ENG~NEERIN6

GEOLOGY
ELSEVIER EngineeringGeology 36 (1994) 243-255

The development of surface steps during mining subsidence: "Not

due to fault reactivation"
L.J. Donnelly and D.J. Reddish
Department of Mining Engineering, University of Nottingham, University Park, Nottingham NG 2RD, UK
(Received August 13, 1993; revised version accepted December 10, 1993)

Abstract

In spite of the voluminous literature which has been collated over the past ca. 150 years regarding the occurrence,
prediction and control of the various phenomena associated with mining subsidence, the behaviour of geological
faults during such subsidence is still poorly understood. It is generally appreciated that the reactivation of faults
during mining events, and the consequent formation of a step in the surface topography, is complex and variable,
and can result in extensive and spectacular structural damage. Within the past ca. two years evidence from the British
and Ukrainian coalfields has been correlated which suggests that the surface steps formed and effected in the
topography may be centred over contrasting lithological contacts such as bedding planes, joints, unconformities and
the outcrop of fold axes.

1. Introduction 2. The state of the art

In 1991 professional contacts was established
between the University of Nottingham and the
Ukrainian branch of the All-Union Research
Institute of Rock Mechanics and Mine Surveying
( V N I M I ) in the Donetsk Coalfield, one of the
richest coal basins in the former Soviet Union.
Here persists an extensive record of damage to
buildings and structures due to mining subsidence.
An invitation to visit the Ukraine in October 1992
allowed first-hand experience in studying the reac-
tivation of faults and the formation of surface
steps. Prior to the visit to the Ukraine, isolated
British examples indicated that topographical steps
may be occurring at certain discontinuity outcrops
as well as at geological fault outcrops. Both
Ukrainian and British examples are considered in
this paper.
Reactivation of faults during mining subsidence
is generally appreciated by mining engineers.
However it is thought that the effects are so
haphazard that they defy prediction. As a conse-
quence, whereas many branches of mining subsi-
dence have progressed in recent years, this aspect
of ground movements has on the whole been
neglected. A few authors have studied the effects
of faulting on mining subsidence, but they have
reached very different and contradictory conclu-
sions. The more successful researchers, such as
Marr (1961), tend to have been those who have
studied the faults in the field.
Prior to the investigations at Nottingham
University, the prevailing school of thought was
that a geological fault is more likely to reactivate
during mining subsidence, when workings are

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244 L.J. Donnelly, D.J. Reddish~Engineering Geology 36 (1994) 243-255
located in the region below the dip (hade) of a
fault, whereby normal stresses across a fault plane
are transformed from a state of compression
before mining to a state of tension following
extraction. Shear is governed by the empirical
relationship:
• =on" tand~+ C
where: z = shear stress; on = normal stress; tan ~b=
coefficient of static friction; and C=cohesive or
cementation strength.
In the above relation, the factor governing shear
is the redistribution of the geological stress regime
due to mining activities. However, Donnelly et al.
(1992) revealed that fault reactivation is a com-
plex proces. Surface groundwater seepages from
fault planes during reactivation have been fre-
quently observed in the British Coalfields. This
suggests that the pore fluid pressures may actually
influence shearing via the empirical relationship
(Fig. 1):
~ = ( o , - - P f ) tan ~b+ C
where: Pf=fluid pressure.
Further studies have indicated that reactivation
of a fault during mining subsidence is much more
complex than is suggested in the above relation-
ship. Table 1 summarises the factors which may
affect fault reactivation. No single empirical
formula may be determined due to the complex
nature of each parameter. These factors will, how-
ever, not be discussed any further, but may form
part of a forthcoming publication whereby the
4P"
" r : a..T,m ~.b+ C
Fig. 1. Fault reactivation mechanisms during
subsidence.
potential activity will be assessed via a rating
method.
3. Faulting in the Donetsk Coal Basin
The Donetsk Coal Basin or Donbass forms part
of a 1500-km long aulacogen along the southern
margin of the Russian Platform. This area is a
gently undulating Steppe and belongs to the
Ukraine SSR and the Azov-Black Sea region.
Tectonically the Donetsk Basin is represented by
a folded ridge on the Russian Platform, sand-
wiched by Pre-Cambrian crystalline massifs to the
north and south. Four geological provinces are
distinguished: the Late Proterozoic, Caledonian,
Hercynian and Alpine provinces (Fig. 2). The
main structures of the Donetsk Basin were formed
during the Hercynian Orogeny. Great oscilla-
tionary phases of folding and faulting continued
until the beginning of the Palaeogene with intermit-
tent and sporadic volcanic activity. Folding,
although steep in places, is not sufficiently complex
to interfere with the recognition of stratigraphical
horizons. The productive coal measures are steeply
inclined, with over half of the coal field being
concealed. For a further insight into the geology,
and geological evolution of the former USSR,
consult Nalivkin (1985) or Khain (1985). Only a
few technical papers with particular reference to
faulting have been translated into English (see
Chekunov and Kuchma, 1977; Belousov 1976).
4. The reactivation of geological faults during
mining subsidence: the British and Ukrainian
experience
During a brief visit to the Ukrainian mining
industry, twenty five individual case histories were
studied from records, some of the faults were
viewed in the field, and most fault cases were
discussed extensively. In addition faults were exam-
ined on a working longwall face. Data from
twenty-two case studies are illustrated in Table 2,
mining summarising subsidence and strain data. (The
occasional loss of data being due to the fact that
 L.J. Donnelly, D.J. Reddish/Engineering Geology 36 (1994) 243-255 245

