1. Introduction
Rockfalls are a widespread phenomenon, especially in mountain areas. They are unpredictable and extremely rapid processes [
1,
2] that exhibit high kinetic energies, and thus, have large damage capacities, often resulting in human casualties and damage inflicted on infrastructure [
3,
4]. Rockfalls occur when a fragment of a rock or block detaches from a steep slope or cliff [
5], and the moving mass travels mostly through the air by free fall, leaping, bounding, or rolling, with little or no interaction with other moving rocks [
6]. The combination of different factors influences the detachment of the rocks, including geological predispositions, climate conditions (e.g., freeze–thaw cycle), weather (intensive rain periods), seismic activity, vegetation growth, etc. [
7]. The fragmentation of rocks down the slope provides information for reconstructing trajectories and for further performing run-out analyses. In the detachment process of the rocks from the rockfall source (e.g., rock wall and steep slope), rocks will be fragmented and reach different volumes and kinetic energies, and due to the impacts, the rocks will be scattered along the slope [
8].
In order to implement either technical protection measures (e.g., rockfall dams and flexible nets) or biological measures (e.g., protection forests), an assessment of rockfall hazards and risks is necessary. Assessments of this phenomenon in time and space remain a challenge as they include various factors. These include the location of the rockfall source area, the frequency and volumes of detached rock mass, the fragmentation of the detached rock mass, the size and the shape of the moving rock mass, the dissipation of the kinetic energy during rebounds and impacts with trees or lying logs [
9]. Realistic predictions of the rockfall’s runout area are possible by modeling rockfall trajectories and the maximum extent of rockfall runout zones with rockfall trajectory simulations [
10,
11,
12,
13]. The results of such simulations are, e.g., propagation probability, kinetic energies, passing heights of simulated rocks, the number of passing rocks, energy line angles, etc. Modeling results are further used in planning technical protection measures, e.g., for planning the locations of rockfall nets, screens, and barriers; for calculating kinetic energy, vertical passing heights, velocities, rotational velocity, impact angles, and passing heights of rocks when they arrive in nets [
10,
11,
12,
13]. In quantitative hazard and risk analyses of rockfalls, the quantification of rock deposits and their fragmentation is needed [
8]. The distribution of deposited rock masses and their volumes will be key in reconstructing past rockfall trajectories and defining runout zones and the magnitude of rockfall events [
13]. If realistic rock sizes will be used in rockfall models, the modeled trajectories and kinetic energies will be more realistic [
8].
To calibrate the rockfall models accordingly to real past situations, key data will be the locations and dimensions of corresponding deposited rock masses [
14], as the dimensions and volumes of the rocks are input parameters for rockfall models. This will require the use of existing inventories about past events; however, these inventories might vary and can be based on different sources, and they might not always contain quantitative and detailed information (e.g., dimensions or volumes) about the rock masses [
15,
16,
17,
18]. The issue with existing rockfall databases is that they often have low spatial accuracy, poor information about the rockfall event, and lack information on the rock masses’ dimensions or volumes [
14], which are usually only recorded at the maximum runout areas. Therefore, field collection is required to obtain truthful and reliable data on past events [
8,
14]. However, field collection can be challenging [
19], mainly because rockfalls occur in mountainous areas that are remote and difficult to access. The collection of data, e.g., the dimensions of deposited rock masses, is labor-intensive and time-consuming since measurements are performed by hand using a measuring tape and are dangerous since new rockfall events during field collection operations might occur again [
8,
14,
20,
21].
