Harmonising Rock Engineering and the Environment – Qian & Zhou (eds)

© 2012 Taylor & Francis Group, London, ISBN 978-0-415-80444-8

Application of rockfall risk assessment techniques in two aggregate quarries

L.R. Alejano, M. Veiga & I. Gómez-Márquez

Natural Resources & Environmental Engineering Department, University of Vigo, Spain

H. Dellero
Department of Geology, Faculty of Sciences, University Adbelmalek Essadi, Tetouan, Morocco

ABSTRACT: Recent accident statistics of Spanish quarries revealed that rockfalls are one of the most relevant risks. The authors
of this paper developed techniques able to asses and control rockfall phenomena in quarries. These methods comprehend a
statistic based empirical method, called Rockfall Risk Assessment for Quarries (ROFRAQ), which evaluates the risk associated
with rockfalls in quarries and a technique focusing to control rockfall in those areas prone to release rocks able to produce
accidents and based on benched rock slope design and catch-bench width control. In this paper the authors present the application
of these methods to the slopes of two quarries. This application has shown that accounting for the rockfall risk from the design
stage can be very interesting to avoid future problems and meet safety standards.

Subject: Analysis techniques and design methods

Keywords: risks and hazards, mining, case studies, rock slopes and foundations, site characterization

1 INTRODUCTION
Rockfalls are a significant hazard in mountain areas and towns
with abrupt topography, in road and highway rock cuts as well
as in quarrying and open-pit mining. Recent records reported
that the most common cause of accidents in quarries was
rockfalls (over 20%). This leads to develop techniques able
to asses and control rockfall phenomena in quarries (Alejano
et al., 2007 & 2008).
These techniques include a statistic based empirical method,
called Rockfall Risk Assessment for Quarries (ROFRAQ),
which asses the risk associated with rockfall in quarries
and open pit mines. The method is based on a probabilis-
tic approach and it was applied to slopes in some quarries,
proving to be effective in detecting risky slopes.
Other developed technique focused to control rockfall in
those areas prone to release rocks. It was based on benched
rock slope design and catch-bench width control aiming to
prevent rockfalls in quarries. The method was compiled and
presented in the form of charts that enable the user to design
reasonably rockfall-safe slopes (Alejano et al., 2007).
In this paper the authors present the application of the
ROFRAQ in the slopes of two quarries.
2 BASIC DESCRIPTION OF ROFRAQ
ROFRAQ is a statistically-based empirical method for assess-
ing rockfall hazard in hard rock quarries. The method is based
on the observation that a rockfall-related accident in a mining
environment typically occurs as a consequence of 5 sequential
events, as follows:
1. A detached block/rock mass exists on a slope.
2. The block/rock mass is close to equilibrium (under any
given instability mechanism).
3. A triggering phenomenon makes the block/rock mass
unstable.
4. The block/rock mass fall path is such that one or more
blocks reach the quarry bottom.
5. At least one block hits a worker or a machine.
The probability of an accident occurring, which is the prob-
ability of these 5 events taking place sequentially, can be
calculated by multiplying the individual factor probabilities.
Thus, the method has a multiplicative structure, rather than
an additive structure as in RHRS (Pierson et al., 1990; Hoek,
2000). In our method, a score of between 0 and 10 is assigned
to each of these possible events on the basis of an assessment
and weighting of all the factors that affect the occurrence of
the rockfall. In developing the method we drew on analyses of
rockfalls in road cuts and slopes and on our own experience
of mine slope stability analysis and design.
The product of all the factors, plus a final corrective value
based on the rockfall history of the quarry, yields an empir-
ical final value for our ROFRAQ index, which provide a
yearly estimate of the likelihood of a rockfall-related accident
occurring on any given quarry slope. The ROFRAQ value is
updated as remedial measurements are implemented and as
far as mining evolves.
The results of ROFRAQ ranges between 0 and 10 000, and
slopes can be classified in 6 categories with recommendations,
namely:
• Less than 10. VERY LOW RISK, No measurements needed
• 10–25. LOW RISK: A simple control system convenient
(regular observations)
• 25–100. LOW TO AVERAGE RISK: Some simple safety
and control measurements needed. i.e. avoid traffic under
face on rainy periods . . .
• 100–250. AVERAGE RISK: More serious safety mea-
surements needed. Improve berm (catch-bench) and bench
clean-up, blasting control . . .
• 250–1 000. HIGH RISK: Too risky situation, re-make mine
planning or local re-design, berm enlargement . . .
• More than 1 000. VERY HIGH RISK: Mine re-design, mesh
installing and/or ditch control needed.

