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Transition from surface to underground mining: Integrated mapping,

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ISRM Congress 2015 Proceedings - Int’l Symposium on Rock Mechanics - ISBN: 978-1-926872-25-4

TRANSITIONING FROM OPEN PIT TO UNDERGROUND MASS MINING: MEETING THE

ROCK ENGINEERING CHALLENGES OF GOING DEEPER

*E. Eberhardt and K. Woo

Geological Engineering, Department of Earth, Ocean & Atmospheric Sciences
University of British Columbia
Vancouver, Canada V6T 1Z4
(*Corresponding author: erik@eos.ubc.ca)

D. Stead
Resource Geoscience & Geotechnics, Department of Earth Sciences
Simon Fraser University
Burnaby, Canada V5A 1S6

D. Elmo
Norman B. Keevil Institute of Mining Engineering
University of British Columbia
Vancouver, Canada V6T 1Z4
 ISRM Congress 2015 Proceedings - Int’l Symposium on Rock Mechanics - ISBN: 978-1-926872-25-4

TRANSITIONING FROM OPEN PIT TO UNDERGROUND MASS MINING: MEETING THE

ROCK ENGINEERING CHALLENGES OF GOING DEEPER

ABSTRACT

With ever-increasing global demand for mineral resources, mining companies are considering
developing deeper, more complex and lower grade ore bodies. Recent years have seen the transition from
surface to underground mass mining operations to access deeper resources, with mass mining methods
such as block and panel caving being favoured due to the tonnages and economics achievable when dealing
with lower grade ore. However, the rock engineering interactions involved with such plans are complex
and challenging given the significant disturbance caused to the surface environment. If not properly
accounted for, the unexpected propagation of a cave breaking through to surface or the differential surface
displacements otherwise produced may threaten the safety and integrity of overlying mine and civil
infrastructure.

This paper reports the findings of a comprehensive research programme focussed on investigating
and integrating new developments in remote sensing characterization and monitoring technologies with
state-of-the-art numerical modelling to better manage the challenges and geo-risk associated with the
transitioning from open pit to underground mass mining. Procedures were developed to integrate discrete
fracture networks (DFN) into finite-element/discrete-element analyses to simulate the influence of rock
mass fabric on cave propagation and the evolution of caving-induced surface subsidence and step-path
failure of large open pit slopes through the progressive failure of rock bridges. The results clearly showed
that caving-induced surface deformations tend to be discontinuous and asymmetric due to large movements
around the cave controlled by geologic structures, rock mass heterogeneity and topographic effects.
Although parallel investigations of empirical design charts used to predict caving-induced deformations
were found to be moderately sufficient for assessing the extent of macro deformations directly above the
undercut (i.e. caving collapse features), numerical modelling was found to provide the only means to
confidently estimate the lateral extent of smaller strain subsidence.

These results were further supported by the use of high-resolution synthetic aperture radar (SAR)
data to monitor the ground deformations associated with block caving production, and to use these to
calibrate and constrain a series of predictive 3-D numerical models focussed on Rio Tintoʼs Palabora mine
in South Africa. The InSAR data was obtained from Canada’s recently launched RADARSAT-2. The close
fit achieved between the predictive 3-D numerical model and InSAR monitoring data demonstrates the
significant value of InSAR calibrated 3-D numerical models applied to subsidence prediction.

Collectively, the results from this research programme have helped to further the characterization,
assessment and understanding of mass mining-induced subsidence, and its evolution, by addressing
existing limitations in the use of empirical and numerical design methods. The limitations and uncertainty
arising from mine site data were detailed, specifically the representation of mine geology, rock mass
properties, in-situ stresses and cave propagation, together with means to constrain these inputs and
calibrate sophisticated 3-D numerical models through back analysis and integration with high resolution
monitoring data.

