Академический Документы
Профессиональный Документы
Культура Документы
www.elsevier.com/locate/ijrmms
Abstract
Determination of the strength of closely jointed rock masses is dicult since the size of representative specimens is too large
for laboratory testing. This diculty can be overcome by using the Hoek±Brown failure criterion. Since its introduction in 1980,
the criterion has been re®ned and expanded over the years, particularly due to some limitations in its application to poor quality
rock masses. In the latest version, the geological strength index (GSI) was introduced into the criterion by its originators.
However, the GSI classi®cation scheme, in its existing form, leads to rough estimates of the GSI values. Another particular issue
is the use of undisturbed and disturbed rock mass categories for determining the parameters in the criterion, for which clear
guidelines are lacking. Furthermore, the data supporting some of these revisions, particularly the latest one, have not been
published, making it dicult to judge their validity. In this study, in order to provide a more quantitative basis for evaluating
GSI values, some modi®cations are suggested by introducing easily measurable parameters with their ratings and/or intervals
which de®ne the blockiness and surface condition of discontinuities. In addition, a method is proposed to assess the in¯uence of
disturbance on rock mass constants due to the method of excavation. The modi®cations to the GSI and the suggested method
have been applied to slope instability case histories selected from Turkey by performing back analysis, to discuss the validity of
the criterion and the methodology of parameter estimation. It was shown that the failure conditions in each case were
con®rmed, i.e. the analysed failure surfaces satis®ed factors of safety of unity, when the suggested modi®cations and disturbed
rock mass condition are considered. On the basis of the results, a chart to assess the eect of disturbance in terms of method of
excavation was also suggested. The back analysis of a spoil instability indicated that spoil pile materials consisting of blocky and
angular rock pieces could be categorized as a disintegrated rock mass in the GSI classi®cation and the criterion seemed to be
applied to such materials. The method suggested herein must, however, be veri®ed by additional data from slope failures before
more precise guidelines can be formulated. # 1999 Elsevier Science Ltd. All rights reserved.
0148-9062/99/$ - see front matter # 1999 Elsevier Science Ltd. All rights reserved.
PII: S 0 1 4 8 - 9 0 6 2 ( 9 9 ) 0 0 0 4 3 - 1
744 H. Sonmez, R. Ulusay / International Journal of Rock Mechanics and Mining Sciences 36 (1999) 743±760
Fig. 1. Characterization of rock masses on the basis of interlocking and surface condition of discontinuities: GSI classi®cation (rearranged from
Tables 3 and 4 given by Hoek and Brown [8]).
category and estimate the GSI value. It is also noted, from ®eld observations when compared to the method
on the basis of their recent studies on the Athens employing rock mass classi®cation. Because rock mass
schist, Hoek et al. [9] introduced a new rock mass cat- classi®cation requires time consuming procedures and
egory into the GSI system called `foliated/laminated has some limitations as discussed by Sonmez et al. [10]
rock mass structure'. This new category accommodates in detail. However, due to lack of measurable and
thinly foliated, folded and predominantly sheared more representative parameters, and related interval
weak rocks of non-blocky structure. The equivalent limits or ratings for describing the surface conditions
GSI contours range from a new value of 5 up to 30 in of the discontinuities, value of the GSI for each rock
the lower right portion of the disintegrated rock mass mass category appearing in Fig. 1 represents a range
category. of values. For example, for a blocky rock with very
The latest version of the GSI chart [8] (Fig. 1) is suf- good surface condition of discontinuity (B/VG), GSI
®cient for ®eld observations, since it is only necessary values varying between 63 and 85 are obtained from
to note the letter code which identi®es the rock mass Fig. 1. This consideration placed focus on the question
category. The GSI also seems a more practical par- ``how can a more precise GSI value be obtained from
ameter to estimate the strength of jointed rock masses the existing chart for design?''. Hoek [11] indicates that
H. Sonmez, R. Ulusay / International Journal of Rock Mechanics and Mining Sciences 36 (1999) 743±760 745
Table 1
Historical development of the Hoek±Brown criterion (rearranged from Hoek and Brown [8])
although some geologists go to extraordinary lengths values for the same rock mass by dierent persons,
to try to determine an `exact' value of GSI or RMR, depending on their personal experience, when the chart
geology does not lend itself to such a precision and it given in Fig. 1 is employed.
