ADVANCES IN GEOLOGY AND RESOURCES EXPLORATION

Advances in Geology and Resources Exploration provides a collection of papers resulting from
the conference on Geology and Resources Exploration (ICGRED 2022), Harbin, China, 21–23
January, 2022. The primary goal of the conference is to promote research and developmental activ-
ities in geology, resources exploration and development, and another goal is to promote scientific
information interchange between scholars from the top universities, business associations, research
centers and high-tech enterprises working all around the world.
The conference conducted in-depth exchanges and discussions on relevant topics such as geology,
resources exploration, aiming to provide an academic and technical communication platform for
scholars and engineers engaged in scientific research and engineering practice in the field of
engineering geology, geological resources and geothermal energy. By sharing the status of scientific
research achievements and cutting-edge technologies, this helps scholars and engineers all over
the world to comprehend the academic development trend and to broaden research ideas. With a
view to strengthen international academic research, academic topics exchange and discussion, and
promoting the industrialization cooperation of academic achievements.
PROCEEDINGS OF THE 3RD INTERNATIONAL CONFERENCE ON GEOLOGY,
RESOURCES EXPLORATION AND DEVELOPMENT (ICGRED 2022), HARBIN,
CHINA, 21-23 JANUARY 2022

Advances in Geology and Resources

Exploration
Edited by

Ahmad Safuan Bin A Rashid

Universiti Teknologi Malaysia, Malaysia

Shiqi Huang
Xi’an University of Posts & Telecommunications, China
CRC Press/Balkema is an imprint of the Taylor & Francis Group, an informa business
© 2022 selection and editorial matter, Ahmad Safuan Bin A Rashid & Shiqi Huang;
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A catalog record has been requested for this book
First published 2023
Published by: CRC Press/Taylor & Francis Group
4 Park Square, Milton Park / Abingdon, Oxon OX14 4RN / UK
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ISBN: 978-1-032-31202-6 (Hbk)
ISBN: 978-1-032-31203-3 (Pbk)
ISBN: 978-1-003-30858-4 (eBook)
DOI: 10.1201/9781003308584
 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Editor(s), 978-1-032-31202-6

Table of contents

Preface xv
Committee member xvii

1. Geographical geological characteristics and geological

structure exploration analysis
Interpretation of sedimentary environment by foraminifera and EC: A case study of
borehole CZ80 in the west coast plain of Bohai Bay 3
X. Yan, J. Fang, F. Wang, T. Wang, J. Li, Z. Shang, Y. Cheng, Q. Kang, Y.H. Qu & Y. Liu
Exploring the grain size characteristics of surface sediments and depositional
environment in the offshore area of Tianjin 9
Y. Qu, J. Fang, X. Yan, Q. Kang, T. Wang, Y. Liu & F. Wang
A study on micro-characteristics of gas-water distribution and evolution in
shale reservoir 15
T. Zhao
Study on optimal method of steel structure based on fuzzy level analysis 22
K. Zhang, Z. Wang, D. Xie, L. Chen & D. Zhang
Sedimentary microfacies characteristics of undulating gentle slope in the central part
of block B on the right bank of amu darya 27
H. Xia, G. Wen & W. Ma
Analysis of the development characteristics and stability of a concealed karst cave
under chongzun Expressway cutting slope 38
J.J. Wang, K. Wu, M.L. Yang, M.S. Ye, Q. Liu, C. Yao & M.J. Mao
An UNet-CRF Network with structural similarity for SAR image classification 43
Y. Tao & Z. Dong
Study on the influence of surcharge on the retaining structure of pit in pit 49
M. Xu, Z. Xiong, Y. Kong, X. Liang, C. Xu & H. Ding
Analysis and treatment measures of geological disasters in Xingtai city 58
W. Zhang, Y. Wu, G. Yan, J. Zhao & F. Gu
Study on the influence of rainfall and slope foot excavation on slope stability 64
L. Qian, R. Shen, Y. Wu, Y. Liu & F. Gu
Characteristics and controlling factors of jurassic limestone reservoir in the
Piedmont of Kisar Mountain in Amu Darya Basin 70
H. Xia
Geology and genesis of Aerhada Pb-Zn (Ag) deposit, Inner Mongolia 81
L. Li, L. Wang, H. Wu, Y. Ma, H. Li & J. Yi

v
Microstructure characteristics and tectonic significance of bedrock fault
plane of the Kouzhen–Guanshan Fault 88
C. Yang, X. Li & W. Tao
Design idea of discrimination and inversion of landslide disaster based on
multi-level and multi-scale 97
X. Xing, Y. Zhao, W. Li & M. Gao
Shear strength characteristics of soil in the slide zone of Sanjiadi landslide
in Longnan, Gansu Province 103
P. Mu
Study on design scheme of ultra-shallow shield tunnel undercrossing runway 108
X. Gao & G. Shen
Study on active earth pressure of rigid retaining wall under the action of
displacement-seepage-soil arching 115
W. Peng, J. Cui & H. Zhu
Stability research of slope in broken belt 123
S. Li
Stability analysis on open-pit slope in alpine area and relevant reinforcement
measures 129
C. Li, J. Song, Y. Pan, L. Zhang, W. Yang, X. Du & W. Liu
Characteristics, causes and stability evaluation of Temi ancient landslide at
Batang hydropower station 136
H. Luo, X. An, Z. Wei & Q. Feng
Study on seepage control measures for earth and rockfill dam under complex
geological conditions 145
G. Zhang, L. Xu & Z. Liu
Study on geological characteristics of PII ∼ GI4 + 5 reservoir 156
L. Zhang
Statistical analysis of fractal parameters of rock pore structure 161
Y. Li
Research on the geological characteristics of black shale, Western Hunan 167
C. Zhang, L. Hu, X. Jin, Y. Chen, W. Jiang & J. Zhao

2. Chemical characteristics of geology, hydrology,

petroleum and mineral resources
Spatial-temporal characteristics and influencing mechanism of water quality in water
source of Hanjiang to Weihe River Valley Water Diversion Project 177
W. Liu, M. Feng, H. Wang & T. Liu
Mineralogical characteristics and SEM-EDS investigation of daughter minerals of
fluid inclusions at the Dongbulage Mo-Pb-Zn deposit, Inner Mongolia 189
L. Li, H. Wu, H. Li, J. Yi & Y. Yao
The levels and risk assessment of heavy metals in soil and surface water of
Gudong River Wetland 196
M.N. Hu, Z. Yao, P. Chen, G.Z. Jin & H.M. Quan

vi
Speciation characteristics and bioavailability analysis of heavy metals in
soil surrounding coal gangue mountain in Fengfeng Mining Area 203
C. Wang, Y. Zhang, R. Peng, B. Zheng & Y. Wang
Effectiveness analysis of soil and water conservation projects based on
analytic hierarchy process 209
C.X. Wang & Q. Wang
Study on seepage characteristics of medium-light crude oilfield in Bohai Sea 216
K. Chen, Z. Zheng, W. He, J. Li, L. Ma, L. Zhang & X. Liu
Study on formation mechanism and prediction of wellbore hydrate in
tight sandstone gas reservoir 226
K. Zhang, Z. Cheng, H. Cheng & M. Wang
Characteristics of acoustic wave velocity of loamy soil with different
cadmium concentrations 232
Y. Luo, Y. Shi & B. Huang
Research on gas grading control method of coal roadway heading face in
High Gas Mine 237
S. Yang & Y. Liao
Element geochemical characteristics of carbonate rocks of upper Permian
in Guandi Area, Inner Mongolia 243
W. Zhang, J. Li, T. Xue, X. Ai, J. Liu, J. Peng, J. Wang & Y. Guan
The sedimentary environment and geochemical characteristics of isotopes of
carbonate rocks of Middle Permian in north of Songliao Basin 248
S. Cong
The sedimentary environment and geochemical characteristics of isotopes of
carbonate rocks of upper Permian in Guandi of Linxi County, Inner Mongolia 255
L. Wang
Development and property study of online-prepared low damage emulsion
associating polymer fracturing fluid system 261
Z. Xu, C. Yu, C. Long, F. Yang, G. Liu, Y. Tian, Y. Lu & H. Zuo
Analysis of ore quality characteristics in the south section of a rare earth
mine in Southeast Guangxi 268
Z. Zou, Z. Tao, S. Zhang, J. Lin & S. Luo
Recovery of zinc from smithsonite by flotation using a new collector 276
J. Wu, H. Dai, Q. Nie, D. Tang & Y. Cheng
Prediction of seawater salinity based on weighted Markov chain 284
N. Li, T. Liu & C. Zhang
The characteristics of mineralogy and its implications for ore-forming
mechanism of the Qian’echong molybdenum deposit in Xinyang, Henan Province 291
C.G. Zhang, X.W. Tang, K.S. Liu, Y.S. Guo, Q.Q. Qiao, X.J. Shi & Y.T. Yan
Study on group pile effect of micropile group pile foundation in peaty soil area 299
R. Fan, L. Tao, Y.A. Wu, T. Yang, W. Liang & K. Liu
Diagnosis and countermeasures for water coning in carbonate reservoirs with
edge and bottom water 306
H.Y. Lyu, X. Liao, C.Q. Zhu, W.Q. He & L. Shao

vii
Study on triaxial compression test of cement-fly ash solidified high
liquid-plastic limit clay 312
P. Yuan, K.-Y. Yue, H.-D. Zhao, Z.-Q. Wang, J.-H. Gao & G.-X. Zhang
Research progress on the application of ionic liquids in petrochemical industry 320
D. Wang & D. Guo
Study on the influence of waste slag content of double liquid grouting
material characteristic 326
H. Xu, G. Xie, B. Zhang, W. Jiang, F. Wang & Y. Wang
Influence of silt and clay content on relative density of aeolian sand 334
C. Jin & W. Jin
Study on crack resistance of recycled asphalt base mixed with basalt fiber 340
G. Zhao, S. Qu, Z. Feng, Q. Wang, Z. Jin, Y. Yue & L. Dai
Influences of different types of fly ash in Guizhou region on the
performance of polycarboxylate superplasticizer and concrete 348
B. Zhang, K. Shen, L. Deng & J. Shen
The division of isothermal water mass under low temperature 358
D. Yang, H. Li, D. Lin, G. Gao & D. Yang
Study on adaptability of different cement and polycarboxylate superplasticizer
in Guangxi region 365
X. Cen, J. Han, X. Xu, D. Xie, L. Deng & J. Shen
Study on the influence of different limestone powder in Guangxi on the
performance of polycarboxylate superplasticizer and concrete 376
N. Ke, H. Liao, X. Lu, D. Xie, L. Deng & J. Shen
Oxygen isotope geochemical characteristics of middle-shallow layers in the
northern Songliao Basin 386
X. Gao
Analysis of the particle matter and black carbon at five sites with different
backgrounds in China 391
Y. Li, C. Zhang, M. Lou, J. Jing, Q. Zhou, J. Jin & Y. Zhang
Comparative analysis of isoflavones in Pueraria lobata from different regions in China 400
Y. Wang, M. Zhi, W. Huang & F. Zhang
Research on prevention and treatment of coal mine rock burst 409
J. Zhang
Research on the construction of prevention and control system of coal mine
rock burst disaster 413
J. Zhang

3. Application of resource exploration technology and measurement

remote sensing technology
Application of surveying technology in geotechnical engineering exploration 421
G. Xiang
Empirical study on the influence factors of green technology adoption
willingness based on technology acceptance model 426
W. He, S. Li, J. Wang & J. Zhao

viii
Feasibility discrimination of upward mining in close-distance coal seam and
mining influence analysis 432
M.A. Qihua, C.H.I. Lihui & M.A. Weixiang
Mechanism analysis of gas pressure change in advanced area of coal face 440
H. Jun
Experimental study on morphological change of rill boundary on loess slope 445
P. Zhang & W. Sun
Research on repeated acidification technology of high pressure water injection well 450
J. Jia, X. Wang, Z. Xu, J. Tian, Y. Guo, Z. Qin, Q. Liu, X. Zhang & W. Kong
The application of BIM technology in the construction of bridge engineering 455
Y. Zhou, C. Liu, S. Wang & J. Jin
Petroleum exploration potential of the Yaken uplift in northern Tarim Basin 460
Q. Hao & W. Chen
Detection technology and engineering application of pipeline crossing river 466
Y. Qi, Z. Fu, X. Zhu & D. Zhou
Application of mine bore-hole transient electromagnetic method in hydraulic
fracturing effect detection 471
Y. Li & J. Zhao
Evolutional simulation of the water quality and its influence on water
environment in closed coal mine 478
P. Zhang, Q. Guo, C. Zhang & S. Zhang
Monitoring and forecast analysis of expressway slope 487
F. Gu, Y. Liu, J. Zhao, G. Yan & L. Qian
Dynamic monitoring of urban planning based on image data fusion in
multi-source remote sensing 494
T. Xue & X. Zhao
Application of a new type of directional water exploration and release drilling
equipment in Shangwan Coal Mine 503
J. Zhao, K. Wang & Y. Li
New trend of domestic geological prospecting industry under the goal of
carbon neutrality 510
Y. Yao, L. Li, J. Zheng, J. Yi, H. Yan, J. Ma & X. Niu
Integrated automatic landslide monitoring and reliability analysis 516
J. Zhai, L. Xu, Y. Zhang & Y. Zhang
Research on integrated surface-internal three-dimensional automatic deformation
monitoring device for slope 522
J. Zhai, L. Xu, X. Zhang, Y. Zhang & Y. Zhang
Design of the oval-shaped troubleshooting shaft by the reverse building method 528
Y. Zhou & X. Chen
Research on the design of solar energy architecture in rural areas 536
J. Shen
The monthly variation characteristics of salinity in the waters of Jiaozhou Bay 541
D. Yang, D. Yang, H. Li, D. Lin & Q. Wang

ix
The content and distances of Cu content transported by various paths over the earth 548
D. Yang, X. Zhang & D. Yang
Experimental research on drilling resistance mechanism of Wujiaping formation in
Shuangyushi extra deep well drilling in Sichuan Basin 557
J. Yao, B. Liu, B. Yang, L. Li & S. Dong

4. Sustainable resource utilization and energy storage technology

Feasibility analysis and evaluation of in-situ two-stage gasification of deep coal
seam to produce high hydrogen coal gas 567
L. Xin, K. Li, M. Feng & J. Li
Study on water production law of fracture cave reservoir in the east of
Jingbian gas field 578
X. Meng, M. Xu, H. Zhang & X. Meng
Reservoir forming conditions and main controlling factors of tight sandstone
gas in Ordos Basin 584
F. Zhang, B. Qiao, X. Meng & X. Ye
Research on the path of urban carbon emission peak based on urban energy planning
model: A case study of Beijing 591
G. Fu & Y. Jin
Application of variable production well testing technology in tight sandstone gas reservoir 597
Y. Yang, W. Ding, J. Dong, H. Cheng & Q. Qin
Research and application of shallow horizontal well drilling technology 603
P. Wei, M. Liu & H. Liu
Study on theory and application of gas drilling technology 610
J. Cao, A. Bao & L. Zhao
Feasibility analysis on resource utilization of dredged soil in Bohai Bay 617
C.P. Wen, Y.N. Luan & T. Liu
Key drilling technologies of extended reach wells and their applications 623
A. Bao, L. Zhao & J. Cao
Application and effectiveness of deeply buried thin reservoir prediction techniques with
sedimentary landform constraints 628
X.W. Mi, L. Li, X.C. Yang & Y.Z. Han
Study of microbial huff-and-puff field test in Weixing oil field 634
C. Wang
Prediction of the reservoir fluid mobility by array-resistivity logging and its
application in normalization of the seismic fluid mobility attribute 640
W. Xie, F. Wang, Q. Yin & G. Wang
Significance of deep carbon cycle in subduction zone to the development of
geological carbon neutralization 650
Z. Tang, T. Wang, X. Ren, C. Yi, J. Yu, D. Hou & H. He
Influence of thermal convection development in complex orographic areas on
atmospheric circulation 656
Y.J. Wang, J.P. Wu, M.J. Ma & D.Z. Liu

x
Discussion on ecological restoration model of mine geological environment
taking Shandong as an example 671
P. Qin, Z. Wang, C. Zhuo, L. Zhao, P. Yang, Y. Li & X. Zhao
Research on the blocking effect of vertical isolation barrier on pollutants in
an industrial site 676
S. Hou, S. Meng, H. Zhang & K. Zhang
Risk assessment of coal-fired solid waste for landfill and soil improvement on soil 683
L. Jiang, Y. Xu & L. Du
Remediation effect of surfactant on coking plant soil contaminated by high
concentration polycyclic aromatic hydrocarbons 688
X. Gong & W.Q. Li
Evaluation of water resources carrying capacity for shale gas development in
China: A case from Weiyuan field 699
A. Liu, M. Xu, B. Yuan & S. Li
Investigation and restoration of chromium slag contaminated site 706
X. Wang, L. Yang, Z. Li, D. Xing & D. Xia
Optimization of profile control and flooding technology in Jurassic reservoir 713
Y. Bi, C. Feng, M. Wang, W. Wen & H. Zhang
Design and research progress of hybrid ground source heat pump 718
H. Liu & J. Lu
Key technology and applications of coal mining subsidence area treatment in
high groundwater level mining area 726
G. Sun
Research and practice on the technology of using mining subsidence area as
construction land 733
W. Zhu & Y.H. Teng
Analysis and assessment of nickel pollution in soils and research progress of
passivation repair technology 740
Y. Zhou, H. Qin, H. Gao, A.M. Piotrowski & Z. Li
The transportation of PHC from rivers and land surface runoff 749
D. Yang, H. Li, D. Lin, G. Gao & Q. Wang
Research progress of subsurface drip irrigation development and its application 756
Y. Bai, H. Zhang & S. Jia
Analysis on influencing factors of horizontal well productivity in tight sandstone
reservoir – Taking Q gas field in the middle of Ordos Basin as an example 764
X. Meng, M. Xu, X. Ye, H. Zhang, X. Meng & X. Liu
Typical production curve of different unconventional natural gas reservoirs in
Montney Basin, Western Canada 772
G. Wang, W. Xu & T. Gao

5. Land digital analysis and algorithm modeling application

Upstream application prospects of digital twins for oil and gas 783
G.F. Zhao
The land use change analysis of Lanling City from 2005 to 2020 789
X.L. Ju & X.J. Jiang

xi
Study of earthquake trends in Shandong region by synthetic probability with
seismic period spectrum analysis 794
J. Zhao, J. Zheng, H. Cui & S. Chen
Research on urban land subsidence based on time series SBAS-InSAR 801
H. Liu & Q. Yuan
Numerical simulation design of new assembled foundation for power transmission lines 807
C. He, Y. Wang, Z. Liu, Q. Sun, X. Zhang, L. Ma & S. He
An inversion method based on Back Propagation (BP) neural network model for
geoacoustic parameters in shallow sea 813
Z.Q. Cui, H.H. Zhu, W. Liu, J. Liu, Q.L. Wang & Z.G. Chai
Disaster assessment and prediction of Gaojiayu landslide based on numerical method 820
X. Zhu, G. Yan, Y. Zhao, Z. Zhang, C. Fan, Y. Cui & J. Gao
Global warming potential of surface albedo change in China from 2000 to 2015 826
S. Liu, J. Yang, X. Xiong, J. Zhu, D. Zhang, C. Jiang, C. Du, P. Wang,
Y. Jin, Z. Chen, Y. Cui & Y. Fu
Bibliometric analysis of geopark based on Web of Science database 833
X. Hanli, L. Mingming & G. Changchun
Analysis on the spatial differentiation characteristics of poverty alleviation regions
under the background of rural revitalization—Taking Guangxi Zhuang autonomous
region as an example from 2011 to 2019 839
F. Wei, Y.F. Wei & X. Tong
Wetland mapping using the object-based stacked generalization approach based on
Sentinel-1 and Sentinel-2 data 847
Y. Zhang, Z. Dong, P. Zhang & Z. Jie
Robust estimation of unequal observation data based on the weight functions of
Huber and Hampel 853
S. Peng, C. Kang & Z. Zhang
Analysis on temporal and spatial characteristics of drought in North China from
1998 to 2017 859
J. Man, J. Wang, X. Yang, W. Qu & X. Yang
Research on seismic intensity attenuation relationship in Henan and its adjacent areas 868
Z. Han, C. He, J. Ma, X. Li, J. Fu, H. Xie & F. Wang
Research and practice on the connectivity of rivers and lakes 877
Z.H. Chai, X. Wang & W.T. Lei
Discrete element simulation of window rock mass in Baihetan Hydropower Station 883
Z. Shan, A. Liu & S. Xue
Prediction of external corrosion rate of buried pipeline based on CS-SVM model 889
Y. Wang & Y. Zhou
Experimental research on correspondence of freeze-thaw cycle times of indoor
and outdoor concrete in Changchun area 895
H. Xia, Z. Lin, Y. Chen & Y. Meng
Analysis on comprehensive treatment and utilization of coal mining subsidence area
from the perspective of territorial space planning 905
X. Li & J. Yan

xii
Analysis of common failure causes and optimization suggestions of ESP 912
Z. Xu
Perforation cluster spacing optimization using numerical simulation for shale-gas
wells in Zhaotong demonstration area 919
H. Lu, T. Wang & X. Jiang
Author index 927

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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Editor(s), 978-1-032-31202-6

Preface

2022 3rd International Conference on Geology, Resources Exploration and Development (ICGRED
2022) was planned to be held on January 21–23, 2022 in Harbin, China. Currently, the entire world
is struggling against the virulent pandemic COVID-19. Unfortunately, each of us is affected, either
overtly or covertly. Our conference, 2022 3rd International Conference on Geology, Resources
Exploration and Development (ICGRED 2022) will be held virtually due to the precaution to
minimizing the COVID-19 risk. The safety and well-being of all conference participants is our
first priority, while we strive to offer many scholars and researchers this long-awaited conference
to conduct academic exchanges with their peers.
ICGRED 2022 is to bring together innovative academics and industrial experts in the field of
geology, resources exploration and development to a common conference. The primary goal is to
promote research and developmental activities in geology, resources exploration and development,
and another goal is to promote scientific information interchange between researchers, developers,
engineers, students, and practitioners working all around the world. An ideal platform for seeking
global partners had been established. We sincerely invited you to attend the conference to share
views and experiences in geology, resources exploration and development and related areas.
The COVID-19 virus has made our life very difficult, but we want to note that there are no
barriers to science, as we continue to do our research works via modern technical means. The
ICGRED 2022 has selected Zoom as the virtual platform. During the conference, the conference
model was divided into three sessions, including oral presentations, keynote speeches, and online
Q&A discussion. In the first part, some scholars, whose submissions were selected as the excellent
papers, were given about 5–10 minutes to perform their oral presentations one by one. Then in the
second part, keynote speakers were each allocated 30-45 minutes to hold their speeches. Before
the conference, all of the authors will prepare and submit a video as a backup in case of unexpected
technical problems. There were over 130 participants attended the online meeting.
In the conference, we invited five professors as our keynote speakers. The first one, Prof.
Junwen Zhang, China University of Mining and Technology (BEIJING). His speech title is Under-
standing of Rock Burst Disaster Monitoring and Prevention. The second keynote speakers, Prof.
Hongfu Zhou, Shandong University of Science and Technology, China. He presented his insightful
speeches: Research on geological hazards effect along the Anninghe fault zone at the eastern edge
of the Tibetan Plateau. Assoc. Prof. Bingxiang Yuan, Guangdong University of Technology. He
presented his insightful speeches: Study of the soil displacement field around a laterally loaded
pile based on the PIV technique. Assoc. Prof. Lingkun Chen, Yangzhou University, China. His
speech title is Study of the Soil Displacement Field Around a Laterally Loaded Pile Based on the
Piv Technique. The last keynote speakers, Assoc. Prof. Ahmad Safuan Bin A Rashid, Universiti
Teknologi Malaysia, Malaysia. He presented his insightful speeches: Evaluating The Effects Of
Climate Changes On Landslide Hazard Map Using Support Vector Machine (SVM). Their insight-
ful speeches had triggered heated discussion in the second session of the conference. The WeChat
discussion lasted for about 30 minutes. Every participant praised this conference for disseminating
useful and insightful knowledge.
The proceedings of ICGRED 2022 span over 2 topical tracks, that include: Geology,
Resources/Energy and other related fields. All the papers have been through rigorous review and
process to meet the requirements of International publication standard.

xv
 We would like to acknowledge all of those who have supported ICGRED 2022. Each individual
and institutional help were very important for the success of this conference. Especially we would
like to thank the organizing committee for their valuable advices in the organization and helpful
peer review of the papers.

The Committee of ICGRED 2022

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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Editor(s), 978-1-032-31202-6

Committee member

General Conference Chair

Prof. Shiqi Huang, Xi‘an University of Posts & Telecommunications, China
Technical Program Committee Chairs
A. Prof. Ahmad Safuan Bin A Rashid, Universiti Teknologi Malaysia, Malaysia

Organizing Committees
Prof. Song Li, Guizhou Education University, China
Prof. Lekhendra Tripathee, Northwest Institute of Eco-Environment and Resources, China
Prof. Lishuai Jiang, Shandong University of Science and Technology, China
Prof. Wei Gao, Hohai University, China
Prof. Keren Dai, Chengdu University of Technology, China
Prof. El-Sayed Salama, Lanzhou University (LZU), China
Prof. Shanzhong Qi, Shandong Normal University, China
Prof. Yonggui Wang, China University of Geoscience, China
Prof. Weifeng Liang, Guilin University of Technology, China
Prof. Xianhong Chu, Qingdao Institute of Marine Geology, China
Prof. Lei Zhang, East China Normal University, China
Prof. Mohammad Russel, Dalian University of Technology, China
A. Prof. Bobo Li, Guizhou University, China
A. Prof. Sin Jin Chung, Universiti Tunku Abdul Rahman, Malaysia
A. Prof. Ong Soon-An, University Malaysia Perlis, Malaysia
Dr. Raheel Anjum, Abdul Wali Khan University Mardan, Pakistan
Dr. Di Zhang, Henan University of Engineering, China
Dr. Xuliang Feng, Xi’an Shiyou University, China
Dr. Deyu Yin, Huaiyin Institute Of Technology, China

International Technical Program Committees

Prof. Zebin Yu, Guangxi University, China
Prof. Panyue Zhang, Beijing Forestry University, China
Prof. Bachir Achour, University of Biskra, Algeria
Prof. Behnam, University of Tabriz, Iran
Prof. Yongmei Qian, Jilin Architecture and Civil Engineering Institute, China
Prof. Dilinuer Talifu, Xinjiang University, China
Prof. Manlin Tan, Research Institute of Tsinghua University in Shenzhen Training Center, China
Prof. Jun Li, State Grid Shandong Electric Power Company, China
Prof. Luping Li, Changsha University of Science & Technology, China
Prof. Pingping Liu, Beijing Wuzi University, China
Prof. Yang-Ming Lu, National University of Tainan, Taiwan, China

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1. Geographical geological characteristics and
geological structure exploration analysis
 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Interpretation of sedimentary environment by foraminifera and EC:

A case study of borehole CZ80 in the west coast plain of Bohai Bay

Xia Yan & Jing Fang∗

School of Geography and Environmental Science, Tianjin Normal University, Tianjin, China

Fu Wang∗
Tianjin Centre, China Geological Survey, Tianjin, China
Key Laboratory of Coast Geo-environment, China Geological Survey, Tianjin, China

Tianjiao Wang
School of Geography and Environmental Science, Tianjin Normal University, Tianjin, China

Jianfen Li, Zhiwen Shang & Yongsheng Cheng

Tianjin Centre, China Geological Survey, Tianjin, China
Key Laboratory of Coast Geo-environment, China Geological Survey, Tianjin, China

Qinwei Kang, Ying hui Qu & Yufei Liu

School of Geography and Environmental Science, Tianjin Normal University, Tianjin, China

ABSTRACT: The results of clayey water electric conductivity and foraminiferal identification
test conducted on the borehole CZ80 in the west coast plain of Bohai Bay, combined with the
AMS14 C dates, CZ80 was divided into eight units from the bottom to the top. Unit I (80–59 m) is
the continental sedimentation; Unit II (59–57.6 m) is the first transgression layer of the borehole,
presumably the marine intrusion layer formed by seawater influencing the borehole during the MIS3
or MIS5 transgression; Unit III (57.6–32.5 m) is storm surge sedimentation; Unit IV (32.5–12.5 m)
is the continental flood plain after sea retreat; Unit V (12.5–11.9 m) is the salt marsh environment
with ages 7.7–7.3 ka cal BP; Unit VI (11.9–9.7 m) is the continental flood plain with ages 7.3–
6.7 ka cal BP; Unit VII (9.7–6.9 m) is the storm surge sedimentation interspersed with marsh
sedimentation with ages 6.7–5.3 ka cal BP; Unit VIII (6.9–0.9 m) is the continental sedimentation.
We found significant quantities of foraminifera in Units III and IV with extremely low EC value.
It was concluded that the storm surge swept the intertidal and shallow marine foraminifera ashore
into the storm surge deposits, and that stable marsh deposits exist in the interstices of storm surges.

1 INTRODUCTION

Sea–land interaction occurs frequently in the coastal zone of Bohai Bay, e.g., sea retreats and sea
invasions. Environmental information contained on boreholes in Bohai Bay is studied by many
scholars (Shang 2013; Wang 2016). Foraminifera, a type of biological indicator with extremely
high discrimination of the environment in the area, is an important indicator for the division of
marine stratigraphy in each era. The main basis for the division of the marine and land phases in
previous studies has been the occurrence of organisms. For example, foraminifera is an indicator
of the marine stratigraphy; however, high-energy events such as storm surges often occur on the
west coast of Bohai Bay, which carry foraminifera to the sea–land transition zone or continental

∗ Corresponding Authors: [email protected] and [email protected]

DOI 10.1201/9781003308584-1 3
deposits, with variations in species and quantity as a result of environmental changes (Li 2010).
Clayey water electrical conductivity (EC) is a simple but convenient method to determine different
sedimentary facies and has been widely used over the recent years to eliminate the factor of
sedimentation environment caused by storm surges and other foraminiferal sediment transport
(Fang 2018; Sato 1992; Uchizono 2004). In this paper, a comprehensive analysis was conducted to
accurately delineate the marine and continental stratigraphy of the west coast plain of Bohai Bay
using foraminifera and EC. We then reconstructed the palaeoenvironment of the west coast plain
of Bohai Bay since the Late Pleistocene.

2 CHARACTERISTIC OF THE STUDY AREA

The west coast of Bohai Bay is located in northern China, with relatively smooth topography and
water sources formed by precipitation and seasonal rivers. Bohai Bay is a semi-enclosed marginal
bay and is also subject to currents, tides, and waves. Salt marshes are widespread along the west
coast of Bohai Bay, and its foraminiferal populations are affected by the salt marshes in the vicinity
as well as the water depth and salinity (Li 2010). The borehole CZ80 (38◦ 26 N, 116◦ 53 E) is
located 0.6 km southeast of Shijialou Village, Qing County, Cangzhou City, Hebei Province, China
(Figure 1).

Figure 1. Sampling site and sketch map of coastal lowland of Bohai Bay.

3 MATERIACAL AND METHODS

The total depth of the borehole was 80 m. The research methods used were as follows.
(1) Foraminifera identification: Samples were obtained from 0.2–0.4 m intervals of borehole
CZ80, dried, and weighed. 20 g of dry sample was weighed with a high precision balance
instrument and soaked in hydrogen peroxide with a volume fraction of 10% for 48 h to remove
organic matter and disperse the sample. The samples were rinsed using a copper sieve with
d = 0.063 mm until the samples were completely collected. The samples were dried and the
foraminiferal species were identified using an optical microscope.
(2) Measurement of EC and pH: Samples of 20 g each were dried at 0.2 m intervals and ground
to below 31 mesh using a mortar. 10 g of sample was weighed and added to 120 ml of
distilled water, stirred for 3 minutes, and left to stand for 1 h to measure EC and pH. The
samples were measured again after 5 days of standing. The equipment used to measure EC
was the METTLER TOLEDOFE30 laboratory conductivity equipment, and the METTLER
TOLEDOFE20 pH meter was used to measure the pH.
The criteria for classifying the EC values of the sea–land phase strata classified by the study
of the Nao Plain by Uchizono (2004) and others were used: EC < 0.6 mS/cm for continental

4
sedimentation, 0.6 mS/cm < EC <1.5 mS/cm for sea–land transition sedimentation, and EC > 1.5
mS/cm for marine sedimentation.

4 RESULTS AND DISCUSSION

The EC values of borehole CZ80 were analyzed and combined with the specific characteristics
of foraminifera to divide the stratigraphic marine and land sedimentation environments, and the
bottom-up zoning was as follows (Figures 2 and 3).

Figure 2. The foraminiferous abundance and diversity, EC and pH distribution of borehole CZ80.

The EC value of the Unit I (depth 80 m–59 m) is in the range of 0.303–0.544 mS/cm, less than
0.6 mS/cm, and the pH value is between 9.023 and 9.92. It does not contain foraminifera, and the
sediment is mainly clay with more Fe and Mn concretion, and the color is mostly gray and brown,

5
Figure 3. The foraminiferal spectrum of borehole CZ80. All the foraminiferal species with relatively low
percentage are included in the category entitled “Others”.

indicating that it may be subject to leaching, and the climate is warmer and wetter. It is presumed
to be continental sedimentation.
The EC value of Unit II (depth 59–57.6 m) is between 0.599 mS/cm and 0.644 mS/cm, and the
pH value is between 8.94–9.33, presumably this environment is a land–sea transition sedimentation.
The amount of foraminifera at this depth was low, 0–12 foraminifera/20 g, and the foraminiferal
species were mainly Ammonia beccarii and Ammonia beccarii vars, which are shallow marine,
semi-saline water species. The simple diversity is between 3 and 5, and the complex diversity is
between 1.05 and 1.47. The sedimental type is mainly clay and silt and contains calcic concretion at
58.9 m. Therefore, it is presumed to be intertidal sedimentation with MIS3 or MIS5 transgression.
Unit III (depth 57.6–32.5m), which has the EC value between 0.316 and 0.698 mS/cm, basically
less than 0.6 mS/cm, and the pH value between 9.08 and 9.88, shows continental sedimentation.
Most of the samples were free of foraminifera, and only a few samples contained foraminifera,
a total of 2996 individuals/20 g. The species with foraminiferal proportions greater than 2% in
this community were, in descending order, Ammonia beccarii (54.31%), Ammonia beccarii vars
(27.46%), and Elphidium simplex (4.21%) and other three species in total. The simple diversity
is 2–15, the complex diversity is 0.64–1.85, 33.9 m is 1.85, and the rest are less than 1.5. It is
hypothesized that the foraminifera in this study area were transported to the intertidal zone by
external causes, such as storm surges. The sediment is mainly clay and fine sand, partly containing
Scapharca subcrenata and shells, and calcic concretion. Therefore, it is presumed to be the storm
surge sedimentation.
Unit IV (depth 32.5–12.5 m): EC value is between 0.1928 and 0.498 mS/cm, less than 0.6
mS/cm. The pH value ranges from 8.59 to 9.59, no foraminifera, sediments are mainly fine powder
sand, silt, and clay, at 32.05 m there are Scapharca subcrenata fragments, at 14.05 m oyster and
shells are found. Unit IV is presumed to be the flood plain after the sea retreat.
Unit V (depth 12.5–11.9 m): EC value is between 0.691 and 1.317 mS/cm, 0.6 mS/cm < EC <
1.5 mS/cm, indicating sea–land transition sedimentation, pH value is between 8.79 and 9.3. The
number of foraminifera is 0. The sediment is mainly clay with peaty clay at 12.34–12.36 m depth,
which is presumed to be the bottom peat of the lagoon. Fang (2018) confirmed in the borehole
DC01 (38◦ 40 N, 116◦ 39 E) in the west coast plain of Bohai Bay that the salt marsh environment

6
or the high influence of seawater would also make the EC value higher. Unit V is presumed to be
a salt marsh environment influenced by seawater with AMS14 C dating showing 7.7–7.3 ka cal BP.
The EC values in Unit VI (depth 11.9–9.7 m) ranged from 0.199 mS/cm to 0.57 mS/cm, less
than 0.6 mS/cm, and the pH value ranged from 8.79 to 9.3. The number of foraminifera at this
depth was 1, and only one foraminifera was found at 11.7 m with a simple differentiation of 1. No
foraminifera were detected in the samples at adjacent depths, so it is assumed that the foraminifera
may have been mixed into the samples due to other reasons. The sediment is mainly fine sand, with
the same peaty clay as in Unit V at 11.55–11.50 m, which is presumed to be a continental deposit
with a good connection to the lagoon.
Unit VII (depth 9.7–6.9 m) has the EC value between 0.1596 mS/cm and 0.355 mS/cm and
the pH value between 9.14 and 9.9. This depth is where the foraminifera is most abundant in
this borehole, reaching a maximum absolute abundance of 17,720 foraminifera/20 g at a depth
of 8.9 m. Species greater than 2% of these are ranked from highest to lowest. Ammonia beccarii
vars (24.66%), Ammonia sp. (12.92%), Elphidium magellanicum (11.39%), Ammonia takanabensis
(9.06%), Pseudononionella variabilis (8.12%), Elphidium simplex (8.26%), Ammonia confertitesta
(6.32%), Ammonia japonica (4.18%), Astrononion glabrum (2.30%), and so on. Foraminiferal types
are mainly shallow marine and semi-saltwater species. The simple diversity ranges from 10 to 24
and the complex diversity is between 2.06 and 2.60, indicating marine sedimentation. The sediments
are clay and fine silt with a small amount of swampy clay present. It is assumed that a storm surge
high-energy hydrodynamic event occurred in this study area, which transported foraminifera from
shallow waters to the area with AMS14 C dating showing 6.7–5.3 ka cal BP.
Unit VIII (depth 6.9–0.9 m): the values of EC at this depth range from 0.1982 mS/cm to 0.588
mS/cm, less than 0.6 mS/cm, and pH values range from 9.11 to 10.22. The sediments are clay and
silty clay, and the depth of 3.7∼3.8 m is the gray swamp clay; the presumed continental flood plain
during which stable marsh deposits existed.
The borehole is close to the coast and is more frequently disturbed by seawater, but there is no
real marine layer, only two transgression layers exist. The Units II and III are the lower part of
the borehole, and there is no precise dating data. According to the conclusion by Chen (2021) for
the adjacent CZ66 (38◦ 31 29 N, 117◦ 07 59 E) and CZ85 (38◦ 28 09 N, 117◦ 01 10 E), the III Unit
corresponds to its approximate position, and it is presumed that Units II and III are MIS3 or MIS5
transgression. Unit V is also not a real transgression layer, but it is influenced by seawater, and a
thin salt marsh layer of 0.6 m is developed. AMS14 C dating shows that the age is between 7.7 ka and
7.3 ka, indicating that the Holocene seawater reached or influenced the location of the borehole,
but no real transgression layer is developed. The amount of foraminifera was present in both Units
III and VII, however, the EC values are extremely low, indicating continental sedimentation, so it
is assumed that foraminifera, shell fragments, Scapharca subcrenata fragments, and other marine
organisms were carried into the continental environment by the storm surges leading to formation
of storm surge deposits. The number of foraminifera in Unit VII is higher than that in Unit III, and
the degree of differentiation shows that the marine phase of foraminifera is stronger. The average
water depth in Bohai Bay is about 18 m, and storm surges occur more frequently and severely
(Wu 2002), which may have carried foraminifera from shallow marine or intertidal sedimentation
to this area, so it is possible that more intense storm surge events occurred since the Holocene,
which swept foraminifera from shallow marine into low-lying areas, and therefore the number of
foraminifera in Unit VII is higher.

5 CONCLUSION

By using foraminiferal distribution and EC measurements of CZ80, we reached some conclusions.

(1) CZ80 has gone through a bottom-up process of continental sedimentation (Unit I) – intertidal
sedimentation (Unit II) – storm surge sedimentation (Unit III) – continental flood plain after

7
 sea retreat (Unit IV) – salt marsh (Unit V) – continental sedimentation (Unit VI) – storm surge
sedimentation (Unit VII) – continental flood plain (Unit VIII).
(2) The CZ80 borehole has been affected by seawater twice since the location of MIS 3 or MIS
5 transgression, respectively, for the intertidal sedimentation (Unit II) and the 0.6 m thin salt
marsh sedimentation (Unit V) developed at 7.7–7.3 ka cal BP, and no real transgression layer
has been encountered.
(3) The borehole has seen two obvious storm surge sedimentations (Units III and VII), and the
storm surge degree in Unit VII is stronger than that in Unit III, and the interval between storm
surges developed marsh deposits. Some amount of foraminifera was present in Units III and
VII, but the EC values indicate a continental sedimentation environment, presumably, storm
surges carried foraminifera to this study area, not indicating marine sedimentation. Thus, the
combination of several indicators can provide a more comprehensive and better delineation of
the stratigraphy.

ACKNOWLEDGMENTS

This research was financially supported by the China Geological Survey Program (DD20189506).

REFERENCES

Chen, Y.S. (2021). The MIS 5 transgression recorded in the second marine layer along the coast of Bohai Bay.
J. Geology in China. 1–11.
Fang, J. (2018). Correlation Analysis of Conductivity (EC),w(FeS,), pH of Drilled Clay Water and Its Applica-
tion in Paleo-Environment Restoration, A Case Study of DC01 Core on West Plain of Bohai Bay. J. Journal
of Jilin University(Earth Science Edition). 48(04), 1154–1164.
Li, J. F. (2010). Distributiion Characterisics of the Morden Foraminifera Assemblages and their Geoenviron-
mental Records in the West Bohai Bay. D. China University of Geosciences.
Sato, M. (1992). Analysis of Paleo-environment based on electric conductivity of the STICS-water—On two
drilled cores at Osaka Bay, Japan. J. The Geological Society of Japan. 98(9), 825–839.
Shang, Z. W. (2013). Evolution of the Holocene sedimentary environment and terrestrial-marine interaction
revealed by the borehole CH114 in the west coast of the Bohai Bay of China. J. Marine Science Bulletin.
32 (5), 527–534.
Uchizono, T. (2004). Sedimentary environmental analysis based electric conductivity and pH of stirred layer
drilling cores into water recovered from the southern part of Nobi Plain central Japan. J. The Quaternary
Sciences. 43(5), 375–382.
Wang, F. L. (2016). Paleoenvironment change and river channel infilling since late MIS3 recorded by drilling
core QX01 from the coastal lowland of Bohai Bay. J. Earth Science Frontiers. 23(4), 301–309.
Wu, S. H. (2002). The general status of storm surges and the simulation of extratropical storm surges in the
Bohai Sea. J. Acta Oceanologica Sinica. (03), 28–34.

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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Exploring the grain size characteristics of surface sediments and

depositional environment in the offshore area of Tianjin

Yinghui Qu, Jing Fang∗ , Xia Yan, Qinwei Kang, Tianjiao Wang & Yufei Liu
School of Geography and Environmental Science, Tianjin Normal University, Tianjin, China

Fu Wang
Tianjin Centre, China Geological Survey, Tianjin, China
Key Laboratory of Coast Geo-environment, China Geological Survey, Tianjin, China

ABSTRACT: The grain size analysis of 21 surface sediment samples collected in 2019 in the
offshore area of Tianjin shows that the surface layer of the seafloor in the study area is mainly
clay silt deposits. Based on the cluster analysis of the surface sediment grain size parameters,
and combined with the hydrodynamic conditions, the study area could be classified into three
depositional environments: group I has large average grain size, high sand content, simple and
strong hydrodynamic conditions. According to the location of the sampling point and the size of
the grain, it can be divided into the intertidal environment(I-a), which is strongly influenced by
rivers but weakly influenced by coastal currents, and intertidal-shallow marine environment (I-b),
which is strongly influenced by currents but weakly influenced by rivers; Group II has the largest
grain size which is mainly coarse powder silt, with strong hydrodynamic force and complex material
sources. It can be speculated that it’s a shallow marine sedimentary environment influenced by both
rivers and currents; Group III has the finer grains, the transport mode is mainly with suspension,
the hydrodynamic environment is stable and weak, indicating a single hydrodynamic force, so that
it can be speculated that it’s an intertidal-shallow marine sedimentary environment influenced by
the seasonal intra-bay circulation.

1 INTRODUCTION

Sediment grain size parameters can extract information on the source of sediment(Wang and Liu
2016), identify the types of depositional environment(Halls 1967), reflect the hydrodynamic condi-
tions of the deposition process(Zhao and Peng 2016), and infer the sediment transport and deposition
process(Visher 1969). Tianjin is adjacent to the Bohai Sea in the east, and many rivers carry a large
amount of sediment into the Bohai Bay, at the same time the bidirectional coastal circulation sys-
tem makes the sedimentary environment of Tianjin offshore area more complicated. In this paper,
through grain size analysis on the surface layer of Tianjin offshore area, the hydrodynamic condi-
tions and transport modes of the offshore area were discussed, and the distribution characteristics of
the surface sediments and modern depositional environment in the offshore area of Tianjin in 2019
were analyzed, to provide a scientific basis for regional development and environmental protection.

2 MATERIALS AND METHODS

Bohai Bay, located in the western part of the Bohai Sea, is a semi-enclosed bay surrounded by land
on three sides. The tides are irregular semi-diurnal, with a basic east-west reciprocal flow motion.

∗ Corresponding Author: [email protected]

DOI 10.1201/9781003308584-2 9
The Yellow Sea warm current remnant and the coastal current constitute the circulation system of
Bohai Bay(Wei 2013). In September 2019, sampling was carried out near the offshore waters of
Tianjin (38◦ 37 -39◦ 02 N, 117◦ 37 -117◦ 58 E), and 1.5m long surface sediment core samples were
drilled by mechanical drill, and a total of 21 sealed core samples were obtained. The locations of
sampling points are shown in Figure 1.

Figure 1. Sample points of Tianjin offshore area and current distribution.

The sample processing methods for grain size analysis are as follows: (1) For 21 core samples,
3-5g samples of 1cm at the top of each sample are taken and loaded into 250ml conical flasks, 30%
hydrogen peroxide is added to remove organic matter, and then 10% hydrochloric acid is added to
remove calcium. (2) Add distilled water and stand for 24h, then aspirate the upper clear layer with a
dropper, and repeat the operation until the solution is neutral. (3) Add sodium hexametaphosphate
solution, dispersing it using an ultrasonic oscillator, testing on the machine for 3 times to obtain
the average value of the experimental results.

3 RESULTS AND DISCUSSIONS

3.1 Sediment type

21 surface sediment samples from the study area were subjected to grain size analysis, according to
the proportion of sand, silt, and clay in each sample, points were selected in The Shepard Triangle
(Shepard 1954) and the results showed that sample point 1 was silt clay, sample point 15 was
sand-silt-clay, and the remaining 19 sampling points were clay silt (Figure 2).
The distribution of grain size parameters was plotted for each sampling point based on the
characteristics of the sediment grain size parameters (Figure 3).
According to the results, the average grain size ranges from 4.94 to 7.87ϕ, and is mainly composed
of the fine and very fine fines fractions (6∼8ϕ), with the characteristics of high in the middle and
low in the surroundings. Sampling point 15 in the middle of the study area is the highest value
of the average grain size, corresponding to coarse silt composition, which has a large gap with
the surrounding sea area. In addition, the estuary of the Beipaishui River(BPR) in the southwest
intertidal zone is also the area with the high mean grain size, corresponding to fine silt components,
while the sediment of the remaining sampling points in the study area are finer, between 7 and 8
ϕ, corresponding to very fine silt components (Figure 3a).
The sorting coefficient varies from 1.49 to 4.03, with the characteristics of high in the middle and
low in the surroundings, the sorting coefficient of sampling point 1 in the southwest intertidal of
the study area is also high. Most the sampling points in the study area have poor sorting coefficients

10
which between 1 and 2, indicating weak hydrodynamics and poor sorting of sediments in the study
area (Figure 3b).
The skewness ranges from −0.41 to 0.17, with half exhibiting near-symmetry. Positive skew is
located at the sampling points 5 and 13 in the southwest intertidal zone, sampling points 2 and 3
in the south, and point 11 in the southeast of the study area; negative skew is concentrated in the
central part of the study area and corresponded to higher sorting coefficients (Figure 3c).
The means value of the kurtosis is 1.11, which is a moderate distribution type. Most of the
kurtosis are moderate and concentrated in the southwestern intertidal, southern, and northeastern
parts of the study area. Sampling point 15 in the central part of the study area is very broad and
flat, while sampling point 6 in the southern part of Nangang Industry Zone (NIZ) and sampling
point 17 in the southern part of Lingang Industry Zone(LIZ) are broad and flat. Sampling points
8 to 10 in the south-central region of the study area show very sharp and narrow peak pattern,
corresponding to negative skew. The moderate peak pattern is widely distributed and located in
the southwestern intertidal, southeastern, and northern waters of the study area, with a stable
depositional environment (Figure 3d).

Figure 2. The Shepard Triangle diagram. Figure 3. Sediment grain size parameters distribution.

Figure 4. Frequency distribution curves. Figure 5. Probability cumulative curves.

11
3.2 Sediment frequency distribution curves and probability cumulative curves
Frequency distribution curves and probability cumulative curves were made for 21 surface sediment
samples from the study area (Figures 4 and 5).

3.3 Sediment C-M diagram

The C-M diagram was plotted based on data from grain size analysis of 21 surface sediment
samples from the study area (Figure 6), and significant heterogeneity could be found through the
projection of the 21 sediment samples.
Cast point 1 in zone VII exhibits 15µm< M <100µm, 100µm<C<1000µm; sample points
8,9,10,15,16 and 18 cast in zone IX exhibit M <15µm, 1000µm<C<10000µm; the cast points
of 2∼7,11∼14,17 and 19∼21 close to the pelagic sedimentation zone in VIII, show M <15µm,
C<100µm. The C-M diagram reflects the differences in hydrodynamic conditions, so it can be
judged that the sampling points in the same area have similar hydrodynamic conditions.

Figure 7. Cluster analysis (a) and sedimentary environ-

Figure 6. Sediment C-M diagram. ment (b).

3.4 Discussion
The grain size parameters of 21 sediments were systematically clustered using SPSS22.0, and the
results are shown in Figure 7a. The sedimentary environment of the Tianjin offshore area was
divided into three categories according to the sea location of sampling points (Figure 7b).
Group I: includes sampling points 1, 8, 9, 10, 16, and 18, the sediment types are silt clay and clay
silt, according to the distance of the sampling point from the shoreline, they can be divided into I-a
and I-b. I-a is sampling point 1 at the estuary of the BPR of the southwest intertidal zone, with the
highest percentage of silt content is 62.78%, clay content is 21.52% and sand content is 15.69%. The
frequency distribution curve is a single-peaked type with sharp-narrow symmetry, with the peak
plural between 5.1 and 7.3 ϕ, belonging to the middle silt-fine silt range. The sorting coefficient
is 2.53, it is very poor, reflecting the hydrodynamic instability of the region. The probability
cumulative curve is in the form of a combination of less pushing and more suspension, the proportion
of suspension component is about 90.00%, while the proportion of pushing component content is
less than 10.00%. The C-M diagram shows that the point is close to Zone VII, which represents
a strong hydrodynamic moderate-to-high energy hydrodynamic condition. It indicates that the
hydrodynamic conditions in this sea are simple and strong. In addition, the sediment grains in
this area are coarse, with an average grain size of 6.21ϕ. It is speculated that the coarse-grained
material in this area originates from the BPR, in the process of transporting, mixing, and deposition

12
in the coastal current, causing the coarse-grained fraction to accumulate at the estuary. Therefore,
summarizing the above characteristics, it is inferred that the sea area at this point is an intertidal
depositional environment strongly influenced by rivers but weakly influenced by coastal currents.
I-b includes sampling points 8, 9, 10, 16, and 18, which are located in the central part of the study
area in the east of NIZ and near the estuary of the Hai River. The percentage of sediment content
silt range from 44.91 to 55.34%, clay content range from 36.19 to 47.00%, and sand content range
from 7.80 to 9.35%, which are significantly higher than that of the surrounding sampling points.
The frequency distribution curves are single-peaked type with a sharp-narrow negative skew, with a
low tail on the side of the coarse grains and an unstable depositional environment. The peak plurals
range from 6.1 to 7.3 ϕ, which belong to the fine silt fraction with poor sorting. The probability
cumulative curves show that the mode of transportation is mainly suspension, with a proportion of
90.00%, and about 10.00% are the pushing and leapfrogging. In addition, the C-M diagram shows
that the points located in Zone IX, are highly hydrodynamic and unstable. The sediment grains in
this sea area are coarse, and it is speculated that the coarse fraction grains may originate from two
sources, one is the riverine inlet sediments of the Duliujian River (DLR) and Hai River, carried
here by the east-west upwelling and downwelling currents. The other source is the impact of human
activities. Currently, the third phase of the NIZ project is underway, and a large amount of soil and
rocks generated by the construction of the project are piled up near the coastline. Accompanied
by the scouring effect of tides, rivers, and waves, the sediment grains in the area become coarser.
Therefore, it is inferred that the sea area is an intertidal-shallow sedimentary environment with
weakly influenced by rivers but strongly influenced by tidal currents.
Group II: sampling point 15, located in the middle of the study area, is sand-silt -clay, among
the sediment the proportion of silt content is 61.70%, the proportion of sand content accounting
for 21.51%, is the highest in the study area, and clay content is the least, 16.80%. The average
grain size is 4.94ϕ, which is the coarsest grain point in the study area. The frequency distribution
curve is bimodal, with a wide peak interval of the main peak, the plural ranges from 4.30 to 8.20ϕ,
corresponding to the coarse silt-very fine silt component, presumably tidal shore deposition, and
the plural of the secondary peak ranges from −1.80 to 1.00ϕ, corresponding to the very coarse
sand-coarse sand, which is a coarse grain component, and the extreme difference in the sorting of
each grain class from sand to silt. The probability cumulative curve is of the pushing-suspension
type, in which the content of the pushing component is 35.00%, the highest in the study area, and the
content of the suspension component is greater than 60.00%. The straight line between the pushing
and suspension is approximately horizontal, indicating that there is no leapfrog in the mode of
transport in the sea, indicating that the coarse and fine grain components (Shang and Wang 2005).
The C-M diagram indicates that the point casts in the zone of suspension IX and the hydrodynamic
conditions are medium to high energy. It reflects that sampling point 15 is influenced by both rivers
and tides, and the sediment is mainly composed of two kinds of coarse and fine components. It is
presumed that the coarse component comes from two sources, on the one hand, it is the land source
material carried by DLR, under the inertia of the high-energy river into the sea, the sediment is
continuously transported to the sea so that the coarse grain component is deposited in the sea. On
the other hand, it is influenced by the counterclockwise circulation of Bohai Bay in winter. The
southern branch of the Bohai Sea winter circulation, which enters Bohai Bay from the northern
part of the Bohai Strait, turns south after bypassing the top of the bay, and flows eastward out of
Bohai Bay along the southern shore of Bohai Bay, in which the coarse-grained material entering
the sea from the Luan River and Hai River in the northern part of Bohai Bay follows this circulation
to the west and enters the study area from the northeast, resulting in coarse sediment particles in
this area.
Group III: includes sampling points 2∼7,11∼14,17 and 19∼21. The sediments in this area are
all clay silt, with 53.62-60.68% of silt, 39.32-46.38% of clay, and 0-1.15% of sand. The average
grain size ranges from 7.49 to 7.87ϕ, and the sediment grains are generally very fine silt, the finest
in the study area; the sorting coefficients range from 1.49 to 1.92ϕ, which show poor sorting. The
frequency distribution curves are mostly in the form of single peaks with moderate near-symmetry,

13
with single hydrodynamic conditions and stable depositional environment, the peak plurals range
from 7.10 to 9.70ϕ, belonging to the very fine silt-clay component. The probability cumulative
curves show a combination of no pushing – less leapfrogging - more suspension type, the content
of suspension component is up to 98.00% or more, and the content of pushing and leapfrogging
component is less than 2.00%, which is a suspension sedimentation area, reflecting the weak
hydrodynamic conditions of the sea. In addition, the C-M diagram shows that the area is located
in Zone VIII, and the cast points are close to the pelagic sedimentation area, indicating low-energy
hydrodynamic conditions and a stable sedimentary environment. Combining the above features, it
is inferred that the area is an intertidal-shallow sedimentary environment influenced by the intra-bay
circulation.

4 CONCLUSION

(1) The sediment types, grain size parameters, frequency distribution curves, probability cumula-
tive curves, and C-M diagram of 21 sampling points along the offshore area of Tianjin Bohai
Bay reveal that the sedimentary environments in the study area are diverse and influenced by a
variety of hydrodynamics, and are mainly divided into three categories: Group I is divided into
two types according to the location of the sea area, one is intertidal sedimentary environments
(I-a), which are strongly influenced by rivers but weakly influenced by coastal currents, and the
other is intertidal-shallow sedimentary environments (I-b), which are strongly influenced by
tidal currents but weakly influenced by rivers; Group II is a shallow sedimentary environment
influenced by both rivers and tidal currents; Group III is an intertidal-shallow sedimentary
environment influenced by seasonal intra-bay circulation.
(2) In 2019, the overall hydrodynamic conditions in the offshore area of Tianjin were weak, and
the surface sediment transport was dominated by suspension, with a small amount of pushing
and leapfrogging, showing the characteristics of mixed coarse and fine component deposition,
presumably as a result of different sediment source supply due to the bidirectional structure of
the circulation system in the bay.

ACKNOWLEDGMENTS

This research was financially supported by the China Geological Survey Program (DD20189506).

REFERENCES

Fei, W. (2013). Surface sediment grain size and clay mineral characteristics and provenance analysis in western
Bohai Bay. Ocean University of China.
Halls, J. R. (1967). Significance of statistical parameters for distinguishing sedimentary environment in New
South Wales Australia. Journal of Sedimentary Petrology. 37, 1059–1069.
Li, Z. & Xuechao, P (2016). Characteristics of grain size distribution of surface sediments and depositional
environments the northern shelf region of the South China Sea. Marine Geology and Quaternary Geology.
(6), 111–122.
Mingda, Ren. & Nailiang, W (1981). Introduction to modern sedimentology. Science Publishing.
Shepard, F. P. (1954). Nomenclature based on sand-silt-clay ratios. Journal of Sedimentary Geology. 24 (3),
151–158.
Visher, G. S. (1969). Grain size distribution and depositional processes. Journal of Sedimentary Petrology.
39 (3), 1074–1106.
Zhongbo, W. & Rihui, L (2016). Grain size composition and distribution patten of seafloor sediments in Bohai
Bay and adjacent areas. Marine Geology and Quaternary Geology. 36 (6), 101–109.

14
 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

A study on micro-characteristics of gas-water distribution and

evolution in shale reservoir

Tianyi Zhao∗
Sinopec Key Laboratory of Shale Oil/Gas Exploration and Production Technology, Beijing, China
Sinopec Petroleum Exploration and Production Research Institute, Beijing, China

ABSTRACT: This paper discusses the characteristics of gas-water distribution during different
thermal evolution processes of shale reservoirs. Shale is originally deposited in water-saturated
environment. And the movable water in the pores cannot be completely discharged even after
the deposition and compaction process. Only when kerogen begins to generate hydrocarbon and
produces enough pressure, a large amount of water would be discharged. Kerogen can generate
hydrocarbons in two ways: depolymerization type and parallel defunctionalization type. The organic
pores and hydrocarbon gases are generated during the evolution of hydrocarbon in shale reservoirs.
The results reveal the micro-characteristics of gas-water distribution in both organic and inorganic
pores. During the evolution process, formation of water is gradually displaced through generated
gas phase. At the late stage of evolution, organic pores are dominated by single-phase gas. Few
amounts of water molecules are adsorbed near the functional group. In inorganic pores, the gas-
water distribution is evolved from water-saturated to water-film during the evolution process. Liquid
water only exists in some micro-pores. This study can provide a theoretical basis for accurately
predicting the gas content of shale reservoirs.

1 INTRODUCTION

Although the development of shale gas in China has made remarkable achievements, the estimated
gas in place contradicts the actual production in some shale gas reservoirs. This problem may be
caused by insufficient insights into the characteristics of gas-water distribution and occurrence in
shale reservoirs.
The wettability of organic and inorganic matter in shales is quite different. This leads to the
different mechanisms of gas storage under reservoir condition. However, scholars usually treat
shales as a whole object while studying the seepage mechanism of shale gas. The differences
in gas-water distribution in organic and inorganic matter are not fully understood. The gas-water
distribution and seepage mechanism of shale gas are not only related to accurate resource evaluation
but also affect the prediction of productivity. Therefore, it is necessary to study the characteristics
of gas-water distribution and evolution in organic and inorganic pores, respectively.
In this study, different sedimentary environments of shale are first described. Formation water
is retained from the sedimentary environment and confirmed by well logging. Investigation of
the generation of organic matter pores and hydrocarbon at different thermal evolution stages is
carried out. Finally, micro characteristics of gas-water distribution and evolution in organic pores
and inorganic pores are discussed.

∗ Corresponding Author: [email protected]

DOI 10.1201/9781003308584-3 15
2 SEDIMENTARY ENVIRONMENT

The original sedimentary environment of shale reservoirs can be divided into three types: shallow
sea shelf in marine facies, freshwater environments in continental facies, and marine-land transition
facies (Arthur & Sageman 1994). At the same time, the organic matter in shale can only generate
hydrocarbons under static water and reducing environment. Therefore, whether it is marine facies,
continental facies, or marine-land transition facies, the original shale reservoirs are all saturated
with formation water.
The forming process of shale reservoir includes deposition, compaction, and thermal evolution of
organic matter. During this process, inorganic pores will undergo two main stages: the compaction
stage and hydrocarbon generation stage. During the compaction drainage stage, formation water
is discharged with decreasing pore volume. The moisture content of the original sediment can
reduce by 50% to 70% (Flores 2013). However, there is still a large amount of movable water
remaining in the inorganic pores. During the hydrocarbon generation stage, the remaining movable
water can be further discharged. The removed water can reach 10% to 15% of the volume of the
shale. In addition, the hydrocarbon generation of kerogen is a water-consuming process. Studies
(Seewald 2003) have shown that both the process of kerogen conversion to liquid hydrocarbons
and the process of liquid hydrocarbons conversion to methane require large amounts of water.
The process of conversion of a unit mole of kerogen into liquid hydrocarbons consumes about
60 to 110 moles of water. (depending on the type of kerogen). The process of conversion of a
unit mole of liquid hydrocarbons into methane consumes about 4.5 moles of water (Gao et al.
2021; Helgeson et al. 2009). With the evolution of organic matters, water in inorganic pores
will be displaced by the generated liquid or gaseous hydrocarbons. Therefore, the water-bearing
capacity of inorganic pores mainly depends on the hydrocarbon-generating ability of the organic
matter.
Logging results of typical shale basins show that shale reservoirs generally have a certain
degree of water saturation (Figure 1). The original water saturation of the Barnett and other shale
basins in the United States is between 7% and 50%, while that in China is between 33% and
46% (Guo 2019). However, the water production rate of shale gas wells is extremely low. There-
fore, scholars believe that the formation of water in shales is higher in stagnant water rather than
moving water.

Figure 1. Initial water saturation of typical shale gas reservoirs.

16
3 EVOLUTION CHARACTERISTICS OF SHALE RESERVOIR

3.1 Thermal evolution of organic matter

Kerogen is the main component of organic matter in shale and accounts for 80% to 90% of the
total organic matter content (Durand 1980; Baruah & Tiwari 2021). During the thermal evolution,
the organic matter of the original deposits transforms into kerogen. Massively generated biogenic
gas and thermogenic gas transited the reservoir from the original state of “water saturation” to the
state of “gas-water two-phase”.
During the thermal evolution process, different organic pores and fluids are generated. Kerogen
can generate hydrocarbons in two ways (Ungerer 1990). The first one is called depolymerization.
Kerogen first pyrolyzes into macromolecular soluble organic products, such as asphalt and gums,
which further decomposes into small molecules such as crude oil and natural gas. During this
process, various parts of the organic matter react quickly. The organic matter shrinks as a whole
due. The pores generated in this way are mainly edge pores (Figure 2(A)). The other way is called
parallel defunctionalization. During the evolution, the functional groups in kerogen are gradually
removed based on the strength of bond energy. Finally, the inert skeleton remains. The internal pores
are mainly generated in this way (Figure 2(B)). Type I kerogen belongs to the depolymerization
type. Type III kerogen belongs to the parallel defunctionalization type. Type II kerogen is between
the depolymerization type and the parallel defunctionalization type and can generate both organic
edge pores and organic internal pores.

Figure 2. Functional group evolution model of the kerogen.

Table 1. Products of organic matter during different thermal evolution stages.

Ro (%) Maturity Temperature(◦ C) Thermal evolution product

<0.5 Immature <350 Kerogen+Biomethane+CO2 +H2 O+H2 S

0.5∼1.3 Mature 350∼550 Residual kerogen + Liquid hydrocarbon+H2 S
1.3∼2.0 Highly mature Residual kerogen + Wet gas
>2.0 Over-mature >550 Dead carbon + Dry gas

The vitrinite reflectance (Ro ) is an important indicator to measure the thermal maturity of kerogen.
When Ro is less than 0.5%, kerogen belongs to the immature stage and generates biogenic gas.
When Ro is between 0.5% and 1.3%, kerogen belongs to the mature stage and oil generation
window. When Ro is between 1.3% and 2.0%, kerogen belongs to the high-maturity stage, and

17
mainly generates wet gas. Dry gas is generated during the maturity stage (Ro >2.0%). Vitrinite
reflectance can be directly measured by an oil immersion microphotometer. It can also be converted
by Tmax parameter obtained from the rock pyrolysis experiment (Jarvie et al. 2007; Struchtemeyer
et al. 2011). The product composition at each evolution stage is shown in Table 1.

3.2 Thermal evolution of shale reservoir

During the early stage (Ro <0.5%), the deposited primitive organisms are transformed into kerogen
under the activity of bacteria and fungi. The generated kerogen is not thermally cracked. With
the transformation of primitive organisms, the generated methane-based gas first dissolves in the
water formation. When the dissolved gas reaches certain saturation, the generated methane forms
free bubbles. During this stage, free gas bubbles usually stick or suspend on the surface of the
organic pore walls (Kellner et al. 2005; Struchtemeyer et al. 2011). With the continuous generation
of gas, the bubbles will gradually increase or aggregate. However, most of the biogenic gas is lost
during the deposition process and very few can be preserved (Tong et al. 2011). Only when the
maturity reaches about 0.6%, do the organic pores start to form (Jarvie et al. 2007). Therefore,
primary pores mainly form in the early stage of thermal evolution. The secondary pores are rarely
developed.
When the organic matter evolves into the middle and late thermal stages (0.5 % < Ro < 1.3 %;
1.3 % < Ro < 2.0 %), oil-gas and condensate-gas are generated. During this stage, a large number of
functional groups fell off. The amount and distribution of polar groups in organic matter changed.
Kerogen transforms into solid skeletons of inert carbon or dead carbon (Behar et al. 1995). At the
same time, the pore shape and size of kerogen change. The newly formed pores would merge with
the original pores. A study of Muller et al. (2000) has shown that the distribution of methane-water
is closely related to the active site on the surface of graphite (Müller et al. 2000). When the pores of
graphite contain no active adsorption sites, external water molecules cannot enter the pores. When
the density of active adsorption sites is 1.5 site / nm2 , water molecules will adsorb around the
polar adsorption sites in the form of ‘cluster’. This results in a decrease of methane by about 50%.
Molecular simulation shows that water molecules tend to be adsorbed near the polar functional
groups of kerogen, making the pores water wettability (Hu et al. 2014).
During the deep-high temperature gas generation stage (Ro >2%), the formation temperature
reaches the release temperature of the asphalt aromatic C-H bond. The aromatic structure will
convert into polymerization and a higher aromatization of polycyclic aromatic states. At this time,
the solid skeleton is dominated by dead carbon, and generated hydrocarbons are mainly dry gas.
It is worth noting that when the evolution stage enters the metamorphic stage (Ro >4%), almost
all residual kerogens are converted into dead carbon. The process of hydrocarbon generation is
terminated. Early formed kerogen pores may also be filled by mineral particles, resulting in a
decrease in total porosity.

4 GAS-WATER EVOLUTION CHARACTERISTICS

4.1 Gas-water evolution in organic pores

Based on the thermal evolution process of shale reservoirs, the characteristics of gas-water distri-
bution in organic pores (taking the parallel defunctionalization type as an example) can be divided
into four stages, as shown in Figure 3.
(1) Immature stage of kerogen. At this time, the shale reservoir is in the early stage of thermal
evolution. Kerogen generated from the sedimentary original organic matter is not thermally
cracked. The internal secondary pores are rarely developed. Most of the biogenic gases are lost
during the deposition process, adhering or suspending on the kerogen surface (Figure 3(A)).
(2) Hydrocarbon-generation stage of kerogen. At this time, shale reservoirs are in the middle
stage of thermal evolution. Kerogen pyrolyzes and forms a large amount of heavy hydrocarbon

18
Figure 3. Evolution of gas-water distribution in organic pores.

components (accompanied by a small number of light hydrocarbons). These hydrocarbons

form pores inside the kerogen during their escape process. The heavy hydrocarbons occupy a
part of the pore space inside the kerogen. The light-hydrocarbons mainly dissolve while the
formation of water (Figure 3(B)).
(3) Condensate formation stage of kerogen. At this time, shale reservoirs are in the late stage
of thermal evolution. Heavy-hydrocarbons crack, while light-hydrocarbon components dom-
inated by wet gas (condensate gas) increased gradually. Meanwhile, a large number of pores
were formed in kerogen when the maturity was between 1.3 % and 2.0 %. At this point, the
gas generation capacity is greater than the adsorption capacity of the kerogen surface and
the solubility of fluid. The gas-phase exists in the form of adsorbed gas and free bubbles
(Figure 3(C)).
(4) High-temperature gas-generation stage of kerogen. At this time, the heavy hydrocarbon com-
ponents further crack. A large amount of dry gas generates, forming a continuous gas phase.
The formation of water outside the organic matter is displaced by the generated free gas. Almost
all of the kerogens are converted into dead carbon. Only a few amounts of water molecules are
adsorbed by the polar residue functional groups (Figure 3(D)).

4.2 Gas-water evolution in inorganic pores

Based on the sedimentary environment of shale reservoirs and the thermal evolution process of
organic matter, the characteristics of gas-water distribution in inorganic pores can also be divided
into four stages, as shown in Figure 4:
(1) Early thermal evolution stage. At this time, the kerogen is immature, and water in the pores of
inorganic matter is continuous (Figure 4(A)).
(2) Middle thermal evolution stage. At this time, most biogenic gases are lost during the deposition
process. Only a few amounts form as free gas, adhering or suspending on the kerogen surface.
Water molecules adsorbed near the functional groups of kerogen form water clusters. With
the increasing thermal evolution, kerogen pyrolysis products are mainly composed of heavy

19
Figure 4. Evolution of gas-water distribution in inorganic pores.

hydrocarbon components. Generated light hydrocarbon is firstly dissolved into free water.
When the dissolved gas reaches certain saturation, the generated methane is adsorbed on the
kerogen surface. At this stage, the gas content of the shale reservoir is low, and the inorganic
pores are water-connected (Figure 4(B)).
(3) Late thermal evolution stage. A large amount of free water in inorganic pores is displaced by the
gas phase. Water film is adsorbed on the pore surface. Some inorganic pores are gas-connected
(Figure 4(C)).
(4) High-temperature gas-generation stage. At this time, almost all the inorganic pores are taken
up by gas. Only a few tiny pores are filled by water molecules (Figure 4(D)).

5 CONCLUSIONS

This study discusses how hydrocarbon and organic pores are generated from kerogen, and the
micro characteristics of gas-water distribution in both organic and inorganic pores during different
thermal evolution stages of shale. The main conclusions are as follows.

(1) Kerogen can generate hydrocarbons in two ways. The first one is called depolymerization. The
organic matter shrinks as a whole due. Pores generated in this way are mainly edge pores.
The other way is called the parallel defunctionalization type and the internal pores are mainly
produced by this method.
(2) Organic pores and gas are generated during the thermal evolution of shale. In organic pores,
formation of water is gradually displaced by the gas phase. At the later stage of evolution,
the organic pores are dominated by single-phase gas. Few amounts of water molecules are
adsorbed near the functional group.
(3) In inorganic pores, the gas-water distribution evolves from water-saturated to water-film during
the thermal evolution of shale. Residual liquid water may exist only in some micro-pores.

20
REFERENCES

Arthur MA, Sageman BB. Marine black shales: depositional mechanisms and environments of ancient
deposits[J]. Annual Review of Earth and Planetary Sciences, 1994, 22(1): 499–551.
Baruah B , Tiwari P . Compositional and kinetic study of thermal degradation of kerogen using TG-FTIR,
NMR, and microscopic study[J]. AIChE Journal, 2021.
Behar F, Vandenbroucke M, Teermann SC, et al. Experimental simulation of gas generation from coals and a
marine kerogen[J]. Chemical Geology, 1995, 126(3–4): 247–260.
Durand B. Kerogen: Insoluble organic matter from sedimentary rocks[M]. Editions technip,1980.
Flores RM. Coal and coalbed gas: Fueling the future[M]. Newnes,2013.
Gao Z , Xiong S . Methane Adsorption Capacity Reduction Process of Water-Bearing Shale Samples and Its
Influencing Factors: One Example of Silurian Longmaxi Formation Shale from the Southern Sichuan Basin
in China[J]. Journal of Earth Science, 2021, 32(4):946–959.
Helgeson HC, Richard L, Mckenzie WF, et al. A chemical and thermodynamic model of oil generation in
hydrocarbon source rocks[J]. Geochimica et Cosmochimica Acta, 2009, 73(3): 594–695.
Hu Y, Devegowda D, Striolo A, et al. Microscopic dynamics of water and hydrocarbon in shale-kerogen pores
of potentially mixed wettability[J]. SPE Journal, 2014, 20(01): 112–124.
Jarvie DM, Hill RJ, Ruble TE, et al. Unconventional shale-gas systems: The Mississippian Barnett Shale of
north-central Texas as one model for thermogenic shale-gas assessment[J]. AAPG bulletin, 2007, 91(4):
475–499.
Kellner E, Waddington JM, Price JS. Dynamics of biogenic gas bubbles in peat: Potential effects on water
storage and peat deformation[J]. Water Resources Research, 2005, 41(8).
Luo C, Zhang D, Zhao C , et al. Occurrence and distribution of moisture in gas shale reservoirs: a perspective[J].
Chemical Industry and Engineering Progress, 2019.
Müller EA, Hung FR, Gubbins KE. Adsorption of water vapor- methane mixtures on activated carbons[J].
Langmuir, 2000, 16(12): 5418–5424.
Seewald JS. Organic–inorganic interactions in petroleum-producing sedimentary basins[J]. Nature, 2003,
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geochemistry, 1990, 16(1–3): 1–25.

21
 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Study on optimal method of steel structure based on fuzzy level

analysis

Kai Zhang
State Grid Hebei Electric Power Co., Ltd., Hebei, Shijiazhuang, China

Zhengping Wang
State Grid Hengshui Electric Power Supply Company, Hebei, Hengshui, China

Da Xie
State Grid Hebei Electric Power Co., Ltd., Hebei, Shijiazhuang, China

Liya Chen & Duo Zhang

State Grid Hengshui Electric Power Supply Company, Hebei, Hengshui, China

ABSTRACT: Steel structure hoisting construction is a common construction type of substation

construction project. Influenced by various factors such as narrow construction site, high altitude
operation, high edge operation, and multi-work cross operation, to improve the safety and con-
struction efficiency of steel structure hoisting construction of the substation has become one of the
projects facing infrastructure projects of power grid enterprises. Based on the construction scheme
and the main procedure, the optimal evaluation method based on fuzzy level analysis is constructed
and the effectiveness of the model is verified with typical cases.

1 INTRODUCTION

Under the new situation, with the continuous advancement of China’s power system reform, and
while considering construction safety, strengthening the construction process management and
reasonably improving the construction efficiency of power grid construction projects is one of the
important ways for power grid enterprises to implement the development strategy of “improving
quality and efficiency”. By combing the relevant literature, scholars pay more attention to the
specific application of the construction technology of the power grid construction projects, while
the preferred evaluation of various construction schemes is weak.
Document (Liu et al. 2021) corrects the overall vertical lifting of the substation frame based on the
deformation load and completes the overall erection and hoisting of the substation frame. Document
(Liu et al. 2021) analyzes some of the key technical measures in the foundation construction of
the substation. Document (Wang et al. 2021) grasps the key points of civil construction in the
preparation stage, construction stage, and completion stage based on the whole cycle of civil
construction supervision, to provide an effective reference basis for the civil construction quality
control of the substation. Document (Wang 2021) analyzes the value of 4D construction simulation
in the substation construction management and deeply discusses the specific application path
of 4D construction simulation combined with the actual engineering cases. Document (Zhang
2021) combines actual engineering cases to analyze the specific application of BIM technology in
substation construction.

22 DOI 10.1201/9781003308584-4
2 ANALYSIS OF THE MAIN PROCEDURES OF THE SUBSTATION STEEL STRUCTURE
HOISTING CONSTRUCTION

(1) Preparation before steel column installation

1) First use a level to measure the elevation of each anchor bolt adjustment nut so that it is at the
same elevation position, and recheck the geometric dimensions of the steel column and the
position of the anchor bolts that have been present.
2) Square pipes and safety ropes are set on the top surface of the steel column for construction
personnel to hang safety belts.
3) Level the surface of the foundation and clean it up.
(2) Steel column installation: Column installation belongs to vertical hoisting.
To keep the hoisted column hanging down, the hoisting point is set at a reasonable position at
the column head. To prevent the sling from being damaged by the edges and corners of the column,
protection should be carried out at the lashing position of the sling of the column.
(3) Steel column correction
After the steel column falls to the elevation position, first tighten the anchor bolts, and then you
can relax the sling. Slowly adjust the anchor bolts and correct the verticality of the steel column
until the verticality of the steel column meets the requirements, then tighten the anchor bolts.
(4) Steel beam installation: While hoisting, use two-point symmetrical hoisting and installation.
After the steel beam is hoisted, it is slowly seated at 100mm from the base plane of the column.
After the steel beam is in place, the butt joint is adjusted and corrected, and then the high-strength
bolts are connected and fixed.
(5) Installation of high-strength bolt connection:
Install the high-strength bolts and tighten them twice. The initial tightening torque should be
50% of the final tightening torque. The tightening sequence of each group of high-strength bolts
should be tightened from the middle to the surroundings. The initial and final tightening should be
completed within 24 hours, and the final tightening should be marked. After the final tightening,
the exposed threads are 2 to 3 buckles. Torque inspection should be completed 1h after the final
tightening of the bolts and 24h before the final tightening of the bolts. The torque wrench used for
the inspection must be calibrated, and its relative error shall not be greater than ±3%.

3 CONSTRUCTION OF THE OPTIMAL EVALUATION MODEL FOR THE

CONSTRUCTION PLAN

3.1 Fuzzy evaluation model construction

The fuzzy comprehensive evaluation method is based on the membership principle of fuzzy math-
ematics and transforms the influence of multiple factors into a quantitative evaluation method.
The fuzzy comprehensive evaluation is used to obtain various expert attitudes and views of each
index on the distribution network construction effect, then quantify and synthesize these subjective
views, and finally connect the importance of the distribution evaluation, and determine the role
and value of the project based on obtaining a comprehensive evaluation value. The specific steps
of constructing the fuzzy comprehensive evaluation model are as follows:
(1) Construction and evaluation refer to the set (factor set U)
Evaluation factor set U is a hierarchical set of comprehensive evaluation metrics. Its first-level
index is:
U = {U1 , U2 , U3 , U4 , U5 } (1)
The corresponding secondary index are:


Ui = Ui1 , Ui2 , . . . , Uij (2)

In the formula, Uij is the j − th index of the i − th criterion layer.

(2) Create a comment set
23
 The comment set is generally a set of comments based on the evaluation results of multiple
experts according to the possible indicators of the distribution network project, establishing a set
of comments:
V = {V1 , V2 , V3 , V4 , V5 } = {Excellent, Good, Middle, Pass, Difference} (3)
(3) Determine the weight set
The first-level indicator weight set is:
W = {W1 , W2 , W3 , W4 , W5 } (4)
The secondary index weight set is:
W = {W1 , W2 , W3 , W4 , W5 } (5)
(4) Establish the evaluation membership matrix R:
⎡ ⎤ ⎡ ⎤
R1 r11 r12 ... r1n
⎢ R2 ⎥ ⎢ r21 r22 ... r2n ⎥
R=⎣ =
... ⎦ ⎣... ... ... ⎦
(6)
...
Rm rm1 rm2 ... rmn
Among them, Ri is the evaluation result of the i – th factor; rij is the degree of membership of the
i – th evaluation factor to the j – th evaluation level, which reflects the fuzzy relationship between
the evaluation factor and the evaluation level; m is the individual of the evaluated factor Number;
n is the number of evaluation grades in the review set.
(5) Secondary fuzzy comprehensive evaluation
First, perform the first-level fuzzy comprehensive evaluation. Using fuzzy algorithm, the index
weights obtained through the analytic hierarchy process are tested, the evaluation membership
matrix R is established, and the comprehensive operation and normalization are carried out to
calculate the membership vector Si of the factor clever to the comment set V .
⎡ ⎤
r11 r12 . . . r1n
⎢ r r . . . r2n ⎥
Si = Wi Ri = (Wi1 , Wi2 , . . . , Wij )⎣ 21 22
... ... ... ... ⎦
(7)
rm1 rm2 . . . rmn
The second step is to carry out the second-level fuzzy comprehensive evaluation on the basis of
the first-level fuzzy comprehensive evaluation. According to the principle of “fuzzy vector singu-
larization”, the total evaluation vector A is obtained, and the comprehensive evaluation conclusion
is obtained:
A=W • S (8)
Finally, to facilitate the comparison of the evaluation results, the above comprehensive evaluation
results are converted into component values, and take the evaluation grade score value as, and the
evaluation results are:
F =A • V (9)

3.2 Determination of the evaluation index weight based on the hierarchical analysis method
Hierarchical analysis (abbreviated AHP) is a way to express and process human subjective judg-
ment in quantitative form is an effective multi-standard decision-making method, is also the most
common method of subjective empowerment method, and is also an effective method for people
to make an objective description of subjective judgment.The basic principles of the hierarchical
analysis method are as follows:
(1) According to the importance scale theory, the evaluation index system is constructed as a
pairwise comparative judgment matrix A:
A = aij n×n
(i, j = 1, 2, · · · , n) (10)
24
(2) then normalizes the judgment matrix with the formula of:
n
āij = aij / akj (i, j = 1, 2, · · · , n) (11)
k=1

(3) Calculation of the index weight:

n
wi = w̄i / w̄i (i = 1, 2, · · · , n) (12)
i=1

(4) Finally, the consistency is judged. If it passes the consistency test, the results are valid, and the
results cannot be adjusted.

3.3 Construction of evaluation index system and weight calculation results

Combined with the actual characteristics of the steel structure hoisting construction of the substa-
tion, the preferred evaluation index system of the construction scheme is constructed from three
dimensions of resource input, construction safety and construction progress, and the evaluation
weight of each index is calculated according to the basic principles of the hierarchical analysis
method, as shown in Table 1 below:

Table 1. Evaluation index system and index weight.

Serial number First level indicator Weights Secondary indicators Weights

1 Resource input 0.4 Personnel input scale 0.1

2 Mechanical input scale 0.1
3 Cost and cost input scale 0.2
4 Construction safety 0.3 High altitude operation time 0.3
5 Schedule of construction 0.3 Total time of construction 0.3

4 EMPIRICAL ANALYSIS

In this paper, the steel structure project of the power distribution device room, guard room, and
pump room of a 220 kV substation of HS Electric Power Company were selected as the research
objects to carry out empirical analysis. It is known that the project is a new 220 kV outdoor GIS
substation, and the main areas of the whole station are power distribution device room, guard
room, and pump room. The power distribution device room and guard room are single-layer steel
frame structure, the foundation is independent foundation under the reinforced concrete column;
the pump room is divided into upper and lower floors, the underground part is reinforced concrete
cast-in-place structure, the ground is single-layer steel frame structure. Three construction schemes
are designed for the project, and the specific parameters of each construction scheme are shown in
the following table:

Table 2. Resource input of different construction schemes.

Economic High-altitude
Personnel Machinery investment working Construction
Scheme type (person) (Taiwan) (Yuan) time (day) period (day)

Traditional construction 5 1 24500 7 7

Parallel operation 10 2 24500 5 5
Parallel operation + 10 2 24500 4 4
running water construction

25
 Evaluation conclusion: After the above analysis, with the overall workload and the same process
installation efficiency, the three construction schemes are the same, the selected construction period
is the shortest, and the third construction plan (parallel + water) is the most reasonable.

5 CONCLUSION

Improving safety and efficiency is of great significance to improving the efficiency of construction
projects of power grid enterprises. Based on the hoisting construction situation of steel structure
of power grid enterprises, the construction scheme based on fuzzy level analysis can guide power
grid enterprises to improve the scientific rationality of construction scheme and decision, and then
improve the construction efficiency and efficiency level.

REFERENCES

Liu Daping, Zhang Jinfeng, Xie Dengke, Jin Jingzhou, Zhang Yanyan.Application of BIM technology in
substation construction [J].Smart Building and Smart City, 2021 (08): 150–151.
Liu Jun, Xie Dengke, Zhang Jinfeng, Chen Wave, Xu Li.Application of 4D construction simulation in
substation construction management [J].Smart Building and Smart City, 2021 (07): 155–156.
Wang Xuxu, Zhao Guanzhong, Li Ge. Research on the overall hoisting construction technology of the
substation framework [J].Management of China Electric Power Enterprises, 2021 (24): 86–87.
Wang Zhengtan. Exploration of 110kV Substation [J].Technology and Market, 2021, 28 (07): 185–186.
Zhang Xiaofen.Technical analysis of foundation construction in civil construction of substation [J].Jiangxi
building materials, 2021 (07): 141–142.

26
 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Sedimentary microfacies characteristics of undulating gentle slope in

the central part of block B on the right bank of Amu Darya

Huiping Xia
Geological Exploration and Development Research Institute, CNPC Chuanqing Drilling Engineering
Company Limited, Sichuan Province, P.R. China

Guangyao Wen
CNPC International (Turkmenistan) Amu Darya Natural Gas Company, P.R. China

Wenxin Ma
Geological Exploration and Development Research Institute, CNPC Chuanqing Drilling Engineering
Company Limited, Sichuan Province, P.R. China

ABSTRACT: The gas field in the central part of Block B on the right bank of Amu Darya has
entered the mid-to-late stage of development. This paper studies the characteristics of microbio-
logically bonded reservoirs of the undulating gentle slope in the gas field in the central part of
Block B, focusing on a series of reservoir characterization problems encountered in the efficient
development and sustained and stable production of the central gas field. It reveals different micro-
facies connotations formed by microbiological bonding on the undulating gentle slope in the central
part of Block B based on the combination of drilling core descriptions of 69 wells in the study
area, experimental analysis data of reservoirs, conventional logging and imaging logging data, well
test, and other production performance data. The paper also clarifies the rock structure, physical
properties and thickness of reservoirs controlled by microbiologically bonded mounds/shoals/reefs,
mound/shoal complexes and reef/shoal complexes and the distribution of existing reservoirs, guid-
ing well deployment, well trajectory optimization and producing well stimulation and laying a solid
foundation for stable and high production of the gas field in the central part of Block B.

1 INTRODUCTION

The central part of Block B on the right bank of Amu Darya has complex geological characteristics,
such as complex structure, diverse sedimentary facies belts, a great difference in tectonic stress
intensity, and deformed gypsum-salt rocks with a thickness of 1,400 m developed on the Callovian-
Oxfordian overlying strata (Wang 2014a, 2014b; Xu et al. 2015; Zhang et al. 2014). A series of
geological problems that restrict the high- and stable-production development of the gas field is
highlighted with the advancement of exploration and development and the gradual deepening of
gas field exploitation: ① The central part of Block B is an undulating gentle slope zone, where the
sedimentary water body and sedimentary environment are quite different from those on the gentle
slope on the margin of the classical carbonate platform. The types and characteristics of sedimen-
tary microfacies in reservoir development are formed by low-energy microbiological bonding. The
microfacies formed by microbiological bonding have a significant influence on reservoir devel-
opment (Bao et al. 2013; Deng et al. 2010; Dong et al. 2010; Fei et al. 2010; Gu 2009; 2005).
Clarifying the types and characteristics of microfacies formed by microbiological bonding in the
study area is of vital practical significance to the clarification of reservoir development models and
the meticulous depiction of the internal structure of gas deposits in the study area. ② The reservoir
microfacies in the study area are developed in various forms. Microbiologically bonded microfacies

DOI 10.1201/9781003308584-5 27
with different morphological characteristics directly control the rock structure and physical proper-
ties of the reservoir, increasing the difficulty in understanding the internal structure of gas deposits
and gas well stimulation. Defining the reservoir characteristics controlled by different microfacies
and finely identifying the reservoir development model controlled by different microbiologically
bonded microfacies can help to guide the deployment of prolific wells and gas well stimulation
effectively.

2 SEDIMENTARY LITHOLOGY AND PALEONTOLOGICAL ASSEMBLAGE

CHARACTERISTICS

A set of marine carbonate rocks was deposited on the right bank of Amu Darya in the mid-late Juras-
sic Callovian-Oxfordian period. The rock types are dominated by pure limestone, including a small
amount of calcareous dolomite, dolomitic limestone, and gypsum and occasionally interbedded
with thin-layer mud shales and silty mudstone (Lu et al. 2011; Xu et al. 2012; Zhang et al. 2010).
According to the limestone structure and genetic classification, the limestone on the right bank of
Amu Darya can be divided into sparry grainstone, biohermal limestone, micrite-microcrystalline
grainstone formed by microbiological bonding, micrite, and other rocks.
(1) Microcrystalline-sparry grainstone
The microcrystalline-sparry grainstone developed on the right bank of Amu Darya (J2k-J3o) can
be subdivided into microcrystalline-sparry calcarenite, microcrystalline-sparry bioclastic lime-
stone, and sparry oolitic limestone. The particle content in the rock is more than 50%, and the
particles are cemented by or filled with minerals dominated by sparry calcite. It can be fur-
ther subdivided into sparry oolitic limestone, sparry bioclastic limestone, and sparry calcarenite.
Ancient organisms mainly include brachiopods, foraminifera, rudistids fragments, echinoderms,
lamellibranchia, and other sessile benthos with strong wave resistance (Figure 1 (A)).
(2) Skeletal reef limestone
The biohermal limestone developed on the right bank of Amu Darya (J2k-J3o) is skeletal bio-
hermal limestone constituted by organic skeletons with strong wave resistance and an in situ sessile
growth state. Main reef-building organisms include colonial corals, calcareous algae, foraminifera,
bryozoa, stromatoporoid, sponge, and rudistids, etc. Symbiotic organisms include gastropods,
brachiopods, echinoderms and lamellibranch, etc. (Figure 1(B)).
(3) Micrite-microcrystalline grainstone formed by microbiological bonding
The rocks can be further divided into clotted rocks, laminated microbialite, microbiologically
bonded pelleted limestone, oncoid grainstone, microbiologically bonded calcarenite, and microbi-
ologically bonded bioclastic grainstone, etc. (Figure 1(C, D)) by lithological and paleontological
assemblage characteristics based on the identification of rock slices. The particles are supported
by micrite-microcrystalline calcite. The microbiologically bonded bioclastic limestone formed by
microbiological bonding can be found to have large individual fragments, such as brachiopods,
gastropods, sea lilies, monacyine, hexactinellid spicule, bryozoan, and crescent-shaped ostracods
and be mixed with small thin-shell ostracodes and spherical organisms and mixed sediments, such
as arenaceous particles under the action of microbiological bonding.
(4) Granular/granule-bearing micrite:
Granular/granule-bearing micrite is developed on the right bank of Amu Darya (J2k-J3o), with
the total content of rock particles ranging from 25% to 45%. Marl is the main component, which
constitutes granular/granule-bearing micrite. The rock can be found to have some arenaceous
particles, bioclasts, and other particles. The bioclasts are promiscuous and rich in types. There
are not only organisms that grow in the shallow water environment, such as foraminifera, sea
lilies, lamellibranch, brachiopods, and gastropods, but also organisms that grow in the deep-
water environment, such as spherical organisms and thin-shell ostracodes. This type of rock
is common on the shoal edge, between mounds and shoals and between reefs, with abundant
particle types. Granular/granule-bearing micrite mainly includes bioclastic micrite/arenaceous,

28
micrite/pelmicrite, and bioclast-bearing micrite/sand-bearing micrite/spherulite-bearing micrite
(Figure 1(E)).
(5) Micrite
It is formed in an undisturbed sedimentary environment and distributed in different areas within
the work area. The rock is mainly gray-dark to gray and medium- to thin-layered, including thick-
layer massiveness. It has dense lithology, with almost no or a small number of biological bone
fragments and occasional foraminifera, sponge spicule, bivalves, echinoderm fragments, algae sand
fragments, etc. Micro-pressure solution stylolite and many calcites can be seen to fill micro-fracture
structures (Figure 1(F)).
(6) Other rocks
Dolomite includes micrite-microcrystalline dolomite and calcareous dolomite, among which
Jurassic limestone is developed in the whole region and dolomite, and gypsum-salt rocks are only
found in local drilling.
Dolomitic limestone mixed with calcite dolomite: dominated by microcrystalline-crystal powder
dolomitic limestone and calcite dolomite (Figure 1(G)). Replacement of calcite by crystalline-
granular dolomite or filling of intergranular dissolved pores with crystalline-granular dolomite can
be seen in slices. This type of rock is developed in a small amount in the local upper stratum of
XVac in the area west of Samandepe.
Anhydrite rock: This type of rock is thin layered at the bottom and top of XVac west of
Samandepe, with a thickness of 1.5 m ∼ 6 m. It is an important sign that the sedimentary environ-
ment has arid and hot climate conditions and belongs to the sedimentary product of the evaporitic
environment (Figure 1(H)).

Figure 1. Sections for sedimentary lithology in Amu Darya region.

A. Sparry bioclastic limestone, whose bioclasts are mainly formed by rudists, echinoderms, and
brachiopods, belongs to foraminifera. Well Ber-22, XVhp layer, 2398.4-m depth, cast thin section
(-); B. Sponge reef limestone, well Sam 53-1, XVm layer, 2459.42-m depth, cast thin section
(-); C. Clotted limestone, well Shi-21, 3605.1-m depth, cast thin section (-); D. Microbiologically
bonded bioclastic limestone/spherulite/calcarenite. Well Shi-21, 3603.3-m depth, cast thin section
(-); E. Micritic bioclastic limestone, with spicules, foraminifera, crinoids, limbs, and coquina in
its bioclasts. Well Pir21, XVa1 layer, 3186.82-m depth, cast thin section (-); F. Micrite, dissolution
seam-filled sparry calcite. Well Cha-21, XVp layer, 2400.65-m depth, cast thin section (-); G.
Calcareous dolomite. Well Gad-21, common thin section (-); H. Calcareous gypsum-salt rocks.
Well Gad-22 with 2151.9- m depth, common thin section (-)

29
3 CHARACTERISTICS AND DISTRIBUTION OF SEDIMENTARY MICROFACIES

According to the detailed study on the lithology of 69 drilling wells on the right bank of Amu Darya,
the right bank of Amu Darya was a gentle carbonate slope environment on the middle-lower Jurassic
transitional sedimentary background in the Callovian period, with inner, middle, and outer gentle
slopes developed. The sedimentary characteristics in the Callovian period were inherited in the
Oxfordian period, with carbonate evaporitic-restricted platform, open platform, platform margin,
and undulating gentle slope developed and local basin environment in the Beshkent depression belt.

3.1 Characteristics of sedimentary microfacies in the Callovian period

The coring of 16 wells in the study area from the Callovian stratum reveals that the Chaerjur Uplift
Belt is an inner gentle slope facies belt dominated by ash flat and lagoon gypsum-bearing limestone
deposits, with ash flat and lagoon microfacies developed. Its lithology is generally dense, and the
reservoir is hardly developed. Gadian-Kish Tufan from the Chaerjur Uplift belt to the Denkizkur
Uplift is an inner belt of a middle gentle slope, which is dominated by ooid, arenaceous shoal and
inter-shoal microfacies. East Samandepe-Yashyldepe-Soltan in the Denkizkur Uplift is a middle
gentle slope belt, dominated by middle- and low-energy bioclastic shoal microfacies. The Sandykly
Uplift and the area along the Beshkent depression belt are outer belts of middle gentle slope, located
near the normal wave base, with the development of bioclastic and arenaceous shoal microfacies and
local development of reef facies with bioclastic/rudaceous rocks as reef base and bind-baffle stones
as reef core. The area from the Beshkent depression belt to the south of the front belt of Kisar Moun-
tain is an outer gentle slope facies belt, which is dominated by middle- and low-energy granular
mud and marl mound microfacies. The local area south of the Beshkent depression is a basin.

3.2 Characteristics of sedimentary microfacies in the Oxfordian period

The area on the right bank of Amu Darya in the Oxfordian period is developed in the background of
Callovian carbonate rocks. According to the drilling lithology, logging data, and paleogeomorphic
features, there are 13 microfacies, namely lagoon, ash flat, sabkha, sparry oolitic shoal, sparry
arenaceous shoal, sparry bioclastic shoal, platform margin skeletal reef, microbiologically bonded
reef/mound, point reef, microbiologically bonded reef-shoal complex or microbiologically bonded
mound-shoal complex, mound/inter-shoal, marl mound, and marl (Liu et al. 2012; Wang et al.
2012, 2013; Zhang et al. 2004; Zheng et al. 2010, 2012, 2013).
① Lagoon, ash flat, and sabkha microfacies
Sedimentary lithologies of the lagoon and ash flat microfacies in the study area include gypsum-
salt rocks, dolomitic limestone, calcareous dolomite, and micrite limestone, which are pure and
free of bioclasts, sand, and other particles. They are typical microfacies types developed in the
evaporitic-restricted environment.
② Sparry oolitic granular shoal microfacies
Sedimentary lithologies of the sparry oolitic granular shoal microfacies in the study area are
dominated by pure oolitic grainstone, with oolitic grainstone mixed up with or containing are-
naceous particles developed only in some well sections. There are no bioclastic particles. The
particles are cemented by or filled with sparry calcite. Microfacies is a typical sedimentary micro-
facies type developed on restricted platforms, open platforms, high-energy shoals, and platform
margin shoals. However, the oolitic shoal particles developed on restricted platforms are cemented
by or filled with sparry calcite. The oolitic granular shoal developed on open platforms is mixed up
with a small number of arenaceous particles. The oolitic shoal particles developed in the platform
margin zone are featured with equal-thickness rim calcite cement, and some residual pores show
the characteristics of dolomite filling early pores after calcite metasomatism.
③ Sparry arenaceous shoal
Sedimentary lithodologies of the sparry arenaceous shoal microfacies in the study area include
sparry calcarenite, sparry bioclastic calcarenite, and sparry oolitic calcarenite. According to the

30
petrologic and paleontological assemblage characteristics, it is a type of microfacies widely devel-
oped on restricted and open platforms and in platform margin facies belts. Lithologic particles in
arenaceous granular shoals developed on restricted and open platforms are cemented by or filled
with sparry calcite. The types, characteristics, and cementation period of intergranular cement in
arenaceous granular shoals in the platform margin belt are more complicated compared to restricted-
open platforms. The cement is multigenerational, and arenaceous particles have good roundness
but are poorly sorted, reflecting the experience of strong hydrodynamic transformation. The cement
in arenaceous particle shoals within restricted-open platforms do not show significant multigenera-
tional features. In particular, there are a small number of bioclasts in arenaceous shoals within open
platforms, and the arenaceous particles have general roundness and relatively poor sorting. In arena-
ceous granular shoals developed on restricted platforms, arenaceous particles have good roundness
and sorting as the single-well lithologic development law reveals that arenaceous granular shoals
are developed alternately with oolitic granular shoals and are free of bioclastic particles.
④ Sparry bioclastic shoal
Sedimentary lithologies of the sparry bioclastic granular shoal microfacies in the study area
include sparry bioclastic limestone and sparry arenaceous and bioclastic limestone. Bioclasts,
including gastropods, brachiopods, foraminifera, ostracodes, and sea lilies, etc., are mixed sed-
iments of various benthonic and sessile biotypes growing in the shallow water environment and
are microfacies types widely developed on open platforms or in platform margin facies belts with
strong photosynthesis and sufficient oxygen. However, it is obvious that intergranular cement in
bioclastic shoals developed in platform margin facies belts is highly developed and shows the
features of variety and multigenerational structure.
⑤ Skeletal reefs
The sedimentary lithologies of skeletal reefs in the study area are mainly colonial corals, cal-
careous algae, foraminifera, bryozoan, stromatoporoid, sponge, rudistids, etc., which form the
stromatoporoid, bryozoan, rudistids, coral, and sponge reefs. The reef base and cover are supported
by the structure of bioclastic and arenaceous particles, and the reef core has typical characteristics
of skeletal reef rocks. Skeletal reefs are widely distributed in the study area, extending by a few tens
of kilometers to 100 km. The uplift amplitude of reefs ranges from a few tens of meters to 200 m.
⑥ Point/tower reefs
Compared with skeletal reefs, point reefs in the study area have simple lithologic structures,
mainly including bryozoan limestone, sponge reef limestone, dendritic algal limestone, and tuff.
They are greatly different from skeletal reefs regarding the seismic reflection feature and are finger-
like in seismic profile. Their distribution range is obviously smaller than that of skeletal reefs. The
uplift amplitude of point/tower reefs is generally 60 m∼100 m, and the distribution range of reefs
is generally 0.5 km∼10 km.
⑦ Microbiologically bonded reefs/mounds
Sedimentary lithologies of microbiologically bonded mounds/reefs in the study area are the corre-
sponding lithologies formed by microbial action, including clotted limestone, microbial laminated
limestone, and microbiologically bonded pelleted limestone mixed up with bryozoan limestone
and sponge reef limestone, generally reflecting that the sedimentary water body is deeper and more
undisturbed than the platform margin reef water body and is a sedimentary environment appropriate
for the growth of a large number of microorganisms. A small number of rocks have the characteris-
tics of alternating light and dark laminae under the action of microbial growth and adhesion. Marls
in the enclosed seawater develop spherulitic and oncoid grain structures under hydrodynamic con-
ditions with medium- and low-energy fluctuation. Meanwhile, a small number of bioclasts can also
be seen. Microbiologically bonded reefs are annular, banded, and cloddy, with the uplift amplitude
generally ranging from 60 m to 100 m and the distribution range from 20 km to 80 km.
⑧ Microbiologically bonded mound/reef-shoal complexes
Sedimentary lithologies of microbiologically bonded reef-shoal complexes or mound-shoal com-
plexes in the study area are generally dominated by microbiologically bonded pelleted limestone,
oncoid limestone, microbiologically bonded calcarenite, microbiologically bonded bioclastic
limestone, and microbiologically bonded sand-bearing/bioclast-bearing limestone.

31
 In the microbiologically bonded mound-shoal complex microfacies, microbiologically bonded
arenaceous granular micrite, bioclastic limestone, sand-bearing micrite, and bioclast-bearing
micrite are dominant, which are mixed up with some clotted limestone, microbiologically bonded
pelleted limestone, and oncoid limestone, etc. Marl and granule structures play the dominant role.
The size of microbiologically bonded mound-shoal complexes generally ranges from 20 km to 100
km, and the uplift amplitude ranges from 60 m to 100 m.
⑨ Inter-mound/inter-shoal
Inter-mound/inter-shoal microfacies in the study area are mainly developed in various granular
shoal distribution areas. Sedimentary lithologies of the inter-shoal microfacies in the sparry granu-
lar shoal development zone are dominated by microcrystalline-sparry arenaceous/bioclastic/oolitic
granular micrite, microcrystalline-sparry sand-bearing/bioclast-bearing/ooid-bearing granular
micrite and micrite. The bioclastic particles or fragments in the rocks are large. The inter-mound
microfacies in microbiologically bonded reefs/mounds are dominated by sand-bearing/bioclast-
bearing/spherulite-bearing/oncoid-bearing granular micrite and micrite. The bioclastic particles in
rocks are mainly fragments, and thin-shell bioclasts and spherical organisms are locally enriched.
On the whole, sedimentary lithologies of the inter-mound/inter-shoal microfacies have low particle
contents, in which a small number of bioclastic fragments growing in the shallow water environment
and a considerable part of bioclasts deposited in the deepwater environment can be seen, reflecting
a deep and undisturbed slope/gentle slope sedimentary environment of the sedimentary water body.
➉ Marl mounds and marls
Sedimentary lithologies of the marl mound microfacies in the study area are dominated
by micrite-microcrystalline calcite support, containing a small number of bioclasts, sand, and
spherulites, with a small distribution range and uplift amplitude. Such rocks have a small
development thickness in single wells, generally ranging from several meters to about 10 m.

4 IDENTIFICATION OF MICROBIOLOGICALLY BONDED MICROFACIES ON AN

UNDULATING GENTLE SLOPE

4.1 Seismic response model of microbiologically bonded mounds/reefs/shoals

A seismic response model corresponding to the identification of the top boundary of
mounds/reefs/shoals is put forward by an organic combination of geology-logging-seismic facies
according to the morphology and logging response characteristics of microbiologically bonded
mounds/reefs, microbiologically bonded mound/reef-shoal complexes, and point/tower reefs in the
medium- and low-energy undulating gentle slope belt on the right bank of Amu Darya.
(1) Seismic response model of the top boundary of microbiologically bonded mounds/reefs
When the mudstone in the Gap stratum is of medium thickness and the top reservoir of XVhp
has general physical properties, the reflected energy with the overlying gypsum is weak, and the
top boundary of carbonate rocks is located near the zero point on the upper edge of the peak. Taking
Well Y-22 as an example, the top boundary of carbonate rocks is positioned at the upper edge of
the peak. The top reservoir of XVhp has general physical properties, and the reflection with the
overlying stratum is weak. The top boundary of carbonate rocks is near the zero point on the upper
edge of the peak (Figure 2).
(2) Seismic response model of the top boundary of microbiologically bonded mound/reef-shoal
complexes
T14 seismic reflection interface and the overlying gypsum form strong peak reflection char-
acteristics when the mudstone in the Gap stratum is of large thickness and the top reservoir
of XVhp is undeveloped. Taking Well B-2 as an example, the top boundary of carbonate
rocks is a strong peak. GAP is 26-m thick, which forms peak reflection with carbonate rocks
(Figure 3).

32
Figure 2. Synthetic record of well Y-22 and zero-phase seismic reflection feature at the upper edge of the
peak.

Figure 3. Synthetic record of well Ber-2 and significant peak seismic reflection feature.

(3) Seismic response model of the top boundary of point/tower reefs

When the mudstone in the Gap stratum is thin and the top reservoir of XVhp has good physical
properties, the T14 seismic reflection interface is characterized by high impedance and strong
reflection coefficient, and strong trough reflection is formed with the overlying gypsum. Taking
Well O–21 as an example, the Gap mudstone is thin, and the top reservoir of XVhp has good
physical properties. A strong trough reflection is formed with the overlying gypsum, and the top
boundary of carbonate rocks is positioned near the trough (Figure 4).
Further research shows that the development of point reef gas reservoirs is related to structural
highs. Meanwhile, the target stratum is obviously thickened, and the lateral Augen reflection
features are clear.

33
Figure 4. Synthetic record of well O-21 and significant through seismic reflection feature.

4.2 Comprehensive identification technology for microbiologically bonded mounds/reefs/shoals

The comprehensive identification method (Figure 5) formed based on the special seismic reflection
structure characteristics of reefs and shoals is as follows:

Figure 5. Seismic identification method of reef flat.

(1) Thickness identification (flat bottom and convex top)

Influenced by paleogeomorphology, the favorable position for the preferential growth of reefs
and shoals is paleogeomorphologic highs in relatively deepwater areas. The development of reefs
and shoals greatly thickens the stratum, which is higher than other sediments in the same period
and presents mound-like uplift features. Therefore, we can find the thickness abnormality of
sedimentary strata based on the seismic profile so as to identify reefs and shoals.

34
 (2) Identification of seismic facies
In practice, seismic attributes sensitive to related geological bodies are often used to characterize
them. For the study area, the attributes such as root mean square, coherence, and wave impedance
were extracted with the Callovian-Oxfordian top boundary (T14) as the reference level, and the
attribute sensitivity was analyzed based on the actual drilling data so as to determine the seismic
attributes sensitive to reefs and shoals, analyze their distribution qualitatively, and characterize the
boundary of reefs and shoals.
(3) Indirect identification with the salt thickness (plastic flow barrier)
The carbonate rocks in the study area are covered with a very thick plastic salt-gypsum stratum,
which forms two slip surfaces with the Cretaceous above and carbonate rocks below. Plastic flow
occurs under the action of the east-west compressive and torsional stress of neotectonic orogeny.
The salt rocks flow to both sides due to the barrier of reef uplift, making the lower salt layer
greatly thinned at the reef development site and abnormally thickened on both sides and forming
an “Augen” structure (Figure 6). The distribution of reefs and shoals can also be predicted indirectly
through the identification of the feature.

Figure 6. Plastic deformation mechanism of gypsum-salt layer.

4.3 Comprehensive identification effect of microbiologically bonded mounds/reefs/shoals

A total of 86 reefs and shoals with an area of more than 1 km2 were identified in the Callovian-
Oxfordian stage in the study area, with a total area of 487.5 km2 . The data derived from fine
structural interpretation of the seismic data, determination of the seismic response characteristics
of organic reef and shoal reservoirs based on the forward modeling analysis, and extraction of
various seismic attributes such as time difference, root mean square amplitude, wave impedance,
and waveform based on the deformation characteristics of the overlying plastic salt-gypsum stratum.

35
A total of 24 prospecting wells and development wells were deployed in the central part of Block B
according to the identification results of reefs and shoals. In 22 wells of them, reefs and shoals were
drilled, and gypsum-salt interlayers before deformation were produced at a high yield to obtain the
gas, with a success rate of 91.67% and a good development effect.

5 CONCLUSION

(1) A set of marine carbonate rocks was deposited on the right bank of Amu Darya. The rock
types are dominated by pure limestone, including a small amount of calcareous dolomite,
dolomitic limestone, and gypsum and occasionally interbedded with thin-layer mud shale and
silty mudstone.
(2) The right bank of Amu Darya was a gentle carbonate slope environment on the middle-lower
Jurassic transitional sedimentary background in the Callovian period, with inner, middle, and
outer gentle slopes developed. The sedimentary characteristics in the Callovian period were
inherited in the Oxfordian period, with carbonate evaporitic-restricted platform, open platform,
platform margin, and undulating gentle slope developed and local basin environment in the
Beshkent depression belt.
(3) A superposition model of salt-gypsum rocks and carbonate rocks is established. A set of
supporting technology for comprehensive identification of reefs and shoals on gentle slopes
underlying salt gypsum rocks is developed by using continuous high-precision 3D seismic
data based on the paleogeomorphic background of the development of mounds/reefs/shoals,
with the morphological characteristics, thickness abnormality, and internal reflection features
of mounds/reef/shoals as the core and with the top boundary reflection characterization of
carbonate rocks and the deformation features of overlying salt-gypsum rocks as the clue.

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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Analysis of the development characteristics and stability of a concealed

karst cave under Chongzun Expressway cutting slope

J.J. Wang, K. Wu, M.L. Yang, M.S. Ye, Q. Liu, C. Yao & M.J. Mao
Geophysical Exploration Brigade of Hubei Geological Bureau, Wuhan, China
Hubei Shenlong Geological Engineering Investigation Institute Limited Company, Wuhan, China

ABSTRACT: During the construction of Chongzun Expressway, an extra-large cave was found
underneath the cutting slope. The cave is about 150 m long, with an average width of about 30m
and a volume of 60,000 m3 , which has a large impact on the stability of the roadbed. In this paper,
we analyzed the development characteristics, causes and evolution process of the cave through
geophysical exploration. On this basis, we further explored how the cave will affect the stability of
the cutting slope, thereby proposing relevant suggestions for environmental governance.

1 INTRODUCTION

Carbonate rocks are widely distributed in the mountainous areas of southwest China, belonging to
a typical karst-developed area (Guo et al. 2020; Xu et al. 2020). Karst geology is characterized by
concealment, uncertain location, and varying size, and can have many adverse effects on engineer-
ing design and construction (Chen et al. 2010; Li et al. 1990; Yin et al. 2021). Therefore, during
road construction in karst areas, serious consequences, such as delay in schedule and casualties,
may cause, if they are not handled properly.
Chongzun Expressway of Guizhou is located at K104+960 section, with a deep cutting slope.
During road construction, a large karst cave was found under the cutting slope, with a total length
of about 150m, an average width of about 30m and a volume of about 60,000m3 . In this paper, the
causes and the evolution of the karst cave were analyzed first, and the stability was then evaluated
through a systematic study of geological conditions and the characteristics development. Finally,
corresponding suggestions for the treatment were put forward, with a view to providing a reliable
basis for constructing roadbed.

2 GEOLOGICAL CONDITIONS OF KARST

2.1 Geological conditions

The roadbed area belongs to the peaks and valleys of dissolution landform area, and the proposed
roadbed passes through the steep slope of the hillside slope, with slightly dense vegetation on
the slope. The stratigraphy at the roadbed consists of the quaternary residual and slope sediments
(Qel+dl ) with breccia-included silty clay, the second section of Yelang Formation (T1 y2 ) and cave
fillings (such as clays, gravelly soils, breccia soils, hard-plastic pebbly silty clay), flanked by the
first section of Yelang Formation (T1 y1 ) with marls, Changxing Formation (P2 c) with limestones.
The cave is developed in the second section (T1 y2 ) of the Yelang Formation.
There is a small fold and fault developed at the ceiling of the cave. The fault is right-lateral (Li
2020; Li & Ren 2009), which is inactive, with a more developed traction structure and obvious
bending. Affected by the fault, the ceiling of the cave has developed many fissures. In master cave,
fissures mainly distribute in the middle, while in the branch of master cave, fissures were mostly

38 DOI 10.1201/9781003308584-6
found in the north-west side, where water is seeping out of some of their part. The collapse area also
distributed here. Besides, the accumulated debris at the bottom of the cave shows the development
of calcite veins in the rock formation, with individual calcite vein up to about 1cm wide.

2.2 Hydrogeological conditions

Surface systems in the cave is not developed. Surface water is mainly temporary surface flow
formed by atmospheric precipitation, partly infiltrated along the fissures at the ceiling of the cave
(Li et al. 2019; Wang et al. 2016; Zhang & Sun 2005). Surface water is mainly discharged downhill
and along the wide washout on the left side of the route to the lowlands (south-north direction),
and is then transferred to the ground through sink holes (Figure 1).

Figure 1. Schematic diagram of geological conditions in karst cave.

A certain amount of pore stagnant water is endowed in the pores of fillings such as block gravel
and gravelly clay in the cave, and the water level of gravelly clay is generally buried 0.6∼1.5m
below the bottom of the cave as revealed by the probe slot, mainly due to the rapid replenishment
of at the ceiling of the cave and the stagnant water of borehole circulation, which will further
infiltrate into the lower cave fillings with time, and then slowly infiltrate into the rock joint for
dissipation. After long-term observation of the water level in the borehole, it is found that the water
level in crushed stones is generally buried at a depth of 14.4 to 32.3m below the cave floor and at
an elevation of 865.5 to 890.5 m, with varying depths, and the overall dissipation of pore stagnant
water is slow.

3 MORPHOLOGICAL CHARACTERISTICS

3.1 Horizontal distributions of karst cave

The karst cave is located in the middle of the roadbed, forming by the combination of the master
cave and the branch cave extending in two directions. The entrance of the master cave is located at

39
10.8m left of K104+960, with a length of about 120m, a width of 15.0m and a height of 1.5m. The
direction of the cave is 230◦ and the master cave ends at 16m right of K105+074. The widest part
of the cave is located at K104+990m section, with a width of about 45m and a dome shape at the
ceiling, with a height of about 18.5m. At mileage K104+983.4 14.4m on the right, there is a branch
cave with a 25-meter-wide entrance. The total length of the cave is about 150m, the average width
is about 30m, and the volume is about 60,000m3 . Its plane morphology is shown in Figure 2.

Figure 2. Outline of the karst cave (m).

3.2 Distribution characteristics of the vertical profile of karst cave

The ceiling of the cave is dome-shaped, and the surrounding rock is medium-weathered tuff with
complete rocks, and the ceiling of the cave is partially karsted (i.e., stalactite area with fissure
development); the middle is the karst cave, and the surrounding rocks on the left and right sides
of the cave are complete medium-weathered tuff; the bottom of the cave is are some fillings. The
bottom plate of the cave tends to be in the direction of the drainage valley, and the maximum
thickness of the cave fillings at the bottom of the cave is 35.8m. Another cave is developed in the
tuff and karstified tuff under this cave fillings. Its diameter is 3.90–13.90m, and it is fully filled
with soft plastic clay. The cave mainly accepts the infiltrated groundwater from the upper cave
fillings, which helps make the lower part of the fillings in a saturated state for a long time.

4 FORMATION MECHANISM AND GENETIC ANALYSIS OF KARST

4.1 Evaluation of cave stability

Under the influence of atmospheric rainfall, a small amount of seepage water falls into the cave
from the fissure of the cave roof, which has little impact on the cave after interception and drainage.
It is an ancient karst cave, and the surrounding groundwater has little influence on it. A certain
amount of pore stagnant water exists in the pores of the karst cave filling, which is not easy to
dissipate, but the amount of water is not large and can be treated. The top of the cave only drips and
seeps water, and there is no stream-like flow of water, indicating that the infiltration of precipitation
is limited and has little impact on the stability of the cave. The karst cave is choked with thicker
karst cave fillings, the upper part contains soft plastic crushed stone clay, loose-slightly dense rock
piles, and the local area has large rocks, with complex composition. Most of the bedrock under the
floor of the cave has been dissolved and developed karst caves, and the undulating surface of the
bedrock is large.

40
 The groundwater runoff area in the karst cave has a small catchment area, the groundwater level
is below the cave body, and only a large amount of water passes under the cave body during the
flood period. The bottom of the cave is filled with sediments, with a thickness of 10-20m, mainly
collapsing rocks, and cohesive soil locally, which has a strong water-passing capacity. The top
of the cave is dome-shaped, which is conducive to the self-stabilization of the roof. The vertical
fissure-dissolution gap of the surrounding rocks of the cave is developed. There will be seepage,
dripping or small streams of water on the roof of the cave. On the whole, it is relatively stable in a
natural state.
The roof of the cave is dome-shaped, and the rock mass is relatively complete. Only the stalactite
area develops karst limestone rock mass that is relatively fragmented, and the roof develops vertical
fissures. The factors affecting the stability of the karst cave roof mainly include the thickness of
the roof, the shape of the roof (flat and arched), the integrity of the roof, and the length of the
building across the cave. The karst cave roof rock layer is relatively complete, the karst cave is
nearly horizontal, and the karst cave roof can be controlled by “thickness-to-span ratio (the ratio
of the thickness of the karst cave roof under the floor of the building to the length of the building
across the karst cave)”. According to the Technical Guidelines for Geological Survey of Highway
Engineering in Karst Areas (issued by the Department of Communications of Guizhou Province),
through engineering analogy, in the lightly weathered hard rock, the thickness-span ratio of the roof
is close to 0.5 or greater than 0.5, that is, the foundation is considered to be stable and safe (Wu 2019).
According to the design elevation of the subgrade slab, combined with the thickness of the cave
roof, the safe thickness area of the cave roof is divided according to the thickness-span ratio of 0.5.
Area A is the area with thickness-span ratio ≥ 0.5, area B is the area with thickness-span ratio <
0.5, K104+980.4 ∼K105+038.4 section is the area that needs to be processed in area B (Figure 2).

4.2 Suggestions on treatment measures for karst caves

Setting support in the cave is equivalent to reducing the span of the cave, but it will increase the
strength requirements of the foundation soil for the supporting foundation. In addition, in view
of the large thickness of the filling in the karst cave, the large undulation of the bedrock surface
of the karst cave floor, and the development of karstified limestone, it is appropriate to choose a
stable bedrock layer for the bearing layer of the pile foundation under the column, and the cavern
block soil and rock pile will cause some difficulties to the construction of the pile foundation. The
advantage of this method is that the roof trauma is small, which is beneficial to the integrity of the
roof and controlling the construction quality; it does not change the inlet and drainage channels of
the cave and has little impact on the drainage system in the cave.
The length and span of the karst cave in zone B to be treated are large, and the construction of
wide and thick beams is difficult. The construction blasting will also have a certain destructive effect
on the strength of the roof rock mass. From the analysis of the force mode, the synchronous force
of the concrete slab and the roof is in need of special structural measures, so it is not appropriate
to use the beam-slab spanning method alone.
Taking into account long-term stability, landfill is recommended. The karst cave has been filled
up, and the roadbed has been constructed. According to the monitoring results, no uneven settlement
has been found.

5 CONCLUSIONS

In this paper, the development characteristics and genetic mechanism of karst caves are compre-
hensively analyzed and studied from the aspects of geometric shape, material composition, and
formation conditions of karst caves, and the following conclusions are drawn:
(1) The karst cave is formed by connecting and connecting the main and branch karst caves in two
directions; the center of the main cave entrance is located 10.8m from the left of K104+960,

41
 the total length of the karst cave is about 150m, the average width is about 30m, the volume is
about 60000m3 , and the karst cave is 230◦ in direction. The widest part of the karst cavity is
located at K104+990m, with a width of about 45m and the height of the cave cavity is about
18.5m. There is a branch cave at 14.4m to the right of mileage K104+983.4.
(2) The surrounding rock of the karst cave is limestone, and the bottom of the karst cave is choked
with thicker karst cave fillings. The surface layer of the karst cave filling is soft plastic crushed
stone clay, the middle layer is slightly dense rock soil and breccia soil, and the bottom is soft
plastic crushed stone. The lower part is mostly karstified limestone, and the bedrock has a
large undulating surface.
(3) According to the thickness-span ratio of 0.5, the safe thickness area of the roof of the cave is
divided. Area A is the area with a thickness-span ratio ≥ 0.5, and area B is the area with a
thickness-span ratio < 0.5. Aera B is the unsafe thickness area of the karst cave roof and needs
to be treated by means of packing to ensure the safety of highway operation.

REFERENCES

Chen Z.H. & Chen Z.H., etc. (2010). Karst development regularity controlled by geological structure in
Wushan mineral area[J]. Geotechnical Investigation & Surveying, 08:44–48.
Guo D.T. & Zhou C.Y., etc. (2020). Experimental study on the Karst area fracture zones of the synthesizing
geophysical methods[J]. Geotechnical Investigation &Surveying, 09:30–34.
Li B. & Fan Q.Y., etc. (2019). Analysis on Roof Stability of Karst Cave in Karst Areas[J]. Chinese Journal of
Rock Mechanics and Engineering, 21(4):532–536.
Li J. (2020). Study on shear strength test methods of complex layered rocks[J]. Geotechnical Investigation &
Surveying, 09:30–34.
Li P. & Ren H.Z. (2009). Gravity dam deep anti-slip stability analysis of the rigid limit balance method [J].
Shanxi Architecture, 31.
Li Z.Y. & Wang Z.J., etc. (1990). Foundations of Engineering Geology. China University of Geosciences press
CO., LTD.
Wang Z.M. & Yang G.L., etc. (2016). Relationship between the carbonate facies and the karst groundwater
water-bearing conditions in Guizhou[J]. Hydrogeology & Engineering Geology, 2016 (01).
Wu Y.W. (2019). Stability analysis of karst ground collapse[J]. Western Resources, (06):74–77.
Xu H.H. & Liu W.L., etc. (2020). Application of intelligent borehole television technique in karst
investigation[J]. Geotechnical Investigation & Surveying, 09:30–34.
Yin O.& He Y., etc. (2021). Study on the relationship between regional tectonic framework and spatial
distribution of karst——Taking the coal dam area of Changsha as an example[J]. Ground Water,2021(01).
Zhang K. & Sun W. H. (2005). Digital Analysis on Karst Features[J]. Geotechnical Investigation & Surveying,
05:30–32.

