AN EXAMINATION OF STRUCTURAL CONSTRAINTS ON ROCKFALL BEHAVIOUR USING LIDAR DATA by Emily M. Rowe A thesis submitted to the Department of Geological Sciences and Geological Engineering In conformity with the requirements for the degree of Master of Applied Science Queen’s University Kingston, Ontario, Canada (August, 2017) Copyright © Emily M. Rowe, 2017 Abstract Rockfall hazards along railway corridors in western Canada increase the risk of train derailment, which could lead to loss of life, infrastructure, and environmental damage. In some cases, such rockfalls exhibit pre-failure deformation prior to their detachment from the slope. The goal of this research is to gain an improved understanding of such precursory behaviour, and how it may be affected by the orientation and condition of discontinuity planes constraining rockfall source blocks. This thesis therefore focuses on the nature of rockfall failure mechanisms, explored using remote terrestrial laser scanning (TLS) data. TLS data was collected at regular 2-3 month intervals at three study sites along the Thompson- Fraser valley in British Columbia, Canada – namely Goldpan, White Canyon, and Mile 109 – from May 2013 to October 2016. A total of 207 rockfalls were identified across all three sites. For each rockfall, the orientation of joints was measured in the post-failure datasets and used to establish a likely failure mechanism. Pre-failure deformation trends were assessed using a roto-translation approach, which expresses the 3-dimensional transformation of a block from one TLS dataset to a successive dataset in terms of translation and rotation components. Rockfalls were classified by their pattern of deformation as well as failure mechanism and it was concluded that toppling blocks are most likely to exhibit detectable translation and rotation deformation using this method. The pre-failure deformation of blocks at the Goldpan site was also examined using a vector-based method, which measures block movement in a direction normal to the slope. The classification of such blocks by their failure mechanism revealed an apparent linear relationship between rockfall volume and deformation magnitude and duration for toppling and wedge sliding failures, though additional rockfall cases are required to confirm this. The methods for analyzing pre-failure deformation applied in this research have limitations and uncertainties, which are discussed. This work forms a basis for the analysis of precursory rockfall behaviour, which may be used to assess the likelihood and mechanism of future rockfall events. ii Co-Authorship The thesis titled “An Examination of Structural Constraints on Rockfall Behaviour using LiDAR Data” is a product of the work completed by Emily Rowe. As this research is part of a collaborative effort, however, ideas and guidance have been contributed by Dr. Jean Hutchinson and other graduate students within the LiDAR Group at Queen’s University. The manuscripts presented as Chapters 3 and 4 were written with co-authors Ryan A. Kromer, D. Jean Hutchinson, Matthew Lato, and Antonio Abellán, who have each granted permission to use the co-written material in this thesis. Where applicable, a co-author list is included at the start of each respective chapter. iii Acknowledgements I would like to thank the sponsors of the Railway Ground Hazards Research Program without whom this research would not have been possible. In particular, technical support from CN Rail and their geotechnical engineers Tom Edwards, Trevor Evans, and Melissa Ruel has been greatly appreciated. Thank you to the students and alumni of the Queen’s LiDAR group –Matthew, Megan, Ryan, David, Richard, Zac – for good times in the field and the lab, and for giving me some of my favourite memories. Thank you to my family for their love and support. You mean the world to me. Finally, to my supervisor, Jean Hutchinson – thank you for your guidance and encouragement throughout this process and for giving me the opportunity to be part of an incredible team. Most importantly, thank you for being a role model that I continue to look up to both professionally and personally. iv Table of Contents Abstract ......................................................................................................................................................... ii Co-Authorship.............................................................................................................................................. iii Acknowledgements ...................................................................................................................................... iv List of Figures ............................................................................................................................................ viii List of Tables .............................................................................................................................................. xv List of Abbreviations ................................................................................................................................. xvi Chapter 1 : Introduction ................................................................................................................................ 1 1.1 Project Overview ................................................................................................................................ 1 1.2 Project Goals and Objectives .............................................................................................................. 2 1.3 Study Sites .......................................................................................................................................... 2 1.4 Thesis Format and Outline .................................................................................................................. 7 References ..................................................................................................................................................... 8 Chapter 2 : Literature Review ..................................................................................................................... 10 2.1 Rockfall ............................................................................................................................................. 10 2.2 Pre-Failure Deformation ................................................................................................................... 11 2.2.1 Deformation Measurement Techniques ..................................................................................... 12 2.2.1.1 Crack Meters ....................................................................................................................... 12 2.2.1.2 Extensometers ..................................................................................................................... 12 2.2.1.3 Remote Sensing and Digital Techniques ............................................................................ 13 2.2.2 Deformation Analysis Case Studies ........................................................................................... 15 2.3 Terrestrial Laser Scanning ................................................................................................................ 16 2.3.1 Time-of-Flight Scanners ............................................................................................................ 17 2.3.2 Phase-Shift Scanners .................................................................................................................. 18 2.3.3 Laser Scanning Applications in Rockfall Studies ...................................................................... 18 2.3.4 Laser Scanning Error and Uncertainty ....................................................................................... 19 2.4 Failure Mechanism Analysis ............................................................................................................. 21 2.4.1 Planar Slide Failure .................................................................................................................... 21 2.4.2 Wedge Sliding Failure ............................................................................................................... 23 2.4.3 Toppling Failure ......................................................................................................................... 25 2.4.3.1 Overhang Failure................................................................................................................. 29 2.5 Methods for Rockmass Discontinuity Assessment ........................................................................... 30 2.5.1 Orientation ................................................................................................................................. 30 v 2.5.2 Roughness .................................................................................................................................. 33 2.6 Conclusions ....................................................................................................................................... 35 References ................................................................................................................................................... 37 Chapter 3 : An Analysis of Failure Mechanism Constraints on Pre-Failure Rock Block Deformation using TLS and Roto-Translation Methods ..........................................................................................................