Cases and solutions

Causes, mechanism and

environmental impacts of
instabilities at Himmetoğlu coal
mine and possible remedial
measures
Reşat Ulusay, Candan Gökçeoğlu, Harun Sönmez, Ergün Tuncay

the safe slope configuration?” and “how can the asso-

Abstract Since the commencement of mining at ciated environmental impacts be minimized?”. The Him-
the Himmetoğlu coal mine, northwest Turkey, seri- metoğlu coal mine operated by the Turkish Coal Enter-
ous stability problems have led to interruptions in prises (TKİ) produces coal for domestic use and for a
mining and some environmental effects. A geotech- thermal power plant 75 km from the pit. It is located in
nical investigation was initiated in 1997 and the the northwestern part of Turkey approximately 220 km
significant factors that influence the stability have west of the capital city Ankara (Fig. 1). The mine has
been defined. This paper outlines the results of the been operating since 1980. The reserve is about 43 mil-
field and laboratory studies associated with the lion metric tonnes of lower calorific value lignite. Several
causes and mechanism of the slope instabilities and streams flow through the area. To minimize handling
their environmental impacts. The possible remedial
measures to improve the stability and to minimize
the environmental problems are also described.
Back-analyses and data from long-term monitoring
indicate that the failures occur along two or three
planar surfaces by combination of faults and local-
ized strata steepening adjacent to the faults. The
stability is sensitive to changes in length of the
lower part of the basal sliding surface and shear
strength of the bedding surfaces in the overburden.
Suitable remedial measures include slope flattening
(i.e. staged bench stripping), proper drainage and
spreading of a rock blanket on the pit floor to in-
crease spoil pile stability.

Keywords Back-analysis 7 Environmental

problems 7 Monitoring 7 Multiplanar failure 7
Remedial measures 7 Shear strength 7 Slope
stability

Introduction
Two of the primary questions that must be addressed
during the operation of an open pit mine are “what is

Received: 18 April 2000 7 Accepted: 15 August 2000

R. Ulusay (Y) 7 C. Gökçeoğlu 7 H. Sönmez 7 E. Tuncay
Hacettepe University, Geological Engineering Department,
Applied Geology Division, 06532 Beytepe Ankara, Turkey Fig. 1
e-mail: resat6hacettepe.edu.tr Location map of the study area

Environmental Geology 40 (6) March 2001 7 Q Springer-Verlag 769

 Cases and solutions

costs and to extract the coal seam in a short period, ad-
vance benches are made as steep as practicable and the
sidewall slopes with narrow berms are constructed in
both the north and south sidewalls of the pit.
As mining has progressed, crests of the slopes were
shifted back towards the streams surrounding the pit and
instability problems leading to the interruption of over-
burden stripping and coal production have been experi-
enced. These instabilities also extended into the agricul-
tural fields of the villagers in the vicinity of the pit. In
addition, the pit is threatened with a possible flooding
due to the presence of streams near the crests of the pit-
walls.
To study the problem, a one-year investigation was com-
menced by the authors as requested by TKİ in 1997. The
south and north sidewall slopes, which are important for
continuous coal production and for safety of the haul
road, and also for minimizing the effects of instabilities
threatening the agricultural areas, were primarily consid-
ered in the investigation. This paper examines the geo-
technical characteristics of the materials contributing to
failures, describes the nature of the movements, tries to
resolve the mechanism operative during failures, dis-
cusses how these factors could have influenced the stabil-
ity and recommends possible control and remedial meas-
ures that should be considered in pit slope design and
environmental protection. Geological mapping, line-sur-
veying, hydrogeological observations, sampling and
geomechanical testing were used in conjunction with ex-
tensive long-term monitoring information to determine
the failure mechanism, and to assess movement trends
for operational safety. In addition, two-dimensional limit
equilibrium back-analyses were used to understand the
failure mechanism and to assess the various controls on
the slope movements. The results of the back-analyses
were then compared with the data derived from the labo-
ratory shear tests to evaluate shear strength parameters
mobilized at the time of failure. Finally, possible remedial
measures were assessed to improve the pit slope stability
and to minimize the environmental effects due to the
current mining practice.
and southern sidewalls of the pit respectively. The void
created after the extraction of the coal in the west was
used as an inside dumping area. Dumping takes place on
the underclay dipping towards the current pit which ad-
vances to the east. Mining benches are oriented approxi-
mately east–west, parallel to the direction of advance.
Consequently, the dip of the beds in the permanent side-
wall slopes is adverse in terms of the sidewall stability.
Depending on the capacity of the operated excavators,
the height, width and face angle of the working benches
range from 5 to 8 m, 10 to 20 m and 60 to 657 respective-
ly. Although achieving stable conditions seems to be dif-
ficult with current practice, sidewalls consisting of many
benches are made with slope angles of about 20–227 to
minimize handling costs. A general view of the south si-
dewall of the pit taken from its east slope is shown in
Fig. 3.
The overburden is stripped by excavators with a bucket
capacity of 1.3 to 3.2 m 3 and dumped to the outside spoil
pile yard 2.2 km from the pit by 40-t-capacity trucks
(Fig. 2). Due to the presence of small-scale instabilities
observed in the inside spoil piles at the western boundary
of the current pit and the limited void between the old
piles and the advancing face, inside dumping could not
continue. The coal is mined by excavators with a bucket
capacity of 2.5 m 3 and transported to a screening plant
near the pit (see Fig. 2).
The current pit is surrounded by streams on its north,
east and south (see Fig. 2). As the excavation progressed,
north and south sidewalls, and the advancing face at the
east became very close to stream beds. As a permanent
measure, the river bed of the Boyalıcadere at the eastern
boundary of the pit was removed into a derivation (div-
ersion) canal constructed by TKİ in 1997, as shown in
Fig. 2. However, the water seepage from the streams
through the alluvial deposits in which uppermost benches
are being constructed, created drainage problems and
triggered pitwall instabilities with other contributing fac-
tors.