Table 1
Factors influencing the reactivation of a pre-existing fault
NI~ACTIVATI~ OFA PR~-EXI~TINO FAULT

i DRIVIIN~ANORI~I~TINQ FORCES I

Noe'mq les ,,l~lnlll Flmlt$ BIddkt~ Oen~ty~Mo;~,~,,~y ~ Tl~ow IAhtlt'illII lit kltl T e c t o n l cI~lIKtllVllll
/ / / ~ ~ Ion OIllll ~ (slrn'ledlm~d
Lhlirk: Iwy) ~ , l , , . , ~ l l I

llOrUilll l l i i r l o olrlki-illlql k w l l l l 81mlio Tiff CIKVIgWI

t THE FAULT/FREE SURFACEINTERFACE CONTACT ]

LLOI/GWALL/MINING PARAMETERS I

Rato ol Oq~rh T I ~ of OIpo# ~ m Olsllmces

Ikkflld4 width Ik~Or I l a ~ l r KIVlI~O ulractlm~ horn f ~

Irectlrt I plltefn

Com~Menl WII~ TIMxotropk: Ov~'l~l~m Lllhoeontlcil Flit SwolmdHIIIslot~ Plalml Motm4aiml (Urbal~41ld}

in the Ukraine photocoping facilities were unavail-

Table 2 able. All plans and maps were photographed, and
Summary of case histories of fault reactivations studied in the
Donestk Coalfield, Ukraine (all measurements are in cm; BD = then redrafted in the UK.) An important advan-
below dip; T=towards; A=away from; O = opposite; ?= tage of studying the reactivation of faults in the
lost data) Donetsk Basin is that this phenomenon has been
" 950
SaWn
390
~
540
E-
9,4
~
?
JPmaLo~rWoaanlpi ~
7 1 ? ?
recognised for over 50 years and much of the
2
3
44O
8OO
20
100
410
700
2.2
7
•2
?
~
~
T
T
?
?
structural damage prevails to the present day.
4
5
8~0
510
140
80
79O
430
24
2,4
0.1
3
~
~
T
T
?
?
Figure 3 illustrates an extensive fault step which
(S
7
810
380
120
120
~0
170
11.6
1.8
0.8
0.1
~
~
T
T
?
?
could not have developed to this extent in the UK
8 470 IO
270
N0
530
2.8
8.8
0.3
12
~
~
T
T
?
?
because mining damage to structures is usually
I0
11
93O
2O0
780
10
170
100
2
1.6
12
?
~
~
T
T
?
O
speedily repaired. This reduces the ability to study
12
13
390 50
10
280
90
S.3
0.2
4.9
?
~
?
T
?
0
?
the effects of damage to structures with time.
14
15
90
400
30
100
7O
220
0.4
3
•5
1.9
~
~
T
T
0
O
Figure 4 indicates the effects of a thick superficial
le
17
NO
5.7O
lg0
7O
2110
4SO
3.6
4
O~
7.8
~
?
T
?
?
?
glacial cover on the morphology of a surface step.
18
19
370
270
70
20
150
240
?
3.1
?
•4
~
~
T
A
?
?
The step is exaggerated over a greater surface area.
2O
21 I
52O
?
g0 430 18 2
?
~
?
T
?
?
? Surveying observations were undertaken in 1979.
" I 32 5 ? ? ? l ? ?
However, in October 1992 the continual reactivity
246 L.J. Donnelly, D.J. Reddish~Engineering Geology 36 (1994) 243-255