KEYWORDS

Block/panel caving, Subsidence hazards, Critical mine infrastructure, Numerical modelling, Brittle fracture,
Discrete Fracture Networks (DFN), InSAR monitoring, Model calibration
 ISRM Congress 2015 Proceedings - Int’l Symposium on Rock Mechanics - ISBN: 978-1-926872-25-4

INTRODUCTION

Block and panel cave mining methods are increasingly being favoured as a means to maximize
value from massive, low grade ore bodies after large open pits have reached their mine life, by
transitioning operations underground to target deeper resources. These methods involve developing an
extraction level beneath the ore to be caved, followed by undercutting of the panel to remove support and
initiate caving. As the broken rock is mined from different drawpoints on the extraction level, the cave
propagates upwards through the orebody providing a constant feed of broken ore to be mined. Attractive
are the safety merits, tonnages produced, and low production costs that can often compete with those of
open pit operations.

Projections suggest that global copper production from underground caving operations will
double by 2030 approaching that from large open pits, requiring a step change for the industry (Moss,
2011). These include a series of planned “super caves” that will be an order of magnitude greater in size
than previous caving operations and will involve the construction of more than 1,000 km of development
tunnels and shafts (Moss, 2014). Examples include Grasberg Underground (240,000 tpd), Chuquicamata
Underground (140,000 tpd), Resolution (110,000 tpd), and Oyu Tolgoi (90,000 tpd); Figure 1. These
compare to a total production of approximately 400,000 tpd being mined from current caving operations.
The increased size of caving operations is also reflected in the increased footprint area, block height being
caved, and extraction depth of cave mining projects. Woo et al. (2013) compiled an extensive database of
historic and operating block and panel cave mines, and showed that over the last 20 years, cave designs
have increased their footprint areas from less than 100,000 m2 to those greater than 400,000 m2 (Figure 2).
Similarly, the block heights being caved have increased from less than 200 m, employing multiple lifts to
mine deeper, to block heights exceeding 400 m to reduce development costs as confidence has been gained
in drawpoint spacing and draw sequencing practices that help minimize dilution and ore sterilization across
taller ore columns. In step with larger footprint areas and block heights are increasing mining depths, with
caving depths now exceeding 1200 m compared to historic “deep” mines that reached 600 to 700 m depth
(Figure 2).

Figure 1 – Distribution of both operating and planned block and panel cave mines, together with historic
(closed) mines. Not included are sublevel caving operations. Modified and updated after Brown (2007).
 ISRM Congress 2015 Proceedings - Int’l Symposium on Rock Mechanics - ISBN: 978-1-926872-25-4

Figure 2 – Block and panel cave footprint area, block height, and undercut depth trends, showing move
towards larger and deeper mines over the past 20 years. Data compiled by Woo et al. (2013).

As caving operations move towards larger and deeper mines, these projects will encounter higher
stresses, increased geological uncertainty, and more complex cave dynamics and rock mass interactions.
This will present significant challenges and technical risks, raising questions as to whether existing
knowledge and design methodologies are sufficient. Compounding this risk is the capital intensive nature
of these projects. Although caving methods are favoured for their low operating costs, they require
considerable investment in infrastructure and development before production can commence (Brown,
2007). Relying on conventional experience will not be sufficient, and a greater design effort, better
accounting of adverse rock mass responses, and more rigorously managed operations will be required.
.
Key rock engineering challenges for deep caving operations include performance of extraction
level pillars (footprint reliability), caving dynamics and proper fragmentation, and extent of caving-induced
deformations (surface subsidence hazards). Detailed discussions on pillar performance are provided by
Kaiser et al. (2011) and Brown (2012). Designs must consider the full stress path pillars will be subjected
to, from the initial high stresses as the extraction level tunnels are developed to the abutment stress that
will pass over as the undercut is developed. In response, a thorough understanding of pillar behaviour is
required, ranging from brittle failure and bulking near the unconfined pillar boundary, to the ultimate load
bearing capacity of the confined pillar core (Kaiser et al., 2011). The challenges of caving dynamics and
fragmentation are discussed in detail by Pierce (2010). Designs must consider the spacing of drawpoints
the ore will be extracted from to ensure proper flow of the caved rock, together with the draw schedule to
achieve uniform downward movement of the caved rock and thus proper caving behaviour. This requires a
full understanding of the mechanisms governing the size, shape, advance, overlap and interaction of
 ISRM Congress 2015 Proceedings - Int’l Symposium on Rock Mechanics - ISBN: 978-1-926872-25-4

movement zones, the stresses that develop internal to the cave, and the secondary fragmentation of broken
rock and migration of fines (Pierce, 2010).

