The dissertation details work aimed toward the development and implementation of a 3-D impact fragmentation module to perform rock fall analysis by taking into account impact fragmentation. This fragmentation module is based on a database of a large set of impact simulations using a fully calibrated discrete element model (DEM), and is employed to predict impact fragmentation processes in rockfall analysis by either training a neural network model or linearly interpolating the database. A DEM was employed to model impact fragmentation in the study. A DEM code was developed from scratch. The model was first calibrated and verified with experimental results to demonstrate the capability of modeling both quasi-static and dynamic material behavior. Algorithms to calibrate the model’s micro-parameters against triaxial tests on rocks were presented. Sensitivity analyses were used to identify the deformability micro-parameters by obtaining relationships between microscopic and macroscopic deformability properties. The strength model parameters were identified by a global optimization process aimed at minimizing the difference between computed and experimental failure envelopes. When applied to the experimental results of tested granite, this calibration process produced a good agreement between simulated and experimental results for both deformability and strength properties. Dynamic compression and SHPB tests were performed to verify the dynamic model. A strain-rate-dependent dynamic strength was observed in the experimental results. This strain-rate-dependent dynamic strength was also confirmed by the numerical results. No rate-dependent constitutive model was used in the DEM to simulate dynamic behavior. This simulated rate-dependent dynamic strength can be attributed to material inertia because the inertia inhibits crack growth. Some fundamental mechanisms of impact fragmentation associated with rockfalls were then numerically investigated. The developed DEM code was coupled with a simplified impact model inspired by the theory of dynamic foundations. It has been shown that the magnitude of impact velocity, the angle of the incidence, the ground condition all play very important roles in impact fragmentation. Several case studies were performed to validate the developed impact fragmentation module in rock fall analysis. It has been demonstrated that the developed fragmentation module can reasonably predict impact fragmentation and perform some risk analysis in rock fall analysis. / text

The purpose of this study is to implement a rock fall hazard rating system to the cut slopes along Kizilcahamam-Gerede segment of D750 (Ankara-istanbul) Highway. The rating system developed by the Tennessee Department of Transportation was assessed for thirty six cut slopes which were selected based on a reconnaissance survey along D750 highway, between Kurtbogazi Dam (50 km northwest of Ankara) and AktaS village (15 km to Gerede town of Bolu province). The stages of the investigation consist of project conception, field investigations and application of this system, assessment and presentation of data. The cut slopes were classified by implementing this method which requires a scoring on an exponential scale assigned to various parameters related to the site and roadway geometry and geologic characteristics. The rating process was completed at two stages: Preliminary and Detailed Rating. Based on the Tennessee RHRS, nineteen cutslopes were assessed according to these two stages while the other seventeen cut slopes were able to be classified only with the preliminary rating stage. Different modes of slope failure (planar, wedge, toppling, rock fall with differential weathering, raveling) throughout the selected segments of the highway were investigated and the slope and highway related parameters such as slope height, ditch effectiveness, average vehicle risk, road width, percent desicion site distance and rockfall history were identified for these nineteen cut slopes. After the scoring process was completed all cut slopes were classified based on their hazard ratings from the point of the problems that they may cause in transportation. According to the rules of Tennessee RHRS, a total of thirty five cut slopes were rated. Among these slopes, nineteen of them are rated as A slopes which are considered to be potentially hazardous, while a total of seven are rated as C slopes which pose no danger. In placing a slope into a B category, it is considered that they are not as prone as A slopes to create a danger and a total of nine B slopes are detected. The detailed rating is accomplished for these nineteen A slopes and as a result of the scorings, it has been seen that the final RHRS scores range from 164 to 591. The slopes with scores over 500 can be counted as more hazardous slopes since they get very high scores both from site and roadway geometry and geologic hazard part.

The cut slopes at a segment between Km 25+600 and 26+000 of the Antalya-Burdur Breakaway-Korkuteli State Road to be newly constructed have slope instability problems due to the existence of highly jointed limestone. The purpose of this study is to investigate the engineering geological properties of the units exposed at three cut slopes, to assess stability of the cut slopes, and to recommend remedial measures for the problematic sections. In this respect, both field and laboratory studies have been carried out. The limestone exposed at the cut slopes are beige to gray, fine grained, fossiliferous, and highly jointed. It has two joint sets and a bedding plane as main discontinuities. The kinematic analysis indicates that planar failure is expected at Km: 25+900. Limit equilibrium analysis show that the cut slopes with bench have no slope instability problems except rockfalls which endanger the traffic safety. In this thesis it is recommended to covering the cut slope with wire mesh and fibre reinforced shotcrete

