A historical review of the development of numerical cave

propagation simulations
B.L. Sainsbury

Itasca Australia Pty Ltd, Melbourne, Australia

D.P. Sainsbury

Itasca Australia Pty Ltd, Melbourne, Australia

M.E. Pierce
Itasca Consulting Group, Inc., Minneapolis, MN, USA

ABSTRACT: Cave mining methods allow for the bulk extraction of large, low grade ore bodies
in a cost effective manner. The fundamental mechanics of caving involves the self-propagating
yield (failure) of an in situ rock mass in response to production draw from a mining horizon located at depth. Since the inception of cave mining methods in the iron ore mines of northern
Michigan, USA, during the early part of the 20th century, researchers have sought to understand
and predict the nature of cave propagation through simple one-dimensional volume based relationships and empirical methods. Although these methods have successfully been applied to
many cave operations to-date, numerical modeling is considered to be able to provide a more
fundamental, rigorous and robust assessment of cave propagation behavior. Over the past 12
years, through funding provided by the International Caving Study (ICS) and Mass Mining
Technology (MMT) Projects, significant advancement has been made with respect to the development and validation of numerical caving methodologies.
1 INTRODUCTION
Cave mining methods allow for the bulk extraction of large and low grade ore bodies in a
cost effective manner. The caving process involves undercutting (blasting a horizon of in
situ rock mass) and extraction of the broken rock from drawpoints on a production level located at depth. When the plan area of the mining footprint reaches a large enough dimension, a self-sustained propagating cave will develop as long as the broken and bulked ore is
continued to be withdrawn. A schematic diagram of a typical block cave mine is layout provided in Figure 1a.

Figure 1. (a) Schematic representation of a typical block cave mine (b) Main behavioral regions of a
propagating cave.

2 CAVING TERMINOLOGY
A conceptual model of caving has been developed by Duplancic & Brady (1999). The model
includes four main behavioral regions - presented in Figure 1b. The characteristics of each
region have been derived from in situ monitoring, underground observations and numerical
simulations. They are defined below.

Elastic Region -- The host rock mass around the caving region behaves mainly
elastically and has properties consistent with an undisturbed rock mass.
Seismogenic Zone -- Microseismic (and sometimes seismic) activity is concentrated in this region primarily due to slip along pre-existing discontinuities and the
initiation of new fractures.
Yielded Zone The rock mass in this region is fractured and has lost some or all
of its cohesive strength and provides minimal support to the overlying rock mass.
Rock mass within the yielded zone is subject to significant damage, i.e. open
holes are cut-off, TDRs break and cracking is observable in infrastructure. Stress
components within this region are typically low in magnitude.
Mobilized Zone This zone gives an estimate as to the portion of the orebody
that has moved at least 1-2 m in response to the production draw and may be recoverable.
3 ANALYTICAL AND EMPERICAL METHODS OF CAVEABILIY ANALYSIS
Since the inception of cave mining methods during the early part of the 20th century, researchers have sought to understand and predict the nature of cave propagation. Rice (1934)
and later Panek (1984) developed simple one-dimensional volume based relationships to
characterize cave behavior according to an assumed bulking behavior, as illustrated in Figure 2.

Figure 2. Relationship between thickness of caved ore withdrawn (tc), thickness of in-place ore extracted (ti) and rise of the caving brow (Dh) (after Panek 1984).

Simple volumetric relations are still used today by many researchers to estimate cave
propagation rates (Beck et al. 2006). However, the simplifications assume that (a) cave initiation always occurs, and that, (b) cave propagation (and mobilization of material) is always
vertical.
Since the inception of cave mining methods, the use of empirical methods to estimate
cave behavior have been, and still are, widespread. The most commonly used approach for
estimating cavability was developed by Laubscher (Diering & Laubscher 1987, Laubscher
1990, 1994, 2001) and is based on a compilation of rock mass geotechnical characteristics
and caving case histories largely derived from low strength kimberlitic deposits in South Africa. Laubschers chart (Figure 3a) defines, three possible caving states that include; no
caving, transitional whereby the cave initiates, but propagation is minimal and caving
whereby self-sustained propagation occurs.
Many mines still use Laubschers chart to estimate the undercut dimensions required to
induce continuous caving. In most cases, good agreement is achieved. However Lorig et al.
(1995), van As & Jeffrey (2000), De Nicola Escobar & Fishwick Tapia (2000) have previously reported on instances where significant differences were observed. A detailed review

