1. Introduction
Rainfall-induced shallow landslides represent the most common gravitational mass movements on slopes [
1]. These slope failures act as landscape processes of sediment transfer and erosion, and they represent one of the most hazardous categories of mass movements occurring in the world [
2,
3,
4], even though they are characterized by both a ruptured surface that rarely extends beyond two meters depth and a small scar area [
5,
6]. According to the last Intergovernmental Panel on Climate Change (IPCC) report [
7], climate modeling suggests increases in the frequency and magnitude of extreme precipitation events that may trigger increases in the frequency and possibly magnitude of instability phenomena [
8], including shallow landslides.
Under the various complex effects of climate change, the IPCC has emphasized the assessment of future forecasts to prevent increasing risk and vulnerability under limited adaptation capacity [
7]. In this context, the scientific community relies mainly on two approaches to provide support to the administrations and civil protection agencies in the mitigation of this particular risk: hazard assessment in support of the land management and the forecasting of the temporal and spatial distribution of these events. The first approach concerns the assessment of the hazard and risk zoning of a slope failure-prone area at a regional scale [
5,
9]. Regarding the second approach, the forecasting of shallow landslides adopts different models. A comprehensive overview of these models can be found in [
1,
9,
10]. In detail, the quantitative assessment of shallow landslide susceptibility can be evaluated by implementing data-driven and physically based models. In data-driven landslide susceptibility assessment methods, the combinations of parameters that have triggered instability phenomena in the past are evaluated with the implementation of a statistical approach. Instead, physically based landslide susceptibility assessment methods are based on the numerical modeling of slope failure processes [
9,
10], which are often based on the infinite slope model, which assumes a planar rupture surface parallel to the topographic surface, usually corresponding to the bedrock/hillslope deposit discontinuity [
11]. This approach has been implemented in a wide range of numerical models that differ in the analysis and evaluation procedures used to assess shear stress, soil shear strength, hydraulic conditions and vegetation reinforcement ([
1] and references therein).
When implementing a shallow landslide physically based model, the attention is focused on the geotechnical parameterization of materials involved, hydraulic conditions and the soil/rupture surface [
2,
5]. It is well known from the literature that vegetation may play a favorable role in slope stability (e.g., [
12,
13,
14,
15,
16,
17,
18]), and over recent years, many efforts have been made to implement this kind of information in slope stability models (e.g., [
19,
20,
21,
22]). Basically, there are two main vegetation effects: hydrological (e.g., reduction in the water pore pressure through tree rainfall interception) and mechanical (increase in the soil strength due to the presence of roots and increase in both normal and shear stresses due to the vegetation load) (e.g., [
23,
24,
25,
26,
27,
28]). Hydrological effects are mediated by above-ground tree attributes. Tree canopy attributes like canopy cover and leaf area index (LAI), defined, respectively, as the proportion of the forest floor covered by the vertical projection of the tree crowns and the maximum projected leaf area per unit of ground surface area, are the major determinations of rainfall interception, root water uptake and evapotranspiration [
29]. Indeed, sparser canopy dominated by large between-crown gaps (smaller canopy cover and LAI) can favor more rainfall infiltrating into the soil with a subsequent increase in water pore pressure, which represents a triggering factor for the development of shallow landslides (e.g., [
30,
31,
32]). In this context, even the rainfall duration, the return time related to a rainfall event [
33], and the spatio-temporal hydrological processes in the soil should be taken into consideration [
34].
Mechanical effects are mainly determined by below-ground tree attributes, as roots provide reinforcement to the soil in terms of additional cohesion. Root reinforcement can be expressed as the product of the combined action of their mechanical properties and root distribution and thus greatly depends on tree species and tree density. In detail, two main different mechanisms of root reinforcement can be distinguished: lateral root reinforcement and basal root reinforcement [
35]. The first mechanism takes place at the transition between the sides of the rupture surface and the adjacent stable material; hence, it is significantly affected by the type of soil deformation, root density, and spatial distribution of the root system. Basal root reinforcement is mobilized if the surface of the rupture develops at a depth shallower than the root depth, so soil displacement may cause root pulling and shearing. This mechanism is relevant for shallow landslides but negligible for deep-seated landslides [
35]. The root parameter that is usually implemented in quantitative models is the root area ratio (RAR), defined as the root’s cross-sectional area per unit area of soil [
36]. Abernethy and Rutherford [
37] state that interspecies differences in root strength are less remarkable in increasing soil shear strength than the same differences in root distribution. Simon and Collison [
27] also report that root density is more important than root strength for increasing soil shear strength. For this reason, quantifying the spatial distribution of the RAR depending on tree species and position represents an important phase in the implementation and evaluation of root effects in shallow landslide physically based stability models [
38]. In this context, the most widespread model for the estimation of root cohesion is the Wu and Waldron Model (WWM) [
12], which takes into account both root failure strength and the RAR [
9]. The original version of this model tends to overestimate the root reinforcement, essentially due to the assumptions that: (a) all the tensile strength of the roots is mobilized during the soil shearing, and (b) all roots break simultaneously [
9]. In order to take into account the root orientation at root failure and to mitigate this overestimation, two additional factors, named
k′ and
k″, respectively, were successively implemented in the model’s original version [
12,
14].
