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Best practices for geotechnical planning and design in open pit mining
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638 6th International Conference on Sustainable Development in the
Minerals Industry, 30 June – 3 July 2013, Milos island, Greece

Best practices for geotechnical planning and design in open pit mining
operations - A sustainable engineering approach

C. Steiakakis
Geosysta ltd, Greece

Z. Agioutantis
Department of Mineral Recourses Engineering, Technical University of Crete, Greece

P. Schilizzi, E. Papakosta, A. Tsalidis and G. Pagonis

Public Power Corporation of Greece S.A., Mines Division, Greece

ABSTRACT can be mined in a cost effective manner with

This paper describes the importance of incorpo-
rating appropriate geotechnical design practices
during all stages of mining: from pre-
development until closure, to ensure a sustaina-
ble mining operation. Guidelines are provided
so that such geotechnical considerations can be
incorporated in a cost effective way. The appro-
priate time frame of geotechnical planning and
design and the collaboration with other mining-
related disciplines is presented in a way that can
maximize the safe operation from a geotechnical
point of view and at the same time result in a
minimum operational disturbance. A case study
is presented for an open-pit lignite mine in
Northern Greece, where substantial geotechnical
intervention during the operation stage has re-
sulted in minimal disturbance to the mine ex-
ploitation, even in areas where high movement
rates were recorded, and also explained the
movement mechanism, so that appropriate
counter measures can be applied.
1. INTRODUCTION
Sustainability is defined as “endurance” and its
meaning comes from the Latin word “sustinere”
meaning “to hold”. In recent years sustainability
has evolved based on three pillars, the reconcili-
ation of environmental, social and economic
demands (Goodland, 2012).
There are many definitions for “sustainable
mining operations”. Simply put, a mining opera-
tion may be termed a “sustainable” if reserves
minimum impact on the environment and if
mining can produce and sustain an added value
benefit on the social and economic situation of
the local communities. In addition, the concept
of sustainability can be applied in different ways
when related to mining activities. As an exam-
ple, the surface lignite mines in northern Greece
provide cheaper fuel to the thermal power plants
in the area, thus contributing to a cheaper ener-
gy mix.
Another such application area is geotechnical
planning and design in surface mining opera-
tions. Although this has been proven many
times to be of paramount importance, neverthe-
less, it is often neglected, especially in the early
stages of mine investigation and planning.
In this paper, some critical aspects of ge-
otechnical planning and how they pertain to
mine sustainability will be presented. As this
paper will demonstrate, appropriate geotech-
nical planning and design can be important to
ensure a sustainable surface mining operation.
Some of the main points supporting this state-
ment are given below:
- A significant portion of cost effective surface
mining is related to the stripping ratio. The
lower the ratio the more profitable mine op-
erations can become. The stripping ratio is
defined based on the maximum angle of sta-
ble slopes, for which excavation can take
place. At the same time if slope failures be-
tween ramps occur, this can significantly af-
fect mining operations, especially if hauling
6th International Conference on Sustainable Development in the
Minerals Industry, 30 June – 3 July 2013, Milos island, Greece
roads are affected or equipment damaged.
- Inappropriate slope designs leading to failure
can result in loss of life or injuries with im-
pact in the workers confidence, loss of com-
pany credibility and adverse implication on
the social license to operate.
- Large slope failures especially in the case of
mine tailings can significantly and adversely
affect the environment and even enforce clo-
sure of a mine operation.
Thus, geotechnical input should be critically
evaluated in all stages of mine operations, i.e.,
the pre-development phase, the initial design,
the mine planning and operation, and the mine
closure (Read and Stacey, 2009). In section 2 of
this paper, a first attempt to define best practices
with respect to incorporating geotechnical de-
sign into mining operations is presented.
Finally, a case study is presented, where it is
demonstrated that the geotechnical information
collected at the operational stage ensured a safe
and sustainable mining operation.
2. GEOTECHNICAL BEST PRACTICES IN
OPEN PIT MINING?
In the following sections the potential incorpo-
ration of geotechnical investigation in the over-
all life cycle of mining (from reserve estimation
to close) is identified and discussed. Addressing
geotechnical issues in every stage of mining is
considered a “best practice” approach and is di-
rectly related to the sustainability of mining op-
erations.