is simply not realistic to assign a single value. He also From the review of the criterion, it is clear that the
states that for preliminary ®eld investigations or low- continuous update of the Hoek±Brown failure cri-
budget projects, it may be prudent to assume larger terion has not been complemented by equal eorts to
standard deviations for the input parameters (uniaxial verify the same. Furthermore, the data supporting of
compressive strength of the intact rock, intact rock these revisions have not been published, making it dif-
material constants and GSI) and they can be rep- ®cult to judge their validity. One important issue is use
resented by normal distribution. Although its origin- of the undisturbed and disturbed rock mass categories
ators have always pointed out the criterion's when determining the parameters in the criterion for
approximate nature, it seems questionable to obtain a which clear guidelines are lacking. Any disturbance on
mean value represented by a normal distribution from the rock mass due to some local factors (e.g. blasting,
the existing form of the GSI chart. It is also con- the presence of discrete fault zones, etc.) should be
sidered that it is possible to estimate dierent GSI considered and, therefore, an adjustment should be
746 H. Sonmez, R. Ulusay / International Journal of Rock Mechanics and Mining Sciences 36 (1999) 743±760
applied to RMR values [2]. Although the rock mass ameters are suggested. In addition, a method is
classi®cation schemes and the Hoek±Brown criterion proposed to assess the in¯uence of disturbance. The
have been generally applied in tunnelling and under- modi®cations and the suggested method have been
ground mining, the back analyses of slope failures in applied to slope instability case histories from Turkey
heavily jointed rock masses, by assuming disturbed to discuss the validity of the criterion and the method-
rock mass conditions showed good agreement between ology of parameter estimation.
the estimated and the back-calculated strength par-
ameters from the observed slope failures [10]. On the
contrary, in the latest version of the criterion [7,8]
average undisturbed in situ conditions are considered 2. Suggested modi®cations for estimating GSI values
to estimate the GSI without application of any adjust-
ment. Hoek and Brown [8] indicated that one of the Once the GSI has been estimated, the parameters
practical problems which arose when assessing the which describe the rock mass strength characteristics,
value of GSI in the ®eld was related to blast damage. are calculated as follows:
According to these investigators, where all the visible
faces have been damaged by blasting, some attempt GSI ÿ 100
mb mi exp
1
should be made to compensate for the lower values of 28
GSI obtained from such faces. Also, in recently blasted
faces, new discontinuity surfaces occurring due to For GSI>25, i.e. rock masses of good to reasonable
blasting will give a GSI value which may be as much quality,
as 10 points lower than that for the undisturbed rock
GSI ÿ 100
mass. Therefore, Hoek and Brown [8] suggest that s exp
2
9
severe blast damage can be allowed for by moving up
one row in Fig. 1. This approach may be correct for and
the estimation of GSI from blasted rock exposures
during excavation. However, moving the GSI value up a 0:5
3
one row seems to be a rough approach and also results
in an increase in uniaxial compressive strength of the For GSI < 25, i.e. rock masses of very poor quality,
rock mass by more than 70%. Therefore, the reason of the criterion applies with
this assumption is still open to discussion. On the
s0
4
other hand, method of excavation, major planes of
weakness or change in stress are treated as local fea-
tures which have in¯uenced the rock mass at a particu- GSI
a 0:65 ÿ
5
lar location, and are not rock mass constants [12±14]. 200
Therefore, in order to compensate the in¯uence of
From the above equations it is clear that the rock
such local factors, necessary adjustments should be
mass strength parameters are sensitive to the GSI
taken into consideration. An additional practical ques-
value. The lack of parameters to describe surface con-
tion arising from the latest version of the Hoek and
ditions of the discontinuities and the rock mass struc-
Brown's approach is ``how can the in¯uence of the
ture prevents to obtain a more precise value of GSI.
method of excavation can be taken into account by
For these reasons, the authors suggest two terms
using the existing Hoek±Brown's equations which con-
namely, `structure rating, SR' based on volumetric
sider only undisturbed rock mass, when the GSI is
joint count (Jv) and `surface condition rating, SCR',
estimated from borehole cores or natural exposures
estimated from the input parameters (e.g. roughness,
before excavation or blasting?''. It is also noted that
weathering and in®lling).