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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

An UNet-CRF network with structural similarity for SAR image

classification

Yuanyuan Tao & Zhangyu Dong

Department of Computer and Information, Hefei University of Technology, Hefei, China

ABSTRACT: Convolutional neural network (CNN) has shown superior performance in SAR
image classification. However, it can only predict the category of the central pixel of an image patch,
which is time-consuming and does not consider the relationship between pixels in a neighborhood.
To address this problem, we proposed an UNet-CRF network with structural similarity (SSIM)
for SAR image classification. First, an UNet network is proposed to obtain the probability value
of each pixel. Then, a fully connected conditional random field (FullCRF) is constructed as a
recurrent neural network (RNN) for iterative training to adjust the probability value of each pixel,
which incorporates the prior information of the local structure of the patch to effectively improve
the classification accuracy at image boundary. Finally, SSIM loss is added to the total loss function
to further improve the classification performance. Experiment on one SAR dataset shows that the
proposed method can achieve excellent classification performance.

1 INTRODUCTION

Synthetic aperture radar (SAR) is an active imaging sensor. Compared with the optical sensor, it
can provide images under all-weather and all-day conditions (Moreira & Prats 2013). Therefore,
SAR images play an important role in agricultural management, environmental monitoring, earth
resource mapping, and military fields. As an important part of SAR image interpretation, SAR
image classification has attracted more and more attention (Attema & Bargellini 2007; Morena &
James 2004; Werninghaus & Buckreuss 2010).
In traditional classification methods, classification generally consist of two steps: feature extrac-
tion and classifier design. In early studies, pixel intensity and amplitude have been used as features
(Frost & Yurovsky 1985). However, due to the lack of description relationship between regional
pixels, high classification performance cannot be obtained. The texture is a kind of visual feature,
and using the texture analysis can improve the classification accuracy. For example Soh et al. (Soh
& Tsatsoulis 1999) used gray co-occurrence matrix (GLCM) (Haralick & Shanmugam 1973) to
conduct texture analysis on SAR sea ice images. Barber et al. (Barber & Shokr 1993) used Gabor
filter (GFs) (Jain & Farrokhnia 1991) to extract texture and recognize SAR sea ice. For classifiers,
various classifiers have been proposed, such as support vector machine (SVM) (Sukawattanavijit &
Chen 2017), K-nearest Neighbor (Demirhan & Salor 2016), sparse representation classifier (Geng
& Fan 2017), and random forest (Mandianpari & Salehi 2017). However, those features extracted
manually are shallow, and the traditional classification methods cannot get discriminative features
for SAR images.
In recent years, deep learning has been widely used in many fields such as face recognition,
image classification, and natural language processing. Convolutional neural network (CNN) is one
of the important network models of deep learning, which can automatically extract deep features
and is widely used in image classification. For example, Chen et al. used the sparse connection CNN
for SAR target classification (Chen & Wang 2016), which can obtain good classification results
compared with traditional classification methods. However, CNN can only predict the category of

DOI 10.1201/9781003308584-7 43
the pixel in the center of the image patch. Fortunately, the full convolutional neural network (FCN)
can classify images pixel by pixel (Long & Shelhamer 2015). For example, Wang et al. (Wang
& Wang 2017) directed realized the FCN network for Gaofen-3 PolSAR images classification.
Recently, Zhang et al. (Zhang & Xing 2020) introduced the fully connected conditional random
field for post-processing, which effectively utilized the context information of image blocks and
obtained more accurate object boundaries. However, manual hyperparameters optimization of
FullCRF leads to a long-running time, Shahzad & Maurer (2018) added a FullCRF layer as a
recurrent neural network (RNN) to the FCN structure for SAR image building detection, which can
use conventional back propagation algorithm to train the whole network to avoid post-processing.
Inspired by those above methods, we propose an UNet-CRF network for end-to-end SAR image
classification, which uses UNet (Ronneberger & Fischer 2015) as the basic network structure to
achieve the pixel-by-pixel classification of an image. Then, a FullCRF layer is embedded in the
network to make full use of context information and improve the accuracy of boundary classifica-
tion. In addition, in order to further improve the classification performance, an SSIM loss is added
to the loss function. Experiment shows that this method can achieve high performance for SAR
image classification.

2 UNET-CRF NETWORK

The traditional FCN8s network has been used to classify SAR images pixel-by-pixel. However,
the classification map is relatively rough. Compared with the FCN8s network, UNet adopts a
symmetric down-sampling stage and up-sampling stage. By skipping connection mode, it can
integrate shallow spatial detail information and deep semantic information to make pixel positioning
more accurate and classification accuracy higher. In this paper, based on the UNet, we proposed
an UNet-CRF network that integrate an UNet network and a FullCRF layer for end-to-end SAR
image classification. The overall network framework is shown in Figure 1:

Figure 1. The network architecture of the proposed UNet-CRF.

2.1 UNet network

As a classical Encoder-Decoder model, UNet is widely used in medical image (Oktay & Schlemper
2018) and remote sensing image segmentation (Iglovikov & Mushinskiy 2017). UNet consists of
two parts, the encoder composed of convolution block and down-sampling layer, and the decoder
composed of convolution block and up-sampling layer. Encoders are used to capture multi-scale
feature images and decoders are used to improve spatial features. In the encoder, first, two sets of a

44
convolutional layer are used, and then a maximum pooling operation with a step size of two is used
to down-sample the feature map. The above operation is repeated four times, and the feature map
is reduced to a quarter of the original image. The number of feature maps is doubled after down-
sampling the convolutional layer. In the decoder, the deconvolution operation is first performed
with a step size of two, and then two sets of convolution layers are used, and the above operation
is repeated four times to restore the feature map to the original size.

2.2 FullCRF layer

In the classification results generated by UNet, each pixel is assigned a label. Using the dense
connection CRF at a pixel level, the gray feature vectors and label variables of pixels can be
modeled to obtain fine classification results. For FullCRF (Krhenbühl & Koltun 2011), the energy
function can be expressed as:

E(x) = fu (xi ) + fp (xi , xj ) (1)

i i<j

where the first term is unitary potential energy, which is obtained by the softmax layer of UNet and
represents the probability of the ith pixel belonging to a certain category. The second term is the
binary potential energy, which describes the similarity between pixels. The definition of similarity
is related to gray value and actual spatial distance:
(n)
fp (xi , xj ) = µ(xi , xj ) w(n) KG (f i , fj ) (2)
n
2 2
 2

(n) Pi − Pj Gi − Gj Pi − P j
w (n)
KG (fi , fj ) = w1 exp − − + w2 exp − (3)
2θα2 2θβ2 2θγ2
where µ(xi , xj ) represents the consistency of the two labels. If xi = xj , µ(xi , xj ) = 1. Otherwise,
µ(xi , xj ) = 0. Gaussian kernel KG (fi , fj ) measures the similarity of fi and fj . According to equation
3, two types of Gaussian kernel are used in this paper. The first exponential function is a bilateral
kernel and the second exponential function is a spatial kernel. Pi − Pj denotes the spatial distance
between pixel iand j, and Gi − Gj denotes the gray distance between pixeli and j. θα and θβ control
neighborhood similarity, θγ control smoothness. w1 and w2 are the weights, and w1 = w2 = 1.
To update parameters at the same time with UNet, FullCRF was constructed in the form of
RNN layer and embedded in the UNet network, more details are shown in Figure 1, the construc-
tion process of FullCRF is divided into five steps: (1) Message passing; (2) Re-weighting; (3)
Compatibility transform; (4) Unary adding; (5) Normalizing.

2.3 SSIM loss function

SSIM is used to measure the similarity of two images. A higher SSIM means a smaller gap between
the restored image and the undistorted image (Wang & Bovik 2004). Using SSIM as a loss function
to calculate the difference between predicted labels and real labels can improve the quality of SAR
image segmentation. SSIM evaluates the similarity between two images by comparing brightness
l(x, y), contrast c(x, y) and structure s(x, y). The definition is as follows:

SSIM (x, y) = [l(x, y)]α .[c(x, y)]β .[s(x, y)]γ (4)

Set α = β = γ = 1, then:
(2µx µy + C1 )(2σxy + C2 )
SSIM (x, y) = (5)
(µ2x + µ2y + C1 )(σx2 + σy2 + C2 )
where µ represents the average brightness of the image, σ represents the standard deviation of the
image, and σxy represents the covariance of the image X and Y. C1 and C2 are constants. Following

45
Wang et al. setting, 11×11 symmetric Gaussian weighting function w = {wi |i = 1, 2, . . . , N } is used
as a sliding window, and average SSIM index is used to evaluate the quality of label images, which
is defined as follows:
N
1
MSSIM (ltruth , lpred ) = SSIM (ltruthi , lpredi ) (6)
N i=1
where, ltruth and lpred are real and predicted categories respectively, ltruthi and lpredi are the categories
of the ith weighted window.
To decrease the MSSIM value during training, the structural similarity loss function is defined
as follows:

LSSIM = 1 − MSSIM (ltruth , lpred ) (7)

Then, the final loss function is as follows:

LOSS = LMCE + α ∗ LSSIM (8)

where LMCE is the cross-entropy as normal, and α = {max (lpredi × ltruthi )} − max (lpredi )} represents
the difference between the predicted category probability value and the true category probability
value.

3 EXPERIMENTAL RESULT AND ANALYSIS

To verify the classification performance of the proposed method, we conducted one experiment on
the Flevoland dataset and compared it with four methods.

3.1 Experimental data and evaluation index

The Flevoland data (Figure 2) is a single-look SAR image taken by RadarSat-2. The polarization
mode is HH and the image size is 1000×1400. Includes five different category: forest, farmland1,
farmland2, urban area, and water body.

Figure 2. The data of Flevoland. (a) Original image; (b) Ground truth map.

To evaluate the classification results of different methods, overall accuracy (OA), and Kappa
coefficient are used as evaluation indexes in this paper.

3.2 Parameter setting

In the experiment, training data and validation data were randomly cut from the dataset, and the
whole image was used as test data. The size of the training images was set at 64×64 pixels, and each
category contained about 40 images on average. The size of the verification image is set to 64×64
pixels, which contains a total of 50 images. Through 90-degree rotation and transpose operation,
the training sample is expanded to 600 images. Adam optimizer is used to update the parameters.

46
3.3 Experimental results
The OA and Kappa of different methods are shown in Table 1, and the visual classification result
are shown in Figure 3. From Table 1, we can see that the proposed method achieves the best OA and
Kappa coefficient, reaching 87.94% and 0.8358, respectively. Except farmland2, the classification
accuracy of other categories is high in all methods. The results show that various methods can
effectively extract the features of the forest, farmland1, urban area, and water body. As shown in
Figure 3(b), there are many misclassifications, and the pixel classification accuracy is only 80.56%.
Compared with SegNet, FCN8s improves the classification accuracy by 4.17%. However, FCN8s
lacks spatial details. UNet realizes the combination of spatial information and semantic information,
resulting in a more refined classification result. Due to the interference of speckle noise, farmland2
was misclassified seriously. To improve the classification accuracy of farmland2, the CRF-RNN
layer was added to improve the classification accuracy of farmland2 by 3.43% compared with UNet,
and the pixel classification accuracy by 0.97%. To further improve the classification accuracy of
farmland2, the weighted structural similarity loss function was used. Compared with UNet-CRF,
the classification accuracy of the proposed method of farmland2 reached 23.54%.

Table 1. Classification results of different methods on Flevoland dataset.

Label Segnet FCN8s UNet UNet-CRF Our method

Forest 91.26% 93.36% 93.56% 94.32% 95.65%

Farmland1 88.58% 93.40% 96.70% 96.88% 96.20%
Farmland2 18.62% 10.58% 13.04% 16.47% 23.54%
Urban 97.98% 99.01% 99.76% 99.76% 99.49%
Water 79.08% 99.94% 97.90% 99.67% 99.29%
OA 80.56% 84.73% 85.98% 86.95% 87.94%
Kappa 0.7340 0.7897 0.8071 0.8211 0.8358

Figure 3. Classification results of different algorithms on Flevoland dataset.

4 CONCLUSION

This paper proposes an UNet-CRF network to achieve pixel-based SAR image classification. First,
image patches are fed into the modified UNet network to achieve pixel-based classification. Then,

47
introduce a FullCRF layer into the network to obtain more spatial features, especially at the boundary
area. In addition, a novel weighted structure loss function is proposed to further improve the
classification performance. Experiments on one SAR dataset show that the proposed method can
achieve higher classification accuracy. In the further, we will study how to integrate the polarization
information into the proposed network for PolSAR image classification.

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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Study on the influence of surcharge on the retaining structure of

pit-in-pit

Ming Xu
Nanchang Rail Transit Group Co., Ltd., Jiangxi, Nanchang, P.R. China

Zheng Xiong
Jiangxi Provincial Key Laboratory of Geotechnical Infrastructure Safety and Control, East China Jiaotong
University, Nanchang, Jiangxi, P.R. China
Jiangxi Underground Space Technology Development Engineering Research Center, Nanchang, Jiangxi,
P.R. China

Yueyue Kong
China Railway 14th Bureau Group Co., Ltd., Jinan, Shandong, P.R. China

Xinhuan Liang
Nanchang Rail Transit Group Co., Ltd., Jiangxi, Nanchang, P.R. China

Changjie Xu & Haibin Ding

Jiangxi Provincial Key Laboratory of Geotechnical Infrastructure Safety and Control, East China Jiaotong
University, Nanchang, Jiangxi, P.R. China
Jiangxi Underground Space Technology Development Engineering Research Center, Nanchang, Jiangxi,
P.R. China

ABSTRACT: To study the influence of unbalanced surcharge on the retaining structure of pit
excavation, the finite element software PLAXIS is used to simulate the process of pit excavation
under unbalanced surcharge. The results indicate that under the condition of unbalanced stacking
on both sides of the outer pit, the displacements of the connecting walls on the left and right sides
of the outer pit and the cast-in-place piles in the inner pit are quite different, and its structural
parameters need to be considered separately when designing the enclosure structure. At the same
time, under different overload combinations of the outer pit, the maximum value of the bending
moment of the connecting wall on the left and right sides of the outer pit is basically the same. The
bending moments of the cast-in-place piles on the left and right sides of the inner pit are basically
the same, the bending moment remains basically unchanged with the increase of overload, and
the position when the maximum bending moment occurs is basically the same. And through the
comparison of different working conditions, some basic laws are summarized, and helpful opinions
are put forward for the design of the pit-in-pit enclosure under the condition of unbalanced stacking.

1 INTRODUCTION

With the rapid development of my country’s infrastructure construction, underground space has
been continuously developed, and the number of foundation pit projects is increasing day by day.
Among them, pit-in-pit foundation pits are becoming more and more common. Gong Xiaonan and
others first classified and summarized the pit-in-pit problem. More and more scholars have realized
the importance of the pit-in-pit problem and have conducted various researches on the pit-in-pit
problem and achieved certain results. The actual project has certain reference value.
Wang et al. established a finite element numerical analysis model to study the influence of
groundwater level changes on the pit-in-pit enclosure structure. Shen Mingliang established a

DOI 10.1201/9781003308584-8 49
typical pit-in-pit numerical model by using the finite element software ANSYS, and obtained
the most sensitive stress area in the pit-in-pit excavation process. Feng Tugen et al. compiled a
finite element calculation program to establish a pit-in-pit model, and obtained the influence of
different excavation positions, depths and sizes of the pit-in-pit on the deformation of the retaining
structure, and discussed corresponding deformation control measures. Chen Leyi conducted a
numerical simulation of foundation pits in soft soil areas, and studied the influence of the selection
of the excavation depth and the position of the pit in the pit on the horizontal displacement of
the retaining structure. Sun et al. used finite difference software to study the characteristics of
surface settlement during pit-in-pit excavation. Han Tongchun et al. based on the limit equilibrium
theory and the assumption of a plane sliding surface, considering the cohesive force of the soil
and the different shapes of the sliding soil, deduced the calculation formula of the passive earth
pressure in four cases, and gave the sliding surface Mathematical expression of shear failure angle.
Huo Junshuai et al. based on the construction of the deep and large special-shaped pit-centered pit
foundation pit built by the Shanghai Natural History Museum and Metro Line 13 as the background,
they concluded that the critical distance between the inner and outer pits is between 22 m and 24 m.
Li Lianxiang and others used the powerful pre-processing and mesh refinement functions of the
finite element software PLAXIS 3D to study the factors such as the pit toe coefficient, the depth
of the inner pit and the spacing ratio between the inner and outer supporting structures in the inner
pit excavation. The impact of the structure.
Neither numerical simulation nor theoretical derivation of the above studies has analyzed the
existence of piles on both sides of the pit in the pit. In actual engineering, due to site restrictions,
a large amount of construction materials is stacked around the pit in pit. There are relatively few
studies on the influence of different loads on the pit-in-pit. The traditional foundation pit design
uses a symmetrical method for calculation, ignoring the impact of unbalanced excavation on the
foundation pit, and the overall working characteristics of the foundation pit cannot be obtained.
Using the traditional balanced excavation theory for design calculations, there will be two extremes:
(1) If the side of the pit side is used for calculations with a smaller side, it will inevitably lead to
unsafe construction; (2) If the side of the pit is used for calculation The calculation on the larger
side will be conservative, resulting in a certain amount of economic waste.
In this paper, the finite element analysis software PLAXIS is used to numerically simulate
the excavation of the pit in the pit under the condition of asymmetric stacking, and the force and
deformation of the entire supporting structure are studied. Under the premise of ensuring the safety
of the unbalanced pit in the pit, it is found. The optimal design plan is compared and analyzed
with the measured data, and the conclusions drawn can provide useful references for engineering
practice.

2 PROJECT OVERVIEW

The engineering parameters of a pit in Nanchang are as follows: outer pit width B = 30 m, excavation
depth H = 8.8 m, outer pit ground connecting wall embedded depth D = 17.2 m, inner pit width
b = 16.0 m, inner pit excavation depth is h = 7.4 m, and the embedded depth of the inner wall is
d = 8.6 m. Figure 1 is a schematic diagram of the pit in the pit. The outer pit ground wall adopts an
underground continuous wall with a thickness of 0.8 m as the supporting structure, and the elastic
modulus is 31.5 Gpa; the outer pit is equipped with a reinforced concrete support and two steel
supports, and the inner pit is equipped with a reinforced concrete support and The elastic modulus
of steel support, reinforced concrete support is 30 GPa, and the elastic modulus of steel support is
21 GPa.
The calculation model uses 15-node element, Plate element and Anchor element to simulate
soil, supporting structure and support respectively. The physical and mechanical performance
parameters of the soil layer simulated by this order value are shown in Table 1.

50
Figure 1. Schematic diagram of pit in pit.

Table 1. Physical and mechanical properties of soil lay.

c φ
ref ref ref ref
Soil layer γ U E50 Eoed Eur G0 E

③1 Silty clay 19.0 0.32 10.5 10.5 31.5 47.25 – 49.62 22.63
③3 Medium sand 19.7 0.3 19.5 19.5 58.5 87.75 – 0 32
③1−1 Silty clay 19.0 0.32 7 7 21 31.5 – 49.62 22.63
③5 Gravel 20.2 0.3 32 32 96 115.2 – 0 34
③6 Round gravel 20.0 0.3 35 35 105 157.5 – 0 36
⑤4 Calcareous mudstone mudstone 23.6 0.25 – – – – 2790 300 32
⑤4 Moderately weathered sandstone 20.5 0.25 – – – – 2890 200 37
⑤4 Strongly weathered sandstone 20.1 0.3 – – – – 200 30 37

3 CALCULATION MODEL

By changing the loads on both sides of the pit in the pit, four different combinations of P1 and P2
outside the pit are calculated respectively (P1 = P2 = 10 kPa; P1 = 20 kPa, P2 = 10 kPa; P1 = 30
kPa, P2 = 10 kPa; P1 = 40 kPa, P2 = 10 kPa), when the foundation pit is excavated to the bottom
of the inner pit, the impact of unbalanced stacking on the supporting structure of the pit in the pit,
so as to obtain the asymmetric load, the pit-in-pit support The changes of structural displacement
and internal forces are compared and summarized.
The PLAXIS finite element analysis method has been widely used in foundation pit engineering.
The calculation model used in this paper is shown in Figure 2.

Figure 2. Finite element model.

51
4 ANALYSIS OF CALCULATION RESULTS

4.1 Analysis of horizontal displacement of diaphragm wall in outer pit

When the foundation pit is excavated to the bottom of the inner pit, the horizontal displacement of
the left side connecting wall and the right side connecting wall under 4 different combinations of
external pit loads P1 and P2 are shown in Figures 3 and 4.
The large horizontal displacement is 15.96 mm. When the piled load P1 is 40 kPa, the maximum
horizontal displacement of the ground connecting wall is 18.92 mm, which is an increase of 15.64%
compared to when the piled load is 10 kPa; the piled load P2 outside the right wall remains No
change, with the increase of the left side load, the maximum horizontal displacement of the ground
connecting wall on the right gradually develops to the right, and when P1 = 30 kPa, P2 = 10 kPa,
the ground connecting wall on the right starts to move out of the pit. The reverse displacement,
the reverse displacement value is 0.11 mm, as the overload P1 increases, the reverse displacement
increases, when the overload P1 reaches 40 kPa, the reverse displacement is 0.88 mm. The reason
for this phenomenon is: due to the overload on the left side of the foundation pit, the active earth
pressure on the left side of the foundation pit is greater than the active earth pressure on the right
side of the foundation pit, resulting in greater pressure on the left side of the steel support and
reinforced concrete support The pressure transmitted on the right side reduces the displacement of
the wall on the right side of the foundation pit, and even causes the reverse displacement of the
wall on the right side.

Figure 3. Horizontal displacement of left diaphragm wall.

Figure 4. Horizontal displacement of right diaphragm wall.

52
4.2 Horizontal displacement analysis of bored piles in the inner pit
When the foundation pit is excavated to the bottom of the inner pit, the horizontal displacement of
the left and right cast-in-place piles of the inner pit under 4 different combinations of P1 and P2
are shown in Figures 5 and 6.
It can be seen from Figures 5 and 6 that as the pile load P1 on the left increases, the displacement
of the left cast-in-place pile increases overall. When the overload P1 outside the connecting wall on
the left is 10 kPa, the maximum horizontal displacement of the cast-in-place pile on the left is 12.61
mm. When the overload reaches 40 kPa, correspondingly, the maximum horizontal displacement
of the cast-in-place pile on the left increases from 12.61 mm to 14.48. mm, an increase of 14.83%;
the overload of the connecting wall on the right is always 10 kPa, but with the increase of P1, the
horizontal displacement of the cast-in-place pile on the right develops to the left as a whole. When
P1 increases from 10 kPa to 40 kPa, the right The maximum horizontal displacement of the cast-
in-place pile was reduced from 13.01 mm to 11.28 mm, a decrease of 13.29%. The reason for the
above phenomenon is that due to the continuous increase of overload outside the connecting wall
on the left side, the lateral displacement of the connecting wall on the left side into the pit increases,
squeezing the soil in the middle of the inner and outer pits, causing the left cast-in-place pile to
be affected. The greater active earth pressure causes the lateral displacement of the cast-in-place
pile on the left to increase, and the force on the cast-in-place pile on the left is transferred to the
cast-in-place pile on the right through the support, which reduces the active soil pressure received
by the cast-in-place pile. The displacement of the side cast-in-place pile decreases with the increase
of P1.

Figure 5. Horizontal displacement of left cast-in-place pile.

Figure 6. Horizontal displacement of right cast-in-place pile.

53
4.3 Analysis of the internal force of the connecting wall in the outer pit
Figures 7 and 8 show the bending moments of the outer pit ground connecting wall under 4 different
combinations of P1 and P2 when the inner pit is excavated to the bottom of the inner pit. It can
be seen from the figure that under different overload combinations outside the pit, the changing
law of the bending moment (M1) of the ground connecting wall on the left is basically the same,
and the changing law of the bending moment (M2) of the ground connecting wall on the right is
also basically the same. The finite element simulation data is extracted, and the maximum bending
moments of the ground connecting wall under the combination of P1 and P2 of 4 different types
of piled loads outside the pit are obtained as shown in Table 2.
Table 2. Maximum bending moment of wall.

(P1,P2) Stacked combined bending moment/(kN·m)

Bending moment/(kN·m) (10, 10) (20, 10) (30, 10) (40, 10)

| M1| 742.28 757.88 785.05 791.40

| M2| 747.97 720.29 716.99 706.12
|| M2| − |M1||/|M1|% 0.8 5.0 8.7 10.7

It can be seen from Table 2 that with the continuous increase of the overload P1 on the left,
the maximum bending moment of the connecting wall on the left slightly increases, the maximum
bending moment of the connecting wall on the right decreases slightly, and the bending moment of
the connecting wall on both sides The value difference rate is constantly increasing. In the actual
project on site, when the maximum bending moment value of the enclosure structure on both sides
has a small difference, in order to facilitate the construction, the reinforcement can be designed
according to the same reinforcement. It can be seen from Table 2 that when the overload P1 on the
left side is less than or equal to 30 kPa, the difference rate of the maximum bending moment of
the connecting wall on both sides is less than 10%, and the difference is small and can be ignored.
In the design of pit-in-pit support, The traditional symmetrical method can be adopted for design;
when the overload on the left side is greater than or equal to 40 kPa, the maximum difference rate
of the bending moment of the connecting walls on both sides is greater than 10%, and the bending
moments of the walls on both sides should be considered separately to achieve the optimal solution.
Reduce project cost.

Figure 7. Bending moment diagram of left diaphragm wall.

4.4 Analysis of the internal force of the bored pile

Figures 9 and 10 show the bending moments of the inner pit cast-in-place pile under 4 different
combinations of P1 and P2 when the inner pit is excavated to the bottom of the inner pit. It can

54
Figure 8. Bending moment diagram of right diaphragm wall.

be seen from the figure that under different overload combinations outside the pit, the bending
moment (M3) of the cast-in-place pile on the left is basically the same, and the bending moment
(M4) of the cast-in-place pile is also basically the same. The finite element simulation data is
extracted, and the maximum bending moments of the cast-in-place piles under the combination of
P1 and P2 are obtained for 4 different types of piled loads outside the pit, as shown in Table 3.
It can be seen from Table 3 that as the overload P1 on the left side continues to increase, the
maximum bending moments of the cast-in-place piles on the left and right sides remain basically
unchanged, and the gap rate between M3 and M4 gradually increases, compared with the gap
between the ground wall The increase rate of the gap rate of the cast-in-place pile is much smaller
than that of the ground wall. This is mainly because the limited soil between the ground wall and
the cast-in-place pile offset part of the influence of the overload P1.
Table 3. Maximum bending moment of pile.

(P1,P2) Stacked combined bending moment/(kN·m)

Bending moment /(kN·m) (10, 10) (20, 10) (30, 10) (40, 10)

| M1| 471.72 473.87 473.84 476.52

| M2| 471.97 470.63 466.26 455.62
|| M2| − |M1||/|M1|% 0 0.6 1.6 4.4

Figure 9. Bending moment diagram of left cast-in-place pile.

55
Figure 10. Bending moment diagram of right cast-in-place pile.

5 PROJECT CASE ANALYSIS

The project overview is as described above, and the K1+245 section in the middle of Aixi Lake is
selected. As the sand and building materials in the lake pile up on both sides of the foundation pit,
the overload P1 outside the left pit is estimated to be 10 kPa, and the overload P2 outside the right
pit is estimated to be 10 kPa. Figure 11 is the comparison curve between the numerical simulation
value and the measured value of the external wall lateral displacement of the K1+245 section of the
middle section of the lake in the open-cut foundation pit project of the Nanchang Aixi Lake public
rail joint construction tunnel. Figure 11 shows the horizontal displacement of the external wall on
site The measured value and the result of the lateral displacement of the external wall obtained by
the numerical calculation have basically the same trend, and the numerical results are not much
different. The maximum horizontal side shift of the measured data is 15.41 mm, at the outer wall
depth of about 10.0 m, the maximum horizontal side shift of the numerical simulation is 15.96 mm,
at about 8.8m of the outer wall depth, the maximum side shift of the two outer walls is very close,
and it is happening The position of the outer wall at the time of maximum lateral displacement is
slightly different. Therefore, the rationality and accuracy of the finite element model is explained,
and it can reflect the actual situation of the foundation pit excavation project.

Figure 11. Comparison of simulated and measured values.

6 CONCLUSION

(1) When excavating a pit-type foundation pit, in the case of unbalanced stacking in the outer pit,
the lateral displacement of the ground connecting wall on the left increases as the overload
P1 on the left increases, and the ground connecting wall on the right increases. The lateral
displacement of the wall decreases with the increase of the overload P1 on the left. When the

56
 overload on the left is 30 kPa and the overload on the right is 10 kPa, the connecting wall on
the right begins to undergo a reverse displacement, that is, a horizontal displacement outside
the pit.
(2) Under different overload combinations of the outer pit, as the overload on the left outer pit
continues to increase, the horizontal displacement of the left cast-in-place pile continues to
increase, and the maximum horizontal displacement occurs gradually upward. As the overload
of the left outer pit continues to increase, the horizontal displacement of the left cast-in-
place pile continues to decrease, and the displacement at which the maximum horizontal
displacement occurs gradually moves downward.
(3) Under different overload combinations of external pits, the maximum value of the ground wall
bending moment is basically the same. The left side overload is less than or equal to 30 kPa, and
the difference between the left and right ground wall bending moments is not large. Traditional
symmetrical methods can be used. Design, when the overload of the outer pit is 40 kPa and
the overload of the right side remains unchanged at 10 kPa, the gap rate between the left and
right connecting walls is greater than 10%, and the design optimization schemes should be
considered separately.
(4) The bending moment of the cast-in-place piles on the left and right sides is basically the same,
and the bending moment remains basically unchanged with the increase of overload. And the
position when the maximum bending moment occurs is basically the same, so it shows that
the impact of the pile load outside the outer pit on the inner pit enclosure structure is relatively
small.
(5) Through the research of this article, it is possible to understand the stress and deformation
behavior of the pit-type foundation pit retaining structure in the asymmetric excavation pit, so
as to guide the construction and reduce the engineering risk.

ACKNOWLEDGMENTS

This work was financially supported by the Applied Research Project of National Outstanding
Young Scientists Fund Grant (51725802) and National Natural Science Foundation of China-
High Speed Rail Joint Fund (U1934208), Jiangxi Provincial Natural Science Foundation Key
Project (20192ACB20001), Science and Technology Project of Jiangxi Provincial Department of
Transportation (2021Z0004).

REFERENCES

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horizontal displacement of foundation pit retaining structure [J]. Acta geotechnical engineering, 30 (S1):
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Feng Tugen, Xiong Zhonghua, Yubo. (2013) Analysis of the influence of excavation in pit on the lateral
displacement of cantilever support structure [J]. Journal of geotechnical engineering, 35 (11): 2053–2059
Gong Xiaonan. (2013) Some thoughts on foundation pit engineering [J]. Journal of civil engineering, (09):
99–102 + 108
Huo junshuai, Gong Meimei, Chen Juan. (2018) Analysis of deformation characteristics of pit in pit retaining
structure [J]. Civil architecture and environmental engineering, 33 (S1): 139–142 + 208
Huo junshuai, Gong Meimei, Chen Juan.(2011) Analysis of deformation characteristics of pit in pit retaining
structure [J]. Civil architecture and environmental engineering, 33 (S1): 139–142 + 208
Li Lianxiang, Zhang Yonglei, Hu Xuebo.(2016) Influence analysis of pit in pit excavation based on PLAXIS
3D finite element software [J]. Journal of underground space and engineering, 12 (S1): 254–261+266
Shen Mingliang, Liao Shaoming, Zhou Xiaohua, Zhu Yanbing, Shao Wei. (2010) Parametric analysis of stress
field of pit in pit foundation pit [J]. Acta geotechnical engineering, 32 (S2): 187–191
Yuyong Sun, Shunhua Zhou, Zhe Luo. (2017) Basal-heave analysis of pit-in-pit braced excavations in soft
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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Analysis and treatment measures of geological disasters in Xingtai city

Wanxi Zhang, Yupu Wu, Guoqin Yan, Jie Zhao & Fuji Gu∗
Hebei GeoEnvironment Monitoring, Shijiazhuang, P.R. China

ABSTRACT: In order to correctly understand the development law of geological disaster in

Xingtai City, based on the geological environment conditions and developmental characteristics
of geological disasters. In paper, the formation conditions of geological disasters from the rela-
tionship between geological disasters and topography, rock and soil types, geological structure,
human engineering activities and rainfall are analyzed. Human engineering activities are the main
inducing factors for the formation of geological disasters, and rainfall is the intensification factor
of geological disasters. According to the development characteristics of geological disasters in
Xingtai City, the main prevention and control countermeasures to strengthen the management of
man-made slope cutting engineering activities and strengthen the investigation and monitoring and
early warning of geological disasters in flood season are put forward.

1 INTRODUCTION

Xingtai city is located in the south of Hebei Province, with east longitude 113◦ 52 ∼115◦ 49 , north
latitude 36◦ 50 ∼37◦ 47 , and covers an area of 12 400 km2. The investigation of geological disasters
found that 457 geological disasters had occurred in the city, including 183 collapses, 206 landslides,
34 debris slides, 27 ground collapses and 7 ground cracks. Collapse, landslides and debris slides
accounted for 92.6% of the total disasters. It is of great significance to study the mechanism
of disaster formation for disaster prevention (Zhang & Liu 2020). The occurrence of geological
disasters will inevitably be controlled by certain internal and external causes (Liu & Chen 2020; Xu
& Huang 2002). More studies have been done on the formation mechanism of geological disasters
(Chen 2020; Li & Wan 2012; Liu & Chen 2012, 2020; Liu & Qiang 2017; Liu & Yao 2021; Wang
2016; Xue & Li 2019; Yang & Yao 2015; Zeng & Zhang 2018; Zhang 2018; Zhu 2021; Zhang
2021). However, there is little analysis of the geological disaster formation mechanism.
In the flood season from June to September every year, geological disasters such as collapse,
landslide and mudflow occur from time to time in the western mountainous area of Xingtai under the
influence of rainfall, and the harm becoming more and more serious, which seriously restricts the
development of the national economy in the mountainous area and threatens the safety of people’s
lives and property. In order to correctly understand the development law of geological disasters
in Xingtai City and improve the pertinence and effectiveness of the prevention and control, on
the basis of geological disaster investigation, the formation conditions of collapse, landslide and
mudflow from the internal and external causes of geological disasters are analyzed, prevention and
control countermeasures is put forward.

2 GEOLOGICAL AND ENVIRONMENTAL CONDITIONS OF XINGTAI CITY

2.1 Meteorological phenomena

The average annual precipitation of the city is 516.2 mm, annual variation, the maximum precipita-
tion 1269 mm occurs in 1963, the minimum precipitation 222.9 mm in 1986, the minimum ratio is

∗ Corresponding Author: [email protected]

58 DOI 10.1201/9781003308584-9
5.7 times, 75∼80% of the annual precipitation occurs in the flood season from June to September,
and the rainfall is mainly concentrated in late July to early August, mostly in the form of heavy
rain. Annual average runoff depth is 21.9 mm, and the annual average water surface evaporation is
1234.9 mm.

2.2 Topographic features

Xingtai City is located at the intersection of Taihang Mountains and North China Plain, which is
arranged from west to east in mountain, hilly and plain steps. The three ratio is 2:1:7, the west is
mountainous and hilly, and the east is plain area. Mountain area accounts for 14.21% of the total
area of Xingtai City. Mountains are mostly north to north to east, above 500m altitude. Hills account
for 15.29% of the city’s total area, the elevation of 500-100m, undulating slope, slow slope. Plains
account for 70.50% of the city’s total area.30-100 m with slope of 1/10000 to 1/500. According to
the different morphology and origin, it can be divided into two parts: foothill plain and low plain.

2.3 Type of rock and soil mass

The mountain area is composed of gentle-producing quartz sandstone, massive magma vein body,
etc. The most of them are undulating sharp edges, serrated ridges or mountains, with tower-shaped
mountains and table mountains, steep mountains, walls such as cutting, steep cliffs and cliffs are
extremely developed, this area is a high incidence of collapse, landslide and debris flow area.
The hilly area is composed of metamorphic rocks, some carbonate rocks and debris rock, with a
topographic slope of 15◦ ∼ 25◦ and wide gully and mostly "U" shaped valleys. The plain area is
mainly composed of loose rock classes.

2.4 Human engineering activities

Human activities are an important factor aggravating the occurrence of geological disasters, mainly
manifested in the damage of human production to the environment, life, construction and engi-
neering activities. For example, in house construction, road construction, tillage, people dig slope
foot, destroy slope integrity and stability, and causes collapse and landslide geological disasters;
mine mining breaks the natural stability of rock and soil formation and causes numerous geological
disasters; surface water infiltration into rock and soil; many construction sites are both induced
and supply sources of geological disasters.

3 DEVELOPMENT CHARACTERISTICS OF GEOLOGICAL DISASTERS IN XINGTAI

CITY

The main types of geological disasters in Xingtai City are landslide, collapse, ground collapse
and mudslide, which are 206 landslides, 183 collapses, 34 mudslides, and 27 ground collapses.
Disasters are mainly landslides and collapses. Falling slip flow disaster develops in mountainous
areas, from low hills-high hills-low mountainous areas, the disaster development density gradually
increases. The disaster scale is basically small, as show in Figure 1. 85% of landslides are soil
landslides, and 75% of landslides are rock collapse. Red debris rock, general debris rock and soft
rock and metamorphic rock are developed, and karst ground collapse is distributed in the hidden
area of qualitative pure carbonate rock.90% of geological disasters and 95% of potential geological
hazards are related to man-made engineering activities, and landslide disasters mostly occur after
heavy rainfall or long-time rainfall in the flood season.

59
4 ANALASIS OF GEOLOGICAL DISSASTER FORMATION CONDITIONS IN XINGTAI
CITY

4.1 Relationship between topography and landform and geological disaster point
The landform is the main control factor of geological disasters such as collapse, landslide and debris
flow. The development density of landslide flow disasters in different landform units in Xingtai
City is shown in Figure 2. The development density of geological disasters in low mountain areas is
the largest. From low mountain areas to high hilly, low hilly, plain areas, the development density
of disasters gradually decreases. Collapse and landslides mainly develop in areas with relatively
population density in mountainous areas or concentrated areas with more construction activities.
Mudflows mainly develop in low mountains and hilly areas with steep mountains and large mining
activity intensity.

Figure 1. Histogram of geological disaster. Figure 2. Density map of geological disaster.

4.2 Lithology and relationship between rock and geological disasters

Formation lithology and soil mass are the material basis of geological disasters, controlling the
location and scale of disasters. Due to the loose soil with its loose structure and low shear strength,
it is easy to saturation in water, and easily produces slope instability under the intensified rainfall.
Different lithological strata, its rock mechanical properties, weathering resistance, and the charac-
teristics of residual slope soil layer is closely related to the distribution and weathering of parent
rock, weak weathering resistance, such as shale, mudstone, coal strata, schist, silt rock, sandstone
soft and hard rock slope is prone to collapse and landslide.

4.3 Relationship between rainfall and geological disasters

The main influencing factors is rainfall, the higher water pressure caused by rainwater immersion
into the slope, increases the sliding force of the soil. The rain water, soften the soil, reduce the
internal friction angle, lubricate the weak structural surface and promote the slope collapse. Through
the comparative analysis of the occurrence time and rainfall time, the rainfall and the have obvious
consistent, and the daily rainfall and rainfall concentration are the key factors inducing the disaster.
The magnitude of precipitation and the intensity of rainstorm play a decisive role in the temporal
and spatial distribution of geological disasters such as collapse, landslides and debris flows. The
high intensity of precipitation causes the loose accumulation of the slope or valley to quickly fill the
water and quickly reach the ultra-saturated state. Under the action of potential energy, they move
down the slope or valley at high speed to form a debris flow. Due to the long precipitation makes
the broken loose slope body constantly fill water and gradually reaches saturation, reducing the
anti-skid force of the weak surface, increasing the downward force of the slope body and forming
a landslide.

60
 The relationship between rainfall intensity and disaster points of the landslide and mudflow points
in the western mountainous areas, is shown in Figure 3. It can be seen that the landslide disaster
points are mainly distributed between 300-500 mm and continuous rainfall of 55–90 mm/h, and
the mudflow disasters are mainly distributed between 250–450 mm and the average precipitation
intensity of 20–38 mm/d, which further shows that the intensity of precipitation plays an important
role in stimulating geological disasters.

Figure 3. Relationship between geological hazards and precipitation.

4.4 Relationship between human engineering activities and geological disasters

The formation of geological disasters is obviously affected by human engineering activities. With
the continuous development of Xingtai social economy, all kinds of engineering activities, mainly
manifested in urban construction, highway, railway construction, mineral resources development,
water conservancy and hydropower development and residents, etc., a large number of highway,
housing construction excavation, formed the artificial slope, changed the slope stress, destroyed
the original natural balance, slope in the new stress balance, will be new damage, thus geological
disasters. Of the 457 geological disasters, the geological disasters related to human engineering
activities account for about 70% of the total occurrence. Human engineering activities have become
the main factor of inducing geological disasters. The correlation between collapse, landslide,
collapse and hidden slope and artificial slope indicates that when the cutting slope is greater than
60◦ , the disaster or hidden danger increases sharply.

5 MAIN PREVENTION AND CONTROL COUNTERMEASURES

The main formation conditions of landslide geological disasters show that the topography and
lithology and rock and soil type are the basic conditions for the formation of geological disasters.
Human engineering activities are the main factor induced by geological disasters, and rainfall is
the intensified factor of geological disasters, and geological disasters occur accompanied by heavy
rainfall. Therefore, the prevention and control of geological disasters should be taken against the
main factors, in order to improve the geological disaster prevention effect.

5.1 Prevention and control planning measures

With the improvement of economic development level, the number of projects is gradually
increasing. Under the influence of engineering activities, it will usually cause certain geological

61
disturbance, disrupt the geological stability and balance, and form potential geological disasters. In
heavy rainfall and other weather, these hidden disasters will erupt. Therefore, we need to strengthen
the management of geological disasters. Before the actual geological disaster prevention and con-
trol, we should first have a scientific and comprehensive geological disaster prevention and control
plan, so as to better guide the geological environment protection work in the area, clarify the
prevention and control planning tasks, and minimize the disaster losses.

5.2 Strengthen the investigation, monitoring and early warning of geological disasters in the
flood season
Rainfall is the intensified factor of geological disasters, and geological disasters mostly occur after
heavy rainfall or are slightly delayed. In the actual geological disaster monitoring, two monitoring
measures can be adopted, one is macro monitoring measures, mainly through regular visual inspec-
tion, that is, directly collect the deformation and displacement of deformation through the human
sensory system, which is more suitable for geological disaster hidden dangers with poor stability
and less harm. One is the micro monitoring measures, the actual monitoring is more professional,
mainly through the help of instrument monitoring facilities to obtain all kinds of information mon-
itoring, which is more suitable for the geological hazard hazards with great harm degree, poor
stability and signs of deformation.

5.3 Combination of protection and utilization measures

In view of the geological disaster prevention and control of Xingtai City, the concept of sustain-
able development should also be integrated, and the measures combining protection and utilization
should be adopted. First, according to the existing human engineering activities, make certain
requirements, to prohibit the soil, strengthen the protection of the geological environment, reduce
the impact of engineering activities on geological disturbance. Second, combine the actual geo-
logical environment of the region and make protective and open utilization. According to the
damaged geological ecological environment, measures, such as forest cultivation, banning cutting
and grazing, returning farmland to forest, soil and water conservation, were taken to continuously
reduce the amount of soil and water loss and promote the effective improvement of the geological
environment.

6 CONCLUSION

From the above analysis, the conclusion is as follows:

(1) The main types of geological disasters in Xingtai City are collapse, landslide, debris flow,
etc. The main factors that form are topography, precipitation, and human activities. Terrain,
landform and bad geological environment are the internal causes of disasters, precipitation is
the external condition that triggers geological disasters, and human activity is the main factor
that aggravates geological disasters.
(2) Heavy rain and heavy precipitation are the most direct causes of geological disasters, and
also the driving conditions for the development of geological disasters. When the general
precipitation is more than 160mm and the rain is stronger than 18 mm/h, it is easy to stimulate
the debris flow. The continuous precipitation reaches 230 mm, and the average precipitation
intensity is more than 45 mm/d, which is easy to induce landslide.
(3) Unreasonable human engineering activities are an important inducing factor of geological
disasters of landslide flow. Artificial slope with slope greater than 60◦ is more prone to landslide
flow geological disasters.
(4) Taking targeted geological disaster prevention and control countermeasures can greatly improve
the geological disaster prevention and control effect.

62
ACKNOWLEDGMENTS

This work was financially supported by the Applied Research Project of Natural Science Foundation
of Hebei Province (No. E2020208071 and E2019208159).

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Li, J. & J.W. Wan (2012). The formation Conditions and Countermeasures of the Geological Hazards in
Changting County, Fujian Province. Research of Soil and Water Conservation, 19 (1), 192–211.
Liu, C. Z. & C. L. Chen (2020). Achievements and countermeasures in risk reduction of ceolofical disasters
in China. Journal of Engineering Geology, 28 (2), 375–383.
Liu, C. Z. & C. L. Chen (2020). Research on the origins of geological disasters in China. Geology Review, 66
(5), 1335–1348.
Liu, S. L. & F. Qiang (2017). Analysis of the Correlations Between Geohazard Distribution and its Factors in
Mianxian. Journal of Water Resources and Architectural Engineering,15 (1), 165–170.
Liu, Y. & H. J. Kang (2020). Spatial-temporal distribution of landslide rockfall and debris flow hazards in
Jiangxi Province. The Chinese Journal of Geological Hazard and Control, 31(4), 107–112.
Lu, Y. (2012). Development Characteristics and causes of the goe-hazards in Wangmo, Guizhou province.
Journal of Geological Hazards and Environment Preservation, 23 (3), 18–21.
Wang, K. (2016). Current situation of prevention countermeasures for geological hazards in Meishan city.
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Xu, Q. & R. Q. Huang (2002). Mechanism Analysis on Geological hazards triggered by external
disturbance.Chinese Journal of Rock mechanics and Engineering, 21 (2), 280–284.
Xue, K. X. & C. Li (2019). Analysis on the current situation of public perception of geological hazard and its
prevention and control. The Chinese Journal of Geological Hazard and Control, 30 (5), 113–120.
Yang, Q. C. & C. M. Yao (2015). Correlation analysis of geological hazards and topography in hilly areas in
Shandong province. The Chinese Journal of Geological Hazard and Control, 26 (2), 93–96.
Yao, N. W. (2021). Discussion on the characteristics, distribution rules and prevention measures of geological
disasters in Chaozhou Chaoan District. Western Resources, 6, 9–12.
Zeng, Z. & Z. Q. Zhang (2018). Developmental characteristics and forming conditions of geological disasters
in mianing county. Journal of Geological Hazards and Environment Perservation. 29(1), 17–22.
Zhang, H. X. & H. Q. Liu (2020). Development characteristics and formation mechanism of geological disasters
in Fangchenggang area. Geology and Mineral Resources of South China, 2020, 36(1), 46–54.

63
 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Study on the influence of rainfall and slope foot excavation on

slope stability

Long Qian, Ronghui Shen, Yupu Wu, Yu Liu & Fuji Gu∗
HEBEI GEO-ENVIRONMENT MONITORING, Shijiazhuang, China

ABSTRACT: Rainfall is the main factor leading to slope instability and shallow landslide. Based
on the finite element software MIDAS GTS NX, this paper uses the finite element strength reduction
method to analyze in detail the slope stability of the landslide of Zhangjiakou-Chongli Zhangcheng
high-speed Dahualang tunnel on the highway from Zhangjiakou to Chongli under the condition
of rainstorm. The soil material parameters are determined according to the investigation report
and empirical values. Through the modeling and calculation of the typical profile of the landslide,
the cloud diagram and safety factor are analyzed, and the slope support scheme is designed and
determined. It is concluded that with the excavation, the smaller the axial force, the greater the
shear force and the greater the bending moment of anti-slide pile support.

1 INTRODUCTION

In recent years, strong and continuous torrential rain has become the main reason for the loss of slope
stability. At present, the main part of considering the influence of rainfall on slope stability is the
study of saturated-unsaturated soil theory and the influence of the change of seepage field on slope
stability in the process of rainfall. There are ten landslides and nine times of water, and the change
of hydraulic conditions inside and outside the slope (such as sudden rise and drop of water level
in the slope, short-term heavy rainfall convective weather, etc.) is one of the main factors leading
to slope instability and failure (Zheng et al 2007) When the slope is subjected to short-term heavy
rainfall, the surface shallow rock mass is infiltrated first, the water level distribution in the slope is
extremely uneven, and the location of its real potential slip surface is complex and changeable. With
the continuous rainfall, the unsaturated area of rock and soil decreases gradually, and the influence
of matrix suction decreases correspondingly, the deep rock mass will be gradually affected by
Rain Water, and the safety factor of slope calculation will be further reduced (Song et al. 2019).
Therefore, the duration of rainfall, the size of rainfall and other factors will have a great impact on
the stability of the slope, and in-depth analysis of it is also of great value. At present, in the domestic
engineering application, because the qualitative evaluation method is not convenient for engineering
operation, it is still focused on using quantitative evaluation method to evaluate the stability of slope
engineering. There are also relevant provisions in the domestic slope design code, such as “Technical
Code for Building Slope Engineering” (National Standard of the people’s Republic of China 2014).
and “Code for Slope Design of Hydropower and hydraulic Engineering” (Electric Power Industry
Standard of the people’s Republic of China 2007). Limit equilibrium method (more specific and
appropriate analysis method needs to be selected according to the type of sliding surface) is listed
as the most basic analysis method. Zhangjiakou to Chongli Zhangjiakou to Chongli Zhangjiakou
Expressway Zhangcheng High Speed Dahualeng Tunnel, the design is a two-lane tunnel. The

∗ Corresponding Author: [email protected]

64 DOI 10.1201/9781003308584-10
overall trend of the tunnel is from southwest to northeast. The landslide section is located in the
RK18+045∼RK18+170 section on the south side of Dahualing Tunnel. The surface layer is mainly
expansive rock, and there have been two landslides. The area where the landslide is located is the low
mountain and hilly landform, the landslide is located in the ridge, the ridge is gentle and steep, and
the small gully is developed, which makes the surface topography of the slope broken, the lower part
of the slope is the mountain bag with gentle slope, and the upper slope is steeper, the average slope is
about 20◦ .
This paper takes Zhangjiakou-Chongli Zhangjiakou-Chongli high-speed Dahualeng tunnel of
Zhangjiakou-Chongli Expressway as the engineering research background, on the basis of full
collection of engineering geological and hydrogeological data, design data and site investigation,
in accordance with national laws and regulations and relevant technical requirements for slope
engineering. Theoretical analysis, mechanical test and numerical simulation are used to study the
seepage characteristics, stress-strain characteristics and stability of tunnel slope caused by rain-
storm. It also includes the study of the influence of foot excavation on the stress-strain characteristics
and stability of tunnel slope.

2 CALCULATION MODEL

If the strength reduction method is used to calculate the stability of the slope, the most commonly
used yield principle is Mohr Coulomb’s yield criterion.
In the calculation of Mohr-Coulomb constitutive model, it is necessary to input the calculation
parameters such as elastic modulus, Poisson’s ratio, cohesion, internal friction angle and so on.
According to the empirical values of the mechanical parameters of numerical simulation, the
physical and mechanical parameters of the landslide of Zhangjiakou to Chongli Zhangcheng high-
speed Dahualeng tunnel in Zhangjiakou to Chongli expressway in natural state are shown in the
table below.

Table 1. Table of soil material property parameters (kN/m/sec).

Saturated Internal
Unit Constitutive Elastic Poisson’s Bulk bulk Void friction
Soil mass type model modulus ratio density density ratio Cohesion angle

Rhyolite 2D plane Mohr-Coulomb 300000 0.2 21 23 0.8 60 60

strain
Expansive 2D plane Mohr-Coulomb 200000 0.3 20 21 0.73 50 28
rock strain
Gravel soil 2D plane Mohr-Coulomb 100000 0.2 20 20.3 0.73 35 30
strain
Concrete Elasticity 20000000 0.3 20

The model introduces that according to the survey report and topographic map of Zhangjiakou-
Chongli high-speed Dahualeng tunnel on Zhangjiakou-Chongli highway, the representative sections
1-1, 2-2 and 3-3 are selected to establish the model, the support scheme is designed and calculated,
and the results are compared.
The selection of the constitutive model is closely related to the accuracy of the finite element
analysis results. In this paper, the Mohr-Coulomb model is used in the soil part and the elastic
model is used in the supporting structure part.
The following is the section view of the three slope designs after the geometric model has been
built and meshed.

65
Figure 1. 1-1 profile model. Figure 2. 2-2 profile model.

Figure 3. 3-3 profile model.

3 ANALYSIS RESULT

3.1 Results without support

Figure 4. Natural unsupported TX.

Without support, the horizontal displacement profile of the slope in Figure 4(a) shows that the
maximum horizontal displacement is 7.21 cm.

66
3.2 Support scheme
3.2.1 Gravity retaining wall support
Gravity retaining walls are used to support natural slopes or artificial fill slopes to keep the soil
stable. The self-weight of the large cross-section wall blocks the filling behind, which is the main
part to prevent the slope of the gravity retaining wall from slipping. The wall can be built of stone
or concrete, and there is generally no reinforcement or little reinforcement in the construction. The
utility model has the advantages of simple form, local materials and easy construction, but it has
a great impact on the surrounding area and occupies a large area.

3.2.2 Anti-slide pile support

The characteristic of anti-slide pile support is that the lateral thrust of the upper part of the slope
is transferred to the lower part of the anti-slide pile, and the lower soil of the anti-slide pile is used
to offset the upper part of the thrust, which is mainly subjected to lateral pressure. According to
the supporting principle of anti-slide pile, the anti-slide pile is selected to be arranged at the foot
of the landslide and in the middle of the landslide, reinforced concrete beam, 200mm ∼ 200mm
concrete, HRB400 for main reinforcement and HPB300 for stirrups are selected.

3.3 Result analysis under support condition

3.3.1 Displacement field analysis
Because the corresponding displacement of the strength reduction method is the displacement
result of continuous iteration, it has no practical significance. However, the displacement results
produced by continuous iteration show that the sliding surfaces of the three sections are arc-shaped,
and the maximum displacement appears at the foot of the slope at a distance of 15 m from the
surface, which means that in the whole process of model calculation, the foot of the slope is the
most prone to slide. Comparing the displacement cloud images before and after rainfall, we can
see that the maximum displacement at the foot of the slope increases after rainfall. The following
pictures show the X direction (horizontal direction) displacement cloud map corresponding to the
1-1 profile in the natural state and the rainfall state.

Figure 5. Horizontal displacement diagram of section 1-1.

3.3.2 Analysis of axial force, shear force and bending moment of anti-slide pile
According to the analysis of the above picture, the minimum axial force of anti-slide pile decreases
and the maximum axial force increases after rainfall; the minimum shear force decreases and
the maximum axial force decreases; the minimum bending moment increases and the maximum
bending moment decreases.

67
Figure 6. Axial force diagram and shear force diagram moment diagram of 2-2 section in natural state.

Figure 7. Axial force diagram and shear force diagram of 2-2 section after rainfall.

4 SAFETY FACTOR ANALYSIS

According to the Technical Code for Building Slope Engineering GB50330-2013, the stability state
of slope can be divided into four states: stable, basic stable, unstable and unstable.
When the slope safety factor FS < 1.00, the slope is in an unstable state; when the slope safety
factor is 1.00 ≤ FS < 1.05, the slope is in an unstable state; when the slope safety factor is 1.05 ≤
FS < 1.30, the slope is in a basically stable state; when the slope safety factor FS > 1.30, the slope
is in a stable state.
The comparison of safety factors of each profile before and after rainfall is as follows:
Table 2. Comparison of safety factors before and after rainfall.

Section Working condition Safety factor Slope stability state

1-1 Nature 1.237 Basically stable

Rainfall 1.087 Basically stable
2-2 Nature 2.112 Stable
Rainfall 2.125 Stable
3-3 Nature 1.378 Stable
Rainfall 1.356 Stable

5 CONCLUSION

This paper mainly takes the parameters of anti-slide pile support and retaining wall support as
the main research object. Several main parameters and corresponding working conditions are
calculated, analyzed and compared to determine the optimal parameters to ensure the stability of
the slope.

68
 The soil material parameters are determined according to the investigation report and empirical
values. Through the modeling and calculation of the typical profile of the landslide, the cloud map
and safety factor are analyzed, and the slope support scheme is designed and determined.
Based on the background of the landslide of Zhangjiakou-Chongli Zhangjiakou-Chongli high-
speed Dahualeng tunnel in Zhangjiakou-Chongli expressway, this paper makes a detailed analysis
on the slope stability of the same support scheme of the landslide in Zhangjiakou-Chongli
Zhangjiakou-Chongli high-speed Dahualeng tunnel of Zhangjiakou-Chongli expressway under
the condition of rainstorm based on MIDAS GTS finite element software.
The main contents are as follows:
(1) The analysis and calculation method of soil slope stability is briefly introduced, and the
influence of rainfall and excavation on slope stability is analyzed.
The common support schemes and application conditions of the slope are compared, and an
economical and reasonable support scheme suitable for the landslide of Zhangjiakou-Chongli
Zhangcheng high-speed Dahualang tunnel on Zhangjiakou-Chongli expressway is given.
(2) In practical engineering, the weakening behavior of rock and soil strength occurs with the
process of rainfall infiltration, but the rainfall intensity of different time length is mainly used
to represent the parameters of rainstorm in this paper.
(3) There are many supporting parameters involved in slope engineering, and there are also many
factors affecting the degree of stability.

REFERENCES

Electric Power Industry Standard of the people’s Republic of China. (2007). Code for Slope Design of
Hydropower and hydraulic Engineering. China Electric Power Press.
National Standard of the people’s Republic of China. (2014). Technical Code for Building Slope Engineering.
China Construction Industry Press.
Song Yaya, he Zhongyi, Zhu Peining, Lu Tinghao. (2019). Parameter study on the effect of rainfall infiltration
on the stability of unsaturated soil slope. J. Journal of Water Conservancy and Construction Engineering:
72–78.
Zheng Yingren, Chen Zuyu, Wang Gongxian, Ling Tianqing. (2007). Slope and landslide engineering
treatment. M. People’s Communications Publishing House.

69
 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Characteristics and controlling factors of Jurassic limestone reservoir

in the piedmont of Kisar Mountain in Amu Darya Basin

Huiping Xia
Geological Exploration and Development Research Institute of CNPC Chuanqing Drilling Engineering Co.,
Ltd., Chengdu, Sichuan, China

ABSTRACT: The characteristics of Jurassic carbonate reservoirs in various structural belts in

the piedmont of Kisar Mountain east of Amu Darya Basin or different well areas of the same
structure are quite different. Due to complicated controlling factors, the reservoir development
and distribution law are not clear, and the deployment of high-yield wells is difficult. Through the
comprehensive analysis of cores, thin sections, well logging and geochemical data of 17 exploration
wells in this area, the research shows that in the Jurassic limestone of the front belt of Kisar
Mountain east of Amu Darya Basin, micritic granular limestone and granular micritic limestone
are good reservoir rocks and that the granular micritic limestone and micritic limestone can still be
used as good reservoir rocks after structural fracture and dissolution transformation. Fractures and
corrosion holes developed along fractures are the main reservoir space. The physical properties
of the matrix reservoir are poor. The matrix reservoir space is only a small number of biological
mold holes, body cavity holes and occasional intergranular solution holes. Jurassic limestone in
the Kisar Piedmont belt in the east of Amu Darya Basin is developed in the lower-gentle slope
facies belt, which does not have the diagenetic environment for reservoir development in the quasi-
syngenetic early diagenetic stage. However, affected by the tectonic activities of Early Cretaceous
strong tension and Paleogene quaternary strong tectonic compression and uplift, faults/fractures
are relatively developed, providing a channel for the dissolution transformation of surrounding
rock by later diagenetic fluid and an important prerequisite for the development of reservoir in
the study area. The key to developing and forming reservoirs in the study area is the dissolution
of hydrothermal fluid and hydrocarbon emplacement organic acid. Along the large fault zone or
fracture intensive development zone, the reservoir development is better.

1 INTRODUCTION

The oil and gas resource area of Amu Darya Basin is the source of the West-East National Gas
Transmission Project in China. The Jurassic Callovian-Oxfordian carbonate strata in this area are
important productivity replacement strata. Ten oil-gas traps have been found and confirmed in
the Kisar Piedmont belt east of the Amu Darya River. A total of 17 exploration wells and four
development wells have been drilled. The tested gas production of a single well is between 100,000
m3 / day and 1.3 million m3 / day, and the gas production of a single well varies greatly. Test
and production performance data show that the reservoir characteristics and controlling factors
governing single well production in each structural belt or the same structure are complex, and
that the reservoir development and distribution law is not clear. According to the public literature,
only Liu Shilei (Cheng 2013; Liu 2012, 2013) have studied the reservoir characteristics of Aguirre
Gas Field in the front of Kisar mountain in the east of Amu Darya Basin. In this area, it has been
found and confirmed that the reservoir characteristics and reservoir genesis of 10 gas-bearing traps
(gas fields) are very complex. Moreover, the development and distribution law of high-quality
reservoirs is not clear. Apart from that, there are few references for deploying high-yield wells,
and the deployment is difficult. This paper makes full use of the core, thin section, well logging
and geochemical data of 17 exploration wells to carry out detailed research on reservoir lithology

70 DOI 10.1201/9781003308584-11
and reservoir space, reservoir physical properties and diagenesis of key reservoirs, so as to clarify
the characteristics and main controlling factors of Jurassic carbonate reservoirs in this area, and
to provide a reliable geological basis for implementing the development and distribution law of
high-quality reservoirs and the deployment of high-yield wells, as well as a reference for reservoir
research with the similar geological background.

2 GEOLOGICAL BACKGROUND

Amu Darya Basin is a Mesozoic Cenozoic sedimentary basin formed by multi-stage structural
transformation (Li 2015; Nie 2013; Xu 2010). The Kisar area in the east of Amu Darya Basin is
subject to the strongest tectonic stress. ① Akkumlamo (AK) - Tangara (T) - Gokmiar (G), ② East
Kuwatak (EK) - Aguirre (A) - East Hojagur Luk (EH), ③ Dashrabat (D) - Hojagur Luk (H), ④
Dugoba (DU) - West Calla Melgen (WJ) - Calla Melgen (J) and other high and steep fault zones
are successively formed in front of the Kisar nappe. Each main fault is broken from the basement
to the salt-gypsum layer (Figure 1A and B), and a series of anti “Y” shaped, and imbricate faults
are developed. The fault extension length ranges from 1.5 km to 25 km, and the fault distance is
80 m – 500 m.

Figure 1. Geological Features of the Front Belt of Kisar Mountain in the Amu Darya Basin. A. Map of the
location and tectonic features of the front belt of Kisar Mountain in the Amu Darya Basin; B. Geological
section of A-A in Figure A; C. Integrated stratigraphic-sedimentary phase bar map of the Jurassic tuff layer

The Callovian stage is a carbonate lower-gentle slope environment, with argillaceous limestone
at the bottom. The outer gentle slope mud microfacies most developed in micritic limestone are
developed at the lower part (Cui 2017; Tian 2017; Xu 2012; Zhang 2014). The outer gentle slope
hill microfacies interbedded with granular micritic limestone are developed at the middle-upper
part. The Oxfordian stage develops into a carbonate undulating lower-gentle slope environment,
and the lower-gentle slope mud microfacies mainly composed of micritic limestone are developed

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at the lower part. The microfacies of bioclast/sand grain micritic limestone and the most developed
lime mud mound/granular mound intergranular beach are developed in the middle and upper part
of the area. In the Jurassic Callovian-Oxfordian stage, the piedmont area of Kisar Mountain in
Amu Darya Basin is generally a deep-water sedimentary environment, and the material conditions
supporting the development of matrix reservoir are limited (Figure 1C).

3 RESERVOIR CHARACTERISTICS AND KEY DIAGENESIS

3.1 Reservoir lithology

The rock slice identification data show that among the Jurassic limestone in the high and steep struc-
tural belt in the east of Amu Darya Basin, micritic bioclastic, sandy granular limestone and granular
micritic limestone are better reservoir rocks. The granular micritic limestone and micritic limestone
can still be used as good reservoir rocks after structural fracture and dissolution transformation.
(1) Micritic granular limestone and granular micritic limestone
In this type of rock, one part of the particle type is biological debris with large individual
differences and disorderly distribution (Figure 2-a∼e); the other part is sand debris particles, and
occasionally pellets formed by microbial adhesion. The particle content in this type of rock matrix
is between 40% - 60%, which is mainly supported by plaster. Except for some spherical biological
mold holes, a few intergranular solution holes and occasional intergranular holes, other holes are
underdeveloped in argillaceous granular limestone and granular argillaceous limestone matrix. On
the surface of the rock sample, visible corrosion holes can be seen along the cracks, with hole
diameters ranging from 0.2 mm to 50 mm. These holes are half-full filled with calcite. In general,
in the Jurassic limestone of the high and steep structural belt in the east of Amu Darya Basin, the
development degree of micritic granular limestone and granular micritic limestone is only 23%,
and the rock matrix of this type is relatively dense, but it has become a better type of reservoir rock
after structural fracture and dissolution transformation in the diagenetic stage.

Figure 2. Figure of lithological features. a. Bioclasts packstone sponge, well H-22, cast thin section (-);
b. Granular microleucite tuff, well A-21, cast thin section (-); c. Oncolite bioclasts packstone tuff, well J-21,
cast thin section (-); d. Bioclasts micrite, well G-21, cast thin section (-); e. Bioclastic-Packstone-Bearing
sandstone micrite, well EH-22, cast thin section (-); f. Bioclastic-Packstone-Bearing sandstone micrite, well
A-21, cast thin section (-); g. Micrite, well A-21, cast thin section (-); h. Cryptite, well G-21, cast thin section (-).

(2) Granular micrite limestone and micrite limestone

This type of rock contains particles such as thin shell ostracods and spherical organisms, with a
5% – 25% particle content. The matrix is dense, and the matrix holes are underdeveloped (Figure 2–
e∼h). On the surface of the thin microscope section and rock sample of the coring section, it can be
seen that microfractures are highly developed, and the fracture density in some sections is up to 10
pieces/m. Most of the fractures are accompanied by the development of visible dissolution holes,

72
with hole diameters ranging from 0.2 mm to 30 mm. These fractures and holes are half-filled with
calcite. Granular micrite limestone and micrite limestone in the study area can still be used as good
reservoir rocks to transform fracture and dissolution.

3.2 Reservoir space characteristics

3.2.1 Holes
The rock thin section identification data show that the Jurassic limestone reservoir in the high
and steep structural belt in the east of Amu Darya Basin is rich in hole types. They are mainly
secondary holes, including intergranular solution holes, intragranular solution holes, mold holes,
intergranular micro-holes (Figure 3–a, b).
1 Intergranular dissolved holes
The intergranular solution hole is formed by the dissolution of intergranular cement, plaster
matrix and some particles. It is also the most developed and important reservoir space type in the
Jurassic limestone reservoir of the eastern high and steep structural belt. Such holes are mainly
developed in algal agglomerate bioclastic limestones with relatively developed residual primary
intergranular holes (Figure 3–c∼d). Its remarkable feature is that it can track and superimpose the
development of residual primary intergranular holes. Therefore, it is often closely symbiotic with
residual primary intergranular holes. The main difference between the two is that the hole wall of
residual primary intergranular holes is smooth and the hole diameter is consistent. The hole wall of
the intergranular solution hole is in the shape of dissolution harbor or burr, with the great difference
between large and small, and better connectivity. Its face rate is the highest, up to 2% ∼ 5%, which
makes the greatest contribution to the reservoir.
2 Internal dissolved holes
Intragranular dissolved holes refer to the holes formed by selective dissolution in various organ-
isms and particles. Intragranular dissolved holes are mainly distributed in some biological debris,
algal debris and pellets (Figure 3–e). Such holes can be formed by incomplete dissolution of bio-
logical debris and algal debris by atmospheric fresh water in the early stage, or by dissolution due
to maturity of organic acids after granular dolomitization in the diagenetic stage. Intragranular
dissolved holes are often filled by calcite, authigenic quartz and pyrite aggregates, resulting in a
great reduction of intragranular dissolved holes. Therefore, the face rate is relatively low, 1% ∼
2%, which makes a certain contribution to the reservoir.
3 Mold holes
Microscopically observe the intragranular dissolved holes formed by the dissolution of common
foraminifera, valve gills and gypsum. When the dissolution continues, the intragranular dissolved
holes further expand until all the particles are dissolved to form mold holes (Figure 3–f∼g), while
the particle components such as algal sand debris, pellets, spines and brachiopods basically do
not dissolve. Therefore, the number of mold holes in rocks with different particle components is
different, showing strong characteristics of selective dissolution. Its face rate is usually between
1% ∼ 3%, which greatly contributes to the reservoir.
4 Intergranular micro-holes
Cast thin section and SEM observation show that intergranular micro-holes are generally devel-
oped in Jurassic limestone reservoir in the front area of Kisar Mountain in the east of Amu Darya
Basin, but the hole size is generally between 0.003 ∼ 0.02 mm, mostly small and microporous,
mostly in regular polyhedron shape (Figure 3–h). The connectivity of intergranular micro-holes
is general, and the face rate is generally less than 0.5%, which has a limited contribution to the
reservoir.

3.2.2 Cracks
Core observation and thin section identification shows that the fracture types of Jurassic limestone
reservoir in the Piedmont area of Kisar Mountain can be divided into multi-stage structural fractures,
dissolution fractures along structural fractures and diagenetic pressure solution sutures.
Jurassic strata in the Piedmont area of Kisar Mountain in the east are greatly affected by tec-
tonic movement, and structural fractures are relatively developed, mainly high-angle fractures
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(Figure 3–i). Most of the structural fractures formed in the early stage have been fully filled with
calcite and quartz. Most of the structural fractures formed in the late stage are fully filled, with a
status of being open or half-open.
The generation of structural fractures can provide important seepage channel conditions for
dissolution. The further generated dissolution fractures and caves can significantly improve the
reservoir permeability and form fracture cave reservoir (Figure 3–j), which makes a significant
contribution to the reservoir and is also one of the important factors for high production in the East
(Figure 4).
In sedimentary diagenesis, pressure solution fractures are formed under the action of groundwater
and chemical pressure solution, which are distributed along layers, in irregular curved or serrated
shape, and filled with argillaceous and organic matter (Figure 3–k).

Figure 3. Spatial characteristics of Jurassic Tuff Reservoirs in the front belt of Kisar Mountain in the Eastern
Amu Darya Basin. a. Gray packstone in a dissolution cave, characterized by development along crevices, with
the cavity size up to 1.5*1.8 cm, well J-21; b. Light gray and gray cryptite, in a dissolution cave half-filledfully
filled by calcite and half-filled by quartz, well A-24; c. Powder-crystal sphere-like tuff, whose spherical
grains are of uneven size and whose algae bacterial cementation is obvious, and hence boxwork structure
space, with intergrain cemented calcite crystals seen in residual pore development (gypsum test panels are
adopted, and pink powder is used to present pore space), well H-21, plain flake (+); d. Biomicrite, with intra-
and intergrain solution pores, and fracture-type throat channels, well H-23; e. Bioclastic-packstone-bearing
sandstone micrite, with biogenic debris dissolved to form intra-grain solution pores, well A-22, cast thin
section (-); f. Microbe-sponge skeleton reef tuff, in which sponge-spicule moldic pores can be seen, well H-22;
g. Bioclastic limestone, among which bioclastic bryozoons are dominated by carpals, and then foraminifera,
with echinoderm spicules, with rock pores more developed, mainly cast pores, 0.1–0.2 mm in size, with face
porosity 5%, well A-21; h Microcrystalline bioclastic-bearing sand clastic tuff, secondary calcite crystals fill
the pores, in which intergranular pore development can be found, well A-22 SEM, magnified by 1900; i. Dark
gray tuff with vertical tectonic fractures, well G-21; j. Gray micrite, with several vertical tectonic fractures
developed and strong dissolution seen along the fractures which are mostly semifully filled by granular calcites,
with fracture width of 1–15mm; few dissolution holes are developed, with dissolution holes being 1–5mm in
diameter and closures being well developed, with fracture width of 0.2–1mm, mostly bituminous fully filled,
H-22; k. Closure lines are well developed, mostly bituminous fully filled, and the rock blocks mostly in contact
with each other with flat closures, and bitumen seen in the section, well H-22. l. Gray micrite, bitumen is seen
on the closure faces, well H-22.

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Figure 4. Fracture-hole logging features of the Jurassic Tuff Reservoir in the Front Belt of Kisar Mountain
of the Eastern Amu Darya Basin.

3.2.3 Holes
Dissolution holes of different sizes (Figure 3-a-b) are commonly developed along the crack in the
heart. They are characterized by irregular hole shapes and large hole diameters. The hole diameter
is mostly 2 mm ∼ 18 mm, up to 50 mm ∼ 25 mm. The hole is half-filled with calcite. It can also
be seen that some early karst holes are fully filled with subsequent calcite. This kind of karst cave
has good connectivity and reservoir performance due to its development along fractures, which
has significantly improved reservoir permeability in the study area (Lu 2013; Ma 2019; Nie 2013,
2017).

3.3 Reservoir physical properties

The analysis of the data of 710 core samples shows that the matrix physical properties of Jurassic
limestone reservoir in the piedmont area of Kisar Mountain in the east of Amu Darya Basin are
poor. Among them, the porosity values of 180 samples of micritic granular limestone and granular
micritic limestone are between 0.09% - 10.14%, with an average value of 2.41%. The samples
with a porosity value greater than 3% (lower limit of the effective reservoir) only account for
12% of the total samples. The permeability is 0.0001 mD - 2079.012 mD; the main peak value
is distributed between 0.01 mD -10 mD; and the average value is 6.77 mD. The porosity values
of 530 samples containing granular micrite limestone and micrite limestone are between 0.08% -
2.62%, with an average value of 1.24%. The samples with a porosity value greater than 3% (lower

75
limit of the effective reservoir) account for only 6.4% of the total samples. The permeability is
0.0001 mD-1486 mD. The main peak value is 0.01 mD-100 mD. The average value is 16.2 mD. In
comparison, the porosity of micritic granular limestone and granular micritic limestone samples is
slightly better, while the porosity of granular micritic limestone and micritic limestone samples is
slightly worse, but the permeability is slightly better.

3.4 Key diagenesis of reservoirs

(1) Tectonic rupture
Kisar Piedmont structural belt in the east of Amu Darya Basin is strongly affected by tectonic
stress. Imbricate faults are developed (Figure 5), and associated fractures are very developed (Figure
6-a and b). Core observation and imaging logging data show that fractures in the east of Amu Darya
Basin are very developed, with an effective fracture density of 8 pieces/m. Micro-fractures with a
width less than 1 mm account for more than 70%, and high angle fractures are the best developed
(Figure 6–e and f).

Figure 5. Characteristics of the tectonic style of the front belt of Kisar Mountain in the Eastern Amu Darya
Basin.

(2) Burial dissolution

① Hydrothermal dissolution
At the bottom of the gas reservoir in the east of Amu Darya Basin, the fluid released from the
sediment due to compaction can migrate upward along the fracture, resulting in fluid cooling,
making the calcium carbonate in it unsaturated and further dissolving the calcite in the fracture.
The dissolution holes in the fractures in the study area are typical representatives of hydrother-
mal dissolution. Hydrothermal dissolution has dramatically improved the seepage capacity of the
reservoir (Figure 6–g and h).
② Organic acid dissolution
With the increase of the burial depth of the target layer and the changes of temperature and
pressure, the solubility of acid gases such as CO2 in formation water improves, which enhances the
corrosivity of formation water. In addition, the source rocks of the Jurassic Chia Gara formation in
the Amu Darya Basin entered the oil generation threshold at the end of the Paleogene. During the
process of hydrocarbon degradation and organic matter maturation, many gases other than CO2 and
organic acids were mixed into hole water to react chemically with carbonate rocks. The solution
of existing holes and fractures was expanded, or new dissolution holes and fractures were added to
form nonfabric selective solution holes and dissolution joints, etc. (Figure 6–c).
(3) Filling effect
Carbonate rocks in the east ofAmu Darya Basin have a strong filling effect in medium deep burial.
The holes and fractures are filled and damaged by continuous calcite / coarse-grained calcite, and the
micro-fractures are filled mainly by calcite. Thin section identification and electron probe analysis
determined that the filling material is mainly calcite, and other filling materials mainly include
clay minerals, dolomite, siliceous, gypsum, iron oxide, etc. The filling effect is the diagenesis with
the strongest reservoir hole development and failure in the study area (Figure 6–d).

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Figure 6. Characteristics of critical diagenesis of Jurassic Tuff Reservoirs in the Front Belt of Kisar Mountain
in the Eastern Amu Darya Basin. a. Bioclastic tuff with algal clumps, in which one tectonic fault can be seen,
0.1–0.8 mm wide, penetrating the flake, almost completely filled with calcite, well H-22, cast thin section (-);
b. Bioclastic tuff with several dozens of tectonic faults crosscutting in a reticulated pattern in three groups,
locally horsetail-shaped, 0.01–0.06 mm wide, strongly filled with calcite, with trace pores in two of the faults,
well A-24; c. Composite granular tuff with organic matter dissolution forming intergranular solution pores,
well A-22, cast thin section (-); d. Bioclastic-algae-bearing micrite with fractures filled with calcite, well D-21;
e. Gray bioclastic-bearing cryptite with one vertical tectonic fracture developed, half-filled with calcite, with
a few solution pores developed along the fracture, well H-22; f. gray bioclastic-bearing cryptite with more
developed vertical fractures, fully filled with calcite, well H-23; g. Micrite of high angle seam development,
seam width 2–4 cm, half-filled by self-crystalline calcite, J-21 well; h. Gray bioclastic cryptite, with vertical
fractures and high angle tectonic fractures well developed, whose width varies from 1–25 mm, which is
half-filled by calcite with strong dissolution along the vertical fracture, and more developed dissolution pores,
where the cavity is mostly half-filled by coarse crystal calcite, G-21 well.

4 MAIN CONTROLLING FACTORS OF RESERVOIR DEVELOPMENT AND FORMATION

4.1 Two-stage tectonic fracturing is an important prerequisite for reservoir development

The Jurassic strata in the east of Amu Darya Basin mainly went through three stages: long-term early
diagenesis shallow burial → rapid burial and stable burial after strong tension in the early Upper
Cretaceous → Paleogene quaternary strong tectonic compression and uplift. The core fracture
characteristics and acoustic emission test results jointly reveal that three stages of micro-fractures
are developed in the limestone in the study area. The first stage is diagenetic pressure solution
fractures in the early diagenetic (shallow burial) stage. Xu Wenli et al. (2012) (Xu 2013), according
to the ESR dating results of quartz filling in the fracture in the Sandikre uplift area, it is considered
that the fully filled fracture in the first stage was formed in the late Yanshan movement (119
MA ago). ESR dating results of the filling quartz in the structural fracture in the high and steep
structural belt suggest that the second stage of structural fracture was formed in the early Himalayan
movement (61.31 MA ago). As mentioned above, the reservoir matrix conditions in the study area
are poor. The structural activities in the two key periods of rapid burial and stable burial after strong
tension in the early Upper Cretaceous → Paleogene quaternary strong structural compression and
uplift are of great significance to the reservoir development in the study area and an important
premise for the reservoir development in the study area.

4.2 Deep thermal fluid activity is the key to reservoir development

The Jurassic limestone in the study area is developed in the lower-gentle slope facies belt, lacking
the advantages of paleogeomorphology and paleoenvironment eroded by freshwater leaching. It has

77
been located below the sea level for a long time, and does not have the diagenetic environment to
develop quasi syngenetic early diagenetic reservoirs. However, the tectonic transformation in this
area is the strongest due to the strong tension in the early Upper Cretaceous and the strong tectonic
compression and uplift in the Paleogene quaternary system. The widely developed large fault
breaks from the basement to salt-gypsum rock, driving the deep hydrothermal fluid to dissolve
the surrounding rock near the fault, as evidenced by the dissolution holes developed along the
fault/fracture. The average value δ 13 C of 12 samples from the lower-gentle slope limestone in the
high and steep tectonic belt is 3.06‰, which is close to the δ 13 C value of seawater in the same
period (the average δ 13 C value of the Oxfordian-stage thick shell clams is 4.05‰ (He 2014; Xu
2018)), and the average δ 18 O value is -6.79‰. The δ 18 O values are more negative than those
of the seawater of the same period (the average value δ 18 O of Jurassic Oxford-class thick shell
clams is -1.62‰), indicating that the rock samples of Mount Kishar were subjected to diagenetic
alteration by high-temperature and high-temperature burial fluids, and saddle-shaped dolomite and
other typical hydrothermal minerals can be found in fractures and dissolution holes. Petrology and
geochemistry jointly reveal that the reservoir in the study area has been transformed by strong and
large-scale deep hydrothermal fluid, which is one of the key factors for reservoir development in
the area.

4.3 Continuous hydrocarbon filling and organic acid dissolution are other two important
factors for reservoir development
Under the background of strong tension regional tectonic activity in the early Upper Cretaceous,
the lower Jurassic Sea land transition coal measure strata were rapidly buried at a depth of more
than 3000m, hydrocarbon generation and expulsion began in the early Cretaceous, the Paleogene
and Neogene matured in an extensive range, and the deep source rocks entered the gas generation
window (Zheng 2012). Temperature measurement of reservoir inclusions, laser Raman composition
analysis and petrological characteristics jointly confirmed that liquid hydrocarbons, organic acids,
and natural gas formed along the fault entered the Jurassic limestone reservoir and gradually began
to be filled and occupied. The analysis temperature of reservoir inclusions is about 110 ◦ , and the
rich gaseous CH4 inclusions also support the oil and gas filling period. The dissolution section is
often seen in the suture on the core, and the intergranular solution holes in a small amount of granular
micrite limestone samples are occupied and dissolved by organic acids or liquid hydrocarbons in
a “nibbling” shape.

4.4 Analysis of major controlling factors of reservoir development

The Jurassic limestone in the high and steep structural belt in the east of Amu Darya Basin is
located in the lower-gentle slope facies belt. It does not have the diagenetic environment of the
penecontemporaneous and early diagenetic stage reservoir, and the reservoir matrix condition is
poor. However, affected by the tectonic activities of Early Cretaceous strong tension and Paleogene
quaternary strong tectonic compression and uplift (Figure 1), the developed faults/fractures provide
a channel for the dissolution transformation of surrounding rock by later diagenetic fluid and are
an important prerequisite for reservoir development in the study area.
Under the premise of two-stage tectonic rupture, the deep hydrothermal fluid driven by it carried
out large-scale dissolution transformation on the surrounding rock, and a large number of disso-
lution holes were developed. Superimposed hydrocarbon filling and organic acid dissolution can
further occupy and protect the holes and expand the dissolution. Hydrothermal fluid dissolution
and organic acid dissolution are the keys to developing and forming reservoirs in the study area.
Along the large fault zone or fracture intensive development area, the development degree of disso-
lution holes increases accordingly, indicating that the surrounding rock along the large fault zone
or fracture intensive development area is also the most strongly corroded by deep hydrothermal
fluid, and that the reservoir development degree is relatively high and good. In conclusion, the

78
closer the high and steep structural belt in the east of Amu Darya Basin is to the fault (fault), the
lower the geological risk of well location deployment.

5 CONCLUSION

(1) In the Jurassic limestone in the high and steep structural belt east of Amu Darya Basin, micritic
granular limestone and granular micritic limestone are good reservoir rocks. Granular micritic
limestone and micritic limestone can still be used as good reservoir rocks after structural fracture
and dissolution transformation. The matrix reservoir space is only a small number of biological
mold holes, body cavity holes and occasional intergranular solution holes. Fractures and corrosion
holes developed along fractures are the most important reservoir space. The physical properties of
the matrix reservoir are poor. Comparatively speaking, the porosity of micritic granular limestone
and granular micritic limestone is slightly better, and the porosity of granular micritic limestone
and micritic limestone is slightly worse, but the permeability is slightly better.
(2) The Jurassic limestone in the high and steep structural belt in the east of Amu Darya Basin is
developed in the lower-gentle slope facies belt, and does not have the diagenetic environment for
reservoir development in the quasi syngenetic early diagenetic stage. However, the area is affected
by two stages of tectonic activities: strong tension in the early Cretaceous and strong tectonic
compression and uplift in the Paleogene quaternary system. The developed faults/fractures provide
a channel for the dissolution transformation of the surrounding rocks by the later diagenetic fluid,
which is an important prerequisite for developing reservoirs in the study area. The key to reservoir
development and formation in the study area is the hydrothermal fluid dissolution driven by it
and the organic acid dissolution of superimposed hydrocarbon emplacement. Along the large fault
zone or fracture intensive development zone, the better the reservoir development is, the lower the
geological risk of well location deployment is.

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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Geology and genesis of Aerhada Pb-Zn (Ag) deposit, Inner Mongolia

Lamei Li
Institute of Mineral Resources Research, China Metallurgical Geology Bureau, Beijing, China

Lei Wang∗
Northwest Bureau of China Metallurgical Geology Bureau, Beijing, China

Haoran Wu∗
Institute of Mineral Resources Research, China Metallurgical Geology Bureau, Beijing, China

Yanmei Ma
Tianjin College, University of Science and Technology, Beijing, China

Huaibin Li & Junjie Yi

Institute of Mineral Resources Research, China Metallurgical Geology Bureau, Beijing, China

ABSTRACT: The Aerhada Pb-Zn (Ag) deposit, located in the East Ujimqin Banner, Inner Mon-
golia, has undergone five hydrothermal ore-forming stages: K-silicification stage, greisenization
stage, quartz-epidote-magnetite stage, chlorite-carbonate-sulfide stage, and argillization stage.
Inclusions are mainly composed of liquid-vapor two-phase inclusions, CO2-rich inclusions, pure
CO2 inclusions, and multiphase inclusions with daughter minerals. Ore-forming fluids evolved
from high temperature and salinity to low temperature and salinity. The early fluids were mainly
from magmatic hydrothermal fluids, as well as the contribution of strata. The trapping pressure
is approximately 200 MPa, with the presence of large magma emplacement depths. Caused by
Yanshanian intermediate-acid intrusive rocks, the deposit is epithermal. The greisen or porphyry
mineralization of W and Mo may exist in its deep part.

1 INTRODUCTION

The Aerhada Pb-Zn (Ag) deposit is located in the jurisdiction of Manduhubaoligesumu, in the
northeast of East Ujimqin Banner, Xilin Gol League, Inner Mongolia. The deposit is mostly covered
by the Quaternary Holocene, with Upper Devonian Angeeryinwula Formation (D3a ) and Upper
Jurassic Baiyingaolao Formation (J3b ) the only exposures. The deposit is located in the southeast
wing of the E’rengaobi compound syncline in the East Ujimqin fold belt. This area, affected by
multi-phase tectonic movements, has developed faults, folds, cleavage, and joint structures. Its
fault structures are dominated by NEE, NW, and NE trending, while NNE and EW trending are
also developed.

2 GEOLOGY OF THE DEPOSIT

2.1 Ore, orebody, and mineralization characteristics of the deposit

The mining area is mainly composed of three large ore vein belts, with Belts I, II, and III distributed
in sequence from north to south. Belt I, located in the north of the mining area, is the major belt

∗ Corresponding Author: [email protected] and [email protected]

DOI 10.1201/9781003308584-12 81
consisting of a series of nearly parallel veins of varying sizes. Geological characteristics are mainly
manifested as altered cataclastic slates, silicified altered rocks, quartz veins, and schistosity zones.
Ore bodies in the mining area are dominated by vein-type Pb-Zn(Ag) ores, followed by massive
ores and disseminated ores. Clear boundaries between vein-type and massive ores, as well as
ore-bearing surrounding rocks and disseminated ores, can be observed, while the latter shows
gradational relationships.
Ores in the Aerhada mining area can be classified into three basic types: Pb-Zn-Ag oxidized ores,
mixed ores, and Ag-Pb-Zn sulfide primary ores. The deposit is dominated by concealed orebodies,
with primary ores being the main type. The primary ores, based on structural characteristics,
can be subclassified into compact massive ores, breccia ores, sparse-disseminated ores, dense-
disseminated ores, banded ores, veined ores, reticular ores, etc.

2.2 Ore-forming stage

Based on geological investigations and combined with the rock and mineral identification of pol-
ished thin sections, it is found that the Aerhada Pb-Zn (Ag) deposit is characterized by multiple
phases and stages. The field vein body relations in the eastern and western area and the rock and
mineral identification results reveal that this mining area has undergone at least three phases, i.e.
sedimentary phase, hydrothermal phase, and supergene phase, as well as seven ore-forming stages.
The sedimentary phase is characterized by the development of asphalt and it’s inside strawberry
pyrite; the hydrothermal phase can be chronologically divided into five ore-forming stages, i.e.,
K-silicification stage, quartz-muscovite-tourmaline stage, quartz-epidote-magnetite stage, quartz-
chlorite-carbonate stage, and argillization stage, among which Stage 4 and 5 are the main Pb-Zn
(Ag) mineralization stages.

3 FLUID INCLUSIONS

Field and indoor studies have found that two sets of mineralization and alteration systems exist
in the mining area. On the main mining sites of the exploration area, sulfide mineralization,
chloritization, and silicification are best developed, while carbonation and clay mineralization
are also observed. In the west part of the exploration area, greisenization is widely developed,
in addition to magnetization, hematitization, epidotization, silicification, sericitization, etc. The
greisenized alteration in the west area exhibits typical alteration characteristics corresponding to
magmatic hydrothermal fluids, especially similar to those of greisen-type W and Sn deposits.
Alterations related to Pb-Zn mineralization in the mining area are manifested as chloritization,
fluorite mineralization, and carbonation. The fluid inclusion study is mainly aimed at the greis-
enized alteration in the west area and the carbonated and chloritized alteration in the mining
area.

3.1 Petrographic characteristics of the inclusions

Microscopic observation of fluid inclusions in quartz and calcite, mined from the mining area
surface, drilled cores, pits, the west area surface, and some drilled core samples, reveals that
the fluid in this area includes complicated inclusions, such as liquid-vapor two-phase inclusions,
CO2 -rich inclusions, pure CO2 inclusions, and multiphase inclusions with daughter minerals. The
inclusion size varies from several to tens of microns, mostly presenting elliptical, negative crystal,
and irregular shapes. According to the phase state characteristics at room temperature and the phase
state changes during temperature measurement, fluid inclusions can be classified into six types
and nine subtypes as follows.
AV type: liquid-vapor two-phase inclusions. They are composed of vapor and liquid phase
or pure liquid phase at room temperature. Inclusions are negative crystal, elliptical or irregular

82
in shape. According to the vapor phase proportion, phase change during microscopic temper-
ature measurement, and output state, this type can be further classified into three subtypes as
follows.
AV-1: Inclusions of this subtype are composed of vapor and liquid phases at room temperature,
with vapor phase proportions less than 10 vol%, and low homogenization temperatures. Such
inclusions are often secondary inclusions that are distributed linearly or along healed cracks.
AV-2: Inclusions of this subtype are composed of vapor and liquid phases at room temperature,
with vapor phase proportions ranging from 20 to over 80 vol%. The eutectic point is measured
between −20◦ C and −21◦ C, indicating that such inclusions are mainly H2 O-NaCl system.
AV-3: Inclusions of this subtype are composed of vapor and liquid phases at room temperature.
The eutectic point and freezing point are respectively below −50◦ C and around −31◦ C, indicating
that such inclusions are mainly H2 O-CaCl2 system.
V type: pure gas-phase inclusions. They have only one vapor phase in inclusions at room tem-
perature and tend to coexist with AV-2 inclusions with different vapor phase proportions (Figure
3-43), presenting the characteristics of boiling inclusion groups.
ADV type: multiphase inclusions with daughter minerals. They are composed of vapor, liquid,
and daughter mineral phases at room temperature. According to the microscopic characteristics of
daughter minerals, this type can be further classified into two subtypes as follows.
ADV-1: Inclusions of this subtype are composed of vapor phase, liquid phase, and a halite
daughter mineral (or of halite and other small unknown daughter minerals) at room temperature in
which opaque metallic daughter minerals can be sometimes observed. Such inclusions are rarely
seen in mining areas but are mainly found in the quartz of the tourmalinized altered granite or of
the biotite monzonitic granite in the north and west part of the west area.
ADV-2: Inclusions of this subtype are composed of vapor phase, liquid phase, columnar, and
needle-shaped non-saline daughter minerals at room temperature (Figure 3-44c, d). When heated
to above 450◦ C in the microscopic temperature measurement, the daughter minerals do not
significantly change. Such inclusions are mainly found in greisenized quartz.
AC type: CO2 -rich inclusions. They are composed of the aqueous phase, vapor phase, or liquid-
vapor two-phase CO2 at room temperature (Figure 3-45a, b). The inclusions are rounded or irregular
in shape, with CO2 proportions generally ranging from 15% to 90%. Such inclusions are mainly
developed in the quartz of the greisenized granite.
C type: Pure CO2 inclusions. They are composed of vapor phase or vapor-liquid two-phase CO2
at room temperature and present critical homogenization when heated.
ADC type: CO2 -rich inclusions with daughter minerals. At room temperature, they are composed
of an aqueous phase, vapor phase, or vapor-liquid two-phase CO2 , and a small daughter mineral
phase. When heated to above 400◦ C, the daughter minerals do not change, indicating that they
are non-saline daughter minerals, and accurately carbonate daughter minerals according to LRM
identification.
Based on the alteration type of the mining area, the classification of ore-forming stages, and
the petrographic results of fluid inclusions, the fluid inclusion assemblages in the mining area,
according to their occurrence, are classified into five types as follows.

I: Boiling inclusion assemblage: It is composed of ADV-1, AV-2, and V type inclusions,

which represent the fluid characteristics of magma exsolved fluid and early high-temperature
alteration.
II: CO2 -rich fluid inclusion assemblage: It is composed of AC, ADC, and C type fluid inclusions.
The coexistence between CO2 -rich inclusions with different CO2 proportions and pure CO2
inclusions shows the characteristics of immiscible inclusion assemblages, representing the fluid
characteristics in the greisenization stage.
III: Ca-rich fluid inclusion assemblage: Only a few AV-3 type inclusions are seen, which may be
the synchronous products with ADV-2 type inclusions, representing the fluid characteristics of
the quartz-epodite-magnetite stage.

83
IV: Aqueous fluid inclusion assemblage: It is composed mainly of AV-2 type inclusions, and rarely
of vapor-rich and pure liquid fluid inclusions formed by necking, representing the ore-forming
fluid characteristics in the chloritization stage.
V: Low-temperature water-rich inclusion assemblage: It is mainly composed of AV-1 type fluid
inclusions. Large bubbles or non-bubble fluid inclusions formed by necking are commonly
seen, representing the fluid characteristics of late low-temperature alteration (argillization
stage).

3.2 Microscopic temperature measurement results of inclusions

On the basis of detailed petrographic study on fluid inclusions, quartz and calcite samples of
different ore-forming stages in the hydrothermal phase were analyzed by microscopic temperature
measurement of fluid inclusions in this study, including the quartz in altered biotite monzonitic
granite, the quartz in greisenized K-feldspar granite, barren quartz veins, mineralized quartz veins,
the calcite in sulfide-calcite veins, etc. The measurement and analysis were conducted in the
Inclusion Laboratory of University of Science and Technology Beijing. The instrument was a
Linkam THMS 600 heating/cooling stage with a temperature range of −196 − +600◦ C. The
accuracy of freezing data and heating homogenization temperature data were ±0.1◦ C and ±1.0◦
C, respectively. The freezing point of liquid-vapor fluid inclusions was estimated by the given
formula (Hall et al. 1988), and the salinity of CO2 -rich (AC type) fluid inclusions was estimated
by the decomposition temperature of CO2 clathrates; the salinity of high-salinity fluid inclusions
was estimated according to the final saline solution temperature.
AV-1: Inclusions of this type have low homogenization temperatures (162 − 177◦ C) and
salinities (6.0-6.9 wt%NaCl equiv).
AV-2: Inclusions of this type have a large homogenization temperature range (258 − 405◦ C),
with salinities ranging from 1.23 to 14.3 wt%NaCl equiv.
AV-3: Inclusions of this type are characterized by low eutectic point (ca. -50◦ C) and freezing
point. They should be mainly H2 O-CaCl2 system. Only one homogenization temperature (376◦ C)
and freezing point data were obtained in this study. The CaCl2 salinity, estimated from the phase
diagram of CaCl2 -H2 O system, is approximately 15.5 wt%CaCl2 .
ADV-1: Inclusions of this type are characterized by lower bubble disappearing temperature than
saline solution temperature. The former temperature is measured at 171 − 209◦ C, and the latter at
231.4 − 312.5◦ C. The fluid salinities, estimated from the saline solution temperature, range from
33.4 to 38.7 wt%NaCl equiv.
ADV-2: Inclusions of this type have liquid-vapor homogenization temperatures at 335 − 348◦ C.
If the inclusions are continuously heated after the bubble disappearance to 450◦ C, the sub-crystals
will not be significantly changed. These crystals were speculated to be carbonate daughter minerals,
which is later confirmed by LRM.
AC: Inclusions of this type are mostly homogenized to the liquid phase, and rarely to the CO2
phase. The homogenization temperatures range from 346 to 409◦ C. The CO2 triple-point temper-
ature varies from −60.9 to −56.9◦ C, slightly lower than that of pure CO2 inclusions (−56.5◦ C),
indicating that a small amount of other volatile components, besides CO2 , may also exist in the
vapor phase. The decomposition temperatures of CO2 clathrates range from −0.9 to 8.5◦ C. The
inclusion salinities, calculated according to the formula of Roedder (1984), range from 16.21% to
20.40 wt%NaCl equiv.
It can be seen from the homogenization temperature-salinity diagram (Figure 1) that the lower
left of the AV-1 inclusion distribution illustrates low temperature and low salinity; AV-2 illustrates a
slight decrease in salinity with increasing temperature, which may result from the sequence of fluid
trapping. The CO2 -rich inclusions are distributed in the upper right of the AV-2 inclusions, with
moderate salinities and high temperatures. High-salinity inclusions are distributed along the halite
saturation curve, indicating that they have similar homogenization temperatures to AV-2 inclusions,
but with higher salinities.

84
Figure 1. Diagram of homogenization temperature versus salinity for fluid inclusions in liquid-vapor phase
and CO2 -rich phase.

3.3 Analysis of inclusion components

Based on the results of LRM analysis, the liquid-vapor fluid inclusion component in quartz related
to mineralization is mainly H2 O. The greisenized quartz inclusions have mainly H2 O in the liquid
phase, and CO2 as well as a small amount of CH4 , N2 , and H2 in the vapor phase (Gong et al. 2011;
Ma et al. 2014).
Water-rock reaction, a very common phenomenon in nature, can change the H and O isotopic
composition of fluids. The petrographic study of main altered rocks in the mining area suggests
that greisenized alteration has generally occurred in the strata, during which the clay minerals
have been mostly altered into muscovite, especially in the strong greisenized strata. When clay
minerals are converted into muscovite, a large amount of water will be dehydrated from those
clay minerals and then added to ore-forming fluids. This process is the main reason that the H-O
isotopic composition of fluid inclusion water shifts in the direction of kaolinite evolution curve,
indicating that the ore-forming fluid originated from the mixture between primary magmatic water
and metamorphic water formed by the dehydration of clay minerals in the metamorphic process.

4 GENESIS OF THE DEPOSIT

Through the study of fluid inclusions, including petrography, assemblage characteristics in different
ore-forming stages, microscopic temperature measurement, and analysis of H-O isotopes in water,
it can be summarized that the ore-forming fluids in the mining area mainly come from magmatic
water, which is mixed with the metamorphic water in the surrounding rock alteration process. From
the early K-silicification stage, greisenization stage, epidote-magnetite stage, chlorite-carbonate
stage, to argillization stage, ore-forming fluids evolved from high temperature, and high salinity
to low temperature and low salinity. They were mainly from magmatic hydrothermal fluids in the
early stage. Previous studies have indicated that the CO2 solubility in magma is far lower than
that in water, and is largely affected by pressure. Therefore, CO2 is more likely to be separated
from magma, due to pressure reduction, in the magma intrusion process. Studies have additionally
indicated that the widely developed greisenization in the mining area has relations with CO2 -rich
fluids, which should be exsolved from magma in the early stage. This exsolution is attributed to
the decreased pressure without a wide range of mineral crystallization and differentiation (first
boiling). Some water in the magma was also exsolved with CO2 , and rapidly rose, during which the
high temperature and permeability caused a large-scale greisenized alteration. After the exsolution
of CO2 -rich fluids, the magma continued to cool down, and some minerals, especially anhydrous
minerals such as feldspar, crystallized and differentiated. In this case, the water in magma was

85
saturated, which led to the second boiling of magma, thus exsolving water-rich fluids. These
exsolved fluids aggregated on the top of magma chambers, and shifted upwards along the fault as
a result of the early tectonic development, especially fault and crack, within the area. In addition,
the reduction in temperature and pressure gave rise to fluid boiling, forming a liquid phase with
high density and salinity and a gas phase with low density and salinity, as well as the crystallization
of altered minerals such as quartz.
Vapor-rich fluids rose along the pre-existing faults and underwent a strong water-rock reaction
to dehydrate the clay minerals in surrounding rocks. The water and organic matter produced in this
process flowed into ore-forming fluids, bringing about certain ore-forming elements. Hence, the
physicochemical characteristics of fluids were changed. Organic matter has a significant impact
on the redox conditions of fluids, causing the precipitation of Pb and Zn that stably migrate in the
form of Cl complexes in the fluid, thus forming the main Pb-Zn mineralization in the mining area.
This explains why Pb-Zn mineralization is mainly produced in surrounding rock strata, but less
developed in the altered rock mass.
The saline solution temperatures of the high-salinity fluid inclusions with halite daughter mineral
found in this study are all higher than their homogenization temperatures in the liquid-vapor phase.
Inclusions homogenized by halites are quite common in porphyry systems (Cline & Bodnar 1994;
Roedder 1984), typical examples of which are Qulong porphyry copper deposit (Yang et al. 2005)
and Chongjiang porphyry copper deposit (Xie et al. 2006) in east Gangdise ore-forming belt.
Such inclusions can be obtained by trapping high-pressure homogeneous fluids, or formed by
inhomogeneous trapping, post-trapping necking, stretching, and deformation after the formation
of inclusions, and the loss of water in inclusions (Becker et al 2008). In addition, inclusions that are
trapped in metastable and oversaturated fluids can also be homogenized in this way (Xie et al. 2006).
The principle should be the same as that described by Becker et al. (2008), in which the inclusions are
trapped from halite saturated solution, regarded as inhomogeneous trapping. Sketched by casting
points, Figure 2 shows the diagram of liquid-vapor homogenization temperature versus saline
solution temperature for Aerhada high-salinity fluid inclusions. It is estimated in Figure 2 that the
fluid trapping pressure is approximately 200 MPa, indicating that the magma has large emplacement
depths. This estimation result is far from the generally recognized porphyry emplacement depths
(0–3 km), but similar to the pressure measurement result of inclusions in deep veins of the porphyry
Mo deposit (Rusk et al. 2008).

Figure 2. Diagram of saline solution temperature (Tm) versus liquid-vapor homogenization temperature (Th)
for high-salinity fluid inclusions (Base map according to Becker et al., 2008).

86
5 CONCLUSIONS

Fluids related to K-silicification have high temperatures and salinities. Fluids related to greis-
enization are characterized by CO2 richness and have medium-high temperatures and medium
salinities. Fluids related to the quartz-chlorite-carbonate stage have medium temperatures, low
salinities, and CO2 poorness. Temperatures tend to decrease from the early to the late ore-forming
stage. Ore-forming fluids were mainly from magmatic water, as well as the contribution of clay
mineral dehydration in strata. The deposit should be an epithermal deposit related to Yanshanian
intermediate-acid intrusive rocks with large magma emplacement depths. The greisen or porphyry
mineralization of W and Mo may exist in its deep part.

REFERENCES

Becker SP, Fall A, Bodnar RJ.(2008)Synthetic Fluid Inclusions: XVII. PVTX Properties of High Salinity H2O-
NaCl Solutions (> 30 wt% NaCl): Application to Fluid Inclusions that Homogenize by Halite Disappearance
from Porphyry Copper and Other Hydrothermal Ore Deposits[J]. Economic Geology, 103(3): 539–554.
Cline J and Bodnar RJ. (1994)Direct evolution of brine from acrystalliz-ingsilicic melt at the Questa, New
Mexico, molybdenum deposit[J]. Econ.Geol., 89: 1780–1802.
Gong P, Wang R M, Xie Y L, et al.(2013) Fluid characteristics related to greisenization at Aerhada Pb-Zn(Ag)
deposit[J]. Acta Mineralogica Sinica, (S2): 2. (in Chinese)
Ma Y M, Ji Y G, Xie Y L, Tang Y W, Guo X, Li L Mi, Wang L, Zhang J. (2014) The Characteristics and Evolu-
tion of Ore-forming Fluids in A’erhada Pb-Zn-Ag Deposit, Inner Mongolia,China[J].ACTA GEOLOGICA
SINICA(English edition),88(z2):1141–1143
Roedder E. (1984) Fluid inclusions, reviews in mineralogy[J]. Mineralogical Society of America, 644.
Rusk BG, Reed MH, Dilles JH. (2008) Fluid Inclusion Evidence for Magmatic-Hydrothermal Fluid Evolution
in the Porphyry Copper-Molybdenum Deposit at Butte, Montana[J]. Economic Geology,103(2): 307–334.
Xie Y L, Yi L S, Xu J H, et al.(2006) Characteristics of ore-forming fluds and their evolution for Chongjiang
copper deposit in Gangdise porphyry copper belt, Tibet: Evidence from fluid inclusions[J]. Acta Petrologica
Sinica, 22(4): 1023–1030. (in Chinese)
Yang Z M, Xie Y L, Li G M, et al. (2005)Characteristics and forming process of ore-forming fluids at Qulong
copper deposit in Gangdise prophyry copper belt, Tibet[J]. Geology and Prospecting,41: 21–26. (in Chinese)

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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Microstructure characteristics and tectonic significance of bedrock

fault plane of the Kouzhen-Guanshan fault

Chenyi Yang & Xiaoni Li

Shaanxi Earthquake Agency, Xi’an, China

Wei Tao∗
Department of Geology, Northwestern University, Xi’an, China
Shaanxi Mineral Resources Geological Survey, Xi’an, China

ABSTRACT: The Kouzhen-Guanshan Fault is the boundary structure between the Weihe Graben
and the Ordos Block. In this paper, seven directional samples were collected from the bedrock sec-
tion at Kouzhen Town in the western section of the fault. The microstructural characteristics of thin
sections were observed under a microscope in an attempt to reveal the structure and evolution of The
Kouzhen-Guanshan Fault. Microstructural analysis shows that the fault experienced at least two
tectonic events: Caledonian compressive tectonic movement and Himalayan tensile tectonic move-
ment. Among them, the tensile motion reflects that the fault has a sinistral movement component.
This is consistent with the tectonic evolution of the Weihe Graben and the extension background
of sinistral movement formed by the extrusion of the Qinghai-Tibet Plateau since Cenozoic. The
comprehensive analysis shows that the microstructure characteristics of the Kouzhen-Guanshan
Fault are highly coupled with the regional tectonic background, which can provide a scientific
basis for understanding the formation, evolution, and kinematic characteristics of the fault.

1 INTRODUCTION

Microstructure refers to the microscopic structure of rocks and minerals, which cannot be observed
with the naked eye using the microscope. A detailed information on geological structure can be
obtained based on small-scale structural characteristics. It is one of the important research means of
structural analysis. At present, microstructure has made remarkable progress in solving geological
structure geometry, kinematics, dynamics, stress-strain analysis, and judging deformation temper-
ature and pressure conditions. For example, microstructure has been applied in the study of ductile
shear zone and ductile deformation, tectonic rock and mylonite, paleostress meter, pseudobasaltic
glass, and fault gouge (Chen et al. 2009; Liu 2002 2004; Hu et al. 2004). Before the 1990s, research
on the microstructure of carbonate rocks in the fault zone was relatively low. However, in recent
10 years, with the deepening of research and the improvement of research methods, the study of
carbonate microstructure has also developed rapidly. Among them, Billi has done systematic and
detailed work on the microstructure of carbonate rocks in the Mesozoic fault zone in the Apennine
Fold Mountain System in central Italy (Billi & Storti 2004; Billi 2005, 2007). Through microstruc-
ture analysis, the microscopic evidence of multi-stage movement of the fault was found, and the
movement stages and kinematic characteristics of the fault were identified. The research results
could be compared and confirmed with regional tectonic movement and the fault evolution process.
Their research was highly illustrative.
In this paper, the Kouzhen-Guanshan Fault, an important boundary structure between the Weihe
Graben and the Ordos Block, is selected as the research object. Previous studies have shown
that the fault experienced multi-stage tectonic superposition of Caledonian movement, Yanshan

∗ Corresponding Author: [email protected]

88 DOI 10.1201/9781003308584-13
movement, and Himalayan movement, and has been continuously active since the late Quaternary
(Chen & Zhou 1994; Hu 2008; Li 2016; Mi 1993; Peng 2017). The fault has characteristics of
tensional normal faulting with a high angle. At the same time, through geomorphic analysis and
current crystal deformation monitoring results, the fault is also considered to have the property
of left strike-slip movement (Li 1992; Xu 1988; Yang 2021). Fault rock is the direct product of
fault activity and the carrier preserving fault activity, and its microstructure characteristics have
indicative significance for fault activity. Because of this, we collected samples from the exposed
section in Kouzhen Town in the western section of the fault and directional thin sections were
ground, to reveal the action attribute of the Kouzhen-Guanshan Fault through microstructure.

2 OVERVIEW OF REGIONAL TECTONIC BACKGROUND AND THE FAULTS

2.1 The regional tectonic background

The Kouzhen-Guanshan Fault is the boundary between the Weihe Graben and the Ordos Block,
adjacent to Liupanshan arc structural belt in the west, between the stable block and active orogenic
belt, especially affected by Qinling composite continental orogenic belt, and has a long-term
complex regional tectonic activity background. The fault section exposed in Chunhua County;
Shaanxi Province is typical. The complex traces of Paleozoic and Mesozoic structures in the interior
of the fault and its north side reveal that the sedimentary caprock in this area has experienced three
stages (Figure 1) Early Paleozoic Caledonian movement: the tectonism in this period made the
Paleozoic marine clastic carbonate formation form a tight fold dipping from north to south. 2)
Yanshan movement at the end of Mesozoic: tectonic action caused the strong deformation of
Permian and Mesozoic, formed short axis, wide, gently folded, and brittle thrust nappe structure
and reformed the Caledonian structural layer covered by Permian. The above two periods of tectonic
movements have the property of compression and folds were formed. 3) Himalayan movement:
the process of extensional fault depression formed the basin, and the extensional fault structure
fracturing the early compressive tectonic deformation (Chen 1994).

Figure 1. Tectonic setting (upper) of the Kouzhen-Guanshan Fault; fault geological section (lower). (The
geological section is modified according to Chen 1994).

89
 F1: the Kouzhen-Guanshan Fault; F2: the Fuping-Qianxian Fault; F3: the Liquan Fault; F4:
the Weihe Fault; F5: the Longxian-Qishan-Mazhao Fault; F6: the northern Qinling Fault; F7: the
Lintong-Changan Fault; F8: the western Huashan Fault; F9: the northern Huashan Fault; F10: the
Weinan Fault

2.2 Overview of the fault

The Kouzhen-Guanshan Fault in the northern margin of the Weihe Graben, whose satellite image
is clear, is a large-scale extensional fault with a high angle. The north of the fault is the Ordos
Block and the south is the Weihe Graben. The fault starts from Yongshou in the west, passes
through Kouzhen and Luqiao, and reaches Guanshan in the northeast of Yanliang. The strike of
the fault is near EW, and its total length is more than 100 km. The section is inclined to the
south, with an inclination of about 80◦ . A typical section was exposed in the west of Yeyu River
at Kou Town. In this section, the Ordovician limestone in fault contacts with the Quaternary
sediments, with a fault distance of about 20m. After passing Luqiao, both sides of the fault are
Quaternary loess, and the fault was finally hidden at Guanshan Town (Chen & Zhou 1994; Mi
1993) (Figure 1). Since the Quaternary, the Weihe Graben has been pushed by the uplift of the
Qinghai Tibet Plateau, revealing the characteristics of sinistral extension (Zhang 2006), and the
fault is characterized by sinistral normal fault movement due to tension. The vertical motion is the
main movement form of the fault at present. At the same time, the geomorphic characteristics show
that the fault also has a certain horizontal sinistral torsional component. For example, the Yeyu
River, the Qingyu River, the Shichuan River, and many Holocene small gullies in front of the steep
mountains across the fault and all have sinistral torsion near the fault (Li 1992; Xu 1988; Yang 2021)
(Figure 2).

Figure 2. Topographical landscape and horizontal fault landform of Kouzhen-Guanshan Fault. (Modified
after Yang 2021).

90
3 MICROSTRUCTURE ANALYSIS

3.1 Sample collection

The sampling point is located atYeyu River Estuary in the western section of the Kouzhen-Guanshan
Fault (Figures 1 and 3). In this area, the fault scale is large, and the fault outcrop extends about 90 m
along the east-west direction (about 25m in the east of the river, about 5m in the river, and about
60m in the west of the river). The occurrence of the fault plane is 175◦ ∠70◦ . The hanging wall is
the Miocene or Holocene with a gravel layer, and the footwall is the Ordovician. The surface of
the weathered stratum is gray, and the fresh surface is reddish brown-yellow. The west side of the
bedrock section is flat and smooth, and the east side is undulating with lineation and “X” conjugate
shear joints. The lithology difference between the two plates shows that the fault experienced strong
normal faulting.
Seven samples of fault rock were collected at the footwall bedrock section. Among them, 5
directional samples were collected from east to west on the west side section of the Yeyu River.
The numbers of samples are K1, K2, K3, K4, and K5. K4 and K5 are located 8m to the west of
the Yeyu River. K3 is about 6m away from K4, K2 is about 4m away from K3, and K1 is about 7m
away from K2. Samples K6 and K7 were collected from west to east on the east bank of the Yeyu
River, and the distance between them is about 2m (Figure 3). Directional thin sections were ground
at Xi’an Geological Survey Center of China Geological Survey. With the help of Laika microscope
in the Department of geology, Northwestern University, the microstructure of tectonic rocks was
studied.

Figure 3. Location map of sampling points.

3.2 Sample naming and classification

The samples were classified and named by observing the microstructure of the samples. According
to the characteristics of rock mineral composition and structure, it is considered that the sample
belongs to dynamic metamorphic rock formed under medium-low temperature and low pressure
in a shallow fault zone. The minerals have no obvious orientation, and the original rock char-
acteristics are preserved. According to the classification principles of the Metamorphic Rock
Identification Manual (Chen 2009), the specific naming and classification results are shown in
Table 1 based on the mineral type, content, and size of the matrix and porphyroclast. Through
systematic observation and identification of thin sections, it is found that all samples are com-
posed of porphyroclast and matrix. The matrix (45%∼75%) which is brownish red contains iron,
and the particle size of the porphyroclast is 0.5∼3mm with the major minerals of calcite and
dolomite. In sample K1, the content of matrix is low (45%), and the particle size of porphyro-
clast is large (1∼3mm). Due to its cataclastic fabric and high calcite content, the sample is named
dolomitic calcareous cataclastic rock. In samples K5, K4, K3, K2, and K6, the content of the
matrix is medium (50∼70%), and the particle size of porphyroclast is medium (1∼2mm). Due
to its porphyroclast fabric and high dolomite content, the sample is named calcareous dolomitic

91
porphyroclast rock. In sample K7, the content of the matrix is high (75%), and the particle size
of porphyroclast is small (0.5∼2mm). Due to its granulitic and porphyroclast fabric, as well as
the high dolomite content, the sample is named calcareous dolomitic porphyroclast granulitic
rock.

Table 1. Characteristics of cataclastic rocks at the observation point at Kouzhen.

Matrix Porphyroclast Fabric Rock

Number (%) (mm) characteristics naming

K5 60 1∼2 Porphyroclast Calcareous dolomitic porphyroclast

fabric rock
K4 60 1∼2 Porphyroclast Calcareous dolomitic porphyroclast
fabric rock
K3 60 1∼2 Porphyroclast Calcareous dolomitic porphyroclast
fabric rock
K2 50 1∼2 Porphyroclast Calcareous dolomitic porphyroclast
fabric rock
K1 45 1∼3 Cataclastic fabric Dolomitic calcareous cataclastic
rock
K6 70 1∼2 Porphyroclast Calcareous dolomitic porphyroclast
fabric rock
K7 75 0.5∼2 Granulitic fabric Calcareous dolomitic porphyroclast
porphyroclast granulitic rock
fabric

3.3 Microstructure of the cataclastic rock

It can be observed in the thin sections that the minerals are dolomite and calcite, which are composed
of matrix and porphyroclast, with almost no orientation. In different thin sections, the degree of
fragmentation is different, and the particle size of porphyroclast varies greatly, with edges and
corners. The matrix, which is brownish red, contains iron. The microstructure characteristics of
minerals are described and analyzed as follows:
(1) The porphyroclast is composed of cataclastic rock fragments with brittle deformation char-
acteristics (Figure 4(a and b)). This shows that after recrystallization, the rock is subjected to the
tensile and shear forces. The adjacent porphyroclast are not far apart and can be spliced (Figure
4(a)) with micro brittle fracture and tensile fracture. The typical kinematic feature is the "Book
oblique" structure in the thin section of K1. The minerals are arranged in an imbricate shape (Figure
4(b)), which can indicate the shear direction. Since sample K1 is a directional sample, it indicates
that the fault might have a sinistral strike-slip component. This micro fracture phenomenon shows
that the rock was subjected to tensile and shear forces.
(2) Static recrystallization of the porphyroclast occurred. The recrystallized mineral particles are
large and the contact boundary is flat (Figure 4(c)), and minerals are often equiaxed granular and
have a trilateral equilibrium structure. This occurred when there was no stress after the deformation
period, and the temperature and pressure were not very high.
(3) Dynamic-static recrystallization can be seen in the porphyroclast. The contact boundary of
the recrystallized particle is serrated and the directivity is very weak (Figure 4(d)). Dynamic-static
recrystallization should be affected by the tectonic stress, resulting in mineral recrystallization.
The recrystallized mineral particles are small and have some characteristics of plastic deformation
(such as wavy extinction and mechanical bicrystal), but the orientation is not very obvious. Some
porphyroclast minerals are half static recrystallization and half dynamic-static recrystallization.
This may indicate that the porphyroclast experienced unbalanced stress.

92
Figure 4. Microstructure characteristics of thin section.

Based on the above observation of directional thin section and the analysis of rock data, it can be
recognized that the cataclastic rock has the characteristics of brittle deformation and ductile defor-
mation. Brittle deformation mainly occurred in a tension environments (such as normal fracture or
brittle shear structure) and plastic deformation might be formed in compressive reverse fracture.

4 DEFORMATION MECHANISM AND TECTONIC SIGNIFICANCE OF

MICROSTRUCTURE

4.1 Development process of cataclastic rock

The rock samples collected on the fault plane are carbonate rocks. Through analysis, it is considered
that the cataclastic rocks experienced compression and tension in the Kouzhen-Guanshan Fault
zone.
In the early deformation stage, the minerals with angular large particles were in contact with
each other and could hardly rotate. Under the action of compression, the static pressure of rock
was transmitted through the contact points of some large particles. Due to the previous existence of
weak surfaces or fractures (such as suture surfaces, biological structures, and crystal boundaries),
mineral particles were broken under this stress. With the development of matrix in the initial stage
and the formation of porphyroclast, the spatial degree of freedom of minerals increased, which
made large particle minerals (porphyroclast) rotate and slide under the influence of fault sliding,
forming abrasion. Under this effect, the original particle roundness tended to become better, and
smaller particle minerals were produced to form fine-grained matrix. As a result, there was a
phenomenon that the porphyroclast was surrounded by a large number of the fine-grained matrix
(Figure 5(a and b)). The porphyroclast rarely touched each other and was round. This is a typical
feature of transitional or mature cataclastic structure in fault rocks (white arrows in Figures.5 (a
and d)).
The fault was reactivated by the regional tension in the later stage. The tension could transform
the cataclastic rocks formed in the early stage. Under the action of tensile fracture, the porphyroclast
formed spliced mineral fragments (Figures 5(c and d)), and often formed slender fragments (arrows
in Figures.5(c and d)). The fragments produced in this process often had edges and corners and are
of the same order of magnitude as the initial mineral size.

93
Figure 5. Microstructure characteristics of cataclastic rocks.

4.2 Significance of microstructure

The microstructural characteristics of cataclastic rocks mean that the Kouzhen-Guanshan Fault was
subjected to two stages of tectonic movement: compression and tension. Plastic deformation such
as mechanical bicrystal and recrystallization occurred in the minerals, which often occurred in the
transitional and mature stages, and can be compared with the North-South compressional tectonism
in the early stage. The regional tensile stress in the later stage activated the fault and formed brittle
deformation such as tensile fault. The evidence of the formation of normal-sinistral fault was
retained in the thin section. The above shows that the formation of the Kouzhen-Guanshan Fault
experienced at least two types of tectonic events. The first stage was the reverse fault formed under
the action of early compressive stress, and the second stage was the normal-sinistral oblique-slip
fault formed by the tensile action. Finally, the current Kouzhen-Guanshan Fault was formed.

5 CONCLUSION

Based on the results and discussions presented above, the conclusions are obtained as below:

(1) Based on the microstructure analysis of cataclastic rock samples in the Kouzhen-Guanshan
Fault zone, it is considered that the samples belong to dynamic metamorphic rocks formed
under medium-low temperature and low pressure in a shallow fault zone. The minerals had no
obvious orientation, and the original rock characteristics were preserved. In the sample, the
main minerals are calcite and dolomite. The sample is composed of matrix and porphyroclast,
and almost no mineral orientation occurred. In different sections, the degree of fragmentation
is different. The particle size of porphyroclast varies greatly and has edges and corners. In
petrology, the sample is defined as cataclastic rock. Cataclastic rocks are characterized by
brittle deformation and ductile deformation, which experienced two stages of tectonic stress:
compression and tension.
(2) The porphyroclast has good rounding characteristics and was formed by extrusion. It is spec-
ulated that plastic deformation such as mechanical bicrystal and recrystallization might form
under the same period of stress. The porphyroclast was angular and spliced mineral fragments,

94
 which were formed by fracture tension. The mineral particles have the characteristics of “book-
shelf”’ structure formed by sinistral shear. This shows that the fault has the characteristics of
a sinistral strike-slip.
(3) The regional tectonic study shows that the Kouzhen-Guanshan Fault experienced multiple tec-
tonic events. The strong deformation of dolomitic limestone in the Ordovician in the footwall
reflects residual structural traces in Caledonian. The tectonic activity of fault depression in the
Himalayan period cut the early compressive tectonic deformation. Under the rift faulting of the
Weihe Graben, the Kouzhen-Guanshan Fault became active and formed a high angle normal-
sinistral oblique-slip fault. The tectonic compression and extension revealed by microstructure
could correspond to Caledonian and Himalayan movement respectively. At the same time, the
movement of the fault was normal-sinistral oblique faulting since the Quaternary, which was
consistent with the tectonic background of left extensional expansion of the Weihe Graben
pushed eastward by the Qinghai Tibet Plateau, and was also consistent with the movement
characteristics of the Weihe Graben revealed by geomorphology and modern crustal deforma-
tion measurement (Zhang 2006; Zhang 2006; Qu 2009, 2016; Lin 2015). In conclusion, it is
considered that the analysis of rock microstructure in the Kouzhen-Guanshan Fault zone was
consistent with the regional tectonic background and fault evolution process, which provides
a scientific basis for further study of fault kinematics and dynamics.

ACKNOWLEDGMENTS

This work was financially supported by the program of Geometric Structure and Tectonic
Transformation of the Southern end of the Liupanshan Fault.

