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Abstract
Characterization of rock slopes has undergone considerable development during the last decade reflecting not only the availability
of new methods of data collection but also the demands faced in designing and assessing the stability of large rock slopes up to
1000m in height. Many of the existing suggested methods for characterizing rock masses were developed based on the stability
assessment of rock cuts or individual/multiple benches and hence were biased toward the kinematic and limit equilibrium analyses
of slopes less than 100m in height. As numerical modelling of rock slopes became increasingly common the need for the derivation
of rock mass strength and deformation parameters has increased. Recent advances in the area of synthetic rock mass modelling
bring with them requirements for rigorous methods of characterizing both rock slope discontinuities and rock mass properties.
This paper describes recent innovations in rock slope characterization emphasizing terrestrial LiDAR and photogrammetry.
Remote sensing experiences for large open pit slopes and high mountain slopes illustrate the importance of observation and
measurement scale bias. Derivation of data for discrete fracture networks (DFNs) for both block stability assessment and rock
mass characterization is discussed and the need to consider inherent bias in data collection methods highlighted.
INTRODUCTION
The use of digital mapping techniques in the characterization of open pit mine slopes, highway rock cuts and landslides is now
routinely undertaken using both airborne and ground based remote sensing. One of first uses of digital mapping for investigating mine
slope failures was by Coggan et al. (1) who described the successful use of an MDL Quarryman laser scanner as early as 1999 in
the monitoring of the retrogression of a landslide in a hydrothermally altered granite - china clay quarry slope. Today, ground-based
LiDAR and photogrammetry are but a few of a larger suite of digital remote sensing tools that are being increasingly used in rock slope
characterization. It is the authors intention in this paper to describe the state-of-the-art in digital remote rock mass characterization
focusing on LiDAR and photogrammetry. Although conventional rock mass characterization field mapping techniques will not be
discussed in detail the critical role that these techniques play, and will continue to play, cannot be overemphasized.
Read and Ogden (2) identified three types of fundamental knowledge to be addressed in predicting slope failure: that of the strength,
geological structure and deformability of the potentially unstable rock mass; that leading to understanding of the failure mechanism(s);
and that on how best to analyze the failure mechanism(s) for stability. This paper treats the first two as an inherent component of
rock slope characterization with the objective of improving design in large rock slopes. A key question before introducing rock slope
characterization techniques is what is meant by characterization. This is not straight forward as field characterization of rock slopes
predominantly emphasizes the recording of parameters according to ISRM suggested methods published in the late 1970s. These
were developed largely around discontinuity line surveys at bench or highway cut mapping scales. Since the development of these
methods, the scale of open pit slopes, engineered rock slopes and studied rock slides has increased significantly, from slope heights
in the order of 100s of metres to those approaching 1000m. Clearly the demands placed on rock mass characterization methods has
increased as has the challenge to accurately represent rock mass strength in advanced numerical models. It is the tenet of this paper
that the use of realistic, sophisticated, 3-D rock mass modelling techniques, including those that account for brittle fracture, demands
substantial improvement in rock mass characterization particularly with respect to such elusive factors as persistence, joint intensity
and rock bridges.
Slope Stability
Slope Stability
Figure 1 - Use of COLTOP3D for Joint Set Characterization in a Steep, Inaccessible Cliff at Hegguraksla (Western Norway).
After Oppikofer and Jaboyedoff (11).
Figure 2 - Combined use of Airborne LiDAR for Natural Rock Slope Discontinuity Mapping,
Turtle Mountain Alberta. After Sturzenegger et al. (12).
Slope Stability
Ground-Based Photogrammetry
The use of ground based photogrammetry in both surface and underground mining is now well accepted. Poropat and Elmouttie (19, 20)
and Elmouttie et al. (21) demonstrate the application of photogrammetry using Sirovision in both the automated structural mapping of rock
faces and in the derivation and use of data for structural modelling of open pit mines using Siromodel. Mathis (22) provides a summary
of practical application of terrestrial photogrammetry in pit slope design and structural analysis at the Jericho Diamond mine in northern
Canada. In addition to demonstrating the use of the AdamTech software in rock slope characterization at the bench and interramp scale,
results are presented in the next section that provide a clear description of the advantages and disadvantages of digital photogrammetry.