Engineering geology
Geology of the pit and surroundings
Current mining practice At the Himmetoğlu coal field, Tertiary coal measures
overlie Cretaceous sedimentary rocks and comprise Selvi-
The Himmetoğlu coal field is located within a topograph- pınar, Kızılçay and Himmetoğlu formations from the old-
ic depression. A single coal seam, extending in an E–W est to the youngest. The stratigraphy of the study area
direction through a relatively narrow corridor, is ex- and descriptions of the lithological units are depicted in
tracted by the open pit mining method. Inclination of the Fig. 4. The geology has been described in detail by Tun-
coal seam increases towards the basin margins at north calı and others (1987) and Şener (1992). However, the
and south. Due to the increase in the inclination of the previous geological map of the field was revised and
coal seam, the overburden thickness reaches up to names of the formations assigned by Şener (1992) were
130–150 m at the eastern part of the field. employed in this study (Fig. 5). In this paper, considera-
Mining in the Himmetoğlu coal field began in 1980 from tion is given only to the Himmetoğlu formation, particu-
the western end of the area at the south of Çayköy. While larly its marls, and the Quaternary alluvial deposits that
the direction of advance is towards the east, as shown in form the major overburden materials and contribute to
Fig. 2, the strata dip to south and north at the northern the instabilities in the pit.

770 Environmental Geology 40 (6) March 2001 7 Q Springer-Verlag

 Cases and solutions

Fig. 2
Generalized and simplified layout plan of
the Himmetoğlu open pit and close
vicinity illustrating advance in mining

The Himmetoğlu formation covers a large area as shown

in Fig. 5. The lignite seam, 10–11 m thick in the central
part of the coal field, occurs at the base of the Himmet- Fig. 3
oğlu formation. The main rock unit of the formation ex- A view of the south sidewall of the pit

Environmental Geology 40 (6) March 2001 7 Q Springer-Verlag 771

 Cases and solutions
Fig. 4
Generalized stratigraphic column of the Himmetoğlu coal field
(not to scale; rearranged from Şener 1992)
posed in the hangingwall consists of thinly to moderately
bedded marls with thin alternations of bituminous shales
above the coal seam. Lamination in the marls is more
evident at the upper levels. Green and plastic underclay
observed beneath the coal seam overlies detrital facies of
the formation that does not crop out in the site and con-
sists of unconsolidated yellow conglomerates.
The alluvial sequence overlying the Himmetoğlu forma-
tion is the deposition by the Ovaçay and Boyalıcadere
streams and is observed around the pit. The upper
benches of the pitwalls are constructed in this reddish-
772 Environmental Geology 40 (6) March 2001 7 Q Springer-Verlag
Fig. 5
Geological map of the Himmetoğlu pit and its close vicinity
brown unconsolidated material composed of gravels,
sand, silt and clay sized grains. The areas covered by the
alluvial soils are used for agricultural purposes. Based on
the observations on the pit benches, and boring records,
alternations of silty and clayey levels, and sand–small
gravel lenses are identified in this sequence. However, the
alluvial soils are generally fine-grained. In addition to the
authors’ observations and the borehole data, electrical re-
sistivity surveys performed by TKİ (Ergüder and others
1997) during the geotechnical study revealed that the
thickness of the alluvial sequence reached up to 25 m in
the east, near the Boyalıcadere stream, and ranged be-
tween 6.5 and 38 m along the south sidewall adjacent to
the bed of the Ovaçay stream.
Structural geology and rock mass characteristics
The study area is structurally located at the western part
of a tectonic unit called Pontides by Ketı̇n (1966). The
site was subjected to compressional forces in a N–S di-
rection, which resulted in folded structures before the
Miocene. In the neo-tectonic period, normal faults have
occurred as a result of stresses acting in the same direc-
tion (Şener 1992).
General trends of the normal faults in the vicinity of the
pit are approximately E–W and NE–SW (Fig. 5). The ex-
tent of E–W trending faults at the east of the current pit
is confirmed by site observations and electrical resistivity
surveys. Seven normal faults are identified on the pit
benches and numbered from 1 to 7, as shown in Fig. 5.
Fault 1, with a very high persistence, is observed
throughout the pit and forms the eastern boundary of the
largest slope instability occurring in the north sidewall.
Its net slip is about 10 m at the northeast. The faults
numbered from 2 to 4 are nearly parallel to Fault 1 and
dip to the northwest with an inclination of 65–757. They
do not contribute to slope instabilities. The E–W trend-
ing faults (faults 5 to 7) appear in the south sidewall and
dip towards the excavation with inclinations between 357
and 407 (Fig. 5). Due to their high continuity and adverse
orientation, they are considered as critical discontinuities.
The fault planes are generally smooth-planar and slicken-
sided. The width of the fault zones ranges between 5 and
10 cm. The fault gouge contains very small amount of
rock clasts embedded within a greenish-grey clay with
high plasticity.
The scan-line method was used in accordance with the
procedure recommended by ISRM (1981) to determine
rock mass characteristics of the overburden and the coal
seam. Bench faces in the pit and large outcrops in its vi-
cinity are selected for scan-line measurements. Orienta-
tion data indicated that the bedding planes of the Him-
metoğlu formation strike NE–SW and dip 5–107 to the
southeast and northeast (i.e. into the pit) at the northern
and southern parts of the coal field respectively. The dip
 Cases and solutions