there is no any published case history on the back
The suggested ratings by the RMR system [2] for
analysis of slopes in heavily jointed rock masses which
these parameters are selected for the purpose.
con®rms that the latest GSI classi®cation yields satis-
According to the rating of each input parameter (Rr,
factory results when an adjustment factor is not taken
Rw and Rf ) estimated from the right upper margin of
into consideration.
the table given in Fig. 2, the total rating for surface
This paper is an attempt to provide a more quanti-
conditions (SCR) is obtained using the following ex-
tative numerical basis for evaluating GSI by introdu-
pression:
cing new parameters, and ratings, such as surface
condition and structure rating. For meaningful in- SCR Rr Rw Rf
6
terpretation and for providing a common basis for
communication between engineers and designers, stan- where Rr, Rw and Rf denote the ratings for roughness,
dard interval limits and ratings for the input par- weathering and in®lling, respectively. Since the sum of
H. Sonmez, R. Ulusay / International Journal of Rock Mechanics and Mining Sciences 36 (1999) 743±760 747
the maximum ratings of these parameters is 18, the The authors agree with this change. On the other
SCR axis in Fig. 2 is divided into 18 equal divisions. hand, Hoek et al. [9] proposed a new rock mass cat-
In the earlier version of the criterion (Fig. 1), Hoek egory to accommodate thinly foliated or laminated,
et al. [7] used the terms BLOCKY/SEAMY and folded and predominantly sheared weak rocks of non-
CRUSHED, following the terminology proposed by blocky structure. However, Hoek [6] emphasizes that
Terzaghi [16]. After they recognized that these terms the criterion is only applicable to intact rock or to
proved to be misleading, they have been replaced, by heavily jointed rock masses which can be considered
BLOCKY/DISTURBED and DISINTEGRATED. homogenous and isotropic. On the contrary, the
748 H. Sonmez, R. Ulusay / International Journal of Rock Mechanics and Mining Sciences 36 (1999) 743±760
strength and deformability characteristics of such rock counted along the scanlines (Lx, Ly and Lz ) perpen-
masses are governed by the displacements along the dicular to each other. However, in some cases it can
numerous very thinly spaced presheared and slicken- be dicult to ®nd exposures along which three scan-
sided foliation planes. Due to anisotropic and inhom- line surveys in perpendicular directions can be carried
ogenous features of such rocks, introducing of this out. In such circumstances, by assuming the rock mass
new category into the GSI scheme seems not to be rea- is homogeneous (i.e. the terms appearing in Eq. (7c)
listic. The other questionable issue is that the validity are equal to each other), Eq. (7c) can be rewritten in
of the GSI values assigned for this new category has the following form.
not been con®rmed yet by case studies. Therefore, only
four structural categories as previously suggested by 3
Hoek and Brown [8] are considered in this study. N
Jv
7d
Block size is an extremely important indicator of a L
rock mass. Large blocks tend to be less deformable
and develop favourable arching and interlocking in
The intervals of Jv and related descriptions
underground openings. In the case of slopes, a small
suggested by ISRM [15] were adopted for the blocki-
block size may cause rotational slides instead of struc-
ness categories to be used in the GSI classi®cation
turally controlled modes of failure. Block dimensions
(Table 2). Based on the intervals of Jv and correspond-
are determined by three rock mass parameters, namely
ing descriptions for the blockiness ratings, structural
discontinuity spacing, the number of discontinuity sets
rating (SR) was assigned to each category by the fol-
and the persistence of the discontinuities delineating
lowing procedure.
potential blocks. However, in order to decrease the
number of inputs, the use of a single parameter which 1. Using a semi-logarithmic sheet, SR and Jv are put
can take into account one or two of the above men- on y and x axes, respectively.
tioned parameters was considered to be more practical. 2. While the SR axis is divided into the ratings ranging
Thus, volumetric joint count (Jv), which is de®ned as from 0 to 100, logarithmic Jv axis is divided accord-
the sum of the number of joints per meter for each ing to the boundaries suggested for four structural
joint set present, is suggested to be used for the categories as described in Table 2. The upper limit
description of structure of the rock mass. Jv is esti- on the Jv axis is selected as 104 to consider pebble
mated by one of the following expressions: size.
