SME Annual Meeting

Feb. 28-Mar. 03, 2010, Phoenix, AZ

1 Copyright 2010 by SME

Preprint 10-010



GEOTECHNICAL INSTRUMENTATION RESEARCH LEADS INTO DEVELOPMENT OF IMPROVED MINE DESIGNS

H. Maleki, Maleki Technologies, Inc., Spokane, WA


ABSTRACT
This paper recognizes the 100
th
year of research
accomplishments by the mining industry resulting from close
cooperation among mining companies, geotechnical consultants and
researchers from the former United States Bureau of Mines in stability
assessments and development of improved and productive mine
designs. The paper provides an overview of dramatic developments in
geotechnical instrumentation, and its applications in the U.S. and
around the world for enhancing the understanding of ground response
to mining-induced changes in stress, resulting in improvements in
ground control technologies.
INTRODUCTION
Development of improved mine designs has become an
achievable goal in the 21
st
Century thanks to significant improvements
in geotechnical measurement techniques, great advances in numerical
modeling and decades of experience and evaluations in mining
projects all across the world. This success is attributed to close
cooperation between mining companies, academia and research
organizations. The researchers from the USBM made significant
contributions by implementing comprehensive underground
measurement programs, and making the results available to the mining
community to enhance our understanding of strata mechanics in
complex mining methods involving caving, load transfer, seismicity and
placement of backfill (Maleki 2006, Seymour et al 1988).
The focus of this paper is on pioneering research on development
and utilization of geotechnical instrumentation and measurement
techniques that have enhanced our understanding of strata mechanics
and ground response to mining-induced changes in the stress field.
The focus is on four fundamental areas: (1) Development of stress
measurement hardware and procedures highlighting the impact of far-
field stress on mine stability and its control through prudent mine
orientation, among other options (2) Application of geophysical
instrumentation for monitoring mining-induced seismicity and changes
in material properties through adoption of microseismic and
tomographic techniques (3) Development and utilization of ground
support instruments for enhancing the understanding of reinforcement
mechanisms and (4) Mine-wide utilization of other instruments for
monitoring ground deformations and stability.
APPLICATION OF STRESS MEASUREMENT TECHNIQUES
Significant mining took place during the first half of the 20
th

