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Excavation-Induced Fault Instability: A Machine Learning Perspective

ROCK MECHANICS AND ROCK ENGINEERING 2024年第7期57卷 5251-5265页

作者： Meng, Wenzhao xu, nuwen Zhao, Zhihong Wu, Wei Nanyang Technol Univ Sch Civil & Environm Engn Nanyang Singapore Sichuan Univ Coll Water Resource & Hydropower State Key Lab Hydraul & Mt River Engn Chengdu Peoples R China Tsinghua Univ Sch Civil Engn Beijing Peoples R China

Excavation-induced fault instability has been known as a major barrier for underground engineering in deep rocks. A comprehensive understanding of unloading-induced stress changes on a pre-existing fault is a critical clue to reveal the mechanism of excavation-induced fault instability. Here we established a machine learning model based on eXtreme Gradient Boosting (XGBoost) to predict changes in normal stress, shear stress, and Coulomb failure stress along the fault due to tunnel excavation. We first created the training datasets based on discrete-element modeling and tested machine learning models to select a better performing model. We then conducted a relative importance analysis and showed that the horizontal stress on the model and the coordinates along the fault are two critical factors to predict the stress changes. We used the XGBoost model to further investigate the fault-slip rockburst during the construction of Jinping II Hydropower station and demonstrated the relationships between the stress changes and the failure locations. Finally, we discussed an interesting correlation between the stress changes (reduction-dominated and rotation-dominated) and the failure locations (initiation and termination) along the fault, which is crucial to understand the mechanism of excavation-induced fault instability and to forecast the fault failure during tunnel excavation. Excavation-induced stress changes are critical to reveal the mechanism of fault instability.A XGBoost machine learning model is established to predict the stress changes along the *** between stress changes and failure locations is revealed as a mechanism of fault instability.

关键词： Tunnel excavation Fault instability Numerical modeling Machine learning Stress evolution

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Enhancing convergence speed and accuracy of virtual field optimization method for microseismic source location in tunnels

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TUNNELLING AND UNDERGROUND SPACE TECHNOLOGY 2025年 158卷

作者： He, Jian Li, Huailiang Li, Binhong xu, nuwen Wen, Junnan Li, Yuedong Chengdu Univ Technol State Key Lab Geohazard Prevent & Geoenvironm Prot Chengdu 610059 Peoples R China Chengdu Univ Technol Key Lab Earth Explorat & Informat Technol Minist Educ Chengdu 610059 Peoples R China Sichuan Univ Coll Water Resource & Hydropower State Key Lab Hydraul & Mt River Engn Chengdu 610065 Peoples R China

Accurate and rapid microseismic source location is the foundation for tunnel rockburst warning. Here, we present a novel location strategy that employs an improved mayfly algorithm (IMA) to enhance the convergence speed and accuracy of the virtual field optimization method (VFOM) for tunnel microseismic events. By optimizing the initial position of the mayfly population and the moving velocity of mayfly personals, we develop an IMA with superior convergence speed in searching for source locations. The proposed method utilizes paired microseismic receivers in the tunnel monitoring array to create hyperbolic surfaces. Then, the IMA is employed to rapidly and accurately determine the intersection point of all hyperbolic surfaces, defining it as the microseismic source location. We compare the IMA-VFOM with different error levels in seismic wave velocity or arrival time against other traditional location approaches based on travel time differences. The results confirm that the IMA-VFOM's convergence speed is, on average, more than 4 times that of the MAVFOM algorithm. Compared to conventional methods, the IMA-VFOM method demonstrates higher location accuracy and stability. The average location error of the proposed method is 4.0043 m when applied to real rockburst microseismic events in tunnels.