REFERENCES

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of a regional strike-slip fault. J. Tectonophysics, 384, 115–128.
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fault core in limestone. J. Journal of Structural Geology, 27, 1823–1837.
Billi, A. (2007). On the extent of size range and power law scaling for particles of natural carbonate fault cores.
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Li, Y. S. (1992). Research on Ground Fissures in Xi’an Region and Active Faults in Weihe Basin. M.
Seismological Press, Beijing, 114–121.
Lin, A. M. et al. (2015). Flexural fold structures and active faults in the northern-western Weihe Graben,
central China. J. Journal of Asian Earth Sciences, 114(1), 226–241.
Liu, J. L. (2004). Microstructures of deformed rocks and rheology of the lithosphere. J. Geological Bulletin
of China, 23(9), 980–985.
Liu, R. X. (2002). A Review of Microstructural Geology in China. J. Geological Review, 48(2), 178–181.
Mi, F. S. et al. (1993). Nowadays active features of the Kouzhen-Guanshan Fault. J. Journal of Xi’an College
of Geology, 15(2), 40–47.
Peng, J. B. et al. (2017). The Hazard of Ground Fissure in Fenwei Graben. M. Science Press, Beijing,198–209.

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Qu, W. et al. (2009). Research on horizontal crustal motion and strain features of Weihe Basin with GPS data.
J. Journal of Geodesy and Geodynamics, 8(4), 34–37.
Qu, W. et al. (2016). Current crustal deformation variation characteristics of the Fenwei Basin and its
surrounding areas revealed by GPS data. J. Chinese Journal of Geophysics, 59(3), 828–839.
Xu, Y. J. et al. (1988). A preliminary study of the characteristics of the activity of the northern boundary fault
belt of Weihe Basin. J. Seismology and Geology, 10(4), 79–90.
Yang, C. Y. et al. (2021). The late Quaternary and present-day activities of the Kouzhen-Guanshan Fault on the
northern boundary of Weihe Graben Basin, China. J. Seismology and Geology, 43(3), 504–520.
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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Design idea of discrimination and inversion of landslide disaster based

on multi-level and multi-scale

Xiaolin Xing, Yongzhen Zhao, Woru Li & Minghui Gao∗

Hebei Key Laboratory of Geological Resources and Environment Monitoring and Protection, Shijiazhuang,
China
Hebei Geo-Environment Monitoring, Shijiazhuang, China

ABSTRACT: Aerial remote sensing technology can obtain surface information periodically,
quickly, comprehensively and non-contact, which has an absolute advantage in the identification
of ancient landslides. However, the extraction of landslide information based on remote sensing is
only a visual interpretation of the image combined with the morphological characteristics of the
landslide. Its accuracy is high, but the degree of automation is relatively low, and it is not conducive
to rapid and large-scale extraction. In order to overcome this disadvantage, this paper intends to
study a multi-level object construction method based on content awareness. On this basis, an object
depth learning feature expression method based on the combination of full convolution network
and multi-level object model is developed to automatically learn and extract space, shape, color and
other feature information on multiple scales. This can improve the theory of image-based disaster
scene understanding and pattern classification, and provide some theoretical and technical support
for smart city and environmental perception.

1 INTRODUCTION

In recent years, with the development of economy and the increasing interaction between man and
nature, landslides have become increasingly serious, and have become one of the most serious
natural disasters that threaten the survival and development of human beings (Gao et al. 2020). The
casualties and economic losses caused by the resurrection of ancient landslides are also becoming
more and more serious (Hu et al. 2011). According to the "World Bank" report, 3.7 × 106 m2 of
land in the world is prone to landslides, and nearly 300 million people live in potential landslide
risk areas, causing economic losses of about $20 billion a year (Burbank et al. 2001). Landslides
not only bring heavy casualties and property losses, but also cause serious social and public safety
problems, which pose a serious threat to people’s production and life and the development of the
national economy (Ao et al. 2019; Calvello et al. 2017; Kanu et al. 2021; Su et al 2017; Yang
et al. 2021; Zigen et al. 2021.) At present, geological mapping analysis, remote sensing data
interpretation and geological exploration are mainly used for discrimination. Geological mapping
analysis is mainly a method to analyze and judge the directly observed landslide morphological
characteristics and collected landslide sliding evidence by means of geological survey and mapping.
This method is the main research method to distinguish the existence, size and harmfulness of
ancient landslide. The understanding of geology is different, there is no unified rule, and the
subjectivity is strong; The traditional engineering geology is suitable for the discriminant analysis
of single point landslide, and the discriminant efficiency of a large number of ancient landslides

∗ Corresponding Author: [email protected]

DOI 10.1201/9781003308584-14 97
is low and the macroscopicity is weak; At the same time, because the macroscopic geological
characteristics of ancient landslide are easily transformed and damaged by the later epigenetic
action after experiencing the action of landslide dynamics, resulting in the distortion of the original
structural trace. Therefore, it is difficult to accurately judge the ancient landslide only by using
the method of engineering geology. The identification of ancient landslide by using traditional
engineering geology has the characteristics of high accuracy. At the same time, because different
people have different understanding of field geology, it has no unified rules and strong subjectivity;
The traditional engineering geology is suitable for the discriminant analysis of single point landslide,
and the discriminant efficiency of a large number of ancient landslides is low and the macroscopicity
is weak; At the same time, because the macroscopic geological characteristics of ancient landslide
are easily transformed and damaged by the later epigenetic action after experiencing the action
of landslide dynamics, resulting in the distortion of the original structural trace. Therefore, it
is difficult to accurately judge the ancient landslide only by using the method of engineering
geology.
This paper intends to study a multi-scale object construction method based on content percep-
tion, which automatically learns and extracts space, shape, color and other feature information on
multiple scales, and fuses high-level and low-level features. finally, the multi-period data com-
parison of UAV images in landslide scene is realized. The research of this topic can improve
the landslide scene understanding and pattern classification theory based on remote sensing
images, and provide some theoretical and technical support for smart city and environmental
perception.

2 ARCHITECTURE DESIGN

2.1 Construction of multi-level segmentation of content awareness

With the help of the texture image of UAV remote sensing data, the remote sensing image is
segmented independently by mean-shift algorithm, and then the segmentation results are combined
to get the final segmentation result. On the basis of this research, in order to get a better segmentation
boundary and region, the segmentation algorithm of UAV remote sensing image is improved, an
iterative segmentation method is designed, and the preliminary segmentation results based on plane
are obtained.

2.2 Design of classification framework of segmentation algorithm based on heterogeneous

minimum principle of multi-scale segmentation
Multi-scale Segmentation is the first step in object-oriented Image Analysis. It overcomes the
problems of fixed data source scale and the limitation of single-scale target recognition, and the
process and results of segmentation are universal and reproducible. The basic principle of its
segmentation is to make the heterogeneity (or weight heterogeneity) of all pixels in the image
object as small as possible, that is, each adjustment of the image object must ensure that the
heterogeneity change of the merged object is minimum (Huang et al. 2003, Dou et al. 2010).
At present, object-oriented multi-scale segmentation technology has become a hot spot in the
application and research of remote sensing image information extraction. Scholars at home and
abroad have carried out in-depth research and application of this technology. The main principles
of segmentation are shown in figure 1.
Multi-scale segmentation adopts a region growth and merging algorithm based on the principle
of minimum heterogeneity. In the segmentation, two criteria, namely, the spectral criterion (color
heterogeneity standard) and the shape criterion (spatial heterogeneity criterion), are adopted to
judge whether a single pixel and adjacent pixels in the image have identity f (formula 4-1) (Baatz
& Schape 1999), where hspectal represents the spectral difference criterion, that is, spectral feature

98
Figure 1. Schematic diagram of segmentation.

heterogeneity. hspectal represents the shape difference criterion, that is, shape feature heterogeneity,
and w is the user-defined weight of the spectrum relative to the shape, 0 ≤ w ≤ 1.

f = w · hspectal + (1 − w)hshape (1)

The hue determines the spectral heterogeneity of the segmented object, which is the spectral
heterogeneity criterion, that is, the hue uniformity of the segmented object, which is obtained
by calculating the sum of the standard deviations of the spectral values of each data layer under
a specific weight value (formula 4-2), where wc is the weight of the c data layer, and σc is the
standard deviation of the spectral value of an object on the data layer. The standard deviation of the
spectrum of an object indicates the spectral difference between it and other objects.

hspectal = w c σc (2)
c

Shape heterogeneity is the difference criterion of shape, which is calculated by two measures
of landscape ecology: smoothness heterogeneity and compactness heterogeneity. The smoothness
heterogeneity indicates the boundary smoothness of the merged region (formula 4-3), where lis
the actual boundary length of the image object, and b is the shortest possible boundary length of
the image object. The closer l is to the b object, the smoother it is, and the closer the value is to 1.
l
hsmooth = (3)
b

99
 The compactness heterogeneity indicates the compactness of the merged region (formula 4-4),
where l is the actual boundary length of the image object, and n is the number of pixels that make
up the image object. The greater the number of pixels that make up the object, the larger the n, the
larger the area, and under the same boundary length l, the larger the area, the smaller the density.

l
hcmpct = √ (4)
n

The shape factor is calculated by the above two criteria (formula 4-5), in which w uses the
user-defined mass density factor weight, whose value is between 0 and 1, and hcmpct + hsmooth = 1

hshape = hcmpct + (1 − w) hsmooth (5)

In the process of image segmentation using multi-scale segmentation technology, the selection of
segmentation scale is the most core part of multi-scale segmentation technology, that is, scale factor
is not only the most important parameter, but also the foundation and key of OBIA technology. It
can have a direct impact on the size of objects and the accuracy of information after segmentation.
The boundaries of segmented objects should not be too blurred or too broken. Unsuitable seg-
mentation scale will cause "over-segmentation" or "under-segmentation" of some objects in image
segmentation, so it is difficult to meet the requirements of segmentation accuracy, so the selection
of the optimal scale is also the focus of object-oriented classification extraction landslide research.
This project intends to explore the location and types of landslides with the help of deep learning
under the multi-level and multi-scale characteristics of landslides.

Table 1. Evaluation of UAV data classification accuracy based on object-oriented.

Reference category

Extraction category Vegetation Road Landslide User accuracy

Vegetation 6 963 817.65 12 455.86 1 978.03 96.38%

Road 3 786.70 70 368.34 364.20 80.51%
Landslide 1 729.39 1 037.31 15 488.91 80.64%

In order to test the accuracy of information extraction in the study area, taking the high-precision
digital orthophoto image as the reference, the specific and detailed classification of ground objects
is determined through visual interpretation and field investigation, and the real distribution map
of main interesting ground objects in the study area is drawn by hand. By analyzing the extraction
results in the way of confusion matrix, the accuracy evaluation of confusion matrix can be obtained,
as shown in Table 1.
Through the segmentation results, the discriminant model of landslides is constructed through
the characteristics of gray co-occurrence matrix entropy and vegetation factors, which can fur-
ther distinguish newborn landslides from ancient landslides, and then study the development and
distribution of ancient landslides.

3 CONCLUSION

The deep learning method designed in this study has been developed to a certain extent in the
field of computer vision, and has been tested in the application of image processing, with more
systematic models, algorithms and applications. It can provide reference and reference for the
construction of multi-level object deep learning features, and can provide some technical reference
for the construction of multi-level objects in remote sensing images.

100
Figure 2. Technical route.

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landslide using a surface-parallel flow Model. J. Remote Sensing Letters, 10(8): 776–785.
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Calvello M, Peduto D, Arena L. (2017). Combined use of statistical and D-InSAR data analyses to define the
state of activity of slow-moving landslides. J. Landslides, 14(1): 1–17.

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Gao Yang, HE Kai, LI Zhuang, et al. (2020). Analysis on disaster types and dynamics of landslide in southwest
karst mountain area. J. Hydrogeology & Engineering Geology (04):1–11.
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ties of the Xishancun landslide,Sichuan, China, inferred from high-frequency receiver functions of local
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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Shear strength characteristics of soil in the slide zone of Sanjiadi

landslide in Longnan, Gansu Province

Peng Mu
Equipment Management and Guarantee Institute, Engineering University of PAP, Xi’an, China

ABSTRACT: Sanjiadi old landslide in southern Gansu has taken place in a large-scale collapse
in the foreside and formed long cracks induced by front traction in Wenchuan earthquake. This
landslide will threaten the safety of 1732 people. Sliding zone soil is an important part of landslide,
which plays a controlling role in its deformation and stability. The sliding zone soil of Sanjiadi
landslide in South Gansu is low liquid limit clay, which is a typical sliding stratum. Rainfall has a
significant softening effect on the sliding zone soil. The direct shear test, repeated shear test, and
triaxial test are carried out by using the remolded soil samples of sliding zone soil with different
water content. The results show that the stress-strain relationship of remolded sliding zone soil of
Sanjiadi landslide is weak strain-softening when the water content is lower than the plastic limit, and
strain hardening when the water content is higher than the plastic limit. The research results have
an important practical significance for the evaluation of landslide stability and the optimization of
prevention and control measures in this area.

1 GENERAL INSTRUCTIONS

China is a mountainous country with various types of landslides. In recent years, many sudden
landslides have occurred, resulting in heavy casualties and property losses (YIN 2020). Landslide
is one of the most widely distributed, frequent, and harmful forms of geological disasters (Schuster
& Lynn 2001; Zhang 2007). Wenchuan earthquake produced a large number of geological disasters
such as collapse and landslides in the earthquake-affected area (Huang 2008a, 2008b). Longnan
is a particularly serious disaster area of Wenchuan earthquake and one of the four major landslide
and debris flow intensive areas in China. The development degree, outbreak frequency, occurrence
scale, and harm of geological disasters rank first in China. Sanjiadi landslide is located in Sanjiadi
village, Hanlin Township, Wudu District, Longnan. The landslide is an old landslide, and Sanjiadi
village is located on the landslide platform of this landslide. The earthquake caused many houses in
Sanjiadi village to collapse and induced large-scale sliding at the front edge of the old landslide. At
the same time, an arc-shaped through the crack with a length of about 520m and an average width
of 1.2 m was formed at the rear edge of the old landslide in the upper part of Sanjiadi village. Once
the landslide is further revived and slid as a whole, it will seriously threaten the life and property
safety of 1732 people in Sanjiadi village.
Sliding zone soil refers to the rock and soil mass with low strength, plastic, soft plastic or even
flow plastic formed under the specific physical and chemical conditions in the sliding zone due to
extrusion, shear, kneading, and grinding during the occurrence and development of landslide. It is
an important part of landslides. Although it is only a very thin layer relative to landslides, However,
it plays a controlling role in the deformation and stability of landslides. In particular, the Wenchuan
earthquake triggered many secondary geological disasters, such as landslides, slope cracking,
and deformation, in Longnan and other areas. Induced by precipitation and other factors, a high
incidence period of landslide will be formed. Therefore, the physical and mechanical properties
of landslide soil in this area are tested through laboratory tests, and the correlation between water
content and stress-strain is discussed, which has important practical significance for the stability
analysis and treatment engineering of a landslide in this study area in the future.

DOI 10.1201/9781003308584-15 103

2 PHYSICAL PROPERTIES OF SLIDING ZONE SOIL

Sanjiadi landslide is an old landslide. The plane of the landslide is generally “fan-shaped”, with
a total volume of about 2250 × 104 m3 . The rear wall of the old landslide is located in the upper
part of the village. The West rear wall is composed of Malan loess and Neogene mudstone, and
the East rear wall is composed of Malan loess and Lishi loess. The landslide mass is composed of
disturbed loess and mudstone. Generally, the old landslide deposits have certain stratification. The
upper part is the original Malan loess and Lishi loess, and the lower part is the sliding mudstone.
It is a giant loess mudstone bedding landslide. Sliding zone soil is an important part of landslides.
Although it is only a thin layer relative to landslide, it plays a controlling role in the deformation
and stability of landslide. The sampling of sliding zone soil is very important, and the thickness
and weak mechanical properties of sliding zone soil further increase the difficulty of sampling.
Therefore, according to the on-site investigation and referring to the previous work experience, this
paper selects the exposure position of the sliding zone at the front edge of the typical landslide,
the scratches on the sliding surface are clear and identifiable, the on-site sampling is sealed with
fresh-keeping film, and the natural physical indexes of the sliding zone soil are measured indoors.
The main characteristic indexes characterizing the physical properties of sliding zone soil are
natural density, water content, dry density, void ratio, particle size composition, and natural consis-
tency state index. According to the curvature coefficient and non-uniformity coefficient calculated
from the particle size curve, the soil grading of Sanjia ground slide zone is poor; According to
the regulations on engineering classification of soil in geotechnical test code, combined with the
consistency index of sliding zone soil, through comprehensive analysis, it is determined that Sanjia
ground sliding zone soil is named low liquid limit clay.
To obtain the microstructure characteristics of sliding zone soil, the undisturbed sliding zone soil
samples were prepared and analyzed by scanning electron microscope. Put the soil sample plated
with gold film into the sample chamber of the scanning electron microscope. When shooting,
first find the typical structural unit or pore with high magnification, and then gradually reduce
the magnification to ensure the clarity of the image and the integrity of microstructure features.
The experimental results of SEM are shown in Figure 1. It can be seen from Figure 1 that the soil
structure of the sliding zone of the Sanjiadi landslide is dense and strongly affected by tectonic
action. It is a porous and honeycomb-like structure formed under the condition of continuous
deposition.
The particle contact relationship is mainly surface-to-surface, and the cluster carbonate deposited
by argillaceous mass has a significant orientation. Based on the above characteristics, the basic
structure type of Sanjiadi landslide sliding zone soil is a honeycomb microstructure.

Figure 1. SEM experimental results.

104
3 MECHANICAL PROPERTIES OF SLIDING ZONE SOIL

The geological structure of Sanjiadi landslide area is complex, and the softening effect of earthquake
and groundwater activities on landslide soil is obvious, which is the main factor that promotes
landsliding. In this test, the variation law of peak shear strength and residual shear strength of
Sanjia ground slide zone soil under different water content and their relationship are studied by an
automatic quadruple direct shear instrument and triaxial instrument.

3.1 Test method

3.1.1 Triaxial test
Static and dynamic triaxial testing machines are used for triaxial tests of sliding zone soil. The
instrument can carry out triaxial tests under unidirectional (axial) static and dynamic loading
conditions. The remolded soil sample is used for the test. The diameter of the prepared soil sample
is 50 mm, the height is 100 mm, the water content is 9.7%, 15.2%, and 20.3% respectively, and
the applied confining pressure is 100KPA, 200KPa, and 300kPa, respectively. The consolidated
undrained test is carried out, and the shear rate is controlled to 0.08 mm/min.

3.1.2 Direct shear test

The experimental instrument adopts strain-controlled electric quadruple direct shear instrument.
The advantage of the direct shear instrument is that different test modules can be selected to meet
the needs of measuring the peak strength and residual strength of soil samples. The test results
are automatically collected by the data acquisition system. In the repeated shear test, the fourth
and fifth shear strength values are similar when shearing for 5 times. The tests are carried out
according to different methods to obtain the strength values of sliding zone soil under different
conditions.
According to the test results of soil particle gradation in the sliding zone of the Sanjiadi landslide,
the soil gradation in the sliding zone cannot meet the limit requirements of shear test equipment
on the maximum particle size of the soil sample. Therefore, it is necessary to use remolded soil
sample for the test. The soil samples shall be subdivided according to the quartering method,
and then enough representative soil samples for the test shall be taken for indoor air drying and
grinding. The strength shall be grasped during grinding to prevent coarse particles from breaking
into fine particles. At the same time, to eliminate coarse particles and ensure the reliability of direct
shear test results, it is necessary to pass 2 mm standard sieve on the soil sample, determine the
water content control standard of the remolded soil sample according to the liquid plastic limit test
results of sliding zone soil, and then configure the remolded soil sample with a water content of
9.5%, 15.3%, and 21.4% respectively. The experimental shear rate is 0.02mm/min, and the vertical
pressure is 200KPa, 300kPa, and 400kPa respectively. Each soil sample is sheared repeatedly 5
times, and the results of the first and fifth times are taken for analysis.

3.2 Analysis of test results

3.2.1 Triaxial test
Figure 2 shows the stress-strain curves of the reconstructed sliding zone soil of Sanjiadi landslide
with different water content under different confining pressures. It can be seen from the figure that
the reconstructed sliding zone soil of Sanjiadi landslide is characterized by weak strain-softening
when the water content is lower than the plastic limit, and strain hardening when the water content
is higher than the plastic limit.

105
Figure 2. (σ1 − σ3 ) ∼ ε1 curve of remolded sliding zone soil under different water content.

3.2.2 Direct shear test

According to the direct shear test results, when the water content of the sliding zone soil of Sanjiadi
landslide is less than the plastic limit, the stress-strain relationship of the sliding zone soil presents

106
the characteristics of strain softening. When the water content of sliding zone soil is greater than
the plastic limit, the stress-strain relationship of sliding zone soil presents weak strain -hardening
characteristics.
The repeated shear stress displacement curves of soil samples in the remolded sliding zone of
Sanjiadi landslide under different vertical pressures and different water contents show that, When
the shear displacement is small, the stress-strain curve is steep, and the shear stress reaches the
peak within a small shear displacement. Then, with the increase of shear displacement, the shear
stress begins to increase slowly, showing the characteristics of strain hardening. This is similar to
the residual shear test results of soil samples under normal conditions. When the water content
is higher than the plastic limit, the stress-strain relationship of soil samples does not appear to
peak, and the shear stress increases rapidly in a small range of shear displacement; Then, with the
continuous increase of shear displacement, the growth of shear stress is very slow, and there is a
stable trend until large displacement shear.

4 CONCLUSIONS

Based on the results and discussions presented above, the conclusions are obtained as below:
(1) In the direct shear test, when the water content of the sliding zone soil of Sanjiadi landslide
is less than the plastic limit, the stress-strain relationship of the sliding zone soil presents the
characteristics of strain softening. When the water content of sliding zone soil is greater than the
plastic limit, the stress-strain relationship of sliding zone soil presents weak strain-hardening
characteristics.
(2) In the repeated shear experiment, when the shear displacement is small, the stress-strain curve
is steep, and the shear stress reaches the peak within a small shear displacement. Then, with
the increase of shear displacement, the shear stress begins to increase slowly, showing the
characteristics of strain hardening.
(3) In the triaxial test, the remolded sliding zone soil of Sanjiadi landslide is characterized by weak
strain-softening when the water content is lower than the plastic limit, and strain hardening
when the water content is higher than the plastic limit.

REFERENCES

Huang Runqiu, Li Weile (2008a). Characteristics of geological disasters of 5.12 Wenchuan earthquake and
recommendation on its impact on reconstruction[J].Chinese Geological Education, (2):21–24.
Huang Runqiu. Li Weile (2008b). Research on development and distribution rules of geohazards induced by
Wenchuan earthquake on 12thMay, 2008[J].Chinese Journal of Rock Mechanics and Engineering,27(12):2
585-2592.
Schuster R L, Lynn M. H. (2001). Socioeconomic impacts of landslides in the western hemisphere[R]. USA:
United States Geological Survey.
Yin Yueping, Wang Wenpei (2020). A dynamic erosion plowing model of long run-out landslides initialized at
high locations[J]. Chinese Journal of Rock Mechanics and Engineering, 39(8):1513–1521.
Zhang Fan-yu(2007). Study on evolution process and stability of the No.1 landslide at the downstream of the
Jishixia Hydropower Station[D]. Lanzhou: Lanzhou University.

107
 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Study on design scheme of ultra-shallow shield tunnel undercrossing

runway

Xuekui Gao∗
China Airport Planning & Design Institute Co., Ltd., Beijing, China

Guanpeng Shen∗
Engineering Construction Headquarters of Guangdong Airport Authority, Guangzhou, China

ABSTRACT: An airport plans to build a new tunnel under two existing short-range runways.
As the most important part of the airport, runways are generally not allowed to be shut down
abnormally. The key to building a tunnel under the existing runway is to solve the problems of non-
stop construction and pavement settlement control. Considering the airport operation constraints,
engineering geological conditions, aircraft landing impact load and other factors, the ultra-shallow
buried large-diameter shield design scheme is finally adopted to solve the technical problems such
as non-stop construction and pavement settlement control.

1 INTRODUCTION

An international hub airport plans to build a new tunnel for service vehicles in the airfield area.
There are four lanes in the double tunnel. The tunnel passes through two short-range runways to
connect the terminal area apron and the ground service lane in the freight area, with a total length
of about 2100m. The line is relatively short, shallow buried depth and large section. The runway
above the tunnel can take off and land class F aircraft. The maximum taxiing weight of A380 aircraft
is about 592t, and the impact of aircraft landing needs to be considered. The airport is located in
the karst development area, and the stratum is a composite stratum of upper soft and lower hard.
At present, the airport operation is very busy. The tunnel construction scheme should consider
minimizing the impact on the airport operation without closing the runway. At the same time, the
ground settlement in the runway area during and after construction should be strictly controlled to
ensure the safe operation of the airport.
The objective of this study is to provide a design scheme to solve the above engineering and
technical problems. The design scheme adopts ultra-shallow buried large-diameter shield tunnel,
with an outer diameter of 11.3m and a minimum covering thickness of 6m above the tunnel. In
the airport project, this kind of tunnel has no engineering case to learn from. The tunnel under the
middle runway of capital airport is constructed by shallow buried and concealed excavation method
under the protection of pipe curtain (Ao 2016). The tunnel of Taipei Fuxing North Road crossing
taxiway and runway is constructed by infinite self-propelled culvert structure (Xiong 1997). In
some cases, shield tunnels are used to cross the runway, such as the Chongqing Metro Line 9 below
the Jiangbei Airport runway, and the Shanghai Metro Line 2 below Hongqiao Airport (Yuan et al.
2018). These tunnels are deep buried shield tunnels with small diameter.
It is the first time in the world to use ultra-shallow shield tunnel to cross the runway in service.
This study demonstrates the feasibility of the design scheme. It provides another solution for similar
airport underground crossing project, which is of great significance.

∗ Corresponding Authors: [email protected] and [email protected]

108 DOI 10.1201/9781003308584-16

2 ENGINEERING GEOLOGICAL CONDITIONS

The soil layer crossed by the tunnel mainly includes artificially accumulated miscellaneous fill,
quaternary late Pleistocene alluvial proluvial silty clay layer, medium sand and coarse sand layer,
muddy silty clay layer and gravel sand layer. Carboniferous carbonaceous shale, argillaceous silt-
stone and limestone are locally distributed, and limestone buds may be distributed. The burial depth
of the shallowest part of the slightly weathered limestone surface is about 21m. During the prelim-
inary construction of the current runway and taxiway sections, grouting reinforcement foundation
treatment has been carried out locally. Soil caves are unevenly distributed in the stratum, and karst
caves are distributed in limestone. The hole gap rate in the preliminary exploration is 34.3%. The
types of underground water mainly include loose rock pore water, layered rock fissure water and
carbonate rock fissure cave water, with a depth of about 1.8m-4.2m. The surrounding rock of the
tunnel is considered as grade VI. the surrounding rock has poor self-stability and short self-stability
time. The tunnel crossing area is a typical upper soft and lower hard complex stratum.

Figure 1. Geological profile.

3 MAIN TECHNICAL STANDARDS

The main technical standards for tunnel construction include the following contents:
(1) Road grade: underground road in airfield area;
(2) Design speed: 40km/h;
(3) Ground live load: the maximum taxiing weight of a380f aircraft in runway section is 592t, and
the impact coefficient of landing load is 3.0.
(4) The design service life of shield segments and internal structures is 100 years, and the structural
safety level is level I.
(5) The seismic fortification category of shield tunnel is key fortification category, and the seismic
fortification intensity is 6 degrees; Design basic seismic acceleration value: 0.05g.
(6) Pavement settlement control standard (Regulations on operation safety management of aero-
drome (CCAR-140-r1) 2018): the height difference within 3m of cement concrete pavement
shall not be greater than 10mm; The dislocation of plate joint shall not be greater than 5mm,
and the total settlement shall not be greater than 30mm. At the same time, the differential
settlement rate of runway shall not be greater than 1‰, and the differential settlement rate of
taxiway shall not be greater than 1.5‰.

4 MAIN POINTS OF DESIGN SCHEME

4.1 Overall design

According to the airport function layout and the source of tunnel traffic, the reasonable location of
the tunnel is determined. The layout of the tunnel is mainly limited by the construction conditions

109
of the open cut section at the end of the present flying area. The determination of the location of
the shield shaft in the open cut section mainly considers the following factors:

(1) Requirements of runway side clearance on hoisting height of construction equipment. It is

preliminarily estimated that the hoisting height of the shield machine is 22m, and the min-
imum distance between the working shaft and the runway is 304m, which meets the height
requirements;
(2) Distance requirements for structures and taxiways in the current airfield area;
(3) Requirements for construction site and access route. The construction site in the current airfield
area is relatively narrow, the starting shaft is set outside the current airfield area, and the
receiving shaft has the conditions for shield turning or pulling back.

The clear distance of the standard double tunnel section of the tunnel is 12m, and the working
well is reduced to about 7m.
The maximum longitudinal slope of the tunnel shall not exceed 4.5%. Considering the longitu-
dinal drainage requirements, the minimum longitudinal slope shall be 0.3%, and the soil covering
depth of the shield section shall not be less than 6m as far as possible. At the same time, the tunnel
crossing area is a composite stratum of upper soft and lower hard, so the tunnel can avoid entering
limestone. Three crosswalks are set between the two tunnels of the tunnel.

4.2 Tunnel structure design

(1) Cross section layout
According to the influence of road clearance, tunnel construction error, uneven settlement and
other factors, and referring to the relatively commonly used shield size in China, the inner diam-
eter of tunnel segment is 10.3m. Through calculation and analysis, the thickness of the segment
is 500mm, and the width of the lining ring should be 2.0m, which is assembled in staggered
joints.

Figure 2. Tunnel cross section.

(2) Calculation and analysis

The calculation adopts the modified routine method. Using the homogeneous ring beam spring
model, each segment of the tunnel lining ring is divided into straight beam elements with different
growth degrees.

110
Figure 3. Load diagram.

Settlement control is the key to the success of the project. The runway settlement during tunnel
excavation is calculated by 3D numerical simulation software Midas GTS NX. The soil and seg-
ments are simulated by solid element, and the later grouting is simulated by plate element. The
program can automatically couple different elements. The cross section of the model is 100m wide,
the thickness of the soil layer is 50m, and the length of the tunnel heading direction is 100m. The
outer diameter of segment lining is 11.30m, the lining thickness is 0.5m, the lining width is 2m, and
the design strength of segment is C55.The total weight of aircraft load is 592t, which is equivalent
to uniformly distributed load, and the impact coefficient is 3.0.

Figure 4. Numerical simulation model. Figure 5. Segments are simulated by solid elements.

The analysis results show that the runway settlement caused by shield tunneling is about 26mm,
which does not exceed the settlement limit of 30mm. The settlement deformation meets the
requirements.

111
 Figure 6. Settlement of runway centerline. Figure 7. Land settlement curve (Formula method).

At the same time, the empirical formula method is used to calculate the runway pavement
settlement. The mathematical expression of the transverse distribution of land settlement is as
follows:
S (x) = Smax e−x /2i
2 2
(1)
The maximum settlement and settlement tank width are as follows:
Vi
Smax = √ (2)
2π i

z0
i= √ (3)
2π tan(45◦ − φ2 )
Vi is the formation loss amount per unit length of tunnelling; Z0 is the buried depth of tunnel
axis; φ Is the internal friction angle of soil.
According to the experience of highway tunnel excavation in the area, the formation loss rate
can generally be controlled within 5‰. The maximum ground settlement Smax at the center of the
tunnel is 19.5mm ∼ 23.5mm, which is basically consistent with the numerical simulation results.

4.3 Selection of shieldmachine

The selection of shield machine shall comprehensively consider the geology, construction period
requirements, cost and other factors of interval tunnel. The technical level of shield machine is
advanced and reliable, which meets the construction needs of the stratum crossed by the tunnel of
the project. The shield machine is equipped with sufficient functions for controlling surface settle-
ment and pavement settlement, and has good operation performance. Considering the construction
requirements of the airport without suspension, difficult survey and no ground reinforcement con-
ditions, the shield machine shall have the functions of advanced geological prediction, advanced
grouting in the shield body and normal pressure warehouse opening and tool changing without
ground reinforcement (Zhang 2021).
The crossing stratum of the project is a composite stratum with upper soft and lower hard.
Considering the geological conditions of the project and the strict control requirements for the
settlement of the airport pavement area, in view of the good balance stability of the excavation
surface of the slurry balance shield and the control performance of land settlement, the slurry
balance shield machine is recommended. The shield tunneling mainly passes through the clay layer
and sand layer, but in the limestone area, the rock surface fluctuates greatly. Therefore, the cutting
tool is mainly divided into cutting tool and scraper, and a certain number of disc cutters shall be
equipped (Wu 2011). If necessary, a freezing cutter head system can be used.

112
4.4 Foundation reinforcement
The strata at the beginning and end of the tunnel are filled soil, silty clay and medium coarse sand
from top to bottom. During the starting process of the shield, water and sand gushing and surface
collapse are easy to occur. In order to ensure the safe starting of the shield, end reinforcement is
required. The construction in the airfield area requires limited height of construction machines
and tools. The vertical MJS grouting with good stratum reinforcement effect and small mechanical
clearance is used to reinforce the stratum at the starting end. The grouting holes are arranged in
quincunx shape, with a spacing between holes of 1.9 m, a row spacing of 1.9 m, a spraying angle
of 360◦ , and a diffusion radius of 1.1 m.
The airport is in the karst area in the south of China, with developed soil and karst caves and strict
settlement requirements. It is considered to set up a small-diameter (6 m) construction auxiliary
tunnel in the design, carry out geological survey in the formed small-diameter shield tunnel, and
explore the geological conditions of the undercrossing engineering tunnel, so as to provide advance
conditions for the construction of large shield tunnel. If it is proved that there is a karst cave, the
karst cave can be filled by grouting in the small tunnel. For the area where the tunnel passes through
the airport pavement, a large pipe shed shall be built into the vault of the tunnel in the first small-
diameter shield tunnel, and grouting shall be carried out at the same time to form a reinforcement
area to ensure that the pavement settlement meets the requirements when the tunnel passes through.

Figure 8. Auxiliary tunnel for construction.

5 CONCLUSION

Shield construction method is rarely used in airport engineering. In this project, ultra-shallow
large diameter shield tunnel is used to cross the runway in service, which is very challenging to
design, construction and operation management. In this design scheme, the ultra-shallow large
shield tunnel is used to cross the existing runway, the slurry balance shield machine with excellent
performance is selected, and the technical measures such as construction auxiliary tunnel, tunnel
survey, foundation treatment in the tunnel, pipe shed support and improving lining stiffness are
adopted to solve the problem of non-stop construction of crossing the runway. It is expected to
provide a reference for similar airport expansion projects. It is suggested that further study should
be carried out, such as geological survey and foundation treatment in the shield machine, freezing
cutter head and so on.

ACKNOWLEDGMENTS

This work is included in the list of key science and technology projects in the transportation industry
of the Ministry of transport of China (2021-MS1-044).

113
REFERENCES

Guyi Xiong. The Programme and Design of the Subway Acrossing the Songshan Airport in the North of Fuxing
Road in Taibei. Journal of Fuzhou University (Natural Science), Vol. 25, Dec. 1997.56–60.
Jintao Ao. The Central Capital Airport Runway Tunnel under the Single Heading Stress Analysis and
Measurement[J]. Chinese & Overseas Architecture, 2016, (04),138–141.
Qixing Wu. Mechanical analysis of rock breaking by disc cutter during shield tunneling in mixed face ground
conditions [D]. Guangzhou: Jinan University, 2011.
Regulations on operation safety management of aerodrome (CCAR-140-r1), July 2018.
Shoutong Zhang. Study on type selection and pertinence design of shield machine in high hardness karst
stratum[J]. Railway Construction Technology.2021(08): 65–69.
XingbangYuan, Yuandong Wang, et al., Investigation on undercrossing construction method used in the airfield
area under non-suspension[J]. Modern tunnel technology, Vol. 55 (S2), Nov. 2018.375–384.

114
 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Study on active earth pressure of rigid retaining wall under the action
of displacement-seepage-soil arching

Wangbin Peng∗ , Jiawei Cui∗ & Huangda Zhu

School of Resources & Safety Engineering, Central South University, Changsha, Hunan, China

ABSTRACT: Active water earth pressure on rigid retaining wall is closely related to the soil
anisotropic seepage and the soil arching induced by principal stress rotation affected by wall
displacement mode. But there is no analytic method to calculate the active water earth pressure
under the coactions of soil arching and anisotropic seepage. In this study, the calculation method of
the active earth pressure and water-earth pressure of the rigid retaining wall was established under
the joint action of displacement-seepage-soil arching based on the horizontal differential element
method. Subsequently, calculation results of the proposed method were compared and analyzed
with the existing calculation results of active water-earth pressure. The comparison results showed
that the calculated results are in good agreement with the measured results. Under the action of
displacement mode, the active earth pressure of non-translational rigid retaining wall is distributed
in a parabola, and its nonlinear distribution is further enhanced under the soil arching action. The
seepage increases the active earth pressure of the rigid retaining wall and weakens the nonlinear
distribution of active earth pressure of non-translational rigid retaining wall. This research provides
a reference for the development of active earth pressure theory of rigid retaining wall.

1 INTRODUCTION

The active earth pressure of rigid retaining walls such as gravity type and foundation pit pile
support have an important influence on its stability. In the classical Coulomb, Rankine theory
and limit equilibrium method for the calculation of active earth pressure of rigid retaining wall,
the active earth pressure is assumed to be linearly distributed along the depth of retaining wall;
(Coulomb 1776; Ernesto 1994; Rankine 1857). However, many studies have shown that the active
earth pressure is non-linearly distributed and significantly affected by the displacement mode of
retaining wall, seepage behind the wall and soil arching action; Fang & Ishibashi 1986; Khosravi
et al. 2013; Matsuo et al. 1978; Tsagareli 1965).
Wang (Wang et al. 2004) used the horizontal differential element method to analyze the active
earth pressure around the top of the wall. Hiroshi (Hiroshi & Henanta 1996) studied the active
earth pressure of rigid retaining wall under the action of displacement modes of translation, rotation
around the top and the bottom of the wall. Peng (Peng & Li 2012) established the calculation method
of passive earth pressure of rigid retaining wall considering the influence of displacement mode.
However, the influence of seepage and soil arching was ignored, and there are few theoretical
analysis reports considering the influence of displacement mode. Blake (Blake 2013) predicted
the transient head and pore water pressure behind the static rigid retaining wall under rainfall
conditions through the fine finite element model. Santos (Santos & Barros 2015) and Hu (Hu et
al. 2018) proposed the calculation method of active lateral pressure of water and soil for rigid
retaining wall under the seepage effect, while the action of soil arching was ignored. Handy

∗ Corresponding Authors: [email protected] and [email protected]

DOI 10.1201/9781003308584-17 115

(Handy 1985) believed that in the movement process of the wall, the main stress of the soil
behind the wall deflected, and the main stress trace was the soil arch curve. The characteristics
of soil arch curve include catenary, circular curve, parabola and straight line (Goel & Patra 2008;
Handy 1985; Li 2003; Park 2003; Xie & Leshchinsky 2016; Zhou et al. 2018). In the above
studies, calculation methods of active earth pressure of translational rigid retaining wall under
the soil arching action were obtained with their assumed soil arch curve, while the influence of
seepage action and the rotation displacement mode around the top and bottom of the wall were
ignored.
In this paper, the calculation method of active earth pressure of rigid retaining wall under the
joint action of displacement, seepage and soil arching is established based on horizontal differential
element method. Finally, calculation results are compared and analyzed with calculation results of
the existing models and tests.

2 CALCULATION METHOD OF ACTIVE EARTH PRESSURE OF RIGID RETAINING

WALL UNDER THE ACTION OF DISPLACEMENT-SEEPAGE-SOIL ARCHING

Given that the displacement at the top and bottom of the wall is stop and sbottom . The displace-
ment mode parameter m of the retaining wall is defined as the ratio of stop and sbottom , based
on the horizontal differential element method, the analysis diagram of active earth pressure of
rigid retaining wall under the action of displacement, seepage and soil arching is shown in
Figures 1 and 2.

Figure 1. Analysis diagram of soil arching action and displacement mode.

116
Figure 2. Calculation diagram of displacement, seepage and soil arching action of the rigid retaining wall.

On the left slope:

pvy = tanδphy (1)
On the right slip surface:
⎧
⎪ τ = σhy sinβcosβ − σvy cosβsinβ
⎨ β
σβ = σhy sinβsinβ + σvy cosβcosβ
(2)
⎪
⎩ τβ = tanφσβ
σhy = ks + b

On the top and bottom surface:

tanβ
σvy = σhy (3)
tan(β + φ)
dW = γ (H − y) (cotβ − tanε)dy (4)
From the horizontal balance of differential elements, it can be concluded that:
 uy dy
phy (cosε + tanδsinε)dy + d[σav (H − y)tanφ (cotβ − tanε)] − σhy dy − sinβ = 0 (5)
sinβ
From the vertical balance of differential elements, it is obtained that:

phy (tanδcosε − sinε)dy − d[σpv (H − y)(cotβ − tanε)] + γ (H − y)(cotβ − tanε)

(6)
tanβ dy uy dy
dy − σhy − cosβ = 0
tan(β + φ) tanβ sinβ
when Equation (6) ×tanφ  is + Equation (5), it is obtained that:
σhy [1 + cot (β + φ) tanφ  ] − γ (H − y) (cotβ − tanε)tanφ  + uy (1 + cotβtanφ  )
phy = (7)
(cosε + tanδsinε) + (tanδcosε − sinε)tanφ 

D1 = (cos ε+tan δ 1+cot(β+φ)tan φ
sin ε)+(tan δ cos ε−sin ε)tan φ 
(cot β−tan ε)tan φ 
Let D2 = (cos ε+tan δ sin ε)+(tan δ cos ε−sin ε)tan φ  ,
β tan φ  )
D3 = (cos ε+tan δ sin(1+cot
ε)+(tan δ cos ε−sin ε)tan φ 

117
then
phy = D1 σhy − γ D2 (H − y) + D3 uy (8)
Let phy1 = D1 σhy − γ D2 (H − y) (9)
then Boundary conditions of Equation (9) are defined as:
H phy1 Ka
y = 0, phy1 = 0; ∫ dy = γ H 2 (10)
0 cosδ 2
By substituting σhy into Equation (9), the boundary condition Equation (10.1–10.2) is obtained,
and the solution is:
 3(K cosδ−D K −D )

a 1 0 2
+ K0 , m ≤ 1 (11)
Ka = 3m(Ka(2+m)D 1
cosδ−D1 K0 −D2 )
(2+m)D1
+ K 0 , m ≥ 1
Equation (12) is obtained by substituting Ka and A (11.1–11.2) into σhy :
 H −y
1 K0 −D2 )
( H m + Hy ) 3(Ka cosδ−D γ y + K0 γ y + DD21 γ H, m ≤ 1
σhy = (2+m)D1
(12)
( HH−y + m1 Hy ) 3m(Ka cosδ−D
(2+m)D1
1 K0 −D2 )
γ y + K0 γ y + DD21 γ H, m ≥ 1

Equation (13) is obtained by substituting σhy (Equation (12)) into phy (Equation (8)):
 ∞

y2 2H B y B1 (H−y)cotβ
)e− H
1
phy = γ D4 + yγ D5 + D3 γw y − (−1)n 2 sin( (13)
H 0
B1 H

1 K0 +D2 ) 0 D1 +D2 )
Where D4 = 3(1−m)Ka cosδ−3(1−m)(D
2+m
, D5 = 3mKa cosδ+2(1−m)(K
2+m

Active water-earth pressure pay of rigid retaining wall is calculated in Equation (14):
phy
pay = (14)
cosδ
The location of the joint action point of the active water-earth pressure of the rigid retaining wall
is calculated by Equation (15):
∫H u (H −y)dy
∫H0 phy (H − y)dy D4 + 2D5 + 12D3 0 yγ H 3
H0 = =H (15)
∫H0 phy dy ∫H u dy
4D4 + 6D5 + +12D3 0 y 2 γH

H
∫H0 uy (H −y)dy
Equation (16) is obtained by substituting ∫uy dy and γ H3
into Equation (15):
0

D4 + 2D5 + 12D3 B3 γγw

H0 = H (16)
4D4 + 6D5 + +12D3 B2 γγw

Coefficient Kay of active water-earth pressure of rigid retaining wall is:

phy
Kay = (17)
γy
Equation (18) is obtained by substituting phy (Equation (13)) into Equation (17):
∞
y γw 2H B1 y − B1 ytanβ
Kay = D4 + D5 + D3 [y − (−1)n 2
sin( )e H ] (18)
H γ 0
B1 H

118
3 COMPARISON AND DISCUSSION

To verify the feasibility and accuracy of the proposed method, calculation results of the proposed
method and other methods under the displacement modes of translation, rotation around the top
and bottom of the wall of retaining wall, and the measured results are compared and analyzed, as
shown in Figures 3–5.
According to the references (Chen 2004), the value range of smax /H is 0.01-0.05, and smax /H of
0.01-0.05 is also used in this paper. As shown in Figure 3, in the translation displacement mode, the
active earth pressure of the rigid retaining wall obtained by this method is linearly distributed, and
the active earth pressure calculated by Cao (2019) and Li and Wang (2014) is non-linear distributed,
all of which are in good agreement with the measured results of Fang & Ishibashi (1986). The soil
arching action was considered in Cao (2019), Li and Wang (2014) and the proposed method in
this paper, with the assumption that the soil arching was a straight section, a straight section and a
parabola, respectively. It should be noted that the action of displacement mode is also considered
in the proposed method in this paper. In this paper, the active earth pressure distribution is affected
by the joint action of soil arching and displacement mode, and the displacement mode affects the
function of soil arching. The influence coefficient of translation mode of retaining wall and soil
arching action on the distribution of active earth pressure is equal to 0, which cannot lead to the
nonlinear distribution of active earth pressure.

Figure 3. Active earth pressure distribution of retaining wall in T displacement mode.

It can be seen from Figure 4 that under the displacement mode of retaining wall rotating around the
point above the wall top, the active earth pressure behind the wall presents a nonlinear distribution.
The distribution curve of active earth pressure obtained by the proposed method is a parabola
with opening downward. The results of the numerical method obtained by Matsuzawa (1996) are
in good agreement with the measured results, while the other theoretical analytical results have
some errors. Compared with calculation results of Wang (2003) and Tang (2018), the active earth
pressure calculated by the proposed method in the range of 0.4-1.0h is in good agreement with
measured results. There is a certain deviation between the active earth pressure value calculated
by the proposed method and the measured value in the depth range of 0.1-0.4H, which is probably
caused by the adoption of parabola soil arching trace in this paper. Therefore, it is necessary to
further select a more reasonable soil arch curve.

119
Figure 4. Distribution of active earth pressure of retaining wall in RT displacement mode.

It can be seen from Figure 5 that under the displacement mode of retaining wall rotating around
a point below the wall bottom, the active earth pressure behind the wall presents a nonlinear
distribution. The distribution curve of active earth pressure obtained by the proposed method is a
parabola with an opening upward. The numerical simulation method of Matsuzawa (1996) is in
good agreement with the measured results, and the calculation results of the proposed method and
Tang (2018) are in good agreement with the measured data. In the position near the wall bottom, the
calculated results of Tang (2018) are quite different from the measured results, and the calculated
results of the proposed method are in better agreement with the measured results.

Figure 5. Distribution of active earth pressure of retaining wall in RB displacement mode.

In conclusion, the distribution of active earth pressure obtained by the proposed method is in
good agreement with the measured results under the mode of translation, rotation around the top
of the wall and rotation around the bottom of the wall. Hence, the proposed method is proved to
be a feasible and more accurate method for calculating active earth pressure.

120
4 CONCLUSION

A comparative analysis is performed between the existing calculation results and measured results
of active earth pressure. The conclusion is drawn as follows:
(1) The calculation results of the active earth pressure and the active water-earth pressure of the
rigid retaining wall under the joint action of displacement-seepage-soil arching are in good
agreement with the measured results, and the method is reasonable and feasible.
(2) The soil arching action behind rigid retaining wall decreases with the increase of displacement
mode parameters of retaining wall, and increases with the increase of δ/φ.
(3) Under the action of displacement-seepage-soil arching, when the rigid retaining wall is subject
to translation, the active earth pressure presents the linear distribution; and when it is not subject
to translation, the active earth pressure has the nonlinear distribution.
(4) Under the soil arching action, its nonlinear distribution characteristics are further enhanced.
The seepage effect increases the active earth pressure of rigid retaining wall and weakens the
non-linear distribution of active earth pressure of non-translational rigid retaining wall.

ACKNOWLEDGEMENTS

This project is financially supported by the National Natural Science Foundation of China (grant#
51508579 and # 51674287) and Key R & D projects in Hunan Province(2017SK2251), and this
support is gratefully acknowledged.

REFERENCES

Chen, X, Z. (2004). Soil Mechanics and Geotechnical Engineering.M. Beijing: Tsinghua University Press. (In
Chinese).
Coulomb, C.A. Essai surune application des règles de maximis et minimis a quelques problèmes de statique,
relatifs a l’architecture. [In French.] Paris: De l’Imprimerie Royale.1776.
Ernesto M. Generalized Coulomb active-earth pressure for distanced Surcharge[J]. Geotech Eng
1994;120(6):1072–9.
Fang, Y, S. and Isao Ishibashi. Static Earth Pressure with Various Wall Movements[J]. Journal of Geotechnical
Engineering, 1986, 112(3): 317–333.
Goel S, Patra N R. Effect of arching on active earth pressure for rigid retaining walls considering translation
mode[J]. International Journal of Geomechanics, 2008, 8( 2): 123–133.
Handy R L. The arch in soil arching[J]. Journal of Geotechnical Engineering, 1985, 111(3): 302–318.
Hiroshi, M. Henanta, H. Analyses of Active Earth Pressure Against Rigid Retaining Wall Subjected to Different
Modes of Movements [J]. Japanese Geotechnical Society,1996,36(3):51-65.
Hu. Z, Yang, Z, X., and Wilkinson.S.P. Analysis of passive earth pressure modification due to seepage fellow
effects[J]. Canadian Geotechnical Journal,2018 55(5): 666–679.
J.R. Blake. Prediction of rainfall-induced transient water pressure head behind a Retaining wall using a high-
resolution finite element mode[J]. Computers and Geotechnics, 2013, 30:431–442.
Khosravi, M H. Pipatpongsa T, Takemura J. Experimental analysis of earth pressure against rigid retaining
walls under translation mode[J]. Geotechnique, 2013, 63(11): 1020–1028.
LI, Y, G. Study on passive earth pressure of retaining wall[J]. Rock and Soil Mechanics,2003, 24(2):273–276
Matsuo, M., S. Kenmochi, and H. Yagi. Experimental study of retaining wall by fields test[J]. Soils
Found.1978.18(3):27–42.
Park K H. Estimation of active earth pressure against rigid retaining wall considering arching effect[J].
Geotechnique, 2003, 53(7): 643–653.
Peng, S, Q. Li, X, B. A general method to calculate passive earth pressure on rigid retaining wall for all
displacement modes[J]. Transactions of Nonferrous Metals Society of China,2012,1526–1532.
Rankine, W.J.M.1857."On the stability of loose earth". Philos. Trans.R.Soc. London147 (Jan):9-27.
Santos, P.J., Barros, P.L. A. Active earth pressure due to soil mass partially subjected to water seepage[J].
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Tsagareli, Z.V. Experimental investigation of the pressure of a loose medium on retaining walls with a vertical
back face and horizontal backfill surface[J]. Soil Mech. Found. Eng, 1965,2(4): 197–200.
Wang, Y, Z, Tang, Z, P. Zheng, B. Distribution of Earth Pressure of Retaining Wall with Wall Movements of
Rotation about Top[J]. Mathematics and Mechanics, 2004, 25(7):761–767.
Xie, Y. Leshchinsky, B. Active earth pressures from a log-spiral slip surface with arching effects[J].
Géotechnique Letters,2016, 6(2):149–155.
Zhou, Y. T., Q.S. Chen, F.Q. Chen, X.H. Xue and S. Basack. Active earth pressure on translating rigid retaining
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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Stability research of slope in broken belt

Song Li
ShenYang Urban Construction University, ShenYang, China

ABSTRACT: The stability of high rock slope which contained fracture zone and the reinforcement
effect of anti-slide pile were evaluated and studied based on a practical case of an engineering slope
in the area of Xiuyan Xiaohuling. The calculated parameters were obtained via large direct shear
strength tests in the local field and laboratory tests, at the same time, the stability and safety factor
were analyzed and obtained through numerical analysis based on Strength Reduction FEM. Result
indicates that the fracture zone is the key reason to the influence of the slope stability, the area of
max shear strain is similar to fracture zone’s shape in slope, and the slope belongs to unstable slope
in nature status because of the safety factor was 1.01, the safety factor was increased to 1.72 after
using anti-slide pile, safety factor of slope along with the and value of fracture zone increases in a
certain range.

1 INTRODUCTION

Slope is a natural or artificial slope, which is one of the most basic geological environments
in human engineering activities and one of the most common engineering forms in engineering
construction (Zhu &Yao 2014; Yao 2014). In order to meet the requirements of site and rational line
selection, it is often necessary to excavate the mountain body, so a series of artificial slopes will be
formed. Compared with soil slope, rock slope is relatively stable on the whole, but there are certain
structural planes in natural rock mass, such as joints, fissures, bedding, faults and weak structural
planes. The main reason for the failure of rock slope is the existence of its structural plane, and the
failure often occurs along the structural plane. Compared with other slopes, the slope with broken
belt has worse stability and greater damage to instability.
Slope stability is closely related to shear strength index cohesion and internal friction angle,
most of the previous research results come from model tests or engineering experience analogy.
Taking a high slope of a project as an example, the shear strength parameters of main rock and soil
mass were obtained by large-scale direct shear test on the project site, and the deformation and
instability mechanism of high slope with fracture zone was simulated and analyzed based on the
strength reduction FEM. The stability of anti-slide piles is evaluated, which can provide reference
for similar projects in the same area.

2 EXCAVATION CHARACTERISTICS

If natural slope is not disturbed by external factors such as human engineering activities in a long
geological period, the natural stress state in the slope body should be the stress state formed by the
comprehensive action of gravity field and tectonic stress field (Liao et al. 2011; Wang 2011; Zhu
et al. 2011). Because of the engineering needs, the mountain body is sometimes excavated, which
causes the slope body to be in the unloading state during excavation, and the stress redistribution
occurs in the slope body, and the slope body is re-adjusted from the natural stress state to the new
stress field state within a certain range. When the slope is excavated, the principal stress trace of

DOI 10.1201/9781003308584-18 123

the slope excavation area will be obviously deflected, and the general characteristics of the slope
are as close to the surface of the void, whether in the gravity field or in the tectonic stress field
with horizontal stress as the main stress. The maximum principal stress is parallel to the plane
of the void, while the minimum principal stress is orthogonal to it. In the new stress field, the
maximum principal stress in the toe of the slope increases significantly, the minimum principal
stress decreases significantly, and the shear stress concentration appears, and the closer to the
surface, the more obvious, and the trend of convergence development, which is usually the most
prone to deformation and failure in the slope. At the same time, under certain conditions, the
tangential stress of the slope top surface and the radial stress of the slope surface can be converted
into the tensile stress, and the tension stress concentration phenomenon occurs in the part of the
slope shoulder, forming a force band, and the rock mass in the slope shoulder is easy to be pulled
and fractured, forming a tension crack surface nearly parallel to the slope surface.

3 FINITE ELEMENT STRENGTH REDUCTION METHOD

The finite element strength reduction method is based on the elastic-plastic constitutive relation-
ship of soil mass, considering the stress-strain relationship of soil mass, and can quickly simulate
the course of slope instability and the shape of sliding surface without presuming the shape of
sliding surface or striping (Zhang et al. 2005; Zhao 2015; Zheng 2015).By decreasing the shear
strength parameter of rock and soil mass gradually until the calculation cannot converge, the pro-
gram can automatically obtain the failure sliding surface (plastic strain and displacement abrupt
zone) according to the elastic-plastic calculation results. At the same time, the strength reduction
coefficient Fr of critical failure of slope is obtained and taken as the strength reserve safety coef-
ficient Fs. According to the Moore-Coulomb criterion, the shear strength of soil is expressed as
follows:
τ = c + σ tan ϕ (1)
where τ is shear stress; σ is the normal stress; c is cohesion; ϕ is the angle of internal friction.
In this paper, the shear strength parameter c, is single strength reduction factor, Fr , i.e., c, ϕ the
same reduction range is used. 
cf = c F r (2)
  
ϕf = tan−1 tan ϕ Fr (3)
In the formula, Cf and ϕf are the cohesion and friction angle of the reduced soil. Fr is the strength
reduction coefficient.
Reasonable judgment of slope instability is the key to applying FEM strength reduction method.
At present, there are three kinds of slope instability criteria widely used: the displacement of a
certain point in the slope is abrupt and infinitely developed; The finite element calculation is not
convergent. The generalized plastic strain or equivalent plastic strain is passed through the slope
body. (Li 2014; Xiao et al. 2014; Zhou 2014). In this paper, the non-convergence of calculation is
used as the criterion of slope instability.

4 ENGINEERING CASES

4.1 Project overview

The landslide section of a project site is about 750 m long in near north-south direction, the
maximum slope is 50-55m, the height difference between the highest part of landslide and highway
is 69m, and the slope angle of landslide top is about 10◦ . 3 ∼ 4 nearly parallel arc-shaped surface
cracks are formed due to landslide, with the maximum width of cracks about 30cm, visible depth
of more than 1.0m, and the maximum offset of downward dislocation about 0.6–0.7m, which are
typical fracture wall and tension fracture zone at the back edge of landslide and form a relatively

124
obvious landslide step. The vegetation on the top of the slope is dominated by weeds, with partial
drainage not smooth and slight swamping. On the side slope surface, the strength of stratum rock
mass decreases due to the comprehensive action of excavation disturbance, unloading, weathering
and rainfall, and the shallow landslide occurs along the plane sliding failure. The site investigation
revealed the exposed slope, the lithology is sericite schist, the joints and fractures are well developed,
the rock mass is broken. According to the observation of the dip Angle and dip Angle of the rock
strata at the top and foot of the slope, due to the complex structure, the occurrence of the rock strata
varies greatly. The dip Angle of the rock strata is about 265◦ ∼ 305◦ to the west and 30◦ ∼ 55◦ to
the north, and most of the dip Angle is 35◦ ∼ 50◦ . The slope is west and the slope Angle is mostly
between 35◦ ∼ 42◦ . The rock dip is basically the same as the slope dip, which is the lateral slope
(slip).

4.2 Engineering geology

Accurately obtaining shear strength parameters of rock and soil is the key to evaluate slope stability
analysis and design of reinforcement and prevention engineering. According to the site engineering
geological mapping, drilling revealed that the site is mainly composed of quaternary artificial fill
soil, slope flood gravel soil, the Proterozoic Liaohe Group Gaixian sericite schist. Its lithologic
characteristics are described as follows:
1. Brecciated crushed soil: local gravel, the parent rock composition is sericite schist, the general
particle size of 2∼20mm, the maximum particle size of about 150mm, angular; poor grad-
ing; Filling material is clay, loose to slightly dense state, particle size is very uneven; This layer
is partially intercalated with thin layers of silty clay. Local surface deposition of a layer of silty
clay breccia, thickness of 0.5∼1.0m, gray black, plastic, humus, slight bog phenomenon on the
surface.
2. Fracture zone: the slip zone of the main landslide of the slope, composed of structural breccia,
fault breccia, fault gouge, fault gouge at the bottom, the composition of silty clay, gray black,
hard plastic, local plastic, breccia; The thickness of gouge varies from 3 to 10cm, and the local
thickness is up to 30cm. The fault plane is strongly graphitized, and the upper part is gray
and black. Most of them are highly weathered sericite schist breccias and gravel. Argillaceous
minerals have been weathered into soil, and the phenomenon of slippification can be seen. This
layer is discontinuous and only exposed on the slide.

4.3 Engineering test parameters

In order to measure the shear strength of weak rock mass and calculate the shear strength index
of rock mass, large-scale direct shear test was carried out in the highly weathered rock layer on
site. The test shall be conducted in the landslide body. The rock test professional technicians and
geologists shall jointly select 5 test points of strongly weathered sericite schist, and then manually
excavate the overburden layer of 2.20 m to the bedrock, and then chisel the concrete test body.
The size of the test block is 50cm×50cm×35cm. The normal load is applied by jack according to
the deformation control method, and the normal stress of each grade is 80kPa, 140kPa, 200kPa,
230kPa and 290kPa respectively. When the cumulative vertical deformation for two consecutive
times of 15min is not greater than 0.05mm, the vertical deformation is considered stable and shear
load can be applied. The shear load shall be applied in equal amount according to 10% of the
maximum normal load. When the shear deformation caused by the applied shear load is more than
1.5 times of the previous load, the next shear load shall be applied in half. σmax
Preparations for on-site direct shear test, installation of instruments, test methods and data
arrangement shall be conducted in accordance with the relevant requirements of Technical Specifi-
cation for Geotechnical Engineering Investigation and Specification for On-site Direct Shear Test
(DB21/T1564.6-2007). Other rock and soil parameters are obtained by in-situ test and indoor test.
See Table 1 for specific physical and mechanical parameters.

125
Table 1. Physical and mechanical parameters.

Weight Elastic modulus Poisson’s cohesive force internal friction

No. Name kN/m3 MPa ratio kPa angle (◦ )

1 crushed soil 18.9 70 0.3 23.7 20.5

2 gravel soil 20 12 0.29 5 30
3 highly weathered schist 25.3 1200 0.25 37 33.88
4 moderate weathering schist 26.6 2000 0.22 200 35

5 NUMERICAL CALCULATION

5.1 Calculation model and assumption

Based on GTS NX (New eXperience of GeoTechnical analysis System), the stability of high slope
with fracture zone is simulated and analyzed by using the strength reduction FEM.
The calculation is simplified for plane strain problem, and the Mohr-Culomb constitutive model
is adopted for rock mass. Because of the large difference in relative stiffness between rock and soil,
interface element is used to simulate the interface behavior between structure and rock and soil.
The grids are divided gradually from sparse to dense, and the key parts are divided by grid size
encryption. The boundary conditions are set as follows: the displacements in X direction on the
left and right sides and the displacements in X and Y directions on the bottom, and the upper part
is the free end. Initially, the self-weight stress field is considered. The calculation model is divided
into 2347 units and 2374 nodes.

Table 2. The mechanical parameters of pile.

Name Unit Type Weight (kN/m3)γ Poisson’s ratioµ Elastic modulus (MPa)E Diameter (m)D

stakes beam element 24 0.2 30000 1.4

Table 3. Contact mechanics parameters of piles and soil.

Unit normal stiffness tangential stiffness cohesive force internal friction

Name Type Kn(MPa) Kt(MPa) (kPa)c angle (◦)

pile contact interface unit 600 60 50 23

According to Code for Geotechnical Engineering Investigation,(Liaoning Provincial Department

of Construction. 2007).the stability grade of highway cutting slope can be divided quantitatively
into:
1. Safety coefficient of newly designed slope and important engineering Fs should be 1.30–1.50;
2. Safety factor of general engineering Fs is 1.15–1.30;
3. Safety factor of minor works Fs is 1.05–1.15;
4. When the existing slope is stable, Fs is 1.10–1.25.

5.2 Calculation results

5.2.1 Natural state
The shear stress concentration range is mainly concentrated in the fracture zone, and the slip crack
surface is similar to the shape of the fracture zone. There is no sliding arc formed in other parts of
the slope, which indicates that the fracture zone is the main controlling part of rock slope instability.

126
The safety coefficients obtained by the strength reduction method are 1.014 under natural condition,
while the safety coefficients obtained by Bishop, Morgenstern-Price and Janbu are 1.176, 1.170
and 1.162 respectively. It is concluded that the safety coefficient obtained by intensity reduction
method is smaller than those obtained by other three methods, and is relatively conservative and safe.
Therefore, it is feasible to use the finite element strength reduction method to analyze the stability
of high slope with fracture zone. However, the safety coefficients calculated by several methods
cannot meet the stability requirements of the specification, and all belong to the understable slope,
so reinforcement should be carried out to improve its stability.

Figure 1. Fs relationship with and cϕ.

The shear strength index of fractured soil, cohesion c and internal friction angle ϕ also affect its
stability. Under the condition that the value c remains unchanged, ϕ take 16◦ , 18◦ , 20◦ , 22◦ , 24◦
and 26◦ respectively to establish six groups of models, and obtain the relationship between safety
coefficient Fs and cohesion force c as shown in Figure 1(a). It can be seen that the Fs increases
with the ϕ increase, but the increase is not large. Similarly, under the same condition, 6 groups
of models are respectively c taken as 15kPa, 20kPa, 25kPa, 30kPa, 35kPa and 40kPa, and the
relationship between Fs and c is obtained as shown in Figure 1(b). The Fs increases gradually with
the increase of thec, but the increase is not large.

5.2.2 Slope cutting at the top

The slope after cutting is similar to the slope sliding crack surface under natural state, and the safety
coefficient of 1.056 is only increased by 4.1%, which has little change. It can be seen that only
small-range slope cutting in the middle and upper part of the slope will not improve its stability
greatly, so other reinforcement measures are needed to improve the stability of the slope.

5.2.3 Reinforcement of anti-slide pile

According to the nature of the slope stratum, thrust size, slope of sliding surface and thickness of
overlying soil, anti-slide piles are set in the middle and upper part of the slope for strengthening
the slope, and two rows are set in front and back. See Tables 2 and 3 for physical and mechanical
parameters. Single piles are arranged in staggered front and back, and the distance between piles
is determined as 8 m according to landslide thrust and pile section size and engineering analogy
analysis. The anchorage depth penetrates the sliding surface and enters the stable meso-weathered
schist below the sliding surface, with an embedded depth of 1 / 4 piles. The safety coefficient of the
slope after the anti-slide pile reinforcement is 1.721, and the slope increases by 69.7% compared
with the natural state, which meets the safety value required by the specification. In addition, no
plastic penetrating zone is formed along the fracture zone in the slope body, and no overall arc
sliding surface is found. The anti-slide piles can restrain the development of plastic penetration
zone.

127
Figure 2. Internal force diagram of pile.

It can be seen from Figure28 that the bending moment and shear force of the pile body suddenly
occur in the weathered schist area during pile embedding, and the peak value of the first row is
reached at the position of 5 m in the pile soil, and the peak value of the second row is reached
at the position of 8 m in the pile soil. These two positions are the initial embedding positions of
anti-slide pile and medium weathered schist, i.e. the fixed end of hanging wall pile. It shows that
anti-slide piles can resist the thrust of sliding body and play the role of reinforcement. However,
the maximum shear stress is transferred to the toe of the slope, but its safety coefficient is large,
and the landslide will not occur.

6 CONCLUSION

1. Accurately obtaining the shear strength index of rock and soil is the key to stability analysis
and design of reinforcement for high slope. Large-scale direct shear test is selected as the
important basis for evaluating slope stability and slope reinforcement design in highly weathered
schist sites.
2. For the stability of high slope with fractured zone, the strength reduction method is feasible and
the calculation result is safer than other methods.
3. The fractured zone is the key part to control the stability of high rock slope, which is destroyed
along it, and the shape of the fractured zone is the same as that of the fractured zone. The Fs
of slope gradually increases with the increase of shear strength index and value of broken soil
within a certain range, but the increase is not large.
4. Only the scheme of cutting slope in the middle and upper part of the slope is of little help to
improve the stability of the project. The anti-slide pile is used to strengthen the slope, which
can effectively reduce the threat of broken zone to the slope and greatly improve the safety
coefficient of the slope, which can provide reference for similar projects in the same area.

REFERENCES

Liao Xiaoping, Zhu Benzhen, Wang Jiansong. (2011). Theory and Practice of Cutting slope Engineering[M].
Beijing: China Railway Press.
Liaoning Provincial Department of Construction. (2007). DB21/T15641-14(Liaoning Provincial local Stan-
dard 2007).Technical specification for geotechnical engineering investigation in-situ direct shear test
specification[S].Shenyang:Liaoning Science and Technology Press.
Xiao Te,Li Dianqing,Zhou Chuangbing. (2014). Non-invasive reliability analysis of multi-layer slope based
on finite element strength reduction method[J].Journal of Applied Basic and Engineering Science, 22(4):
718–732.
Zhao ShangYi, ZhengYingren, ZhangYufang. (2005).Limit analysis finite element method lecture - Discussion
on the criterion of slope instability in finite element strength reduction method[J].Rock and Soil Mechanics,
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Zhu Dayong,Yao Zhaoming. (2014). Slope Engineering[M].WuHan: Wuhan University Press.

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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Stability analysis on open-pit slope in alpine area and relevant

reinforcement measures

Congran Li & Juntao Song

North China Engineering Investigation Institute Co., Ltd., Shijiazhuang, Hebei, China
Technological Innovation Center for Mine Groundwater Safety of Hebei Province, Shijiazhuang,
Hebei, China

Yi Pan
Changsha Institute of Mining Research Co., Ltd., Changsha, Hunan, China

Lun Zhang, Weiguo Yang, Xiaofei Du & Wenjin Liu

North China Engineering Investigation Institute Co., Ltd, Shijiazhuang, Hebei, China
Technological Innovation Center for Mine Groundwater Safety of Hebei Province, Shijiazhuang,
Hebei, China

ABSTRACT: Influenced by unfavorable geological process, the open-pit slope in the alpine area
have presented different degrees of cracking and collapse, which seriously threatens the mine’s
safety production. Based on the actual situation, the natural and human factors causing slope
damages were analyzed. Based on calculation and analysis, the comprehensive treatment scheme
of slope brushing and earthwork clearing combined with prestressed anchorage cable lattice beam
was designed. The open-pit slope was successfully reinforced according to the scheme, which
successfully controlled the deformation rate of the slope, eliminated the hidden safety hazards, and
ensured the sustainable mining of the mine.

1 INTRODUCTION

Resource security is a core issue of national sustainable development. At present, metal mineral
resources in China are reducing, while the total demand remains high. According to the National
Mineral Resources Planning (2016–2020), the development of metal resources shall gradually turn
to western China and overseas regions (Ministry of Lands and Natural Resources 2017). As the
number of metal mines with long production life increases in alpine areas, influenced by adverse
geological processes, freeze-thaw effect, and vibration of mining blasting, problems such as surface
cracking and collapse of open-pit slope gradually appear (Li & Xiao 2019), seriously threatening
the production safety of mines. Therefore, as a comprehensive evaluation work, slope stability
of open-pit mines is a major technical difficulty for safe mining and sustainable development of
mineral resources in the alpine areas.
An open-pit mine in Mongolia completed in 2005 has an annual output of more than 70,000 tons
of concentrate, with good economic benefits. The mine is situated in the alpine area. After over ten
years of mining, cracking and collapse of varying degrees are observed in slopes, seriously affecting
mine production safety. Based on the reinforcement and treatment of unstable slope sections of the
mine, the research analyzed the stability of the open-pit slope in the alpine area and summarized
and analyzed the reinforcement method, aiming to provide a reference for the reinforcement of
similar slopes.

2 PROJECT OVERVIEW

The mining area is situated in the Sukhbaatar Province of Eastern Mongolia. This region belongs
to a high-latitude continental climate, with gentle hilly topography and an altitude of 1000–1100m.

DOI 10.1201/9781003308584-19 129

The annual average temperature is −1.5◦ to 2.5◦ , with a daily temperature difference as high as
26◦ . The winter in the region is long and cold, with a temperature down to −39◦ , while the summer
is short and hot, with temperatures up to 36◦ . The mean annual precipitation in the mining area is
low, ranging from 130 to 280 mm. The rainfall is mainly concentrated in July and August, and the
maximum daily rainfall is 64mm. In winter, the surface freezing depth is between 2.5 to 3m, and
there is no permanent frozen soil layer (Pan & Ruan 2017).
The existing slope height of the mine is about 150m. Affected by adverse geological conditions
and extreme climate, some sections of the slope suffer from diseases of different degrees (See
Figure 1), mainly manifested as surface cracking on slope top and the collapse of bench slope.

Figure 1. Deformation and failure of open pit slope.

3 ANALYSIS OF SLOPE DAMAGES

Natural and human factors are common causes for slope damages in the process of open-pit mining.
Wherein, natural factors include geological conditions, climatic conditions, and weathering, and
human factors include slope excavation and blasting vibration. After analyzing the current status
of the study object, that is, the south slope of the mine, the main causes of slope damages are
summarized in the following.

3.1 Natural factors

3.1.1 Unfavorable geological conditions
The slope rock mass of the open-pit mine generally inclines towards the southwest, with an incli-
nation of 45◦ to 55◦ . The south slope is the upper side slope of the ore body. The stratum in this
area is mainly constituted of moderately weathered granite, with high silt content, and is prone to
weathering. After over ten years of natural deterioration, the surface of the rock mass of benches
1046m–1058m and 1058m–1070m was strongly weathered. The weathering fissures of the slope
are well developed, with mainly Grade IV and V structural planes, and the rock mass is fragmented.
Some rock masses have fissures filled with argillaceous soil, presented in mud mixed blocks (Shao
& Pan 2019).

3.1.2 Freeze-thaw effect

The degree of rock freeze-thaw weathering depends on the structure of the rocks. Fissured rocks
are more prone to be damaged by severe weathering. Under the environment temperature of −30◦ ,
the maximum displacement of surface rocks under frost heaving can reach 8 mm (Shao & Pan
2019). As time passed, with the increase of weathering fissures in the slope, and the water content

130
of rock mass due to infiltration of rainwater year after year, the influence of the freeze-thaw cycle
on slope stability will increase significantly, resulting in an accelerated sliding deformation rate of
the slope.

3.1.3 Atmospheric precipitation

Atmospheric precipitation is the direct cause of landslides (Yuan & Meng 2018). The rock mass
fissures in the south slope are well developed. Water flowed into the rock and soil mass of the slope
after rainfall. Due to water infiltration, the weight of weathered rock mass on the slope surface
increases, and the joint fissure fillings soften, so the physical and mechanical strength decreases
(Pan & Sun 2021). The sliding force of the slope increases, and the anti-sliding force decreases, so
the slope is prone to collapse after rainfall. On the night of July 23, 2019, there was heavy rainfall
in the mining area. As shown in Figure 2, the rainfall caused top cracking and collapse of some
slope sections in the mine. This is sufficient to prove that rainwater infiltration is an essential factor
influencing slope stability.

Figure 2. Rainfall leads to intensified slope deformation.

3.2 Human factors

3.2.1 Unreasonable slope structure
The design process is of great significance to learn the mechanical parameters of rock mass, and
the physical and mechanical parameters are an important basis for slope stability analysis (Feng &
Huang 2020). The exploration report failed to fully investigate the engineering geology conditions
of the mine, and insufficient slope structure parameters were selected in the design, so the design of
the slope structure was unreasonable. The south slope belongs to granite formation. After over ten
years of freeze-thaw cycle and weathering erosion, the slope degraded to a moderately weathered
state, and its physical and mechanical parameters have reduced significantly. Meanwhile, under the
unloading effect, the joint fissures in the slope continued to develop, and the integrity of rock mass
reduced continuously. As a result, the inclinations of bench slope and whole slope in the original
design were obviously larger.

3.2.2 Influence of mining vibration

Blasting is very frequent in mine production. As a dynamic load effect, it will increase the shear
and tensile stresses of rock mass and reduce slope stability (Wang & Sun 2021). Various mining
production disturbances are likely to cause landslides on high and steep slopes affected by complex
environmental factors. In the initial stage of anchor cable hole construction, the drill pipes were
left in the drilling hole after receiving the blasting instruction to stop drilling, and the drilling was
jammed frequently after resumption to work. After analyzing the causes, it was found that blasting
vibration has caused slight deformation of the slope rock mass, and the fragmented rock mass
cut by joint fissures fell into the borehole and blocked the drilling path. It shows that frequent
mining blasting vibration will further fragment the rock mass and expand the joint fissures, which
significantly influences slope stability.

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4 ANALYSIS OF SLOPE REINFORCEMENT MEASURES

4.1 Slope reinforcement design

Finite element analysis software was adopted to calculate the slope stability. The results showed
that landslide on the south slope of the mine belonged to bedding landslide, which was affected
by the development of structural faults and joint fissures. To eliminate the safety threat of bench
sliding on the south slope on mining activities at the bottom of the pit, there was absolutely a
need for comprehensive slope treatment. According to the stability analysis and slope geological
characteristics, the 1046m-1058m and 1058m-1070m bench areas on the south slope were first
treated with slope brushing and earthwork clearing methods and then reinforced with prestressed
anchor cable lattice beam (Song 2020). Please refer to Table 1 for the layout of the prestressed anchor
cable, which was prepared with four 15.2 mm 1860N/mm2 grade 1 × 7 unbonded prestressed steel
strands. The lattice beam has a 500mm × 500 mm section and was cast with C30 concrete.

Table 1. Design parameters of prestressed anchor cable.

Bench location 1046 m-1058 m 1058 m-1070m

Number of longitudinal rows 3 3

Longitudinal spacing (m) 3 3
Number of horizontal columns 19 18
Horizontal spacing (m) 2 2
Length of anchor cable (m) 35 25
Anchorage section (m) 7 6.5
Inclination of anchor cable 25◦ 25◦
Design value of tensile force (KN) 650 650
Locking value of anchor cable (KN) 550 550

4.2 Reinforcement mechanism of prestressed anchor cable lattice beam

Combing the active anti-sliding and grouting reinforcement technology, the reinforcement mech-
anism of prestressed anchor cable lattice beam for strengthening the slope of open-pit mine is as
follows:
The prestressed anchor cable and lattice beam can thoroughly combine to build an active anti-
sliding system (Chen & Shen 2015), effectively reducing the displacement and deformation of
landslide mass. The lattice beam connects the dispersed prestressed anchor cables, so the forces
will load on the anchor cables uniformly to prevent excessive stress of local anchor cables from
causing the failure of prestressed anchor cables. Meanwhile, the lattice beam closely combines with
the slope to prevent local failure of the slope under the action of external forces (such as rainwater
flushing) and the damage of ends of anchor cables. After one-time grouting, the anchor cables
below the sliding surface combined with the surrounding rock mass to form a stable structure. The
free section above the sliding surface was fixed on the lattice beam. By applying prestress to the
anchor cables, the sliding force of the slope is transmitted to the stable rock mass, so the stress state
of the slope is actively changed to make the anti-sliding force of the slope greater than the sliding
force. The stability of the slope is promoted to meet the specification requirements.
The surface stratum of the slope was reinforced by secondary high-pressure grouting in the
anchored free section. There were many joint fissures in the anchored free section of the slope,
especially in the rock mass under 3 to 5 m of the slope surface, which was seriously weathered
and fragmented. As a result, in the process of secondary high-pressure grouting, the cement slurry
split into surrounding stratum and bonded the fragmented rock mass into blocks, which improved
the strength of fillings in the fissures, increased the internal friction angle of rock and earth mass,
and reduced the sliding force, and thus, improved slope stability.

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5 REINFORCEMENT CONSTRUCTION AND EFFECT ANALYSIS

5.1 Construction difficulties and solutions

It was difficult to drill anchor cable holes due to the fragmented surface rock and earth mass and
developed joint fissures in the slope. A test borehole was drilled for the anchor cable in the early
stage of construction. Loose rock and soil mass was seen in the opening. The rocks were seriously
fragmented, and the opening collapsed seriously. During drilling, there was no air out, and the drill
was stuck. The opening collapsed after lifting the drill, making it difficult to construct (See Figure
3).
To solve this problem, a device that could facilitate drilling in fragmented rock mass was designed.
An off-balance bit was used to open the hole, which was immediately protected with a casing. This
successfully prevented the fragmented surrounding rock from collapsing and thus prevented the
drill from being jammed or buried. This device successfully solved the difficulties of drilling in frag-
mented rock (Song 2021), improved work efficiency and drilling quality, and reduced construction
cost.
Meanwhile, due to the development of joint fissures in the slope, drilling for some anchor cable
holes is prone to jamming and leaking air in the deep, and therefore, the construction progress was
affected. After analysis and research, areas with developed fissures were pre-grouted to bond the
fragmented rock mass at the bottom and surrounding of the borehole to form a block, so as to seal
the fissures connected with the ground effectively. This effectively solved the air leakage problem
and improved the work efficiency.

5.2 Construction effect

Prestressed anchor cables were tensioned in 6 batches, with one row in each batch. See Table 2
for specific tensioning times. During the tensioning operation, GNSS equipment was adopted to
monitor the change in slope displacement. The horizontal and vertical displacements of slope rock
mass were counted, and the slope deformation data from July 11 to October 31 was sorted out, as
shown in Figure 4.

Table 2. Tensioning time and quantity of prestressed anchor cable.

Anchor cable elevation 1064m 1064m 1049m 1067m 1052m 1055m

Tensioning time 07.06 07.27 08.16 08.24 08.25 09.03

Number of anchor cables 18 18 19 18 19 19

Figure 3. Development of slope fissures. Figure 4. Displacement rate of slope at the

monitoring point.

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 From Figure 4, we can see that:
(1) The slope displacement rate did not slow down due to the anti-sliding force of the prestressed
anchor cable after the initial anchoring tensioning. On the contrary, the slope displacement rate
showed an increasing trend. After analyzing the causes, it was found that this was because the
slope was not stable and was in the stage of accelerating deformation. The anti-sliding force
formed by a small number of anchoring cables was not sufficient to resist the sliding trend
of the slope. Therefore, the deformation of the slope was accelerating. In addition, there was
a large rainfall in the mining area on July 23. The rainwater percolated into the slope body,
resulting in further deterioration of the mechanical parameters of rock and earth mass and
reducing the anti-sliding force. At the same time, the rainwater increased the self-weight stress
and the sliding force. The slope deformation rate was accelerated.
(2) With the increase of tensioned anchor cables, the anti-sliding effect generated by the reinforce-
ment system was also strengthened, and the deformation rate of the slope dropped rapidly after
reaching the peak. It showed that the prestressed anchor cable lattice beam protection system
was effective in decelerating slope deformation.
(3) After all anchor cables were tensioned, the deformation rate of the slope was further reduced.
The protection system improved the stability of the slope and maintained the slope basically in
a stable state. The expected treatment effect was reached. See Figure 5 for comparison before
and after treatment.

Figure 5. Schematic diagram of slope treatment effect.

6 CONCLUSION

(1) Taking the slope of an open-pit mine in the alpine area of Mongolia as the research object, this
research summarized and analyzed factors influencing the slope stability of the open-pit mine
in the alpine area. With the increase of production life of mines, the slope damages gradually
appeared influenced by geological conditions, freeze-thaw cycle, atmospheric precipitation
and mining vibration.
(2) Focusing on the diseases of the mine’s south slope, the reinforcement scheme of slope brushing
and earthwork clearing combined with prestressed anchor cable lattice beam was designed,
and step-by-step construction was carried out according to the on-site environment. During
construction, the problems of jamming and burying of drills were solved using improved
technology, which effectively improved construction efficiency.
(3) The establishment of an active protection system of prestressed anchor cable lattice beam fun-
damentally solved the slope deformation problem of the open-pit mine, eliminated the security
threat of large-scale slope collapse, improved the production and operation environment in the
mining area, and effectively protected the life and property security. The system has secured
the sustainable development of the mine, protected the achievements of the Belt and Road
Initiative, promoted the international image, and increased the profit of the enterprise.

134
ACKNOWLEDGEMENT

This research was financially supported by the Scientific Research Project of North China
Engineering Investigation Institute Co., Ltd. (HKYGS2019-C4).

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and Development 37(07), 31–34.
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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Characteristics, causes and stability evaluation of Temi ancient

landslide at Batang hydropower station

Han Luo∗ , Xiaofan An, Zhenxin Wei & Qiufeng Feng

PowerChina Northwest Engineering Corporation Limited, Xi’an, China

ABSTRACT: Temi ancient landslide is a large scale ancient landslide dam upstream of the Batang
hydropower station. It has become a major hidden danger threatening to the project because of the
sensitive location and huge volume. Based on field investigation, mapping, and data exploration,
the geological conditions, structural characteristics, and formation mechanism of the Temi landslide
are deeply analysed. Furthermore, stability of the landslide is quantitatively evaluated. Research
results show that: Temi landslide is a thrust-type landslide, and its failure mode is creep-cracking.
The landslide is generally stable, but the landslide will have a local progressive collapse, The
potentially unstable sliding body is located in the shallow part of the steep anterior border of the
landslide. The maximum volume of the unstable sliding body is about 15.8×104 m3 , Further review
show that the local instability of the anterior border unstable sliding body will not induce the overall
failure of the landslide again.

1 INTRODUCTION

Landslide disasters, especially large-scale and giant landslides, have always occurred frequently
in China, especially represented by large-scale landslides with complex genetic mechanism and
great harm in western (Terzaghi 1950). So far, as long as there are mountainous areas with human
habitation and engineering activities in the world, landslide disasters have almost occurred, and
human engineering activities will inevitably encounter ancient landslides (Gavardl 1997; Gillon
1997; Moore 1997) resurrection and cause new landslide problems. At the same time, with the
acceleration of the planning and construction of major projects, it is inevitable to disturb and destroy
ancient landslides. In addition to the frequent occurrence of extreme weather, some large ancient
landslides have begun to show signs of resurrection and deformation, seriously threatening major
projects and the safety of national lives and property. Therefore, it is of great significance to study
the basic characteristics and causes of the resurrection of such ancient landslides, and to correctly
evaluate their stability.
The Batang Hydropower Station (Duan 2009; Zhang et al. 2018) is located in the upper reaches
of the Jinsha River at the junction of Sichuan and Tibet. The engineering area is located in the Jinsha
River deep mountain gorge area in the Eastern Tibet Plateau and the Western Sichuan Plateau. The
regional geology is complex and regional fault structures are relatively developed. The Temigu
landslide (Chen et al. 2021; Long et al. 2015; Qiu 2016; Wang 2017) is a large river-blocking
landslide near the dam site of the Batang Hydropower Station reservoir area. Due to its sensitive
location and huge volume, it has become a major hidden danger that threatens the safety of the
hydropower station. Therefore, it is necessary to carry out research on the characteristics, genetic
mechanism and stability of the Temi ancient landslide.

∗ Corresponding Author: [email protected]

136 DOI 10.1201/9781003308584-20

2 DEVELOPMENT CHARACTERISTICS OF THE TEMI LANDSLIDE

2.1 Geological conditions of Temi landslide area

The Temi landslide is a large-scale landslide developed in the upper reaches of the Jinsha River,
about 4 km away from the dam site of the Batang Hydropower Station, as shown in Figure 1.
The bank slope in the landslide area is high and steep. The elevation of the ridge at the rear edge
of the landslide is up to 3300m. The river at the anterior border is generally an asymmetrical “U”-
shaped valley. The slope on both banks of the natural banks are relatively steep, with a slope of
30◦ − −50◦ , and the slope can reach more than 60◦ locally.

Figure 1. Location map of the Temi ancient landslide.

The lithology of the exposed strata in the landslide area is mainly Permian biotite quartz schist,
partially intercalated with marble, and the bedrock occurrence is 5◦ − 15◦ NW∠75◦ . Structurally,
there is a regional Xiongsong-Suwalong fault developed in the area. The fracture width is about
50m, and the occurrence is 5◦ − 15◦ NW∠75◦ . Affected by the fault, the rock mass joints and
fissures developed in the landslide area, and the rock mass was broken. Figure 2. and Table 1 show
the trend rose diagram of the complete rock mass joints and fissures in the area.
It can be seen from Table 1 that the second group of dominant structural planes developed in the
rock mass are outside the down-dip slope, which provides a favorable deep boundary for the sliding
of the landslide. The orientations of the dominant structural planes of the first and third groups
play a control role in the penetration of the pull-cracking surface of the upstream and downstream
boundaries of the landslide, the formation of pull-cracking grooves and the steeply inclined lateral
edge wall.

Figure 2. Rose diagram of dominant structural plane of the Temi landslide.

137
Table 1. Statistical structural plane grouping and its dominant orientation in rock strata.

Group Inclination (◦ ) Dip angle (◦ ) Relationship with bank slope

1 299 71 Obliquely sloping downstream outside the slope

2 250 45 Downhill
3 218 32 Inclined to the outside of the upstream slope
4 112 79 In the downstream slope
5 61 77 Anti-dip slope

2.2 Morphological characteristics of Temi landslide

The Temi landslide is a large-scale landslide near the dam in the reservoir area. The average vertical
length is about 1000m, the average horizontal length is about 500m, the average thickness of the
landslide body is about 80m, and its scale is about 3317 × 104 m3 , as shown in Figures 3 and 4.
The topography of the landslide accumulation area is very different from the natural slopes of the
upstream and downstream. The landform of the landslide is a typical round chair shape. The trailing
edge of the landslide has obvious sliding walls with an inclination angle of 30◦ − 35◦ . There are
obvious steep ridges on both sides of the landslide. The height of the upstream boundary steep ridge
is about 80m, and the downstream boundary steep ridge height is about 50m. The upstream and
downstream boundaries of the landslide all have landslide rift grooves, and the upstream boundary
rift grooves are deep and wide U-shaped valleys. An irregular and approximately circular depression
is formed near the steep ridge of the downstream boundary of the landslide. The depression is about
40m in diameter and 10m deep. The anterior border of the landslide forms a side slope with middle
high and low sides and an arc-shaped top of the slope. The steep slope formed by the landslide
front has an angle of 50◦ − 60◦ .
To sum up, the Temi landslide is of a circular arc shape with a wide anterior border and a narrow
rear edge. The rear edge and two boundaries of the landslide have obvious steep ridges, and the
anterior border of the landslide is high in the middle and low on both sides, The rift grooves on
both sides are developed, with the characteristics of double groove homology.

Figure 3. Engineering geological plan of the Temi landslide.

Figure 4. Section 1 of the Temi landslide engineering geology.

138
2.3 Material structure characteristics of Temi landslide
The Temi landslide is composed of upper and lower parts, namely the upper alluvial deposit and
the lower deposit. The material structure characteristics of each part are quite different.
The superficial part of the landslide is 4m-6m of alluvial deposits with an average thickness of
5m. This layer is the deposits formed by floods after the formation of the landslide. The material
thickness of this layer differs greatly from the particle size of the constituent particles, which not
only shows that it is a typical erosion alluvial deposits also indicate that there are depressions and
drums on the surface of the landslide in the early stage of landslide formation.
The landslide body is a piece of gravel soil, the content of the piece of gravel is relatively high,
about 60% to 65%, the content of cuttings and soil particles is relatively low, about 35% to 40%.
The composition characteristics of the material not only reflect that the natural slope rock mass
forming the landslide is broken, the sliding distance of the landslide is large, and the sliding speed
is fast, but also reflects the strong interaction of the material inside the landslide during the sliding
process of the landslide, and the material has produced strong physical damage.

3 FORMATION MECHANISM OF THE TEMI LANDSLIDE

Through on-site investigation, surveying and mapping, and analysis of exploration data, it is found
that the Temi landslide has mainly experienced the following deformation and failure processes.

(1) Dangerous body formation stage. As the crust rises, the Jinsha River valley continues to cut,
and the Temi landslide forms a steep slope. The stability of the slope continues to decline as
the crust continues to rise and the valley cuts down. At the same time, the strong tectonic
movement of the Jinsha River not only reduced the stability of the slope, but also formed
rock mass structural planes that were not conducive to the stability of the slope. The unfavor-
able combination of these structural planes formed a dangerous slope that is prone to sliding
instability.
(2) Creep stage. The Xiongsong-Suwalong fault not only constitutes the trailing edge cutting
boundary of the Temi landslide, but also forms the bottom sliding surface boundary of the
Temi landslide together with other rock mass structural surfaces outside the gentle slope. Other
steeply inclined structural surfaces constitute the landslide. The trailing edge and the lateral
cutting surface. The steep slope landform and other unfavorable factors cause the broken rock
mass at the rear edge of the slope to produce creep deformation. As the creep deformation of
the rock mass continues to develop, new tensile cracks are generated at the rear edge, deep and
lateral boundaries of the slope. The number and scale of the tensile cracks gradually increase,
and eventually the creep deformation of the trailing edge of the slope rock mass gradually
develops from stable creep to unsteady creep.
As the rock mass at the trailing edge of the slope gradually develops from stable creep to
unsteady creep, the deformation and displacement of the rock mass at the trailing edge of the
slope increase continuously. With the increase of the deformation and displacement of the rock
mass of the trailing edge slope, the deformation of the trailing edge will inevitably produce a
larger thrust on the rock mass of the anterior border of the slope, and this thrust will increase
with the increase of the deformation and displacement.
(3) Split stage. Under the thrust of the deformed rock mass at the rear edge of the slope, the front
rock mass is deformed, and new tensile cracks are generated in the rock mass as the deformation
of the rock mass at the anterior border of the slope continues to develop. The scale and number
of tension cracks increase with the increase of rock mass deformation and displacement, and
develop to a certain extent. The combination of the original structural surface in the slope and
the newly generated joint cracks will form through structural surface at a certain depth, rear
edge, and lateral direction of the slope.

139
(4) Sliding stage. The through structural surface in the slope forms a geological body that is
separated from the surrounding rock mass on the slope, which is similar to an isolated geological
body. The bottom of this isolated geological body has a continuous structural surface that is
inclined outside the slope. Therefore, with the development of deformation or the influence of
other external unfavorable factors, the downslope will suddenly slide at a high speed to form
a high-speed landslide, that is, the current Temi landslide.
(5) Accumulation stage. The anterior border shear opening of the Temi landslide is about 15 meters
above the river surface. The height difference between the front and the back of the landslide is
huge. The landslide has great potential energy. The huge energy makes the landslide unstable
and slides to the river valley at a high speed. When the anterior border of the landslide stops
moving, it will cause accumulation, and at the same time, it will cause local instability of the
anterior border of the deposit on the opposite side of the river valley to form a collapse and
accumulate on the upper part of the landslide deposit. Through the above-mentioned damage
movement mode, the Temi landslide not only caused blockage of the Jinsha River, but also
formed landslide accumulation on the opposite side of the river (see Figure 5).

Figure 5. Temi landslide deposits on both banks of the Jinsha River..

In summary, the Temi landslide is caused by the first deformation and failure of the rock mass
at the rear edge of the slope, which leads to the deformation and failure of the rock mass at the
anterior border of the slope. Therefore, from the perspective of the mechanical properties that
cause the landslide to slide, the landslide is a thrust-type landslide. The formation and evolution
stages of Temi landslide are: dangerous body formation stage, creep stage, split stage, sliding stage,
accumulation stage. Therefore, according to the deformation and failure process of the landslide,
the geomechanical model of deformation and failure of the Temi landslide can be determined to
be creep-cracking.

4 STABILITY EVALUATION OF THE TEMI LANDSLIDE

The selection of the calculation parameters for the stability analysis of the Temi landslide has fully
considered the material composition and structural characteristics of the landslide. The landslide
has a certain stratification and can be divided into three layers in general. Among them, the upper
part is about 10m thick and most of the superficial material is alluvial, and the material structure
of this layer is relatively loose; the middle part is the landslide deposit with an average thickness
of about 80m, and its material structure is in a medium dense state; the lower part is slip zone
soil with 30cm-40cm thick, and its material structure is in a medium-density state. The physical
and mechanical parameters of the sliding body and the sliding zone soil are listed in Table 2. The
calculation models are shown in Figures 6 and 7.

140
Table 2. Mechanical parameters of stability calculation of the Temi landslide.

Natural state Saturation state

Weight Shear resistance Shear resistance
(kN/m3 ) parameters parameters

Name Natural Saturation f’ c’ (kPa) f’ c’ (kPa)

Loose layer on the surface of the sliding body 20 22 0.60 30 0.54 27

Dense layer below the surface of the sliding body 20 22 0.65 60 0.59 54
Slip zone soil 20 22 0.50 40 0.45 35

Figure 6. Natural slope stability calculation model of the Temi landslide.

Table 3 shows the calculation results of the overall stability of the Temi landslide (Section 1),
and Table 4 shows the calculation results of the local stability of the Temi landslide (Section 1).
The analysis and calculation results show that the overall stability of the Temi landslide under both
natural environmental conditions (natural and heavy rain) is good, and the average overall stability
safety factors are 1.337 and 1.291 respectively, which are in a stable state, but under heavy rain
conditions. The partial safety factor of the lower slope is 1.025, indicating that the local rock and
soil may be in an under-stable state.The potentially unstable body is located in the shallow part
of the steep anterior border of the landslide. The maximum volume of the unstable sliding body
is about 15.8 × 104 m3 (the height of the sliding body is 82m, the average thickness is 6m, and
the maximum width of one failure is 200m). Further review show that the local instability of the
anterior border of the slope will not induce the overall failure of the landslide again.

Table 3. Overall stability calculation results of the Temi landslide (Section 1).

Overall stability safety factor

Calculation conditions Morgenstem Janbu Average value

Natural 1.338 1.336 1.337

Rainstorm 1.288 1.293 1.291

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 Table 4. Local stability calculation results of the Temi landslide (Section 1).

Local stability safety factor

Simplified Bishop Average

Calculation conditions Method Janbu value

Natural 1.149 1.157 1.153

Rainstorm 1.024 1.026 1.025

The stability calculation of the Temi landslide after water storage is divided into three design con-
ditions: permanent, transient and accidental; the calculation results of various working conditions
are listed in Tables 5 and 6.

Figure 7. Stability calculating model of the Temi landslide in water storage state.

Table 5. Overall stability calculation results of the Temi landslide (Section 1).

Overall stability safety factor

Calculation conditions Morgenstem Janbu Average value Control standard

Permanent condition Normal water level 1.268 1.235 1.252 1.15

Transient conditions Normal+rainstorm 1.266 1.233 1.250 1.10
Accidental conditions Normal+earthquake 1.129 1.097 1.113 1.05

Table 6. Local stability calculation results of the Temi landslide (Section 1).

Overall stability safety factor

Calculation Simplified Bishop Average Control

conditions Method Janbu value standard

Permanent condition Normal water level 1.148 1.152 1.150 1.15

Transient condition Normal+rainstorm 1.024 1.026 1.025 1.10
Accidental condition Normal+earthquake 1.051 1.049 1.050 1.05

From the calculation results listed in Tables 5 and 6, it can be seen that the overall stability of
the Temi landslide after the storage of the reservoir is as follows: permanent condition (normal
water level) 1.252, transient condition (rainstorm) 1.250, accidental condition (earthquake) 1.113,

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It shows that the landslide is in a stable state as a whole. However, there is a greater possibility
of local instability in the anterior border of the slope of the Temi landslide project under transient
condition (rainstorm), and the potential instability landslide is located in a shallow slope with a
relatively steep anterior border of the landslide.

5 CONCLUSION

Temi landslide is a large scale ancient landslide dam upstream of the Batang hydropower station,
with a scale of more than 3300 × 104 m3 , about 4km away from the Batang Hydropower Station
dam site. The landslide once blocked the Jinsha River. If the river is blocked due to instability
again, it will not only reduce the storage capacity of the Batang Hydropower Station, but also pose
a serious threat to the safe operation of the hydropower project. Through systematic engineering
geological analysis and evaluation, this research has gained in-depth understanding of the stability
of the Temi landslide and its possible impact on the Batang Hydropower Station. The main research
results are as follows:

1. The Temi landslide has a high and steep back wall, a steep lateral ridge, a clear chair-like shape
from a distance, and the development of split grooves on both sides. It has the characteristics of
double grooves. The analysis of the distribution characteristics of landslide deposits shows that
there have been two large-scale slidings in the history of the landslide. The first-stage landslide
front shear outlet elevation was basically near the first-stage ground elevation, the landslide
vertical elevation difference was large, and large horizontal slip occurred during the descent,
and the accumulation body accumulated across the back edge of the Jinsha River to the right
bank elevation near 2640m. It shows that the Temi landslide is a high-speed, river-blocking type
rocky ancient landslide.
2. Because of the deformation and failure of the rock mass at the rear edge of the slope in the Temi
landslide, the rock mass at the anterior border of the slope deformed and failed. Therefore, from
the perspective of the mechanical properties that cause the landslide to slide, the landslide is a
thrust-type landslide. The formation and evolution stages of the Temi landslide are: dangerous
body formation stage, creep stage, split stage, sliding stage, accumulation stage. Therefore,
according to the deformation and failure process of the landslide, the geomechanical model of
deformation and failure of the Temi landslide can be determined to be creep-cracking.
3. At present, the safety factors of the Temi landslide under natural and heavy rain conditions are
1.337 and 1.291 respectively, and the landslide is in a stable state as a whole. However, the local
safety factor of the slope under heavy rain conditions is 1.025, indicating that the local rock
and soil may be in an under-stable state. The potentially unstable sliding body is located in the
shallow part of the steep anterior border of the landslide. The maximum volume of the anterior
border unstable sliding body is about 15.8 × 104 m3 (the height of the unstable sliding body is
82m, the average thickness is 6m, and the maximum width of is 200m). Further review show
that the local instability of the anterior border unstable sliding body will not induce the overall
failure of the landslide again.

REFERENCES

Chen Jian, Cui Zhijiu, Chen Ruichen, Zheng Xinxin. Origin and evolution of the dammed lake of the Temi
landslide in the upper reaches of the Jinsha River. Earth Science Frontiers, 2021, 28(2): 85–93.
D.P.Moore. Evaluation and management of Revelstoke reservoir slopes. In:19th international congress on large
dams. Fleorence, Q74, R1, PP1–22.
Duan Junqi. Engineering geological research on site selection of Batang Hydropower Station[D]. Lanzhou:
Lanzhou University, 2009.

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Long Wei, Chen Jian, Wang Pengfei, Xu Chong, Liu Hui, Sun Jinzhong. Formation Mechanism and Back
Analysis of Paleoseismic Parameters of the Temi Large-scale Ancient Landslide in the Upper Jinsha River.
Journal of Seismological Research, 2015, 38(4): 568–575.
M. Gavardl. Stability of the Karakaya reservoir banks.In:19th international congress on large dams.
Fleorence,Q74, R55, PP875–894.
M.D. Gillon. Filling the landslide affected Clyde reservoir.In:19th international congress on large dams.
Fleorence,Q74, R11, 163–182.
Qiu Shi. The Stability Studies and Calculation of Landslide-triggered Waves of Temi Landslide of Batang
Hydropower Station in Jinsha river. Sichuan: Chengdu University of Technology, 2016.
Terzaghi.K.(1950). Mechanism of landslide.in.paige.s, Application of Geology to Engineering practice,
Geol.Soc.of America. New York, 1950: 83–123.
WANG Jiazhu. Study on the Characteristics of Large-scale Landslide Movement and Blocking the River in
the Upper Reaches of Jinsha River. Sichuan: Chengdu University of Technology, 2017.
Zhang Peng, Liang Ruifeng, Li Yong, Li Kefeng. Influence of joint operation of cascade hydropower stations
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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Study on seepage control measures for earth and rockfill dam under
complex geological conditions

Guochen Zhang, Liqun Xu∗ & Zixi Liu

College of Water Conserwancy and Hydropower Engineering, Hohai University, Nanjing, Jiangsu, China

ABSTRACT: The selection of dam type and foundation design for earth-rock dams under complex
geological conditions requires consideration of many factors, and the selection of seepage control
measures are the key in the design of earth-rock dams. Based on the available ground investigation
data, grouting test effect analysis, and hydraulic pressure test results, the three-dimensional finite
element seepage analysis model was established to study the seepage properties of the loam core wall
sand-gravel dam. The serious seepage problem of the dam foundation was analyzed. The alternative
measure of horizontal seepage control was proposed and the seepage control measures of full basin
and half basin were compared and analyzed. After the analysis of the seepage property, the seepage
flow of the measure for the whole reservoir basin was small. The reasonable effectiveness of seepage
control measures was clarified, which can provide reference for the selection of seepage control
measures for earth-rock dams under the same type of geological conditions.

1 INTRODUCTION

With the steady progress of China’s western development strategy, the special and complex geolog-
ical environment in the western region makes the engineering construction encounter a variety of
engineering geological problems. Such as geotechnical stability, tectonic fracture leakage, ground
settlement, and deep cover layer, among which the leakage problem (Hu & She 2004) is particularly
serious. For earth-rock dam leakage problem, there are different seepage control measures under
different geological conditions. The extra-long impermeable cover seepage control measure was
used in the Tabela high earth-rock dam project (Si 1986) due to the special dam base cover. The
concrete seepage control wall full closure measure was used in the Tibetan Punto asphalt concrete
core wall sand-gravel dam (Shen et al. 2015). Due to the existence of these geological problems,
it is easy to cause the earth dam to produce leakage safety hazards if the foundation is not treated
properly, which causes dam wreckage damage (Fukuoka & Tabata 2021). Therefore, a reasonable
seepage control measure needs to be selected to avoid serious leakage problems in the project.
To address the problem of faulted fracture zone in a riverbed of a project, a three-dimensional
finite element analysis model was established based on the ground investigation data, grouting test
results and field piezometric test results (Feng & Chen 2003), the seepage properties of the loam
core wall sand and gravel dam was studied, and the serious seepage problem at the base of the
dam was analyzed (Zhang et al. 2016). In response to the problems, a seepage control alternative
measure of full reservoir basin containment was proposed, and the comparative analysis of full
reservoir basin and half reservoir basin containment measures was conducted. After the analysis of
the seepage property calculation, the seepage flow of the alternative seepage control measure for
the whole reservoir basin was found to be small small, which clarified the reasonable effectiveness
of the seepage control measures and provided reference for the selection of seepage control measure
for earth-rock dam under the same type of geological conditions.

∗ Corresponding Author: [email protected]

DOI 10.1201/9781003308584-21 145

2 SURVEY OF ENGINEERING

The design of this project is a loam core wall sand-gravel dam, with a top width of 6.0m, a length of
202.8m, a top elevation of 1637.10m, and a maximum height of 40.0m. The top of the core wall is
3.0m wide, with a top elevation of 1636.60m (0.5m below the top of the dam), and the side slopes
of core wall are 1:0.35. The base of the dam is protected by a loam core wall trench. The bottom
of the tooth groove is 8.0m wide, with a side slope of 1:1.5, and the lower part is 2.5m below
the bedrock surface. A 1.0m thick concrete bedding was set up at the interface with the bedrock,
and anchor reinforcement was provided in the lower part of the concrete mat to anchor with the
bedrock.

2.1 Geological situation

According to the geological exploration data of the reservoir, the dam area is located in the north-
west tectonic zone of Shuiheyu ∼ Huayu complex oblique main axis of the western section of
the south wing near the core. The northeast is about 2.5km away from the hot spring ∼ Ganquan
resurgent deep and large alluvial fault, with incomplete stratigraphic outcropping and only 1km
wide. The southern flank was damaged by secondary fractures, but the stratigraphy is fully exposed.
The slope of the valley on both sides is steep, with a slope of 30◦ to 55◦ . The erosion and cutting
action are strong on both sides of the valley, and the washout is developed. The washout is mostly
“V”-shaped. The length varies from 1km to 5km, the width from 10 to 50, and the cutting depth
from 50m to 150m.
The topography of the reservoir area is high in the southwest and low in the east, influenced by the
late cyclonic tectonics, with complex geological structure, strong erosion, and cutting. Secondary
folds, fractures, and fissures were developed, along with the highly permeable fault fracture zones
at the base of the dam (Yang et al. 1992). The source of the rushing ditch and stream and the
outcrop of the spring are higher than the normal water storage level. The permeable layer of the
rock is limited to the weathered and broken zone of 50-70m on the surface, and the lower part has
relative water barrier with increasing depth of burial. Therefore, there is no permanent seepage
problem. The geological profile of the dam and foundation of the loam core wall measure is shown
in Figure 1.

Figure 1. Geological profile of the dam and foundation of the loamy soil core wall measure.

2.2 Grouting test results

According to the grouting test and quality inspection data, the dam concrete contact with bedrock,
its next section, and the following sections of the dam foundation curtain grouting permeability did
not reach specification of 90% or 100% ≤ 5Lu. Due to the existence of a highly permeable fault
fracture zone and the foundation impermeability treatment issues, the main problem of the dam
is the leakage of the dam body and the dam foundation. The persistent leakage of the foundation
has the potential to lead to serious leakage of the dam foundation, which in turn causes a series of
engineering economic and safety problems.

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2.3 Hydraulic pressure test results
The hydraulic pressure test was used for the left bank rock, and the test process could not fill the
test section with water, resulting in the pressure value in the pore always being zero. The rock body
Lugeon value was large, exceeding the range of Lugeon value that could be measured by the test
equipment. The stability of the Hydraulic pressure test was poor, and the fractures were developed
on the surface left bank rock body. Therefore, the non-stable hydraulic pressure test was used to
conduct the rock permeability coefficient test, and the rock permeability coefficient was derived
by combining the finite element program.

3 FINITE ELEMENT SEEPAGE CALCULATION

To have a more comprehensive understanding of seepage at the dam body and base. The three-
dimensional finite element calculation model of the dam was analyzed by a self-developed finite
element calculation program for stable seepage calculation (Shen et al. 2008), and the calculation
principle is as follows.

3.1 Calculation principle

1) Basic theory of saturated-unsaturated seepage
Unsaturated seepage is a multifactor coupled process, and its influencing factors include the
volume ratio of solid, liquid, and gas phases, air pressure, soil skeleton body change, soluble salt
content, temperature, etc. Assume that the seepage of water in unsaturated soil also obeys Darcy’s
law, but the difference is that the seepage coefficient of unsaturated soil is not a constant, but a
function of soil saturation. The basic differential equation for unsaturated seepage is derived by the
same method as for saturated seepage under the assumption that Darcy’s law also applies to the
unsaturated seepage case, and the equation is as follows.
 
∂ ∂hc   ∂hc
s
k kr (hc ) + ki3 kr (hc ) − Q = C hc + βS s
s
(1)
∂xi ij ∂xj ∂t

Where hc = the pressure head, kijs = the saturated permeability coefficient tensor, ki3 = the
saturated permeability coefficient tensor in the value of the permeability coefficient related to
the 3rd coordinate axis only, kr = the relative permeability, for the permeability coefficient of
unsaturated soil and the same soil when the saturated ratio of the permeability coefficient of the
unsaturated soil to the permeability coefficient of the same soil at saturation in the unsaturated
zone 0 < kr < 1. in the saturated zone. kr = 1, C = the specific water capacity, β = the saturated
unsaturated selection constant, in the unsaturated zone is equal to 0, in the saturated zone is equal
to 1, Ss = the elastic water storage rate, the saturated soil Ss is a constant, in the unsaturated soil
Ss = 0, when ignoring the soil skeleton and the compressibility of water for the saturated zone also
has Ss = 0, Q = the source-sink term.
2) Arbitrary section interpolation grid method
Under the complex geological conditions, the 3D finite element grid for calculating the seepage
field is irregular, and it is difficult to constitute a regular calculation section and inconvenient to
calculate the seepage flow through a certain section by using methods such as the middle section
method. Therefore, according to the characteristics of the 3D seepage finite element method, the cal-
culation is carried out by using the interpolation grid method of arbitrary sections (Rakhshandehroo
et al. 2011), with the following equation.
n
1
Q= Ai kni hi (2)
L i=1

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 Where Q = the seepage flow, kn = the normal permeability coefficient, m/s, A = the cross-
sectional area, m2 , hi = the head difference at the form center, L = the distance between the form
centers of each pair of discrete units.

3.2 Model range selection and computational boundaries

1) Model Range
To include the complete fracture zone in the model, the lower boundary of the model is taken as
1500m elevation. For the better observation of the groundwater flow pattern, the upstream boundary
of the overall model is taken as 800m upstream from the heel of the dam and 150m downstream
from the toe of the dam.
2) Calculation Boundary
The model is calculated under the premise of steady seepage, and the boundaries of steady
seepage analysis are divided into three boundaries of the known head, outflow, and impermeability.
The reservoir bank below the upstream and downstream water level lines, the bottom of the reservoir,
and the upstream and downstream slopes of the dam are known as head boundaries. The surface
of the left and right banks above the upstream and downstream water levels of the reservoir, the
upstream and downstream slopes of the dam, and the top of the dam are outflow boundaries. The
upstream and downstream sides of the model, the intercepted boundaries on both sides of the left
and right banks, the boundary beyond the given water table, and the bottom surface of the model
are given as impermeable boundaries.

3.3 Parameter inversion

Based on the results of hydraulic water tests and geological survey data, and assuming that the rock
permeability is isotropic. The permeability coefficients of the rock base and dam materials were
determined using the unsteady seepage inversion analysis test method and the inversion analysis of
the groundwater seepage field in the natural period based on the variable tolerance method (Shen et
al. 1999). The determined permeability coefficients of the dam foundation rock and dam material
are shown in Table 1.

Table 1. Permeability coefficient of dam and foundation.

Dam base and dam body Permeability (cm/s)

Strong water permeability 2.0 × 10−3

Medium permeability 3.0 × 10−4
Weakly permeable 5.0 × 10−5
Relatively impervious to water 2.0 × 10−5
Fracture zone 1.5 × 10−2
Deafiltration layer 1.00 × 10−5
Dam body 2.00 × 10−1
Main Curtain 1.00 × 10−5
Sub Curtain 1.00 × 10−5
Core Wall 1.00 × 10−5
Concrete cover plate 1.00 × 10−7
Dam drainage 1.00 × 10−1

3.4 Calculated working conditions

The three-dimensional finite element model for seepage calculation is shown in Figure 2. The
seepage characteristics of the dam body and the dam foundation under normal operating conditions
were selected for the analysis of the reasonability of the design measure, and the calculated working

148
conditions were: the normal water level upstream was 1632.27m, there was no water downstream,
and the length of the seepage curtain was 30m from the shoulder of the dam to both banks.

3.5 Analysis of results

1) Seepage field
According to the groundwater potential distribution map and contour map of the dam site area,
it can be seen that the seepage field distribution pattern of each working condition is clear, the
seepage surface forms a sudden drop before and after the loam core wall, and the seepage surface
in the dam body downstream of the loam core wall is gentler. The seepage surface in the upstream
part of the dam body is higher than the shoulders of the two banks, and the seepage surface in
the downstream of the loam core wall and the middle of the dam body is lower than the shoulders
of the two banks, reflecting the seepage of reservoir water around the shoulders of the left and
right banks. It can be seen that the seepage control effect of the loam core wall of the dam and the
seepage control curtain at the base of the dam is remarkable.
2) Seepage flow
The flow is calculated separately for the dam body, left bank dam base, right bank dam base, left
bank dam shoulder, right bank dam shoulder, and riverbed dam base sections. The percentage of
seepage flow in each part of the calculation domain under normal water level conditions is shown
in Figure 5. Under normal water level conditions, the total reservoir leakage reaches 0.832m3 /s,
which is greater than the multi-year average runoff rate of 0.355m3 /s at the dam site. The main
reason is the special geological conditions of the project. There is a highly permeable fault fracture
zone at the base of the dam, and the impermeable curtain does not intercept the fracture structure.
The permeability of the shoulder rock on both sides of the dam is large, resulting in the leakage
of reservoir water from the fractured rock at the base of the dam and the mountain body of the
dam shoulder. Although the core wall of the dam and the impermeable curtain blocking effect is
obvious, the amount of reservoir leakage is still large under each working condition, and it is easy
to cause seepage deformation of the dam base and dam body, resulting in the hollowing damage
of the dam foundation or dam body.

Figure 2. Three dimensional finite element calculation model.

Figure 3. Distribution of the groundwater potential in a typical section of the finite element model (m).

149
Figure 4. Contour map of groundwater level in the dam site area under normal water storage level conditions.

Figure 5. Seepage flow ratio of each part of the calculation domain under normal water storage level
conditions.

3) Seepage slope drop

The maximum permeability slope drop in the rockfill area is 0.062, the maximum permeability
slope drop in the backfilter layer is 0.581, the maximum permeability slope drop in the core
wall is 1.646, and the maximum permeability slope drop in the main curtain and the secondary
curtain are 10.52 and 5.92 respectively under normal water level conditions. It can be seen that the
permeability slope drop of the loam core wall and the impermeability curtain of the dam body is
larger, and the permeability slope drop in the other material areas of the dam body (upstream and
downstream dam shell materials, inverted filter, drainage prisms, etc.) are smaller and less than the
allowable permeability slope drop in the corresponding partitions which can meet the requirements
of permeability stability.
In summary, the seepage control arrangement of the current design measure can meet the require-
ments of permeability stability of the hub parts. However, due to the special engineering geological
conditions, i.e., the existence of a highly permeable fault fracture zone at the base of the dam, the
impermeable curtain did not cut off the fracture structure, and the permeability of the rock body
on both sides of the dam shoulder is also large, the leakage of the reservoir mainly occurs in the
fractured rock body at the base of the dam and the mountain body on the shoulder of the dam. Even
though the core wall of the dam and the impermeable curtain has an obvious effect of blocking
seepage, the leakage of the reservoir is still large. The total leakage (0.832 m3 /s) under normal
water level is greater than the multi-year average runoff (0.355 m3 /s) at the dam site, which does
not meet the requirements for normal reservoir storage and operation.

150
4 OPTIMIZATION OF SEEPAGE CONTROL MEASURES

From the results of the above calculation and analysis, it can be seen that the measure of the loam
core wall, vertical impermeable curtain at the base, and shoulders of the dam is poor. Due to
the good permeability of the rock body of the dam base and reservoir area it is difficult to use
an impermeable curtain to completely cut off the fault fracture zone at the depth in the riverbed.
Two horizontal impermeable solutions, Plan 1 and Plan 2, are proposed as alternative solutions
for comparative analysis. Plan 1 eliminates the grout curtain and loam core wall, fills the gravel
dam body directly, lays a composite geomembrane on the upstream slope of the dam body and
the bottom of the reservoir (i.e., the surface of the riverbed), and lays concrete panels below the
calibration flood level on both banks of the reservoir area, forming a full seepage control system
of the upstream slope, bottom, and perimeter of the reservoir (Li 2014). Plan 2 is the full reservoir
bottom impermeable and concrete panels are laid to 1/2 bank, i.e., which is half reservoir basin
seepage control measure.
The three-dimensional finite element seepage calculation model is shown in Figure 6, and the
model range is consistent with the vertical seepage control measure because the influence of the
fault fracture zone still has to be considered. The calculation boundary is consistent with the
vertical seepage control measure. The geomembrane is considered as soil with a certain thickness
and permeability coefficient according to the principle of seepage equivalence. The permeability
coefficient is taken as 1.0 × 10−9 cm/s, and the permeability coefficient of the remaining materials
is taken as the inverse value. The calculation working condition is taken as the normal water level
working condition. The calculation results are as follows.

Figure 6. Three-dimensional finite element calculation model for full reservoir basin measure.

4.1 Seepage field

From the groundwater level contour map of the dam area and the groundwater level potential
distribution map of a typical profile in the reservoir and dam area under the natural period and
normal water storage level working condition of the whole reservoir basin seepage control measure,
it can be seen that the potential distribution pattern of the seepage field in the dam area is clear, the
groundwater levels around the reservoir and on the shoulders of both dams are below the normal
water storage level. The potential decreases from upstream to downstream. The groundwater level
on the left bank of the dam site area is slightly higher, while the groundwater level on the right
bank is lower and only slightly above the elevation of the original riverbed bottom. The infiltration
surface dropped in the geomembrane and concrete panel impermeable parts, and it can be seen

151
that the geomembrane and concrete panel block seepage to reduce the head effect is obvious.
Therefore, the impact of reservoir storage on the groundwater level distribution in the reservoir
dam area is very small, and the distribution of groundwater potential in the reservoir and dam area
after reservoir storage is basically the same as the situation in the natural period.

4.2 Seepage flow

The distribution of seepage flow in the calculation area of each measure under normal water
storage level condition is shown in Figure 7, and the distribution of groundwater potential in a
typical section of the full basin containment measure under normal water storage level condition is
shown in Figure 8. The recommended measure is the full reservoir basin impermeability measure.
The calculation results show that the full reservoir basin impermeability measure has the best
seepage control effect, and the total leakage of the reservoir is 0.007m3 /s, which is much smaller
than the multi-year average runoff volume of 0.355m3 /s at the dam site and meets the reservoir
storage and operation requirements. The seepage flow of the reservoir of the half-basin seepage
control solution is greater than the average multi-year average runoff at the dam site, making it
difficult for the reservoir to store water and operate normally. Therefore, the full reservoir basin
impermeability measure was selected as the seepage control alternative for the project.
For the recommended measure, it can be seen from Figure 9 that the seepage flow of the reservoir
under normal water storage level conditions is less than the multi-year average runoff rate of 0.355
m3 /s at the dam site, which meets the normal operation requirements of the project.

Figure 7. Seepage flow distribution of each measure under normal water storage level conditions.

Figure 8. Distribution of groundwater potential in a typical section of the full reservoir basin measure under
normal water storage level conditions.

4.3 Seepage slope drop

The maximum average seepage slope drop of each measure under normal water storage level
conditions is shown in Table 2. It can be seen that the maximum average seepage slope drop of
the seepage control system (geomembrane and concrete panel) is the same, and the seepage slope
drop of the rock pile area and the rock body of the dam are not much different. They are all less
than their allowable seepage slope drop, which can meet the seepage stability requirements.
152
Table 2. Calculation of the maximum average seepage slope drop for each measure under normal water
storage level conditions.

Maximum average seepage slope drop

Optimization Concrete Rock pile area Downstream Fracture

Solutions Geomembrane panels of the dam bank slope zone

Full reservoir basin imperme- 322.70 161.35 0.0317 0.263 0.0345

ability program
Full reservoir bottom imper- 322.70 161.35 0.0386 0.266 0.0358
meable concrete panels to 1/2
reservoir measure
Allowable seepage slope drop / 200 >1 >1 >1

4.4 Stability of impermeable structures

The subsurface contours of impermeability of the entire reservoir basin under normal storage level
conditions in the natural and operational periods are shown in Figures 9 and 10, and it could be
seen that the full reservoir basin seepage control measure had an obvious head reduction effect
of geomembrane and concrete panel. The head pressure of 3∼4m was less than the head at the
dead water level (1623.75m) during the operation period of the reservoir (Cen et al. 2017). The
Geomembrane can maintain stability without destabilization due to groundwater overhead. In
the non-full-basin seepage control measure, the stored water in the reservoir area mainly leaks
outward from the bottom or bank of the reservoir without seepage control, and the groundwater
level in the reservoir area is higher than the groundwater level of the full-basin seepage control
measure. Therefore, the lifting pressure below the geomembrane was greater than that below
the geomembrane of the full-basin seepage control measure. The stability of the seepage control
structure is slightly less than that of the full-basin seepage control measure.
In summary, the full-basin seepage control measure has obvious advantages over the half-basin
seepage control measure in terms of reservoir leakage and stability of seepage control structures
during reservoir operation, and the seepage slope drop of each structure is also within the allowable
range. Therefore, the full-basin seepage control measure was selected as the alternative seepage
control measure.

Figure 9. Contour map of groundwater level in natural period.

Figure 10. Contour map of groundwater level of the whole reservoir basin under normal water storage level
conditions.

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5 CONCLUSIONS

From the above computational analysis based on geological exploration data, the conclusions are
as follows.
a. According to the geological exploration data, it can be determined that there was a riverward,
steeply dipping tectonic fracture zone of about 60m in width within the rock base of the dam.
Grouting tests and hydraulic water tests could determine that the fault fracture zone had a
significant impact on the seepage of the dam base. The three-dimensional finite element seepage
analysis was conducted for the existing measure. The calculation analysis showed that the dam
body, the dam base, and the rock shoulder on both sides of the dam meet the permeability
stability requirements under normal water storage level conditions. However, the total seepage
flow of the reservoir under normal water storage level conditions was greater than the multi-year
average runoff at the dam site, which did not meet the requirements of normal reservoir storage
and operation.
b. The current design measure of engineering impermeability was poor. The alternative measure
of dam body mask, bottom membrane cover, and bank concrete protection was selected. The
seepage characteristics of the alternative full-basin seepage control measure and the half-basin
measure were compared and analyzed, and it was concluded that under the full reservoir basin
measure, the geomembrane and concrete panels at the bottom of the reservoir had an obvious
effect on reducing the head of water by blocking seepage. The dam body, dam foundation, and
the rock shoulder on both sides of the dam met the permeability stability requirements. The
reservoir leakage was less than the average multi-year runoff at the dam site, which can meet
the normal reservoir storage and operation requirements. And the riverbed at the bottom of the
reservoir is a sand and gravel cover layer, which has a large bearing capacity and less deformation
after stress. Therefore, it is very suitable for laying geomembranes.