Vegetation load can play an adverse role in slope stability depending on species, tree density, size of individual trees, and total stand biomass [
15]. An important surcharge is due to the presence of trees with a diameter at breast height (DBH) > 0.3 m; such trees can add or reduce by 10% the factor of safety, depending on the tree location (at the toe or at the top of the potential rupture surface, respectively) [
15]. As an example, the load provided by a forest consisting of trees characterized by heights between 30 and 50 m is equal to 0.5–2 kPa [
39]. However, it has been observed that the surcharge due to the presence of trees on a slope has little influence on slope stability compared to soil mantle and other weight factors [
32]. Moreover, the negative effect of the vegetation load depends on the slope steepness [
28]. Most studies focusing on the relationships between vegetation and slope stability have considered one of the aspects previously mentioned: the beneficial effect provided by the presence of root systems in the soil in terms of root density, root strength, root cohesion and root contents [
6,
12,
18,
40,
41]; the adverse effect due to the vegetation load [
15,
16,
39]; or the influences of canopy properties, forest litter and water preferential paths developed by continuous root channels [
42,
43,
44].
In this work, an integrated approach coupling geological, engineering geological and forestry expertise was developed to evaluate the influence of root structure on shallow landslide occurrence. For this purpose, an intensive field survey was carried out in the Garfagnana Valley (northern Apennines, Italy) with the specific aims of: (i) comparing the root features data acquired inside, in the neighbor of, and far from shallow landslide locations; (ii) implementing root features into the infinite slope model and the limit equilibrium approach; and (iii) evaluating the influences of the vegetation types, geology and morphometry towards the root density.
3. Results
Table 8 reports the shallow landslide frequency distribution for the study area with respect to lithologic classes, morphometric units and vegetation types. The results highlight that shallow landslides are more frequent in the lithologic class L1, including arenaceous and meta-arenaceous flysch, which correspond to the most widespread lithologies in the study area (45%). These considerations can also be extended to the morphometric unit E (upper portion of slopes and valleys), representing 37% of the study area. Finally, vegetation type 3 (including sweet chestnut and common hornbeam) includes the largest number of shallow landslides, depending on the fact that the Castanetum zone, which develops up to 900 m a.s.l., covers most of the study area.
As for the results of
RAR measurement, we could collect these data for 129 sites over the total number of sites (150) under analysis.
Figure 7 shows the values of
RAR distribution within the three different location types: IN, NEAR and FAR. The application of the Kruskal–Wallis test highlights that NEAR data are statistically separated from IN and FAR data populations (
p-values of 0.006 and 0.004, respectively). In detail, the NEAR population shows a median value equal to 1.44, whereas the IN and FAR data populations show median values equal to 0.77 and 0.89, respectively.
