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第 22 卷 第 5 期 岩石力学与工程学报 22(5):762~768

2003 年 5 月 Chinese Journal of Rock Mechanics and Engineering May,2003

Chen Haijun1 2,Li Nenghui1,Nie Dexin3,Shang Yuequan4

(1 Department of Geotechnical Engineering,Nanjing Hydraulic Research Institute, Nanjing 210024 China)

( Department of Geotechnical Engineering,Tongji University, Shanghai 200092 China)
( Institute of Engineering Geology,Chengdu University of Technology, Chengdu 610059 China)
(4 Institute of Disaster Prevention,Zhejian University, Hangzhou 310027 China)

Abstract Based on the analysis of main causes of rockburst,the compressive strength,tensile strength,elastic energy
index of rock and the maximum tangential stress of the cavern wall are chosen as the criterion indexes for rockburst
prediction. A new approach using neural method is proposed to predict rockburst occurrence and its intensity. The
prediction results show that it is feasible and appropriate to use artificial neural network model for rockburst
Key word rock mechanics,rockburst,neural network,underground rock engineering,prediction
CLC number TD 324 Document code A Article ID 1000-6915(2003)05-0762-07

rockburst along with the development of underground

1 INTRODUCTION space excavation.
At present,the studies on rockburst have been
Rockburst is considered as a dynamic instability converted from report on the phenomenon,scale,
phenomenon of surrounding rock mass of underground regularity and hazard of rockburst to the mechanism,
space in high geostatic stress and caused by the violent the cause of formation,the critical conditions and
release of strain energy stored in rock mass. Rockburst preventive methods of rockburst. After studying lots of
occurs during excavating underground space in the cases,many scholars have suggested various theories
form of stripe of rock slices or rock fall or throwing of and many prediction methods,and empirical correlation
have been established [2
rock fragments , sometimes accompanied by crack .
sound. Because it occurs suddenly and intensely, Many problems in rock mechanics and rock
rockburst usually causes injury including death to engineering can be solved by means of artificial neural
workers,damage to equipment,and even substantial networks (ANN)[11],and the successful applications
disruption and economic loss of underground space have indicated the potentialities in this field. ANN[12]
excavation. Since the first record of rockburst at a tin is a new branch of intelligence science and an
mine in Britain in 1738 ,rockburst has occurred information processing systems based on mimicking
frequently in hydroelectric powerhouse , mining the structure and function of the brain. A neural
tunnel,road and railway tunnel,and nuclear power network consists of a number of processing elements
station etc. More and more concerns are given to the connected each other according to a certain rules and is

Received 29 Sep. 2001,revised 15 Dec. 2001.

* Supported by Chinese National Natural Science Foundation (49972091).
Chen Haijun:Male,Born in 1973,Ph D,Undertaking Postdoctoral Research at School of Civil Engineering,Tongji University.
第 22 卷 第5期 Chen Haijun, et al. Prediction of Rockburst by Artificial Neural Network • 763 •

able to respond dynamically to an outside stimulus,i.e. energy of another part of surrounding rock masses
input information for information processing. The accumulates , and it makes the state of stress of
ANN is nonlinear dynamic system that has important surrounding rock non-homogeneous. Every stress state
features,such as self-learning,adaptive recognition, such as tensile,compressive,and shear stress,elastic
nonlinear dynamic processing and associative memory. kernel and non-stress part will occur in rock mass.
It can learn from incomplete and inaccurate data with In essence,rockburst is defined as fracture
strong noise , and has a very strong ability of instibility of brittle surrounding rock. The existence of
error-tolerance. brittle rock and high geostatic stress is internal cause
Because of the complexity of rock mass and the of rockburst,and effect of triggering from some factors
influence of existing environmental factors , the is external cause. Table 1 shows that rockburst always
prediction of rockburst didn’t meet the needs of design. occurred in brittle rock mass under high geostatic
Therefore,it is necessary to propose a new efficient stress. It is also shown by investigation and laboratory
prediction method. In this study,the authors present tests that the burst rock masses are fresh,dry,
and develop an artificial neural network model to unfissured or fewer fissured sound rock,and that they
predict the occurrence and its intensity of rockburst. are of obvious linear elastic characteristics,high
strength,and their strength declines rapidly after peak-
2 MAIN CAUSES OF ROCKBURST strength,with impact tendency.
During the excavation of underground space,
Rockburst is a self-organization phenomenon of there are many factors that could quickly load on
rock mass during deformation course. The excavation surrounding rock. But two of them are very important,
of underground space will change the environment of the one is the elastic vibration caused by machine
rock mass,disturb the virgin balance of rock mass and excavation,blasting and local failure of surrounding
result in stress redistribution in surrounding rock. The rock,and the other is the local sudden stress
stress redistribution is a dynamic procedure in which concentration resulting from the progress of
the strain energy of one part dissipates,also the strain excavation or progressive failure of rock mass. The