关键词： Microseismic source location Virtual field optimization method Improved mayfly algorithm Rockburst event Convergence speed

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An ICEEMDAN-WPD based denoising method for MS signals and its engineering application

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NONDESTRUCTIVE TESTING AND EVALUATION 2025年第5期40卷 1946-1968页

作者： Dong, Linlu xu, nuwen Zhang, Peng Li, Biao Xiao, Peiwei Sun, Yuepeng Sichuan Univ State Key Lab Hydraul & Mt River Engn Chengdu Peoples R China Southwest Petr Univ Sch Geosci & Technol Chengdu Peoples R China

The complex installation environments for microseismic (MS) monitoring systems generate significant noise in MS signals, hindering accurate event localization. This study proposes a noise reduction method combining improved complete ensemble empirical mode decomposition with adaptive noise and wavelet packet decomposition (ICEEMDAN-WPD). The signal is initially processed with ICEEMDAN to obtain intrinsic modal functions (IMFs), which are components ordered from high to low frequencies. The correlation between the original signal and each IMF is evaluated and low-correlation IMFs are eliminated for initial noise reduction. Additionally, the WPD method further decomposes and filters the highly correlated IMFs for secondary noise reduction, enhancing the noise reduction effect. Ultimately, the signal formed by reconstructing the secondary noise reduction IMF is the complete ICEEMDAN-WPD method filtered signal. The simulation results indicate that the ICEEMDAN-WPD method enhances the signal-to-noise ratio (SNR) and preserves the original signal characteristics to the greatest extent, demonstrating a significant noise reduction capability. In particular, the application of this method to the noise reduction process of MS signals from Shuangjiangkou hydropower station has led to a significant improvement in the accuracy of subsequent MS events localization. The research results can provide reference for similar signal noise reduction processing.

关键词： MS signal improved complete ensemble empirical mode decomposition with adaptive noise wavelet packet decomposition noise reduction

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Characterizing large deformation of soft rock tunnel using microseismic monitoring and numerical simulation

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Journal of Rock Mechanics and Geotechnical Engineering 2025年第1期17卷 309-322页

作者： Yuepeng Sun nuwen xu Peiwei Xiao Zhiqiang Sun Huailiang Li Jun Liu Biao Li State Key Laboratory of Hydraulics and Mountain River Engineering College of Water Resource and HydropowerSichuan UniversityChengdu610065China Power China Sinohydro Bureau 7 Co. Ltd.Chengdu610213China Key Laboratory of Earth Exploration and Information Technology Chengdu University of TechnologyChengdu610059China School of Geoscience and Technology Southwest Petroleum UniversityChengdu610500China

Surrounding rock deterioration and large deformation have always been a significant difficulty in designing and constructing tunnels in soft *** key lies in real-time perception and quantitative assessment of the damaged area around the *** in situ microseismic(MS)monitoring system is established in the plateau soft tock *** technique facilitates spatiotemporal monitoring of the rock mass's fracturing expansion and squeezing deformation,which agree well with field convergence deformation *** formation mechanisms of progressive failure evolution of soft rock tunnels were discussed and analyzed with MS data and numerical *** results demonstrate that:(1)Localized stress concentration and layered rock result in significant asymmetry in micro-fractures propagation in the tunnel radial *** excavation continues,the fracture extension area extends into the deep surrounding rockmass on the east side affected by the weak bedding;(2)Tunnel excavation and long-term deformation can induce tensile shear action on the rock mass,vertical tension fractures(account for 45%)exist in deep rockmass,which play a crucial role in controlling the macroscopic failure of surrounding rock;and(3)Based on the radiated MS energy,a three-dimensional model was created to visualize the damage zone of the tunnel surrounding *** model depicted varying degrees of damage,and three high damage zones were ***,the depth of high damage zone ranged from 4 m to 12 *** study may be a valuable reference for the warning and controlling of large deformations in similar projects.