The application of the Kruskal–Wallis test shows that, when considering lithologic classes and morphometric units,
RAR data statistically belong to a single population (
Figure 8 and
Figure 9), whereas, when focusing on vegetation types,
RAR data show the distribution reported in
Figure 10. In detail, lithologic classes L1 (arenaceous and meta-arenaceous flysch), L2 (limestone, calcareous flysch, dolostone, marble), L3 (marl, claystone, siltstone, basalt and ultramaphites) and L4 (lacustrine shale, sandy shale, terraced alluvial deposits) show median values of 0.90, 0.50, 0.86 and 1.28, respectively (
Figure 8). Based on these results, it can be stated that geology exhibits a limited control on root density distribution. The same considerations hold for the morphometric analysis. Indeed, morphometric units A (gentle ridges and alluvial areas (<200 m a. s. l.)), B (steep ridges (>600 m a. s. l.)), C (gentle slopes and gentle ridges (200–600 m a. s. l.), D (flat to convex slopes) and E (upper portion of slopes) show median values equal to 0.73, 0.44, 1.28, 0.88, and 0.76, respectively (
Figure 9). Based on these results, it can be stated that even morphology exhibits a limited control on root density distribution. The apparent lack of lithologic and morphometric influence on vegetation data may be an effect of the spatial sampling strategy adopted, this latter being not based on catchment scale acquisition criteria. The same considerations can be drawn for the vegetation types. Indeed, focusing on the vegetation types, the Kruskal–Wallis test highlights that type 1 (characterized by grass, shrubs and isolated trees), is separated from the other types. In detail, vegetation type 1, type 2 (Black locust, Common ash, Field helm, Turkey oak), type 3 (Sweet chestnut, Common hornbeam), type 4 (Norway spruce) and type 5 (European beech) show median values equal to 0.14, 1.06, 1.23, 0.85 and 0.86, respectively (
Figure 10).
RAR data were also analyzed as a function of measurement depth. Indeed, the development of vegetation (including roots) is strongly influenced by ecological, geological, genetic and climatic factors [
23,
33]; generally, root density decreases as the depth increases and this is due to changes in nutrients and moisture availability [
12]. In agreement with the literature [
78], in this study, a
RAR reduction with depth was observed, as shown in
Figure 11. Namely, the
RAR tends toward nil values when approaching to depth of ca. 0.70–0.80 m. This behavior does not show any correlation with the spatial distribution of shallow landslides (IN, NEAR and FAR curves in
Figure 11).
4. Assimilating the Contribution of Root Reinforcement into the Infinite Slope Model and Limit Equilibrium Approach
Focusing on shallow landslides, the infinite slope model and limit equilibrium approach assume the basal-failure plane (fp
SD-S) to be parallel to the ground surface and close to the hillslope deposits/substratum contact (SD-S) (
Figure 12).
Moreover, the balance between shear stress (
FT) and shear strength (
T) is evaluated along the fp
SD-S. Therefore, the strength mobilized along the landslide flanks, where root reinforcement develops, is neglected. Zhou et al. [
80] found that different hillslope configurations related to the lateral root reinforcement. In detail, three different scenarios related to the root extraction dynamics were described: (1) roots anchored in the sliding mass across a tension crack, (2) roots originating from the stable mass, and (3) roots originating from the stable mass with multiple block failures [
81]. Our scheme reported in
Figure 12 refers to the combination of the first and second scenario, with roots occurring within both the stable and sliding masses.
Lateral root reinforcement represents a key factor in shallow landslide development [
82]. Indeed, crucially, roots do not reach the depth of the shallow landslide basal failure plane (usually 1–2 m) [
82]. In
Figure 13, the morphometric characters (basal failure plane depth, landslide length and landslide scarp width) of the shallow landslides visited are reported. The basal-failure plane depth shows a median value of ca. 0.8 m, so, considering the root density decrease with depth (
Figure 11), roots within the mobilized landslide volume do not crucially provide significant reinforcement along the basal-failure plane. On the contrary, those roots occurring within both the landslide scarp and flanks clearly contribute to shear strength.
Furthermore, 2D infinite slope stability models assume that root cohesion influences stability along the base of the slide mass only, despite lateral root reinforcement controlling shallow landslide initiation [
1,
83]. Therefore, the contribution of the roots located within both the scarp and flanks must be introduced within these models as an equivalent root cohesion
ceR, which is assumed to be mobilized along the landslide basal failure plane. In detail, the lateral root reinforcement
TR is assumed to develop to the depth
zR on the landslide scarp and flanks (extent
SLR); hence:
Therefore, a contribution equivalent to
TR is assumed to be mobilized at the basal failure plane fp
SD-S (extent
SB), so that:
where
ceR is the equivalent root cohesion, corresponding to (
Figure 12):
Figure 14 shows the distribution of
ceR obtained by considering, for each of the 40 visited landslides (
Table 3), the local values of
SB,
SLR, root maximum depth
zR, landslide length
dl and landslide scarp width
dw. These values are obtained for two
k′ and
k″ scenarios (
k′a = 1 and
k′b = 1.2;
k″a = 0.12 and
k″b = 0.5) [
68]. For the conservative scenario (a), the mean
ceR is ca. 2 kPa, whereas
ceR ≅ 3 kPa is obtained for the non-conservative scenario (b). In addition, the third quartile of the two
ceR distributions are ca. 4 kPa and 10 kPa, respectively.