Environmental Geology 40 (6) March 2001 7 Q Springer-Verlag 773

 Cases and solutions

of the bedding planes increases towards the basin margin

in the north (see Fig. 5). The bedding planes in the over-
burden are thinly coated by fine material, are very
smooth-planar, and generally have close and/or narrow
apertures (0–0.5 mm). These characteristics of the bed-
ding planes make them unstable. The bedding surfaces of
the marls are easily separated when exposed to air. The
stress release caused by excavation and loss of moisture
may be responsible for such a separation. The spacing
between the bedding planes ranges from a few milli-
metres to 20 cm, and 0.3–0.5 m in the upper (laminated
marls) and lower (compact marls) elevations respectively.
Two major joint sets of moderate persistence are identi-
fied within the overburden and in the coal seam. The
joint sets strike NE–SW and NW–SE, and have dips
about 807. Based on the calculated joint spacing (0.37 m),
the joints are moderately spaced according to the classifi-
cation proposed by ISRM (1981). Their surfaces are
smooth-planar.

Hydrogeological conditions
The assessment of groundwater conditions was based on
qualitative assessment of geological mapping information,
records of the boreholes specifically drilled for ground-
water monitoring, hydrochemical analyses and general
observations in the pit area. For the hydrogeological in-
vestigations, 17 and 13 boreholes were drilled along the
crests of the east and south sidewalls of the pit respec-
tively. Details of the hydrogeological investigations are
given by Ulusay and others (1998).
The Quaternary alluvial deposits are the principal aquifer
in the study site. The primary permeability of the over-
burden material (marls of the Himmetoğlu formation) is
very low; however, moderately spaced, nearly vertical,
and relatively free-draining joints in the rock mass serve
as conduits for groundwater flow. The coal seam has hy-
drogeological characteristics similar to those of marls. In
contrast, the underclay lies as an impermeable layer be-
neath the coal seam. Pumping tests indicated hydraulic
conductivity values of 10 –3–10 –4 m/s for the alluvial de-
posits, and 10 –6 m/s for the marls and the coal seam.
The relationship between the surface water and ground-
water prior to the excavation was estimated by the hy-
drological conditions and is shown in Fig. 6. The relation-
ship between Ovaçay stream and the groundwater level
indicates that the groundwater is recharged by Ovaçay
along the southern boundary of the pit and groundwater
recharges surface water where the alluvial section be-
comes narrow. This conclusion was also true along the
northern and eastern boundaries of the pit where the
Boyalıcadere stream runs (Fig. 7b). After the excavation
commenced and the mining had progressed towards the
alluvial aquifer in the south and east, distribution of the
hydraulic load changed. The water flow changed its pre-
vious direction towards the pit as depicted in Fig. 7a, and
the amount of flow into the pit gradually increased as a
Fig. 6
Flow line map showing the relationship between surface water
and groundwater before the excavation
result of the increase in seepage. The seepage from the
alluvial soils, through the joints in the overburden and
the coal seam, accumulated at some localities where
folded structures exist (Fig. 7a). Observation of the see-
page on some benches of the sidewall and the coal seam
indicate that steady state seepage conditions prevail.
The water accumulated at the bottom of the pit and lo-
cally on some benches is pumped to the Ovaçay stream
in south. Hydrochemical analyses of the water samples
taken from the southern slope indicated high sulfate and
sodium contents, which are the results of reaction of wa-
ter with coal and marl. Some water pumped into the
stream bed was seeping back to the pit and a complete
pit drainage could not be achieved. Even though the allu-
vial deposits are an aquifer and water seeping through
the overburden and the coal seam accumulates at the lo-
calized folded strata, it is expected that discontinuity sur-
faces in the overburden are in moist conditions. This
conclusion is considered in the assessment of shear
strength parameters of the discontinuities. In addition,

