Buscarnera, G. & di Prisco, C. (2013). Geotechnique 63, No. 10, 801817 [http://dx.doi.org/10.1680/geot.11.P.

097]

Soil stability and flow slides in unsaturated shallow slopes: can saturation
events trigger liquefaction processes?
G. BUSCARNERA and C. DI PRISCO

This paper illustrates an application of the theory of material stability to the analysis of unsaturated
slopes. The main goal is to contribute to the understanding of rainfall-induced flow slides. For this
purpose, a coupled hydromechanical constitutive model is combined with a simplified approach for
the analysis of infinite slopes. Simple shear-test simulations are used to evaluate triggering perturbations and investigate the role of both initial suction and stress anisotropy in the activation of slope
failures. The numerical simulations clearly show that different mechanisms of activation can be
originated. The onset of instability is detected by introducing appropriate stability indices for distinct
modes of failure: localised shear failure, static liquefaction and wetting-induced collapse. Critical
intervals of slope inclinations are identified, cautioning that the predicted failure mode may change
dramatically depending on initial conditions, slope angle and material properties. The numerical
simulations demonstrate that, in particular circumstances, saturation of the pore space can be the
unexpected result of a volumetric instability. According to this interpretation, a rainfall-induced flow
slide can originate from a complex chain process consisting of a sudden volume collapse, uncontrolled
saturation of the pores and, eventually, catastrophic liquefaction of the deposit.
KEYWORDS: constitutive relations; landslides; liquefaction; partial saturation; suction; theoretical analysis

INTRODUCTION
In many parts of the world, geohazards pose serious threats
to territory, economy and human lives. During recent decades, catastrophic events have been exacerbated by unpredicted climate changes and uncontrolled human activities
(Cascini, 2005). The environment tends to be exposed to
phenomena never experienced before, which now represent
systematic causes of massive economic loss. Within this
context, rapid landslides induced by rainfall represent a
critical issue. These catastrophic events are characterised by
rapid and unexpected activation, and are capable of mobilising huge volumes of material over large areas (Chu et al.,
2003; Olivares & Picarelli, 2003; Picarelli et al., 2008).
The compelling need to capture the physical causes of
such dramatic landslides requires a deep understanding of
the phenomena involved, and advanced modelling strategies.
This paper focuses on the study of landslides triggered by
rainfall events, with the aim of investigating the mechanics
of these processes and modelling their activation. Particular
emphasis is given to the study of those landslides in which
the soil suffers a phase transition from solid to fluid (here
referred to as flow slides). Such transition is usually
attributed to a liquefaction process (Castro, 1969; Lade,
1992), which is schematically illustrated in Fig. 1. Depending on the shearing scenario (either undrained or drained),
different failure modes can take place, given that in a
liquefiable deposit the shear perturbations leading to liquefaction (liq ) are significantly lower than those associated
with drained failures (sf ). The main engineering implication of such a variety of instability modes is the existence of

Shear perturbation ()

n0
z

Soil
Bedrock

(a)

Shear stress,

Shear failure locus

sf

liq

In situ stress

Manuscript received 29 July 2011; revised manuscript accepted 7

December 2012. Published online ahead of print 27 February 2013.
Discussion on this paper closes on 1 January 2014, for further details
see p. ii.
 Department of Civil and Environmental Engineering, Northwestern
University, Evanston, USA.
Department of Structural Engineering, Politecnico di Milano,
Milan, Italy.

Normal effective stress, n

(b)

Fig. 1. (a) Schematic representation of a shear perturbation

acting over a submerged infinite slope (9n is the in situ normal
effective stress); (b) possible failure modes: difference in external
perturbations needed to activate either drained shear failure
(sf ) or static liquefaction (liq )

801

BUSCARNERA AND DI PRISCO

802

a multiplicity of safety factors. These considerations inspired

the development of a wide spectrum of theories aimed at
differentiating liquefaction from shear failure and evaluating
the risk of flow slides in subaqueous sandy slopes (Poulos et
al., 1985; Sladen et al., 1985; di Prisco et al., 1995).
In the reminder of the paper this logic will be exported to
the case of sub-aerial slopes, for which a comprehensive
framework of interpretation is not yet available. The purpose
is to provide a consistent geomechanical explanation of
failure processes in unsaturated deposits by answering three
major questions.
(a) What is the amount of suction removal at which a slide
can take place?
(b) How and when can slope failures evolve into a flow-like
mass movement?
(c) Are fully saturated conditions necessary to induce
liquefaction, or can such collapses be initiated by the
prior wetting process?
To address such problems, a novel methodology has been
developed, which is based on three cornerstones:
(a) the extension of the concepts of material stability to
unsaturated soils (Buscarnera & Nova, 2011; Buscarnera
& di Prisco, 2012)
(b) their application to the simplified scheme of infinite slope
(di Prisco et al., 1995; Buscarnera & di Prisco, 2011a,
2011b; Buscarnera & Whittle, 2012)
(c) the use of a coupled hydromechanical constitutive model
for unsaturated soils (Buscarnera & Nova, 2009).
The paper is thus aimed at applying the theory already
discussed in Buscarnera & di Prisco (2011b) by employing a
suitable constitutive relationship. The main goal of the
investigation is to elucidate the mechanical processes involved in the triggering of flow slides in partially saturated
soil slopes.
THEORETICAL BACKGROUND
Second-order work and controllability for unsaturated soils
A generally accepted approach for identifying unstable
conditions in solids is Hills criterion (Hill, 1958), according
to which a sufficient condition for stability is the positive
definiteness of the second-order work, d2 W. This criterion
provides a physical interpretation for instability, given that
negative values for d2 W can correspond to a spontaneous
burst in kinetic energy (Sibille et al., 2007), and can be used
for studying the initiation of slope instabilities (Lignon et
al., 2009). In unsaturated contexts, a critical task is to
incorporate the mechanical implications of saturation processes. In fact, changes in the degree of saturation imply
additional energy contributions (Houlsby, 1997; Gray et al.,
2010), and require the adaptation of second-order work
measures. A strategy for this extension has been recently
suggested by Buscarnera & di Prisco (2012), who showed
that under unsaturated conditions d2 W becomes


d2 W 12 _ ij  S r u_ w ij  1  S r u_ a ij _ ij  12nu_ a  u_ w S_ r

also possible to identify incremental stress variables for

second-order work analyses, as for instance
_ ij _ ij  S r u_ w ij  1  S r u_ a ij
and
s_  n_s nu_ a  u_ w
The extended expression for d2 W enables instability conditions for unsaturated geomaterials to be identified and linked
to the mathematical concept of controllability (Nova, 1994;
Imposimato & Nova, 1998; Buscarnera & Nova, 2011;
Buscarnera et al., 2011). In order to describe this concept,
consider a set of incremental hydromechanical constitutive
relations linking the control variables _ (i.e. the disturbance
applied to the material) and the response variables _ (i.e.
the outcome of the response of the material), as
_ X_

(2)

where X is the control matrix. If the hydromechanical

variables in equation (2) are selected in accordance with
equation (1), the loss of uniqueness and/or existence of the
incremental response (i.e. det X 0) corresponds to a vanishing second-order work (i.e. it violates Hills criterion).
The concept of controllability
(a) provides a further insight into the physical meaning of
equation (1)
(b) defines the failure mode mathematically (through the
eigenvectors of X)
(c) permits an intuitive definition of instability that encompasses saturated (Imposimato & Nova, 1998) and
unsaturated conditions (Buscarnera & Nova, 2011).
As will be expounded later, the most notable feature of this
theory is the ability to cope with latent instabilities, that is,
potential collapses that are contingent on specific boundary/
control conditions (Nova, 1994; di Prisco et al., 1995;
Buscarnera & Whittle, 2013).
Using second-order work principles in unsaturated infinite
slopes
The concepts of second-order work and controllability can
be used to elucidate the hydromechanical properties that can
play a role in the initiation of uncontrolled deformation
processes. For this purpose, consider a reference system
associated with an unsaturated infinite slope of a given
inclination (Fig. 2). By starting from the three-dimensional
stressstrain response of a material point (see the Appendix
for such a representation), it is possible to represent the

(out-of-plane coordinate)

