HARMONIZATION OF ENGINEERING GEOLOGY AND ROCK

MECHANICS FOR ROCK SLOPE STABILITY ASSESSMENTS

IN ENGINEERING PRACTICE

Prof. Dr. REŞAT ULUSAY

Hacettepe University, Geological Engineering Department, Ankara, TURKEY

- Hong Kong, 31 July 2019

(1) INTRODUCTION
 Engineered Slopes
Construction, design, remediation and maintenance of engineered slopes have always been
an important area of geo-engineering.
Highway cut Rock or Earth Fill Dam
(WikimediaC ommons)

Gemlik Büyükkumla Dam (Turkey)

Open Pit Slope (dsi.gov.tr)

Embankment Slope
(Twisted Sifter)
 Foundation Slope/Cut

(Photo: R. Ulusay)

Spoil dumps (waste piles) in an open pit

(CANMET, 1977)

(Kaşmer et al., 2006)

 Tailings dam (Turkey)

(International Mining) (Photo: R. Ulusay)

(CANMET, 1977)

(pebblescience.org)
Shear failure in the tailings dam of
Anzacolar pit (Spain)
 Why the Importance of Stability of Slopes is Increasing ?
(a) An increasing demand for ultra deep open pits
(after Meyers, 2009)

(Mudd, 2005)
Mirny diamond pit (Russia) Palabora cupper pit (S. Africa)

(weather .com) (miningreview.com)

 Bingham Canyon Copper Pit (Utah-USA)

1992 (450 m)

Depth in 2009: 1.2 km

2009

(Photo: R. Ulusay)

1.2 km

(www.geomineinfo.com)
Failure in April 2013 (depth > 1.3 km)
(boingboing.net/2013)
Chuquicamata copper pit (Atacama Desert, Chile)

Current depth is up to
850 m

(www.joeskitchen.com)
Mirny Diamond Mine
(East Siberia, Russia)

Depth: 525 m

1.2 km

(www.umopit.ru)
With increasing depth of open pit (1200-2000 m ?) and
height of spoil piles

Probability of failure P(H)

Risk for loss of life R(D)

(www.geomineinfo.com)
 (b) Large civil engineering constructions in rocks such as
expressways, highways, railways and hydraulic structures

(blogs.agu.org)
Failure along a highway

Highway cut

Slope

Slope failure at a
hydroelectric power (www2.maaconsultants.com)
Plant, Turkey (Photo: R. Ulusay)
 (c) Increase in the number of settlements at hilly grounds

(Geotechnical Control Office, Hong Kong Government)

(poleshift.ning.com)

June 1972 Po Shan Road slide

(Hong Kong)

Landslide at Babadağ town

(Turkey)

(Tano et al., 2006)

Uncontrolled excavation at the toe of slopes

Evacuated area Stream

due to landslide bed

(Photo: R. Ulusay)
(Photos: R. Ulusay)
 (d) Increase in the amount of excavated materials to be dumped

(Daily Mail)

(www.gettyimages.com)
(Photo: R. Ulusay)
(www.cat.com)
- Spoil and waste dumps:
They consist of mining and industrial waste, excavated and dumped rock blocks or
soil/soil like material.
Their importance:
(a) Recent disasters which have been consequence of spoil dump failures
(b) The growing magnitude of waste material requiring to be disposed
(c) The scarcity of adequate sites for waste dumps

(CANMET, 1977)

COAL Inner spoil pile

Outer spoil (waste) pile

(Photos: R. Ulusay)
ABERFAN DISASTER-Wales (Spoil pile instability, loss of 116 students)

Spoil piles Spoil dumps 115 m high

(mineaccidents.com.au)
(e) Increase in the number of tunnel constructions and associated slope failures
at their portals

Portal
Rock fall

(sciencedşrect.com)
Rock fall

(transsib.ru)
 (e) Earthquake-triggered slope failures

Failure along Ankara-İstanbul highway

(1999 Düzce Earthquake of Turkey)

(Photo: Ö. Aydan)
(Photo: Ö. Aydan)
2004 Chuetsu earthquake
(Japan)
Wenchuan E. 2008 (China) 2011 Christchurch E. (N. Zealand)
(Aydan, 2012)

(GNS, 2011)
 12 May 2008 Wenchuan Earthquake (China)

Rock falls

(Photos: Ö.Aydan)
Balakot City (2005, Pakistan)
 “Progresses in understanding, analysis and control of rock slope
movements have been the result of interdisciplinary efforts mainly
involving engineering geologists and rock engineers”

ENGINEERING GEOLOGIST
translates the scientific facts (observed or measured) into engineering
data to identify areas that will adversely affect the design, construction
and maintenance of any engineering project

(Keaton, 2010)
 ROCK ENGINEERING
The discipline studying on a wide variety of design aspects relating to the
planning and construction of civil and mining projects on and in rock masses.

Transportation Engineering Petroleum Engineering

Nuclear Waste Disposal
Mining Engineering
CO2 Underground Storage
Hydraulic Power Engineering
Defence Engineering
Civil Engineering

ROCK ENGINEERING

Tunneling Caverns Slopes Foundations

Engineering Geology
Atrificial Intelligence

Hydrogeology System Science

Mathematics Informatics
Geophysics Rock Mechanics
(modified from Magar (1998) by Feng & Hudson (2011))
AIM:
To emphasize the importance of harmonizing engineering geology with rock
engineering for the assessment of stability of engineered and natural rock slopes.