774 Environmental Geology 40 (6) March 2001 7 Q Springer-Verlag


Fig. 7
Hydraulic relationship between the alluvial soils and the
Himmetoğlu formation along the south sidewall near Ovaçay streams, instabilities have extended into the pit slopes.
stream a, and at the eastern boundary of the pit near
Boyalıcadere stream b
based on the empirical approaches that employ hydraulic
parameters and various geometrical pit bench configura-
tions, possible drops in groundwater table (by free-drain-
age depending on the distance from the excavation face
and elapsed time) were estimated. The results were plot-
ted for further stability analyses and planning of drainage
as discussed in detail by Ulusay and others (1998).
History of instabilities and
environmental impacts
History of instabilities
Mining in the Himmetoğlu began in 1980 at the western
end of the coal field. After the initial void was created, stopped.
inside dumping on the underclay beneath the coal was
initiated. This application continued until the pit had
reached its current position, as shown in Fig. 8. After
some displacements had been noted in the spoil piles
dumped on the underclay, the inside dumping was stop- the uppermost benches constructed in the alluvial se-
ped before this study.
Cases and solutions
As mining progressed in the direction of advance and the
crests of the sidewalls became very close to the bed of
The initial slope failure (instability I in Fig. 8) in the cur-
rent pit occurred through the north sidewall in 1995. This
instability involved many benches constructed both in
the alluvial sequence and marls. It resulted in a large fail-
ure of the north sidewall and an interruption in coal pro-
duction (Fig. 9a). The instability is limited by Fault 1 in
the east and could not extend to the east slope due to
changes in the orientations of bedding planes and slope
face. Visual inspections indicated that sliding has oc-
curred along the weak bedding planes in the marls a few
metres above the coal seam, and the benches constructed
in the alluvial sequence in the uppermost levels have also
failed due to the loss of support in front of them
(Fig. 9b). Loose alluvial deposits mixing with water,
seeped from benches and flowed along the failure surface.
The failure surface was covered by sliding debris. Howev-
er, in July 1997, during this investigation, the monitoring
records indicated that the movement had accelerated and
some heaves were observed at the toe of this failure. As a
result, stripping at the toe of this slope was temporarily
Movements with a large extent began along the south si-
dewall adjacent to the Ovaçay stream in September 1996
(instability II in Fig. 8). At the beginning, tension cracks,
separations and settlements reaching to 1 m appeared in
quence (Fig. 10a). However, movements were not obvious
Environmental Geology 40 (6) March 2001 7 Q Springer-Verlag 775
 Cases and solutions

776 Environmental Geology 40 (6) March 2001 7 Q Springer-Verlag

 Cases and solutions

Fig. 8
Location and distribution of the sidewall and spoil pile
instabilities in and near the current pit, and the arrangement of
the movement monitoring stations

on benches constructed in the marls above the coal seam,

and the visual inspections by TKİ’s personnel showed
that the movements were within tolerable limits. There-
fore, it was decided to continue stripping operation to-
wards the south along the south sidewall to extract the
coal at its toe region. After the commencement of the
geotechnical research programme, long-term monitoring
data and site inspections revealed that the whole slope
was moving towards the north on a multiplanar failure
surface under the control of an E–W trending fault and
the bedding planes dipping into the excavation as shown
in Fig. 10b. In the beginning of 1998, new tension cracks
extending to the bed of the Ovaçay stream and other ag-
ricultural fields beyond the pit limits appeared. A shal-

Fig. 10
a Tension cracks, separations and settlements observed in the
uppermost benches constructed in the alluvial deposits, and b
multiplanar failure controlled by the bedding planes and an
E–W trending fault on the south sidewall

low-seated failure also occurred in a simple rockfill bank

a few metres high. The bank was constructed between the
stream bed and the crest of the slope to prevent a sudden
flow of surface water into the pit from the Ovaçay. It is
evident that the underclay did not contribute to instabili-
ties. No instability problem occurred through the east
slope constructed in the direction of advance. The strata
dipping to the opposite direction of the slope face and
the absence of a fault along the slope play a positive role
in the stability of the east slope.

Environmental impacts of instabilities

Fig. 9
a A general view of instability I, which occurred in the north
sidewall of the pit (the arrows indicate the sliding direction),
and b the failed benches constructed in the alluvial deposits in
the north sidewall
The occurrence of the instabilities influenced the envi-
ronment surrounding the pit. The agricultural areas are
under the threat of instabilities. Based on the proposed
pit limits along the south sidewall and depending on ex-
tension of instabilities back to the crest of the slope, ap-
proximately 10 ha of farm fields and gardens along both
borders of the pit were negatively affected (Figs. 8 and
11a). Similar environmental impacts were also observed
in some fields on fertile alluvial soils adjacent to the