Les éboulements rocheux sont difficilement prévisibles en raison de leur soudaineté et du peu d'informations disponibles sur la structure interne du massif rocheux. L'analyse en retour d'éboulements dans des falaises calcaires a montré qu'ils étaient initiés par la fracturation de ponts rocheux et que leur persistance était le principal paramètre à prendre en compte pour des calculs de stabilité. En 1er lieu, nous avons utilisé l'information contenue dans le bruit sismique afin d'évaluer le degré d'instabilité d'une écaille rocheuse. Les données viennent de la falaise calcaire de Chamousset (Vercors) où un réseau sismique a fonctionné 4 mois jusqu'à 2 semaines avant la chute d'une écaille de 21000 m3. Le calcul des spectres de bruit sismique a permis d'identifier la 1ère fréquence propre de l'écaille qui diminue significativement avant l'éboulement. Ce même réseau a enregistré des milliers d'événements dont les plus énergétiques ont été classés. Certains de ces signaux ont des arrivées d'ondes P et S distinctes, permettant d'analyser leur mécanisme de rupture et de calculer leur magnitude et distance hypocentrale. Des simulations favorisent l'hypothèse de ruptures en traction pour expliquer les polarisations. D'autres simulations confirment que les événements situés à l'interface écaille-massif entraînent la résonance de l'écaille, expliquant l'observation de codas mono-fréquentielle avec une amplitude sismique plus forte sur l'écaille. Enfin, l'étude de la réponse thermomécanique d'une 2nde écaille sur un an montre l'influence des paramètres météorologiques sur ses fréquences propres. Les effets réversibles et irréversibles sur ces fréquences ont été identifiés. / Rockfalls are difficult to predict events, owing to the suddenness of the phenomenon and to the little information available about the mass internal structure. Back analysis of collapses in steep limestone showed that rockfalls were initiated by intact rock bridge failures and that the persistence of joints was the main factor controlling the failure probability. First, we used the seismic noise recorded by autonomous monitoring systems to evaluate the degree of coupling of a prone-to-fall column to the rock massif. Seismic data were acquired on top of a limestone cliff in Chamousset (Vercors) during 4 months until 2 week prior the collapse of a 21,000 m3 column. The column 1st natural frequency was easily identified from ambient noise processing and exhibited a significant drop prior the column failure. Thanks to the monitoring system, thousands of seismic events were detected, out of which, the most energetic ones were classified. Some of these events exhibit clear P and S waves, making possible an analysis of the rupture mechanism as well as the calculation of their magnitude and hypocentral distance. Numerical simulations of rock bridge rupture allowed favouring traction rupture to explain the observed polarizations. Other numerical simulations showed that rupture events can trigger the column resonance, explaining the recurrent presence of specific frequencies in the late coda as well as the higher seismic motions on the column. Finally, we studied the thermomechanical response of another column. The influence of meteorological parameters on the column natural frequencies was shown. Both reversible and irreversible effects on the 1st natural frequency were identified.