12 _ ij _ ij  12s_  S_ r

(1)
where ij is the total stress tensor,  ij is the strain tensor,  ij
is Kroneckers delta, u_ w and u_ a are the pore water and pore
air pressure rates respectively, Sr is the degree of saturation,
and n is the porosity. For Sr 1, the above expression
converges to the usual definition of second-order work for
saturated media (i.e. d2 W 12 _ i9j _ ij ,  i9j  ij  uw ij being
the effective stress tensor). By rearranging equation (1) it is

Soil
Bedrock

Fig. 2. Reference system for unsaturated infinite slopes

SOIL STABILITY AND FLOW SLIDES IN UNSATURATED SHALLOW SLOPES

mechanical response of
simple shear deformation
8 9 2
>
D11
=
< _  >
_ _
4 D41

>
;
:  >
D71
s_

a point within the deposit as a

mode, having
9
38
D14 D17 >
=
< _  >
DE_
(3)
D44 D47 5 _ 
>
>
;
:
_
D74 D77
S r

The two vectors _ and E_ are linked by a coupled constitutive operator (matrix D) and collect the hydromechanical
variables associated with the incremental energy input on an
infinite slope. In particular, _  is the incremental skeleton
stress along the direction normal to the slope, and _  is the
shear stress increment along the slope inclination, while _ 
and _  are their work-conjugate kinematic counterparts.
The hydraulic variables associated with changes in saturation
conditions (i.e. s_  and S_ r ) are selected on the basis of
equation (1).
The loss of positive definiteness of d2 W is governed by
the symmetry properties of D. By decomposing this matrix
into the sum of a symmetric part, Ds , and a skew-symmetric
matrix, Dsk , it can be shown that
T
T
d2 W 12_ E_ 12E_ Ds E_

803

and D47 ), the effect of soil deformation on the retention

curve is often negligible at shallow depths. It is worth noting
that these observations have implications that are comparable
to the use of a non-associated flow rule (i.e. they exacerbate
the potential for instability), and may not apply to all classes
of unsaturated geomaterials. For instance, if the water retention curve depends significantly on the void ratio (term
D71 6 0), compressive deformation can promote a shift of
the retention curve towards higher suctions (possibly having
beneficial effects in terms of stability). At this point it is
worth noting that, although consistent advances have been
produced in describing the effect of volumetric strains on
retention capabilities (Romero & Vaunat, 2000; Gallipoli et
al., 2003), there is still little guidance for incorporating the
effect of shear strains (term D74 ). This fact complicates
evaluation of the interplay between retention properties and
soil stability. For these reasons, the effect of deformation on
the retention curve will not be accounted for in the following developments, thus using a simpler modelling strategy,
one that is consistent with the limited geomechanical evidence available for collapsible unsaturated soils involved in
flow slides.

(4)

given that Hills criterion can be violated for the first time
when det Ds 0 (Imposimato & Nova, 1998). It interesting
to observe that, since det Ds < det D (Ostrowski & Taussky,
1951), possible non-symmetries of D imply that Hills criterion can be violated before condition det D 0 is satisfied.
As a result, stress-suction control conditions may not be the
most critical combination of control parameters underpinning
the collapse of natural slopes, which thus suggests the
existence of unexpected failure modes. For simple shear
conditions this concept is exemplified by the skew-symmetric part, Dsk , which embodies the difference between
matrix D (whose singularity reflects suction-controlled failure) and its symmetric part Ds (which reflects possible
violations of Hills criterion)
2
3
D14  D41 D17  D71
0
6
7
2
2
6
7
6 D41  D14
D47  D74 7
sk
7
(5)
D 6
0
6
7
2
2
4D 
5
D17 D74  D47
71
0
2
2
Alternative modes of failure are promoted by the difference between terms [D14 , D41 ] (reflecting non-associativity
of the mechanical response) or between the pairs [D17 , D71 ]
and [D74 , D47 ] (related to hydromechanical coupling). While
[D14 , D41 ] depend on the characteristics of the yield surface
and the plastic potential, the other off-diagonal terms reflect
different behavioural properties: terms D17 and D47 reproduce the inelastic effects of saturation paths (e.g. wettinginduced compaction), and terms D71 and D74 reproduce
instead the dependence of the retention curve on volumetric
and shear strains respectively. At variance with the effect of
non-associativity on material instabilities, which has been
widely studied for several decades (Rudnicki & Rice, 1975;
Bigoni & Hueckel, 1991; Lade, 1992; Nova, 1994), the role
of hydromechanical coupling still deserves special attention.
Similar to the non-associativity of the plastic flow rule,
hydraulic off-diagonal contributions must be assessed on the
basis of experimental evidence. In this work, the assumptions for the hydromechanical contributions are motivated by
the geomechanical characterisation of some unsaturated soils
involved in recent flow slide events (Cascini & Sorbino,
2004; Bilotta et al., 2005; Ferrari et al., 2012). These studies
suggest that, while suction effects can induce changes in the
preconsolidation stress of the collapsible deposits (terms D17

APPLYING UNSATURATED SOIL MECHANICS TO

STABILITY OF SUB-AERIAL SHALLOW SLOPES
Stability indices for unsaturated shallow slopes
By following the strategy proposed by di Prisco et al.
(1995), it is possible to derive stability indices in analytical
form and use them for the stability analysis of shallow
deposits. The extension of this procedure to unsaturated
slopes has recently been expounded in Buscarnera & di
Prisco (2011b), and this paper is a numerical application of
their analytical results. Hereafter, only some basic aspects of
the theory are noted; the Appendix provides a description of
the mathematical strategy used by the authors to derive the
stability indices. Two triggering mechanisms are investigated: (a) a translational slide taking place under constant
suction (in this case permeability is assumed to be infinite);
and (b) slope collapse initiated under water-content control
(e.g. water-undrained shearing, water inundation, etc.). These
failure modes will be referred to as mode A and mode B
respectively.
Shear failure (mode A) can be considered the most usual
form of material instability in slopes, and it is often the
failure mechanism included in conventional stability analyses
for unsaturated slopes (Ng & Shi, 1998; Gasmo et al.,
2000). This mechanism is originated either by an increase in
shear stresses or by a decrease in suction due to water
infiltration. The former perturbation is conveniently represented by a change in stresses at constant suction, and the
latter is often modelled through a decrease in suction at
constant total stresses. In both cases the control variables
coincide with those collected in the left-hand side of equation (3). By following Buscarnera & di Prisco (2011b), a
stability index for this mechanism can be defined as
I AU D11 D44  D14 D41

(6)

where the subscript U stands for unsaturated conditions. The

above expression has been obtained by excluding singularities in the retention curve (i.e. D77 6 0) and neglecting a
possible role of strains in the retention behaviour (i.e.
D71 D74 0). Under these assumptions, condition IAU 0
coincides with the strain localisation criterion obtained by di
Prisco et al. (1995) for a saturated layer of an infinite slope,
I AS I AU

(7)

where the subscript A refers to a shear failure mode, and S

stands for saturated conditions.

BUSCARNERA AND DI PRISCO

804

The second triggering mechanism (mode B) occurs when

the water content is controlled. This mode is relevant either
when water drainage is prevented by natural layering or
when water inlets from a surrounding formation can be
modelled as a fluid volume injected into the pores (Buscarnera & di Prisco, 2011b). In either cases, changes in suction
are no longer imposed, but are obtained as an outcome of
the deformation of the porous medium. From a mathematical
viewpoint this analysis is similar to passing from stresscontrolled to strain-controlled conditions, and influences the
onset of bifurcation. The stability index associated with
failure of the slope under constant water content has an
expression that is very similar to shear failure,
(8)
I D D  D D
BU