Environmental Geology 40 (6) March 2001 7 Q Springer-Verlag 777

 Cases and solutions
Fig. 11
a Landslide-affected fields behind the proposed south sidewall
limits of the pit, b derivation canal of the Boyalıcadere stream
and agricultural fields behind the east slope, and c a view from
the shallow-seated instabilities in the inside spoil piles near the
west boundary of the current pit
failed north sidewall, as shown in Fig. 9b. Advancement
of the north sidewall without any change in the current
design (or without leaving some amounts of coal, which
becomes thinner and has lower quality near the basin)
may cause extra damage in the nearby fields. On the oth-
er hand, derivation of the Boyalıcadere stream as a tem-
porary measure to prevent water flow into the pit seems
to be another environmental impact on the agricultural
fields at the east (Fig. 11b).
In recent mining practices, reclamation has been one im-
portant means of recovering the land for further uses.
Reclamation studies have been initiated at the western
end of the inside dump of the Himmetoğlu pit. In addi-
tion to instabilities, both in spoil piles (Figs. 8 and 11c)
778 Environmental Geology 40 (6) March 2001 7 Q Springer-Verlag
and through sidewalls, limited available volume, forced
TKİ to practice outside dumping at a location near Him-
metoğlu village, as shown in Fig. 2. The high berms with
considerably steep angles of the current outside dumping
on an inclined topographical surface seem to be another
source of environmental problems.
Material characteristics
An extensive laboratory testing programme was perform-
ed on the specimens prepared from block samples to de-
termine the geomechanical properties of the discontinui-
ties, underclay and the alluvial soils. Samples from the
fault gouges were collected (with an orientation parallel
to the striations along the fault plane) utilizing
100!100!20 mm specimen cutters. The same cutters
were utilized for sampling from the alluvial soils and un-
derclay. The ASTM (1990) standards and the methods
suggested by ISRM (1981) were employed for soils and
rocks respectively. Shear strength determinations on the
discontinuity surfaces were undertaken as accurately as
possible, according to the existing loading and moisture
conditions in the pit.
Engineering index properties and grain size distribution
of the materials consisting of soil characteristics and the
unit weight of the slope-forming materials were deter-
mined. Based on the X-ray analyses, the amount of clay-
sized particles in the underclay is approximately 93% and
the predominant clay mineral is montmorillonite. The
montmorillonite has a high liquid limit, as seen in Ta-
ble 1. A majority of the fault gouge samples consist of
clay and silt-sized material. On the basis of the Unified
Soil Classification these materials are classified as CH and
MH soil groups. The alluvial soils were classified as fine
and coarse-grained soils (Table 1). Visual inspections on
the pit benches and borehole data indicated that fine-
grained soils, CH, MH and CL soil groups, are dominant.
Studies on the discontinuities in coal measures in Turkey
(Ulusay and Yoleri 1993) indicated that the portable
shear box is insensitive and difficult to use at relatively
low normal stresses associated with slope stability inves-
tigations. Higher normal loads produced by this appara-
tus would unquestionably have resulted in more severe
damage to the weakness planes in weak and clay-bearing
rocks, as in this case. In this study, therefore, a moto-
rized direct-residual soil shear test device was employed
for testing on the discontinuities. Shear strength determi-
nations of the discontinuities and soils were carried out
in many test sets consisting of a minimum of three to
four specimens of each to achieve representative failure
envelopes for each set. A single-stage loading procedure
in which each specimen is sheared at a constant load was
adopted to prevent progressive damage to the test speci-
mens. The tests were carried out moving the shear box to
forward and reverse directions to achieve residual values.
To obtain a generalized failure envelope for the soils and
discontinuities, plots of individual test sets were trans-
 Cases and solutions

ferred to a single plot for each material. In the statistical

9–29 (22.5) CL, CH and MH

analysis of shear test data, both linear and power curve

GP, GW and
31–58 (44.2) CH and MH
Soil class in

(geometric regression) relationships were derived for soil

materials and for each major discontinuity, as listed in

GP/GC
USCS

Table 2. Shear stress–normal stress plots with linear and

52–94 (70.7) CH

non-linear envelopes for the bedding planes in the over-

burden are shown in Fig. 12a as an example. Statistical
analyses revealed that the linear equation expresses the
test data better than power law for all materials and the
discontinuities (Table 2). For the low normal stress levels
PI

expected throughout the pit slopes, there is no significant

difference between the envelopes derived from linear and
geometric regression. Therefore, the simpler Coulomb
equation may be used in the stability analyses.
64–93 (77.6) 17–46 (33.4)
26–59 (45.3) 17–32 (22.8)
95–142 (111.7) 32–48 (41)

It is clear from Fig. 12b that the peak shear strength

along the bedding planes is reached after a few milli-
Water content Atterberg limits (%)

metres of displacement. In addition, sharp decreases in

PL

shear strength after peak values indicate that the bedding

Engineering index properties of the materials in the Himmetoğlu open pit. Numbers in parentheses indicate mean values

planes exhibit a shear strength at or approaching the re-

Non-plastic

sidual value. They represent potential loci for slope insta-

bility as noticed by site inspections. An ignorable amount
of cohesion along these surfaces is another factor that fa-
LL

cilitates the sliding. The fact that the shear strength pa-
–
42.4–52.1 (46.5)
16.4–41.7 (33.1)

25.7–26.6 (26.1)

rameters of the underclay are higher than those of the

12.4–27 (20)

bedding planes indicates that the bedding planes in the

overburden are more susceptible to sliding than the un-
derclay. This conclusion is consistent with the observa-
(%)

tions on the existing failure surfaces.

–
76–88 (82.3)
3–64 (43.6)
16–37 (28.5)
0–3 (1.6)

Assessment of failure mechanism

Clay

–
7–51 (37.2)

Slope monitoring system

6–16 (13)

45–61 (51)
2–5 (3.4)

The slopes of the pit were monitored extensively to as-

sess their short and long-term movement trends. Moni-
Silt

toring was conducted at the surface by means of elec-

–
Grain size distribution (%)

tronic distance measuring (EDM) equipment consisting

5–47 (19.2)
11–30 (18.3)
21–42 (26.6)

of an 1200 informatic theodolite and D14 distomat con-

6–10 (8)

nected with a Wild Heerburg Gre3 data terminal. At the

Sand

beginning, 71 monitoring stations were installed on six

–

lines along strategic locations throughout the unstable

51–76 (68.4)

north and south slopes as shown in Fig. 8. Slope moni-

0–5 (2.3)

toring was implemented in July 1997. Frequency of the

Gravel

prism monitoring was determined from the movement

rates and mining activity at the toe of the slopes and on
–
–

16.7–21.4 (18.5) –

the pit benches. Due to loss of some stations by mining

17.1–17.8 (17.4)

16.6–20.1 (19.5)
19.1–20 (19.7)

activities and increase in the rate of movement at the

Unit weight

south sidewall, an additional 20 stations were established

(kN/m 3)

between September 1997 and February 1998. Slope moni-

toring was completed at the end of March 1998.
–

Alluvial soils (coarse)