2.1 Reserve investigation stage
During the initial stages of developing a poten-
tial orebody, most of the effort is placed on ore
reserve identification and estimation. This is
usually executed using field geological investi-
gations, in coordination with several geophysi-
cal and drilling campaigns. Commonly, the ge-
otechnical component during this stage is mini-
mal or nonexistent. However, it should be noted
that not considering geotechnical factors at this
stage can affect mine planning in a negative
way.
639
2.2 Feasibility study stage
After the ore reserve model has been estimated
with a certain degree of confidence, the pit
slopes should be designed. Usually, the ge-
otechnical involvement begins at this stage. Of-
ten, however, this is restricted to a general slope
stability analysis based on minimum geotech-
nical information (Seegmiller, 2000). This in-
formation is mainly based on the geological in-
formation which was developed for the ore body
and not on information exclusively developed
for geotechnical design. Thus, the geotechnical
material properties are evaluated either using
limited drill cores, or based on rules of thumb,
or based on previous experience in the area (if
any). As a result, a slope design may be pro-
posed that may not be the optimum and may go
either way from highly optimistic (leading to
failure) to overly conservative with an increased
stripping ratio (Jayanthu and Reddy, 2011).
If adequate geotechnical data were available
a better estimation of slope angles and the risk
of slope failure could be evaluated during this
stage. This could be done with minimum addi-
tional cost compared to the additional investiga-
tion which will be needed when the question of
slope design is posed. Hence, it could be a good
practice during the ore body investigation to al-
so involve engineering geologist(s) in addition
to the involvement of geologist(s) for reserve
estimation. Thus, when a drilling campaign for
reserve estimation is executed, the engineering
geologists can collect and record geotechnical
information needed for the geological - ge-
otechnical model.
Since a large number of boreholes are drilled
for reserve estimation, it is important to record
all geotechnical information in a consistent
manner based on international standards such as
ISRM Suggested Methods (Brown, 1981). Such
data should be documented and filed in a way
that they will be easily accessible and usable at
a later stage without additional explanation; thus
repeating of costly investigations could be easi-
ly avoided.
During reserve estimation drilling, it could
also be a good practice and a cost saving ap-
proach to install different instruments in select-
ed boreholes. For example, inclinometer tubes,
piezometer tubes, etc., can be installed with
640 6th International Conference on Sustainable Development in the
Minerals Industry, 30 June – 3 July 2013, Milos island, Greece
minimum additional cost. The cost of inclinom-
eter pipes can be in the order of couple of euro
per meter. The cost of a drilling to install incli-
nometer pipes could be in the order of a 30-100
euro per meter. Geotechnical planning could
produce a crude future monitoring program and
the locations of such instruments (even in a
speculative manner) could be installed and be
ready for use when needed at a significantly re-
duced cost.
Although the majority of the drilling cam-
paigns for reserve estimation include sample
collection, such samples may not be available
for overburden or floor rock formations which
may be important for slope stability design.
When cores are available, it is easy to incorpo-
rate geotechnical laboratory testing to the ore
evaluation testing program which is performed.
Thus, tests of the physical properties and the
shear strength of encountered materials could be
executed on selected core samples during the in-
itial exploration stages. The cost of laboratory
testing on selected samples during reserve esti-
mations is much lower than dedicated drilling(s)
to obtain samples for the geotechnical investiga-
tion. The engineering geologist or geotechnical
engineer responsible can select the appropriate
samples at the appropriate depths, so a database
of geotechnical testing properties can be slowly
developed and be available when the geotech-
nical model is prepared sharing the expense
with ore estimation process.
In summary it is good practice and a cost ef-
fective way to plan for a preliminary geotech-
nical investigation during the initial phases of
developing an orebody in order to fully exploit
drillings and other forms of investigation.
2.3 Mine planning stage
During the mine planning stage the geotechnical
calculations regarding slope design can make or
break the project. For example the steepening of
the slope angle about 1o in a 50o wall of a 500m
deep excavation can result in reduction of about
9000t per meter of face (Reat et al., 2009).
Experience has shown that even with access
to a vast amount of geotechnical information
(drillings, laboratory testing, etc.) the slope in-
clinations cannot be accurately determined. The
usual practice is to work in a deterministic man-
ner assigning a suitable factor of safety (FS),
taking into account uncertainties in the geologi-
cal model, geotechnical parameters, etc., as well
as the importance of the slope, i.e., hauling ac-
cess, permanent slope, etc. In this way some-
times a false reassurance is provided to mine
planners and operators and at the same time the
allocated risk is not easily evaluated.