A dependência de países em vias de desenvolvimento com relação às indústrias primárias como a mineração é evidente. Na economia peruana, aproximadamente, 6% do PIB e mais de 50% das exportações são provenientes desta atividade econômica, destacando sua posição competitiva no cenário mundial. A importância desta atividade aparece, também, quando o assunto em questão é a segurança do trabalho. Assim, embora nos últimos anos tenha-se percebido uma diminuição no número de acidentes na mineração peruana, a taxa de mortalidade ainda é alta quando comparada com outros países de tradição mineira, especialmente os mais desenvolvidos. No Peru, oficialmente, as causas fundamentais para a ocorrência de acidentes são atribuídas aos fatores pessoais e de trabalho, assim como às condições e aos atos inseguros. Nesse contexto, a identificação dessas causas, visando à proposta de soluções efetivas para melhor gerenciar os sistemas de segurança e de saúde na indústria da mineração, é muito importante. Esta tese estuda os acidentes por queda de rochas em minas subterrâneas do Peru. Para tal foi utilizado como fonte de informação primária o registro de acidentes fatais de 2007 em minas de médio e grande porte. Esse registro foi concedido pela Oficina de Fiscalización Minera del Organismo Superior de la Inversión en Energía y Minería del Peru (OSINERGMIN), órgão pertencente ao Ministério de Energía y Minas del Perú (MEM). O estudo mostra que a maioria dos acidentes fatais são provocados pela queda de rochas em escavações subterrâneas; assim, no período em estudo, este tipo de acidente representou 29,41% dos eventos. O estudo das características pessoais das vítimas mostra ainda que trabalhadores que desenvolvem funções de perfuração, preparação e instalação de suporte pós-desmonte tanto em frentes de lavra de produção quanto em escavações de desenvolvimento morrem por causa de traumatismos múltiplos e encefalo-cranianos severos. A maioria das vítimas pertencia a empresas mineiras terceirizadas. A partir do estudo das características pessoais das vítimas e utilizando os Métodos de Regressão Logística (MRL), propõe-se um modelo matemático para determinar a chance de se sofrer acidente por queda de rochas, em relação a outros tipos de acidentes. Os resultados mostram que trabalhadores que desempenham a função de ajudante, bem como trabalhadores com experiência de mais de três anos têm menos chance de sofrer acidentes por queda de rochas. Finalmente, foram identificados as causas fundamentais e imediatas dos acidentes estudados. Entre os fatores pessoais e de trabalho destacam-se o excesso de confiança e a supervisão deficiente como sendo as principais causas deste tipo de acidente. O estudo mostra também que o descumprimento de procedimentos operacionais e a presença de rochas soltas nas escavações constituem os principais tipos de atos e condições inseguras, respectivamente. / There are several evidences that developing countries depend on primary industries like mining. In fact about 6% of the Peruvian Gross Domestic Product (GDP) and 50% of exports are provided by mining. As well as in economy, mining has been strongly affecting the statistics concerning the safety in the workplace. Thus, although in recent years there was a decrease in the number of mining accidents in Peruvian mining, the fatality rate is still high compared to other traditional mining countries, especially the developed ones. In Peru, according to official statements, the primary causes of the accidents are attributed to personal and work factors, as well as unsafe conditions and acts. Based on this information, the identification of these causes, aiming the proposal of effective solutions to enhance safety and health management systems in mining becomes a very important issue. This thesis has studied the accidents caused by the fall of rocks in Peruvian underground mines, using as the main source of information about the fatalities occurred in 2007 in medium and large mines. This information was provided by the Oficina de Fiscalización Minera del Organismo Superior de la Inversión en Energía y Minería del Perú (OSINERGMIN), an agency under administration of the Ministry of Energy and Mines of Peru (MEM). The study shows that the majority of fatal accidents are caused by rock falls in underground excavations, and also that rock falls have accounted for 29.41% of all events during the studied period. Studying the personal characteristics of the victims also showed that the main victims are workers when they were developing drilling and preparation and installation of rock support activities in development areas as well as in production and excavations areas. The data showed that the majority died by severe multiple and cranial traumas and most of them were third part workers. From the study of the personal characteristics of victims and using the Methods of Logistic Regression (MLR), this research proposes a mathematical model to determine the chance of suffering an accident by rocks falls compared to other types of accidents. Also, the selected model showed that, from the statistical point of view, the experience in mining is the most representative variable and those workers having most of three years of experience have lower probability to suffer injuries by rock falls. Finally, the root and immediate causes of accidents were identified. Among personal and working factors the overconfidence and lack of supervision were respectively highlighted. The study also showed that non-complying operational procedures and the presence of loose rocks during the excavations are respectively the main types of unsafe acts and conditions.

