Montreal Energy & Mines, Montreal, April 29- May 2, 2007

Integrated Modelling of Subsidence Mechanisms and Impacts Due to Mine Caving

Elmo Davide1

OConnor3 C., Vyazmensky1 A., Stead1 D., Dunbar2 S., Eberhardt2 E., Scoble2 M., and Moss4, A.
1
Simon Fraser University, Vancouver.
2
University of British Columbia, Vancouver.
3
Itasca Consulting Canada Inc.
4
Rio Tinto plc

Abstract

With ever-increasing global demand for mineral resources, numerous mines are moving towards developing and
mining deeper, more complex and lower grade ore bodies. In many cases, mass mining methods (e.g. block caving)
are being considered to deal with deeper, lower grade deposits. The body of practical knowledge, however, related
to the impacts mass mining methods have on the surface environment in terms of rock mass response, subsidence,
etc., is limited, imposing both economic risks to the mine and safety risks to mine personnel. This paper presents the
framework for and preliminary results from a large collaborative research initiative between Diavik Diamond Mines,
Rio Tinto, the University of British Columbia (UBC) and Simon Fraser University (SFU). The project involves the
integration of available subsidence, rock mass, mine operation and monitoring data, together with the advanced
application of combined finite/discrete-element modelling codes capable of simulating fracture behaviour, cave
propagation and surface subsidence above block cave mines. The main objective of this work is to develop advanced
numerical modelling methods to characterize complex rock mass behaviour above block cave mines. The research
will also include the study of rock deformation mechanisms associated with the transition from surface to
underground mining and the potential interaction between simultaneous open-pit and underground mining
operations.

1 Introduction
Subsidence modelling associated with block caving is complicated by the variety of ground
deformation mechanisms that may occur between the underground caving operation and the
surface. These progressive ground deformation processes require characterisation both in space
and time throughout the rock mass between the cave and the surface. Although significant
advances have been made in modelling brittle fracture behaviour directly above the caved zone
further work is essential in order to provide robust linkages between the processes involved in
cave initiation, subsequent cave propagation and induced subsidence. A comprehensive
numerical modelling study focused on block caving related surface subsidence is being carried
out as a large collaborative research initiative between Diavik Diamond Mines, Rio Tinto, the
University of British Columbia (UBC) and Simon Fraser University (SFU). An integrated
approach has been adopted, in which rock mass characterisation and surface and subsurface
monitoring will be used as a fundamental constraint on the models. To our knowledge
sophisticated modelling of block caving founded on observational data has to date received
limited attention and this represents an important and novel aspect of the current project. It is
expected that this approach will provide important advances in the understanding of block caving
subsidence mechanisms. Numerical modelling will also offer a useful tool to analyse important
issues related to crown pillar stability and associated pit slope stability where a transition from
open-pit to underground operations is undertaken. State-of-the-art continuum and discontinuum

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numerical codes will be used in order to simulate these processes and preliminary modelling
results are discussed in this paper.

2 Block Caving Mining

Block caving mining is characterized by caving and extraction of a massive volume of rock
which potentially translates into the formation of a surface depression whose morphology
depends on the characteristics of the mining, the rock mass, and the topography of the ground
surface (Figure 1). Block caving induced subsidence thus becomes a major concern since it may
put at risk mine infrastructure. The ability to predict surface subsidence associated with block
caving mining is thus a critical factor for both mining planning and operational hazard
assessments. However, owing to problems of scale and lack of access a fundamental
understanding of the complex rock mass response in block caving settings remains limited.
Because block caving geomechanics is still largely an empirically based discipline, the use of
advanced numerical modelling will provide an opportunity to investigate the factors governing
caving mechanisms and develop improved methodologies for the prediction of associated surface
subsidence.

Figure 1: Conceptual representation of surface subsidence associated with block caving mining and related
subsidence characterization terminology (after van As, 2003).

3 Analysis of subsidence associated with block caving

Current approaches to assessing surface subsidence associated with block caving mining
including empirical, analytical and numerical methods (Vyazmensky et al, 2007) are briefly
reviewed in this section.