3. Since the boundaries between the structural cat-
N1 N2 Nn egories in the existing GSI table are equally divided
Jv ...
7a
L1 L2 Ln (Fig. 1), the SR limits between the codes B-VB, VB-
B/D and B/D-D are selected as 75, 50 and 25, re-
spectively.
1 1 1
Jv ...
7b 4. By plotting the Jv values for each category as
S1 S2 Sn
suggested in Table 2 against the boundary values of
where S is the true spacing, N is the number of joints SR mentioned in item (c), the curve shown in the
along a scanline, L is the length of the scanline and n left margin of Fig. 2 is obtained. This curve can be
is the number of joint sets. used to assign a rating for SR of any rock mass
On the other hand, estimation of Jv for heavily using the value of Jv.
jointed rock masses with no identi®able structural pat- It is now possible to estimate a more precise GSI
tern is extraordinarily dicult. Since the discontinuities value from the intersection point of SCR and SR rat-
in such rock masses do not introduce considerable ings when the modi®ed GSI chart (Fig. 2) is used.
dierences in their spacing in all directions, they can
be assumed as homogeneous and isotropic. Therefore,
expressions given in Eqs. (7a) and (7b) are not advised Table 2
to be used for the determination of Jv. Instead of Descriptive terms corresponding block size and intervals of Jv
suggested by ISRM [15] and by the authors of this study
these, the authors suggest the following approach
which is more practical in the estimation of the num- Descriptions by ISRM Jv (joint/m3) Descriptions for GSI (this study)
ber of discontinuities in a rock mass with a volume of
1 m 3. Very large blocks <1 BLOCKY (B)
Large blocks 1±3 BLOCKY (B)
Nx Ny Nz Medium sized blocks 3±10 VERY BLOCKY (VB)
Jv
7c Small blocks 10±30 BLOCKY/DISTURBED (B/D)
Lx Ly Lz Very small blocks 30±60 DISINTIGRATED (D)
Crushed >60 DISINTIGRATED (D)
where Nx, Ny and Nz are the number of discontinuities
H. Sonmez, R. Ulusay / International Journal of Rock Mechanics and Mining Sciences 36 (1999) 743±760 749
3. Validity of the Hoek±Brown estimates of rock mass is assigned in each case and multiplied by the GSI
and their impact on the assessment of stability of slopes value appearing in the denominator of Eqs.(1), (2)
and (5). The parameters determined in this way are
then employed in the back analyses.
3.1. Theoretical background of the suggested . Approach 3: a disturbance factor (df ) is assigned in
methodology for the assessment of disturbance eect each case and multiplied by the numbers appearing
in the numerator (28 and 9) of Eqs. (1) and (2) for
Some factors, such as method of excavation, major the estimation of the rock mass parameters, mb and
planes of weakness or change in stress, are treated as s.
local features in¯uencing the rock mass at a particular . Approach 4: in the previous form of the criterion
location and are not rock mass constants. These have the numbers appearing in the denominator of the
been discussed by Laubscher [12], Romana [13] and equations are 28 and 14 for mb, and 6 and 9 for s
Kendorski et al. [14]. The greatest in¯uence of the for undisturbed and disturbed rock mass conditions,
method of excavation will be on the spacing of discon- respectively (Table 1). In other words, it seems to be
tinuities. Depending on the blasting damage, blasted logical to conclude that the denominator of these
slopes may have closer discontinuity spacing than equations vary between 14 and 28, and 6 and 9
natural slopes. Therefore, in order to compensate the depending on the degree of disturbance. Based on
in¯uence of such local factors, necessary adjustments this fact, Eqs. (1) and (2) can be rewritten in the fol-
[2,12±14] are taken into consideration in rock mass lowing forms:
classi®cation. Sonmez et al. [10] showed that by assum-
ing an adjustment factor based on the method of exca-
vation (disturbed rock mass), a good agreement was
GSI ÿ 100
found between the estimated and the back-calculated mb mi exp
bm 14 ÿ 28
8
bm
strengths from the observed slope failures and, there-
fore, eect of disturbance should be taken into con-
sideration.