CONTENT:
ENGINEERING GEOLOGICAL INPUTS FOR ROCK SLOPE STABILITY ASSESSMENTS
- Lithology
- Structural Features (discontinuities)
- Effect of Degradation
- Hydrogeological conditions and Hydrogeological Conceptual Model
SELECTION OF GEOMECHANICAL PARAMETERS FOR ROCK SLOPE STABILITY ASSESSMENTS

THE ROLE OF ENGINEERING GEOLOGICAL MODEL

METHODS OF STABILTY ANALYSES AND BACK-ANALYSIS TECHNIQUES WITH THEIR

ADVANTAGES AND LIMITATIONS

IMPORTANCE OF MOVEMENT MONITORING

SELECTION OF FACTOR OF SAFETY FOR ENGINEERED SLOPES

 (2) MAIN ENGINEERING
GEOLOGICAL INPUTS IN THE
ASSESSMENT OF ROCK SLOPE
STABILITY
The input from engineering geology is a pre-requisite in all stages of rock slope
engineering.
Particularly it is important in terms of the establishment of engineering geological
model by considering that different lithological units will exhibit different behaviors,
and therefore, their types and engineering behavior should correctly be described in
necessary detail.
In rock slope engineering, a comprehensive engineering geological model based on
- LITHOLOGY (rock type)
- STRUCTURE (discontinuities)
- STATE OF WEATHERING
- HYDROGEOLOGICAL CONDITIONS
- CORRECT SELECTION OF GEOMECHANICAL PROPERTIES OF ROCK MASS
is fundamental.
Dynamic loading due to earthquakes is also important at earthquake prone areas.
 1. Lithology
Due to different nature and origin of the rock types, their inherent geological features are
also different.
In softer and weaker rocks, the material itself
can be the predominant controlling factor, and
Weathered &
circular failures are more common. heavily jointed
schist

Weathered serpentinite

(Photos: R. Ulusay)

Toppling
Planar Failure

In jointed and hard rocks,

the major discontinuities
control the stability
Limestones with karstic features may also contribute to trigger failures, particularly in
cliff slopes.

Tensile
joint
Moment
TOPPLING Toppling and falls on the cliffs formed by karstic
carbonate rocks on the coast of Mediterranean Sea,
Separated block
Antalya city (Turkey)
Contracting
by freezing

Shear forces
Tensile forces

Joint Weight
propagation

CAVE
(raintransfers.com)

(Thuro & Bundschuh, 2012)

 Block-in-matrix rocks-BIMROCK
Mixture of rocks composed of geotechnically significant blocks within bonded matrix of
finer texture such as melanges, faulted/fractured rocks and other complex geological
mixtures.

(Photos: Medley 2007)

Geelogic BIMROCKs may be sometimes

complex mischaracterized due to their considerable
spatial, lithological and mechanical variability,
and therefore, their correct characterization is
necessary to reduce expensive and
inconvenient surprises during slope
construction.
Approximate locations of melange bodies in the World

(Medley, 1994)
 Density, size and position of blocks in BIMROCKs

Limestone block at a dam site

(Turkey)
Matrix dominant BIMROCK (Photos: Ulusay, 2000)

(Turkey)

(Medley, 2007)
 2. Structural weakness planes (discontinuities)
“DISCONTINUITY” is a collective term used to include
Sheeting Joints
Bedding Contact

(marlimillerphoto.com)
(Ulusay et al., 1999)

(Petersen, 2004)
(minerva.union.edu) Joint sets in granite
Fault

Schistosity / Foliation

(ISRM, 1981,2007)
(www.authorstream.com)
(pinterest.com)
 Wedge F. The adverse interaction of discontinuity
orientations with those of slopes is the greatest
contributing factor to rock slope instability
(Tanyaş & Ulusay, 2013)

Structural geology is a critical part of

engineering geology

(Ulusay, 1991)

Foliation planes Spoil pile

(external load)
Methods used for structural data collection
- Survey-line, window mapping
(ISRM, 1981, 2007)
Circular failure
- Photogrammetry
- Laser scanning
- Core orientation Heavily jointed rock mass
- Telewiever
COAL
Limited or unrealistic assessment of discontinuity characteristics (orientation, spacing and
persistence)
Misconceptions on the modes of failure and on block sizes used in analyses generally
different than that of expected in reality
Unrealistic engineering geological models be established for the rock slopes

Composite Failure Through a Rock Slope

Deep
slope

(modified from Baczynski, 2000)

 3. Effect of Weathering
- Weathering or alteration transforms hard rocks into soft rocks, which maintain the
structure of the intact rocks, or soils but are characterized by higher void ratios and
reduced bond strengths. Increase in the degree of weathering will result in a soil behaviour.

Chemical weathering

Soil-like material
Highly
weathered
rock Circular failure

Highly
weathered
(Hoek et al., 2000) rock
(Photo: Ö. Aydan)
Yosemite Park
(USA) Planar sliding along

(Adamassu et al., 2012)

exfoliation joints

(marlimillerphoto.com)
Physical Weathering
(Exfoliation joints: Joints developing
parallel to the slopes in plutonic rocks
as a result of stress relaxation)
Cappadocia Region (Turkey)
Differential Weathering

Undercutting
(Admassu vd., 2012)
Fall or toppling
(Photo: R. Ulusay)

ENG. GEOL. Type, degree,

product and depth of weathering Soft rock
Hard rock
 4. Effect of water pressure on stability (Hydrogeological conditions)

CONSEQUENCE
REASON

Increase in pore pressure results in decrease in

shear strength :

τ = c + (σ − u) tanφ
Comparison of the effective stress state in a partly saturated slope (a) and an almost dry
slope (b).
Stress states are shown for the same point in the slope and for two phreatic surfaces.
Slope crest

(a) Phreatic surface

Stress state at this point

Shear stress Reduction of effective stress

Slope toe
Effective
Effectivenormal
normalstress
stress

(b)
Stress state at this point

Shear stress

Effective normal stress

(Sjöberg, 1999)
 CONSIDERATION OF HYDROGEOLOGICAL
CONDITIONS
(Particularly more important for large-deep open pit slopes)