Century using common engineering principles and the experience in
neighboring operations, the trial and error approach and observation
techniques. Historically, the mining industry depended on quick
observations of strata deformation and failure, bolt failure, and
lithologic changes (Hilbert, 1978) to evaluate stability; these
preliminary evaluations sometimes were used to make significant
changes in mine layout and support systems, which affected the
economics of a mine. Because of the subjectivity involved in these
visual observations, the mining process was slowed, creating
inefficiencies and safety concerns during the time a decision is being
reached.
It was not; however, until the 1970s that the impact of in-situ
stress field on stability of the mine openings was fully recognized.
Central to the understanding of stress-induced failure mechanism
(Aggson 1978, 1979, Maleki et al 1991) was the development of stress
measurement techniques including both hydraulic fracturing and
overcoring stress measurements (Bickle 1993, Doliner 2004).
The USBM's borehole deformation gauge and the over-coring
technique used in many US mines have been shown to be accurate
and reliable in determining in situ stress when adequate numbers of
measurements are taken with complete relief. The method basically
consists of (1) Drilling a 38-mm-diam pilot hole at the bottom of a 153-
mm-diam borehole. (2) Setting the borehole deformation gauge in the
pilot hole. And (3) Overcoring the gauge with a 153-mm-diam bit.
Instead of the reusable USBM deformation gauges, the Hi-Cell has
found applications particularly in Australian Collieries and around the
world. Instead of completing the measurements through the
underground openings, during the 1990s, Gray (2003) developed the
SIGRA tool so that the overcoring measurements can be completed
from the surface using a downhole overcoring technique.
The gravity component of the in situ stress field can be generally
estimated from the depth of cover (vertical stress) and Poisson's ratio.
Horizontal stresses are influenced by gravity through Poisson's effect
and by the tectonic regime. For a typical Poisson's ratio of 0.15,
gravitational horizontal stress is 18 pct of vertical stress. Therefore, for
a 600-m-deep U.S. coal mine, the stress is approximately 15 MPa
vertically and only 2.6 MPa horizontally. Tectonic processes and global
plate movements also contribute to horizontal stress, and in some
underground mines, horizontal stress can be three to five times higher
than vertical stresses. In this situation, the horizontal stresses induce
stability problems. A discussion of stability problems caused by
depositional setting of mines is excluded from this paper but the
interested reader is referred to Maleki 1988b.
In mines operating under biaxial horizontal stress field, mine
orientation is the best approach to control the stress-induced stability
problems including compressive type of failure commonly called
cutters in the coal mines (Maleki et al 1991, 1993). If horizontal
stresses are high in comparison to rock strength, mines can
experience ground control problems. In general, the experience is that
the longwall panels should be oriented parallel to maximum horizontal
stress to minimize roof stability problems along the gateroads. To
optimize headgate stability during the retreat, Su and Hasenfus (1995)
suggest that the best panel orientation occurs when maximum
horizontal stress is at small deviation (20
o
to 25
o
degrees) from the
gateroad alignment and the headgate is in the stress shadow of the
gob. To increase awareness of horizontal stress problems, NIOSH
(Mark 2003) has expanded on the three-dimensional, finite-element
modeling completed by Su and Hasenfus. Maleki Technologies Inc.
(MTI, 2003) under contract from NIOSH implemented these guidelines
on Windows platform (Figure 1) while addressing the rock mechanics
aspect of stress concentration and relief using field measurements and
three-dimensional stress analyses (Maleki et al 2003).
To illustrate the use of stress measurements in mine designs and
stability assessments, results from a case study (Maleki et al 2003) are
summarized here addressing variations in measured secondary
principal horizontal stress across a western US coal mine; distance
between farthest profiles is approximately 1.5 km. In addition to three
sets of overcoring measurements at the mine level, Haimson (1972)
completed a set of hydraulic fractures within a 1,830-m-deep vertical
borehole to calculate the stress field and its relationship to earthquakes
in the area. These measurements were integrated for this paper to
address variations in both magnitude and orientation of premining
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Feb. 28-Mar. 03, 2010, Phoenix, AZ

2 Copyright 2010 by SME
horizontal stresses. Stress profiles were also used to identify arching
mechanisms in the mine roof.

Figure 1. Horizontal stress concentration results, softer developed by
MTI.
Maximum (P) and minimum (Q) measured stress profiles are
presented in Figures 2 through 5 in conjunction with biaxial
measurements of Young's modulus (top). In situ horizontal stress can
be calculated from these measurements by a statistical treatment of
those measurements far enough from the entry to exclude stress
concentrations, in conjunction with Youngs modulus obtained from
measurements using the biaxial chamber.
60
50
50
40
10
Maximum P
Minimum Q
KEY
Disking
30
20
0 1 2 3 4
DISTANCE, m
B
A
5
Figure 2. Horizontal stress and deformation modulus profile in mine
roof at site 1.
The stress measurements from site 1 (Fig. 2) were obtained from
a thin, massive limestone; because of the very high stiffness of the
limestone, which is equal to 58 Mpa, there is significantly greater
stress concentration in this unit than in any other unit in the mine roof.
The in situ stress field agrees with the stress trend measured at sites 2
and site 3 (Figs. 3 and 4 and Table 1), confirming a stress field
oriented approximately N76
o
E with a maximum horizontal stress of
14.7 MPa and a minimum stress of 9.9 MPa. Maximum stress is
oriented parallel to the cleat and increases slightly from site 2 toward
site 3.
60
50
40
30
20
10
0
20
10
0 1 2 3 4
DISTANCE, m
5
A
B
Maximum P
Minimum Q
KE Y

Figure 3. Horizontal stress and deformation modulus profile in mine
roof, site 2.
20
10
0
30
20
0 1 2 3 4 5
DISTANCE, m
A
B
Maximum P
Minimum Q
KEY
10
Disking

Figure 4. Horizontal stress and deformation modulus profile in mine
roof at site 3.
Table 1. Maximum and minimum horizontal stress field and depth of
cover.
Location
Maximum,
MPa
Minimum,
MPa
Direction
of
maximum
Depth
of
cover, m
AOvercoring site:
Site 1
Site 2
Site 3