In order to check the validity of the equations used
for the rock mass constants and to assess the eect of GSI ÿ 100
disturbance, four approaches with the use of modi®ed s exp
bs 6 ÿ 9
9
bs
GSI chart have been suggested and applied to failed
slopes from Turkey (Fig. 3). Four cases were selected
from the failures of the pit slopes in heavily jointed In approach 4, ®ve dierent values are assigned to
rock masses where joint spacing is a fraction of a bm (starting from 28 to 14) and to bs (starting from 9
meter and one is from the failures occurred in spoil to 6) and then the value of factor of safety (FOS) cor-
piles in Turkey. The authors suggest that spoil piles responding to the pairs of bm and bs for each particu-
composed of rock materials possess the behaviour of lar case history is calculated. The results of the
poorly interlocked, heavily broken rock masses with a analyses are presented in the form of FOS±bm and
mixture of angular and rounded rock pieces and, FOS±bs curves. From these curves, bm and bs values
therefore, can be considered in disintegrated rock mass which lead a value of factor of safety of unity are
category. On the basis of this assumption, a spoil pile obtained for each case as depicted in Fig. 4(a). The
failure was also examined in this study. values of bm and bs from the curves are then plotted
The back analysis procedure starts with the determi- against corresponding disturbance factors (df ) to estab-
nation of the GSI value of the rock mass investigated lish a relationship between bm, bs and df (Fig. 4b), and
in each case from the modi®ed chart (Fig. 2) according to check the validity of the Hoek±Brown estimates.
to the suggested input parameters. Then the following
approaches are employed in order to check the validity 3.2. Software description
of the equations:
. Approach 1: the shear strength parameters of the In this study, a computer program, HOBRSLP
failed rock masses are estimated using the original developed and described by Sonmez et al. [10] was
expressions given by Eqs. (1±5) without application employed. The program HOBRSLP was modi®ed for
of any adjustment for the method of excavation, i.e. this study to include the approaches described above.
undisturbed rock mass condition is assumed. These It can handle slope stability analysis of circular and
parameters are then used in the back analyses for non-circular slip surfaces for slopes involving many
the calculation of factor of safety. benches with dierent geometries, various materials
. Approach 2: a disturbance (adjustment) factor of and dierent groundwater conditions. It also incorpor-
(df ) depending on the method of excavation [12,14] ates external loading conditions.
750
H. Sonmez, R. Ulusay / International Journal of Rock Mechanics and Mining Sciences 36 (1999) 743±760
Fig. 3. Location map of the back analysed case study sites and views from the investigated slope instabilities: (a) initiation of the instability in the highwall externally loaded by a spoil pile in
Eskihisar strip coal mine; (b) a view from the heavily broken schist rock mass at Baskoyak barite mine; (c) a view from the jointed rock mass in Kisrakdere open pit coal mine; (d) bench failure
in a closely jointed marly rock mass in Himmetoglu lignite open pit mine and (e) a view from the slope instability in a spoil pile at Eskihisar strip coal mine.
H. Sonmez, R. Ulusay / International Journal of Rock Mechanics and Mining Sciences 36 (1999) 743±760 751
Fig. 5. The model with the parameters for the slope under the in¯u-
ence of a symmetrical vertical triangular spoil loading in the back
analysis of the failed slope in case 1.
1773
0.80
26
4
7
S1=0.37, S2=0.65, Sb=0.11
13.3
27.5
0.97
35
5
soft coating < 5 mm (2)
slightly weathered (5),
smooth surfaces, (1),
S1=0.75, S2=1.07,
S3=0.13, Sb=0.4
Case 3
12.5
0.90
42
37
8
The parameters employed in the GSI classi®cation for ®ve cases considered in this study
faces employed in the back analysis of the externally loaded highwall True spacing (S1, S2, S3 for joints, Sb for bedding planes).
slope in case 1.
Case 2
15635
0.97
6.14
0.94
43
8
and ratings
Parameters
df d
a
c
b
d
Fig. 7. Slope geometries before and after the failure, and critical slip
surface in closely jointed schist rock mass (case 2).