Saturated conditions below the

Unsaturated conditions with
no pore pressure above the
water table
water table with full hydro-
static pore pressure
Saturated conditions below the
water table with partial pore
pressure less than hydrostatic
due to artificial depressurization or
drainage

Transient saturated conditions in the

upper levels with pore pressure due to
transient rainfall infiltration response
Influence of groundwater pressure on rock slope stability

(CANMET, 1977)
 Conceptual Hydrogeological Model
Data Compiition Data Base
Data Analysis Data Gap Analysis

Development of
Hydrogeological
Conceptual Model

Hydrogeological Hydrodynamic Characterization

Configuration Properties

-Hydrostratigraphy - Precipitation -Fracture analysis

-Aquifer units - Flow measurements -Lugeon tests
-Extension/thickness - GW levels measurements -Pumping tests
-Boundaries - Springs:occurrence -Slug tests
-Structure/tectonics and flow -Basin characteristics
-Surface mapping - Physical properties -Hydrograph/chemograph
-Subsurface mapping - Major ion analyses analysis
-Watershed analysis - Environmental isotope
content

Surface water/Groundwater Potential Calibration

(Ulusay et al., 2013)

(Water Budget Calculations)

Groundwater inflow calculations:

Dewatering Prediction of Spatio-temporal Flood calculations/derivation
variation of piezoemtric level of surface waters
 ground level Initial
Piezometric
Level
s:drawdown Conceptualization of
groundwater flow into
h(x,t) the pit slope
y Coal
x

((Ulusay
) et al., 2014)
35

Piezometric level predictions 30

for ‘x’ and ‘t’
Piezometric level (m) 25 h (x,1)
h (x,2)
20 h (x,3)
h (x,4)
To predict the spatio-temporal h (x,5)
groundwater head and flow 15
h (x,6)
rate distribution h (x,7)
10 h (x,8)
h (x,9)
5 h (x,10)

0
0 100 200 300 400 500
Distance from excavated surface (m)
 EXAMPLE
Conceptual hydrogeological model for an open pit coal mine

NE SW
Piezometric
level Planned benches

Lignite
horizon

(Ulusay et al., 2013)

(3) SELECTION OF GEOMECHANICAL
PARAMETERS FOR ROCK SLOPE
STABILITY ASSESSMENTS
Estimates of mechanical properties of discontinuities and rock masses are required for
almost any analysis used to design rock slopes, and contributions to their selection
both from engineering geology and rock engineering are necessary.

Shear strength

One of the main parameters for rock slope stability analysis and can be described by
either linear or non-linear failure criterion for rock discontinuities and rock masses

Measuring rock mass strength directly using full scale field tests

Due to their high cost and practical difficulties

Alternatively
Back-analysis of previous failures may be used for parameter estimation
 Mohr-Coulomb criterion

(Sjöberg, 19969

Rock mass
Barton’s criterion concept &
strength

(Transportation Research Board, 1996)

 Portable rock shear box apparatus Strain-controlled shear box with
residual shear strength capacity

?
(Photo: R. Ulusay)

(Photos: R. Ulusay)
Large shear box
(www.terratek.co.uk)
 Parameter Selection for Complex Rock Slopes
Rock mass failure Shear test
(H-B) criterion

Depending on surface roughness,

Mohr-Coulomb or Barton criterion

(modified from Baczynski, 2000)

 Estimation of BIMROCK Strength
Main factors affecting the overall mechanical properties of BIMROCKs:
- Mechanical properties of matrix,
- Block proportion,
- Shape and size distribution of blocks,
- Orientation of blocks relative to failure surfaces

00 300

Block
Proportion
l: Low
m: Medium
600 900 h: High

(Lindquist, 1994)
Neglecting the contributions of blocks,
Block
choosing instead the strength of the
weak matrix may result in too
Matrix
conservative for many BIMROCKS.

Block /Matrix strength contrasts

Simple criterion by Medley (1994): (Medley, 2004)
φblock/φmatrix 1.5-2.0
Stiffness ratio 2.0

Matrix

Block
(Medley, 2004)
(Medley, 2004)
Increase in friction angle with Decrease in cohesion with
volumetric block proportion volumetric block proportion
(Lindquist, 1994) (Lindquist, 1994)

There is also an increase in the number of block/matrix contacts.

The weakest element in the mixtures,

Overall cohesion is reduced.

 Strength of BIMROCK depends on volumetric block proportion
(Lindquist, 1994)
VPB ≤25%

May be analyzed as
soils or weak rock
Increasing in φ (0)

VPB > 75%

There is little further
addition in strength
because blocks start
to touch each other.

Such block-rich
25 75 mixtures are similar to
Volumetric Block Proportion, VBP (%) blocky rock containing
wide in-filled joints,

Increase in φ is about 150 between They may be analyzed

VBP of 25 and 75% by conventional rock
engineering methods.
Another effort performed to assess the strength of BIMROCKS based on
physical models (Sönmez et al., 2009)
α: Angle of repose of blocks
In-situ shear strength determination in BIMROCKS (Coli et al., 2010-2011)
Shale–Limestone Chaotic Complex Bimrock (SLCC)

The light-grey blocks

Embedded in the clayey

matrix with a matrix-
supported fabric

(Coli et al., 2011)

 Failure surface of test P3

80 cm
80 cm

50 cm
(Coli et al., 2010)

In case of huge blocks embedded in a

(Coli et al., 2011)

matrix, with sizes greater than the

dimensions of the in-situ shear box ??
Failure surface of test P3
 With an increase in VBC, φ increases

