Numerical analysis of the influence of geological structures on the

development of surface subsidence associated with block caving mining

A. Vyazmensky Simon Fraser University, Canada http://alex.vyazmensky.googlepages.com/

D. Elmo Simon Fraser University, Canada
D. Stead Simon Fraser University, Canada
J. Rance Rockfield Technology Ltd, UK

Abstract
Extraction of a massive volume of ore during block caving can lead to formation of significant surface
subsidence. Current knowledge of subsidence development mechanisms is limited as are our subsidence
prediction capabilities. Mining experience suggests that among other contributing factors geological structures
play a particular important role in subsidence development. As part of the current research a conceptual
modelling study is being undertaken to evaluate the significance of geological structure on surface subsidence
development. A novel finite/discrete element technique incorporating a coupled elasto-plastic fracture
mechanics constitutive criterion is adopted; this allows physically realistic modelling of block caving through
simulation of the transition from a continuum to a discontinuum. Numerical experiments presented highlight the
importance of joints orientation, fault location, and inclination, on subsidence development mechanisms and the
governing role of geological structure in defining the degree of surface subsidence asymmetry.

1 Introduction
Block caving mining is characterized by extraction of a massive volume of rock usually accompanied by the
formation of a significant surface depression above and in the vicinity of the mining operation. The ability to
predict surface subsidence associated with block caving mining is important for mine planning, operational
hazard assessment and evaluation of environmental and socio-economic impacts.
Owing to problems of scale and lack of access, the fundamental understanding of the complex rock mass
response leading to subsidence development is limited as are current subsidence prediction capabilities.
Current knowledge of subsidence phenomena can be improved by employing numerical modelling
techniques in order to enhance our understanding of the basic factors governing subsidence development;
essential if the required advances in subsidence prediction capability are to be achieved.
A comprehensive numerical modelling study focused on block caving related surface subsidence is being
carried out at the Simon Fraser University in collaboration with the University of British Columbia. As part
of this research conceptual modelling is being undertaken to evaluate the relative significance of the factors
governing subsidence development.
This paper investigates the role of geological structures in surface subsidence development through a series
of numerical experiments employing state of the art finite element /discrete element modelling techniques.

2 Geological structures and block caving induced surface subsidence

Mining experience suggests a range of factors influencing the block caving surface subsidence footprint
including geological structures (jointing and faults), rock mass strength, in-situ stress level, mining depth,
varying geological domains and surface topography. Among other contributing factors many authors emphasize
the particular importance of the geological structures on surface subsidence development.
A literature survey has shown that published accounts provide a general, qualitative rather than quantitative,
description of the influence of geological structures on the observed subsidence, as summarized in Table 1.
Such qualitative observations are useful for initial subsidence analysis, however they require further
validation. More research is needed to address the deficiency in quantitative data. Modelling presented in this
paper represents an initial attempt to address these issues.
Table 1 Influence of geological structure on block caving surface subsidence development

Geological Influence on block caving subsidence Reference

structure
In the absence of faults and dykes, joint dip governs the angle of break. Angle Crane (1929),
Joints
of break for a mine should be equal to the dip of the most prominent joint. Wilson (1958)
When a mining face encounters a significant discontinuity, such as a fault, Abel & Lee
with moderate to steep dip, movement will occur on the fault regardless of (1980),
the cave angle through intact rock. A stepped crack will result where the Stacey &
fault daylights at surface. If mining is only on the hanging wall side of the Swart (2001),
Faults
fault there will only be surface movements on the one side. If the fault dip
van As (2003)
is steeper than the cave angle the extent of surface subsidence will be
reduced, conversely, if the fault dip is less than the cave angle the extent of
surface subsidence will be increased.