VORONEZH CRYSTALLINEMASSIF ~ / NORTH CASPIAN

/ SYNCLINE

~ " ~, GRABEN ,......._

r Z~O,~,.X.".~NA~, .V,,~UUS . . . . . . . -~ . OO.ETSK A..,,k~,.. ,./
~ ' , ~ X .~~,,,, .ASIN '~, ...,,,;s,,y -,...~ .
~.,~N C'STA'"NE"ASSIF ~ \ ''T---/ .". ~ / ..c. "~ a
Pn,AZOVSKV~. ~ //j,~ ~ • i s

I ~ mill lint k:lkle

SOUTH NORTH
Volnovlkhl Done|ilk Gorlovke Arternov~ Kremen~oe
DI El /K:
Nt O OI o! NZ
w r , _ _ _ _ f _ _ Ki

,o I
I I
~"~ Fmalt, I IC'I~ tMIine

Fig. 2. Structural elements and geological section through the Donetsk Basin in the Don-Dniepr downwarp.

Fig. 3. A fault step still active 30 years after mining activities (The Donetsk Coalfield, Ukraine).
 L.J. Donnelly, D.J. Reddish~Engineering Geology 36 (1994) 243-255
1.1171
| occurred in regions of mining subsidence at locali-
Sem 2"
~-3
"l ~lu.zvJ
Fig. 4. The effect of a superficial cover on the morphology of
a fault step (October 1992, The Donetsk Coalfield, Ukraine).
of this fault is evident; the vertical height of the
step is now in the order of 3-4 m.
5. Surface step topography in the absence of fault
outcrops
If, during mining subsidence, a whole region of
land subsided at a constant rate, by a constant
amount, then the degree of damage to houses,
structures, roadways and farmland would be slight
or negligible. However, the differential ground
movements create the severe and spectacular
damage. A fault step usually covers a horizontal
surface area of 0.5-I.0 m. The nature of the near-
surface geology may extend this zone to the order
of 1.5-2.0 m. The magnitude of damage to struc-
tures and buildings in the vicinity of a fault step
is determined by the quality of construction, type
of structure and the age of the structure. In early
1991, it was noted in the coalfields of the British
Midlands and South Wales that certain steps
247
ties where faults did not crop out. Seismic surveys
and trenching undertaken by British Coal in some
of these localities also confirmed the absence of
geological faults. Why should a step form during
mining subsidence without a fault? The following
theories and field observations may explain this
phenomenon.
6. Translational bedding plane shear
During pure translation, a rock mass is displaced
in such a way that all points within the body move
along parallel paths in the same direction and
cover the same distance with no rotation. Rigid
bodies translate past one another along discontinu-
ity surfaces, where the integrity of the rock is
interrupted and along which movement is possible.
The geological record is full of examples of the
translation of rigid bodies of rock along fault
discontinuities. This phenomenon is commonly
accompanied by slickenslide surfaces, often miner-
alised with calcite, quartz, baryte and fluorspar. It
is, therefore, proposed that bedding plane shear
translation is apparent in the British Coalfields
during subsidence, and can explaining the occur-
rence of geomorphological steps in the absence of
fault outcrops (Fig. 5). This phenomenum is most
likely to occur within a proportion of a subsidence
trough subject to tensile strains. However, the
mechanism of transitional bedding plane shear
appears to be feasible in the region of a subsidence
basin subjected to compression. The latter, how-
ever, is mere speculation, and as yet none have
been identified in the field. It is apparent that such
a step is more likely to occur at prominent joints,
or at a well defined discontinuity where a compe-
tent lithology lies adjacent to a weak sediment.
Examples are Bunter sandstones and Pebble Beds
against Keuper Sandstones, Marls of the Permo-
Trias, and the Carboniferous Coal Measure sand-
stones and Gritstones, in stratification with silt-
stones, mudstones and shales.
In the Donetsk Coal basin, mineral exploitation
is practised on steeply inclined seams dipping at
an average of 75 °. As previously stated, the pro-
ductive coal measures appear in a Carboniferous
248 L.J. Donnelly, D.J. Reddish~Engineering Geology36 (1994) 243-255