Table 1 Rockburst cases

Compressive strength Measured geostatic stress
Project Type of rock Citation
/MPa /MPa
Tianshengqiao II hydropower station
dolomic limestone 88.7 σ1 = 21.0,σ2 = 18.5,σ3 = 4.5 [13]
diversion tunnel (China)
Ertan hydropower station 2# branch
syenite 220.0 σ1 = 26.0,σ2 = 9.0,σ3 = 2.5 [13]
Yuzhixi hydropower station diversion
granitc diorite 170.0~180.0 σ1 = 30~45 [14]
Taipingyi hydropower station diversion
granite 168.0 σ1 = 31.3,σ2 = 17.8,σ3 = 10.4 [15]
Jinping II hydropower project diversion σ z = 32.8~43.6
marble 120.0 [16]
tunnel(China) σx = σy = 27.2~32.2
Pubugou hydropower project underground
dioritic granite 123.0 σ1 = 21.7 [14]
power house(China)
Norway Sima hydropower station
granite 200.0 σ1 =19.5 [13]
underground power house
Sweden Forsmark nuclear power station
gneissy granite 130.0 σHmax=30.0 [7]
cooling water tunnel
Sweden Vietas tunnel quartzite 180.0 σ1=40.0 [14]

U.S.A Idaho state CAD mine A quartzite 190.0 σ1 =66.0 [14]

U.S.A Idaho state CAD mine B quartzite 190.0 σ1 =52.0 [14]

• 764 • 岩石力学与工程学报 2003 年

redistribution of stress in surrounding rock is a very high geostatic stress is the determining factor of
complex dynamic procedure. either loading or un- rockburst.
loading,and either compressive stress concentration
area or tensile concentration area could occur in the 3 CRITERIA OF ROCKBURST
surrounding rocks.
The position and the intensity of stress concentra- The prediction of the rockburst is one of the most
tion are related to the shape and dimension of important parts in rockburst studies. The study of
underground space and to the methods of excavation. rockburst could date back to the end of 19th century,
According to in-situ investigation,rockburst did not and some achievements have been made. But there are
occur at all cutting section,but local part such as
some shortages in rockburst prediction , and each
crown,shoulders or wall.
criterion of the rockburst is of its one-sidedness.
Therefore,if the strain energy accumulated in
3.1 Criteria considering stress in surrounding rock
surrounding rock during its deformation and failure not
The criteria listed on table 2 were proposed early,
only meets the needs of deformation and fracture of
and only consider the stress level in surrounding rock.
rock mass,but also is sufficient to convert residual
strain energy to kinetic energy that makes stripped Furthermore,different scholars chose different parameters
rock slices ejecting out,the rockburst will happan. The as evaluation index of criterion for rockburst,the
elastic deformation characteristic of rock mass is the classification of rockburst intensity also differed from
prerequisite for storing and releasing strain energy in each scholar. So it is difficult to use these criteria in
surrounding rock,and a geological environment with construction of underground engineering.