Contributing to this body of research is recent work addressing limitations in practical knowledge
related to the assessment and impact of deep caving on the surface environment in the form of surface
subsidence. As a mass mining method, block and panel caving results in significant ground collapse above
the mine footprint and extensive surface subsidence. This raises concerns with the locating of critical mine
infrastructure on surface, as well as impacts that differential ground deformations may have on protected
areas adjacent to the mine property. Damage of surface infrastructure together with increased dilution due
to larger than expected caving angles, impose both safety risks to mine personnel and operational
(economic) risks to the mine. The following three sections present several key findings from a
comprehensive research program developed to investigate new technologies in remote sensing and their
integration with state-of-the-art numerical modelling to better understand and manage the complex rock
mass interactions that develop above a deep caving operation. Of special interest is the role of geological
structures and heterogeneity in promoting asymmetry in the subsidence pattern and deviation of an upward
advancing cave front.

CHARACTERIZATION OF DEEP CAVING-INDUCED SURFACE SUBSIDENCE

Damage of surface infrastructure, together with increased dilution due to larger than expected
“caving angles”, are often the cause for additional capital and operation expenditures. The caving angle is
defined as the angle of the line extending from the edge of the extraction level to the edge of the zone of
active caving (Figure 3). This caved zone is usually located directly above the undercut footprint and thus
is characterised as having the greatest surface disturbance, usually manifested as a crater filled with broken,
irregular blocks. Van As et al. (2003) also defined two further surface deformation zones and
corresponding angles: the fracture initiation and subsidence zones (Figure 3). The fracture initiation zone
encompasses all obvious surface deformations adjacent to the caved zone, typically characterized by large
radial cracks and rotated and toppling blocks. The subsidence zone marks the outer most zone and the
limits of measurable surface deformations on surface.

Figure 3 – Definition of block caving deformation zones as defined by Van As et al. (2003), with satellite
image of concentric lines of surface fractures stepping outwards from a central caved zone.
 ISRM Congress 2015 Proceedings - Int’l Symposium on Rock Mechanics - ISBN: 978-1-926872-25-4

A common means to assess the zone of caving is the use of design charts that relate the predicted
caving angle to the rock mass quality and height of the mined block (e.g., Laubscher, 2000). The resulting
prediction assumes symmetry; i.e., the caving angle is equally projected from all points around the
perimeter of the undercut. Woo et al. (2013) analyzed 42 direct and indirect subsidence observations to
determine the caving, fracture initiation and subsidence angles for each. Figure 4 shows a rather wide range
of caving angles, with angles generally increasing with depth indicating that the zone of caving on surface
decreases with increasing mining depth. (Note that angles greater than 90° indicate overhanging angles; i.e.,
the limits of the zone fall within the footprint of the undercut). Each line segment also depicts the degree of
asymmetry present when measuring the caving angles from opposing sides of the undercut. These range
from 10 to 30° of asymmetry. Clearly a single caving angle as would be produced using existing design
charts would either over- or under-predict the extent of caving for some portion of the zone of caving at
surface. The application of these caving charts therefore requires sound engineering judgement and a full
consideration of the geological and geotechnical setting in which it is being applied.

Figure 4 – Undercut depth versus caving angle for block, panel, and sub-level caving operations. Each line
segment represents the range in caving angles measured from different sides of the undercut; the greater
the range the higher the degree of asymmetry. After Woo et al. (2013).