A dependência de países em vias de desenvolvimento com relação às indústrias primárias como a mineração é evidente. Na economia peruana, aproximadamente, 6% do PIB e mais de 50% das exportações são provenientes desta atividade econômica, destacando sua posição competitiva no cenário mundial. A importância desta atividade aparece, também, quando o assunto em questão é a segurança do trabalho. Assim, embora nos últimos anos tenha-se percebido uma diminuição no número de acidentes na mineração peruana, a taxa de mortalidade ainda é alta quando comparada com outros países de tradição mineira, especialmente os mais desenvolvidos. No Peru, oficialmente, as causas fundamentais para a ocorrência de acidentes são atribuídas aos fatores pessoais e de trabalho, assim como às condições e aos atos inseguros. Nesse contexto, a identificação dessas causas, visando à proposta de soluções efetivas para melhor gerenciar os sistemas de segurança e de saúde na indústria da mineração, é muito importante. Esta tese estuda os acidentes por queda de rochas em minas subterrâneas do Peru. Para tal foi utilizado como fonte de informação primária o registro de acidentes fatais de 2007 em minas de médio e grande porte. Esse registro foi concedido pela Oficina de Fiscalización Minera del Organismo Superior de la Inversión en Energía y Minería del Peru (OSINERGMIN), órgão pertencente ao Ministério de Energía y Minas del Perú (MEM). O estudo mostra que a maioria dos acidentes fatais são provocados pela queda de rochas em escavações subterrâneas; assim, no período em estudo, este tipo de acidente representou 29,41% dos eventos. O estudo das características pessoais das vítimas mostra ainda que trabalhadores que desenvolvem funções de perfuração, preparação e instalação de suporte pós-desmonte tanto em frentes de lavra de produção quanto em escavações de desenvolvimento morrem por causa de traumatismos múltiplos e encefalo-cranianos severos. A maioria das vítimas pertencia a empresas mineiras terceirizadas. A partir do estudo das características pessoais das vítimas e utilizando os Métodos de Regressão Logística (MRL), propõe-se um modelo matemático para determinar a chance de se sofrer acidente por queda de rochas, em relação a outros tipos de acidentes. Os resultados mostram que trabalhadores que desempenham a função de ajudante, bem como trabalhadores com experiência de mais de três anos têm menos chance de sofrer acidentes por queda de rochas. Finalmente, foram identificados as causas fundamentais e imediatas dos acidentes estudados. Entre os fatores pessoais e de trabalho destacam-se o excesso de confiança e a supervisão deficiente como sendo as principais causas deste tipo de acidente. O estudo mostra também que o descumprimento de procedimentos operacionais e a presença de rochas soltas nas escavações constituem os principais tipos de atos e condições inseguras, respectivamente. / There are several evidences that developing countries depend on primary industries like mining. In fact about 6% of the Peruvian Gross Domestic Product (GDP) and 50% of exports are provided by mining. As well as in economy, mining has been strongly affecting the statistics concerning the safety in the workplace. Thus, although in recent years there was a decrease in the number of mining accidents in Peruvian mining, the fatality rate is still high compared to other traditional mining countries, especially the developed ones. In Peru, according to official statements, the primary causes of the accidents are attributed to personal and work factors, as well as unsafe conditions and acts. Based on this information, the identification of these causes, aiming the proposal of effective solutions to enhance safety and health management systems in mining becomes a very important issue. This thesis has studied the accidents caused by the fall of rocks in Peruvian underground mines, using as the main source of information about the fatalities occurred in 2007 in medium and large mines. This information was provided by the Oficina de Fiscalización Minera del Organismo Superior de la Inversión en Energía y Minería del Perú (OSINERGMIN), an agency under administration of the Ministry of Energy and Mines of Peru (MEM). The study shows that the majority of fatal accidents are caused by rock falls in underground excavations, and also that rock falls have accounted for 29.41% of all events during the studied period. Studying the personal characteristics of the victims also showed that the main victims are workers when they were developing drilling and preparation and installation of rock support activities in development areas as well as in production and excavations areas. The data showed that the majority died by severe multiple and cranial traumas and most of them were third part workers. From the study of the personal characteristics of victims and using the Methods of Logistic Regression (MLR), this research proposes a mathematical model to determine the chance of suffering an accident by rocks falls compared to other types of accidents. Also, the selected model showed that, from the statistical point of view, the experience in mining is the most representative variable and those workers having most of three years of experience have lower probability to suffer injuries by rock falls. Finally, the root and immediate causes of accidents were identified. Among personal and working factors the overconfidence and lack of supervision were respectively highlighted. The study also showed that non-complying operational procedures and the presence of loose rocks during the excavations are respectively the main types of unsafe acts and conditions.

In environmental impact assessment (EIA), accident risk should be considered as one impact. However, few studies have compared assessed risk levels with documented accidents. There is thus a need for assessing accuracy of risk assessment methodologies. The aim of this study was to develop and examine a risk assessment guideline based on environmental assessment. The guideline examination was carried out along the railway and the road between Kiruna and Narvik, Northern Scandinavia. The examined hazards were avalanches, debris flows, rock falls, slush flows, torrents, moose and reindeer. Documented accidents were quantified into an accident level. For each hazard type, six sections/sites were assessed. The propensities of these hazards were analysed through environmental assessments, especially by utilising geomorphology. Then, the accident densities along the sections/sites were compared with assessed accident phase indices describing risk and hazard in both spatial and temporal dimensions. The average uncertainty factors for both the risk and the hazard indices were about 5. This implies a fairly good precision. Risk and hazard indices were also rated and compared to the accident density rates. Thereafter, railway and road information was split up as different proposal alternatives in an EIA context. The total risk for each proposal was compared with the total accident density. The risk assessment guideline proved to be cost-efficient, rapid and relatively reliable in comparing accident risk.

In environmental impact assessment (EIA), accident risk should be considered as one impact. However, few studies have compared assessed risk levels with documented accidents. There is thus a need for assessing accuracy of risk assessment methodologies. The aim of this study was to develop and examine a risk assessment guideline based on environmental assessment. The guideline examination was carried out along the railway and the road between Kiruna and Narvik, Northern Scandinavia. The examined hazards were avalanches, debris flows, rock falls, slush flows, torrents, moose and reindeer. Documented accidents were quantified into an accident level. For each hazard type, six sections/sites were assessed. The propensities of these hazards were analysed through environmental assessments, especially by utilising geomorphology. Then, the accident densities along the sections/sites were compared with assessed accident phase indices describing risk and hazard in both spatial and temporal dimensions. The average uncertainty factors for both the risk and the hazard indices were about 5. This implies a fairly good precision. Risk and hazard indices were also rated and compared to the accident density rates. Thereafter, railway and road information was split up as different proposal alternatives in an EIA context. The total risk for each proposal was compared with the total accident density. The risk assessment guideline proved to be cost-efficient, rapid and relatively reliable in comparing accident risk.