3 New approach to numerical analysis of caving induced surface subsidence

Conventional numerical modelling techniques applied to the analysis of rock engineering problems treat the
rock mass either as a continuum or as a discontinuum. The use of finite element, finite difference methods is
based on the assumption that the rock mass behaves as a continuum medium. In contrast, distinct element
methods (DEM) methods are based on the assumption of the rock mass as a discontinuum, consisting of an
assembly or finite number of interacting singularities. Both continuum and discontinuum techniques provide
a convenient framework for the analysis of many complex engineering problems.
One important limitation of continuum techniques is their inability to simulate the kinematic aspects of rock
mass failure. The solutions based on discontinuum modelling are strongly dependant on the contact
properties of the discrete elements, which govern their interaction. Scalable and robust methods for obtaining
these properties are yet to be developed. Moreover, as indicated by Stead et al (2004), neither technique can
capture the interaction of existing discontinuities and the creation of new fractures through fracturing of the
intact rock material. A key failure mechanism, rock brittle fracturing, can only be simulated indirectly.
Block caving subsidence is a product of a complex rock mass response to caving. This response comprises
massive failure of rock mass in tension and compression, along both existing discontinuities and through
intact rock bridges, and involving complex kinematic mechanisms. Clearly, the analysis of this phenomenon
assuming a pure continuum or discontinuum model may not be adequate. It is evident that the numerical
treatment of such a complex problem necessitates consideration of a blend of continuous and discrete
computational processes to provide an adequate solution.
In the current study a state-of-the-art hybrid continuum-discontinuum technique based on finite/discrete
element method (Munjiza et al, 1995) and fracture mechanics principles is adopted. An implementation of
this approach using the numerical code ELFEN (Rockfield Software Ltd., 2007) is employed. The ELFEN
code is a multipurpose FE/DE software package that utilizes a variety of constitutive criteria and is capable
of undertaking both implicit and explicit analyses in 2-D and 3-D space. Capability exists to simulate
continuum materials, jointed media and particle flow behaviour.
In the combined finite-discrete element method the finite element-based analysis of continua is merged with
discrete element-based transient dynamics, contact detection and contact interaction solutions (Munjiza,
2004). Use of fracture mechanics principles in a context of finite-discrete element method allows the caving
process to be simulated in a physically realistic manner. Rock mass failure is simulated through a brittle
fracture driven continuum to discontinuum transition with the development of new fractures and discrete
blocks, and a full consideration of the failure kinematics. Table 2 compares continuum, discontinuum and
hybrid continuum-discontinuum modelling techniques.
Table 2 Comparison of continuum, discontinuum and hybrid continuum-discontinuum modelling
techniques

Modelling Numerical Rock mass Rock mass failure realization

technique method representation
Continuum FDM, FEM Continuous medium Flexural deformation, plastic yield
Discontinuum DEM Assembly of deformable Block movement and/or block
or rigid blocks deformation
Assembly of rigid bonded Bond breakage, particle movements
particles
Hybrid continuum - FEM/DEM Continuous medium Degradation of continuum into
discontinuum + discrete deformable blocks through
fracture fracturing and fragmentation