Table 2 Criteria only considering stress in surrounding rock

Scholar Criteria of rock burst Source of data

σθ /σc<0.20 (no rockburst activity)

0.20≤σθ /σc<0.30 (light rockburst activity)
Rusenses [3]
0.30≤σθ /σc<0.55 (medium rockburst activity)
σθ /σc≥0.55 (violent rockburst activity)
(σθ+σL)/σc≤0.3 (no rockburst activity)
0.3<(σθ+σL)/σc≤0.5 (rockburst probably)
Turchaninov [17]
0.5<(σθ+σL)/σc≤0.8 (rockburst surely)
(σθ+σL)/σc>0.8 (violent rockburst activity)
⎧ 0.34 (light stripping)
σθ /σc = ⎨ 0.42 (violent stripping)
Hoek [7]
⎪ 0.56 (more lining)
⎩ 0.70 (violent rockburst)
σc/σ1 = 5~2.5 且σc/σ1= 0.33~0.16 (medium rockburst)
Barton [18]
σc/σ1<2.5 且σc/σ1<0.16 (violent rockburst)
σc/σ1>14.5 (no rockburst activity)
5.5<σc/σ1≤14.5 (light rockburst,with light sound)
Tao Z. Y. [17]
2.5≤σc/σ1<5.5 (medium rockburst,with crack sound)
σc/σ1<2.5 (violent rockburst,with strong crack sound)
σ1/σc<0.30 (no rockburst activity)
0.30≤σ1/σc<0.37 (light rockburst activity)
Hou F. L. [3]
0.37≤σ1/σc≤0.62 (medium rockburst activity)
σ1/σc>0.62 (violent rockburst activity)
σθ /σc≥Ks σt /σθ 0.25 0.50 0.75 1.00
Lu J. Y. [18]
Ks 0.3 0.4 0.5 0.6
第 22 卷 第5期 Chen Haijun, et al. Prediction of Rockburst by Artificial Neural Network • 765 •

3.2 Comprehension criteria considering both stress overburden of rock for predicting rockburst[19]. But
and properties of surrounding rock Zhou reported that in Taipingyi tunnel , rockburst
(1) The following criterion is presented with occurred all about the thickness of overburden of rock
rockburst tendency index and energy condition of varying from 260 to about 600 m. Therefore there is no
surrounding rock. relation between the thickness of overburden of rock
W q x ≥1.5 (1) and times and intensity of rockburst,and it seems no
σ1 ≥ σ c α W qx (2) law to obey . Similarly,although the thickness of
overburden of rock is only 5~10 m in the cooling
α = 1 + ζ 2 − 2 μζ (3)
water tunnel of Forsmark nuclear-power-station in
ζ = σ 2 σ1 (4)
Sweden,rockburst still occurred[7].
where W q x is the rockburst tendency index, σ 1 and
σ 2 are the major and middle principal stress in
surrounding rock,respectively,and μ is the Poisson 4 NEURAL NETWORK MODEL
It is suggested by Hou that the classification of BURST AND CASE STUDY
rockburst was divided into four degrees (table 3) on
the basis of test results and statistical results of 4.1 Overview of BP network and its improved
rockburst observation. algorithm
(2) It is stipulated by China hydro-power In a variety of types of neural networks,the error
department that rockburst could not occur if the back propagation neural network (BP network) is one
tangential stress σθ≤Kjσc and the elastic energy index of the most commonly used neural network. It is a kind
W et ≤5.0,in which the value of Kj is the same as Ks in of multi-layer feed-forward network proposed by
Lu J Y’s criterion. Rumelhart and Hinton in 1986. The BP networks
3.3 Identification of the indexes of criterion always consist of at least three hierarchical layers of
The indexes of criterion should reflect the main neurons,an input layer,a hidden layer and an output
factors of rockburst——the properties and stress of layer. Each layer is fully connected to the next layer.
surrounding rock. At the same time,they should be Neural networks learn by adjustments of the weights
obtained easily and can be compared with each other of the various connections. The goal of learning is to
for different cases. In this paper,the compressive rock minimize the error between the desired output and the
strength σc,tensile strength σt,elastic energy index Wet actual output of the network. The learning procedure
and the maximum tangential stress σθ are chosen as of BP network can divided into four stages[20]:pattern
the indexes of criterion. Compressive rock strength σc, forward propagation Æ error back papogation Æ
tensile strength σt,the elastic energy index W et can memorize and train Æ learn and convergence. In
reflect the properties of surrounding rock,and the ensence,BP network is a mapping from inputs to
tangential stress σθ can reflect the virgin geostatic outputs,and it can learn the mapping relation through
stress condition and the influence of the shape and lots of data , instead of accurate mathematical
dimension of the underground space on rockburst. equations between the inputs and outputs. It can
Hou considered that the thickness of overburden convert a seriers input/output problem into a nonlinear
of rock is the main cause of rockburst in Jingping optimal problem,and solve the problem by means of
tunnel , so he put forward a critical thickness of gradient descent method[21].