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Figure 1. Catch-bench design chart for 8-bench quarries. Values in
the graph indicate bench width (m) to retain 90% (9 out 10 rocks)
Figure 2. Sketch of the quarry and two opposite views.
for a rockfall occurring in the upper bench.

Additionally, the raw number obtained by ROFRAQ divided

between 10 000 is a raw estimate of the likelihood of the
occurrence of an accident under the analyzed slope.
ROFRAQ is calculated using a datasheet illustrated in
the original publication (Alejano et al., 2008), which is not
included here due to space lack. This datasheet is comple-
mented with a number of graphs, which facilitate its use.
To complete this sheet we need a topographical map of the
quarry, a basic geotechnical survey, weather data, information
on machines and quarry planning and a detailed observational
survey of the quarry slopes in place.
The method was tested in a number of different rock type
quarries, and results were compared to an adapted version of
RHRS for roads. The comparison revealed that the ROFRAQ
approach is reliable.

Figure 3. Detail of a mine bench where the three joints found

in the mine are clearly observable together with the stereographic
3 ROCKFALL CONTROL BY MEANS OF compilation of data.
SLOPE GEOMETRY

A rockfall control method for rock quarries was developed,
based on benched rock slope design and catch-bench width
control. The aim was to prevent rockfalls in quarries, which
cause accidents and even fatalities. Whereas catch ditches
have typically been used as the main rockfall control method
for highways, benches in the slopes are traditionally used in
quarries.
In the road engineering field a rather simple empirical
technique recently updated (Ritchie, 1963; Pierson et al.,
2001) has long been in use, It is capable of ensuring slope
designs that prevent falling rocks from reaching the travelled
area of a road. Such methods were lacking in the quarrying
field, and this is why we sought a method similar to those
developed for road engineering, but adapted to quarry slope
geometries.
Using statistically relevant parameters on the parameters
affecting falling block trajectories, we estimated geometries
for quarry slopes that would prevent falling rocks from
reaching working zones. This information was compiled and
presented in the form of charts that enable the user to design
rockfall-safe slopes. Figure 1 shows one of these charts for
8-bench slopes which will be used in this text.
4 ENLARGEMENT OF A GNEISS QUARRY DESIGN
The aggregate gneiss quarry sketched in Figure 2, which has
already been exploited for 25 years, was about to achieve its
final geometrical design, but, since there was still a significant
amount of reserves, it was decided to go on quarrying. A new
design was required deepening the bottom of the quarry to
increase mine life in fifteen years. The main slope at this stage
was roughly 100 m high with 15 m high 75◦ dipping benches.
The design process started with the recovery of discontinu-
ity data. Three joint sets were clearly identified in the quarry
(Figure 3) and their parameters in-situ recovered are shown in
table 1. Some rock samples were taken and tested in the lab
to obtain basic rock information.
With these data the instantaneous cohesion and friction
of the discontinuities for different scales and values of nor-
mal stress were computed and the various slope instability
mechanisms (namely planar and wedge failure, and in one
case toppling) in the different benches were first identified by
means of hemispherical projection methods and then studied.
Since we have available statistical strength and orientation
information, this data have been used to compute statistical

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Table 1. Joint set geometric and geomechanic features.

SETS J1 J2 J3
◦
Dip dir.* 258 (12) 360 (20) 079 (19)
◦
Dip* 66 (14) 89 (14) 45 (12)
Persist. m 15 (10–20) 12 (10–20) 7 (3–10)
Spacing m 1,9 (0,6->2) 2 (0,6->2) 2 (0,6->2)
JRC* 7 (3) 6 (3) 9 (3)
JCS* MPa 138 (58) 183 (50) 138 (56)
Width mm 0–1 0–1 Closed
Fill Oxides Oxides –
Wheater. deg. I–II I–II I–II
Water Dry-hum. Dry Dry

*Parameters where average and standard deviation values appear.

Figure 5. Plan view of the final design of the gneiss quarry.

Figure 5, and it made possible the continuation of the quarry

for 15 years under reasonable safety standards.