Methodologies that propose an objective and systematic collection of rockfall deposits and their dimensions are limited. Ruiz-Carulla et al. [
21] presented a methodology for mid-size fragmented rockfalls (10
3 up to 10
5 m
3) that consists of counting and measuring block fragments in selected sampling plots with homogeneous zones in young debris covers as well as large and scattered rocks. Biagi et al. [
18] proposed a three-step procedure for the collection of rock deposits at the foot of a slope, combining data from the existing catalogue of events and measured volumes that have fallen down the slope. Žabota and Kobal [
14] showed a method comprising the collection of the representative spatial distribution of rock deposits within rockfall runout zones with the use of a mobile application. Marchelli and De Biagi [
22] presented a method for collecting rockfall deposits by determining one or more homogeneous area within the rockfall runout, and in each area, a sampling subarea is identified. Furthermore, each subarea is then divided into four equally sized areas where the sampling is performed. Wegner et al. [
23], in their approach, measured the rocks deposited on the talus’s surface, covering the upper and lower parts of the talus cones. In that study, rocks only had one dimension (width/length/height), measuring at least 0.5 m.
To overcome the limitations of hand-measuring methods on the field and potentially increase the sample of measured rocks, we can currently take advantage of different digital 2D and 3D data. With modern remote sensing techniques, with respect to surveying, such as unmanned aerial vehicles (UAVs) in combination with different sensors (e.g., RGB cameras; light detection and ranging—LiDAR; multispectral or hyperspectral cameras) [
24], obtaining high-resolution LiDAR, and photogrammetric products are possible. There has been a substantial expansion with respect to UAV photogrammetry and LiDAR in the application of studying rockfall activities. This technology has the ability to remotely capture exposed and endangered areas, allowing for both safe and efficient work while simultaneously providing high-resolution data (up to a few centimeters) [
25,
26].
These applications have been observed with the monitoring of rockfall activity; the detection of early movements; the characterization of joints, discontinuities, and detachments in slopes; the reconstruction of detached rock dimensions and volumes; the modeling of rockfall runout zones, and the production of risk and susceptibility maps; and monitoring forests with protective effects against rockfalls, etc. [
4,
27,
28,
29,
30,
31,
32,
33,
34,
35,
36,
37]. The key feature of UAV remote sensing data is the three-dimensional surface (3D point cloud), which is either surveyed with LiDAR sensors or produced with structure from motion (SfM) techniques from images. Digital surface models (DSMs) provide data about the terrain, vegetation, and other features in the landscape that could be subjects in rockfall risk analyses (e.g., infrastructure, buildings, and vegetation [
27]). With the classification of 3D point clouds, it is possible to create a digital terrain model (DTM) that represents the main geometrical characteristics of the surface.
Several authors have shown that UAV remote sensing data can effectively be used for reconstructing rockfall activity. Sarro et al. [
27] used UAV photogrammetric 3D point clouds to determine the average size and volume of the rocks that are detached from the rock wall. The data were implemented in RockPro3D software, which was used to obtain the travelling distance of the rocks. Spreafico et al. [
38] used the results of the UAV photogrammetric survey for the block identification and classification of their surfaces and further compared the rock-scattering results with the results of a discrete fracture network (DFN) model. Vanneschi et al. [
7] used UAV photogrammetric 3D point clouds to identify and measure rocks in order to use them in the 3D modeling of rockfall trajectories using Rockyfor3D. Robiati et al. [
39] extracted a digital surface model from SfM and Multiview Stereopsis (MVS) and rock sizes to model rockfall runout zones using two models: Rocfall and Rockyfor3D. Francioni et al. [
40] used UAV photogrammetric point clouds to extract rock volumes as inputs for rockfall simulations. They digitalized over 600 rocks on orthophotographs with volumes larger than 1 m
3 to calibrate rockfall modeling with Rockyfor3D. Gallo et al. [
41] derived a digital elevation model from UAV photogrammetry, in combination with photos identified, and they measured more than 600 brocks in the GIS software. The measured rocks were further used in modeling rockfall runout areas with RocPro3D.