of these cases by Trueman & Mawdesley (2003) showed that the biggest difference in actual
outcome versus prediction was associated with strong (MRMR greater than 50) rock masses
and misinterpretation of the application of adjustments in the MRMR rating scheme. As a
result of this review, Trueman & Mawdesley proposed an alternate method for the prediction
of continuous caving conditions through an extension of the Mathews stope stability chart
(Mathews et al. 1980) that included data from non-caving operations. Their extended stability chart is provided in Figure 3b.
By necessity, empirical methods are limited by the dataset they are developed from. In his
review of cave mining practices, Brown (2003) reasons that numerical modeling enables a
more fundamental and rigorous assessment of cave initiation and propagation behavior than
empirical methods, since it may have advantages in cases for which current experience is
lacking.

Figure 3. (a) Laubschers stability chart, after Laubscher (1994) (b) Extended Mathews Stability
Chart, after Trueman & Mawdesley (2003).

4 NUMERICAL MODELING OF CAVE BEHAVIOR

There are numerous numerical modeling methods (Boundary Element, Finite Element, Finite Difference, Distinct Element, hybrid based) and approaches available for performing
stress and deformation analysis in geomechanics. The important aspect of cave modeling is
not necessarily the numerical program itself, but the methodology for simulating the caving
process, and the estimation of input material models and properties. The following review
attempts to report on the development history of numerical caving methodologies from 1970
(the time of the first known numerical caving simulation) to the state-of-the-art routines that
are currently being applied in pre-feasibility and feasibility stage geotechnical studies.
4.1 Two-dimensional elastic models
Soon after the introduction of the Finite Element Method (FEM) for the numerical analysis
of stresses and displacements in continuous structures (Clough 1960), Palma & Agarwal
(1973) from Columbia University, New York, developed the first known two-dimensional,
elastic, FEM model to study cavability at the El Teniente Mine in Chile. During the planning of an expansion of the existing cave operations into a stronger and more competent area, researchers Palma & Agarwal (1973) identified the need to consider the nature of the in
situ rock mass fracture network and the impact of principal stress direction in relation to the
undercut on cavability. The impact of the fracture network was represented in the numerical
simulations by assigning zero tensile strength to all zones. Although not many details of the
modeling methodology are provided in the literature, it is clear that yielding of the rock mass
immediately above the simulated undercut was assumed to propagate when a tensile stress
component was identified within a zone. Figure 4 presents results that clearly show the impact of cave height based on in situ stress and orientation of the mining footprint. Although
these simulations assumed that caving only occurred as a result of tensile failure, they were

fundamental in understanding the importance of the orientation of a rectangular mining

block with respect to the in situ principal stress direction.

Figure 4. Impact of principal stress orientation in relation to undercut (after Palma & Agarwal
1973).

