International Journal of Rock Mechanics and Mining Sciences 36 (1999) 743760

www.elsevier.com/locate/ijrmms

Modications to the geological strength index (GSI) and their

applicability to stability of slopes
H. Sonmez, R. Ulusay*
Geological Engineering Department, Applied Geology Division, Faculty of Engineering, Hacettepe University, 06532 Beytepe, Ankara, Turkey
Accepted 10 May 1999

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 HoekBrown failure criterion. Since its introduction in 1980,
the criterion has been rened 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 classication 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 modications are suggested by introducing easily measurable parameters with their ratings and/or intervals
which dene the blockiness and surface condition of discontinuities. In addition, a method is proposed to assess the inuence of
disturbance on rock mass constants due to the method of excavation. The modications 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
conrmed, i.e. the analysed failure surfaces satised factors of safety of unity, when the suggested modications 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 classication and the criterion seemed to be
applied to such materials. The method suggested herein must, however, be veried by additional data from slope failures before
more precise guidelines can be formulated. # 1999 Elsevier Science Ltd. All rights reserved.

1. Introduction
The standard method for assessing the strength of a
geotechnical material is to recover representative
samples and test them in the laboratory. In the case of
a closely jointed rock mass it is clearly not possible to
recover a sample that is large enough to represent the
joint system. In order to overcome the diculties in
laboratory determination of the shear strength of
jointed rock masses, the empirical HoekBrown failure
* Corresponding author. Tel.:+90-29-777-62.
E-mail address: resat@hacettepe.edu.tr (R. Ulusay)

criterion [1] is commonly used in conjunction with the

Geomechanics Classication System [2].
This failure criterion has been rened and expanded
over the years [37] as summarized in Table 1. The
limitations in Bieniawski's RMR classication scheme
[2] for very poor quality rock masses and for unrealistic rating adjustments for discontinuity orientation in
slopes have necessitated some signicant changes in
the criterion. This is probably one of the main reasons
why the originators of the technique continue modifying their criterion. Recently, Hoek and Brown [69]
proposed the geological strength index (GSI) based
upon the visual impression on the rock mass structure.
Fig. 1 shows twenty codes to identify each rock mass

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

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H. Sonmez, R. Ulusay / International Journal of Rock Mechanics and Mining Sciences 36 (1999) 743760

Fig. 1. Characterization of rock masses on the basis of interlocking and surface condition of discontinuities: GSI classication (rearranged from
Tables 3 and 4 given by Hoek and Brown [8]).

category and estimate the GSI value. It is also noted,

on the basis of their recent studies on the Athens
schist, Hoek et al. [9] introduced a new rock mass category into the GSI system called `foliated/laminated
rock mass structure'. This new category accommodates
thinly foliated, folded and predominantly sheared
weak rocks of non-blocky structure. The equivalent
GSI contours range from a new value of 5 up to 30 in
the lower right portion of the disintegrated rock mass
category.
The latest version of the GSI chart [8] (Fig. 1) is sufcient for eld observations, since it is only necessary
to note the letter code which identies the rock mass
category. The GSI also seems a more practical parameter to estimate the strength of jointed rock masses

from eld observations when compared to the method

employing rock mass classication. Because rock mass
classication requires time consuming procedures and
has some limitations as discussed by Sonmez et al. [10]
in detail. However, due to lack of measurable and
more representative parameters, and related interval
limits or ratings for describing the surface conditions
of the discontinuities, value of the GSI for each rock
mass category appearing in Fig. 1 represents a range
of values. For example, for a blocky rock with very
good surface condition of discontinuity (B/VG), GSI
values varying between 63 and 85 are obtained from
Fig. 1. This consideration placed focus on the question
``how can a more precise GSI value be obtained from
the existing chart for design?''. Hoek [11] indicates that

H. Sonmez, R. Ulusay / International Journal of Rock Mechanics and Mining Sciences 36 (1999) 743760

745

Table 1
Historical development of the HoekBrown criterion (rearranged from Hoek and Brown [8])
Publication

Coverage

Hoek and Brown

[1]

original criterion for heavily jointed rock masses with no nes; Mohr
envelope was obtained by statistical curve tting to a number of (sn '
t ) pairs calculated by the method published by Balmer [28]. s1 ', s3 '
are major and minor eective principal stresses at failure,
respectively; s1 is the tensile strength of the rock mass, m and s are
material constants; sn ', t are eective normal and shear stresses,
respectively
original criterion for heavily jointed rock masses with no nes with a
discussion on anisotropic failure and solution for the Mohr envelope
by Dr. J.W. Bray

Hoek [3]

Equations

Hoek and Brown

[4]

as for Hoek [3] but with the addition of relationships between

constants m and s and a modied form of RMR (Beniawski) [2] in
which the groundwater rating was assigned a xed value of 10 and
the adjustment for joint orientation was set at 0; also a distinction
between disturbed and undisturbed rock masses was introduced
together with means of estimating deformation modulus E

Hoek et al. [5]

modied criterion for account for the fact the heavily jointed rock
masses have zero tensile strength; Balmers technique for calculating
shear and normal stress pairs was utilised