ACKNOWLEDGEMENTS

This study was supported by National Key R&D Program of China (Grant No:2019YFC1510802).

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Cen Weijun, He Haonan, Li Dengjun. Influence of geomembrane defects on seepage characteristics of earth and
rock dams and control measures [J]. Advances in Water Resources and Hydropower Technology, 2017, 3):
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ability Pf and the Levee Vulnerability Index t* [J]. Journal of Hydraulic Engineering, 2021, 147(1):
04020090.
Feng Xue-min, Chen Cheng-hong. Research on h-version adaptive finite element method for 3-D seepage
problem [J]. Rock and Soil Mechanics, 2003, 024(004): 653–6.
Hu Qiang, SHE Cheng-xue. Seepage and safety analysis as well as reinforcement of soil dam of Xianling
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Li L. Design of a dam of a water supply project transfer reservoir in Xinjiang [J]. Gansu Water Conservancy
and Hydropower Technology, 2014, 50(008): 42–4.
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Its Impoundments [J]. Journal of Applied ences & Environmental Management, 2011, 15(2): 241–6.
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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Study on geological characteristics of PII ∼ GI4 + 5 reservoir

Leilei Zhang
Oil Production Plant, Daqing Oilfield Co., Ltd., PetroChina, China

ABSTRACT: The core task of reservoir description is to gradually implement the characteris-
tics of reservoir distribution and remaining oil. It is necessary to continuously re-understand the
geological characteristics according to the needs of oilfield development adjustment in different
stages, to promote the gradual improvement of oilfield recovery. In this paper, the North block of
block A after infill drilling is taken as the research object, and the reservoir correlation principle
of “cycle analysis, classification, genetic control, and tracking anatomy” is used to finely dissect
the reservoir of the target layer in the North block of fault C, and implement the sand body distri-
bution characteristics, permeability characteristics, and reservoir water flooding characteristics of
the target layer after infill. It provides an important geological basis for fine adjustment of polymer
flooding in class II reservoirs in the block.

1 INTRODUCTION

With the increase of well pattern density, the understanding of sand bodies will become clearer.
It is impossible to increase the net density infinitely in oilfield production. Describing reservoirs
by using existing well pattern conditions is a key problem. Taking block A as an example, in this
paper, the North block of block A after infill drilling is taken as the research object, to implement
the sand body distribution characteristics of the target interval after infill drilling.
The North fault in block A is located at the north end of the C fault in block A. the polymer
flooding interval is PII ∼ GI4 + 5 oil layer. It is bounded by fault C in the South and row 18 in the
north. It is adjacent to the north area in the East and the oil-water transition zone in the West.

2 GEOLOGICAL CHARACTERISTICS OF THE BLOCK

2.1 Fault characteristics

Using the three-dimensional modeling technology of petrel software, in the process of fault mod-
eling, the spatial distribution characteristics of faults after block encryption are implemented by
analyzing the spatial distribution of faults and the relationship between faults, and then repeated
modification by human-computer interaction is implemented. In general, there is no obvious change
in fault distribution after densification in this block. First, the combination and head and tail of
large faults are not changed and adjusted. Second, the number of small and medium-sized faults
remains unchanged. Third, no new isolated breakpoints were found.

2.2 Division of sedimentary units of 4 + 5 oil layer from PII to GI in the north of fault in block A
The study of series layers shows that PII ∼GI4 + 5 oil layer in the North block of block A can be
divided into 13 sedimentary units, of which PII 10 layer can be divided into three sedimentary units.
From the comparison section after densification, unit PII 10 mainly develops three sedimentary
cycles, showing the curve characteristics of three groups of block rhythm with medium amplitude,

156 DOI 10.1201/9781003308584-22

uniform thickness, and good inter well correspondence. The divisible wells account for more than
70% of the number of wells in the section.

Table 1. Division of sedimentary units of P II formation∼GI 4 + 5 oil layer

in the north of the fault.
Sandstone Sublayer 2005Pre densification Name of current
formation number sedimentary unit sedimentary unit

PII 1-3 PII 1-3 PII 1 + 2 PII 1 + 2

PII 3 PII 3
PII 4-6 PII 4 PII 4 PII 4
PII 5 + 6 PII 5 + 6 PII 5 + 6
PII 7-9 PII 7-9 PII 7 PII 7
PII 8 + 9 PII 8 + 9
PII 10 PII 10 PII 101 PII 101
PII 102 PII 102
PII 103
GI 1-5 GI 1 GI 1 GI 1
GI 2 + 3 GI 2 GI 2
GI 3 GI 3
GI 4 + 5 GI 4 + 5 GI 4 + 5

Number of units 12individual 13individual

3 RE-RECOGNITION OF GEOLOGICAL CHARACTERISTICS OF PII ∼ GI4 + 5 OIL

LAYER IN NORTH BLOCK

Based on the conceptual model of a single sand body, the single-stage channel sedimentary units
are divided by using the oil reservoir correlation principle of “cycle analysis, classification, genetic
control, and tracking anatomy”, the sand body facies are comprehensively determined by using the
combination of program quantitative judgment and curve rhythm characteristic genetic qualitative
judgment, and the sedimentary microfacies distribution map of the single sand body is drawn by
using the mode analysis method. The type of sand body deposition mode, sand body control degree,
drilling encounter rate of various sand bodies, distribution characteristics of an interlayer between
units, and production characteristics of various sand bodies are described.

3.1 Distribution characteristics of PII ∼GI 4 + 5 reservoirs

On the plane, the sand bodies of each unit of PII ∼ GI4 + 5 reservoir in the north of block A fault
belong to the sedimentary model of the low bending distributary channel. Generally, there are three
types of channel sand bodies:
Broadband low bend distributary channel deposition. For example, in units such as PII 8 + 9,
GI 3, and 4 + 5, the drilling rate of the channel sand body is more than 30%, the continuity of the
channel sand body is strong, and it is developed in the whole area, with a width of 150∼300m.
Banded low bend and locally continuous distributary channel sedimentation. For example, PII
5 + 6, the whole block is generally deposited in a low bend distributary channel, but the local
channel sand body is developed into flake, and the continuity of channel sand body in some river
sections becomes poor. In general, the sand drilling rate of the river channel is 20∼30%, and the
river channel width is 600∼1200m.
Narrow banded low bend distributary channel deposition. For example, in units such as PII 1 +
2, 7, 101, and GI 2, the drilling rate of river sand body is less than 20%, and the river continuity is

157
good, but the width of river sand body is narrow, generally, 150∼300m, and the thickness is small,
generally 1.0∼2.5m.
The sedimentary units of group PII ∼GI 4 + 5 in the North block of block A are highly sep-
arable. The stratification characteristics of each unit are mainly at layered intervals and locally
superimposed. The unit boundary is generally implemented at the mudstone point, that is, the low
value of natural potential and microelectrode, and the units are mostly separated by class I and
class III interlayers; the single sand body is a medium and small distributary channel deposit with
small channel width, dominated by massive rhythm and composite rhythm. There is little change
in the thickness of the channel sand body in a single stage, and there are obvious differences in the
thickness of channel sand between different units.

3.2 Sand body drilling

According to the development of the sand body, the drilling rate of the sand body above 2.0m is
13.0%, 28.6 percentage points lower than that in the south of fault after the reservoir of group PII
∼GI 4 + 5 in the North block of block A is densified. The drilling encounter rate of 1∼2m sand
body is 13.7%, 4.2 percentage points lower than that in the south of the fault. The drilling encounter
rate of the thin sand body below 1.0m is 61.2%, 20.7% points higher than that in the south of the
fault. After well pattern infilling, the drilling encounter rate of each microfacies sand body changes
little, but through the fine prediction of channel sand body, the continuity of local channel sand
body is enhanced. Compared with that before densification, the drilling encounter rate of channel
sand body decreased from 18.3% to 15.2%; the penetration rate of the thin sand body increased
from 55.2% to 56%; the penetration rate in pinch out area increased from 26.6% to 28.7%.

Table 2. Statistics of drilling encounter of each microfacies in target intervals of different blocks.

Target Channel sand Main sheet Non main Off surface Pinch
Block layer body sand sheet sand sand out

North of fault in block A PII ∼GI 4+5 15.2 18.9 10.4 26.7 28.7
South of fault in block A SIII1-7 48.9 25.7 6.5 9.5 9.4
North block before encryption Group PII 18.3 22.6 4.3 8.2 26.6

Table 3. Statistics of drilling encounter of target interval thickness in different blocks.

h≥4 2≤h<4 1≤h<2 h<1

Penetration Average Penetration Average Penetration Average Penetration Average

Target rate thickness rate thickness rate thickness rate thickness
Block layer (%) (m) (%) (m) (%) (m) (%) (m)

North of fault PII ∼ 2.2 5.0 15.5 1.8 17.9 0.6 64.3 0.4
in block A GI 4+5
South of fault SIII1-7 16.5 4.8 28.6 2.9 17.7 1.6 37.2 0.8
in block A

3.3 Distribution of interlayer between units

According to the series layer profile, the units of PII ∼ GI 4 + 5 are mainly layered intervals and
locally superimposed. The unit boundary is generally implemented at the mudstone point, that is,
the low value of natural potential and microelectrode. The units are mostly separated by class I and
class III interlayer. The drilling rate of class I interlayer between units is more than 75%, among
which the drilling rate of class I interlayer of PII 1 + 2, 3, and 4 is the highest, generally more than
90%, and the separation between units is good.

158
Table 4. statistics of compartment distribution types of each unit.

Class I Class II Class III Class IV

compartment interlayer interlayer interlayer

Top of Number of Penetration Penetration Penetration wells drilled Penetration

sedimentary wells thickness rate thickness rate thickness rate wells rate
unit drilled (m) (%) (m) (%) (m) (%) drilled (%)

P II 1 + 2 922 1.6 92.0 1.7 3.9 0.2 3.0 10 1.1

P II 3 922 2.3 90.5 1.6 4.8 0.2 3.5 12 1.3
P II 4 920 1.9 94.4 1.2 2.4 0.2 2.6 6 0.7
P II 5 + 6 920 3.0 88.5 1.2 2.6 0.2 5.5 31 3.4
P II 7 920 3.1 86.2 1.5 1.9 0.2 6.0 55 6.0
P II 8 + 9 917 2.0 86.8 1.2 5.2 0.2 5.7 21 2.3
P II 101 919 1.9 87.5 1.6 3.6 0.2 6.2 25 2.7
P II 102 910 1.4 75.2 1.2 10.9 0.2 9.1 44 4.8
P II 103 902 1.3 68.2 1.1 8.5 0.2 14.1 83 9.2
GI 1 900 1.6 96.8 1.3 2.6 0.3 0.7 0 0.0
GI 2 898 2.0 91.9 1.4 3.5 0.2 3.0 15 1.7
GI 3 894 2.4 77.3 1.2 7.8 0.2 9.3 50 5.6
GI4+5 889 1.5 64.9 1.1 6.3 0.2 15.4 119 13.4

3.4 Permeability and water flooding

According to the interpretation of new drilling permeability, the reservoir of group PII ∼ GI 4 +
5 belongs to the medium and low permeability layer, and the permeability is mainly distributed
between 200 ∼ 600mD, which is worse than that of groups III reservoir. Among them, group PII is
relatively good, and the permeability is mainly distributed between 200∼500mD. The permeability
distribution of each unit of GI 1-5 reservoir is quite different. The plane permeability variation
coefficient of each unit is between 0.6∼1.1, the interlayer permeability difference is 3, and the
plane and interlayer heterogeneity are strong.

Table 5. Inter layer variation coefficient of target interval in different blocks.

Maximum Minimum Interlayer Coefficient of

Target permeability permeability permeability variation between
block layer (d) (d) difference layers

North of fault in block A PII 0.808 0.273 3.0 0.307

South of fault in block A SIII1 ∼ 7 0.835 0.527 1.6 0.188
Block B SIII4 ∼ 10 0.799 0.425 1.9 0.297
Block D SIII4 ∼ 10 0.715 0.429 1.7 0.227

According to the water flooded condition of the sand body in each unit, the proportion of water
flooded thickness of PII ∼ GI 4 + 5 oil layer in North of fault in block A is 97.5%, the proportion of
medium water flooded is 45.3%, and the proportion of high water flooded is 38.3%. Compared with
the flooding condition before encryption, the proportion of high flooding increased by 12.8%, the
proportion of medium flooding increased by 2.5%, and the proportion of low flooding decreased
by 15.3%. Among them, the proportion of water flooded thickness of thick layer above 2.0m is
98.5%, the proportion of medium water flooded is 42.6%, the proportion of high water flooded is
46.3%, the proportion of thin layer below 2.0m is 97.4%, the proportion of medium water flooded
is 48.4%, and the proportion of high water flooded is 29.3%.

159
4 CONCLUSION

Based on the results and discussions presented above, the conclusions are obtained as below:
(1) There are few faults in the North block, and there is no obvious change in the faults after
densification.
(2) PII ∼ GI 4 + 5 reservoir is dominated by a low bend distributary channel sedimentary model.
The width of river sand is 150m-1200m.The striping and directionality are consistent with
those before encryption. According to the drilling conditions of sand bodies of sedimentary
microfacies, the drilling rate of river sand bodies changes slightly before and after well pattern
infilling. Through the fine prediction of river sand bodies, the continuity of local river sand
bodies is enhanced.
(3) The sedimentary units of PII ∼ GI 4 + 5 are basically dominated by class I mudstone interlayer,
with the relatively stable distribution. The penetration rate of class I interlayer is more than
75%. Class II, III, IV, and V interlayers are scattered and embedded in class I interlayer, and
the separation between units is good. The plane permeability variation coefficient of each unit
is between 0.6 ∼ 1.1, the interlayer permeability difference is 3, and the plane and interlayer
heterogeneity are strong.
(4) The average flooded thickness of PII ∼ GI 4 + 5 is 97.5%, mainly medium and high flooding, up
to 83.6%. The remaining oil is mainly distributed at the edge of the river and the deteriorated part
of the river. With the continuous fine adjustment of the oilfield, the large pore channel changes
from the original scattered distribution to strip distribution, which is still mainly distributed in
the main part of the river sand.

REFERENCES

Jiao Yanli (2010). Sedimentary model of class II oil reservoir in Sabei Development Zone of Daqing Oilfield.
Journal of Daqing Petroleum Institute.
Sui Jun, et al. (2000). Study on fluvial delta facies reservoir in Daqing Oilfield. Petroleum Industry Press.
Wei Zhongyuan (2004). Yonggang Zhang. Characteristics and development trend of modern reservoir
description technology. Special oil and gas reservoirs.
Yu Xinghe (2002). Oil and gas reservoir sedimentology of clastic rock series. Petroleum Industry Press.
Yu Xinghe et al. (2004). Eological model and hierarchical interface analysis of braided river reservoir. Petroleum
Industry Press.

160
 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Statistical analysis of fractal parameters of rock pore structure

Yuexiang Li
Department of Petroleum Engineering, Harbin Institute of Petroleum, China

ABSTRACT: Displacement pressure and maximum pore throat: an important quantitative char-
acteristic parameter on the capillary pressure curve is the converted breakthrough capillary pressure,
which refers to the pressure at which the non-wetting phase begins to enter the maximum throat of
the porous core, that is, the pressure at which the non -wetting phase begins to enter the core, some-
times referred to as displacement pressure or valve pressure, which corresponds to the capillary
pressure at the maximum throat radius of the core.

1 INTRODUCTION

The characteristics of reservoir micro pore structure are described from different angles. To sum up,
it can be divided into two types: the first type is the pore physical property characteristic parameters
reflecting reservoir characteristics, oil storage and movable oil capacity, including different throat,
saturation and other parameters (Sun 2009; Xin 2006). The second type is the pore structure
characteristic parameters reflecting the homogeneity of reservoir pore structure, including sorting
coefficient, characteristic coefficient, kurtosis, skewness and other parameters (Yang 2020; Zhang
2017). The quantitative characteristics of capillary pressure curve are usually characterized by the
following parameters.
Saturation median pressure and saturation median radius: another important characteristic
parameter is saturation median pressure, which is the corresponding capillary pressure value when
the saturation is 50% on the displacement capillary pressure curve (Liu 2020). The throat radius
corresponding to the saturation median pressure is the saturation median throat radius, which is
referred to as the median aperture. Obviously, the smaller the saturation median pressure value is,
the larger the saturation median radius is, indicating that the porosity and permeability of reservoir
rocks are better.

2 FRACTAL CHARACTERIZATION OF CHARACTERISTIC PARAMETERS OF PORE

STRUCTURE

The fractal models of pore size distribution and capillary pressure curve:
 3−D
r
S= (1)
rmax
 
pc D−3
S= (2)
pmin
S is the saturation of wetting phase in reservoir rock at capillary pressure pc; r is any pore radius;
rmax is the maximum pore radius; D Is the fractal dimension of pore structure; pc is the capillary
pressure corresponding to any pore radius, MPa; pmin is the capillary pressure corresponding to the
maximum pore radius, MPa.

DOI 10.1201/9781003308584-23 161

 According to Laplace equation, the expression of maximum pore radius is:

2σ cos θ
rmax = (3)
pmin

σ is the surface tension of the liquid, N/m; θ is the wetting contact angle, (◦ )
(1) Average value of pore radius: its expression:
 1
3−D
r̄ = rdS = rmax (4)
0 4−D
r̄ is the average pore radius, µm.
(2) Median aperture: according to the definition of median aperture, when the value of equation
is 0.5, we can get.
1
r50 = rmax 0.5 3−D (5)

(3) Sorting coefficient of pore radius: the expression for determining the sorting coefficient of
pore radius:
 n
 12
fi (ri − r̄)2
δ= (6)
i=1
100

Sorting coefficient of pore radius: determine the expression of sorting coefficient of pore radius.
If considering the continuity of saturation change, write it in the form of continuous integral,
integrate and make corresponding transformation, the fractal expression of sorting coefficient can
be obtained as
 1  12   
3−D 3−D 2
δ= (r − r̄) ds = rmax
2
− (7)
0 5−D 4−D

(4) Coefficient of variation: coefficient of variation is the ratio of pore radius sorting coefficient
(standard deviation) to average value:
  3−D 2 
δ rmax 5−D − 4−D
3−D
(4 − D)2
C= = = −1 (8)
r̄ 3−D
r
4−D max
(3 − D)(5 − D)

(5) Skewness: the expression for determining the skewness:

fi (ri − r̄)3
Sh = (9)
1000δ 3
δ is the pore radius sorting coefficient; fi is the percentage corresponding to the radius; ri is the
radius of any pore.
It is written in the form of continuous integral of saturation, integrated and transformed. Finally,
the fractal expression of skewness can be obtained:
 3(3−D)2  3
1
(r − r̄)3
3−D
6−D
− (4−D)(5−D)
+ 2 3−D 4−D
Sh = ds = (10)
0 δ3  3−D 2 ! 32
3−D
5−D
− 4−D

162
 (6) Pore structure eigenvalue function: the definition formula of pore structure eigenvalue
function:

δSh
G(f ) = (11)
r̄

G(f ) is pore structure eigenvalue function.

By substituting (1–1), (1–3) and (1–8) into (1–10), the expression of pore structure eigenvalue
function:

3(3−D)2  3 
δSh
3−D
6−D
− (4−D)(5−D)
+ 2 3−D 4−D (4 − D)2
G(f ) = = · −1 (12)
r̄  3−D 2 ! 32 (3 − D)(5 − D)
3−D
5−D
− 4−D

(7) Homogeneous Coefficient: the Homogeneous Coefficient is expressed as:

" Smax
r(S)dS
α= 0
(13)
rmax Smax

α is Homogeneous Coefficient; mercury saturation corresponding to 7.5 MPA. The fractal

expression is:

3−D 4−D
! 1
α= 1 − (1 − Smax ) 3−D . (14)
4−D Smax

3 CALCULATE FRACTAL PARAMETERS

The fractal geometry formula of function curve:

# $1/2
f 3−D
J= S 1/(D−3) (15)
25−D

Logarithm of (1–15) on both sides:

# $
3−D f 3−D
lg S = lg + (D − 3) lg J (16)
2 25−D

If the reservoir pore structure has fractal property, a straight line can be obtained by mapping
LGJ according to the j function curve data LGS according to formula (1–16). The values of pore
fractal dimension D and capillary curvature f can be calculated according to the slope and intercept
of the straight line. Computer calculation can also be used instead of graphical method, so as to
obtain more accurate results, that is, LGS carries out linear regression analysis on LGJ. If the pore
structure has fractal properties, a significantly correlated regression equation is obtained, and the
values of fractal parameters D and F can be calculated from the coefficients of the equation. This
method is used to process the mercury injection data of three cores of well Liunan 2–6.

163
Figure 1. Double logarithm curve of J function and saturation of core 218.

Figure 2. J-function and saturation double logarithm curve of core 220.

Figure 3. Double logarithm curve of J function and saturation of core 223.

164
 It can be seen from the Figure 2 that the correlation coefficient of the regression equation is
more than 0.99, indicating that the pore structure of these rock samples has good fractal properties.
The pore fractal dimension of the three rock samples is 2.65 ∼ 2.79, which is within the range of
krohn’s results (2.27 ∼ 2.89) of various reservoir rocks by scanning electron microscope.

Table 1. Effect of pore fractal dimension on statistical parameters.

Core umber D r̄ r50 δ C Sh

218 2.6562 0.2558 rmax 0.1332 rmax 0.285 rmax 1.114 1.0247
220 2.7115 0.2239 rmax 0.0904 rmax 0.275 rmax 1.2307 1.2187
223 2.7721 0.1859 rmax 0.0477 rmax 0.264 rmax 1.4034 1.4947

Table 1 shows the influence of pore fractal dimension on statistical parameters, it can be seen
from the table that r̄ and r50 decrease significantly with the increase of D, δ The decrease was not
obvious, while C and Sh increased significantly.
Generally speaking, due to the rough rock surface, a small amount of Mercury will be adsorbed
on the rock surface before pressure is applied in mercury injection experiment. Therefore, the initial
section of mercury injection capillary pressure curve cannot reflect the pore structure characteristics
of rock. In order to eliminate its influence, the data of the initial section of the measured mercury
injection curve are ignored in the calculation of fractal dimension. According to the theory of fractal
geometry, the value of fractal dimension in three-dimensional Euclidean space is between 2 and 3.
The closer it is to 2, the smoother the pore surface is, the better the reservoir performance is; The
closer the fractal dimension is to 3, the less smooth the pore surface is and the worse the reservoir
performance is. If the value of fractal dimension is greater than 3, it indicates that the pore does
not have fractal structure within this size range.
According to the pore throat histogram of core mercury injection method, the pore throat of 218
and 220 cores is 10 µ M, the highest frequency is 24.844 and 24.819 respectively, which are mainly
macropores, and the pore throat of 223 rock core is 1.6 µ M, the maximum frequency is 10.836,
mainly small voids. Theoretical analysis shows that the fractal dimension of macropores is smaller
than that of small pores.
The fractal dimensions of core 220 and core 223 are 2.7115 and 2.7721 respectively. The fractal
dimensions of macropores and small pores are between 2.0 and 3.0, indicating that they have fractal
structure. And the fractal dimension of macropores is generally smaller than that of small pores,
which fully shows that for reservoir rocks, the uniformity and pore structure of macropores are
generally better than that of small pores.

4 CONCLUSION

Based on the results and discussions presented above, the conclusions are obtained as below:
(1) Capillary pressure and saturation show a good linear relationship in double logarithmic
coordinate system, and the absolute value of correlation coefficient is greater than 0.99.
(2) This shows that the pore fractal dimensions of the calculated samples are equal, have the same
structure and uniformity. For such reservoir rocks, the fractal dimension of pore structure can
be obtained by overall regression of capillary pressure data without piecewise regression.

ACKNOWLEDGMENTS

This work was financially supported by the Research Project of Natural Science Foundation of
Heilongjiang Province (LH2021D013).

165
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Liu Aiyong, Zheng min. (2020). Study on micro heterogeneity of reservoirs in the west of dalqi oilfield.
Neijiang science and technology. 04:63–64.
Sun Junchang, Zhou Hongtao, Guo Hekun, Liu Wei. (2009). Fractal geometry description of micro
heterogeneity of complex reservoir rocks. Journal of Wuhan Institute of technology. 03:42–46.
Xin Changjing, heYoubin, Dong Guiyu. (2006). Application of capillary pressure curve in the study of reservoir
micro heterogeneity. Henan Petroleum. 03:57–59+109.
Yan min. (2020). Reservoir micro heterogeneity and its research progress in tight oil migration and
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166
 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Research on the geological characteristics of black shale,

Western Hunan

Chenglong Zhang∗ , Lisha Hu & Xiaolin Jin

Center for Hydrogeology and Environmental Geology Survey, China Geological Survey, Baoding, China

Yanping Chen
Petroleum E&D Research Institute of Henan Oilfield Branch Company, SINOPEC, ZhengZhou, Henan,
China

Wenbo Jiang
Exploration and Development Research Institute, Qinghai Oilfield of Chinese National Petroleum
Corporation, Dunhuang, Gansu, China

Junbin Zhao
ShanXi Institute of Geological Survey, Shanxi Taiyuan, China

ABSTRACT: The strata of the Western Hunan block is located in the southeast of Sichuan – west
of Hunan and Hubei. Its geotectonic background is in the central Yangzte plate, a superimposed
structure where different structures interact with each other. The structure in Sangzhi is relatively
simple, which extends to the northwest of the “S”. The formation in the study area presents that the
northern rocks are older than the southern rocks. The target layer series Niutitang and Longmaxi
black shales’ TOC is higher than other shale layers, and their thickness and continuity are also better.
The types of sedimentary facies in Niutitang formation are continental shelf and slope facies, and
the type of sedimentary facies in Longmaxi formation is continental shelf. Through the analysis
of tectonic and sedimentary characteristics of the study area provides powerful scientific basis for
the analysis and evaluation of shale gas potential in this area.

1 INTRODUCTION

With the increase in global energy demand, advances in unconventional oil and gas geological
exploration theories, breakthroughs in difficult-to-explore oil and gas extraction technologies, and
the successful development of shale gas in North America, shale gas has become the world’s hottest
and largest resource as well as the fastest-growing new natural gas resource (Liu et al. 2013; Wang
et al. 2013; Zhang et al. 2014). In recent years, with the development of southern marine facies,
especially the exploration of marine facies, the western Hunan area has become a hot spot for
unconventional oil and gas exploration in China. I took the black shale in the western Hunan area
as the main research object. The analysis and evaluation of shale gas potential in this area provide
a strong scientific basis.

2 REGIONAL STRUCTURAL FEATURE

Xiangxi is located in the northwest of Hunan Province, adjacent to the three provinces of Hubei,
Guizhou, and Sichuan. The longest from east to west is 43km, and the widest from north to south
is 42km, with an area of 760.36km2 . The geotectonic location of this area belongs to a secondary

∗ Corresponding Author: [email protected]

DOI 10.1201/9781003308584-24 167

tectonic unit in the southernmost part of the western Hunan-Hubei block. The southeast side is
the Jiangnan uplift zone, and the northwest side belongs to the Yidu-Hefeng compound anticline
zone in the same block. The study area is from the south in the north, they are: Jiaoziya structural
belt, Jiangya structural belt, Siwangshan structural belt, and Yantangwan structural belt (Guo et al.
2005) (Figure 1).

Figure 1. The location of the study area and the division of structural units (modified according to Guo 2005).

Since the Paleozoic, it has undergone multiple episodes of structural deformation. The axial
and fault directions of the folds have certain regularity, that is, the direction or axis changes from
the NEE direction passes through the NE, and finally the NNE rotates counterclockwise. It is
determined that the study area mainly developed two episodes of Indosinian deformation and two
episodes of Yanshanian deformation. The two episodes of deformation in the Indosinian period
formed NEE-EW and NE-strike folds and faults; the two episodes of Yanshanian deformation
formed NE and NNE-NS-strike folds and faults. This feature of structural degeneration is not only
related to the geotectonic background of the Indosinian Movement and Yanshan Movement in the
region but also closely related to the uplift and development of Xuefeng Mountain (Figure 2).

Figure 2. Indosinian-Yanshanian structural deformation mechanism in the study area (modified according
to Zhou 2011).

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 From the analysis of regional structure, during the Caledonian period, the study area was in a sta-
ble uplift stage and suffered strong denudation, but no large-scale structural deformation occurred.
The Indosinian movement in the late Middle Triassic ended the long-term marine deposition history
of the entire Yangtze area and started the continental lake basin deposition. Due to the occurrence
of the Indosinian Movement and many subsequent movements, the Xuefeng Mountain and its east
side deformed extremely strongly, resulting in unconformity contact at multiple angles, and strong
fold deformation and large-scale thrust faults occurred; on the west side of Xuefeng Mountain. The
structural strength is relatively weakened, characterized by low-angle unconformity or integration,
and folds and faults also developed to a certain extent. The Yanshan movement that began in the
late Jurassic caused strong structural deformation in the west side of Xuefeng Mountain, forming
a basin dominated by Jurassic lacustrine deposits.

3 SEDIMENTARY GEOLOGICAL CHARACTERISTICS

3.1 Sedimentary evolution characteristics

The study area has experienced the Wuling movement, Xuefeng movement, Caledonian movement,
Anyuan movement, Ningzhen movement, Himalayan movement, and other historical periods.
The regional tectonic background and sedimentary environment of the sedimentary rock series
of different ages in the area are quite different in terms of time and space. The evolution history
of sedimentation is divided into four stages with Wuling Movement, Caledonian Movement, and
Indosinian Movement as turning points, which have an obvious quartet. From the Late Proterozoic
to the Early Paleozoic, the study area can be divided into three depositional areas from northwest to
southeast. They belong to theYangtze area, the Jiangnan area, and the South China area, representing
three different sedimentary types: stable, sub-stable, and active. From the Late Paleozoic to the
Middle Triassic, it was dominated by various stable types of deposits in the land surface sea
environment. After the Late Triassic, the Mesozoic and Cenozoic were dominated by accumulations
of various inland basins. Only the Late Triassic to the Early Jurassic had local residual marine and
pan-flooding deposits (Figure 3).

Figure 3. Section of structural movement and sedimentary basin evolution in the study area (modified
according to Huang 2011).

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3.2 Characteristics of sedimentary environment
The formation of black shale with high abundance of organic matter requires faster deposition
conditions and a reducing environment with better sealing properties. After deposition and burial,
an oxygen-deficient, sulfate-deficient environment, low temperature, rich organic matter, and
sufficient space for gas storage are the main factors controlling methane production. Kepferle
(1993)’s “black shale cycle”—the alternate appearance of black shale layers and gray, green shale,
and siltstone units, is the most classic conclusion about the depositional environment of black shale.

3.2.1 Lower Cambrian Miutitang formation

Through the study of sequence stratigraphy on the Wangjiatai village section and the back section of
Sancha village house in Zouma Town, Hefeng County, it is found that the Niutitang Formation can
be divided into the transgressive system tract and the high-stand system tract; combined with the
comprehensive analysis diagram and the plane of the section Sedimentary facies distribution map,
black shale distribution law map, rock and mineral composition, etc., analyze the sedimentary
characteristics of the study area. The results exhibited that the sedimentary facies types of the
study area are mainly shelf facies and slope facies (Figure 4). In the early stage of Niutitang
Formation, the study area was in a deep-water shelf and slope facies sedimentary environment,
with the development of transgressive system tracts. The black shale and slate in the lower part of
the Niutitang Formation were deposited; then the sea level began to fall, and the water gradually
became shallower, and a shallow shelf facies depositional environment, namely the high-stand
system tract, was developed, thereby depositing the carbonaceous material in the upper part of the
Niutitang Formation. Shale, siliceous shale, and silty shale formations.

Figure 4. Sedimentary facies model diagram of Niutitang Formation in the study area.

Through studying the formation thickness, black shale thickness, single-well facies, continuous-
well profile facies, and mineral composition of the 7 Niutitang Formation outcrop profiles outside
the study area, and combining the relevant geological data of the area, the analysis of distribution
characteristics of the Niutitang Formation on the plane was carried out (Figure 5).
The study found that the sedimentary thickness of the black shale of the Lower Cambrian
Niutitang Formation in this area shows a gradually decreasing trend from N to S. According to
the distance of the provenance, the distance from the provenance to the southwestern direction
gradually becomes farther, the water body gradually deepens, and the sedimentary grain size
becomes finer. The sedimentary facies can be subdivided into deep-water shelf facies and slope
facies. Its lithology changes in a strip form from northeast to southwest, from siltstone, argillaceous
siltstone, silty shale, siliceous shale to black shale, carbonaceous shale, and so on.

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Figure 5. Plane sedimentary facies map of Niutitang Formation in the study area.

3.2.2 Lower Silurian Longmaxi formation

The Longmaxi Formation in the study area is mainly developed in the sedimentary environment
of the shallow sea shelf. Through the previous study of the sequence stratigraphy of the Xiayang
Bay-Liangcha Village Xiaoheqiao East Section, Mafuying Section, Fengyanxi Village Xiaoxibian
Shanyao Section, and Tangjiazhuang Section. Combined with the sedimentary facies of the Lianjing
section, black shale distribution law, plane sedimentary facies distribution, mineral composition,
etc., analyzed the sedimentary characteristics of the study area (Zhang et al. 2014). Through field
surveys and investigations, it is found that the study area has formed a deep-water shelf sedimentary
environment, which mainly deposited the black shale strata in the lower Longmaxi Formation; then
the relative sea-level began to drop, the sedimentary water body became shallow, and the shallow-
water shelf subfacies developed, which deposited the Longma the middle and upper strata of the
Xi Formation (Figure 6).

Figure 6. Sedimentary facies model diagram of the Long maxi Formation in the study area.

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 Through systematic statistics, the 21 Longmaxi Formation outcrop sections in the study area have
thickness of formations, thickness of black shale, combined with various facies signs, single-well
facies, continuous-well profile facies, and mineral composition, including the planar distribution
of quartz, feldspar, and clay minerals, Comprehensive analysis and division of the distribution
of sedimentary facies on the plane, research shows that the sedimentary pattern of the Longmaxi
period in the Sangzhi area is controlled by the Xuefengshan ancient land in the southeast, and
the other directions are open to the deep sea. According to the distance from the provenance,
the sedimentary facies can be subdivided into shallow-water shelf subfacies and deep-water shelf
subfacies. The lithology is similar to the sedimentary facies, and it changes in bands to the northwest,
that is, changes in siltstone, argillaceous siltstone, silty shale, black shale, and carbonaceous shale
(Figure 7).

Figure 7. Plane sedimentary facies map of the Long maxi Formation in the study area.

4 CONCLUSION

1) After the Indosinian movement in the late Middle Triassic, the western Hunan area changed
from marine deposits to continental lake basin deposits. Specifically, the early Cambrian
Niutitang Formation black shale strata gradually evolved from the early deep-water shelf to the
shallow-water shelf and tidal flat under the background of early transient rapid transgression
and slow regression. A set of black shale formations; the early Silurian Longmaxi Formation
black shale strata, developed in a closed bay sedimentary model controlled by the foreland
basin, and controlled by tectonic compression. During this period, the seawater flow was not
smooth, and the structure was harmonious. Paleoclimate has a greater impact on sea-level
changes.
2) From the perspective of sedimentation after the early Cambrian Niutitang Formation and
the Early Silurian Longmaxi Formation deep-water shelf subfacies developed wide and sedi-
mentary layers, they represent the reducing environment in deep-water environments and are
conducive to the formation of organic black shale; shallow water The thickness of continental
shelf subfacies and slope facies deposition varies greatly in different regions.

172
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2. Chemical characteristics of geology, hydrology,
petroleum and mineral resources
 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Spatial-temporal characteristics and influencing mechanism of water

quality in water source of Hanjiang to Weihe River Valley Water
Diversion Project

Wei Liu & Minquan Feng∗

State Key Laboratory of Eco-hydraulics in Northwest Arid Region of China, Xi’an University of Technology,
Xi’an, China

Hao Wang & Ting Liu

Hanjiang to Weihe River Valley Water Diversion Project construction CO. LTD., Shaanxi Province, China

ABSTRACT: The water quality safety of long-distance water diversion project is related to the
success or failure of water diversion project, and the water quality safety of water source is the
basic guarantee of water quality safety of the whole water diversion project. As the principle of
“pollution control before water supply, environmental protection before water use” is put forward,
the identification of pollution sources and water quality prediction in the early stage of water
diversion project implementation have attracted extensive attention. On the basis of analyzing the
historical water quality data of the upstream basin of the water source of the Hanjiang to Weihe
River valley water diversion project, this study identified the main pollution factors. Doppler current
meter (ADCP) was used to measure the current river topography and velocity within 10Km of the
reservoir area. Combined with the topography of the reservoir design area, a water quality model
was built to predict the water quality after the reservoir was built. The results show that the water
quality above the dam site and in the upper reaches of Huangjinxia Reservoir (HJXR) meets the
class II surface water quality standard. The main pollution comes from the discharge of domestic
sewage inYangxian and Chenggu counties, and the water quality is relatively poor in the dry period.
The simulation results show that after the completion of HJXR, the water quality has little influence
on the water quality, and the water quality meets the class II surface water quality standard.

Keywords: Hanjiang to Weihe River Valley Water Diversion Project; Huangjinxia Reservoir;
Water quality model; Water quality safety.

1 INTRODUCTION

With the wide application of water transfer project at home and abroad, the demand for water
quality assurance is increasingly prominent. The water quality status of long-distance water transfer
project is like a mirror, which profoundly reflects the quality of water quality safety work in the
planning and construction period and operation and management period of water transfer project,
and relates to the success or failure of water transfer project (Tang et al. 2014, Zhu et al. 2008).
Water quality safety is the basic guarantee for water quality safety in water transfer projects, but
the construction of water conservancy projects will change the original state of the water body and
the water environment, increase the water retention time, prone to deposition and transformation,
and cause complex water quality (Putro et al. 2016), which will lead to midstream and downstream
pollution. The catastrophic consequences of a significant increase in levels and the occurrence of
algal blooms (Zhu et al. 2008). Therefore, the deterioration of water quality in water sources has

∗ Corresponding Author: [email protected]

DOI 10.1201/9781003308584-25 177

become a global problem, with nearly 100 million cases of diseases caused by drinking water safety
problems worldwide (Gleick et al. 2003). In China, more than 40% of rivers are seriously polluted,
and 80% of lakes appear eutrophication (Liu and Yang 2012). Therefore, comprehensive research
on water quality assessment, prediction and protection is essential (Sany et al. 2018).
Taking the south to North Water Transfer project, the largest water transfer project in China,
as an example, a lot of research has been done on water source water quality protection. In terms
of the identification and analysis of major pollutants, since the water diversion of Danjiangkou
Reservoir began in 2014, the concentration of chemical oxygen demand (CODMn ) has shown a
very significant upward trend, while the concentration of total phosphorus (TP) has shown a sig-
nificant upward trend. The main indicators exceeding the standard include dissolved oxygen (DO),
CODMn and ammonia nitrogen (NH3 -N) (Xin et al. 2015). Sources include industrial and domestic
wastewater, non-point sources from aquaculture, agriculture, navigation and natural processes such
as weathering, precipitation and soil erosion (Kuo et al. 2018, Wang 2006, Zhang 2010, Zhuang
et al. 2019). Domestic and municipal sewage is the main source of organic matter and nutrients in
water bodies, so algae has a high risk in densely populated areas (Kuo et al. 2018), while heavy
metals in sediments mainly come from industrial production, shipping, farmland agriculture and
fertilizer use (Zhuang et al. 2019). In spatial and temporal variation characteristics of water quality,
water pollution is affected by various driving factors, show the significant effect of time and space,
the spatial and temporal heterogeneity make water pollution control more complex (Sheng and
Tang 2020), the show is on the whole, the quality of the water in the rainy season less than dry
season (Li et al. , Li et al. 2009), high risk of heavy metal pollution in spring, summer, eutroph-
ication, water quality in winter best (Guo et al. 2019). In terms of water quality evaluation, Xi
et al. conducted long-term monitoring of 16 water quality indicators in 27 sampling points of the
water source of the South-to-North Water Diversion project from March 2016 to February 2019 and
evaluated the water quality by WQI method. The results showed that the water quality was stable
at an “excellent” level, but there were still potential risks of algae proliferation. (Xn et al. 2020).
The focus of operation management is to prevent high nitrogen, phosphorus, turbidity and total
suspended matter in upstream lakes, high nitrogen in diversion season and high phosphorus in non-
diversion season. (Qu et al. 2020). Meanwhile, the operation conditions of water diversion project
are complex and there are many types of water pollution risk sources, so emergency measures and
assessment of sudden water pollution are of great significance. (Long et al. 2016). Tang et al. based
on the Model of sudden pollution accident along the route of south-to-north Water Transfer project
based on MIKE11 HD module (Tang et al. 2014), developed the risk of water pollution based on
Bayesian network model and assessed the impact of pollutants in water, simulated the water quality
of cyanide under different pollution loads, and proposed emergency measures for water pollution
of south-to-north water Transfer project (Tang et al. 2016).
The success of the Hanjiang to Weihe River Valley Water Diversion Project (HTWVWDP)
depends on the water quality of HJXR, so it is particularly important to protect the water quality
of HJXR. HJXR is located in the upper reaches of the Hanjiang. The current water quality of the
dam site in the upper reaches of the Hanjiang is good (Class II). However, damming will change
the original flow pattern of the river and increase the residence time of water, resulting in pH
increase, dissolved oxygen decrease. (Brandimarte et al. 2008) and CODMn concentration increase
(Xin et al. 2015). Pollutants released from flooded soil and plants consume most of the dissolved
oxygen in the water, resulting in water quality deterioration. (Pei et al. 2013). Due to the influence
of human activities, more than 12 algal blooms have occurred in Danjiangkou Reservoir in the
lower reaches of the Hanjiang in recent 20 years (Cheng et al. 2019). Therefore, the construction
of HJXR may lead to the same problem in the upper reaches of the Hanjiang. The experience of
the south-to-North Water Transfer project in the identification and analysis of major pollutants, the
spatial-temporal variation characteristics of water quality and the regulation and control of sudden
pollution accidents is worth learning, but the south-to-north water transfer project was built earlier,
and most of the researches are based on the current situation after the water supply. In recent
years, as the “first after water diversion, water after pollution first, after the first green water” is
put forward, the principle of water transfer project of water pollution prevention and control and
forecast to get everybody’s attention, therefore, the aim of this study was to (1) analysis of water
178
diversion before HJXR above spatial and temporal variations of river water quality, to identify the
main pollution factor; (2) A high-precision water quality model was built based on topographic
survey of the basin to predict the spatial-temporal evolution characteristics of water quality after
the completion of the reservoir, providing theoretical basis for ensuring the water quality safety of
the HTWVWDP.

2 MATERIALS AND METHODS

2.1 Study area

The HTWVWDP is a key project of the inter-basin water diversion project in Shaanxi Province.
Two water sources are selected in the water diversion area, namely HJXR, the main stream of the
Hanjiang, and Ziwu River, a tributary of the Hanjiang, among which HJXR is the main water
source of the HTWVWDP. HJXR is located in the upper reaches of the Hanjiang, the Hanjiang is
a tributary of the left bank of the Yangtze River, originating in The Ningqiang County of Shaanxi
Province Pan Zhongshan, The dam site is located in the upper reaches of the Hanjiang Zhujiacun
hydrology station (ZJCHS) 72km downstream, the river above the dam site is 269km long, the
basin area of 17070 km2 , accounting for 27.4% of the basin area in the province. The dam height
of the reservoir is 68m, the total storage capacity is 229 million m3 , the regulated storage capacity
is 92 million m3, the normal storage level is 450m, the dead level is 440m, and the average annual
inflow is 6.729 billion m3 (Figure 1).

Figure 1. Map of monitoring sites at HJXR and the Hanjiang Velocity monitoring point.

2.2 Sample data collection

According to the hydrological characteristics and geographical conditions, this study selected two
state-controlled sections for water quality monitoring in the upper reaches of the Hanjiang, including
Mengjiadu section (MJD) located at the source of the Hanjiang, and Huangjinxia section (HJX)
located near the dam site of HJXR. Monitoring section data are water quality monitoring data
from 2010 to 2020, and samples are taken once a month. In this study, pH, DO, CODMn , 5-day
biochemical oxygen demand (BOD5 ), TP and NH3 -N were selected as water quality evaluation
indexes. The hydrologic analysis and calculation of HJXR is based on the hydrologic station of
Yangxian County (ZJCHS). The data series are from 1954 to 2005 and 52 years long.

2.3 Water level and velocity measurement by ADCP

Status measurement of Hanjiang upstream water depth is shallow, 1:10 000 topographic map
accuracy can meet the model, water depth is larger near the dam site area, in order to define the
existing river terrain and the calibration of hydrodynamic model, Use the ADCP in July 2020 were
determined, and the status quo of river terrain measurement range for the reservoir dam site above
the 9 km, total set up nine monitoring cross section, The spacing is 1km (Figure 1). The underwater
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topography, velocity and direction of water flow were obtained. The water depth was 4-8m within
9Km above the HJXR dam site, and the velocity was within 2.5m/s (Figure 2).

Figure 2. The topography and velocity measurement results of HJXR.

2.4 Water quality simulation

2.4.1 Model description
A three-dimensional water quality model of HJXR was constructed by using HD module and con-
vection diffusion (AD) module in MIKE 3 FM model to simulate the hydrodynamic characteristics
of the reservoir area. The MIKE 3 FM model is based on 3D incompressible Reynolds mean
Navier-Stokes equations and satisfies both the hydrostatic hypothesis and Boussinesq hypothesis
and hydrostatic pressure distribution.

2.4.2 3D terrain modelling in study area

The reservoir model area of HJXR is selected as 33◦ 9 N∼ 33◦ 17 N, 107◦ 31 E∼ 107◦ 58 E. The
whole calculation area is divided into structural rectangular grids with a size of 50m, an average
of 250m2 for each grid and 10,550 grids. In order to better fit the terrain changes at the boundary,
the grid near the boundary of the reservoir area was encrypted and smooth-processed. On the basis
of constructing the computational grid, the measured terrain data of the target area was inserted
into each grid node by inverse range-weighted interpolation. In the vertical direction, the grid is
divided into 10 layers with variable spacing, each layer is 1-5 m high, using sigma method. The
topography and grid of HJXR are shown in Figure 3. Hanjiang and Jinshui River (JSH) were used
as the source, and HJXR was used as the sink. The source and sink conditions included flow rate,
wind speed, wind direction, temperature, relative humidity, rainfall, evaporation and shortwave
radiation, etc. Based on the data of Xi’an Meteorological Bureau in 2020, the source and sink
conditions of hydrodynamics were constructed.

Figure 3. Underground terrain, refined area grid pattern and Model calibration of the study area. a)
Underground terrain and refined area grid pattern, b) The visualization of 3D terrain, c) Model calibration
results.

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2.4.3 Model parameter setting and calibration
Because the HTWVWDP is under construction, there is no measured data for parameter calibration
verification. Therefore, the hydrodynamic parameters are mainly determined according to the
design results. The overall topography of HJXR area is high in the west and low in the east, and
the overall flow direction of the Hanjiang is from west to east. According to the geomorphic form,
the reservoir valley can be divided into three types: middle and low mountain valley, low mountain
and wide valley and tectonic basin valley. The roughness was determined to be 0.053, 0.037 and
0.035 respectively by comparing the model results with the water-level storage capacity relationship
curve.
Model verification Is carried out by comparing the water depth calculated by hydraulic method
in the reservoir area in the design report with the model simulation value. The mean absolute error
between simulated and measured values is 2.63, and the relative error is 8.7%. By comparing
the simulated reservoir water depth with the calculated reservoir water depth, it can be found
that the simulated results are in good agreement with the calculated values, and the simulated
annual variation trend is basically consistent with the calculated values, which indicates that the
constructed model has good applicability and reliability.

2.4.4 Simulation scenario

As a river type reservoir, the inflow and outflow flow of HJXR varies greatly in different periods
of the year, which has an important impact on the diffusion and transport of pollutants. Based
on the measured water quality data of HJX rand MJD from 2011 to 2020, the study conducted a
simulation study on the distribution of water quality indexes in different hydrological periods. The
water quality data of the HJXR area under different working conditions were extracted, and the
water quality of the HJXR area changed little in different hydrological periods without considering
the input of pollutants. Tab. 1 shows the simulation conditions of water quality in HJXR.

Table 1. The water quality simulation scene of HJXR.

Month CODMn / mg/L NH3 -N / mg/L TP / mg/L

1 1.8 0.68 0.089

2 2.2 0.52 0.078
3 1.9 0.74 0.112
4 2.5 0.40 0.0722
5 3.1 0.36 0.09
6 1.8 0.30 0.08
7 2.9 0.27 0.059
8 1.7 0.26 0.087
9 1.8 0.23 0.080
10 1.7 0.23 0.081
11 2.0 0.28 0.080
12 2.1 0.27 0.08

3 RESULTS AND DISCUSSION

3.1 Spatial-temporal characteristics of water quality

3.1.1 Interannual variation of water quality
The interannual variation of water quality in HJX is shown in Figure 4, with a small pH variation
between 7.2 and 7.6 (Figure 4a), while the mean pH of Danjiangkou Reservoir in the downstream is
8.04 (Zhao et al. 2020), indicating that the water quality in the basins above HJX is less affected by
human activities. DO ranges from 6.5 mg/L to 9.5mg/L (Figure 4b), and the mean value of DO is

181
the highest in January (8.6 mg/L), and the mean value of DO is the lowest in July (7.14mg/L). The
variation trend of DO is generally consistent with that of water temperature, and the concentration of
DO is low in summer high temperature season, mainly due to two reasons. Firstly, rising temperature
leads to weak reoxygenation capacity of water body and decreased solubility of oxygen. Secondly,
abundant upstream water brings with it non-point source pollution, which also increases oxygen
consumption of water body, resulting in low concentration of DO in this period, and increased
oxygen consumption of plankton and microorganisms in water body.(.)(Cheng et al. 2019). The
CODMn concentration ranged from 1.8-2.8mg/L, with the highest mean CODMn concentration in
December (2.46mg/L) and the lowest mean CODMn concentration in August (1.9mg/L). CODMn
concentration in other seasons was basically the same (Figure 4c). The BOD5 concentration between
1.0-2.7mg/L, in addition to the low concentration in September and October, BOD5 concentration
in the rest of the season basically maintained at about 2.0mg/L (Figure 4d), BOD5 /CODMn value
in the dry season between 63%-71%, BOD5 /CODMn value in the rest of the season between 70%-
92%, It shows that the organic matter in water is dominated by biodegradable organic matter, and
the organic matter in water mainly comes from domestic sewage and litter in the basin, basically
without industrial pollution (Wei et al. 2020). The TP concentration is between 0.01-0.112mg/L,
and the average concentration is below 0.05 mg/L (Figure 4e). Phosphorus sources in water bodies
are mainly from two ways, one is non-point source pollution from farmland and urban point source
pollution, and the other is precipitation of natural phosphate rock (Jc et al. 2021). According to
the investigation, no phosphate rock has been found. Therefore, TP in water mainly comes from
farmland non-point source and urban point source pollution, and the mean concentration of TP is
lower than 0.04 mg/L, indicating that farmland non-point source and urban point source pollution
have little impact on water (Wei et al. 2020). The concentration of NH3 -N ranges from 0.11 to
0.70mg/L (Figure 4f), and the mean value of NH3 -N is the highest in January (0.55mg/L) and the
lowest in August (0.17mg/L). The changing trend of NH3 -N is generally consistent with that of
water temperature, because NH3 -N in water is very volatile at high temperature. On the whole, the
water quality of the reservoir is good, and its water quality indexes all meet the requirements of
class II surface water quality standards. This is mainly due to the absence of large residential areas
and industries in the Hanjiang basin above HJX and the self-purification of water bodies.

Figure 4. Interannual variation of water quality, a) pH, b) DO, c) CODMn , d) BOD5 , e) TP, f) NH3 -N.

3.1.2 Spatial variation of water quality

The water quality changes in the upstream (MJD) and downstream (HJX) of the Hanjiang are shown
in Figure 5. Upstream and downstream pH changed slightly between 7.2 and 7.6 (Figure 5a). The
DO of HJX is obviously higher than that of MJD. The DO of HJX is basically above 7.5 mg/L,
while that of MJD is below 7.5 mg/L. The difference in DO was as follows: Dry period > Average

182
period > Wet period (Figure 5b). This was mainly because the monitoring section of MJD was
located in the downstream of Yangxian County, and domestic sewage brought in a large number
of oxygen-consuming organics, which led to the decrease of DO concentration under the action of
aerobic microorganisms (Pei et al. 2013). There was no large human residential area and industry
in the MJD-HJX, due to the self-purification of water body, the water quality of the HJX was better.
Due to the large dilution ability of water in the wet season, the difference of DO in the wet season
is small. (Guo et al. 2014). The concentrations of CODMn , BOD5 and TP in MJD were all higher
than those in HJX. The concentration of NH3 -N varies greatly in the upstream and downstream,
while the concentration of NH3 -N in the downstream HJX remains low, and the concentration of
NH3 -N in the dry period is higher than that in the wet season and average season, which is caused
by the dilution effect and large flow disturbance in the wet period (Paerl and Huisman 2008).

Figure 5. Spatial variation of water quality, a) pH, b) DO, c) CODMn , d) BOD5 , e) TP, f) NH3 -N.

3.1.3 Time-series variation of the pollutant concentration

Figure 6 shows the changes of water quality in the basins above HJX during wet, average and dry
period. As can be seen, pH is less affected by seasonal changes (Figure 6a). The DO is significantly
affected by seasons (Figure 6b). The DO is shown as follows: dry period > average period > wet
period, which mainly has the following two points. First, flood may carry a large amount of organic
matter, which increases the oxygen consumption of water body, thereby reducing the DO of water
body (Pei et al. 2013). The concentration changes of CODMn and BOD5 were consistent, showing
as follows: dry period > average period > wet period (Figure 6c, d). This was mainly because the
organic matter in water was mainly biodegradable organic matter. The concentration of TP was
lower in average and wet period (below 0.04 mg/L), but higher in dry period (Figure 6e). The
change of NH3 -N concentration was consistent with that of TP, which was shown as: dry period >
average period > wet period. The nitrogen and phosphorus in the dry period mainly come from the
point source pollution of urban domestic sewage, indicating that the point source pollution in the
upstream residential area has a greater impact on the water quality (Wei et al. 2020). In summary,
the water quality of the basin above the HJX of the Hanjiang is good, which meets the requirements
of Class II surface water quality, and the water quality is good in the rainy season. However, the
water quality of Danjiangkou Reservoir in the middle reaches of the Hanjiang in the rainy season is
generally worse than that in the dry season (Li et al. 2009). The main reason is that the main factor
affecting the water quality of the upper reaches of the Hanjiang is the urban point source pollution.
Due to the abundant rainfall dilution in the rainy season, the concentration of pollutants in the rainy
season should be significantly lower than that in the dry season (Guo et al. 2014). The potential

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pollution analysis factors after the completion of the HJXR mainly include CODMn , NH3 -N and
TP.

Figure 6. Time-series variation of the pollutant concentration, a) pH, b) DO, c) CODMn , d) BOD5 , e) TP, f)
NH3 -N.

3.2 Results of the calculation of the concentration field and an analysis

3.2.1 Results of the calculation of the CODMn concentration and an analysis
According to the calculation results of the model, the maximum concentration of CODMn in the
main stream of HJXR was 4.9 mg/L (Figure 7c), and the maximum concentration appeared in the
dry period. The maximum concentrations in the wet, average and dry period were 1.8 mg/L, 2.1
mg/L and 4.9 mg/L, respectively (Figure 7a, b and c). The maximum concentration of CODMn was
2.2 mg/L, 2.9 mg/L and 2.3 mg/L in the cross section of JSR and Hanjiang. The cross sections of
JSH were 1.7 mg/L, 2.1 mg/L and 2.3 mg/L. The concentration of CODMn is as follows: dry period
> average period > wet period. The concentration of CODMn in the upper reaches of the Hanjiang is
significantly higher than that in the JSH in the dry period, mainly due to the discharge of domestic
sewage in Yangxian and Chenggu counties in the upper reaches. However, after the dilution and
self-purification of water bodies, the concentration of CODMn in the lower reaches of the reservoir
decreases. The calculated results are consistent with the measured results of CODMn in the basin,
and the CODMn concentration meets the requirements of surface water quality II, indicating that
the reservoir construction will not affect the CODMn concentration in the short term.

3.2.2 Results of the calculation of the NH3 -N concentration and an analysis

According to the calculation results, the maximum concentration of NH3 -N in the main stream of
HJX reservoir was 0.33 mg/L (Figure 7f), and the maximum concentration appeared in the dry
period. The maximum concentrations in the wet, average and dry period were 0.24 mg/L, 0.32
mg/L and 0.33 mg/L, respectively (Figure 7d, e and f). Under different conditions, the maximum
concentration of NH3 -N in JSH-Han River cross section were 0.36 mg/L, 0.42 mg/L and 0.43 mg/L
respectively. The cross sections of JSH were 0.38 mg/L, 0.44 mg/L and 0.45 mg/L, respectively. The
NH3 -N concentrations of each section under different working conditions are shown as follows:
dry period > average period > wet period. The calculation results are basically consistent with the
measured results of NH3 -N in the basin, but the calculated concentration of NH3 -N is less than
the measured value of the current situation of the basin. The main reason is that the pollution of
NH3 -N is mainly from the pollution of residents (Wei et al. 2020). The construction of reservoirs
strengthens the role of water flow and reduces the NH3 -N concentration (Paerl and Huisman

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2008). The concentration of NH3 -N in the tributaries of JSH is high, but after dilution and mixing
by the main stream of Hanjiang, the concentration of NH3 -N meets the requirements of class II
water quality of surface water, indicating that the construction of the reservoir will reduce the
concentration of NH3 -N to a certain extent.

3.2.3 Results of the calculation of the TP concentration and an analysis

According to the calculation results, the maximum TP concentration of the HJX were 0.05 mg/L,
0.052 mg/L, 0.06 mg/L (Figure 7g, h and i), the intersection of the JSH and Hanjiang was 0.042
mg/L, 0.045 mg/L, 0.049 mg/L, and the JSH section was 0.051 mg/L, 0.052 mg/L, 0.053 mg/L.
Under different conditions, the concentration of TP in each section is as follows: dry period >
average period > wet period. The concentration of TP in wet period is low, and the concentration
of TP in average period is high at the local flow turning point, but the TP in the downstream of
the reservoir is low, which meets the requirements of surface water quality II. In the dry period,
the flow of JSH is small, the concentration of TP in JSH is high, and the concentration of TP in
the downstream of the reservoir area is high. The main reason is that the TP in the upper reaches
of the Hanjiang mainly comes from the point source pollution of the residential area (Wei et al.
2020). In the dry period, the dilution effect of the water body is small, and the TP is accumulated
in the downstream. Therefore, the accumulation process of TP in the tributaries of JSH and the
downstream of the reservoir should be focused on in the dry period after the completion of the HJXR,
and the long-term accumulation of TP should be prevented and controlled to cause eutrophication.

Figure 7. Distribution of the pollutant concentration in HJXR.

3.2.4 Results of the calculation of vertical distribution of pollutant concentration

Since the HTWVWDP mainly transfers water from the HJXR in flood season, in order to clarify
the water quality conditions at different locations, the vertical pollutant distribution of main typical
sections was studied in this study. Typical sections include: upstream section of Hanjiang (upstream
of the intersection of Hanjiang and JSH), JSH section (upstream of the intersection of JSH and
Hanjiang) and dam site section. The vertical distribution of CODMn , NH3 -N and TP concentrations
is shown in Figure 8. It can be seen that the CODMn concentration at the bottom of the upper
section of the Hanjiang is higher (Figure 8a), which is mainly due to a large number of non-point
source pollution and litter pollution carried by the incoming water in the wet season. In the upper
reaches of the intersection area, the CODMn concentration at the bottom of the river is higher
due to the decrease of the river bend flow rate and the deposition of organic matter. The JSH is
straight in the front of the intersection area, so the CODMn concentration is evenly distributed in
the vertical direction of the river center, but the flow of the JSH is relatively small, so the CODMn
concentration in the downstream of the reservoir area is less affected, and the CODMn concentration
in the downstream of the reservoir area is low. The concentration of NH3 -N in JSH is high and close

185
to the mainstream (Figure 8e). The concentration of NH3 -N in HJXR is low and the concentration
of NH3 -N near the bank is high (Figure 8d). The concentration of NH3 -N in the lower reaches of
the reservoir area is consistent with that of CODMn , and the concentration is higher only near the
bank (Figure 8f). The TP concentrations in the center of the HJX section and the JSH section were
high (Figure 8g, h), but the TP concentration in the downstream section of the reservoir area was
low (Figure 8i).

Figure 8. Vertical distribution of pollutant concentration in HJXR.

4 CONCLUSIONS

Based on the analysis of the current situation of water quality in HJXR basin, this study uses three-
dimensional water quality mathematical model to calculate the impact of HJXR on water quality.
The concentrations of main pollutants in wet, average and dry period were simulated. The main
conclusions are as follows:
1) The water quality of the upper reaches of the HJXR in the Hanjiang is good, which meets
the surface water quality standard II. Different from the water quality of the middle and lower
reaches of the Hanjiang, the pollutant concentration in the upper reaches of the Hanjiang is
in the order of dry period > average period > wet period. The main reason is that the upper
reaches of the Hanjiang has less population and less agricultural non-point source pollution. The
main pollution comes from the discharge of sewage in the living area. At present, the potential
pollution factors include CODMn , NH3 -N and TP.
2) Through the actual measurement of the current river topography, the constructed three-
dimensional terrain has high accuracy, and the water quality simulation results are consistent
with the current water quality status of the basin. It shows that the constructed model is reliable
and can provide reliable basis for the water quality safety of the HTWVWDP.
3) Through simulation calculation, the concentration of CODMn , NH3 -N and TP has little effect
after the completion of the HJXR, and the concentration meets the requirements of surface
water quality standard II. However, the water quality is relatively poor in dry season, and

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 the concentration of CODMn in the upstream is higher. However, after river dilution and self-
purification, the concentration at the water intake point decreases. NH3 -N concentrations were
low, and regional differences were not significant; TP concentration is high in the downstream,
so it is necessary to prevent TP accumulation at dam site.

ACKNOWLEDGMENT

This work was financially supported by the Basic Research Program of Natural Science in Shaanxi
province (No. 2019JLM-60).

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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Mineralogical characteristics and SEM-EDS investigation of daughter

minerals of fluid inclusions at the Dongbulage Mo-Pb-Zn deposit,
Inner Mongolia

Lamei Li, Haoran Wu∗ , Huaibin Li, Junjie Yi & Yuan Yao
Institute of Mineral Recourses Research, China Metallurgical Geology Bureau, Beijing, China

ABSTRACT: The Dongbulage Mo-Pb-Zn deposit is located in Xi Ujimqin county, Inner Mon-
golia. In this paper, on the basis of microscopic investigation of the mineral assemblages and fluid
inclusion petrology, Scanning Electron Microscopy and X-ray Energy Dispersive Spectrum (SEM-
EDS) were employed in identification of the ore minerals and the solid phases of fluid inclusions.
The results showed that silver minerals exist in the form of natural silver which mainly coexists
with silicate minerals and apatite. The daughter minerals of fluid inclusions mainly include halite,
sylvite, calcite and fine columnar ferric salt. With the progress of mineralization, the ore-forming
fluid gradually changes from oxidation to reduction. Phase separation (or boiling) occurs before
the hydrothermal solution is captured. This process will inevitably lead to the increase of salinity
of ore-forming hydrothermal solution.

1 INTRODUCTION

The Dongbulage Mo-Pb-Zn deposit, located in the Xi Ujimqin Banner in Inner Mongolia, China,
belongs to the Daxinganling polymetallic metallogenic belts, which is one of the areas where
the Yanshanian magmatic activities were the most developed and is the best area for seeking
Cu-Mo-Pb-Zn-Ag polymetallic deposits (Zhou, Wilde 2013). In recent years, many medium to
large polymetallic deposits have been discovered, such as Bairendaba, Daolundaba, Huaaobaote.
showing great metallogenic potential. Predecessors have done some work on basic geological and
engineering exploration of dongbulage deposit. However, the research on deposit geology, deposit
geochemistry, mineralogy characteristics and ore-forming fluid of the deposit is not deep enough. In
this paper, On the basis of microscopic investigation of the mineral assemblages and fluid inclusion
petrology, SEM-EDS were employed in identification of the ore minerals and solid phases in fluid
inclusions, to find out the occurrence state of metal and fluid components, so as to provide a
scientific basis for improving the metallogenic mechanism and metallogenic model of Dongbulage
deposit.

2 GEOLOGICAL SETTING

The Dongbulage Mo-Pb-Zn deposit, located in the west slope of the south section of The Greater
Khingan Range area, belongs to the Xing-Meng Orogenic Belt. The Xing-Meng Orogenic Belt
evolved through the complex closure of the Paleo-Asian Ocean from the Neoproterozoic to the
Late Permian (Wilde 2015), separating the North China cratons in the south from the Siberian
craton in the north.

∗ Corresponding Author: [email protected]

DOI 10.1201/9781003308584-26 189

 The strata in the region mainly expose Mesozoic continental and Paleozoic marine sedimentary
and vocanic rocks, and the Precambrian basement distribute in the Xi Ujimqin, Linxi and Tuquan
area. The main exposed strata in the area are Linxi Formation of upper Permian, Manketou’ebo
Formation of upper Jurassic, Manitu Formation of upper Jurassic, Baiyingolao Formation of upper
Jurassic, Damoguaihe Formation of lower Cretaceous and Quaternary.
The NW-trending faults are crosscut by NNE- to NE-trending faults in this region, which recorded
complex geodynamic processes involving tectonic events that marked the transition from the dom-
inantly NE–SW directed motion of the Paleo-Asian Plate to the E–W directed motion of the
Paleo-Pacific Plate (Jahn, Wu, Capdevila, Martineaua, Zhao, Wang, 2001). Most of the Intrusions
in this region are formed in the Variscan, early and late Yanshanian, which widely developed along
the NW- and NE-trending faults or at their intersections, consisting of intermediate to felsic gran-
itoid plutons, with volcanic rocks and mafic or ultramafic intrusions (Zhou, Wilde, Zhao, Han
2018).
The multi-stage magmatic intrusion is accompanied by the formation of a large number of
polymetallic deposits in this region. The scale of the deposits is mainly medium to large, and
the types of deposits are diverse. Most of the identifiedx porphyry Mo–(Cu), Sn(W) and Pb–Zn–
(Ag) deposits formed during the Yanshanian period (∼ 160 − 130 Ma), synchronously with granite
emplacement.

3 LOCAL AND ORE GEOLOGY

Dongbulage Mo-Pb-Zn deposit is located in Harigentai village, Xi Ujimqin Banner, Inner Mongolia
Autonomous Region. The exposed strata in the Dongbulage deposit are mainly Permian Linxi
Formation (P2 l), upper Jurassic Manketou’ebo Formation (J3 m), upper Jurassic Manitu Formation
(J3mn) and Quaternary (Q) sandy soil.
Faults and joints are very developed in the study area. The faults in the study area are mainly
NW-, EW- and NE-trending. NW trending faults are mostly tensile torsional or shear tensile, and
NE trending faults are staggered by NW trending and EW trending faults.
The magmatic rocks in the study area predominantly formed during the Mesozoic eras. In
addition to the Yanshanian granite emplacement in the south of deposit, a variety of vein rocks,
volcanic rocks and pyroclastic rocks can be seen in the study area. Rhyolite and andesite are the
main vocanic rocks exposed in the study area.
The discovered lead-zinc vein mineralization is mainly developed in the north and south sides
of the mining area. The ore body occurs in the carbonaceous shale and fine clastic rock of Linxi
Formation, and a small amount occurs in the tuff of Manketou’ebo Formation. The shape and
occurrence of the ore body are obviously controlled by the structure. The veins are distributed
along the structural fracture zone or occur in the secondary fractures of the main structure. The
main metal minerals are sphalerite, galena, pyrite, pyrrhotite and chalcopyrite etc. The gangue
minerals are quartz, calcite, fluorite, anhydrite and clay minerals etc.

4 ORE MINERALOGY

Although the alteration of each stage is different in space, especially in porphyry and carbonaceous
altered surrounding rock, its altered mineral assemblage has a certain contrast (Table 1). Sometimes
it can show the change of mineral composition in the same alteration stage (Chen et al. 2014). For
example, the quartz-pyrrhotite vein, which often developed in carbonaceous wall rock, is less
occured in porphyry alteration. The quartz- pyrite vein is spatially adjacent to the granite, whose
content of pyrrhotite is significantly lower than that in carbonaceous wall rock. Compared with
pyrite, pyrrhotite is formed in a relatively strong reducing environment. Therefore, when the fluid
flows through carbonaceous wall rock, the redox conditions of the fluid change due to the reaction

190
between the fluid and reducing wall rock. So, more pyrrhotite is formed than pyrite in carbonaceous
wall rock.

Table 1. Alteration types and altered mineral assemblages developed in the DONGBULAGE deposit.

Alteration characteristics

Alteration type Vein Mineral assemblage

Potassic alteration Quartz-fluorite-potassium feldspar vein Quartz, fluorite, potassium feldspar,

and silicification anhydrite
Quartz eye Quartz, occasional biotite
Irregular quartz vein Quartz, often containing a small
amount of wrapped minerals such as
biotite and magnetite
Feldspar-molybdenite vein Potassium feldspar, plagioclase,
quartz, molybdenite

Quartz-sericite Quartz-molybdenite vein Quartz, molybdenite

alteration
Quartz-sericite-calcite vein Quartz, sericite, calcite, sometimes
anhydrite
Quartz-sericite-molybdenite vein Quartz, sericite, molybdenite
Molybdenite vein Molybdenite

Propylitic Quartz-chlorite vein Quartz chlorite

alteration
Quartz-pyrite vein Quartz, pyrite, galena, sphalerite

Quartz-pyrrhotite vein Quartz, pyrrhotite, pyrite, sphalerite,

chalcopyrite
Quartz-calcite-chlorite vein Quartz, chlorite
Quartz-calcite-sphalerite-galena veins Quartz, calcite
Disseminated silicification and pyritization Quartz and pyrite
in wall rock
Chlorite vein Chlorite, a small amount of quartz,
sphalerite and galena

Carbonation Calcite vein or irregular block calcite in Calcite and (Pyrite)

porphyry and wall rock

Anhydritization It is distributed along straight fractures and Anhydrite

porous holes

A small amount of euhedral or irregular granular natural silver was found by SEM (Figure 1).
From the particle size of natural silver found at present, its particle size is mainly between
3∼15 µm. Automorphic granular natural silvers occured between quartz and clay minerals. Irregu-
lar granular natural silver occurs in altered porphyry matrix and coexists with zircon and apatite. In
addition, it is found that the most common occurrence of silver is irregular granular natural silver
aggregate. The micro morphology shows that the surface polishing is poor and there are many
uneven spots, indicating that it is not a single crystal particle and may be a natural silver aggregate
of ultrafine particles. The X-ray energy spectra shows that in addition to the peak of Ag, there are
also peaks of Si, O, and Cl, Na.

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Figure 1. BSE images and X-ray energy spectra of silver-bearing minerals.

The study of mineral composition in different alteration and mineralization stages shows that
the metal minerals change to pyrite in the late stage from molybdenite, chalcopyrite, magnetite
and ilmenite in the early stage. The main gangue minerals change to carbonate mineral assemblage
from feldspar, quartz and sericite. The physical and chemical conditions of mineral formation are
from oxidation to reduction. From the mineral assemblage changes in different metallogenic stages,
it shows that the metal minerals are mainly Fe oxides in the early stage, change to be sulfide in the
late stage. It also indicates the reducibility of ore-forming fluid, which is consistent with a large
amount of CH4 found in inclusion composition (Li et al. 2017).

5 SEM / EDS ANALYSIS OF DAUGHTER MINERALS IN FLUID INCLUSIONS

The sample preparation process of this experiment is as follows: firstly, the fresh quartz samples
are randomly broken, and those with relatively flat surface and size of about 10 mm × 10 mm
fragments are selected to be placed on the glass slide, and fixed with double-sided adhesive tape.
When analyzing, after putting the sample into the scanning electron microscope, first observe it

192
under the low power microscope to find the small pit in the host mineral. Where there is a small pit,
the magnification can be increased to determine whether the small pit is an inclusion and whether
there are daughter minerals. After the discovery of daughter minerals, first observe and take photos,
and then conduct X-ray energy spectrum analysis.
In this paper, the daughter minerals in quartz veins and quartz phenocrysts of each stage are
analyzed in detail (Figure 2). The results of SEM/EDS show that the daughter minerals in the
inclusions are mainly NaCl (Figure 3a, b), KCl (Figure 3a) and fine columnar FeCl3 (Figure 3c,
d), as well as calcite and other daughter minerals and unknown daughter minerals. Among them,
many fluid inclusions contain two combinations of different daughter intergrowth, such as FeCl3
and NaCl (Figure 3c), FeCl3 and KCl, KCl and NaCl (Figure 3a), FeCl3 , TiO2 and ZnS, FeCl3
and CaCO3 . The fluid is rich in Fe3+ , i.e. the high content of FeCl3 , which has a great impact on
the dissolution of NaCl (Quan, Cloke, Kesler 1987). At the same time, the crystalline products
sputtered from the solution in the fluid inclusions in Figure 3d can show that the fluid is rich in Zn,
which shows that the fluid is rich in a large number of ore-forming metal elements.

Figure 2. Characteristics of fluid inclusions from Dongbulage deposit

Abbreviation: H-halite, S – daughter mineral, V – vapor phase, L – liquid phase.

193
Figure 3. BSE images and X-ray energy spectra of daughter minerals in fluid inclusions.

The early ore-forming fluid from pophyry is rich in Na, K, Fe and Cl. SEM/EDS analysis of
daughter minerals in fluid inclusions shows that in addition to halite and sylvite, a large number of
ferric salt daughter minerals are also found. In addition, inclusion petrography also show a large
number of malysite daughter minerals and metal sulfide daughter minerals exist in fluid, indicating
that the ore-forming fluid is rich in Fe.

6 CONCLUSIONS

In this paper, SEM-EDS is adopted to study the mineralogical characteristics and the daughter
minerals of fluid inclusions. The main conclusions can be summarized as follows:

194
(1) These granitic rocks in the Dongbulage Mo-Pb-Zn deposit are obviously altered and surrounded
by a broad wallrock alteration system consisting of a potassic alteration and silicification core,
and a huge concentric propylitic alteration halo, with an intermediate quartz-sericite alteration
zone that strongly overprinted the potassic and propylitic zones.
(2) Silver minerals exist in the form of natural silver which mainly coexists with silicate minerals
and apatite. The daughter minerals in the inclusions mainly include include halite, sylvite,
calcite and fine columnar ferric salt.
(3) With the progress of mineralization, the ore-forming fluid gradually changes from oxidation
to reduction.
In terms of the future work, fluid inclusion study should be carried out to enhance the knowledge
of the genesis of Dongbulage deposit.

REFERENCES

Chen, Y. J., Santosh, M., Somreville, I. D., Chen, H. Y., (2014). Indosinian tectonics and mineral ystems in
China: an introduction. Geol. J. 49, 331–337.
Jahn, B. M, Wu, F. Y, Capdevila, R., Martineaua, F, Zhao, Z. H, Wang, Y. X, (2001). Highly evolved juvenile
granites with tetrad REE patterns: the Woduhe and Baerzhe granites from the Great Xing’an Mountains in
NE China. Lithos 59(4): 171198.
Li, L. M., Xie, Y. L., Li, F. G., Jia, L., Chen, W., Wang, Y., Li, Z., (2017). Molybdenite Re-Os Age and
Characteristics of Ore-forming Fluid of the Dongbulage Mo-Pb-Zn Deposit, Inner Mongolia. Geotectonica
et Metallogenia, 41(1): 108–121.
Quan, R. A., Cloke, P. L., Kesler, S. E., (1987). Chemical analyses of halite trend inclusions from the Granisle
porphyry copper deposit British Columbia. Ecnomic Geology, 82: 1912–1930.
Wilde, S. A., (2015). Final amalgamation of the Central Asian Orogenic Belt in NE China: Paleo-Asian Ocean
closure versus Paleo-Pacifific plate subduction—A review of the evidence. Tectonophysics, 662: 345–362.
Zhou, J. B., Wilde, S (2013) The crustal accretion history and tectonic evolution of the NE China segment of
the Central Asian Orogenic Belt. Gondwana Research 23: 13651377
Zhou, J. B., Wilde, S. A., Zhao, G. C., Han, J., (2018). Nature and assembly of microcontinental blocks within
the Paleo-Asian Ocean. Earth-Sci. Rev. 186, 76–93.

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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

The levels and risk assessment of heavy metals in soil and surface
water of Gudong River Wetland

M.N. Hu & Z. Yao

Agricultural College, Yanbian University, Yanji, Jilin, P.R. China

P. Chen & G.Z. Jin

School of Geography and Marine Science, Yanbian University, Yanji, Jilin, P.R. China

H.M. Quan
School of Science, Yanbian University, Yanji, Jilin, P.R. China

ABSTRACT: Heavy metals are ubiquitous pollutants, which are difficult to degrade in the envi-
ronment. Thus, they can keep on accumulating in the environment and biota. Heavy metals in soil
and surface water of Gudong river wetland were investigated using ICP-MS, and levels, distribu-
tions, and health risk were evaluated. Results showed that Arsenic (As) was above the warning line
in 60% of the soil samples and was generally in a clean state. The level of heavy metal pollution in
surface water is at a safe level. Heavy metals pose a higher non-carcinogenic risk to children than
adults. Children’s body is not fully developed, which affects the detoxification ability of the body,
making it more sensitive to toxic and harmful substances, but there is no non-carcinogenic and
carcinogenic risk of heavy metals. Principal component analysis showed that the sources of heavy
metals in the soil of Gudonghe wetland were similar to those in the soil near Tianbao Mountain,
while the sources of heavy metals in the surface water were close to that of atmospheric particulate
of Yanji city.

1 INTRODUCTION

Heavy metals in the environment are difficult to degrade, highly toxic, and easily produce compound
effects. They can be enriched and expanded through the food chain, and are the main pollutants
of soil and surface water pollution in China. Moreover, heavy metal pollution has potential harm
to human health, which is concealed, long-term, and irreversible. Due to the strong environmental
differences in different regions, different pollution conditions and different risks exist. Nowadays,
there are many cities in the country and abroad that are involved in research on heavy metal
pollution of soil and surface water. Wetland is a complex open system diversity, the main target is
the development and utilization of waste dumps. Farmland reclamation in wetland areas is shrinking
and the ecological destruction phenomenon is emerging endlessly which has a certain influence
on human health. In this study, the distribution characteristics of heavy metals in surface soil
and surface water in Gudong river wetland park were investigated, and the possible sources and
potential risks to human health were evaluated. The results of this study provide a scientific basis
for a comprehensive understanding of the degree of heavy metal pollution in soil and surface water
and the possible risks.

2 MATERIALS AND METHODS

2.1 Sampling
The study area was located in Gudong river wetland park, Jilin Province, Northeastern China. Soil
and surface water samples were collected four times from October 2016 to August 2017. A total

196 DOI 10.1201/9781003308584-27

of 20 soil samples (all topsoil samples with a collection depth of 0 – 20 cm) and 24 surface water
samples (with a collection depth of 15cm below the water surface) were collected. Soil samples are
sealed in polyvinyl chloride plastic bags, while surface water samples are sealed in plastic bottles,
and the sampling time, place, and sampling personnel are marked on the surface of the bag (bottle).
All samples were moved to the laboratory and stored at 4◦ C in the refrigerator.

Figure 1. Map of the study area.

2.2 Heavy metal analysis

The air-dried and sifted soil samples (0.200 g) were taken for the determination of heavy metals
in the soil, and HF-HCl-HNO3 was added for heating digestion process, filtration was carried
out, constant volume was derived, and then tested. The surface water samples were filtered with
0.45 µm filter membrane immediately after collection, and HNO3 acidified water samples were
added to adjust the pH ≤ 2. The remaining sample was taken and a parallel solution was prepared
using the same procedure as the sample solution. The blank solution was prepared by the sample
pretreatment method described above. The contents of Cr, V, Mn, Co, Ni, Cu, Zn, As, Se, Mo,
Ag, Cd, Sb, Ba, Tl, and Pb were determined by inductively coupled plasma mass spectrometer
(ICP-MS, Agilent, 7500 A). In the process of sample determination, parallel sample analysis and
blank sample analysis are used for quality control.

2.3 Pollution assessment

The single pollution index method is used to evaluate the risk of an element in an area (Xue 2017).
The calculation formula is:
Pi = Ci /Si (1)
Where, Ci is the actual measured concentration of pollutants (mg/kg); Si is the limit value
of pollutants in soil and surface water environment (mg/kg); Pi is the single pollution index of
pollutants.
Nemero pollution index evaluation method is a comprehensive evaluation method for regional
environmental quality (Ding et al. 2017). The calculation method is as follows:

PN = 2
Piavg + Pimax
2
/2 (2)

Where, PN is the comprehensive pollution index of heavy metals at the sampling points; Pimax
is the maximum single contamination value of heavy metals at the sampling site; Piavg is the mean
value of heavy metal contamination at the sampling site.

197
 Table 1. Classification of environmental quality assessment.

Soil Pollution level Surface water Pollution level

PN ≤ 0.7 Clean PN < 1 Clean

0.7 < PN ≤ 1 Warning line 1 < PN ≤ 2 Mild pollution
1 < PN ≤ 2 Mild pollution 2 < PN ≤ 3 Middle level pollution
2 < PN ≤ 3 Middle level pollution 3 < PN ≤ 5 Heavy pollution
PN > 3 Heavy pollution PN > 5 Severe contamination

2.4 Health risk assessment

This paper adopts the health risk assessment model proposed by the US Environmental Protection
Agency (USEPA) (Yang et al. 2014), which can be divided into carcinogenic risk assessment
and non-carcinogenic risk assessment. Heavy metals from soil and surface water enter the human
body mainly in three ways. Intake by hand and mouth, inhalation by breath, and skin contact. By
calculating the average daily exposure under different intake routes, the non-carcinogenic risks and
carcinogenic risks caused by different intake routes of heavy metals were further obtained (Chen
2016; 2017). This method correlates human health with environmental pollution and quantitatively
describes the risk of human health hazards caused by pollution.

2.5 Principal component analysis

Principal component analysis (PCA) was conducted with SPSS 20.0 to compare heavy metal
profiles in soil, air particulate, and surface water samples. To avoid detection limit artifacts, the more
commonly detected 14 heavy metals in samples were included in the PCA. Some concentrations
below detection limits were substituted by a zero value. The first principal component (X-axis: PC1)
accounted for 61% of the variance, and the second principal component (Y-axis: PC2) accounted
for 22%.

3 RESULTS & DISCUSSION

3.1 Levels and distribution

The average concentrations of 16 heavy metals in the soil of Gudong river National Wetland Park
were Mn > Ba > Zn > Cr > V > As > Ni > Pb > Cu > Co > Se > Ag > Sb = Tl (Figure 2(a)).The
average concentration of heavy metals in surface water was Ba > Zn > Mo > Cu > As > Mn > Ni > V
> Se > Cr > Tl > Ag > Sb > Co > Cd > Pb (Figure 2(b)).The concentration of Ba in soil and surface
water is obviously higher than that of other heavy metals, because the natural background value of

Figure 2. Levels of heavy metal in a) soil; b) surface water.

198
Ba is very high. Compared with China’s soil environmental quality standard (GB36600-2018), the
concentration of As in 45% of the soil samples (mean 42.6, concentration range 7.5–117.6 mg/kg)
exceeded the first-level standard. Compared with the surface water environmental quality standard
of China (GB3838-2002), the concentration of As (Nd∼6.2 ug/L with an average concentration
of 0.75 ug/L) in 12.5% surface water samples exceeded the surface water environmental quality
standard III, especially in autumn.

3.2 Evaluation of heavy metal pollution

The evaluation results of the single factor pollution index method showed that 40% of the samples
with As in the soil were in a clean state, and 60% of the samples were at or above the warning
line level. The mean value of the samples was at the level of light pollution, and the crop began
to be polluted, especially at sampling point 1. Due to the influence of As in the soil, the Nemero
comprehensive pollution index of heavy metals in the soil of Gudong river wetland was at the
warning line level (unweighted), and was 0.91 after weighing, which was in the light pollution
level. The single factor pollution index of heavy metals in the surface water is Cr > As > Ni > Cd
= Zn = Cu > Pb, and the Cr pollution index is the highest 0.093, which is in the clean state. The
Nemero Composite Index was 0.025 (unweighted), in the clean category, and 0.12 after weighing,
still in the clean category.

Table 2. Evaluation of heavy metal pollution in Gudong river national wetland park.

Single factor Nemero composite

Concentration pollution index pollution index

Weighted
Element Range Mean SD Mean Classification Unweighted value Weighted

Soil Cd ND 0.13 0.01 0.04 0.04 Clean 0.86 (warning line) 3 0.91 (mild pollution)
As 7.45 117.6 42.6 35.0 1.42 Mild pollution 3
Pb 8.22 40.1 21.9 8.30 0.07 Clean 3
Cr 14.3 151 54.4 36.8 0.27 Clean 2
Zn 25.3 321 82.7 65.1 0.33 clean 2
Cu 5.81 21.1 11.9 4.29 0.12 clean 2
Ni 5.67 66.1 22.7 16.9 0.45 clean 2

Surface Water Cd 0.015 0.068 0.017 1.07 × 10-3 0.001 clean 0.025 (clean) 3 0.12 (clean)
As 0.013 6.225 0.753 1.127 0.019 clean 3
Pb 0.019 0.019 0.019 0.000 0.000 clean 3
Cr 0.004 0.964 0.095 0.200 0.093 clean 2
Zn 0.008 18.760 1.768 4.112 0.001 clean 2
Cu 0.028 5.025 0.926 1.224 0.001 clean 2
Ni 0.006 3.164 0.401 0.844 0.003 clean 2

3.3 Health risk assessment

The non-carcinogenic risk under different exposure routes of soil heavy metals for both adults and
children is hand-oral > ingestion skin contact > respiratory inhalation. Each exposure route of heavy
metals in surface water has different effects on adults and children, and hand-oral ingestion is the
biggest exposure route for adults and children. The non-carcinogenic risk of children was higher
than that of adults, except for the hand-oral intake of heavy metals in surface water. Because the
children are in the growth and development period, the development of the body’s various tissues
is not complete. This can affect the body’s ability to detoxify.

199
 The total non-carcinogenic health risks to both children and adults were less than 1, indicating
that heavy metals in soil and surface water in the study area did not pose a non-carcinogenic risk
to the health of local children and adults.
In addition, from the perspective of carcinogenic risk, the risks and RiskT of three different
exposure paths of heavy metals in soil, including hand-oral ingestion, respiratory inhalation, and
skin contact, were all between 10−6 ∼ 10−4 . The risks and RiskT of the three different exposure
paths of heavy metals in surface water are all less than 10-6, indicating that the heavy metal content
in soil and surface water in the study area does not pose the risk of carcinogenesis.

Table 3. Non-carcinogenic health risk and carcinogenic risk of heavy metal exposure in different ways.

Soil Surface Water

Health Hand mouth Breathe Skin Hand mouth Breathe Skin

risk Element intake inhale contact intake inhale contact

Non-carcinogenic Pb 4.406 × 10 − 3 6.442 × 10 − 7 8.676 × 10 − 5 2.918 × 10 − 6 4.268 × 10 − 10 5.158 × 10 − 8

risk (adult)
Cd 8.454 × 10 − 6 1.243 × 10 − 9 2.497 × 10 − 6 1.996 × 10 − 6 2.935 × 10 − 10 5.896 × 10 − 7
As 1.500 × 10 − 3 1.471 × 10 − 5 1.641 × 10 − 5 1.766 × 10 − 3 2.597 × 10 − 7 1.273 × 10 − 5
Zn 1.941 × 10 − 4 2.855 × 10 − 8 2.867 × 10 − 6 4.139 × 10 − 6 6.087 × 10 − 10 6.114 × 10 − 8
Cu 2.095 × 10 − 4 3.066 × 10 − 8 2.063 × 10 − 6 1.617 × 10 − 5 2.366 × 10 − 9 1.592 × 10 − 7
Ni 8.007 × 10 − 4 1.162 × 10 − 7 8.760 × 10 − 6 1.359 × 10 − 5 1.973 × 10 − 9 1.487 × 10 − 7
Cr 1.278 × 10 − 2 1.971 × 10 − 4 1.887 × 10 − 3 2.187 × 10 − 3 3.373 × 10 − 7 3.229 × 10 − 6

Non-carcinogenic Pb 4.112 × 10 − 2 1.147 × 10 − 6 5.921 × 10 − 4 1.91 × 10 − 11 7.598 × 10 − 10 3.520 × 10 − 7

risk (children)
Cd 7.890 × 10 − 5 2.213 × 10 − 9 1.704 × 10 − 5 5.22 × 10 − 10 4.024 × 10 − 6 4.025 × 10 − 6
As 1.400 × 10 − 2 2.618 × 10 − 5 1.120 × 10 − 4 4.625 × 10 − 7 4.625 × 10 − 7 8.685 × 10 − 5
Zn 1.812 × 10 − 3 5.082 × 10 − 8 1.957 × 10 − 5 1.084 × 10 − 9 1.084 × 10 − 9 4.172 × 10 − 7
Cu 1.955 × 10 − 3 5.458 × 10 − 8 1.408 × 10 − 5 4.213 × 10 − 9 4.213 × 10 − 9 1.087 × 10 − 6
Ni 7.473 × 10 − 3 2.069 × 10 − 7 5.978 × 10 − 5 6.005 × 10 − 7 6.005 × 10 − 7 1.015 × 10 − 6
Cr 1.192 × 10 − 1 3.509 × 10 − 4 1.288 × 10 − 2 6.005 × 10 − 7 6.005 × 10 − 7 2.204 × 10 − 5

Carcinogenic risk Cd – 3.880 × 10 − 12 – – 9.162 × 10 − 13 –

As 5.143 × 10 − 5 3.301 × 10 − 8 3.010 × 10 − 7 9.084 × 10 − 7 5.830 × 10 − 10 5.319 × 10 − 9
Ni – 9.801 × 10 − 10 – – 1.663 × 10 − 11 –
Cr – 1.173 × 10 − 7 – – 2.007 × 10 − 10 –

3.4 Source implication

Principal component analysis showed that three principal components with eigenvalues greater
than 1 could account for 82 % of variance variation of heavy metals. The PC1 (61 %) mainly
represents elements such as Mn, Cr, and V, which are mainly from anthropogenic sources (indus-
try/transportation); the PC2 (22 %) mainly represents elements such as Zn, Sb, Mn, and Pb, and
is named as a mixed source; the PC3 (8.81 %) mainly represents elements such as Ba, Mo, Ti,
Zn, and Pb, and is named as a natural source. As can be seen from the score plot (Figure 3(f)),
the profiles of heavy metals in the soil of Gudong river wetland are closer to those near Tianbao
Mountain, the profiles of heavy metals in the surface water of Gudong river wetland are closer to
that of soil and atmospheric particles of Yanji city, indicating they have a similar origin. In the soil
of Gudong river wetland, Mn, Ba, Zn, As, V, Cr, and other elements have a higher ratio, so it can be
judged that the source of heavy metals is a mixed source. Dry and wet atmospheric depositions are
important sources of heavy metal pollution in the soil and surface water of Gudong river wetland
(Chen et al. 2016).

200
Figure 3. Principal component analysis a) Surface water of Gudong river wetland; b) soil of Yanji city
(Jin2019); c) Atmospheric particle of Yanji city (Hu2020); d) soil of Gudong river wetland; e) Soil near
Tianbao Mountain (Wang2020); f) Score plot.

4 CONCLUSIONS

The Nemero comprehensive pollution index of heavy metals in the soil of Gudong river wetland
was 0.91, which was in the light pollution level, and was mainly affected by As. The Nemero
composite pollution index of surface water was 0.12, indicating that the water was in a clean state.
Heavy metals in soil and surface water in the study area do not pose a non-carcinogenic risk to the
health of children and adults; and there is no cancer risk too. The health risk index of heavy metals
in soil is much higher than that of heavy metals in surface water. The sources of heavy metals in
the soil of Gudonghe wetland were similar to those in the soil near Tianbao Mountain, while the
sources of heavy metals in the surface water were similar to those in atmospheric particles.

ACKNOWLEDGMENTS

The research was financially supported by the National Natural Science Foundation of China
(21966031, 51968073).

REFERENCES

Chen J. (2013). Heavy metal pollution and health risk assessment of typical metal mine city soil, Mellon
Dissertation, Hefei: Hefei University of Technology.
Chen, T., Chang, Q., Liu, J., Clevers, J. G. P. W., & Kooistra, L. (2016). Identification of soil heavy metal
sources and improvement in spatial mapping based on soil spectral information: A case study in northwest
China. J. Science of the total environment, 565, 155–164.
Ding, F. H., He, Z. L., Liu, S. X., Zhang, S. H., Zhao, F. L., Li, Q. F., & Stoffella, P. J. (2017). Heavy
metals in composts of China: historical changes, regional variation, and potential impact on soil quality. J.
Environmental Science and Pollution Research, 24(3), 3194–3209.

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Hu, M. N., Jin, G. Z., Wang, S. (2020). Distribution characteristics and risk assessment of heavy metals in
atmospheric particulate matter in yanji city.J. Journal of Yanbian University, 42:50–57.
Jin, G. Z., Yao, Z., Zhao, H. X., Zheng, S. Y., & Quan, H. M. (2019).Distribution characteristics of heavy
metals in surface soil of yanji city.J.Journal of Yanbian University, 1.
Liu, X. Y., Liang, Q., Gao, R. T., Zhang, H., Wang, L. J., & Zhou, S. X. (2015).Environmental risk assessment
of heavy metal pollution in farmland soil under long-term sewage irrigation.J.Journal of Ecology and Rural
Environment, 31(4), 572–578.
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Yanbian University, 16–32.
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202
 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Speciation characteristics and bioavailability analysis of heavy metals

in soil surrounding coal gangue mountain in Fengfeng Mining Area

Chenchen Wang
College of Geology and Environment, Xi’an University of Science and Technology, Xi’an,
Shaanxi, China

Yanjie Zhang
Institute of Geographic Science, Hebei Academy of Sciences/Hebei Engineering Research Center of
Geographic Information Development and Application, Shijiazhuang, Hebei, China

Ruisi Peng, Beibei Zheng & Yi Wang

College of Geology and Environment, Xi’an University of Science and Technology, Xi’an,
Shaanxi, China

ABSTRACT: Taking the soil around coal gangue in Fengfeng Mining Area as the research object,
the forms and contents of Cu, Hg, Cr, As, and Pb were extracted and determined by Tessier five-
step extraction method; the spatial distribution of heavy metal speciation and bioactivity coefficient
were analyzed. The results showed that: first, the effective content of heavy metals was most easily
absorbed by plants and had the largest migration capacity. Second, the available states of the five
heavy metals in soil decreased significantly with increase in distance. Third, the effective state
content of Cu reached the maximum value of 2.36, 3.07, 6.30, and 2.55mg/kg at 20 meters away
from the gangue hill. The effective content of Hg reaches the maximum value of 2.29, 3.33, 5.37,
and 2.30mg/kg at 20 meters away from the gangue hill. The effective content of Cr reaches the
maximum value of 2.24, 5.35, 6.27, and 3.35mg/kg at 20 meters away from the gangue hill. The
effective state content of As reaches the maximum value of 0.13, 0.51, 0.55, and 0.29mg/kg at 20
meters away from the gangue hill. The effective state content of Pb reaches the maximum value of
0.35, 0.66, 0.99, and 0.48mg/kg at 20 meters away from the gangue hill.

1 INTRODUCTION

Coal occupies a very important strategic position in China’s energy production and consumption,
and 70%- 80% of China’s total carbon emissions are from coal production and consumption.
Therefore, the realization of safe green mining of coal resources, clean and efficient use of national
energy development, and construction of green mines are of great significance (Xie et al. 2019).
Coal gangue is prone to spontaneous combustion and dust in long-term stockpiling, which causes
serious pollution to air, water, and soil. Coal gangue contains many toxic elements such as heavy
metals, which cause heavy metal pollution in surrounding soil under long-term storage, weathering,
and leaching. Heavy metal pollution has the characteristics of accumulation and concealment,
causing the greatest harm that lasts longer. The Fengfeng Mining Area has a long history of coal
mining, and a large amount of coal gangue is stored for a long time. At present, there are 20 coal
gangue hills in this mining area, with a total stock of over 5589.10 million tons, covering an area
of over 179.37 hectares, and a stockpiling time of 23∼72 years (Liu 2019). This paper took the soil
around coal the gangue in Fengfeng Mining Area as the research object, the speciation and content
characteristics of heavy metals in soil were analyzed by Tessier five-step extraction method, and the
effectiveness was analyzed by bioactivity coefficient method, which provided the scientific basis for
soil pollution prevention and control and environmental precision control in Fengfeng Mining Area.

DOI 10.1201/9781003308584-28 203

2 MATERIALS AND METHODS

2.1 Sample collection

The sampling location is in the plain area, and the surface runoff is rare, so the wind direction is the
main power source of heavy metal pollution released from the surrounding soil. The west side of coal
gangue mountain is the district area, which is disturbed by various complex human activities, so the
agricultural land soil near the east side is mainly selected. First, four sampling lines of northwest,
east, southeast, and south are selected around the gangue mountain. Second, each sampling line
has five sampling points at 20m, 60m, 100m, 200m, and 400m, and soil depth of 0∼40cm was
selected as the sampling target. Third, each sampling site is equipped with 3 parallel samples, each
sample is about 0.5kg, a total of 40 soil samples. Multi-point mixed sampling method was used
to collect soil samples, and the collected soil samples were put into a sample bag by quartering
method, and marked with a serial number. The collected soil samples were removed of impurities,
dried naturally, ground through a 200-mesh sieve, and finally used for determination of soil heavy
metal speciation analysis.

3 TEST RESULTS AND DISCUSSIONS

3.1 Spatial distribution of heavy metals in soil around coal gangue mountain
The Tessier continuous extraction method was used to determine the five heavy metals in the soil
around coal gangue in Fengfeng Mining Area, which were exchangeable: Carbonate binding state;
Iron (manganese) oxide binding state; Organic bound state; Residual state. In order to facilitate the
calculation of availability and detailed analysis of bioavailability and toxicity of heavy metals, the
exchangeable state and carbonate binding state were combined as effective states. The measurement
results of soil morphology and content around coal gangue mountain are shown in Table 1.
With increase in the distance from coal gangue, the available state content of Cu element
decreases significantly, and the average decreasing rates in WN, E, ES, and S directions are 72.03%,

Table 1. Speciation of heavy metals in soil.

Heavy Distance/ Effective state/ Iron (manganese) oxide Organic bound Residue
metal (m) (mg/kg) binding state/(mg/kg) state/(mg/kg) (mg/kg)

Cu 20 2.36∼6.30 3.76∼12.32 9.51∼19.55 13.58∼23.50

60 1.30∼3.52 2.55∼6.79 6.87∼14.93 10.27∼20.45
100 0.69∼1.74 1.53∼3.39 4.85∼10.68 7.88∼14.43
200 0.24∼0.83 1.05∼1.52 3.33∼5.04 7.91∼8.44
400 0.22∼0.66 0.92∼1.64 3.19∼4.59 7.79∼8.11

Hg 20 2.29∼5.37 3.72∼6.88 10.03∼18.55 21.02∼28.74

60 0.64∼4.83 1.97∼5.55 3.91∼15.48 8.71∼27.07
100 0.12∼1.37 0.42∼2.40 1.13∼8.33 2.61∼15.03
200 0.03∼0.12 0.07∼0.37 0.57∼1.88 1.69∼3.04
400 0.02∼0.03 0.03∼0.05 0.51∼0.63 1.46∼1.64

Cr 20 2.24∼6.27 2.98∼5.41 2.61∼5.96 37.02∼55.56

60 1.18∼4.21 1.39∼4.78 1.76∼4.52 22.72∼43.73
100 0.71∼1.73 1.03∼2.59 0.98∼2.74 17.38∼25.78
200 0.48∼0.78 0.68∼0.93 0.99∼1.39 15.87∼16.48
400 0.45∼0.70 0.63∼0.93 0.93∼1.26 15.66∼15.9

(continued)

204
 Table 1. Continued.
As 20 0.13∼0.55 0.29∼2.17 0.55∼1.57 7.76∼14.18
60 0.08∼0.28 0.20∼1.15 0.38∼0.83 4.86∼8.74
100 0.05∼0.16 0.10∼0.72 0.16∼0.43 3.93∼6.04
200 0.05∼0.08 0.05∼0.31 0.18∼0.21 3.85∼4.02
400 0.05∼0.06 0.05∼0.29 0.18∼0.23 3.69∼3.78

Pb 20 0.35∼0.99 7.73∼13.46 2.03∼5.35 10.72∼15.44

60 0.19∼0.72 6.71∼11.71 1.84∼4.77 8.77∼14.28
100 0.19∼0.44 5.49∼7.42 2.13∼3.05 8.63∼9.97
200 0.17∼0.23 5.05∼5.35 1.72∼1.81 8.31∼8.43
400 0.17∼0.18 4.90∼5.18 1.71∼1.90 8.03∼8.31

92.83%, 92.54%, and 82.35%, respectively. The effective state content of Cu element reaches the
maximum value of 2.36, 3.07, 6.30, and 2.55mg/kg at 20m, and decreases to 0.66, 0.22, 0.47,
and 0.45mg/kg at 400m away from coal gangue. The weathering of coal gangue produces a large
number of pollution particles in the surrounding atmosphere, which seeps into the soil under the
leaching of rainwater. Cu has a strong migration ability, and some Cu elements migrate far away
so that the content of available Cu is enriched at a certain range (Meng et al. 2021).
The effective content of Hg decreased significantly with the increase of the distance from coal
gangue. The average decreasing rates in WN, E, ES, and S directions were 98.69%, 99.09%,
99.34%, and 99.13%, respectively. The effective state content of Hg reaches the maximum value
2.29, 3.33, 5.37, and 2.30mg/kg at 20m, and decreases to 0.03, 0.03, 0.03, and 0.02mg/kg at 400m
away from coal gangue. Soil parent material and atmospheric deposition are important factors of
soil mercury pollution. Atmospheric mercury will enter the soil through adsorption and deposition,
so the wind direction causes excessive enrichment of Hg in the wind direction near the gangue
mountain (Lu et al. 2017).
The effective content of Cr element decreases significantly with the increase of the distance from
coal gangue. The average decreasing rates in WN, E, ES, and S directions were 79.91%, 86.92%,
88.84%, and 85.37%, respectively. The effective content of Cr element reaches the maximum value
2.24, 5.35, 6.27, 3.35mg/kg at 20m, and decreases to 0.45, 0.7, 0.7, and 0.49mg/kg at 400m away
from coal gangue. The factors affecting the distribution of the available state of heavy metals in
soil around gangue mountain are complex, among which organic matter is the most important.
The available content of heavy metals in the soil increased with the increase of organic matter,
this is because soil organic matter is mainly composed of biomolecules and humus, which affects
the effective state content of heavy metals through electrostatic adsorption, complexation, and
chelation (Song et al. 2015).
The available state content of As element decreases significantly with the increase of the distance
from coal gangue. The average decreasing rates in WN, E, ES, and S directions were 61.54%,
88.24%, 89.09%, and 82.76%, respectively. The effective state content of As element reaches the
maximum value of 0.13, 0.51, 0.55, and 0.29mg/kg at 20m, and reaches 0.05, 0.06, 0.06, and
0.05mg/kg at 400m away from coal gangue. Arsenic mainly exists as an anion in soil, which is
an inert and highly toxic element. The distribution of arsenic content in soil is mainly affected by
human factors such as coal mining, garbage, solid waste incineration, and other emissions of waste
water, waste residue, and waste gas into the soil. As generally exists in many fertilizers, pesticides,
and preservatives, a large amount of As will be released into the environment in the process of
industrial and agricultural production, which is the main cause of soil As pollution (Hingston et al.
2001).
With the increase of the distance from coal gangue, the effective state content of Pb element
decreases significantly. The average decreasing rates in WN, E, ES, and S directions were 48.57%,
74.24%, 82.83%, and 64.58%, respectively. The effective state content of Pb element reaches the
maximum value of 0.35, 0.66, 0.99, and 0.48mg/kg at 20m, and decreases to 0.18, 0.17, 0.17, and

205
0.17mg/kg at 400m from coal gangue. The effective content of heavy metal elements is the most
easily absorbed by plants and has the largest migration capacity. The available states of the five
heavy metal elements in soil decreased significantly with the increase of distance. The migration
distance of available heavy metal content in soil as affected by soil pH and organic matter. At the
same time, the high content of available state in the soil near gangue mountain is also the result of
an accumulation for many years. The soil in the study area presents weak alkalinity, which increases
the negative charge of the soil, enhances the adsorption, reduces the migration of heavy metals in
the soil, and makes the heavy metals decrease with the increase of distance (Feng & Liu 2002).

3.2 Bioavailability of heavy metals in soil around coal gangue

The analysis of the proportion of the effective state of heavy metals in the total amount can effectively
eliminate the influence of the total amount of heavy metals on the speciation content, better reflect
the spatial distribution of the availability of heavy metals, and then reflect the bio-utilization and
potential damage to the environment. Results of biological activity coefficient distribution were
shown in Figure 1.

Figure 1. Distribution map of bioactivity coefficient (MF) of heavy metals..

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 In WN direction, the availability ratio of Cu, Hg, and Cr decreased significantly with the
increase of the distance from coal gangue, and the average decreasing rates of the whole process
were 38.40%, 71.72%, and 50.40%, respectively. The availability ratios of Cu, Hg, and Cr all reach
the maximum values of 7.63%, 5.87%, and 4.96% at 20m, and will reach 4.70%, 1.66%, and 2.46%
at 400m away from coal gangue. Cu, Hg, and Cr show strong bioactivity and instability within the
range of coal gangue [20,200]. The availability of As and Pb in the soil is small, but the overall
range of change is not large, with weak biological activity, and stability in the soil (Zhao 2008).
In the E direction, the availability ratios of Cu, Hg, Cr, As, and Pb showed a significant decreasing
trend with the increase of the distance from coal gangue, and the average decreasing rates of the
whole process were 72.60%, 78.44%, 49.60%, 49.48%, and 49.30%. The availability ratios of Cu,
Hg, Cr, As, and Pb all reach the maximum values of 8.03%, 6.17%, 7.60%, 2.87%, and 2.13% at
20m, and reach the maximum values of 2.20%, 1.33%, 3.83%, 1.45% and 1.08% at 400m away
from coal gangue. Cu, Cr, and As elements show strong bioactivity and instability within the range
of coal gangue [20,200].
In the ES direction, the availability ratios of Cu, Hg, and Cr decreased significantly with the
increase of the distance from coal gangue, and the average decrease rates of the whole process were
67.42%, 87.18%, and 55.20%. The validity ratio of Cu and Cr reaches the maximum 10.19% and
8.55% at 20m, and the validity ratio of Hg reaches the maximum 9.15% at 60m, and decreases to
3.32%, 1.23%, and 3.83% at 400m away from coal gangue. Cu, Hg, Cr, As, and Pb show strong
bioactivity and instability within the range of coal gangue [20,200].
In the S direction, the availability ratio of Cu, Hg, Cr, As, and Pb decreases significantly with the
increase of the distance from coal gangue. The average decreasing rates of the whole process were
56.71%, 69.55%, 52.04%, 52.04%, and 52.78%. The availability ratios of Cu, Cr, As, and Pb reach
the maximum values of 7.30%, 5.63%, 2.52%, and 2.13% at 20m, and the availability ratios of Hg
reach the maximum values of 6.05% at 60m, and all reach the maximum values of 3.16%, 1.09%,
1.19%, and 1.08% at 400m away from coal gangue. Cu, Cr, and Pb show strong bioactivity and
instability within the range of coal gangue [20,200]. Hg and As elements show strong bioactivity
and instability within the range of coal gangue [20,100].
With the increasingly serious problem of heavy metal pollution in mining areas, soil pollution
control and ecological restoration of mining areas have attracted much attention. The forms of
heavy metals in soil are rich, and can be transformed into various forms by various physical and
chemical methods. Treatment of heavy metal pollution in mining areas should be combined with
morphological characteristics of a targeted selection of remediation technology so that heavy metals
become less toxic (Zhao 2021). Bioremediation technology is recommended for the treatment of
soil pollution around coal gangue in Fengfeng Mining Area. Combined with the morphological
characteristics of heavy metals in the soil of the study area, the combined remediation technology
of animals and plants is without secondary pollution, and the purpose of soil pollution control
is achieved through the enrichment of heavy metals. In the later stage, plants are recovered and
some heavy metals are obtained through experiments, which is beneficial for the clean and efficient
utilization of energy resources and the improvement of the ecological environment (He et al. 2021).

4 CONCLUSIONS

(1) The effective content of heavy metal elements is most easily absorbed by plants and has the
largest migration capacity. The available states of the five heavy metals in soil decreased
significantly with the increase in distance.
(2) The effective state content of Cu reaches the maximum value of 2.36, 3.07, 6.30, and 2.55mg/kg
20 meters away from the gangue hill. The effective content of Hg reaches the maximum value of
2.29, 3.33, 5.37, and 2.30mg/kg at 20 meters away from the gangue hill. The effective content
of Cr reaches the maximum value of 2.24, 5.35, 6.27, and 3.35mg/kg at 20m.The effective
state content of As reaches the maximum value of 0.13, 0.51, 0.55, and 0.29mg/kg at 20 meters

207
 away from the gangue hill. The effective state content of Pb reaches the maximum value of
0.35, 0.66, 0.99, and 0.48mg/kg at 20 meters away from the gangue hill.
(3) In the WN direction, Cu, Hg, and Cr show strong bioactivity and instability within the range
from coal gangue [20,200]. In the E direction, Cu, Cr, and As show strong bioactivity and
instability within the range of coal gangue [20,200]. In the ES direction, Cu, Hg, Cr, As,
and Pb show strong bioactivity and instability within the range of coal gangue [20,200]. In
the S-direction, Cu, Cr, and Pb show strong bioactivity and instability in the range of coal
gangue [20,200]. Hg and As show strong bioactivity and instability in the range of coal gangue
[20,100].

ACKNOWLEDGMENTS

This research was supported by Key Laboratory Project of Hebei Geological Environment Mon-
itoring Institute in 2019 “research on remediation measures of soil-plants heavy metal pollution
around typical coal gangue mountain in Fengfeng Mining Area” (JCYKT201909 ).

REFERENCES

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agricultural science and technology, 188(01): 1007–5739.
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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Effectiveness analysis of soil and water conservation projects based on

analytic hierarchy process

C.X. Wang & Q. Wang

Beijing Polytechnic, College of Fundamental Research, Beijing, China

ABSTRACT: In this study, a comprehensive evaluation system was built to assess the effect of soil
conservation project on the Qijiachuan demonstration area. With consideration of local complex
topography, the amount of soil conserved by different project on plateau area, gully area, and slope
surface was calculated. Results indicate that the average annual amount of soil conserved is 72.93
× 103 t from 2008 to 2017, 115.43 × 103 t from 2018 to 2027, and 140.95 × 103 t from 2028 to
2037. Through formulating a series of pairwise comparison matrixes, AHP method can effectively
identify the significance of indicators and assign weightage to them. Results reveal that gully head
protection is the best alternative for soil conservation with the highest weightage of 23.3% among
the ten projects. These findings can help establishing effective soil conservation system to prevent
soil erosion to ensure sustainable development.

1 INTRODUCTION

Soil erosion has become one of the challenges for productive agricultural land. It occurs when
the topsoil of a field is loosened or washed away by physical sources, i.e., wind or water. Due to
improper utilization of land and natural resources, this problem has been aggravated by human
activities such as agriculture and deforestation. The continuous loss of topsoil usually results in
ecological degradation or soil collapse, hindering local crop production. Especially, on the Loess
Plateau, the eroded area accounts for 70% of the total area, posing great challenges to local
economic and ecological development (Graaff et al. 2013; Pan 2013). To reduce soil erosion,
several soil conservation projects, such as afforestation and gully head protection, are constructed.
Due to different service life and different construction cost, the effectiveness of different projects
may be different from each other. It is imperative to evaluate the effect of soil conservation projects
to facilitate the establishment of effective soil and water conservation systems. Analytic Hierarchy
Process (AHP) proposed by Thomas L. Saaty, is an effective method for multi-criteria decision-
making and has been widely used for weighting (Chen et al. 2021; Erturul & Karakaolu 2008; Zhou
et al. 2013,). It can quantify subjective evaluations by formulating a series of pairwise comparison
matrices for the ultimate goal, the alternatives, and the indicators.
Therefore, to assess the effect of soil conservation projects, a comprehensive evaluation system
for Qijiachuan demonstration area would be established with consideration of the geological char-
acteristics. AHP method would be used to quantify subjective evaluations to obtain the weightage
for different indicators. The amount of soil conserved by different soil conservation projects in
different periods would be calculated and the total score for a different period would be obtained
to identify the most effective soil conservation project.

2 STUDY AREA

The Qijiachuan demonstration project (107◦ 30 ∼ 107◦ 49 E, 35◦ 41 ∼ 35◦ 47 N) with geomorphic
characteristics of the gully region of loess Plateau, is located in QingYang City, Gansu Province. It

DOI 10.1201/9781003308584-29 209

covers a total area of 166.57 km2 , including Qijiachuan watershed (48.35 km2 ), Qingshui watershed
(43.21 km2 ), Laozhuanggou watershed (38.71 km2 ), and Nanxiaogou watershed (36.30 km2 ). Five
countries including Shenshe country, Wenquan country, Dongzhi country, Chenhu country, and
Houguanzhai country are involved in this study (Figure 1). In the demonstration area, the average
annual temperature is 8.7◦ C and the average annual precipitation is 552.1 mm. Precipitation in
different seasons is uneven and the precipitation from July to September accounts for 63.0% of the
annual precipitation. The geological structure of the demonstration area is relatively simple, and the
ground is mainly covered by loess with high permeability and collapsibility. The average soil erosion
modulus is 6867 t/km2 /yr and the average annual soil loss is 1.14 million t. Moreover, there are no
natural forests in the demonstration area. Robinia pseudo acacia, poplar, buckthorn, apple, pear, and
grape are the main artificially cultivated plants. Because of the special topography, the climatic
conditions, the geological characteristics, and the sparse vegetation coverage, the demonstrated
area experiences serious soil erosion. Soil erosion, reducing soil fertility and moisture content,
not only deteriorates the ecological environment but also hinders the development of agricultural
production. Therefore, it is necessary to take soil conservation practices, such as agronomic,
cultural, or structural practices, to reduce soil erosion.

Figure 1. Qijiachuan demonstration area.

Soil erosion is associated with loss of topsoil and soil collapse which occurs when water or
wind detaches and removes soil particles, causing the soil to deteriorate. In the demonstration
area, rainfall splash erosion, sheet erosion, and rill erosion are the main types of soil erosion in
the plateau area. Gully erosion and sheet erosion are the main types of soil erosion on the slope
surface. Gravity erosion, such as cliff collapse, slump, and gully bed incised, is the main type of soil
erosion in the gully area. Qijiachuan Demonstration Project for Soil and Water Conservation and
Ecological Engineering of Yellow River was finished in 2007 for environmental restoration. Based
on data from statistics of the United Nations Development Programme, a soil conversation system
involving plateau area, slope surface, and gully area were constructed. In detail, a total of 93 cellars,

210
as well as a nursery (5.1 ha), shelterbelt (53.5 ha), and economic forest (391.8 ha) were constructed
on the plateau area; a total of 55 gully head protections and 1029 check dams were constructed on
the gully area; Terraced field (1075.6 ha), grassland (761.2 ha), shrubbery (391.8 ha), and arbor
forest (1902 ha) were constructed on the slope surface. Quantifying the effects of these projects on
soil conservation would be helpful for the mitigation and prevention of soil erosion, as well as the
construction of a healthy ecosystem.

Figure 2. Evaluation system of soil conservation.

3 SOIL CONSERVATION ASSESSMENT

3.1 Calculation of indicators

With consideration of the complex topographic features, a comprehensive evaluation of soil conser-
vation would be conducted based on the amount of soil conserved by different projects on plateau
area, gully area, and slope surface (Figure 2). Based on GB/T15774—2008, Soil conserved by
cellar, gully head protection, and check dam can be calculated:

1
Sc = m · (Fb + (Fa − Fb )) (1)
n
where Sc is the amount of soil conserved (t/yr), m is the unit amount of soil conserved (t/ha/yr),
Fb is the effective area of the project at the beginning of the period, Fa is the effective area of
the project at the end of the period. Soil conserved by the nursery, shelterbelt, economic forest,
terraced field, grassland, shrubbery, and arbor forest can be calculated as follows:

Se = Fe · (Smb − Sma ) (2)

where Se is the amount of soil conserved (t/yr), Fe is the effective area of the project,Smb is the
soil erosion modulus before the project construction (t/ha/yr), Sma is the soil erosion modulus after
the project construction (t/ha/yr). Slope gradient is one of the main factors affecting soil erosion.
Different topographies have different slope gradients, leading to a range of soil erosion modulus.
In the demonstration area, the slope gradient for the plateau area is less than 7 degrees, for gully
area is more than 25 degrees, and for slope surface is from 7 to 25 degrees. Based on SL190-2007,
soil erosion modulus can be calculated and the amount of soil conserved can be estimated.
Based on the service life of cellars and check dams, three periods, from 2008 to 2017 (P1), from
2018 to 2027, and from 2028 to 2037 were considered. Because of the complex topography and
construction conditions, different cellars (gully head protection or check dam) may have different
sizes, leading to the varied ability of soil conservation. The average size was selected to calculate
the amount of soil conserved. In detail, the amount of soil conserved for one cellar is 10 t/yr in P1,
8 t/yr in P2, and 6 t/yr in P3, for one gully head protection is 30 t/yr in P1, 26 t/yr in P2, and 20 t/yr
in P3, for one check dam is 8 t/yr in P1, 6 t/yr in P2, and 4 t/yr in P3. With the assumption that the

211
plants would be well irrigated and fertilized to ensure survival, the unit amount of soil conserved
by the nursery, shelterbelt, economic forest, terraced field, grassland, shrubbery, and arbor forest is
presented in Figure 3. Then the amount of soil conserved in one year can be obtained by multiplying
the unit amount of soil conserved by the project area or the number of corresponding projects.

Figure 3. Unit amount of soil conserved by different projects in different periods.

3.2 Pairwise comparison matrix

Different projects have different influences on soil conservation, resulting in difficulty to determine
reasonable weight distribution. Analytic Hierarchy Process (AHP) is one of the most used methods
for multi-criteria decision-making. Through pairwise comparison of different criterions, AHP can
help identify the significance of criterions and assign weightage to them. In this study, the 1-9
scale was used to determine the relative importance of each indicator. In detail 1, 3, 5, 7, and 9
represent equal, moderately greater, stronger, very stronger, and extremely greater importance of
one indicator compared to the other one (Saaty 1997; Saaty & Hu 1998; Wu et al. 2017). Based on
the experts’ experience, the pairwise comparison matrixes for A, B1, B2, and B3 can be formulated
(Tables 1–4).

Table 1. Pairwise comparison for A.

A B1 B2 B3 Priority weight

B1 1 1/2 1/2 0.196

B2 2 1 1/2 0.311
B3 2 2 1 0.493

Table 2. Pairwise comparison for B1.

B1 C1 C2 C3 C4 Relative weight

C1 1 4 3 3 0.496
C2 1/4 1 1/4 1/3 0.078
C3 1/3 4 1 1/2 0.186
C4 1/3 3 2 1 0.240

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 Table 3. Pairwise comparison for B2.

B2 C5 C6 Relative weight

C5 1 3 0.750
C6 1/3 1 0.250

Table 4. Pairwise comparison for B3.

B3 C7 C8 C9 C1 Relative weight

C7 1 4 2 2 0.434
C8 1/4 1 1/3 1/3 0.088
C9 1/2 3 1 1 0.239
C10 1/2 3 1 1 0.239

3.3 Consistency test

Due to the subjectivity of the matrix and the complexity of the hierarchy system, some values in
the obtained pairwise comparison matrix may be inconsistent. It is necessary to take a consistency
test to ensure an acceptable error range for the weight distribution. The consistency index (CI) and
the consistency ratio (CR) are calculated based on the following formula.

λmax − n
CI = (3)
n−1

CI
CR = (4)
RI
where λmax is the maximum eigenvalue of the pairwise comparison matrix, n is the number of
columns or rows in the pairwise comparison matrix and RI is the random consistency index given
by T.L. Saaty [6] . If CR is less than or equal to 10%, the pairwise matrix is considered to be consistent
and acceptable. If CR is higher than 10%, the pairwise matrix should be reevaluated.
The maximum eigenvalue of the pairwise comparison matrix for A, B1, B2 , and B3 are 3.056,
4.21, 2, and 4.02, respectively. The CI values of the four matrixes are 0.027, 0.070, 0 and 0.007,
respectively. The CR values of the four matrixes are 0.052, 0.080, 0, and 0.008, which is less than
0.1 indicating an acceptable consistency.
Then, the priority weight or relative weight of each indicator can be determined by the normal-
ization of the eigenvector based on the maximum eigenvalue (as shown in Tables 1–4). The final
weight of each indicator would be estimated by multiplying each criterion’s priority weight by its
relative weight.

4 COMPREHENSIVE EVALUATION

Since different projects may have different in soil conservation, it cannot be directly added to
reflect their effect in different periods. To eliminate the impact of that difference, normalization of
indicators would be conducted through the following formula:
xij
xij = (5)
xi,max

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where xij is the normalized indicators, xij is the amount of water conserved for project i in period
j, xi,max is the maximum value of water conserved for project i. Based on the final weight of each
indicator, the total score in different periods can be calculated as follows:
n
TSj = xij · wi (6)
i=1

where TS j is the total score for period j (j = 1, 2, 3), wi is the final weight of indicator i (i =
1, 2, . . . , n), n is the number of indicators.

4.1 Result analysis

The final weights of ten indicators are presented in Table 5. Gully head protection has the highest
weightage of 23.3%, while the other nine projects, that is, cellar, nursery, shelterbelt, economic
forest, check dam, terraced field, grassland, shrubbery, and arbor forest, have a weightage of 9.7%,
1.5%, 3.7%, 4.7%, 7.8%, 21.4%, 4.3%, 11.8%, and 11.8%, respectively. It is implied that out of the
ten projects, gully head protection is the best alternative for soil conservation. It can be attributed to
the high conservation benefit and the low cost of construction. In contrast, Nursery has the lowest
weightage compared with the other nine projects, due to the high cost of management.
The total score for P1, P2, and P3 are 0.67, 0.81, and 0.85 respectively, which is consistent with
the average annual amount of soil conserved, i.e., 72.93 × 103 t in P1, 115.43 × 103 t in P2, and
140.95 × 103 t for P3. It is indicated that the amount of soil conserved would increase from P1
to P3 and the projects have the best soil conservation effect in P3, then in P2 and the last in P1.
This is because from P1 to P3, the long-term growth of plants, e.g. arbor forest and grassland,
would increase vegetation coverage and result in less soil erosion. In contrast, the amount of soil
conserved by the cellar, gully head protection, and check dam would decrease from P1 to P3. For
example, soil conserved by the cellar would be 0.93 × 103 t, 0.74 × 103 t, and 0.56 × 103 t in P1,
P2, and P3, respectively. This can be attributed to the limited service life of these projects.

Table 5. Soil conservation assessment.