Failure mechanism based on movement records

Alluvial soils (fine)

In the first stage of the monitoring data assessments, the

Type of material

rates of movement in the north and south slopes were

considered separately. Examples of the typical time vs.
Fault gouge
Table 1

Underclay

cumulative displacement graphs from both slopes are

shown in Fig. 13. The cumulative displacements through
Marl

the north sidewall range from 20–30 cm, with maximum

Environmental Geology 40 (6) March 2001 7 Q Springer-Verlag 779

 Cases and solutions

Table 2
Shear strength parameters of major discontinuities and soil materials. r Coefficient of correlation; f internal friction angle;
c cohesion

Discontinuity and soil type Shear Linear regression (tpccs tanf) Geometric regression (tpAs B)

f (degree) c (kPa) r Shear strength, t r

Bedding surfaces Peak 3.7 16.8 0.94 tpp1.7s 0.61 0.94

Residual 1.4 12 0.94 tpp0.98s 0.61 0.92
Fault gouge Peak 15.6 20.4 0.85 tpp3.05s 0.62 0.82
Residual 13.3 19.4 0.86 tpp2.46s 0.65 0.80
Underclay Peak 15.3 15.2 0.95 tpp7.26s 0.36 0.93
Residual 14.1 14 0.97 tpp6.98s 0.34 0.93
Alluvial soils (fine-grained) Peak 13.3 32.6 0.97 tpp6s 0.53 0.95
Residual 2.7 32.1 0.99 tpp1.4s 0.82 0.99

displacements of up to 8 m. Therefore, the north sidewall
has not yet reached equilibrium. These local and high cu-
mulative displacements do not reflect the behaviour of
the whole slope. They are due to the movement of the in-
dividual blocks from the previously failed benches resting
on the existing sliding surface and flow of the surficial
old sliding material with high water content. The heave
at the toe of slope (Fig. 14) which occurred in July 1997
was an indicator of the movement. After this short-time
assessment, excavation was stopped through the slope to
achieve safe conditions. No considerable movement was
Fig. 12
a Generalized linear and non-linear failure envelopes, and b
typical shear stress–shear displacement curves of the bedding
planes derived from direct shear tests
recorded until stripping was re-started on the benches at
the east of the slope and heavy rains occurred in the
middle of December 1997. At this time, an increase in the
rate of movement was recorded, as shown in Fig. 13a.
The stripping was again stopped. In February 1998, some
local movements after heavy rains were also observed.
In the south sidewall, considerably slower rates of move-
ment were recorded in summer and autumn seasons of
1997. The cumulative displacements ranged between 10
and 45 cm (Fig. 13b). However, the displacements sharply
increased after December 1997, as seen in Fig. 13b. Dur-
ing this period, the only location for the extraction of
coal was the toe of the south sidewall and overburden
stripping was concentrated near the toe without any
stripping at the upper benches of the slope. As shown in
Fig. 15a, the bedding planes in the toe region of the south
sidewall dip to the opposite direction to the slope and
have a resistance against sliding. As a result, a steeper
overall slope was achieved and the resisting forces were
destroyed.
The directions and magnitudes of the movements of each
individual monitoring station were analysed to determine
the patterns that might be used to define the failure
geometry and mechanism. Two typical cross sections are
given in Fig. 15. They were selected because they oc-
curred at the central parts of the failure areas and
showed salient engineering geology features. They also
showed the movement vectors. In the upper part of the
south sidewall, the monitoring stations were moving
downwards at plunges of 4–137. Upward movements were
recorded for the stations located on the lower benches
near the toe of the slope (Fig. 15a). These movement di-
rections and magnitudes are generally consistent with the
bedding planes in the overburden and Fault 6, and indi-
cate a multiplanar failure surface. The toe of the south si-
dewall slope was at point A in July 1997, as shown in
Fig. 15a. In order to expose the coal seam, a quick over-
burden stripping at the toe of the slope between the
points A and B was conducted (Fig. 15a) and the length
of the bedding planes which dip into the opposite direc-
tion of the slope was shortened (i.e. the toe was shifted
back). Therefore, the resisting forces against sliding were

780 Environmental Geology 40 (6) March 2001 7 Q Springer-Verlag

 Cases and solutions

Fig. 13
Typical “cumulative
displacement–time” graphs
from the north a and south b
sidewalls

reduced. In spite of warnings, the stripping reached from
point A to point D in February 1998 and resulted in a
distinct failure. This failure confirmed the mechanism de-
rived from the monitoring data. It involves the whole
slope and occurred along a combined failure surface that
consists of the bedding planes 8 to 10 m above the coal
seam and Fault 6 at the south (Fig. 16). The uppermost
benches constructed in the alluvial soils moved down-
wards to fill the gap which resulted from the movement
of the benches in the marl at lower elevations.

Environmental Geology 40 (6) March 2001 7 Q Springer-Verlag 781

 Cases and solutions

In terms of the entire failure area in the north sidewall,

the plunge of the monitoring stations was parallel to the
bedding planes in the overburden. In the upper and cen-
tral parts of this sidewall, the monitoring stations were
moving downwards at plunges of 8–107. An upward
movement with a plunge of 37 was recorded near the toe
of the slope where the bedding planes dip against the
slope, as shown in Fig. 15b. The eastern part of the north
sidewall is crossed by Fault 1 (see Fig. 8). The plunges of
the movement vectors just above the fault confirm the
inclination of this fault. These assessments revealed that
the failure occurred along two or three planar surfaces.
These surfaces include the bedding planes in various in-
clinations and fault planes. Identification of the large ac-
tual sliding surfaces (bedding planes) with evident traces
of movement in the north sidewall also confirms this
mechanism.