Figure 5 shows results from a series of hybrid FEMDEM numerical models incorporating brittle
fracture capabilities, using the commercial code ELFEN (Rockfield, 2009). The models and input
properties are described in detail in Woo et al. (2013). Similar to the data in Figure 4, the modelling results
likewise show that for a given extraction volume, the zone of caving at surface decreases as the undercut
depth increases. However, the modelling results also indicate that this trend only applies to the caving zone
and the extent of smaller displacements actually increases as a function of undercut depth. These caution
against relying on existing design charts for estimating caving-induced subsidence where small-strain
subsidence is of concern, as the charts and empirical data they are based on do not properly extrapolate
beyond macro deformations (i.e. caving angles). The findings also suggest that the extent and magnitudes
of subsidence may be underestimated if the analysis adopted neglects the influence of geological structures
and assumes symmetrical surface displacements above the undercut.
 ISRM Congress 2015 Proceedings - Int’l Symposium on Rock Mechanics - ISBN: 978-1-926872-25-4

Figure 5 – FEMDEM modelling results showing caving-induced brittle fracture and corresponding
subsidence as a function of undercut depth. The continuous black lines to the left and right of the undercut
are bounding faults. After Woo et al. (2013).

ADVANCED NUMERICAL MODELLING OF CAVING-INDUCED SURFACE SUBSIDENCE

The modelling results in Figure 5 illustrate the scale and complexity of the rock mass interactions
that influence caving-induced subsidence, in this case showing how the presence of sub-vertical bounding
faults can serve to limit the lateral extent of caving. Numerical methods vary widely in their representation
of the rock mass, from continuum to discontinuum treatments, delivering contrasting advantages and
disadvantages in modelling block and panel caving processes (Elmo et al., 2013; Woo et al., 2014). For
practical purposes, a balance must be struck between the appropriate level of detail and the computing time
that will be required to perform a large number of simulations. At the same time, Woo et al. (2014) show in
a benchmark study comparing different numerical techniques that models explicitly accounting for the
presence of faults and rock mass fabric produce more realistic caving and subsidence results.

Elmo et al. (2013) describe the integration of Discrete Fracture Network (DFN) models and
FEMDEM numerical methods applied to block and panel caving problems. DFN modelling involves the
stochastic generation of a representative network of fracture orientation, size and intensity distributions
(Dershowitz et al., 1998); FEMDEM incorporates brittle fracture mechanics and contact interaction
principles (Owens et al., 2004). Together, they allow the realistic simulation of caving fragmentation with
full consideration of the anisotropic and heterogeneous effects of natural jointing and rock mass fabric on
the failure kinematics. Figure 6 demonstrates how the integrated DFN-FEMDEM approach effectively
captures key caving mechanisms, including preferential rock fragmentation within the ore column and the
controlling role of rock mass fabric and geological structures on cave propagation and surface subsidence
(Elmo et al., 2013). The results indicate that jointing and major geological faults will have a significant
impact on cave shape and cave propagation direction. The range of vertical displacements produced in
these simulations for the Cadia East panel cave mine in Australia highlights the generation of asymmetric
caving-induced deformations. A cross-over occurs when the cave front reaches a point along an overlying
dipping fault (Fault A in Figure 6) showing that cave development is also clearly asymmetric.
 ISRM Congress 2015 Proceedings - Int’l Symposium on Rock Mechanics - ISBN: 978-1-926872-25-4

C A B
South -9º North

Displacement YY (m) Year 9.6

0 250m -3º

Year10.2
Year 16

Figure 6 – Integrated DFN-FEMDEM results showing the simulated influence of major geological faults
(blue lines) and jointing on cave propagation and surface subsidence. After Elmo et al. (2013).

CONSTRAINT AND CALIBRATION OF ADVANCED NUMERICAL MODELLING OF

CAVING-INDUCED SUBSIDENCE

The process of transitioning from surface to underground mass mining raises many technical and
operational challenges, further hindered by limitations in the various tools available to reliably predict cave
performance. Moss et al. (2006) describe one such example in the form of the 2004 Palabora pit slope
failure in South Africa (Figure 7). At the time of failure, Palabora was a large, 30,000 tpd block cave
copper mine. Underground operations commenced in 2001 after transitioning from a large open pit
operation that reached a depth of 800 m. Three years after the initiation of caving, cracking was observed
in the northwest wall of the pit. This then evolved over several months eventually leading to failure shortly
after breakthrough of the cave into the bottom of the pit. The failure extended 300 m beyond the outer
perimeter of the pit, affecting access and haul roads, tailings, water and power lines, water reservoirs and a
railway line (Moss et al., 2009). Fortunately, other critical mine infrastructure were not affected.