To overcome the issues related to the measurement of rock deposits on the field and to obtain a representative sample in order to model rockfall trajectories and potential runout zones, this study aims to gather the required data with UAVs. In particular, different sensors mounted on UAVs can be used for obtaining input parameters for rockfall modeling. The purpose of this study was to obtain the locations of the rockfall deposits and their dimensions (length, width, and height) in order to perform a reconstructive analysis of rockfall events. Within the scope of this paper, a methodology for obtaining a representative sample of rock deposits and their dimensions is presented, while using the measured values in the 3D modeling of rockfall propagation and runout zones. Additionally, in order to reduce the amount of fieldwork and tape measurement of individual rocks, measurements of selected rockfall rock deposits on the field were carried out in order to directly compare them to the measurements of the same rocks using UAV LiDAR and photogrammetric point cloud scanning. The decision made on including different sensors in the study was to provide insights on which sensors are more/less appropriate for collecting data on rock dimensions and volumes, and the motivation for deciding on the sensor is largely related to their different costs (e.g., RGB cameras mounted on commercial UAVs vs. UAV LiDAR sensors), and abilities with respect to covering different surface areas. The research question is as follows: will there be statistically different or similar results in the modeling of rockfall runout zones when using photogrammetric or LiDAR point cloud as a source of rock dimensions and volume measurements, in comparison to the field measurements? Moreover, the values of the measured rocks based on three methods were further used in modeling the rockfall runout zone to test if the differences between the measurement methods influence the final modeling results. With that purpose, three modeling results were compared between the measuring methods: maximum runout zones, kinetic energies, and the passing heights of rocks were statistically compared.
4. Discussion
Different UAV remote sensing techniques have an important role in reconstructing past rockfall activity and in modeling potential rockfall runout zones in order to reduce rockfall risks posed to human activities. They can significantly reduce the number of conventional field surveys and further improve the safety of field operations [
75]. The main aim of the study was to reconstruct the dimensions of a 3D rock object from a point cloud that is either based on photogrammetry or LiDAR scanning and to use them as input parameters in a rockfall model that simulated the trajectories and runout areas of rockfalls. A comparative analysis of measurements from point clouds was also performed for the modeling results of classical measurement approaches when rocks are measured in the field. The motivation behind this study is to obtain improved safety conditions and to reduce the time needed for performing surveys in rockfall-exposed areas.
Several complex methods for extracting rock dimensions from point clouds are available [
35,
36,
37,
63]. Those methods include several factors for defining rocks that can be detached from the rock walls (e.g., joints and plane intersect) since the height of the rocks cannot be easily determined. Consequently, there is a need for using more complex algorithms that are time-consuming during extraction processes. In our study, an envelope method based on the minimum bounding volume was used for extracting the dimensions (width, length, and height) of rock deposits in the runout areas. The method has proven to be successful, and as the majority of deposits rocks can be observed from all directions (if they are not buried by other rocks), the extraction of dimensions can be performed by using less complex algorithms that are also less computationally intensive and could potentially be used by different users with different expertise knowledge relative to processing point clouds. However, when using a minimum bounding volume method, it must be taken into account that the method can largely be sensitive to potential outliers [
63]; thus, it is critical that the extraction of individual rocks from points clouds is carried out precisely.
The comparison of dimensions and volumes, extracted from photogrammetric and LiDAR point cloud methods, has shown that the differences in the results of the field measurements are not statistically significant. Moreover, the differences are also negligible in the case of modeling rockfall propagation areas, meaning that the inputs of measurements based on all three methods can successfully be used in modeling rockfall runout zones. Generally, the values differ within a similar range with respect to all three methods; the noticeable differences are only that the measurements of LiDAR point clouds on average achieved the largest values, while field measurements achieved the lowest values. Statistically significant differences between the measurement methods were present when comparing the modeled maximum kinetic energies; here, measurements from LiDAR scanning methods achieved values that were larger by more than one degree compared to field and photogrammetric measurements. Since the inputted dimensions of the rocks in the model are the largest when using LiDAR measurements, the expected kinetic energies will consequently be larger due to the mass of the rock. Additionally, the rocks will have a slightly different interaction with the ground and produce different traveling trajectories compared to using field and photogrammetry methods, and rocks will be