The Laubschers method (Laubscher, 2000) is the most commonly used empirical method for
estimating subsidence parameters in cave mining. This empirical approach is based on a design
chart that relates the predicted cave angle to the MRMR (Mining Rock Mass Rating), density of
the caved rock, height of the caved rock and mine geometry (minimum and maximum span of a
footprint). However, it is argued that determining the density of the caved rock represents a
difficult undertaking resulting in an inherent degree of built-in uncertainty. Furthermore, the
approach does not account for the effects of major geological structures which may influence the
dip of the cave angle. Estimates of the angle of break need to be adjusted for local geological
conditions requiring sound engineering judgment and experience in similar geotechnical settings.
Whereas the Laubschers design chart may constitute a useful tool for preliminary estimates of

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the angle of break, its application to design and subsidence predictions should be exerted with
caution.

Analytical methods include limit equilibrium solutions for specific failure mechanisms. Hoek
(1974) developed an initial limit equilibrium model for the analysis of surface cracking
associated with the progressive sub-level caving of an inclined orebody. Brown & Ferguson
(1979), Kvapil et al (1989), Karzulovic (1990), Herdocia (1991), Lupo (1996), Flores &
Karzulovic (2004) modified Hoeks method incorporating various additional parameters and
mining geometries. Woodruff (1966) postulated that the tension cracks surrounding a caved or
subsidence area do not necessarily represent planes of movement extending from ground surface
to undercut level. Therefore the mechanism of failure behind Hoeks (1974) limit equilibrium
approach may be limited to specific conditions, and its relevance would be restricted, for the
general case, to the initial estimation of the angle of break. Flores & Karzulovic (2004)
summarised the most common analytical methods, failure modes and techniques currently
available for block caving mining, with a particular emphasis on the transition from open pit to
underground mining.

Numerical techniques are inherently suited to complex geometries and material behaviour,
therefore providing an opportunity to improve understanding of subsidence phenomena and,
potentially, increase confidence in subsidence predictions. Different modelling approaches exist,
based on the concept that the deformation of a rock mass subjected to applied external loads can
be considered as being either continuous or discontinuous. The main differences between the
continuum and discontinuum analysis techniques lie in the conceptualisation and modelling of
the fractured rock mass and the subsequent deformation that can occur. Continuum,
discontinuum and hybrid numerical techniques (combining finite/discrete approaches) have been
applied to the analysis of block caving subsidence and published accounts are summarised in
Table 1. It is noted that most of the examples listed in Table 1 considered back analysis or
predictive modelling of particular mine sites. In light of increasing use of the block caving
mining methods and the importance of increasing knowledge of potential surface subsidence
there is a genuine need for a comprehensive numerical study on the general principles of surface
subsidence development associated with block caving mining.

Table 1: Numerical studies of surface subsidence.

Author Approach Type of analysis
Singh et al (1993) Continuum - Large Strain Site specific: Rajpura Dariba and Kiruna mines
Karzulovic et al (1999) Continuum - Large Strain Site specific: El Teniente mine
Flores & Karzulovic (2004) Continuum - Large Strain Conceptual (Block Caving and open-pit)
Li & Brummer (2005) Discontinuum Site specific: Palabora mine
Gilbride et al (2005) Discontinuum Site specific: Questa mine
Elmo et al (2007) Hybrid Conceptual (Block caving and open-pit)
Vyazmensky et al (2007) Hybrid Conceptual (Block caving)

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4 Numerical examples of block caving subsidence using FLAC3D

The caving process, and the subsequent subsidence that can result, is in part controlled by the
joint fabric of the rockmass. Although the rock mass may behave as a continuum at a large
scale, the behaviour of that continuum is controlled by discontinuities in the rock mass at smaller
scales. The use of uniform properties will be unable to reproduce asymmetric behaviour.

FLAC3D (Itasca, 2007), being a continuum code, cannot explicitly model discontinuous
behaviour. It was thus necessary to incorporate the effects of jointing for the model to be
representative. The Equivalent Rockmass Model (ERM) is proposed based upon Clark (2006).
To account for joint fabric, randomly oriented ubiquitous joint planes are distributed through
every zone in the model based upon mapping data. This allows for the larger scale behaviour to
be affected by small scale effects.