Hoek [6] and

Hoek et al. [7]

introduction of the generalised HoekBrown criterion, incorporating

both the original criteiron for fair to very poor quality rock masses
and the modied criterion for very poor quality rock masses with
increasing nes content; The geological strength index, GSI, was
introduced to overcome the deciencies in Bieniawski's RMR for
very poor quality rock masses; the distinction between disturbed and
undisturbed rock masses was dropped on the basis that disturbance
is generally induced by engineering activities and should be allowed
for by downgrading the value of GSI
as for Hoek [6] and Hoek et al. [7], but with the addition of a chart
to estimate GSI based upon the visual impression of the rock
structure and the surface condition of the discontinuities indicated
by joint roughness and weathering
as for Hoek and Brown [8], with the addition of a new `foliated/
laminated' rock mass structure category to accommodate thinly
laminated or foliated, folded and predominantly sheared weak rocks
of non-blocky structure

Hoek and Brown

[8]
Hoek et al. [9]

although some geologists go to extraordinary lengths

to try to determine an `exact' value of GSI or RMR,
geology does not lend itself to such a precision and it
is simply not realistic to assign a single value. He also
states that for preliminary eld investigations or lowbudget projects, it may be prudent to assume larger
standard deviations for the input parameters (uniaxial
compressive strength of the intact rock, intact rock
material constants and GSI) and they can be represented by normal distribution. Although its originators have always pointed out the criterion's
approximate nature, it seems questionable to obtain a
mean value represented by a normal distribution from
the existing form of the GSI chart. It is also considered that it is possible to estimate dierent GSI

p
ms30 =sci s;
s1
s10 s30 sp
ci
t Asci sn0
sci =2m m2 4s;
st =sci B ;
0
sn0 sp
s10 s30 =1 @ s10 =@ s30 ;
t sn0
3
@ s10 =@ s30 msci =2s10 s30
s30 @ s10 @ s30 ;
p
s10 s30 sci ms30 =sci s;
tp
cot fi0
0
0
2
cos fi msci =8;
f
arctan1= 4hcos y 1;
pi
y 90 arctan1= h3
1=3;
h 1 16msn0 ssci =3m2 sci
disturbed rock masses:
mb/mi=exp((RMR100)/14);
s = exp((RMR100)/6); undisturbed or
interlocking rock masses:
mb/mi=exp((RMR100)/28);
s = exp((RMR100)/9); E = 10((RMR10)/40);
mb, mi are for broken and intact rock, respectively
s10 s30 sci mb s30 =sci a ;
sn0 s30 s10
0

;
s30 =1 @ s10 =@ps
3

t sn0 s30 @ s10 =@ s30 ;

@ s10
a1
a
0
1 amb s3 =sci
s1 '=s 3 '+sc (ms3 '/sci+s )a;
for GSI>25;
mb/mi=exp((GSI100)/28);
s = exp((GSI100)/9); a=0.5; for GSI < 25;
s = 0; a=0.65GSI/200

as for Hoek [6]

as for Hoek [6]

values for the same rock mass by dierent persons,

depending on their personal experience, when the chart
given in Fig. 1 is employed.
From the review of the criterion, it is clear that the
continuous update of the HoekBrown failure criterion has not been complemented by equal eorts to
verify the same. Furthermore, the data supporting of
these revisions have not been published, making it difcult to judge their validity. One important issue is use
of the undisturbed and disturbed rock mass categories
when determining the parameters in the criterion for
which clear guidelines are lacking. Any disturbance on
the rock mass due to some local factors (e.g. blasting,
the presence of discrete fault zones, etc.) should be
considered and, therefore, an adjustment should be

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H. Sonmez, R. Ulusay / International Journal of Rock Mechanics and Mining Sciences 36 (1999) 743760

applied to RMR values [2]. Although the rock mass

classication schemes and the HoekBrown criterion
have been generally applied in tunnelling and underground mining, the back analyses of slope failures in
heavily jointed rock masses, by assuming disturbed
rock mass conditions showed good agreement between
the estimated and the back-calculated strength parameters 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
to estimate the GSI without application of any adjustment. Hoek and Brown [8] indicated that one of the
practical problems which arose when assessing the
value of GSI in the eld was related to blast damage.
According to these investigators, where all the visible
faces have been damaged by blasting, some attempt
should be made to compensate for the lower values of
GSI obtained from such faces. Also, in recently blasted
faces, new discontinuity surfaces occurring due to
blasting will give a GSI value which may be as much
as 10 points lower than that for the undisturbed rock
mass. Therefore, Hoek and Brown [8] suggest that
severe blast damage can be allowed for by moving up
one row in Fig. 1. This approach may be correct for
the estimation of GSI from blasted rock exposures
during excavation. However, moving the GSI value up
one row seems to be a rough approach and also results
in an increase in uniaxial compressive strength of the
rock mass by more than 70%. Therefore, the reason of
this assumption is still open to discussion. On the
other hand, method of excavation, major planes of
weakness or change in stress are treated as local features which have inuenced the rock mass at a particular location, and are not rock mass constants [1214].
Therefore, in order to compensate the inuence of
such local factors, necessary adjustments should be
taken into consideration. An additional practical question arising from the latest version of the Hoek and
Brown's approach is ``how can the inuence of the
method of excavation can be taken into account by
using the existing HoekBrown's equations which consider only undisturbed rock mass, when the GSI is
estimated from borehole cores or natural exposures
before excavation or blasting?''. It is also noted that
there is no any published case history on the back
analysis of slopes in heavily jointed rock masses which
conrms that the latest GSI classication yields satisfactory results when an adjustment factor is not taken
into consideration.
This paper is an attempt to provide a more quantitative numerical basis for evaluating GSI by introducing new parameters, and ratings, such as surface
condition and structure rating. For meaningful interpretation and for providing a common basis for
communication between engineers and designers, standard interval limits and ratings for the input par-