4.2 Two-dimensional plasticity models

Through the application of two-dimensional FEM simulations at the Grace Mine, located in
Pennsylvania, USA, Barla et al. (1980) introduced a softening material model to represent
the degradation of the in situ rock to a fully weakened and bulked state during the caving
process. The use of such a material model highlighted the understanding, that caving may
not only occur due to a tensile (gravity) mechanism, but also a stress (compressional yielding) mechanism.
The softening behavior was simulated through a periodic review of the failure states in the
zones. If a zone failed via a compressional or tensile mechanism, then the strength, density
and stiffness were reduced to a residual value. In addition, production draw was simulated
through a force application, determined from querying stresses at the undercut roof. Figure 5
provides a schematic representation of the modeling methodology used to simulate the undercutting process and some of the model results (Figure 5d).
The work reported by Barla & Boshkov (1980) provided a greater understanding the
changes in strength, modulus and density that accompany caving and the importance in being able to accurately represent the mining process within the numerical model.
During the early 1990s, Rech & Lorig (1992) conducted two-dimensional, finite difference analyses with the numerical code FLAC (Itasca 1991) to reproduce the existing conditions at the Henderson Mine, Colorado, USA and predict the expected cave behavior. These
are the first simulations that attempt to correlate production schedule tonnes with the simulated advance of the cave. The cave zone was initialized within the model through a number
of mining increments that corresponded to the historical and planned production schedule.
Vertical draw and a bulking factor were assumed based on the volumetric equations outlined
in Panek (1984). Stresses were reset to zero within the cave zone and the rock mass properties were reduced to those consistent with a fully-bulked rock. Simulation of a fully-bulked
and reduced vertical stress conditions within the caved rock mass ensured that the mining
induced stress magnitude and directions were accurately captured. However, by initializing
the caved rock mass within the model, and by artificially reducing stresses within the cave,
mass and energy were not conserved.

Figure 5. (a) Model mesh (b) section through the mining geometry (c) simulated undercutting process (d) contours of resultant mobilized strength the shaded area represents a fully softened/caved rock mass (after Barla & Boshcov 1980).

During the International Caving Study (ICS), Karzulovic & Flores (2003) considered the
influence of depth, stress, structure, rock mass strength and groundwater on cavability
through a sensitivity analysis with the two-dimensional FEM code Phase2 (Rocscience
2002). The caving methodology employed forces vertical cave propagation. It was assumed
that rock mass breakage should only occur in a window with a width equal to 10% of the
undercut width (i.e. if the undercut width is 100 m, then the vertical propagation of the caving requires the breakage of the upper part of the cave along a width of 10 m), as illustrated
in Figure 6a.
Based upon stress redistribution around an imposed cave shape, a Cave Propagation Factor (CPF), which is the ratio between the average deviatoric stress acting on the cave back
and the maximum deviatoric stress that the rock mass can sustain, was used to determine if
caving is problematic, transitional or self-sustained.
Although simple assumptions were used in the representation of geometry, stress redistribution (2D), rock mass plasticity and post peak rock mass behavior, assessment of the CPF
at the Northparkes Lift 1 Mine provided good correlation with the actual performance of the
cave that stalled in 1999 as shown in Figure 6b.
4.2.1 Axis-symmetric strain softening models
In an attempt to include a better representation of the three-dimensional shape of the undercut and surrounding stress field, during the International Caving Study, Lorig (2000) (also
reported in Brown 2003) conducted axis-symmetric simulations of cave propagation using
FLAC (Itasca 2000). A cylindrical undercut located at varying depths was considered. The
initial state of stress within the models was assumed to be lithostatic and stress boundaries (a
support pressure) were imposed at the excavated undercut level to ensure initial stability. To
simulate mining, the support pressure was monotonically reduced in the roof of the undercut
(similar to the approach of Barla & Boshcov 1980) and the extension of the yielded rock
mass (represented by a strain-softening material) was assessed.
Through this approach, even though the true three-dimensional geometry and stress tensor
were not accurately represented, Lorig (2000) was able to predict a hydraulic radius (HR)
associated with cave initiation and self-sustained instability that compared well to

Laubschers empirical cave stability chart. A schematic representation of the modeling

methodology used to simulate production draw from these axis-symmetric models is provided in Figure 7.

Figure 6. Cave Propagation Factor at Northparkes Lift 1 Mine (after Karzulovic & Flores 2003)

Figure 7. (a) axis-symmetric model (b) evolution of the undercut pressure and height (c) stepwise
reduction of undercut pressure (d) details of the pressure evolution with a simulated reduction
step (after Brown 2003).