Lithologlcal contacts ] tinuities between a competent brittle gritstone and

with contrasting I a relatively plastic shale.
mechanics! p r o p e r t l a s J
Stop' Iormaticm via Translational Figure 7 clearly illustrates how step formation
[ Bedd ng Plans Shear may occur due to translational shear. The resultant
Original surface ............. ground surface is usually seen as a multiple step-
on-step topography creating extensive structural
~ . 7..'...-~ :'::::;;:!:';::~iii-i!iiiii'i ~"~!'~! "~::~!W~ :/:::.E'W~ E~:::~'!~ ~ "!~:::::::::
damage. Such steps usually occur at specific
intervals and perhaps this observation may be
"~,'.- ., ~: considered during the construction of structures
Unconformity
and roadways, etc., specifically arranged as to
avoid these contrasting lithological contacts.

7. Synclinal fold axes

This particular example of step formation with-

out a geological fault is unique to the Donetsk
Seam
coal basin because underground British mines do
not extract coal in the trough and on the limbs of
[Not to scslo~ large synclinal folds. Nevertheless, this case is
indicative that faults alone are not always responsi-
Fig. 5. The mechanisms for the formation of steps via bedding
plane translational shear. ble for surface stepping.
Whether the thickness of a rock layer is modified
during folding depends on the internal stresses
coal bearing sequence identical to that of the imposed upon the rock, and the strength of the
British Coal Measures (and as a matter of fact, rock to resist these stresses. The folding of rock
the whole of the European Coal bearing deposits). cannot be accomplished without an infinite number
Cylcothem deposits, therefore, comprise an of kinematic adjustments. During folding indivi-
alternating sequence of competent sandstones in dual layers tend to retain their original thickness,
stratiform, parallel stratification with less brittle usually however, with some internal distortion.
or relatively plastic variations of soft sediments Such distortion mainly occurs in the hinge zones
such as siltstones, shales, mudstones, seatearths of the folded layers. The outer arc of the hinge
and fireclays. undergoes layer-parallel stretching, whilst rock on
Figure 6 illustrates the formation of surface steps the inner arc of the hinge undergoes longer parallel
formed during subsidence via a form of transla- shortening (Kuenen and DeSitter, 1938). Layer
tional bedding plane shear. A pillar of coal is left parallel strain decreases towards the central zone
between the ground surface and the initiation of of each folded layer, reaching a neutral surface of
the productive face. As the extraction operation no strain, separating the outer arc domain of layer
progresses down-dip from location 1 to location parallel shortening. An excessive form of these two
7, the central zone of maximum subsidence and extremities is seen as complex secondary folding
the angles of draw simultaneously migrate down- and simple shear (Fig. 8).
dip, Consequently the bending of the steeply Figure 9 illustrates extraction of coal via the
inclined coal measure strata near the free surface longwaU mining method, on the shallower side of
interface results in bending via plastic deformation. the two limbs of an asymmetrical syncline. The
The central portion of the subsidence trough, axial trace of the fold corresponds to a zone of
therefore, experiences a change in direction of the regional compressive strain. The extraction of coal
surface step. As with the British examples, bedding on the limbs of the synform in the region below
plane translational slip is most common at discon- the synclinal axes results in the refraction of
 L.J. Donnelly, D.J. Reddish~EngineeringGeology36 (1994) 243-255 249

ZONE: A
1 I z- o
..~. t. -S'~
.t -/

zo~E:A I ZONE:. I ZONe; C I

Fig. 6. Variations in the direction of surface steps, formed during bedding plane translational shear (The Donetsk Coalfield, Ukraine).