11

44

14

41

where the modified terms D11 and D41 reflect the role of
hydromechanical coupling in the considered failure mechanisms (i.e. they also depend on degree of saturation, porosity
and coupling terms D77 , D17 and D47 ). The derivations of
 , as well as their analytical expressions, are
D11 and D41
given in the Appendix. Buscarnera & di Prisco (2011b)
showed that when Sr 0 (i.e. when the role of solidfluid
coupling vanishes), IBU coincides with IAU , and the two
indices provide the same bifurcation mechanism. By contrast, when Sr 1, the water-undrained deformation mode is
naturally associated with the initiation of static liquefaction.
It is possible to expound this conceptual link by deriving the
hydromechanical control matrix associated with the control
of total stresses and water content
38
8
9 2
9
_ 
<
=
D11 D14 nD77 1 D17  S r < _  =
6
7
4 D41 D44
_ 
nD77 1 D47 5 _ 
:
;
:
;
1
_ew =1 e
s_
Sr
0
nD77
(9)
in which e is the void ratio and ew is the water ratio, defined
as ew eSr : Equation (9) can be used to reproduce the
response of the slope when it is subjected to a hydromechanical perturbation. The cases of water-undrained shearing
and water inundation under dead load are included as
particular cases. It is possible to show that a singularity of
the control matrix in equation (9) is governed by the
stability index, equation (8) (i.e. its determinant vanishes
when IBU 0).
When Sr 1, simple physical considerations allow equation (9) to be rewritten to address the undrained loading of a
fully saturated soil. In fact, under saturated conditions,
changes in the degree of saturation are no longer possible
and coupling effects disappear (i.e. D1
77 0, thus giving
1
nD1
77 D17 nD77 D47 0). In addition, since water is the
only pore fluid, the incremental response can be expressed
as
8
9 2
9
38
D11 D14 1 < _  =
_ 
<
=
4 D41 D44 0 5 _ 
_ 
(10)
:
;
:
;
_ew =1 e
u_ w
1
0
0
in which the presence of the pore water pressure, uw , reflects
the fact that the mechanical response is now governed by
the effective stresses. The condition involving changes in
water volume (i.e. e_ w ) has the role of enforcing the fluid
mass balance (thus imposing an isochoric kinematics,
_  0). It is straightforward to show that the control matrix
in equation (10) vanishes when
D44 0

(11)

Equation (11) coincides with the analytical condition for

undrained failure under simple shear conditions (di Prisco et

al., 1995) and can be used to derive a stability index for

static liquefaction,
I BS D44

(12)

where the subscript B indicates an undrained failure mechanism under saturated conditions (subscript S).
It is therefore shown that the bifurcation mode associated
with IBU 0 shares similarities with both shear strain localisation (indices IAS and IAU ) and static liquefaction (index
 implies that, in
IBS ). The effect of terms D11 and D41
particular circumstances, mode B can occur before mode A.
In other words, the hydromechanical constraint on the
drainage of water implies that, depending on the soil properties, the features of this instability mode can be those of
either a shear strain localisation or a liquefaction process
(i.e. it can involve uncontrolled changes in pore water
pressures).
In the following, the particular features of these bifurcation modes will be elucidated by means of numerical
simulations. In order to simplify the comparison among
different initial conditions and failure modes, the instability
indices presented in this section will be reported in a
normalised form, as
I ij
(13)
I ij  
I ij0
where Iij is a stability index and |Iij0 | is a positive reference
value that, unless otherwise stated, will be the absolute value
of the stability index for in situ conditions.
A constitutive model for unsaturated soils
The theoretical framework presented in the previous sections can in principle be combined with any constitutive law
for unsaturated soils. Since the focus of this paper is to
investigate the stability of unsaturated slopes, the hydromechanical model developed by Buscarnera & Nova (2009) has
been selected. This constitutive law permits the use of a
non-associated flow rule, and is formulated by means of a
modelling strategy tailored to reproduce first-order features
of unstable mechanisms in both saturated and unsaturated
soils. This is achieved through constitutive functions that are
defined in terms of the so-called average skeleton stress
 ij0  ij  S r uw ij  1  S r ua ij

(14)

Equation (14) reproduces the increase in stiffness and

shearing resistance due to unsaturated conditions, as well as
the onset of shear failure resulting from saturation processes.
Wetting paths, however, can originate inelastic effects much
before failure (a relevant example being the phenomenon of
wetting-induced compaction). A common strategy adopted to
model these processes relies on the introduction of a dependence of the yield locus on suction and/or degree of saturation (Alonso et al., 1990; Jommi & di Prisco, 1994;
Wheeler et al., 2003; Sheng, 2011). This peculiar feature of
unsaturated soils is reproduced here by including a hydraulic
effect in the hardening law, as

p0s  p
_ v s _ ps  rsw p0s S_ r
(15)
p0
_s
Bp
where p0s is the internal variable defining the size of the yield
surface, pv and ps are the volumetric and deviatoric plastic
strains respectively, and Bp , s and rsw are hardening parameters. The dependence of p0s on the degree of saturation
reproduces the expansion/contraction of the yield surface
upon drying/wetting processes (Fig. 3), and implies coupling
between the retention properties (here reproduced through an

SOIL STABILITY AND FLOW SLIDES IN UNSATURATED SHALLOW SLOPES

uncoupled non-hysteretic Van Genuchten model; Van Genuchten, 1980) and the mechanical response of the material.
Simulations of one-dimensional compression tests allow the
implications of these constitutive assumptions to be de-

s1

Suction, s

Wetting path
s2

s3

805

scribed. Fig. 4(a) shows two stress paths, predicted for

saturated and unsaturated conditions respectively. Numerical
simulation of an increase in suction prior to one-dimensional
loading allows the effect of the parameter rsw to be shown.
The expansion of the initial elastic domain postpones the
onset of yielding, and reduces the amount of predicted plastic
strains upon loading. If wetting paths are eventually simulated, further plastic strains are predicted as a plastic compensatory mechanism initiated by suction removal (Fig. 4(b)).
Fig. 5 illustrates the role of some of the material constants in
equation (15), showing that larger values of rsw and Bp are
associated with a larger potential for wetting collapse.
As was outlined in Buscarnera & di Prisco (2012), the
prediction of hydromechanical instability requires an incremental formulation able to accommodate the notion of
material stability. For this reason the incremental constitutive
equations of the model discussed in this section have been
arranged in accordance with equation (1). This choice allows
reinterpretation of the engineering problem pictured in Fig.
80

Sr1

Sr2

Sr3
70

Degree of saturation, Sr
(a)

Deviatoric stress, q: kPa

60

Suction, s

s1

s2

Oedometric stress path

(unsaturated conditions)

50

40
Yield surface
(Sr 05)
30

20

s3

Oedometric stress path

(saturated conditions)
Initial state
before drying
(Sr 1)

10
p s0
(saturated
conditions)

0
p s3

p s3

p s3

Internal variable, p s
(b)

10

20
30
40
50
60
Average skeleton stress, p : kPa
(a)

70

80

0
Unsaturated
conditions
002

(s2, Sr2)
Wetting
path

Volumetric strain, v

(s1, Sr1)

Deviator stress, q

004

Wetting-induced
deformation

006
Saturated
conditions
008

(s3, Sr3)
010

p s3

p s2

p s1

Mean skeleton stress, p

(c)

Fig. 3. (a) Schematic description of retention curve and wetting

path; (b) hydraulic effects on evolution of internal variable p0s ;
(c) changes in size of elastic domain during wetting processes.
Suction axes are to be considered in logarithmic scale

012
10

Net vertical stress, net

v : kPa
(b)

100

Fig. 4. (a) Initial elastic domains and predicted stress paths for
one-dimensional compression under saturated and unsaturated
conditions (constitutive parameters given in Table 1);
(b) predicted volumetric response for two simulations and effect
of saturation path imposed at constant vertical net stress

BUSCARNERA AND DI PRISCO

806
0

Water infiltration (qw)

002
Bp 0038

Volumetric strain, v

004

Bp 0060

Bp 0090

006

Soil

008

Bedrock
Increase in plastic
compressibility (Bp)

010

012

016
30

rsw 387

Shear failure locus

25

20

15
10
Suction, s: kPa
(a)

Shear stress,

014

(a)

rsw 387

ssf

In situ stress
before rainfall

swc

Volumetric strain, v

rsw 600
005

rsw 800

(s*Sr )0
Normal skeleton stress, n
(b)

Increase in hydraulic
hardening parameter (rsw)
010

Fig. 6. (a) Schematic representation of rainfall infiltration (qw )

acting over unsaturated infinite slope and causing perturbation of
suction at material point level (s); (b) possible failure modes:
difference in suction removal needed to activate shear failure
(ssf ) or wetting collapse (swc )

Bp 0038
015
30

25

20

15
10
Suction, s: kPa
(b)

Fig. 5. Parametric analysis: effect of (a) plastic compressibility

(Bp ) and (b) hydraulic hardening parameter (rsw ) on the
volumetric strains predicted upon suction removal