3.3.4. Case 4: a bench failure in a coal mine
Himmetoglu open pit coal mine, operated by the
circular surface was selected for this study. The results Turkish Coal Enterprises (TKI), is located in north-
of the back analysis [18,10] indicated that the calcu- west Anatolia and produces low calori®c value of coal.
lated sliding surface con®rms the actual failure surface A local bench failure occurred in 1998 in the eastern
delineated from the site measurements (Fig. 7). slope, excavated in heavily jointed marly rock mass, as
a result of steepening of the slope (Fig. 3d). On the
3.3.3. Case 3: a slope instability in a coal mine at basis of the scanline surveys [19], the parameters of
western Turkey discontinuities given in Table 3 were obtained and a
A slope instability from the Kisrakdere open pit GSI value of 27.5 for the rock mass was determined.
mine located at Soma lignite basin, western Turkey, Detailed instability plan and cross-section of the
was selected for the purpose of this study (Fig. 3c). failed bench are shown in Fig. 9. The visible part of
The necessary data were collected by the authors from the failure surface was in circular form. Detailed
this pit. Fig. 8 shows the geometry of the failed slope hydrogeological investigations [19] indicated that the
in which a single thin coal seam with a thickness of 4.5 slope was dry. Since the overburden material was
m is overlain by a sequence consisting of compact removed by excavators without blasting, an adjustment
marl and soft clay beds about 10 m thick. The obser- factor of 0.97 was considered in this case. The back
vations on the slope surfaces and available records analysis of the failure surface (surface 1 in Fig. 9)
indicated that the groundwater was below the failed showed that circular failure did not appear as a realis-
marly rock mass, and the coal seam acted as an aqui- tic mechanism for this instability with a factor of
fer. The marly rock with a uniaxial compressive safety considerably greater than unity. The position of
the ¯oor strata dipping towards the excavation and the
visible upper part of the sliding surface indicated the
possibility of another mode of failure by combination
of a planar sliding surface along the weak ¯oor strata
and a circular failure surface through the rock mass
(Fig. 9; failure surface 2). The back analysis of the
multiplanar failures along both bedding planes and the
faults in this pit indicated that the residual shear
strength parameters of the weak and slickensided bed-
ding planes were cr=1.4 kPa and f=128 [19]. By
employing these parameters, rock mass properties of
the marls and Janbu's method of analysis [20] for this
combined failure surface, a back analysis was per-
formed. The analysis which yielded a factor of safety
of unity indicated that a combined failure surface was
the realistic mode of failure for this instability. After
the removal of the failed material, the combined fail-
ure surface clearly appeared and con®rmed the surface
labeled 2 in Fig. 9 as the real failure surface.
Therefore, the parameters given in Table 3 and the
Fig. 8. Cross-section illustrating the geometry of the failed slope and predicted mode of failure were employed in this study
the position of the strata (case 3). for further assessments.
754 H. Sonmez, R. Ulusay / International Journal of Rock Mechanics and Mining Sciences 36 (1999) 743±760
Fig. 10. (a) Plan of the shallow-seated spoil instability along the haul road and (b) cross-sections of the spoil pile showing the failure surfaces
and pile geometries (case 5; after Ulusay et al. [21]).
756 H. Sonmez, R. Ulusay / International Journal of Rock Mechanics and Mining Sciences 36 (1999) 743±760
Table 4
The results of the back analysis of the failed slopes based on dierent approaches to assess the eect of disturbance. The values in parentheses in-
dicate the average values for three sections
bm bs
Case 1: 0.94
Section 1-1'/1 1.48 1.44 1.42 18.9 (18.55) 7.05 (6.98)
Section 1-1'/2 1.48 1.43 1.41 18.2 (18.55) 6.90 (6.98)
Section 2-2' 1.45 1.40 1.39 18.55 (18.55) 6.98 (6.98)
Case 2: 0.97 1.70 1.62 1.59 20.28 7.34
Case 3: 0.90 1.41 1.34 1.28 17.15 6.68
Case 4: 0.97 1.32 1.23 1.19 20.3 7.35
Case 5: 0.80
Section 1-1' 2.71 1.93 2.10 14 6
Section 2-2' 2.64 1.80 2.03 14 6
Section 3-3' 2.64 1.84 2.04 14 6
Section 4-4' 2.69 1.84 2.07
b
Adjustment factor for disturbance eect.