The simulation of fracturing, damage and associated softening in ELFEN is achieved by employing a fracture
energy approach controlled by a designated constitutive fracture criterion. The current study employed a Mohr-
Coulomb model with a Rankine cut-off. A detailed description of this constitutive model can be found in
Klerck (2000) and a summary of the ELFEN solution procedure is given by Owen et al (2004).
It should be noted that the ELFEN computational methodology has been extensively tested and fully
validated against controlled laboratory tests by Yu (1999) and Klerck (2000). Among others, research by
Coggan et al (2003), Cai & Kaiser (2004), Stead et al (2004) and Elmo (2006) has demonstrated the
capabilities of the code in the analysis of various rock mechanics problems involving brittle failure,
including analysis of Brazilian, UCS and direct shear laboratory tests, analysis of slope failures and
underground pillar stability. Initial applications of the code to the analysis of block caving by Pine et al
(2006), Vyazmensky et al (2007), Elmo et al (2007) and Rance at al (2007) showed encouraging results.
According to Vyazmensky et al (2007) in the context of finite-discrete element method there are three
possible approaches to the representation of the jointed rock mass systems:
• Equivalent Continuum
• Discrete Network
• Mixed discrete/equivalent continuum approach
In the Equivalent Continuum approach, similar to analysis employing continuum techniques, the jointed intact
rock mass system is represented as a continuum with assumed reduced intact rock properties to account for the
presence of discontinuities. Clearly such an approach is not entirely acceptable, as the mechanical behaviour of
a jointed rock mass is strongly influenced by the presence of discontinuities which provide kinematic control
and in many cases govern the operative failure mechanisms. In this sense, the Discrete Network approach is a
more physically realistic option where the jointed rock mass is represented as an assembly of a maximum
number of discontinuities and intact rock regions. It should be emphasized that such a detailed representation of
discontinuities for highly jointed rock masses requires a very fine mesh discretization; hence the computational
efficiency of this approach is limited to the analysis of relatively small scale problems. For the analysis of
practical engineering problems it is neither feasible nor necessary to consider every single discontinuity in the
jointed rock mass; the resolution of fracture representation should however be sufficient to capture the salient
features of the simulated behaviour. In the Mixed approach key discontinuities defining the behaviour of the
jointed rock mass are represented explicitly and presence of other discontinuities in inter-fracture regions is
accounted for implicitly through reduced intact rock properties. This approach was adopted for the current study.
Geologically sound representation of key natural discontinuities can be achieved through use of Discrete
Fracture Network (DFN) models. In the current study the DFN code FracMan (Golder, 2007) was utilized.
FracMan is a convenient tool to generate 3D stochastical models of fracture networks based on collected
discontinuities data; it allows export of 2D and 3D fracture sets into ELFEN. Integrated use of ELFEN and
FracMan has previously been presented by Elmo et al (2006), Pine et al (2006), Rance at al (2007), Elmo et al
(2007), and Vyazmensky et al (2007).
4 Modelling Methodology
Although full 3D mine scale analysis of block caving subsidence is undoubtedly desirable, available
modelling tools are yet to reach the computational efficiency to allow a detailed and realistic 3D analysis. In
the current 2D modeling study emphasize is given to the representation of a maximum level of detail
allowable with the computational efficiency available. Modelling results presented herein are conceptual and
as such not related to any particular site. However, model geometry and geomechanical characteristics are
generally representative of the conditions in actual block caving settings.
Flores & Karzulovic (2002) studied a number of block caving mines and reported typical caved ore block heights
of around 200m. For the current study a square ore block 100x100m, located at 200m meter depth is considered.
Block caving mining is simulated by undercutting the block and subsequent extraction of the caved ore. The
undercut (100m x 4 m) is developed in five stages - 20m at each stage. A uniform draw of caved material was
implemented. It should be noted that uniform material properties were assumed throughout the model and the
draw was continued until the volume of rock corresponding to the volume of the ore block is extracted.
Mahtab et al (1973) noted that the fracture system most favourable for caving includes a low dipping and two
nearly orthogonal steeply dipping joint sets. The 3D FracMan DFN model adopted in the current analysis
incorporated one horizontal and two orthogonal vertical sets with sparsely spaced and moderately persistent joints.
The fracture pattern for the 2D model was derived by assuming a plane parallel to one of the vertical sets within
the 3D DFN model. Fracture traces intersecting this plane were delineated and exported into ELFEN.
One of the main challenges in rock mechanics modelling is establishing representative rock mass properties.
Rock mass classification systems such as RMR, Q or GSI are traditionally used to derive properties for the
equivalent continuum rock mass. Vyazmensky et al (2007) indicated that use of equivalent continuum
properties in combination with pre-inserted discontinuities may result in a softer response. Therefore model
calibration is required to ensure that a combined system of pre-inserted fractures and equivalent continuum
rock mass is able to simulate caving behaviour in a close agreement with the observed in-situ mine experience.
The model setup and proposed response calibration procedure for the block caving analysis are shown in
Figure 1.
FracMan DFN model Constraint

3D model 2D trace plane Properties Constraint:

calibration criteria:
Caveability Laubscher’s
caveability chart
fractures Cave Conceptual model of
exported development caving by Duplancic
into ELFEN progression & Brady (1999)
2D ELFEN model Subsidence limits Mining
experience:
Rules of thumb by
100m McIntosh
Engineering Ltd.
(2003)