1 (saturated conditions) for the case of unsaturated slopes

(Fig. 6). Rainfall events imply, in fact, a variation of the in
situ water pressure regime. Thus the distance from failure
conditions can be defined in terms of changes in suction,
s: that is, the external perturbation altering the state of the
slope. The key issue is whether shear failure (ssf ) can be
anticipated by other forms of collapse initiated by a wetting
process (e.g. swc in Fig. 6). In the following this logic will
be used to evaluate the distance from instability conditions.
Although such an incremental definition of failure does not
coincide with the usual definition of safety factor, it has
some advantages that are specific to the present analysis
(and more in general to the evaluation of instability conditions from coupled elasto-plastic soil models), as it allows
the same strategy to be used for general types of instability
mode.
Role of constitutive parameters in prediction of
hydromechanical bifurcation
Many components of the model can affect the capability
of capturing unstable processes, such as the degree of non-

associativity, hydromechanical coupling (here introduced via

the parameter rsw ), and the amount of inelastic wetting
compaction (governed primarily by the plastic compressibility Bp ). As previously pointed out, the role of coupling
parameters in the prediction of these processes is unexplored. In order to focus on a limited set of material properties, and clarify their effect, it is useful to motivate the
analyses through an analytical inspection of the constitutive
equations. Consider for this purpose the stressstrain response for water-undrained isotropic loading (an example of
a stress path that involves changes in both stresses and
suction). If net stresses are controlled, and the loading path
is able to engage the plastic resources of the material, then
the consistency condition requires
p_ s0 p_ net s_ S r sS_ r
p_ net C h S_ r

(16)

where C h s (@ f R =@S r )S r is a coefficient that depends

on suction, degree of saturation and retention curve (here
considered to be given by an expression of the type
s fR (Sr )).
By using equation (15), and assuming that plastic hardening involves only the volumetric strains (i.e. s 0, as in
classical critical-state plasticity) it follows that
p_ net

p0s p
_  rsw p s0S_ r  C h S_ r
Bp v

(17)

SOIL STABILITY AND FLOW SLIDES IN UNSATURATED SHALLOW SLOPES

p0s
1  h _pv
Bp

where
h Bp

(18)



Sr
Ch
rsw
n
p0s

(19)

This simple analytical result shows that the presence of

hydromechanical coupling alters the mechanisms through
which the yield surface evolves. Changes in the degree of
saturation, in fact, are no longer derived from imposed
changes in suction, but are rather a consequence of the
entire mechanical response. As a result, the net stress rate
associated with plastic consistency (i.e. p_ net ) is affected by
the pseudo-softening term h : Such hydraulic-induced softening depends on retention properties (Ch ), hydraulic hardening (rsw ) and plastic compressibility (Bp ). In particular, the
parameter Bp exacerbates the potential for instability by
amplifying the effect of the other hydromechanical terms.
Since Bp is notionally associated with the expected amount
of plastic strains originated by wetting (Fig. 5), these
considerations suggest that soils particularly prone to wetting
collapse tend to be characterised by a larger potential for
hydromechanical instability.
The set of model parameters adopted for the numerical
simulations is given in Table 1. The parameters have been
selected with the goal of reproducing the response of a loose,
unsaturated sand. The value and the range of variation of the
behavioural properties having a major effect on the stability
indices (e.g. non-associativity, water retention parameters,
hydromechanical coupling terms, etc.) have been assessed on
the basis of the available data for a volcanic silty sand
(Bilotta et al., 2005; Buscarnera, 2010). Given the simplicity
of the model, and the conceptual purpose of this paper,
parametric analyses have also been performed. In particular,
in order to disclose the outcome of an increasing potential
for wetting collapse on the slope stability scenarios, the
effect of plastic compressibility has been explored in greater
detail.
MODEL PREDICTION OF HYDROMECHANICAL
BIFURCATION MECHANISMS
Simulation of material instabilities in unsaturated soils
In this section, simple shear simulations are used to
illustrate the capabilities of the theory. A convenient starting
point is the comparison between drained and undrained
shearing in saturated slopes. Fig. 7 shows two numerical
simulations characterised by the same initial conditions
(slope angle 108,  9 30 kPa). By using the input
parameters collected in Table 1, drained shearing produces a
ductile (strain-hardening) response, with the stability index

25

Drained shearing
Undrained shearing

10
Shear failure

20

Shear stress, : kPa

p_ net

of shear strain localisation (equation (7)) converging asymptotically to zero (shear failure). Once the perturbation mode
is changed to undrained shearing, the stress path is characterised by a peak in shear stress (initiation of the instability).
This is confirmed by the stability index for undrained simple
shear (equation (12)), the evolution of which is plotted in
Fig. 7(b).
Even though typical model predictions of drained shearing
exhibit a stable mechanical response, alternative forms of
instability can still be identified before critical state (i.e.
before the stress state at which volumetric strains are no
longer possible). Fig. 8 details the evolution of the stability
indices I AS and I BS during drained shearing. The figure

Shear failure locus

15

Peak in shear stress

(initiation of instability)

10

5
In situ stress
(after deposition)
0

10
15
20
25
Normal effective stress, : kPa
(a)

30

35

25
I *AS (index for drained shearing)
I *BS (index for undrained shearing)
20

Shear stress, : kPa

During water-undrained loading paths, the changes in the

degree of saturation in equation (17) depend on the total
volumetric strains (i.e. nS_ r S r _ v ). If plastic strains constitute the main contribution to the kinematic response (i.e.
_ v _ pv ) it can be stated that

807

Shear failure
(I *AS 0)

15

10

Undrained instability
(I *BS 0)

0
02

02
04
06
Normalised stability index
(b)

08

10

Fig. 7. Analysis of response of saturated slope via simple shear

tests simulations: (a) stress paths for drained shearing and
undrained shearing; (b) evolution of stability indices for drained
shearing and undrained shearing

Table 1. List of parameters adopted for the numerical simulations

Elastic parameters
0.00
k 0.02
G0 4000 kPa
pr 100 kPa

Yield surface parameters

af
mf
Mcf
Mef

0.63
1.40
0.9
0.7

Plastic potential parameters

ag
mg
Mcg
Meg

0.63
1.40
1.37
1.07

Hardening parameters

SWCC parameters

Bp 1/rs 0.038
s 0.00
rsw 3.86

aR 0.43
nR 1.3
mR 0.22

BUSCARNERA AND DI PRISCO

808

shows that the condition I BS 0 anticipates shear failure,

defining a region in which a passage from drained to
undrained conditions is critical. Since this passage is only
potential, the onset of instabilities depends on the type of
shear perturbation. As a result, the region of the stress space
where I BS < 0 corresponds to a domain of latent instability.
Within such a region, model predictions suggest that flow
instabilities are possible, and their potential occurrence is
not overlooked if a convenient stability index is monitored.
The natural extension of these ideas to partially saturated
conditions relies on the comparison between constant-suction
and water-undrained shearing. This section details only the
characteristics of model predictions obtained within the unsaturated regime; the next section will expound the unstable
transition from unsaturated to saturated conditions. In order
to show the role of material properties, water-undrained
shearing has been simulated by using two different values of
plastic compressibility (Fig. 9). While the constant-suction
scenario shares many similarities with the drained test previously simulated, the water-undrained scenario may resemble
either drained or undrained shearing, depending on the initial

25
I *AS (index for drained shearing)
I *BS (index for undrained shearing)

Shear stress, : kPa

20
Shear failure (I *AS 0)
15

10
Region of
latent instability
5

0
02

Onset of latent
instability (I *BS 0)

02
04
06
Normalised stability index

08

10

 during drained
Fig. 8. Evolution of stability indices I AS and I BS
shearing: concept of latent instability

50

Shear stress, : kPa

40

Constant-suction shearing (CS1 )

Low compressibility (Bp 003)

10

Water-undrained shearing (WU1 )

Low compressibility (Bp 003)

I *AU 0

Stability index I *AU (test CS 1)

Stability index I *BU (test WU 1)

I *BU I *AU 0
I *AU 0 (shear failure
at constant suction)

30
Shear failure locus

20

srF 055
Initial suction
(Sr0 05;
s0 27 kPa)

10

In situ conditions
(after deposition)

I *BU 0 (instability
at constant water content)

0
(b)

