Integrating Innovations of Rock Mechanics 3

R.J. Rocca et al. (Eds.)

IOS Press, 2015
© 2015 The authors and IOS Press. All rights reserved.
doi:10.3233/978-1-61499-605-7-3

Towards a Mechanically Based Definition

Of the Disturbance Factor Using The
“Slope Model” Lattice Code
RODRIGO SILVA GUZMÁN a,1 and PATRICIO GÓMEZ PÉREZ P a,1
a
Itasca S.A.

Abstract. The disturbance factor (D) included in the Hoek-Brown criterion

represents a strength reduction parameter associated to the damage induced in
large open pit slopes as a result of the blasting process and also as a consequence
of the stress relaxation and stress rotations induced by the excavations during the
mining process. The spatial distribution of the D factor, as well as its value, remain
unresolved issues in the current rock mechanics practice applied to slope stability
analysis. While it is reasonable to expect that in the long term, numerical modeling
based on lattice formulations or strain softening constitutive models will be able to
address this issue properly, the current state-of-the-practice (using both limit
equilibrium and numerical modeling approaches) will remain applicable for some
time. Current methods would therefore benefit from more robust guidelines to
define the extent of the disturbed zone, as well as the distribution of strength
degradation of the rock masses within a mined slope. In this study, an empirically-
based guideline is proposed for the distribution of disturbance with depth in a
slope. Furthermore, a first step is made at providing a mechanical interpretation of
the disturbance of large open pit slopes in medium to hard rocks due to loss of
confinement and is aimed at defining the extent of disturbance using lattice
modeling. As the final purpose of the study is identifying the real effect of the
disturbance in the strength properties and its location with respect to the slope
surface, some initial attempts are also made to measuring the strength of
undisturbed and disturbed rock mass samples using a Synthetic Rock Mass
approach.

Keywords. Lattice Code, Disturbance, Hoek-Brown, Slope Model, Synthetic Rock

Mass

1. Introduction

The Hoek-Brown failure criterion is widely used in the current practice of slope
stability analyses, as it provides an empirically solid and generally accepted means to
assess the strength of rock masses. Out of all the parameters involved in the application
of this failure criterion, the value and distribution of the so-called disturbance factor
(D) behind the slope is the only one that lacks of an agreed procedure for its definition.
This situation makes the analysis subjective and based on the experience of the modeler,
although the influence of this parameter can be large and its application requires
experience and judgment [1]. The work presented in this article is a first attempt to

1
Corresponding Author. E-mail: rodrigo.silva@itasca.cl and patricio.gomez@itasca.cl
4 R. Silva Guzmán and P. Gómez Pérez P / Towards a Mechanically Based Definition of the (D) Factor

provide a guideline for a D factor definition using an advanced numerical modeling

tool.
Prior to the mechanical assessment of disturbance referred above, a simplified
empirical method is proposed for definition of the value and distribution of the damage
factor. This method is based on observations in a variety of consulting projects
developed around the world. These suggestions are then compared with the results of
numerical modeling and relevant conclusions are presented.

2. A Suggested Empirical Approach

The starting point for inclusion of a disturbance concept in the Hoek-Brown criterion
[2] was a discussion between Dr. Evert Hoek and a geotechnical engineer at the Ok
Tedi mine in Papua New Guinea, who indicated that the only way that he could get the
Hoek-Brown criterion to work for the unstable slopes at the mine was to set the rock
mass to a “disturbed” condition based on the modifications to the criterion made in
1995 [3, 4].
Implicit in the conceptualization of the disturbance is the assumption that blasting
and stress relief reduce the Geological Strength Index (GSI) and also that the blasting
creates micro-fractures in the intact rock (reducing UCS) and opens existing fractures.
The D factor should therefore only be applied to the damaged rock immediately
adjacent to a slope face [5].
Table 1 shows the guidelines for estimating the disturbance factor in slopes, as
provided together with the Hoek-Brown criterion in its 2002 version [2]. Based on this
guidelines, some confusion/uncertainty arises because D = 1 in large open pit mines is
said to be caused by heavy production blasting and also due to stress relief from
overburden material. The bottom box in Table 1 suggests that 70% of the disturbance is
due to stress redistribution and 30% is due to blasting.
In terms of the distribution of damage associated with blasting, Hoek and
Karzulovic [10] provided guidelines to determine the extent of damage induced by
blasting at bench scale. However, the effect of stress relaxation is not included in those
recommendations.
All of the previous information has been complemented with observations in
several open pits worldwide, where there has been recorded evidence of the existence
of a damaged zone behind the pit surface, in spite of the use of the best blasting
practices. This information has led to developing an empirical set of rules to define the
extent of the damage zone. As an example of the information referred above, Figure 1a
shows a graph with RQD measurements in depth for a set of drillholes from a large
operating open pit, where a gradation of rock mass quality can be observed as a
consequence of the excavation process, down to a depth of approximately 450 feet (150
m).
Another relevant piece of information in the process of defining the extent of
damage has been results of numerical modeling performed by many practitioners,
including the work by Hoek et al. included in the LOP Guidelines [7]. Figure 1b shows
an increasingly wider damage zone in an environment characterized by a stress field
with k0 = 1.0.
 R. Silva Guzmán and P. Gómez Pérez P / Towards a Mechanically Based Definition of the (D) Factor 5