For example a slope designed using a FS>1.4
can easily become unstable due to unfavorably
dipping clay layers of centimeter thickness.
Even in situations where geology predicts a fa-
vorable orientation for weak layers, significant
instability problems may occur. One such ex-
ample is the Thissavros hydroelectric dam pro-
ject in Northern Greece where the complex
faulting and a favorable base trust fault (Fig. 1)
produced significantly unstable slopes during
construction (Anastassopoulos et al., 2006).
In recent years, slope stability tends to be
evaluated using a probabilistic approach (Ho
et al., 2000). Slope stability is seen as a risk
hazard analysis and appropriate risk manage-
ment procedures are implemented. Thus, the
risk of taking decisions can be better explained
to financial personnel and decision makers,
while, at the same time, contingency planning
for risk mitigation is prepared.
The geotechnical involvement at this stage it
is much more important than before and it does
not just include refinement of the geotechnical
model and running more limit equilibrium anal-
yses. The identification of risk, the formulation
of a coherent risk assessment strategy and the
evaluation of alternatives for risk mitigation is a
complex and time consuming task that requires
significant knowledge and experience. Risk as-
sessment of slope stability and risk mitigation
should be based on a coherent monitoring pro-
gram which incorporates many aspects from
Figure 1: Thissavros Area A geological section.
6th International Conference on Sustainable Development in the
Minerals Industry, 30 June – 3 July 2013, Milos island, Greece
visual observation, to slope face mapping, sur-
vey and inclinometer readings. This program
can have limited effect, if contingency measures
and their implementation have not been planned
in advance.
At this stage it is important to design the
slopes either with deterministic or probabilistic
ways, but at the same time to implement the
necessary monitoring program that will ensure
safe operation. Contingency plans should be
drafted and ready to be implemented as soon as
needed in order to avoid slope instabilities that
can escalate to major incidents or even large
landslides. For example, before a slope starts
“moving” over a weak surface, the initial shear
strength of that surface is larger than after
movement has been established. As movements
continue, the strength reduces (sometimes sig-
nificantly) to the residual shear strength. A
slope geometry, which could be stabilized with
minimum re-sloping (re-grading) at the initial
movement stage, could become unstoppable af-
ter the shear strength has dropped to residual
especially in brittle soil or rock behavior.
If a contingency plan is not prepared taking
into account numerous operational procedures,
such situations cannot be easily amended in a
timely fashion. For example if drilling horizon-
tal drainage holes is evaluated as a contingency
measure for improving the stability of a slope,
but equipment and trained personal are not
available at the mine site, this plan could fail
from the start.
2.4 Mine operation stage
During the mine operation stage geotechnical
involvement has a significant role in order to as-
sure safe operation and at the same time opti-
mize the excavated slopes. Three main aspects
need to be incorporated in the mine operation.
2.4.1 Frequent re-evaluation of geo-models
An evaluation of the available geological and
geotechnical model should be executed fre-
quently, sometimes even on a daily or weekly
basis, depending on the excavation progress.
Especially in high capacity continuous mine op-
erations this task may require more than one
shift per day. At this stage the soil or rock prop-
641
erties, stratigraphy, dip - dip direction, presence
of unmapped faults etc., should be recognized,
logged and included in the geotechnical model.
If unexplored horizons are found (thin clay
seems, fault gouge etc.), additional laboratory
testing may be performed and the geotechnical
model modified accordingly. A major contrib-
uting factor, which sometimes is overlooked, is
the change of hydrogeological conditions of the
mine and slopes, with time and as excavations
progresses.
2.4.2 Routine monitoring of slopes
Slopes should be routinely monitored for
movements; such measurements should be col-
lected, interpreted and incorporated in a ge-
otechnical database. This is usually performed
in collaboration with the survey department of
the mine and is of utmost importance for the
safe operation of slopes. The instrument loca-
tion, type and monitoring schedule is not a trivi-
al process. Careful planning is needed in order
to select the appropriate type of equipment that
will satisfy the accuracy, compatibility and du-
rability needs. Different equipment such as vi-
brating wire piezometers from different manu-
factures may require different data loggers. In
such cases, ordering of cheaper types, ignoring
the measuring device could actually produce
higher costs when equipment incompatibilities
occur and new units need to be obtained. Lon-
gevity and raggedness is another important issue
that must be addressed when selecting equip-
ment. Selecting the most cost effective one is
not just finding the cheaper one. The cost of in-
stallation often supersedes an order of magni-
tude the cost of purchasing equipment, so mal-
functioning or easily damaged equipment can
significantly increase the cost, even though they
appear to cost less when ordered.