Sudden fall in cohesion takes place

at 20-25% VBC threshold that marks
the limit above which blocks start to
control the mechanical behavior of
the Bimrock
(Coli et al., 2011)
(Coli et al., 2011)
Further studies and
combination of their results
with existing experiences on
BIMROCKs to develop more
efficient methods of site
characterization and a method
for estimation of strength of
BIMROCKs are necessary
(4) THE ROLE OF ENGINEERING
GEOLOGICAL MODEL
The engineering geological model of a rock slope is comprehensive expression of the
various factors which affect the rock slope stability:
(i) the basic geologic-hydrogeologic conditions of the slope,
(ii) mechanical properties of rock mass,
(iii) principal artificial and natural dynamic factors affecting the stability (groundwater,
earthquake etc.),
(iv) the developing process and characteristics of the rock mass deformation on the slope,
(v) the failure mode of the slope.
Ignoring the fault : Incorrect assessment for the instability mechanism. Because
there exist more than one weakness plane.
Pre-failure geometry
After failure
Elevation (m)

Multi-
planar
failure Fault Bedding
(Ulusay, 1991)
If only the shallow-seated failure in the upper part of the slope is considered:
GAP IN THE MODEL

More critical
 Mischaracterization of Engineering Model for a Slope in Melange

(I) (II)

Boreholes cut blocks at shallow depth

Shallow borings were terminated (3 m)
into bedrock.

Assumed that
(III)
On the basis of an outcrop of bedrock
observed nearby and bedrock in the
borings, it was interpreted the
landslide to be a shallow soil sliding
on bedrock.

(Rearranged from Medley, 2008)

 (IV) Remedial measure
Removal of the sliding material
by excavating it to a depth of 15 m
from the surface

(Rearranged from Medley, 2008) (V)

Excavation
During the 15 m excavation
looking for the failure plane a
sheared shale containing
abundant rock blocks was
encountered. It is extremely
difficult to find solid bedrock MELANGE
and a definite failure surface,
since the material was a sheared
Fransiscan melange in US.
(Medley, 2008)

Correct characterization is necessary to reduce

INCORRECT/INSUFFICIENT
MODEL
expansive and inconvenient surprises in rock
engineering applications.
 What are the influences on tortuosity and slope stability in BIMROCKS?

A: Low-block proportion BIMROCK that B: Higher proportion of blocks, which cannot

can be analyzed as a conventional soil readily be conventionally analyzed as soil nor rock

C: Blocks oriented at high angles to the slope,
which increases stability due to the increased
tortuosity of the failure surfaces. Block-rich regions
at the toe of slopes tend to buttress the slope.
(Medley, 2007)
D: Common condition of variations in the block
proportion within the rock mass. Failures can be
expected through those regions where there is
continuity within a low proportion, weaker domain.
(5) METHODS OF STABILTY ANALYSES
AND BACK-ANALYSIS TECHNIQUES
WITH THEIR ADVANTAGES AND
LIMITATIONS
Why the slope stability analyses are carried out?

(1) To assess equilibrium conditions (natural slopes)

(2) To evaluate methods for stabilizing slope
(3) To evaluate impact/role of geometric and physical
parameters on stability
- Discontinuity strength
- Height
- Slope angle, etc.
(4) To determine impact of seismic shock on stability
(5) To back analyze for prevailing conditions at failure
- Shear strength
- Groundwater conditions
- External loads (earthquake, blasting, building)
 (1) STABILITY ANALYSIS METHODS
(1.A) Conventional Methods
(1.A.1) Kinematical methods of analysis
Kinematic analysis is a method used to analyze the
potential for the various modes of rock slope failures
(plane, wedge, toppling failures), that occur due to the
presence of unfavorably oriented discontinuities. Planar Failure
Discontinuities are geologic breaks such as joints, faults,

(Hoek & Bray, 1977)

bedding planes, foliation, and shear zones that can
potentially serve as failures planes.
STRUCTURALLY-CONTROLLED
MODES OF ROCK SLOPE
FAILURE
Wedge Failure

Toppling Failure
 Particularly are suited to translational failures taking place on persistent
discontinuities and used for deterministic or probabilistic LEM calculations

DESIGN SECTORS

(Norrish & Wyllie, 1998)

(arranged from Hoek & Bray, 1977)
 Kinematical Analysis
Input parameters Advantages Limitations
Critical orientation of Simple to use and shows Suitable only for preliminary
slope and discontinuity, structurally-controlled assessments. Identification of
friction angle failure potential of very critical discontinuities requires
simple modes. engineering judgment. Ignores
slope geometry, cohesion, friction
angle, groundwater and external
loading conditions. No Factor of
Safety is calculated.

“Just a logistic tool to recognize

potential structurally-controlled
failure modes”
 (1.A.2) Limit Equilibrium Methods (LEM) of Analysis
There are two classes of conventional limit equilibrium methods on the basis of the shape of
potential sliding surfaces:
(1) Methods in which the sliding surface may be curved, composite or arbitrary shape.
(2) Methods in which the sliding surface is assumed to consist of one or more planar
segments.

el W T 2

a i res
D
l
mse irese
l) N 2

ü z l e da
D ve T1
ü zle msel
ik (d
Birleş N1

Curved sliding failures: Planar and multi-planar failures:

• Common in most slopes of soils  In hard rock masses divided by discontinui-
• Soft rocks ties
• Heavily jointed and highly weathered rocks  Along clayey soil beds overlain by rocks
• Waste material Waste materials dumped on a weak material
with low strength

- Most common slope analysis method

- Relatively simple formulation
- Useful for evaluating sensitivity of possible failure conditions to input parameters
Factor of safety (factor of ignorance) :
- Quantitative measure of degree of stability Planar Failure
- Accounts for uncertainty
v Zw Z
u
H

w
ψf ψp
(Hoek & Bray, 1977)

Circular failure

 
R  sec α 
F=
F= ∑ (c' b + W - (1 - ru) tan φ') tan φ' tan α 
∑ W Sin α  (1 + )
 F 
 Limit Equilibrium Methods
Input parameters Advantages Limitations

Slope geometry, tensile
strength, shear strength of
material/discontinuity/ rock
mass, layer thickness, block
size etc., groundwater and
external loading conditions.
Easy to use. Software available for
different failure modes with
multiple materials. Mostly
deterministic, but be used for
probabilistic analysis. Calculates FS
in short time and suitable for
sensitivity analysis.
In-situ stress, strains not
considered. Pre-defined
failure surfaces are
needed. Probabilistic
analysis requires well-
defined input data.