Table 1. Guidelines for estimating disturbance factor D [see 2]

Small scale blasting in civil engineering

slopes results in modest rock mass damage, D=0.7
particularly if controlled blasting is used as Good blasting
shown on the left hand side of the photograph.
However, stress relief result in some D=1.0
disturbance. Poor blasting

Very large open pit mine slopes suffer D=1.0

significant disturbance due to heavy Production
production blasting and also due to stress relief blasting
from overburden removal.
In some softer rocks excavations can be D=0.7
carried out by ripping and dozing and the Mechanical
degree of damage to the slopes is less. excavation

RQD %
0 5 10 15 20 25 30 35
0

50
Down- Hole Depth (m)

b)
100

a)
150

200

250

Figure 1. a) RQD measurements with depth, in drill holes from an existing open pit mine and b) Damage
zone in a 500 m high, 45° slope, in a homogeneous rock mass under k0 = 1.0.
Based on the above, the guideline depicted in Figure 2 is suggested for excavations
of simple slopes. The 15 m width at the top of the ground surface is aimed at
representing the depth of blast damage, assuming that the benches are of the same
height. Within the surface band, the disturbance factor is assumed to vary linearly
between 1.0 at the surface (or a high value considered appropriate) and 0.0 at depth. All
the above data also suggests that the maximum depth of disturbance can be estimated
as approximately 1/3 of the slope height.

Figure 2. A methodology suggested to represent the damage zone in simple slope stability analysis.
6 R. Silva Guzmán and P. Gómez Pérez P / Towards a Mechanically Based Definition of the (D) Factor

3. Numerical Assessment of Damage

3.1. The Slope Model Lattice Code

Slope Model (SM) [7] is a recent software development funded by the sponsors of the
Large Open Pit (LOP) project, a mining industry initiative aimed at improving the
understanding of large mining excavations, where the main mechanisms of failure are
sliding on pre-existing joints and failure of rock bridges. SM represents the rock mass
based on a simplified version of the distinct element code PFC [8], where balls are
replaced by a lattice of masses and springs increasing its efficiency (see Figure 3). One
of the key features of the code is that springs can break if the tensile strength is
exceeded, allowing an effective development of micro-cracks which can be used to
represent the damage experienced by the rock mass as the natural slope excavation
proceeds.

Figure 3. Lattice scheme for a jointed rock mass. Discontinuities are represented by the “smooth joint model”

3.2. Generic Model Description

Figure 4a shows the model used to represent a slope with an overall height of 450 m
and a 45° overall slope angle. The excavation is sequential using fifteen 30 m high
benches. The model incorporates a generic Discrete Fracture Network (DFN) which
considers fracture diameters as shown in Table 2, of homogeneous length in order to
avoid specific structural mechanisms which can generate a damage condition
associated with kinematic failures [9] instead of damage generated for an isotropic
behavior. The DFN characteristics and strength properties are shown in Table 2 and
Table 3, respectively.

a) b)

Figure 4. Slope Model. a) Geometry of the slope and b) Pseudo-3D DFN used in the analysis.

Table 2. Pseudo-3D DFN characteristics.

Dip Max Trace Length
Discontinuity Set Spacing (m) Dip (°)
Direction (°) (m)
Joint Set 1 5 81 262 16.6
Joint Set 2 5 34 119 16.6
Joint Set A 50 82 174 30
Joint Set B 48 67 271 30
Joint Set C 48 70 353 30
Joint Set D 140 82 85 30
Joint Set E 26 80 171 30
Joint Set F 15 73 262 30
Joint Set G 26 75 356 30
Joint Set H 15 84 85 30
 R. Silva Guzmán and P. Gómez Pérez P / Towards a Mechanically Based Definition of the (D) Factor 7

Table 3. Discontinuity Properties

Discontinuity Type Peak Friction (°) Residual Friction (°)
Faults 22 22
Joints 37 25

Table 4. Rock Properties

UCS Tensile Density Young Modulus
Poisson ratio
(MPa) (MPa) (Kg/m3) (GPa)
55 5.5 2600 5.5 0.25

4. Results

The results of the SM analysis, in terms of micro-cracks developed in the rock mass as
excavation is completed, are shown in Figure 5, together with the proposed empirical
definition of disturbance suggested by Itasca (a) and the orientations of the cracks
formed during the excavation (b). The locations of damage shown at the left of the
figure lie all within the suggested area of disturbance.

a) b)

Figure 5. a) Comparison between assumption and damage observed in Slope Model and b) Orientation of
micro-cracks.