deposited higher up-slope than in the case of LiDAR measurements. On the other hand, the differences between the maximum passing heights are almost negligible; this shows that the model is less sensitive to the changes in the inputted rock dimension parameters and passing heights, which are more related to the surface’s roughness and are constant in the case of all methods. The largest differences in the passing heights would be expected in areas that are in contact with the forest. However, based on the used methodology of extracting both kinetic energy and passing height values, none of the rocks within high or medium hazard risk are not located in the forest, while also no rocks were located within the calculated low hazard risk that is located within the forest at two study sites. The values of the maximum passing height at the Mangart site were more scattered when comparing field measurements to LiDAR or photogrammetric measurements at the other two locations. The Mangart runout zone is less homogeneous (meadow with rockfall deposits and surface rockiness) than in the case of Kekec/Krnica (terrain with scree materials), and this homogeneity is expressed in modeling results. The trajectories between the measuring methods are not identical due to different inputted rock dimensions, meaning that interactions with the ground (in the model represented with DTM) will not be the same. Since meadow terrain is mixed with rocks at the Mangart site, traveling rocks have different trajectories in the model and they can be more or less in contact with the ground (grass), or other rocks can be present on the ground. This is reflected in the variety of maximum passing heights as the rebound is related to the type of ground surface. The surface roughness values between rg70, rg20, and rg10 have smaller differences in the case of the Kekec and Krnica sites than with the Mangart site, which is based on the mean obstacle size of the ground. Larger differences express larger possible deviations with respect to how rocks rebound in the model. However, the mean values are still comparable between the methods.
Commonly, field measurements are called and used as “truthful data” in different rockfall modeling analyses [
8,
14,
20,
21]. However, in our experience and based on the results of this study, we argue that the field measurements of rock dimensions might not always represent the best results. Measuring rocks on steep slopes presents a challenge itself, in addition to the surface’s roughness. Moreover, when in the field, we were not able to estimate the geometry of the individual rock; in these cases, we would measure the largest width, length, or height extent. Even though we can help by identifying simple rock shapes—e.g., rectangular, ellipsoidal, spherical, and disc shapes [
11]—defining the location of maximum extents is impossible. This will be even more difficult with larger rocks that have irregular shapes; with those, we cannot clearly determine the contact of the rocks with ground/other rocks when measuring the height. From this perspective, the measurements of a rock’s dimensions might not be consistent and can consequently result in unrepresentative measurements [
63]. This is reflected also in our results where the rock field measurements were underestimated compared to measurements using photogrammetric and LiDAR point cloud methods at all study sites. The following two methods have largely comparable results, with LiDAR measurement results being slightly more representative of the rockfall propagation probability modeling results. The measurement of rock dimensions with the proposed minimum bounding volume method can be compared to field measurements and provide more harmonized data that are associated with less bias-related tape measurements, which require recording the measured values by hand (and are related to possible human mistakes). Moreover, the method can decrease the time needed for preparing input data and parameters for rockfall runout modeling. Since surface roughness parameters are related to rock heights, both parameters can be extracted from point clouds using the proposed methodology.
Nevertheless, measurements from both LiDAR and photogrammetric point cloud methods can successfully be used as sources of input parameters for rockfall modeling. The differences between methods can be exhibited in situations where there are vegetated areas (e.g., forests, bushes, and tall grass). In those cases, the LiDAR point cloud method is more advantageous due to the penetrating ability of laser pulses that can be propagated through vegetation. Moreover, LiDAR scanning is less affected by lightning conditions than photogrammetric surveys. Photogrammetry relies more on the reflections of light from the imaged surface or object; therefore, factors such as cloud cover, camera angle, the time of the day, etc., can greatly affect final products. The overlap between images must be high enough to achieve the desired accuracy of the data (e.g., point density), while it is possible to cover larger areas to achieve the same result with LiDAR [
76]. LiDAR pulses can also exhibit deeper penetration, and they can obtain more points on the sides of the rocks, resulting in a higher-density point cloud, which further enables more precise estimations of the shape of the rock and its dimensions. The following can be particularly crucial for measuring the height of rocks. The identification of rocks in LiDAR point clouds is strictly bound to the geometry of the surface; thus, interpreting the data can be more difficult. In colorized point clouds, the distinction between the rock and, e.g., neighboring rocks or vegetation (e.g., bush or tall grass) can be clearer [
38].