“Due to the common acceptance of the safety factor approach as the main
criterion of slope stability, LEMs have been used more often and seem still to
remain the most common adopted method.”
 (1.A.3) Rock Fall Simulations

2-D simulator 3-D simulator

(Eberhardt, 2003)

It is generally impossible to secure all blocks and consideration is given to the design of
protective measures around structures endangered by the falling blocks.

Input parameters Advantages Limitations

Slope geometry and surface Practical for protective Limited experience in use
condition. Block sizes, shapes, measures. Can utilize relative to empirical
unit weights and coefficients of probabilistic analysis. 2-D design charts.
restitution. and 3-D codes available.
 (1.B) Numerical Methods
Stability of intermediate and large scale slopes is affected by

- Strength and deformation properties of both intact rock and discontinuities

throughout the rock mass,
- Complexities related to
Material anisotropy
Non-linear behavior
In-situ stresses
Seismic loading etc.
- Progressive failure mechanisms

These types of complex failures can not be modeled by conventional methods

To generate a range of possible solutions
for such problems

NUMERICAL MODELLING

Continuum Modeling Discontinuum Modeling Hybrid Modeling

 (1.B.1) Continuum modelling
Applicable to rock slopes composed of intact rock, weak rocks and heavily jointed
rocks.
SLOPES

(Hoek, 1995)

They include the finite element (FEM) and finite difference (FDM) methods.
Codes: FLAC 2D and 3D (Itasca), PHASE2 (Rocscience)
 STAGES OF CONTINUUM MODELLING

(Eberhardt, 2009)
Input parameters Advantages Limitations
Slope geometry, Without assumptions, can model Software requires
constitutive models, complex behavior and mechanism and longer run times when
groundwater conditions, failure surfaces of any shape in 2-D compared to LEM.
tensile and shear and 3-D with coupled modeling of User: Well experienced
strengths, in-situ stress groundwater. Incorporate creep
state. deformation and dynamic analysis.
 (1.B.2) Discontinuum modelling
Suitable for rock slopes of which stability is controlled by discontinuity behaviour, and
is referred to as discrete modelling of discontinuities.

BUCKLING
(Stead & Eberhardt, 1997)

The complexity of these different failure

modes involves both slip along the
controlling discontinuities and yielding of
the intact rock material.

Codes providing the capability to represent

the motion of multiple intersecting bodies

Distinct Element Method (DEM)

Discontinuous Deformation Analysis (DDA)
(Hoek, 1995)
Based on the linear or non-linear stress-strain concepts, blocks are divided into
deformable finite difference meshes and the motion of these blocks depending on
time is analyzed.

(Eberhardt, 2009)

Input parameters Advantages Limitations

Geometry of slope and
discontinuity, constitutive
models for intact rock and
discontinuities, groundwater
and stress, damping models.
Allow for block deformation and
movement of blocks relative to
each other and model complex
behavior and mechanisms. Assess
effects of parameter variation on
instability
Not easy to use and require well-
trained and experienced users.
Limited data on discontinuity
properties available and need to
simulate representative
discontinuity geometry.
 (1.B.3) Hybrid modelling

Coupling of Continuum and Discontinuum Modeling

Often fail to realistically simulate the progressive failure of rock slopes

Particularly complex internal distortion, dilation and fracture

They provide modeling both rock material behavior and formation of

fractures and their behavior.
Development of brittle internal fracturing
accompanying rock slope failure and kinematic
release.

(Stead et al., 2006)

(Grasselli et al., 2011)
 Input parameters Advantages Limitations
Combination of Model the transition from More memory
continuum and continuous to discontinuous required for complex
discontinuum behavior considering fracture models. Comparatively
modeling, damping and fragmentation processes. little practical
factors, stiffness, shear Combine advantages of both experience in use. Yet
strength, fracture discontinuum and continuum to be coupled with
energy modeling. Allow dynamic analysis groundwater
using constitutive models

RECENT GENERAL TREND

COMPARISON OF THE ANALYSIS RESULTS WITH SITE OBSERVATIONS

AND MOVEMENT MONITORING DATA
 (2) BACK-ANALYSIS OF SLOPE INSTABILITIES
(a) Purpose of Back Analysis
Proper geotechnical studies for the assessment of stability of slopes should be
able to produce:
1. A classification of the type of slope movements
2. Mechanism of failures
3. Strength parameters
4. The most reliable method of calculation capable of producing a numerical iindication
of the degree of stability.
 Abundant literature is available for the project engineer suggesting ways to perform the
different stages of a complete assessment of stability.
 However, one can not expect to obtain, neither in the laboratory nor through field tests
alone, reliable strength parameters for rock discontinuities, soils and rock masses
 The mechanical properties of earth materials vary widely and randomly throughout
the rock or soil mass .

When a slope has failed an analysis is usually carried out to determine the cause of failure.
Given a known (or assumed) failure surface, some form of “BACK ANALYSIS” can be carried out
in order to determine or estimate the material /discontinuity shear strength, pore pressure or
other conditions at the time of failure. The back analyzed properties can be used to design
remedial slope stability measures.
 The approach is based on the following assumptions:
1. The geometry of the slope before failure and after failure (from the results of field
inspection or monitoring) is known.