One additional result obtained from the SM analysis is the depth associated with
development of the micro-cracks, shown in Figure 6. The figure presents results for
two alternative scenarios of in-situ stress (k0 = 1.0 and k0 = 1.3). We conclude that,
regardless of the stress field, damage by loss of confinement of the rock mass does not
occur until a certain depth is reached, which in the case of the analyses presented here
is approximately 200 m. In line with expectations, the overall level of damage (defined
as the density of micro-cracks) is significantly higher for larger values of k0 (actually a
difference of approximately four times in this case).
Another way of looking at the results from the SM analyses is the distribution of
micro-cracks with depth from the final slope surface, shown in Figure 7a and referring
to five equally spaced strips within the area suggested from the empirical approach. It
is concluded that 90% of the damage occurs in the first two strips (a maximum depth of
approximately 60 m in this example geometry). The distribution suggests also that a
linear variation of the damage in depth may be somewhat conservative.
8 R. Silva Guzmán and P. Gómez Pérez P / Towards a Mechanically Based Definition of the (D) Factor

4500
Number of Cracks vs Height (m)
4000

3500

3000

# Cracks
2500
K0=1.3

2000 K0=1.0

1500

1000

500

0
0 30 60 90 120 150 180 210 240 270 300 330 360 390 420 450 480

Slope Height (m)

Figure 6. Comparison of number of cracks between two different in situ stress conditions versus excavation
height.

Damage %
Number of Cracks per Damage Zone (DZ) 100 80 60 40 20 0
0
3500 DZ 1
Damage Zones
3000 DZ 2
1 50
2
2500 3
4
5
# of Cracks

Slope Model (K0=1.3) DZ 3

2000

Depth (m)
100
DZ 4
1500 Slope Model (K0=1.0)
a) K0=1.3 DZ 5
1000 150
K0=1.0
500 b)
0 200
1 2 3 4 5
Damage Zone (DZ)
Figure 7. a) Number of cracks located to different distances from the slope surface and b) Damage
distribution per strips in SM.

It is worth noting the resemblance of the damage distribution shown in Figure 7b

with respect to the RQD degradation shown in the first 150 m of Figure 1a. The curve
damage distribution is obtained by each strip damage (DZ) where "Damage %" is
defined as "number of cracks per strip / total number of cracks".
In order to understand the level of damage experienced by the rock mass, a series
of compression tests using an SRM technique included in SM were performed on
samples before and after the full excavation of the slope. The approach used in this case
was building a virtual sample of the rock mass representative of the toe of the slope
usign the exact same DFN of the SM study (a base case representative of the in-situ
conditions of the rock mass) and then adding the micro-cracks developed after
complete slope excavation (as additional joints in the exact locations where they are
developed during the SM run). The samples were representative of a plain strain
condition with a dimension of 30 m on each edge, as shown in Figure 8. The
compression test results indicate a reduction of approximately six times in the rock
mass strength.
 R. Silva Guzmán and P. Gómez Pérez P / Towards a Mechanically Based Definition of the (D) Factor 9

a)

c)

b)

Figure 8. SRM test. A) Undisturbed sample located near the toe, b) Disturbed sample including the damage
induced for the slope excavation and c) Virtual UCS test results.

5. Discussion and Conclusions

The Slope Model lattice code developed in the context of the LOP project has been
used to simulate the excavation of a generic, 450 m high, 45° overall angle slope, in a
rock mass containing a DFN formed by 10 joint systems, in fifteen 30 m high lifts. The
results obtained are encouraging with regards to the capability of the code to reproduce
the disturbance expected in a deep open pit as a consequence of the loss of confinement
induced by the excavation (blasting damage is not captured in this analysis).
An empirical rule for spatial inclusion of the disturbance when performing
conventional slope stability analysis with any of the conventional tools (including limit
equilibrium and numerical modeling tools) is validated in this generic example,
although a revision of the transition from high surface disturbance to deep zero
disturbance is recommended through further studies.
The results indicating that disturbance does not occur until the depth of excavation
reaches a critical dimension of some 200 m is consistent with strain-softening analyses
performed by many authors and is a relevant consideration in optimization of small size
operations.
As expected, considering that in the current study induced disturbance is a
consequence of loss of confinement, the in-situ stress field plays a relevant role in the
definition of the extent of damage, although a two-dimensional analysis probably over
states the in-situ stress relevance. This subject should be further investigated in future
studies of the same kind.
Finally, a preliminary set of virtual compression tests on “samples” extracted from
the model before and after the excavation indicates that development of micro-cracks in
the rock mass can decrease substantially its strength. More studies are planned in order
to try and establish a correlation with the Hoek-Brown approach, to address the issue of
the value of the D factor.
10 R. Silva Guzmán and P. Gómez Pérez P / Towards a Mechanically Based Definition of the (D) Factor

Acknowledgements

The authors would like to acknowledge the sponsors of the LOP Project for the
opportunity to apply the Slope Model code to this study. Particular gratitude also goes
to Dr. Loren Lorig, for his valuable comments and support during the preparation of
the article.

References

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