Soil conserved (103 t/yr) Normalized indicator

Project P1 P2 P3 P1 P2 P3 final weight

Cellar 0.93 0.74 0.56 1 0.80 0.60 0.097

Nursery 0.10 0.18 0.18 0.56 1 1 0.015
Shelterbelt 0.54 0.86 1.50 0.36 0.58 1 0.037
Economic forest 4.70 7.05 11.75 0.40 0.60 1 0.047
Gully head protection 1.65 1.43 1.1 1 0.87 0.67 0.233
Check dam 8.23 6.17 4.12 1 0.75 0.50 0.078
Terraced field 19.36 38.72 38.72 0.50 1 1 0.214
Grassland 13.70 24.36 24.36 0.56 1 1 0.043
Shrubbery 4.70 7.44 11.75 0.40 0.63 1 0.118
Arbor forest 19.02 28.53 47.55 0.40 0.60 1 0.118
Total score 0.67 0.81 0.85

From a topographical perspective, the average annual amount of soil conserved in plateau area,
gully area, and slope surface are 6.27 × 103 t, 9.89 × 103 t and 56.78 × 103 t in P1, 8.84 × 103 t,
7.60 × 103 t and 99.05 × 103 t in P2, 13.99 × 103 t, 5.21 × 103 t and 122.38 × 103 t in P3. Soil
conserved in slope surface accounts for the largest proportion in the three periods. It is indicated
that the soil conservation projects on slope surface plays more important role than that on plateau
area and gully area.

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5 CONCLUSIONS

In this study, a comprehensive evaluation system was built to assess the effect of soil conservation
projects on the Qijiachuan demonstration area. The amount of soil conserved by different projects
in different periods was calculated. Through formulating a series of pairwise comparison matrixes,
the AHP method can effectively quantify subjective evaluations to assign weightage to different
projects. The final weights of ten indicators were obtained. It is indicated that gully head protection
is the best alternative for soil conservation due to the high conservation benefit and low cost for
construction. The total score for P1, P2, and P3 are 0.67, 0.81, and 0.85 respectively, which is
consistent with the average annual amount of soil conserved. It is revealed that the amount of soil
conserved would increase from P1 to P3 and the projects have the best soil conservation effect in
P3, then in P2, and the last in P1.

ACKNOWLEDGEMENTS

The authors are grateful to the editors and the anonymous reviewers for their insightful comments
and suggestions.

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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Study on seepage characteristics of medium-light crude oilfield in

Bohai Sea

Ke Chen, Zuhao Zheng & Wei He

CNOOC Experimental Center, CNOOC Ener Tech-Drilling & Production Co., Tianjin, China

Jinyi Li
CNOOC China Limited, Tianjin Branch, Tianjin, China

Liangshuai Ma, Lu Zhang & Xuerui Liu

CNOOC Experimental Center, CNOOC Ener Tech-Drilling & Production Co., Tianjin, China

ABSTRACT: An Oilfield in Bohai Sea is a typical medium-light crude, high-porosity, and high-
permeability oil reservoir, which is a narrow channel deposit, having entered the medium-high
water-cut stage. Due to the small number of phase permeability curves, large morphological
differences, and strong heterogeneity, the difficulty in the prediction of the law of water-cut
rise is great, which affects the potential of the oilfield in the later stage. By studying the
permeability characteristics of medium and light oil reservoirs and the water displacement effi-
ciency of different displacement multiples, this paper understands the water-cut rise law and
the influence of the degree of water driving recovery of medium and light oil reservoirs from
the mechanism, to guide for the later development and adjustment of medium and light oil
reservoirs.

1 INTRODUCTION

An Oilfield in Bohai Sea is a typical medium-light crude, high-porosity, and high-permeability

oil reservoir. At present, it is mainly developed by multi-layer combined production with direc-
tional wells, and local horizontal wells are produced in single sand bodies. However, there are two
problems in the development and production process. The first is that the oilfield has entered the
stage of medium and high water cut. It is difficult to study the law of water breakthrough and the
law of water cut rising through the relative permeability curve. Second, the oilfield is a narrow
channel type reservoir with large changes in lateral physical properties, strong heterogeneity, and
the effect of heterogeneity on water cut rising. There is no theoretical and experimental data on
the extent of influence of waterflooding recovery factor. Through investigation, it is found that
the factors affecting the oil-water relative permeability curve include pore structure, wettability,
oil-water viscosity ratio, displacement rate, etc. Meanwhile, researchers have studied the effects
of these factors on the relative permeability curve through numerical simulation methods. The
oil-water phase permeability curve affects the potential of the oilfield in the later stage. There-
fore, it is necessary to carry out the research on the phase permeability characteristics of the
medium-light oil reservoirs and the water displacement efficiency under different displacement
multiples to understand the development law of the medium and light oil reservoirs thoroughly.
Reasonable development strategies and reasonable evaluation of water flooding effects at different
development stages guide for the subsequent development and adjustment of medium-light oil
reservoirs.

216 DOI 10.1201/9781003308584-30

2 EXPERIMENT SETUP

2.1 Experiment facilities

The experimental device consists of an incubator, a high-pressure plunger pump, a six-way valve, a
pressure gauge, an oil container, a water container, a core holder, a ring pressure pump, an oil-water
separator, an electronic balance, and a stopwatch etc.

2.2 Sample and fluid preparation

Experimental core: natural core in an oilfield in Bohai Sea.
Experimental water: simulated formation water with a salinity of 30,000 mg/L, and a viscosity
of 0.5763 mPa·s at the experimental temperature (50.0◦ C);
Experimental oil: three types of simulated formation oils. Their viscosities at the experimental
temperature are: 18.07 mPa·s, 25.43 mPa·s, and 37.51 mPa·s.

2.3 Experiment steps

a. Measure the length and radius of the core, and the core permeability, after the core is washed by
oil, dried, and cooled.
b. Pump out the saturated simulated formation water, determine the wet weight of the core, and
calculate the pore volume and porosity.
c. Put the 100% formation water-saturated core into the core holder and connect the process. Use
the oil flooding method to establish the irreducible water saturation. Firstly, use a low flow rate
to flood the oil. Then, increase the displacement speed gradually until no water is discharged.
Finally, calculate the irreducible water saturation and the relative permeability of oil phase.
d. Carry out the water flooding experiment at the design speed.
e. Accurately record the water breakthrough time, the cumulative oil production when the water
breaks through, the cumulative fluid production, and the displacement pressure difference
between the two ends of the rock sample.
f. At the initial stage of water exposure, encrypt the record, and select the time interval according
to the amount of oil output. With the continuous decrease of the oil output, the time interval
for recording is gradually increased. If the water content reaches 99.95% or 30 times the pore
volume after water injection, measure the water permeability of the residual oil, and end the
experiment.
g. Calculate the relative permeability curve and water displacement efficiency according to the
standard GB/T 28912-2012 Method for Measuring the Relative Permeability of Two-Phase
Fluids in Rocks.

3 ANALYSIS OF EXPERIMENTAL RESULTS

According to the characteristics of high porosity, high permeability, medium-light oil reservoirs
in an oil field in Bohai Sea, the influences of different permeability, oil-water viscosity ratio and
displacement speed on oil-water two-phase seepage are investigated, resulting a total of 26 oil-water
phase permeability experiments and 15 water flooding efficiency experiments.

3.1 Variation characteristics of oil-water relative permeability

3.1.1 Saturation of irreducible water
It can be seen from Figure 1 that, with the increase in permeability, the irreducible water saturation
decreases. This is because as the permeability increases, the pore radius of the reservoir increases,
and it is easier for oil to enter the pores and drive water away. Hench the irreducible water saturation

217
Figure 1. Characteristics of irreducible water saturation changes.

decreases. As the oil–water viscosity ratio increases, the irreducible water saturation decreases.
Under the same displacement conditions, high-viscosity oils are easier to displace water as the
oil-water viscosity ratio increases to reduce the saturation of irreducible water.

3.1.2 Variation characteristics of residual oil saturation

Figure 2. Variation characteristics of residual oil saturation.

It can be seen from Figure 2 that the residual oil saturation has a complicated change pat-
tern, which is affected by the combined effects of permeability, oil-water viscosity ratio, and
displacement rate.

Figure 3. Variation characteristics of residual oil saturation under different displacement rates.

218
 As shown in Figure 3, as the displacement rate increases, the residual oil saturation decreases
firstly and then increases. This demonstrates that in the water flooding process, the higher speed
will not lead to the lower residual oil saturation.

3.1.3 Variation characteristics of the relative permeability of the water phase in the state of
residual oil

Figure 4. The relative permeability of the water phase varies with permeability in the state of residual oil.

It can be noted from Figure 4 that, as the permeability increases, the relative permeability of
the water phase in the residual oil state increases. This is because the greater the permeability is,
the larger the pore radius will be. In the residual oil state, the larger the pore radius occupied by
the water flow is, the higher the water phase permeability will be. Moreover, with the increase of
the oil-water viscosity ratio, the relative permeability of the water phase in the residual oil state
increases, and the increase is obvious at a high viscosity ratio.

Figure 5. Variation characteristics of relative permeability of water phase with displacement rate in the state
of residual oil.

It can be observed from Figure 5 that with the increase of the displacement rate, the relative
permeability of the water phase in the state of residual oil first increases and then decreases.

3.1.4 Variation characteristics of relative permeability of oil phase

(1) Variation characteristics of relative permeability of oil phase with permeability

219
Figure 6. Relative permeability curve under different permeability.

Figure 7. Distribution frequency of pore throats with different permeability.

As illustrated in Figure 6, with the increase of the permeability, the relative permeability of
the oil phase decreases slowly before the isotonic point. The relative permeability of the oil phase
decreases faster after the isotonic point.
The reason is as follows: Before the isotonic point, the capillary force plays a major role. In
this oilfield reservoir, the wettability is a hydrophilic feature, and the capillary force appears as a
dynamic force during the water flooding process. The greater the permeability will lead to greater
capillary force. The smaller total driving force will lead to a slower rate of oil phase flow, and
slower drops of oil phase relative permeability.
After the isotonic point, water occupies the main flow channel. The larger the permeability and
the pore radius are, the larger the water flow channel will be. Correspondingly, the smaller oil flow
channel will lead to a faster decrease in the relative permeability of the oil phase.
Figure 7 shows the frequency distribution of pore throat radii with different permeability. The
larger permeability leads to a higher proportion of the pore radius, confirming the previous analysis.
(2) Variation characteristics of relative permeability of oil phase with oil-water viscosity ratio
As shown in Figure 8, as the oil-water viscosity ratio increases, the relative permeability of the
oil phase decreases faster. The reason is that the difference in oil-water viscosity ratio is mainly
resulted from the viscosity indexing during water flooding. The greater oil-water viscosity ratio
will lead to more obvious viscosity indexing, and faster water flows, thus the faster reduction in
relative permeability of the oil phase.
(3) Variation characteristics of relative permeability of oil phase with a displacement rate
Figure 9 shows that the greater the displacement rate is, the faster is the reduction in the relative
permeability of the oil phase. This is resulted from an increase in the displacement speed, which

220
Figure 8. Relative permeability curves under different oil-water viscosity ratios.

Figure 9. Relative permeability curves under different displacement speeds.

further strengthens the viscous fingering during the water flooding process. The greater speed
results in a more obvious strengthening effect. The faster the water flow is, the faster the relative
permeability of the oil phase decreases.

3.1.5 Variation characteristics of relative permeability of water phase

(1) Variation characteristics of relative permeability of water phase with permeability

Figure 10. Relative permeability curve under different permeability.

221
 Figure 10 illustrates that, as the permeability increases, the relative permeability of the water
phase rises slowly before the isotonic point. After the isotonic point, the relative permeability of the
water phase rises faster. The reasons are as follows: Before the isotonic point, the capillary force
plays a major role. In this oilfield reservoir, the wettability is hydrophilic, and the capillary force
appears as a dynamic force during the water flooding process. The greater permeability, smaller
capillary force, smaller total driving force, and slower water phase flow rate contribute to the slower
rise of the relative permeability of the water phase. After the isotonic point, water occupies the main
flow channel. Hence, the greater permeability, larger pore radius, and larger water flow channel all
lead to sharp increase in the relative permeability of the water phase.
(2) Variation characteristics of relative permeability of water phase with oil-water viscosity ratio

Figure 11. Relative permeability curves under different oil-water viscosity ratios.

As shown in Figure 11, as the oil-water viscosity ratio increases, the relative permeability of
the water phase rises faster. The reason is that, with the difference in oil-water viscosity ratio,
the viscous fingering in the water flooding is the main influencing factor. The greater oil-water
viscosity ratio leads to more obvious viscous fingering, faster water flow, and a faster rise in the
relative permeability of the water phase.
(3) Variation characteristics of relative permeability of water phase with displacement rate

Figure 12. Relative permeability curves under different displacement speeds.

222
 It can be seen from Figure 12 that before the isotonic point, the greater the displacement rate is,
the faster is the rise in the water phase permeability. After the isotonic point and the displacement
rate is 1.0 ml/min, the water phase relative permeability rises faster.

3.2 Variation characteristics of anhydrous recovery degree

Figure 13. The characteristics of anhydrous recovery degree under different permeability.

Following are the observations from Figure 13. Firstly, as the permeability increases, the degree of
waterless recovery increases. This is because, with the increase of the permeability, the homogeneity
of the pore radius will be better, the water-flooding front will be more uniform, and the degree
of water extraction will be greater. Secondly, as the oil-water viscosity ratio increases, the degree
of water-free recovery decreases. The reason is that the greater oil-water viscosity ratio will result
in a more obvious viscosity index of water flooding, a more uneven water-flooding front, and
more anhydrous recovery. Thirdly, with a larger oil-water viscosity ratio, the degree of anhydrous
recovery will increase faster with permeability.

Figure 14. Characteristics of anhydrous recovery degree under different displacement speeds.

It can be seen from Figure 14 that as the displacement speed increases, the degree of waterless
recovery decreases. This is because the increase in displacement speed further strengthens the
viscous fingering during water flooding. Furthermore, the water flooding front becomes more
uneven and the degree of anhydrous recovery is reduced.
From Figures 15 and 16, the following observation results can be made. Firstly, the oil dis-
placement efficiency is divided into two stages with the increase of the water injection multiple:
the rapid growth stage and the slow growth stage. In the semi-logarithmic coordinate, they have

223
3.3 Variation characteristics of water flooding efficiency

Figure 15. Variation characteristics of water flooding efficiency with water injection multiples.

Figure 16. Variation characteristics of water drive oil efficiency with water injection multiples.

a linear relationship with the water injection multiple. Secondly, the rapid growth stage is in the
medium-high water-cut period, and the oil displacement efficiency changes significantly with the
increase of the water injection multiple. Finally, the slow growth stage is in the ultra-high water-cut
period, and the oil displacement efficiency changes slowly with the increase of the water injection
multiple as this increase requires a lot of water injection.

4 CONCLUSIONS

(1) Under the same conditions of reservoir physical properties and fluid properties, changes in
displacement conditions lead to changes in displacement efficiency and phase permeability
curves.
(2) As the water injection multiple increases, the oil displacement efficiency increases, and the
increase rate becomes smaller and smaller. The high multiple oil displacement efficiency can
be predicted by the trend law.
(3) Regarding the characteristics of high porosity, high permeability, and medium-light weight
reservoirs in the Bohai Oilfield, the main limiting conditions determining the efficiency of
water flooding include the water injection multiples and oil-water viscosity ratios.

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parameters of reservoir pore structure on oil-water relative permeability[J]. Journal of Xi’an Shiyou
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and relative permeability and oil saturation characteristics of low-permeability sandstones[J]. Petroleum
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Liu Hongwei, LIU Yikun, PAN Xiaojun. (2008) Numerical simulation of the influence of reservoir wettability
in Sazhong Development Area[J]. Inner Mongolia Petrochemical Industry, 2008, 34(09): 221–222.
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225
 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Study on formation mechanism and prediction of wellbore hydrate in

tight sandstone gas reservoir

Ke Zhang
COSL-EXPRO Testing Services (Tianjin) Co., Ltd., Tianjin, China

Zhaoyuan Cheng∗
College of Petroleum Engineering, Xi’an Shiyou University, Xi’an Shaanxi, China

Hanlie Cheng
COSL-EXPRO Testing Services (Tianjin) Co., Ltd., Tianjin, China

Minghao Wang
China United Coalbed Methane Company, Shenmu Shaanxi, China

ABSTRACT: Natural gas hydrate is a crystalline compound composed of water and natural gas.
In the process of depressurized production of gas wells, hydrates are usually easy to form in the
wellbore. Once these hydrates are formed, they will lead to liquid accumulation at the bottom of the
well, which will bring great harm to the normal production of gas wells. Therefore, it is very impor-
tant to understand the conditions of hydrate formation in wellbore and to predict and prevent hydrate
formation. The formation of natural gas hydrate is related to natural gas composition, certain low
temperature and high pressure conditions, high speed flow of gas flow, pressure fluctuation and
other factors. Through the analysis of physical and chemical properties of natural gas hydrate, vari-
ous factors affecting the formation and decomposition of natural gas hydrate are summarized in this
paper. Taking one breath well as an example, Pipesim software establishes well model, predicts the
formation of gas hydrate in wellbore under different tubing sizes, different bottom hole flowing pres-
sure and different gas production. Finally, according to the hydrate control mechanism, the concrete
measures to control the formation and decomposition of gas hydrate in wellbore are put forward.

1 INTRODUCTION

Natural gas hydrate is a crystalline compound composed of saturated water and natural gas in
natural gas under certain conditions (temperature, pressure, gas saturation, water salinity, pH
value) (Collett 2002). The formation and distribution of natural gas hydrate are mainly controlled
by hydrocarbon gas sources and certain temperature and pressure conditions (Li et al. 2016). In
addition to high pressure and low temperature conditions, the formation of natural gas hydrate must
also have sufficient natural gas sources and water-bearing media (Barkan & Sheinin 1993).
As an unconventional gas reservoir, tight sandstone gas reservoir has great resource prospect.
China is rich in tight sandstone gas resources. By the end of 2020, 17 tight sandstone gas fields have
been proved (Ping et al. 2006). Tight sandstone gas fields in China are mainly distributed in Ordos,
Sichuan and Tarim basins, and the reservoir ages are Carboniferous, Permian, Triassic, Jurassic,
Cretaceous and Paleogene. Linxing and Shenfu exploration blocks, located in the eastern margin
of Ordos Basin, are currently tight gas exploration blocks on land of China National Offshore Oil
Corporation, and have achieved great success in natural gas exploration in recent years (Wang 2006).

∗ Corresponding Author

226 DOI 10.1201/9781003308584-31

 In recent years, with the production of a large number of gas wells, gas hydrate appeared in the
wellbore of many gas wells, which caused the shutdown of gas wells and greatly affected the gas
production of gas wells (Sun et al. 2017). For this reason, many gas fields have invested a lot of
energy in the development process to control the wellbore blockage caused by natural gas hydrate,
which not only increases the capital investment, but also affects the normal production of gas wells.
In this paper, the mechanism of gas hydrate formation is analyzed, and the prediction method of
gas hydrate is expounded, which provides guidance for the formation of gas hydrate in gas field
control wellbore.

2 FORMATION MECHANISM OF NATURAL GAS HYDRATE

The formation mechanism of natural gas hydrate can be divided into thermodynamic formation
mechanism and kinetic formation mechanism.
(1) Thermodynamic principle of gas hydrate formation
Thermodynamics of natural gas hydrate is usually used to study the formation conditions of
natural gas hydrate, which mainly covers the conditions that can make natural gas hydrate form and
obtain stable pressure and temperature, and can also be used as the theoretical basis for whether
gas hydrate can be formed under known conditions. The type of hydrate generally depends on the
size of gas molecules, the size of crystalline network and the stability of structure. The chemical
properties and material morphology of gas can determine the structural type of hydrate. CH and
CH can form I-type structure. CH can adhere to both large and small crystalline networks, but the
hydrate formed in small crystalline networks is relatively more stable. Pure CH can only enter the
larger crystalline network with I-type structure. The larger hydrocarbon molecules such as CH and
CH will form Type II structure. It can be seen from Figure 1 that the dissolution process of gas
molecules, that is, gas molecules dissolve into water; the formation process of hydrate skeleton,
that is, the initial nucleation process of gas molecules. Gas molecules dissolved in water and water
form a basic skeleton (one cavity) of natural gas hydrate similar to ice fragments, which forms
another cavity of different size by combining; the diffusion process of gas molecules, that is, the
process of gas molecules diffusing into the basic skeleton of hydrate; the process in which gas
molecules are adsorbed, that is, natural gas molecules are selectively adsorbed in the skeleton of
hydrate, so that hydrate crystals grow.

Figure 1. Schematic diagram of hydrate formation kinetics.

(2) Kinetic principle of gas hydrate formation

Hydrate kinetics can be divided into decomposition kinetics and formation kinetics, and hydrate
formation process is equivalent to crystallization process, which can be divided into two stages:
nucleation and growth. Hydrate nucleation refers to the process that hydrate forms the critical size
of crystal nucleus and gradually stabilizes. Hydrate growth refers to the process in which stable

227
crystal nuclei gradually become larger. Gas hydrate nucleation refers to the formation of a stable
crystal nucleus with critical size in supersaturated gas solution. When the solution is in supercooled
or supersaturated state, nucleation may occur. The nucleation and growth process of hydrate is also
equivalent to a crystallization process. When the temperature is constant, the ratio of solvent
to solute determines the concentration and saturation of the constituent solution, and metastable
crystallization will occur when the concentration reaches supersaturation. The understanding of
the principle of water freezing at low temperature and the study of the solubility of natural gas to
water can help to understand the nucleation of hydrate.
Hydrate formation often occurs at the gas-liquid interface. Because the nucleation free energy
at the gas-liquid interface is often very small, and the concentration of guest molecules and host
molecules at the interface is relatively high. At the gas-liquid interface, because of the adsorption of
water and gas, the concentration of hydrate solution is higher, which is beneficial to the growth and
expansion of hydrate. It is precisely because of the formation of hydrate structure at the interface,
which provides attachment for the combination of a large number of gases and liquids. Gas-liquid
mixing leads to the continuous expansion of the crystal nucleus structure at the interface, resulting
in a large number of hydrate nucleation. Temperature and phase state of water are two important
factors for hydrate nucleation. When other conditions are constant, with the increase of temperature,
the hydrate will decompose, and at the same time, a part of crystal structure may remain. With the
decrease of temperature, the hydrate will form again.

3 STABILITY OF NATURAL GAS HYDRATE

There are many factors that affect the stability of natural gas hydrate. This paper mainly studies the
influence of temperature, pressure and active agent on the formation rate of natural gas hydrate.
(1) Effect of temperature on hydrate stability
The influence of temperature and pressure on gas hydrate can also be regarded as the influence
of thermodynamic conditions, so it is of great significance to study the formation conditions of
gas hydrate. The formation process of hydrate can also be regarded as the process of mass transfer
and heat transfer between gas and water. Therefore, the effective study of mass transfer and heat
transfer conditions between gas and liquid will deeply understand the influencing factors of hydrate
formation.
As mentioned earlier, the formation of hydrate is a process of releasing heat, so the influence
of temperature on it is very important. The temperature change in the reaction process not only
affects the equilibrium pressure of hydrate formation, but also hinders the diffusion speed of heat
generated in the reaction process. The higher the temperature, the faster the reaction speed and the
less the required driving force.
As shown in Figure 2. It can be seen from the figure that the decomposition rate of hydrate at
268.15 K is obviously much slower than that at 262.15 K, so it is certain that the decomposition
rate at 268.15 K is lower than that at 262.15 K. The reasons for this situation are:
1) The decomposition of natural gas hydrate into natural gas and water is a phase change reaction,
and it needs to absorb a lot of heat. However, if the gas hydrate is stored in almost adiabatic
condition, the heat obtained will be very small.
2) When a large amount of gas hydrate is stored and transported, the heat needed for hydrate
decomposition can only be obtained from the particles of adjacent hydrates, thus forming a
temperature gradient, and the thermal conductivity of gas hydrate is 18.7 W m ◦ C, which is
lower than that of ordinary thermal insulation materials (about 27.7◦ C).
3) Because the storage temperature of natural gas hydrate is below 0◦ C, when the hydrate decom-
poses, the decomposed water will form a layer of ice, which will also serve as a protective layer
to prevent other hydrates from continuing to decompose.
4) At 268.15 K (−5◦ C), the crystal particles of hydrate are smaller than those at other temperatures,
but the density between particles is larger than that at other temperatures.

228
Figure 2. Comparison of decomposition laws between 268.15 K and 262.15 K.

(2) Effect of temperature on hydrate stability

The so-called overpressure is the difference between the reaction pressure and the equilibrium
pressure at this temperature. Overpressure will increase the interference on the system. The greater
the overpressure, the longer the overpressure time, the more severe the disturbance, and the longer
the duration, the faster the reaction rate. As shown in Figure 3, the gas consumption of pure
water during hydrate formation is changed under the conditions of pressure 7MPa and 6MPa and
temperature 277.25 K, respectively.

Figure 3. Variation of gas consumption with time under different pressures.

(3) Effect of active agent on hydrate stability
Injecting certain chemical additives can also change the thermodynamic conditions of hydrate
formation, crystallization rate or aggregation morphology, thus ensuring better fluidity of the
fluid. Commonly used chemical additives include thermodynamic inhibitors, kinetic inhibitors,
anti-polymerization agents and surfactants.
Thermodynamic inhibitors include inorganic salt electrolytes and alcohols. Sodium chloride is
a very good thermodynamic inhibitor. The inhibitory effects of sodium chloride, sodium bromide,
sodium carbonate, potassium chloride and calcium chloride were analyzed and compared through
a large number of experiments. It was found that although sodium carbonate has good solubility,
its inhibitory effect is not as good as sodium chloride. However, if a large amount of salt is added
to the solution, the hydrate formation temperature can be reduced. Methanol and ethylene glycol
are common alcohol inhibitors.

229
 The action principle of kinetic inhibitor is that its influence on the formation and development
of hydrate is a chemical reaction process. Kinetic inhibitors are usually polymers whose molecular
chains contain a large number of water-soluble groups and have long aliphatic carbon chains.
Experiments on polymers, copolymers, alcohols, sugars and surfactants show that all of them can
not prevent hydrate from crystallizing under external pressure. However, when these substances
adhere to the interface between crystals and water, they will prevent the growth and aggregation of
hydrate crystals to a certain extent.
The main function of anti-aggregation agent is to prevent hydrate formation during well shut-
down, and the components of anti-aggregation agent mainly include polymer and surfactant. Its
efficacy does not depend on thermodynamic conditions, so the applicable range of pressure and
temperature is large, but the different compositions of salt, polymer and water will affect its appli-
cable efficiency. Anti-aggregation agents usually include alkyl aryl sulfonates, alkyl caseyl phenyl
ethyl salts, tetraethoxy salts and bile acids.
The surface of surfactant can play a solubilizing role, The interfacial tension of the gas-liquid
interface layer can be greatly reduced, At the same time, the resistance of gas molecules entering
the gas-liquid interface layer is reduced, and the rate of gas entering the gas-liquid interface layer is
improved, thus improving the speed of gas molecules reaching saturation and rapidly precipitating
bubbles in the gas-liquid interface layer, providing favorable conditions for the formation of hydrate
and promoting the rapid formation of hydrate. The main function of surfactant is to promote the
formation of bubbles in the gas-liquid interface layer, and make the bubbles combine with adjacent
water molecules to form hydrate crystals. With the continuous combination of gas molecules and
water molecules at the gas-hydrate and hydrate-water interfaces, hydrate crystallization is expanded
until all gases are exhausted. According to the experimental situation, It is found that the formation
rate of hydrate crystals mainly depends on the concentration of gas molecules in the gas-hydrate
interface layer and the concentration of water molecules in the water-hydrate interface layer, The
concentration of gas molecules and water molecules depends on their mass transfer rate, so the
mass transfer rate of gas molecules and water molecules is the main factor affecting the hydrate
formation rate.

4 PREDICTION OF GAS HYDRATE FORMATION

For gas wells, the wellhead temperature is mainly affected by the gas production and the structure
of gas production pipe column. Generally speaking, the higher the gas production, the higher the
wellhead temperature. When the gas production is constant, the higher the tubing size, the lower
the wellhead temperature of the well. This paper uses Pipesim software to establish well model,
and predicts the formation of wellbore hydrate under different tubing sizes, different bottom hole
flowing pressure and different gas production.
Taking the tubing sizes of 2 3/8 in, 2 7/8 in, 3 1/2 in and 4 in as sensitive parameters, this paper
calculates the hydrate formation when the gas well production is 1 × 10m/d. The calculated results
are shown in Figure 4. From the above calculation results, it can be seen that in the case of relatively
low gas production (gas production is set at 1 × 10m/d), hydrate is formed in the wellbore with 3
1/2 in and 4 in tubing production, but no hydrate is formed in the wellbore with 2 3/8 in and 2 7/8
in tubing production. At present, the production of gas wells in the block is low, so it is suggested
to use 2 3/8 in and 2 7/8 in small tubing in the block gas wells, which can effectively prevent the
formation of hydrate.
From the above analysis, it can be seen that the wellbore temperature of gas wells increases with
the increase of production, so hydrate formation can be prevented by adjusting the production of
gas wells. At the initial stage of development, when the formation pressure is relatively high, the
production of gas wells in the block can be appropriately increased to prevent the formation of
hydrate. In the middle and later stages of development, some measures such as shut-in of wells
can be taken to avoid the production of gas wells under the condition of low gas production, thus
preventing the formation of hydrate. Under the condition of fixed production, the formation of

230
Figure 4. Hydrate prediction curve with gas production of 1 × 10m/d.

gas well hydrate is related to the size of tubing. The larger the tubing diameter, the easier it is to
form hydrate. Therefore, in view of the low production of single well in the block at present, it is
suggested to use small tubing for production. At the same time, it is necessary to keep a relatively
stable working system in the process of well opening, and the fluctuation of gas well production
working system will cause excessive pressure fluctuation of gas well and easy to form hydrate.

5 CONCLUSION

(1) For the gas wells in Linxing Shenfu gas field, under the condition of certain gas production,
it can be seen through analysis that using small tubing size can effectively prevent hydrate
formation. Under the condition of certain tubing size, choosing lower daily gas production can
effectively prevent hydrate formation.
(2) After long time shut-in, the wellbore pressure and temperature redistribute, and finally the
wellbore temperature is close to the normal formation temperature distribution, and the well-
head pressure will gradually increase. When the surface temperature is low or the wellhead
pressure is high, hydrate will form in the upper part of the wellbore.

ACKNOWLEDGEMENTS

This work was not supported by any funds. The authors would like to show sincere thanks to those
techniques who have contributed to this research.

REFERENCES

Barkan, E.S., Sheinin, D.A. (1993) A general technique for the calculation of formation conditions of natural
gas hydrates. Fluid Phase Equilibria., 86: 111–136.
Collett, T.S. (2002) Energy resource potential of natural gas hydrates. Aapg Bulletin., 86: 1971–1992.
Li, X.S., Xu, C.G., Zhang, Y., Ruan, X.K., Li, G., Wang, Y. (2016) Investigation into gas production from
natural gas hydrate: a review. Applied Energy., 172: 286–322.
Ping, G., Huang, W., Jiang, Y., Bi, J., Chen, Z. (2006) Research on the irreducible and movable water of tight
sandstone gas reservoir. Natural Gas Industry., 26: 99–101.
Sun, Y., Bai, B., Dai, C., Liu, H. (2017) Permeability evolution study after breaking of friction reducer in near
fracture matrix of tightgas reservoir. Fuel., 204: 63–70.
Wang, F. (2006) Study and application on protection techniques for low-permeability tight sandstone gas
reservoir. Natural Gas Industry., 26: 89–91.5

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© 2023 Copyright the Author(s), 978-1-032-31202-6

Characteristics of acoustic wave velocity of loamy soil with different

cadmium concentrations

Yanjin Luo, Ying Shi∗ & Bian Huang

Department of Resources and Safety Engineering, Central South University, Changsha, China

ABSTRACT: The problem of heavy metal contamination of soil at industrial sites in China is
serious. The identification of heavy metal contamination is currently focused on chemical analysis.
However, this method is limited in engineering practice due to the complexity and cost of operation.
Therefore, a physical method is urgently needed to monitor the level of contamination at the site.
In the study, the combined acoustic monitoring system has been used to measure acoustic wave
velocity of loamy soil under the condition of different concentration of cadmium and moisture
content. The results showed that the P-wave velocity in different contaminated soil increased and
then stabilized with the addition of cadmium. In the low concentration of cadmium in adsorption
range of 5.56 mg·kg−1 to 728.91 mg·kg−1 , cadmium was rapidly adsorbed by adsorption sites
with high binding energy in the soil colloid. The large number of complexes generated from
the adsorption stage were distributed in pores, which led to a rapid increase in P-wave velocity.
With saturation of adsorption sites with the high binding energy, the adsorption sites with low
binding energy performed adsorption of cadmium. The existence of charge repulsion led to a
significant reduction in the adsorption rate of cadmium. The generation rate of complexes in the
pores decreased, and therefore wave velocity increased slowly. Based on the adsorption principle,
the variation pattern between P-wave velocity and heavy metal concentration can be investigated.
This method can be used to evaluate the contamination boundary of a site by applying ultrasonic
technique.

1 INTRODUCTION

As a non-destructive feature in the process of measurement, acoustic velocity is widely used to

predict the changes of soil physical and mechanical properties (Uyanık 2011). These properties are
mainly related to the soil porosity. Porosity mainly affects the movement of fluids in pore space,
including pore liquid and pore gas (Tan et al. 2017). P-waves can propagate in all media, especially
liquid and gas (Chen 2017). Acoustic P-wave velocity is significantly decreased when the fluid in
the pore space partially replaces the soil particles (Koliji 2010). Many studies have investigated the
relationship between P-wave velocities and pore fluids (Chang 2017; De 2018; Sakurovs 2016).
These studies supposed that the soil solid components remained constant. These constant soil solid
components are usually assumed to be uncontaminated soil. However, in the case of contaminated
soils, the different concentrations of pollutants influence the solid composition of the soil, and then
further affects the soil porosity. This influence of the concentration of pollutants can be further
quantified by wave velocity measurements. Therefore, the range of P-wave velocity variation can
be used to effectively predict the degree of soil contamination. Traditional concentration detection
of soil pollutants mainly focused on chemical detection and analysis, which is time-consuming
and costly. In comparison, there is little research on the relationship between P-wave velocity and

∗ Corresponding Author: [email protected]

232 DOI 10.1201/9781003308584-32

pollution concentration. In this study, a typical soil contaminant, the heavy metal cadmium, was
chosen as the research subject. We investigated the change of P-wave velocity and Cd concentration
in loamy soils. By setting different moisture content, this change is also verified. In addition, the
adsorption isotherm of cadmium was fitted, and the results were tested from the point of cadmium
adsorption characteristics. Based on the relationship between wave velocities and pollution samples,
the acoustic wave technology can be used to quickly estimate soil boundaries of different pollution
levels in preliminary field investigation.

2 METHODS AND MATERIALS

2.1 Test instruments for acoustic wave velocity

In the study, the combined acoustic monitoring system with multi-channel software, TiePie engi-
neering instruments (Handyscope HS5) and acoustic emission sensor (GTMicro150) has been used
to determine acoustic wave velocity of loamy soil. The fixed pulse wave signal with frequency (10
Hz) and pulse width (5 µs) was emitted by the TiePie instruments. After propagating through the
soil sample, the signal was amplified by a 40 dB amplifier and then displayed on multi-channel
software.

2.2 Specimen preparation of the tested soil

loamy soil was sampled from the farmland with a depth of 0–20 cm in Changsha, Hunan Province,
China. Soil samples were air-dried and crushed in a ball mill and sieved through a 20-mesh screen.
Then the contaminated soil was prepared by mixing the treated soil (250 g) with 10 different
concentrations (2.71, 5.52, 13.46, 40.42, 67.88, 85.42, 104.33, 133.65, 182.38, 230.95 mg·L−1 )
of Cd (NO3 )2 ·4H2 O solutions. Then, the contaminated soil with different cadmium concentrations
was poured into a cube mold of 50 × 50 × 50 mm to make test soil samples. In order to reduce the
experimental error, each soil sample were triplicated. A blank group was also prepared as a baseline
regarding the measurement of wave velocity. In order to verify the change of wave velocity under
different cadmium contamination conditions, four groups of moisture content (4.71%, 7.44%,
10.32%, 13.56%) were used as control conditions, and the change trend of wave velocity and
cadmium concentration was compared.

2.3 Wave velocity change validation experiment on cadmium adsorption isotherms

The adsorption experiments were carried out according to the soil samples described above. The
prepared soil contamination reagent was first shaken for 24h in a waterside thermostatic shaker
(SHA-B). Then the supernatant of mixed sample was centrifuged in a centrifuge tube at a speed
of 4000 r/min for 10 mins. The concentrations of cadmium after centrifugation and filtration were
determined by using an atomic spectrophotometer (AAS). Finally, the adsorption of cadmium was
calculated by the change in concentration of cadmium in the solution during adsorption.

3 RESULTS AND DISCUSSION

Soil matrix contains numerous colloids with negative charges. These colloids attract a large num-
ber of metal cations mainly through electrostatic interaction. Another characteristic of colloid is
that it has a large surface. Large surface area provides more absorption sites for the electrostatic
interaction. In the process of electrostatic interaction, colloids with metal ions combine to form
macromolecular particles (complex). The generation of these particles has certain influence on
the size and structure of soil pores. The size and structure of the pores are the main factors of
the acoustic wave velocity. Therefore, we studied the P-wave velocity under different cadmium
concentrations and analyzed the relationship between wave velocity and cadmium concentrations.

233
Figure 1. Relationship between P-wave velocity Figure 2. Relationship between P-wave velocity
and adsorption of Cd with 4.71% moisture. and adsorption of Cd with 7.44% moisture.

Figure 3. Relationship between P-wave velocity Figure 4. Relationship between P-wave velocity
and adsorption of Cd with 10.32% moisture. and adsorption of Cd with 13.56% moisture.

As shown in Figures 1 to 4, the wave velocity changed rapidly at the same moisture content
in cadmium adsorption range of 5.56 mg·kg−1 to 728.91 mg·kg−1 , it increased with an increase
of cadmium concentrations. In order to further analyze the causes of this wave velocity change,
we discussed the factors influencing pore size and structure from the perspective of adsorption
properties. Figure 5 showed Cd adsorption isotherm in loamy soil at pH=4.26. The Langmuir equa-
tion was used to simulate cadmium adsorption isotherm as q = 2.5.78x∧ 1.42/(1 + 0.17x∧ 1.42)
(q: cadmium adsorption quantity; C: cadmium equilibrium concentration in solution) with high
correlation coefficient (r2 = 0.966). The results showed that in the range of 5.56 mg·kg−1 to 728.91
mg·kg−1 , with the increasing rate of cadmium concentration in the equilibrium solution, the adsorp-
tion capacity of soil for cadmium increased rapidly, which led to the increase of colloid production
in soil. As a result, the pores were gradually filled with the complexes. Therefore, the wave velocity
increased with the addition of cadmium in soil. In addition, the rate of increase in wave velocity
was significantly larger at lower levels of cadmium adsorption. At lower levels, cadmium ions were
easily bound with soil colloids because there were many adsorption sites. The adsorption sites with
high binding energy made heavy metals easily adsorbed (Cavallaro 1978). The rapid adsorption

234
Figure 5. Absorption characteristics of Cd in loamy soil.

of cadmium ions by soil colloids caused a rapid reduction in porosity and consequently a rapid
increase in wave velocity.
However, when the adsorption capacity reached 728.91 mg·kg−1 , with the increase in cadmium
adsorption, the soil porosity did not change much, so the P-wave velocity did not increase much.
Combined with the adsorption characteristics of cadmium, we could analyze that as the adsorption
sites with high binding energy become saturated, the adsorption rate reached a maximum at a
cadmium adsorption capacity of 728.91 mg·kg−1 . Subsequently, with the increases in cadmium
concentration in the soil solution, cadmium ions started to be adsorbed by adsorption sites with
lower binding energy. The low density of these adsorption sites led to a high electrostatic repulsion
between cadmium ions. The adsorption capacity of soil colloids for metal ions was limited by
electrostatic repulsion (Gao 2008). As a result, the lower adsorption capacity results in less variation
in soil pore space and thus the stable trend of increasing in wave velocity.

4 CONCLUSION

Generally speaking, the wave velocity of soil increased with the increase of cadmium content in
soil, and subsequently stabilized. According to the results of the cadmium adsorption isotherm, the
adsorption sites with higher binding energy in soil colloids showed higher adsorption capacity in
the range of 5.56 mg·kg−1 to 728.91 mg·kg−1 . When cadmium was adsorbed by the soil colloid,
the produced complexes were rapidly distributed in the soil pores. As the adsorption sites with
high binding energy saturated, the wave velocity reaches a maximum value when the adsorption
capacity of cadmium reached 728.91 mg·kg−1 . Then, the adsorption sites with low binding energy
in the soil colloid began to function as adsorbent. At this stage, the density of adsorption sites was
low and the charge repulsion among ions was high. The adsorption rate of cadmium decreased
significantly, and therefore the increasing rate of wave velocity slowed down.

ACKNOWLEDGMENTS

This work was financially supported by the State Key Research Development Program of China
(Grant No. 2018YFC1800400).

235
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Cavallaro, N. & Mcbride, M. (1978). Copper and Cadmium Adsorption Characteristics of Selected Acid and
Calcareous Soils1. Soil Sci Soc Amer, 42(4), 550–556.
Chang, H., Mu, S., Xie, D. & Wang, P. (2017). Influence of pore structure and moisture distribution on chloride
“maximum phenomenon” in surface layer of specimens exposed to cyclic drying-wetting condition. Constr
Build Mater, 131, 16–30.
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Observable Seismic Reflection Data in a Gas-Bearing Reservoir. Surv Geophys, 38, 651–678.
De La Varga, I., Muñoz, J., Bentz, D., Spragg, R., Stutzman, P. & Graybeal, B. (2018). Grout-concrete interface
bond performance: Effect of interface moisture on the tensile bond strength and grout microstructure. Constr
Build Mater, 170, 747–756.
Gao, Z., Bandosz, T., Zhao, Z., Han, M., Liang, C. & Qiu, J. (2008). Investigation of the Role of Surface
Chemistry and Accessibility of Cadmium Adsorption Sites on Open-Surface Carbonaceous Materials.
Langmuir, 24(20), 11701–11710.
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Geotech J, 47, 297–311.
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size distribution of Victorian brown coals. Fuel, 172, 124–129.
Tan, X.-H., Jiang, L., LI, X.-P., Li, Y.-Y. & Zhang, K. 2017. A complex model for the permeability and porosity
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velocities. J Appl Geophys, 73(1), 16–24.

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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Research on gas grading control method of coal roadway heading

face in high gas mine

Sen Yang & Yin Liao

State Key Laboratory of The Gas Disaster Detecting, Preventing and Emergency Controlling, Chongqing,
China
Chongqing Research Institute of China Coal Technology and Engineering Group Crop., Chongqing, China

ABSTRACT: With the increase of mining depth and mining intensity, the intensification of
mining is getting higher and higher, and the severity of gas disasters is increasing. Gas control
has become a major factor restricting safe and efficient production in coal roadway excavation in
high-gas mines. At the same time, due to the large area of the mine field, the gas occurrence and
geological structure changes greatly in different regions, and the fixed gas control method adopted
at the heading face seriously affects the mining replacement of the mine. In this paper, through
collecting and sorting out the gas control methods in the coal roadway of the high-gas mine heading
face on site, and after full demonstration, the “gas classification control method in the coal roadway
heading face of the high-gas mine” is put forward, which adopts different gas control measures
according to different gas disaster levels and provides technical guarantee for the safe and efficient
operation of the underground heading face.

1 INTRODUCTION

In order to improve the efficiency of gas control in coal roadway heading face, analyze the advan-
tages, disadvantages and applicability of various gas control measures, the gas content of raw coal
in heading face can be controlled according to two grades of ≥8 m3 /t and <8 m3 /t respectively(The
classification content index can be adjusted according to the results of subsequent investigation in
different mine conditions), firstly, the geological structure of the tunneling area should be explored
well and to measure the basic parameters of coal seam gas, in order to master the excavation area
geological structure and coal seam gas occurrence law, at the same time, the characteristics of
gas emission in the excavated area are analyzed, according to the characteristics of the disaster, in
order to carry on the subregional classification management. Adopt two “four in one” comprehen-
sive gas control measures, just regional pre-pumping is carried out first. Secondly, regional effect
inspection and verification are carried out, then determine whether to take local gas control mea-
sures according to the extraction standards and regional verification results. For the area where the
original gas content of coal seam is less than 8 m3 /t, it is determined whether to take gas drainage
measures according to the predicted results of gas emission.
The classification control measures and test indexes and their critical values proposed in the
gas control method are mainly referred to Interim Provisions on Reaching the Standard of Gas
Drainage in Coal Mines, Safety Rules for Coal Mines Provisions on Prevention , Control of Coal
and Gas Outburst and other relevant laws and regulations.

2 GUSH PREDICTION AND ADVANCE DETECTION

2.1 Prediction and analysis of gas emission in tunneling area

Forecast and analyze the size and composition of gas emission in the mine heading face, and analyze
the factors affecting the size of gas emission in the mine heading face. At the same time, according

DOI 10.1201/9781003308584-33 237

to the Mine Gas Emission Prediction Method, combined with the basic parameters of the mine and
the ventilation capacity of the mine, the corresponding raw coal gas content Wx (unit, m3 /min) is
calculated when the gas emission amount of the excavation face is 3 m3 /min.

2.2 Advanced exploration of geological structure of coal seam and

determination of gas content
In order to provide a basis for gas classification and treatment, we should strengthen regional geolog-
ical advance detection, first using geophysical exploration method to conduct regional exploration,
and then using geological borehole verification to accurately determine the structure type and scope
as well as gas content.
(1) Advanced geophysical prospecting
In order to determine the position and shape of the structure in advance, the detection method
is used to detect the structure in front of the roadway excavation, so as to provide support for the
accurate verification of geological drilling.
(2) Determination of gas content in advance
No less than three gas content measurement boreholes with a diameter of 50∼73 mm and a depth
of 60m are constructed in the heading face. The boreholes are arranged in the coal seam, in which
the final hole of the middle borehole is located in the tunneling area, and the final hole points of
the other boreholes are located within 15m outside the contour lines on both sides of the roadway.
The coal seam is arranged in the middle and the bottom. In the process of borehole construction for
content determination, fixed-point sampling is conducted every 20∼30 m for each borehole (see
Figure 1) to determine the occurrence of gas in front of the working face.

Figure 1. Borehole layout for gas content determination in heading face (Unit: m).

3 METHOD OF GAS CLASSIFICATION CONTROL IN COAL ROADWAY

HEADING FACE

According to the occurrence and emission of gas in different areas of the mine and according to the
principle of gas classification treatment, the mining heading face is treated according to the two
grades of raw coal gas content greater than or equal to 8 m3 /t and less than 8 m3 /t respectively.

3.1 Areas with gas content greater than or equal to 8 m3 /t or with dynamic phenomena
In the area where the raw coal gas content is greater than 8 m3 /t, the dynamic phenomenon area,
and the advance detection borehole has jet hole and other dynamic phenomena, two “four-in-one”

238
comprehensive gas control measures are adopted in the excavation area, and the excavation is
allowed after the drainage reaches the standard.
Regional integrated gas prevention measures:
(1) Regional measures
The head drilling is carried out on the heading face. Considering the regional effect, the horizontal
projection length of the pre-pumping borehole is temporarily 80m, which can also be adjusted
according to the construction situation of the inspection borehole, and the final hole spacing is 3m.
At the same time, the drilling field was arranged in a step style on both sides of the roadway, and
the area within 15m outside the roadway contour line was uniformly controlled. A lead distance
of 20m was reserved for each cycle. The design schematic diagram is shown in Figures 2 and 3.
The space between drilling yards and the number of drilling holes are determined according to the
actual gas emission and roadway conditions.

Figure 2. Schematic layout of step drilling site + head-on pre-pumping (Unit: m).

Figure 3. Schematic layout of step drilling site + head-on pre-pumping section (Unit: m).

(2) Inspection of extraction effect

The test method of extraction effect is to directly measure the residual gas content of coal seam
by sampling. When using fixed-point sampling, the layout of drilling holes in the heading face was
determined. A total of 4 drilling holes were constructed, and the inspection and test points were

239
added appropriately in the area with complex geological structure. The diameter is 50-73mm, and
the length of the test hole is 60-62m. The length of the test hole and the pre-pumping hole can
be adjusted according to the site construction. The content is measured once every 20m in each
hole, and a total of three times of content determination are carried out. The layout of boreholes
for content determination is shown in Figure 4.

Figure 4. Diagram of borehole arrangement for content determination (Unit: m).

When the measured residual gas content of coal seam is less than 8 m3 /t and meets the standard of
extraction, the pre-drainage area measures are effective. If one of the measured residual gas content
in the measured coal seam is greater than 8 m3 /t, the measures are invalid and need to continue to
be extracted. If other obvious dynamic phenomena such as nozzle hole and jacking drill are found
during the inspection, the area with obvious outburst warning and the pre-pumping area within
100m radius around the location are judged to be substandard for pumping, and pre-pumping shall
be continued.
(3) Regional validation
When the residual gas content of coal seam measured after extraction is lower than 8 m3 /t, at
least two consecutive regional verification should be carried out immediately when the working
face enters the area. Regional validation index can choose K1 value, S, validation of the region
measured index is less than the critical value, and no other anomalies were found, the regional
measures are effective, and meet the requirement forecast after extraction from standard (wind
speed is less than 4 m3 /S, the gas concentration is not more than 1%) can be safely mine roadway
excavation, but not face away from the boundary of the drainage shall not be less than 20 m.
A total of 4 verification boreholes were constructed in the region, with a length of 10m and a
diameter of 42mm. The layout of inspection boreholes is shown in Figure 5.
The value of S of all drilling cuttings is measured every 1 m drilled, and the value of K1 of gas
desorption index of drilling cuttings is measured at least once every 2m drilled. When measuring
K1, the sampling depth of each drill is required to be staggered. If the sampling hole depth of
the first drill is 2 m, 4 m, 6 m, 8 m and 10 m, then the sampling hole depth of the second drill is
3 m, 5 m, 7 m, 9 m and 10 m. The third borehole depth refers to the first borehole, and the fourth
borehole depth refers to the second borehole.
Local comprehensive gas control measures:
(1) Local measures
When the regional verification indicators are exceeded or when dynamic phenomena such as test
borehole spraying occur, the construction of the headway discharge borehole discharge is carried
out at the digging face. The actual construction parameters are adjusted according to the different
tunneling tunnel parameters.
If the coal seam is softly stratified, the discharge holes should be placed in the softly stratified
seam as far as possible; When the occurrence of coal seam has changed, the design parameters
should be adjusted in time according to the site situation.

240
Figure 5. Regional Verification (Inspection) Borehole Layout (Unit: m).

(2) Effect of inspection

After construction of all emission boreholes, the emission time should not be less than 4h (the
implementation process should be adjusted in time according to the effect of gas extraction on
site), after meeting the requirements of extraction up to standard, then carry out the emission effect
test, the test index is K1 value, S value, when the test index exceeds the standard, the measures
are invalid, continue to emission until the effect test index drops below the critical value, before
digging, allow digging in to meet the minimum retained Measures and predicted overrun distance
requirements.

3.2 Gas content less than 8 m3 /t area

According to the predicted analysis results of gas gushing from the digging working face, when
the gas content of raw coal W is less than 8m3 /t. The specific gas control plan is as follows:

(1) When the raw coal gas content W < WX, the driving face can be directly driven without gas
extraction measures, and the mine ventilation can solve the problem.
(2) When the raw coal gas content Wx ≤W < 8 m3 /t, and the gas emission in the working face
exceeds 3 m3 /min, local gas drainage should be carried out, that is, the two-side construction
drilling field. In the drilling field, 3–5 boreholes (the number of boreholes is determined
according to the extraction radius and roadway height) should be constructed for coal wall gas
drainage. After extraction, it is predicted that the wind speed is no more than 4 m/s and the gas
concentration in the return air flow is less than 1% before the excavation can be carried out.

Figure 6. Drawing drill hole layout sketch (Unit: m).

241
 The two-sided construction drill yard and the pre-pumping drill hole are arranged in the two-
sided roadway with step type. 3∼5 boreholes are arranged for each drill site, with a lead distance
of 5∼10 meters for each cycle. The drill hole layout is shown in Figure 6, and the end hole evenly
covers the whole coal seam section.

4 CONCLUSION

As part of the mine mining area extends to the deep, gas disasters will become more and more
serious, we must attach great importance to gas control in heading face, when excavating high gas
area and geological structure area, in addition to the gas extraction measures mentioned earlier,
the safety protection work of tunneling should also be strengthened, for example, each heading
face should be equipped with air pressure self-rescue device, and the shaft personnel must wear
isolation self-rescue device and other safety protection equipment and facilities required by Coal
Mine Safety Regulations. In order to ensure efficient implementation of gas control in tunneling
face, the following suggestions are put forward:
(1) To strengthen advanced detection of geological structure of coal seam in tunneling area (geo-
physical exploration goes first, and geological exploration verifies), it is necessary to excavate
the coal seam and excavate the coal seam after the exploration. The abnormal situation in the
geological exploration process should be timely fed back, and the appropriate gas control mode
should be selected according to the detection situation and drilling construction situation.
(2) Strengthen the collection and analysis of the basic data of coal seam occurrence, collect and
analyze the construction parameters of the extraction drilling on the tunneling face, draw the
sketch diagram of coal seam strike and tendency, which can serve as a reference for the later
tunneling of this roadway and the safety of other adjacent roadways.
(3) The detection of drilling effect of drainage and drainage should be strengthened. The mea-
surement points of the testing holes should be arranged at the locations with higher original
gas content, larger hole spacing and shorter pre-pumping time, and be as far away from the
pre-pumping holes as possible or keep equal distance from the nearby pre-pumping holes.

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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Element geochemical characteristics of carbonate rocks of upper

Permian in Guandi Area, Inner Mongolia

Wenjing Zhang, Jingsheng Li & Tao Xue

Exploration and Development Research Institute of Daqing Oilfield Co. Ltd., Daqing, China

Xingbo Ai
Gas Storage Branch of Daqing Oilfield, Daqing, China

Jiying Liu, Jianliang Peng, Jingyan Wang & Yanhua Guan

Exploration and Development Research Institute of Daqing Oilfield Co. Ltd., Daqing, China

ABSTRACT: The Late Permian, Linxi Formation was widely distributed in Linxi area, Inner
Mongolia. The concentrations of trace elements, rare earth elements, and carbon and oxygen isotope
were analyzed from the carbonate rocks of the Linxi Formation collected in the Guandi section.
Influenced by terrigenous clastics and strong reduction environment of the Linxi Formation, the
face of marine has been approved by the %higher content of SiO2, Y, Zr, and Rb and the large range
of variation, the total concentration of REE+Y in the carbonate rocks ranged from 4.8×10-6 to
141.0×10-6, with the mean of 60.8×10-6, compared with MREE and HREE, LREE deficit was
observed after PAAS normalization, with notable positive δEu anomaly (mean 1.91, maximum
5.54), positive δCe anomaly (mean 1.12, maximum 1.23) and higher ratio of Y/Ho (mean 51.7),
the distribution pattern of REE and the diagram of carbon and oxygen of the carbonate rocks of
the Linxi Formation was different from the pattern of normal marine and lacustrine.

1 INTRODUCTION

The content and distribution pattern of rare earth elements in sedimentary rocks are closely related
to the source of sediments and the sedimentary environment, so the geochemical behavior of rare
earth elements has been paid great attention to. Carbonate rocks are an important part of the earth
lithosphere and are widely distributed on the earth surface. The Permian is an important time
node in the history of geological evolution, with frequent crustal movements, regional mountain-
building and folding mountain system formation, multi-plate flattening and joint formation of
ancient continents, and extinction of biological clusters all occurring in this period of earth’s
historical transformation. The research area is located in Xingmeng mountain belt, which is the
late Permian of ancient Asian ocean closure, “Jia-Meng terrain” and the collision of the North China
Plate key area. Its sediment Linxi Formation recorded this important period of changed geological
information. As a product of the formation of this geological historical period, the sedimentary
construction of the Linxi Formation is relatively special. Based on the role of rare earth elements in
determining sedimentary environment and material geochemical tracing, this paper focuses on the
systematic collection and analysis of carbonate rocks produced by the Linxi Formation, obtains a
set of trace elements, and obtains the supporting data of carbonate rocks rare earth elements with
high positive Eu and positive Ce anomalies, which provide a scientific basis for re-understanding
the sedimentary environment and its evolution of the Linxi Formation.

DOI 10.1201/9781003308584-34 243

2 OVERVIEW OF GEOLOGICAL PROFILES

The experimental samples of this study comes from the Linxi Guandi section of a Zhaijiagou region,
which is located in the Guandi section of Linxi county, Chifeng city, Inner Mongolia (Figure 1). The
profile has about 4900 m thickness, according to the characteristics of the rock combination, from
the bottom up can be divided into five members: the first member of Linxi Formation is mainly
gray, gray-green sandstone, powder sandstone and mudstone, powder sandstone interlayer, and the
lower development of more than 10 thin layers of gray or gray rock through Mirror body, thickness
of about 1200 m. The second member of Linxi Formation is mainly gray, gray-black mud shale,
powder sandstone and powder sandstone, fine sandstone interlayer mainly, with thickness of about
1080.5 m. The third member of Linxi Formation is mainly gray, gray thin layer powder sandstone,
mud powder sandstone, the coarse sandstone layer between powder sandstone, and gray-yellow
medium-grain sandstone is mainly with about 1791.5 m thickness. The fourth member of Linxi
Formation is mainly dark gray, gray-black mud shale, powder sandstone, and mud sandstone. And
the fifth member of Linxi Formation is mainly gray, gray-brown mud sandstone, powder sandstone,
mud rock, and fine sandstone, with a depth of about 327.5 m.

Figure 1. Sketch map showing the location of Guandi section and the distribution of Permian strata.

3 GEOCHEMISTRY CHARACTERISTICS OF CARBONATE ROCK ELEMENTS

3.1 Trace elements composition characteristics

Twenty carbonate rock samples were tested for 20 trace elements, including Sr, Rb, Cr, Ba, Ni, V,
Zr, etc. From the measured results, it was found that different types of carbonate rocks and their
trace element content changes significantly. The content of V, Ni, Cr, Ba, Cu, Zn, Rb, Zr, and so on

244
in quartz (including quartz) mud ash is significantly higher than that of sandstone, mud dolomite,
and mud ash.
From the measured mean of different carbonate rock samples, there are some differences between
the mean content of different elements in different layers. Such as V, Cr, Ba, Zn, Rb, Zr, and other
elements in the Linxi Formation of carbonate rock is the largest, especially Zn, Rb, Zr, and other
elements, the mean content of 40.57× 10−6 , 40.26× 10−6 , and 71.62 ×10−6 , much larger than the
10.55 × 10−6 , 3.0× 10−6 , and 5.5×10−6 of the fourth member of Linxi Formation, while the mean
Sr and Cu elements were the largest of the fifth member of Linxi Formation at 1520 ×10−6 and
23.57×10−6 , the minimum values appear in the fourth member of Linxi Formation with values of
834× 10−6 and 4.2×10−6 , respectively. The largest means of Ni and U element content appeared
in the fourth member of Linxi Formation, with values of 21.5× 10−6 and 11.3×10−6 ,respectively
(Table 1).

Table 1. Contents of trace elements of carbonate rocks from the Linxi Formation (unit/10−6 ).

Formation V Ni Cr Sr Ba Cu Zn Rb Zr Th U

First member 153.1 17.47 31.28 1107 147.4 9.1 40.57 40.26 71.62 3.09 1.89
Second member 113 17.05 19.5 1154 54 6.3 31.1 11 31.5 1.4 0.81
Third member 30.5 21.5 18.99 834 90.5 4.2 10.55 3.0 5.5 0.16 11.3
Fourth member 99.33 14.6 20.56 1520 138.7 23.57 25.7 13.53 38.33 1.44 2.48

3.2 The composition characteristics of rare earth elements and their distribution patterns
%
The total amount of rare earth elements ( REE) of 20 carbonate rock samples in Linxi % Forma-
tion ranged from 3.11× 10 to 115.1×10−6 , with an average value of 45.9×10−6 . The
−6
% REE
differences of carbonate rock samples with different grades were large, with the largest REE in
quartz mud and quartz sand ashstone, followed by mud ash rock, with the smallest mean values
of 96.6×10−6 , 38.4×10−6 and 24.1×10−6 , respectively. From the composition of carbonate rock
light rare earth LREE, medium rare earth MREE, and heavy rare earth HREE, the total LREE was
between 2.6× 10−6 to 97.3 × 10−6 , with an average value of 37.83 ×10−6 , and the total amount
of MREE was between 0.35 ×10−6 between 6 and 12.69 × 10−6 , the mean was 5.82×10−6 , and
the total amount of HREE was between 0.16 × 10−6 to 5.12× 10−6 , with an average value of
2.23 ×10−6 . The carbonate rock samples of Linxi Formation in the study area were generally char-
acterized by LREE > MREE > HREE, with M/H values ranging from 1.89 to 4.09, with an average
value of 2.61, and MREE was 2 to 4 times that of HREEE.
From Figure 2, first, fourth, and fifth member of the Linxi Formation have a similar distribution
pattern of rare earth elements, while the third member of the Linxi Formation has a large difference
in the distribution pattern of rare earth elements. The biggest difference is the obvious differentiation
characteristic of the Eu, the mean value of the three carbonate rocks in the Linxi Formation is 4.57,
which is much larger than the 1.5 of the first member of the Linxi Formation, the 1.94 of the second
member of the Linxi Formation, and the 1.85 of the fifthmember of the Linxi Formation, as shown
in the PAAS illustration characterized by strong Eu enrichment of rare earth elements distribution
mode, characterized by the standard curve with Eu content high-tip protrusions, light, heavy rare
earth elements are nearly flat type, while the other three layers of standardized curve for Eu small
positive or negative anomalies, MREE is slightly more concentrated than light rare earth LREE
and heavy rare earth HREE. In addition, it can be seen from Figure 2 that the content of rare earth
elements in the fourth member of the Linxi Formation is significantly smaller than that of the other
layers of the Linxi Formation.

245
Figure 2. REE distribution pattern of carbonate rocks standardization by PAAS from the members of Linxi
Formation.

4 DISCUSSSION

4.1 An indication of the ancient environment of trace elements

From the measured results of carbonate rock trace elements (Table 1), the various elements on the
geological profile of the Linxi Formation in Guandi area have different compositional character-
istics. In general, the marine sedimentary environment is conducive to the enrichment of Sr, while
Ba is richer in land sedimentary rocks. The average Sr content of 20 carbonate rock samples was
1146.4 × 10−6 , and the maximum value was 1639 × 10−6 , representing the main environment of
the Linxi group as sea phase. The content is less than 1000 × 10−6 , of which the minimum value
is 404 × 10−6 , the corresponding rock properties are quartz mud crystal ash rock and quartz sand
ash, and the analysis is carried out by the mixing effect of land-based debris. Ba content is generally
negatively related to Sr content, quartz mud ash rock and sand chip ash rock containing land-based
debris, the overall content of trace elements Ba is higher, generally greater than 110×10−6 , the
maximum value is 306×10−6 . The content changes of Cu, Zn, Rb, Zr, V, Cr, and other trace ele-
ments are closely related to rock properties, especially to the mixing effect of land-based debris.
The Cu content of sand chip ashstones in the fifth member of Linxi Formation reached 59.5×10−6 ,
while the Cu content of general mud ash was less than 10×10−6 The values of English mud crystal
ash rock are 82.9 × 10−6 , 102.9 × 10−6 , 186 × 10−6 , 338 × 10−6 , 61.35 × 10−6 , and 8.02 ×
10−6 , followed by peaks concentrated in quartz-containing mud-crystal ash or quartz-containing
sandstone (Table 1).

4.2 The causes of the abnormality of the rare earth elements δEu and δCe are explained
The carbonate rocks in the Linxi Formation have a more significant Eu anomaly, the maximum
value of δEu is 5.54. Significant positive abnormalities of Eu are more common in acidic and
hydrothermal environments. The geological environment background of hydrothermal production
exists in the late Permian of the study area: “Jia-Meng terrain” collision collage with the North

246
China Plate, the subduction and reduction effect of the ancientAsian ocean, and the resulting magma
intrusion events and volcanic eruption events occur frequently. The strong positive abnormalities
of δEu and δCe in rare earth elements of Linxi carbonate rock may be caused by hydrothermal
action and strong reduction environment.

5 CONCLUSIONS

Based on the results and discussions presented above, the conclusions obtained are presented below:
%
(1) The total amount of rare earth elements REE+Y in Linxi Formation changed greatly, between
4.8 × 10−6 to 141.0 × 10−6 , with an average value of 61.91 × 10−6 , PAAS standardization
shows significant δEu positive anomaly, the positive abnormality of the δEu, the overall pre-
sentation of twin-peak (Eu and Y enrichment) of light rare earth LREE, and heavy rare earth
HREE near the flat rare earth element REE distribution mode.
(2) The carbonate rocks in the Linxi Formation have the characteristics of concentration Sr, loss-
making Ba, SiO2 , Y, Zr, and Rb and other contents are higher overall, the variation is large,
indicating that the land-based debris mixing effect is frequent, Sr/Ba, Th/U, V/Cr, and V/(V-Ni)
ratios indicate that the main body of the Linxi Formation sedimentation period in the study
area is the sea phase, as sea and land exchange strong restoration environment.

ACKNOWLEDGMENTS

This work was financially supported by the Project of National Natural Science Foundation
(41972156) and Project of Chinese Postdoctoral Science Foundation (2017M621201).

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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

The sedimentary environment and geochemical characteristics of

isotopes of carbonate rocks of Middle Permian in north of
Songliao Basin

Shan Cong
Oil Production Plant of Daqing Oilfield Co., Ltd., Daqing, China

ABSTRACT: The Zhesi Formation is a sedimentary combination of dark mudstone, gray sand-
stone, and carbonate in the Middle Permian in Songliao Basin. There are limited drilling data and
few previous investigations on the sedimentary environment of the late Paleozoic period in the
basin. The concentrations of carbon and oxygen isotopes were analyzed from the dolomite lime-
stone of the Zhesi Formation collected in Songliao basin. It is the first time we obtained element
geochemical data from the Middle Permian limestone in the Songliao Basin. The results show that
carbon isotope δ13 CPDB value is generally greater than 0 (mean 1.68‰), and δ18OPDB values
of oxygen isotopes are all less than −15‰ (mean −19.98‰), the diagram of stable isotopes of
carbon and oxygen indicates that there is a positive correlation between them; it clearly states that
dolomitization has obvious effect on the isotopic transformation of limestone.

Keywords: stable isotope, dolomite limestone, carbonate platform or coastal environment, Middle
Permian Zhesi Formation, Songliao Basin

1 INTRODUCTION

Carbonate rocks are widely distributed on the earth surface and an important part of the earth’s
lithosphere. Carbonate rocks have multi-source information of its sedimentary medium, and their
stable isotope and other elemental composition are widely used in sedimentary environment identi-
fication and georeconstruction of rock phase. The “Jia –Meng” plot, which develops and is widely
distributed, is an important hydrocarbon source rock in the region, especially the medium-Permian
Zhesi Formation and the upper Permian Linxi Formation, which are mainly sedimentary debris
rocks. The Zhesi Formation in Daxinganling area is the combination of debris rock and carbonate
rock depositions represented by the carpal foot animal group of the production of Jess, and there
is no objection to the attribution of its time and the marine sedimentary environment, but there is
still a lack of in-depth study on the composition characteristics, distribution law, and sedimentary
environment of the Zhesi Formation in the cover area of Songliao Basin. In this paper, a systematic
collection and analysis of the drilling Zhesi Formation ash rock in Songliao Basin is carried out,
and a number of sedimentary rock carbon and oxygen stable isotope data are obtained for the first
time, which enrich the sedimentary rock formation elements and stable isotope geochemistry data
in the late Paleocene in eastern China and provide an important reference basis for re-understanding
the sedimentary environment and its evolution in Songliao basin.

2 REGIONAL GEOLOGICAL BACKGROUND

“Jia-Meng” plot is a northern seam belt in Mongolia, south of the Xilamulun River - Yanji stitching
belt, to the east of the Zhongxihuote subduction zone surrounded by a group of late ancient land

248 DOI 10.1201/9781003308584-35

parcels, it includes Heilongjiang Province, northern Jilin Province, and eastern Inner Mongolia
and other vast areas at the present. Songliao Basin is an important part of the “Jia-Meng” plot.
The existing research shows that the sea-phase formations of the late Paleo-Angemite period in
Northeast China are distributed in a ring-like manner around the edge of the “Jiayi Meng” plot,
and the more obvious changes in the rock phase zone of the ancient land-based land-surface sea-
one-land-sea-deep sea can be seen from the core of the “Jiayi Meng” parcels, indicating that
the late Paleo-Daisy sea-phase formations in Northeast China belong to the continental margin
sedimentation.
The detailed investigation of petroleum geology shows that the late Paleozoic sea phase formation
is a new layer system of oil and gas exploration in Northeast China, such as the late Paleozoic sea
phase, sea and land debris rock, and carbonate rock sedimentation construction in the Erlian Basin.
The hydrocarbon source rock of acidite rock has good development and has great potential as oil
and gas resources, and the organic matter abundance and thickness of the dark mud rock in the
Sea Phase dark mud rock of the Jess group in Xingunmengsuolun region of Inner Mongolia are
high, and hydrocarbon source rock is formed in the former delta, shallow sea, and semi-deep sea.
“Jia –Meng” plot is rich in wrist-footed, coral, bivalve, moss, and other fossil groups represented
by the formation of a wide area of Northeast Asia rich in regional characteristics of the Jess wrist-
footed animal group of a set of shallow sea phase, carbonate platform debris rock and ash rock,
and biological reef ash deposition construction. From the paleofossil fossils obtained from the
DXX well in Songliao Basin, the discovery of many types of sea phase fossils, such as wrist-
foot, abdominal foot, bivalve, and angled stone, confirms that it is the cause of sea phase. DXX
well output of the Spiriferella as the representative of the multi-species fossil genus Jess wrist
foot animal group, it is widely distributed in Heilongjiang province, Wuchang, Acheng, and other
areas of Tumenling formation, Yuquan ash rock, Jilin Province Yongji, Jiutai and other areas of
Fanjiatun formation, Keshiketeng of Inner Mongolia, Huanggangliang formation of the Keteng
Flag represented the unique biological group of the Northern Region during the Second Permian.
Based on the mineral composition and stable isotope geochemical characteristics of dolomite
ash rock in the Zhesi Formation, it shows that the main body of the Permian period in Songliao
Basin is an open oxidized continental edge sea environment affected by the mixing of land-based
debris.

3 OVERVIEW OF THE WELLBORE PROFILE

The experimental samples of this study came from the core data of DXX1 wellbore and DXX2
wellbore in Songliao Basin, which in turn are dominated by DXX1 well drilling core. The elemental
experimental samples mainly came from the dolomite ash rock and the mud crystal dolomite ash
rock of DXX1 well, while the carbon and oxygen stable isotope samples included the typical gray
rock in the Zhalaite flag area on the western edge of the basin of the Zhesi Formation during the
second Permian. DXX well is located in the western part of Songliao Basin, the second stack of Zhesi
Formation drilled into 537.8 m (1662.2 to 2200.0 m well section), according to the characteristics,
the rock combination can be divided into two sections: one is sand mud section (1807.4 to 2200.0
m well section, 392.6 m thickness), the main rock is sandstone, rough sandstone, sandstone mud
rock, the second section is gray rock section (1662.2 to 1807.4 m well section, thickness 145.2
m), rock is mainly gray-black dolomite ashstone, powder sandstone, sandstone and mud rock,
dolomite graystone produces bivalve fossils Casmogoriophora sp., Parallelodon cf. Tenuistriatus,
P. sp., and brachiopods such as fossils Spiriferella persaranaena, S. sp., Lamnimargus peregrina,
Stenoscisma cf. Zhesiensis, Athyris sp., and so on.
This study of graystone samples was conducted using the under-mirror thin identification, DXX1
well is mainly medium-fine crystal dolomite graystone and fine crystal dolomite graystone, DXX2
well for mud crystal white cloud graystone, Zhalaite flag outcrops for mud crystal gray cloud
rock. DXX1 well Zhesi formation carbonate rock under the mirror identification is mainly black
fine crystal, medium fine crystal white cloud graystone (Figure 1(A,B)), grain structure, grain

249
self-forming degree is poor, the aggregate is spherical or blocky distribution, part of the semi-self-
self-type. The grain is mainly composed of atomized stone (40% to 60%), followed by dolomite
(20% to 30%). In addition, it contains quartz ranging from 5% to 17%, organic clumps ranging from
5% to 10%, etc. DXX2 well is a black mud crystal white cloud gray rock (Figure 1(C)), the sample
mirror is a mud crystal structure, the grain self-forming degree is poor, for it-shaped crystal. The
grain is mainly composed of azithic stone (55%), followed by dolomite (25%), containing a small
amount of organic clumps or stripes (10%). Develop multiple cracks, carbonate filling. Another
sample from the basin edge area of Zhalaite flag area surface outcrops, its rock characteristics are
named gray mud crystal gray cloud rock (Figure 1(D)), as a microcrystalline structure, the grain
self-forming degree is poor, hence, the grain is mainly composed of dolomite (55%) and azimuth
(40%), and contains a small amount of opaque minerals (5%).

Figure 1. Microimages of carbonate rocks from Zhesi Formation in Songliao Basin and its adjacent region.

4 CARBON AND OXYGEN STABLE ISOTOPE CHARACTERISTICS

The carbon isotope composition from various regions and profiles is very different, while the stable
isotope value distribution of the same profile Zhesi Formation is relatively concentrated (Table 4).
The carbon isotope δ13 CPDB measured in the dolomite ash rock of DXX1 Zhesi Formation is between
−2.61‰ and 2.56‰, with an average value of 1.60‰. The carbon isotope δ13 CPDB obtained from
well mud crystal ashstone is 3.31‰, and the value of the carbon isotope δ13 CPDB obtained from
the sediment crystal dolomite ash rock in the basin edge area is 3.84‰. According to the measured
results of 20 ashstone samples in DXX1 Zhesi Formation, the carbon isotope content of DXX1 well
was a negative-to-positive jump from bottom to bottom, with the value of δ13 CPDB from −2.61‰ to

250
1.98‰. The lower sandstone section (1807.4 m to 2200.0 m well section), the local development of
ashstone, detected the carbon isotope of 2 ashstones, the carbon isotope δ13 CPDB value is -2.61‰
and −0.84‰, respectively; the upper ash rock (1662.2 m to 1807.4 m well section) is a continuous
graystone development section, testing 18 ash rock samples, the carbon isotope of δ13 CPDB value
between 0.12‰ and 2.56‰, the mean value is 1.97‰. From the upper graystone development
stage, the overall change of carbon isotope δ13 CPDB value is not large, only at the depth of 1704.03
m there was a short carbon isotope δ13 CPDB value offset greater than 1‰ geological event, first
negative offset, its offset value is 1.39‰.
The oxygen isotope composition of the carbonate rock in the Zhesi Formation was similar to that
of carbon isotopes in the study area, but the oxygen isotope content was relatively small overall,
and the value of the carbonate group was all less than −17‰. The oxygen isotope of the DXX1
well Zhesi Formation, the oxygen isotope of the dolomite ash rock, has a value between −28.76‰
and −17.30‰ and the mean value is −19.67‰, the value of the DXX2 well mud crystal dolomite
ashstone is −26.0‰, and the value of the mud-crystal gray cloud rock in the Zhalaite flag section
is −18.17‰.

5 DISCUSSION

5.1 Diagenesis formation effect

Unlike rare earth elements, carbon and oxygen isotopes in carbonate rocks may change after
deposition. There are many methods for judging the effectiveness of carbon and oxygen isotopes
in carbonate rock, such as the method of the values of the δ18 O and δ13 C. Studies have shown
that the original oxygen isotope composition of carbonate rock is affected by temperature and
salinity of sedimentary water bodies. Carbonate rock can be isotope exchange with atmospheric
fresh water in the process of rock formation, or with hydrothermal fluid during burial, both of
which can significantly reduce the value of δ18 O, so if the sample value of δ18 O is severely negative
or too small, it indicates that its isotope composition is affected by rock formation during burial
(thermal fractionation occurs), and the originality of the isotope data is poor. The oxygen isotopes
in carbonate rock have changed to some extent when the sample is δ18 O less than −5‰, and
the carbon in carbonate rocks when the sample is δ18 O less than −10‰. Oxygen isotopes have
undergone a strong rock formation transformation, so it is generally used as an effective criterion
for the carbon-stabilized isotope data of δ18 O greater than −10‰. Because of the low carbon
concentration of the rock pore fluid and the low amount of carbon exposure of carbonate rock,
the atmospheric fresh water or hydrothermal fluid that causes the rebalancing of carbonate rock
oxygen isotopes is sometimes not sufficient to change the carbon isotope value, so carbon isotopes
compared with oxygen isotopes are not susceptible to rock formation. So in cases where there is
a significant rock formation change in the composition of oxygen isotopes, the original carbon
isotope composition may still be well preserved.
It is a widely used method to determine the effectiveness of carbon oxygen isotope values based
on the correlation between the values of the δ18 O and δ13 C, the correlation between the value of δ18 O
and the value of δ13 C refers to the systemic covariance relationship between the two, either positive
or negatively correlated. When the values of niobium δ13 C and δ18 O in carbonate rock showed a
significant correlation (positive or negative correlation), it was indicated that their isotopes were
modified by rock formation, whereas the isotope composition of carbonate rocks was not altered
by rock formation. In most cases, a positive correlation between the value of niolyotericity and the
value of niolysis δ13 C is used to determine that the sample isotope value has undergone a change
in rock formation, and that continuous rock formation usually results in carbonate rock formation.
Both the values of δ18 O and δ13 C are developing in the direction of decreasing, so after the rock
transformation, the results of the two are mostly positively correlated, while the negative correlation
is rarely occurred because of the causal relationship with the rock changes.

251
 According to the method of the value of δ18 O discrimination, the gray rock of Songliao Basin
and its adjacent Zhesi Formation was affected by rock formation, and all 21 samples of δ18 O were
less than −10‰, with a minimum value of −26.0‰ and an average value of −19.19‰, indicating
that carbon and oxygen isotopes in carbonate rocks in the study area may have been altered by
rock formation. From the study area of the Zhesi Formation graystone isotope δ18 O and δ13 C value
intersection map (Figure 2), there is a positive correlation between the values of the δ18 O and δ13 C,
indicating that the isotope value of the gray rock sample has changed, at the same time, with the
increase in the depth of burial, the gray rock isotope δ13 C value and the value of the δ18 O have a
clear decreasing trend. For example, the samples of DXX1 well, DXX-1 (well depth 1692.5 m)
and DXX1-2 (well depth 1784.74 m), have the value of 2.27‰ and −2.61‰, respectively, and the
value of −17.3‰ and −24.35‰, respectively.

Figure 2. Carbon and oxygen isotope cross-plot of limestone of Zhesi Formation in Songliao Basin and its
adjacent.

5.2 Carbon, oxygen isotopes, and environmental indications

When using carbon and oxygen isotopes to distinguish between sea-phase graystone and freshwater
ash rock after the Cretaceous period, the empirical formula is generally used: Z = 2.048 × (δ13 C+50)
and 0.498 × (δ18 O +50). When the value of Z ≥ 120, it is generally indicated as sea-phase ashstone,
and when the value of Z is less than 120, it is generally considered freshwater ash (lake carbonate).
The value of Z is between 109.84 and 123.38 of the Zhesi Formation ash rock in Songliao Basin,
with an average value of 120.77, reflecting the characteristics of a main body as the sea phase
environment, but it does not exclude the influence of the injection of fresh water media in the land
phase.
Figure 3 shows the carbon and oxygen isotope relationship between the Zhesi Formation ash
rock in Songliao Basin and the typical sea-phase ashstone and the land-phase freshwater ashstone.
The carbon, oxygen isotopes, and typical sea-phase ash rocks of the Changxing formation in
Songliao Basin are comparable to those of the typical sea-phase ash rocks in the Songliao Basin,
and the carbon isotope value of δ13 C is generally greater than 0. The oxygen isotope value of

252
δ18 O all measured ashstone samples in the formation was less than −15‰, while 96.6% of the
oxygen isotopes δ18 O of Changxing formation gray rocks were greater than-15‰. Compared with
the freshwater ashstone in the happiness road formation, the oxygen isotope value of δ18 O is
greater than zero and the value of δ13 C is less than −15‰, while the value of carbon isotope
δ13 C is significantly different, the value of theδ13 C in the Zhesi Formation is generally greater
than zero, and the value of the fresh water ash rock of the happy road group is generally less
than −4‰.

Figure 3. The comparison of carbon and oxygen istopes of limestone between Zhesi Formation and marine
and lacustrine limestone.

6 CONCLUSION

(1) There was a positive correlation between baiyun ash carbon and oxygen isotopes in the Zhesi
formation, which showed that the action of dolomite rock had a modified effect on the com-
position of carbonate rock carbon and oxygen isotopes, especially the oxygen isotope had a
greater impact, with all the values of δ18 O less than −15‰. The carbon isotope δ13 C value
constitutes positive, has the characteristics of converging in the typical dioclimental open
sea phase gray rock, and its Z value is 120.77, reflecting the main body as the sea phase
environment.
(2) The composition of paleofossils, ashstone rare earth elements, trace elements, and stable
isotope geochemical characteristics show that the main body of the Permian period in Songliao
Basin is a carbonate platform or coastal nearshore environment affected by the mixing of
land-based debris.

ACKNOWLEDGMENTS

Project of National Natural Science Foundation (41972156) and project of Chinese Postdoctoral
Science Foundation (2017M621201)

253
REFERENCES

Huang Qinghua, Zhu Zhengyuan, Cheng Honggang, et al (2019) . Geochemical characteristics of the rare
earth and trace elements in Late Permian sedimentary rocks of South Daxing’anling, Petroleum geology
&oildfield development in Daqing, 106 (6):1–11.
Nothdurft L D, Webb G E, Kamber B S (2004). Rare earth element geochemistry of Late Devonian reefal
carbonates, Canning Basin, western Australia: confirmation of seawater Ree proxy in ancient limestones.
Geochimica et Cosmochimica Acta, 68 (2):263–283.
Van K M J, Webb G E, Kamber B S(2003). Geological and trace element evidence for a marine sedimentary
environment of deposition and biogenicity of 3.45 Ga stromatolitic carbonates in the Pilbara Craton, and
support for a reducing Archaean Ocean. Geobiology, 1:91–108.
Wang C W, Sun Y W, Li N, et al(2009). Tectonic implication of Late Paleozoic stratigraphic distribution in
Northeast China and adjacent region. Science in China:Series D:Earth Science, 52 (5):619–626.
Webb G E, Kamber B S(2000). Rare Earth Elements in Holocene Reefal Microbialites: A New Shallow
Seawater Proxy. Geochimica Cosmochimica Acta, 64:1557–1565.

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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

The sedimentary environment and geochemical characteristics of

isotopes of carbonate rocks of upper Permian in Guandi of Linxi
County, Inner Mongolia

Lei Wang
Exploration and Development Research Institute of Daqing Oilfield Co. Ltd., Daqing, China

ABSTRACT: The Late Permian in Guandi is a set of dark mudstone, gray sandstone, and carbon-
ate sedimentary combination in Linxi County, Inner Mongolia. There are limited drilling footage
and coring data and few previous studies on the late Paleozoic strata and sedimentary environment
in the basin. In this paper, the carbonate rocks taken from Linxi County are analyzed systemati-
cally. The results indicate that the main body of Linxi formation sedimentation period in the study
area is sea phase but is significantly affected by the effect of land-source debris – strong reduction
environment, carbon and oxygen stable isotope relationship diagram shows the characteristics of
typical sea phase and land phase fresh water mixing. The combination of rock phase and paleon-
tological fossils is considered a limited trench environment, which is frequently affected by the
mixing effect of land-based debris, reduction-strong reduction, and hydrothermal action during the
Late Permian period of Linxi County, Inner Mongolia.

1 INTRODUCTION

Carbonate rock is an important part of the earth’s lithosphere and is widely distributed on the earth’s
surface. Carbonate rock is mostly endogenous cause, and the endogenous cause of carbonate rock
is used to store the multi-source information of its sedimentary medium, especially its stable
isotopes are widely used in sedimentary environment identification and geographic reconstruction
of rock phase. The “Jia Yimon” plot, which develops and is widely distributed, is an important
hydrocarbon source rock in the region, especially the upper second-stack Linxi group, which is
mainly composed of debris rock. However, the successive discovery of reefs and ashstone lenses
rich in sea-phase fossils, as well as the existence of pale saltwater bivalve and plant fossils, are the
main causes of the differences in the ownership of their sedimentary environment. Early scholars
held the view of land-phase sedimentation, and later some scholars put forward the view that the
Linxi group was deposited by sea and land interchange, and that the Linxi group was still sea
phase sedimentation in the late period, based on the geochemical characteristics of paleofossils
and carbonate rock isotopes. In this paper, the carbonate rock produced by the Linxi group is
systematically collected and analyzed, a set of carbon and oxygen stable isotope data is obtained,
and the stable isotope geochemistry data of the sedimentary rock formations in the late Paleogenous
Generation in eastern China are enriched, which provide an important reference basis for re-
understanding the sedimentary environment and the evolution of the Linxi group.

2 REGIONAL GEOLOGICAL BACKGROUND

Inner Mongolia Linxi official land belongs to the “Jiayi Meng”, which is an important part. “Jia
Yimun” plot is a northern seam belt by Mongolia, south of the West Lamulen River near to Yanji
stitching belt, the east of the Sikhot subduction zone surrounded by a group of late ancient land

DOI 10.1201/9781003308584-36 255

parcels, it includes the present-day Heilongjiang Province, northern Jilin Province, and eastern
Inner Mongolia and other vast areas. The experimental sample of this study comes from the Linxi
official land of a family ditch profile, which is located in the south of Daxing Anling, the eastern
part of Xingmunshan Belt, north of the Silamulen River stitching belt, and is located in the official
town of Linxi County, Chifeng City, Inner Mongolia Autonomous Region (Figure 1). The existing
research shows that the sea phase formations of the late Paleo-Angemitation period in this area
are distributed in a ring-like manner around the edge of the “Jiayi Meng” plot, and the more
obvious changes in the rock phase zone of the land-surface sea-to-land sea, and deep sea of the
ancient land-surface sea can be seen from the core of the “Jiayi Meng” plot, indicating that the late
Paleo-Generation sea phase formations in this area belong to continental margin sedimentation.

Figure 1. Sketch map showing the location of Guandi section and the distribution of Permian strata.

3 CARBON AND OXYGEN STABLE ISOTOPE CHARACTERISTICS

From the stable isotope data in Table 1, the carbonate rock and oxygen isotope content of each
segment of the Linxi formation differs significantly, the carbon isotope content of a section of
the Linxi formation is the largest, and the average value of the δ13 CPDB is between −2.62‰ and
2.01‰, average value is 0.055‰; the three segments of the Linxi formation are the smallest, and
the average value is −9.41‰, with negative or negative bias of several different levels of carbon
isotopes from the bottom up. The maximum positive bias occurs between cloud-containing mud-
crystal ashstone and quartz-mud-crystal ash at the bottom of a section of the Linxi formation, which

256
is a continuous positive bias, with a cumulative offset value of 3.09, and the maximum negative bias
occurs between a section of mud-crystal ash in the Linxi group and three sections of mud-crystal
ash in the Linxi formation, with a cumulative offset value of 11.26. The mean oxygen isotope
content showed that the four segments and one segment of the Linxi group were generally similar,
and the values of the δ18 OPDB were −15.7‰ and -16.2‰, respectively, both of which were greater
than −21.2 of the five segments of the Linxi group The three segments of the −21.56‰ and Linxi
formation are −24.36‰; the oxygen isotopes also have different levels of positive or negative bias,
the maximum positive bias occurs in the Linxi group between a section containing quartz sandbar
ash and mud-crystal dolomite, for continuous positive and negative. The cumulative offset value
is 21.25 and the maximum negative bias occurs between a section of mud-crystal dolomite and
mud-crystal ashstone in the Linxi group.

Table 1. Characteristic parameters of isotopes of carbonate rocks from the Linxi formation (unit: ‰).

Containing
Micrite Quartz quartz Containing
Stable limestone micrite Micrite Micrite quartz Micrite Micritic
isotope Dolomitization limestone limestone Limestone limestone limestone dolomite

δ13 CPDB −1.87 1.22 0.68 0.64 2.01 0.85 −2.62

δ18 OPDB −24.72 −23.87 −18.86 −14.03 −21.9 −14.8 −0.65

Average value from the members of Linxi formation

Stable Micrite Micrite Micrite
isotope limestone limestone limestone 1st 2nd 3rd 4th

δ13 CPDB 0.79 −8.35 −10.47 0.055 −9.41 −5.12 −2.24

δ18 OPDB −25.95 −24.73 −23.98 −16.2 −24.36 −15.7 −21.56

Different types of carbonate rock, its carbon, oxygen isotope content also showed significant
differences. With quartz mud-crystal ashstone, quartz-containing mud-crystal ashstone, the value
of δ13 CPDB is the largest, followed by mud-crystal dolomite, and the value of δ13 CPDB in mud-
crystal ash rock shows a wide range of domain values, ranging from −10.47‰ to 0.85‰. Quartz
mud-crystal ash rock, quartz-containing mud-crystal ash rock between 0.68‰ and 2.01‰, the
average value is 1.18‰, mud-crystal dolomite average value δ13 CPDB is −1.25‰, mud-crystal
ashstone average value δ13 CPDB is −3.03‰. The oxygen isotope is the largest value of δ18 OPDB in
mud-crystal dolomite, with an average value of −5.84 ‰, followed by mud-crystal ashstone, with
an average value of −18.28‰, and quartz mud-crystal ashstone and quartz-containing mud-crystal
ashstone with an average value of −21.92‰.

4 DISCUSSION

4.1 Diagenesis formation effect

The characteristics and correlations of carbon and oxygen-stabilized isotopes of sedimentary rocks
are the main geochemical methods to evaluate the effects of rock formation. In general, carbonate
rock carbon and oxygen isotopes may change after deposition. There are many methods for judging
the effectiveness of carbonate rock carbon and oxygen isotopes, such as the method of the identi-
fication of the value of the carbonate, the method of intersection of carbon and oxygen isotopes,
etc. Studies have shown that the oxygen isotope δ18 OPDB value of carbonate rock can sensitively
indicate the degree of rock erosion, especially the oxygen isotope of calcite is susceptible to ero-
sion. When the sample of δ18 OPDB < −5‰, the oxygen isotopes in carbonate rock have changed to
a certain extent, when the sample of δ18 OPDB < −10‰, carbon and oxygen isotopes in carbonate

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rock have undergone a strong rock-forming transformation, so, generally, δ18 OPDB > −10‰, as
a valid criterion for the identification of carbon-stabilized isotope data. The carbon-oxygen iso-
tope intersection graph method is based on whether the correlation between the carbon-oxygen
isotope values is shown on the intersection map to infer whether the rock isotope composition
has changed, when the carbonate rock isotope composition is significantly correlated (positive or
negative correlation), it is indicated that its isotope is modified by rock formation.
According to the method of the value of δ18 OPDB discrimination, the Linxi formation carbonate
rock in the study area was affected by rock formation, and 16 carbonate rock samples in 20 samples
were δ18 OPDB < −10‰, with a minimum value of −25.95‰ and an average value of −17.76‰,
indicating that carbon and oxygen isotopes in 80% of the samples may have been altered by rock
formation. From the intersection of 20 carbonate rock isotopes in the Linxi formation (Figure 2),
there is no obvious positive correlation or negative correlation between the values of δ13 CPDB and
δ18 OPDB , indicating that the effect of rock formation on the transformation of carbonate rock carbon
and oxygen isotope data in the study area may be limited.

Figure 2. Carbon and oxygen isotope cross-plot of carbonate rocks of Linxi formation.

4.2 Carbon, oxygen isotopes, and environmental indications

Endogenous carbonate rock contains abundant sedimentary media information, and the use of
carbon and oxygen isotopes can be used to effectively trace ancient environment, paleoclimate,
paleogeographic features, and evolution. When using carbon and oxygen isotopes to distinguish
between sea-phase graystone and freshwater ash rock after the Cretaceous period, the empirical
formula generally used is: Z = 2.048× (δ13 CPDB +50) and 0.498 × (δ18 OPDB+ 50). When the
Z-value > 120, it is generally indicated as sea-phase ashstone, and when the Z-value < 120, it is
generally considered to be freshwater ashstone (lake-phase carbonate). The Z value of a carbonate
rock in the Linxi group is between 111.2 and 123.1, with an average of 119.35, reflecting a sea
phase environment affected by land-based debris, while the three, four, and five segments of the

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Linxi group. The Z value of carbonate rock is between 93.9 and 118.2, with the mean of 95.9,
109.0, and 111.97, respectively, suggesting that it may be a water medium environment dominated
by land phase fresh water.
The carbon and oxygen relationship between the carbonate rock of Linxi group and the typical
sea phase ash rock (Zhejiang Changxing formation in the Permian) and the fresh water ash rock
of the land phase (the happiness road formation of the early Triassic) are similar and different
(Figure 3). The carbon-oxygen isotopes of a section of carbonate rock in the Linxi formation are
comparable to typical sea phase ash rocks, but the oxygen isotope value of most of the samples is
significantly lower, and the oxygen isotope value of 69.2% of the samples is δ18 OPDB < −10‰, and
the carbon-oxygen isotope values of 3rd, 4th, and 5th carbonate samples in the Linxi formation were
comparable to freshwater ash rocks, which were significantly different from typical sea phase ash
rocks. The carbon-oxygen isotope values of 3rd, 4th , and 5th carbonate rocks in the Linxi formation
and the carbon-oxygen isotope values of the land-phase freshwater ashstone in the happiness road
formation fell in the same region, and the comparability between the two was strong, and the carbon
isotope values of δ13 CPDB were generally < −2.0‰, and the oxygen isotope values of δ18 OPDB were
mostly <−14‰.

Figure 3. The comparison of carbon and oxygen isotopes of carbonate rocks between Linxi formation and
marine and lacustrine limestone.

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4.3 Linxi formation sedimentary environment
From the paleontological fossils obtained from the Linxi formation profile in Linxi, Inner Mongolia,
the developmental reefs of 4th and 5th member of Linxi formations of forest, sea phase fossils,
such as calcium algae, calcium moss, and sponges, are the cause of the sea phase;
As mentioned above, the composition of carbonate rock and oxygen isotope in the 1st member
of Linxi formation suggests that there are more typical sea phase characteristics, while the isotope
composition of carbonate rock in the 3rd to 5th member of Linxi formation are more inclined to
freshwater ashstone. At the same time, the frequent fluctuations of carbon and oxygen isotopes
suggest that the ancient geographical background of the late Permian Linxi County is a complex and
changeable environment. Combined with the analysis of data, such as micro-observation results,
under the carbonate rock mirror of Linxi formation, paleofossil combination, trace elements, rare
earth elements, and stable isotope geochemical characteristics, the main body of Linxi County in
Inner Mongolia was a kind of reduction frequently affected by the mixing effect of land-based
debris – strong reduction and hydrothermal effect of the limited trough environment.

5 CONCLUSION

(1) A carbonate rock and oxygen isotope composition in the 1st member of Linxi formation
has more typical characteristics of sea phase ash rock, while in the 3rd to 5th member of
Linxi formation, its carbonate rock carbon, oxygen isotope composition is more inclined to
freshwater ash rock, carbon, oxygen isotope frequent fluctuations, suggesting that the ancient
geographical background of the Late Permian Linxi County is a complex and changeable
environment.
(2) The stable isotope geochemical characteristics of carbonate rock show that the main body of
the Late Permian period in Linxi County is a limited trough environment frequently affected
by the mixing effect of land-based debris, strong reduction, and strong hydrothermal action.

ACKNOWLEDGMENTS

Project of National Natural Science Foundation (41972156) and project of Chinese Postdoctoral
Science Foundation (2017M621201)

REFERENCES

He Zhengjun, Liu Shuwen, Ren Jishun, et al (1997). Late Permian-Early Triassic sedimentary evolution and
tectonic setting of the Linxi region, Inner Mongolia. Regional Geology of China, 16 (4): 403–410.
Huang Benhong (1982). Permian-Carboniferous terrestrial deposits and paleogeographic features in the
northern part of Northeast China. Geological Review, 28 (5):395–402.
Huang Qinghua, Zhu Zhengyuan, Cheng Honggang, et al (2019). Geochemical characteristics of the rare
earth and trace elements in Late Permian sedimentary rocks of South Daxing’anling, Petroleum geology
&oildfield development in Daqing, 106 (6):1–11.
The Inner Mongolia Autonomous Region Bureau of Geology and Mineral Resource (1991). Regional geology
of Inner Mongolia Autonomous Region. Beijing: Geological Publishing House: 156–223.
Zhai Daxing, Zhang Yongsheng, Tian Shugang, et al (2015). The Late Permain sedimentary environments of
Linxi Formation in Xingmeng area: constraints from carbon and oxygen isotopes and trace elements. Acta
Geoscientica Sinica, 36 (3):333–343.
Zhang Yongsheng, Tian Shugang, Li zishun, et al (2013). Discovery of marine fossils in the upper part of the
Permian Linxi Formation in Lopingian, Xingmeng area, China. Chinese Science Bulletin, 58 (33):3429–
3439.

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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Development and property study of online-prepared low damage

emulsion associating polymer fracturing fluid system

Zhengdong Xu, Chunhui Yu , Changjun Long, Fan Yang∗ , Guohua Liu, Yibo Tian,
Yi Lu & Hongyan Zuo
Engineering Technology Research Institute of Huabei Oilfield Company, Renqiu, Hebei, China
China University of Petroleum (Beijing), Changping, Beijing, China
Changqing Oil Field Branch of China National Petroleum Corporation, Xian, Shanxi, China

ABSTRACT: The commonly used guanidine gum fracturing fluid has a cumbersome fluid prepa-
ration process, high residue content, severe formation damage; the high cost of VES fracturing
fluid makes it not easy to be popularized on a large scale. To solve the above problems, the emulsion
associating fracturing fluid, which can be diluted online, is prepared by emulsion polymer thickener
LDF-1, anti-swelling agent LDF-2 and cleanup additive LDF-6. The formula of fracturing fluid is
optimized, and the all-around performance of fracturing fluid is evaluated. The results show that the
fracturing fluid has suitable temperature and shear resistance. Under the experimental conditions
of 80◦ and 170 s−1 , the viscosity is still higher than 70 mPa/s after shearing for 60 min. In addition,
this fracturing fluid also has good sand carrying and gel-breaking ability. The gel-breaking fluid has
the characteristics of low damage to the natural core permeability of a low-permeability reservoir,
which can meet the requirements of fracturing fluid performance in fracturing fluid construction.

1 INTRODUCTION

In developing oil and gas fields, fracturing technology can increase reservoir permeability and
enhance oil recovery. Fracturing fluid plays an irreplaceable role in fracturing fluid operation.
Water-based fracturing fluid systems account for more than 60% of field applications. At present,
such systems can be divided into three categories: vegetable gum fracturing fluid system, polymer
fracturing fluid system, and viscoelastic surfactant fracturing fluid system (VES) (Luo 2015).
The vegetable gum fracturing fluid needs to be prepared in advance (Tang 2015); Expired fluid
may deteriorate and cause waste. The residue after gel-breaking affects the conductivity, and
the alkaline cross-linking environment damages the alkali sensitive formation and compromises
the poor fracturing operation effect. VES fracturing fluid has a high cost (Zhang 2008), poor
temperature resistance and is difficult to be used on a large scale.
Emulsion associating polymer fracturing fluid (shortened as emulsion associated fracturing fluid)
is a research hotspot. The fracturing fluid can be mixed with sand online, with good temperature
resistance, salt tolerance, shear resistance, less water-insoluble matter, and almost no residue
(Cao 2014; Gong 2015; Jiang 2015; Lin 2012; Liu 2013; Ye 2013; Wang 2013) after breaking.
In this paper, the fracturing fluid is prepared using instant and low damage emulsion associating
fracturing fluid emulsion thickener LDF-1, small cationic anti-swelling agent LDF-2 and non-ionic
surfactant LDF-6. The temperature and shear resistance, reflow ability and core damage ability of
the fracturing fluid are studied.

∗ Corresponding Author: [email protected]

DOI 10.1201/9781003308584-37 261

2 EXPERIMENT

2.1 Materials and instruments

The materials are as follows: emulsion thickener LDF-1, a milky white liquid with 30% polymer
content, namely 1.0∼1.1 g/cm3 , with a dissolution time ≤ 150 s; self-made in the laboratory;
anti-swelling agent LDF-2 and cleanup additive LDF-6 from Dongying Xingjia New Material Co.,
Ltd; ammonium persulfate from Shanghai Aladdin Biochemical Technology Co., Ltd; ceramsite
proppant(30 / 50 mesh) from Cabo ceramsite Co., Ltd; tap water with salinity < 500 mg / L;
kerosene; sodium bentonite, and Xincheng mineral products.
The instruments are as follows: Jj-1 electric mixer from Changzhou Jintan Liangyou Instrument
Co., Ltd; pinter capillary viscometer from Shanghai Baoshan Glass Instrument Factory; Znn-d6b
electronic six-speed rotational viscometer from Shandong Meike Instrument Co., Ltd; HAAKE
Mars III high end modular rotary rheometer from HAAKE company, Germany; Sigma 3k15 high-
speed centrifuge from Sigma, Germany; electric heating constant temperature blast drying oven
from Beijing Luxi Technology Co., Ltd; contact angle and interfacial tension meter from USA
KINO Industry Co., Ltd; comprehensive test platform for temporary plugging and acidizing of
high temperature and complex high-pressure reservoir from Jiangsu Lianyou scientific research
instrument Co., Ltd.

2.2 Experimental method

2.2.1 Determination of dissolution time
A solution of LDF-10 mass fraction of 0.8% was prepared. The electric mixer was stirred at a
constant speed of 500 r/min speed. The viscosity of the solution was tested at six s∼180 s at room
temperature and a shear rate of 170 s−1 . The time of viscosity stability was the dissolution time of
the emulsion thickener.

2.2.2 Evaluation of temperature and shear resistance

The fracturing fluid system was prepared according to the formula. The sample cup of the rheometer
with fracturing fluid was filled. Then, the sample was heated to the reservoir temperature at the
heating rate of 3.0◦ /min. When the temperature reached 30◦ , we began the test. At the same time,
the rotor was rotated at the shear rate of 170 s−1 , and the fracturing fluid was sheared at the rate
of 170 s−1 for 60 min after the temperature reached the reservoir temperature. The viscosity of the
fracturing fluid in the process was tested.

2.2.3 Static suspended sand capacity

The fracturing fluid and ceramsite were added into the measuring cylinder at room temperature.
Then the settlement and settling velocity of 30% sand ratio and single sand were measured after 2
h in the sample.

2.2.4 Gel-breaking capacity test

After adding the gel breaker into the fracturing fluid, it was put into the oven and heated at the
reservoir temperature of 80◦ to break the gel at the constant temperature. The viscosity of the
fracturing fluid at different time points was measured with a capillary viscometer. When the figure
is less than 5 mPa/s, it can be considered complete gel-breaking. The gel breaker (100 ml) was
poured into the centrifuge tube, centrifuging at 3000 rpm for 30 min. Then the supernatant was
slowly poured out. The centrifuge tube was put into the oven and dried at 105◦ C to constant weight
calculate the residue content.

2.2.5 Anti-swelling ability and interfacial tension test of gel breaker

2.2.5.1 Anti-swelling ability test
The sodium bentonite (0.5g) was added into three 10ml centrifuge tubes. 10ml water, kerosene,
and gel breaker were added to these three centrifuge tubes to mix the sodium bentonite thoroughly.

262
After standing at room temperature for 2 h, the centrifuge tube was centrifuged at 1500 rpm for
15min to obtain the volume of sodium bentonite and calculate the anti-swelling rate.

2.2.5.2 Surface tension and interfacial tension test

The surface tension of the gel breaker and the interfacial tension with kerosene were measured by
contact angle and interfacial tension meter.

2.2.6 Core damage evaluation method

Three cores with similar low permeability reservoirs were taken. The core permeability K0 was
measured with refined kerosene; then, the gel breaker was injected into the core reversely. Finally,
the permeability K1 after core damage was tested with kerosene, and the core permeability damage
rate was calculated according to (K0 -K1 )/K0 × 100%.

3 RESULTS AND DISCUSSION

3.1 Optimization of fracturing fluid formula

3.1.1 Dosage of emulsion thickener
The change of viscosity of 0.8% LDF-1 solution with stirring time is shown in Table 1. With the
extension of the stirring time, the solution viscosity increases and there is a climbing trend, which
is gradually stable. LDF-1’s solubility is good, and can be completely dissolved without fish eye
in 120s. Therefore, it can be directly pumped into the mixer truck cage on site, and the emulsion
can be diluted online, and then pumped underground.

Table 1. Change of the viscosity of LDF-1 solution with 0.8% mass concentration with time.

Mixing time/s 10 30 60 90 120 180

Viscosity/(mPa·s) 24 45 56 74 101 102

The change of the viscosity of LDF-1 solution with concentration is shown in Table 2. A small
amount of hydrophobic monomer was introduced into the polymer. In the aqueous solution, the
hydrophobic groups on the polymer molecular chain clustered due to hydrophobic action, resulting
in intramolecular and intermolecular association of the macromolecular chain, which increased the
hydrodynamic volume and thus had good viscosity enhancement.

Table 2. Variation of the viscosity of LDF-1 solution with concentration.

Concentration /% 0.2 0.4 0.6 0.8 1.0

Viscosity /(mPa·s) 27 58 74 101 126

3.1.2 Dosage of anti-swelling agent

The reservoir generally contains clay with strong water sensitivity. Therefore, a clay stabilizer must
be added to the water-based fracturing fluid to prevent the hydration expansion and dispersion
transfer of clay minerals in the reservoir from damaging the reservoir. LDF-6 is a small cationic
anti-swelling agent with a good long-term anti-swelling effect. It has good compatibility with the
LDF-1 emulsifier and almost does not affect the viscosity of the solution. The anti-swelling rate
of fracturing fluid gel breaker (0.8% LDF-1 + 0% ∼ 0.3% LDF-2 + 0.05% ammonium persulfate)
added with anti-swelling agent was measured. It can be seen from the data in Table 3 that because
the thickener polymer introduces cationic hydrophobic monomer, the anti-swelling rate has reached
61.2% when the LDF-2 concentration is 0%, and the anti-swelling rate increases with the increase
of LDF-2 concentration. When the LDF-2 concentration is greater than 0.2%, the anti-swelling

263
rate of gel breaker reaches more than 85%, the anti-swelling effect is good, the viscosity decreases
by 7.3%, which does not affect the use of fracturing fluid.

Table 3. Effect of LDF-6 addition on anti-swelling and viscosity of emulsion associated fracturing fluid.

LDF-2 mass fraction /% 0 0.1 0.2 0.3

Anti-swelling rate /% 61.2% 72.5% 86.3% 91.6%
Viscosity reduction rate /% 0 4.5% 7.3% 11.4%

3.1.3 Dosage of cleanup additive

After the fracturing fluid is broken, it needs to be quickly returned to the ground in time. The cleanup
additive is used to reduce the fracturing fluid’s surface tension and interfacial tension and promote
its return. LDF-6 is a non-ionic surfactant with good compatibility with LDF-1 and LDF-2, which
does not affect fracturing fluid’s viscosity and anti-swelling effect. Measure the anti-swelling rate
of fracturing fluid gel breaker (0.8% LDF-1 + 0.2% LDF-2 + 0.1% ∼ 0.3% LDF-6 + 0.05%
ammonium persulfate) added with cleanup additive. It can be seen from the data in Table 4 that the
surface tension and interfacial tension decrease with the increase of LDF-6 concentration. When
the dosage of LDF-6 is greater than 0.2%, the surface tension and interfacial tension gradually tend
to be stable.
Table 4. Effect of LDF-2 addition on surface tension and interfacial tension of emulsion associated fracturing
fluid.
LDF-6 mass fraction/% Surface tension/mN/m Interfacial tension /mN/m

0.1 35.2 4.54

0.2 26.5 1.89
0.3 25.6 1.81

In conclusion, the formula of low damage online fracturing fluid system is 0.8%LDF-1 + 0.2%
LDF-2 + 0.2% LDF-6. The fracturing fluids in subsequent experiments are all based on this
formula.

3.2 Performance evaluation of fracturing fluid

3.2.1 Temperature and shear resistance
During and after the fracturing fluid enters the formation, the shear action and temperature rise
lead to the fracture of the polymer molecular chain and reduce the viscosity of the fracturing fluid.
The viscosity is an essential factor affecting whether the fracturing fluid can break the formation,
fracture forming ability and carrying proppant. The temperature and shear resistance of the emulsion
associating fracturing fluid system under the condition of 80◦ C was evaluated by rheometer. The
viscosity-temperature curve of the fracturing fluid is shown in Figure 1. The viscosity of the
fracturing fluid decreased with the increase of temperature and shear, but the viscosity decreased
almost no longer after 75 mPa s. Experiments show that the fracturing fluid is less affected by a
high shear rate and has strong temperature resistance. It can meet the requirements of long-time
fracturing fluid construction in the temperature range.

3.2.2 Static suspended sand test

The fracturing fluid has good sand carrying performance and can evenly bring all proppants into
the formation fractures. Due to poor sand carrying performance, some proppant will settle in the
wellbore, resulting in sand sticking and sand plugging, resulting in fracturing failure. The static
suspended sand test showed that after 30% sand settled for 2 hours, the fracturing fluid was still
full of ceramsite, and a small amount of sand settled to the bottom of the beaker. In the single sand

264
Figure 1. Temperature resistance and shear resistance curve of emulsion associated fracturing fluid.

settling experiment, the sand particles settled 2.3 cm after 2 h. The natural settling rate was 0.019
cm/min, indicating that the fracturing fluid has good sand carrying performance.

3.2.3 Gel-breaking performance test

The viscosity and residue content of fracturing fluid are the standards to measure the gel-breaking
performance. The gel-breaking results of fracturing fluid systems under different gel-breaking agent
dosages and gel-breaking time are shown in Table 5. The experimental results show that after 150
min of gel-breaking, the viscosity is lower than 5 mPa·s. because the strong oxidation of ammonium
persulfate breaks the main chain segment of a hydrophobic polymer, the association structure
is destroyed and the purpose of gel-breaking is achieved. That is, low gel breaker dosage can
completely break the fracturing fluid system in a particular time. Through the residue experiment,
the residue of the gel breaker is too low to be measured, so it can be considered that the fracturing
fluid has no residue. The experiment shows that the fracturing fluid has no substantial damage to
the formation and minor damage to the supporting filling layer.

Table 5. Gel-breaking agent under different breaker concentrations.

Gel breaking liquid viscosity/mPa·s

Breaker
concentration/% 60 min 90 min 120 min 150 min

0.02 41.3 21.9 9.7 4.4

0.03 27.8 11.6 4.1 2.1
0.04 15.7 3.4 1.8 1.3

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3.2.4 Damage to core
The damage degree of fracturing fluid to the reservoir determines the fracturing construction effect.
Many foreign fluids entering the formation will inevitably damage the reservoir core, reduce the
oil and gas permeability, and then affect the post fracturing production. The damage of emul-
sion Association fracturing fluid to core matrix permeability is shown in Table 6. The damage of
emulsion associating fracturing fluid to core permeability is only 12.3%∼14.9%, lower than the
recommended value of 30%, while the ordinary guanidine gum fracturing fluid can damage more
than 30% core. The emulsion associating fracturing fluid has complete gel-breaking, no residue,
easy reflow, high anti-swelling rate, and low damage to core permeability.

Table 6. Damage performance of fracturing fluid system to core.

Initial Permeability Core

Core permeability after damage damage
number Length/cm Diameter/cm Porosity/% K0 /mD K1 /mD rate/%

4-5/17-2 7.1 2.5 14.1 0.167 0.142 14.9

4-5/17-5 7.3 2.5 14.3 0.183 0.159 13.1
4-5/17-9 6.9 2.5 14.5 0.154 0.135 12.3

3.3 Field application

A well in the Bayan Hetao area of Huabei Oilfield has a well depth of 2480 m and a target layer
temperature of 74.6◦ C. During construction, the fracturing fluid (0.8% LDF-1 + 0.2% LDF-2
+ 0.3% LDF-6) was prepared by continuous mixing process. The on-site dissolution time was
1 ∼ 2 min. The construction curve is shown in Figure 2. The fracturing fluid layer was divided into

Figure 2. Online construction curve of emulsion associating fracturing fluid.

266
two sections, and 292 m3 of fracturing fluid was pumped into the first section. The construction
displacement was 4.9–5.4 m3 / min, with an average sand ratio of 24.6% and a sand dosage of 40 m3 .
The sand addition rate was 100%, and 271.6 m fracturing fluid was pumped into the second stage3 ,
The construction displacement was 4.9–5.6 m3 / min, the average sand ratio is 23.2%, and the sand
dosage was 40 m3 . The sand addition rate was 100%. The backflow after fracturing was smooth,
and the backflow rate reached 85%. The construction process was completed, indicating that the
performance of the fracturing fluid meets the construction mode of continuous mixing fracturing
fluid, has a low damage rate to the reservoir.

4 CONCLUSION

(1) A set of low damage and clean online dilution fracturing fluid systems has been developed
through indoor optimization and evaluation experiments of emulsion thickener, cleanup addi-
tive, and anti-swelling agent. The formula is: 0.8%LDF-1 emulsion thickener, 0.2%LDF-2
anti-swelling agent, plus 0.2%LDF-6 drainage agent.
(2) Low damage emulsion associating fracturing fluid has good resistance to temperature and shear.
It has no residue after gel-breaking and causes no harm to formation. Compared with guanidine
gum and VES fracturing fluid system, it has great advantages in application convenience and
cost. It is a good substitute product of guanidine gum and VES fracturing fluid system and
likely to make good use of conventional fracturing and large-scale unconventional horizontal
wells.

REFERENCES

X.L. Cao. (2014) Synthesis and performance evaluation of thermo-salt resistant association polymers. J.
Petroleum Geology and Recovery. 21(2), 10–14.
Q.H. Jiang. (2015) Development and evaluation of supramolecular fracturing fluid. J. Drilling Fluid &
Completion Fluid. 32(5), 68–71.
X.J. Lai. (2015) Research progress of fracturing fluids in low permeability reservoirs. J. Fine Petrochemicals.
32(4), 77–80.
Q. Liu. (2013) Synthesis and solution properties of acrylamide-4 vinylbenzenesulfonate n-butyl styrene
tercopolymer panbs. J. Fine Chemicals. 30(6), 674–679.
Q.M. Luo. (2015). Study on HPAM/Zirconium-organic cross-linking system for fracturing fluid. J. Journal of
Shaanxi University of Science & Technology. 33 (1), 117–121.
R.J. Tang. (2015). Application of super fine and low damage weighting fracture fluid in Yuanba.J. Oil Drilling
& Production Technology. 37 (2), 82–84.
B. Lin. (2012). Research and application of high temperature clear fracturing fluid system. J. Drilling Fluid &
Completion Fluid. 29(5), 70–73.
J.L. Wang. (2013) Progresses in research of emulsion polymerization for oilfield exploitation. J. Petrochemical
Technology. 42(2), 243–245.
D.S. Ye. (2013) Application practice of continuous mixing fracturing fluid and continuous mixing process. J.
Natural Gas Industry. 33(10), 47–51.
J. Zhang. (2008). Development of anionic viscoelastic surfactant fracturing fluid causing very low formation
damage. J. Oilfield Chemistry. 25(2), 122–125.

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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Analysis of ore quality characteristics in the south section of a rare

earth mine in Southeast Guangxi

ZhiYou Zou
School of Geosciences, Yangtze University, Wuhan, China

ZhongYi Tao
Guilin University of Technology, Guilin, China

Sheng Zhang
Remote Sensing Center of Guangxi, Nanning, China

Jinfu Lin
Guilin University of Technology, Guilin, China

ShunShe Luo
School of Geosciences, Yangtze University, Wuhan, China

ABSTRACT: Southeast Guangxi is located in the northwest margin of the Yunkai Block at the
junction of the South China plate and the Cathaysia plate. The tectonic framework spreads in a north-
southeast west-trending belt. It belongs to the middle research area of the Nanling metallogenic belt,
which abounds with W Sn Nb Ta REE and other rare metal deposits closely related to granitoids,
and has always been a key area of geologists’research rare earth ore deposit geology research started
early, in the study area in recent years, experts and scholars of rare earth ore mineral resources
survey and exploration to do a lot of research work, especially on the granite mineralization and
tectonic evolution study has obtained certain understanding. Research shows that the degree of rock
weathering granite is higher, the greater the thickness of the weathering crust, seam quality is better,
leaching rate also increased accordingly. The full weathering layer is the main ore-bearing horizon
of rare earth deposits. The content of rare earth oxides is not high at the top of the full weathering
layer. The ratio of heavy rare earth elements is mainly enriched in the middle and lower ore bodies
of the full weathering layer. Therefore, the analysis of rare earth ore quality and characteristics in
this area can provide a theoretical basis for the exploration and resource potential evaluation of rare
earth ore in this area.

1 INTRODUCTION

Southeastern Guangxi is located in the northwest edge of Yunkai block at the junction of South
China plate and Cathaysian plate, and the structural framework is distributed in a NE-SW belt Liang
(Liang 2014). The main granite of Huashan granite complex rock body is located in the middle of
qinhang metallogenic belt, which is the intersection of the middle of Nanling metallogenic belt and
Dayaoshan metallogenic belt. The main deposit types in Nanling metallogenic belt are tungsten
tin polymetallic deposit, copper lead zinc deposit, uranium deposit, rare earth deposit, and granite
deposit related to granite magmatic evolution. The main deposit types of Dayaoshan metallogenic
belt are gold silver deposits and nonferrous metal deposits related to granitic volcanic subvolcanic
rocks. The exogenous deposits in the study area include ion adsorption rare earth deposits, cassi-
terite, gold, monazite sand deposits, etc. Rare earth, rare metal and rare resources are collectively

268 DOI 10.1201/9781003308584-38

referred to as “three rare resources”. From 2011 to 2015, the Chinese Academy of Geological Sci-
ences organized 33 units across the country to carry out the strategic investigation of China’s three
rare metal resources, achieved fruitful results, and made theoretical and methodological innovation
in ion adsorption rare earth metallogenic law and Exploration Technology (Wang et al. 2016). The
metallogenic law of rare earth in weathering crust is summarized, and the metallogenic model of
ion adsorption rare earth deposit with granite, volcanic rock, and metamorphic rock as surrounding
rock is established.
Guangxi 274 geological team carried out rare earth ore exploration in the South ore section of
Huashan mining area from 2014 to 2015 (Yingxin 2019), and accumulated rich geological data such
as geology, geophysical exploration, geochemical exploration and remote sensing, which provided
a useful reference for studying the geological characteristics and ore quality of rare earth ore in
this area. Strengthening the analysis of ore quality characteristics in this area has certain guiding
significance for the analysis of deposit characteristics.

2 GEOLOGICAL BACKGROUND

The study area is located in the southeast of Huashan rock mass in Huashan Township Honghua town
Liangan Yao Township, Zhongshan County, Hezhou City. Its east side is connected with Guposhan
granite body. The geographical coordinates are 110◦ 52 ∼110◦ 14 E and 24◦ 29 ∼24◦ 47 N, with an
area of about 1200 km2 . Zhongshan County is connected with the outside world by railways,
expressways and national roads. There are cement roads from the study area to villages and towns
and the county, so the transportation is relatively convenient.
In terms of geotectonic position, the study area is located on the EW trendingYishan QUANNAN
deep fault zone in the northwest wall at the intersection of the north edge of Dayaoshan uplift and
Nanling granite structural belt in the middle of Qinzhou Hangzhou structural belt adjacent to the
Yangtze plate in the north of the Cathaysian plate. The NE trending Hezhou Chenzhou Chaling
deep fault in the East controls the distribution of Jurassic basalt in Xintian Ningyuan Daoxian,
southern Hunan (Wang 2018). Huashan Gupo mountain is distributed in an east-west dumbbell
shape. The exposed strata in the area mainly include Sinian system, Cambrian system, Devonian
system, Carboniferous system, Permian system, Jurassic system, tertiary system, and quaternary
system. Among them, Sinian and Cambrian, Cambrian and Devonian are in unconformity contact,
Devonian and Carboniferous are in conformity contact, Carboniferous and Permian are in parallel
unconformity contact, Permian and Jurassic, Jurassic and tertiary are in unconformity contact.

3 WEATHERING CRUST AND REE MINERALIZATION CHARACTERISTICS

3.1 Plane distribution characteristics of weathered crust

Huashan Guposhan rare earth deposit is a rare earth deposit of granite weathering crust ion adsorp-
tion type. Rare earth elements mainly exist in granite weathering crust in the form of ion adsorption.
Affected by factors such as uneven weathering and landform, the development degree of weathering
crust in the area is different. In general, the study area is high around and low in the middle. The
terrain from Honghua town to Tanggong village in the south of the study area is relatively flat,
with high terrain on both sides. The terrain from taojia village to Libei Cao in the north of the
study area is relatively flat, with high terrain on both sides. The study area generally belongs to the
landform of middle and low mountains and hills, with gentle topographic relief, altitude elevation
of 220∼800 m, vertical and horizontal development of gullies, relative cutting depth of less than
100 m, development of weathered crust, thickness of weathered crust is generally1.00∼45.00 m,
with an average of more than 11 m. The weathering crust is mainly developed on gentle mountain
tops and hillsides, and the vegetation is well developed. In some low hills where the vegetation is
not developed, many cutting ditches are common to form new gullies, and the weathering crust

269
is damaged. In addition, the weathering crust is completely denuded on some mountaintops and
hillsides, and rare granite weathering balls are developed in the exposed bedrock. The weathering
balls are mainly distributed in the area of Duoduo cave in Tanggong village.

3.2 Vertical variation and mineralization characteristics of weathered crust

Due to the uneven intensity of weathering and the influence of landform and other factors, it shows
that there are differences in the structure and material composition of weathered rocks in the vertical
section. Now, through comprehensive analysis, the weathering crust section in the study area is
divided into topsoil layer, completely weathered layer, semi-weathered layer, and foundation rock
from top to bottom. It is ideal section is shown in Figures 1 and 2.
Topsoil layer: generally about 0.5–4.0 m thick, partially missing or with very thin humus, humus
is grayish black and grayish green, loose structure, mostly with plant roots, composed of loam,
sandy soil and humus, with a thickness of 0.1–0.3 m; Below the humus soil is a red clay layer
with few plant roots. The color is obviously different from the upper layer, and the adhesion is
enhanced. The main components are clay and quartz. The clay content is generally 40%–60%,
partially mixed with fragments of bedrock, about 0.2–0.3m thick. The change of topsoil in the
study area is generally that the top of the mountain is thinner, ranging from 0.3–1.5m thick, and
the ridge and foot of the mountain are thicker, with an average of about 2 m.

Figure 1. Schematic diagram of weathering crust stratification.

Completely weathered layer: 1.0–40.00 m thick, yellowish brown, earthy yellow, a little grayish
white, relatively uniform texture, loose structure, disintegration of rock forming minerals, some
feldspar has been replaced by kaolin, produced in earthy shape, and feels slippery by hand; Quartz
particles are small, mostly between 0.05 and 1 mm, grayish white, Biotite mostly precipitates iron,
and some have been altered into Muscovite flakes. Micro fractures are very developed, and the
fractures are often filled with clay minerals, and the clay content is generally between 30% and
40%. This layer has the characteristics of large thickness at the top and hillside and thin at the foot
of the mountain.
Semi weathered layer: the thickness is several meters to tens of meters, the clay content is
reduced by about 15%–20%, and the porosity of the rock is greatly reduced. Its color, structure and
structural characteristics are not very different from the original rock. It is not easy to form powder
by hand. KAOLINIZATION is also developed locally, with cracks ranging from 1 mm wide and
mostly filled with iron. This layer is in gradual transition with the fully weathered layer. Its top may

270
be enriched with rare earth elements to form an ore body. Dry drilling in this layer is very difficult.
Generally, the footage in 1 h is less than 10 cm.
966 semi-weathered layer samples were taken in the study area, of which the analysis results
of most samples were between 0.01% and 0.04%, and only 68 samples reached the cut-off grade,
accounting for 7.04%.
The above layers have no sharp boundary and show a gradual transition relationship.