ore
100m
block

calibrated rock
mass properties
100m

Figure 1 ELFEN model setup and response calibration procedure

For the analysis presented in this paper Barton’s Q rock mass classification system (Barton et al, 1974) was used
as a source of initial equivalent continuum rock mass properties. These properties were calibrated (primarily
through adjustment of tensile strength) so that the model response correlates well with the constraining criteria
and is representative of the caving behaviour of a rock mass with MRMR ~ 55-60, (within a typical block caving
range of MRMR 30 to 70). ELFEN input parameters are given in Table 3. Figures 2 and 3 illustrate examples of
caving simulations of and subsequent subsidence development using the adopted methodology.
A series of parametric numerical experiments were carried out to evaluate the relative significance of joint
inclination, faults location and inclination. The list of modelling scenarios assumed is shown in Table 4.
Table 3 Input parameters for ELFEN modelling
Parameter Unit Value Parameter Unit Value
Rock mass Preinserted or newly generated fract.
Young’s Modulus, E GPa 18 Fracture cohesion, cf MPa 0
Poisson’s ratio, ν 0.25 Fracture friction, φf degree 35
Density, ρ kgm-3 2600 Normal penalty, Pn GPa/m 2
Tensile strength, σt MPa 1 Tangential penalty, Pt GPa/m 0.2
Fracture energy, Gf Jm-2 60
Internal cohesion, ci MPa 5.5 Stress level
Internal friction, φi degree 45 In-situ stress ratio, K 1
Dilation, ψ degree 5

end of block undercutting 5% ore extraction 10% ore extraction

Figure 2 Gradual cave front propagation at early stages of ore extraction

20% ore extraction 40%

surface
subsidence, m

60% 80%

Figure 3 Surface depression and crater development with continuous ore extraction

Table 4 Modelling scenarios

Scenario Description
Base case Vertical and horizontal joint sets
J1 Sub-vertical set dipping at 80° with orthogonal sub-horizontal set
J2 Sub-vertical set dipping at 70° with orthogonal sub-horizontal set
F1 Vertical and horizontal joint sets, 60° dipping fault located 50m west of the model centre
F2 Vertical and horizontal joint sets, 60° dipping fault located 100m west of the model
F3 Vertical and horizontal joint sets, 60° dipping fault located 150m west of the model
F4 Vertical and horizontal joint sets, 45° dipping fault located 100m west of the model
F5 Vertical and horizontal joint sets, 75° dipping fault located 100m west of the model
5 Modelling Results
Modelling results are presented in Figures 4 - 7. Figure 4 illustrates final subsidence profiles at full ore
extraction. Figure 5 compares the extent of surface deformation, subsidence angles and subsidence zone
asymmetry in relation to the block centre. Figure 6 evaluates the violation of an assumed critical deformation
threshold of 3cm with percentage ore extraction for vertical and horizontal deformation at different distances
from the block centre. It should be noted that only deformations west of the block centre (see Figure 4a), where
the major asymmetry was anticipated, were analysed. A critical deformation threshold value was chosen based
on the assumption that most engineering structures can sustain displacements of up to 3cm without major
damage. Figure 7 compares movements along fault surfaces. The following sections summarize the key
modelling results and interpretation.

5.1 Effect of joint orientation

The effect of joint orientation was evaluated through comparison of scenarios with three different
orientations - Base case (vertical/horizontal sets), J1 (80°/orthogonal) and J2 (70°/orthogonal). The joint
pattern was limited to a single FracMan realization with the desired dip achieved by rotating the joints with
respect to the model centre.
As illustrated in Figures 4a and 4b, orientation of the vertical joint set affects the cave propagation, which
tends to follow the dip of the sub-vertical joint set.
According to Figures 4a, 4b and 5 for the case with vertical and horizontal joints (Base case) the extent of failure
zone at full ore extraction is nearly symmetrical. Rotating the joint pattern results in failure zone asymmetry,
with a rotation of the joint pattern of 10° causing an increase in the extent of the failure zone by about 25%. The
principal surface subsidence asymmetry is observed in the dip direction of the sub-vertical joint set, west of the
block centre. It appears that in this region a combination of sub-vertical and low dipping joint sets creates
favourable conditions for gradual flexural and block toppling, triggered by unloading due to continuous ore
extraction. At later stages of ore extraction large scale rock segments may form and fail along the low dipping
joint set. The lower the dip of the sub-vertical joint set and steeper the dip of the sub-horizontal set the larger area
of the rock mass mobilized. To the east of the block centre, the rock mass fails primarily through sliding along
the sub-vertical set. This effect becomes more pronounced as the dip of the sub-vertical set is reduced. As
illustrated in Figure 6, the 3cm deformation threshold was reached at later stages of ore extraction for the Base
case scenario than for scenarios with inclined joints. This reflects the more gradual character of the surface
deformation development. Vertical and horizontal deformations for the Base case and scenario J1 exceed the
assumed 3cm threshold at a distance of 100m from the block centre, whereas for scenario J2 the threshold was
exceeded at a distances of up to 150m from the centre . Interestingly for scenario J2 critical deformations were
attained almost simultaneously at 100 and 150m locations implying failure of a major rock mass segment.
Overall, modelling results suggest the following effects of joint orientation on subsidence development:
• Steeply dipping joint sets tends to govern the direction of cave propagation.
• A combination of vertical and horizontal joint sets results in a nearly symmetrical subsidence profile.
• Subsidence asymmetry is strongly controlled by the inclination of sub-vertical and sub-horizontal sets.
• Major subsidence asymmetry is observed in the dip direction of the sub-vertical set, where the rock
mass fails through flexural and block toppling and detachment and sliding of major rock segments.
• Surface deformations in the reversed direction are controlled by the dip of sub-vertical set. In this case
the rock mass fails predominantly through rock bridge breakage and sliding along the sub-vertical joints.
The modelling results provided some interesting insights into the effect of sub-vertical joint set which go
beyond reported field observations. Further research is being conducted to investigate the significance of the
dip of sub-horizontal joint set in instigating large scale failures.