(Ulusay & Doyuran, 1993a)

2. A condition of static equilibrium at the point of failure (limit equilibrium) exists at

the time of failure (Failure occurs when F=l).
3. The mechanism of the instability is known.
4. Homogeneity and isotropy are not necessary conditions.
5. The shear strength obtained from the back-analyses is the weighted average shear
strength mobilizing along the sliding surface.
 (b) Principles of Back-calculations
 Conventional limit equilibrium back-analysis of a slope failure enables only the
determination of one of the shear strength parameters (c or f) based on the known or
assumed values of all other parameters.
 Consider as a function “f” the conventional factor of safety (F) specified in the limit
equilibrium slope stability analysis.
This function depends on several variables and may be written for any particular sliding
surface in the following form:
c: cohesion
φ: internal friction angle
F= f (c,φ,u,G) u: pore water pressure
G: geometry of the slope and sliding surface

- The main concern is to search for a configuration of G which forms the sliding surface of the
lowest F.
In this case c, φ, and u are known constants  slope has not failed
• If F is known  Failed slope, F=1:
- Geometric data, G, can be specified.
- Groundwater condition may be either known or unknown.
- c and φ at the time of failure are unknown
Conventional back-analysis of a slope failure essentially involves the determination of various
possible combinations of c and φ satisfying the following equation:
1= f (c, φ, u, G)
- If “G”and u are known  Search (c-φ) pairs satisfying F = 1 condition.
- If “G” is known and “u” is unknown  Search (c-φ) pairs satisfying F = 1 condition for
different “u “ values.
(c) Method
STEP 1: Based on G (slope profile and failure surface) select appropriate limit equilibrium
method for the analysis
STEP 2: Considering that all slope parameters known (G, u, γ, position of tension crack) carry
out analysis by varying one strength parameter (c or φ) while the remaining is kept constant
until F = 1 condition is reached (trial and error).
STEP 3: Apply the same procedure until to obtain at least three or four (c-φ) pairs satisfying
limit equilibrium condition.
STEP 4: Present the results in c-φ function .
forms (c plotted against φ considering
.
each combination to lead F = 1)
. ..
If “u” is unknown, for different values ..
of “u” the results can be presented in a (c-φ) . . (Ulusay, 1991)
functions form
In addition to the fact that information about groundwater is sometimes not
available, because of variations in mechanical properties of the same earth
material in different places, the back-calculation of c and f from more than two
slopes or slope profiles of the same slope may give as many as n(n-l) / 2 points of
intersections (solutions) for n curves c (φ) (MULTIPLE SOLUTION).
Assuming that all variables are affecting the stability, the intersections may be
considered as the correct combination of c and φ values.

2.5

2.0
c’ (x100 kPa)
c'/γ (m)

1.5

1.0

0.5

0
0 10 20 30 40 50
(Sancio, 1981)
φ' (degree)
(derece)
 EXAMPLES
The most common and reliable method to evaluate the results of the back analysis is to
compare the laboratory derived shear strength parameters with mobilized shear strength
at the time of failure.

Example 1:
Type of failure: Planar sliding on a clay bed with an inclination of 18-19°.
Limit equilibrium method: Hoek & Bray's solution for planar failure with tension crack
Number of slope profiles analyzed: 6
- c (φ) graph gives bounds for the pair (φ, c). In this case
intersection points of (φ),c envelopes varies between
(14, 2) and (17, 0).

 Intersection of the envelopes of the profiles DD', EE’

and FF' give φr=17° and inclination of bedding plane
ranges between 17° and 19°.

Conclusion: There is a good agreement between the

laboratory and back-calculated shear strength. Results
also confirm the failure mechanism. For design purpose
(Ulusay, 1991) residual c and f values should be used for this clay.
 Example 2:
Type of failure: Successive rotational failure in homogenous clay.
(Ulusay & Doyuran, 1993b)
Limit equilibrium method: Bishop's circular failure method.
Number of slope profiles analyzed: 3

In addition to c-φ relationships for 3 sections, the laboratory derived peak and residual shear
strengths for the clay (in the range of one standard deviation) are also shown as ruled areas in
the figure. The following conclusions are made:
cp, (φ)p >> actual state under investigation.
- Most intersection occurred in the ruled area (cr, (φ)r)
-There is a good agreement between the back - calculated c and φ and the
laboratory derived c and φ values.
- For further design analyses and remedial measures, cr and φr should be considered.
(6) IMPORTANCE OF MOVEMENT
MONITORING
The results of the stability analyses and selection of stabilization techniques are highly
sensitive to the followings:
- Data derived from laboratory tests
- Geometry of the sliding mass and failure surface
- Position of groundwater table and variations in water pressure
- Variations in mechanical properties of rock or soil masses depending on time.
In order to minimize the number of uncertainties, slope stability analyses should be
supported by monitoring studies.
MONITORING: In geotechnical context, surveillance of structures in rock or soil, either
visually or with the help of instruments.

The principal parameters of interest for slope stability problems are

1. Surface movements
2. Subsurface movements
3. Pore water pressure
4. Stresses and strain on supporting structures such as retaining walls and anchors.
5. Rainfall, runoff and evaporation over the area under consideration
A general view from some surface and subsurface slope monitoring techniques

Mobile station Tension crack monitoring points

Sliding slope

Inclinometer
Monitoring Sliding
station surface

Extensometer
Measuring device

(Wilson & Mikkelson, 1978)

 (1) Surface movement monitoring

(a) Crack Monitors:

- Measurement of width of the crack

developed due tensile failure of the slope is a
reliable and inexpensive means of monitoring
slope movement.
- The simplest procedure is to install a pair of
pins on either side of the crack and measure
the distance between them with a steel tape. If
there are two pins on either side of the crack,
then the linear distance can also be measured Crack meter
to check the transverse displacement.

