0.5H:1 V slope may not be as good as the 1H:1 V in

regards to minimizing undercutting-induced failures,

it would require a narrower catchment area in addition

to requiring less excavation.

The above recommended slope angle of 0.5H:1 V

can be used for thick, sub-horizontal non-tectonized

hard rock units similar to the rocks in Ohio, Pennsyl-

vania, West Virginia, and Kentucky where 0.25H:1 V

is widely used for such rocks. Such non-tectonized

sedimentary sequences as those found in continental

interiors or bordering orogenic belts, consistently

exhibit vertical orthogonal joints (Van Der Pluijm

and Marshak 2004). Cut slopes in rocks involving such

joint patterns are prone to undercutting-induced rock-

falls as described in this study.

Fig. 13 Examples of UDEC models for 0.25H:1 V slope. a For through going discontinuities and b non-through going discontinuities.

The red blocks shown on the left column are removed before running UDEC. The right column diagrams show how destabilized blocks

behave after running UDEC

Geotech Geol Eng (2013) 31:1207–1219 1217

123

Page 12: Cut Slope Design Recommendations for Sub-Horizontal Hard Sedimentary Rock Units in Ohio, USA

Fig. 14 Rockfall rollout distance for different slope heights, slope angle and catchment ditch slope (after Pierson et al. 2001)

1218 Geotech Geol Eng (2013) 31:1207–1219

123

Page 13: Cut Slope Design Recommendations for Sub-Horizontal Hard Sedimentary Rock Units in Ohio, USA

6 Conclusions

The following conclusions can be drawn from this

study:

1. Cut slopes consisting of sub-horizontal hard

sedimentary rock strata in Ohio usually do not

exhibit conventional plane, wedge, or toppling

failures. Instead, undercutting-induced rockfalls/

toppling failures, promoted by closely spaced,

steeply dipping, intersecting joints and presence

of friable sandstone or soft rock layers are the

most common slope failures. Based on UDEC

models and catchment ditch criteria, a design

slope angle of 63� (0.5H:1 V slope) is considered

adequate to reduce undercutting-induced rock-

falls/toppling failures.

References

http://www.oregon.gov/ODOT/TD/TP_RES/docs/Reports/Rock

fallReportEng.pdf. Accessed February, 2013

Goodman RE (1989) Introduction to rock mechanics. Wiley,

New York

Hoek E, Bray J (1981) Rock slope engineering. The Institute of

Mining and Metallurgy, London

Park H, West TR (2001) Development of a probabilistic

approach for rock wedge failure. Eng Geol 59:233–251

Pierson L, Gullixson C, Chassie R (2001) Rockfall catchment

area design guide: final report SPR-(032). Oregon

Department of Transportation/FHWA, Portland

Piteau D, Martin D (1977) Description of detailed line engi-

neering mapping method: reference manual FHWA-13-97-

208. Federal Highway Administration, Portland

Shakoor A, Weber M (1988) Role of shale undercutting in

promoting rockfalls and wedge failures along Interstate 77.

Bull Assoc Eng Geol 25:219–234

Stimpson B (1981) A suggested technique for determining the

basic friction angle of rock surfaces using core. Int J Rock

Mech Mining Sci Geomech 18:63–65

UDEC (2011) UDEC universal distinct element code user’s

guide. Itasca Consulting Group Inc., Minneapolis

Van Der Pluijm B, Marshak S (2004) Earth structures: an

introduction to structural geology and tectonics, 2nd edn.

Norton and Company, New York

Watts C, Gilliam D, Hrovatic M, Hong H (2003) User’s manual-

ROCKPACK III for windows. C.F. Watts and Associates,

Radford

Wyllie D, Mah C (2004) Rock slope engineering, 4th edn. Spon

Press, London

Geotech Geol Eng (2013) 31:1207–1219 1219

123