Accuracy and resolution is another important
issue that should be seriously considered. Sec-
tion 3.3 of this paper provides an example of
how a high resolution surveying instrument can
help in developing solid geodetic information
about slope movements.
Emphasis should also be placed on the instal-
lation location of the monitoring equipment for
many reasons. Location selection should con-
sider the geological model, the type of meas-
642 6th International Conference on Sustainable Development in the
Minerals Industry, 30 June – 3 July 2013, Milos island, Greece
urements (and the equipment) needed, the depth
of measurements, etc. For example, pore pres-
sure measurements in different or compartment-
ed aquifers or the installation of inclinometers in
locations of thin clay seam(s) that can produce a
failure surface should be considered. Addition-
ally, the mine operation plan should be evaluat-
ed in order to avoid installation of equipment in
areas where hauling roads will be formed or
very near excavation areas that may result in
monitoring equipment damage. This may be a
challenging task, since a compromise between
information and production must be accom-
plished. In cases of geodetic monitoring (dis-
placements) the total station base should not be
established in moving or potentially creeping
areas; this will definitely produce erroneous re-
sults. A good practice is to install a continuous
operated reference GPS Station in such bases,
so this effect can be addressed and corrected if
needed.
The monitoring schedule is something that
needs careful consideration in relation to mine
operation and safety issues. From a technical
point of view the schedule should take into ac-
count the parameter variation with time. For ex-
ample, if pore pressures change weakly due to
rainfall, then monthly measurements will devel-
op inaccurate information that can lead to erro-
neous conclusions.
Furthermore, measurement of measurements
of interrelated parameters should be synchro-
nized. For example, inclinometers that are lo-
cated on the same slope should be measured on
the same day, so that the potential presence of
one or more sliding surfaces can be established.
Additionally, rainfall data should be synchro-
nized with pore pressure measurements in order
to evaluate the effect at different elevations and
locations. Finally, measurements may obstruct
mine operation and need to be taken into ac-
count in order not to result in significant delays
or pose danger to monitoring personnel.
2.4.3 Slope stability calculations
Information pertaining to the varying geologic
and hydrogeologic conditions along with the
collected monitoring data should be evaluated
for the safe operation of the slopes or for opti-
mization of the slope inclination. Limit equilib-
rium analysis is the most widely used technique
for evaluating the stability of the slopes, but in
complex situations, where high risks are not ac-
ceptable, numerical modelling such as finite el-
ement, finite difference or distinct element anal-
ysis may be warranted (Hoek, 2009).
It must be pointed out that limit equilibrium
analysis is more easily executed and evaluated
than numerical analysis. In any case the per-
son(s) executing such analysis should be com-
petent and experienced in the geology and ge-
otechnical conditions of the mine and can criti-
cally evaluate all outcomes in order to avoid se-
rious mistakes. Among the most important as-
pect of modeling is the availability of “accurate”
geological and geotechnical information.
2.5 Mine closing stage
Geotechnical input during the mine closing
stage should provide the stable slope inclination
for permanent conditions and take into account
long term phenomena. Possible future ground-
water variations should be evaluated, and addi-
tional loads due to new developments adjacent
to the slopes etc., should be examined.
Additionally, any mine tailings slopes or ex-
ternal dumps should be evaluated for long term
stability and endurance due to erosion.
3. CASE STUDY
In this section, a case study is presented, where
an in-depth geotechnical investigation safe-
guarded the sustainability of this surface mining
operation as well as the stability of nearby loca-
tions, and provided important data to the mine
planning and mine operations personnel for con-
trolling movements.
3.1 Mine location
The Mavropigi open pit lignite mine is located
in northern Greece in the Ptolemais area
(Kavvadas et al., 2013). Mining is predominant-
ly accomplished using bucket wheel excavators
on seven or eight benches, reaching to a depth
of about 150 m below the surface. Total excava-
tions to-date (2002-2012) are in the order of 328
bank Mm3 (226 bank Mm3 using the continuous
6th International Conference on Sustainable Development in the
Minerals Industry, 30 June – 3 July 2013, Milos island, Greece
Figure 2: South slopes of the Mavropigi Mine.
production system and 102 bank Mm3 using
truck and shovel).