Table 3 Classification of rockburst intensity

Item No rock burst Light rock burst Medium rock burst Violent rock burst

Wqx <1.5 ≤2.5 ≤3.5 >3.5

σ1 < σ c / αWqx ≤1.41 σ c / αWqx ≤1.73 σ c / αWqx >1.73 σ c / αWqx

• 766 • 岩石力学与工程学报 2003 年

But it is found that local minimization could lead rate can be adjusted in training cycle based on the
to failure of the learning process and that the speed of change of weights. If a modified value of weight
convergence is very slow in the BP algorithm,so many decreases the error function,we should increase the
methods were proposed to overcome these problems. learning rate. If not,we should decrease the learning
In the paper,a BP algorithm modified with additional rate. The adjusting equation for learning rate is as
momemtum and auto-adjustive learing rate is follows:
adopted. ⎧1.05η(k ) SSE(k + 1)<SSE(k )
In the additional momemtum method,a momem- ⎪
η(k + 1) = ⎨0.7η(k ) SSE(k + 1)>1.04 × SSE(k ) (7)
tum term which is proportional to the previous ⎪η(k )
⎩ others
variation of weight (or bias) is added to the previous
in which,SSE is the sum squared errors.
variation of weight(or bais),then a new variation of
4.2 Predictive model of rockburst and case study
weight (or bias) is produced on the basis of error back
The relationship among the index of criteria,the
propagation. The adjust equation of weight and bias
occurrence of rockburst and its intensity is very
are as follows:
complex. For the sake of the capability of neural
Δ ω ij ( k + 1) = (1 − mc )ηδ i Pj + mcΔ ω ij ( k ) (5)
networks for pattern recognition,we attempt to predict
Δ b j ( k + 1) = (1 − mc )ηδ i + mc Δ b j ( k ) (6)
the rockburst activity by neural network.
in which, Δω ij is the variation of weight, Δ b j is the Hecht-Nielsen(1989) has proved that any
variation of bias,δ is the error term, Pj is input continuous function f : [0 1] → R can be realized
n m

variable,η islearning rate,k is train times,mc is the exactly by a three-layer feed-forward neural network
momemtum term(about 0.95). The additional momem- whose first layer (the input layer) has n neurodes,the
tum method is a method in which the influnce of the hidden layer has 2n+1 neurodes and the third layer
variations of weight and bias are propagated by a (the output layer) has m neurodes (Kolmogorov
momemtum term. When the momemtum term is zero, therom)[22].
the variations weight and bias are generated on the A neural network is established with three layers.
basis of gradient descent method,when the momem- The input layer has 4 neurodes,the hidden layer has 9
tum term equals to one,the new variations of weight hidden neurodes,and the output layer has 2 neurodes.
and bias exactly equals to the last variation,and the A tan-sigmoid transfer function is used in the hidden
part of variation generated on the basis of gradient layer and a linear transfer function is used in the output
method can be ommitted. The additional momemtum layer. As mentioned before,the compressive strength
term can promote the adjustation of weight and bias σc,tensile strength σt,elastic energy index Wet and the
varying toward the direction of the bottom of error maximum tangential stress in surrounding rock mass
surface. When the values of weights of net are located σθ are chosen as input variables. Four degrees of
in the flatness of the bottom of error surface,δi will rockburst activity are considered in the neural network
be small , so Δ ω ij (k + 1) ≈ Δ ω ij (k ) . Then we can model : the two output neurodes are given two
prevent from the occurance of ω ij ( k ) = 0 ,which will binary-values of 0 or 1,that is (1,1) for voilent
make net jumping out from the local minimum of error rockburst activity , (1 , 0) for medium rockburst
surface. activity,(0,1) for light rockburst activity,and (0,
The changes of weight and bias of each training 0) for no rockburst activity.
cycle are determined by the learning rate. The big Many cases[8] are chosen as training samples and
learning rate can cause instability of net system,but five cases are chosen as prediction samples. Having
the small one can result in convengence speed slower iterated for 2641 steps,the mean squares error is less
than 10 3,so we could consider the neural network has