Figure 2. Geological section of the study area.

1 – quaternary eluvium; 2 – quaternary alluvium and diluvium; 3 – fine grained granite weathering crust area
in supplementary stage; 4 – weakly weathered granite; 5 – semi weathered granite; 6 – rare earth deposit; 7 –
completely weathered granite; 8 – Drilling Engineering number and orifice elevation ray white light flesh red,
porphyritic∼fine-grained biotite granite, medium grain porphyritic granite structure or medium fine-grained
granite structure, massive structure, mainly quartz and feldspar, containing a small amount of biotite.

3.3 REE enrichment characteristics of granite weathering crust

According to the sample analysis, the contents of total rare earth phase (TR2 O3 ) and leaching
phase (SR2 O3 ) were measured, respectively (Table1). It can be seen from the table that the rare
earth content of the original ore-forming rock is high, which is higher than or close to the world
average rare earth content of acid granite of 0.0292% (Vinogradov), and the study area is in the
transition phase area with high rare earth content of the original rock. It is very favorable for
rare earth mineralization in the study area. The main enrichment characteristics of rare earth ele-
ments in granite are: the abundance of REE in weathered crust is closely related to pH value,
organic matter content and mineral composition. Under the condition of weak acid to near neutral
medium, it is conducive to the adsorption of rare earth elements by REE bearing minerals. The
content of organic matter in the weathering crust is positively correlated with the content of REE
bearing minerals, and the organic matter in the weathering crust contributes to the formation of
REE bearing minerals. The main rare earth bearing minerals in the weathering crust are kaolinite
and halloysite. The content of these two minerals directly affects the enrichment of REE in the
weathering crust. The mineralogical genetic paths of different rare earth rich weathering crusts are
different. The evolution sequence of granite weathering crust in this area is microcline, biotite,
plagioclase→kaolinite, orthoclase→Muscovite→kaolinite, kaolinite→halloysite. The main geo-
logical conditions restricting the development of rare earth rich weathering crust are parent rock
conditions, climatic conditions, neotectonic conditions. and geomorphic conditions (Zhao 2009).

271
Table 1. Rare earth oxide content of magmatic rock in the mining area (unit:%).

Sample No Total phase rare earth content Leaching phase rare earth Leaching rate

YK7070 0.030 0.0023 7.67

YK1131 0.067 0.0077 11.49
YK21149 0.086 0.0020 2.33
YK41143 0.082 0.0087 10.61
YK62152 0.015 0.00009 0.60
YK68088 0.025 0.00028 1.12
Average 0.051 0.0035 5.64

Figure 3. REE composition model of Huashan granite.

Figure 4. REE composition model curve of rock forming minerals in Huashan granite.

From the REE composition pattern curves (Figures 3 and 4), it can be seen that the main
enrichment characteristics of REE in granite in this area are as follows:

① The REE composition model curves of each rock and its main rock forming minerals are right
inclined curves, which are the matching type of relative enrichment of light REE.

272
② In the REE distribution of each rock, the right dip anomaly of light REE group is obvious, and
the negative anomaly of EU element is relatively obvious; Except for the rocks of transition
facies (the main lithofacies in the study area), the right dip characteristics of the curve are not
obvious.
③ The average contribution rate of quartz and feldspar, the main rock forming minerals accounting
for more than 93% of the total rock, to the rare earth in the whole rock is less than 10%. It can
be seen that the rare earth elements in the rock mainly come from the rock forming accessory
minerals with biotite content less than 10%, while the contribution rate of other accessory
minerals with biotite content less than 2% is higher (60%-80%), And it may be more from trace
independent rare earth minerals.
④ Due to the low contribution rate to rare earth, the rare earth component anomaly of the main
rock forming minerals quartz and feldspar basically has no impact on the composition of rock
rare earth distribution. For example, when the contribution rate of feldspar to the whole rock is
relatively low, its higher EU positive anomaly (rich in europium) has little impact on the whole
rock, but when the contribution rate of biotite to the whole rock rare earth is high. The negative
anomaly of EU element also causes the negative change of EU element in the whole rock.
The rare earth mineralization of granite is transformed by self-metamorphism and alter-
ation to a certain extent. The metamorphism and alteration of granite are mainly caused by
self-metasomatism, post-magmatic hydrothermal alteration, and contact alteration with sedimen-
tary surrounding rock. Metamorphism and alteration phenomena mainly include silicification,
k-feldspathic, najanitization, chloritization and muscovitization, greisernization, calcitization (car-
bonatization), and sericitization. The stronger the self-metamorphic muscovitization, chloritization,
najanitization, and k-feldsparization of magmatic rocks, the more favorable it is to improve the
rare earth content of rocks, while silicification is the opposite, It also increases the weathering
resistance of rock, which is unfavorable to the formation of ion adsorption rare earth ore body.

4 ORE TYPES AND CHARACTERISTICS

4.1 Ore type

The deposit is a weathered crust ion adsorption deposit, which is formed after the original rock
containing rare earth elements and independent rare earth minerals are weathered and leached, and
their rare earth materials are migrated and re enriched. They are distributed in the weathered crust
and occur in the completely weathered layer of the original granite. Their genetic type is granite
weathered crust type. Because there are many rare earth oxides in the ore, which are formed by
adsorption and enrichment after dissolution transformation and are easy to leach and mine, its
industrial type is easily mined weathered crust ion adsorption rare earth ore.
According to the content of other useful components in rare earth deposits and the degree of
utilization, the study area is a single rare earth ore. According to the occurrence state of rare earth
elements, the study area is ion adsorption rare earth ore (Zhu 2015). According to the weathering
degree, the study area is mainly completely weathered rare earth ore and a small amount of semi
weathered rare earth ore.

4.2 Ore grade distribution characteristics

To intuitively understand the grade distribution proportion of the ore in the study area, according
to the full phase rare earth grade analysis results of the basic samples of the ore bed in the study
area, the sample length of different grade sections of the ore bed in the study area is counted, and
the sample length distribution proportion of different grade sections is calculated (Hu 2019, Wan
2020). The proportion base instinctively reflects the grade distribution proportion of the ore in the
study area. The results are shown in Figure 5. The full phase rare earth grade of the ore in the study
area is below 0.57% (the highest grade). It can be seen from the figure that the ore grade is mainly

273
distributed between 0.05% and 0.13%, accounting for 93.11% of the total ore, of which 87.05% is
below 0.11% and 54.42% is below 0.07%. The average grade of the ore in the study area is 0.080%.
The above data show that the ore in the study area is mainly low-grade rare earth ore.
According to the statistics of the thickness of ore bearing weathered layer and the grade of ore
bed in all ore discovery projects in the study area, the relationship curve between the thickness of
ore bearing weathered layer and ore grade is shown in Figure 6. It can be seen that the greater the
thickness of ore bearing weathered layer, the higher the grade of ore bed, and the corresponding
increase in leaching rate, indicating that the weathering crust is the most favorable for the enrichment
of rare earth substances when the weathering degree is strong and well preserved. It also shows
that when the weathering degree of the weathering crust is weak, or the weathering crust is eroded
and stripped without sufficient leaching and enrichment, it is not easy to form high-quality ion
adsorption rare earth ore. It can be seen from the figure that the ore body in the study area shows the
common enrichment characteristics of ion adsorption rare earth in the ore bearing weathering layer,
that is, the shallow part is depleted due to high weathering degree, and most rare earth materials are
leached out by percolation; in the middle part, due to more clay minerals, the rare earth materials
dissolved in the upper part are easy to be adsorbed and the grade increases; in the lower part,
it is weakened due to weathering degree. The clay minerals adsorbing ionic rare earth materials
decreased, the ability of decomposition and adsorption of ionic rare earth decreased and the grade
decreased, and gradually approached the abundance of original rock downward. The more obvious
the distortion between the leaching phase content curve and the whole phase rare earth content
curve, the higher the enrichment degree of rare earth in the leaching phase.

Figure 5. Distribution histogram of ore grade proportion.

Figure 6. Relationship between ore thickness and ore grade.

274
 There is little distortion between the leaching phase content curve and the full phase rare earth
content curve in the study area. The full phase rare earth content curve is relatively straight, and
the leaching phase content curve deviates only slightly from top to bottom, indicating that the rare
earth abundance of the original rock in the study area still plays a decisive role in the formation
rare earth content, and the dissolution and re enrichment of the original rock rare earth materials
are insufficient. This is also explained by the relatively low leaching rate in the study area. It is
related to the steep topographic slope, strong erosion and lack of sufficient weathered layer for a
long time in order to fully enrich rare earth in the study area.

5 CONCLUSION

The weathering degree of weathering crust is closely related to mineralization. The higher the
weathering degree of rock, the greater the thickness of weathering crust, the better the quality and
thickness of ore bed. The finer the particle size, the greater the adsorption capacity, the higher
the rare earth content. On the contrary, the lower the weathering degree, the lower the rare earth
content.
The thickness of the rare earth ore bed is related to the weathering degree and topography of the
rock. The completely weathered layer is the main ore bearing horizon of the rare earth ore. The
content of rare earth oxide at the top of the completely weathered layer is not high, and the rare
earth elements are mainly concentrated in the middle and lower part of the completely weathered
layer. The ratio of light/heavy rare earths of the ore body decreases from the surface down, that
is, it shows obvious enrichment of light rare earths in the upper part of the ore bed and heavy rare
earths in the lower part.
The rare earth ores in the study area are mainly light rare earth ores with medium and low
grade. The greater the thickness of the ore bed, the higher the grade of the ore bed and the higher
the leaching rate. It shows that the weathering crust with strong weathering degree and good
preservation conditions is the most favorable for the enrichment of rare earth materials, and it is
easy to form high-quality ion adsorption rare earth ore.

REFERENCES

Hu Zuoying.(2019). Feng Meng Symbiotic enrichment characteristics and genesis of ilmenite and rare earth
in igneous weathering crust in Southeast Guangxi.J.Rare earth.40 (06): 16–27
Liang Xuwen.(2014). Liang Chaoyong, long Qian Characteristics and genetic understanding of ion adsorption
rare earth deposits in Southeast Guangxi–taking a rare earth deposit in Beiliu as an example.J.Deposit
geology,33 (S1): 1179–1180
Wan Hongyu.(2020). Gao Shan Study on weathering deposit types and mineralization in weathering area of
intermediate acid magmatic rocks in Guangxi.J.Geology and exploration.56 (01): 1–16
Wang Zhengqing.(2018). Study on metallogenic mechanism of Miaoershan granite type uranium deposit in
Guangxi.D.Beijing Institute of geology of nuclear industry.
Yingxin(2019). Analysis of ore quality characteristics of rare earth ore in the South ore section of Huashan
mining area, Zhongshan County, Guangxi.J.Minerals and geology.33 (05): 790–799 + 807
Zhao Kuidong.(2009). Hf isotopic composition of zircon microregions of Huashan Guposhan intrusive complex
and dark inclusions in northeastern Guangxi and its diagenetic significance.J.Science Bulletin.54 (23):
3716–3725 + 3794–3795
Zhu Wenjie.(2015). Yufu Present situation, problems and suggestions on the development and utilization of
rare earth resources in China – a case study of Bayan Obo mine and Mianning mine, an ionic adsorption
mine in seven provinces in the South.J.Shandong land and resources.31 (10): 31–35 + 39

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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Recovery of zinc from smithsonite by flotation using a new collector

Junjie Wu
Faculty of Land Resource Engineering, Kunming University of Science and Technology, Yunnan, Kunming,
China
Shaanxi Institute of Geology and Mineral Resources Experiment Co, Ltd., Xi’an, China

Huixin Dai∗
Faculty of Land Resource Engineering, Kunming University of Science andTechnology, Yunnan, Kunming,
China

Qi Nie∗
Faculty of Mining Engineering, Kunming Metallurgy College, Yunnan, Kunming, China

Dongdong Tang
Faculty of Land Resource Engineering, Kunming University of Science and Technology, Yunnan, Kunming,
China

Yong Cheng
Faculty of Mining Engineering, Kunming Metallurgy College, Yunnan, Kunming, China

ABSTRACT: Flotation was identified as a suitable method to recover valuable lead and zinc from
a highly oxidized smithsonite ore that contained 3.80% zinc and 1.40% lead. Satisfying results were
obtained using a grinding fineness of 90.83% passing 0.074 mm. The flowsheet comprised one
rougher stage, one cleaner stage, and one scavenger stage for lead recovery, and one rougher stage,
two cleaner stages, and one scavenger stage for zinc recovery. SDP-6 was used as the collector
and SDQ-4 as the foaming agent. The grade and recovery of lead concentrate were 52.29% and
80.18%, respectively, using a preferential flotation process and the new reagent. Zinc concentrate
grade and recovery were 36.80% and 71.48%, respectively. In the flotation process, the collector
SDP-6, the frother SDQ-4, and a new process of simultaneous flotation of zinc oxidized ore and
sulphide ore were used to improve the flotation index of lead-zinc ore.

1 INTRODUCTION

Zinc is the fourth most common metal (Chai 2013). It can be used in foodstuffs and in medical
and light industrial applications. It is an essential element for humans at trace levels, but is toxic
at higher concentration (Lead 2000; Yun 2012). It is therefore essential to research zinc concentra-
tions in the environment and especially in mineral processing areas that produce toxic elements,
such as Hg, Se, As, and Pb, because these elements cause concerns for both human health and
the environment. Most significant in the study of trace elements is their association with either
epigenetic or syngenetic minerals (Chanturia 2014). It is feasible to enrich or preconcentrate the
trace elements and recover the minerals associated with them: many beneficiation methods can be
employed, including flotation and density separation (Chen 2000; Janusz 1983).
Besides its important effect on human health, zinc also has wide application in industry. Zinc
exists in nature in the form of sulfide and oxides. The main zinc sulfide mineral is sphalerite and
the oxidized minerals are zincite and heteropolar. Zinc oxide ores are generally refractory due to

∗ Corresponding Author: [email protected]

276 DOI 10.1201/9781003308584-39

their fine mosaic size and serious mudding (Zeng 2011). The two main flotation methods for zinc
oxides use a xanthate or amine collector after sulfidation. The sulfidation xanthate method requires
the ore to first be deslimed, following which the pulp is sulfided at elevated temperature and then
floated using an advanced xanthate or black powder. This method has high reagent consumption
and costs (Yang 2014). At present, the method of sulfidation flotation followed by use of an amine
is a more effective method for recovering zinc oxide in mineral processing (Roger 2003). This
method is suitable for the flotation of zinc carbonates, using sodium sulfide as the activator and
a primary amine as the collector. This method does not required heating; however, the primary
amine collector itself has strong foaming properties, which results in a large amount of foam and
viscosity in the flotation process, which is a major problem.
This study investigated the recovery of zinc from a lead–zinc oxide ore from Shanxi province,
China, which contained 3.80% zinc and 1.40% lead. The zinc in this ore has value if reasonable
recovery can be achieved; in addition, Pb could be recovered as a by-product. New collectors and
frother were adopted to simultaneously float the zinc oxide and sulfide minerals for recovery of zinc.

2 MATERIALS AND METHODS

2.1 Materials
Chemical compositions and phase analysis of the sample were determined by X-ray fluorescence
(XRF) and X-ray diffraction (XRD), respectively. The results are shown in Tables 1 and 2, respec-
tively. The zinc and lead distributions and grades of the various minerals are shown in Tables 3 and
4, respectively. The intercalation of various minerals is shown in Figure 1.

Table 1. Chemical composition of sample (mass%).

Element Pb Fe Co Ni Zn S P As TiO2

Content 1.40 2.39 0.0016 0.0022 3.92 0.43 0.082 0.0013 0.07
Element MnO K2O Na2O CaO MgO SiO2 Al2O3 Au* Ag*
Content 0.05 0.095 0.68 50.71 20.40 10.62 0.72 0.14 14

*: measured in g/t

Table 2. Mineral phase identification by X-ray diffraction analysis (mass%).

Mineral Dolomite Limestone Quartz Smithsonite Zincblende

Content 86 2 7 4 1

Table 3. Phase analysis of zinc (mass%).

Phase Zinc sulfate Smithsonite Zinc sulfide Others Total

Grade 0.013 2.82 0.69 0.098 3.592

Distribution 0.36 77.88 19.06 2.70 100.00

Table 4. Phase analysis of lead (mass%).

Phase Lead alum Cerussite Galena Others Total

Grade 0.003 0.13 1.1 0.09 1.323

Distribution 0.23 9.83 83.14 6.8 100.00

277
Figure 1. (a) Galena (Gal) has irregular heteromorphic crystal structure; (b) Hydrated zinc ore metaso-
matism of sphalerite; (c) zincite (Sm) colloidal structure; (d) girth structure of iron dolomite (Ank); (e)
secondary-electron morphology; (f) backscattered-electron composition.

2.2 Flotation tests

During the flotation process, sodium sulfide (Xi’an Qingyuan Water Chemical Ltd., China) was
used as the modifier, sodium silicate and sodium hexametaphosphate (SUZHOU PENG CHENG
CHEMICAL TECHNOLOGYCO. LTD., China) were used as depressants, Ethyl thio carbamate
(WUJIANG BENEFIT FINE CHEMICAL CO, LTD., China) and SDP-6 (Chinese Patent No.
ZL201510218669.2) were used as the collector, and SDQ-4 (self-made reagents) was used as a
frother. Tap water was used in all flotation tests.
Flotation tests were carried out in 0.5 L, 1 L, and 1.5 L laboratory flotation cells (Type XFD,
Wuhan Rock Crush & Grand Equipment Manufacture Co.Ltd., China) for the rougher, cleaner, and
scavenging operations, respectively. The modifier was added first, followed by the depressant. All
conditioning times were 5 min. Flotation tests were carried out at ambient temperature of 22◦ C.

278
3 RESULTS AND DISCUSSION

3.1 Mineralogy
As shown in Table 1, the sample contained 1.40% Pb and 3.92% Zn, which were the elements
targeted for recovery. The total CaO and MgO content exceeded 70%, which is disadvantageous for
Zn recovery, because high contents of these elements deteriorate grinding and dressing processes.
As shown in Table 2, the ore also contained a large amount of dolomite, which worsens the flotation
process. Tables 3 and 4 show that lead existed mainly in the form of galena and its extent of
oxidation was 16.86%; zinc mainly existed as oxidized ore, with an extent of oxidation of 80.94%.
The results showed that the ore was difficult to concentrate because of long-term oxidation and
secondary leaching.
Galena often occurred as an irregular heteromorphic aggregate with particle sizes ranging from
0.02 to 2.0 mm. Part of the galena occurred in the intergranular regions and fissures of sphalerite
in the form of veinlets, and the boundary between the contact of coarse galena and sphalerite was
unevenly curved (Figure 1(a)).
Zincblende is a mineral mainly containing zinc sulfide. Alloidal particles were embedded in
the cement between the dolomite breccides, with a maximum particle size exceeding 3.0 mm
and minimum particle size below 0.1 mm. Small particle sphalerite occurred mostly in dolomite
grains or in the residual crystals formed by metasomatism of zincite, willemite, and other minerals.
Sphalerite is often metasomatic by smithsonite, dolomite, willemite, bitumen and hydrozincite
(Figure 1(b)). Zincite was the main zinc-bearing mineral, with its zinc content accounting for more
than 70% of the total zinc content of the ore. Zincite is often metasomatic sphalerite, which made
it present as residual crystal and also metasomatic willemite and dolomite. The study found that
the hydrozincite that metabolized sphalerite gradually crystallized into smithsonite, which may be
the process of dehydration.

Table 5. Determination of particle size of smithsonite.

size fraction (mm) 0.5–0.3 0.3–0.1 0.1–0.07 0.07–0.05 0.05–0.02 <0.02 Total

particle number 149 1831 953 582 349 375 4249

Particle percentage 3.51 43.09 22.43 13.70 8.21 8.83 99.77
Accumulative 3.50 46.60 69.03 82.73 90.94 99.77 –

The gangue was mainly dolomite, composed of coarse and fine grains. The fine-grained mate-
rial was carbonaceous dolomite aggregate with a particle size of less than 0.006 mm. Dolomite
aggregates with coarse particles formed earlier (about 0.02 mm) were surrounded by the dolomite
aggregates, followed by the dolomite formed by low-temperature hydrothermal fluid filling between
the dolomite grits and fractures. The grains were thick, with a maximum exceeding 2 mm and a
general range of 0.07–0.5 mm. Some zincite, interlaced with brittle dolomite, may be prone to mud
formation in grinding (Figure 1(d)).

3.2 Effect of collectors

In the conventional separation process, the oxidized ore is vulcanized first and then separated.
The new collector is selected in this study SDP-6 can capture and collect zinc sulfide and zinc
oxide at the same time.The collector is a compound agent synthesized according to the principle
of synergistic effect of different collector combinations, which can be adsorbed on the surface of
zinc oxide and zinc sulfide at the same time through combination and co-adsorption mechanism.
In the flotation tests, SDP-6 which contains Amino heptane, glycerol, sodium carbonate, sodium
sulphide, kerosene, etc., was used as a new collector for zinc concentration.In order to verify the
effect of SDP-6 collector, the experiment of “collecting with sodium sulfide sulfide zinc oxide ore
and then using octadecylamine” was carried out. Sodium silicate and sodium hexametaphosphate

279
were utilized as depressants, at dosages of 400 g/t and 500 g/t, respectively. SDQ-4 was utilized as
a new frother at a dosage of 30 g/t. The flowsheet is shown in Figure 2 and the results are shown
in Table 6.

Figure 2. Open-circuit flowsheet.

Table 6. Effect of collector in open-circuit flotation.

Grade (%) Recovery (%)

Collector Product Yield (%) Pb Zn Pb Zn

Dodecylamine Lead concentrate 2.03 58.55 0.04 86.44 0.02

Zinc concentrate 5.28 1.06 34.14 4.07 48.89
Middlings 1 2.45 0.88 14.76 1.57 9.81
Middlings 2 4.21 0.73 15.47 2.24 17.66
Middlings 3 2.02 0.54 11.92 0.79 6.53
Tailings 84.01 0.08 0.75 4.89 17.09
Totals 100 1.37 3.69 100.00 100.00

SDP-6 Lead concentrate 2.03 58.55 0.04 86.00 0.51

Zinc concentrate 7.11 1.06 37.33 5.50 71.95
Middlings 1 1.51 0.48 7.97 0.53 3.26
Middlings 2 6.44 0.43 7.33 2.02 12.80
Middlings 3 2.74 0.24 2.94 0.48 2.18
Tailings 80.17 0.08 0.45 4.68 9.78
Total 100 1.37 3.69 100.00 100.00

Dodecylamine mainly adsorbs on the surface of smithsonite by electrostatic action. Smithsonite

floats best at pH 10–11. The association between dodecylamine molecules and cations can enhance
its ability to collect calamine (Srdjan M.Bulatovic, Handbook of Flotation Reagents). With “sulfide
and then collecting” conventional process and pharmaceutical system comparison, found that
the use of high performance collector SDP-6 and collecting the zinc sulfide and zinc oxide ore

280
process than "with sodium sulfide sulfide zinc oxide ore with octadecylamine again collecting" of
process index gained by the more good, and the dosage of reagents significantly reduced, greatly
simplifying the flotation process.Under the same conditions, the new collector SDP-6 enhanced
the electrostatic adsorption capacity on the surface of calamine, so it had better collecting capacity.
The results showed that the zinc concentrate grade was increased by 3.19%, recovery was increased
by 23.06%, and flotation was optimized.

3.3 Effect of foaming agent

In this test, SDQ-4 was used as a new frother for zinc concentration. Key components of SDQ - 4
in the pine oil for improvement, optimization of the foaming agent for the foaming capacity of clay
mineral, to create more small bubbles, enhances the gas-liquid interface, the surface tension of the
air bubbles produce greater force, improve the ability of bubbles resist fracture, make the surface
of the bubble of flexibility is better, can withstand the vibration of the external force, formation of
the mineralized foam stability was stronger. Sodium silicate and sodium hexametaphosphate were
utilized as depressants at dosages of 400 g/t and 500 g/t, respectively. SDP-6 was utilized as the
collector at a dosage of 100 g/t. The flowsheet is shown in Figure 2 and the results are presented in
Table 7.
Table 7. Effect of foaming agent in open-circuit flotation.

Grade (%) Recovery (%)

Foaming agent Product Yield (%) Pb Zn Pb Zn

Terpenic oil Lead concentrate 2.03 58.55 0.04 86.84 0.02

Zinc concentrate 5.32 1.07 36.41 4.16 52.55
Middlings 1 2.35 0.72 18.28 1.24 11.65
Middlings 2 3.63 0.88 14.99 2.33 14.76
Middlings 3 1.72 0.37 9.97 0.46 4.65
Tailings 84.95 0.08 0.71 4.97 16.36
Total 100 1.37 3.69 100.00 100.00

SDQ-4 Lead concentrate 2.03 58.55 0.04 86.00 0.51

Zinc concentrate 7.42 1.04 39.35 5.83 79.15
Middlings 1 1.40 0.33 9.09 0.36 3.53
Middlings 2 6.56 0.42 3.14 2.19 5.69
Middlings 3 2.42 0.30 3.56 0.52 2.44
Tailings 80.17 0.08 0.40 5.10 8.68
Total 100.00 1.37 3.69 100.00 100.00

Terpenol oil (WUJIANG BENEFIT FINE CHEMICAL CO, LTD., China) is a surfactant that
can reduce the surface tension of water to form foam and cause air bubbles in an aerated flotation
slurry to adhere to the selectively floating mineral particles. Under the same conditions, compared
with terpenol oil, SDQ-4 had stronger hydrophobic group capacity in its molecular structure, lower
surface tension, more stable foams, and less argillaceous substances. Therefore, the influence of
slimes on flotation of the oxidized ore was greatly reduced. The results showed that the grade of
zinc concentrate increased by 3.19%, the recovery rate increased by 23.06%, and the flotation was
optimized.

3.4 Closed-circuit flotation tests

The best operating conditions were determine to use the above open-circuit conditioning tests. The
best conditions for selective flotation of lead were determined as 900 g/t sodium sulfide and 30
g/t diethyldithiocarbamate. The best conditions for zinc selectivity were 500 g/t sodium carbonate,

281
500 g/t sodium hexametaphosphate, 400 g/t sodium silicate, 100 g/t SDP-6, and 30 g/t SDQ-4. To
improve the grades and recoveries of lead and zinc, lead scavenger, zinc cleaner, and zinc scavenger
stages were added. The lead concentrate grade was 52.29% and lead recovery was 80.18%; the zinc
concentrate grade was 36.80% and recovery was 71.48%. The closed-circuit flowsheet is shown in
Figure 3 and the results are shown in Table 8.

Figure 3. Flowsheet of closed-circuit flotation test.

Table 8. Results of closed-circuit flotation test.

Grade (%) Recovery (%)

Product Yield (%) Pb Zn Pb Zn

Lead concentrate 2.30 52.29 0.78 80.18 0.49

Zinc concentrate 7.09 1.13 36.80 5.34 71.48
Tailings 90.61 0.24 1.13 14.48 28.03
Total 100.00 1.50 3.65 100.00 100.00

4 CONCLUSIONS

Zinc and lead were recovered from a highly oxidized bonamite ore by flotation using a novel
collector and foaming agent. The main conclusions were as follows.
(1) Zinc exists in nature in the form of sulfide and oxides. The main zinc sulfide mineral is
sphalerite and the oxidized minerals are zincite and heteropolar. Zinc oxide ores are generally
refractory due to their fine mosaic size and serious mudding . The two main flotation methods

282
 for zinc oxides use a xanthate or amine collector after sulfidation. The sulfidation xanthate
method requires the ore to first be deslimed, following which the pulp is sulfided at elevated
temperature and then floated using an advanced xanthate or black powder. This method has high
reagent consumption and costs. At present, the method of sulfidation flotation followed by use
of an amine is a more effective method for recovering zinc oxide in mineral processing . This
method is suitable for the flotation of zinc carbonates, using sodium sulfide as the activator and
a primary amine as the collector. This method does not require heating; however, the primary
amine collector itself has strong foaming properties, which results in a large amount of foam
and viscosity in the flotation process, which is a major problem.
(2) The mineral composition of the ore was simple, comprising mainly calamine, sphalerite, and
galena, with small amounts of zinc silicates and pyrite. Gangue was mainly dolomite and quartz.
The dolomite content was high, which easily caused mud phenomena to occur, difficulties in
grinding operations, and had an adverse effect on flotation operations.
(3) Phase analysis results showed that the extents of oxidation of lead and zinc were 16.86% and
80.94%, respectively.
(4) The grade and recovery of lead concentrate were 52.29% and 80.18%, respectively, using a
preferential flotation process and the new reagent. Zinc concentrate grade and recovery were
36.80% and 71.48%, respectively.
(5) In the flotation process, the collector SDP-6, the frother SDQ-4, and a new process of simulta-
neous flotation of zinc oxidized ore and sulphide ore were used to improve the flotation index
of lead-zinc ore.

ACKNOWLEDGMENTS

1. This work was financially supported by Shaanxi Natural Resources Fund Project No. 2019jm-
395.
2. This work was financially supported by Yunnan Provincial Department of Education Scientific
Research Fund Project No.2021J0945.

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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Prediction of seawater salinity based on weighted Markov chain

Nuozhou Li, Tong Liu & Chongkai Zhang

Navigation College, Dalian Maritime University, Dalian, China

ABSTRACT: Seawater salinity is an essential part of the characteristics of seawater, and its
study can be invoked as a basis for mariculture evaluation, marine environmental research, marine
engineering maintenance and analysis of sea ice in winter. In order to accurately predict seawater
salinity, this paper summarized and analyzed the winter seawater salinity data in the North Tem-
perature Zone from 1990 to 2019, and established a classification standard suitable for the winter
seawater salinity in the North Temperature Zone by means of mean-standard deviation classifica-
tion method. Based on the above classification standard, the weighted Markov chain was used to
predict the winter seawater salinity in 2019 and 2020, and winter seawater salinity in 2019 in the
North Temperature Zone was predicted by combining the Grade Characteristic Value (GCV) from
the fuzzy-set theory. The results are in agreement with the actual situation. Finally, the stationary
distribution is used as a measure of the return periods of each seawater salinity state for further
optimizing the prediction system of seawater salinity, which provides an indispensable reference
for the prediction of seawater salinity.

1 INTRODUCTION

Salinity, together with temperature and pressure, constitute the basic parameters of the seawater
physicochemical process. Seawater salinity not only guides mariculture, affects the marine envi-
ronment, acts on marine engineering, and controls the freezing of seawater in winter, but also plays
an extremely critical role in the stability of the global climate through thermohaline circulation.
Therefore, it is necessary to predict the salinity of seawater.
Markov chain prediction model is a widely used time series prediction model, which has great
prediction effect in rainfall prediction and disease prediction (Jiang 1988). Seawater salinity belongs
to time series and has a good fit with a Markov chain. Therefore, in this paper, the mean-standard
deviation classification method is adopted in order to establish the classification standard for
seawater salinity in winter of the North Temperate Zone, and then the weighted Markov chain is
used to predict seawater salinity. The prediction results are consistent with the actual situation,
which can be used as a basis for the prediction of seawater salinity in the future.

2 DETERMINATION OF SEAWATER SALINITY CLASSIFICATION STANDARDS

Define X1 , X2 , …, X30 as the winter seawater salinity series in the North Temperate Zone from
1990 to 2019. The mean-standard deviation classification method is used to divide the seawater
salinity into extremely low salinity, low salinity, medium salinity, high salinity and extremely high
salinity. These five states are the state space of the Markov chain. Table 1 shows the results of
grading seawater salinity using appropriate grading standards.

284 DOI 10.1201/9781003308584-40

 Table 1. Seawater salinity classification table.

State Level Grading standards Practical salinity units/ ‰

1 extremely low salinity X <X̄ – 1.1S X < 33.186

2 low salinity X̄ – 1.1S< X <X̄ – 0.3S 33.186 < X < 33.778
3 medium salinity X̄ – 0.3S< X <X̄ + 0.3S 33.778 < X < 34.222
4 high salinity X̄ + 0.3S< X <X̄ + 1.1S 34.222 < X < 34.814
5 extremely high salinity X >X̄ + 1.1S X > 34.814

According to the above classification results, the calculation shows that the average winter
seawater salinity in the North Temperate Zone from 1990 to 2019 is 34.00‰, and the standard
deviation is 0.74‰. Table 2 shows the winter seawater salinity series in the North Temperate Zone
and their states from 1990 to 2019.
Table 2. Winter seawater salinity series and their states in
the North Temperate Zone.
Year Salinity State Year Salinity State
1990 34.46 4 2005 34.31 4
1991 34.91 5 2006 34.43 4
1992 33.72 2 2007 34.26 4
1993 34.42 4 2008 32.85 1
1994 34.33 4 2009 34.26 4
1995 32.99 1 2010 32.21 1
1996 34.05 3 2011 34.90 5
1997 33.99 3 2012 32.62 1
1998 34.48 4 2013 33.96 3
1999 34.79 4 2014 32.28 1
2000 34.46 4 2015 34.25 4
2001 33.28 2 2016 34.37 4
2002 34.03 3 2017 34.58 4
2003 33.78 3 2018 34.20 3
2004 34.26 4 2019 34.67 4

3 CONSTRUCTION AND APPLICATION OF WEIGHTED MARKOV CHAIN

PREDICTION MODEL

3.1 Markov chain

A Markov chain is a random process of transitioning from one state to another in the state space.
According to the transition matrix, the state of the system can either be transferred to another or
remain itself. Without aftereffect is an important property of the Markov chain, which means that
the probability distribution of the next state in the Markov chain is only related to the current state
of the system, and is not affected by its previous state. The without aftereffect can be determined
by formula (1).
p(Xt+1 |Xt , . . . , X1 ) = p(Xt+1 |Xt ) (1)
In formula (1), X1 , X2 , …, Xt+1 represent the state of the system at different moments, p is the
conditional probability. Since the probability of state transition at a certain moment is only related
to the current state, as long as the transition probability between any two states in the system is
required, and the Markov chain prediction model of the system is determined accordingly.
The weighted Markov chain studies a list of dependent random variables, it uses the autocorrela-
tion coefficients of each order to describe the strength of the correlation between random variables

285
of different lengths of time d. The state corresponding to the index value at several moments is
used to predict the state of the time period, and then the weighted sum of the transition probability
is calculated according to the strength of the relationship between the previous moments and the
present. This method can use the historical data more adequate and reasonable.

3.2 The verification of the Markov property

The winter seawater salinity sequence in the North Temperate Zone is random. This paper uses the
discrete-time Markov chain to test the verification of the Markov property (Sun 2003).
From the data in Table 2, the transition frequency matrix and the one step state transition matrix
can be obtained as follow.
⎛ ⎞
⎛ ⎞ 0 0 2 2 1
0 0 2 2 1
1 1
5 5 5
⎜0 0 ⎟
⎜0 0 1 1 0⎟ ⎜  0
2 2 ⎟
⎜ ⎟ ⎜ ⎟
fij = ⎜ 1 0 2 3 0 ⎟ , Pij = ⎜ 1 6 0 1 1 0 ⎟
⎝3 ⎠ ⎜ 3 1 1
3
4
2 
1 ⎟
1 1 8 1 ⎝ 14 14 ⎠
1 1
14 14 7
1 1 0 0 0 0 0 0
2 2

According to the relevant knowledge of probability theory, the statistics χ 2 satisfy formula (2)
(Liu 2005).
m m
Pij
χ2 = 2 fij ln (2)
i=1 j=1
P·j

In formula (2), χ 2 obeys the chi-square distribution, m is the number of system states, fij is the
transition frequency matrix, Pij is the one step state transition matrix and P·j is marginal probability.
Through calculation, χ 2 is 39.124, given the significance level α=0.005, quantile points can be
obtained by looking up the table.χα2 (m − 1)2 = χα2 (16) = 34.27, χ 2 > χα2 (m − 1)2 . Therefore, the
winter seawater salinity data in the North Temperate Zone during the 30 years from 1990 to 2019
are Markovian and can be used in the weighted Markov chain prediction model.

3.3 Model application

Based on the winter seawater salinity data of the North Temperate Zone from 1990 to 2019, the
salinity of seawater in 2019 and 2020 is predicted respectively. The changing trend of seawater
salinity in this area over the past 30 years is shown in Figure 1.

Figure 1. The changing trend of seawater salinity from 1990 to 2019.

286
 Firstly, from the seawater salinity and state classification results in Table 2, the autocorrelation
coefficients and their weights of each order are calculated according to formula (3) and (4).

%
n−k
(Xi − X̄ )(Xi+k − X̄ )
i=1
rk = (3)
%
n
(Xi − X̄ )2
i=1

|rk |
Wk = (4)
%
m
|rk |
k=1

In formula (3), rk is the k-th order autocorrelation coefficient, i represents the period number, n
is data sequence length, Xi is the data of the time period i, and X̄ is the average value of all the data
used for predicting. In formula (4), Xk is the normalized autocorrelation coefficient of each order
and m is the maximum order required for prediction (Peng 2010). Through calculation, the first 6
order autocorrelation coefficients of seawater salinity sequence are shown in Tables 3 and 4.

Table 3. 1 ∼ 5 order autocorrelation coefficients and their weights.

Step k=1 k=2 k=3 k=4 k=5

rk –0.204 0.404 –0.312 0.109 –0.203

Wk 0.166 0.328 0.253 0.088 0.165

Table 4. 2 ∼ 6 order autocorrelation coefficients and their weights.

Step k=2 k=3 k=4 k=5 k=6

rk 0.404 -0.312 0.109 -0.203 0.139

Wk 0.346 0.267 0.093 0.174 0.119

After calculating the above values, using the calculated autocorrelation coefficients and weights
of each order, combined with the winter seawater salinity data of the North Temperate Zone from
2014 to 2018 to predict the seawater salinity in 2019 and 2020 respectively. The prediction results
are shown in Tables 5 and 6.

Table 5. The prediction of seawater salinity in 2019.

Year State Time lag/year Weight State 1 State 2 State 3 State 4 State 5

2018 3 1 0.166 1/6 0 1/3 1/2 0

2017 4 2 0.328 1/7 1/7 3/14 3/7 1/14
2016 4 3 0.253 3/13 1/13 5/13 4/13 0
2015 4 4 0.088 1/6 0 1/3 5/12 1/12
2014 1 5 0.165 0 0 1/5 4/5 0

Pi (Weighted sum) 0.148 0.066 0.285 0.470 0.031

287
Table 6. The prediction of seawater salinity in 2020.

Year State Time lag/year Weight State 1 State 2 State 3 State 4 State 5

2018 3 2 0.346 0 0 0 1 0
2017 4 3 0.267 3/13 1/13 5/13 4/13 0
2016 4 4 0.093 1/6 0 1/3 5/12 1/12
2015 4 5 0.174 4/11 0 1/11 5/11 1/11
2014 1 6 0.119 1/4 1/4 1/4 1/4 0

Pi (Weighted sum) 0.170 0.050 0.179 0.576 0.024

Taking Table 5 as an example, the predicted value of each state is weighted and analyzed, max
{Pi } = 0.470, and then the corresponding predicted state is state 4. Therefore, the weighted Markov
chain model predicts that the seawater salinity in 2019 is high salinity, and the corresponding
salinity interval is between 34.222‰ and 34.814‰. It can be seen from Table 2 that the actual
seawater salinity in 2019 is 34.67‰, which is similar to the predicted interval. Similarly, it can be
seen from Table 6 that the predicted value of seawater salinity in 2020 is also high salinity. The
prediction results prove that results of the weighted Markov chain prediction model are credible.

4 GRADE CHARACTERISTIC VALUE (GCV) FROM THE FUZZY-SET THEORY

The GCV in fuzzy-set theory not only retain the advantages of conventional fuzzy comprehensive
judgment, but also take influence of other probabilities on the basis of the maximum probability
into account. The weight set W is composed of the weights of all states, which can be represented
as W = {W1 , W2 , . . . , Wn }, n is 5 in this paper.
Next, use GCV to calculate the relative error of the previous prediction data. The calculation
formula of Wi is shown in formula (5).
η
pi
Wi = (5)
%
n
η
pi
k=1

η is the action coefficient of the maximum probability, which is usually 2 or 4 in practical

applications. The calculation of the GCV is shown in formula (6).

n
H= i × Wi (6)
i=1

If the predicted value of the system state is i, compare the magnitude of GCV and i to determine
the predicted value. The predicted value can be specifically calculated by formula (7).
, Ti H
,H >i
P= i+0.5
Bi H (7)
i−0.5
,H <i

In formula (7), P is predicted value, Ti and Bi are the upper and lower limit of the state interval.
From the prediction results of the weighted Markov chain prediction model in Section 3.3, the
prediction of seawater salinity in 2019 is State 4. Through calculation, H = 3.855 < 4, the predicted
value of seawater salinity is 37.69‰, the relative error is 8%, and the prediction accuracy can be
accepted.

288
5 ERGODICITY AND STATIONARY DISTRIBUTION

From the autocorrelation coefficients of each order of the seawater salinity sequence, it can be
known that among the Markov chain of different steps, the Markov chain with a step of 2 has the
strongest dependence (Chen 2008). And the five states of the Markov chain are interconnected. Pij ’
is a state transition matrix with a step size of 2.
⎛ 3 1 1 ⎞
0 0
1 1
5 5 5
⎜0 0 0 ⎟
⎜ 2 2 ⎟
Pij = ⎜
⎜ 0 0 0 1 0 ⎟ ⎟
⎝1 1 3 3 1 ⎠
1 1
7 7 14 7 14
0 0 2 2 0

Because the Markov chain is aperiodic, it is an irreducible positive recurrent Markov chain. This
chain is ergodic according to Markov chain theory, so there is a unique stationary distribution, and
the stationary distribution at this time is its limit distribution. Therefore, the formula (8) holds.
⎧
⎪ %
5
⎪
⎨ πj = πi Pij
i=1
(8)
⎪
⎪ %
5
⎩ πj = 1, πj ≥ 0
i=1

In formula (8), πi and πj are the stationary distributions of state i and j respectively.
According to the state transition matrix with the step of 2, the limit distribution πj and the return
period of each state Ti can be calculated as which shown in Table 7.

Table 7. Limit distribution and return period of each state.

State 1 2 3 4 5

π j 0.182 0.073 0.200 0.509 0.036

Ti 5.500 13.750 5.000 1.964 27.500

From the data in Table 7, it can be seen that the return period of state 4 is the shortest, which is
1.964 years, and state 5 has a return period of 27.500 years, serving as the longest one.

6 CONCLUSIONS

The prediction of seawater salinity is of great importance in marine environment, marine engineer-
ing and sea ice warning. The prediction results of weighted Markov chain model adopted in this
paper are consistent with the practice, and the error is within the acceptable range. Based on the
above analysis, the main contributions are as follows:
(1) Based on the data of winter seawater salinity in the North Temperate Zone from 1990 to 2019,
a weighted Markov chain prediction model was used to predict the winter seawater salinity
in 2019 and 2020. The weighted sum Pi of state 4 in 2019 and 2020 are 0.470 and 0.576
respectively. The predicted results show that the salinity of seawater is high.
(2) On the premise of verified model reliability, according to the Grade Characteristic Value (GCV)
from the fuzzy-set theory, the Grade Characteristic Value is H = 3.855 < 4. The predicted value
of seawater salinity is 37.69‰, and the relative error of the prediction is 8%, which is acceptable.

289
(3) According to the ergodicity principle of Markov chain, the return period of state 4 is the shortest
(1.964 years), and that of state 5 is the longest (27.500 years). Generally speaking, it is more
likely that the salinity of sea water in winter in North Temperate Zone is medium or high.
The results of this study show that it is feasible to use weighted Markov chain model to predict
seawater salinity, which provides a new way for further study of marine environment and sea ice
warning.

REFERENCES

Chen, AB, Dong, et al. Predicting Air Pollution Index Based on Extension and Fuzzy-cluster Analysis[J] 2008.
Jiang Y, Saito M, Sinha K C. Bridge performance prediction model using the Markov chain[J] 1988.
Liu Q C, Xiong W Q, Han G F. Tendency Forecast of Three Gorge Land Using by Means of Markov[J]. Journal
of Chongqing University (Natural Science Edition), 2005. (02):107–110.
Sun C Z, Lin X Y. Research on fuzzy Markov chain model with weights and its application in predicting the
precipitation state[J]. Journal of Systems Engineering, 2003(04):294–299.
Weighted Markov chains for forecasting and analysis in Incidence of infectious diseases in Jiangsu Province,
China[J]. Journal of Biomedical Research, 2010, 24(3):8.

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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

The characteristics of mineralogy and its implications for ore-forming

mechanism of the Qian’echong molybdenum deposit in Xinyang,
Henan Province

C.G. Zhang
School of Geographic Sciences, Southern Henan Center for Mineral Rock and Gem-Jade Identification and
Processing, Henan Key Laboratory for Synergistic Prevention of Water and Soil Environmental Pollution,
Xinyang Normal University, Xinyang, China
X.W. Tang, K.S. Liu & Y.S. Guo
No. 3 Institute of Geological & Mineral Resources Survey of Henan Geological Bureau, Xinyang, China

Q.Q. Qiao, X.J. Shi & Y.T. Yan

School of Geographic Sciences, Southern Henan Center for Mineral Rock and Gem-Jade Identification and
Processing, Henan Key Laboratory for Synergistic Prevention of Water and Soil Environmental Pollution,
Xinyang Normal University, Xinyang, China

ABSTRACT: To explore the genesis of Qian’echong molybdenum deposit in Xinyang, the min-
eralogical analysis of metal sulfide was carried out by using electron microprobe data, and the
regional geological background and deposit characteristics were connected to provide indicative
significance for the genesis of Qian’echong molybdenum deposit. The results show that the ore-
forming stage of the deposit can be divided into six stages. The electron microprobe data of pyrite
show that the S content of pyrite in quartz-potash feldspar stage is 53.51%, the Fe content is 46.44%,
and the Co/Ni ratio ranges from 0.18 to 0.82, showing the characteristics of sedimentary pyrite.
The pyrite in molybdenite-quartz stage contains 53.21% S, 46.58% Fe, and the Co/Ni ratio ranges
from 1.01 to 5.68, showing the characteristics of magmatic-hydrothermal pyrite. Combined with
the basic geological characteristics, it is considered that Qian’echong molybdenum deposit is a
typical porphyry deposit.

1 INTRODUCTION

The Qian’echong molybdenum deposit is a super-large metal deposit discovered in the Dabie
Mountains in recent years, and some basic geological work has been done on the deposit (Gao 2014;
Lv et al. 2020;Yuan et al. 2022; Zhu et al. 2012). Li Jilin et al. established a prospecting model based
on the analysis of the physical characteristics and geophysical characteristics of the deposit, which
provided a reference for the prospecting work in this area (Cai 2012; Luo & Li 2009; Ren 2012;
Yang et al. 2014). Some researchers divided its ore-forming process into six stages (Li 2011; Yang
& Zeng 2010). Some researchers believed that the Qian’echong molybdenum deposit was a typical
porphyry molybdenum deposit based on the analysis of the geophysical characteristics, chemical
characteristics, ore body size, and other aspects of the area (Li et al. 2006). However, different
researchers still have some controversy about the genesis of this deposit (Li 2010). Therefore, this
paper carries out a study on the genetic mineralogy of pyrite in the quartz-potassium feldspar stage
and molybdenite-quartz stage, to provide a certain guiding significance for determining the genetic
type of the Qian’echong molybdenum deposit in Xinyang.

2 GEOLOGICAL BACKGROUND

The Qian’echong molybdenum deposit is located at the northern foot of the Dabie Mountains, which
is part of the eastward extension of the Qinling-Tongbai-Dabieshan orogenic belt, and belongs to

DOI 10.1201/9781003308584-41 291

the Qinling-Dabieshan molybdenum metallogenic belt (Luo et al. 1991; Xu et al. 2011). Magmatic
rocks are widely developed in this mining area, and the tectonic evolution is complex
The exposed strata in the study area are relatively complete. The strata in the main area include
Sinian-Lower Ordovician Xiaojiamiao Fromation (Z-O1x), the Mesoproterozoic Guishan Forma-
tion (Pt2g), and the Devonian Nanwan Formation (Dn). The trend between the various layers is
nearly east-west, which is basically consistent with the trend of the regional tectonic line. Fault struc-
tures mainly include brittle fault structures and ductile fault structures (Li 2012). Since the faults
are mainly manifested as strong compression zones, the two have experienced strong deformation.
Larger-scale faults include the Guishan-Meishan fault, the Tongbai-Shangcheng fault, the Balifan
fault, and the Baiwa fault (Wang 2013). The magmatic activity in the mining area is frequent, and
the mid-acid intrusive rocks in the late Yanshan period are the most developed, producing large-
scale mid-acid porphyry bodies mostly small dyke rocks; the Meso-Cenozoic Indosinian mainly
formed magmatic rocks, and the sizes of the rock bodies were different, and the magmatic rocks
related to mineralization mainly include granite, gneiss granite, and various acid dike rocks, etc.
The lithology is mostly quartz diorite, granodiorite, etc.

3 GEOLOGICAL CHARACTERISTICS OF THE DEPOSIT

The mining area is located at the northern foot of the Dabie Mountains in the East Qinling-Dabie
Mountain molybdenum belt, and the exposed strata in the mining area are mainly the Devonian
Nanwan Formation. The lithologic assemblages are green curtain biomite schist, green curtain
biomite schist, and green curtain two-dolomitic quartz schist.
The NNE-trending ductile fault shear zone distributed in this area is cut into grids by the east-
west structure (Figure 1). The south is only 0.5 km away from the Tongbai-Shangcheng fault zone,

Figure 1. The geological sketch map of the study area (according to Xu, 2011).

292
and a series of large and medium-sized molybdenum deposits are also distributed near the fault
zone, such as Tangjiaping, Dayinjian, and Baoanzhai. The grid-like structure also controls the
distribution of granite bodies in this area, indicating that the Tongbai-Shangcheng fault zone plays
a decisive role in the formation and distribution of molybdenum deposits.
There is no large-scale rock mass exposed on the surface of the mining area. It has been verified
by drilling that there is a hidden rock mass in the lower part of Jiujialing. Medium-acid small
dike rocks in the late Yanshan period are relatively developed in the area, which can be divided
into diorite porphyry dikes, quartz porphyry dikes, granite porphyry dikes, and lamprophyre dikes
exposed according to rock types (Wang 2013). Molybdenum ore bodies occur in the contact zone
of green curtain biotite schist, green curtain biomite schist, green curtain quartz schist, and granite
porphyry. The main minerals in the rock mass are quartz, potassium feldspar, plagioclase, mus-
covite, biotite, sericite, calcite, etc. Its structure and formation are mainly fine-grained granite
structure, fine-grained granular structure, porphyritic structure, granular structure. The types of
rock mass alteration include sericitization, carbonation, argillization, chloritization, muscovite,
epidote, etc.
There are copper, molybdenum, lead-zinc, silver, and other ore bodies distributed in the mining
area, which are hosted in the middle and upper strata of the Devonian Nanwan Formation. The ore
deposits in the area are mainly concealed ore bodies, and there are 6 molybdenum ore bodies in
the mining area, among which M-II ore body is the largest, followed by M-I. The ore-hosting rocks
are mainly green curtain biotite schist, green curtain biomite schist, green curtain two-mite quartz
schist, biotiteplagiocite quartz schist, biotite quartz schist, etc. The ore body and the surrounding
rock are in a gradual transition relationship, without clear boundaries. The M-I ore body is 1360m
long from east to west, 160–520m wide from north to south, with a plane projection area of 0.40km2
and an average thickness of 15.21m. The M-II ore body is 1600m long from east to west, 320–1030m
wide from north to south, with an average projected area of 1.15km2, and an average thickness of
194.68m. The metal sulfides in the ore body mainly include chalcopyrite, sphalerite, molybdenite,
pyrite, galena, etc. The gangue minerals mainly include quartz, plagioclase, potassium feldspar,
epidote, biotite, etc. The ore is rich in structural types, and the common ones are disseminated
vein-like and massive structures.
According to field drilling and petrographic analysis under a microscope, the metallogenic
stages of Qian’echong molybdenum deposit in Xinyang are divided into the following six stages
(Li 2011). The ore-forming fluids at each metallogenic stage filled and deposited continuously
along with the tectonic system, forming large lenticular molybdenum ore bodies in the upper wall
rocks.

a. Quartz-potassium feldspar (Figure 2(a)): At this stage, pyrite is sparsely disseminated in the ore,
molybdenite is in a scattered shape, and there are vein-like structures in the upper wall rock
fissures.
b. Molybdenite-magnetite-potassium feldspar-quartz (Figure 2(b)): This stage is mainly composed
of disseminated structures, and some of them form discontinuous veinlet-like structures.
c. Molybdenite-quartz (Figure 2(c)): This stage is the main metallogenic stage. Pyrite is distributed
in a disseminated state in the ore, and some euhedral pyrite particles are distributed in intermittent
veins along the gangue fissures. Molybdenite is mostly semi-automorphiclath-like and flake-like,
distributed on the edge of pyrite and between gangue mineral grains.
d. Potassium feldspar (epidedite)-quartz (Figure 2(d)): At this stage, pyrite is distributed in sporadi-
cally disseminated ore, or along rock fissures; molybdenite is mainly semi-automorphiclath-like,
and flake-like, aggregates are clustered and radially distributed on the edge of pyrite and between
gangue mineral grains.
e. Sulfide-calcite-quartz: A series of sulfide-bearing calcite-quartz veinlets are formed at this stage
to fill fissures and several early veinlets.
f. Calcite: At this stage, calcite veins and quartz-calcite veins are formed.

293
Figure 2. Petrographic characteristics of ore.
Py- pyrite, Ccp- chalcopyrite; Po-pyrrhotite; Mot-molybdenite

4 TYPOGRAPHIC CHARACTERISTICS OF PYRITE

Mineralogy research provides a reliable basis for the study of metallogenic environment, element
occurrence state, and ore deposit origin (Brill 1989; Zhang 2017). This study mainly analyzes
the compositional typology of pyrite in the quartz-potassium feldspar stage and molybdenite-
quartz stage in the Qian’echong molybdenum deposit in Xinyang, to provide indication for further
determining the genesis of the Qian’echong molybdenum deposit in Xinyang.

4.1 Sample collection and testing methods

This research mainly selected the single mineral pyrite in the quartz-potassium feldspar stage and
molybdenite-quartz stage in the Qian’echong molybdenum mining area in Xinyang, and completed
the electron probe test in the Key Laboratory of Metallogenic Prediction of Nonferrous Metals
and Geological Environment Monitoring (Central South University), Ministry of Education. The
laboratory uses Shimadzu EPMA-1720/1720H type electron probe, the acceleration voltage (AccV)
is 15kV, the target beam current (BC) is 20nA, the beam diameter (Beam Size) is 5µm, and the
detection limit (SC) is 0.01 %.

4.2 Results
The element content characteristics of pyrite are obtained through the analysis of electron probe
data. From Table 1, the element content characteristics of pyrite in the Qian’echong molybdenum
deposit in Xinyang are as follows.

294
Table 1. Electron probe analysis results of pyrite (w(B)/%).

Sample As S Cr Pb Mn Ag Fe Sb Co Ni Total Co/Ni

19QEC01 0.154 53.394 0.001 — — 0.007 46.922 0.022 0.129 0.071 100.700 1.82
19QEC01 0.191 53.352 — — — 0.005 46.859 — 0.125 0.022 100.554 5.68
19QEC08 0.206 53.086 2 — — — 46.596 0.006 0.042 0.033 99.971 1.27
19QEC08 0.189 53.000 — 0.082 0.007 0.011 46.483 — 0.066 0.065 99.903 1.01
19QEC09 0.001 53.509 0.022 0.027 — — 46.372 0.008 0.034 0.077 100.249 0.31
19QEC09 0.001 53.491 0.027 — — 0.008 46.159 0.027 0.018 0.022 99.754 0.82
19QEC09 0.007 53.496 0.008 0.011 0.006 — 46.629 — 0.008 0.043 100.208 0.19
19QEC09 0.007 53.573 — — 0.003 0.008 46.490 — 0.022 0.051 100.154 0.43
19QEC09 0.005 53.469 0.024 0.038 — 0.007 46.444 0.007 0.010 0.018 100.022 0.56
19QEC09 0.002 53.524 0.015 — — 0.003 46.556 — 0.009 0.051 100.241 0.18
19QEC19 0.196 53.294 0.006 0.039 — — 46.616 — 0.061 0.047 100.259 1.30
19QEC19 0.191 53.196 0.003 0.046 — — 46.315 — 0.025 0.019 99.896 1.32
19QEC19 0.205 53.222 — — — 0.032 46.709 — 0.075 0.014 100.257 5.36
19QEC23 0.206 53.210 0.008 — — — 46.529 0.011 0.088 0.018 100.071 4.89
19QEC23 0.197 53.366 — 0.072 — — 46.569 0.006 0.055 0.022 100.287 2.50
19QEC25 0.213 53.147 — — — — 46.577 — 0.033 0.032 100.002 1.03
19QEC25 0.225 53.230 0.016 — — 0.006 46.604 — 0.009 0.006 100.096 1.5
19QEC34 0.533 53.041 0.007 0.027 — — 46.481 0.001 0.071 0.04 100.201 1.78
19QEC34 0.292 53.273 0.005 0.122 0.006 0.036 46.749 — 0.092 0.032 99.606 2.88
19QEC34 0.282 53.147 0.036 0.022 — — 46.052 — 0.062 0.051 100.117 5.64

—means not detected

As: The content of ω(As) in pyrite in the quartz-potassium feldspar stage ranges from 0.001%
to 0.007%, with an average value of 0.004%. The content of ω(As) in molybdenite-quartz stage
pyrite ranges from 0.15% to 0.53%, with an average value of 0.23%.
S, Fe: The content of ω(S) in the pyrite at the quartz-potassium feldspar stage ranges from
53.49% to 53.57%, with an average value of 53.51%, and the content of ω(Fe) ranges from 46.16%
to 46.63%. %, with an average of 46.44%. The content of ω(S) in the molybdenite-quartz stage
pyrite ranges from 53.00% to 53.39%, with an average value of 53.21%, and the content of ω(Fe)
ranges from 46.05% to 46.92%, with an average value of 46.58%. Compared with the theoretical
S and Fe contents of pyrite (the theoretical value of Fe mass fraction is 46.55%, S is 53.45%), the S
and Fe contents of the quartz-potassium feldspar stage are close to the theoretical value of pyrite,
and the molybdenite-quartz stage is rich in iron and deficient in sulfur.
Co and Ni: the average Co content in the quartz-potassium feldspar stage is 0.02%, the average
Ni content is 0.04%, the Co/Ni ratio is 0.18-0.82, and the average is 0.42; the average Co content
in the molybdenite-quartz stage is 0.07 %, the average Ni content is 0.03%, the Co/Ni ratio is 1.01
to 5.68, and the average is 2.71.
Cr, Pb, Mn, Sb: The contents of Cr, Pb, Mn, and Sb in pyrite at the quartz-potassium feldspar
stage and molybdenite-quartz stage are mostly below the detection limit.

5 DISCUSSION

The research shows that the Fe and S contents in sedimentary pyrite are similar to the theoretical
value of pyrite or have more S content, while the Fe and S in magmatic-hydrothermal pyrite has a
larger variation range and are characteristic of sulfur deficiency (Yan 2012a, Yan 2012b, Xu 1980).
The content of Fe and S in the quartz-potassium feldspar stage in the Qian’echong molybdenum
deposit in Xinyang is similar to that of sedimentary pyrite, and the content of Fe and S in the
molybdenite-quartz stage is similar to that of magmatic-hydrothermal pyrite.

295
 The typographic significance of Co and Ni content in pyrite is very important (Yan et al. 2016).
In magmatic-hydrothermal pyrite, the content of Co is high, and the content of Co is greater than
that of Ni. The content of Co is significantly higher than that of Ni in the molybdenite-quartz stage
in this mining area. Bralia believed that the Co/Ni ratio is different in pyrites of different genetic
types (Bralia et al.1979). In sedimentary pyrite, the contents of Co and Ni are relatively low, and
the Co/Ni ratio is lower than 1, with an average of 0.63; in magmatic-hydrothermal pyrite, the
content of Co and Ni is relatively large, and the Co/Ni ratio ranges sharply between 1.117 and 5.
The electron probe data of pyrite in the Qian’echong mining area of Xinyang show that the Co/Ni
ratio in the quartz-potassium feldspar stage is 0.42 on average, and is distributed between 0.18
and 0.82; the Co/Ni ratio in the molybdenite-quartz stage is 2.71 on average and is distributed
between 1.01 and 5.68 (Figure 3). In the figure, they are concentrated in the sedimentary and
magmatic-hydrothermal pyrite regions respectively, and a very small amount of pyrite falls outside
the region. To sum up, it is considered that the pyrite in the quartz-potassium feldspar stage in
this area belongs to the sedimentary origin, while the pyrite in the molybdenite-quartz stage has
obvious characteristics of magmatic-hydrothermal origin.

Figure 3. Co/Ni distribution map of pyrite in Qian’echong molybdenum deposit.

In the late Early Cretaceous, this area was in a tectonic extensional environment of the post-
collisional orogeny, when the deep magmatic-hydrothermal fluids intruded up along the structurally
weak zone, and when the ore-forming fluids rose to the stratum fracture zone and its fracture
development site, due to the sudden change of physical and chemical conditions, the metallogenic
hydrothermal fluids are deposited and mineralized in such favorable structural locations as stratum
fracture zones. Combined with the basic geological features, this study considers the Xinyang
Qian’echong molybdenum deposit to be a typical porphyry deposit.

6 CONCLUSION

After researching and analyzing the characteristics of the mineralogy of the Qian’echong
molybdenum deposit, it can be concluded that:
(1) Xinyang Qian’echong molybdenum deposit belongs to the Qinling-Dabieshan molybdenum
metallogenic belt, with complex tectonic evolution and favorable metallogenic conditions.

296
(2) The electron probe data of pyrite demonstrate that the S content of pyrite in the quartz-potassium
feldspar stage is 53.51%, the Fe content is 46.44%, and the Co/Ni ratio is distributed between
0.18 and 0.82, showing the characteristics of the sedimentary pyrite mine. The molybdenite-
quartz stage pyrite has an S content of 53.21%, a Fe content of 46.58%, and a Co/Ni ratio
ranging from 1.01 to 5.68, showing the characteristics of magmatic-hydrothermal pyrite. The
typomorphic characteristic of pyrite indicates that the pyrite in the quartz-potassium feldspar
stage is of sedimentary origin, while the pyrite in the molybdenite-quartz stage is of magmatic-
hydrothermal origin.
(3) Combined with the tectonic evolution and basic geological features, the Qian’echong
molybdenum deposit is considered a typical porphyry deposit.

ACKNOWLEDGMENTS

This work was financially supported by the Nanhu Scholars Program for Young Scholars of XYNU,
the Key Scientific and Technological Research Project of Henan Province (192102310268), the
Open Research Fund Program of Key Laboratory of Metallogenic Prediction of Nonferrous Met-
als and Geological Environment Monitoring (Central South University), Ministry of Education
(2019YSJS08). Acknowledgment should also be given to Yong Zhang and Dr. Jiajing Mei, for their
outstanding fieldwork, which deepens our understanding of the deposit.

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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Study on group pile effect of micropile group pile foundation in peaty

soil area

Rongquan Fan
State Grid Sichuan Electric Power Economic & Technology Research Institute, Sichuan, China

Li Tao∗
State Grid Aba Power Supply Company, China

YuAn Wu
Chengdu University of Technology, Chengdu, China

Tang Yang
State Grid Sichuan Electric Power Company, Sichuan, China

Wang Liang∗ & Keliang Liu

State Grid Aba Power Supply Company, China

ABSTRACT: Because of the characteristics of convenient construction and high bearing capac-
ity, micro-pile has been gradually applied in soft soil foundations. This paper investigates the
group pile effect and vertical bearing performance of micropile group pile foundation under peaty
ground conditions. The field test results, numerical simulation, and theoretical calculation results
were compared. The results show that the group pile effect of the miniature pile has good compres-
sive performance in this ground condition, the ultimate compressive bearing capacity of this test
foundation can reach 2700 kN, and the group pile effect coefficient is derived by using the solid
perimeter method is in the best agreement with the numerical simulation method. In the preliminary
design under the peaty ground conditions, the pile spacing can be taken in the range of 4d∼5d and
the group pile effect coefficient can be calculated by the solid perimeter method.

1 INTRODUCTION

A miniature pile is a kind of small infill pile developed from the root pile, whose length to slender-
ness ratio is usually greater than 30 and pile diameter is not greater than 400 mm, which is smaller
than that of an ordinary infill pile. Since the miniature pile foundation was first proposed in the
1950s, it was widely used in existing foundation projects to solve the problems of building settle-
ment and insufficient seismic performance (Cheng & Lu 2012; Kim et al 2018). In recent years,
it has been more widely used in the field of soft soil transmission towers, and scholars at home
and abroad have studied its bearing performance and influencing factors through a large number of
field tests, indoor tests, and numerical simulations. For example, Ma Chaoyang (Ma 2019) studied
whether the stress mechanism, damage mode, and influencing factors of miniature pile foundation
monopile and group pile are beneficial to be applied in overhead transmission line engineering
by comparing the numerical simulation results with theoretical analysis; W.R. Cooke et al (Cooke
et al. 1980) found that the load-settlement relationship of group pile and the load transfer law of
group pile can be better respond by using the stress superposition method through the field test of

∗ Corresponding Author: [email protected]

DOI 10.1201/9781003308584-42 299

group pile. K. Danno et al (Danno & Kimura 2008) conducted an indoor experimental study by
varying the pile spacing of group piles and combined it with a numerical simulation method for
comparative verification analysis of the indoor tests. The results showed that the effect of group
piles with a pile spacing of 5d (d is the diameter of the pile body) was not obvious when the external
load was applied for a short time.
To study the load-bearing performance of micropile group pile foundation under peaty ground
conditions, the real type test of micropile group pile foundation was carried out in the west Sichuan
area under typical ground conditions and the finite element software ABAQUS and the theoretical
formula were used for comparison and analysis, which provided some basis for the preliminary
design and application of micropile engineering in the area in the future.

2 TEST OVERVIEW

2.1 Site stratigraphic profile

The test site is located in the mountain slope terrace near Songpan County, Aba Tibetan, and Qiang
Autonomous Prefecture, Sichuan Province. The soft soil stratum of the site is widely developed,
mainly soft plastic peaty soil and peaty powder soil in the upper part, which has high compressibility,
large pore ratio, thixotropy, and other characteristics such as poor bearing capacity characteristics,
and plastic powder clay soil with relatively good engineering characteristics in the lower part. The
physical and mechanical properties of each soil layer of the site are shown in Table.1.

Table 1. Physical and mechanical properties of soil.

Name of soil layer Depth (m) Density (g/m3) Friction angle (◦ ) Cohesion (kPa) Poisson’s ratio

Peaty soil 0-3 1.35 6 14 0.4

Peaty clay 3-5 1.73 15 20 0.34
Powdery clay 5-8 2.00 20 25 0.31
Piles \ 2.50 \ \ 0.2

2.2 Test program

This test foundation pile is cast by way of a hand-dug pile, the size of the group pile foundation is
pile length 7.8 m, pile diameter 0.35 m, pile spacing 4d, pile top is 1.8 m×1.8 m×0.6 m (length×
width × height) square bearing platform, the number of piles is 4, the foundation pile used C35
concrete strength grade.
The loading test of a miniature pile group pile foundation adopts the slow maintenance load
method specified in the Technical Specification for Building Pile Foundation Inspection (JGJ 106-
2014) (Beijing: China Architecture & Building Press 2014), and the load is divided into 10 levels of
application, with each level of loading increment of 300 kN. The load application, data reading, and
stability criteria are strictly following the specification requirements. The load application process
of miniature pile group pile foundation is loaded to the termination of the foundation damage
test; under the action of the downward pressure load, the compressive ultimate bearing capacity is
taken according to the load corresponding to the Q-S curve with an obvious steep drop point or the
accumulated displacement value reaching 40 mm.
Test device and displacement meter layout details are as Figures 1 and 2.

300
 Figure 1. Sketch of the compressive test device. Figure 2. Pile foundation compressive test
displacement meter location map.

2.3 Test results

As shown in Figure 3, the test was applied in 10 stages, and the loading increment of each stage
was 300 kN. With the increasing load, the jack on the top of the foundation was gradually jacked
out, and when the load was applied to 2700 ∼ 3000 kN, i.e., the load stage was 9-10, the cracks
on the surface of the bearing platform of the mini-pile foundation developed rapidly and finally
formed very obvious cracks and bulges around. The experimentally measured data were compiled
and the load settlement curves of the mini-pile group pile foundation were plotted as Figure 4.

Figure 3. Soil fracture development around Figure 4. Load-settlement curve.

the pile for compressive test.

From the load-settlement curve, it can be seen that with the increase of the downward load, the
settlement of the foundation gradually increases, and it can be seen that the settlement value under
all levels of the load is more stable, and there is no obvious sudden change point, so it belongs to
the slow-change curve. According to the specification, this test takes the load corresponding to the
total settlement of 40 mm as the ultimate bearing capacity, i.e. 2700 kN, while the design requires
the ultimate bearing capacity of 1500 kN. Therefore, the ultimate compressive bearing capacity of
2×2 mini-pile tower foundation measured by the test far meets the design requirements.

3 NUMERICAL SIMULATION AND THEORETICAL ANALYSIS RESEARCH

3.1 Numerical modeling and model validation

The above field test has derived the ultimate bearing capacity of miniature pile 2×2 group pile
foundation under peaty ground conditions, but the group pile effect with friction pile is more

301
complicated than the end-bearing group pile due to the complex interaction between foundation
bearing pile and soil when resisting vertical load, and at the same time, compared with the common
single pile, any pile in the group pile effect also needs to consider the stress superposition effect
around the group pile. Therefore, the bearing capacity of the group pile foundation is not equal to
the sum of the bearing capacity of all foundation piles but should be combined with the specific
soil conditions and the spacing of each foundation pile to study and analyze the group pile effect
coefficient. The group pile effect with a miniature pile as the base pile is a typical friction pile
foundation, and the group pile effect needs to be studied while calculating its bearing capacity.
Therefore, in this chapter, the variation of the group pile effect coefficient of group pile effect with
miniature piles of this size type is studied by numerical simulation with the pile spacing as the
variable, based on which the results of the field test can be matched.
In this paper, the finite element software ABAQUS is used to model and analyze. The foundation
adopts the elastic-Moor Coulomb plastic model, and the micro-pile group pile foundation adopts
the elastic model (Fan et al. 2020), and the physical and mechanical parameters of the foundation
soil are obtained from the indoor geotechnical test are shown in Table 1. For the form of pile-
soil contact, this paper selects the face-surface contact for simulation, and the dynamic friction
coefficient µ of the pile-soil contact surface is the tangent of the effective internal friction angle
of the soil body from 0.75 to 1 time (Song 2016). The specific value needs to be selected with
the site conditions, and since the test foundation is made of hand-dug holes with rough sidewall,
the contact surface friction angle of the simulation process is considered to be consistent with
the internal friction angle of the foundation. When the 2×2 type group pile foundation model is
established by the finite element model, the horizontal calculation width can be taken as 5∼8 times
of the width of the bearing platform, and the calculation depth is 2 times of the pile length. In this
engineering example, the design size of the mini-pile is L=7.8 m for single pile, d=300 mm for
pile diameter, 3d, 4d, 5d, 6d, 7d for group pile spacing, the size of the bearing platform is the same
as the field test, the calculated range of soil vertical direction in the model is taken as 2 times of
pile length, and the horizontal direction is taken as 10 m×10 m.
Comparing the numerical simulation results with the load settlement curve obtained from the
field test, as shown in Figure 6, it can be seen that under the action of the downward pressure load
at all levels, although the settlement of the simulation results is slightly smaller than the settlement
of the curve obtained from the test, the changing trend is consistent and matches. Therefore, it can
be concluded that the established 3D model is reliable and can better simulate the load transfer
process of the mini-pile tower foundation.

Figure 5. Group pile model. Figure 6. Load-settlement comparison curve.

3.2 Study of group pile effect coefficient

The interaction between group pile foundation and surrounding soil under vertical load causes the
superposition of foundation stress, which leads to the complexing of bearing mechanism, thus, the

302
bearing performance of foundation pile and deformation damage characteristics are different from
that of the single pile, and the group pile bearing capacity is not equal to the result of summing up
the single pile bearing capacity of all foundation piles, and this phenomenon is called group pile
effect (Xu et al. 2012). The change in the strength of the group pile effect is measured by studying
the group pile effect coefficient, which is defined as follows:

Qu
η= (1)
n · Pu

In the formula, η: group pile effect coefficient; Pu : monopile ultimate bearing capacity (kN);
Qu : group pile ultimate bearing capacity (kN).
By reading the domestic and international literature, the following three methods are selected to
study the pile effect coefficient of micropile groups (Deng et al. 2007; Xieet al. 2003; Zhao 2019).
(1) Solid perimeter method
If the group pile is m rows and n columns, the number of piles is m × n, the pile distance Sd ,
and the pile diameter d, the perimeter length p of the group pile can be calculated by the following
equation.
The calculation formula for circular piles is

p = 2(m + n − 2)Sd + 4d; (2)

the total perimeter length of the monopile can be calculated from

p = mn(πd) (3)

.
Then group pile effect coefficient is

p 2(m + n − 2)Sd + 4d
η= = (4)
p π mnd

(2) Converse-Labarre method

d 2 (n − 1)m + (m − 1)n
η = 1 − tan−1 (5)
Sd π mn

(3) Stress superposition method

In addition to considering the number of rows and columns of group piles, this method also
takes into account parameters such as pile length l and internal friction angle φ. To make the results
more accurate, the pile spacing is also divided into longitudinal pile distance s1 and transverse pile
distance s2 , and group pile effect coefficient can be calculated using the following formula.

1
η= (6)
1+λ
   
Among them, λ = 2A1 m−1 + 2A 2
n−1
+ 4A 3
(m−1)(n−1)
A 1 = 1
− 1
, A 1 = 1
− 1
  m n mn 3s1 2l tan ϕ 3s1 2l tan ϕ

A1 = 3s11 − 2l tan
1
ϕ
.
Among them, λ denotes the average discount factor considering the superposition of stresses in
group piles; for multi-layered soils, φ is the weighted average of the internal friction angle of each
soil layer within the depth of pile entry.
The sum of the bearing capacity of every single pile in the micropile group pile foundation
multiplied by the group pile effect coefficient is the bearing capacity of the group pile foundation
size bearing. The most important factor affecting the group pile effect coefficient is the pile spacing,

303
so this subsection uses the established 2×2 type miniature pile group pile foundation, pile length
7.8 m, pile diameter 0.35 m size scheme, by changing the pile spacing to carry out a comparative
analysis.
In analyzing the relationship between group pile effect coefficient and pile spacing, the group
pile vertical bearing capacity Qu takes the limit value of numerical simulation under different pile
spacing, and the base pile vertical bearing capacity Pu takes the limit value of base pile mini-pile
bearing capacity, and group pile effect coefficient under different pile spacing is obtained by using
three calculation methods that meet the specific situation of this paper as shown in Table 2.

Table 2. Comparison table of calculation results of pile group effect coefficient.

Piles pacing Methods 3d 4d 5d 6d 7d

Solid perimeter method 0.991 1.274 1.557 1.840 2.122

Converse-Labarre method 0.678 0.755 0.802 0.835 0.858
Stress superposition method 0.539 0.670 0.785 0.886 0.975
Numerical simulation method 0.912 1.283 1.492 1.526 1.468

As can be seen from the results, among the methods, when the value of Sd/D is less than 5, the
values calculated by the solid perimeter method and the numerical simulation method match, but
when the value of Sd/D is greater than 5, group pile effect coefficient obtained by the numerical
simulation method starts to deviate from both the calculated value and value of the theoretical
formula have decreased rapidly. Therefore, it is tentatively suggested that the pile spacing of
micro-pile 2×2 type group pile foundation under the conditions of this stratum in the highland
mountainous area can be taken in the range of 4d∼5d, and the entity perimeter method can be used
for preliminary design estimation.

4 CONCLUSION

In this paper, the group pile compressive static load test was carried out at the project site of Chuanxi
peaty soil layer one, and the calculation and numerical simulation analysis of the mini-pile 2×2
group pile foundation were carried out by combining the theoretical formula with the finite element
software ABAQUS, and the main conclusions were obtained into the following.
(1) Through the group pile compressive static load test in a project site of peaty soil layer in
the west Sichuan, the ultimate compressive bearing capacity and the variation law of lateral
friction resistance with a depth of the group pile foundation of miniature pile 2×2 type were
obtained. Under this test condition, the load-settlement curve of the group pile belongs to the
slowly changing type, and the ultimate bearing capacity of the pile foundation is taken as the
load corresponding to the foundation settlement s=40 mm, and 2700 kN; the lateral frictional
resistance increases with the load in the upper and lower part of the pile, and the larger the
load, the more obvious this phenomenon is.
(2) Using the finite element analysis software ABAQUS to model and analyze, the settlement-
displacement curve is consistent with the measured curve on site, which indicates that the
results of ABAQUS simulation are reliable.
(3) The numerical simulation of the group pile effect coefficient of miniature pile foundation
was studied and analyzed with the theoretical formula, and the change of group pile effect
coefficient was studied by changing the pile spacing, and finally, it was concluded that the
theoretical value of group pile effect coefficient derived by the entity perimeter method was in
good agreement with the numerical simulation results, and it was suggested that the preliminary
design pile spacing was 4d∼5d.

304
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Beijing:China Electric Power Press, 2012:1–4.
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Geotechnical Journal, 2008, 3(1):73–83.
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Bored Pile Groups [J]. Journal of Civil and Environmental Engineering, 2007, 29(06):84–87+97.
Dongho Kim, Garam Kim, Incheol Kim, et al. Assessment of load sharing behavior for micropiled rafts
installed with inclined condition [J]. Engineering Structures, 1 October 2018:780–788.
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Ma chaoyang. Application Research of New Bored Micro Pile Foundation for Transmission Line [D].
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Pile Group[J]. Journal of Highway and Transportation Research and Development, 2003, 20(05):61–63+77.
Xu Zhijun, Zheng junjie, bianxiaoya, et al. Reliability analysis of pile groups based on different failure
criteria[J]. Chinese Journal of Geotechnical Engineering, 2012, 34(05):819–825.
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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Diagnosis and countermeasures for water coning in carbonate

reservoirs with edge and bottom water

HengYu Lyu∗ , Xuan Liao∗ , ChangQian Zhu, WenQi He & Lei Shao
Research Institute of Petroleum Exploration and Development, Beijing, China

ABSTRACT: The most significant difference between carbonate and sandstone reservoirs is the
presence of significant macroscopic heterogeneity in carbonate reservoirs. With the expansion of
the development of oil reservoirs, the number of wells with a high water cut has gradually increased,
resulting in a significant reduction in oil production. In this research, using the carbonate reservoir
X with edge and bottom water as an example, the method of static and dynamic combination is used
to determine that the bottom water cone is the primary kind of water production for the high water
cut well. At the same time, the primary factors that influence water production are investigated.
In the X reservoir, it is considered that the high-permeability strata and barriers have complete
control over the high-water-cut wells, and that the high production rate is also the primary factor
driving the quick growth in water cut. Finally, effective countermeasures for high-water-cut wells
were proposed in accordance with the key controlling variables of high-water cut wells, as well as
practicable remedies. It has been demonstrated on the oilfield through actual effect feedback that
the countermeasures are successful in reducing the water cut of high water cut wells through actual
effect response.

1 INTRODUCTION

Different from sandstone reservoirs, carbonate reservoirs have rapid sedimentary facies, large
differences in physical properties, and high-permeability zones generally. Reservoirs with edge
and bottom water make the relationship between oil and water complicated, and bottom water
coning generally occurs, causing the water cut of a single well to increase in a short period of time,
which severely restricts the output of a single well.
Okon studied the water production mechanism of the bottom water cone of horizontal wells and
predicted the reasonable production of horizontal wells through empirical and numerical simulation
methods (Okon et al. 2017; Okon & Appah 2018). Li studied the breakthrough time of the bottom
water cone in a sandstone reservoir without barriers and predicted the bottom water cone profile
(You et al. 2018). Makinde predicted the production performance after the water cone breakthrough
the bottom of the horizontal well by modifying the numerical simulation method of WOR (Li et al.
2015). Ilya studied the water coning mechanism by simulation methods and optimize new well
targeting and well operation for prolonging water-free period (Makinde et al. 2015). Tabatabaei
extends the waterless oil recovery period by optimizing the completion and perforation section
of the vertical well (Ilya & Shigapova 2015). Li studied the waterflooding development effect
of carbonate bottom water reservoirs through numerical simulation and believed that the high
permeability layer is an important factor influencing the bottom water cone (Tabatabaei et al.
2008). The major goal of this work is to discover the main controlling factors of the bottom water
coning of carbonate reservoirs with edge and bottom water using an approach that incorporates

∗ Corresponding Authors: [email protected] and [email protected]

306 DOI 10.1201/9781003308584-43

static and dynamic evidence, and to provide targeted remedial countermeasures. The study focuses
on the actual application effect on the field.

2 DIAGNOSIS OF HIGH WATER CUT WELLS

2.1 Reservoir description

The X reservoir is a massive carbonate reservoir with an aquifer at the bottom, seen in Figure 1.
The majority of the upper X is made up of back shoal skeleton packstone interbedded with lagoon
wackestone. Moldic pores, micropores, and visceral foramen are only a few examples of pore
types. The reservoir is continuous and has a thickness of 76-88 m. The porosity of the reservoir is
13-18%, while the permeability is 1.9-3.1mD.
Lower X is mostly rudist grainstone and packstone that was deposited and diagenetically evolved
in a shoal environment. The most common pore type is moldic pore/dissolution pore. Vugs have
emerged in some areas. The reservoir is continuous, with a thickness of 40-50 m. It has a porosity
of 19-25 percent and a permeability of 4.4-34 mD.

Figure 1. Reservoir profile of X carbonate reservoir with edge and bottom aquifer.

2.2 Main influencing factors for water coning

The bottom water coning is mainly caused by three factors. The first is the barrier’s degree of
development and spatial distribution, the second is the high permeability strata’s features and
spatial distribution, and the third is the injection-production relationship and intensity (Figure 2).
Unlike sandstone reservoirs, which have interlayers, carbonate reservoirs have physical inter-
layers that act as barriers or slow the transport of oil and water during the development process.
Various types of interlayers have consistent rock types, pore characteristics, micro-pore throat struc-
ture, conventional physical qualities, and matching sedimentary properties. Medium-high gamma,
medium-high density, and medium-high resistivity are all features of several types of interlayers.
The resistance is anomalous, in contrast to the reservoir’s higher and lower regions. In the research
area, the various reservoirs and interlayers vary quickly in the lateral direction, and the vertical
stacking relationship is complex. Simultaneously, the interlayer’s thickness is thin, which is gov-
erned by the sedimentary sequence, which is primarily dispersed around the interface of different
levels of sequence.

307
 Through research and analysis of dynamic data and porosity changes, it is found that the main pay
zones of Lower X have high-permeability strata. These high-permeability channels are developed
in different positions in different strata. Due to the existence of such abnormal seepage channels,
the development stage The water channelling is serious, which has a great impact on the injection-
production relationship in some areas. The high-energy deposits in the Lower X shoal are formed in
a shallow, high-energy environment above the wave base, and are dominated by thick clam beaches
and bioclastic-sand beaches. A large number of primary intergranular pores are developed, and the
strong fluid seepage ability is very strong in itself, and it is concentrated on the top of the dominant
shoal facies area on the plane.
The high water-cut wells of Lower X are generally developed by horizontal wells. Because the
completion and perforation section are partially in high-permeability strata with good physical
properties, the initial production is relatively high, and the oil production rate is relatively fast.
Driven by natural energy and bottom water, once the water coning is formed, the water cut will be
very high.

Figure 2. Water coning schematic profile of X reservoir.

It is noted that the main steel beams of three specimens are supported at the support beam as
shown in Figure 1. Each secondary beam (steel channel)

3 COUNTERMEASURES FOR WATER CONING FOR HIGH WATER CUT WELLS

Bottom water coning control strategy: Based on water cut, liquid production, oil production capac-
ity, and well type indicators, high water cut wells are screened step by step, priority is given to
governance, and feasible measures are formulated. Edge water intrusion control strategy: Based on
the water content and the development stage of the see-water well, formulate reasonable measures
or adjust and optimize suggestions. Injected water treatment strategy: grasp the opportunity, rea-
sonably use test methods to determine the level of injecting water, and then give priority to control
the injection and production end, and then consider the operation mode of measures (Figure 3).
Through the research results of this article, the treatment of multiple high water cut wells was
tested in the X reservoir, and the effective control of the water cut of a single well was realized. At
the same time, the energy utilization rate of the reservoir was improved, and the development level
of the reservoir was increased. Relatively balanced development effect.

308
Figure 3. Water coning treatment workflow.

Through the countermeasures for bottom water coning management in this article, combined
with the actual measures taken on site for well-A confirmed as water coning seen in Figure 4, the
operation of blocking Lower X is implemented.

Figure 4. Well section profile of well-A.

309
 It can be seen from Figure 5 that the water cut of well-A has dropped from 60% to 20%, while
the production has remained stable. It fully proves that the results of this research are effective on
site and have promotion value.

Figure 5. Treatment effect of well-A for water coning management.

4 CONCLUSION

Carbonate reservoirs are generally developed with interlayers and high-permeability strata, with
strong heterogeneity, especially the development contradictions within and between layers of thick
reservoirs, which are under the dual effects of edge and bottom water and water injection devel-
opment. The main influencing factors of the bottom water cone of high water cut oil wells during
the development process, are distribution of barriers and high-permeability strata, and injection-
production relationship and intensity. Through the research of this paper, the main characteristics
of oil well water breakthrough and its development characteristics have been clarified, and the
principles of governance strategies have been formulated, and feasible control measures have been
proposed pertinently.
Taking the X reservoir as the research object, the bottom water cone type mainly occurs on the
top of Lower X with better physical properties. For the bottom water coning type high water-cut
vertical wells, it is recommended to plug the bottom water-producing interval, and recompleted to
the upper X, and the strategy of controlling liquid and dewatering is adopted for horizontal wells.

ACKNOWLEDGMENTS

The authors express their gratitude to Middle East Technical Team of Research Institute of Petroleum
Exploration and Development for their support.

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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Study on triaxial compression test of cement-fly ash solidified high

liquid-plastic limit clay

Peng Yuan, Ke-yu Yue & Hong-dan Zhao

State Grid Liaoyuan Power Supply Company, Liaoyuan, China

Zhi-qiang Wang, Jin-hua Gao & Guang-xin Zhang∗

College of Water Resources and Environmental Engineering, Changchun Institute of Technology, Changchun,
China

ABSTRACT: High liquid plastic limit clay has the characteristics of high moisture content,
obvious seasonal frozen layer and low bearing capacity. In order to study the curing effect of
cement fly ash curing agent on high liquid plastic limit clay. The optimal ratio of curing agent
was determined by limit moisture content test and triaxial test. The results show that, Adding fly
ash can change the strength of solidified soil. With the increase of fly ash content, cohesion and
effective cohesion first increase and then decrease. The content of turning point is about 15% of
the best fly ash content, and the internal friction angle and effective internal friction angle increase
continuously. Under a certain amount of fly ash, with the increase of cement mixing ratio, the
amount of cement hydration increases, and the cementation filling effect is obvious, resulting in a
large increase in cohesion and internal friction angle, and the strength of solidified soil increases.
It is feasible to mix cement and fly ash for the curing of high liquid-plastic limit clay, and the curing
effect is the best when the cement and fly ash content is C15F15 under the premise of meeting the
practical engineering problems and economic benefits.

1 INTRODUCTION

High liquid-plastic limit clay is humus soil with deep freezing, long freezing period and obvious
seasonal frozen layer.In northern China, clay is often used as a foundation to bear the foundation.
However, due to its low bearing capacity and serious frost heave, it often causes certain frost damage
to pile foundation and road engineering. Replacing frost heave soil around the pile foundation and
the treatment of the pile foundation surface are usually used for the frost heave damage of pile
foundation in clay area. However, these methods have large quantities and high economic costs. In
recent years, some scholars have proposed to control the frost heaving of soil by stratum method.
The study of Song Yiming pointed out that when the cement content was 3 % -12 %, the inhibition
effect of cement on soil frost heaving and thawing settlement was the most obvious (Song 2018);
Li Huawei analyzed the reaction mechanism of curing red mud with fly ash and cement (Qin et al.
2019); Pang Wentai uses the principle of cement solidified soil technology to prepare new materials
with high strength and good durability by adding fly ash into cement soil and using strong alkali to
stimulate fly ash cement soil (Pang 2013). However, there is no in-depth study on the improvement
of high liquid-plastic limit clay by using solidification measures.

∗ Corresponding Author: [email protected]

312 DOI 10.1201/9781003308584-44

2 EXPERIMENTAL RESEARCH METHODS

2.1 Material selection

The soil sample used in this experiment is high liquid plastic limit clay, which is taken from
Dongfeng County, Liaoyuan City. The basic physical and mechanical properties are shown in Table
1; the cement used in the test is 32.5 ordinary Portland cement, and its basic properties are shown
in Table 2; the fly ash used in the test is laboratory grade fly ash, and its chemical composition is
shown in Table 3.
Table 1. Physical and mechanical indexes of high liquid plastic limit clay.

Natural water Density Dry density Optimum moisture Maximum dry Liquid limit/ Plastic limit/
content w(%) (g/cm3) (g/cm3 ) content W1(%) density (g/cm3) % % pH

48 1.712 1.16 32 1.65 60 35 5..1

Table 2. 32.5 Basic properties of ordinary portland cement.

Setting time/ Strength of ISO mortar

min at different ages /MPa

0.08mm Normal 28 day 28 days

sieve consistency/ initial final flexure compressive SO3 / MgO/
fineness /% % coagulation coagulation strength strength % %

2.5 26.0 150 210 8.0 42.0 2.17 4.2

Table 3. Chemical composition and content of fly ash.

Chemical composition SiO2 Al2 O3 Fe2 O3 CaO MgO SO3

Mass percent /% 57.20 34.71 3.51 2.59 0.17 0.22

2.2 Material selection

Three cement mixing ratios Cw ( 10 %, 15 %, 20 % ) and three fly ash mixing ratios Fw ( 10 %, 15
%, 20 % ) were selected in the experiment. The moisture content was controlled to be the optimal
moisture content of clay. According to the design method of comprehensive experiment, the test
ratio was given in Table 4.

Table 4. Test scheme.

Test scheme Cement content Fly ash content Water

C10F0 10 0 32
C10F10 10 10 32
C10F15 10 15 32
C10F20 10 20 32
C15F0 15 0 32
C15F10 15 10 32
C15F15 15 15 32
C15F20 15 20 32
C20F0 20 0 32
C20F10 20 10 32
C20F15 20 15 32
C20F20 20 20 32

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2.3 Sample preparation
Boundary moisture content test: Twelve samples were comprehensively tested with cement content
of 10 %, 15 % and 20 %, fly ash content of 0 %, 10 %, 15 % and 20 %, and one blank control group
was set. The specific process is as follows : soil samples, cement and fly ash are weighed according
to the test ratio by using 0.5 mm sieve air-dried soil samples. Cement, fly ash and soil samples
are mixed and mixed with a soil conditioner knife. Different amounts of pure water are added to
prepare three kinds of soil pastes with different consistency close to the liquid limit, plastic limit
and the intermediate state of the two, and then placed in a closed environment for 24 h.
Triaxial shear test: According to the test scheme, a total of 12 groups were made, with 15 samples
in each group. The diameter of the sample was 61.8 mm, and the height was 125 mm. The curing
age was set to 14 days. For the sample reaching the proposed age, firstly, the sample was saturated
by pumping air and immersed in water for 24 h, and then the stress-strain control was used to
conduct CU test. The shear strain rate of the test is 0.06 mm / min, and the confining pressure is
100,200,300,400 kPa. During the sample preparation process, although the sample is saturated and
soaked by pumping, due to the sealing effect of cement hydration, there are pores in the sample,
which cannot be fully saturated, and the saturation is about 90%–95% (Hu et al. 2016).

3 ANALYSIS OF TEST RESULTS

3.1 Effect of cement and fly ash on boundary water content of solidified soil
Plasticity index is one of the sensitive indicators reflecting the interaction between soil particles and
water, which reflects the hydrophilicity of soil to a certain extent (Wang et al. 2010). It is closely
related to soil particle composition, clay mineral composition, cation exchange performance, soil
bound water film thickness, specific surface area and water solution properties.
Figures 1 and 2 show the relationship histogram between the limit moisture content of solidified
soil and different ratios of curing agent. It can be seen from Figures 1 and 2 that the plasticity index
and liquid limit water content first decrease and then increase with the increase of curing agent
content. However, with the gradual increase of curing agent content, the growth of IP and WL is
becoming slower and slower. The analysis shows that the IP and Wl index ratios of the experimental
group are smaller than those of the blank group. When the cement and fly ash content are both
15 %, the liquid limit water content and plasticity index reach the minimum, 0.6 times that of the
blank control group, and 0.16 times that of the 15 % cement alone. It shows that adding cement
and fly ash to high liquid plastic limit clay can effectively reduce the plasticity index.

Figure 1. Relationship curve between plasticity index Ip and curing agent content.

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Figure 2. Histogram of relationship between liquid limit and curing agent content.

3.2 Analysis of triaxial compression test results

3.2.1 Effect of fly ash content on shear strength of solidified soil
When the cement content is certain, the relationship among fly ash content, confining pressure
and maximum deviatoric stress is shown in Figures 3 and 4. It can be seen from Figure 3 that the
maximum deviatoric stress of solidified soil under different confining pressures increases first and
then decreases with the increase of fly ash content. When the fly ash content is small, the strength
of cement soil increases slowly. When the fly ash content is greater than 10 %, the strength of
cement soil increases rapidly with the increase of fly ash content. When the fly ash content reaches
15 %, the strength of cement soil reaches the peak. Then, with the increase of fly ash content,
the strength of cement soil not only does not increase but shows a downward trend (Xiao 2021).
Therefore, there is an optimal value of fly ash content in cement soil. The optimum content of high
liquid plastic limit clay fly ash is 15 %.

Figure 3. Relationship curve between fly ash content and maximum deviatoric stress.

315
Figure 4. Relationship between maximum deviatoric stress and confining pressure under different fly ash
content.

In order to describe the improvement efficiency of fly ash content on the strength of cement
solidified high liquid plastic limit clay, the contribution rate of fly ash to cement solidified soil is
defined as
(σ1 − σ3 ) Fy − (σ1 − σ3 )0
(σ1 − σ3 ) = × 100%
(σ1 − σ3 )0 Fy

In the formula : (σ1 − σ3 )0 is the maximum deviatoric stress when the fly ash content is 0;
(σ1 − σ3 ) Fy is the maximum deviatoric stress of solidified soil with different fly ash content.
The contribution rate of each fly ash content to the strength improvement of cement solidified
soil is shown in Figure 5. It can be seen from the diagram that when the fly ash content is 15 %, the
contribution rate to the strength is the highest, reaching 2.3 %, and the contribution rate of other
fly ash content to the strength is low.

Figure 5. Contribution rate of different fly ash content to strength improvement.

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 Table 5 shows CU test results of solidified soil under different fly ash contents of C15. It can be
seen from the table that the total shear strength index and effective shear strength are both positive,
and the cohesion is higher than the effective cohesion. The internal friction angle is less than the
effective internal friction angle. This conforms to the triaxial test law of general soil.
Table 5. Shows CU test results of solidified soil with different fly ash contents.

Parameter Fy/%

0 10 15 20

C/kpa 112.4 135.8 156.9 123.8

C /kpa 103.2 129.1 147.9 110.7
ø/(◦ ) 26 28 31 34
ø /(◦ ) 28 33 35 37

In practical engineering application, the analysis method based on effective stress principle is
more suitable for practical problems, but it is difficult to accurately calculate and measure the excess
pore water pressure in engineering, and it is also difficult to achieve the pumping saturation of sam-
ples in laboratory tests (Chen et al. 2018). In many cases, the total stress principle analysis method
is still used. Therefore, the effective strength index determined by the conventional triaxial CU
compression test is only used as a reference. Theoretically, the effective strength index determined
by the conventional triaxial CU compression test is too small to be used in practical engineering.

3.2.2 Effect of cement content on shear strength of solidified soil

Under a certain amount of fly ash, the cement mixing ratio is also the main factor controlling the
strength change of solidified soil. Figure 6 shows the relationship between the maximum deviatoric
stress and confining pressure under different cement mixing ratios. It can be seen from the figure
that the maximum deviatoric stress and confining pressure increase linearly under a certain cement
mixing ratio, but the increase is slightly different with the change of cement mixing ratio. In
addition, when the confining pressure is constant, the maximum deviatoric stress increases with
the increase of cement mixing ratio. When the cement mixing ratio increases from 10 % to 15 %, the
maximum deviatoric stress increases by about 149 %. When the cement mixing ratio increases from
15 % to 20 %, the maximum deviatoric stress increases by about 60 %, indicating that increasing
the cement mixing ratio can effectively improve the strength of solidified soil. Considering the
practical application and economic benefits of the project, 15 % cement can be added.

Figure 6. Relationship between maximum deviatoric stress and confining pressure under different cement
mixing ratios.

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 Figure 7 shows the stress-strain curve of C15 solidified soil when the sample is sheared under
confining pressure. The stress-strain curve has obvious peaks. When the confining pressure is 100
kPa, 200 kPa, 300 kPa and 400 kPa, the peaks appear at the axial strain of 2.17 %, 3.45 %, 4.6
% and 4.97 % respectively. With the increase of confining pressure, the strain corresponding to
the peak value of the specimen during failure is larger, and the ductility characteristics are more
obvious (Li et al. 2008). The stress-strain relationship of C15 cement-soil basically conforms to
Hooke ’s law at the beginning of stress. When the external force reaches 70 % ∼ 80 % of the
ultimate strength, the stress and strain relationship of the soil sample no longer maintains a linear
relationship. When the external force reaches the ultimate strength, brittle failure occurs quickly
for cement soil with high strength. In Figure 7, there is an obvious turning point in the curve, that
is, the failure point of the test block.

Figure 7. Stress-strain curves of C15F0 under different stress paths.

3.2.3 Ring-breaking form of cement-fly ash solidified soil

Figure 8 is the failure mode of triaxial shear test of solidified soil mixed with cement and fly ash.
After the specimen was damaged by deviatoric stress, multiple cracks appeared, and the main cracks
were prominent. After the failure, the specimen was separated along the shear failure surface, which
was plastic shear failure. Therefore, the failure mode of cement-fly ash composite solidified soil
is mainly plastic shear failure.

Figure 8. Ring breaking form of cement fly ash solidified soil specimen.

4 CONCLUSION

In this paper, The main conclusions can be summarized as follows:(1)Adding fly ash can change the
strength of solidified soil. With the increase of fly ash content, cohesion and effective cohesion first
increase and then decrease. The content of turning point is about 15 % of the best fly ash content,

318
and the internal friction angle and effective internal friction angle increase continuously.(2) With the
increase of cement mixing ratio under a certain amount of fly ash, the amount of cement hydration
increases, and the cementation filling effect is obvious, resulting in a large increase in cohesion
and internal friction angle, and an increase in the strength of solidified soil.(3) It is feasible to mix
cement and fly ash for the curing of high liquid plastic limit clay, and under the premise of meeting
the engineering practical problems and economic benefits, when the cement and fly ash content is
15 %, the curing effect is the best.In terms of the future work, High liquid plastic limit clay should
be carried out to enhance Research on Mechanism.

REFERENCES

Chen Sili, Hou Rui, Ni Chunlei, Wang Junxiang. Research on the Mechanical Properties of Cemented
Soil Based on Triaxial Compression Tests[J]. Bulletin of the Chinese Ceramic Society, 2018, 37(12):
4012–4017.
Hu Ganliang, Wang Yinmei, Jiang Changtong. Soil-water characteristic curve test of SH solidified loess[J]
.Water Resources and Power,2016,34(01):128–130+135.
Li Yong-le, Zhang Hong-fen, Hou Jin-kai, et al. Experimental study of triaxial test of undisturbed unsaturated
loess[J]. Rock and Soil Mechanics, 2008, 29(10): 2859–2863.
Pang Wen-tai. Blenging fly ash Compound Cement Soil Mechanical Properties and Durability Research[D].
Inner Mongolia Agricultural University, 2013.
Qin Lu-sheng, Li Hua-wei, Nie Qing-ke, et al.Experimental study on Red Mud Curedb by Fly Ash[J] .Fly Ash
Comprehensive Utilization, 2019(5):55–61,73.
SongYi-ming. Study on Properties of Frost Heave and Thawing Settlement of Cement-improved Silty Clay[D].
China University of Mining and Technology, 2018.
Wang Pei, Wang Xiaoyan, Chai Shouxi. Solidifying methods for inshore saline soil and its deviator stress-
strain[J]. Rock and Soil Mechanics, 2010, 31(12):3939–3944.
Xiao Zhe. Experimental study on lime improvement characteristics of high liquid plastic limit soft soil
subgrade[J] .Journal of Shijiazhuang Institute of Railway Technology, 2021, 20(02):33–37.
Yan Hong-xia, Sun Lei, Qian Yu-lin. Summarization on influencing factors of tension, compression intensity
of cemented-soil[J]. Geotechnical Engineering World, 2008, 112 (2): 21–23.

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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Research progress on the application of ionic liquids in petrochemical

industry

Ding Wang∗ & Dan Guo

Petroleum Engineering College, Xi’an Shiyou University, Xi’an, China

ABSTRACT: As a traditional industry, the petrochemical industry has serious energy con-
sumption and environmental pollution problems, which do not meet the requirements of global
sustainable development. Under the continuous promotion of ecological civilization construction,
the principle of green chemistry should be effectively implemented in the petrochemical indus-
try. Ionic liquid is a new type of “green solvent” that is colourless, odourless, and reused. It is
completely composed of ions. It has the advantages of non-volatile, low vapour pressure and wide
temperature range. It is often used to increase the yield of crude oil due to its special physical and
chemical properties. Alternatively, a new surfactant was added to the emulsion crude oil production
process, resulting in demulsification. This paper reviews the development history, physicochemical
properties, and applications of ionic liquids. The development prospect and shortcomings of ionic
liquids were discussed. In general, further research and innovation of ionic liquids will deeply
understand the necessity of their development.

1 INTRODUCTION

As a green surfactant, ionic liquid has become ubiquitous in the scientific field worldwide. It has a
wide range of applications and is green and non-toxic (Rashid et al. 2018). The special ionic prop-
erties of ionic liquids make it possible to customize cations or anions through artificial selection to
obtain good properties. Compared with solid materials, it is liquid; it has high ionic conductivity,
low volatility and lower polar dielectric constant. Ionic liquids have become a hot topic in many
research fields because of their extensive physicochemical properties and rich chemical structure.
This paper systematically summarizes the development process of ionic liquids, conceptually intro-
duces the application of ionic liquids in the petrochemical industry, and puts forward the existing
problems and development suggestions of ionic liquids as green solvents to provide a reference for
the green development of ionic liquids in petrochemical industry.

2 RESEARCH PROGRESS AND UNDERSTANDING

2.1 Definition of ionic liquids

What is ionic liquid? It is not easy to define it simply. With the deepening of people’s understand-
ing of the importance of environmental quality, in the process of looking for more effective and
environmental protection, researchers focus on a new kind of solvent, namely ionic liquid, which
belongs to a part of green chemistry (Binnemans 2007; Brazel & Rogers 2005; Holze 2009; Wasser-
scheid & Welton 2008). Requirements for general solvent properties usually include solubility or
extraction capacity, polarity, lipophilicity, volatility and viscosity. However, green chemistry puts

∗ Corresponding Author: [email protected]

320 DOI 10.1201/9781003308584-45

forward new requirements for solvents, namely low flammability or non-flammability, low volatile
vapour pressure, acceptable viscosity and environmental safety (Wasserscheid et al. 2001).
Ionic liquids, known as room temperature molten salts, exist as liquids in a wide temperature
range (Bonhote et al. 1996). Any ionic liquid consists of a large organic cation and a small anion.
Until the beginning of the 21st century, room temperature ionic liquids were also considered very
rare, but it is now known that many salts form liquids at or near room temperature (Huddleston et
al. 2001). Typically, these ionic liquids are either organic salts or mixtures of at least one organic
component. Figure 1 is a schematic diagram of some anions and anions constituting ionic liquids.

Figure 1. Schematic diagram of cation and anion of common ionic liquids.

2.2 Development of ionic liquids

The field of ionic liquids began in 1914. Researchers observed and reported the physical properties
of ethyl ammonium nitrate, which was formed by neutralization of concentrated sulfuric acid and
ethylamine, but the research progress was slow because it did not attract many people’s attention
at that time.
In the 1940s, researchers raised the temperature of the two mixtures to room temperature to
produce a transparent liquid. This important discovery has also become the rudiment of studying
the first generation of ionic liquids. In 1976, when researchers studied electromechanical chemistry,
they accidentally found that ionic liquids were sensitive to water. Until the beginning of this century,
people’s basic understanding of the concept of ionic liquid has taken shape. Out of their interest
in applying synthetic industry, most electrochemists proposed applying it to green chemistry and
industrial chemistry. Reviewing the development of ionic liquids, it is not difficult to find that
the early ionic liquids were like the unexpected harvest of scientists. People always spend much
energy studying this new substance’s structure and physical property relationship and developing
its application value.

3 PHYSICOCHEMICAL PROPERTIES OF IONIC LIQUIDS

3.1 Melting point

Melting point is defined as a complex property that reflects the intermolecular force and the
arranged lattice of molecules (Bonhote et al. 1996). For commercial ionic liquids, the melting
point ranges from 82◦ C to 283◦ C. The melting point range of ionic liquids is very wide. They are
often heated to the melting point and then stand still and do not change into solid-state, which may
be related to their particle structure, but no law has been found at this stage (Gupta et al. 2004;
Katritzky et al. 2002;). The melting point of ionic liquid depends on its crystal strength. The lower
the structural symmetry, the more uniform the charge distribution of cation and anion, and the
weaker the intermolecular force, the lower the melting point of ionic liquid. The melting point of
ionic liquids is usually greatly affected by impurities. In addition, the increase of relative molecular

321
weight and charge aggregation of ionic liquids can increase the melting point, and the increase
of alkyl branch chain can also improve the melting point, but the function of ionic liquids is not
directly related to the melting point (Rogers & Seddon 2003).

3.2 Density
The density of almost all ionic liquids is greater than 1g/cm3 , and a few are even close to or greater
than 2g/cm3 . In terms of the designability of ionic liquids, the density is relatively easy to adjust
and is less affected by temperature changes or impurities (such as water, halide, solvent et al.) in
the synthesis process. The research shows that (Zhang et al. 2009), anions have an obvious effect
on density, and increasing anionic carbon chain units will reduce the density of ionic liquids.

3.3 Thermal stability

The thermal stability of ionic liquids explains their working environment and limits the maximum
working temperature. Various parameters can describe thermal stability, such as the difficulty of
biochemical reaction or heating rate. Among the existing imidazole ionic liquids, ionic liquids
with high degradation temperature of polymer molecular chain account for a large proportion. This
property allows them to be used as reaction solvents at high temperatures in various technologies
(Antonietti et al. 2004). Furthermore, thermal stability is mainly affected by negatively charged
ion groups. The operating temperature of most ionic liquids is between 200◦ C and 400◦ C. It is
concluded that ionic liquids have a wider temperature stability range than traditional organics.

3.4 Toxicity and degradability

Comparison of ionic liquids with traditional organic solvents, including environmental parameters
such as toxicity and biodegradability (Yahya et al. 2019). The toxicity of ionic liquids is directly
related to the length of n-alkyl substituents in methylimidazole cations, and its effect is much lower
despite the presence of anions. At the same time, lower toxicity values were also observed on the
symmetrical chain of imidazole ring. In the nitrogen-containing cations of ionic liquids, namely
pyrrolidine, piperidine and morpholine, the toxicity increases with the increase of carbon atoms.
For example, piperidine cations have higher toxicity levels than pyrrolidine cations.
Whenever ionic liquids are composed of organic anions, they have a high tendency of biodegra-
dation. When the anions are halides, biodegradation is strictly related to the organic cations of
ionic liquids. Most ionic liquid cations are characterized by higher carbon content than anions.
Therefore, ionic liquids with high carbon content participate in biodegradation.

3.5 Viscosity
Viscosity is one of the main physicochemical properties of a fluid, indicating its force against fluid
flow. For example, the viscosity of water is very small, and the flow changes little with temperature,
but the ionic liquid is on the contrary, and the fluidity increases with the increase of temperature.
Relevant studies show that ionic liquid is a high viscosity material, which is several orders of
magnitude higher than traditional solvents, generally 10 to thousands or even tens of thousands of
mpa.s. This high viscosity is mainly related to the high intermolecular force and electrical attraction.
In essence, the viscosity of ionic liquids is mainly determined by the combination of van der Waals
forces, hydrogen bond and Coulomb force (Subramanian et al. 2015). This property limits its wide
application in the process industry. Therefore, reducing its viscosity has become a hot issue in ionic
liquid research and provides the feasibility for recycling.

3.6 Surface tension

The magnitude of surface tension depends on the structure and orientation of the liquid. At present,
the experimental data of surface tension of ionic liquids are mainly limited to imidazole based,

322
alkyl ammonium-based protons and amino ionic liquids. The surface tension of ionic liquids is
generally between 1.55 and 65.0mN/m. The surface tension of most ionic liquids is less than that of
water. The surface tension of ionic liquids decreases with alkyl chain length (Bera & Belhaj 2016).

4 APPLICATION OF IONIC LIQUIDS

4.1 Crude oil recovery

After secondary or even tertiary exploitation, the crude oil recovery has been reduced to a very low
level, so some methods need to improve the recovery (Guo et al. 2016). There are four kinds of
methods used in the past: chemical oil displacement method, gas oil displacement method, thermal
oil recovery method, and microbial oil recovery method. The principle of chemical flooding is
to add different chemicals to the developed reservoir to change the characteristics of rock and
underground fluid in the formation and improve the interfacial activity to improve the crude oil
production efficiency. On the other hand, it can reduce the viscosity of aqueous phase, permeability
and interfacial tension; it also changes the rock wetting degree of oil and gas reservoir and increases
the number of capillary tubes. Thermal oil recovery refers to increasing heat to the oil layer, reducing
the viscosity of crude oil, improving the fluidity of fluid under the formation and enhancing the oil
production power.
Ionic liquids are added to the oil layer. When ionic liquids have a certain concentration in the
oil layer, they will adhere to the interfacial film around the droplet and weaken and destroy the
oil-water interfacial film (Sui et al. 2018). The research shows that different alkyl chain lengths of
the same ionic liquid greatly impact the oil-water interfacial tension. The longer the alkyl chain,
the more significantly improves oil-water interfacial activity to improve oil recovery (Dahbag et
al. 2015).
Because of the special properties and structure of ionic liquids, researchers can selectively change
the ion combination to meet the needs of wetting specific rocks. After adding ionic liquid into the
formation, the rock becomes hydrophilic, and the crude oil is separated from the rock to improve
the recovery.

4.2 Ionic liquid demulsification

According to the properties of the dispersed phase, the emulsion is divided into oil-in-water (W/O)
emulsion and water-in-oil (O/W) emulsion. Figure 2 is the schematic diagram of the two types of
emulsion. O/W emulsion is oil droplets dispersed in continuous water phase, also known as reverse
emulsion. W/O emulsion is produced by water droplets as a dispersed phase in a continuous oil
phase.It should be noted that these emulsions are thermodynamically unstable but kinetically stable.
Emulsions are thermodynamically unstable because they are produced by a mixture of two or more
insoluble liquids that naturally separate. However, the dynamic stability of the emulsion means that
the emulsion can be stabilized for weeks to years because of the rigid membrane formed around
the emulsion.

Figure 2. (a) W/O emulsion and (b) O/W emulsion.

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 Ionic liquid is a new and pollution-free demulsifier, which can improve the activity of the oil-
water interface by adding appropriate ionic liquid into the emulsion (Hassanshahi et al. 2020).
The demulsification mechanism of ionic liquids includes two main steps: diffusion and adsorption.
Diffusion process refers to the distribution of ionic liquid molecules in the continuous phase before
reaching the oil-water interface. Adsorption process refers to the diffusion of ionic liquid molecules
to the oil-water interface through the continuous phase. The ionic liquid molecules replace the
natural emulsifier at the interface and change the viscoelastic properties of the interfacial film.
This leads to the breaking of the strong film around the oil-water droplets and the enhancement
of the coalescence of the dispersed droplets. The droplet change of common W/ O emulsion after
adding ionic liquid demulsifier is shown in Figure 3.

Figure 3. Coalescence principle of W / O emulsion droplets.

5 CONCLUSION

This paper reviews the application of ionic liquids as a green chemical product in petrochemical
industry. Ionic liquid is a promising demulsifier, especially suitable for high salinity, high tem-
perature, high viscosity harsh environmental conditions (such as super heavy oil). The thermal
stability, non-flammability, recyclability, low vapour pressure and low toxicity of ionic liquids are
the main characteristics of ionic liquid researchers. The optimal treatment conditions can improve
the demulsification efficiency by selecting the appropriate amount of ionic liquid and ionic liquid.
Ionic liquids not only have many advantages, but also have some limitations. Further research
is needed to make them more widely used. Nowadays, ionic liquids have been widely studied
worldwide, and they are naturally inseparable from their unique physicochemical properties and
structures. Of course, they are mainly due to the development opportunities brought by the rise of
green chemistry and the reform of traditional production processes. In particular, various applica-
tions in the petrochemical industry will make ionic liquids more and more developed. It is believed
that there will be a deeper understanding of the physicochemical properties of ionic liquids in the
next stage.

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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Study on the influence of waste slag content of double liquid grouting

material characteristic

Hang Xu, Guoliang Xie∗ , Bin Zhang & Wei Jiang

Department of Civil Engineering and Hydraulic Engineering, Heilongjiang Bayi Agricultural University,
Daqing, China

Fucheng Wang
Department of Engineering, Heilongjiang Bayi Agricultural University, Daqing, China

Yaxuan Wang
Department of Civil Engineering and Hydraulic Engineering, Heilongjiang Bayi Agricultural University,
Daqing, China

ABSTRACT: At present, most of the existing researches focus on the single-mixing of a mineral
admixture, such as fly ash, while relatively few studies have been conducted on the relationship
between the composition of multiple mineral admixtures. As China’s industrial base, the Northeast
region emits a large amount of industrial waste every year, which pollutes the environment. In this
experiment, in order to solve the environmental pollution problem of industrial waste slag, steel
slag and ground slag are used as cementing materials to replace part of cement to prepare double
liquid grouting materials. By comparing the different mass ratios of steel slag and ground slag,
the relationship between the mass ratio of waste slag and the gel time, fluidity and compressive
strength of concretion is obtained. The test results show that when the cement content is 40%, the
volume of sodium silicate is 30%, the water-cement ratio is 0.8, and the ratio of steel slag to ground
slag is 3:7, the 3d compressive strength of the slurry is as high as 14.57MPa, the 28d compressive
strength is as high as 21.14MPa. The slurry has good stability, rheology, gelation and consolidation
strength under this ratio parameter. This grouting material ratio realizes the resource utilization of
steel slag and ground slag, and also proves that steel slag powder can be used as a raw material for
grouting materials. At the same time, the consumption of cement is reduced.

1 INTRODUCTION

Grouting technology can be widely used to reinforce soil and block water in the underground
engineering field. As the core of grouting technology, grouting material determines the pros and
cons of grouting consequence. At present, the commonly used grouting materials in engineering
include cement slurry and cement-silicate double slurry. Among them, the setting-up time of the
cement slurry is too long, the water separation rate is large, and the stability of the slurry is
poor. Cement-silicate slurry have poor durability and have defects such as late strength shrinkage.
Moreover, the above two grouting materials consume extremely large amounts of cement, which
are not suitable for the requirements of the sustainable development.
In view of the shortcomings of traditional grouting materials, scholars have gradually turned their
research directions to the development of ecomaterials. Based on sulphoaluminate cement clinker
and steel slag powder, Li Zhaofeng, Li Shucai and others developed a grouting material suitable

∗ Corresponding Author: [email protected]

326 DOI 10.1201/9781003308584-46

for simultaneous grouting reinforcement and water blocking of water-rich fractured formations.
Chen Feng and others applied steel slag to the cement-silicate double liquid grouting material.
The configured slurry has high early strength and is suitable for emergency repair and plugging
projects. Zhang Yishun, Song Xuefei and others studied the influence of different fly ash content
on the performance of the slurry, and successfully applied them to actual projects. Dou Haijun,
Wu Maoyin and others replaced part of the cement with fly ash and slag, studied the influence of
sodium silicate Baume, sodium silicate content and cement content on the performance of grouting
materials, and established a new type of composite double liquid grouting material.
At present, most of the existing researches focus on the single mixing mineral admixture, while
relatively few studies have been conducted on the relationship between the composition of multiple
mineral admixtures. As an old industrial base in China, Northeast area of China produces a large
amount of industrial waste, such as steel slag, ground slag, fly ash, coal gangue, etc. every year.
Therefore, in order to solve the problem of environmental pollution caused by large amounts of
industrial waste slag, this paper proposes a cement-silicate grouting material mixed with steel slag
and ground slag, which not only makes full use of the micro-expansion characteristics of steel
slag, but also reduces the amount of steel slag accumulation and consumption of cement. This
paper systematically studied the influence of the powder ratio on the gelling performance and
consolidation performance by laboratory experiments, and provided a reference for the application
of the double liquid grouting material in actual engineering.

2 REACTION MECHANISM OF CEMENT-SILICATE GROUTING MATERIAL MIXED

WITH STEEL SLAG AND GROUND SLAG

Steel slag has micro-expansion characteristic, it can effectively fill the pores of the soil and reduce
the shrinkage of the concretion in the later stage, which is very beneficial to the grouting project.
Steel slag hydrates very slowly and does not condense for a long time. However, steel slag contains
a certain amount of C3 S and C2 S, Ca2+ can be quickly released in an alkaline environment, and
the slurry produces C-S-H, which enhances the early strength of the concretion, so this article uses
steel slag to replace part of the cement as the cementitious grouting material.
The structure of ground slag is formed by the polymerization of crystalline phase and glass
phase. The glass phase is the active component. The more glass phase, the stronger the activity
of the slag. The glass phase is composed of a calcium-rich phase and silicon-rich phase. The
discontinuous silicon-rich phase is wrapped by a continuous calcium-rich phase, so the calcium-
rich phase maintains the stability of the ground slag. Under the action of the alkaline medium OH− ,
the acidic protective membrane formed by the calcium-rich phase is destroyed, and the silicon-rich
phase of the slag is also destroyed one after another, so that the Si-O, Al-O, and Si-O-Al in the
silicon-rich phase are destroyed. The bond breaks, and the SiO4− 5−
4 and AlO4 plasmas gradually
enter the solution, recombine and react with Na+ to form zeolite substances. The chemical reaction
equation is shown in formulas 1–4
Based on the above reaction mechanism, it can be seen that the slag generates zeolite sub-
stances and calcium silicate hydrate under the excitation of sodium silicate, which improves the
compactness of the concretion, the durability and strength of the grouting material.

NaOH , Ca(OH )2 (−)

(Si2 O5 , Al2 O2 )n + 3nH2 O > n(OH )3 − Si − O − Al − (OH )3 (1)

(−) NaOH , Ca(OH )2 | (−)

n(OH )3 − Si − O − Al − (OH )3 > (Na, Ca) − ( − Si − O − Al − O − )n + 3nH2 O
| |
O O
| |

(2)

327
 NaOH , Ca(OH )2 (−)
(Si2 O5 , Al2 O2 )n + nSiO2 + 4nH2 O > n(OH )3 − Si − O − Al − O − Si − (OH )3
|
(OH )2
|

(3)

(−) NaOH , Ca(OH )2

n(OH )3 − Si − O − Al − O − Si − (OH )3 > (Na, Ca)
|
(OH )2
|
(4)
| (−)
− ( − Si − O − Al − O − )n + 4nH2 O
| |
O O
| |

3 RAW MATERIALS AND TEST METHODS

3.1 Materials
Liquid A: P·O 42.5 ordinary portland cement, superficial area 350 m2 /kg; Steel slag (SS), super-
ficial area 450 m2 /kg; Ground granulated blast furnace slag (SL), superficial area 446 m2 /kg;
Water.
Liquid B: sodium silicate, module 2.7, Dilute the sodium silicate with water to 35◦ Bé.

Table 1. Chemical composition of raw materials.

Material SiO2 CaO MgO Al2 O3 Fe2 O3 MnO TiO2 f-CaO Loss

cement 22.65 62.60 2.91 4.65 3.10 – – 0.81 1.75

Steel slag 14 42 9.9 4 20 – – – 5
Ground slag 38 43 8 9 – 0.2 0.4 – 2.56

3.2 Test methods

Detection of gel time: Firstly, put the prepared liquid A and B in two beakers, then pour liquid A
into the liquid B beaker, and then pour the mixed liquid into the liquid A beaker. Cyclically, until
the mixed liquid is no longer flow at 45◦ . The time elapsed from the beginning of mixing to no
longer flowing is the gel time.
Detection of fluidity: In this paper, a truncated cone is used to determine the fluidity of the
slurry. Firstly, inject the slurry into the truncated cone mold (upper port 36mm, lower port 60mm,
height 60mm), and scrape it with a scraper. Secondly, lift the truncated cone mold vertically, and
after the slurry flows freely on the glass plate for 30 seconds, use a ruler to measure the maximum
diameter of the two directions perpendicular to each other of the flowing part, and take the average
value as the fluidity of the slurry.
Detection of compressive strength: Firstly, pour the mixed slurry into a 70.7mm×70.7mm×
70.7mm cube trial mold, and remove the mold after 24 hours. Secondly, place the test cube under
standard conditions (temperature 20±5◦ C, relative humidity above 90%) for curing. After curing
to a certain age, use the WDW-100 digital compression testing machine to test its compressive
strength. The testing result is the average of three test pieces. If the compressive strength of one of
the test pieces more or lower than the average value by 10%, it should be eliminated. If there are
less than two test pieces after elimination, the test must be retested.

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4 ANALYSIS OF PHYSICAL PROPERTIES OF GROUTING MATERIALS

4.1 Influence of cement content and industrial waste slag ratio on slurry fluidity
From the analysis of Figure 1, it can be seen that as the cement content decreases, the fluidity of the
slurry gradually increases. When the cement content is 20%, the fluidity of the slurry is as high as
350 mm. Because cement is rich in C2 S, C3 S and f-CaO. Under the alkaline conditions of sodium
silicate, free Ca2+ will react quickly with silicate ions provided by sodium silicate to form CSH,
which increases the viscosity of the slurry. The fluidity becomes smaller.

Figure 1. Influence of cement content and industrial waste slag ratio on slurry fluidity.

4.2 Influence of cement content and industrial waste slag ratio on slurry gel time
From the analysis of Figure 2, it can be seen that under the condition of a certain SS:SL ratio, with
the decrease of cement content and the increase of industrial waste slag content, the gel time of
the slurry increases gradually. When the cement content is 20% and the industrial waste content is

Figure 2. Influence of cement content and industrial waste slag ratio on slurry gel time.

329
80%, the gel time is as high as 200s. It can be seen that the amount of industrial waste can adjust
the gel time of the slurry. Because when the cement content is large, the abundant C2 S, C3 S and
f-CaO in the cement will cause the free Ca2+ to react quickly with the silicate ions in the sodium
silicate to form CSH condensation under the action of alkali excitation. So the gel time of the slurry
is shortened. At the same time, with a certain amount of cement, as the ratio of SS:SL decreases
gradually, the gel time of the slurry increases gradually. Because the ratio of SS:SL is reduced,
and the content of steel slag in the powder is reduced, which reduces the content of C2 S, C3 S and
other substances, which leads to form less C-S-H in the early stage. Under the action of OH− , the
Si-O-Si and Si-O-Al are broken, and the Si-O and Al-O bonds in the slurry exist as monomers. The
breaking of Si-O and Al-O requires a large amount of energy, which leads to a longer time for the
polycondensation reaction. Therefore, as the ratio of SS:SL decreases, the gel time of the slurry
will be prolonged.