Limit equilibrium back-analyses

In order to assess the failure mechanism and to deter-
mine the shear strength parameters along the failure sur-
face at the time of failure a back-analysis using a two-di-
mensional limit equilibrium technique was performed. A
multiplanar mode of failure (active–passive wedge) was

Fig. 14
The heave which occurred at the toe region of the north Fig. 15
sidewall on July 1997 Typical sections through the south a and north b sidewalls of
the Himmetoğlu open pit showing salient engineering geological
features and the monitored slope movements

782 Environmental Geology 40 (6) March 2001 7 Q Springer-Verlag

 Cases and solutions

Fig. 16
The basal sliding surface along bedding planes 8 to 10 m above
the coal seam in the south sidewall observed in February 1998

employed for the computer program based on Sarma’s

method (Sarma 1973) and developed by Hoek (1987) for
the analysis of multiplanar failures. Because of the spatial
variations in the mechanical properties of the discontin-
uities, the back-calculation of c and f from more than
two slopes may give as many as n(n-1)/2 points of inter-
section for n curves of c (f) (Sancio 1981). For this rea-
son, several slope failure profiles nearly parallel to the
movement direction were selected from the south and
north sidewalls. The back-analyses were conducted along
these profiles assuming a linear Mohr–Coulomb shear
strength criterion. The number of unknowns was reduced
to two parameters assuming that shear strength of the
fault gouge was equal to its laboratory derived residual
values (Skempton 1964; Miller 1982), and (c, f) pairs
were equal for both lower and central bedding surfaces Fig. 17
due to their identical surficial properties. The basal plane Comparison of the back-calculated and tested shear strength of
of the passive wedge was taken to lie along the bedding the bedding planes incorporating multiplanar failures
plane in the overburden, as implied by the observations.
In addition to the sections from both sidewalls, a well-
documented and a small-scale failure at the western end
of the south sidewall (see Fig. 8) was also included in the Possible remedial measures
back-analyses.
The results are presented in the form of lines showing Slope flattening
combined values of c and f (Fig. 17). The back-calculated In open pit mining, one of the commonly employed re-
shear strength generally falls within the range of labora- medial measures is the flattening of slopes. This method
tory derived residual shear strength of the bedding planes was applied in the study to achieve stable pit slopes. The
(Fig. 17). The peak shear strength is not a critical factor effect of slope flattening on stability was investigated by
(see Table 2). In addition, the results of the analysis con- shifting the crests of the south and north sidewalls to-
firmed the predicted failure surfaces. Therefore, the use wards south and north respectively. The stability of both
of residual values for the fault planes and for strata is re- sidewalls was evaluated along seven design sections. The
alistic for further stability assessments of the pitwalls and residual shear strength parameters of the fault gouge and
remedial measures. The most critical mode of failure in bedding planes in the overburden (see Table 2) were em-
the pit is multiplanar failure governed by bedding planes ployed in the analyses. The proposed bench height is 5 m
in the overburden and the E–W trending faults. throughout the pit. The analyses were carried out for
berm widths ranging between 15–35, 10–20 and 15–25 m
in the benches constructed in the marls, alluvium and the
coal seam respectively. The groundwater table tends to
follow a drawdown pattern, first towards the marl–coal

Environmental Geology 40 (6) March 2001 7 Q Springer-Verlag 783

 Cases and solutions
seam boundary and then towards the toe throughout the
overall slope. The expected groundwater table through
each section was estimated from the empirical calcula-
tions based on the hydrogeological characteristics of the
slope-forming materials and the boundary conditions, as
given by Ulusay and others (1998) in detail.
Practical experience (Hoek and Bray 1981; Huang 1983)
suggests that for critical slopes adjacent to haul roads
and important installations, a minimum factor of safety
of 1.2–1.25, preferably 1.3, is used if the design is based
on residual shear strength parameters in conjunction
with back-calculation. Therefore, in the analyses, various
bench configurations throughout the slopes were exam-
ined and the overall slope geometries satisfying a factor
of safety of 1.3 were selected for design purposes. The
analyses were carried out by employing the computer
code developed for multiplanar failures by Hoek (1987).
The analyses indicated that extraction of the coal along
the toe of both sidewalls without any stripping (i.e. un-
loading) on the uppermost benches may cause further in-
stabilities. A staged-stripping system would provide safe
conditions and minimize the environmental effects of in-
stabilities. Unloading by starting from the uppermost
benches towards the toe is necessary, as schematically il-
lustrated in Fig. 18. By the application of this stripping
system, the exploitation of the coal will be slightly de-
layed. The stability will increase and better environmental
conditions will be achieved. However, for safety condi-
tions, it is suggested that the bed of the Ovaçay stream
be shifted back to the south by about 30 m in the near
future. The analyses for the north sidewall indicate that
784 Environmental Geology 40 (6) March 2001 7 Q Springer-Verlag
stable slopes can be achieved if some amount of coal,
which becomes thinner near the north margin of the ba-
sin, is left. Application of a similar stripping method pro-
posed for the south sidewall can also provide adequate
stability conditions for the north sidewall.
Improvement of spoil pile stability and route
of derivation canal
The stability of spoil piles and the restrictions in the cur-
rent pit for inside dumping also have environmental im-
pacts. To increase the strength of the floor–spoil inter-
face, spreading of a rockfill blanket on the pit floor (i.e.
on the underclay) after coal production was considered.
This technique was analysed at a large strip coal mine in
western Turkey by Ulusay and others (1996) and is now
being successfully employed. In the previous study, li-
mestone rockfill was spread on the underclay with similar
characteristics to that in the Himmetoğlu pit. The mini-
mum factor of safety was 1.5 with a water table elevation
in spoil dumped on a floor. The inclination of the floor
was 97. Because of the similarities between the underclays
at both mines and the advantage of the availability of
hard limestones as a rockfill material from the Selvipınar
formation near the Himmetoğlu pit (see Fig. 5), spread-
ing of a rockfill material of 1.5–2 m height with drain
Fig. 18
Schematic illustration of the staged-stripping system proposed
to provide more stable sidewall slopes
 Cases and solutions