0 - - ' ' I I , , I I ~ I . -- _ -- = I.IIII I

!10-

4m-

IM-

Dm IM-

10N -

12M-

1400 -

lU|

Fig. 7. Multiple step-on-step topography in the Ukrainian coal fields, not due to fault reactivation but as a result of translational
bedding plane shear.
250 L.J. Donnelly, D.J. Reddish/Engineering Geology 36 (1994) 243-255

finite neutrid
surface inner arc shortening

B C D

Fig. 8. The geometry of folds during pure tangential longitudinal strain. Illustrating structural variations in strain (A), cleavage
development (B), tension fissures (C), conjugate shear faults (D), and flexural slip of pages in a book, the direction of interbed slip
is perpendicular to the axis of folding (E) (see Davis, 1984).

ground movements following longwall collapse.
This deflection of the angle of draw results in a
surface step at the outcrop of the axial trace. The
axial trace acts in an identical manner to a fault
plane, reducing the subsidence on one side, and
increasing the subsidence on the other with a
resultant step.
outcrop of a zone of intense compressional strain,
slightly deflected from the monoclinal/synclinal
axial trace by complex secondary folding and
faulting, (Fig. 10)
9. Lateral shear

Fault reactivation or step formation is normally

8. Flexural folding and step formation
Flexural folding can occur in two ways, by
flexural slip and/or by flexural flow (Donath and
Parker, 1964) depending, on the mechanical prop-
erties of the layered sequence such as; thickness,
spacing, rheology, the nature of the internal rock
fabric, whether anisotropic, isotropric or layered,
the initial strain state of the rock before folding,
and the types of boundary displacements that lead
to formation of folds. Flexural slip folding accom-
modates the buckling by layer-parallel slip along
bedding contacts.
In the Donetsk coal basin, monoclinal flexural
type folding is common in the Carboniferous
sequence due to block fault reactivation in the
underlying Precambrian basement. The flexuring
is complicated due to pre-existing faults and their
associated stress field. In the Ukraine surface step-
ping of this nature has been attributed to the
associated with relative vertical displacements; lat-
eral movements can only be detected by accurate
surveying techniques. Figure 11 illustrates the lat-
eral movement of a line of kerbstones. This move-
ment is duplicated because this fault bisects a series
of buildings, causing damage only by lateral shift
with no vertical components, of movement. The
central zone of the road, the footpaths and the
adjacent grass verges indicate no lateral shift, in
fact they appear un-affected. The relatively brittle
concrete kerbstones and buildings will shear much
more easily than the road surface and grass verge.
This deformation has taken place over a certain
period of time, allowing the plastic verge to flow
and rectify slow anomalous movement via creep.
Lateral shear is common with or without vertical
movement in the South Wales, Midlands and
Donetsk coalfields. Figure 12 illustrates subsidence
expected during longwall collapse. In Fig. 12B
lateral shear occurs along a fault. Where this fault
 L.J. Donnelly, D.J. Reddish~EngineeringGeology36 (1994) 243-255 251

S metru IN
I ~ LIIm~ C - C "

II . ' ~ i , ¢ .i I ¢ i , i '''.H.,,,..,i~Hi~,i,i. I I I i

BiLl/ ~ . . . .

l|

s,.

oS

i J"

! i m
au~
IN,,

Dm # m W-n •

"t P-4O-I~

Fig. 9. The location of a surface step following coal extraction in the trough of an asymmetrical syncline (The Donetsk
Coalfield, Ukraine).