(a)
50
10

Constant-suction shearing (CS2 )

Low compressibility (Bp 009)

Stability index I *AU (test CS 2)

Stability index I *BU (test WU 2)

Water-undrained shearing (WU2 )

Low compressibility (Bp 009)

40

Shear stress, : kPa

I *AU 0
I *AU 0 (shear failure
at constant suction)

30
srF 078
20
Initial suction
(Sr0 05;
s0 27 kPa)

In situ conditions
(after deposition)
I *BU 0

10

I *BU 0 (instability
at constant water content)

10

20
30
40
Normal skeleton stress, : kPa
(c)

50

02

02

04

06

08

10

Normalised stability index

(d)

Fig. 9. Analysis of response of unsaturated slope via simple shear test simulations. Low/moderate compressibility: (a) stress
paths and (b) evolution of stability indices for constant-suction shearing and water-undrained shearing. Effect of high
compressibility: (c) stress paths for constant-suction shearing and water-undrained shearing; (d) evolution of stability
indices. SrF indicates degree of saturation at moment of failure

SOIL STABILITY AND FLOW SLIDES IN UNSATURATED SHALLOW SLOPES

Shear stress, : kPa

40
Onset of shear failure
30
Shear failure locus
40
20
33

Initial suction
(Sr0 05;
s0 27 kPa)

25

10

10

20
30
40
Normal skeleton stress, : kPa
(a)

50

10

Normalised stability Index, I *AU

state and material properties. If the material is characterised

by low or moderate compressibility, the evolution of the
instability index I BU for water-undrained shearing is rather
similar to that of constant-suction shearing, I AU : In this case
failure is achieved on the same shear failure locus (Figs 9(a)
and 9(b)), and the degree of saturation undergoes minor
changes. By contrast, high compressibility favours a response
that is similar to the saturated/undrained scenario, with
instability initiating at lower shear stresses (Figs 9(c) and
9(d)). In addition, in this case the degree of saturation undergoes more significant variations.
The results disclose a remarkable increase in complexity
compared to saturated conditions. The dependence of material stability on the saturation index makes it impossible to
establish a direct correspondence between stress state and
stability conditions. The latter depend on the incremental
loading path and the evolving state of the material, with
latent instability that tends to be predicted only for the
loading paths that induce a non-negligible increase in the
degree of saturation. Under this viewpoint, the volumechange properties of the soil can be crucial. In fact, when
the suction and the degree of saturation do not change
remarkably, suction-constant and water-undrained failure
 and I  vanish simultamodes tend to coincide (i.e. I AU
BU
neously). By contrast, when soil compressibility is significant, Sr changes, and the water-undrained failure mode can
 vanishes
anticipate suction-constant localisation (i.e. I BU
when I AU is still positive). In this case the failure scenario
shares many similarities with the initiation of static liquefaction in saturated soils: it occurs when the soil has residual
tendency to contract (i.e. when critical state has not yet been
reached), and implies a peak in shear stresses.
Stability indices can also support the analysis of unsaturated slopes when they are subjected to a more intuitive
form of perturbation: the saturation promoted by rain infiltration. In this case, saturation tests with constant shear
stress can be used to investigate stability conditions. In this
work, the latter scenario is simulated by applying a removal
of suction (s , 0) at constant net stress conditions. Fig. 10
shows three simulations in which the saturation stage is
imposed at different stress conditions, corresponding to three
different slope angles. The possibility of a localised shear
failure is checked first (Fig. 10(b)). At 258 the value of
I AU is always positive, given that the simulation does not
exhibit any shear failure. Failure is reached at 338 (i.e.
very close to the angle of natural repose of the saturated
soil), with the saturation index approaching zero at Sr 1.
Finally, the simulation performed for a steeper slope angle,
408, exhibits failure in the unsaturated regime, with I AU
vanishing when Sr , 1.
Even though the previous simulations are based on suction-controlled wetting paths (i.e. index I AU governs the
initiation of failure), I BU can still be monitored through a
latent instability analysis. Fig. 11 refers to the simulation of
a suction-controlled saturation stage at 308. Even if
shear failure is not attained during the process of suction
removal, instability processes are still possible, depending on
soil properties. This is shown in Fig. 11(b), where I BU is
monitored. The same simulation is in fact repeated by using
increasing values of soil compressibility (i.e. by increasing
the tendency to produce volume compaction upon suction
removal). The simulations show that highly collapsible soils

can suffer unexpected instability modes. The index I BU
vanishes only for high values of soil compressibility, marking the attainment of an unstable state. It is worth noting
that such predicted instabilities are only potential, being
contingent to specific control conditions. In other words, the
model would predict an actual collapse of the slope only
when the system is perturbed in a certain manner (e.g., in

809

50

Initial degree of
saturation in situ

08

06

04
25
02

0
04

I *AU 0

05

33
40

06
07
08
09
Degree of saturation, Sr
(b)

10

11

Fig. 10. Simulation of the response of unsaturated slope by simple

shear tests: (a) stress paths for three saturation tests at constant
shear stress; (b) evolution of stability index for failure under
constant suction (I AU )

this case, by imposing water-undrained conditions or injecting water volume).

Unstable transition from unsaturated to saturated conditions
This section discusses some particular types of model
prediction that are associated with the unstable transition
from unsaturated to fully saturated conditions. In other
words, it illustrates a mechanical scenario that takes place
under partially saturated conditions and provides a justification for catastrophic liquefaction failures. Fig. 12 illustrates
a series of numerical simulations of water-undrained shearing starting from initially unsaturated conditions. Increasing
values of compressibility are associated with larger changes
in suction upon loading. This effect promotes a general shift
of the stress paths to the left, thus anticipating the prediction
of instabilities.
The sequence of failure mechanisms can be clarified by
inspecting the evolution of the stability indices. For relatively low values of plastic compressibility there is no
prediction of local peaks in shear stress (simulations WU3
and WU4 in Fig. 12(a), and WU7 and WU8 in Fig. 12(b)),
being shear failure achieved on the critical-state line
 0). Local peaks in shear stresses can instead
(I BU I AU

BUSCARNERA AND DI PRISCO

810

16

50

I *AU 0

14

I *BU 0: Latent instability

30

Shear failure locus

20
Initial suction
(Sr0 05;
s0 27 kPa)

10

10

20
30
40
Normal skeleton stress, : kPa
(a)

Bp 008

WU6

Initial degree of
saturation

SrF 087
Initial suction
(Sr0 07;
s0 75 kPa)

I *BS 0
at saturation

50
0

4
6
8
10
12
Normal skeleton stress, : kPa
(a)

25

Bp 003
Bp 005
Bp 007
Bp 009

06

SrF 089

SrF 093

Bp 010
6

WU8

20

Shear stress, : kPa

Latent instability: I *BU 0

02

0
07
08
Degree of saturation, Sr
(b)

09

16

WU7

04

06

14

15

Bp 006

05

SrF 08

Bp 006
WU5

10

08

WU4

Sr 1

10

2
0

Bp 004

I *BS 0

Normalised stability Index, I *BU

WU3

I *BU 0
12

Shear stress, : kPa

Shear stress, : kPa

40

15

Symbols Condition

30

10

Fig. 11. (a) Possibility of latent instabilities during saturation;

(b) evolution of stability index for wetting collapse (I BU )

be predicted for larger values of compressibility (simulations

WU5 and WU6 in Fig. 12(a), and WU9 and WU10 in Fig.
12(b)), and are associated with the fulfilment of I BU 0
 0 (closed square symbols in Fig. 12). It is
prior to I AU
interesting to note that the value of degree of saturation at
failure (SrF in Fig. 12) depends remarkably on the plastic
compressibility and the associated water-undrained stress
path, and should therefore be considered as a path-dependent
characteristic.
If total stresses are assumed to be controlled, a peak in
the shear stress is associated with the prediction of an
uncontrolled saturation of the pores. It is therefore particularly interesting to monitor the evolution of the index I BS
during these simulations. In fact, since the post-peak volumetric response keeps being contractive, continued shearing
causes a further increase in Sr and full saturation (open
square symbols in Fig. 12). If saturation conditions are
established, I BS becomes the relevant index for undrained
shearing, and affects the predictions upon continued undrained shearing. Thus very different types of post-peak
 is
response can be envisaged. In some cases the index I BS
negative at Sr 1 (simulations WU5 , WU6 and WU9 ), thus
having a continued decrease in shear stresses. Other simulations are instead characterised by a recovery of shearing
resistance upon continued shearing and two successive peaks
in shear stress (simulation WU10 ). The latter circumstance