Moss et al. (2009) remarked that the failure at Palabora revealed deficiencies in our understanding
of cave-pit interactions. Subsequently, a number of studies were carried out applying sophisticated
numerical modelling to back analyze the Palabora failure (Brummer et al., 2004; Sainsbury et al., 2008;
Vyazmensky et al., 2010). These back analyses made significant contributions to the understanding of the
pit slope failure mechanism at Palabora and the pit-cave interactions that developed. However, Moss et al.
(2009) also stressed that given the level of up-front capital investment in a block cave, it is extremely
important to develop reliable predictive tools for forward modelling. This emphasizes the need for reliable,
well constrained and calibrated forward analyses of caving-induced surface deformations.

Figure 8 shows a detailed FLAC3D model of Palabora developed by Woo et al. (2012) that
incorporates the mine geology, cave geometries for different time intervals, in situ stress conditions, and
rock mass properties for each geological unit. A back analysis was then carried out of the northwest wall
failure to constrain the material properties varying input between average and lower bound values. These
include testing of different strain softening thresholds at which strength degradation through brittle
fracturing would begin (correlating induced plastic strains with reduced post-peak rock mass strengths).
 ISRM Congress 2015 Proceedings - Int’l Symposium on Rock Mechanics - ISBN: 978-1-926872-25-4

Figure 7 – Quickbird image of the caving-induced pit slope failure at the Palabora Mine, and photo of the
underground mine infrastructure located adjacent to the pit (after Ngidi & Doshoff, 2007).

Figure 8 – FLAC3D model showing the detailed geology and cave geometries for different time intervals
built into the model. Model dimensions are 4000 x 4000 m in plan and 2000 m in depth. After Woo et al.
(2012).

As in any modelling study, the results depend on the initial conditions and material properties
assumed. These can vary greatly in accordance with the geological heterogeneity and variability
encountered on site, with ranges of input properties being more likely than a single value. Results clearly
showed a varied response for the different sets of rock mass properties tested (Figure 9). The calibrated
model results clearly show that the interaction between the developing cave and open pit was more
pronounced for the northwest wall than any other area of the pit. These drew the cave towards the north
where it undermined the toe of the slope eventually resulting in failure.

A calibrated “best fit” set of input properties were subsequently used for forward modelling of the
expected caving-induced subsidence for the period 2009 to 2010. These were then compared to
RADARSAT-2 interferometry data collected for the same period. Space-borne Synthetic Aperture Radar
(SAR) involves the use of satellite-based microwave radar to remotely detect ground deformations. The
technology can detect displacements on the scale of centimetres to millimetres for a surface area resolution
of several square metres, providing a means to monitor caving-induced differential strains, including small
strain subsidence across an irregular surface topography (Figure 10).
ISRM Congress 2015 Proceedings - Int’l Symposium on Rock Mechanics - ISBN: 978-1-926872-25-4

Figure 9 – Back analyses comparing caving-induced displacements assuming average and lower bound
rock mass properties. Displacements are in metres. Model details are provided in Woo et al. (2012).

Figure 10 – Principles of Interferometric Synthetic Aperture Radar (InSAR), in which satellite emitted
electromagnetic signals are used to measure phase differences resulting from path length changes (i.e.,
ground deformations) between satellite passes of the same area. After Rabus et al. (2009).
 ISRM Congress 2015 Proceedings - Int’l Symposium on Rock Mechanics - ISBN: 978-1-926872-25-4