ameters are suggested. In addition, a method is

proposed to assess the inuence of disturbance. The
modications and the suggested method have been
applied to slope instability case histories from Turkey
to discuss the validity of the criterion and the methodology of parameter estimation.

2. Suggested modications for estimating GSI values

Once the GSI has been estimated, the parameters
which describe the rock mass strength characteristics,
are calculated as follows:


GSI 100
1
mb mi exp
28
For GSI>25, i.e. rock masses of good to reasonable
quality,


GSI 100
2
s exp
9
and
a 0:5

For GSI < 25, i.e. rock masses of very poor quality,
the criterion applies with
s0
a 0:65

4
GSI
200

From the above equations it is clear that the rock

mass strength parameters are sensitive to the GSI
value. The lack of parameters to describe surface conditions of the discontinuities and the rock mass structure prevents to obtain a more precise value of GSI.
For these reasons, the authors suggest two terms
namely, `structure rating, SR' based on volumetric
joint count (Jv) and `surface condition rating, SCR',
estimated from the input parameters (e.g. roughness,
weathering and inlling).
The suggested ratings by the RMR system [2] for
these parameters are selected for the purpose.
According to the rating of each input parameter (Rr,
Rw and Rf ) estimated from the right upper margin of
the table given in Fig. 2, the total rating for surface
conditions (SCR) is obtained using the following expression:
SCR Rr Rw Rf

where Rr, Rw and Rf denote the ratings for roughness,

weathering and inlling, respectively. Since the sum of

H. Sonmez, R. Ulusay / International Journal of Rock Mechanics and Mining Sciences 36 (1999) 743760

747

Fig. 2. The modied GSI classication suggested in this study.

the maximum ratings of these parameters is 18, the

SCR axis in Fig. 2 is divided into 18 equal divisions.
In the earlier version of the criterion (Fig. 1), Hoek
et al. [7] used the terms BLOCKY/SEAMY and
CRUSHED, following the terminology proposed by
Terzaghi [16]. After they recognized that these terms
proved to be misleading, they have been replaced, by
BLOCKY/DISTURBED and DISINTEGRATED.

The authors agree with this change. On the other

hand, Hoek et al. [9] proposed a new rock mass category to accommodate thinly foliated or laminated,
folded and predominantly sheared weak rocks of nonblocky structure. However, Hoek [6] emphasizes that
the criterion is only applicable to intact rock or to
heavily jointed rock masses which can be considered
homogenous and isotropic. On the contrary, the

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H. Sonmez, R. Ulusay / International Journal of Rock Mechanics and Mining Sciences 36 (1999) 743760

strength and deformability characteristics of such rock

masses are governed by the displacements along the
numerous very thinly spaced presheared and slickensided foliation planes. Due to anisotropic and inhomogenous features of such rocks, introducing of this
new category into the GSI scheme seems not to be realistic. The other questionable issue is that the validity
of the GSI values assigned for this new category has
not been conrmed yet by case studies. Therefore, only
four structural categories as previously suggested by
Hoek and Brown [8] are considered in this study.
Block size is an extremely important indicator of a
rock mass. Large blocks tend to be less deformable
and develop favourable arching and interlocking in
underground openings. In the case of slopes, a small
block size may cause rotational slides instead of structurally controlled modes of failure. Block dimensions
are determined by three rock mass parameters, namely
discontinuity spacing, the number of discontinuity sets
and the persistence of the discontinuities delineating
potential blocks. However, in order to decrease the
number of inputs, the use of a single parameter which
can take into account one or two of the above mentioned parameters was considered to be more practical.
Thus, volumetric joint count (Jv), which is dened as
the sum of the number of joints per meter for each
joint set present, is suggested to be used for the
description of structure of the rock mass. Jv is estimated by one of the following expressions:
Jv

N1 N2
Nn

...
L1
L2
Ln

7a

Jv

1
1
1

...
S1 S2
Sn

7b

where S is the true spacing, N is the number of joints

along a scanline, L is the length of the scanline and n
is the number of joint sets.
On the other hand, estimation of Jv for heavily
jointed rock masses with no identiable structural pattern is extraordinarily dicult. Since the discontinuities
in such rock masses do not introduce considerable
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
to be used for the determination of Jv. Instead of
these, the authors suggest the following approach
which is more practical in the estimation of the number of discontinuities in a rock mass with a volume of
1 m 3.
Jv

Nx Ny Nz


Lx
Ly
Lz

7c

where Nx, Ny and Nz are the number of discontinuities

counted along the scanlines (Lx, Ly and Lz ) perpendicular to each other. However, in some cases it can
be dicult to nd exposures along which three scanline surveys in perpendicular directions can be carried
out. In such circumstances, by assuming the rock mass
is homogeneous (i.e. the terms appearing in Eq. (7c)
are equal to each other), Eq. (7c) can be rewritten in
the following form.