关键词： Soft rock tunnel MS monitoring Progressive failure characteristic Excavation damage zone Failure mechanism

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Deformation characteristics and damage evolution analysis of weak interlayer zone in fractured underground cavern

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TUNNELLING AND UNDERGROUND SPACE TECHNOLOGY 2024年 147卷

作者： Li, Xin xu, nuwen Mao, Haoyu Xiao, Peiwei Zhou, Xiang Li, Biao Ding, Xinchao Sichuan Univ Coll Water Resource & Hydropower State Key Lab Hydraul & Mt River Engn Chengdu 610065 Sichuan Peoples R China CHN Energy Dadu River Hydropower Dev Co Ltd Chengdu 610016 Sichuan Peoples R China Southwest Petr Univ Sch Geosci & Technol Chengdu 610500 Sichuan Peoples R China PowerChina Northwest Engn Corp Ltd Xian 710065 Shaanxi Peoples R China

The stability of surrounding rock is deteriorated due to the characteristics of Weak Interlayer Zone (WIZ) in underground caverns. To address the deformation and small-scale collapse issues during the construction of a hydropower station ' s underground caverns, this study combined on -site investigations with theoretical analyses. A comprehensive multi -parameter monitoring system was established, including microseismic monitoring, multipoint extensometers, bolt stress meters, and borehole television, to elucidate the deformation characteristics and damage of the weak interlayer zone. First, the distribution characteristics of multi -parameter of WIZ in tailrace surge chamber during small-scale collapse were analyzed. The internal relationship between this multiparameter and the WIZ instability process was discussed. Second, fracture characteristics, microseismic source characteristics, and local stress of the rock mass during deformation and failure of WIZ were presented based on moment tensor inversion. Then, the correlation between multi -parameter before and after WIZ collapse was investigated through coupling analysis. Finally, the failure mode of the rock mass within the WIZ range was determined, and the deformation characteristics of WIZ were explored. The research results can provide some references for understanding surrounding rock mass damage and failure mechanisms in underground caverns with WIZ. It can also guide the design and optimization of excavation and support systems for similar projects.

关键词： Underground caverns Multi-parameter monitoring Weak interlayer zone Deformation characteristics Damage analysis

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Excavation-induced damage zoning of the underground powerhouse with high geostress based on multiple monitoring methods

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ENVIRONMENTAL EARTH SCIENCES 2024年第9期83卷 288-288页

作者： xu, nuwen Xiao, Peiwei Li, Biao Li, Peng Li, Yonghong Zhao, Tieshuan Dong, Linlu Sichuan Univ Chengdu Peoples R China

The primary factor restricting the construction of deeply buried underground projects is the imprecise identification of the surrounding rock damage zone. This study examines the Shuangjiangkou underground powerhouse to investigate damage zoning in the surrounding rock mass. The temporal and spatial characteristics of deep rock mass deformation evolution are studied by multipoint extensometers, microseismic (MS) monitoring, acoustic wave testing and borehole TV. Subsequently, a quantitative analysis delineating damage zones is executed by evaluating alterations in displacement, wave velocity volatility, and the distribution of MS events within the surrounding rock mass. The excavation zone of the surrounding rock mass is segmented into distinct sectors: highly damaged zones (HDZs), excavation-damaged zones (EDZs) and excavation-disturbed zones (EdZs). Additionally, the energy ratio of S-waves to P-waves (Es/Ep) and the moment tensor inversion (MTI) are introduced to reveal the failure mechanism of the surrounding rock mass in each damage zone. The results show that the rock mass fracture around the Shuangjiangkou underground powerhouse presents remarkable zonation characteristics. The spatial depth ranges for the HDZs, EDZs, and EdZs, determined quantitatively based on multivariate monitoring data, are 0-5 m, 5-10 m, and 10-20 m, respectively. The failure mechanisms of surrounding rock mass differ across various damage zones: the HDZ primarily exhibits tensile failure, while the EDZ is mainly characterized by shear failure. The research provides a valuable reference for evaluating the stability of surrounding rock during the excavation of underground caverns of Shuangjiangkou hydropower station.