5.2 Influence of fault location and inclination

Three scenarios were considered to evaluate the effect of fault location on surface subsidence development.
Model geometry was assumed to be the same as in the Base case. As shown in Figure 4c, in scenario F1 the fault
was located 50m from the model centre, in scenario F2 at 100m and in scenario F3 at 150m, Figure 4c. In all the
scenarios a fault dip of 60° was assumed, with the vertical and horizontals joint sets as used in the Base case.
According to Figures 4c and 5 faults located at 100m and 150m resulted in asymmetry of the surface
deformations and increased the extent of the deformation by 19% and 41% respectively. The fault plane acted
as a boundary defining major surface deformation. The fault located in close proximity to the block was fully
consumed by the caving and played practically no role in formation of the final subsidence footprint. The fault
located 100m from the block centre was partially caved, although its remnant portion near the surface acted as a
sliding plane for hanging wall failure. Movement of the hanging wall created a topographical step of about 2m
in the surface profile (see Figure 7). Only limited movements of the hanging wall were observed for the fault
located at 150m from the block centre, with only a minor step in the surface profile being created.
Two additional scenarios were considered in order to evaluate the effect of fault inclination. The assumed model
geometry was the same as in scenario F2, with fault dips of 45° (scenario F4) and 75° (scenario F5), Figure 4c.
As illustrated in Figure 4c the fault inclination played a major role in defining the extent of surface
deformations. A low dipping fault created favourable conditions for planar failure of the hanging wall as it
was unloaded by ore extraction. Based on Figure 6 the entire hanging wall was failing nearly simultaneously,
so that critical 3cm deformation threshold was violated as far as 200m from the block centre. For the case
with a steeply dipping fault the zone of surface subsidence deformation was significantly smaller. Although
eventually consumed by caving, during earlier stages of ore extraction the fault acted as a barrier limiting
mobilization of the rock mass in the footwall. Preliminary results shows that a change of fault dip by 15°
resulted in a change in the extent of surface subsidence of about 30% (Figure 5a).
Overall, the following can be inferred with respect to the effect of fault location and inclination on block
caving induced surface subsidence:
• Under certain circumstances the fault’s position may play an important role in defining the extent of
surface subsidence deformation. It appears that faults located within an area of imminent caving are
likely to be caved and are unlikely to play any major role in the resultant subsidence. Faults partially
intersecting the caving area may create favourable conditions for failure of the entire hanging wall.
Faults located in close vicinity of the caving zone extend the area of subsidence deformations,
although in this case, hanging wall failure is unlikely. In the latter two cases a topographical step in
the surface profile is formed where the fault daylights at the surface.
• Unequivocally, inclination of the fault intersecting the caving area controls the extent of surface
subsidence deformations. Low dipping faults will extend and steeply dipping fault will decrease the
area of surface subsidence deformation.
The modelling results are in a good agreement with field observations reported in the literature (Table 1). In
the current modelling only vertical and horizontal joint sets were considered. Further studies should
investigate how observed behaviour changes with variation in the dip of the joint sets.