Portable tape extensometer

Tension
crack
Tape extensometer
(Wyllie & Munn, 1978)
(b) Electro-optic distance measuring instruments (EDM):
The instrument employs a modulated light or laser beam projected onto reflecting targets fixed
in the ground. Variations in the coordinates of targets are periodically monitored .
On large slides where access to the slope is hazardous and there is a need to make frequent and
precise measurements and rapidly analyze the results, surveying is the most suitable monitoring
method. There are three components of a survey system. (modified from Wyllie & Munn, 1978)
1. One or several reference points on stable ground,
which can be viewed from the instrument stations
closer to the slide.
2. Measure the co-ordinate positions of the movement
stations.

Prism
 (c) Wire tape extensometers

(slideminder.com)
- They measure change in length of a wire connecting two points that anchored to soil or
rock and are useful when the rate of movement is rapid and high accuracy is not necessary
(Accuracy: 0.03-20 mm)
- Measuring distance: 100-450 m
- Disadvantages:
The main sources of error in extensometers result from friction in the reference head and
between the linkages, temperature induced sag, and the stress/strain characteristics
between the linkages.
All of these can have a significant impact on their use in a harsh mining environment. The
extensometer must also be anchored outside the zone of deformation, which can be an
issue if the deformation area is large.
(d) Geodetic monitoring system (GEOMOS)
Runs for 24 hours a day.
The system is subdivided into three parts: (Photos: R. Ulusay)
- data collection,
- date transmission,
- data processing and analysis
These stations need to be located close
enough to the pit crest so that all prisms can
be readily seen; the stations mustm also be
located on completely stable ground.

Electronic total station located at a

monitoring station built for such purpose,
measures the angles and distances from the
survey station to the prisms on a regular
basis to establish a history of movement on
the slope.

(Meyers, 2009)
Monitoring prisms
(e) Slope stability radar system
A common technique to determine slope stability is to monitor the small precursory
movements, which occur prior to collapse.
It is a state-of-the-art development for monitoring slope movement in open pit mines. It offers
unprecedented sub-millimetre precision and broad area coverage of wall movements through
rain, dust and smoke.
The real-time display of the movement of mine walls has allowed continuous management of
the risk of slope instability at a mine operations level.

(Photos: R. Ulusay)
 The ‘slope stability radar’ has been developed to remotely scan a rock slope to continuously
monitor the spatial deformation of the face. It is a technique for monitoring mine walls based on
differential interferometry using radar waves.

The system scans a region of the wall and compares the phase measurement in each region with
the previous scan to determine the amount of movement of the slope.

The selection of alarm

triggers is done on a
custom basis by the
(Eberhardt, 2012)

mine geotechnical
personnel as alarms can
be set up on threshold
displacement, time (and
size of failure.
(f) Global Positioning System (GPS)
GPS is a radio navigation, timing and positioning system based on a constellation of 24 satellites
in orbit around the earth at altitudes of approximately 20000 km.
For deformation monitoring, the GPS can be used in two different modes:
1. High precision static methods that are used to monitor regional scale deformations such as
crustal dynamics, subsidence and geotechnical movements. These continuous systems are
normally combined to form permanent networks.
2. The use of episodic GPS data commonly used for monitoring on a smaller scale (with
baselines up to a few kilometers). This technique is commonly used in the monitoring of dams,
open-pit mine walls and landslides .
GPS antenna

(Meyers, 2009)

(arvista.com.au)
 (2) Subsurface movement monitoring
Inclinometer: A geotechnical instrument used to measure horizontal displacements along
various points on a borehole
The deflection of the casing and hence the
surrounding rock mass are measured by
determining the inclination of the sensing unit at
various points along the length of the installations. Grooves

(Wilson & Mikkelsen, 1978)

 (ISRM, 2007)

Depth of sliding
surface

Principle of calculating deflection

from tilt measurement
 (3) Graphical presentation of movement monitoring data
 “Time-cumulative displacement” plot
Cumulative movement (m)  “Velocity-time” plot

(Wyllie & Munn, 1978)

(Wyllie & Munn, 1978)

Acceleration

Acceleration
Failure

Time (month)
This plot highlights changes in movement
This plot will readily show any increase in the rate of rate. If it is necessary the operation is
movement that is indicative of deteriorating stability halted.
conditions.

 “Cumulative tension crack

crack separation (mm)
Cumulative tension

separation-time” plot Acceleration

It is indicative of deteriorating
stability conditions.
Failure

Sept.
Aug.
Time (days) (Ulusay, 1991)
  “Contours of slope movement”

This provides information on aerial extent and mechanism of failure.

Marl

(Wyllie & Munn, 1978)

Movement monitoring stations

and vectors
Movement rate (cm/d)
contours,
(Tuncay & Ulusay, 2001) Tension crack
  Plots of “Displacement-time-other contributors”

Where there is some measurable parameter (precipitation, blasting etc.) believed to contribute
to instability, an additional axis should be provided for its plotting.