Using an envelope of the minimum bounding volume is a relatively simplified method of reconstructing rock dimensions, and it is not demanding from a computational point of view [
63]. A method such as this one could enable the collection of larger samples of rock deposits in comparison to the number of rocks that could potentially be measured on the field in, e.g., one day. Larger samples would therefore mean a more truthful representation of the actual rock dimensions and volumes. The increased samples of rock deposits, which can be obtained with this methodology, can then assist in the validation of rockfall models both on local and, especially, regional scales, potentially enabling the increased identification of rockfall risks at larger scales and resulting in the improved planning of rockfall protection measures and the management of rockfall protective forests [
60,
77,
78].
From the perspective of modeling the rockfall runout area, all three measuring methods have proven to be successful and equal since the small differences in the rock dimensions do not provide significantly different modeled propagation areas. On the other hand, within the modeled propagation area, the largest differences due to changed input values with respect to rock dimensions were observed in the maximum kinetic energies but not for maximum passing heights. Consequently, when planning technical protection (e.g., nets), the source of the rock measurement will be crucial, especially since the measurements on the field can provide “false negative” results by not detecting higher kinetic energies, and rockfall risks with the protection measures cannot be significantly minimized to provide safety for human activities. Based upon these observations, measurements from LiDAR point clouds prove to be more effective solutions, with results that provide improved safety from the aspect of predicting maximum kinetic energies. Moreover, different approaches should be tested with respect to how maximum kinetic energy and passing height values are extracted—such as by not extracting them at the local scale and by considering the location of individual rock deposits within the entire rockfall propagation area.
5. Conclusions
This study has shown the application of UAV-acquired LiDAR and photogrammetric point clouds for measuring rock dimensions in order to provide input parameters for modeling rockfall propagation areas. The purpose of the study was to show that these datasets can be used as an alternative to the traditional approach of measuring rock dimensions on the field by using a measuring tape. With UAV surveys, it is possible to cover larger areas and obtain data at larger scales, with decreased fieldwork efforts and most importantly improved safety conditions for fieldwork at rockfall areas. This study provided a comparison of measurement methods with respect to rock dimensions (width, length, and height) between field, LiDAR, and photogrammetric survey methods.
The results of this study show that the minimum bounding volume method can be used for extracting the dimensions of rocks from LiDAR and photogrammetric point clouds since the measured values are comparable to those on the field. The differences between all methods were also not statistically significant when comparing the volumes of the rocks. LiDAR measurements provide the largest mean values with respect to dimensions and volume, while field measurements provided the lowest values. Nevertheless, when using the mean dimension values as inputs into the model, the GOF indexes have shown that the model has similar rockfall propagation probability prediction rates in the case of all three methods. LiDAR-derived dimensions provide slightly better results.
From the rockfall modeling results, maximum kinetic energies and maximum passing heights were compared between the three measuring methods. Even though there were no statistically significant differences between the maximum passing heights, they were present for the maximum kinetic energies. The following modeling output resulted in values that were more than one-time larger compared to the measurements obtained using photogrammetric point clouds and field measurements. Based on the results of the study, we can conclude that all three rock measurement methods can be used for defining the extent of rockfall propagation areas; in contrast, for planning technical protection measures, more in-depth considerations must be taken with respect to which measurement method will be used, particularly from the perspective that real kinetic energies cannot be missed and that protective measures are not planned sufficiently when attempting to reduce rockfall risks.
The study highlights the positive use of UAVs when providing input parameters for rockfall modeling, and it demonstrates how it is possible to overcome traditional and time-consuming surveys with the extraction of necessary rockfall parameters using either LiDAR or photogrammetric point cloud methods. Both point clouds can successfully be used in rockfall analyses, with LiDAR surveys being more appropriate in vegetated and forested areas. However, based on the higher cost that LiDAR sensors present compared to camera sensors, photogrammetry can also be a good alternative, as was proven by the results of this study.