These simulations showed that cave propagation is dependent on the post-peak brittleness
of the rock mass, i.e. as the material was made more brittle, the cave height increased.
Trueman & Mawdesley (2003) suggest that continuum methods that use a strain softening
model are not robust as they are highly sensitive to mesh size and the post peak material
properties which impose mesh dependency within the numerical results. However, Lorig
(2000) showed that, provided the mesh-dependency was considered by introducing a standard length scale to the numerical mesh and the critical plastic strain softening input parameters, that the cave simulation results are repeatable with different sized meshes. This scaling
approach, also termed the Standard Regularization Method has also been used by other researchers to account for mesh dependency in the numerical simulation of other geomechanical processes (Crook et al. 2003). Table 1 provides a summary of Lorigs results.
In addition, an analysis of the Northparkes Lift 1 cave was completed, as illustrated in
Figure 8. For each expanding undercut increment, the resulting cave height was assessed. A
hydraulic radius of 42.5 m was required to reproduce the observed in situ cave height. This
is consistent with the stalled undercut geometry. Although the cave height was reproduced,
it is clear the shape of the cave volume (flat-back) is not necessarily realistic.

Table 1. Cave height as a function of brittleness (after Brown 2003).

_____________________________________________________________________

Grid
Critical Strain (escrit)
Cavern Height (m)
_____________________________________________________________________
Coarse
0.1
160
Fine
0.02
150
Coarse
0.005
200
Fine
0.01
205
Coarse
0.0025
225
Fine
0.005
250
_____________________________________________________________________

Figure 8. Cave geometry resulting from a numerical simulation, hydraulic radius = 42.5m (a) displacement vectors (b) softened zone (after Lorig 2000).

4.3 Distinct element models

Two dimensional, distinct element models were developed by Lorig et al. (1995) with the
PFC code to provide a richer understanding of the fracturing of the in situ rock mass and an
improved predicted shape of the cave region. Conceptual models of a cave in a high initial
stress state were developed and two fundamental failure mechanisms associated with cave
propagation were identified- intact rock block failure and slip along pre-existing joints. The
model results are presented in Figure 9a and Figure 9b. Brown (2003) reports on the extension of the two-dimensional particle models to three-dimensional axis-symmetric models
during the International Caving Study results of which are provided in Figure 9c.
During the Mass Mining Technology Project (MMT I) Synthetic Rock Mass Modeling
(SRM) was developed (Pierce et al. 2006a, Mas Ivars et al. 2008) to allow for the detailed
consideration of the rock mass joint fabric in the determination of rock mass response at
large scales i.e. 10 to 100 m. The SRM methodology uses PFC3D (Itasca 2007) to explicitly represent a discrete fracture network (DFN) embedded within an intact rock matrix. The
resulting SRM can explicitly account for the presence of intact rock bridges between terminating fractures similar to in-situ rock mass conditions. Through simulated testing of these
synthetic materials, it is possible to derive rock mass properties such as modulus, strength
and brittleness. At present, it is not practical to simulate large-scale mining/geological processes within PFC3D due to the computational intensity of the numerical technique. For this
reason, a Ubiquitous Joint Rock Mass model was developed (Sainsbury et al. 2008) to represent PFC-based behavior within large (mine-scale) simulations.
Additional Smooth Particle Hydrodynamics (SPH) codes have also been used to represent
a cave scale model in two-dimensions (Karakel et al. 2010); however, due to their limited
validation and application, they are considered research tools at the current time.

Figure 9. (a) Particle clusters early in the caving process with superimposed contact force chains
(after Lorig et al. 1995). (b) Particle clusters after significant cave propagation showing internal
fractures of blocks in the caving zone chains (after Lorig et al. 1995). (c) Forces arching around
the unstable rock mass(after Brown 2003).