a
Obtained from Fig. 12.
analyses. By putting the mean fragment sizes of 0.085, GSI df ÿ 100
mb mi exp
10a
0.081 and 0.083 m calculated for x, y and z axes, re- 28
spectively, into Eq. (7c), a Jv value of 1773 which rep-
resents a disintegrated rock with a very low structure GSI df ÿ 100
rating of 4 was obtained. A surface condition rating of s exp
10b
9
7 and a GSI value of 26 were estimated.
GSI df
a 0:65 ÿ
10c
3.4. Back analysis of the selected slope instabilities 200
The results of the back analysis of the failed slopes
The results obtained from the back analysis of these
yielded factors of safety considerably greater than
slope failures are evaluated by following the steps sum-
unity suggesting that the slopes were stable (Table
marized below.
4). This approach indicated that the above modi®-
. Step 1: using the GSI value for each case (Table 3), cation did not satisfy the failure condition.
the Hoek±Brown constants were calculated from the . Step 3: in this step, the eect of disturbance was
original equations (Eqs.(1), (2) and (5)) which do assigned onto the numbers appearing in the numer-
not consider the disturbance eect or an adjustment ators of the Eqs. (1) and (2) as follows:
factor. The factors of safety, based on these par-
ameters tabulated in the ®rst column of Table 4, are GSI ÿ 100
mb mi exp
11a
considerably greater than unity and indicate that 28 df
failure can not occur through these slopes. This situ-
ation focuses the attention on the fact that the negli- GSI ÿ 100
gence of an adjustment factor (df ) yields unrealistic s exp
11b
9 df
assessments for stability of slopes, and therefore, a
modi®cation based on df value seems to be necess- The results of the analysis indicated that the values
ary for Hoek±Brown equations. of the factor of safety calculated for each case
. Step 2: using the same model, the analyses including (Table 4) were still greater than unity.
an adjustment factor for each case (Table 3) were . Step 4: in this step, considering the results obtained
performed. However, in this step, the adjustment from step 3, ®ve dierent values were assigned to bm
factor was multiplied by the GSI value to consider and bs in Eqs. (8) and (9), ranging between 14 and
the disturbance eect on the rock mass, as applied 28, 6 and 9, respectively. Then the values of factor
in the RMR scheme. Thus, Eqs.(1), (2) and (5) were of safety corresponding to selected values of bm and
rewritten in the following forms: bs for each particular case were calculated to esti-
H. Sonmez, R. Ulusay / International Journal of Rock Mechanics and Mining Sciences 36 (1999) 743±760 757
Fig. 11. A view from the spoil material taken for image processing, and the scaling factor (case 5).
mate the pairs of bm±bs satisfying the limit equili- df
bs 0:67 ln 9
13
brium condition. Since the disintegrated material df 340
1 ÿ df
forming the spoil piles were the mixture of exca- The results of the back analysis of the slope instabil-
vated, blasted, hauled and dumped overburden, a ities in closely jointed rock masses and in the spoil
lower bound adjustment factor of 0.8 was assigned piles with high proportion of disturbed rock pieces
for this material. Besides, the values of 14 and 6, indicated that the disturbance eect due to the in¯u-
which were suggested as the lower bounds in the ence of the method of excavation could not be
original Hoek±Brown equations [4], were employed. ignored. In other words, the equations of the criterion
Therefore, for dierent values of bm and bs for the based on the undisturbed rock mass condition did not
spoil pile instabilities mentioned in case 5 the trial work well if an adjustment factor was not considered.
and error method was not used. The back analysis For this purpose, it is advised that, in the estimation
of these instabilities yielded values of factor of safety of the rock mass constants, determination of the values
equal to unity, indicating that the suggested of bm and bs of any particular rock mass determined
approach seemed to be satisfactory. from the curves (Fig. 13) or from Eqs. (12) and (13)
The results of the back analysis are presented in for a given df value seems to be better. The rock mass
FOS±bm and FOS±bs forms (Fig. 12) to obtain the constants then should be estimated by using Eqs. (8)
pairs of bm and bs satisfying limiting equilibrium con- and (9) proposed in this study.