Bp 004
SrF 08

SrF 093
WU9

15

Bp 008
WU10

I *BS 0

SrF 096

Bp 010
SrF 087

10

Initial suction
(Sr0 07;
s0 75 kPa)

I *BS 0
0

10
15
20
Normal skeleton stress, : kPa
(b)

25

Fig. 12. Simulation of water-undrained simple shear mechanisms:

effect of soil compressibility on unstable transition from
unsaturated to saturated conditions

can be predicted if the saturation point is attained at relatively small values of mobilised friction angle (i.e. at shear
stresses that do not yet correspond to spontaneous liquefaction). As illustrated in Fig. 13, this possibility implies a
recovery in resistance (), with a predicted strength capability that can even overcome the shear stresses responsible
for the activation of the first bifurcation mechanism. For this
reason, such simulated instability modes can be interpreted
as predictions of metastable states that is, situations at
which the development of an unstable mode of deformation
is interrupted by the transition from unsaturated to fully
saturated conditions.
Metastability can be also predicted during saturation
paths. Again, parallel monitoring of both the liquefactionrelated stability index and the wetting-induced bifurcation
condition is important for identifying these mechanical conditions. Fig. 14 shows two simulations of saturation paths at
constant shear stress. While larger values of the slope angle
imply that the stress threshold for incipient liquefaction is
crossed during wetting (I BS 0 in Figs 14(a) and 14(c)),
gentle inclinations are not associated with a state of incipi-

SOIL STABILITY AND FLOW SLIDES IN UNSATURATED SHALLOW SLOPES

10

Second
bifurcation:
I *BS 0

Shear stress, : kPa

First
bifurcation:
I *BU 0

Saturation
of the pores:
I *BS 0

Sr0 07
s0 75 kPa
Bp 010

10

15

20

25

30

Normal skeleton stress, : kPa

Fig. 13. Numerical prediction of metastable conditions: first peak

(bifurcation under unsaturated conditions, I BU 0) causes full
saturation, and is followed by second bifurcation point (second

peak at I BS
0) at larger stresses ( indicates the predicted
recovery in shearing resistance)

 . 0 in Figs 14(b) and 14(d)). This

ent liquefaction (I BS
difference is fundamental in grasping the effects of wetting
collapses initiated by suction removal. While an unstable
transition from unsaturated to saturated conditions is the
 ,0
trigger of a subsequent liquefaction in the first case (I BS
when Sr 1 in Fig. 14(e)), this is not the case in gentle
slopes, given that possible wetting collapses are transient
metastable conditions, not necessarily associated with a subsequent liquefaction of the layer (i.e. shearing resistance can
be recovered after the first bifurcation mechanism; Figs
14(b) and 14(f)).
STABILITY CHARTS OF HYDRAULIC
PERTURBATIONS: EFFECT OF SUCTION REMOVAL
The stability of unsaturated deposits during rainfall events
can be studied by simulating the response of the slope to
wetting paths. Although the complete quantification of suction perturbations over time (as well as the associated rainfall thresholds for slide triggering) would require data from
transient rain infiltration analyses, it is possible to simplify
the description of the hydrologic effects by representing their
perturbations as suction removal processes (i.e. s , 0). In
this way the changes in suction are closely related to the
disturbance effectively altering the current state of the slope
during a rainfall event, and are likely to be associated with
the onset of material failure and the consequent activation of
a slide.
The material point simulations illustrated in the previous
section can be used to condense the effect of material
parameters and slope characteristics (e.g. deposit thickness,
slope inclination). In other words, the perturbations able to
induce an instability can be identified through the stability
indices obtained from material point analyses. Such simulations are therefore used to define instability scenarios for
given sets of initial saturation conditions, slope inclinations
and types of disturbance. The outcome of these analyses is
eventually collected in graphical charts of triggering perturbations, hereafter referred to as stability charts. It is worth
noting that, although the focus of this paper is on the
mechanical implications of suction removal processes, such

811

a strategy can in principle be combined with more sophisticated retention models and with advanced hydrologic descriptions of the infiltration process, therefore studying the
effect of prior infiltration/evaporation events.
The stability charts discussed in this section will be based
on suction-controlled wetting tests, and will be presented in
terms of changes in suction. In order to compare different
initial conditions and have a more convenient graphical
representation, triggering perturbations are normalised for
the initial suction, s0 : In this way, full saturation is achieved
when the normalised perturbation s jsj=s0 1:
The possibility of shear failure induced by saturation paths
is investigated first. Fig. 15 shows the stability charts
 for different initial
obtained by studying the evolution of I AU
saturation conditions. All charts converge to the same point,
coinciding with the angle of natural repose (NR ) of the
saturated material. For that inclination, in fact, failure is
obtained only when suction is completely removed. The
stability charts are not defined in the range of slope angles
lower than the angle of natural repose, for which the
contribution of suction is not necessary to ensure stability.
By contrast, the value of suction is critical to assess stability
conditions when . NR , as higher suctions enable the
material to sustain steeper inclinations. Fig. 15(b) illustrates
the practical use of these stability charts. Once the in situ
state is defined, the associated chart provides the magnitude
of triggering perturbation for any slope inclination. It is then
possible to evaluate this critical change in suction for a
deposit of a given inclination.
Shear failure is the most intuitive type of instability
expected during saturation. As previously shown, however,
other forms of instability are possible upon suction removal.
This possibility is explored in Fig. 16, where stability charts
of the index I BU are reported. Any point of the chart is
 0: Thus the charts have
associated with condition I BU
been obtained by controlling the evolution of the stability
index associated with water-content control during the process of suction removal. As in the previous examples, the
effect of soil compressibility is investigated. The effect of
this parameter on the stability charts is remarkable. Whereas
for relatively stiff soils there is practically no difference with
the stability chart of shear failure, higher values of compressibility alter significantly the predicted stability scenario.
 indeed tend to shift below those
The charts derived from I BU

associated with I AU : In other words, the numerical results
reflect the fact that the state of the slope has entered a
domain of latent instability, and suggest that a multiplicity
of failure modes can be predicted for highly collapsible
materials (i.e. volumetric instabilities can arise before the
attainment of shear failure). These considerations can be
linked to the notion of metastability discussed in the previous section. Depending on the specific material parameters, the prediction of mathematical bifurcation can indeed
assume different connotations, which in turn reflect distinct
forms of wetting instability. As was indicated in the previous
section, information on metastable states must be derived
 and I  : For
from the combined analysis of indices I BU
BS
example, for high values of compressibility the stability

chart associated with I BU 0 shifts below the chart of
 0 (Fig. 17(b)). This circumstance reflects the possibilI BS
ity of a metastable condition (as illustrated in Fig. 14(b)),
and does not suggest a spontaneous sequence of unstable
mechanisms. On the contrary, when the slope angles prone
to latent instability lie within the range of potential liquefaction (i.e. I BS < 0), the model predicts the possibility of two
successive instability mechanisms leading to liquefaction
 vanishes when the
(Fig. 17(a)). In other words, if I BU
stability boundary for flow failure has already been crossed,
wetting instability should be regarded as a precursor for

BUSCARNERA AND DI PRISCO

812
14
Symbols

33

Condition

15

I *AU 0

12

I *BU 0

Shear stress, : kPa

20

15

I *BS 0

10

Sr 1
8
10

Shear
failure

Attainment of
full saturation

Initial suction
(Sr0 07;
s0 75 kPa)

Initial suction
5 (S 07; s 75 kPa)
r0
0

Attainment of
full saturation

Change in
control

Change in
control

2
0

4
6
8
10
12
Normal skeleton stress, : kPa
(a)

14

15

10
15
20
25
30
Normal skeleton stress, : kPa
(b)

12
33

15
I *BS

Normalised stability indices, I*

10
10
08
05

06

I *AU

I *AU
I *BS 0 at P

04
P (change in control)
0

02

05

P (change in control)

I *BS 0 at P

075

I *BU

I *BU

I *BU 0 at P

10
070

080

085

02

I *BS

090

095

100

04
070

I *BU 0 at P
075

Degree of saturation, Sr
(c)