4.4 Three-dimensional methods

Pierce & Lorig (1998) describe an improved methodology developed during the International Caving Study (compared to the axis-symmetric approach reported by Brown (2003)),
whereby sequential undercuts of constant width were simulated to reproduce the increasing
undercut hydraulic radius during cave start-up. Production was simulated in the model by
monotonically reducing stresses in the undercut level using the same methodology presented
in Figure 7. For each undercut increment, the model was stepped to equilibrium before subsequent undercut increments were taken. In addition to the dynamic nature of the undercut
expansion, Pierce & Lorig implemented a user-defined function that modified material properties and stresses based on plasticity state and strain. Through this approach the point at
which self-sustained instability (the critical HR) could be determined based on actual threedimensional stresses distributing around the undercut. A diagram that represents the modeling methodology is provided in Figure 10a along with typical model results (Figure 9b). It
can be seen that the modeling methodology generally results in a flat cave back (Figure 10B7), which is not considered realistic based on the conceptual model of a cave.
Using this approach, the amount of material extracted within the model could be calculated based on changes in mesh volume, stress and bulk modulus. However, by reducing the
stresses uniformly across the undercut, material was drawn preferentially from the higher
stress areas in the undercut. This methodology highlighted the need for better control on
production draw simulation and during the Mass Mining Technology (MMT I) project,
Pierce et al. (2006b) simulated production draw based on the pseudo-static application of
small downward-oriented velocities in the back of the undercut within the model. By doing
so, the amount of material being removed from an area could be controlled. Details of this
methodology have previously been documented by Sainsbury et al. (2008) and are summarized in Figure 11.
Through a velocity controlled production draw algorithm, Pierce et al. (2006b) were able
to simulate the evolving cave behavior at Northparkes Lift 2 that was consistent with the
conditions observed onsite. The numerical results presented in Figure 12 have been validated against measurements of open hole blockages, TDR breakages and the progression of the
seismogenic zone with production draw.

Figure 10. (a) Logic sequence to simulate caving (b) typical simulation results (after Pierce & Lorig
1998).

Figure 11. Simulation of production draw from FLAC3D model based on velocities (after Sainsbury et
al, 2008a).

Figure 12. Progression of predicted mobilized zone limit (white iso-surface) and overlying yield zone
limit (blue iso-surface) versus TDR breakage locations (blue spheres) and open hole blockage locations (red squares).

4.5 Hybrid techniques

Most of the methodologies described so far have represented the rock mass as an isotropic
material (i.e. the same strength in all directions). However, it is known that the cave propagation behavior of a jointed rock mass is strongly governed by the unique nature of joints
and discontinuities together with the intact strength of rock-bridges that make up a rock
mass.
Vyazmensky et al. (2007) used the combined finite element-discrete element ELFEN
code to insert physical fractures into a continuum finite element mesh that is gradually degraded into discrete blocks through systemic sampling of the tensile strength and principal
stress magnitudes and directions. Results of recent simulations conducted with this approach are presented in Figure 13.
The model results are considered qualitative as the caving methodology, has yet to be validated against actual observations and measurements of seismicity, TDR breakages, breakthrough timing or subsidence limits. Due to the complexity of model setup and the significant computational time required to run mine scale subsidence problems this technology is
currently limited to two-dimensions.

Figure 13. Simulation of cave development using a hybrid approach (after Vyazmensky et al. 2007).

5 KEY COMPONENTS OF THE CURRENT NUMERICAL CAVING ALGORITHM

As discussed, a numerical model of caving has been researched within the industry funded
International Caving Study (ICS) and MMT I (Mass Mining Technology) projects. The current (MMTII) caving algorithm is implemented within, but not limited to FLAC3D (Itasca
2009) and 3DEC (Itasca 2007). The model is able to represent the true three-dimensional
mining geometry, structural model and tonnes-based production schedule in addition to a
strain-softening rock mass response that can account for a discrete fracture network
through a Ubiquitous Joint Rock Mass approach (Sainsbury et al. 2008).
The methodology allows the seismogenic, yielded and mobilized zones to evolve as a result of a specified production schedule and rock mass behavior. The cave volume is not introduced manually into the model; rather it is allowed to develop based on the specified
draw strategy, evolving induced stress conditions and the simulated constitutive behavior of
the rock mass. In doing so, hang-ups, over-breaks and rapid advance rates can all be predicted. Key components of the caving algorithm are summarized below.
5.1 Cohesion and tension weakening
There is significant uncertainty regarding post-peak rock mass behavior during the failure
process and the manner in which the rock mass transitions from an intact to a caved material. In this complex process, creation of a propagating cave results in a) deformation and
stress redistribution of the rock mass above the undercut, b) failure of the rock mass in advance of the cave, with associated progressive reduction in strength from peak to residual
levels, and, c) dilation, bulking, fragmentation and mobilization of the caved material. This