Figure 11 shows the FLAC3D forward modelling results of caving-induced displacements

generated for Palabora for the period 2009 to 2010. These predicted that the cave interactions would have
the greatest influence on the west pit wall with minor movement of the north wall. Also included is the
corresponding InSAR data for the same period collected after the model prediction. These show similar
displacement magnitudes and patterns, with ongoing activity to the east of the 2004 northwest wall failure
(primarily near the crest) and to the west extending across half of the west wall. Figure 12 compares
displacement-time trends for a point located near the main access shaft, including that based on geodetic
data. Again, the close fit achieved between the predictive 3-D numerical model and InSAR data
demonstrates the promise of InSAR as a means to calibrate and validate sophisticated numerical models,
and thereby contribute to managing caving-induced subsidence hazards (Woo et al., 2012). The results
demonstrate that satellite-based InSAR provides an effective means to identify and map spatial movements
across a large open pit and beyond the pit limits. This ability is important for protecting key mine
infrastructure.

Figure 11 – Forward modelling of expected caving-induced vertical displacements (in metres) for Palabora,
based on a calibrated FLAC3D model, with comparison to RADARSAT-2 data for the same period.
InSAR displacements are colour-coded with respect to downward movements - Red: 20-40mm, Yellow:
10-20mm, Green: 0-10mm. After Woo et al. (2012).

Figure 12 – Comparison of calibrated FLAC3D model, InSAR displacements and geodetic prism data
between 2009 and 2010, for a point located near the main access shaft. After Woo et al. (2012).
 ISRM Congress 2015 Proceedings - Int’l Symposium on Rock Mechanics - ISBN: 978-1-926872-25-4

CONCLUSIONS

As block and panel cave designs evolve to consider deeper and larger undercuts, the influence of
geology and in-situ stresses on cave development becomes more pronounced and interactions between the
cave and surface environment become more complex and farther reaching, challenging our current design
abilities and experience. This requires that geological uncertainty be fully accounted for and managed.
Results from a recently completed research programme focussed on addressing limitations in design
practices associated with the transitioning from open pit to underground mass mining, clearly show that
caving-induced surface deformations tend to be discontinuous and asymmetric due to large movements
around the cave controlled by geologic structures, rock mass heterogeneity and topographic effects.
Although parallel investigations of empirical design charts used to predict caving-induced deformations
were found to be moderately sufficient for assessing the extent of macro deformations directly above the
undercut (i.e. caving collapse features), advanced numerical modelling was found to provide the only
means to confidently estimate the lateral extent of smaller strain subsidence.

Parameter and model uncertainty must likewise be considered and managed. State-of-the-art
DFN-FEMDEM techniques represent an important path forward in modelling caving processes, and
evolving technologies like InSAR present powerful means to calibrate and constrain advanced numerical
models. Results were presented in which a combination of back analyses and high-resolution InSAR data
were used to calibrate and constrain a series of predictive 3-D numerical models focussed on the caving-
induced open pit slope failure at the Palabora block cave mine in South Africa. Together, an advanced
subsidence hazard assessment tool was developed, integrating geology and geotechnical data sets, 3-D
numerical modelling, and InSAR and geodetic monitoring, to better support decision makers in managing
risk, safety and optimization related to deep caving.

Collectively, the results presented in this keynote paper demonstrate the need to fully understand
and account for the complex interactions that develop between an evolving deep cave and the surrounding
rock mass and critical mine infrastructure. Considering the new generation of deep caving projects being
planned, and the higher risk profiles being carried due to the capital investments and development times
required, the need is clear to properly manage geological, parameter and model uncertainty. This can be
achieved through the full representation of geology, faults, rock mass fabric, in-situ stresses and cave
propagation integrated into advanced numerical models and calibrated using high resolution monitoring
data.

ACKNOWLEDGEMENTS

The authors wish to thank the sponsors of this work: Rio Tinto, the Natural Science and
Engineering Research Council of Canada (NSERC), the Canadian Space Agency, and the Centre for
Excellence in Mining Innovation. The authors would also like to thank Allan Moss and Andre van As (Rio
Tinto), Peter Kaiser and Keith Bullock (CEMI), Christian Nadeau and Bernard Rabus (MDA Systems),
and Scott Dunbar and Malcolm Scoble (UBC) for their technical guidance.

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Vyazmensky, A., Stead, D., Elmo, D. & Moss, A. (2010). Numerical analysis of block caving-induced
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