is perpendicular to the maximum ground strains, competence. Pull away, void formation and slump-
vertical stepping may occur. (The arrows on the ing may also explain minor movements of lateral
diagram are proportional to ground strains, note shear in a direction away from the workings. There
how faults may absorb such ground strains, reduc- is sufficient evidence to suggest that this form of
ing the degree of subsidence on the side of the lateral shear along lithological contacts rather than
fault away from the workings.) In Fig. 12C lateral along faulted discontinuities occurrs in the British
shear occurs at a lithological contact of contrasting and Ukrainian coalfields.
252 L.J. Donnelly, D.J. Reddish/Engineering Geology 36 (1994)243-255

entk:llmll uxlal trace

100

100. /
/.
ln-

t~m

III-

§N-

t00-

Fig. 10. Step formation not at the outcrop of a fault but resulting from stress variations due to flexural folding.

iiill i !i
ii ! ii

Fig. 11. Lateral shear without vertical movement during the reactivation of a fault in the North Staffordshire Coalfield, Great Britain.
 L.J. Donnelly, D.J. Reddish~Engineering Geology36 (1994) 243-255 253

C tIs~

Fig. 12. Variations in the mechanisms for the formation of lateral shear at fault and at lithological discontinuities.

10. Conclusions result of translational bedding plane shear, in

The formation of a topographical step caused
by reactivation of faults during mining subsidence
is generally recognised by geologists and mining
engineers. It is, however, a poorly understood
concept. Recent investigations in the British coal-
fields suggests that step formation may also be the
particularly where contrasting lithological contacts
are present in planar and parallel stratification.
An example is at a discontinuity spanned by
competent Bunter Pebble Beds or conglomerates
against relatively plastic Keuper Marls. Or simi-
larly, between coal measure sandstones and shales.
These observations made in the UK were also
254 L.J. Donnelly, D.J. Reddish~Engineering Geology 36 (1994) 243 255
discovered in the coalfields of the Ukraine. Here,
step formation is common at fault outcrops, and
numerous case examples were studied and docu-
mented. Step formation was found to be common
at lithgological contacts via plastic deformation
and buckling of the steeply inclined strata adjacent
to the operating seam. The resultant oscillatory
to-and-fro motion of the strata results in a multiple
step-on-step topography, with steps occurring at
regular intervals, and as also found with the British
examples at contrasting lithological contacts.
Furthermore, step formation was common
outcrop of synclinal folds axes, this coinciding
with a localised region of compression, and hence
deflecting the path of sub-surface mining subsi-
dence. In a similar manner step formation also
occurs in the vicinity of the axial outcrops of
flexures, but here being complicated by the pres-
ence of faulting. This mechanisms is unlikely to
occur in the British Coalfields, due to the fact that
no seams are worked in steep synclinal structures.
However, perhaps the potential remains and so
this must be borne in mind for future mine
planning.
Historically lateral shear is usually only noted
on a scale so small that precise surveying tech-
niques must be utilised in order to detect it.
However, this has been found not to be the case.
Many examples clearly demonstrate visible lateral
shear up to 1 metre with or without vertical
movements. This lateral shear is associated with
fault reactivation, as exemplified in Britain and
the Ukraine. It is further postulated here that the
mechanisms which operate lateral shear may also
prevail at certain discontinuities such as bedding
planes, predominant joints and unconformities etc.
Geological evidence has therefore been gathered
which suggests that step formation does not only
occur at fault outcrops during mining subsidence.
As it is the steps in the topography which create
the most severe and often spectacular damage to
land and structures, then the implications of this
study are of utmost significance in the locating of
future mining operations, if the annual subsidence
claims for compensation are to be reduced to a
minimum. In addition this study may explain the
abnormal ground movements which often occur
away from the outcrop of geological faults, how-
ever this phenomenon may not always be due to
mineral exploitation, natural tectonics may hold
equal responsibility.
Acknowledgements
The authors express their appreciation to the
British Coal Corporation for their support given
to this project. Any views expressed in this paper
are those of the authors and not necessarily those
of the Corporation.
Gratitude is also expressed to the friends and
colleagues at the Ukrainian branch of the All-
Union Research Institute of Rock Mechanics and
Mine Surveying, Donetsk, Ukraine.
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