42
13.6
14.7

21
9.6
9.9

N88W
N79E
N73E

210
184
350
BHydraulic fracture,
Rangely oilfield

59

31

N70
o
E

1,830

Stress measurements were also obtained at site 4 (located at 30
m distance to site 3) (Fig. 5), suggesting a shallow pressure arch in the
mine roof at this location. The roof consisted of a massive, stiff
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Feb. 28-Mar. 03, 2010, Phoenix, AZ

3 Copyright 2010 by SME
siltstone that concentrated stresses as high as 28 MPa at a distance of
1.5 m above the roof line. This stress magnitude and distance relate to
the stress concentration (arch) in the mine roof and agree with the
moderate stress field of 13.6 to 14.7 MPa measured at site 2 and site 3
when differences in roof rock properties are taken into account using
numerical modeling techniques. Stress concentration and roof arch
appear to have shifted approximately 3 m into the roof at site 3 (Fig. 4);
this shifting was probably influenced by inelastic behavior of
carbonaceous rocks in the immediate roof and formation of crack
(cutter type) failure by the ribs.
40
30
20
10
20
10
0 1 2 3 4
DISTANCE, m
5
A
B
Maximum P
Minimum Q
KEY
30

Figure 5. Horizontal stress and deformation modulus profile in mine
roof at site 4.
The relationship between the horizontal stress field and cover
depth is illustrated in Figure 6. A slight stress in-crease occurs over a
distance of approximately 1.5 km, as one moves from site 2 toward
site 3, which is both at greater depth and closer to a syncline. (The
syncline is located about 1-1/2 km to the north of site 3.) The stress
increase can reasonably be accounted for by the increase in cover
and/or measurement accuracy. Thus, the in situ stress field is not
influenced by the syncline at this location. However, hydraulic fracture
measurements (Table 1) suggest significant stress increase with depth
and distance to the N50
o
E regional strike-slip fault. This increase is
more than would be expected from overburden weight and so is likely
to be the result of stress concentrations near the fault or the method of
measurement overestimating the stress. These hydraulic fracture
measurements were taken 7 km from the mine site and are presented
in Figure 6 to compare with mine site measurements.
APPLICATION OF GEOPHYSICAL MEASUREMENT TECHNIQUES
Geophysical monitoring techniques have also evolved
considerably during the last century, benefiting from great
improvements in the area of data acquisition and processing. These
measurements have mostly been used to monitor changes in stability
of rock masses by measuring rock deformation and fracturing.
Stability assessment is generally carried out by comparing
measurements between initial (or expected) conditions and
predetermined critical levels for the material under investigation. For
instance, if changes in seismic velocities reach a critical level of 17
percent, the roof is expected to behave inelastically, requiring
supplementary support (Maleki, 1993b).
On the large scale, geophysical techniques have become
increasing popular in monitoring mining-induced seismicity, in view of
the Crandall Canyon Mine disaster (Arabasz and others 2005), more
recently. These techniques listen and record rock noise: under stress.
For a good discussion of these techniques, the interested reader is
referred to publications by Swanson 1995, Estey 1995 and Maleki
1995. The focus here is on the application of tomographic techniques
to stability evaluations and improvements in designs.
N
10 MPa
15 Mpa
Holes 1 and 3
Sites 3 and 4
21 MPa
42 MPa
Site 1
10 MPa
14 MPa
Site 2
59 MPa
31 MPa
N 70 E
N 79 E
N 88 W
N 73 E
30
150
0 300
Scale, m
150
Rangely Oil Field
Overburden
contours, m
Stress ellipse
KEY