关键词： Underground powerhouse Multivariate monitoring Deformation characteristics Damage zoning Failure mechanism

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Stability Analysis of Fault and Free-Surface Cut Rock Blocks at the Vault of Large Underground Powerhouses

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IEEE ACCESS 2025年 13卷 73755-73772页

作者： Sun, Lingfeng xu, nuwen Xiao, Peiwei Sun, Yuepeng Qian, Hongjian Li, Tao Li, Biao Sichuan Univ State Key Lab Hydraul & Mt River Engn Chengdu 610065 Peoples R China CHN Energy Jinsha River Xulong Hydropower Co Ltd Panzhihua 627950 Garze Tibetan A Peoples R China Sinohydro Bur 14 Co Ltd Kunming 650041 Peoples R China Southwest Petr Univ Sch Geosci & Technol Chengdu 610500 Peoples R China

To address the safety concerns of vault surrounding rock damage induced by rock blocks under high-stress conditions of underground powerhouses, a microseismic (MS) monitoring system was established. This study investigates the spatiotemporal evolution of MS events in the vault, the associated fracture patterns, and the correlation between MS events and surrounding rock damage during the excavation of the underground powerhouse. The spatial evolution patterns of the stress field, displacement field, and fracture field during the process of vault surrounding rock damage were revealed. The research results indicate that: 1) The presence of fault and free-surface cut rock blocks at the vault of the main powerhouse enhances the disturbance effect of excavation on the surrounding rock;2) MS events exhibit localized clustering characteristics in space, with certain clusters highly coinciding with the location of the vault rock blocks. The MS activity characteristics in the regional rock mass, can serve as a qualitative indicator for early warning of surrounding rock deformation;3) The combination of MS monitoring and numerical simulation effectively identifies surrounding rock damage information in the rock block areas of underground powerhouses. The research findings can serve as a reference for analysing surrounding rock damage and stability in similar engineering projects.

关键词： Underground powerhouse rock blocks microseismic monitoring numerical simulation stability analysis Underground powerhouse rock blocks microseismic monitoring numerical simulation stability analysis

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Roof arch collapse of underground cavern in fractured rock mass: In situ monitoring and numerical modeling

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JOURNAL OF ROCK MECHANICS AND GEOTECHNICAL ENGINEERING 2025年第5期17卷 2778-2792页

作者： Xiao, Peiwei Yang, Xingguo Li, Biao Zhou, Xiang Sun, Yuepeng Ding, Xinchao xu, nuwen Sichuan Univ State Key Lab Hydraul & Mt River Engn Chengdu 610065 Sichuan Peoples R China Southwest Petr Univ Sch Geosci & Technol Chengdu 610500 Sichuan Peoples R China CHN Energy Dadu River Hydropower Dev Co Ltd Chengdu 610041 Peoples R China PowerChina Northwest Engn Co Ltd Xian 710065 Peoples R China

Ensuring the stability of the surrounding rock mass is of great importance during the construction of a large underground powerhouse. The presence of unfavorable structural planes within the rock mass, such as faults, can lead to substantial deformation and subsequent collapse. A series of in situ experiments and discrete element numerical simulations have been conducted to gain insight into the progressive failure behavior and deformation response of rocks in relation to controlled collapse scenarios involving gently inclined faults. First, the unloading damage evolution process of the surrounding rock mass is characterized by microscopic analysis using microseismic (MS) data. Second, the moment tensor inversion method is used to elucidate the temporal distribution of MS event fracture types in the surrounding rock mass. During the development stage of the collapse, numerous tensile fracture events occur, while a few shear fractures corresponding to structural plane dislocation precede their occurrence. The use of the digital panoramic borehole camera, acoustic wave test, and numerical simulation revealed that gently inclined faults and deep cracks at a certain depth from the cavern periphery are the primary factors contributing to rock collapse. These results provide a valuable case study that can help anticipate and mitigate fault-slip collapse incidents while providing practical insights for underground cave excavation. (c) 2025 Institute of Rock and Soil Mechanics, Chinese Academy of Sciences. Published by Elsevier B.V. This is an open access article under the CC BY license (http://***/licenses/by/4.0/).