In order to calibrate the model, the San Manuel Mine in Arizona has been used as a test site.
Caving at this mine started in the mid 50s and was initially tracked by the U.S. Bureau of Mines
as a unique opportunity to understand the caving and subsidence process at a green field site.
The entire mine was reconstructed in GoCAD based upon paper plots, air photos, electronic files,
and reports into an integrated 3D mine model. Early test results using the ERM have yielded
promising results with the subsidence profile and breakthrough matching observations
reasonably well. The San Manuel Fault (see Figure 2a) is the boundary between the lower unit
of monzonite porphyry and the upper unit formed by the more competent Gila Conglomerate.
When caving reaches the San Manuel fault, it rides up the fault and distorts the caving profile up-
dip. In Figure 2b, a 3D iso-surface of displacement is shown. Site observations gave a
breakthrough to surface just to the North of panel 7-1 after ~110 days of mining. This is
consistent with where and when the model predicts breakthrough to occur.
Northeast Ore South Ore
Buildings No.
North Ore Body Crater Body Crater
1 and No. 4
Shafts Body Crater Surface Cracking

Mining
Blocks
1415 (400 ft)

2015 (600 ft)

1415 Grizzly &

San Manuel, West & East 1475 Haulage
Faults Levels
2015 Grizzly &
2075 Haulage

a b
Levels

Figure 2: Full 3-D reconstruction of the San Manuel mine and subsidence crater up to 1972 (a). Displacement
contours on a long section through the orebody after mining of the first 9 panels along with a 3D iso-surface of
displacement magnitude highlighting the location of initial breakthrough.

Ongoing work aims to better define the long-term behaviour of the caving process to ensure that
the initial results carry forward into late stage mining. Testing is also ongoing to determine the
sensitivity of the model to the zone size, ubiquitous joint orientation, and joint distribution.

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5 Initial numerical modelling of block caving mining using a hybrid finite/discrete

approach
This section presents preliminary results of block caving modelling undertaken at SFU using a
hybrid finite/discrete numerical approach (ELFEN code - Rockfield, 2006). An important
characteristic of this approach is that failure of the intact rock material can be modelled through
fracturing of the initial continuum meshed geometry. Accordingly, caving propagation can be
simulated as a result of both failure of the intact rock material and displacement/rotation along
pre-defined fracture planes. Detailed descriptions of the constitutive material models and fracture
mechanics criteria implemented in the analysis can be found in Klerck (2000), Klerck et al.
(2004) and Owen et al. (2004). A pre-defined fracture network of discretised discontinuities is
imported into the current geomechanical model using 2D fractures traces derived from a 3D
Discrete Fracture Network (DFN) model (FracMan code - Golder, 2006). The pre-defined
fracture network adds kinematic controls to the failure mechanism and may provide preferred
orientation to the failure.

5.1 Numerical examples of block caving subsidence using a hybrid finite/discrete element
approach
Figure 3 shows a conceptual, 2D, block caving model. The undercut level is located 200m below
ground level and the model assumes that the geometry of the undercut is sufficient for caving
initiation (150 long undercut excavated in 5 stages of 30m each). A uniform draw of ore is
assumed. The ore extraction is simulated by looped deletion of the discrete elements within the
full length of the undercut level. The in-situ stress is defined by a vertical stress proportional to
the depth and a horizontal stress specified through a specified in situ stress ratio K . Figures 3(a)
and 3(b) show the caving development simulated for two models with different pre-defined
fracture networks. The results clearly show the capability of the hybrid approach to capture
caving initiation and the subsequent progressive fracturing of the rock mass above the undercut.
In the models the cave back eventually progresses to the surface; interestingly, the location at
which the cave back breaks to the surface appears to be controlled by the orientation of the pre-
defined fracture networks.

Figure 3: Two-dimensional hybrid FEM/DEM modeling of block caving mining; (a) model with two joint sets
inclined at 10 and 80 degrees and (b) model with two joint sets inclined at 30 and 60 degrees respectively.