Figure 6. Measurement location and stress ellipsoid.
Fracture initiation has been monitored using microseismic
emissions (Repsher and Steblay, 1985), and fracture density has been
recently studied using a controlled source and tomographic techniques
(Maleki, et al, 1993). The latter approach has allowed changes in roof
stability to be compared to roof deformation and fracturing, which can
significantly influence dynamic properties such as velocity, attenuation,
Young's modulus, and Poisson's ratio.
Controlled source techniques have also been used to identify
fracture zones and zones of high stress in pillars (Jung, Ibrahim, and
Born, 1991; Friedel, Jackson, Tweeton, and Olson, 1993; Westman,
1993, Maleki and Hollberg 1995); the latter is based on experimental
evidence showing an increase in seismic velocity with stress increase.
Figure 7 illustrates typical geometries used in a controlled-source
tomographic survey to evaluate roof and floor stability. Pillar surveys
are similar except that there is usually access to all sides of a pillar,
while contact is limited to three sides (two source boreholes and the
roof) for roof or floor surveys. The impact source is generally some
sort of hammer that transmits energy to the rock within source
boreholes or directly to the pillar. Accelerometers are attached to the
mine roof, floor, or pillar to receive the signal generated by the impact.
These techniques quantify wave velocity within a volume of rock (area
of interest, Figure 7) in contrast to obtaining point measurements when
using sagmeters. Using the crosshole seismic tomography today it is
possible to study the structure under investigation by a high density of
waves traveling between sources and receivers. This is analogous to
the use of a computerized axial tomography (CAT) scan of the human
body, but sound waves are generated instead of X-rays.
The components of a crosshole seismic survey developed for
routine underground applications are described by Maleki and others
1992. A PC-based, 13-channel system with programmable gains
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4 Copyright 2010 by SME
capable of acquiring up to 150,000 samples a second was used for
data acquisition. This system utilized an analog digital board,
amplifiers, filters, and a trigger unit (Maleki, Ibrahim, Jung, and
Edminster, 1992).
Entry
Source
Receiver
Area of interest
KEY
B B'
A'
A
Entry
Borehole
E ntry

Figure 7. Typical three-sided seismic surveys of roofs and floors. top,
Plan view; middle, cross section along A-A
1
; bottom, cross section
along B-B
1
.
Selected results from a comprehensive case study is presented
here to show the application of the tomographic techniques for
assessing changes in structural stability in a trona mine where
tomographic surveys were complimented with deformation
measurements and fracture mapping. Significant changes in seismic
wave velocities, amount of roof separation, and number of roof
fractures occurred during the monitoring period. Supplementary
support, consisting of 2.4-m-long fully grouted resin bolts and straps to
control roof deformation, was installed on day 80. Roof and floor
movements and pillar dilation were all large, indicating rock failure and
complex strata interactions around the mining excavation.
Wave velocities were reduced by 22 percent at the intersection
and by 15 percent at mid-pillar during the 120-day monitoring period.
Figure 8 and table 2 demonstrate the calculated changes in dynamic
properties.
Table 2. Calculated changes in dynamic properties.
Factor Percentage of change
Seismic velocity 21
Maximum amplitude 22
Dominant frequency 48
Deformation modulus 51
Poisson's ratio 125

A preliminary relationship between velocity changes and
supplementary support requirements was established for the case
study using these measurements. On day 80, wave velocities were
reduced by approximately 17 percent at the intersection because of
increased fracturing and possible roof destressing (Maleki, 1993b).
The roof had deformed 60 mm since development. Changes in wave
velocity greater or equal to 15 percent may be used as a criterion for
allocating supplementary support.
0
1
2
3
0
3
6
9
12
15
2,100
2,400
2,700
3,000
3,300
May
F ebruary
3,600
Trona
Marlstone
KEY
15 days
30 days
45 days
60 days
80 days
120 days
0
4 0 4 12 8 16
DISTANCE, m
KEY 200
100