A particularly important paper to those contemplating the use of terrestrial photogrammetry and LiDAR, is that by Lyman et al. (23)
discussing uncertainty in rock mass joint characterization.
Close and Long Range Ground-Based LiDAR and Photogrammetry Imagery
Conventional close-range photogrammetry is usually taken at distances from 10s to 300 metres with focal lengths from f = 20 to
150mm. At distances typical for large open pits where access to benches is no longer possible, it becomes increasingly necessary to use
medium to long-range photogrammetry. Ranges of up to 2km are possible when using focal lengths of f = 400mm. An alternative to this
with great future potential is to use helicopters, unmanned aerial vehicles, etc., to gain closer access. Figure 4 shows a photogrammetric
model of the surface of a rock slide which closed the Sea-to-Sky corridor near Vancouver, Canada, a key route for the 2010 Winter
Olympics. This could not be imaged conventionally due to a lack of space between the road and its steep drop-off to the sea. The solution
in this case was to use a 100mm lens and to shoot from a boat offshore. The detail obtained in the images is clear.
Figure 5 shows an f = 20mm photogrammetric model of the Palabora open pit, South Africa. This pit was imaged completely using f =
50, 100 and 200mm focal lengths. Complete sections of the pit wall were also imaged using f = 400mm (Figure 5). A good comparison
of discontinuity orientations was obtained between the photogrammetric data and previous conventional mapping (25). Similarly, Figure 6
shows a digital photogrammetry model of the Frank Slide, Alberta constructed using f = 400m imagery from about 2km, (17). This imagery
was not possible using conventional LiDAR and close-range photogrammetry due to the line of sight distance involved.
Figure 4 - Ground-Based Photogrammetry Taken from an Offshore Camera Station to Image an Inaccessible
Rock Slide that Closed the Sea-to-Sky Highway Corridor.
Figure 5 - Ground-Based Photogrammetry of Palabora Open Pit: f =20mm Model for Planning (Top Left), and Long Range f = 400mm from 1.6 km
Model (Bottom Right) with Typical Derived Discontinuity Data Including Orientation and Trace Length.
Slope Stability
Figure 6 - Turtle Mountain Ground-Based Photogrammetry: f =50mm Model from over 2km (Top Right),
and Close- Up of Peak Using f = 400mm Lens (Bottom).
Figure 7 - Incorporating Ground-Based LiDAR Data into DFN Models: (a) Point Cloud of Bench Scale Rock Cut; (b) Digital Discontinuity Mapping;
(c) Discontinuity Orientation and Persistence Distributions, (d) FracMan Model.
Slope Stability
Mean Dip
Mean Dip
Direction
[]
[]
J1
79
299
71
2.26
Exponential
2.71
J2
75
177
43
1.7
Exponential
1.23
J3
33
17
98
9.32
Exponential
0.17
Bootstrap
n/a
n/a
150
3.2
Exponential
1.9
Discontinuity Set
Fishers K
Mean Trace
Length
Trace Length
Distribution
[m]
P32
[m2/m3]
Table I - Parameters Used for the Generation of a Bench Scale Rock Cut DFN Model
The authors emphasize that the uncertainty involved in the production of a DFN must be understood. Although face mapping using both
conventional scanline techniques and remote sensing are able to produce excellent data quality for rock slope kinematic analyses, that
used to provide input for numerical modeling, in particular SRM models (24), requires high quality integrated rock mass characterization
incorporating borehole, remote sensing (LiDAR/photogrammetry) and conventional engineering field surveys. It is the authors experience
that characterization using one method alone rarely produces the required quality of data due to the dependence of persistence, termination
and intensity information on the method of data collection and/or observation scale effects. As an example, long range photogrammetric
surveys using f =100 and 400mm focal length lenses can produce excellent discontinuity orientation data comparable with other
techniques. However as the distance from the slope to the measurement location increases, there is generally a marked reduction in the
intensity recorded in jointing through low persistence joints being truncated, Figure 8.