Jv

N
L

3
7d

The intervals of Jv and related descriptions

suggested by ISRM [15] were adopted for the blockiness categories to be used in the GSI classication
(Table 2). Based on the intervals of Jv and corresponding descriptions for the blockiness ratings, structural
rating (SR) was assigned to each category by the following procedure.
1. Using a semi-logarithmic sheet, SR and Jv are put
on y and x axes, respectively.
2. While the SR axis is divided into the ratings ranging
from 0 to 100, logarithmic Jv axis is divided according to the boundaries suggested for four structural
categories as described in Table 2. The upper limit
on the Jv axis is selected as 104 to consider pebble
size.
3. Since the boundaries between the structural categories in the existing GSI table are equally divided
(Fig. 1), the SR limits between the codes B-VB, VBB/D and B/D-D are selected as 75, 50 and 25, respectively.
4. By plotting the Jv values for each category as
suggested in Table 2 against the boundary values of
SR mentioned in item (c), the curve shown in the
left margin of Fig. 2 is obtained. This curve can be
used to assign a rating for SR of any rock mass
using the value of Jv.
It is now possible to estimate a more precise GSI
value from the intersection point of SCR and SR ratings when the modied GSI chart (Fig. 2) is used.
Table 2
Descriptive terms corresponding block size and intervals of Jv
suggested by ISRM [15] and by the authors of this study
Descriptions by ISRM Jv (joint/m3) Descriptions for GSI (this study)
Very large blocks
Large blocks
Medium sized blocks
Small blocks
Very small blocks
Crushed

<1
13
310
1030
3060
>60

BLOCKY (B)
BLOCKY (B)
VERY BLOCKY (VB)
BLOCKY/DISTURBED (B/D)
DISINTIGRATED (D)
DISINTIGRATED (D)

H. Sonmez, R. Ulusay / International Journal of Rock Mechanics and Mining Sciences 36 (1999) 743760

3. Validity of the HoekBrown estimates of rock mass

and their impact on the assessment of stability of slopes
3.1. Theoretical background of the suggested
methodology for the assessment of disturbance eect
Some factors, such as method of excavation, major
planes of weakness or change in stress, are treated as
local features inuencing the rock mass at a particular
location and are not rock mass constants. These have
been discussed by Laubscher [12], Romana [13] and
Kendorski et al. [14]. The greatest inuence of the
method of excavation will be on the spacing of discontinuities. Depending on the blasting damage, blasted
slopes may have closer discontinuity spacing than
natural slopes. Therefore, in order to compensate the
inuence of such local factors, necessary adjustments
[2,1214] are taken into consideration in rock mass
classication. Sonmez et al. [10] showed that by assuming an adjustment factor based on the method of excavation (disturbed rock mass), a good agreement was
found between the estimated and the back-calculated
strengths from the observed slope failures and, therefore, eect of disturbance should be taken into consideration.
In order to check the validity of the equations used
for the rock mass constants and to assess the eect of
disturbance, four approaches with the use of modied
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
rock masses where joint spacing is a fraction of a
meter and one is from the failures occurred in spoil
piles in Turkey. The authors suggest that spoil piles
composed of rock materials possess the behaviour of
poorly interlocked, heavily broken rock masses with a
mixture of angular and rounded rock pieces and,
therefore, can be considered in disintegrated rock mass
category. On the basis of this assumption, a spoil pile
failure was also examined in this study.
The back analysis procedure starts with the determination of the GSI value of the rock mass investigated
in each case from the modied chart (Fig. 2) according
to the suggested input parameters. Then the following
approaches are employed in order to check the validity
of the equations:
. Approach 1: the shear strength parameters of the
failed rock masses are estimated using the original
expressions given by Eqs. (15) without application
of any adjustment for the method of excavation, i.e.
undisturbed rock mass condition is assumed. These
parameters are then used in the back analyses for
the calculation of factor of safety.
. Approach 2: a disturbance (adjustment) factor of
(df ) depending on the method of excavation [12,14]

749

is assigned in each case and multiplied by the GSI

value appearing in the denominator of Eqs.(1), (2)
and (5). The parameters determined in this way are
then employed in the back analyses.
. Approach 3: a disturbance factor (df ) is assigned in
each case and multiplied by the numbers appearing
in the numerator (28 and 9) of Eqs. (1) and (2) for
the estimation of the rock mass parameters, mb and
s.
. Approach 4: in the previous form of the criterion
the numbers appearing in the denominator of the
equations are 28 and 14 for mb, and 6 and 9 for s
for undisturbed and disturbed rock mass conditions,
respectively (Table 1). In other words, it seems to be
logical to conclude that the denominator of these
equations vary between 14 and 28, and 6 and 9
depending on the degree of disturbance. Based on
this fact, Eqs. (1) and (2) can be rewritten in the following forms:


GSI 100
mb mi exp
bm


s exp

GSI 100
bs


bm 14 28


bs 6 9

In approach 4, ve dierent values are assigned to

bm (starting from 28 to 14) and to bs (starting from 9
to 6) and then the value of factor of safety (FOS) corresponding to the pairs of bm and bs for each particular case history is calculated. The results of the
analyses are presented in the form of FOSbm and
FOSbs curves. From these curves, bm and bs values
which lead a value of factor of safety of unity are
obtained for each case as depicted in Fig. 4(a). The
values of bm and bs from the curves are then plotted
against corresponding disturbance factors (df ) to establish a relationship between bm, bs and df (Fig. 4b), and
to check the validity of the HoekBrown estimates.
3.2. Software description
In this study, a computer program, HOBRSLP
developed and described by Sonmez et al. [10] was
employed. The program HOBRSLP was modied for
this study to include the approaches described above.
It can handle slope stability analysis of circular and
non-circular slip surfaces for slopes involving many
benches with dierent geometries, various materials
and dierent groundwater conditions. It also incorporates external loading conditions.

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.

750
H. Sonmez, R. Ulusay / International Journal of Rock Mechanics and Mining Sciences 36 (1999) 743760

H. Sonmez, R. Ulusay / International Journal of Rock Mechanics and Mining Sciences 36 (1999) 743760

751

Fig. 5. The model with the parameters for the slope under the inuence of a symmetrical vertical triangular spoil loading in the back
analysis of the failed slope in case 1.

Fig. 4. Basic concept of approach 4 to check the validity of the

HoekBrown equations.

3.3. Description of the rock mass conditions and the

examined slope instabilities
3.3.1. Case 1: an externally loaded highwall slope
failure
This case history involves the instability of a highwall in Eskihisar (Yatagan-Mugla) strip coal mine in
southwestern Turkey. During a comprehensive slope
stability research project by Ulusay [17], an instability
of the southern part of the highwall of the ninth slice
has occurred due to external loads by a temporary
spoil pile (Fig. 3a).
The failed slope was excavated in marl which lies
above the coal seam with a thickness of 1520 m.

There are highly persistent (about 8 m) three dominant

joint sets developed parallel and/or subparallel to normal faults crossing the Tertiary deposits. The presence
of cross joints, faults and at lying bedding planes
results in a closely jointed rock mass. The groundwater
level rises above the coal seam and tends to decline
toward the marlcoal seam boundary. Thus, the failed
part of the investigated slope was dry.
The structure rating (SR) and surface condition rating (SCR) were estimated from the scanline survey
data obtained by Ulusay [17] (Table 3). In this pit a
controlled blasting is carried out with slight damage to
loosen the marly overburden. For this condition, a
blasting damage adjustment of 0.94 [14] was assigned.
The average uniaxial compressive strength and mi of
the intact marl specimens were 4.15 MPa and 9.87, respectively [17]. Based on available monitoring records
by Ulusay [17] the model depicted in Fig. 5 for the
slope under the inuence of a symmetrical vertical triangular spoil loading, and the failure surfaces illustrated in Fig. 6 were used in the analyses. Average
values of unit weight of 13 and 16 kN/m3 were utilized
for the spoil material (in-situ) and the marls, respectively. It was reported by Ulusay [17] and Sonmez et al.
[10] that the back analyses, using the previous form of
the HoekBrown estimates [4], which includes the
RMR scheme, conrmed these failure surfaces.
3.3.2. Case 2: slope failure in a closely jointed rock
mass at a barite open pit mine
A comprehensive slope stability project was carried
out at Baskoyak barite open pit mine, in western
Anatolia between 1987 and 1988 by Ulusay and Yucel
[18]. Based on the scanline surveys and a geotechnical
borehole, it was reported that the schist should be
regarded as comprising two types of rock mass [18].
The rst type consists of a heavily broken schist rock
mass by closely spaced discontinuities and schistosity
planes (Fig. 3b) and the second type is a weathered
schist in dierent degrees. Due to the heavily jointed

smooth surfaces, (1),

slightly to moderately weathered (4),
soft coating < 5 mm (2)
1773
4
7
26
0.80
slickensided surfaces (0),
moderately weathered (3),
soft coating < 5 mm (2)
13.3
35
5
27.5
0.97

S1=0.37, S2=0.65, Sb=0.11

True spacing (S1, S2, S3 for joints, Sb for bedding planes).