5 STUDY OF A SERPENTINITE QUARRY

In this case we study a serpentine quarry opened four years ago

Figure 4. Stability analysis of a wedge in a quarry. Different safety
factors obtained. Stereographic, 3D representation and picture of
such a wedge in a quarry bench.
values of safety factors (dry, 50% of saturation, saturated
and seismic) for every mechanism. For illustrative purposes
Figure 4 shows a scheme of one of this analysis.
The statistical estimate of factors of safety of possible wedge
or planar failures -based on a reliable number of discontinu-
ity feature data- has been very convenient to obtain reliable
information directly applicable to the ROFRAQ calculation
structure.
The application of ROFRAQ to the present four slopes
of this quarry let us obtain values in the range 15 to 35,
corresponding to low and low to average risk.
With this in mind, we have proceeded to design the final
quarry pit. Rock was very hard so no circular slopes are pos-
sible, since safety factors over 4 were produced for the analysis
of the slopes. For the case of 45◦ slopes, which is the present
one no failure mechanism is cinematically possible, except for
a block toppling in the central slope (which will not take place
accounting for the persistence and spacing of joints).
The general slope of the quarry was kept to 45◦ , and since
according to ROFRAQ results the rockfall risk was low aver-
age, it was considered that if the slope retains 90% of rock
blocks, safety conditions were fulfilled. In this way and for
the conditions encountered the rockfall control method devel-
oped prescribed a catch-bench width of 7 m, which should be
increased in 1 m to account for back-break problems. With
these prescriptions, a final design was proposed as shown in
and that produces aggregates for railway gravel foundations.
The deposit extends up to a depth of around 50 meters so only
three 15 m high benches were considered. The owner wanted
to find a suitable way to plan quarrying for the following years
and some guidelines to prepare a final design.
Starting from a geological base, a geotechnical survey on
place was performed and some basic testing (φb , UCS) was
done in the lab. Five joint sets were identified and bench
stability analysis was carried out according to the instability
mechanisms identified (planar and wedge failure) by means of
stereographical techniques. Statistical values of SF and deter-
ministic ones for different conditions were computed for the
different benches.
As a result of this study for the eastern slope (streak N-175◦ )
a quite unstable planar failure mechanism was identified and
observed in a similar slope of a neighbor quarry. Therefore,
it was suggested to avoid this orientation. In the northeastern
slope (streak N-135◦ ) a type of wedge has been identified, it
is formed by two joint sets and another one acting as a tensile
crack and it tends to be unstable under saturated conditions. So
this is considered a potentially troublesome slope (Figure 6).
The projection of joint traces derived from field data in the
slope face, together with the help of codes able to represent
joints have been helpful to quantify continuity and include
geometry in the SF calculation in an indirect way (Figure 6).
Even if there are now available more advanced techniques to
perform this task (Jimenez-Rodriguez et al., 2006), it is still
difficult to obtain reliable extent or persistence parameters in
the field to properly apply these techniques.
The ROFRAQ method has been applied to the benches and
slopes in the quarry to find out that most of the present slope
orientations can be rated as low risk ones, except the two
ones where problems were detected in the basic geotechni-
cal phase of the study that yield ratings of 127 (eastern slope
to be avoided) and 55 (northwestern slope).
In what concern this northwestern slope, it was very trou-
blesome to avoid it from a practical scope, since it ran parallel
to the property boundary. So it was decided to keep this slope,
but exploitation of this area was restricted to the dry season
and 12 meter berms or catch-benches were planned–designed

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Figure 6. Picture of a bench in the NW slope, with traces of the
joints observed. In the upper right part, a sketch of the quarry and
the stereographic representation of the main joint sets are included.
In the lower part fracture pattern this slope face derived from the dis-
continuity information recovered in place, according to the authors’
interpretation and plotted according to UDEC.
according to the rockfall control methodology presented to
retain 19 out of 20 falling rocks.
6 CONCLUSIONS
The incorporation of rockfall quarry assessment and control
techniques (Alejano et al., 2007 & 2008) in the process of
quarry design and planning has revealed a rather useful tool
to take decisions, which were not that that clear in the light
of standard geotechnical approaches. Especially in what con-
cerns catch-bench width, the indicated approaches are helpful
to provide a safe design.
These methods help to quantify rockfall hazard potential,
in such a way that the most dangerous slopes can be identi-
fied and eventually redesigned in order to mitigate the risk.
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As a practical method for assessing rockfall hazard, ROFRAQ
is a useful decision-making tool for staff, authorities and
insurance companies, to improve quarry safety and reduce
accident costs. This method in conjunction with a rockfall con-
trol method based on the design of the slopes has been used
to study and design two quarries, which are now working in
reasonable safe operational conditions.
It is important to bear in mind that the quantification of
data for natural materials such as rock masses is invariably
subject to a certain degree of subjectivity and uncertainty.
Consequently, ROFRAQ should be used as a guideline. It is
relevant to note, that for design purposes, these approaches
should be used in combination with traditional general slope
stability studies (Wyllie & Mah, 2004).
ACKNOWLEDGEMENTS
The authors acknowledge the funding received from the
Regional Government of Galicia (Consellería de Innovación
e Industria de la Xunta de Galicia), for financial support
of the research project under contract reference number
INCITE08PXIB304076PR, which has been of help in some
of the research topics presented in the paper.
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