4.3 Influence of cement content and industrial waste slag ratio on compressive strength
From the analysis of Figures 3 and 4, it can be seen that with a certain cement content, as the SS:SL
ratio decreases, the ground slag content increases, the steel slag content decreases, and the 28d
compressive strength of the slurry increases, It reaches the maximum when the ratio of SS:SL is
3:7.
Because ground slag is not like steel slag that can release Ca2+ to form a gel quickly, but due
to the effect of OH− in the later stage, the Si-O-Si, Al-O-Al, and Si-O-Al bonds in the slag are
broken, and Ca2+ , [ AlO4 ]5+ and [SiO4 ]4+ dissolve to form new polymers, and combine with Na+
to form a substance with good durability, which helps to increase concretion strength in the later
stage. In addition, steel slag and ground slag promote each other in the hydration reaction. The
Ca(OH)2 produced by the hydration of the steel slag can promote the disintegration of the ground
slag structure. The slag structure absorbs the Ca2+ generated by the hydration reaction of steel slag,
and the reaction reduces the Ca2+ in the slurry. In order to ensure the ion balance, further hydration
will occur by the steel slag.
In short, steel slag and ground slag mixing produces a good composite superimposition effect,
which is beneficial to hydration reaction process of the cementitious system. It can be seen from
Figures 3 and 4 that when the slurry is 40% cement, the ratio of steel slag and ground slag is
3:7, and the volume of sodium silicate is 30%, the 3d compressive strength of the slurry is as
high as 14.57MPa, and the 28d compressive strength as high as 21.14MPa, the strength reaches its
maximum.

Figure 3. Influence of cement content and industrial waste slag ratio on 3d compressive strength.

330
Figure 4. Influence of cement content and industrial waste slag ratio on 28d compressive strength.

4.4 Analysis of viscosity characteristics of grouting material

In this paper, the material viscosity adopts Brookfield viscometer, the rotor adopts No. 61 rotor,
the speed is 50 r/min. The viscosity of the two slurries with and without retarder were measured
every 10s, and the law of the viscosity of the slurry with time is shown in Figures 5 and 6.
The paper use data analysis software to fit measured viscosity, and the viscosity expression of
the slurry without retarder is formula 5:

µ(t) = 9.98 × e0.02549t (5)

Figure 5. The viscosity change curve of slurry viscosity without retarder.

The paper use data analysis software to fit measured viscosity, and the viscosity expression of
the slurry with retarder is formula 6:

µ(t) = 12.45 × e0.00553t (6)

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Figure 6. The viscosity change curve of slurry viscosity with retarder.

The viscosity of the slurry with retarder added is lower than that of the slurry without retarder,
and with the increase of time, the viscosity value of the slurry becomes larger and larger, and the
change law of slurry viscosity with time satisfies an exponential function relationship.

5 CONCLUSION

In this paper, Indoor experiment method is adopted to study the mass ratio of waste slag. The main
conclusions can be summarized as follows:
(1) With the decrease of cement content and the decrease of the ratio of industrial waste slag SS:SL,
the fluidity and gel time of the slurry increase gradually.
(2) when the slurry is 40% cement, the ratio of steel slag and ground slag is 3:7, and the volume
of sodium silicate is 30%, the 3d compressive strength of the slurry is as high as 14.57MPa,
and the 28d compressive strength as high as 21.14MPa, the strength reaches its maximum.
(3) The change law of slurry viscosity with time satisfies an exponential function relationship.The
double liquid grouting material mixed with steel slag and ground slag belongs to the time-
varying viscosity fluid.
(4) In terms of the future work, It is necessary to continue to study the application effects of
grouting materials mixed with steel slag and ground slag in actual projects, and the dosage and
types of additives will also continue to be studied. At the same time, the author will continue
to explore whether other types of industrial waste can be used in grouting materials.
Corresponding Author: Guoliang Xie, Associate Professor, [email protected], phone
1 363 4664553;
Fund source: Heilongjiang Bayi Agricultural University Support Program for San Heng San
Zong (ZRCPY202119); Daqing City Directive Science and Technology Project (zd-2020-68)

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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Influence of silt and clay content on relative density of aeolian sand

Changning Jin
Foshan University, Foshan, China

Weitao Jin∗
Guangzhou Metro Design & Research Institute Co., Ltd., Guangzhou, China

ABSTRACT: The relative density of aeolian sand in the Taklimakan Desert was tested by mixing
clay particles with powder. The results showed that the minimum dry density decreased gradually
with the increase of silt and clay content, however, it did not decrease much and the maxi-
mum decrease was only 0.10g/cm3 ; the maximum dry density increased obviously and reached
0.24g/cm3 , the maximum value appeared when the silt and clay content was 45%. After that, it
decreased significantly and the maximum decrease was 0.34g/cm3 , the mechanism analysis shows
that the dry silt particles and clay particles has no viscosity. With the content of silt and clay,
the improvement of gradation and its subsequent variation will lead to a significant increase and
decrease of the maximum dry density under the impact force with strong vibration effect. The
minimum dry density, which has no impact, is almost unaffected.

1 INTRODUCTION

From the end of last century until now, aeolian sand roadbed dry compaction technology has been
used in the hinterland of Taklimakan Desert, in order to build desert roads of more than 1000
km. There are many problems in the promotion and application, one of the problems is in and
around the edges of the desert, in the distribution zone of fixed dune or semi-fixed dune, the
aeolian sand contains more silt particles and clay particles (Jin & Zhang 2008). Under the action
of wind erosion and aeolian deposition, silt and clay is the most variable component in aeolian
sand (Jin & Zhang 2008). In order to study the influence of silt and clay content on the engineering
properties of aeolian sand, the aeolian sand taken from the hinterland of Taklimakan Desert was
mixed with silt and clay. The samples with different silt and clay contents were prepared for heavy
compaction tests, surface vibration compaction tests, load-bearing ratio tests, shear strength tests,
and density tests by immersion and ring knife method etc. The results have been published in various
publications (Jin & Zhang 2008, 2012, 2016). On this basis, this paper further discusses the relative
density problem; provide a theoretical basis for the further popularization and application of dry
compaction technology of aeolian sand roadbed.

2 TEST PROFILE

Studies have shown that the coarse grains of aeolian sand in the Taklimakan desert, which covers
an area of 33×104 km2 , are basically the same in grain size composition. The main difference lies
in the amount of fine particles (silt particles and clay particles, or silt and clay for short). In the
central area of Taklimakan Desert, we collected “pure” aeolian sand with less silt and clay from the

∗ Corresponding Author: [email protected]

334 DOI 10.1201/9781003308584-47

top of the compound longitudinal large sand dune and the upper part of the secondary mobile dune
with a height of about 15m in the distribution area of continuous mobile dunes. It is numbered A
(geographic coordinates of sampling point: N39◦ 17 26.2 , E83◦ 46 29.4 ). In the peripheral edge
of the Taklimakan Desert, the distribution area of sporadic or partial flake of mobile dunes, the
dried up ancient river channel and the forest land with populus euphratica sparsely growing, we
take the silt of fluvial silting origin very fine sand (called silt in many literature). They were sieved
indoors. In the test, only the < 0.075mm part and the number is Z (geographic coordinates of the
sampling point: N40◦ 49 06.1 , E84◦ 17 48.2 ). Dry sample A and dry sample Z are thoroughly
mixed in different proportions. According to experience, the variation range of silt and clay content
is controlled to be 5% (when the content of silt and clay is very high, it belongs to silty soil and is not
the focus of research, so the variation range should be appropriately increased). It can obtain various
samples needed for the test, as detailed in Table 1. Subsequently, it is in accordance with “Highway
geotechnical Test Regulations” (JTG E40-2007) “sand relative density test (T0123-1993)” for the
test.

Table 1. Particle size composition of the sample.

particle size (mm) ∼ passing rate (%)

sample silt and clay nonuniformity coefficient of

no. content (%) 0.5 0.25 0.15 0.1 0.075 0.05 0.02 0.01 0.005 0.002 cu curvature cu

A 16.3 100 99.7 97.9 63.1 16.3 1.1 0.3 0.2 0.1 0.1 1.53 1.06
B 20.0 100 99.7 98.0 64.7 20.0 4.5 2.0 1.3 0.9 0.6 1.66 1.12
C 25.0 100 99.7 98.1 66.9 25.0 9.2 4.4 2.7 2.0 1.3 1.88 1.21
D 30.0 100 99.7 98.2 69.1 30.0 13.9 6.7 4.1 3.0 2.0 2.77 1.71
E 35.0 100 99.8 98.4 71.3 35.0 18.5 9.1 5.5 4.1 2.7 4.00 2.11
F 40.0 100 99.8 98.5 73.5 40.0 23.2 11.5 7.0 5.2 3.4 5.37 2.40
G 45.0 100 99.8 98.6 75.8 45.0 27.8 13.8 8.4 6.2 4.0 6.68 2.50
H 50.0 100 99.8 98.7 78.0 50.0 32.5 16.2 9.8 7.3 4.7 8.11 2.41
I 55.0 100 99.8 98.9 80.2 55.0 37.2 18.5 11.3 8.4 5.4 10.17 2.42
J 60.0 100 99.9 99.0 82.4 60.0 41.8 20.9 12.7 9.4 6.1 12.76 2.58
K 65.0 100 99.9 99.1 84.6 65.0 46.5 23.2 14.1 10.5 6.8 14.72 2.70
L 70.0 100 99.9 99.2 86.8 70.0 51.1 25.6 15.5 11.6 7.5 16.18 2.74
M 75.0 100 99.9 99.4 89.0 75.0 55.8 27.9 17.0 12.7 8.2 17.31 2.81
O 85.0 100 99.9 99.6 93.4 85.0 65.1 32.6 19.8 14.8 9.5 23.89 3.76
Z 100 100 100 100 100 100 79.1 39.7 24.1 18.0 11.6 25.50 3.81

3 TEST RESULTS

The test results are shown in Table 2 and Figure 1. It can be seen that:
(1) From A, B, C, D to K, M, O, Z, the maximum dry density obtained in the relative density test
increases obviously at first from 16.3% to 100% with the increase of silt and clay content.
The maximum increase was 0.24g/cm3 and the maximum increase occurred when the silt
and clay content was 45%. Then it decreased significantly and the maximum decrease was
0.34g/cm3 .When the content of silt and clay is less than 45%, the content of silt and clay
increases by 5%, the maximum dry density increased by 0.042g/cm3 and the increase was
relatively fast. When the content of silt and clay is ≥45%, the maximum dry density decreases
by 0.030g/cm3 and the decrease is relatively large when the content of silt and clay increases
by 5%. The corresponding changes in the minimum porosity also show that when the silt and
clay content is less than 45%, the minimum porosity from sample A to sample G decreases
rapidly from 36.77% to 27.46% with the increase of the silt and clay content. It has been kept

335
 decreasing and the decline is relatively large. When the silt and clay content ≥45%, from
sample G to sample Z, the minimum porosity increases rapidly from 27.46% to 39.25% with
the increase of silt and clay content. It has been increasing and growing relatively large.
(2) From A, B, C, D to K, M, O, Z, the minimum dry density obtained in the relative density test
showed A trend of gradual decrease from 16.3% at the beginning to 100% at the end with the
increase of the silt and clay content of the samples. Its decrease was not significant and the max-
imum decrease was only 0.10g/cm3 .The minimum dry density decreased by 0.006g/cm3 when
the silt and clay content increased by 5%. It’s a very small drop. Even so, it can be roughly
divided into two cases. When the silt and clay content ≤50%, the silt and clay content increased
by 5%. The minimum dry density decreased by 0.012g/cm3 and slightly faster. When the silt
and clay content is ≥50%, the minimum dry density decreases by 0.002g/cm3 when the silt and
clay content increases by 5%. It has fallen very little. In addition, the corresponding change
of the maximum porosity also shows that the maximum porosity increases from 50.28% to
53.27% with the increase of the silt and clay content of the test sample. It keeps increasing,
but not by much.

Table 2. Test results of relative density and porosity of samples.

sample no. A B C D E F G

silt and clay content (%) 16.3 20.0 25.0 30.0 35.0 40.0 45.0
maximum dry density rdmax (g.cm−3 ) 1.709 1.753 1.799 1.860 1.914 1.945 1.950
minimum porosity nmin (%) 36.77 33.62 33.32 31.01 28.93 27.70 27.46
minimum dry density rdmin (g.cm−3 ) 1.344 1.324 1.327 1.311 1.305 1.295 1.274
maximum porosity nmax (%) 50.28 50.98 50.82 51.37 51.54 51.86 52.60
rdmax /rdmin 1.27 1.35 1.36 1.42 1.47 1.50 1.53

sample no. H I J K M O Z

silt and clay content (%) 50.0 55.0 60.0 65.0 75.0 85.0 100
maximum dry density rdmax (g.cm−3 ) 1.939 1.921 1.864 1.830 1.770 1.711 1.616
minimum porosity nmin (%) 27.78 28.40 30.45 31.67 33.78 35.87 39.25
minimum dry density rdmin (g.cm−3 ) 1.266 1.254 1.250 1.248 1.245 1.246 1.243
maximum porosity nmax (%) 52.85 53.26 53.36 53.40 53.42 53.30 53.27
rdmax /rdmin 1.53 1.53 1.49 1.47 1.42 1.37 1.30

Figure 1. Diagram of relative density test results of samples.

(3) In view of the above, from the ratio of maximum dry density to minimum dry density, from
A, B, C, D to K, M, O, Z, with the increase of silt and clay content of the sample, from the

336
 initial 16.3% to the final 100%, the corresponding ratio changes can be clearly divided into
three cases. From sample A to sample G, the ratio increased from 1.27 to 1.53 with the increase
of silt and clay content. It has risen relatively sharply. From sample G to sample I, it remains
1.53. From sample I to sample Z, the ratio decreased from 1.53 to 1.30 with the increase of silt
and clay content. It has also fallen relatively sharply.

4 MECHANISM ANALYSIS

The effect of particle size on bulk density (maximum dry density) has been explored by many
scholars for a long time (Bao & Xing 2014; Chen & Li 2007; Mou & Gu 2010; Wang 2013; Xue
& Li 2010; Zhang 2014). The currently recognized expression of Talbot theory is:
# $n
di
Pi = 100 × (1)
D

Where, Pi is the passing mass percentage of particles with particle size di , D is the maximum par-
ticle size, and n is the grading index. Generally, when n = 0.3 ∼ 0.6, it can have good compactness.
When n = 0.5, it is Fuller’s maximum density curve.
As can be seen from Figure 2, sample A is A typical aeolian sand. Cu = 1.53, Cc = 1.06. Most
of the particles (81.6%) are between 0.15 and 0.075mm. It has excellent sorting (poor gradation).
Compared with the Talbot grading curve which can obtain better compactness, the “coarse grain”
and “fine grain” components are obviously less. The “medium-grain” components with particle
size between 0.075 mm and 0.15mm were obviously more than the others. This is not conducive to
good compactness. The maximum dry density is rdmax = 1.709g/cm3 . The corresponding minimum
porosity nmin = 36.77%, the latter is relatively large.

Figure 2. Cumulative curve of particle gradation of sample.

Sample Z is the part of silt < 0.075mm. Cu = 25.50, Cc = 3.81. The particle distribution is
average and the gradation is good. However, most particles (75.9%) are between 0.01 and 0.075mm.
Compared with the Talbot grading curve which can obtain better compactness, the “coarse grain”
component is obviously less. The “medium-grain” and “fine-grain” components are moderate
(similar to the Trend of the Talbot grading curve). But in general, it is also not conducive to
achieving good compactness. The maximum dry density is rdmax = 1.616g/cm3 .The corresponding
minimum porosity nmin = 39.25%, the latter is also relatively large.
Other samples obtained by mixing sample A and sample Z in different proportions. In terms of
theory (logic), firstly, with the gradual increase of silt and clay content, the grain size composition,
specific gravity and porosity will gradually transition from typical aeolian sand to typical silt. This

337
has been proved by the test results in Tables 1 and 2. Among many factors, the more special is
the change of gradation. As both sample A and sample Z have significantly less “coarse grain”
components, the “coarse grain” components of the mixed sample are also always significantly
less. For the “medium grain” component, sample A is obviously more than sample Z is moderate.
However, due to the “medium grain” particle size range of sample A and sample Z is different
and complementary, it will gradually increase with the content of silt and clay, and the proportion
of sample Z is getting bigger and bigger. At first, the “medium grain” component of the mixed
sample will have an obvious improvement process (It is equivalent to increasing the “fine grain”
component in sample A, especially the relatively coarse part of the “fine grain” component). It
reaches its maximum at 45% silt and clay content. This shows that the particle size distribution
cumulative curve is closest to the Talbot grading curve in the changing trend. It also has the largest
particle size range within the range n=0.3 and n=0.6 of the Talbot grading curve. After that, with the
continuous increase of silt and clay content, the “medium grain” component began to be redundant
and the degree became larger and larger. The grading of mixed samples is also getting worse and
worse. As for the “fine grain” component, sample A is obviously less, while sample Z is moderate.
As a result, the “fine grain” component of the mixed sample keeps improving with the gradual
increase of the silt and clay content.
To sum up, any proportion of sample A mixed with sample Z results in particle gradation that
cannot meet the maximum density curve proposed by Fuller. That also means in the heart of the
Taklimakan Desert and on its margins. Although there are differences in the content of silt and clay
of aeolian sands, there are defects in the maximum density of formation in gradation. Despite its
flaws, its performance is relatively good. Among them, the best performance is when the silt and
clay content of the test sample is 45%.
By comparing Figures 1 and 2, the maximum dry density of samples is positively correlated
with the relative quality of gradation. This indicates that gradation is the dominant factor affecting
the compaction characteristics of aeolian sand. In the general lack of “coarse” components, the
influence factor is whether the content of silt and clay is relatively appropriate. This is basically
consistent with the existing dry compaction mechanism analysis of aeolian sand subgrade. On the
other hand, it also provides a theoretical basis for the further promotion and application of the dry
compaction process of aeolian sand roadbed (Jin & Zhang 2008).
In addition, it can be seen from Figures 1 and 2 that the curve change of the minimum dry density
is significantly different from that of the maximum dry density. The main reason is that they have
different causes. The maximum dry density is obtained under the impact force (compressive force)
of the dried specimen with strong vibration effect. The minimum dry density is the accumulation of
dry samples under strong disturbance due to their own gravity, it doesn’t have any extra hit power.
The curve variation of the minimum dry density clearly shows that one aspect is almost unaffected
by gradation, but will be affected by the silt and clay content. It is manifested as the increase of the
content of silt and clay, the minimum dry density has been decreasing, but the decrease is small.
First, in the absence of moisture, dry silt particles and clay particles do not exhibit viscosity. No
matter how much silt and clay content is, the structure is granular. Secondly, from the microscopic
point of view, compared with sand, silt and clay is more inclined to flake or plate shape. Its meaning
is non-granular or non-spherical, allowing it to produce relatively large pores and porosity when
most loosely arranged. This results in a continuous decrease in the minimum dry density as the
silt and clay content increases. Third, because the silt and clay particles are mainly coarse powder
particles, there is no big difference in particle size with the sand particles in aeolian sand, effect of
the content of silt particles and clay particles is relatively insignificant.

5 CONCLUSION

(1) Under the action of wind, silt and clay is the most variable component in aeolian sand. In
the hinterland of the Taklimakan Desert and its edge, the relatively “pure” aeolian sand is
significantly less than the “coarse” and “fine” components of the Talbot grading curve, which

338
 can achieve a better density. The “medium-grain” component is significantly higher. The
“coarse grain” component is obviously less in the mixed silt and clay. The “medium-grain”
and “fine-grain” components are moderate. They are not conducive to better compactness.
The mixing of the two will lead to the continuous improvement of the gradation of the mixed
sample with the increase of the silt and clay content. It is relatively best when the silt and clay
content is 45%. Subsequently, its performance deteriorated.
(2) Silt particles and clay particles does not exhibit viscosity under dry conditions. The maximum
dry density of mixed samples is obviously affected by grading factors under the impact force
(compression force) with strong vibration effect. Specifically, with the increase of silt and clay
content, the improvement of gradation results in a very significant increase in the maximum
dry density. It reaches its maximum at 45% silt and clay content of the best graded powder.
Then, the gradation becomes poor and the maximum dry density decreases substantially.
(3) Under the conditions of drying and strong disturbance, the mixed samples all have granular
structure regardless of the content of silt and clay. Since there is no additional impact force,
the minimum dry density is almost unaffected by grading. The main influencing factor is the
content of silt and clay. It shows that the minimum dry density decreases with the increase of
silt and clay content. However, because of the coarse-grained clay particles, there is not much
difference in particle size between them and aeolian sand. The effect of this on the content of
clay particles is relatively insignificant.
(4) Combined with the existing research results, this paper also provides a theoretical basis for the
further popularization and application of the dry compaction process of aeolian sand roadbed.

ACKNOWLEDGMENT

This work was supported by the Western Traffic Construction Technology Project of the Ministry
of Communications (2001 318 797 09).

REFERENCES

BAO, J. Q. & Y. M. XING (2014). The Study of Constitutive Model of Aeolian Sand in Inner Mongolia Desert
Area. Journal of Inner Mongolia University of Technology, 33(4):254–261.
CHEN, Z. D. & W. P. LI (2007). Vibratory parameters and vibratory compacting mechanism of eolian sand.
Journal of Chang’an University (Natural Science Edition), 27(1):1–6.
JIN, C. N. & Y. H. ZHANG (2008). Influence of change of granule on compaction features of wind-laid sand.
Journal of highway and transportation research and development, 25(10):36–40.
JIN, C. N. & Y. H. ZHANG (2012). Study on the influence of powdery clay particles on the bearing ratio of
aeolian sand. Journal of China & foreign highway,32 (6):60–64.
JIN, C. N. & Y. H. ZHANG (2016). Shear deformation characteristics of aeolian sand in Taklamakan desert.
Journal of China & foreign highway, 36(1):27–31.
MOU, X. Y. & P. GU (2010). Review on engineering characteristics of wind-blown sand. Journal of Inner
Mongolia Agricultural University,31(1):307–310.
WANG, M. L. (2013). Simulation of compression test on gangue by PFC3D. Chinese Journal of Rock
Mechanics and Engineering,32(7):1350–1357.
XUE, C. & H. W. LI (2010). Study onAeolian Sand Properties of Desert Subgrade and Compaction Mechanism.
HIGHWAY, (6):20–24.
ZHANG, J. T. (2014). Study on Compaction Characteristics of Aeolian Sand. Journal of Water Resources and
Architectural Engineering,12(1):77–82.

339
 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Study on crack resistance of recycled asphalt base mixed with basalt

fiber

Guomin Zhao, Sheng Qu, Zhuqing Feng, Qiang Wang, Zhengyuan Jin, Yongmao Yue &
Lei Dai
China Harbour Engineering Co., Ltd., Beijing, China

ABSTRACT: The anti-cracking performance of recycled asphalt base is improved by adding

basalt fiber. The dry shrinkage test and temperature shrinkage test of recycled asphalt base with
1%, 2%, 3% and 4% basalt fiber are carried out. The results show that: with the addition of basalt
fiber, the drying shrinkage coefficient of recycled asphalt base decreases, and the content increases
from 1% to 4%, and the reduction range increases from 10% to 18%. In the first 28 days of curing,
the temperature shrinkage coefficient of recycled asphalt base increases with the increase of curing
time, and after 28 days, with the hydration reaction becoming stable and forming a certain strength,
the temperature shrinkage coefficient tends to be stable. When the temperature is above 0◦ C, the
shrinkage coefficient decreases with the decrease of temperature, while the temperature drops
below 0◦ C, the coefficient of temperature shrinkage increases due to frost heaving.

1 GENERAL INSTRUCTIONS

As the most basic material for semi-rigid pavement base in our country, cement stabilized base
course has the advantages of high strength, high rigidity, and good stability. It has been widely
used as the base course of current asphalt pavement (Yan et al. 2019). However, after the cement
stabilized base is laid, the pre-maintenance work is very important. In the pre-maintenance period,
due to the excessive water loss rate and temperature difference, it is easy to cause the drying
shrinkage and temperature shrinkage stress of the material to exceed its own tensile strength. As a
result, cracks appeared (Hu et al. 2018). The disposal of waste asphalt every year is also a major
problem. Disposal methods such as throwing, and burying will also pollute the environment while
encroaching on a large amount of land resources.
Existing studies have shown that it is feasible to recycle waste asphalt mixtures to make waste
asphalt recycled base, and there have been related projects in the United States, Japan, and other
countries. Zhu Mangling from Changsha University of Science and Technology (Zhu & Liu 2009)
found through experiments that the blending of waste asphalt can effectively improve the shrinkage
performance of cement stabilized bases. Lin et al. (Lin et al. 2014) found that when the mixing
amount of waste asphalt increases, the maximum dry density of cement stabilized base course
decreases, while the optimal water content increases, and the mixing rate increases. The cement
stabilized base of waste asphalt mixture meets the requirements of actual engineering. At present,
basalt fiber is also widely used to improve the performance of asphalt mixture. Wang et al. (Wang
2018) mixed the treated basalt fiber into the asphalt mixture and tested and analyzed the performance
of the asphalt mixture. The research results showed that the blending of basalt fiber into the material
can form a spatial network structure inside the material, thereby enhancing the toughness of the
material and improving crack resistance.
The current domestic and foreign research mainly focuses on the effect of mixing waste asphalt
mixture alone on the mechanical properties of cement stabilized base and the effect of basalt fiber
on asphalt mixture. However, there are few studies on the mixing of basalt fiber into waste asphalt

340 DOI 10.1201/9781003308584-48

recycling base. The crack resistance of the asphalt reclaimed base course was evaluated by the dry
shrinkage test and the temperature shrinkage test. The influence of basalt fiber incorporation on the
crack resistance of the reclaimed base course was studied to provide data basis for related projects.

2 RAW MATERIALS AND TEST METHODS

The cement uses P.O 42.5 ordinary Portland cement produced by Shuang Feng Conch Cement Co.,
Ltd. The main technical indicators are shown in Table 1.
Table 1. Main technical indicators of cement.
SiO2 CaO MgO Ignition Power Fine-ness Initial setting Final setting
(%) (%) (%) loss (%) level (MPa) (%) time (min) time (min)

22.05 58.64 2.71 3.02 32.5 0.4 200 380

Basalt fiber is a chopped fiber produced by a company in Changzhou. It has excellent char-
acteristics such as high temperature stability, low temperature crack resistance and water erosion
resistance. Its main technical indicators are shown in Table 2.
Table 2. The main technical indicators of basalt fiber.
Density Average The average Melting Moisture absorption Elastic Tensile
(g/cm3 ) length (mm) diameter (µm) point (◦ )C rate (%) Modulus (MPa) strength (MPa)

2.56 6 13 1050 <10 105 3500

The coarse aggregate is limestone gravel, which is divided into three grades, 4.75∼9.5mm,
9.5∼19mm, and 19∼31.5mm. The fine aggregate is medium sand with a fineness modulus of 2.4.
The main technical indicators of aggregates are shown in Table 3.

Table 3. Technical indicators of aggregate.

Aggregate Apparent density (g/cm3 ) Crush value (%)

4.75∼9.5mm 2.71 –
9.5∼19mm 2.73 20
19∼31.5mm 2.75 24
Sand 2.65 –

Waste asphalt mixture is mainly used as fine aggregate for cement stabilized base course. After
milling and crushing, the waste asphalt mixture has the characteristics of bulk particles, dust-
containing, and part of asphalt aging. The waste asphalt mixture is passed through a 4.75mm sieve.
The gradation composition is shown in Table 4.

Table 4. Cumulative sieve residue of fine aggregate of waste asphalt mixture.

Mesh size /mm 4.75 2.36 1.18 0.6 0.3 0.15 0.075 < 0.075

Cumulative sieve residue /% 0 35.3 52.4 83.5 92.4 96.5 98.9 100

341
3 TEST METHOD AND TEST PLAN

The anti-cracking performance of the prepared material was evaluated mainly through dry shrinkage
test and temperature shrinkage test.

3.1 Shrinkage test

The mixed asphalt mixture was poured into a test mold of 100×100×400mm and formed by
vibrating compaction. The specimen was cured under standard curing conditions for 7 days, and
the last day was immersed in water for curing. Take out the test piece before the test, wipe off
the free water on the surface of the test piece, and place the test piece on the shrinkage meter.
The shrinkage meter is shown in Figure 1. The dry shrinkage test is performed at a temperature of
20±1◦ C and a humidity of 60±5%. It is carried out indoors, and the test data is recorded at regular
intervals.

Figure 1. Shrinkage tester.

The drying shrinkage performance of the specimen is evaluated by two indicators, the drying
shrinkage strain εd and the average drying shrinkage coefficient αd. The calculation formula is as
follows:
L
εd = (1)
L
εd
αd = (2)
ω
Where: εd is the shrinkage strain, 10−6 ; αd is the average shrinkage coefficient, 10−6 ; L is the
overall shrinkage of the specimen when the water content loss ω is 10-3mm; L is the specimen’s
The overall length, mm; ω is the loss rate of water %.

3.2 Temperature shrinkage test

Prepare 100×100×400mm specimens in the same way as the dry shrinkage test. The specimens
are cured for 7 days under standard curing conditions, and the last day is soaked in water for curing.
After the curing is completed, the test piece is placed in an oven at 105◦ C and dried to a constant
weight. The temperature shrinkage test is carried out in accordance with the relevant regulations
in the “Highway Engineering Inorganic Binder Stabilized Material Test Regulations”, and the test
is carried out in a programmable constant temperature and humidity box, as shown in Figure 2.

342
Figure 2. Programmable constant temperature and humidity box.

The temperature shrinkage performance of the specimen is evaluated by the temperature

shrinkage strain and the temperature shrinkage coefficient, and the calculation formula is as follows:

L
εt = (3)
L

εt
αt = (4)
T
Where: εt is the temperature shrinkage strain, 10−6 ; αt is the temperature shrinkage coefficient,
10−6 ; L is the shrinkage of the specimen when the temperature changes, 10−3 mm; L is the initial
length of the specimen, mm; T is the test temperature difference, ◦ C.

3.3 Test plan

According to the preliminary test, it is determined that the cement content is 6% (accounting for all
materials), the waste asphalt mixture is 15% (accounting for fine aggregate), and the basalt fiber
content is 0∼4% (accounting for the waste asphalt mixture).
Each 1% basalt fiber content is a change amount, and the test ratio is shown in Table 5. According
to the climate characteristics of Jiangsu area throughout the year, during the temperature shrinkage
test, the set temperature is reduced from 30◦ C to −10◦ C, with a cooling level every 10◦ C, and
the cooling rate is controlled to 0.5◦ C/min. Collect 3∼90d dry shrinkage test and temperature
shrinkage test data.

Table 5. Mixture ratio design.

Serial Cement The amount of Basalt fiber

number content /% waste asphalt mixture /% content /%

S1 6 15 0
S2 / / 1
S3 / / 2
S4 / / 3
S5 / / 4

343
4 RESULT AND DISCUSION

4.1 Maintaining the integrity of the specifications

The dry shrinkage test results of waste asphalt mixture with basalt fiber are shown in Table 6.

Table 6. Dry shrinkage test results.

Shrinkage factor /10−6

Serial number 3d 7d 14d 28d 60d 90d

S1 27.1 65.8 90.5 127.9 126.7 128.8

S2 28.8 63.1 86.2 114.6 113.5 115.7
S3 30.5 64.5 87.6 110.2 109.5 110.6
S4 31.2 63.1 88.9 107.2 107.5 108.5
S5 30.8 66.5 87.5 105.1 104.9 105.4

It can be seen from Table 6 and Figure 3 that the 90d shrinkage coefficient of the specimens
without basalt fiber is 128.8×10-6, and the 90d shrinkage coefficient of S2∼S5 ranges from 115.7
to 105.4×10-6. after adding basalt fiber. With the incorporation of basalt fiber, it is beneficial to
reduce the shrinkage coefficient of waste asphalt mixture, and as the number of mixing increases,
the reduction is greater, and the final shrinkage coefficient is reduced by 10% ∼18%. This is because
the basalt fiber intrudes into the fine pores inside the material, and some pores are blocked, so that
the loss area of water is reduced, and the capillary tension formed by the loss of water shrinkage of
the pores is reduced; at the same time, due to the binding force between the fiber and the material and
a large amount of The joint action of the network support system formed by the random distribution
of fiber filaments (Zou 2020) reduces the shrinkage deformation of the internal mixture and the
cementitious material, thereby reducing the shrinkage coefficient of the specimen. This shows
that the incorporation of basalt fiber can reduce the shrinkage and cracking of the recycled base
material, thereby enhancing the crack resistance.

Figure 3. Variation of shrinkage coefficient of basalt fiber mixture with curing age.

4.2 Temperature shrinkage test results and discussion

The temperature shrinkage test results of waste asphalt mixture with basalt fiber are shown in Tables
7 and 8.
It can be seen from Table 7 and Figure 4 that the temperature shrinkage coefficients of S1∼S5
mixed with basalt fiber mixtures all increase with the increase of age.

344
 Table 7. Temperature shrinkage test results.

Average temperature coefficient /10−6

Serial number 3d 7d 14d 28d 60d 90d

S1 4.5 5.3 6.4 9.4 9.3 9.4

S2 4.2 5.2 5.9 8.4 8.6 8.6
S3 4.3 4.9 5.7 8.0 8.0 8.1
S4 4.5 4.7 6.0 7.4 7.5 7.5
S5 4.1 4.8 5.7 6.9 6.8 6.9

Figure 4. The temperature shrinkage coefficient of basalt fiber mixture varies with curing age.

The change of the temperature shrinkage coefficient of the parts tends to be gentle. The reason
is that in the early stage of the test, the cement hydration reaction was fully carried out, producing
many hydrated crystals and cementitious materials, and the temperature shrinkage coefficient of the
specimens increased rapidly. As the test proceeded, the cement hydration reaction had proceeded
completely. The cementitious material is no longer produced, and the temperature shrinkage coef-
ficient of the specimen tends to be flat. In addition, the 90d temperature shrinkage coefficient of
the mixture mixed with basalt fiber is 8∼26% lower than that of the mixture without basalt fiber,
which shows that the temperature shrinkage performance of the waste asphalt recycling base course
can be effectively improved by adding basalt fiber. The reason is that the basalt fiber is mixed into
the specimen, intermingled with the internal materials of the specimen, and interacts with each
other to resist the shrinkage stress generated by the specimen in the temperature change process
(Gu et al. 2018), thereby enhancing the performance of the recycled asphalt base specimen.
From Table 8 and Figure 5, in the temperature range of 30∼-10◦ C, as the temperature decreases,
the temperature shrinkage coefficient of the test piece shows a trend of first decreasing and then
increasing, especially from 10∼0◦ C to 0∼-10◦ C, the temperature shrinkage coefficient shows an
increasing trend. This is because in the environment below 0◦ C, the pore water and bound water
in the specimen will freeze, and the nature of the water is that it will cause volume after freezing.
Increase, so that the frost heave of the specimen increases, and the coefficient of temperature
shrinkage increases. On the other hand, it can be seen from Figure 5 that the temperature shrinkage
coefficients of the specimens mixed with basalt fiber in each temperature range are smaller than
those of the specimens without basalt fiber, indicating that the basalt fiber can be Effectively resist
the shrinkage stress of the specimen caused by temperature changes, thereby improving the crack
resistance of the recycled base material.

345
 Table 8. 28-day temperature shrinkage coefficient in different temperature ranges.

Temperature shrinkage coefficient at in different temperature

range / (10−6 /◦ C)

Serial number 30∼20◦ C 20∼10◦ C 10∼0◦ C 0∼-10◦ C

S1 10.8 10.1 8.0 8.9

S2 10.2 9.3 7.2 7.6
S3 9.8 8.7 6.2 7.4
S4 8.2 7.8 6.7 6.8
S5 7.6 7.2 6.2 6.9

Figure 5. The relationship between temperature shrinkage coefficient and temperature change after curing
for 28 days with different basalt fiber content.

5 CONCLUSION

(1) With the incorporation of basalt fiber, the drying shrinkage coefficient of the waste asphalt
reclaimed base course specimen decreases, and the greater the mixing amount, the decrease
increases from 10% to 18%. This is due to the incorporation of basalt fiber. The small pores
inside the specimen are reduced, thereby reducing capillary tension; on the other hand, the
incorporation of basalt fiber can form a complex network system with the specimen, thereby
restricting the shrinkage deformation of the specimen, and finally the incorporation of basalt
fiber can effectively enhance the crack resistance of the recycled base layer.
(2) In the initial stage of curing, the cement reacts violently, and the crystals and cements are
produced at a fast rate. As a result, the temperature shrinkage coefficient of the waste asphalt
reclaimed base course specimens increases with the curing time in the first 28 days of the curing
time. After 28 days, the hydration reaction tends to be stable, and the formation of strength has
a certain binding force on the cementitious material, and the temperature shrinkage coefficient
tends to be stable. In addition, the incorporation of basalt fiber can mix with the cement matrix
to produce a certain interaction, which can resist the shrinkage stress caused by temperature
changes, thereby effectively inhibiting the generation of temperature cracks, and enhancing
the crack resistance of the waste asphalt recycling base.
(3) In the temperature range of 30 ∼ 0◦ C, as the temperature decreases, the temperature shrinkage
coefficient of the waste asphalt reclaimed base course specimen decreases, and due to the frost

346
 heave effect of free water and bound water inside the specimen, it changes from 10 to 0◦ C In
the temperature range of 0 ∼ −10◦ C, the temperature shrinkage coefficient shows an upward
trend.

REFERENCES

Gu Wan, Xiao Peng, Yang Yuxuan, Liu Anan. “Experimental study on shrinkage and fatigue properties
of recycled cement stabilized crushed stone base materials”. Concrete and Cement Products, 2018(12):
95–100.
Hu Tao, Zi Jianmin, Mao Lei, He Sujing. “Experimental study on the performance of phosphogypsum-based
anti-cracking agent cement stabilized crushed stone”. Highway Engineering, 2018, 43(01): 88–93.
Lin Tong, Kuang Hongzhu, Hu Liqun, Jiao Shengjie, Song Shijie. “Analysis of mechanical properties of
cement stabilized asphalt pavement milling materials”. Journal of Traffic and Transportation Engineering,
2014, 14(02): 7–13.
Wang Xinyue. “Research on the performance and microstructure of basalt fiber asphalt mixtures with different
types of sizing agents”. Yangzhou University, 2018.
Yan Xili, Liang Chunyu, Xu Jinhua, You Qinglong, Li Ang. “Elastoplastic characteristics of cement stabilized
crushed stone base course”. China Journal of Highway and Transport, 2019, 32(01): 29–36.
Zhu Mengliang, Liu Wei. “The shrinkage performance of the skeleton dense cement stabilized macadam base
layer”. Journal of Changsha University of Science and Technology (Natural Science Edition), 2009, 6(02):
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Zou Qidong. “Experimental study on road performance of basalt fiber cement stabilized milling material”.
Shandong University of Technology, 2020.

347
 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Influences of different types of fly ash in Guizhou region on the

performance of polycarboxylate superplasticizer and concrete

Bo Zhang, Kangyuan Shen, Lei Deng & Jianrong Shen

KZJ New Materials Group (Guizhou) Co., Ltd, Guizhou, China

ABSTRACT: In this paper, the influences of five types of fly ash widely used in the Guizhou
Region on the performance of polycarboxylate superplasticizer and concrete were explored. The
water demand ratio, fineness, activity index, loss on ignition (LOI), particle size analysis and
morphological analysis performance indicators of the five types of fly ash were tested. Next, the
impacts of different fly ash and polycarboxylate superplasticizers on the slump, slump flow, setting
time, gas content, bleeding ratio and compressive strength of concrete were compared. The study
results revealed that the fly ash with small fineness and small LOI showed good adaptability to
the polycarboxylate superplasticizer. The gas content was lower in the concrete mixed with the
higher-LOI fly ash, and none of the five types of fly ash exerted obvious effects on the setting time
and bleeding ratio of concrete. The concrete mixed with the Andian fly ash had the highest strength,
while that mixed with Qianxi fly ash had the lowest strength.

1 INTRODUCTION

With In literal meaning, fly ash is the ash generated by coal and the main solid waste discharged by
thermal power plants. With the development of domestic power enterprises and the ever-increasing
discharge of fly ash, fly ash has become one of the industrial waste residues discharged most greatly
in China. Fly ash can be divided into two major types: F-type fly ash collected after the calcination
of anthracite and bituminous coal and C-type fly ash collected by the calcination of brown coal or
sub-bituminous coal.
American scientist R · E · Payi, a pioneer dedicated to the applied research of fly ash as an
admixture, conducted the relevant research as early as the 1930s. In the 1940s, when the Ema dam
project was constructed in Montana, fly ash concrete was applied to this hydropower engineering.
Since it could improve the performance and save cement, fly ash concrete was rapidly popularized.
The 1970s witnessed the initial attention paid to the comprehensive utilization of fly ash in concrete
in China. Subsequently, relevant technical standards like the Technical Code for Application of
Fly Ash Concrete were introduced, laying a foundation for the standardization and reasonable
application of fly ash concrete (Yang et al. 2010).
Fly ash can generate the active effect, micro-aggregate effect and morphological effect, and
mitigate the hydration heat effect (Niu & Wang 2004). There are various types of fly ash with
different colors in the Guizhou Region. To explore the influence of fly ash in the Guizhou Region
on the polycarboxylate superplasticizer and concrete produced by our company, five types of fly
ash in Guizhou were collected and compared in terms of their influences on the workability, setting
time, gas content, bleeding ratio and compressive strength of the concrete mixture.

348 DOI 10.1201/9781003308584-49

2 RAW MATERIALS AND EXPERIMENTAL METHODS

2.1 Raw materials

Table 1. Raw materials for compounding.

Raw Materials Specifications Manufactor

Water-reducing mother liquor (S04) 50% solid content KZJ New Materials Group (Guizhou) Co., Ltd
Water-reducing mother liquor (S04E) 50% solid content KZJ New Materials Group (Guizhou) Co., Ltd
Water-reducing mother liquor (S08) 50% solid content KZJ New Materials Group (Guizhou) Co., Ltd
Water-reducing mother liquor (S08E) 50% solid content KZJ New Materials Group (Guizhou) Co., Ltd
Slump-retaining mother liquor (S10G) 50% solid content KZJ New Materials Group (Guizhou) Co., Ltd
Sodium gluconate (H2) Edible grade Shandong Kaixiang Biotechnology Co., Ltd
Water (W) Tap water Self-made

The raw material selected in this experiment was P.O42.5 ordinary Portland cement, with an LOI of
3.64%, a specific surface area of 346 m2 /kg and 28 d compressive strength of 50.2 MPa. The fine
aggregate used was machine-made hill sand from Guizhou Lianjiangyuan Construction Materials
Co., Ltd, with a fineness modulus of 3.0 and methylene blue (MB) value of 1.0. The coarse aggregate
was 5-31.5 mm gravel from the Guizhou Lianjiangyuan Construction Materials Co., Ltd. The raw
admixtures were detailed, as seen in Table 1.

Figure 1. Fly ash samples.

Five types of fly ash from Qianxi Power Plant, Anshun Power Plant, Jinsha Power Plant,
Mingchuan Power Plant and Dafang Power Plant (hereinafter abbreviated as Qianxi fly ash, Andian
fly ash, Jinsha fly ash, Mingchuan fly ash, and Dafang fly ash) were experimentally studied. Their
appearance pictures are as shown in Figure 1, and technical indexes are listed in Table 2.

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 Table 2. Physical performance indexes of fly ash.

Name LOI (%) Fineness (%) Activity index (%) Water demand ratio(%)

Andian fly ash 6.14 16.3 83 92

Mingchuan fly ash 6.20 19.9 80 97
Qianxi fly ash 7.62 27.5 72 103
Dafang fly ash 7.10 25.1 71 101
Jinsha fly ash 6.35 20.4 73 98

2.2 Compounding of polycarboxylate superplasticizer(PC)

To reduce the experimental errors, both the mother liquor and retarder used for compounding were
from the same batch and named KZJ-1, KZJ-2, KZJ-3 and KZJ-4, respectively. The use levels
of water reducing agent, retarder and slump-retaining agent were kept unchanged, while only the
category of water reducing agent was changed. The compounding schemes are as seen in Table 3.

Table 3. Compounding of polycarboxylate superplasticizer. kg

PC S04 S04E S08 S08E S10G H2 W

KZJ-1 160 40 20 800

KZJ-2 160 40 20 800
KZJ-3 160 40 20 800
KZJ-4 160 40 20 800

2.3 Experimental method

The technical indexes of fly ash were tested in accordance with the Fly Ash Used for Cement
and Concrete (GB/T 1596—2017). The concrete performance was determined in accordance with
Standard for Test Method of Performance on Ordinary Fresh Concrete (GB/T 50080—2016) and
Standard for Test Method of Mechanical Properties on Ordinary Concrete (GB/T 50081—2016).

2.4 Experimental scheme

To study the adaptability of five types of fly ash and four types of polycarboxylate superplasticizers,
the concrete experiment was conducted at the mixed proportion of C30 strength grace. Except for
the use level and category of resin and polycarboxylate superplasticizer, other mix proportion was
unchanged to test the influences of the same polycarboxylate superplasticizer on the initial slump
and slump flow of concrete as well as the loss of slump and slump flow, setting time, gas content,
bleeding ratio and compressive strength of concrete when different types of fly ash were used. The
specific mix proportions are listed in Table 4.

Table 4. Experimental mix proportions kg/m3

S/N Cement Category of fly ash Machine-made white sand Stone Water PC

A1 340 — 1020 880 160 KZJ-1

A2 238 Andian fly ash:102 1020 880 160 KZJ-1
A3 238 Mingchuan fly ash:102 1020 880 160 KZJ-1
A4 238 Qianxi fly ash:102 1020 880 160 KZJ-1
A5 238 Dafang fly ash:102 1020 880 160 KZJ-1
A6 238 Jinsha fly ash:102 1020 880 160 KZJ-1
B1 340 — 1020 880 160 KZJ-2
B2 238 Andian fly ash:102 1020 880 160 KZJ-2

(Continued.)

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 Table 4. Continued.
B3 238 Mingchuan fly ash:102 1020 880 160 KZJ-2
B4 238 Qianxi fly ash:102 1020 880 160 KZJ-2
B5 238 Dafang fly ash:102 1020 880 160 KZJ-2
B6 238 Jinsha fly ash:102 1020 880 160 KZJ-2
C1 340 — 1020 880 160 KZJ-3
C2 238 Andian fly ash:102 1020 880 160 KZJ-3
C3 238 Mingchuan fly ash:102 1020 880 160 KZJ-3
C4 238 Qianxi fly ash:102 1020 880 160 KZJ-3
C5 238 Dafang fly ash:102 1020 880 160 KZJ-3
C6 238 Jinsha fly ash:102 1020 880 160 KZJ-3
D1 340 — 1020 880 160 KZJ-4
D2 238 Andian fly ash:102 1020 880 160 KZJ-4
D3 238 Mingchuan fly ash:102 1020 880 160 KZJ-4
D4 238 Qianxi fly ash:102 1020 880 160 KZJ-4
D5 238 Dafang fly ash:102 1020 880 160 KZJ-4
D6 238 Jinsha fly ash:102 1020 880 160 KZJ-4

3 EXPERIMENTAL RESULTS AND ANALYSIS

3.1 Experiment on slump and slump flow

The concrete experiment was implemented according to the mix proportions in Table 4. The adul-
terate amount of the same polycarboxylate superplasticizer was unchanged, and their initial slump
and slump flow were compared with Figures 1 h later. The experimental results are displayed in
Table 5.
Table 5. Slump and slump flow of ready-mixed concrete.

Usage of Initial slump Initial slump 1h slump 1h slump

S/N PC(kg) (mm) flow(mm) (mm) flow(mm)

A1 5.3 220 570 210 510

A2 5.3 230 630 230 640
A3 5.3 230 615 220 615
A4 5.3 220 590 220 560
A5 5.3 220 600 220 580
A6 5.3 230 615 230 610
B1 5.1 220 570 210 500
B2 5.1 220 630 220 630
B3 5.1 220 620 220 605
B4 5.1 220 600 220 550
B5 5.1 220 610 220 570
B6 5.1 220 620 220 595
C1 4.9 220 580 210 480
C2 4.9 220 620 220 590
C3 4.9 220 610 220 585
C4 4.9 220 580 210 500
C5 4.9 220 590 210 520
C6 4.9 220 610 220 560
D1 4.3 220 570 200 450
D2 4.3 220 620 210 510
D3 4.3 220 610 210 495
D4 4.3 220 570 200 450
D5 4.3 220 595 210 475
D6 4.3 220 605 210 480

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 It could be known from Table 5 that to obtain approximate initial slump and slump flow in the
four groups A, B, C and D, the adulterate amount of admixture in the four groups was determined
as 5.3 kg, 5.1 kg, 4.9 kg and 4.3 kg, respectively, indicating that the water-reducing rates of four
additives were: KZJ-1<KZJ-2<KZJ-3<KZJ-4.

Figure 2. Slump flow of concrete mixed.

The difference among these groups was minor in the slump of concrete mixture, so the emphasis
was laid on the slump flow analysis. As shown in Figure 2(a), the average initial slump flow in
groups A, B, C and D was 605mm, 610mm, 600mm and 595mm, respectively, which, 1 h later,
were 585mm, 575mm, 540mm and 475mm, respectively. The experimental results showed that
the slump-retaining performance for four admixtures was sorted as KZJ-1>KZJ-2>KZJ-3>KZJ-4.
Figure 2(b) shows the initial average slump flow and post-loss average slump flow of the concrete
mixed with each of the five types of fly ash under different polycarboxylate superplasticizers. The
initial slump flow and post-loss slump flow of ready-mixed concrete unadulterated with fly ash
(A1, B1, C1 and D1) were 570mm and 485mm, those of Andian fly ash (A2, B2, C2 and D2)
were 625mm and 590mm, those of Mingchuan fly ash (A3, B3, C3 and D3) were 615mm and
575mm, those of Qianxi fly ash (A4, B4, C4 and D4) were 585mm and 515mm, those of Dafang
fly ash (A5, B5, C5 and D5) were 600mm and 535mm, and those of Jinsha fly ash were 610mm
and 560mm. The results showed that the initial slump flow of five types of fly ash concrete was
sorted, in descending order, as Andian fly ash, Mingchuan fly ash, Jinsha fly ash, Dafang fly ash
and Qianxi fly ash. The loss of slump flow was sorted as Andian fly ash, Mingchuan fly ash, Jinsha
fly ash, Dafang fly ash and Qianxi fly ash. To figure out the reasons for such results, the water
demand ratio and LOI of the five types of fly ash are listed in Table 2. The water demand ratio was
sorted, in ascending order, as Andian fly ash, Mingchuan fly ash, Jinsha fly ash, Dafang fly ash,
and Qianxi fly ash. The LOI was sorted, in ascending order, as Andian fly ash (6.14%), Mingchuan
fly ash (6.20%), Jinsha fly ash (6.35%), Dafang fly ash (7.10%) and Qianxi fly ash (7.62%), among
which the former three had approximate LOIs. This phenomenon was verified in related studies,
i.e., the greater the water demand ratio, the smaller the slump flow of mixed concrete. Moreover, a
greater LOI leads to a higher water demand ratio and smaller slump flow of concrete, which will
accelerate the concrete loss (Zhang & He 2015), thus proving this phenomenon.
From the test results of particle size distribution in Table 6, the particle distribution of Jinsha
fly ash was approximate to that of Dafang fly ash, where particles <3 µm accounted for 9.064%
in both types of fly ash, and particles > 65 µm accounted for 2.724% and 2.098%, respectively. In
addition, the volume content of particles < 23.610 µm accounted for 50% of all particles in Qianxi
fly ash, those < 17.421 µm accounted for 50% of all particles in Dafang fly ash, those < 17.084 µm
accounted for 50% of all particles in Mingchuan fly ash, those < 16.417 µm accounted for 50%
of all particles in Jinsha fly ash, and those < 11.396 µm accounted for 50% of all particles in the
Andian fly ash. Particles < 3 µm and 3-32 µm played a dominant role in Andian fly ash, respectively
accounting for 13.470% and 78.096%, but they accounted for the lowest proportions (3.514% and

352
64.794%) in Qianxi fly ash. Particles 32-65 µm and >65 µm accounted for the highest proportions
(24.640% and 7.052%) in Qianxi fly ash and the lowest proportions (8.077% and 0.357%) in the
Andian fly ash. In other words, the average particle size of the Qianxi fly ash was the largest,
followed by the Dafang fly ash, Jinsha fly ash, Mingchuan fly ash and Andian fly ash successively,
but the middle three types of fly ash showed the approximate particle sizes. The fly ash with finer
particles had a larger particle shape factor—roundness, along with more fine and close-grained
glass beads, so it was of greater activity and smaller water demand (Bian et al. 2013). This verified
that the water demand ratio was the highest in Qianxi fly ash, followed by Dafang fly ash, Jinsha
fly ash, Mingchuan fly ash, and Andian fly ash successively.

Table 6. Test results of particle size distribution.

Sample X50 <3µm 3-32µm 32-65µm >65µm >80µm

name (µm) (%) (%) (%) (%) (%)

Andian fly ash 11.396 13.470 78.096 8.077 0.357 0.013

Jinsha fly ash 16.417 9.064 71.853 16.359 2.724 1.249
Dafang fly ash 17.421 9.064 71.922 16.916 2.098 0.884
Qianxi fly ash 23.610 3.514 64.794 24.640 7.052 4.259
Mingchuan fly ash 17.084 10.784 70.161 17.251 1.804 0.656

The 1000 × SEM graphs of the five types of fly ash are as shown in Figure 3. It could be known
from the micromorphological test results that the particles of the five types of fly ash were all
spherical, conforming to the micromorphology of normal fly ash. By comparison, it was found that
the particles < 3 µm accounted for the least proportion in Qianxi fly ash. Such particles showed
approximate contents in Jinsha fly ash, Mingchuan fly ash, and Dafang fly ash, and the content
was the highest in Andian fly ash, thus verifying the particle size analysis results.

Figure 3. Morphology analysis.

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3.2 Experiment on bleeding rate, gas content and setting time of concrete

Table 7. Bleeding rate, gas content and setting time.

Initial setting Final setting Gas content Bleeding

S/N time (min) time (min) (%) rate

A1 6h45 8h09 1.4

A2 10h20 12h24 1.0 0
A3 10h12 12h08 1.0 0
A4 9h54 12h10 0.9 0
A5 10h08 12h25 0.9 0
A6 10h17 12h32 1.0 0
B1 6h38 8h11 1.3
B2 10h13 12h08 1.0 0
B3 10h06 12h24 1.0 0
B4 9h45 11h59 0.8 0
B5 9h57 11h56 0.9 0
B6 10h08 12h13 1.0 0
C1 6h29 8h01 1.3
C2 9h30 11h28 1.0 0
C3 9h25 11h19 1.0 0
C4 9h15 11h23 0.8 0
C5 9h20 11h17 0.9 0
C6 9h27 11h42 1.0 0
D1 6h14 7h36 1.3
D2 9h08 11h13 1.0 0
D3 9h05 10h58 1.0 0
D4 8h54 11h07 0.9 0
D5 8h59 11h20 0.9 0
D6 9h01 10h54 1.0 0

It could be known from Table 7 that the average gas content of the concrete in the four groups was
1.0%, and the selected four types of polycarboxylate superplasticizers showed no evident effects on
the gas content of concrete. As shown in Figure 4, the average gas content of concrete unadulterated
with fly ash was 1.3%, and that of concrete adulterated with fly ash was 1.0%, i.e., the latter was
slightly lower than the former, which was mainly ascribed to the following two aspects: First, fly ash
was composed of a small number of crystalline materials such as mullite and quartz as well as many
micron-order solid and hollow microbeads. Second, the specific surface area of fly ash was larger
than that of ordinary Portland cement, so the adulterated fly ash could reduce the concrete porosity,
improve the concrete workability, contribute to higher compactness and lower its gas content (Bian
et al. 2013). Besides, the average content was 1.0% in the concrete mixed with Andian fly ash,
Jinsha fly ash, and Mingchuan fly ash, that in the concrete mixed with Qianxi fly ash was 0.8%,
and that of the concrete mixed with Dafang fly ash was 0.9%, so the gas contents were relatively
approximate with minor differences. To explore such differences, the LOIs of the five types of fly
ash were tested, which were 6.14% (Andian fly ash), 6.35% (Jinsha fly ash), 6.20% (Mingchuan
fly ash), 7.62% (Qianxi fly ash) and 7.10% (Dafang fly ash), so the LOI of Qianxi fly ash was the
largest, to which that of Dafang fly ash was second. The LOIs of Jinsha fly ash, Mingchuan fly ash,
and Andian fly ash were approximately small. According to relevant studies, the greater the LOI
of fly ash, the lower the gas content of concrete (Song & Fan 2014), which explained the above
results very well.

354
Figure 4. Gas content of ready-mixed concrete.

The bleeding rate test results are as seen in Table 7. The bleeding rates of concrete mixed with
four types of polycarboxylate superplasticizer and five types of fly ash were all 0.

Figure 5. Concrete setting time.

It was experimentally found that the initial setting time of the concrete unadulterated with fly
ash ranged from 6h14 min to 6h45 min, and the final setting time ranged from 7h 36 min to 8h 11
min.
As shown in Figure 5(a), the initial setting time of the concrete prepared using KZJ-1, KZJ-2,
KZJ-3 and KZJ-4 was 10 h 10 min, 10 h 1 min, 9 h 23 min and 9 h 1 min, respectively, and the average
final setting time were 12 h 19 min, 12 h 8 min, 11 h 25 min and 11 h 6 min, respectively. According
to the setting time, the concrete prepared using four types of polycarboxylate superplasticizer were
sorted as KZJ-1, KZJ-2, KZJ-3 and KZJ-4 in descending order. All concrete samples were finally
set at 2 h after the initial setting, the final setting time was not obviously affected by the four types of
polycarboxylate superplasticizer, and such differences in the initial setting were mainly attributed
to the difference in the slump-retaining properties of the polycarboxylate superplasticizers. The
initial concrete setting was postponed in case of long slump-retaining time. According to Table
5, the slump-retaining properties were sorted as KZJ-1, KZJ-2, KZJ-3 and KZJ-4 in descending
order, so the above phenomenon was verified. It could be observed from Figure 5(b) that the
average initial setting time of concrete mixed with Andian fly ash, Mingchuan fly ash, Qianxi fly
ash, Dafang fly ash and Jinsha fly ash was 9 h 47 min, 9 h 42 min, 9 h 27 min, 9 h 36 min and 9 h

355
43 min, respectively, their average final setting time was 11 h 48 min, 11 h 42 min, 11 h 39 min,
11 h 44 min and 11 h 50 min, so the concrete setting time was not obviously influenced by the five
types of fly ash.

3.3 Strength experiment

Table 8. Compressive strength of concrete

S/N 3d strength (MPa) 7d strength (MPa) 28d strength (MPa)

A1 26.3 42.5 45.7

A2 18.7 33.9 41.1
A3 16.9 34.6 40.5
A4 16.3 31.3 34.6
A5 15.5 30.9 34.1
A6 17.1 31.7 35.6
B1 26.6 42.3 46.3
B2 18.1 33.7 39.9
B3 18.1 33.6 39.2
B4 16.8 31.2 34.3
B5 16.5 30.9 34
B6 17.3 31.6 35.3
C1 26.8 43.4 46.8
C2 17.6 32.6 39.7
C3 17.9 33 39.3
C4 16.6 30.9 34.2
C5 16.2 30.3 33.4
C6 16.7 30.7 34.9
D1 27.6 43.9 47.2
D2 18.3 33.8 40.6
D3 17.9 33.5 39.7
D4 16.9 31.6 35.1
D5 16.5 31.1 34.2
D6 17.3 31.7 35.6

The compressive strength values of the concrete in different groups are displayed in Table 8. It
could be known from Figure 6(a) that the 3d, 7d, and 28d average strength values of the concrete
in group A were 18.5, 34.2 and 38.6 MPa, respectively; those in group B were 18.9, 33.9 and
38.2 MPa, those in group C were 18.6, 33.5 and 38.1 MPa, and those in group D were 19.1, 34.3
and 38.7 MPa. Hence, the concrete strength was not obviously influenced by the four types of
polycarboxylate superplasticizers (KZJ-1, KZJ-2, KZJ-3 and KZJ-4). From Figure 6 (b), the 3d,
7d and 28d average strength values of the concrete adulterated with the Andian fly ash were 18.0,
33.4, and 40.1 MPa, those adulterated with Mingchuan fly ash were 18.0, 33.4 and 39.4 MPa,
respectively, those adulterated with Qianxi fly ash were 16.8, 31.2 and 34.5 MPa, those adulterated
with Dafang fly ash were 16.4, 30.8 and 33.9 MPa, and those adulterated with Jinsha fly ash were
17.1, 31.3 and 35.3 MPa, respectively. The compressive strength values of the concrete samples
prepared using the Andian fly ash and Mingchuan fly ash at different stages were evidently higher
than those of the other three types of fly ash. The concrete samples mixed with Andian fly ash and
Mingchuan fly ash differed little in 3d and 7d compressive strength, and their 28d compressive
strength values were 0.7 MPa higher than that of Mingchuan fly ash. Moreover, the compressive
strength values of the concrete samples mixed with Qianxi fly ash, Dafang fly ash, and Mingchuan
fly ash at different stages were relatively approximate.

356
Figure 6. Compressive strength of concrete.

4 CONCLUSION

The fineness values of the five types of fly ash are sorted as Andian fly ash<Mingchuan fly
ash< Jinsha fly ash<Dafang fly ash<Qianxi fly ash. The smaller fineness resulted in a smaller
water demand ratio. The water demand ratios of the five types of fly ash are sorted as Andian fly
ash<Mingchuan fly ash< Jinsha fly ash<Dafang fly ash<Qianxi fly ash. Their LOIs are sorted as
Andian fly ash<Mingchuan fly ash< Jinsha fly ash<Dafang fly ash<Qianxi fly ash.
The fly ash with smaller fineness and LOI adapts very well to polycarboxylate superplasticizers.
Under the same conditions, the finer the fly ash in the concrete, the lower the use level of polycar-
boxylate superplasticizer, the smaller the LOI of fly ash, and the better slump-retaining properties
of polycarboxylate superplasticizer.
The four types of polycarboxylate superplasticizers exert no obvious effects on the gas content of
concrete. The gas contents of the concrete mixed with different types of fly ash differ little, where
the gas content is large in the concrete mixed with Andian fly ash, Mingchuan fly ash, and Jinsha
fly ash, followed by that in the concrete mixed with Dafang fly ash and Qianxi fly ash. In other
words, the gas content of concrete will be reduced due to the high LOI of fly ash. The five types of
fly ash used in this study show no evident effects on the setting time and bleeding rate of concrete.
The concrete strength is not obviously impacted by the four types of polycarboxylate superplas-
ticizers. The concrete strength varies, to some extent, with the type of fly ash. The compressive
strength of the concrete mixed with Mingchuan fly ash is approximate to that of the concrete mixed
with Andian fly ash, and the concrete samples mixed with Qianxi fly ash, Dafang fly ash and Jinsha
fly ash have approximate compressive strength values, but the former two are higher than the latter
three.

REFERENCES

Bian, Y.F.& Xu, Z .N. & Luo, X (2013). Effect of fly ash particle size distribution on cement properties. J.ement
Engineering.6, 16–18.
Niu, J .S. & Wang, B. J (2004). Effect and application of fly ash in concrete. J. Railway Engineering, 000
(002), 74–77.
Song, M. L. & Fan, C. X (2014). Effect of fly ash on air content in concrete mixture . J. Hydropower and New
Energy. 000 (002), 32–34.
Yang ,Y. F.&Liu, Z.&Gao, H. X (2010). A brief analysis of application technology of fly ash in concrete. J.
Inner Mongolia Water Resources. 5, 123–125.
Zhang, J .P.& He, H. J (2015). Influence of the loss on ignition of fly ash on concrete workability. J. Sichuan
Cement. 4, 136–136.

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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

The division of isothermal water mass under low temperature

Dongfang Yang
Accountancy School, Xijing University, Xi’an, China
North China Sea Environmental Monitoring Center, SOA, Qingdao, China

Haixia Li, Dong Lin & Ge Gao

Accountancy School, Xijing University, Xi’an, China

Danfeng Yang
The Fu Foundation School of Engineering and Applied Science, Columbia University, USA

ABSTRACT: Based on the dataset of Jiaozhou Bay waters in August and November 1981, the
water temperature and geographical distribution in the bottom waters of Jiaozhou Bay were studied.
The results showed that the water temperature in the bottom water body ranged between 12.13 and
25.70◦ C in August and November, and the water temperature in the bottom reached 12.00◦ C and
above. It indicated that the water temperature in the bottom of the entire water body of Jiaozhou Bay
was relatively high in August and November. The author himself defined the Yang Dongfang Water
Mass and Yang Dongfang Isothermal Water Mass. By the definition of Yang Dongfang Isothermal
Water Mass, there was only one isothermal water mass in the bottom waters of Jiaozhou Bay,
located in the water area composed of the entire water body of Jiaozhou Bay, the waters of the
Bay mouth and the outside waters of Bay mouth. In this isothermal water mass, the interval length
of the changing seawater temperature was 0.54◦ C; the interval length of the changing seawater
temperature was within 0.54-0.54 ◦ C. Moreover, the temperature of this isothermal water mass
was 25.16-25.70◦ C. In November, there were two isothermal water masses in Jiaozhou Bay in
the bottom water area, located in the Bay mouth and the inner side of the Bay mouth, and the
outside of the Bay mouth. In these two isothermal water masses, the interval length of seawater
temperature was 0.84◦ C and 0.00◦ C, respectively; namely, the length of the variation range of
water temperature was 0.00-0.84◦ C. Moreover, the temperature of the two isothermal water masses
was 12.13-12.97◦ C and 13.40-13.40◦ C, presenting that in November, the isothermal water mass
temperature in the outside waters of the Bay mouth is more than the temperature of isothermal
water mass in the Bay mouth and inner side of the Bay mouth. In August, in the bottom waters, the
seawater temperature was very high, forming a huge isothermal water mass composed of the entire
water body of Jiaozhou Bay, the waters in the Bay mouth and the waters outside of the Bay mouth.
From August to November, under low water temperature, the huge isothermal water mass in the
entire Jiaozhou Bay waters, the waters of Bay mouth, and the waters outside of the Bay mouth were
separated into two new water masses: the water mass in the inner side of the Bay mouth and the
Bay mouth, and the waters outside of the Bay mouth. Therefore, the changing process of seawater
temperature from August to November determined the variation of the number, location, size scale,
and temperature of isothermal water mass.

1 INTRODUCTION

Studying the variation of coastal water temperature and high-temperature areas, especially the vari-
ation of bottom water temperature, provides significant support to protect the marine environment
and the maintenance of ecologically sustainable development (Ocean 1980; Yang & Chen 2005;

358 DOI 10.1201/9781003308584-50

Yang 2006a, 2006b, 2006c, 2006d; Yang 2013; Yang & Gao 2007, 2010; Yang & Miao 2010; Yang
& Wu 2007). According to the survey materials in 1981, the author proposed the definitions of
water mass and isothermal water mass, determining the water temperature in the bottom waters of
Jiaozhou Bay and bottom isothermal water mass. Moreover, the results showed the water temper-
ature in the bottom waters and the size scale and location of isothermal water mass, providing the
scientific and theoretical basis on the synthetic study of ecological environment and the isothermal
water area in the bottom of Jiaozhou Bay.

2 SURVEY WATERS, MATERIALS AND METHODS

2.1 Natural environment of Jiaozhou Bay

The location of Jiaozhou Bay is a typical semi-enclosed bay, between 120◦ 04 − 120◦ 23 E and
35◦ 58 − 36◦ 18 N, in the southern part of the Shandong Peninsula, especially its geographical
position is bounded by the line connecting Tuan Island and Xuejia Island to theYellow Sea. Jiaozhou
Bay has an area of about 446 km2 and an average water depth of about 7 m. More than a dozen
rivers enter the sea in Jiaozhou Bay. The Dagu River, Yang River, Haibo River, Licun River, and
Loushan River in Qingdao City have larger runoff and sand content. These rivers are all seasonal
rivers, and the river hydrological characteristics have obvious seasonal changes (Yang 2005; Yang
& Wang 2004).

2.2 Materials and methods

The North Sea Monitoring Center of the State Oceanic Administration provided the dataset on
water temperature in Jiaozhou Bay in August and November 1981. In August and November, water
samples were taken from 4 stations: H34, H35, H36 and H37 (Figure 1). Water samples were at
the surface and bottom layers if the depth was more than 10 m, and only the surface layer was less
than 10 m. The survey of water temperature in Jiaozhou Bay water body was carried out by the
method of the national standard, recorded in the national “Marine Monitoring Code” (1991) (State
1991).

Figure 1. Survey stations in Jiaozhou Bay.

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3 RESULTS

3.1 Water temperature in the bottom

In August and November, the water temperature in the bottom waters of Jiaozhou Bay ranged
from 12.13 to 25.70◦ C, indicating that the interval length of the variation of water temperature was
13.57◦ C. In August, the seawater temperature in the bottom waters of Jiaozhou Bay reached the
highest, with the variation in the range of 25.16–25.70◦ C. In November, the water temperature in the
bottom waters of Jiaozhou Bay was markedly decreased and reached a relatively low temperature
with a varied range of 12.13–13.40◦ C. So the water temperature in the bottom of Jiaozhou Bay
in August and November varied within 12.23–25.70◦ C, above 12.00◦ C for the bottom waters. It
showed that the water temperature was relatively high in the entire bottom waters of Jiaozhou Bay
in August and November, in terms of water temperature changes in the bottom (Table 1).

Table 1. The bottom water temperature in Jiaozhou Bay in

August and November.

Time August November

Seawater temperature/◦ C 25.16–25.70 12.13–13.40

3.2 Definition of bottom isothermal water mass

Yang Dongfang had proposed the definition of water mass. If a water body is formed by one point
or multiple points with a common characteristic, the water body is defined as a water mass with
a certain characteristic. The author himself proposed this definition to distinguish it from others,
called Yang Dongfang water mass. Yang Dongfang further proposed the concept of isothermal
water mass. It is defined as a water body with a certain area as the center has a similar tempera-
ture compared with the surrounding waters. The water body of this water area is called the Yang
Dongfang isothermal water mass, or isothermal water mass in short.

3.3 Bottom isothermal water mass

In August, the water temperature in the bottom of Jiaozhou Bay varied from 25.16 to 25.70◦ C. The
water temperature was very high in the Jiaozhou Bay waters. In this Jiaozhou Bay waters, a region
where the bottom water temperature changed relatively little, i.e., from the waters outside the Bay
mouth H34 to the waters in the Bay mouth H35, and then to the inner side waters of the Bay mouth
H36 and H37. The water temperature varied very little in the range of 25.16–25.70◦ C, indicating
that the length of the interval of seawater temperature changes was 0.54◦ C. Thus, according to
the changes in seawater temperature, it only formed a whole water body in the bottom in August,
covering the entire Jiaozhou Bay waters, the waters in the bay mouth and the waters outside of the
bay mouth, where the difference of water temperature was very little inside the entire water body
(Figure 2).
In November, the range of water temperature in the bottom waters of Jiaozhou Bay was 12.13–
13.40◦ C. In the Jiaozhou Bay waters, the seawater temperature was very low. In the Jiaozhou Bay
waters, there were two areas with relatively small changes in water temperature: the inner side
waters of the Bay mouth and the waters in the Bay mouth, and the waters outside of the Bay mouth.
At stations H35, H36, and H37 on the waters inside the Bay mouth and the waters in the Bay mouth,
the change of water temperature was relatively small, ranging from 12.13 to 12.97◦ C, indicating
the length of change in the interval of seawater temperature was 0.84 ◦ C. At station H34, in the
waters outside the Bay mouth, the water temperature change was relatively small (13.40-13.40 ◦ ),
indicating that the length of the interval of seawater temperature change was 0.00◦ C. Similarly, in

360
Figure 2. The bottom isothermal water mass in Jiaozhou Bay in August 1981.

the bottom waters in November, two water areas were formed based on the changes in seawater
temperature: the inner side waters of the Bay mouth and the waters in the Bay mouth, and the waters
outside of the Bay mouth. The water temperature difference within each water area was relatively
small, while the temperature difference between the two water areas was relatively large (Figure 3).

Figure 3. The bottom water temperature in Jiaozhou Bay in November 1981.

4 DISCUSSION

4.1 Location of bottom isothermal water mass

In the bottom waters of the Bay in August, the water temperature was in the range of 25.16–25.70◦ C.
In the Jiaozhou Bay waters, the water temperature was very high. Based on the Yang Dongfang
Isothermal Water Mass definition, there was only one isothermal water mass in the Jiaozhou Bay
waters (Figure 2), located in the waters composed of the entire water body of Jiaozhou Bay, the
waters of Bay mouth and the outside waters of Bay mouth. In this isothermal water mass, the

361
interval length of the changing seawater temperature was 0.54◦ C; namely, the interval length of the
changing seawater temperature was within 0.54–0.54◦ C (Table 2).

Table 2. The interval length of the bottom water temperature changes in

Jiaozhou Bay in August and November.

Time August November

Interval length of water temperature changes/◦ C 0.54–0.54 0.00–0.84

In the bottom waters of the Bay in November, the water temperature ranged within 12.13–
13.40◦ C. In the Jiaozhou Bay waters, the water temperature was very low. Based on the definition
of Yang Dongfang Isothermal Water Mass, there were two isothermal water masses in Jiaozhou
Bay (Figure 3), located in the Bay mouth and the inner side of the Bay mouth, and the outside of the
Bay mouth. In these two isothermal water masses, the interval length of seawater temperature was
0.84◦ C and 0.00◦ C, respectively; namely, the length of the variation range of water temperature
was 0.00-0.84◦ C (Table 1).
Therefore, Yang Dongfang’s isothermal water mass’s core indicator is the changes in the interval
length of water temperature. There was Yang Dongfang isothermal water mass in Jiaozhou Bay
with an interval length of 0.00–0.84◦ C.

4.2 The size scale of bottom isothermal water mass

There was an isothermal water mass in the bottom waters in August, located in the waters composed
of the entire water body of Jiaozhou Bay, the waters of the Bay mouth and the outside waters of the
Bay mouth (Figure 2). This presents that the seawater temperature was very high and increased to
the peak value. Thus, the water mass outside the Bay mouth integrated with the water mass in the
inner side of the Bay mouth and formed a new huge water mass.
There were two isothermal water masses in the bottom waters of Jiaozhou Bay in November,
located in the Bay mouth and the inner side of the Bay mouth and the outside of the Bay mouth
(Figure 3). This shows that in November, the water temperature of seawater was relatively low, and
the water temperature formed a water temperature interface on the inner side of the Bay mouth and
the outer side of the Bay mouth, indicating that the special location of the Bay mouth determines
the changes in the water temperature inside and outside the Bay mouth.

4.3 The temperature of bottom isothermal water mass

There was an isothermal water mass in the bottom waters in August, located in the waters composed
of the entire water body of Jiaozhou Bay, the waters of the Bay mouth and the outside waters of
the Bay mouth (Figure 2) with the temperature of 25.16–25.70◦ C. In August, it presented a huge
isothermal water mass with the same temperature range of 25.00–25.99◦ C. It revealed only an
ecological environment with a similar water temperature.
There were two isothermal water masses in the bottom waters of Jiaozhou Bay in November,
located in the Bay mouth and the inner side of the Bay mouth, and the outside of the Bay mouth
(Figure 3), with the temperature of 12.13–12.97◦ C and 13.40-13.40◦ C, respectively. It illustrates
that in November, the temperature of isothermal water mass in the outside waters of the Bay mouth
is more than the temperature of isothermal water mass in the Bay mouth and inner side of the Bay
mouth. The temperature of the isothermal water mass outside the Bay mouth was 13.00-13.99◦ C,
and in the isothermal water mass in the Bay mouth and inside the Bay mouth was 12.00-12.99◦ C.
These two water masses divided the water area into two parts, and the temperature was divided into
two sections. Therefore, the water masses divided the space of the water area and the temperature
range to clarify the ecological environment of different water areas.

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4.4 Temporal variation of bottom isothermal water mass
In August, the water temperature in the bottom of Jiaozhou Bay varied within 25.16–25.70◦ C. In
the bottom waters in August, the seawater temperature was very high, forming a huge isothermal
water mass composed of the entire water body of Jiaozhou Bay, the waters in the Bay mouth and the
waters outside of the Bay mouth, with the temperature of 25.16–25.70◦ C. This water mass merged
the entire Jiaozhou Bay waters, the waters of the Bay mouth, and the waters outside the Bay mouth
into a huge water mass, forming a water mass with the same temperature.
The water temperature in Jiaozhou Bay decreased from August to November and reached a lower
value in November. At this time, the water temperature was very low in the entire water body of
Jiaozhou Bay and the waters in the Bay mouth and outside of the Bay mouth, causing the division
of the entire bottom waters into two isothermal water masses: in the Bay mouth and inner side
of the Bay mouth, and outside of the Bay mouth. This indicates that from August to November,
under low water temperature, the huge isothermal water mass composed of the entire waters of
Jiaozhou Bay, the mouth waters of the Bay, and the waters outside the Bay mouth was separated
into two new isothermal water masses. Therefore, the variation of seawater temperature from
August to November determines the variation of the number, location, size scale and temperature
of isothermal water mass.

5 CONCLUSION

The temperature in the bottom water body ranged within 12.13–25.70◦ C in August and Novem-
ber. The water temperature in the bottom reached 12.00◦ C and above, indicating that the water
temperature in the bottom of the entire water body Jiaozhou Bay was relatively high in August
and November. Yang Dongfang had proposed the definition of water mass. If a water body was
formed by one or multiple points with a common characteristic, the water body is defined as a
water mass with a certain characteristic. The author himself proposed this definition to distinguish
it from others, called Yang Dongfang water mass. Yang Dongfang further proposed the concept of
isothermal water mass. It is defined as a water body with a certain area as the center has a similar
temperature compared with the surrounding waters. The water body of this water area is called the
Yang Dongfang isothermal water mass, or isothermal water mass for short.
In the bottom waters of the Bay in August, the water temperature ranged within 25.16–25.70◦ C.
In the Jiaozhou Bay waters, the water temperature was very high. Based on the definition of Yang
Dongfang Isothermal Water Mass, there was only one isothermal water mass in the Jiaozhou Bay
waters, located in the waters composed of the entire water body of Jiaozhou Bay, the waters of the
Bay mouth and the outside waters of Bay mouth. In this isothermal water mass, the interval length of
the changing seawater temperature was 0.54◦ C; namely, the interval length of the changing seawater
temperature was within 0.54-0.54◦ C. In addition, the water temperature of this isothermal water
mass was 25.16–25.70◦ C. In the bottom waters of the Bay in November, the water temperature
ranged within 12.13–13.40◦ C. In the Jiaozhou Bay waters, the water temperature was very low.
Based on the definition of Yang Dongfang Isothermal Water Mass, there were two isothermal water
masses in Jiaozhou Bay, located in the Bay mouth and the inner side of the Bay mouth, and the
outside of the Bay mouth. In these two isothermal water masses, the interval length of seawater
temperature was 0.84◦ C and 0.00◦ C, respectively; namely, the length of the variation range of
water temperature was 0.00–0.84◦ C. Moreover, the water temperature of these two isothermal water
masses was 12.13–12.97◦ C and 13.40–13.40◦ C. It exhibits that in November, the temperature of
isothermal water mass in the outside waters of the Bay mouth is more than the temperature of
isothermal water mass in the Bay mouth and inner side of the Bay mouth.
In August, the water temperature in the bottom of Jiaozhou Bay varied within 25.16–25.70◦ C. In
the bottom waters in August, the seawater temperature was very high, forming a huge isothermal
water mass composed of the entire water body of Jiaozhou Bay, the waters in the Bay mouth and the
waters outside of the Bay mouth, with the temperature of 25.16–25.70◦ C. This water mass merged

363
the entire waters of Jiaozhou Bay, the waters of the Bay mouth, and the waters outside the Bay
mouth into a huge mass, forming a water mass with the same temperature of 25.16–25.70◦ C. In
the bottom waters of November, the water temperature was very low, forming an isothermal water
mass outside of the Bay mouth and an isothermal water mass in the Bay mouth and inner side of
the Bay mouth, which further divided the entire water body of Jiaozhou Bay and the waters in the
Bay mouth and outside of the Bay mouth to two water areas: waters in the Bay mouth and inner
side of the Bay mouth, and waters outside of the Bay mouth.
From August to November, under low water temperature, the huge isothermal water mass in the
entire Jiaozhou Bay waters, the waters of Bay mouth, and the waters outside of the Bay mouth,
was separated into two new water masses: the water mass in the inner side of the Bay mouth and
the Bay mouth, and the waters outside of the Bay mouth. Therefore, the changes in the seawater
temperature from August to November determined the variation of the number, location, size scale,
and temperature of isothermal water mass.

ACKNOWLEDGEMENT

This research was sponsored by Doctoral Degree Construction Library of Guizhou Nationalities
University, Research Projects of Guizhou Nationalities University ([2014]02), Research Projects
of Guizhou Province Ministry of Education (KY [2014] 266), and Research Projects of Guizhou
Province Ministry of Science and Technology (LH [2014] 7376). Thanks to Prof. Qiang Shi for
ardent help and nice suggestion.

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Yang, D.F. & F. Wang (2004). Ecological Phenomena of Phytoplankton in Jiaozhou Bay. Marine Science, 28
(6),71–74.
Yang, D.F. & J.P. Wu (2007). Complementary Mechanism of Air and Water Temperatures in the Earth
Ecosystem. Advances in Marine Science, 25 (1),117–122.
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? transect offshore the coast with estuaries. Chin. J. Oceanol. Limnol. 23(1),72–90.
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in Marine Science, 24 (4), 407–412.
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Bay. Marine Environmental Science, 25 (4),39–42.
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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Study on adaptability of different cement and polycarboxylate

superplasticizer in Guangxi region

Xinglong Cen, Jiang Han, Xiyi Xu, Dayin Xie, Lei Deng & Jianrong Shen
KZJ New Materials Group Guangxi Co. Ltd., Wuming, Guangxi, China

ABSTRACT: In this paper, the adaptability of five kinds of cement to polycarboxylate superplas-
ticizer in Guangxi was studied in detail. The water consumption of standard consistency, setting
time, fineness of cement, analysis of the chemical composition, and low-light-level appearance of
five kinds of cement were tested and analyzed in detail. The adaptability of cement paste and con-
crete to different cement and polycarboxylate superplasticizer was tested. The test indexes include
cement paste fluidity, concrete slump, expansion degree, time loss, compressive strength, and
workability. The results show that different physical properties of cement lead to different adapt-
ability to polycarboxylate superplasticizer, and the better adaptability of cement to polycarboxylate
superplasticizer, the higher the workability of concrete and the higher the 28d strength of concrete.

1 INTRODUCTION

Nowadays, China’s economic development has shifted from the stage of high-speed growth to high-
quality development, and the country pays more attention to the environmental protection indicators
of traditional industries, hence the policies such as energy conservation, emission reduction, and
green industry, have been introduced accordingly. The enactment of power restriction policies in
Guangxi region had a significant impact on the concrete industry. During the period of power
curtailment, the high pressure to keep the supply of cement causes the uneven quality of cement
production and the large gaps in the ratio of raw materials within different batches of cement clinker,
thus resulting in different performance indicators. The four minerals—calcium carbonate, silicon
dioxide, aluminum trioxide, and iron trioxide-demonstrate, have different adsorption capacities
for water-reducing agents, which affect the admixture dosing. At the same time, the composition
of gypsum varies in different batches of cement, and the gypsum composition mainly influences
the setting time and slump loss of cement. Moreover, the alkali content in the cement has a huge
impact on the adaptability of the water-reducing agent. Thus, the major consequences on the
concrete include the compatibility, slump, and strength. The water reduction of polycarboxylic
acid and its adaptability to cement concrete have always been the prominent nuisance affecting
its development. If large fluctuations in cement fail to adapt to the admixture, the construction
of on-site workers, concrete performance, related project progress, and quality will be affected.
Research on diverse type of cements and polycarboxylate water-reducing agents in Guangxi can
improve the adaptability of cement and water-reducing agents, effectively control the quality of
concrete, prevent pipe blockage on site, concrete segregation, and long setting time.

2 EXPERIMENTAL MATERIALS AND PLAN

2.1 Experimental raw materials

2.2 Polycarboxylate superplasticizer compounding
The four polycarboxylate superplasticizers used in the test are numbered CHX1, CHX2, CHX3,
and CHX4. The compounding details are shown in Table 2.
DOI 10.1201/9781003308584-51 365
Table 1. Experimental raw materials.

Raw Materials Specifications Manufactor

Slump retaining water-reducing mother Industrial-grade KZJ New Material Group Guangxi
liquid Co.,Ltd
(S04 Solid content: 40%)
High and workability water-reducing Industrial-grade KZJ New Material Group Guangxi
mother liquid (S04A Solid content: 40%) Co.,Ltd
Common water-reducing mother liquid Industrial-grade KZJ New Material Group Guangxi
(S08 Solid content: 40%) Co.,Ltd
High water-reducing mother liquid (S08A Industrial-grade KZJ New Material Group Guangxi
Solid content: 38%) Co.,Ltd
Slump retaining mother liquor Industrial-grade KZJ New Material Group Guangxi
(S10 Solid content: 40%) Co.,Ltd
White sugar Consumption Level Shanghai Yaoxin Sugar Co.,Ltd
(H1 Purity: 99.8%)
Sodium gluconate Consumption Level Shandong Kaixiang Biotechnology
(H2 Effective content 98.5%) Co.,Ltd
Red Lion Cement (S3) P.O42.5 Nanning Red Lion Cement Co.,Ltd
China Resources Cement (S5) P.O42.5 China Resources Cement
(Tianyang) Co., Ltd
China Resources Cement (S4) P.II52.5R China Resources Cement Nanning
Co., Ltd
Southern Cement (S1) P.O42.5 Chongzuo South Cement Co.,Ltd
Conch cement (S2) P.O42.5 Long ’an Conch Cement Co.,Ltd
Mineral powder S95 Liuzhou Qiangshi Technology
Co.,Ltd
Machine-made sand / Guangxi longmengshan Stone Co.,
(MB:0.8,MX:3.0) Ltd
Washed sand / Guangxi Dingge Investment Co.,
(MB:0.5,MX:3.0) Ltd
Crushed stone / Guangxi Dingge Investment Co.,
(Particle size:5-30.5 mm) Ltd
water tap water

Table 2. Polycarboxylate superplasticizer compounding.

KG
Number S04 S04A S08 S08A S10 H1 H2 W

CHX1 105 45 15 20 850

CHX2 105 45 15 20 850
CHX3 105 45 15 20 850
CHX4 105 45 15 20 850

According to the formula in Table 2, it is needed to add certain amount of water W into the
corresponding stirring pot, and then add the quantitative retarder H1, H2, and stir to dissolve. Then
it is required to add the required amount of polycarboxylate superplasticizer mother liquor and
slump-retaining mother liquor respectively, and mix well at the same time to produce the required
polycarboxylate superplasticizer, and store it for use.

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2.3 Experimental plan
• It is needed to perform chemical composition analysis and conventional cement performance
testing on finished cement of different varieties, record data, and analyze the characteristics of
different types of cement;
• It is needed to test the suitability of different types of finished cement and four kinds of
polycarboxylate superplasticizer mother liquor; record the data, and analyze the results.

3 ANALYSIS ON THE CHEMICAL COMPOSITION OF DIFFERENT TYPES OF CEMENT

Table 3. Chemical composition of cement %.

Number CaO SiO2 MgO Fe2O3 SO3 Na2O Al2O3

S1(Southern Cement) 59.14 22.04 1.49 4.35 1.82 0.16 5.84

S2(Conch Cement) 59.34 23.68 1.24 4.97 2.17 0.11 4.78
S3(Red Lion cement) 58.44 19.66 2.79 5.15 2.37 0.16 5.68
S4(China Resources Cement) 62.77 19.42 1.39 5.21 1.94 0.1 4.85
S5(China Resources Cement) 60.8 20.66 1.86 6.86 1.79 0.13 4.5

Through Table 3, it can be obtained that the percentage of the chemical composition of ordinary
silicate cement of the same strength grade in Guangxi area is overall the same, and the mass ratio
of calcium oxide to silicon oxide and the mass fraction of calcium silicate is much higher than the
standard. Overall, the quality of cement in Guangxi area is high.

3.1 Routine performance testing of different varieties of cement

The conventional performance testing method of cement is based on GB175-2007 General Port-
land Cement. The fineness of cement, water consumption for standard consistency, setting time,
spreading degree of mortar, and strength of mortar are determined respectively.

Table 4. Conch cement.

Pulp expansion(mm)

CHX1 CHX2 CHX3 CHX4

Fineness(45µm) Water Initial 1h Initial 1h Initial 1h Initial 1h

8.7 138 210 241 203 234 211 261 201 214
8.2 132 204 233 195 231 208 242 216 210
7.6 130 222 263 209 243 222 250 240 206
Mortar strength(MPa)

3d 28d

Bending resistance Compression Bending resistance Compression

5.8 36.7 7.2 42.5

5.5 35.5 7.8 39.6
6.4 34.5 7 41.8

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 From Table 4, it can be seen that despite the differences between the fineness and standard
consistency of water consumption of different batches of Conch cement, the fluctuation range is
limited. The setting time of the cement fluctuates in a large range. Different batches of cement
demonstrate similar adaptability to the numbered CHX1, CHX2, and CHX3 admixtures. While
the initial expansion degree varies, it shows a trend of enlargement after 1 hour. For the No. CHX4
admixture, the expansion degree of each batch of cement shows a reducing trend after 1 hour, and
the mortar strength is generally high.

Table 5. Red Lion cement.

Pulp expansion(mm)

CHX1 CHX2 CHX3 CHX4

Fineness(45µm) Water Initial 1h Initial 1h Initial 1h Initial 1h

7.4 131 278 242 285 217 280 197 266 197
7.2 129 270 232 268 201 274 223 280 200
6.6 125 254 220 236 191 257 230 230 180
Mortar strength(MPa)

3d 28d

Bending resistance Compression Bending resistance Compression

6.7 37.5 8 53.9

6.4 39.4 7.6 56.4
6.3 42.4 7.7 57.1

It can be obtained from Table 5 that the water consumption and setting time of the standard con-
sistency of Red Lion cement fluctuate greatly. The cement fineness is relatively uniform. Although
the initial expansion of the admixtures numbered CHX1, CHX2, CHX3, and CHX4 in different
batches of cement vary, they all experience a shrinking trend after 1 hour, and the loss of CHX4 is
more serious. The strength of mortar is too high, reaching 40 MPa in 3d and 56 MPa in 28d.
It can be obtained from Table 6 that the water consumption and setting time of the standard
consistency of China Resources P.O42.5 cement vary slightly, and the cement fineness is relatively
stable. For different batches of cement, the expansion degree of the admixtures numbered CHX1
and CHX2 does not shrink or enlarge after 1 h, showing no loss trend. The expansion tends to be
slightly enlarged after 1 h for admixture No. CHX3 and reduced after 1h for admixture No. CHX4.
The mortar strength reaches 34 MPa in 3d and 56 MPa in 28d. In the early stage, the strength of
the mortar is normal, but the strength increases in the later stage.
It can be obtained from Table 7 that China Resources P.II52.5R cement has finer fineness than
P.O42.5 cement. However, different batches fluctuate greatly, and at the same time, the setting
time varies widely. The water consumption for standard consistency is relatively stable. Different
batches of cement pairs numbered CHX1, CHX2, CHX3, CHX4 admixtures, the initial expansion
degree is small, and it shows a trend of enlargement after 1 hour. The strength of mortar is higher
than that of P.O42.5 cement, reaching 50MPa at 3d and 65MPa at 28d.
It can be obtained from Table 8 that Southern cement fineness, setting time, and water consump-
tion for standard consistency are relatively stable. For different batches of cement, the expansion
of the numbered CHX1 and CHX2 admixtures will be enlarged after 1h, and the numbered CHX3
and CHX4 admixtures will be reduced after 1h. The strength of mortar is lower than that of other
types of cement, especially the 27d strength. And it reaches 34MPa in 3d and 44MPa in 28d.

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Table 6. China resources P.O42.5 cement.
Pulp expansion(mm)

CHX1 CHX2 CHX3 CHX4

Fineness(45µm) Water Initial 1h Initial 1h Initial 1h Initial 1h

7.1 126 260 261 274 278 239 237 215 203
7.9 130 300 303 294 288 292 300 276 242
8.5 127 258 274 271 295 263 285 276 269
Mortar strength(MPa)

3d 28d

Bending resistance Compression Bending resistance Compression

6.5 32.4 7.4 56.2

6.7 36.5 7.6 54.6
6.2 33.8 7.1 57.7

Table 7. China resources P.II52.5R cement.

Pulp expansion(mm)

CHX1 CHX2 CHX3 CHX4

Fineness(45µm) Water Initial 1h Initial 1h Initial 1h Initial 1h

4.2 125 150 235 136 200 162 234 170 198
4.8 124 161 244 152 212 176 249 178 200
3.4 125 179 264 163 223 194 270 184 196
Mortar strength(MPa)

3d 28d

Bending resistance Compression Bending resistance Compression

7.2 49.1 8.2 64.3

7.6 42.9 9 56.8
6.7 56.2 8 67.2

In summary, the proportions of different types of cement in Guangxi are roughly similar and
stable, and the indexes are much higher than the standard, with high strength at the later stage. In
terms of physical performance testing, the overall fluctuation of cement fineness is small, and the
setting time and standard consistency of water consumption fluctuate in a large range; the larger the
cement fineness within a certain range, the higher the number of admixtures. All cement mortars
have high strength, with 3d strength reaching 100% and 28d strength reaching 100-120%. In terms
of admixture adaptability, the loss of Red Lion cement is relatively serious, corresponding to the
poor slump retention effect of the same admixture with other types of cement, and the expansion
of the remaining cement paste is enlarged or slightly lost. The initial paste expansion of Southern
Cement is relatively small, and the water reduction rate of the same admixtures of other types of
cement is relatively small.

369
Table 8. Southern cement.
Pulp expansion(mm)

CHX1 CHX2 CHX3 CHX4

Fineness(45µm) Water Initial 1h Initial 1h Initial 1h Initial 1h

7.6 134 226 278 244 255 232 224 266 212
8.1 130 230 280 250 264 243 240 279 218
7.4 132 220 256 244 266 231 238 264 209
Mortar strength(MPa)

3d 28d

Bending resistance Compression Bending resistance Compression

5.9 34.5 6.6 44.2

6.4 30.8 7.2 41.7
5.5 38.7 6.7 47.3

3.2 Microscopic morphology analysis

Microscopic morphology analysis is performed on the samples according to the Microscopic Mor-
phology Analysis Test Protocol by Scanning Electron Microscopy. The magnification is 1000 times
and 2000 times respectively. The microscopic morphology of the five types of cement is shown in
Figure 1.

Figure 1. Southern P.O42.5 cement.

From the micromorphological test results, it can be observed that the particle gradation of South-
ern P.O42.5 cement is poor relative to the remaining four types of cement, and Red Lion P.O42.5
cement and China Resources P.II52.5R cement are better. The difference in particle gradation will
lead to the difference in cement strength and affect the setting time and cement hydration rate at
the same time. The particles of the five kinds of cement examined are mostly irregular-shaped
particles, and the Red Lion P.O42.5 cement and China Resources P.O42.5 cement contain nearly
spherical particles with a relatively rounded surface as observed by the 2000x scanning electron
micrograph. With similar cement-specific surfaces, the water consumption of cement with higher
particle sphericity will be reduced, and the strength will be greatly improved after 28 days.

370
Figure 2. Conch P.O42.5 cement.

Figure 3. Red Lion P.O42.5 cement.

Figure 4. China resources P.II52.5R cement.

4 CONCRETE PERFORMANCE MEASUREMENT

The concrete performance measurement method is carried out under the two standards of GB/T
50080-2016 Common Concrete Mixture Performance Test Method and GB/T 50081-2016 Common
Concrete Mechanical Performance Test Method. The concrete performance is measured using the
C30 concrete grade mix ratio, and the effects of the polycarboxylate superplasticizers numbered
CHX1, CHX2, CHX3, and CHX4 on the workability, slump loss, and strength of different types
of cement in Guangxi are tested respectively. The test compound as shown in Table 9 below.

371
Figure 5. China resources P.O42.5 cement.

Table 9. Test mix ratio of concrete performance test kg/m3 .

Washed Machine-made Slag

cement sand sand gravel powder Water admixture

350 460 480 960 80 155 8.6

4.1 Test of concrete workability and slump loss

Concrete workability is mainly determined by the performance of concrete such as fluidity, inclu-
siveness, and viscosity, which can be determined by the bucket dumping time. The adaptability of
polycarboxylic acid admixture and cement is analyzed by determining the workability, slump loss,
and strength of concrete. The specific data, including the initial slump and expansion of the test
sample, the slump, and expansion after 1 h, are shown in Table 10 below.
From Table 10, it can be obtained that the initial expansion of five types of cement with the same
amount of China Resources P.O42.5 cement is the smallest, with an average of about 550 mm, the
initial expansion of Southern cement is the largest, with an average of about 617.5 mm, and the
initial expansion of the other three types of cement is in the middle and the difference is not large.
It can be seen that the same admixture has the smallest water reduction rate for China Resources
P.O42.5 cement and the largest water reduction rate for Southern cement. The average initial bucket
dumping time of China Resources P.II52.5R is the shortest, about 3.66 s, and Southern cement is
the longest, and the range fluctuates greatly, about 5.11s. By comparing the loss after 1h, we can
see that in terms of extension, CR P.II 52.5R and Southern cement have almost no loss, while other
types of cement have 100-250 mm loss for 1h. In terms of workability, China Resources P.O42.5
cement changed significantly from Southern cement, and the workability became worse after the
loss, while other types of cement did not change much. On the contrary, the workability of China
Resources P.II52.5R cement improved slightly after the loss.
Conch cement is well adapted to the four admixtures, encapsulation of the concrete out of the
pot is good, the slurry is suitable, and the flow rate is normal. Expansion loss within 1 hour is
100-200 mm, and CHX2 and CHX4 loss are large. And pouring barrel after 1 hour almost shows
no loss.
Red Lion cement has excellent adaptability to the four admixtures. The concrete paste is full,
with good encapsulation, no stones are scattered, and the flow rate is fast. The expansion loss is
100-200 mm after 1h, and CHX4 loses the most. After 1h, the bucket is almost changed.
China Resources P.O42.5 cement has general adaptability to the four admixtures, with good
workability. After 1 hour, the expansion loss is 100-250mm. After the loss, the concrete slurry
shrinks seriously, the stones are scattered, and the fluidity is poor. The workability of CHX2 and
CHX4 is slightly better after loss.

372
Table 10. Contrast test data of concrete pouring time and slump loss.

Number Initial state State after 1 h

Slump Expansion Pouring Slump Expansion Pouring

Cement type Admixture (mm) Expansion time(s) (mm) (mm) time(s)

CHX1 210 580 4.18 200 440 4.02

CHX2 210 560 3.17 190 350 3.52
Conch Cement CHX3 200 590 4.35 200 450 3.46
CHX4 210 580 4.32 180 330 4.13
CHX1 210 580 4.2 200 420 4.8
CHX2 210 570 3.6 190 400 3.3
Red Lion cement CHX3 220 590 3.65 200 450 3.4
CHX4 210 560 3.4 180 380 4.5
CHX1 210 540 3.86 200 460 7.76
CHX2 220 560 3.64 210 440 5
China Resources P.O42.5 CHX3 210 540 3.69 190 340 9.45
CHX4 220 580 3.01 200 420 4.5
CHX1 220 590 3.21 220 600 3.76
CHX2 210 570 3.46 210 560 3.14
China Resources P.?52.5R CHX3 210 590 4.15 210 590 4.38
CHX4 220 600 3.24 200 550 3.9
CHX1 220 640 3.85 210 600 4.3
CHX2 210 600 5.01 210 580 5.9
Southern Cement CHX3 230 630 7.7 210 590 8.1
CHX4 220 600 3.88 210 560 3.2

China Resources P.II52.5R cement has good adaptability to four admixtures, with good encap-
sulation ability of concrete, suitable slurry, and normal flow rate. The expansion loss after 1 h is
0-50 mm, and there is no change in the barrel after 1 h, and the adaptability is better.
Southern cement has poor adaptability to the four admixtures. The concrete has a general encap-
sulation property, stones are shocked externally, the slurry is general, and the flow rate is slow.
After 1h, there is not much difference between the workability and the boiling, and the advantage
is that there is almost no loss during expansion.

4.2 Concrete strength test

The concrete strength measurement is carried out according to GB 50107-2010 Concrete Strength
Evaluation Standard. The 3d, 7d, and 28d compressive strength of the concrete standard curing room
at 20±2◦ and humidity ≥95% is measured, and the forming test model adopts 150×150×150mm.
The specific experimental data is shown in Figure 2 below:
Figure 6 shows that the 3d strength of southern cement is the lowest, and the strength of China
Resources P.II52.5R cement fluctuates, but the strength is the highest. Except for Southern Cement,
the 3d strength of other types of cement reaches 100%, the strength is relatively dense, and the gap
is not very large.
Figure 7 shows that the 7d strength of China Resources P.II52.5R cement is still higher, and
Southern Cement is the lowest. The 7d strength gradually widens the distance. Southern Cement
and Red Lion Cement are in the lower zone, and the other three types of cement are in the upper
zone.
From Figure 8, it can be seen that China Resources P.II52.5R cement has the highest late strength.
Although the late strength of Southern Cement reaches more than 150%, it is the lowest. The figure
shows that China Resources P.II52.5R and Red Lion Cement are in the upper zone, and the other

373
Figure 6. 3d compressive strength.

Figure 7. 7d compressive strength.

three types of cement are in the lower zone. Red Lion Cement has the largest growth in the later
period, which counterattacks from the lower area of 7d to the upper area of 28.
According to the three figures, the admixtures numbered CHX1 and CHX4 have higher strength
compared with the admixtures numbered CHX2 and CHX3. The strength of China Resources
P.II52.5R cement at 3d, 7d, and 28d has been high. The 3d strength of different types of cement in
Guangxi has exceeded 100%, and the strength is abundant.

5 EXPERIMENTAL RESULTS

• Different types of types of cement in Guangxi area have little difference in their chemical
composition and chemical percentage, and their physical properties vary. There is no obvious
change in the chemical composition of the same kind of cement; its physical properties show
irregular changes with batch changes, but the change values are not large.

374
Figure 8. 28d compressive strength.

• For the same type of cement and the same admixture, the gradual loss of different batches of
cement and admixtures varies with the batch. The reaction of cement and water reducing agent
leads to gradual loss. With the change of cement batches, the rate of gradual loss fluctuates
irregularly.
• Judging from the workability of different types of cement and different admixtures in
the concrete, the adaptability of Conch Cement, Red Lion Cement, and polycarboxylate
superplasticizers in Guangxi is better, followed by Southern Cement and China Resources
Cement.
• Different polycarboxylate superplasticizers have a certain effect on the later strength of concrete.
When the admixtures of the slump-retaining and reducing water mother liquor and the high-
reducing water mother liquor correspond to different cement concrete strengths, compound
admixtures of 3d, 7d and 28d are commonly high than the water-reducing mother liquor and
ordinary water-reducing mother liquor with high numbers and workability, and the concrete
strength of the water-reducing mother liquor compound admixtures in the three stages with high
numbers and workability is relatively low.
• The late strength of cement in Guangxi area is relatively rich, and concrete cost can be saved
from that aspect. The adaptability between different kinds of polycarboxylate superplasticizers
and cement is different, and the selection of suitable water-reducing agents can improve the
quality of concrete.

REFERENCES

Chai chendi, Gu Wenwen, et al. Adaptability analysis of cement water reducer [J]. Ju Ye 2020(09):77—78.
Wang Yonghe, Xu Ronggui, Feng Chunhua. Study on Adaptability of cement and concrete admixtures [J].
Jiangsu architecture 2012(151):60–63.
Xiao Yu, Liao Guosheng, pan Hui, et al. Influence of cement characteristics on Adaptability of polycarboxylic
acid water reducer [J]. Building construction, 2012,34(5):450–452.
YuYayun, Li Jiarong. Overview of adaptability between polycarboxylic acid water reducer and cement concrete
[J]. Green environmental protection building materials 2018(10):12–14.
Yu Yinhui, Zhang Jiangang, Mao Yonglin, Yang Yong, et al. Effect of cement fineness on the adaptability of
polycarboxylic acid water reducer [J]. Commercial concrete, 2020(6):30–35.
Zhang Quangui, Wang Junxue. Study on the influence of cement with different storage time on the adaptability
of admixture [J]. Commercial concrete 2014(6):48–51.

375
 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Study on the influence of different limestone powder in Guangxi on the

performance of polycarboxylate superplasticizer and concrete

Ni Ke, Hongjia Liao, Xiangpeng Lu & Dayin Xie

KZJ New Materials Group Guangxi Co., Ltd., Wuming, Guangxi, China

Lei Deng
KZJ New Materials Group Guizhou Co., Ltd., Longli, Guizhou, China

Jianrong Shen
KZJ New Materials Group Guangxi Co., Ltd., Wuming, Guangxi, China

ABSTRACT: In this paper, the chemical composition, particle size distribution, morphology
analysis, fluidity ratio and activity index of different limestone powders were tested, the effect
of different quality limestone powder on the properties of polycarboxylate superplasticizer and
concrete was studied. The results show that the adaptability of different limestone powder to
polycarboxylic acid water reducer is different because of their different physical properties, and
the higher the content of fine particles of limestone powder, the better the adaptability and the lower
the sensitivity of limestone powder to polycarboxylic acid water reducer, the better the workability
of the concrete, the higher the 3d, 7d and 28d strength of the concrete.

1 INTRODUCTION

With the rapid development of urbanization construction in China, the demand for concrete in water
conservancy and hydropower, transportation, industrial and civil buildings, and other engineering
buildings is increasing day by day, which is followed by higher requirements for concrete perfor-
mance. Adding admixtures or admixtures to concrete to improve concrete workability and reduce
costs is widely used by people (Sheng 2021). Limestone resources are widely distributed in China,
easy to grind and convenient to transport, with a low price. Limestone powder (hereinafter referred
to as stone powder) is used as mineral admixture to replace cement in concrete, which can reduce
the cost and have a good application prospect (Bai et al. 2020). Because of the small adsorption
of stone powder to chemical admixtures, the fluidity of stone powder concrete increases greatly
when mixed with admixtures, which is one of the important characteristics of stone powder com-
pared with other rock powder, and the main reason why stone powder has technical and economic
advantages when applied to concrete (Zhao et al. 2018). Stone powder has a certain water-reducing
effect, and the slump loss of stone powder concrete is larger under the same initial slump (Zhou
et al. 2014). The fineness of stone powder also has great influence on the workability of concrete,
the slump of which increases with the decrease of fineness of mixed stone powder. There are two
theoretical analyses. First, the activity of stone powder is much weaker than that of cement clinker.
After the stone powder partially replaced cement, the cement clinker participating in hydration at
the initial stage decreases, the water-binder ratio increases and the slump increases. Second, the
stone powder with smaller fineness has better filling effect and relatively more free water content
in the system (Yuan & Xie 2009). The finer stone powder particles are filled between cement
particles, which makes the matrix more compact (Song et al. 2009) and plays a role in improving
the workability.

376 DOI 10.1201/9781003308584-52

 This experiment mainly tests the chemical composition, particle distribution, morphology anal-
ysis, fluidity ratio, activity index and other performance indexes of different limestone powder.
Through several groups of comparative experiments, the influence of stone powder with different
quality on the adaptability, performance, and sensitivity of polycarboxylate superplasticizers in our
company were studied.

2 TEST

2.1 Raw materials

The specifications and manufacturer information of raw materials used in the test are shown in
Table 1 below:

Table 1. Raw materials of the test.

Raw Materials Specifications Manufactor

Slump retaining water-reducing Solid content: 40% KZJ New Material Group Guangxi
mother liquid (S04) Co., Ltd
High and workability water-reducing Solid content: 40% KZJ New Material Group Guangxi
mother liquid (S04A) Co., Ltd
Common water-reducing mother Solid content: 40% KZJ New Material Group Guangxi
liquid(S08) Co., Ltd
High water-reducing mother Solid content: 38% KZJ New Material Group Guangxi
liquid(S08A) Co., Ltd
Slump retaining mother liquor (S10) Solid content: 40% KZJ New Material Group Guangxi
Co., Ltd
White sugar(H1) Purity: 99.7% Guangxi sugar group Jinguang Sugar
Co., Ltd
Sodium gluconate(H2) Industrial grade, purity: Shandong Kaixiang Biotechnology
99.46% Co., Ltd
Cement(C) Conch P.O 42.5 Longan Conch Cement Co., Ltd
Standard sand(S) / Xiamen aisou standard sand Co., Ltd
Machine made white sand(S1) MB: 0.5, Mx: 2.8 Guangxi longmengshan Stone Co.,
Ltd
Water washed sand(S2) MB: 0.75, Mx: 3.1 Guangxi Dingge Investment Co., Ltd
Crushed stone(G) Size: 5-30.5 mm Guangxi Dingge Investment Co., Ltd
Stone powder(L1) MB: 0.5 Guangxi jinhangtong Concrete Co.,
Ltd
Stone powder(L2) MB: 0.25 Nanning borunjia building materials
business department
Stone powder(L3) MB: 0.25 Guangxi Jianhong cement products
Co., Ltd
Mixing water(W) Tap water KZJ New Material Group Guangxi
Co., Ltd

2.2 Performance test of limestone powder

The fluidity ratio, activity index and chemical composition index of stone powder were tested
according to JGJ/T 318 Technical Specification for Application of Limestone Powder in Concrete
and GB/T 176-2017 Chemical Analysis Method of Cement. The particle size of stone powder
samples was analyzed and tested by laser, and the micro-morphology of stone powder was observed
by scanning electron microscope.

377
2.2.1 Mortar test
According to GB/T 2419 Test Method for Fluidity of Cement Mortar, the fluidity test of mortar was
carried out to obtain the fluidity ratio of stone powder and the activity index data of stone powder.
The mortar ratio of the test is as shown in Table 2:
Table 2. Mortar ratio of the test. g

Test code C L1 L2 L3 S W

1 450 / / / 1350 225

2 315 135 / / 1350 225
3 315 / 135 / 1350 225
4 315 / / 135 1350 225

2.3 Determination of concrete performance

The measurement method of concrete and its performance shall be carried out according to GB/T
50080-2016Test Method for Performance of Ordinary Concrete Mixture and GB/T 50081-2016Test
Method for Mechanical Properties of Ordinary Concrete, and the measurement of concrete strength
shall be conducted according to GB 50107-2010 Evaluation Standard for Concrete Strength.

2.3.1 Concrete test

In order to compare the influence of different stone powder on the adaptability of different polycar-
boxylate superplasticizers and concrete properties, four kinds of polycarboxylate superplasticizers
were compared. The mother liquor of polycarboxylate superplasticizers used in the experiment was
produced by Kezhijie New Materials Group Guangxi Co., Ltd., and the formula of polycarboxylate
superplasticizers was shown in Table 3:

Table 3. Formula of polycarboxylate superplasticizers. kg

Admixture Water-reducing mother liquid

formula code S04 S04A S08 S08A S10 H1 H2 W

A1 1050 / / / 450 150 200 8500

A2 / 1050 / / 450 150 200 8500
A3 / / 1050 / 450 150 200 8500
A4 / / / 1105.26 450 150 200 8444.74

Concrete performance measurement adopted C30 concrete grade mix ratio, and the influence
of three kinds of stone powder on the adaptability, workability, slump loss, strength, and other
properties of polycarboxylate superplasticizers were tested respectively. The test mix ratio is shown
in Table 4 below:
Table 4. Mix ratio of concrete. kg/m3

Concrete
Number C S1 S2 G L1 L2 L3 W A1 A2 A3 A4

K1 320 465 490 970 / / / 155 5.4 / / /

K2 260 465 490 970 60 / / 155 5.85 / / /
K3 260 465 490 970 / 60 / 155 5.7 / / /
K4 260 465 490 970 / / 60 155 5.07 / / /
K5 320 465 490 970 / / / 155 / 5.55 / /

(continued)

378
Table 4. Continued.
Concrete
Number C S1 S2 G L1 L2 L3 W A1 A2 A3 A4

K6 260 465 490 970 60 / / 155 / 5.61 / /

K7 260 465 490 970 / 60 / 155 / 5.55 / /
K8 260 465 490 970 / / 60 155 / 4.8 / /
K9 320 465 490 970 / / / 155 / / 5.37 /
K10 260 465 490 970 60 / / 155 / / 5.61 /
K11 260 465 490 970 / 60 / 155 / / 5.4 /
K12 260 465 490 970 / / 60 155 / / 4.68 /
K13 320 465 490 970 / / / 155 / / / 5.4
K14 260 465 490 970 60 / / 155 / / / 5.61
K15 260 465 490 970 / 60 / 155 / / / 5.4
K16 260 465 490 970 / / 60 155 / / / 5.28

3 TEST RESULTS AND ANALYSIS

3.1 Performance test of limestone powder

3.1.1 Chemical composition analysis of stone powder
The stone powder used in the experiment was sent to Construction and Research Testing Group
Co., Ltd. for component analysis, and the analysis results were shown in Table 5:

Table 5. Composition analysis of stone powder. %

Chemical
composition SO3 CaO MgO SiO2 Fe2 O3 Al2 O3 Na2 O

L1 0.11 54.42 0.62 y 0.12 0.55 0.07

L2 0.16 54.88 0.48 y y 0.55 0.07
L3 0.03 54.68 0.74 y y 0.47 0.07

*Note: y means there is but little quantity, and it is not involved in the calculation.

From Table 5, it can be seen that the order of calcium oxide content in the three groups of stone
powder is as follows: CaO (L1) < CaO (L3) < CaO (L2). Calcium oxide is the main component of
cementation in stone powder, which is often used to judge the quality of stone powder. The higher
its content is, the better the quality of stone powder will be, that is, the quality of stone powder L2
is the best among the three groups, followed by stone powder L3 and stone powder L1 is the worst
among the three groups.

3.1.2 Particle size analysis and morphology analysis of stone powder

The stone powder used in the experiment was sent to the Construction and Research Testing
Group Co. Ltd. for particle size analysis and morphology analysis, and the obtained particle
size distribution results are shown in Table 6:
Table 6. Test results of particle size distribution.

Particle size
distribution X50(µm) <3µm(%) 3∼32µm (%) 32∼65µm(%) >65µm(%) >80µm(%)

L1 17.912 14.293 63.018 20.38 2.309 0.909

L2 16.735 13.527 65.751 18.942 1.78 0.649
L3 17.476 14.984 63.02 20.189 1.807 0.602

379
 According to the test results and analysis in Table 6, the following conclusions can be drawn:
the proportion sequence of the three kinds of stone powder with particle size of 3 ∼ 32 µ m is:
65.751% (L2) > 63.020% (L3) > 63.018% (L1), and the proportion of L1 and L3 with particle
size of 3 ∼ 32 µ m is similar and smaller than that of L2 with particle size of 3 ∼ 32 µ m; the
proportion sequence of the three kinds of stone powder with particle size < 32 µ m is: 79.278%
(L2) > 78.004% (L3) > 77.311% (L1), which shows that the particle size distribution of L2 is
relatively concentrated, the fine particle content is the highest and the particle size distribution is
relatively uniform, and the fine particle content of L3 is slightly higher than that of L1. Among the
three kinds of stone powder, the proportion of particle size > 65 µ m and > 80 µ m is the largest
in L1, and the proportion of L2 and L3 is similar, which shows that the content of large particles
in L1 is higher than that in L2 and L3, and the particle size distribution of L1 is scattered, the span
is large, and the particles are relatively rough and uneven.

Figure 1. L1 SEM.

Figure 2. L2 SEM.

The scanning electron microscope images obtained from the micro-morphology test of the three
groups of stone powder are shown in Figures 1–3 respectively. From the micro-morphology test
results of Figures 1–3, it can be seen that generally speaking, the three groups of stone powder are
mostly irregular morphology particles, containing a small amount of long strip particles, and the
particle surface is generally rough; however, from the comparison of three groups of 1000 times
scanning electron microscope images, it can be observed that L2 particles are more uniform than

380
Figure 3. L3 SEM.

L1 and L3 as a whole; from the comparison of 2000 times scanning electron microscope, it can be
concluded that L1 irregular large particles account for the largest proportion.
Combined with the particle size analysis and morphology analysis of three groups of stone
powder, it can be found that L2 has high fine particle content and uniform particle size distribution,
L3 has slightly higher fine particle content than L1, while L1 has higher large particle content than
L2, and L3, and the particle size distribution is scattered, the span is large, and the particles are
relatively rough and uneven.

3.1.3 Mortar experiment

Standard sand was selected for mortar test, and the equipment adopted JJ-5 cement mortar mixer,
Conch P.O 42.5 cement without stone powder was used as comparison sample, to complete the
corresponding experiment according to the operation rules of mortar experiment. The (40 × 40
× 160) mm specimen molded by vibrating table was placed into a standard curing box for CNC
cement concrete for 24h, and then it was taken out for test when it was demolded and cured in water
to the corresponding strength test age. The comparison of the results is shown in Table 7 below:

Table 7. Comparison of experimental results of mortar.

Mortar strength(MPa) Activity index(%)

Fluidity 7d compressive 28d compressive 7d activity 28d activity

Index ratio(%) strength strength index index

Contrast sample 100 38.2 49

L1 100 22.9 30.8 60.0 62.9
L2 104 23.5 31.2 61.5 63.7
L3 103 23.3 31.1 61.0 63.5

Fluidity ratio is an important index to measure whether limestone powder has technical value in
concrete application. The higher the index is, the more obvious the water-reducing effect will be. It
can be seen from Table 7 that when the amount of limestone powder is the same, the fluidity ratio of
sample mortar is as follows: 104% (L2) > 103% (L3) > 100% (L1), that is, the water reducing effect
of L2 is the most obvious, and the water-reducing effect of L3 is between L2 and L1 and better than
L1; the reason may be that fine particles in stone powder fill the voids of cement particles, interact
with cement particles to produce cementation, and adsorb a large amount of water, which plays
a certain role in reducing water (Li et al. 2014). This further shows that L2 contains the highest

381
content of fine particles, so the fluidity of mortar is the highest and the water-reducing effect is the
most obvious. The fine particles contained in L1 are similar to L3, but the water-reducing effect of
L1 is the least obvious because it contains more irregular large particles that affect the interaction
with cement.
Compared with the contrast mortar without stone powder, the compressive strength of samples
mixed with limestone powder decreased in different degrees. The order of compressive strength and
activity index of the three groups of samples mixed with stone powder at 7d and 28d is as follows:
test mortar L2 > test mortar L3 > test mortar L1. The reason may be that the fine particles of
limestone powder fill the voids in cement particles, which makes the paste structure more compact
and improves the pore size distribution of cement, thus improving the strength.
To sum up, in a certain range, when the limestone powder content is the same, the fluidity,
compressive strength and activity index of the sample mortar increase with the increase of the
content of fine particles of limestone powder, and the water-reducing effect becomes more and
more obvious with the increase of the content of fine particles of limestone powder.

3.2 Determination of concrete performance

3.2.1 Concrete workability test
Concrete experiments were carried out according to GB/T 50080-2016 Test Methods for Per-
formance of Ordinary Concrete Mixtures and GB/T 50081-2016 Test Methods for Mechanical
Properties of Ordinary Concrete. The cement used in the test was Conch P.O 42.5 cement, and the
conch cement mixture ratio without stone powder was taken as the comparison sample. The forced
single horizontal shaft concrete mixer was used, with the mixing amount of 36L at each time. For
convenience of comparison, the expansion degree was uniformly controlled within 580±5 mm and
the slump is within 210±10 mm, and the workability of concrete was judged by the rewinding
emptying time. The state of concrete is shown in Table 8:

Table 8. Experimental results of concrete.

Initial State State After 1h

Slump Expansion Emptying Slump Expansion Emptying

Sample type Admixture (mm) (mm) time (s) (mm) (mm) time (s)

Blank sample A1 210 580 4.6 200 440 4.02

(conch cement) A2 210 580 3.2 190 370 3.72
A3 200 585 4.28 200 445 3.46
A4 210 580 4.32 180 330 4.13
L1 A1 200 580 3.15 200 370 4.26
A2 200 580 2.51 200 360 4.13
A3 200 580 2.7 200 375 3.08
A4 200 580 3.1 200 335 5
L2 A1 210 585 4.12 200 435 4.89
A2 220 585 4.02 200 395 4.32
A3 220 580 3.84 200 410 4.33
A4 220 585 3.88 200 345 4.28
L3 A1 210 580 4.18 200 430 5.6
A2 210 580 3.8 200 410 4.78
A3 210 580 3.6 200 425 4.1
A4 210 580 4.1 200 345 4.3

From the analysis of the results in Table 8 above, it can be seen that conch cement has poor
adaptability and high sensitivity to the four admixtures, the workability of concrete fluctuates
greatly with the change of admixture formula, and the encapsulation of concrete is poor and the

382
flow rate is fast, but the encapsulation is slightly better after loss. The loss of expansion degree is
140–250 mm after 1h, and the loss of numbers A2 and A4 is relatively large, and there is almost
no loss after 1h amid rewinding.
The adaptability and sensitivity of L1 to the four admixtures are general. When L1 is mixed, the
workability of concrete is good and the slurry is surplus. Compared with the concrete only using
conch cement, the workability is improved, but the loss is faster, and the loss of expansion degree
in one hour is 205–245 mm; with the change of admixture formula, the fluctuation of workability
is small, and the range of rewinding emptying time is smaller than that in conch cement.
L2 is the stone powder with the best adaptability and the lowest sensitivity to the four admixtures
in the test. When L2 is mixed, the workability of concrete out of the pot is good, the slurry is soft, and
the surface bubbles are more. Compared with concrete only using conch cement, the workability is
improved obviously and stably, and the expansion loss is 150–240 mm in one hour, and the loss of
the numbers A2 and A4 is relatively large, but there is no loss after 1h amid rewinding. The range
of rewinding emptying time is the smallest, and the workability basically does not fluctuate with
the change of admixture formula.
The adaptability of L3 to four admixtures is better than that of L1, and its sensitivity is lower
than that of L1. When L3 is mixed, the workability of concrete is good, the slurry is surplus, and the
1h expansion loss is 150–235 mm, which is smaller than that of concrete mixed with L1; with the
change of admixture formula, the fluctuation of workability is small, and the range of rewinding
emptying time is smaller than that of concrete mixed with L1.
From the overall analysis, mixing different stone powder can improve the workability of concrete
in different degrees. When the content of fine particles in stone powder is higher and the distribution
of particles is more uniform, the interaction between stone powder and various admixtures is
better, which makes admixtures better adapt to various types of polycarboxylate superplasticizers,
reduces sensitivity and improves the workability stability of concrete; the adaptability of limestone
powder to polycarboxylate superplasticizers is improved with the increase of fine particle content
of limestone powder, and the sensitivity is decreased with the increase of fine particle content of
limestone powder when the content of limestone powder is the same; the better the adaptability
of limestone powder and polycarboxylate superplasticizers is, the lower the sensitivity is, and the
better the workability of concrete will be.

Figure 4. 3d Compressive Figure 5. 7d Compressive Figure 6. 28d Compressive

strength. strength. strength.