Estimated by method of photoanalysis along x, y and z axes.
b
GSI determined from the modied chart in Fig. 2.
d
Adjustment factor for disturbance eect.
c

Condition of
discontinuities
and ratings
Jv
SR
SCR
GSIb
df d

smooth to slickensided surfaces (1),

highly weathered (1),
soft coating < 5 mm (2)
15635
0
4
16
0.97

S1=0.75, S2=1.07,
S3=0.13, Sb=0.4
smooth surfaces, (1),
slightly weathered (5),
soft coating < 5 mm (2)
12.5
42
8
37
0.90
S1=0.71, S2=0.82,
S3=1.26, Sb=0.65
smooth surfaces (1),
slightly weathered (5),
soft coating < 5 mm (2)
6.14
63
8
43
0.94
Spacinga (m)

Sx,y,z=0.04

Case 4
Case 3
Case 2
Case 1
Parameters

nature of the schist, the rock mass was assumed as

homogeneous and isotropic with a joint spacing of
0.04 m in all directions and, therefore, Jv of the rock
mass was estimated by using Eq. (7d). The mean unit
weight and uniaxial compressive strength of the heavily broken part of the schist are 22.2 kN/m3 and 5.2
MPa, respectively. The rock mass properties are tabulated in Table 3. No sign of groundwater was encountered through the geotechnical and previously drilled
boreholes and on the pit benches. Thus, the pit slopes
was considered as dry for stability assessments. Since
the overburden material and the ore are removed by
excavators without any blasting, an adjustment factor
of 0.97 [14] was considered. One of three failures
which occurred in closely jointed rock mass along a

Table 3
The parameters employed in the GSI classication for ve cases considered in this study

Fig. 6. Slope proles, and the predicted and calculated failure surfaces employed in the back analysis of the externally loaded highwall
slope in case 1.

Sx=0.085c, Sy=0.081, Sz=0.083

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Case 5

752

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753

strength of 40 MPa and mi of 9.04 has a carbonate

content more than its clay content. The observed
actual slip surface was in circular shape and passed
through the compact marl rock mass and along the
clay bed, above the coal seem. Bedding planes dip into
opposite direction of the slope. Three main joint sets
moderately and closely spaced, and bedding planes in
the marly sequence resulted in a jointed rock mass.
The rock mass characteristics and the geomechanical
parameters of the clay are listed in Table 3.
Fig. 7. Slope geometries before and after the failure, and critical slip
surface in closely jointed schist rock mass (case 2).

circular surface was selected for this study. The results

of the back analysis [18,10] indicated that the calculated sliding surface conrms the actual failure surface
delineated from the site measurements (Fig. 7).
3.3.3. Case 3: a slope instability in a coal mine at
western Turkey
A slope instability from the Kisrakdere open pit
mine located at Soma lignite basin, western Turkey,
was selected for the purpose of this study (Fig. 3c).
The necessary data were collected by the authors from
this pit. Fig. 8 shows the geometry of the failed slope
in which a single thin coal seam with a thickness of 4.5
m is overlain by a sequence consisting of compact
marl and soft clay beds about 10 m thick. The observations on the slope surfaces and available records
indicated that the groundwater was below the failed
marly rock mass, and the coal seam acted as an aquifer. The marly rock with a uniaxial compressive

Fig. 8. Cross-section illustrating the geometry of the failed slope and

the position of the strata (case 3).

3.3.4. Case 4: a bench failure in a coal mine

Himmetoglu open pit coal mine, operated by the
Turkish Coal Enterprises (TKI), is located in northwest Anatolia and produces low caloric value of coal.
A local bench failure occurred in 1998 in the eastern
slope, excavated in heavily jointed marly rock mass, as
a result of steepening of the slope (Fig. 3d). On the
basis of the scanline surveys [19], the parameters of
discontinuities given in Table 3 were obtained and a
GSI value of 27.5 for the rock mass was determined.
Detailed instability plan and cross-section of the
failed bench are shown in Fig. 9. The visible part of
the failure surface was in circular form. Detailed
hydrogeological investigations [19] indicated that the
slope was dry. Since the overburden material was
removed by excavators without blasting, an adjustment
factor of 0.97 was considered in this case. The back
analysis of the failure surface (surface 1 in Fig. 9)
showed that circular failure did not appear as a realistic mechanism for this instability with a factor of
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 bedding 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 performed. 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 failure surface clearly appeared and conrmed the surface
labeled 2 in Fig. 9 as the real failure surface.
Therefore, the parameters given in Table 3 and the
predicted mode of failure were employed in this study
for further assessments.

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H. Sonmez, R. Ulusay / International Journal of Rock Mechanics and Mining Sciences 36 (1999) 743760

Fig. 9. Plan of the shallow-seated bench failure in a heavily jointed

rock mass (a) and cross-section of the stability (b) deduced from surveying (case 4).

3.3.5. Case 5: spoil pile instability in a strip coal mine

Spoil piles in the Eskihisar mine, suer from numerous problems. Engineering geological characterization
of the waste material and stability of the piles in this
mine were investigated by Ulusay et al. [2123], who
reported deep-seated rotational instabilities covering
agricultural areas, shallow-seated rotational failures
both sides of the haul road and bi-planar wedge failures along the operating slices. The authors of the present article consider that spoil pile materials can be
dened as poorly interlocked and heavily broken rock