Figure 8 - Equivalent Trace Length Distributions of Discontinuities Mapped for a Pit Wall from a Distance of >1.5 km
Using both f =100 and 400mm Lenses. After (25).
The variation in rock slope stability or SRM strength over the range of stochastically generated DFN realizations has received little
attention. In most published studies, only one DFN is used and there is very little discussion, if any, of the input data. Figure 9 shows a
preliminary relationship between the P21 estimate of areal fracture intensity and the ground point spacing attained through the use of
varied focal length lenses/distances; clearly the observation scale has an important influence. This can significantly influence the number
of blocks formed by the DFN. In contrast bench scale observations result in a bias in the recording of high persistence discontinuities (i.e.
> than bench height), which in turn has a marked effect on a slope kinematics analysis. The spatial variations of discontinuities within a
rock slope or open pit mine, i.e. geostatistics, should be incorporated into the production of the DFN with full consideration given to the
structural geology setting; choice of the correct DFN model is at the users discretion. Most published uses of DFN focus specifically on
rock mechanics data to generate the DFN (discontinuity dip, dip direction dispersion, joint intensity measures P10, P21, trace length and
termination characteristics). The engineer should not, however, ignore the importance of geological/structural changes in the rock mass
and its importance to the DFN, the resulting kinematic analysis and/or synthetic rock mass strength. Mathis (22) states the potential
advantages of using photogrammetry of successive open pit cuts to allow the changes in discontinuity characteristics to be mapped; this
is an important area for future research.
Slope Stability
Figure 9 - Graph Illustrating a Decrease in P21 value as Ground Point Spacing Increases.
0.00
3.10
2.50
2.05
3.75
1.46
5.00
1.04
7.50
0.56
8.75
0.42
10.00
0.32
Table II - Relationship between Fracture Cut-Off and Fracture Frequency, Assuming a Log Normal Distribution for the Fracture Length.
Figure 10 - Model Set-Up. The DFN Model is Generated within a Cylindrical Volume of Dimensions 20m High and 60m Radius.
Slope Stability
5m Fracture Cut-Off
Figure 11 - Formed Blocks from Selected DFN Models with Varying Fracture Cut-Off Length.
Green and Red Indicate Stable and Unstable (FoS<1) Blocks, Respectively.
Figure 12 - Blocks Formed and Total Block Volume with Varying Fracture Cut-Off.
Figure 13 - Generation of 3DEC Model from LiDAR at Bench (Rock Cut) Scale.
Slope Stability
Figure 14 - 3-D Numerical Model of a Large Open Pit Generated from a Photogrammetric Model.
CONCLUSIONS
This paper has attempted to demonstrate the use of remote sensing data in rock slope characterization of large mountain slopes and
large open pits. It has emphasized the increased demands for integrated rock slope characterization using conventional field methods and
remote sensing techniques (including geophysics). Particular attention has been given to the increasing demands that will be placed on
rock mass characterization for the production of DFNs to be used in SRM analysis; these are not trivial and require a clear understanding
of the limitations of the tools being used. The integrated use of prism monitoring, ground-based LiDAR, photogrammetry, slope stability
radar and microseismicity in addition to satellite-based methods (e.g. InSAR) have found increased use over the last 5 years in both large
open pits and in high mountain, high risk, rock slopes. It is emphasized that these techniques provide important slope monitoring data, but
that they have been underutilized with respect to furthering our understanding of the complex interplay between geological structures and
rock mass quality in the failure mechanisms that develop. Accordingly, new rock slope characterization techniques are ideally positioned
to provide the necessary input and constraints for the sophisticated 3-D numerical models now being developed. Most importantly these
new techniques must be used in an integrated and coherent manner with a clear understanding of measurement bias and limitations and
the uncertainty that this may entail.
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Slope Stability