dition. Considering that an adjustment factor (df ) of 1
corresponds to bm and bs values of 28 and 9, respect-
ively, for undisturbed rock masses and, similarly, 4. Conclusions
values of 14 (bm)and 6 (bs) correspond to a df value of
0.8 for highly disturbed rock mass and using the com- Due to the limitations in the RMR classi®cation
binations of df ±bm and df ±bs which lead a factor of scheme, particularly for very poor quality rock masses,
safety of unity, the plots given in Fig. 13 are estab- the geological strength index (GSI) has been intro-
lished. It is now possible to estimate bm and bs values duced into the Hoek±Brown failure criterion.
for closely jointed rock masses, depending on the dis- However, there are no published case histories on the
turbance eect, when the following expressions derived back analysis of slopes or underground openings in
from the curve shown in Fig. 13 are used. heavily jointed rock masses which con®rm that the
current GSI methodology yields satisfactory results.
In this study, an attempt has been made to provide
df a more quantitative numerical basis for evaluating the
bm 3:14 ln 28
12
df 340
1 ÿ df GSI and to suggest quantities which make more sense
758 H. Sonmez, R. Ulusay / International Journal of Rock Mechanics and Mining Sciences 36 (1999) 743±760
Fig. 12. Variation in bm and bs values with factor of safety (FOS) for the case studies from the slope failures in closely jointed rock masses.
H. Sonmez, R. Ulusay / International Journal of Rock Mechanics and Mining Sciences 36 (1999) 743±760 759
Acknowledgements
Proctor RV, White TL, editors. Rock tunnelling with stell sup- logical characterization of coal mine waste material and an
pots, vol. 1. Youngstown, OH: Commercial Shearing and evaluation in the context of back-analysis of spoil pile instabil-
Stamping Company, 1946. p. 17±99. ities in a strip mine, SW Turkey. Eng Geol 1995;40:77±101.
[17] Ulusay R. Geotechnical evaluations and deterministic design [22] Ulusay R, Yoleri MF, Caglan D, Arikan F. Design evaluations
cosiderations for pitwall slopes at Eskihisar (Yatagan-Mugla) for spoil piles at a strip coal mine considering safety of the haul
strip coal mine. Unpublished PhD dissertation, Middle East road. Int J Surf Min Recl Environ 1995;9:133±40.
Technical University, Ankara, Turkey, 1991. [23] Ulusay R, Caglan D, Arikan F, Yoleri MF. Characteristics of
[18] Ulusay R, Yucel Z. An example for the stability of slopes exca- biplanar wedge spoil pile instabilities and methods to improve
vated in weak rocks: Baskoyak Barite Open Pit. Earthsciences
stability. Can Geotech J 1996;33(1):58±79.
(Bull of Earth Sciences Application and Research Center of
[24] Franklin JA, Mearz NH, Bennett CP. Rock mass characteriz-
Hacettepe University) 1989;15(2):15±27 [in Turkish].
ation using photoanalysis. Int J Min Geol Eng 1988;6:97±112.
[19] Ulusay R, Ekmekci M, Gokceoglu C, Sonmez H, Tuncay E,
Erdogan S. Slope stability investigation for Himmetoglu lignite [25] Singh A, Scoble M, Lizotte Y, Crowther G. Characterization of
open pit mine. Hacettepe University Report, Project No.: 97- underground rock fragmentation. Geotech Geol Eng 1991;9:93±
0058, 1998. [In Turkish]. 107.
[20] Janbu N. Slope stability computations. In: Hirsch®eld RC, [26] Goktan RM, Ayday CA, Zengin M. Case study on the com-
Paulos SJ, editors. Embankment dam engineering: Cassagrande parison of measured and predicted mean fragment size from a
volume. New York: Wiley, 1973. p. 47±87. large-scale blast. In: Fujii T, editor. Proc 8th Rock Mech
[21] Ulusay R, Arikan F, Yoleri MF, Caglan D. Engineering geo- Congress, vol. 1. A.A. Balkema, 1995. p. 77±9.