masses with a mixture of angular and rounded rock

pieces, unless they do not contain high proportion of
nes as a result of hauling, dumping and subsequent
deformation. This approach indicates that the categorization of spoil piles mainly consisting of rock material
as an disintegrated rock mass and the use of the
HoekBrown criterion to estimate the shear strength
parameters of such materials seems to be logical.
Therefore, a selected spoil instability from the
Eskihisar mine was also employed for this investigation. For this purpose, an instability occurred along
the haul road (Fig. 3e) was backanalysed. The spoil
pile consisted of marly rock. The cross-sections prepared from the instability plan by Ulusay et al. [21,22]
revealed that the failure did not involve the foundation
material. The curvature of the exposed sliding surface
and slightly curved escarpments in plan conrmed a
rotational type of failure has occurred (Fig. 10). No
water table or seepage was encountered in the pile. Inplace unit weight determination indicated a mean
value of 14 kN/m3 for the spoil material [21].
The main question in the case of spoil materials is
``how can the structural rating in conjunction with Jv
be estimated?''. It was considered that determination
of the grain size distribution of the fragments in the
spoil, (i.e. measurement of the distance between the
boundaries of the rock fragments along the selected
directions and calculation of the average value), can be
used as a practical and economic method to estimate
Jv. Although sieving the excavated or blasted rock
through screens is the most direct method to determine
rock fragmentation, the cost of this method is high.
Photoanalysis is one of the more recent and well established methods [2426]. In this study the method of
photoanalysis has been employed.
A test site near the investigated spoil pile was
selected for the fragmentation analysis. Using a shovel
truck, a small sized pile was dumped and photographs
of this pile from its two sides were taken by a 35 mm
camera. Since there were no established gures in the
literature on the minimum number of photographs
that were needed to accurately sample a given volume
of rock fragments, analysis of two randomly selected
photographs was considered to be sucient for the
purpose of this study. Attention was paid to keep the
camera perpendicular to the surface of which photograph was taken. In each photograph a scaling object
(a circular plate) and a reference area (a wooden
mesh) were used (Fig. 11). Outlines of the rock fragments were then digitized into the computer. Along
the x and y axis (Fig. 11), all fragments larger than approximately 2 cm were automatically dimensioned. In
order to measure the dimensions along the third axis
(z ), the same process was applied on the photograph
taken in perpendicular direction to the previous one.
The information obtained was used in the statistical

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755

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]).

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H. Sonmez, R. Ulusay / International Journal of Rock Mechanics and Mining Sciences 36 (1999) 743760

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 indicate the average values for three sections
df b
Case No.

Case 1:
Section
Section
Section
Case 2:
Case 3:
Case 4:
Case 5:
Section
Section
Section
Section
b
a

1-1'/1
1-1'/2
2-2'

1-1'
2-2'
3-3'
4-4'

Calculated factor of safety (FOS)

approach 1

0.94

0.97
0.90
0.97
0.80

approach 2

approach 4: at limiting equilibrium conditiona

approach 3

bm

bs

1.48
1.48
1.45
1.70
1.41
1.32

1.44
1.43
1.40
1.62
1.34
1.23

1.42
1.41
1.39
1.59
1.28
1.19

18.9 (18.55)
18.2 (18.55)
18.55 (18.55)
20.28
17.15
20.3

7.05 (6.98)
6.90 (6.98)
6.98 (6.98)
7.34
6.68
7.35

2.71
2.64
2.64
2.69

1.93
1.80
1.84
1.84

2.10
2.03
2.04
2.07

14
14
14

6
6
6

Adjustment factor for disturbance eect.

Obtained from Fig. 12.

analyses. By putting the mean fragment sizes of 0.085,

0.081 and 0.083 m calculated for x, y and z axes, respectively, into Eq. (7c), a Jv value of 1773 which represents a disintegrated rock with a very low structure
rating of 4 was obtained. A surface condition rating of
7 and a GSI value of 26 were estimated.
3.4. Back analysis of the selected slope instabilities
The results obtained from the back analysis of these
slope failures are evaluated by following the steps summarized below.
. Step 1: using the GSI value for each case (Table 3),
the HoekBrown constants were calculated from the
original equations (Eqs.(1), (2) and (5)) which do
not consider the disturbance eect or an adjustment
factor. The factors of safety, based on these parameters tabulated in the rst column of Table 4, are
considerably greater than unity and indicate that
failure can not occur through these slopes. This situation focuses the attention on the fact that the negligence of an adjustment factor (df ) yields unrealistic
assessments for stability of slopes, and therefore, a
modication based on df value seems to be necessary for HoekBrown equations.
. Step 2: using the same model, the analyses including
an adjustment factor for each case (Table 3) were
performed. However, in this step, the adjustment
factor was multiplied by the GSI value to consider
the disturbance eect on the rock mass, as applied
in the RMR scheme. Thus, Eqs.(1), (2) and (5) were
rewritten in the following forms:

mb mi

s exp

GSI  df 100
exp
28
GSI  df 100
9

a 0:65

GSI  df
200


10a


10b

10c

The results of the back analysis of the failed slopes

yielded factors of safety considerably greater than
unity suggesting that the slopes were stable (Table
4). This approach indicated that the above modication did not satisfy the failure condition.
. Step 3: in this step, the eect of disturbance was
assigned onto the numbers appearing in the numerators of the Eqs. (1) and (2) as follows:


GSI 100
11a
mb mi exp
28  df


GSI 100
s exp
9  df


11b

The results of the analysis indicated that the values

of the factor of safety calculated for each case
(Table 4) were still greater than unity.
. Step 4: in this step, considering the results obtained
from step 3, ve dierent values were assigned to bm
and bs in Eqs. (8) and (9), ranging between 14 and
28, 6 and 9, respectively. Then the values of factor
of safety corresponding to selected values of bm and
bs for each particular case were calculated to esti-

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757

Fig. 11. A view from the spoil material taken for image processing, and the scaling factor (case 5).

mate the pairs of bmbs satisfying the limit equilibrium condition. Since the disintegrated material
forming the spoil piles were the mixture of excavated, blasted, hauled and dumped overburden, a
lower bound adjustment factor of 0.8 was assigned
for this material. Besides, the values of 14 and 6,
which were suggested as the lower bounds in the
original HoekBrown equations [4], were employed.
Therefore, for dierent values of bm and bs for the
spoil pile instabilities mentioned in case 5 the trial
and error method was not used. The back analysis
of these instabilities yielded values of factor of safety
equal to unity, indicating that the suggested
approach seemed to be satisfactory.
The results of the back analysis are presented in
FOSbm and FOSbs forms (Fig. 12) to obtain the
pairs of bm and bs satisfying limiting equilibrium condition. Considering that an adjustment factor (df ) of 1
corresponds to bm and bs values of 28 and 9, respectively, for undisturbed rock masses and, similarly,
values of 14 (bm)and 6 (bs) correspond to a df value of
0.8 for highly disturbed rock mass and using the combinations of df bm and df bs which lead a factor of
safety of unity, the plots given in Fig. 13 are established. It is now possible to estimate bm and bs values
for closely jointed rock masses, depending on the disturbance eect, when the following expressions derived
from the curve shown in Fig. 13 are used.

bm 3:14 ln

df
df 3401 df


28

12


bs 0:67 ln

df
df 3401 df


9

13

The results of the back analysis of the slope instabilities in closely jointed rock masses and in the spoil
piles with high proportion of disturbed rock pieces
indicated that the disturbance eect due to the inuence of the method of excavation could not be
ignored. In other words, the equations of the criterion
based on the undisturbed rock mass condition did not
work well if an adjustment factor was not considered.
For this purpose, it is advised that, in the estimation
of the rock mass constants, determination of the values
of bm and bs of any particular rock mass determined
from the curves (Fig. 13) or from Eqs. (12) and (13)
for a given df value seems to be better. The rock mass
constants then should be estimated by using Eqs. (8)
and (9) proposed in this study.
4. Conclusions
Due to the limitations in the RMR classication
scheme, particularly for very poor quality rock masses,
the geological strength index (GSI) has been introduced into the HoekBrown failure criterion.
However, there are no published case histories on the
back analysis of slopes or underground openings in
heavily jointed rock masses which conrm that the
current GSI methodology yields satisfactory results.
In this study, an attempt has been made to provide
a more quantitative numerical basis for evaluating the
GSI and to suggest quantities which make more sense

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H. Sonmez, R. Ulusay / International Journal of Rock Mechanics and Mining Sciences 36 (1999) 743760

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) 743760

759

masses and even for rock spoil pile materials.

However, the authors hope that the application of the
suggested modications onto various failure case histories both from surface and underground excavations
may lead to provide a better tool for more precise
guidelines and to check validity of the equations
employed by the non-linear failure criterion.

Acknowledgements
Fig. 13. Relationship between bm and bs and adjustment (disturbance) factor df derived from the back analysis of the investigated
slope instabilities.

than that of the RMR System when used for the estimation of rock mass strength. For the purpose, two
terms, `structure rating, SR', and `surface condition
rating, SCR', have been introduced into the existing
GSI classication scheme. In order to assign the ratings to these terms, the use of some easily measurable
input parameters such as, roughness, weathering, inlling and volumetric joint count have been suggested.
According to the selected rating intervals, the GSI
chart has been modied to estimate more precise
values of GSI.
Five well documented slope instability examples
have been given to illustrate the application of the proposed method in practical geotechnical engineering.
The application of the suggested method and the
approaches indicated that the use of GSI value determined from the suggested modied chart and consideration of disturbance eect conrmed the limit
equilibrium condition for the failed slopes.
The other issues concluded in the study were that
the spoil pile materials consisting of angular and
rounded rock pieces with low proportion of nes could
be categorized as disintegrated rock masses in the GSI
classication and it seemed possible to estimate their
shear strength parameters from the modied Hoek
Brown equations presented herein.
Some engineering geologists feel that the visual
descriptions upon which the GSI system is based are
preferable to the numbers of Bieniawski's classication. On the other hand, some engineers may be
unhappy with the largely descriptive nature of the GSI
system and the comments oered by the authors.
However, the attempt by the authors is to address the
discussion of the GSI chart and its perceived deciencies to improve the GSI and to suggest a method
for practitioners.
A better understanding of the mechanics of jointed
rock mass behaviour is a problem of major signicance
in geotechnical engineering. The authors believe that
the HoekBrown failure criterion provides a good estimate for the shear strength of closely jointed rock

The authors would like to thank Professor Dr.

Hasan GERCEK from Zonguldak Karaelmas
University, Turkey for his valuable comments on the
revised manuscript.

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