3.2 Geotechnical issues during operations
During mine operations and due to expropria-
tion limitations at that time, excavation pro-
gressed in a non-conventional way, producing
an adverse steeply convex geometry (Fig. 2).
The adverse excavation geometry, the geo-
logical conditions with steep inclined faults to-
gether with the presence of near horizontal un-
favorably dipping thin clay seem produced a
kinematically unstable wedge.
Based on Zavodni (2000) mining operations
can continue when the failure mechanism is un-
derstood and the slopes properly monitored.
Based on this approach, significant investiga-
tion, monitoring and analysis was executed in
the moving slopes in order to identify the failure
surface the movement type (progressive or ret-
rogressive) and triggering mechanism.
3.3 Importance of surveying accuracy and reso-
lution
The importance of surveying accuracy and reso-
lution is highlighted in Figure 3. Two different
total stations were used to measure distances
during the course of monitoring campaign. The
Figure 3: Slope horizontal movements at the Mavropigi
Mine.
643
first had accuracy of 1.5” (seconds of a degree)
with manual targeting while the second had an
accuracy of 0.5” and robotic automated target-
ing capabilities. The first station was used until
almost 500mm of total movement had occurred
(30 Apr 2012), while all subsequent measure-
ments were performed using the more advanced
instrument.
Results show that when using a less accurate
total station, a correct vector of movement could
not be evaluated; at the time it was estimated
that the moving slope had a northern direction.
When the higher accuracy total station was
used, a clear indication of direction could be
evaluated with minimum scatter. Most im-
portantly the velocity diagram became much
clearer without “jumps” producing unnecessary
alarms. This is clearly seen in Figure 4. Meas-
urements after 30 Apr 2012 (where the new to-
tal station of high accuracy replaced the previ-
ous one) have less variability and a steady trend.
Based on geodetic monitoring (Figs. 3, 4, 5),
inclinometer and rainfall readings, combined
with back analysis it was determined that the
slope was moving in a retrogressive type, signif-
icantly affected by rainfall intensity. Analysis
showed that the rate increased when significant
rainfall was occurring, but with water pressure
dissipation after a few days, movements stabi-
lized at a residual value of about 10-15mm/day.
Based on slope stability analysis it was decided
to partly unload the southern slopes in order to
control the movement and also to increase the
monitoring intensity especially during heavy
rainfall periods.
Figure 4: Slope movement rates at the Mavropigi Mine.
 644 6th International Conference on Sustainable Development in the
Minerals Industry, 30 June – 3 July 2013, Milos island, Greece
Figure 5: Cumulative slope displacements of south slopes.
A contingency plan was prepared if dis-
placements and rainfall increased substantially
by which the benches would be evacuated and
the conveyor belts would be released, so that the
belt motor assemblies would not be pulled into
the sliding material during a possible cata-
strophic slope failure. As shown in Figure 5 the
mine operations have continued for more than
one year with total slope displacements reaching
8.450m!
The abrupt changes of movement rate seen in
the cumulative displacement plot (Fig. 5) are
due to intense rainfall. The same plot shows that
abrupt movements stabilize after a short period
of time, thus declaring a retrogressive type of
movement. Between 24 and 26 Feb 2013 heavy
rainfall resulted to a substantial increase of the
slope movement, but a catastrophic failure did
not happen. During the following 30 days from
that episode, although the slope movement rate
decreased slightly from its peak value, it has
stabilized to a higher value than before. This ob-
servation indicates that the situation is deterio-
rating, but at the same time the summer months
are approaching where significantly less precipi-
tation is expected.
The development of appropriate geotechnical
information was essential to keep the mine op-
erating safely, thus, ensuring a sustainable oper-
ation. However, it should be pointed out that
this geotechnical information was developed
during regular mine operations, and under ad-
verse weather and operational conditions, which
certainly did not facilitate field work. In addi-
tion if information developed during reserve es-
timation was available it would have been much
more helpful in order to generate an accurate
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geologic and geotechnical model.
4. SUMMARY AND CONCLUSIONS
Geotechnical planning and design in surface
mining operations is a very important issue and
should be considered in all phases of mine oper-
ation, from the exploration phase to the post-
closure stage.
This paper attempts to highlight and present
an outline of best practices regarding the seam-
less incorporation of geotechnics into the differ-
ent stages of mining. This can result in signifi-
cant cost savings in operations and ensure min-
ing sustainability in many aspects (safety in op-
erations, continuity in operations, safety in sur-
rounding areas, etc.).
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