Dynamic interpretation of stress adjustment types in high geostress hard rock tunnels based on microseismic monitoring

Abstract

Dynamic stress adjustment in deep-buried high geostress hard rock tunnels frequently triggers catastrophic failures such as rockbursts and collapses. While a comprehensive understanding of this process is critical for evaluating surrounding rock stability, its dynamic evolution are often overlooked in engineering practice. This study systematically summarizes a novel classification framework for stress adjustment types—stabilizing (two-zoned), shallow failure (three-zoned), and deep failure (four-zoned)—characterized by distinct stress adjustment stages. A dynamic interpretation technology system is developed based on microseismic monitoring, integrating key microseismic parameters (energy index EI, apparent stress σa, microseismic activity S), seismic source parameter space clustering, and microseismic paths. This approach enables precise identification of evolutionary stages, stress adjustment types, and failure precursors, thereby elucidating the intrinsic linkage between geomechanical processes (stress redistribution) and failure risks. The study establishes criteria and procedures for identifying stress adjustment types and their associated failure risks, which were successfully applied in the Grand Canyon Tunnel of the E-han Highway to detect 50 instances of disaster risks. The findings offer invaluable insights into understanding the evolution process of stress adjustment and pinpointing the disaster risks linked to hard rock in comparable high geostress tunnels.

Keywords

High geostress tunnels / Stress adjustment types / Microseismic monitoring / Dynamic interpretation / Risk identification

Acknowledgments

This work is supported by the National Natural Science Founda-tion of China (Nos. 42177173, U23A20651 and 42130719), and the Outstanding Youth Science Fund Project of Sichuan Provincial Natural Science Foundation (No. 2025NSFJQ0003).

References

[1] Feng XT, Zhang CQ, Chen BR, Feng GL, Zhao ZN, Ming HJ, Xiao YX, Duan SQ, Zhou H. Dynamical control of rockburst evolution process. Chin J Rock Mech Eng 2012; 31(10):1983-97. in Chinese.

[2] Wu XG, Wang MY, Lu H, Zhang YJ, Nie W. Modified Sadowski formula-based model for the slope shape amplification effect under multistage slope blasting vibration. Int J Min Sci Technol 2024; 34(5):631-41.

[3] Zhou J, Zhang YL, Li CQ, He HN, Li XB. Rockburst prediction and prevention in underground space excavation. Undergr Space 2024; 14:70-98.

[4] Gu LJ, Feng XT, Kong R, Yang CX, Xia YL. Evolution of mechanical parameters of Shuangjiangkou granite under different loading cycles and stress paths. J Rock Mech Geotech Eng 2024; 16(4):1113-26.

[5] Li KM, Jiang KY, Li YH, Wang X, Liu K, Xu S. Determination of the load bearing capacity of pre-stressed expandable props for ground support in underground mines. Int J Min Sci Technol 2023; 33(8):977-90.

[6] Ghorbani M, Shahriar K, Sharifzadeh M, Masoudi R. A critical review on the developments of rock support systems in high stress ground conditions. Int J Min Sci Technol 2020; 30(5):555-72.

[7] He MC, Cheng T, Qiao YF, Li HR. A review of rockburst: Experiments, theories, and simulations. J Rock Mech Geotech Eng 2023; 15(5):1312-53.

[8] Zhong JH, Yang XL. Two-dimensional face stability analysis in rock masses governed by the Hoek-Brown strength criterion with a new multi-horn mechanism. Int J Min Sci Technol 2023; 33(8):963-76.

[9] Fan DY, Liu XS, Tan YL, Li XB, Lkhamsuren P. Instability energy mechanism of super-large section crossing chambers in deep coal mines. Int J Min Sci Technol 2022; 32(5):1075-86.

[10] Zhang JG, Miao XX, Huang YL, Li M. Fracture mechanics model of fully mechanized top coal caving of shallow coal seams and its application. Int J Min Sci Technol 2014; 24(3):349-52.

[11] Li SJ, Feng XT, Li ZH, Chen BR, Zhang CQ, Zhou H. In situ monitoring of rockburst nucleation and evolution in the deeply buried tunnels of Jinping II hydropower station. Eng Geol 2012;137-138:85-96.

[12] Xie HP, Lu J, Li CB, Li MH, Gao MZ. Experimental study on the mechanical and failure behaviors of deep rock subjected to true triaxial stress: A review. Int J Min Sci Technol 2022; 32(5):915-50.

[13] Ma K, Zhao SZ, Liu GY, Miao JB, Kang JS, Wang LL, Yu Q.Failure and post-failure kinematic disaster processes of columnar rock masses based on 3D discontinuous deformation analysis. Int J Rock Mech Min Sci 2025; 186:106003.

[14] Liu GY, Meng HY, Song GY, Bo W, Zhao PH, Ning BK, Xu XL.Numerical simulation of wedge failure of rock slopes using three-dimensional discontinuous deformation analysis. Environ Earth Sci 2024; 83(10):310.

[15] Ortlepp WD, Stacey TR. Rockburst mechanisms in tunnels and shafts. Tunn Undergr Space Technol 1994; 9(1):59-65.

[16] Ma K, Yuan FZ, Zhuang DY, Li QS, Wang ZW. Study on rules of fault stress variation based on microseismic monitoring and numerical simulation at the working face in the Dongjiahe coal mine. Shock Vib 2019; 2019(1):7042934.