080

085

090

100

12
33

15
10

I *BS

10
08

I *BS 0 at Sr 1

06

05

04

Water-undrained
deformation stage

P (change in control)
0

02
I *BS

P (change in control)

I *BU

05

10
070

095

Degree of saturation, Sr
(d)

15

Normalised stability indices, I*

35

Water-undrained
deformation stage
075

080

085

090

02

I *BS 0
at Sr 1
095

100

Degree of saturation, Sr
(e)

04
070

I *BU
075

080

085

090

095

100

Degree of saturation, Sr
(f)

Fig. 14. Numerical simulation of (a) unstable transition from unsaturated to saturated conditions and
(b) metastable response (Bp 0.10); (c), (d) evolution of three stability indices during saturation paths;
(e), (f) evolution of I BU and I BS after onset of water-undrained shearing (point P). Dotted lines in (e) and (f)
indicate evolution of I BU and I BS prior to change of control

liquefaction, given that the initiation of unstable saturation is

followed by a continuous reduction in shearing resistance. In
the light of these analyses, the achievement of fully saturated
conditions can be the consequence of an unstable process
rather than a prior cause of collapse, and the liquefaction
event can be understood as the ultimate stage of a chain
process activated by a prior suction removal.

The theoretical interpretation of the numerical simulations allows two opposite scenarios to be distinguished. The
first one refers to soils whose volumetric response is rather
insensitive to wetting paths. In this case, there is no
 and I  (both providing
practical difference between I AU
BU
the same prediction of failure; Fig. 18(a)), and shear strain
localisation is the only mechanism that can be initiated by

SOIL STABILITY AND FLOW SLIDES IN UNSATURATED SHALLOW SLOPES

Increase in Sr0

No localised
shearing failure
upon saturation

08

Sr0 07
Sr0 08

06

s0 750

s0 40
Sr0 06

04
Sr0 09

s0 140

s0 175
02
z 10 kPa
0

10

NR
20
30
40
50
Slope angle, : degrees
(a)

60

08

06

Increase in soil
compressibility
Bp 003
Bp 005
Bp 007
Bp 008

04

Sr0 08
s0 40 kPa
z 35 kPa

02

70
0

10

No localised
shearing failure
upon saturation

08

Sr0 08

I *AU 0: shear failure

upon suction removal
06
In situ state:
35
z 35 kPa
Sr0 08
s0 40 kPa

04

02
NR
0

10

15
20
25
Slope angle, : degrees
(a)

30

35

40

30

35

40

10

15
20
25
30
Slope angle, : degrees
(b)

35

40

Fig. 15. Stability charts of hydraulic perturbations for shear

failure (charts obtained by checking occurrence of I AU 0:
(a) role of initial saturation conditions; (b) example of use of
chart for given in situ conditions

suction removal. This scenario is possible for slope angles

larger than the angle of natural repose of the saturated
material (interval 2 in Fig. 18(a)). The second scenario
refers to soils exhibiting significant volume collapse upon
wetting. In this case, hydromechanical coupling can be
critical, and yields the existence of additional instability
 0 originates a distinct stability
modes. The condition I BU
chart, located below the stability domain associated with
 0 (Fig. 18(b)). The extent of the range of slope
I AU
angles that are either unaffected by instability mechanisms
(interval 1) or which suffer only shear failure (interval 3)
becomes smaller. In contrast, an additional range of critical
slope angles is found (interval 2), for which wetting
collapse can dominate the failure response of the slope.
The main outcome of this scenario is an extension of the
range of unstable slope angles and, most notably, a change
in the features of the expected instability mechanism. The
predicted wetting-instability modes can be further differen for
tiated on the basis of the value of the index I BS
saturated-flow failure (Fig. 19). In all cases, the onset of a
wetting instability under total stress control (I BU 0) has
the effect of inducing full saturation (i.e. s 1, as
illustrated by the vertical arrows in Fig. 19). After this
process, different scenarios can be devised. In particular,

when the stability charts obtained from the index I BS

Normalised suction perturbation, s* |s|/s0

Normalised suction perturbation, s* |s|/s0

10

813

10

Normalised suction perturbation, s* |s|/s0

Normalised suction perturbation, s* |s|/s0

10

I *AU I *BU 0: shear failure

upon suction removal

08

I *BU 0: possible latent instability

(volume collapse can take place
upon suction removal)

06

Bp 003
Bp 005
Bp 007
Bp 008

04

02

In situ state:
35
Sr0 08
s0 40 kPa

Sr0 08
s0 40 kPa
z 35 kPa
0

10

15
20
25
Slope angle, : degrees
(b)

Fig. 16. Stability charts of hydraulic perturbations for latent

instability during suction-controlled saturation (charts obtained
by checking occurrence of I BU 0). Role of soil compressibility in
the possibility of entering a region of latent instability

indicate that the boundary for a possible isochoric flow are

 0, the
crossed before the fulfilment of condition I BU
wetting instability takes place within a domain that is
already prone to static liquefaction (i.e. I BS < 0). In this
case, wetting instability can be regarded as the hydromechanical trigger of a flow instability. By contrast, when the
 > 0, it
unstable saturation of the pores coincides with I BS
reflects the existence of a metastability domain in which
condition I BU 0 is no longer a precursor of catastrophic
liquefaction (interval 2a in Fig. 19(b)).
CONCLUSIONS
This paper has detailed the study of flow slides triggered
by rainfall. The aim has been to provide a modelling framework for explaining failure in unsaturated slopes and performing triggering analyses. For this purpose, the scheme of
an unsaturated infinite slope has been combined with the
basic principles of unsaturated soil elasto-plasticity and the
mathematical concept of controllability. In this way, the
response of the deposit has been reproduced by means of
simple shear simulations, and analytical indices have been
used to study the stability of the slope.

BUSCARNERA AND DI PRISCO

814

08

s for I *BU 0

|s|/s0

s for I *AU 0

06

s for I *BS 0
04

Range of slope angles

for wetting instability:
I *BU 0 and I *BS 0

1
0

02

0
20

(a)

Sr0 08
s0 40 kPa
z 35 kPa
Bp 007
25

30
Slope angle, : degrees
(a)

35

Shear
failure
I *AU 0

40
Latent instability
I *BU 0

10

Sr0 08
s0 40 kPa
z 35 kPa
Bp 008

s for I *AU 0

Normalised suction perturbation, s* |s|/s0

Localised
shear failure
I *AU I *BU 0

|s|/s0

Normalised suction perturbation, s* |s|/s0

10

08
s for I *BU 0
1

06

(b)

02

0
20

Fig. 18. Schematic representation of stability charts. (a) Waterinsensitive soils: shear strain localisation is only failure mode (I AU
and I BU provide the same results). (b) Relevant tendency to
collapse on wetting (hydromechanical coupling). Latent instability
 and I  do not
is distinguished from shear strain localisation (I AU
BU
provide the same results)

s for I *BS 0

04

Range of slope angles

susceptible to metastability:
I *BU 0 and I *BS 0
25

30
Slope angle, : degrees
(b)

35

40

Fig. 17. Stability charts for wetting instability (I BU 0) and


liquefaction (I BS
0): (a) stability threshold for incipient liquefaction already crossed at I BU 0 (unstable transition from
wetting instability to flow failure); (b) at low angles I BU 0
anticipates conditions of incipient liquefaction (I BS > 0 and
possible metastability is predicted at Sr 1)

The analyses show that wetting paths can trigger a multiplicity of unstable phenomena, and that some of these
instabilities can anticipate shear failure. Three types of
mechanism have been studied: localised shear failure, static
liquefaction and wetting collapse. In particular, it has been
shown that the unstable mode associated with wettinginduced collapse shares several features with static liquefaction. The major difference, however, is that wetting-collapse
phenomena are predicted to occur when the material is not
yet saturated, and can therefore be activated by the process
of suction removal. According to this interpretation, saturated conditions may not be necessary to trigger a flow slide,
being liquefaction potentially originated from a chain process consisting of volume collapse, uncontrolled saturation
and, eventually, catastrophic undrained failure. These analyses point out that the combined use of several stability
indices is critical for distinguishing different failure scenar-

ios. They also emphasise the importance of using a unified

strategy of analyses, in which shear failure, saturationinduced liquefaction and metastability are all naturally included as particular cases.
In order to highlight the engineering significance of
these notions, stability charts representing the triggering
perturbations as a function of the slope inclination have
been numerically evaluated. The analyses show that the
possibility of undergoing volumetric instabilities also depends on the parameters that introduce hydromechanical
coupling. This conclusion suggests that rainfall-induced
flow slides are exceptional phenomena that can take place
only in very particular deposits, susceptible to both undergoing liquefaction and experiencing volume compaction
upon saturation. Most notably, these results suggest that
the risk of rainfall-induced flow slides may depend on
material properties that are not directly associated with the
shearing resistance. In order to clarify these concepts,
parametric analyses have been performed. Such analyses
allowed assessment of the relation between the parameters
governing wetting-induced compaction and the range of
slope inclinations affected by the instability mechanisms. It
has been found that the instability of slopes made of
materials that are insensitive to wetting paths is dominated
by shear failure, liquefaction being possible only under
fully saturated conditions. In contrast, soils that are highly
collapsible upon wetting are associated with a much broader spectrum of unstable responses, which also includes the
initiation of liquefaction upon either suction removal or
saturation-induced metastability.