5. Discussion
The results of this research show that root reinforcement plays a relevant role in the development of shallow landslides. Indeed, the analysis of the root vegetation data showed a
RAR differentiation according to the class of measurement sites (inside a shallow landslide—IN, in the neighbor of a shallow landslide—NEAR, far from shallow landslides—FAR). Particularly, the stability of slopes for the FAR sites can be considered the result of the combined action of different predisposing factors (lithology, soil geotechnical properties, slope, elevation, land use, climatic conditions, etc.), including vegetation [
84,
85]. Instead, the identification of higher
RAR values at NEAR sites compared to IN site values allows us to state that vegetation, at least
RAR features, exerts a control action on shallow landslide development, assuming that typical predisposing factor conditions can occur in the landslide areas and are reasonably constant in the neighbor of shallow landslides.
Therefore, this approach allowed us to make a new
RAR dataset available describing the spatial variability of root systems for the Garfagnana study area. The analysis of this dataset highlights the role of root systems in shallow landslides, in agreement with Roering et al. [
17] and Moos et al. [
86]. These authors provided results concerning the characteristics of roots close to landslide scarps and the clear link between landslide susceptibility and root reinforcement. In detail, in the work by Roering et al. [
17], the tree position, along with the characteristics of trees, represented an important factor in the study of the spatial variability of root strength, as well as shallow landslides occurring within forests. Indeed, root reinforcement could be predicted by mapping the presence of trees on potentially unstable slopes, suggesting that vegetation distribution plays an important role. Moos et al. [
86] found that the occurrence of landslides was higher in zones with low root reinforcement (which correspond to IN locations in our study). From the perspective of the local-scale spatial variability of root reinforcement, some similarities with our approach can be found in the work of Hales et al. [
87], where the influence of the positions on both the distribution and root reinforcement in an instability-phenomena-prone landscape was studied. According to their results, topographic position significantly affected the root reinforcement, as nose locations showed significantly higher values than hollows. These results agree, in turn, with the work of Dietrich et al. [
88], which states that landslides most commonly occur in flow accumulation zones. Moreover, our results agree with the findings of Marzini et al. [
6], in which differences in terms of lignin and cellulose proportions (structural chemical components that provide root mechanical properties) were found moving from landslides (i.e., IN sites) to stable locations (decrease in the lignin/cellulose ratio moving from landslides to stable areas).
RAR values, as obtained by the implementation of the trench method, resulted in the order of 5% or lower, and they are coherent with values known from the literature for similar environmental conditions [
23,
32,
61]. Regarding the depth reached by roots, results are smaller compared to the literature [
78,
89,
90] and show maximum
RAR values at a depth of 0.20–0.50 m, in agreement with Li et al. [
24]. This evidence represents the result of the combined action of nutrient decrease, aeration, water availability and layer compaction. Smaller depths may be explained by the acquisition data strategy adopted during the field survey: the trench method was applied not close to trees so as to collect
RAR data in locations unfavorable for root reinforcement (i.e., lower root density and resulting worse stability conditions in terms of additional cohesion). Indeed, according to the fact that landslide failure planes tend to develop following weakness zones (i.e., poor geotechnical properties of the hillslope deposit),
RAR data collected near trees are not representative, because the failure plane will barely develop where root reinforcement is greater.