Figure 8. History of roof velocity and deformation along B-B
1
during
4-month monitoring period. top, Velocity; bottom, deformation.
APPLICATION OF DEFORMATION MEASUREMENT TECHNIQUES
Deformation measurements have found wide applications for
assessment of roof stability in coal, hard rock and evaporates within
the last three decades (Maleki, 1988a, 1993a) and yield pillar
performance; these measurements are inexpensive, simple, and
reliable but require some protection of the instruments and cables from
fly rock and mining equipment. Development of failure zones in mine
pillars is similarly associated with rib fracturing and dilation, which is
measured using dilation points and tape extensometers (Maleki, et al
2003).
Deformation measurements are obtained with extensometers and
roof-to-floor convergence meters. These measurements have become
very popular for assessment of roof or pillar stability in underground
mines, nuclear waste repositories (Maleki 2009), and strategic storage
facilities for oil and liquid gas, among others.
Measurements of amount and rate of roof deformation have been
extensively used in both longwall and room-and-pillar retreat mining
systems (Maleki, 1993a, 1988a). Because there is a large database
involving a variety of geologic and stress conditions, there are
preliminary criteria for the routine use of this technique in underground
coal mines.
Measurements in seven U.S. mines have indicated that most
coal-measure rocks deform 2 to 7 cm prior to roof collapse and then
accelerate to a critical velocity called the "critical rate." Between the
initiation of the critical rate and the actual roof fall, a period of time
elapses that is called time to caving.
The rate of roof movement is a good indicator of roof stability,
because it indicates a change in the stability of the whole mining
system. A change from a steady rate of movement to a high (critical)
rate can indicate roof block detachment, loss of support effectiveness,
roof shearing by pillars, or impending pillar failure.
A history of relative roof deformation is presented in figure 9 for
the middle entry of a longwall headgate, to illustrate the application of
these simple, inexpensive measurements. The span was 6 m; the
immediate roof consisted of mudstone overlain by a fluvial sandstone,
and the primary support was 1.2-m-long mechanical bolts and straps.
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Sandstone
Mudstone
Coal
Sandstone
Mudstone
Coal
Sandstone
Mudstone
Coal
Bed separation
Bed separation
Shearing
Roof caved
0.1 cm/day
0.12 cm/day
0.05 cm/day
1-m anchor no. 2
2.5-m anchor no. 1
1.25
1.00
.75
.50
.25
0 10 20 30 40 50 6
150 100 25 0
F ACE POSITION, m
TIME, days
0
50 75 125 175

Figure 9. History of roof deformation for a longwall gate road.
Roof deformation was monitored by two wire sagmeters (Maleki
1981), with anchors 1 (at 2.5 m) and 2 (at 1 m) positioned above and
below the bolt anchor horizon, respectively. Relative roof movements
were calculated (fig. 9). The difference between the two curves reflects
bed separation in the mine roof.
After development, roof movements reached 0.05 cm/day, which
resulted in roof flaking. Installation of posts reduced the rate of roof
movement, but did not stop bed separation at the sandstone contact.
As the longwall face approached within 100 m of the instrument, bed
separation and rate of roof movement significantly increased.
Installation of additional support slowed movement, but another
accelerated roof movement and bed separation cycle occurred as the
longwall face came within 30 m of the instrument. This was followed
by a roof fall that occurred approximately 4 days after the last
accelerated roof movement. The critical rate of roof movement and the
time-to-caving are best established by actually monitoring unstable
roofs.
A critical rate of roof sag of 0.05 cm/day was determined on the
basis of 142 measurements in three mines with 6-m spans and stable
pillars (table 3). This critical rate was based on roof sag
measurements along the gate roads of five panels where no secondary
support had been installed. Installation of secondary supports
generally stabilized roof movements; therefore, measurements taken
near secondary supports were excluded from the study. Maleki
(1993a) has addressed these same caving parameters for another four
pillar-pulling operations where spans are gradually increased to 15 m
and pillars crush to residual strength.
Table 3. Critical rate of sag for different mines using 6-m spans.
Mine
Critical
rate,
cm/day
Time to
caving,
days
Number of measurements
1 0.06 2 to 8 115
2 0.08* NA 24
3 0.05 9 to 11 3
*No failure was recorded but area was unstable.