SOIL STABILITY AND FLOW SLIDES IN UNSATURATED SHALLOW SLOPES

Saturation instability (Sr 1)
activates liquefaction
1
Static
liquefaction
I *BS 0

|s|/s0

Latent instability
I *BU 0

8 9 2
_ >
>
D11
>
> >
>
>
>
6
>
>
>
>

6
>
>

_
> >
> 6 D21
>
>
>
>
> 6
>
> _  >
> 6 D31
>
>
>
>

<
= 6
6
6

_
6 D41
 >
>
>
>
6
>
>
>
>
> _  >
> 6
>
6 D51
>
>
>
>
6
>
>
>
>
6
>
>
>
> _  >
> 4 D61
>
>
>
>
:  ;
D71
s_

815

D12

D13

D14

D15

D16

D22

D23

D24

D25

D26

D32

D33

D34

D35

D36

D42

D43

D44

D45

D46

D52

D53

D54

D55

D56

D62

D63

D64

D65

D66

D72

D73

D74

D75

D76

9
38
_  >
D17 >
>
>
>
>
7>
>
>
> _  >
>
D27 7
>
7>
>
>
>
7>
>
>
>
>
>
>

_
D37 7

>
>
7>
>
=
7<
7
D47 7 _ 
>
>
7>
>
>
>

_
>
>
D57 7

>
>
7>
>
>
>
7>
>
>
>
7
>
>

_
D67 5>

>
>
>
>
>
>
: _ >
;
D77
S r
(20)

2
0

(a)
Saturation instability (Sr 1)
Metastability

Liquefaction

Latent instability
I *BU 0

|s|/s0

Zone of
possible
metastable
evolution

The kinematic constraints deriving from the assumption of an

infinite slope can be used to simplify the above relations. Planestrain conditions imply that _ _  _  0, while the symmetry along the  axis implies _  0: These kinematic constraints
are representative of a simple shear strain mode, and lead to
equation (3).
The stability index for mode A can be obtained by considering an
incremental loading path characterised by controlled changes in
stresses and suction (e.g. constant-suction shearing, constant-stress
suction removal). In this case the control variables coincide with
those collected in the left-hand side of equation (3). The theory of
test controllability therefore identifies the inception of a bifurcation
mode when the constitutive matrix in equation (3) is singular: that is,
when
D77 D11 D44  D14 D41 0

I *BS 0

2b

2a
0
(b)

(21)

in which conditions D71 D74 0 have been used.

Mode B can be derived by modifying equation (3) to reproduce
water-undrained loading. If the drainage of the water phase is
prevented, the evolution of both degree of saturation and suction
depends on the overall mechanical response of the material. Under
constant water content, the constraint relating volumetric strains and
saturation index is given by

Fig. 19. Schematic representation of instability charts. (a) Stability chart for I BS 0 is entirely located below condition for

I BU
0; static liquefaction can be the ultimate consequence of a
wetting instability. (b) Stability chart for I BU 0 can be above the

condition for I BS
0 (interval 2a); evolution of wetting instability
can be characterised by condition of metastability (shaded area
indicates zone of possible metastable evolution)

Although many other factors that can affect hydromechanical stability (e.g. coupled retention properties, hydraulic
history) have not been specifically addressed in this paper,
the theoretical methodology can be enhanced for quantifying their effect. At variance with the usual stability analyses
for unsaturated slopes, the proposed approach is based on
stability indices that reflect the role of suction removal
processes and enable multiple failure mechanisms to be
simultaneously accounted for. As a result, in a future
perspective this theory can be combined with detailed
experimental characterisation of unsaturated deposits and
hydromechanical models calibrated for site-specific features.
In the authors opinion, the achievement of such a coordinated effort between geomechanical modelling and geotechnical site characterisation can constitute a powerful tool for
locating areas prone to originate slope failures and estimating the risk of activation of flow slides.

APPENDIX
This section briefly illustrates the analytical derivation of the
stability indices used in this paper. More details are available in
Buscarnera & di Prisco (2011b). Equation (20) reports the complete
incremental hydromechanical response of the material points within
a slope.

nS_ r S r _ 

(22)
By expressing _  as a function of the increment in total normal
stress and suction (i.e. _  _  S r s_ ), the constitutive equations
can be reformulated as

_ 
_ 
D11 D14

(23)
_
_ 
D D
41

44



where



 D  Sr D  Sr D
(24)
D11
11
17
77
n
n
Sr
D41 D41  D47
(25)
n
in which the hydraulic variables are eliminated by using the
constraint in equation (22). Equations (23) are complemented by
n_s (S r =n)D77 _  , which is needed for tracking the changes in
suction during shearing. It is interesting to note that the stability
index associated with failure of the slope under constant water
content coincides with the determinant of the control matrix in
equation (9).

NOTATION
af
ag
aR
Bp
Ch
D
Di j
E_
e
ew
fR
G0
IAS
IAU
IBS

shape parameter of the yield surface

shape paremeter of the plastic potential
shape parameter of the retention curve
plastic compressibility parameter
hydraulic parameter related to retention properties
hydromechanical constitutive matrix
principal minors of the constitutive stiffness matrix
hydromechanical strain vector
void ratio
water ratio
soil water retention curve
elastic shear modulus
stability index for shear failure (saturated soil)
stability index for shear failure (unsaturated soil)
stability index for liquefaction (saturated soil)

BUSCARNERA AND DI PRISCO

816
IBU
I ij
k
Mcf
Mcg
Mef
Meg
mf
mg
mR
n
nR
pr
p_ net
p 0s
qw
rsw
Sr
SrF
s
s_ 
s
ssf
swc
s
ua
uw
d2 W
X
z

z
 ij
 ij
pv
ps
eij
pij


s
_
ij
 i9j
 ij0
_ ij
 n9

liq
sf

h

stability index for liquefaction (unsaturated soil)

normalised stability indices
elastic compressibility
shape parameter of the yield function
shape parameter of the plastic potential
shape parameter of the yield function
shape parameter of the plastic potential
shape parameter of the yield function
shape parameter of the plastic potential
shape parameter of the retention curve
porosity
shape parameter of the retention curve
reference pressure for nonlinear elasticity
net stress increment
internal variable for isotropic hardening
rainfall infiltration
hydraulic hardening parameter
degree of saturation
degree of saturation at failure
suction
rate of smeared suction
perturbation of suction
triggering suction perturbation for shear failure
triggering suction perturbation for wetting collapse
normalised triggering suction perturbation
pore air pressure
pore water pressure
second-order work per unit volume
constitutive control matrix
vertical depth
slope angle
vertical overburden
Kroneckers delta
total strain tensor
volumetric plastic strain
deviatoric plastic strains
elastic strain tensor
plastic strain tensor
axis of the reference system (tangential to the slope)
axis of the reference system (normal to the slope)
dilatancy hardening parameter
hydromechanical stress vector
total stress tensor
effective stress tensor
skeleton stress tensor
incremental skeleton stress
in situ normal effective stress
shear perturbation
triggering shear perturbation for liquefaction
triggering shear perturbation for shear failure
vector of control variables
hydraulic-softening parameter
vector of response variables

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