Fig. 19 Summary and conclusions

A simplified plan illustrating the proposed inside dumping
orientation and a new route for the derivation canal of the
Two main instabilities in the Himmetoğlu open pit coal
Boyalıcadere stream and other measures
mine were observed. Identification of the principal fac-
tors contributing to a particular stability problem is nec-
essary to develop the remedial measures for the stability
pipes was suggested. Construction of spoil pile berms of the pitwalls and to minimize environmental effects.
dipping towards the north sidewall with a strike of Geologically, the study area is mainly overlain by an allu-
NW–SE, as shown in Fig. 19, provides a buttress effect in vial sequence and marl beds of Tertiary age. The strata
front of the north sidewall and prevents the interruption dip to south and north along the sidewalls of the pit. In
of coal production at the pit bottom due to an unex- most of the excavated faces of the pit the overburden
pected failure. This application may provide a more ef- rocks either dip into or run parallel to the faces, which
fective reclamation. lead to unstable conditions in mining practice. In addi-
The Boyalıcadere stream running approximately parallel tion, E–W trending normal faults adversely affect the sta-
to the advancing face of the pit prevents the advance of bility conditions. Stripping and coal production are inter-
mining to east. As a remedial measure, a different route rupted and agricultural fields surrounding the pit are ne-
for this stream was necessary. A concrete canal with a gatively affected due to the instabilities.
trapezoidal profile through the top of the inside dump Analyses of engineering and structural geology, long-term
may be applicable (Fig. 19). However, the dimensions and movement records and back-analyses indicate that pro-
imperviousness of the canal are two important factors. gressive slope failures have developed by a combination
The canals, with heights and bottom widths of 5 and of sliding along bedding planes and faults. The possibility
15 m, and 6 and 20 m, were proposed for possible floods of occurrence of such failures, called multiple sliding, is
within the occurrences of 25 and 50 years respectively higher in the southern and northern parts of the pit. The
(Ulusay and others 1998). In addition, the spoil material beds contribute to sliding as central and basal sliding
should be well compacted through the route of the canal surfaces. The faults play as rear release surfaces. The sta-
and geomembranes should be employed between the ca- bility of the pitwalls is sensitive to changes in the length
nal and its bed. of the lower part of the basal sliding surface and its dip,

Environmental Geology 40 (6) March 2001 7 Q Springer-Verlag 785

 Cases and solutions
and shear strength along this surface. If the slope or its
toe is shifted back due to the extraction of the coal with-
out any stripping at the uppermost benches (unloading),
resisting forces decrease and instabilities initiate. The
shear strength of the bedding planes in the overburden is
apparently more important than that of the underclay in
terms of sidewall stability. The back-analyses also re-
vealed a good agreement between the laboratory derived
residual shear strength of the bedding planes and the
back-analysed strength.
Flattening of slopes by the proposed staged-stripping
method, from the uppermost benches and advancing to
the toe, may provide the resistance to stabilize the fail-
ures. The movement history has shown that the failure is
sensitive to excavation of the rock at the toe. Other pos-
sible remedial measures include spreading of limestone
rockfill blanket on the pit floor after the removal of coal
and reconstruction of a new derivation canal for the
Boyalıcadere stream. Spreading of a rockfill material,
which can be supplied from the limestone along the
north boundary of the pit, will increase the strength of
the floor–spoil interface. The inside dumping process can
continue and a more effective reclamation can be
achieved.
Recent communication with TKİ has indicated that the
rockfill blanket has successfully employed and staged-
stripping has continued. Slight movements were caused
by rainfall and thaw.
Acknowledgements The authors wish to acknowledge the coop-
eration and assistance of the General Directorate of TKİ and the Şener M (1992) Himmetoğlu (Bolu-Göynük) Neojen baseninin
personnel at Himmetoğlu Mine during this study. Particular
thanks are extended to Assosiate Professor Dr. Mehmet Ekmek-
çi and Geological Engineer Selim Erdoğan from Hacettepe Uni- Skempton AW (1964) Long-term stability of clay slopes: Fourth
versity for their kind contributions on hydrogeological assess-
ments, and to research assistant Murat Ercanoğlu from the
same university for his kind assistance and help during site in-
vestigations.
786 Environmental Geology 40 (6) March 2001 7 Q Springer-Verlag
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