overall response is often termed a strain-softening process, and is the result of straindependent material properties. In the caving model the rock mass material is described by a
Mohr-Coulomb strain-softening, failure criterion in which the behavior is constrained by the
results of SRM simulations.
Calibration of a SRM material response in FLAC3D (as described by Sainsbury et al. 2008)
has been termed a Ubiquitous Joint Rock Mass (UJRM). UJRM samples are calibrated to
SRM test results under three different stress paths (UCS, triaxial and direct tension), in three
different loading directions and at three different samples sizes. In each of these environments, not only is the peak and post-peak response matched, but the failure mechanisms, determined from SRM testing, are also honored.
5.2 Density (porosity) changes
It is known that the density of broken rock varies greatly within a cave and that it is related
to the volumetric changes that accompany dilation under shear failure and or expansion under tensile failure. As a result of this, the density tends to be lowest in actively flowing regions and higher in areas that have been stagnant for some time and may have been subject
to re-compaction. In the caving algorithm, volumetric expansion can occur via both mechanisms (shear dilation and tension). The resulting changes in porosity (n) within each zone
are tracked and the density updated according to Equation (1).To prevent bulking of the rock
mass to unrealistic levels, a maximum porosity is set within the model that cannot be exceeded.

r bulk = rinsitu / 1 + ( h / (1 - h ) )

(1)

5.3 Modulus softening

During caving, a rock mass will increase in volume (or bulk) as intact rock blocks fracture,
separate and rotate during the yielding and mobilization process. Along with this bulking, a
reduction in modulus is expected to occur. The rate at which a rock masses modulus softens
within the MMTII-based numerical caving algorithm is based on a non-linear relation described by Hoek &Diederichs (2006).
5.4 Production simulation
Evolution of the mining footprint shape and hydraulic radius is simulated within the MMT
II-based caving algorithm through the constant updating of the active production. Production
draw is simulated by the same methodology developed during MMT I, by applying a small
downward-oriented velocity to grid points in the model that correspond to draw point locations. Production draw is controlled by mass balance calculations that are performed at regular intervals during model stepping.
Contrary to the limited experience and views of Vyazmensky et al. (2009), Sainsbury et
al. (2008) have previously shown how a continuum can be calibrated to an anisotropic response (derived from SRM testing) and used in large (mine-scale) three-dimensional caving
analyses that span a production history of 40 plus years.
5.5 Validation of caving algorithm
Although Vyazmensky et al. (2009) report that available modeling tools are yet to reach the
computational efficiency required to allow detailed and realistic three-dimensional analysis
of block caving subsidence, validation of the MMT Caving Algorithm has most recently
been completed on a historical case study of the Grace Mine located in Pennsylvania, USA
(Sainsbury et al. 2010). Evolution of the cave (both mobilized and yield zones) after simulation of the historical mining schedule are presented Figure 14 along with photographs of the
observed surface subsidence at the time.

Figure 14. Predicted mobilized (yellow iso-surface) and yield zones (blue iso-surface).

6 SUMMARY
Since the development of numerical methods in the 1970s, the numerical assessment of
cave propagation has been continuously researched and improved to help minimize the geotechnical risks associated with cave mining methods. Numerical methodologies have
evolved from being able to accurately assess the primary risk of whether a cave will stall and
develop an airgap, to now being able to assess detailed cave behavior. The current state-ofthe-art caving algorithm, that has been developed within the industry funded MMT2 project
provides a robust assessment of the evolving mobilized, yield and seismogenic zones in response to the actual production draw at the undercut/extraction level. The evolving cave
shapes, propagation rates, abutment stresses and subsidence limits can be readily assessed
with the one numerical model.
ACKNOWLEDGEMENTS
The authors wish to acknowledge the members of the ICS and MMT I and MMT II projects
for sponsoring the development of the numerical caving algorithm. In addition, the authors
would also like to thank Itasca and The University of New South Wales for their continued
support.
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