关键词： Underground powerhouse Microseismic (MS) monitoring Numerical simulation Gently inclined faults Progressive failure characteristics

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Analysis of rockburst mechanism and warning based on microseismic moment tensors and dynamic Bayesian networks

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Journal of Rock Mechanics and Geotechnical Engineering 2023年第10期15卷 2521-2538页

作者： Haoyu Mao nuwen xu Xiang Li Biao Li Peiwei Xiao Yonghong Li Peng Li State Key Laboratory of Hydraulics and Mountain River Engineering College of Water Resource and HydropowerSichuan UniversityChengdu610065China School of Geoscience and Technology Southwest Petroleum UniversityChengdu610500China PowerChina Chengdu Engineering Corporation Limited Chengdu610072China Sichuan Dadu River Shuangjiangkou Hydropower Development Corporation Limited Maerkang624011China

One of the major factors inhibiting the construction of deep underground projects is the risk posed by rockbursts.A study was conducted on the access tunnel of the Shuangjiangkou hydropower station to determine the evolutionary mechanism of microfractures within the surrounding rock mass during rockburst development and develop a rockburst warning *** study area was chosen through the combination of field studies with an analysis of the spatial and temporal distribution of microseismic(MS)*** moment tensor inversion method was adopted to study rockburst mechanism,and a dynamic Bayesian network(DBN)was applied to investigating the sensitivity of MS source parameters for rockburst warnings.A MS multivariable rockburst warning model was proposed and validated using two case *** results indicate that fractures in the surrounding rock mass during the development of strain-structure rockbursts initially show shear failure and are then followed by tensile *** effectiveness of the DBN-based rockburst warning model was demonstrated using self-validation and K-fold *** magnitude and source radius are the most sensitive factors based on an investigation of the influence on the parent and child nodes in the model,which can serve as important standards for rockburst *** proposed rockburst warning model was found to be effective when applied to two actual projects.

关键词： Microseismic monitoring Moment tensor Dynamic Bayesian network(DBN) Rockburst warning Shuangjiangkou hydropower station

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Microseismic monitoring and forecasting of dynamic disasters in underground hydropower projects in southwest China:A review

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Journal of Rock Mechanics and Geotechnical Engineering 2023年第8期15卷 2158-2177页

作者： Biao Li nuwen xu Peiwei Xiao Yong Xia Xiang Zhou Gongkai Gu Xingguo Yang School of Geoscience and Technology Southwest Petroleum UniversityChengdu610500China State Key Laboratory of Hydraulics and Mountain River Engineering College of Water Resource and HydropowerSichuan UniversityChengdu610065China Power China Chengdu Engineering Co. LtdChengdu610072China Chn Energy Dadu River Hydropower Development Co. LtdChengdu610041China China Three Gorges Construction Engineering Corporation Chengdu610095China

The underground hydropower projects in Southwest China is characterized by large excavation sizes,high geostresses,complicated geological conditions and multiple construction *** disasters such as collapses,large deformations,rockbursts are frequently encountered,resulting in serious casualties and huge economic *** review mainly presents some representative results on microseismic(MS)monitoring and forecasting for disasters in hydropower underground ***,a set of new denoising,spectral analysis,and location methods were developed for better identification and location of MS ***,the tempo-spatial characteristics of MS events were analyzed to understand the relationship between field construction and damages of surrounding *** with field construction,geological data,numerical simulation and parametric analysis of MS sources,the focal mechanism of MS events was revealed.A damage constitutive model considering MS fracturing size was put forward and feedback analysis considering the MS damage of underground surrounding rocks was ***,an MS multi-parameter based risk assessment and early warning method for dynamic disasters were *** technology for control of the damage and deformation of underground surrounding rocks was proposed for underground ***,two typical underground powerhouses were selected as case *** achievements can provide significant references for prevention and control of dynamic disasters for underground engineering with similar complicated geological conditions.

关键词： MS monitoring Forecasting method Control technology Dynamic disaster Underground engineering

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