6 Discussion and Conclusions

In a complex block caving mining environment subsidence development is a result of a complex interplay of
several governing factors; in such circumstances discerning the effect of a particular factor can be
challenging.
The modelling methodology for subsidence analysis, outlined in this paper, employs an integrated state-of-
the-art hybrid continuum-discontinuum modelling - DFN approach to rock discontinuity representation. A
novel model calibration procedure was developed to ensure that the simulated behaviour is well constrained
against observed trends in real block caving settings. This allows realistic modelling of rock mass caving and
subsidence development. The proposed methodology offers an excellent platform for parametric numerical
experiments intended to enhance understanding of the factors governing subsidence development.
Numerical analyses presented in this paper were focused on the effect one of the most prominent factors -
geological structures. A series of initial numerical experiments highlighted the importance of joint set
orientation, fault location and inclination, in determining the subsidence development mechanisms and their
governing role in defining the degree of surface subsidence asymmetry. The modelling findings correlated
reasonably well with published field observations and offered some new and interesting insight into block
cave related subsidence.
 (a) 450 400 (b) 100
404

Total Extent of Surface Deform.

Angle of Break Angle of Fracture Initiation

Total Extent of Major Surface

400 380 90
350
340 76 73 74 76

Norm. by BaseCase,%
350 80 73 70
310 300

Deformations, m
65

Angle , degrees
287 70 62
300
240 252 250 60
250 222 49 49 48 52 48
200 50 45 42
200 38
150 40

168%
158%
150 30

141%
129%
100

119%
100

105%
20
100%

92%
50 50 10
0 0 0
BC J1 J2 F1 F2 F3 F4 F5 BC J1 J2 F1 F2 F3 F4 F5

Extent of Major Surface Deformations in Relation to Extent of Major Surface Deformations in Relation to
(c) Central Axis of Block, m Central Axis of Block, Normalized by Base Case, %
-300 -200 -100 0 100 200 0 50 100 150 200 250

-120 BC 100 BC
-190 J1 158 J1
-250 J2 208 J2
-132 110 F1
-160 F1 133
F2 175 F2
-210 F3
-245 F3 204 F4
-102 F4 85 F5
120 100
120 100
130 108
120 100
127 106
130 108
159 133
120 100

Figure 5 Subsidence characterization: (a) total extent of major surface deformations in m and in %;
(b) angles of break and fracture initiation; (c) extent of major surface deformations in relation to central
axis of the block, in m and in %
(a) 50 (b) 50
horizontal deformations
vertical deformations 45
45
40 F4 40
Ore Extraction, %

F4
Ore Extraction, %

35 J2 35 F4
J2 F1 F4
30 30
25 25
20 20
15 F2 F2 15 F2
10 10
5 5
0 0
50 100 150 200 50 100 150 200
Distance from Block Centre, m Distance from Block Centre, m
BC J1 J2 F1 F2 F3 F4 F5 BC J1 J2 F1 F2 F3 F4 F5

Figure 6 Violation of 3cm critical deformation threshold at different distances from the block
central axis with continuing ore extraction: (a) vertical displacements, (b) horizontal displacements

0
Differential XY Displacements, m

-0.02m
-0.5
-1
-1.5 -1.36m -1.16m
differential
XY displacement -2
footwall -2.5
-2.37m
-3 hangingwall failed
hanging
wall -3.5
-4
-4.31m
-4.5 F1 F2 F3 F5 F4
-5
0 10 20 30 40 50 60 70 80 90 100
Extracted Ore, %

Figure 7 Differential XY displacements for surface points on the fault hanging and foot walls for
scenarios F1 to F5.
In summary, the conducted analysis illustrate the significant potential of the proposed modelling
methodology. More work is ongoing to evaluate the relative significance of other factors controlling
subsidence development, such as rock mass strength, in-situ stress level, mining depth, varying geological
domains and surface topography. Furthermore, it is planned to adopt this modelling methodology in the
analysis of the factors controlling block caving mining induced instability in natural and man-made slopes
and subsequently evaluate subsidence amelioration strategies.

Acknowledgements
The authors would like to acknowledge research funding provided by Rio Tinto. We would also like to
acknowledge research collaboration with Dr. Erik Eberhardt, Dr. Scott Dunbar and Dr. Malcolm Scoble
(University of British Columbia) and Dr. Steve Rogers (Golder Associates).

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