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5.2 Initial numerical analysis of a transition from open pit to underground operations by block
caving mining
As large open pits reach increasingly greater depths and more frequently involve interaction with
underground mines, numerical modelling provides a useful tool to analyse important issues
related to both crown pillar and pit slope stability. This section presents examples of a hybrid
modelling approach investigating the geotechnical aspects of the interaction between open pit
and underground block caving mining. A conceptual model was used in the current study (Figure
4). Further details and material parameters are given in Elmo et al (2007).

Figure 4: Basic geometrical definition for the model used in the numerical analysis representing an open pit
excavation followed by the simulation of block caving mining.

The effect of the open pit on the stress field is investigated using an excavation sequence
assuming 100m stages. The undercut level is located in a central location below the bottom of
the pit. The model assumes that the geometry of the undercut is sufficient for caving initiation
(150 long undercut excavated in 5 stages of 30m each). The use of 2D fracture traces derived
from a 3D DFN model allows for a parametric study on the effects of varying fracture orientation
and intensity. Similar to the example described in Section 5.1, the DFN model included two
orthogonal joint sets. Model A1 had two joint sets inclined at 10 and 80 degrees respectively,
whilst in Model B1 these joint sets were inclined at 30 and 60 degrees respectively.

The initial scope of the modelling was to characterise the potential effects of block caving
mining on the stability of the pit slopes. Simulated horizontal and vertical displacements of the
pit walls were analysed as a function of numerical time. Figure 5 shows the variation of
horizontal displacement (positive in the pit slope direction) for two points located on the right
hand side of the pit wall at 0m and 300m depth from surface respectively. For comparison
purposes, similar models were run without simulation of block caving mining. The results clearly
show that progressive block caving resulted in an increased inward horizontal movement of the
pit slope with time. For Model B1, this ultimately resulted in a relatively large slope failure
characterized by a combined sliding-toppling mechanism (see Figure 6). Comparatively lower
horizontal displacements were observed for Model A1, which assumed a 10 degrees dipping pre-
defined joint set. In summary, the results clearly show that, without the block caving, the open
pit walls appear relatively stable and reflects the potential impact of block caving mining on
existing open pit operations.

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(i) (ii)
Figure 5: Effects of progressive block caving for Models A1 and B1 expressed in terms of horizontal displacement
for two points located (i) on the top right-hand margin of the pit and (ii) at 300m depth on the right-hand side of the
pit slope.

Figure 6: Progressive slope failure observed for Model B1; stages 13sec (Left) and 16sec (right) respectively.

6 Discussions and conclusions

This paper describes the framework and initial modelling results from a large collaborative
research initiative whose main objective is to explore and develop the ability of advanced
numerical modelling methods to characterize complex rock mass behaviour above block cave
mines. The use of state-of-the-art continuum and hybrid finite/discrete numerical techniques
forms a fundamental part of the ongoing research.

Early numerical tests have shown the effectiveness of an Equivalent Rockmass Model (ERM)
approach coupled with an advanced 3D continuum modelling in simulating block caving mining.
The ERM allows the simulation of randomly oriented ubiquitous joint planes through every zone
in a continuum model based upon mapping data.

Although currently limited to 2D analysis, preliminary results also suggest that the use of a
hybrid finite/discrete approach represent a powerful tool for characterising caving initiation and
the subsequent progressive fracturing of the rock mass above the undercut. The authors also
illustrate how the approach can be extended to simulate the interaction between surface and
underground operations. It is noted that the fracture intensity parameter used in the current
hybrid models determines what portion of the natural occurring fractures will be modelled. Since
not all pre-existing fractures are represented by the model, the unfractured rock in the equivalent
fractured rock mass properties were defined for the initial conceptual models presented in this
paper (Elmo et al, 2007). In future analyses, it is intended to investigate the use of specific
fracture intensity parameters as meaningful tools to derive rock mass properties for the

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corresponding numerical modelling of block caving and open pit/underground mining

interactions.

A series of numerical experiments is currently being conducted to evaluate the factors

influencing block caving induced subsidence including rock mass properties, in-situ stress ratio,
jointing, major geological structures, surface topography, and mining sequence.

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