[17] Ma K, Shen QQ, Zhang ZH,Wang T. Development and validation of intelligent models for predicting rockburst location based on microseismic monitoring and machine learning. Rock Mech Rock Eng 2025.

[18] Zhuang DY, Ma K, Tang CN, Liang ZZ, Wang ZW.Microseismic monitoring of energy changes in deep tunnels during the TBM tunneling of the Jinping II hydropower station. Adv Civ Eng 2018; 2018(1):5364628.

[19] Ma TH, Tang CA, Tang LX, Zhang WD, Wang L. Rockburst characteristics and microseismic monitoring of deep-buried tunnels for Jinping II hydropower station. Tunn Undergr Space Technol 2015; 49:345-68.

[20] Zhao XD, Li YH, Liu JP, Tian J. Study on microseismic activity in potential rockburst zone during deep excavation in Hongtoushan mine. J Northeast Univ Nat Sci 2009; 30(9):1330-3. in Chinese.

[21] Wang KK, Ma K, Tang CA, Liu HY, Wang XT, Li Q. Study on deep mining-induced strata behavior based on the evolutional laws of multiple indices from microseismic monitoring. Rock Mech Rock Eng 2023; 56(9):6481-501.

[22] Li Y, Yang TH, Liu HL, Wang H, Hou XG, Zhang PH, Wang PT. Real-time microseismic monitoring and its characteristic analysis in working face with high-intensity mining. J Appl Geophys 2016; 132:152-63.

[23] Liu JP, Feng XT, Li YH, Xu SD, Sheng Y. Studies on temporal and spatial variation of microseismic activities in a deep metal mine. Int J Rock Mech Min Sci 2013; 60:171-9.

[24] Tang CA, Ma TH, Ding XL. On stress-forecasting strategy of earthquakes from stress buildup, stress shadow and stress transfer (SSS) based on numerical approach. Earthq Sci 2009; 22(1):53-62.

[25] Hoek E, Brown ET. Practical estimates of rock mass strength. Int J Rock Mech Min Sci 1997; 34(8):1165-86.

[26] Wu WP, Feng XT, Zhang CQ, Qiu SL. Classification of failure modes and controlling measures for surrounding rock of deep tunnel in hard rock. Chin J Rock Mech Eng 2011; 30(9):1782-802. in Chinese.

[27] Li TB, Ma CC, Zhu ML, Meng LB, Chen GQ. Geomechanical types and mechanical analyses of rockbursts. Eng Geol 2017; 222:72-83.

[28] Xiang TB, Feng XT, Jiang Q, Chen JL, Wan XB. Failure mode dynamic recognition and control for surrounding rock of large-scale cavern group. Chin J Rock Mech Eng 2011; 30(5):871-83. in Chinese.

[29] Dong JX, Xu GL, Li ZP, Song SW, Zhang SS, Xiao PX, Zhang FT, Shen YJ. Classification of failure modes and controlling measures for surrounding rock of large-scale caverns with high geostress. Chin J Rock Mech Eng 2014; 33 (11):2161-70. in Chinese.

[30] Liu XY, Xu DP, Jiang Q, Ma XD. Excavation response and reinforcement practice of large underground caverns within high-stress hard rock masses: The case of Shuangjiangkou hydropower station. China Tunn Undergr Space Technol 2024; 147:105698.

[31] Chen ZQ, He C, Dong WJ, Jiang CW. Investigation on failure mechanism and time-delay fracturing behavior of hard-rock tunnel under extremely high geostress state. Tunn Undergr Space Technol 2024; 148:105767.

[32] Niu WJ, Feng XT, Yao ZB, Bi X, Yang CX, Hu L, Zhang W. Types and occurrence time of rockbursts in tunnel affected by geological conditions and drilling & blasting procedures. Eng Geol 2022; 303:106671.

[33] Feng XT, Yu Y, Feng GL, Xiao YX, Chen BR, Jiang Q. Fractal behaviour of the microseismic energy associated with immediate rockbursts in deep, hard rock tunnels. Tunn Undergr Space Technol 2016; 51:98-107.

[34] Zhou XP, Shou YD. Excavation-induced zonal disintegration of the surrounding rock around a deep circular tunnel considering unloading effect. Int J Rock Mech Min Sci 2013; 64:246-57.

[35] Cai HB, Cheng H, Rong CX. Analysis on rock plastic zone displacement of deep buried underground chamber based on generalized Hoek-Brown criterion. J Min Saf Eng 2015; 32(5):778-85. in Chinese.

[36] Ma K, Sun XY, Tang CA, Yuan FZ, Wang SJ, Chen T. Floor water inrush analysis based on mechanical failure characters and microseismic monitoring. Tunn Undergr Space Technol 2021; 108:103698.

[37] Li TB, Xu WH, Ma CC, Zhang H, Zhang YX, Dai KK. Research of technology and system of tunnel microseismic monitoring and rockburst early warning based on deep learning. Chin J Rock Mech Eng 2024; 43(5):1041-63. in Chinese.

[38] Ma CC, Li TB, Zhang H. Microseismic and precursor analysis of high-stress hazards in tunnels: A case comparison of rockburst and fall of ground. Eng Geol 2020; 265:105435.