(CANMET, 1977)
(7) SELECTION OF FACTOR OF SAFETY
FOR ENGINEERED SLOPES
 Philosophy of Design
There are several basic considerations in the design of stable slopes
1. Each slope design is different due to the nature of the material and geological
environment.
2. Finding the correct method of stability analysis solves only part of the design
problem.
Designing a stable slope includes,
■ Field investigation
■ Laboratory testing
■ Construction control
Therefore, the details involved in this work cannot be standardized, because
maximum flexibility is needed.
● Judgment
● Experience
● Intuition,
coupled with the best data-gathering and analytical techniques, all contribute the
solution.
 In the stability analysis of slopes, many design factors cannot be determined with
certainty. Uncertainties may arise from
■ interpretation of field and laboratory data
■ geometry of the slope and failure surface
■ difficulties to obtain seismic condition of the site
■ designer’s incomplete information about the design problem.
Therefore, a degree of risk should be assessed in adopted design. The factor of
safety (F) fulfills this requirement.
Uncertainties accounted for by factor of safety
- Uncertainty in shear strength due to soil variability, relationship between lab strength and
field strength
- Uncertainty in loadings (surface loading, unit weight, pore pressures, etc.)
- Modeling uncertainties: including possibility critical failure mechanism SLIGHTLY different from
that identified, model is not conservative .
Factor of safety (factor of ignorance) is
- Quantitative measure of degree of stability
- Accounts for uncertainty
- Guards against ignorance about reliability of input parameters
- Empirical tool to establish suitable economic bounds on design
 Lower quality site investigation higher desired factor of safety
Higher quality site investigation lower desired factor of safety

“F” should take into account not only the uncertainties in design parameters but
also the consequences of failure (loss of life or large economic loss).
The potential seriousness of failure is related to many other factors other than the
size of project.
Example:

A low dam located above or Upstream Settlement HIGH

close to inhabited buildings RISK
Settlement
(en.wikipedia.org)

LOW
A high dam in a remote location RISK
 SUGGESTED FACTORS OF SAFETY FOR MINING AND CIVIL
ENGINEERING OPERATIONS
Factors of Safety Suggested for Mining Operations
UNITED STATES (FEDERAL REGISTER, MINIMUM
1977) F
I End of construction 1.3
II Partial pool with steady seepage saturation 1.5
III Steady seepage from spillway or crest 1.5
IV Earthquake (cases II and III with seismic loading) 1.0

UNITED STATES (D’APPOLONIA SUGGESTED MINIMUM FACTORS OF

CONSULTING ENGINEERS, INC., 1975) SAFETY WITH HAZARD POTENTIAL

HIGH MODERATE LOW

Design based on shear strength 1.5 1.4 1.3
parameters measured in the laboratory

Design that considers maximum seismic 1.2 1.1 1.0

acceleration expected at site
 FACTOR OF
UK (NATIONAL COAL BOARD, 1970) SAFETY

I* II**
(1) For slip surfaces along which the peak shear 1.5 1.25
stress is used.
(2) For slip surfaces passing through a foundation 1.35 1.15
stratum which is at residual shear strength (slip
circles wholly within the bank should satisfy 1).
(3) For slip surfaces passing along a deep vertical 1.35 1.15
subsidence crack where no shear strength is
mobilized and which is filled with water (slip
surfaces wholly whitin intact zones of bank and
foundations should satisfy 1)
(4) For slip surfaces where both items (2) and (3) 1.2 1.1
apply.
* Where there is a risk of danger to persons or property
**Where no risk of danger to persons or property is anticipated
 CANADA (MINES BRANCH, CANADA, 1972) FACTOR OF SAFETY
I* II**
Design is based on peak shear strength parameters 1.5 1.3
Design is based on residual shear strength 1.3 1.2
parameters
Analyses that include the predicted 100-year return
period accelerations applied to the potential failure 1.2 1.1
mass
For horizontal sliding on base of dike in a seismic
area assuming shear strength of fine refuse in 1.3 1.3
impoundment reduced to zero
* Where there is a risk of danger to persons or property
**Where no risk of danger to persons or property is anticipated

● Hoek and Bray (1977) suggest:

- For mine slopes which are not required to remain stable for long period,
F=1-1.3.
- For critical slopes adjacent to haul roads or important installations
(highway, plants etc.), F=1.5.
● Schuster and Krizek (1978) suggest in highway engineering F=1.25 – 1.5.
● Feld (1965) suggests:
- For cuts and fills F=1.3
- For earth dams F=1.5
● Mayerhof (1970) suggests for earth dams F=1.5-1.7.

● Hong-Kong Geotechnical Control Office (1984) recommended values of “F” for new
slopes based on ten year return period and the consequence of failure.

Risk to life
Economic
risk Negligible Low High
Negligible > 1.0 1.2 1.4

Low 1.2 1.2 1.4

High 1.4 1.4 1.4

(Photo: Geotechnical Control Office, Hong Kong Government)
Guide for Factor of Safety Selection for Open Pits (based on personnel
communication with Sullivan, Hoek & Bray , and C. O. Brawner)

* Hoek & Bray (1981) recommend a factor of safety of 1.5 for this condition .
+ Hoek & Bray (1981) recommend a factor of safety of 1.3 and selection of conservative strength parameters
 CONCLUSIONS
Harmonization of an accurate engineering geological model, which includes
geology, structural features, degree of deterioration, conceptual groundwater
model, triggering static and dynamic factors, material behaviour, with rock
engineering methodologies is essential for rock slope stability assessments.

A number of studies are mainly concentrated on small and moderate size

slope instabilities. Depending on increase in the depth of slopes, due to
complex failure mechanisms, in which the slip surface of composite shape can
be formed, the current trend is integrating conventional and numerical
methods together in conjunction with the data from conventional and
advanced movement monitoring techniques.

Compilation of rock mass strength data from the back analysis results
particularly of large scale slope failures may form a very useful database for
the assessment of slopes which have not subjected to any failure.
Further studies to model the slopes in BIMROCKS and to more precise
estimations of their strength are necessary.

Development of more powerfull numerical methods which can better model

the propogation of failure along discontinuities and through intact rock is one
of the expectations.

The consideration of failures of natural rock slopes has received very little
attention in earthquake engineering, and therefore, much attention should be
given to possibility of such slope failures and to assessment methodologies in
terms of rock engineering.
THANK YOU VERY MUCH FOR
YOUR KIND ATTENTION