and training time longer. The learning rate usually is
determined through experiment or by experience. reached its maximum learning capability. Table 4
Auto-adjustive learning rate refers to that the learning shows the training samples.
第 22 卷 第5期 Chen Haijun, et al. Prediction of Rockburst by Artificial Neural Network • 767 •

Table 4 The training samples and prediction samples

Project σc / MPa σt / MPa Wet σθ / MPa Predictive result Reality

Tianshengqiao II hydropower station 88.7 3.7 6.6 30.0 (1,0) medium rockburst medium rockburst

Ertan hydropower station 220.0 7.4 7.3 90.0 (0,1) light rockburst light rockburst

Taipingyi hydropower station 165.0 9.4 9.0 62.6 (1,0) medium rockburst various scale rockburst

Laxiwa hydropower project 176.0 7.3 9.3 55.4 (1,0) medium rockburst rockburst in test tunnel

Jinping II hydropower project 120.0 6.5 3.8 98.6 (1,0) medium rockburst medium or light rockburst activity

Longyangxia hydropower station 178.0 5.7 7.3 18.8 (0,0) no rockburst no rockburst activity

Lijiaxia hydropower station 115.0 5.0 5.7 11.0 (0,0) no rockburst no rockburst activity

Norway Sima hydropower station 180.0 8.3 5.0 48.75 (1,0) medium rockburst sometimes violent rockburst

Norway Sewage tunnel 180.0 8.3 5.0 75.0 (1,0) medium rockburst medium rockburst activity

Sweden Forsmark nuclear power station 130.0 6.0 5.0 50.0 (1,0) medium rockburst medium rockburst activity

Sweden Vietas tunnel 180.0 6.7 5.5 80.0 (0,1) light rockburst light rockburst activity

Japan Kankoshi road tunnel 236.0 8.3 5.0 89.0 (1,0) medium rockburst medium or violent rockburst activity

Italy Raibl Zinc sulfate lead mine 140.0 8.0 5.5 108.4 (1,0) medium rockburst medium rockburst activity

Yuzhixi hydropower station 170.0 11.3 9.0 90.0 (1,0) medium rockburst medium to violent rockburst activity

Pubugou hydropower projec 123.0 6.0 5.0 43.4 (1,0) medium rockburst rockburst

Lubuge hydropower station 150.0 5.4 7.8 34.0 (0,0) no rockburst no rockburst activity

Norway Heggura road tunnel 175.0 7.25 5.0 62.5 (1,0) medium rockburst medium rockburst activity

USSR Rasvumchorr mine 180.0 8.3 5.0 57.0 (1,0) medium rockburst medium rockburst activity

Note:The projects marked with are test samples for prediction.

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(中国矿业大学(北京校区) 北京 100083)

博士学位论文摘要 运用地质学、岩体力学、开采沉陷学及工程物探技术等学科的理论和方法,在分析新
集井田 13 煤层及其顶板岩层的地质条件基础上,用地震 CT 探测了工作面内的隐伏构造并评价了煤岩体地
岩层移动规律、综放面矿压显现规律。综合岩石介质条件、赋存环境条件、工程因素等,建立了 13 煤层顶
关键词 动态评价,顶板稳定性,顶板控制,综放面,地质



Ling Biaocan
(Beijing Campus,China University of Mining and Technology, Beijing 100083 China)

2003 年 1 月 30 收到初稿。
作者 凌标灿 简介:男,36 岁,2002 年于中国矿业大学(北京校区)获博士学位,导师是彭苏萍教授;现在华北科技学院安全与环境工程系任教。