REINFORCEMENT MEASUREMENT TECHNIQUES
The aforementioned methods are most suitable for monitoring
changes in rock mass deformation and stress conditions. There are
other useful measurements developed within the last three decades
that indicate strata movement, but that do not directly lend themselves
to evaluations of structural stability. Measurements of bolt tension
(Maleki, 1992b), for instance, provide indirect indications of roof
movements, but also valuable insight into reinforcement integrity and
load transfer from the rock to bolts and loss of anchorage leading into
roof stability problems.
To illustrate the use of instrumented fully grouted rebars, results
from a case study is presented (Maleki et al 1994). Six to eight
instrumented bolts were installed in the two test sections, conventional
bolting and an alternative pattern using higher density of roof bolts.
The mine used 2.5-m-long No.7 Dwyidag bolts with 1.5 m of resin
grout in a 1.2- 1.2-m bolting pattern. These bolts had a yield and
ultimate capacity of 182 and 260 kN, respectively. The yield strength of
six slotted bolts was 977 kN, which was 7.1 pct higher than the 912-kN
strength of five regular bolts; therefore, the measured loads on the
instrumented bolts in the conventional section would be lower than the
loads on the regular bolts. These bolts contained six pairs of strain
gauges mounted at 0.6, 1, 1.4, 1.7, 2, and 2.2 m along the entire bolt
length; special procedures were developed to protect the strain gauge
wires, and the bolts were carefully oriented with respect to the entry to
allow an evaluation of bending moments.
reduced the yield strength to 163 kN and the ductility to between 9 and
12 pct. When data from the instrumented roof bolts were reduced, the
correlation coefficients from the axial calibrations were used to convert
voltage changes to load changes. This process was accurate to
0.4 kN. The strain gauges used are functional to approximately
50,000 microstrain, and the slotted bolt will yield at approximately
2,300 microstrain.
The axial and bending loads at the locations with strain gauges
were compared to assess the support-rock interaction. The axial bolt
loads measured immediately after installation were generally less than
20 kN and increased rapidly in response to mining and strata
deformations. Figure 10 compares mean axial bolt load history for the
conventional test section.
-25 to 0 kN
0 to 25 kN
25 to 50 kN
50 to 75 kN
75 to 100 kN
100 to 125 kN
125 to 150 kN
150 to yield
1
2 3
4
5 6
KEY
A
B
C

Figure 10. Roof bolt load profiles after bolt installation for conventional
section A: 1 day, B: 1 week, C: 2 months.
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The bending moments generated by the bolts at 1 week after
installation (fig. 11) confirmed that there was significant lateral
movement toward the entry within both the immediate and intermediate
roof. In the first test section, the moments were maximum within and
near the rider-seam-coal interface. In the alternative section with
increased reinforcement density, the moments were more uniformly
distributed along the entire length of the bolts. The first, conventional
section allowed more rock movement. This could produce failure
planes or surfaces that would create higher localized bending stresses
in the bolts. If the rock remained intact, then the bending stresses
would be more evenly distributed (Fig. 11B).
1
2 3
4
5 6
+
+ +
+
+ +
No gauge
0 to 50 N-m
50 to 100 N-m
100 to 150 N-m
150 to 200 N-m
200 to 250 N-m
250 to 300 N-m
300 to 350 N-m
350 to 400 N-m
400 to 450 N-m
KEY
13
7
11 8
12
9
10
14
+
+
+
+
+
+
+
+
A
B

Figure 11. Bolt bending moment profile one week after installation A:
Conventional section, B: Alternative section.
CONCLUSIONS
Development of improved mine designs has become an
achievable goal in the 21
st
Century thanks to significant improvements
in geotechnical measurement techniques, great advances in numerical
modeling and decades of experience and evaluations in mining
projects all across the world. This success is attributed to close
cooperation between mining companies, academia and research
organizations.
Using in-mine measurements of stress, deformation and seismic
wave velocity in coal and trona mines, the importance of pioneering
research on development and utilization of geotechnical
instrumentation and enhancing our understanding of strata mechanics
and ground response is demonstrated. Case studies demonstrate the
successful, practical use of the following techniques in stability
evaluation and mine designs: (1) stress measurements influencing roof
stability and bolt loading depending on the magnitude of stress, rock
strength and orientation of stress in respect to the workings (2)
geophysical instrumentation showing significant changes in roof
stability during development particularly at an intersection in one study
mine in evaporates (3) mechanical sag meters for predicting potential
for roof falls and (4) instrumented fully grouted bolts enhancing the
understanding of reinforcement mechanisms depending on support
density.
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rd
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SME Annual Meeting
Feb. 28-Mar. 03, 2010, Phoenix, AZ

7 Copyright 2010 by SME
22nd International Conference in Ground Control in Mining,
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