Many studies have highlighted the role of the roots in hillslope stability considering only basal root reinforcement [
1,
19]. To the best of our knowledge, the geometrical representation of a shallow landslide has led to a distinction between basal root reinforcement and lateral root reinforcement [
82]. The former acts on the basal shear surface of the landslide and would be the most effective reinforcement mechanism if uniformly distributed along with the profile [
64]. However, generally, roots do not reach the shallow landslide basal failure plane depth (usually 1–2 m) and, as depicted from our root density data, the progressive
RAR reduction with depth affects the role of root reinforcement. Namely, our findings show that roots within the mobilized landslide volume cannot contribute to the basal reinforcement of shallow landsliding. Moreover, some studies highlighted that lateral root reinforcement may be activated along the potential landslide flanks, also influencing their size [
1]. In fact, the stabilizing role exercised by lateral roots was shown to be important for landslides with areas up to 1000 m
2 [
82], where roots do not cross the basal failure plane. Therefore, this literature framework, along with our field observations, make the proposed method for the implementation of the lateral root reinforcement into the infinite slope model and limit equilibrium approach, by introducing the equivalent root cohesion parameter (
ceR)—a relevant outcome of this research. The
ceR values estimated for two scenarios corresponding to different values of
k′ and
k″ (
Table 6 and
Table 7) were satisfactory and reliable (mean of ca. 2–3 kPa and third quartile equal to ca. 4 kPa and 10 kPa for conservative and non-conservative scenarios, respectively (
Figure 14)). Indeed, these values are in general agreement with the Schwarz et al. [
82] findings about the Vinchiana landslide case study (Tuscany, Italy). Results from these authors are based on the implementation of lateral root reinforcement into the fiber bundle model [
35] and indicate the mobilization of a root reinforcement contribution always lower than 20 kPa along the landslide scarp. Nevertheless, based on our findings, the implementation and calibration of the k additional factors into the WWM model represent both a fundamental and critical step in the root reinforcement estimation for landslide stability analysis and, therefore, caution must be taken in the selection of these numerical values [
19,
23].
An issue to be considered when analyzing the results of our research is represented by the spatio-temporal heterogeneity of forest stand properties. Our approach is based on root reinforcement parameters obtained from an intensive and spatially distributed field survey carried out within almost one year. The temporal variation of root reinforcement may depend on two types of processes: one is the seasonal dynamics of root distribution and mechanical properties, and the second is the long-term dynamics of both tree and stand [
35]. Moreover, the post-disturbance relationships between root reinforcement recovery dynamics in a forest stand and the shallow landslide susceptibility change must also be taken into account. Post-disturbance shallow landslide susceptibility mainly depends on the root decay of the dying trees, the recovery rate of the new stand in terms of roots and canopy cover, and the frequency and magnitude of rainfall events (e.g., [
91]). In this spatio-temporal complex framework, the epoch of occurrence of a landslide, as well as the epoch of fieldwork survey, represent important conditions that may influence the accurate evaluation of root reinforcement at both seasonal and long-term scales. In principle, a survey should be performed immediately after the landslide event. In practice, this is a tricky task, as landslide inventories are generally obtained by either the interpretation or classification of remote sensing imagery [
45] with a temporal resolution of several years; hence, they seldom provide the landslide activation epoch. Moreover, the inventories do not generally undergo real-time updating. The inventory we used in this research is a multitemporal inventory obtained by interpretation of 2003–2016 orthophotos with a temporal resolution of ca. 2–3 years. Therefore, our data may be affected by seasonal uncertainties as well as long-term effects related to a time span of less than 15 years. Nevertheless, the results show a correlation between root reinforcement and landslide distribution, suggesting that the effect of the above issues does not obliterate the main signal of the analyzed processes. The results are relevant for spatial landslide-susceptibility assessment [
91].
The landslide frequency distribution analysis with respect to lithologic classes is consistent with D’Addario et al. [
92], who analyzed the same distribution for Southern Lunigiana (Tuscany, Italy;
Figure 2). Several physical and chemical properties of bedrock, as well as morphometric features, can play a role in the distribution of vegetation [
93,
94]. Despite this, our
RAR results show no relevant differences following both lithologic classes and morphometric units. Our results are in contrast with the Tron et al. findings [
90]. Indeed, according to the literature, pedology, rainfall distribution and plant stand age are more important than the species [
90,
95]. In detail, referring to the work of Laio et al. [
96], the shape of the root distribution along a portion of a generic trench is mainly determined by the distribution of the rainfall. Moreover, root systems are deeper where the soils are coarse-textured and the evaporative demand slightly exceeds precipitation. Roots grow only as deeply as needed to fulfil plant needs [
96]. The apparent lack of lithologic and morphometric influence on vegetation data may be an effect of the spatial sampling strategy adopted, with the latter not being based on catchment scale acquisition criteria. Regarding vegetation types,
RAR data show the separation of type 1 (including grass, shrubs and isolated trees) from the other types. Type 1 values are higher than values related to herbaceous and shrub Mediterranean species [
36,
61]. This outcome may be explained by the occurrence of isolated trees (characterized by a more complex root system compared to grass and shrubs) in this category.