3.2.2 Compressive strength test of concrete

The concrete strength was measured by using a 150 × 150 × 150 mm molding test mold, and the
compression strength of the contrast conch cement and three kinds of stone powder for 3 days, 7
days and 28 days was tested respectively. The data of concrete strength are shown in Figures 4–6:
It can be seen from Figure 4 that the 3d strength of conch cement is above the other three samples,
and the 3d strength of three kinds of stone powder is the peak at A1, with the highest strength,

383
while the minimum is at A4, with the lowest strength. The 3d strength of the three kinds of stone
powder is relatively dense, and the difference is not great. L1 is above L2 and L3.
As can be seen from Figure 5, the 7d strength difference of the three kinds of stone powder
gradually widens, and the 7d strength of L2 and L3 increases obviously, from below L1 to above
L1. The 7d strength of L2 even reaches a peak of 39.7 MPa at A1, which exceeds the 7d strength
of conch cement at A1. The 7d strength of the three kinds of stone powder is still the peak value at
A1, with the highest strength, and the minimum value is at A4, with the lowest strength.
As can be seen from Figure 6, the 28d strength growth of L2 and L3 is still obvious, with the
peak strength at A1 and the highest strength, while the 8d strength growth at L1 is still slow, which
is below L2 and L3.
According to the three figures, different polycarboxylate superplasticizers have certain influence
on the later strength of concrete. The concrete strength of the mixture of slump retaining water-
reducing mother liquid and high water-reducing mother liquid is generally higher than that of the
mixture of high and workability water-reducing mother liquid and common water-reducing mother
liquid with high numbers and workability in 3d, 7d and 28d, and the concrete strength of the mixture
of high and workability water-reducing mother liquid is lower in three stages.

4 CONCLUSION

(1) The content of calcium oxide in the three groups of stone powder is as follows: CaO (L1) <
CaO (L3) < CaO (L2). The quality of stone powder L2 is the best among the three groups,
followed by stone powder L3, and stone powder L1 is the worst among the three groups.
(2) The content of fine particles in L2 is higher and the particle size distribution is more uniform;
the content of fine particles in L3 is slightly higher than that in L1; the content of large particles
in L1 is higher than that in L2 and L3, and the particle size distribution is more dispersed, the
span is larger, and the particles are relatively rough and uneven.
(3) In a certain range, the fluidity, compressive strength, and activity index of the sample mortar
increase with the increase of the content of fine particles of limestone powder, and the water-
reducing effect becomes more and more obvious with the increase of the content of fine
particles of limestone powder.
(4) When the limestone powder content is the same, the adaptability of limestone powder to poly-
carboxylate superplasticizers becomes better with the increase of the fine particle content of
limestone powder, and the sensitivity decreases with the increase of the fine particle con-
tent of limestone powder; the better the adaptability of limestone powder to polycarboxylate
superplasticizers is, the lower the sensitivity is, the better the workability of concrete will be.
(5) Different limestone powder has certain influence on the middle and late strength of concrete.
The 7d and 28d strength of stone powder with higher fine particle content is generally higher
than that of stone powder with lower fine particle content; this means that under the same
experimental conditions, the 7d and 28d strength of concrete increases with the increase of the
content of fine stone powder particles.
(6) Different types of polycarboxylate superplasticizers have certain influence on the strength
of concrete. When the concrete with different stone powder is mixed, the strength of the
compounded mixture of slump retaining water-reducing mother liquid is generally higher than
that of the mixture of water-reducing mother liquid with high and workability, common water-
reducing mother liquid, and high water-reducing mother liquid with high numbers in 3d, 7d
and 28d, and the concrete strength of the compounded mixture of water-reducing mother liquid
with high numbers is lower among the three stages.

REFERENCES

Bai, L. G & Z. Y, Mo & Y. L, Liu. (2020) Influence of Limestone Powder on Mechanical Properties of High
Performance Concrete. Journal of North China Institute of Aerospace Engineering, 09:26–28.

384
Li, X. G & Z. D, Tao & Cheng, G. Y & X. M, Liu & Yang, H. (2014) Influences of Limestone Powder Particle
Size Distribution on Cement Properties. Research & Application of Building Materials, 01:18–22.
Sheng, Q. Z. (2021) On Application of Limestone Powder in Concrete as an Admixture. Chongqing
Architecture, 04:32–35.
Song, S. M & Liu, J. H & Xu, G. Q. (2009) Summarize and Research on Application of Limestone Powder In
Concrete. CHINA CONCRETE, 12:38–43.
Yuan, H & Xie, Y. J. (2009) Effect of Fineness of Limestone powder on concrete performance. COAL ASH,
02:13–15.
Zhao, K. Y & Dong, Z. P & Zhang, J. T. (2018) Research status of limestone powder concrete. Concrete,
11:143–147.
Zhou, Y. X & Wang, Y .H & Wang, S. Y. (2014) The Characteristic of Limestone Powder and Its Effect on
Performance of Concrete. CONSTRUCTION TEECHNOLOGY, 09:135–138.

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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Oxygen isotope geochemical characteristics of middle-shallow layers

in the northern Songliao Basin

Xiang Gao
Exploration and Development Research Institute of Daqing Oilfield Company Ltd., Daqing, China

ABSTRACT: The Cretaceous represents one of the warmest periods in earth’s history with a
series of major geological events. The marine Cretaceous has been well studied, but the non-
marine Cretaceous is still poorly understood. Songliao Basin is the largest Cretaceous continental
petroleum basin in China. Songke 1 well is the first core exploration well in Chinese mainland,
which is dominated by Cretaceous continental strata. Through systematic geochemical analysis, the
actual drilling data and sample analysis and detection data of the Songke 1 well and other relevant
wells in the basin are obtained, which provide an important reference basis for re-understanding
the sedimentary environment and evolution of Songliao Basin. In this study, the oxygen isotope
data are used to construct the high-resolution oxygen stable isotope evolution profile of middle-
shallow layers in Songliao Basin, which enrich the stable isotope geochemical data in Northeast
China. The comparison of oxygen isotope results show that the significant warming events in the
sedimentary period of Qingshankou formation are highly consistent with the global paleomarine
extreme greenhouse climate time window in the early Late Cretaceous, which is characterized by
the temporal and spatial response of land and marine environment to paleoclimate abrupt events.

1 INTRODUCTION

The scientific community has recognized that the Earth, for most of geological history, is very
different from the integrity Earth we live in today, and has a periodicity of “ice carbon differences”
alternating between the “greenhouse state” and the “ice chamber state”. The Cretaceous period
is a typical representation of extreme greenhouse climate in geological history, so the Cretaceous
period has been regarded by the international geoscience community as an example of the study
of earth system science, known as the “Cretaceous World”. During the Cretaceous period, global
temperatures were in extreme greenhouses, during periods of high productivity in the mid-ocean
ridges and periods of large-scale formation of large-scale infestation rock provinces (LIPs).

2 STRATIGRAPHIC DISTRIBUTION CHARACTERISTICS OF THE BASIN

Songliao Basin is the largest medium-new generation of land-phase oil and gas basin in northeast
China. It is one of the most complete land-phase Cretaceous formations and geological records in
the world, its inner formations development of the Cretaceous are complete and the sediment thick-
ness is large. Hence, the Songliao Basin is the key area to research the land-phase formations of the
Cretaceous’ major geological events and global climate change response. The basin is filled with a
thickness of 11 kilometers, with a double structure of “lower break and upper depression”, devel-
oping Huoshiling formation, Shahezi formation, Yingcheng formation, Denglouku formation, and
the 1st-2nd members of Quantou formation; the upper depression period is a normal sedimentary
sequence, developing the 3rd-4th members of Quantou formation, Qingshankou formation, Yaojia
Formation, Nenjiang Foramtion, Sifangtai formation, and Mingshui Formation.

386 DOI 10.1201/9781003308584-53

 The Songke 1 well is the first land-phase cretaceous scientific drilling engineering well in
the Chinese mainland, located in the central depression area of Songliao Basin, composed of two
wells, north hole (Songke 1 well) from Taikang formation to Nenjiang formation a section of the top
continuous core, south hole (Mao 206 well) from the 2nd member of Nenjiang formation to the upper
part of the Quantou formation. Through intensive sampling of rocks in various sections of the well,
this paper carries out systematic geochemical analysis, establishes the evolution profile of shallow
oxygen-stabilized isotopes in Songliao Basin, and provides a new bridge for the construction of sea-
land phase formation comparison, which is also of great significance for an in-depth understanding
of the global climate change in the Cretaceous period.

3 OXYGEN STABILITY ISOTOPE GEOCHEMICAL CHARACTERISTICS

With the implementation of the Global Ocean Drilling Program and the Deep-Sea Drilling Program,
the application of oxygen stabilization isotopes is more focused on paleoclimatological research,
and the proposal of the Cretaceous greenhouse climate is a successful example of oxygen stabi-
lization isotope research. Based on the successful experience of carbonate rock and perforated
insect shell oxygen stabilization isotopes in the study of Cretaceous ancient oceans, the analysis
and research of mesoplasmic shell oxygen stabilization isotopes were carried out in the Cretaceous
period of Songliao Basin.
From the oxygen isotope of the Qingshankou and Quantou formation in the San1 well (Table
1), the values of oxygen isotope are small overall,the δ 18 OPDB is generally less than −8.0‰, the
minimum is −16.266‰, characterized by a relatively high-temperature ancient lake water body.
The values of δ 18 OPDB in the 4th member of Quantou formation are −14.597∼ −9.743‰, and they
show a small oscillation in general. After entering the Qingshankou formation for a period of time,
the values of δ 18 OPDB show a rapid reduction, and quickly rebound to the final relatively stable
process.
The oxygen isotope shows a decreasing trend as a whole. The lower part of the 2nd-3rd members
of Qingshankou formation (1670.85 ∼ 1577.87m) in the Mao206 well. The values of δ 18 OPDB
decreased from – 11.12 ‰ to – 16.92 ‰; Up to 1559.28m, the values δ 18 OPDB showed a process
of rapid increase and rapid decrease, from – 16.92 ‰ to – 11.96 ‰ (1568.28m), and then rapidly
decreased to the well depth of 1560.28m, the value of δ 18 OPDB reaches the minimum of −18.07 ‰,
which is characterized by a continuous warming trend. Then, from 1560.28m to 1285.91m at the
top of the 2nd-3rd members of Qingshankou formation, the value of δ 18 OPDB shows a fluctuating
upward trend, and the maximum value is – 9.15 ‰ (1305.50m). The values of Yaojia formation
have little change, ranging from - 10.74 ‰ to – 8.49 ‰. From the 1st-2nd members of Nenjiang
formation , the values δ 18 OPDB generally show a small upward trend, with the minimum value being
– 11.21 ‰ and the maximum value is – 6.56 ‰. This gradual increasing trend is characterized by
the continuous decline of the water temperature of the ancient lake.
From the oxygen isotope data of the Songke 1 well, three segments of the values of δ 18 OPDB
overall showed small fluctuations, the values range from −11.31 ∼ −5.336‰, the value appears
as an outlier (−11.31‰) only at the bottom of the 2nd member of Nenjiang formation, the value of
δ 18 OPDB significantly negative in the 4th -5th members of Nenjiang formation. The value ofδ 18 OPDB
is −7.115 ‰ (Songke 1 well 1475.0m) quickly reduced to −16.7‰ (Songke 1 well 1428.5m), at
the lower part of the 4th member of Nenjiang formation of the water body warming trend of
ancient lakes is obvious. Then in the 1428.5∼1260.0m, the oxygen isotope is in a low-value level
as a whole, characterized by this period, the ancient lake water body is in a relatively high-water
temperature state. Above 1260.0m, the oxygen isotope value increased rapidly, characterized by a
rapid cooling trend, and during the deposition period of the Sifangtai -Mingshui formation above
963.0m, oxygen isotope showed obvious frequent oscillations, the values of δ 18 OPDB are generally
maintained −15.67 ∼ −2.35 ‰, reflecting that in a short period of time, the water body temperature
of ancient lakes showed a relatively large warming or cooling leap, reflecting the period of relatively
severe ancient climate change.

387
Table 1. The analysis of oxygen isotope in the northern Songliao Basin.

Order Depth δ 18 OPDB Order Depth δ 18 Opdb

Number (m) Lithology Formation (‰) Number (m) Lithology Formation (‰)

1 520.30 gray black 1st member −8.647 16 558.20 gray black 1st member −11.039
mudstone mudstone
2 521.00 gray black 1st member −10.053 17 558.70 gray black 1st member −10.165
mudstone mudstone
3 521.80 gray black 1st member −9.412 18 559.10 gray black 1st member −10.658
mudstone mudstone
4 523.40 gray black 1st member −10.216 19 559.40 gray black 1st member −9.467
mudstone mudstone
5 524.70 gray black 1st member −10.623 20 560.50 light gray 4th member −10.331
mudstone mudstone
6 526.20 gray black 1st member −10.156 21 562.5 greyish green 4th member −10.267
mudstone mudstone
7 545.70 gray black 1st member −10.32 22 569.3 purplish red 4th member −14.595
mudstone mudstone
8 548.60 gray black 1st member −8.16 23 585.4 purplish red 4th member −13.109
mudstone mudstone
9 550.50 gray black 1st member −10.59 24 593.5 purplish red 4th member −10.857
mudstone mudstone
10 551.50 gray black 1st member −10.729 25 603.5 purplish red 4th member −12.512
mudstone mudstone
11 554.80 gray black 1st member −10.908 26 626.7 purplish red 4th member −14.384
mudstone mudstone
12 555.70 gray black 1st member −13.019 27 635.5 purplish red 4th member −9.743
mudstone mudstone
13 556.80 gray black 1st member −10.106 28 639.9 purplish red 4th member −13.694
mudstone mudstone
14 557.30 gray black 1st member −13.481 29 643.7 purplish red 4th member −14.597
mudstone mudstone
15 557.80 gray black 1st member −16.266
mudstone

Note: 1st member is the 1st member of Qingshankou formation; 4th member is the 4th member of Quantou
formation.

4 LATE CRETACEOUS ANCIENT CLIMATE EVOLUTION AND GLOBAL COMPARISON

IN SONGLIAO BASIN

The Cretaceous period exhibited a typical greenhouse climate period in geological history. Data
on carbonate and perforated insect oxygen isotope show that global temperatures were extremely
greenhouse during the Turonian period. At that time, the surface temperature of the Earth was 10
degree Celsius warmer than current temperature. The isotope temperature measurement of plankton
perforated insects in the middle of the Cretaceous period shows that the annual average temperature
of the equatorial zone at that time is comparable to that of the present, but the temperature in the
high latitudes is 10∼12 degree Celsius higher than in the same region today, while the highest
annual average temperature in the equatorial zone is 5 degree Celsius higher than today, and 20
∼25 degree Celsius higher in the high latitudes.
Using oxygen isotopes of porous worm shells (calcium carbonate) in the cretaceous sedimentary
rocks of the South Atlantic, Huber believes that the surface water of the ocean has been warming
gradually since the Albian-Cenomanian period; At Turonian-Campanian period of the Late Cre-
taceous, the surface water of the ocean was in an extremely warm state, and at the beginning of

388
the late Campanian period, the surface water temperature of the ocean gradually cooled, which
continued until the end of the late Maastrichtian.
Clarke tested and studied the oxygen isotope of ocean-phase carbonates obtained from ocean
drilling (ODP) during the Aptan-Maastrichtian period in exmouth Plateau region of the South-
ern hemisphere. The results showed that the temperature of seawater on the ocean surface of the
Cenomanian-Turonian line and the Mid-Turonian period reached its highest level since 115 Ma.
They also pointed out that from the beginning of the Aptian period to the Turonian period, character-
ized as a long-term warming process, and after the Turonian period, to the Maastrichtian period, the
surface water of the ancient ocean showed a cooling trend, and it is speculated that the temperature
of the paleo-ocean surface water body in the low latitudes of the Cretaceous period may exceed 33
degree Celsius.
Jenkyns studied the stable isotopes of sea-phase carbonate oxygen in the Late Cretaceous period
in Southern England, and concluded that the surface water bodies of the Arctic Ocean during the
Cenomanian period had been warming up to the highest surface water temperature near the C/T
boundary. They also pointed out that for most of Cenomanian-Turonian, the average temperature
of surface water in the Arctic Ocean exceeds 20 Celsius degree.
From the mesoplasmic shell oxygen stability isotope obtained in Songliao Basin, at least three
relatively obvious warming events are reflected, the first obvious warming event occurs at the
bottom of 1st member of the Qingshankou formation, the second time in the lower part of the
2nd-3rd members of Qingshankou formation, and the third appears at the top of the 4th member
of the Nenjiang formation, the largest of which occurs in the 1st member of Qingshankou forma-
tion sedimentary period. Combined with spore-powder vegetation data, it is confirmed that the
sedimentation period of Qingshankou formation is a kind of wet and hot climate, while the 4th
member of Nenjiang formation to the Quantou formation may be a dry hot-arid climate. It can
be seen that the ancient climate change in the sedimentary period of Qingshankou formation is
strikingly similar to the law of paleoclimate evolution obtained by the global paleo-ocean, which
is characterized by the coupling effect of land and marine environment on paleoclimate mutation
events.

5 CONCLUSIONS

The high-resolution mesomorphic oxygen-stabilized isotopes depict the change of water tempera-
ture in the ancient Songliao lake of the Late Cretaceous period. There were three obvious warming
and cooling events in the ancient climate evolution of the Late Cretaceous period in Songliao Basin,
which occurred in the four and five sedimentary periods of Qingshankou formation, the 2nd-3rd
members of Qingshankou formation and 4th-5th members of Nenjiang formation respectively.
The warming events of the Qingshankou formation are consistent with the results of the global
Cretaceous ancient ocean research and are characterized by the sea-land response of the global
paleoclimatological evolution of the Late Cretaceous period.

ACKNOWLEDGEMENTS

This article is supported by the National Natural Science Foundation of China (41972156) and The
China Postdoctoral Science Foundation (2017M621201).

REFERENCES

Clarke L J et al. (1999). New oxygen isotope evidence for long-term Cretaceous climatic chang in the Southern
Hemisphere. Geology, 27(8):699–702.
Huber B T et al. (2002). Deep-sea paleotemperature record of extreme warmth during the Cretaceous.
Geological Society of America, 30(2):123–126.

389
Huber B T et al. Middle-Late Cretaceous climate of the southern high latitudes: Stable isotopic evidence for
minimal equator-to-pole thermal gradients. GSA Bulletin, 107(10):1164–1191.
Jenkyns H C, et al. (2001). High temperatures in the Late Cretaceous Arctic Ocean. Nature, 432:888–892.
Ma Zongjin, Du Pinren, Lu Miaoan (2001). Multi-layered interaction of the Earth[J]. Earth Science Frontiers,
2001, 8(1):3–8.
Wang Chengshan (2006).Coupling of the earth surface system: inferring from the Cretaceous Major Geological
events. Advances in Earth science,21(7):838–842.
Wang Dongpo, Liu Li, Zhang Liping, Lv Chuan-jiang (1995). Paleoclimate, sedimentary cycle and sequence
stratum from Songliao Basin. Changchun: Jilin University Press: 39–88.
Wang Pinxian (2002).Ice and carbon in climate evolution. Earth Science Frontiers, 2002, 9(1):85–93.

390
 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Analysis of the particle matter and black carbon at five sites with
different backgrounds in China

Yanan Li
Meteorological Observation Center, China Meteorological Administration, China

Chuanjiang Zhang
Jiangxi Climate Center, Jiangxi, China

Mengyun Lou, Junshan Jing, Qing Zhou, Junli Jin & Yong Zhang
Meteorological Observation Center, China Meteorological Administration, China

ABSTRACT: Five different background observation sites in China are selected in this study to
analyze the particle matters (PMs), including PM10 , PM2.5 , PM1 , black carbon mass concentration
(BC) and their variations in 2020. Pronounced seasonal variation is found at Daxing, Shouxian and
Shenzhen sites with the highest concentration in winter and lowest in summer. At Shangri-La, the
highest concentration occurs in spring, and the lowest concentration occurs in summer. At Haizhu
site, the highest concentration occurs in spring and autumn, and the lowest concentration occurs
in summer. The PM10 , PM2.5 , PM1 and BC concentrations show spatial differences, the annual
average concentrations are in the range of 5.6–84.2 µg/m3 , 4.3–48.0 µg/m3 , 3.6–38.5 µg/m3 and
0.31-2.3 µg/m3 . The mass fractions of BC in different sizes PM are also calculated, the ratios of
BC to PM1 are the highest at all five sites, but they are also close to the ratios of BC to PM2.5 ,
the ratios of BC to PM10 are the lowest. BC, PM2.5 concentrations and their ratios basically share
similar diurnal pattern with two peaks at rush hour in the morning and evening respectively, but
with slight differences between different sites.

1 GENERAL INSTRUCTIONS

Atmospheric aerosol is an important forcing factor of global climate change, it has become a major
concern of scientists in recent years (Menon et al. 2002; Penner et al. 2004; Zhang et al. 2020) and
has become one of the hot issues in the current international research on global climate change
(Babu & Moorthy 2001; Zhang & Li 2019). The most basic characteristic of atmospheric aerosol
is its particle size, which is closely related to its source, migration, transformation and clarity, as
well as its physical and chemical properties. According to the aerodynamic diameter, aerosols can
be divided into total suspended, inhalable and fine particle matters (PMs). Black carbon (BC) is
an important atmospheric aerosol component and is produced by the incomplete combustion of
carbonaceous materials (Bond & Bergstrom 2001).
With the rapid development of the industry and the rapid growth of energy consumption, a large
number of aerosols are discharged into the atmosphere. In the past ten years, China has adopted a
series of emission reduction measures to control the emission of aerosols and other pollutants, in
most areas of China, the mass concentration of aerosols has dropped significantly (Xu et al. 2020),
but the type of air pollution has become a compound type. Therefore, it is necessary to carry out
continuous aerosol observations in more areas with different backgrounds for understanding the
aerosol physical characteristics.
Five sites in China are selected in this study, with an urban site in Beijing, two urban sites
in Guangzhou and Shenzhen respectively, a rural site in Anhui province and a remote regional

DOI 10.1201/9781003308584-54 391

background site in Yunnan province. This study reports the results of PM10 , PM2.5 , PM1 and BC
mass concentration at the above five sites in 2020, and the mass fractions of BC in PMs are also
calculated.

2 SITES AND DATA DESCRIPTION

The selected urban site in Beijing in this study is Daxing, which is greatly affected by human
activities. The Shenzhen site is located in the coastal area of South China, and there is a highway
about 200 m to the northeast. The urban site in Guangzhou is located in Haizhu Wetland Park,
which is surrounding by highways on three sides. The Shouxian site in Anhui province is located 9
km south of Shouxian County. The Shangri-La site in Yunnan province is a regional atmospheric
background site of China Meteorological Administration (CMA), with an altitude of 3580 m. It is
less affected by human activities.
The PM10 , PM2.5 and PM1 mass concentration in this study is collected with the GRIMM180
aerosol monitor (GRIMM Company, German). This kind of instrument has 31 channels, using
the principle of laser scattering to accurately measure the mass concentration of aerosols between
0.25-32 µm in real time, and output data every 5 minutes. In order to ensure the accuracy and
comparability of observations, the GRIMM180 monitor was sent to the CMA for calibration
every year, and the calibration can be traced to the German GRIMM Company. The BC mass
concentration is continuously measured by the aethalometer (Magee Scientific Inc., USA; AE33
Model at Shangri-La site, AE31 Model at the other four sties) in 880 nm wavelength (Sharma et al.
2018) with 5 minutes time resolution. In terms of data quality control, measurements outside a
certain range or with very little variability over a period of time are marked as outliers. In addition,
we applied the 3σ rule, a simple and widely used method for outlier detection.
In general, the integrity rates of hourly PMs and BC data at all five sites are over 85%.

3 RESULTS AND DISCUSSIONS

3.1 The PM mass concentration at five sites

According to Figure 1, the Daxing site, as a representative site of the Beijing-Tianjin-Hebei urban
agglomeration, has the highest PM concentration compared to other sites. The annual average
concentration of PM10 , PM2.5 and PM1 is 84.2±49.0 µg/m3 , 47.8±36.4 µg/m3 and 38.5±33.4
µg/m3 respectively as shown in Table 1. The seasonal variation of aerosol mass concentration is also
very significant, with low concentration in summer months and high concentration in winter and
spring. During the heating period, due to increased heating emissions and stable weather conditions,
the aerosol mass concentration at Daxing is high, several occurrences of high concentrations are
related to the severe pollution process. In spring, Beijing is usually affected by gale and dust greatly,
On May 13, the dust weather occurred, and the concentration reached 256.4 µg/m3 . The variation of
aerosol mass concentration at Shouxian is the same as that at Daxing, showing the characteristics
of low in summer and early autumn and high in other seasons. It is worth noting that although
Shouxian is a rural site, its aerosol mass concentration is still higher than that of sites such as
Haizhu and Shenzhen.
The Haizhu and Shenzhen sites are both located in the South China region, where dry (April to
September) and wet (October to March of the following year) seasons are divided throughout the
year. The phenomenon of aerosol concentrations showing a lower level in the wet season than that in
the dry season results from many factors (Cheng et al. 2018). First of all, the large-scale background
wind direction is different in the dry and wet seasons. The dry season is mainly affected by the
northeast wind. During the long-distance transmission of pollutants, pollutants in theYangtze River
Delta and the coastal areas of Fujian and Zhejiang province often overlap with local pollutants,
as a result, the aerosol concentration in the dry season is relatively high. While the wet season is

392
mainly affected by the southerly South China Sea monsoon, the airflow from the South China Sea
is relatively clean, resulting in a low aerosol concentration in the wet season. Secondly, there is a
weak sinking airflow in the dry season, which is conducive to the accumulation of pollution. In
the wet season, the vertical upward heat transfer is strong, which is conducive to the diffusion of
pollutants to the upper layers. In addition, there is more rainfall in the wet season, accelerating the
process of aerosol wet sedimentation. On April 15, a mildly polluted weather process occurred in
Guangzhou, which caused a sudden increase in the mass concentration of aerosols. At Shenzhen,
the high concentrations that appeared in May and September may be related to the South China
Sea monsoon or local pollution, but there is no clear evidence for this, and further exploration is
needed.
The aerosol concentration at Shangri-La is very low, and shows different seasonal changes, with
the highest in spring, which is consistent with the variation of the aerosol optical depth (Tian
2020). As Shangri-La is less affected by human activities, the annual average concentration of
PM10 , PM2.5 and PM1 is only 5.6 ± 4.9 µg/m3 , 4.3±4.2 µg/m3 and 3.6±3.9 µg/m3 respectively.
Studies conducted by some researchers (Tian et al. 2020; Yang et al. 2018) indicated that during
non-monsoon periods, the contribution of exogenous transport to black carbon aerosols on the
Qinghai-Tibet Plateau is greater than during monsoon periods. The influence of external input
from surrounding regions related to monsoon and the high local pollen concentrations may be
responsible for the high aerosol concentration in spring at Shangri-La.
There is another key point need to be mentioned, because of the COVID-19 pandemic, the
Chinese government took a nationwide contingency plan on individual movement and gathering
from February to April, known as ‘lockdowns’. Lockdown measures resulted in the improvement
in air quality. For Beijing, the concentration of PM2.5 was 6.4–33.2% lower in 2020 compared to
the same months of 2019, and the drop in PM2.5 was 23–31% in Guangzhou (Ji 2018). Therefore,
we have to suspect that the aerosol concentrations in the first half of 2020 had been affected by the
lockdown measures.
Table 1. Annual average concentration of PM and BC at five sites.

Average ± Standard Concentration (µg/m3 )

Sites PM10 PM2.5 PM1 BC

Daxing 84.2±49.0 47.8±36.4 38.5±33.4 1.5±1.1

Haizhu 28.7±19.2 19.8±12.6 16.3±11.2 2.3±1.5
Shenzhen 32.7±30.1 19.7±15.0 14.2±11.7 1.1±0.67
Shouxian 65.3±39.4 48.0±27.9 42.1±24.9 1.4±0.86
Shangri-La 5.6±4.9 4.3±4.2 3.6±3.9 0.31±0.29

3.2 BC mass concentration at five sites

Figure 2 shows the temporal variation of BC mass concentration at five sites in 2020, the variation
of BC concentrations is similar to the particle matter concentrations at five sites, indicating that
most of the time the sources of PM and BC are close. The BC concentration at Shangri-La is the
highest in spring. In addition to being affected by transportation from South Asia and other places,
the spring forest fires may also increase the black carbon concentration.
The annual average concentration of PM10 , PM2.5 , PM1 and BC at five sites is shown in Table
1. It can be seen that the particle matter and BC concentrations show spatial variations. The
PM10 average concentrations are in the range of 5.6±4.9 µg/m3 and 84.2±49.0µg/m3 , the PM2.5
average concentrations are in the range of 4.3±4.2µg/m3 and 48.0±27.9µg/m3 , and the PM1
average concentrations are in the range of 3.6±3.9µg/m3 and 38.5±33.4µg/m3 . The BC average
concentrations are in the range of 0.31±0.29µg/m3 and 2.3±1.5µg/m3 .

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Figure 1. Time series of the PM10 , PM2.5 and PM1 mass concentrations at five sites in 2020.

3.3 The fraction of BC in PM10 , PM2.5 and PM1 at five sites

As BC/PMs (PM10 , PM2.5 , PM1 ) ratio represents the proportion of BC emissions in different sizes
particulate matter emissions, to some extent. Based on the daily average data, BC/PM ratios are
calculated to obtain the percentage of BC in PM10 , PM2.5 and PM1 at each site as shown in Figure 3.
At Daxing, BC/PM2.5 is close to BC/PM1 , and the value is 0.027 and 0.028 respectively, while the
ratio of BC to PM10 is 0.018. At Shouxian, BC/PM2.5 and BC/ PM1 is 0.026 and 0.028 respectively,
the ratio of BC to PM10 is 0.018. BC/PMs at Daxing and Shouxian are comparable, even though
Daxing is an urban site and Shouxian is a rural site. At Shenzhen, the ratios of BC to PM2.5 and
PM1 are 0.037 and 0.049, the ratio of BC to PM10 is 0.016. Although BC/PM2.5 and BC/PM1 at
Shenzhen are higher than that at the first two sites, BC/PM10 is equivalent to the first two sites. At
Haizhu, BC/PM2.5 and BC/PM1 are 0.053 and 0.056 respectively, the ratio of BC to PM10 is 0.031,
BC/PMs are significantly higher than that at the previous three sites. At Shangri-La, BC/PMs is
highest, the ratio of BC to PM2.5 and BC to PM1 are 0.065 and 0.07 respectively, the ratio of BC

394
Figure 2. Time series of the BC mass concentration at five sites in 2020.

to PM10 is 0.054. The high BC/PMs may reflect that there are more burning sources of aerosols at
this site than other sources. The proportions of BC in PM2.5 at five sites are all below 10%, which
is consistent with a ten-year average result (Rana et al. 2021).

3.4 Diurnal variation of BC/PM2.5 at five sites

It can be seen from the previous section that BC/PM2.5 is close to BC/PM1 and higher than BC/PM10 ,
so in this section we will specifically analyze the diurnal variation of BC and PM2.5 and their ratios.
Obviously, the diurnal patterns of BC and PM2.5 are basically consistent as show in Figure 4, and
the five sites show a bimodal pattern of low in the afternoon and high in the morning and evening.
More interestingly, at Haizhu, the morning peak of BC appeared about 3 hours earlier than the
morning peak of PM2.5 . At Shenzhen, BC peak around 1000 Beijing time (BJT) corresponds to
low value of PM2.5 . This difference shows that the main sources of BC and PM2.5 are different at
the two sites.

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Figure 3. BC/PMs (PM10 , PM2.5 , PM1 ) ratio at five sites in 2020.

396
Figure 4. Diurnal variation of BC and PM2.5 mass concentration in 2020.

Taking January, April, July, and October as the representative months of winter, spring, summer,
and autumn, the BC/PM2.5 diurnal variations clearly show bimodal patterns at four seasons at
Daxing and Shouxian as show in Figure 5, with peaks appearing 0600-0800 BJT and 2000-2200
BJT, minima occurring 1400-1600 BJT. High vehicle emissions possibly drive the elevated BC
concentration near the morning and evening rush hours. The minimum from 1400 to 1600 BJT is
associated with the gradual decrease in traffic volume after the morning rush hour and the increase
in solar radiation in the afternoon, which causes strong atmospheric turbulence and elevation of the
boundary layer (Guo et al. 2020). At Shangri-La, the morning peak appears later, which is related
to the time difference between local time and Beijing time. At Daxing and Shangri-La, BC/PM2.5
is the highest in October, at Shouxian site, the difference in BC/PM2.5 among the four seasons is
very small. At Haizhu and Shenzhen, the diurnal variation of BC/PM2.5 is relatively complicated,
and the diurnal variation of BC/PM2.5 shows different changes in summer and other seasons. This

397
reflects that at the four sites except Shouxian, BC and PM2.5 contribute differently in different
seasons and from different sources.

Figure 5. Diurnal variation of BC/PM2.5 at five sites in different months in 2020.

4 CONCLUSIONS

Accurate determination of the atmospheric PM and BC mass concentration is helpful in exploring

the causes and sources of atmospheric pollution and in evaluating the rationality of environmental

398
air quality control strategies. In this study, five different background observation sites in China
are selected to analyze the PM10 , PM2.5 , PM1 , and BC mass concentration in 2020. At Daxing and
Shouxian, PMs and BC show pronounced seasonal variations, with high concentrations in winter
and low in summer. At Haizhu and Shenzhen, apart from high PM concentrations in winter, they
may also be affected by the South China Sea monsoon in May and September. At Shangri-La, the
highest PM and BC concentration of the year occur in spring, and the lowest concentration occur
in summer, the highest concentration of PM and BC in spring may be a comprehensive result of
increased pollen concentration, high incidence of forest fires and exogenous transportation, while
the lower summer aerosol mass concentration at each site is mainly due to the increase in the height
of the boundary layer and the increase in precipitation erosion. The annual average concentration of
PM10 , PM2.5 , PM1 and BC concentrations show spatial variations, the PM10 , PM2.5 and PM1 average
concentrations are in the range of 5.6–84.2 µg/m3 , 4.3–48.0µg/m3, 3.6–38.5 µg/m3 respectively.
The BC average concentrations are in the range of 0.31µg/m3 and 2.3µg/m3 .
As the BC/PMs mass ratio could potentially be an indicator for PM composition and sources.
The mass fractions of BC in different size particle matters are also calculated, the BC/PM1 ratio is
the highest at all five sites, but it is also close to BC/PM2.5 , the BC/PM2.5 mass ratio varies from
0.025 to 0.065. The PM and BC concentrations at the all five sites share similar diurnal pattern
with two peaks in the morning and evening rush hour respectively and a valley in the afternoon.
The diurnal variation of BC/PM2.5 is relatively complicated and different, which reflects that BC
and PM2.5 contribute from different sources within a day.

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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Comparative analysis of isoflavones in Pueraria lobata from different

regions in China

Yuting Wang, Meili Zhi, Weilan Huang & Fang Zhang∗

Faculty of Environment and Life, Beijing University of Technology, Beijing, China

ABSTRACT: Pueraria lobata (P. lobata) is a Chinese traditional produce with various biological
activities. An high performance liquid chromatography-mass spectrometry (HPLC-MS) method for
the detections of isoflavonoids was established. 11 isoflavonoids in 80 P. lobata samples from eight
different production regions in China were determined quantitatively. The P. lobata sample from
the Shaanxi had the highest total isoflavonoid content, at 106.11 mg/g, and the profile of that from
the Sichuan Province was the lowest, at 69.40 mg/g. Among the 11 isoflavonoids, the content of
puerarin was the highest, ranging from 44.54 to 66.58 mg/g. Principal component analysis (PCA),
hierarchical cluster analysis (HCA), and discriminant analysis (DA) were conducted to evaluate
the effects of geographical regions on the contents of isoflavonoids in P. lobata. The samples were
classified into three groups on the basis of the content of puerarin, and the samples from Shaanxi
and Guangdong had obvious regional characteristics. Combined with ABTS and DPPH free radical
scavenging tests, the antioxidant capacities of P. lobata from different regions were evaluated in
vitro. P. lobata samples from Jiangsu had the highest antioxidant capacity, and the ABTS and
DPPH free radical scavenging abilities were 1.22 and 1.52 times than those of Sichuan samples,
respectively. The puerarin was the principal but not the only influencing factor on the antioxidant
capacity of P. lobata.

1 INTRODUCTION

P. lobata, as one of Chinese traditional herbal medicine, is derived from the root of P. lobata
(Wild.) Ohwi of the Legumes family (Wang et al. 2021; Zhao et al. 2021; Zhao & Guo 2021).
It is mainly distributed in eastern Asia, and is commonly used to treat cardiovascular diseases,
hypertension, and cancer due to various isoflavones including puerarin, daidzein, genistin (Sun et
al. 2021; Wang et al. 2013; Zhang et al. 2018). Puerarin has the highest content in P. lobata and has
been used extensively in clinical applications due to its multiple pharmacological properties (Wong
et al. 2011; Wu et al. 2019). Many studies of P. lobata mainly focused on the extraction, detection,
and biological activities (Chen et al. 2001, 2002; Li et al. 2012). China has a vast territory and P.
lobata is widely planted in different areas. However, the influences of geographical environment
factors and climatic conditions on the contents of isoflavones in P. lobata are still unclear (Zhao et
al. 2011).
In order to promote the development of the P. lobata industry in China and guide consumers
to use it rationally, we collected samples from the eight main production regions, including
the Anhui, Sichuan, Shandong, Guangdong, Henan, Jiangsu, Hunan, and Shaanxi Provinces.
11 isoflavonoids including puerarin, 3 -hydroxypuerarin, 3 -methoxypuerarin, daidzin, daidzein,
genistein, genistin, ononin, formononetin, isoliquiritin, and biochani A were detected in this study.
An high performance liquid chromatography-mass spectrometry (HPLC-MS) method was devel-
oped for simultaneous determination of the 11 flavonoids in P. lobata. The data were subjected to

∗ Corresponding Author: [email protected]

400 DOI 10.1201/9781003308584-55

principal component analysis (PCA), hierarchical cluster analysis (HCA) and discriminant analysis
(DA). The effects of different sources on the contents of isoflavonoids and the antioxidant capacity
in vitro in P. lobata were explored. The antioxidant capacities of P. lobata samples in different
producing areas were comprehensively evaluated, providing a basis for the rational use and quality
control of P. lobata in China.

2 MATERIALS AND METHODS

2.1 Reagents and samples

Puerarin (HPLC≥99%), 3 -hydroxypuerarin (HPLC≥99%), 3 -methoxypuerarin (HPLC≥99%),
daidzin (HPLC≥99%), daidzein (HPLC≥99%), genistein (HPLC≥99%), genistin (HPLC≥99%),
ononin (HPLC≥99%), formononetin (HPLC≥99%), isoliquiritin (HPLC≥99%), biochanin A
were purchased from Shanghai Yuanye Biotechnology Co., Ltd (Shanghai, China). 2,2-Diazo-
bis (3-ethyl-benzothiazole-6-sulfonic acid) diammonium salt (ABTS) and 1,1-diphenyl-2-trinitro
Phenylhydrazine (DPPH) were obtained from (Sigma-Aldrich, Germany). 6-hydroxy-2,5,7,8-
tetramethylchroman-2-carboxylic acid (Trolox) was purchased from Sixin Biotechnology Co., Ltd
(Shanghai, China). 2,3,5,6-Tetrahydroxy-2-hexenoic acid-4-lactone (vitamin C) were provided by
Titan Technology Co., Ltd (Shanghai, China). Pueraria was collected from the free markets of
eight producing regions in Anhui, Sichuan, Shandong, Guangdong, Henan, Jiangsu, Hunan, and
Shaanxi. 0.5 g of samples were ultrasonically extracted for HPLC detection.

2.2 HPLC-MS analysis

The sample extracts were analyzed for flavonoid content by HPLC-MS (Dionex UltiMate 3000,
Thermo Company, Massachusetts, USA). Separation was achieved on a XBridge BEH C18 chro-
matographic column (2.1 × 100 mm, 2.5µm, Waters Company, USA) at maintained at 30 ◦ C.
A binary mobile phase consisting of methanol (solvent A) and 0.1% (v/v) aqueous formic acid
(solvent B) was programmed. The following gradient program was 0 min with 15% solvent A, 0-4
min with 15-60 % A, 4-6 min, 60-80% A, 6-9 min, 80-15 % A. The flow rate was 0.25 mL/min,
and the injection volume was 10 µL.
With the negative electron ionization (EI-) in mass spectrometry (Scientific Q Exactive, Thermo
Company, Massachusetts, USA), the full scan mode was in the range of 100-800m/z and the
capillary voltage was set at 4.0 kV. The source temperature was 350 ◦ C and C-trap ion implantation
time was 100 ms. Samples were detected for 11 isoflavonoid contents by the quantitative ions in
SIM mode.

2.3 ABTS+ scavenging assay

The ABTS+ scavenging activity was measured as previously described by Li (Kim et al. 2003).
2 mg of trolox powder was dissolved in 1 mL ethanol, and was diluted with ethanol to different
concentrations (0–0.25 mg/mL). 100 µL of ABTS+ solution was mixed with 100 µL of samples,
and incubated in the dark for 6 min at room temprature. Trolox solution was used as a control. The
absorbance at 734 nm was measured with a microplate reader (PerkinElmer, USA). The scavenging
rate was calculated by the following formula:

Scavenging rate = (AZ − AX )/AZ × 100%

Where AX is the absorbance of the sample solution and AZ is the absorbance of the control
solution.

401
2.4 DPPH scavenging assay
The DPPH scavenging activity was measured as described by Kin (Floegel et al. 2011). DPPH
powder (15.7728 mg) was accurately weighed and dissolved in 200 mL of ethanol to prepare a 0.2
mM DPPH solution. 100 µL of DPPH solution was mixed with 100 µL of samples. The mixture
was kept at room temperature for 30 min, and then measured with a spectrophotometer at 519 nm.
Vitamin C solution was as a control. The DPPH inhibition percentage of the sample was calculated
as follow:

Inhibition rate = [1 − (Ax − Ay)/Az] × 100%

Where AX is the absorbance of the sample, Ay is the absorbance without sample, and Az is the
absorbance of the control solution.

2.5 Statistical analysis

All experiments were performed at least three times, and the data were expressed as means ± SD.
Graphics were produced using Prism 6.0 software. All chromatographic analyses were performed
using SPSS 22.0 software.

3 RESULTS AND DISCUSSION

3.1 Establishment of an HPLC-MS detection method

An HPLC-MS method was developed for the simultaneous detection of the 11 isoflavonoids in
P. lobata. The linear regression coefficients R of the 11 isoflavone components were all between
0.99 and 1. The relative standard deviations (RSDs) of the precision, repeatability, and stability
were within 0.37–2.66%, 0.31–2.22%, and 0.43–1.49%, respectively. The results showed that the
method was suitable for the detections of the eleven flavonoids in P. lobata (Figure 1).

3.2 Determination of flavonoid content

The contents of the 11 isoflavonoids in P. lobata from the eight production regions were detected
using HPLC-MS. As shown in Figure 2, the total isoflavonoid content in P. lobata from Shaanxi
Province was the highest in all sources, at 106.11 mg/g. The content in the sample from the Sichuan
Province was only 69.40 mg/g, which was 34.56% lower than that from the Shaanxi Province.
The flavonoid contents in P. lobata samples from different production regions were listed in
Table 1. The content of puerarin was the significantly highest among the 11 isoflavonoids, ranging
from 44.54–68.58 mg/g, which was even higher than the sum of other isoflavones in the P. lobata.
In addition to puerarin, the contents of 3 -hydroxypuerarin, 3 -methoxypuerarin and daidzein were
also high, which were higher than 7 mg/L. Although the content of isoliquiritin in the sample was
only between 0.9–5.0 µg/g, isoliquiritin has been found to have the functions of anti-tumor, anti-
oxidant, and anti-inflammatory (Zhou et al. 2017). The content of puerarin in the Shaanxi province
was the highest, at 68.58 mg/g, while the contents in the samples from the Sichuan and Guangdong
were only 44.57 mg/g and 44.54 mg/g, respectively. Except for puerarin, most of the flavonoids in
samples from Guangdong were high in content, which was contrary to the samples from Sichuan.

3.3 Principal component analysis

To further study the influence of the production region on the flavonoid content in the P. lobata
samples, principal component analysis was performed on the 11 flavonoids in the P. lobata samples
from the eight production regions. Data in Table 2 showed that the principal component (PC) was
mainly affected by the high content of components.

402
Figure 1. HPLC-MS analysis of the contents of isoflavones.

Table 1. Contents of isoflavones in P. lobata from different regions.

Contents of isoflavonoids (µg/g)

3 -hydro- 3 -meth-
Regions puerarin xypuerarin oxypuerarin Daidzin daidzein genistein genistin ononin formononetin isoliquiritin biochanin A

AH 45.29±0.01 11.54±0.01 11.52±0.01 10.69±0.01 1.07±0.02 0.04±0.01 0.86±0.02 0.51±0.02 0.10±0.02 0.0038±0.0002 0.03±0.001
GD 44.54±0.01 16.43±0.02 14.44±0.01 12.40±0.01 1.48±0.01 0.05±0.01 1.02±0.01 0.70±0.01 0.16±0.01 0.0038±0.0001 0.03±0.001
HA 63.21±0.02 11.59±0.01 13.32±0.02 9.33±0.01 0.82±0.01 0.02±0.01 0.71±0.01 0.52±0.02 0.18±0.01 0.0020±0.0001 0.03±0.001
HN 55.43±0.01 7.21±0.01 8.80±0.01 8.61±0.02 0.82±0.02 0.02±0.01 0.65±0.01 0.30±0.01 0.06±0.01 0.0017±0.0001 0.01±0.001
JS 66.30±0.01 10.12±0.01 12.46±0.01 11.83±0.02 1.28±0.01 0.03±0.01 0.90±0.02 0.50±0.01 0.11±0.01 0.0050±0.0002 0.02±0.001
SD 56.01±0.01 8.33±0.01 10.35±0.01 8.12±0.01 0.87±0.02 0.03±0.01 0.76±0.01 0.49±0.01 0.09±0.01 0.0014±0.0001 0.02±0.001
SN 68.58±0.02 11.81±0.02 12.47±0.01 11.13±0.02 0.95±0.01 0.03±0.01 0.72±0.02 0.34±0.02 0.08±0.01 0.0009±0.0001 0.01±0.001
SC 44.57±0.02 6.56±0.01 8.57±0.02 7.94±0.02 0.73±0.01 0.01±0.01 0.64±0.02 0.32±0.01 0.06±0.01 0.0031±0.0001 0.01±0.001

AH: Anhui, GD: Guangdong, HA: Henan, HN: Hunan, JS: Jiangsu, SD: Shandong, SN: Shaanxi, SC: Sichuan

Figure 2. Contents of total isoflavones in P. lobata samples from different sources.

403
Table 2. Component matrix of isoflavones in P. lobata.

The principal components (PC)

Isoflavonoids 1 2 3

Puerarin 0.304 −0.708 0.348

3 -hydroxypuerarin 0.792 −0.185 0.159
3 -methoxypuerarin 0.782 −0.326 0.220
Daidzin 0.809 −0.279 −0.086
Daidzein 0.739 0.197 −0.455
Genistein 0.702 0.409 −0.387
Genistin 0.587 −0.127 −0.401
Ononin 0.773 0.093 0.234
Formononetin 0.600 0.261 0.338
Isoliquiritin −0.039 0.661 0.267
biochanin A 0.618 0.571 0.177
Variance contribution rate (%) 43.46 16.18 10.35

The principal component scores of the flavonoids in the P. lobata samples from various production
regions were calculated, and their averages were shown in Figure 3. The value of PC2 in Shaanxi
samples was the lowest, because the content of isoliquiritin in the Shaanxi samples was the lowest,
at only 0.9 µg/g. The content of isoliquiritin in glycyrrhizin was extremely low, at about 0.07%
on average, however, it had significant biological functions such as anti-tumor, anti-AIDS, and
anti-diabetic (Ping et al. 2014).

Figure 3. Score of isoflavones in P. lobata samples from different source.

3.4 Cluster analysis

To better discriminate and classify P. lobata on the basis of isoflavonoid, the analysis of heat
map was performed on the 80 samples collected from the different regions. The similarity was
measured by the Eucliden distance, and cluster algorithm was carried out by Ward’s linkage. As
shown in Figure 4, the samples were clustered into 3 main groups. There were 19 samples in the
first group. The contents of total isoflavones were high, especially puerarin, 3 -hydroxypuerarin,
and 3 -methoxypuerarin, and the average content of puerarin in these samples reached 82.39 mg/g.
The samples in the second group were mainly derived from the inland area, including Hunan, Anhui

404
and Sichuan Provinces. The contents of total isoflavones were lower than those of other regional
sources, and the average content of puerarin was less than 37.46 mg/g. The number of the third group
was the largest, with 36 samples, of which samples from Guangdong and Shandong Provinces. The
contents of daidzein, genistin, formononetin, and biochanin A were obviously higher than those of
other samples.

Figure 4. Heat map and cluster analysis of isoflavones in P. lobata.

3.5 Discriminant analysis

79 samples were classified correctly, and 98.8% of the original samples were classified into the
correct group. The accuracy rate in cross-validation was 95.0%, which showed that the results of the
discriminant analysis and cluster analysis were consistent, suggesting the high reliability of cluster
analysis. The discriminative and clustering classification results of the P. lobata showed that the
centroids of the three groups can be clearly distinguished (Figure 5). Besides 6 of 80 samples had
an overlapped area, but the other samples were clearly grouped. The data were consistent with the
results of cluster analysis.

Figure 5. Discriminant analysis of P. lobata samples from different regions.

405
3.6 Antioxidant evaluation
To further investigate the antioxidant capacity of the P. lobata from different regions, the free radical
scavenging study was performed. Figure 6 shows free radical scavenging rates of P. lobata samples
from different sources. The trends of DPPH and ABTS free radical scavenging capacities were
the same, but the clearance efficiency of the former was higher than that of the latter, which was
similar to the previous reports (Bacanl et al. 2016). The content of puerarin in Jiangsu samples
was 1.49 times that of Sichuan samples. Correspondingly, the antioxidant ability of sample from
Jiangsu was the highest, and the ABTS and DPPH free radical scavenging abilities were 1.22 and
1.52 times than those of Sichuan samples, respectively.

Figure 6. Free radical scavenging rates of P. lobata samples from different sources.

4 DISCUSSION

In the present work, we detected 11 isoflavonoids in 80 P. lobata samples from 8 producing areas in
China by HPLC-MS and attempted to compare the difference by using statistical analysis methods.
Puerarin had the highest content in P. lobata, which was reported to play an important role on
the anti-inflammatory, antithrombotic, antihypertensive, and antitumor (Pan et al. 2011; Wang
et al. 2008; Zhang et al. 2021). We also found that the contents of puerarin were the highest in 11
isoflavones in the samples from eight different production areas, which was in agreement with the
previous studies (Mu et al. 2019).
The cluster analysis results showed that the samples from different producing areas were dis-
tributed in different categories based on the content of puerarin. In the third category, 63% of the
samples were from the southern region, especially Guangdong, and Shandong accounted for about
80% the remaining samples. Both Guangdong and Shandong are coastal provinces and have similar
monsoon climates. The result showed that the contents of isoflavonoids in P. lobate were obviously
affected by the geographical location and climate conditions.
The in vivo and in vitro antioxidant capacities of the extract of P. lobata had been evaluated in
the previous studies. The free radical scavenging rate of the P. lobata sample did not show a linear
relationship with the content of total isoflavones, however, which had the dose-effect relationship
with the content of puerarin, indicating that puerarin was the main antioxidant component in P.
lobata (Ok-Hwan et al. 2010; Gong et al. 2006).

406
5 CONCLUSION

In this study, an HPLC-MS method was developed for simultaneous detection of the 11 flavonoids
in P. lobate. 80 P. lobata samples from the 8 producing regions in China were clustered into three
groups according to the puerarin contents. The contents of isoflavones and antioxidant capacities
of samples in P. lobata were obviously affected by producing regions. This study provides more
information on the planting and consumption of P. lobate as the traditional Chinese herbal medicine.

ACKNOWLEDGMENTS

This work was financially supported by the Development and revision of agricultural industry
standards (40015007202002).

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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Research on prevention and treatment of coal mine rock burst

Junwen Zhang
Electrical and Mechanical Department, Lanzhou Resource and Environment Voc-Tech College, China

ABSTRACT: Coal mine impact low pressure is an important factor affecting the safety of mining,
it will lead to mechanical equipment damage in the mine, which will impact the working face of the
roadway, and even cause significant casualties, threatening the safety of coal mine production. This
paper analyzes the prevention and treatment of coal mine rock bursts, and discusses the reasonable
and appropriate treatment measures. In the prevention of rock bursts, we should pay attention
to the correct understanding of its formation principle, adopt targeted measures to deal with the
ground pressure, effectively prevent the formation of rock burst, and prevent it from causing major
disasters in coal mines.

1 GENERAL INSTRUCTIONS

1.1 Introduction
Coal mine rock burst is inevitable in the process of coal mining. The deepening of mining depth
will increase the risk of coal mine rock burst, such as the increasing frequency and intensity of
coal mine rock burst, and the destructive force caused by it will also increase. Because of the harm
of percussive ground pressure in coal mines, the Chinese government is very concerned about the
work for the prevention and treatment of percussive ground pressure. On August 10, 2020, the
state council promulgated further implementation of the president Xi Jinping’s important indicator
spirit notice on resolutely preventing the accident of coal mine bumps. The notice emphasizes the
responsibility of local government and coal mining enterprises, requires the in-depth implementa-
tion of supervision departments and a comprehensive analysis and summary of the damage caused
by coal mine rock burst, as well as the comprehensive consideration of the lessons from major
accidents and the formulation of strict and feasible prevention and treatment measures. This paper
is going to explore the prevention and treatment of coal mine rock burst, and discuss the reasonable
and appropriate treatment measures, to decrease the damage caused by coal mine rock burst. It will
provide a significant reference for coal mine rock burst prevention and treatment.

1.2 Overview of coal mine rock burst accident in China

Coal is an important resource in China, China’s coal production and consumption is about 50%
of the world, and coal production and consumption are related to the use condition of coal in the
world. The large production of coal indicates that there is a large amount of coal mining in China,
which will produce different degrees of coal mine rock burst. Therefore, China has been suffering
the most serious coal mine rock burst problem in the world. By 2020, the number of coal burst
mines in China is estimated to be more than 130, and according to statistics, the annual output of
coal in these mines is about 400 million tons. Most of the coal mines in China are distributed in
Shandong Province, and the impact and the death toll of mine coal mine rock burst disasters are
different in different regions. See Tables 1 and 2 for the mine distribution of coal mine rock burst
and the death toll of coal mine rock burst accidents in China.

DOI 10.1201/9781003308584-56 409

 Table 1. Distribution of mine burst in China.
Setting Number Percentage

Beijing 1 0.82%
Shanxi 2 1.64%
Neimenggu 10 8.20%
Hebei 2 1.64%
Liaoning 8 6.56%
Jiangsu 6 4.92%
Jilin 2 1.64%
Henan 4 3.28%
Shanxi 14 11.48%
Shandong 40 32.79
Guizhou 3 2.46%
Xinjiang 9 7.34%
Gansu 10 8.20%
Heilongjiang 11 9.02%

Total 122 100.0%

Table 2. Death toll of ground burst accidents in China.

Time (year) Name of mine Death toll Percentage

2015 Gengcun Mine, Yima 2 3.39%

2016 Liangbao Temple Mine, Feicheng 2 3.39%
2017 The third Hongyang Mine, Shenyang 10 16.95%
2018 Longjun Mine, Shandong 21 35.59%
2019 Longjiabao Mine,Jilin 16 27.12%
2020 XInjulong Mine, Shandong 4 6.78%
2021 Zuoquanshigang Mine, Shanxi 4 6.78%

Total 8 59 100.0

2 THE KEY POINT OF PREVENTING COAL MINE ROCK BURST FROM GETTING
STARTED

The occurrence of coal mine rock burst is related to rock mechanics and engineering problems,
involving a very wide range of content, so there are many problems to prevent coal mine rock burst,
at the same time, many factors are intertwined with each other, the actual work of prevention is com-
plex and is difficult for deep implementation. Even though the problem of coal mine burst is hard
to predict, the precaution of it has been effective in recent years because of the continuous struggle
of Chinese scientific researchers and mine workers. Especially in recent 10 years, China’s impact
on ground pressure theory and practice was a breakthrough and obtained remarkable achievements
in the prevention of coal mine rock burst. To solve the problem of coal mine rock burst effectively,
the following part will analyze the key points of coal mine rock burst prevention.

2.1 Cause misunderstanding

The misunderstanding of coal mine rock burst is mainly divided into two aspects: some scholars
believe that the formation of coal mine rock burst is mainly related to theory, including the slip

410
and instability, which is not significantly different from an earthquake. The essence of the theory
is the same, and it pointed out that the occurrence of coal mine rock burst cannot be effectively
predicted and controlled, nor can it be effectively managed. However, this paper is inclined to
accept another point of view, that is, coal mine rock burst belongs to the actual performance of
strong mine pressure, if the conventional mine pressure is effectively controlled, the occurrence of
coal mine rock burst can be predicted, controlled, and prevented as per the actual situation of coal
mining.

2.2 Poorly targeted prevention

Prevention of coal mine rock burst in China’s coal mines was put forward late, and the previous
prevention methods were more traditional, which mainly included rational arrangement during
coal mining, or using protective layer mining method, etc., And the technology of broken bottom
blasting and deep hole roof blasting also became mature continuously. However, the prevention
work has to select and adjust according to the actual condition, and many coal mining enterprises
cannot choose the suitable methods and measures for effective prevention, thereby leading to weak
pertinence of prevention.

3 MEASURES TO DEAL WITH COAL MINE ROCK BURST IN COAL MINES

The mechanism of coal mine rock burst occurring in a coal mine is that the deeper the depth of
coal mining, the greater quantity of coal and rock load. The coal mining work is to be adjusted and
handled according to actual condition, prediction for impact ground pressure is to be strengthened
to unload pressure appropriately, to avoid the coal mine rock burst to reach a critical value, and
prevent the risk of major coal mine accidents and disasters caused by impact ground pressure.

3.1 Prediction of coal mine rock burst

3.1.1 Prediction of roadway deformation
The prediction of roadway deformation can timely understand the change of coal mine rock burst.
It is usually detected along the two sides of the tunnel on the top and bottom at a place 50-100m
away from the coal wall of the working face, and the obtained data is taken as the initial value. It
should pay attention to the detection and record every day and update the data.

3.1.2 Real-time monitoring of coal mine rock burst

The rock burst in the coal mine must be monitored in real time, to ensure that the continuous increase
of the mine pressure can be a timely warning, to remind the staff in the coal mine to respond in
time, to avoid the occurrence of mine accidents as far as possible, thus reducing casualties [4]. The
monitoring layout is generally adjusted according to the routine conditions and usually consists
of three monitoring areas. Routine layout of real-time monitoring of coal mine burst pressure is
shown in Table 3.

Table 3. Real-time monitoring routine layout of coal mine burst

pressure.

Monitoring instrument No. of Layout

Tee junction box 10

Pressure sensor for mechanized mining support 5
Flameproof uninterrupted long delay power box 1
Large monitoring sub-station 1
Mine pressure analysis and early warning software 1

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3.2 Pressure relief blasting anti-impact
In the treatment of coal mine rock burst, pressure relief blasting anti-impact technology can be
adopted. It is suggested to use multi-stage blasting to relieve pressure and anti-flushing, which
includes deep hole broken roof blasting, floor pressure relief blasting, and coal seam blasting.
Blasting of the coal seam is also an important way of unloading, which can completely release coal
seam in the formation of the stress, or transfer the effective stress, to avoid stress accumulation
in the coals seam. It can effectively reduce the formation of percussive ground pressure to avoid
major accidents and disasters in coal mine.

4 CONCLUSION

Due to the increasing damages caused by coal mine rock burst accident in China, this paper
summarizes the key point of preventing coal mine rock burst, and measures to deal with coal mine
rock burst in coal mines. Coal rock burst will be formed gradually in the mining of coal mine,
which is the key to the occurrence of coal mine accidents and disasters. Therefore, in the prevention
of rock burst, we should pay attention to the correct understanding of its formation principle, adopt
targeted measures to deal with the ground pressure, effectively prevent the formation of rock burst
and prevent it from causing major disasters in coal mines.

ACKNOWLEDGEMENTS

This paper was supported by Subproject of 2020 College Students’ Employment and Entrepreneur-
ship Ability Improvement Project: Entrepreneurship Guidance and Technology Incubation Based
on Intelligent Training Platform of Special-creation Integration System.

REFERENCES

Guo Y Z. (2014). Discussion on research and application of coal mine rock burst prevention technology.
Shandong Industrial Technology, pp. 101–101.
Han G C. (2011). Discussion on prevention and treatment methods of coal mine rock burst. Science and
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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Research on the construction of prevention and control system of coal

mine rock burst disaster

Junwen Zhang
Electrical and Mechanical Department, Lanzhou Resource and Environment Voc-Tech College, China

ABSTRACT: This paper uses coal mining as the research object, standing in the perspective
of safety production, to investigate the effective prevention and control of coal mine rock burst
disaster. It started from the brief description of coal mine rock burst, followed by combining it
with the principle of coal mine to analyze the characteristics and causes of coal mine rock burst in
detail, which fully displayed the internal mechanism of rock burst in coal mine. Finally, the paper
provided a construction strategy for coal mine rock burst disaster prevention and control system.
It is hoped that the following research could accelerate people’s understanding of coal mine rock
burst disaster, to advocate the active construction of a prevention and control system, and then
ensure the realization of coal mine safety production.

1 GENERAL INSTRUCTIONS

Coal mine rock burst is a common coal mine disaster even in the modern era when the coal mine
rock burst defense system is gradually improved. Rock burst disasters have also been reported to
cause great losses. According to the statistics, from 2011 to 2016, there have been more than 189
rock burst accidents caused by coal mining in China, and up to now, the casualties caused by rock
burst have been more than 100 people. For example, Qianqiu coal and rock burst disasters in 2011,
Junde coal mine rock burst disasters in 2013, Liangbao temple coal mine rock burst disasters in
2016, Shandong Longyun coal industry rock burst in 2018, Jilin Longjiapu coal mine rock burst
disasters in 2019 etc., all of which caused different numbers of casualties. It has caused a great blow
to China’s coal mining industry. Recently, because of the continuous and in-depth development
of coal mining, the depth, intensity, and scope of mine mining are gradually expanded, and the
frequency and destructive power of rock burst is also increasing. As coal miner, we have the
responsibility to carry out an in-depth study on the prevention and control system of coal mine
rock burst disaster based on our work.

2 THE INTERNAL MECHANISM OF COAL MINE ROCK BURST

2.1 Overview of coal mine rock burst

Coal mine rock burst, also known as rock burst, is a powerful explosive force that occurs in the
deep mining process of coal mine due to the elastic deformation of rock mass, resulting in a strong
explosive force from a sudden release of excessive local tectonic stress. It will cause great impact
damage to the surrounding environment and rock mass in an instant manner.

2.2 Obvious characteristics

The characteristics of ultimate ground pressure in coal mines can be concluded as follows: 1.
Suddenness. The reason for coal mine rock burst is that the strength of the surrounding rock cannot
bear the high concentrated stress, and the unstable accident occurs instantly. Therefore, most of the

DOI 10.1201/9781003308584-57 413

disaster accidents have no obvious observable symptoms before the occurrence, and the duration is
short, less than a few seconds. 2. Destructiveness. In the moment of rock burst, the release of power
is strong, it will produce huge waves and sound, and then cause a huge dynamic impact on the
surrounding rock, resulting in a large number of caving around, dust, coal and rock ejection, coal
movement etc. 3. Complexity. Except for lignite, coal mines generally operate at depths ranging
from 200m to 1000m, at which geological structures are becoming more complex. The improper
application of mining technology and methods will greatly increase the risk of ultimate ground
pressure disaster in coal mines. Through summarizing the rock burst disaster accidents in coal mines
in China, it can be seen that there have been rock burst disaster accidents in thin, thick, extra-thick,
and various dip angles of coal seams by using fully mechanized mining, general mining, gunning
mining, or water mining.

2.3 Reasons for the issue

As one of the main coal countries in the world, China has always been concerned about the mining
of coal mines. The analysis of the causes of coal mine rock burst has been an important issue in the
academic field. Currently, there are several different views on the causes of coal mine rock burst
in China: 1) Strength theory. The theory is starting from the comprehensive strength of rock mass
mechanics system, by pointing out the cause of disaster is the strong lateral resistance and friction
resistance emitting by the roof in the process of clamping coal. It inhibits the deformation and
movement of the coal body and enhances the compaction degree of coal body under the action of
huge pressure (Figure 1). In this case, once there is a change in the system resistance or pressure,
the elastic energy inside of the coal will break out in an instant, resulting in the movement of
the coal, and then form coal mine rock burst. 2) Instability theory. This theory is based on the
total stress of rock through the construction of a strain curve model. It points out that the pressure
and capacity of coal under different stages are always changing. When the external load strength
gradually exceeds the coal’s peak value in the concave softening stage, it leads to cracks in the rock
mass, and the coal deformation resistance decreases rapidly to an unstable state. In this case, even
a slight external dynamic disturbance will cause rock mass instability, and a huge burst of energy
in a moment, thus forming a rock burst.

Figure 1. Mechanism of coal mine rock burst.

3 CONSTRUCTION STRATEGY FOR COAL MINE ROCK BURST DISASTER

PREVENTION AND CONTROL SYSTEM

3.1 To establish disaster prevention and control programs

The formulation of detailed and specific prevention and control programs can play a guiding value
in the actual development process of coal mines and reduce the incidence of disasters and accidents
414
to the greatest extent. It can be started from the following points: 1. Feasibility analysis of mine
development can prevent and control the coal mine rock burst from the source, and prepare a
foundation for the subsequent prevention and control work (Figure 2). 2. Hazard level assessment.
To evaluate the mine rock burst risk for coal mines to be mined and mines in adjacent areas, and
taking this evaluation result as an important basis for mine mining design. 3. For the region with
a high risk of coal mine rock burst, coal workers should measure the crustal stress, and grasp the
regional geological structure and mechanical environment.

3.2 To adopt disaster prediction technology

In fact, the coal mine rock burst disaster occurs without obvious symptoms in a relatively short
time, which can cause great harm in an instant. Therefore, in the process of coal mining, to reduce
the incidence of disasters, scientific researchers need to strengthen the exploration and monitor
the geological situation in the developed area. By using prevention and control measures, even if
the occurrence of rock burst disaster cannot be completely prevented, the damage degree of rock
burst disaster can be controlled within a certain range by evacuating workers and laying defense
equipment and other measures. For this reason, besides the general prediction techniques, a step-by-
step prediction system for rock burst can also be established under the action of electromagnetic
radiation method, micro-seismic method, comprehensive index method, ore pressure analysis,
prediction method, and drilling cuttings method etc. to ensure the accuracy and timeliness of coal
mine disaster prediction.

Figure 2. Road-map for prevention and control of mine rock burst.

415
3.3 To adopt disaster prevention and control technology
Rock burst disaster is complex with certain regularity [9]. Coal mine managers should combine
the monitoring data and the analysis result of previous rock burst disaster, to accurately delimit the
key prevention and control areas, and formulate relevant defense facilities under the function of
the disaster prevention and control technology. For example, applying the deep hole pre-splitting
technique for the roof to reply for the influence of roof pressure on coal prestress. By using deep
hole pre-splitting blasting in the process of tunneling, to release the coal seam pressure on both
sides of the roof, to reduce the force of the roof to coal seam to reduce local stress concentration
degree (Figure 3).

Figure 3. Roof deep hole burst point layout.

4 CONCLUSION

To sum up, the occurrence of coal mine rock burst phenomenon is relatively complex. In the
process of coal mining, the improper response will cause great damage to on-site workers and the
environment, leading to extremely dangerous accidents such as casualties. Coal mine managers and
technicians should continue to forge ahead based on the previous disaster prevention and control
achievements and work out a more scientific comprehensive prevention and control system based
on the comprehensive situation of the mine, to minimize the incidence of danger, to ensure the
worker and property safety, and then to guarantee the smooth progress of coal mining work.

ACKNOWLEDGEMENTS

This paper was supported by Subproject of 2020 College Students’ Employment and Entrepreneur-
ship Ability Improvement Project: Entrepreneurship Guidance and Technology Incubation Based
on Intelligent Training Platform of Special-creation Integration System.

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3. Application of resource exploration technology and
measurement remote sensing technology
 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Application of surveying technology in geotechnical engineering

exploration

Gao Xiang
Wenzhou Ouyue Land Survey Co., Ltd., Wenzhou City, Zhejiang Province, China

ABSTRACT: With the continuous development of the construction engineering industry, the
number and scale of construction projects have also continued to increase. Before the design of a
construction project, a scientific and reasonable geotechnical engineering investigation is the key for
determining the actual construction geological conditions on-site and providing scientific reference
for the subsequent construction project foundation treatment. Based on this, this paper analyzes
the application of measurement technology in geotechnical engineering exploration. This analysis
is expected to provide a scientific reference for a better application of measurement technology
and the improvement of the quality of geotechnical engineering exploration work.

1 FOREWORD

In the process of geotechnical engineering exploration on construction sites, scientific and rea-
sonable technical selection and application is the key to ensuring the quality of the exploration.
Therefore, in the specific exploration work, the relevant units must make reasonable application of
its measurement technology, including the geoelectric field ductility detection technology, multi-
instantaneous surface wave technology, shear wave reflection technology, and so on. Only in this
way can the geotechnical geological characteristics of the construction site be scientifically clar-
ified. It can provide a scientific reference for its subsequent foundation treatment and specific
construction plan formulation.

2 GEOTECHNICAL ENGINEERING EXPLORATION WORK AND ITS MAIN

SIGNIFICANCE ANALYSIS

2.1 Geotechnical engineering exploration

The so-called geotechnical engineering exploration is used to carry out the actual situation and envi-
ronmental assessment of the construction site through scientific and reasonable technical measures.
In this way, various information such as its main geological conditions and natural environment
can be clarified. Only in this way can a scientific reference be provided for the formulation of the
construction plan of the construction project and the smooth development of the construction.

2.2 The main significance of geotechnical engineering exploration

Because our country has a very complex topography, the types of rock and soil are also very
diverse. Under such circumstances, there are many problems faced by geotechnical engineering
construction. During the specific construction, if the relevant units fail to understand the actual
geotechnical engineering conditions on the construction site it is very likely to cause the actual
construction to be inconsistent with the environmental conditions, thus, negatively affecting the

DOI 10.1201/9781003308584-58 421

quality and safety of the project. To avoid such situations, relevant units need to carry out scientific
geotechnical engineering investigations before design and construction. In this way, we can fully
understand the actual situation of the construction site, and try our best to ensure that the engineering
design and construction are consistent with the actual conditions of the site. It provides a guarantee
for the quality and safety of construction projects and aids in achieving good control of construction
costs to a certain extent (Zhao 2021).

3 APPLICATION ANALYSIS OF MAIN MEASUREMENT TECHNIQUES IN

GEOTECHNICAL ENGINEERING EXPLORATION

3.1 Application of geoelectric lithology detection technology

In the process of detecting geotechnical engineering geology, geoelectric lithology detection tech-
nology is a very common technical form. The main application principle of this technology is
to receive the low-frequency reflected geomagnetic field information formed by electromagnetic
waves in the sun-earth space in the underground geological interface of different depths to iden-
tify and judge the interface of the underground medium. In the specific application, it is first
assumed that the stratum is a two-layer horizontal homogeneous medium. The frequency of the
emitted pulsed electromagnetic field Hn and En generated on the interface is mainly related to the
lithologic resistivity ρ and the lithologic decomposition burial depth (That is, there is a certain
relationship between the first layer depth). The following figure is a schematic diagram of the
N-layer horizontal uniform dielectric structure:

Figure 1. N-layer horizontal uniform dielectric structure schematic diagram.

Because the electromagnetic propagation in the earth has the characteristics of a low-frequency
window, within this "window" range, the newly formed low-frequency pulsed electromagnetic field
Hn or En propagation will hardly experience attenuation. When calculating the cut-off frequency
of low-frequency electromagnetic wave propagation in the two-layer horizontal homogeneous
medium, the formula is as follows:
fe = kρ/h2 (1)
Among them, f_e represents the cutoff frequency, and its unit is Hz; the value of k is 9.4*105;
ρ represents the resistivity, and its unit is m; h represents the depth, and its unit is m.
According to the above formula, there is an inverse relationship between the cut-off frequency
of electromagnetic waves and the square of the depth. With the increase of depth, the propagation

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frequency of electromagnetic waves will show a significant decrease in trend. In deep strata, the
pulsed electromagnetic waves on the lithological interface have very low frequencies, there is a
proportional relationship between the cut-off frequency and resistivity; if the underground lithology
belongs to a high-resistance layer, the cut-off frequency will increase (Chi 2021).
Assuming that the formation depth h is 2000m and the resistivity increment is 0.1m, the cutoff
frequency increment is 0.0235Hz. It can be seen that in the process of geotechnical engineering
exploration through this technology, only the small change in the cut-off frequency needs to be
distinguished, and the deep strata with small changes in resistivity can be scientifically identified.
In this way, it is possible to accurately judge the geotechnical lithology conditions and reservoir
properties changes under different depth conditions, to achieve good detection and evaluation
of the geotechnical engineering exploration area. At present, this method is very suitable for the
identification and judgment of geotechnical engineering aquifers, oil and gas layers, rock formation
interfaces, and fault planes.

3.2 Application of multi-instantaneous surface wave technology

In geotechnical exploration, the main application of multi-instantaneous surface wave technology
is surface wave and physical characteristics. If the surface of a half-space elastic homogeneous
medium is subjected to a vertical impact force, P waves, S waves, and R waves will be generated
in this medium. For the wave energy generated by a shock, the R wave accounts for 67%, the
S wave accounts for 26%, and the P wave accounts for 7%. With the continuous expansion of
the propagation distance r, the P wave and the displacement amplitude caused by the S wave will
gradually attenuate in the proportion of 1/r2,
√ and the displacement amplitude caused by the R wave
will be attenuated in the proportion of 1/ r. It can be seen that, for the surface vibration, the effect
of the R-wave is the most important (Tan 2021).
Under the action of the R wave, the amplitude of particle displacement will show an exponential
decay with the increase of depth. When the vertical displacement reaches a certain wavelength,
its amplitude can only reach 20% of the surface amplitude. It can be seen that the energy of the
R-wave will be concentrated within a certain wavelength depth, and its propagation characteristics
will also be controlled by the characteristics of the medium within this depth range; at the same
time, compared with the horizontal vibration, the numerical amplitude of the R-wave is higher big.
For the propagation velocity of the R wave and the shear wave velocity of the medium, the formulas
are as follows:
0.87 + 1.12σ
VR = VS (2)
1+σ
Among them, V_R represents the propagation velocity of the R wave; σ represents the Poisson’s
ratio of the medium; V_S represents the shear wave velocity of the medium. It can be seen that in
a vertically layered medium, the R-wave transmission speed is independent of frequency.
However, in a horizontally layered medium, the transmission speed of R wave is related to the
frequency, and the curve of the propagation speed with the frequency change is called the dispersion
curve. Most of the R waves in this state are composed of several mode shapes, and each mode shape
has its dispersion curve. In engineering sites, because most of the R-wave energy formed by the
surface impact is carried in the first-mode R-wave, the influence of the higher-order mode-shaped
R-wave is usually small.
When measuring the R-wave dispersion curve in the engineering site, it is assumed that the
R-wave formed by hammering passes through two points r1 and r2. The signals are denoted as
x1(t) and x2(t) respectively. According to the above principle, the harmonic vibrations of x1(t) and
x2(t) can be grouped according to several different frequencies. Assuming its frequency is ω, the
harmonic vibration can be calculated as follows:
,
x1ω (t) = A1 cos (ωt − ωr
VR
1
)
ωr 2 (3)
x2ω (t) = A2 cos (ωt − VR )

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 Among them, r1 and r2 represent the distances between points r1 and r2 and the source point,
and A1 and A2 are constants. By comparison, the phase change of R-wave propagation between
points r1 and r2 can be expressed according to the following formula:

ϕ = ω(r2 − r1 )/VR (4)

VR = ω(r2 − r1 )/ϕ (5)

It can be seen that, in the specific measurement, as long as the phase difference between x1(t)
and x2(t) under the same frequency condition is determined. V_R can be obtained, and ϕ can
be obtained directly through the transformation of x1(t) and x2(t). The value of the medium shear
wave velocity CS can be obtained by bringing the electromagnetic wave propagation velocity with
frequency ω and wavelength 2πV_R/ω into formula (2). Then, the maximum value of the shear
modulus of the geotechnical soil is calculated by the following formula:

Gmax = ρV2S

Among them, G_max represents the maximum shear modulus of rock and soil, and ρ represents
the density of rock and soil.
In this way, a scientific evaluation of the geotechnical features can be made.

3.3 Application of shear wave reflection technology

In geotechnical engineering geological exploration, the shear wave reflection technology has a
principle similar to that of the multi-instantaneous surface wave technology. This method is mainly
used to carry out geotechnical geological exploration through the difference of different seismic
wave propagation velocities in different media. When the wave transmission zone is at the interface
between two different media, a part of it will return to the first medium, which we call reflected
wave; the other part will enter the second medium, which we call a transmitted wave. The following
figure shows the schematic diagram of shear wave reflection:

Figure 2. Schematic diagram of shear wave reflection.

There are many factors affecting the fluctuation intensity, including the incident intensity, the
incident angle, and the wave impedance values on both sides of the reflection interface. For the
wave impedance of a certain medium, we can define it as the product of the propagation speed of
the shear wave in the medium and the density of the medium. However, if the wave impedance
values of the stratum above and below an interface are different, there will be reflections on this

424
interface (Huang 2021). For a certain reflective surface, the ratio between the intensity amplitude
of the radiated wave and the reflected wave is called the reflection coefficient, which is denoted by
R here, where:
reflected wave energy Reflected wave amplitude
R= = (6)
incident wave energy Incident wave amplitude
According to the theory of elastic mechanics, if the direction and angle of the seismic wave ray
projected on a reflecting surface are different, the reflection coefficient will also change corre-
spondingly with the change of the incident angle. If the ray transmitted on the reflective surface is
vertical or close to vertical (within 30˚ ), the determinant of the reflection coefficient is only the
wave impedance of the upper and lower media, and its formula is:

ρ2V2 − ρ1V1
R= (7)
ρ 2 V2 + ρ 1 V1

Among them, ρ represents the density of the medium; V represents the propagation velocity of
the seismic shear wave in the medium. It can be seen that when the wave impedances of the two
media are different, the greater the absolute value of the difference between the wave impedances,
the greater the intensity of the reflected wave. If the difference between the wave impedances
is negative, it means the D-value between the incident wave and the reflected wave. They have
opposite polarities, and their amplitude deflection directions are opposite.
In this way, the seismic shear wave reflection coefficients on the interfaces of different geological
layers can be obtained. In this way, the scientific survey of geotechnical engineering geological
conditions can be realized.

4 CONCLUSION

To sum up, in the geological exploration of geotechnical engineering, the relevant units must
reasonably apply the corresponding measurement technology. Thus, the scientific acquisition of
specific geological conditions can be achieved, which lays a good foundation for the organizational
design and construction of subsequent projects.

REFERENCES

Chi Pengfei. Application Analysis of Hydrogeological Exploration Technology in Geotechnical Engineering

[J]. North China Natural Resources, 2021(06):51–52.
Huang Mingfeng. Discussion on Hydrogeological Exploration Technology in Geotechnical Engineering [J].
Metallurgical Management, 2021(15):89.
Tan Gao. Analysis of common geological problems and key points of exploration in geotechnical engineering
[J]. China Metal Bulletin, 2021(09):229–230.
Zhao Jiang. Analysis of the importance of geotechnical engineering geological survey to engineering [J].
Western Resources, 2021(06):34–35.

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© 2023 Copyright the Author(s), 978-1-032-31202-6

Empirical study on the influence factors of green technology adoption

willingness based on technology acceptance model

Weiyi He, Shengwei Li, Jing Wang & Jun Zhao

School of management, Tianjin University of Technology, Tianjin, China

ABSTRACT: Since China first put forward the concept of developing green building construc-
tion, a series of laws and regulations, such as green building implementation norms, design and
evaluation standards, and action plans have been gradually improved. With the strong support of
government departments, science and technology research and development around green technol-
ogy, materials, technology, and equipment has achieved fruitful results. The relevant research report
points out that China’s green technology has reached a comparable status with developed countries
in terms of type, quantity, and advanced level. However, neither the total base of existing green
buildings nor the awareness and initiative of building green development, formed an ideal scale.
Nowadays, the construction market does not have the environmental conditions for all buildings
to fully implement the green building standards, but the use of some green technology shows that
the current buildings are gradually highlighting the characteristics of green, energy-saving, and
environmental protection. Therefore, in the face of an innovative application appeal situation like
the upstream green technology of the construction industry chain and the hidden vacancy in the
downstream market, the designers who play the role of technological achievement transformation
hub often fail to take the initiative to carry out green technology integrated application design and
lack the willingness to adopt green technology in the design work. Based on the external factors
affecting the adoption of the green technology of the designer, this paper finds the relationship
mechanism of action and provides countermeasures to better promote the application of green
technology and the green development of buildings.

1 INTRODUCTION

The research and promotion of green technology is strongly advocated by the state, and the sci-
ence and technology support projects have been continuously invested in their research around
different key technologies. In terms of technological innovation and application, China is gradu-
ally narrowing the gap with developed countries. Taking ultra-low energy building as an example,
as the first country in the world, China built the first passive house in 1991. After more than 20
years of development, Germany has built a voluntary ultra-low energy building standard with a
complete technical system. The Danish enterprise-led active house building standard also has an
important influence in Europe, emphasizes renewable energy utilization while reducing building
energy demand, China advocates full use of natural ventilation and lighting, solar radiation, and
indoor non-heating heat sources. The application category of green technology in China is the
same as that of similar climate areas in the world, but at present, many are concentrated on public
construction projects and demonstration projects, and the penetration rate of technology applica-
tion in civil residential areas is not obvious (Xu 2015). Based on the above analysis, it can be
seen that with the support of the policy environment, the front-end theoretical research of green
technology has made certain achievements, and the demonstration application projects have been
published successively. How to widely promote the application of technology in the process of
green development of buildings and improve its adoption proportion in new buildings is bound to
become the next focus.

426 DOI 10.1201/9781003308584-59

 Throughout the policy guidance in the background of green building development, the imple-
mentation plan clearly requires large public construction projects with state funds to fully implement
the green construction standards; for the public residential projects, the developers are not bound
by the universal green standards, but there are often innovations in building energy saving, green
marketing, subsidies, a series of green technologies of the solar system, intelligent building design,
photovoltaic power generation in civil housing construction confirms this. In the situation that
upstream green technology research and development achievements need to be fully applied,
downstream owners have green development demands. Architectural design plays a key role in
the transformation of traditional buildings into green buildings.
Green building advocates participatory design process (Jiang 2014), owners, managers, profes-
sionals, and other parties to effectively support the designer innovation. Designer innovation is a
green building collaborative innovation network, an innovative subsystem involving construction,
green materials, and equipment supply building. The supply side of the collaborative network is the
external environment of design innovation subsystem. Undoubtedly, the multi-factor role in the col-
laborative environment affects the designer’s innovative technology adoption behavior. However,
literature research shows that scholars have not carried out in-depth research on the management
problem of the adoption of innovative technology in a collaborative environment. The technology
acceptance model (TAM) first revealed the generation mechanism of the adoption process and the
use behavior of information technology. External factors affect the user’s perceived usefulness and
ease of use of information technology, thus, directly or indirectly affecting the willingness to adapt
and predict the user behavior. With a strong explanatory power, the model has become one of the
most widely adopted theoretical models studied by information technology and has been constantly
migrated and expanded to other innovative research fields to explain the role relationship between
external related factors of new things and user acceptance behavior. This provides a good reference
model for the study of designer green technology adoption behavior.
To sum up, this study plans to use the TAM model, explore the factors affecting the willingness
of the designer to adopt green technology in the collaborative environment, reveal the relationship
mechanism, and provide countermeasures and suggestions for how to promote the designer to play
an important role in the promotion and application of green technology.

2 THE RELATION BETWEEN PRODUCT MODULARITY AND ADOPTION

WILLINGNESS IN THE COLLABORATIVE RESOURCE DIMENSION

(1) The essence of collaborative innovation is the cross-organizational transfer, absorption, and
learning of technology or knowledge (Xie et al. 2015). Based on their own existing resources,
enterprises acquire different resources such as knowledge and technology from collaborative
innovation networks, to realize the development and application of new technologies and new
products. The accessibility of knowledge and the specialization of information are the key (Xie
et al. 2014) to the transformation of innovation resources to innovation capacity. Modularity
thought both from the sharing of implicit and explicit provide a new way for innovation efficient
transformation of resources. Many research pieces have put forward that modular technology
innovation, product innovation, and organization innovation performance produce a positive
effect (Cao et al. 2015). This paper through exploring resource elements in the green design
of collaborative innovation path provides a breakthrough point. The convenience means for
designers to obtain resources from other innovation entities besides their organization is the
modularization of green technology. For instance, solar heat collection technology product
modular form, namely the technology supplier of the building structure’s basic parameters,
uses functional parameters to integrate and provide solar heating technology and collects or
supports building heating through a complete set of equipment. It can greatly eliminate the
designer in the process of solar energy technology adoption due to secondary development
capacity of building structure interface design problems, obviously improving the convenience
of technology use. Modular green technology greatly reduces the additional work burden for

427
 designers to conduct design demonstration and integration optimization. Therefore, this study
presents the following hypothesis: Product modularity of green technology positively affects
the designer’s perceived ease of use.
(2) Measurement scale of product modularity under the collaborative resource dimension. Prod-
uct modularity has been widely mentioned in the research of innovative behaviors such as
inter-organizational cooperative research and development, which significantly affects the col-
laborative innovation performance of enterprises. Based on the definition of product modularity
under the .

Table 1. Measurement index system of collaborative resource factors.

Dimension Influencing Measure the item Serial number

factor

The introduction of green technology and green R1

technology does not need the relevant design work
to make great changes
Collaborative Product The connection parts of green materials and green R2
resources modular equipment have clear technical interfaces or stan-
dard specifications
Green technology, processes, materials, or equip- R3
ment has a strong alternative
Most green materials or equipment have standard R4
specifications, moduli, and other attribute values

3 RELIABILITY AND VALIDITY TEST OF THE PRODUCT MODULARITY SCALE

UNDER THE DATA COLLECTION AND COLLABORATIVE RESOURCE DIMENSION

Considering that the designer green technology adoption willingness assumption model established
in this study needs first-hand data from the project design participants to truly reflect their practical
experience and work situation as the respondents, the data is collected through the questionnaire
survey, and the questionnaire is distributed in online and offline synchronization. Online mode
uses questionnaire star, E-mail WeChat, QQ, and other investigation and communication tools to
target groups, and offline mode is carried out through field research and door-to-door access to
distribute paper questionnaires. Later, all questionnaires were summarized and collated, and valid
data was obtained after excluding invalid questionnaires.
(1) Product Modular Scale Reliability Analysis: The product modular variable measurement
items under the collaborative resource dimension are R1-R3, respectively. Analysis of the sample
data by the SPSS19.0 tool revealed that the product modularity scale Cronbach’s value was 0.785>
0.7, as shown in Table 2. This shows that the reliability of the collaborative resource dimension is
good.

Table 2. The reliability analysis results of the product modularity scale.

Dimension Variable quantity Measure the item Standard Cronbach’s α Degrees of reliability

Collaborative resources Product modular R1-R3 0.785 high

(2) Product modularity scale factor analysis feasibility test. As shown in Table 3, the scale KMO
value for the modularity of the variable product is 0.706, and the significance test value is s i g
= 0.000, so, the quantity expressed to the KMO values and the Bartlett spherical test standard is
suitable for the next validation factor analysis process

428
 Table 3. KMO values of Product Modularity Scale and Bartlett Test Results of Product
Modularity Scale.

Bartlett test

Measurement KMO Approximate

index checkout chi-square values df Sig

Product modular 0.706 169.346 3 0.00

(3) Validation factor analysis of the product modularity scale. Figure 1 is the results of the vali-
dation factor analysis of the product modular variables under the collaborative resource dimension.
The factor load corresponding to R1, R2, and R3 is 0.80, 0.76, and 0.67, respectively, which are
greater than the qualified standard value of 0.4, so the model can further carry out the structural
equation analysis.

Figure 1. Product Modular Scale Index Factor Load.

Validation factor analysis of the product modularity scale and data using AMOS software showed
that the fitting index/df = 1.135 <3, RMSEA = 0.061 <0.1, NNFI, CFI, and IFI were greater than
0.9, so the measurement model fit well and specific values are shown in Table 4.

Table 4. Modularity validation factor analysis.

Indicators of fit χ 2 /df RMSEA NNFI CFI IFI

Numerical value 1.135 0.061 0.920 0.934 0.916

From the collaborative resource dimension, external variable product modularity significantly
impacts perceived ease of use (* * *, p (0.001) with a standardized path coefficient of 0.571.
Considering the nature of green technology alone, the modular form enhances the ease of innovation
introduction, and the designer will not increase the workload because of the adoption of some
innovative technology. Based on the significant impact of perceived ease of use on the willingness
to adopt green technology, product modularity effectively promotes its adoption behavior through
the design side’s perception of green technology. Therefore, it can be seen that the own attributes of
green technology, technology and equipment in the industry are also one of the factors affecting the

429
main behavior of relevant people that cannot be ignored, and the same is true in the green building
situation.

4 PRACTICE ENLIGHTENMENT

4.1 Expand the construction subjects, especially the designers, and expand the awareness of the
application of green technology
Green technology integration innovation is the inevitable means of traditional green building trans-
formation, in the face of which many scientific research technology achievements are not effectively
adopted. First, in the construction of main body the owner, designers, construction, and other
project direct participants of green technology, existing scientific research achievements, appli-
cations, advantages, etc., constantly break the “green = high cost”, “technology pile” concept,
boosting the adoption and application. Technology transformation plays an important role in the
design by following the industry innovation, encourage employees bold attempt, dare to implement
innovation in integration design, create a good environment support atmosphere, lead the building
design in energy saving, environmental protection, improve the organization competitiveness at
the same time, and actively strengthen and meet the sustainable development of the construction
market.

4.2 Enhance the convenience of green technology design and application

In the view of the problem that a large number of green technologies are not adopted and inte-
grated by the designers, one reason that cannot be ignored is that the application design of existing
green technologies requires professional secondary design cooperation in technical interfaces or
supporting facilities on the based on original work content. This study found that product modu-
larity effectively improved the designer’s perception of the ease of use of green technology, thus
indirectly promoting its willingness to adopt. Based on this, the research and development of
processes, equipment, and materials of green technology need to enhance the technology appli-
cability and independence in the initial stage, to avoid the technical resistance of other industrial
chain related subjects with similar designers from facing technical resistance in the process of
technology undertaking and transformation.

5 CONCLUSION

Green is the inevitable trend and a way for the construction industry to practice the concept of sus-
tainable development. It has been a history of more than ten years since China officially put forward
the policy call for more than green buildings. In the process of continuous improvement of relevant
policies, standards, and institutional norms, China’s green technology research and development
have also achieved fruitful results, but the total amount of green buildings has not reached the
expected level. In the construction industry, energy conservation, environmental protection, green
technology innovation & application are high in demand. This paper suggests that the designers
play an important role as the research object, due to lack of green technology integration inno-
vation behavior, based on the characteristics of the participation of construction projects, mining
external influence factors from the perspective of collaborative innovation, with the help of tech-
nology acceptance model (TAM) focus on the formation of green technology adoption mechanism,
through the empirical analysis of the following conclusion. There are external factors under three
dimensions of collaborative subject, collaborative resources, and collaborative mechanism, which
have a direct or indirect impact on the designer’s willingness to adopt green technology. Suppose
relationship model construction and empirical data analysis verify the collaborative main factors
of employee innovation, organization support for designer green technology adopt significant pos-
itive effect, which shows that the designer itself has to accept new technology in the industry, and

430
the challenging conditions created by the organization are technology adoption, integration, opti-
mization, as well as behavior. Product modularity is proposed from the green technology design,
practical level, considering the green equipment, technology, measures, technology or product reg-
ulation, independent attributes on the influence of innovative design application. The study found
that product modularity significantly affects the designer’s perception of the ease of use of green
technologies, which indirectly affects the willingness to adopt.

REFERENCES

Cao Hongjian, Zhang Jianying, Liu Dan. Modular division of labor, collaboration and technological innovation:
Research Based on Strategic Emerging Industries [J]. China Soft Science Learning, 2015, (7): 100–110.
Feng Zengtian, Hao Bin, Yu Shan., Empirical Study on the Relations between Modularity, Absorption Ability
and Enterprise Innovation Performance [J]. Journal of Nanjing University of Technology, 2013,37(2):
318–324.
Jiang Rong. Current Status and Development Strategy of Green Building Technology in China [J]. Architecture
and Culture, 2014, (02): 129–130.
Xie Xuemei, Wu Yonghui, Zhao Yang. Impact of collaborative innovation influencing factors and collaborative
mode on innovation performance —— is based on 316 small and medium-sized households in the Yangtze
River Delta Corporate Empirical Research [J]. Management Review, 2015,27 (08): 77–89.
Xie Xuemei, Zuo Lei Lei, Liu Siyu. Effect of SME collaborative innovation model on collaborative innovation
effect of —— collaborative mechanism and collaborative environment Model [J]. Science and Technology
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Construction Technology, 2015, (12): 15–16

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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Feasibility discrimination of upward mining in close-distance coal

seam and mining influence analysis

M.A. Qihua∗ , C.H.I. Lihui & M.A. Weixiang

College of Energy and Mining Engineering, Shandong University of Science and Technology,
Shandong, China

ABSTRACT: Upward mining can not only overcome the thorny problems of technology, economy
and management, but also realize the sustainable development of mine and avoid the waste of coal
resources. In order to judge the feasibility of the upward mining, this paper studies the deformation
and failure characteristics and migration law of the upper 1# coal seam after the mining of the lower
3# coal seam using theoretical discrimination method and the Comsol Multiphysics numerical
simulation according to the occurrence conditions of the coal seam of the Changcheng fifth coal
mine. The results show that: after the mining of the 3# coal seam, the 1# coal seam is located in the
upper part of fracture zone, and the integrity is not damaged; the actual interval between two coal
seams is much larger than the necessary interval to meet the requirement of upward mining; with
the progress of upward mining, the range of interlayer rock mass movement and deformation is
increasing, but it will not affect the normal mining of the 1# coal seam. On the basis of the research
results, the failure depth of floor after the mining of the 3# coal seam is calculated, which has a
certain theoretical guiding significance.

1 INTRODUCTION

Coal is an important support for China’s economy and occupies a dominant position in China’s
energy security system (Li 2019; Wang 2015, 2021; Wu 2019; Xie 2018). From 2017 to 2019, the
consumption was 3.87 billion tons, 3.909 billion tons and 3.987 billion tons respectively, nearly 30
percentage points higher than the current average level of the world (Sun 2021). However, in fact,
some mines in China must first mine the main coal seam with good coal quality and large production
capacity because of production tasks and economic benefits. In addition to improving the recovery
rate of resources, it can also play the role of pressure relief, reduce the stress concentration degree
between coal and rock strata, and alleviate the impact of rock pressure to a certain extent. Therefore,
the study of upward mining has important practical guiding significance.
Researchers at home and abroad have done a lot of theoretical and practical researches on this.
American scholars Dunham and Stace put forward a formula to calculate the damage degree of
roadway after studying the influencing factors of upward mining in close-distance coal seam; Yan
analyzed the mining pressure of working face in the upward mining of the coal seam above the
goaf (Yan 2017). Yuan put forward the fault momentum of the upper coal seam as the core index to
judge the feasibility of upward mining based on the statistics of domestic cases of upward mining in
close-distance coal seam(Yuan 2021); Wang established numerical and similar simulation models
to conduct experimental analysis on the caving form and pressure relief effect of upward mining
in close-distance coal seam(Wang 2020); Zhao solved the mining problem of the close-distance
coal seam group in QianJiaying coal mine by using the way of roadway layout across coal pillar
in upward mining (Zhao 2019); Shao conducted an experimental study on the stability of pillar in

∗ Corresponding Author: [email protected]

432 DOI 10.1201/9781003308584-60

ascending mining of columnar goaf (Shao 2016); Wu analyzed the influence of substratum strata
under special conditions on upward mining (Wu 1988).
In this paper, based on the occurrence conditions of coal seam in Changcheng fifth coal mine,
the failure and migration of the upper 1# coal seam after the mining of the lower 3# coal seam
are studied by comprehensive theoretical analysis and numerical simulation, and the development
degree of mining-induced fractures in the floor after the mining of the 3# coal seam is calculated.

2 THEORETICAL ANALYSIS OF THE FEASIBILITY OF UPWARD MINING

2.1 Overview of coal seam

The workable coal seams of the Changcheng fifth coal mine are 1#, 3#, 5#, 9#, and 10# coal seams
respectively from top to bottom. Considering the economic benefits of initial investment and well
construction, it is proposed to mine the 3# coal seam first and then mine the 1# coal seam to form
an upward mining scheme as a whole.
The recoverable thickness of the 1# coal seam ranges from 0.70m to 1.45m, with an average
of 1.08m. The distance between the 3# coal seam and the 1# coal seam ranges from 12.76m to
54.06m, with an average of 37.79m, which can be exploited. And the recoverable thickness of the
3# coal seam ranges from 0.94m to 4.25m, with an average of 2.25m. The dip angles of both coal
seams are 20˚ .

2.2 Theory of discriminant

There are many methods for feasibility analysis of upward mining in common use at home
and abroad. The ratio discrimination, “three-zone” discrimination, Poland upward mining
discrimination and mathematical statistics analysis are introduced in detail below.
In the following formulas, K is the multiple of mining influence; H is the vertical distance
between the upper 1# coal seam and the lower 3# coal seam, and H takes 37.79m; M is the mining
height of the lower 3# coal seam, and M takes 2.25m; Hm is the height of caving zone; HL is the
height of fracture zone; H  is the necessary interval for upward mining; Kp is the coefficient of
rock fragmentation, and Kp takes 1.5; η is the compression rate of caved gangue, and η takes 20%
according to the actual situation of stope; Ms is the thickness of the 1# coal seam, and Ms takes
1.08m.

2.2.1 Ratio discrimination method

According to the domestic practical experience, the size of the mining influence multiple is usually
taken as the basis of whether the upward mining can be carried out. The mining influence multiple
is calculated as follows:
M
K= (1)
H
According to the domestic upward mining engineering practices and researches, when the lithol-
ogy between two coal layers is medium hard rock, the K needs to be more than 7.5. There are mainly
various types of sandstone between the two coal seams, and the lithology is medium hard. The
calculation results show that K equals 16.80, which can theoretically be used for upward mining.

2.2.2 “Three-zone” discriminant method

According to the reserve verification report of the mine field, the uniaxial compressive strength of
the roof rock of the upper coal seam in saturated state is less than 30MPa, which belongs to the
weak rock. According to the calculation formula of water-conducting crack zone in The Code for
Coal Pillar Retention and Coal Pressing Mining of Buildings, Water Bodies, Railways and Main
Shafts and Lanes, the heights of the upper “three-zone” are calculated as follows:

433
(1) Caving zone height:
%
100 M
Hm = % ± 1.5 (2)
6.2 M + 32

By substituting the above data into Equation (2), we get Hmmin equals 3.95m, Hmmax equals
6.95m and take the maximum value.
(2) Fracture zone height:
%
100 M
HL1 = % ± 4.0 (3)
3.1 M + 5.0
-
HL2 = 10 M+5 (4)

By substituting the above data into equations (3) and (4), we get HL1 equals 27.3m, HL2 equals
20m and take the maximum value.
Among them, the average distance between the 1# coal seam and the 3# coal seam is 37.79m.
Combined with the calculation results, the 1# coal seam is in the bending subsidence zone of
the 3# coal seam, that is, the coal seam does not occur damage, mainly moves as a whole, and
has good structural integrity. Therefore, it is judged that upward mining can be carried out.

2.2.3 Polish upward mining discrimination method

M. Hudek believes that the necessary interval for upward mining is directly proportional to the
mining height, but inversely proportional to the rock fragmentation coefficient and the caving
gangue compression ratio, namely:

M 1
H = · (5)
Kp − 1 1 − η

Substituting the above data into Equation (5), we get H  equals 5.63m. The average distance
between both two coal seams is 37.79m. Combined with the calculation results, it can be judged
that the upward mining is feasible.

2.2.4 Mathematical statistical analysis method

Based on some examples of upward mining in China, the empirical formula of the necessary
interval between the upper and lower layers of coal in upward mining is obtained as follows:

H > 1.14M2 + 4.14 + Ms (6)

Substituting the above data into Equation (6), we get H  equals 10.99m, while the actual average
interval between both two coal seams is 37.79m, so mining conditions are met.

3 NUMERICAL SIMULATION STUDY

3.1 Model building

According to the coal seam column chart and related data, combined with the field geological
data and referring to the formation lithology of adjacent mines, the relatively complete mechanical
parameters of coal and rock are finally obtained, as shown in Table 1.

434
Table 1. Material attribute parameters of each coal stratum.

Bulk Shear Bulk Shear

Thickness Density modulus modulus Thickness Density modulus modulus
Rock (m) (kg/m−3 ) (GPa) (GPa) Rock (m) (kg/m−3 ) (GPa) (GPa)

Siltite 4.7 2390 11 7.5 Mud rock 3.5 2100 8.8 3.00
1# coal 0.92 1320 1.7 0.75 Siltite 5 2390 11 7.5
Siltite 3.4 2390 11 7.5 Kern stone 8 2220 14 9
2# coal 0.44 1320 1.7 0.75 Mediate sandstone 3.4 2270 15.5 9.5
Mudstone 3.56 2100 8.8 3.00 Mudstone 3 2100 8.8 3.00
Fine-sandstone 4.5 2320 13 8.0 3# coal 2.3 1320 1.7 0.75

In this paper, Comsol Multiphysics is used to build a two-dimensional numerical calculation

model along the dip of coal seam. The model width is 180m, and the model height is 120m. The
model is shown in Figure 1.

Figure 1. Numerical model.

The model needs to set boundary conditions. Vertical constraints are imposed on the bottom
boundary of the model, horizontal fixed constraints are imposed on the surrounding boundaries,
and no constraints are imposed on the upper boundary of the model. Then gravity domain is added
to the whole model.
In order to better analyze the influence of the 3# coal seam mining on the 1# coal seam, the
1# coal seam was divided into super-fine mesh, the 3# coal seam was divided into relatively fine
mesh, the 3# coal seam and the 1# coal seam were divided into fine mesh, and the rest coal and
rock mass were divided into coarse mesh.Mesh division is shown in Figure 2.

Figure 2. Diagram of mesh division.

435
3.2 Analysis of simulation results
In this simulation study, mining was carried out 50m away from the left boundary of the model, and
the mechanical state and evolution law of stope rock mass were simulated at 30m, 60m and 90m
advance of the 3# coal seam respectively, in order to avoid the influence of the model boundary
effect.

3.2.1 Analysis on evolution law of overburden stress field of working face of the 3# coal seam
Since the opening of the incision, with the continuous progress of the working face, the 3# coal
seam is gradually produced, breaking the inherent balance state of surrounding rock, releasing the
stress between coal and rock strata, and redistributing the stress.
Before excavation, the stress distribution on the upper part of the model presents a phenomenon
of “small in the middle and large on both sides”, as shown in Figure 3(a). The upper coal seam
is mined for 30m along the dip at 50m away from the boundary, as shown in Figure 3(b). It can
be seen that when the coal is produced 30m later, the stress on the roof of the goaf is transferred
downward due to the loss of the support of the lower coal. Further along the strike to 60m, the stress
transfer area expands further, and the coal walls on both sides of the boundary coal pillar and goaf
bear all the loads of the overlying coal strata. The stress distribution is roughly “arch”, as shown in
Figure 3(c). When advancing to 90m, the transmission range of mining disturbance expands with
the increase of mining range, and the stress field of overlying strata changes accordingly. It can be
seen that the stress in the upper part of the right boundary in Figure 3(d) is significantly lower than
that in Figure 3(a), and the whole stress distribution cloud diagram is basically symmetrical.

Figure 3. Cloud diagram of overburden stress distribution at 90m along dip mining of the 3# coal seam.

436
3.2.2 Analysis on evolution law of overburden displacement field of working face of the 3# coal
seam
Figure 4(a) ∼ (c) represents the contour map of total displacement around the goaf after 90m
mining along the dip of the 3# coal seam.
It can be seen from the figure that the overlying strata in the goaf slightly bend after the working
face is advanced 30m, and the subsidence of the roof strata gradually increases after the working
face is advanced 60m. When the working face is advanced 90m, the displacement contour of the
upper goaf basically presents a vertical distribution, and the displacement in the middle reaches
the maximum. According to the legend, when advancing to 90m, the color of the displacement
contour map in the middle of the model is darker than that in other positions, which indicates that
the displacement is the largest, and the displacement is gradually decreasing toward the cutting
hole and the working face. Transversely, the deformation displacement of each point above the
goaf gradually decreases from the middle to both sides, while the deformation displacement of
each point below the goaf gradually increases from the middle to both sides. The deformation
displacement of each point in the coal strata far away from the goaf shows a convergence trend
until it is not affected.

Figure 4. Displacement contour map at 90m mining along dip direction.

According to the isograph of strike and dip displacement, the displacement at the center of the
1# coal seam is the largest, and gradually sinks from 0.0085m to 0.024m with the gradual mining
of the 3# coal seam, which basically does not affect the mining of the upper coal seam, especially
the normal mining of the 1# coal seam.

4 DEVELOPMENT DEGREE OF MINING-INDUCED FRACTURES IN FLOOR

The mining-induced fracture zone of coal seam floor refers to the area where cracks continuously
occur from top to bottom from the top interface of coal seam floor or where cracks expand and
communicate with each other due to the influence of upper mining pressure.

437
 According to The Code for Coal Pillar Retention and Coal Pressing Mining of Buildings, Water
Bodies, Railways and Main Shafts and Lanes, the calculation formula for failure depth of mining
floor is as follows:
h1 = 0.0085H + 0.1665α + 0.1079L − 4.3579 (7)

Where, H is the buried depth of coal seam, and the buried depth of the coal seam takes 450m
according to the coal seam histogram; α is coal seam dip angle, and takes 20˚ ; L is the dip length
of working face, and takes 200m.
Gao Yanfa considered the solidity coefficient of floor strata and obtained empirical formula of
floor failure depth by regression analysis as follows (Gao 1988):

L
h1 = 0.00911H + 0.0448α − 0.3113F + 7.9291 ln (8)
24

Where, F is the average firmness coefficient of floor strata, and takes 3; the meanings of other
parameters are the same as equation (7).
Substituting the values of each parameter into Equation (7), the failure depth of the floor equals
24.37m. Substitute all parameter values into Equation (8), and it can be concluded that the failure
depth of floor equals 20.87m.
According to the calculation results of empirical formula, after the 3# coal seam is fully mined,
the interlayer strata are in the development range of mining-induced fractures in the floor, and there
is roof water-conducting fracture zone above the original goaf. Although the mining influence of
the 3# coal seam is small and the development height of roof water-conducting fracture zone is
low, it may still be fully connected with the fracture zone of the 5# coal seam, providing a favorable
diffusion channel for floor water and goaf gas.

5 CONCLUSION

In this paper, theoretical discrimination method and the Comsol Multiphysics numerical simulation
are adopted to study the migration law of upper coal seam in the process of upward mining. The
main conclusions can be summarized as follows:

(1) The key parameters affecting upward mining are obtained by theoretical discrimination method,
including the mining influence coefficient equals 16.14; the height of “two-belt” is 6.95m
and 27.3m respectively, both smaller than the average distance between two coal seams.; the
actual interval is larger than the necessary interval according to the Polish upward mining
discrimination method; according to mathematical statistics analysis, the necessary interval
equals 10.99m, far less than the actual interval, which meets the conditions of upward mining.
(2) According to the numerical simulation results, with the continuous advance of the working
face, the range of interlayer rock mass movement and deformation keeps increasing. From its
subsidence displacement, it can be seen that the upward mining causes different degrees of
reverse displacement in the middle area of interlayer rock mass, but the displacement is very
small, which will not affect the subsequent normal mining of the 1# coal seam.
(3) Through the theoretical calculation of “three-zone” pressing coal mining regulation and regres-
sion empirical formula, it is concluded that the failure depth of floor is 20.87m ∼ 24.37m after
mining the 3# coal seam.
(4) Based on the above research conclusions, it is feasible for the Changcheng fifth coal mine to
mining the 3# coal seam and then mining the 1# coal seam.

In terms of the future work, it is necessary to deploy a detailed and rigorous working face
monitoring scheme to ensure the subsequent normal mining of the upper coal seam.

438
REFERENCES

Gao Yanfa (1988). Statistical analysis of failure depth of coal seam floor. J. Coal Geology & Exploratio. (01),
38–41.
Li Haodang (2019). Research on the high quality development path of China’s coal industry in the new era. J.
Coal Economic Research. 39(05), 72–76.
Shao Xiaoping (2016). Study on crack evolution law of overburden strata and stability of interlayer rock in
upward coal mining. J. Coal Science and Technolog. 44(09), 61–66.
Sun Chao (2021). Trend analysis of China’s coal supply and demand during the 14th Five-Year Plan. J. Coal
Engineering. 53(05), 193–196.
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pore and fissure in coal. J Chinese Journal of Rock Mechanics and Engineering. 40 (08), 1547–1558.
WangYanjun (2015). The position of coal in Chinese energy mix under the new normal situation. J. Development
Finance Research. 4(04), 72–81.
Wang Zhiqiang (2020). Testing analysis on optimized layout of ascending mining roadway and effect of coal
seam pressure relief in close distance coal seam. J. Journal of Safety Science and Technology. 16(03),
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Wu Baoyang (2017). Analysis of the influence of interlayer rock on ascending mining under special conditions.
J. Journal of China Coal Society. 42(04), 842–848.
Wu Qiang (2019). Discussion on the main problems and countermeasures for building an upgrade version of
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Xie Heping (2018). New ideas of coal revolution and layout of coal science and technology development. J.
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Yan Xiaowei (2020). Analysis of the law of pressure behavior in upward mining of close coal seam. J. China
Mining Magazine. 29(12), 129–133.
Yuan Guangming (2021). Feasibility discrimination method of upward mining in close-distance coal seam
based on data statistics. J. Journal of Mining And Strata Control Engineering. 3(03), 21–31.
Zhao Xiangzhuo (2019). Study on Roadway Layout of the Ascending Mining Panels in Closed Distance Coal
Seams. J. Chinese Journal of Underground Space and Engineering. 15(01), 194–201.

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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Mechanism analysis of gas pressure change in advanced area

of coal face

He Jun
State Key Laboratory of Gas Disaster Detecting, Preventing and Emergency Controlling, Chongqing, China
Chongqing Research Institute of CCTEG, Chongqing, China

ABSTRACT: The study of gas pressure distribution and formation mechanism in the leading area
of the working face under the influence of mining is of great significance to gas management and
extraction. The internal relation between gas pressure and support pressure is analyzed using the
data of the pressure test in a support pressure area of a mine face in Henan province and the data of
gas pressure analysis in coal seam drilling. The results show that the gas pressure of coal is closely
related to the support pressure in the advanced area of the coal wall. The support pressure causes the
gap of coal to decrease and the gas pressure increases, otherwise the gas pressure decreases. Based
on the distribution of supporting pressure, the gas pressure distribution of coal in the advanced area
of the coal wall is divided into the decompression zone, supercharging zone, and stabilizing zone.

1 INTRODUCTION

The imbalance of gas pouring out of the work surface causes the difficulty in gas management,
easy formation of gas over-limit security risk, these problems are closely related to the law of gas
transport, and scholars at home and abroad have done a lot of work for the law of gas transportation
under the disturbance of the quarry. The research of rock porous medium mechanics and seepage
theory laid the foundation for the oil extraction process, coal mine gas extraction technology, and
groundwater seepage (Qian & Miao 1997). Literature (Zhou & Lin 1999) has studied the mechanical
properties, permeation, and creep characteristics of gas-containing coal and the basic laws of coal
seam gas transport are studied systematically, and the basic model and calculation method of the
one-way and spherical flow of gas in coal seams is established by using the relevant theories. The
model of rock seepage-temperature-stress-coupling is discussed in the literature (Cai & He 2000).
The literature makes a detailed discussion on the theory of rock seepage and summarizes the general
law of permeability with strain.
These studies provide a solid theoretical basis for this study, but less consideration is given to
the distribution of the surrounding rock stress field and the evolution of the fissure field under
the influence of the quarry. The kinds of literature (Du et al. 2002; Liu 2014; Qian & Miao 1996;
Zhang & Qian 1997) have studied the dynamic distribution law of the cladding fissure under the
condition of extraction and provided a reference for the study of the law of gas transport in the
quarry, after which some scholars (Gao et al. 2000; Li et al. 1998) analyzed the relationship between
the ventilation of the working surface and the gas transportation of the gas in the mining area, and
provided a reference for the research on the support pressure distribution and gas transportation
in the coal wall advanced area. The close relationship between the periodic pressure of stope
and the gas emission of the working face is studied as a reference (Qin & Wang 1997), but the
influence of supporting pressure on gas pressure in the leading area of the coal wall is not taken into
account. The distribution of supporting pressure and gas pressure in the working face is analyzed
in reference (Li et al. 2004), but the internal relationship between them is not given clearly. In
summary, it is of great significance to study the law of the advanced gas pressure distribution and
the formation mechanism of the working surface under the influence of the extraction, and it is
of great significance to prevent safety accidents. The data is measured, organized, and analyzed

440 DOI 10.1201/9781003308584-61

in the field. The relationship between advance support pressure and gas pressure fractions and the
mechanism of change of gas pressure were analyzed by using the rock single-axis compression
test, the theory of mine rock physical strength, and the formula of Moore’s law.

2 FIELD TESTING

2.1 Work surface overview

(1) Coal seam thickness and yield: shun-groove excavation reveals that the average coal thickness
is 5.8m, except for the local fault near the coal seam thickening, thinning, and the rest of the
coal seam thickness changes little. The working surface is 1096m long and tends to be 120m
long. The coal seam is towards 62 degrees, with a tendency of 242 degrees, an inclination of
10 ∼20 degrees, and an average inclination of 15 degrees.
(2) Coal seam structure: Due to the obvious development of the fold structure of the coal seam
recovery area, the thickness of the coal seam varies, which has ascertain effect on the back-
picking. The main surface mining 21 coal seam, and the original structure of the coal body has
been destroyed, mainly black powder, the rare ones are grainy, scaly, blocky. The coal body
density is 1.37t/m3 . The coal seam sequester is shown in Figure 1.

Figure 1. Comprehensive coal seam histogram of working face.

2.2 Test methods

In front of the working surface coal wall is 50m range of gas extraction drilling and coal support
pressure measuring points of 50 each, the spacing of 1m sees Figure 2. Each 1m of the working
surface is advanced, the data is tested once, 20 rounds are measured, and 1000 gas pressure data
and forward support pressure data are measured, respectively.

441
Figure 2. Schematic diagram of measuring point layout.

2.3 Test results and analysis

The data is processed by arithmetic averaging, the support pressure and gas pressure average of 1
∼ 50 measuring points are obtained, and the support pressure and gas pressure curve are drawn, as
shown in Figure 3.
Figure 3 shows that the support pressure and gas pressure are consistent in the distribution trend
before the work and conform to the law of the pressure distribution of the pick-up support, which
is divided into stress relief area, booster area, and regulator zone.

(1) Within 10m of the front of the working surface coal wall, the support pressure of the coal body
and the gas pressure are both reduced area (area A).
(2) In the front of the working surface coal wall 10m∼50m range, both pressure suprapoles are
correspondingly increased (B area), wherein the front of the working surface coal wall of about
20m, the coal body support pressure and gas pressure curve are at peak, but the peak position
of coal support pressure slightly lags behind the peak position of gas pressure.
(3) In the area 50 m away from the working surface, the pressure of the two does not change; the
pressure area (area C) is the regulator zone.

Figure 3. Distribution curve of gas pressure and coal bearing pressure in advance area of coal wall.
A – Reduced pressure area, B – Pressurization area t, C – Voltage area, a – Reduce area, b – Gradually drop
area, c – Rising area, d – Original area.

442
3 THE MECHANISM OF PRESSURE DISTRIBUTION OF PULSATING GAS

3.1 Features of the change in the pressure volume of the rock single axis
Figure 4 is the rock test in the single axis pressure experiment, the volume changes with the stress,
characterized by: elastic stage, volume reduction, plasticity stage, volume expansion, especially in
the plastic stage, the test piece to go through the process of "first restore to the original volume -
re-expansion exceeds the original volume", in about 1/2 of the single-axis pressure strength, the
volume of rock sample occurrence is reduced due to increasing transition.

Figure 4. Volume curve of rock specimen under uniaxial compression.

3.2 Support stress and coal body gap size relationship

According to the knowledge of mineral pressure, due to the back harvesting of the working surface,
the coal body in front of the coal wall on the working surface will be redistributed. According to
the volume change analysis of the rock test piece during single-axis compression in Figure 4, the
stress of coal body will cause the total volume change of the gap and fissure in the coal body and
the coal rock body will show the phenomenon of compression or expansion. Corresponding to the
working surface coal wall in Figure 3 in front of the support pressure distribution curve can be
seen, zone A and B belong to the coal body stress increase stage, resulting in the expansion of the
internal crack of the coal body, thus, the total volume of the internal gap of the coal body gradually
increased.

3.3 Analysis of gas pressure distribution characteristics

Gaps and fissures in coal rock are places to hold gas, and for the convenience of analysis, the
temperature and the amount of matter is ignored when the volume of the void is assumed to
change. According to Moore’s law, the gap volume is inversely proportional to the gas pressure,
combined with the relationship between the support pressure and the change in the gap volume;
the characteristics of the gas pressure change are: zone A is the gas pressure reduction area.

4 CONCLUSIONS

(1) Through on-site testing, it was found that the coal body support pressure in the area in front
of the working surface coal wall was consistent with the gas pressure distribution law. Both
belonged to the pressure reduction area within 10m of the front of the working surface coal
wall, and in the 10m ∼ 50m range in front of the working surface coal wall, the pressure of
both increased accordingly, and belonged to the pressure increase area. In the area 50m away
from the work surface, the pressure of the two does not change, is the regulator zone.

443
(2) Combined with the theory of rock mechanics and mine pressure, the mechanism of gas pressure
changes in the front area of the working surface is analyzed, that is, when the support ingot
pressure causes the coal body gap to decrease, the gas pressure increases, and the gas pressure
decreases.
(3) Gas pressure is key in gas transportation to the quarry; thereby, the law of gas pressure dis-
tribution is of utmost importance in gas management, improving the safety and reliability of
production and reducing safety accidents.

REFERENCES

Cai Meifeng, He Manchao, Liu Dongyan. Rock Mechanics and Engineering [M]. Beijing. 2002. 8.
Du Feng. Cao Zhengzheng. LI Zhenhua. Research progress of two phase water-sand flow characteristics in
crushed rock mass [J] Coal Science and Technology. 2018, 46 (7).
Gao Feng, Qian Mingao, Miao Xiexing. Mechanical Analysis Of The Immediate Roof Subjected To Given
Deformation Of The Main Roof [J]. Chinese Journal of Rock Mechanics and Engineering, 2000, 19(2):
145–148.
Li Liangjie, Yin Youquan, Qian Mingao. Structure stability and floor water inrush treatment [J]. Chinese
Journal of Rock Mechanics and Engineering, 1998, 17 (1): 40–45.
Li Shugang, Lin Haifei, Cheng Lianhua. Relation between Abutment Pressure and Relieved Gas Delivery
for Fully-Mechanized Top Coal Caving [J]. Chinese Journal of Rock Mechanics and Engineering. 2004,
23(19): 3288–3291.
Liu Xinjie. Stope Overlying Strata Structural Evolution Analysis [J]. Coal and Chemical Industry, 2014, 37
(2) : 1–4.
Qian Mingao, Miao Xiexing, Xu Jialin. Research on key strata theory in rock control [J]. Journal of China
Coal Society. 1996. (21)3: 225–230.
Qian Mingao, Miao Xiexing. Ming Strate Mechanics—a new branch of applied mechanics [J]. Science and
Technology Review, 1997(3): 29–32.
Qin Yueping, Wang Jinxue. Study on gas emission characteristics of fully mechanized caving face [J] Coal
Science and Technology. 1997, 25(8): 1∼5.
Zhang Dingli, Qian Mingao. Analysis of surrounding rock structure of fully mechanized caving face [J].
Chinese Journal of Rock Mechanics and Engineering, 1997, 16 (2):320–326.
Zhou Shining, LIN Boquan. Theory of Gas Occurrence and Flow in Coal Seam. Coal industry press[M].
Beijing. 1999. 2.

444
 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Experimental study on morphological change of rill boundary on loess

slope

Pan Zhang & Weiying Sun

Key Laboratory of Soil and Water Conservation on the Loess Plateau of Ministry of Water Resources, Yellow
River Institute of Hydraulic Research, Zhengzhou, China

ABSTRACT: The indoor fine simulated rainfall experiment was conducted to reveal the variation
regularity of the rill boundary and the response of the erosion and sediment yield under the fixed
slope gradient (20˚ ) and three rainfall intensities (66, 94, 127 mm/h). Results showed that the
response of the slope sedimentation process to the rill boundary changes is obvious. Rill traceability
is the most active way of determining sediment yield during rill formation and development; it is
the main source of sediment in the early stages of rill development. Rill wall collapse and bed cut
are the more active ways of sediment yield during rill network development and formation; they
directly lead to increase in soil erosion rate in the middle stages of rill development. Rill bed cut is
the more active way of sediment yield during rill network adjustment. The change in the relationship
between runoff shear and sediment concentration directly leads to the continuous fluctuation of
soil erosion rate in the later stage of erosion. The sand production is affected by the development
of the rill. There is a correspondence between the rill network at different developmental stages
and the sediment yield. The sediment concentration of runoff is relatively low before the formation
of the rill, and then fluctuates continuously in the rill development stage and tends to be relatively
stable in the stable development stage; while the sediment concentration of runoff is proportional
to the rain intensity. This study can provide basic data for the establishment of rill erosion dynamic
model.

1 INTRODUCTION

Rill erosion is one of the main ways of soil erosion in sloping farmland of Loess Plateau (Cai 1998;
Li et al. 2010; Wirtz et al. 2012; Zheng et al 2010). During rill erosion, rill morphology affects
and determines the movement of water flow and sediment on slope, and is a factor of soil erosion
with geomorphic significance (Horton 1945; Niu et al. 2016). This factor reflects the comparative
relationship of various factors of slope water erosion dynamics and is a key scientific problem in
further understanding the physical process of erosion and sediment yield in watershed (Zhang et
al. 2016). Therefore, it is a hot issue in the field of slope erosion to analyze the dynamic process
of slope erosion from the perspective of slope micro-geomorphology evolution.
Although currently during the rill development, process simulation and rill morphology quan-
titative aspects have yielded comparatively abundant research results, most studies focused on the
analysis of the final erosion form. The dynamic development of rill morphology in the process of
continuous evolution law study is less and more attention is given to studying complexity of the
network as a whole form of difference. However, the quantitative analysis of boundary condition
variation and sediment yield response is lacking.
In view of this, this paper tracked the whole process of rill evolution; monitored the dynamic
distribution of sediment erosion and deposition on slope surface; quantitatively analyzed the vari-
ation of rill head advance, rill wall collapse, and rill bed cut; studied the influence of the drastic
changes in rill boundary conditions on slope sediment yield process and slope erosion mode; and

DOI 10.1201/9781003308584-62 445

traced the source of erosion and sediment yield. This paper discusses the shaping process of rill
morphology under rainfall driven by headward erosion, gravity, and water flow shear and disper-
sion, and elucidates the internal driving mechanism and main controlling factors of rill erosion and
sediment yield, providing basic data for the establishment of rill erosion dynamic model.

2 MATERIALS AND METHODS

2.1 Test materials

The experiment was carried out in the rainfall hall of the Loess Plateau Soil and Water Conservation
Key Laboratory of the Ministry of Water Resources. The test device mainly consists of the artificial
simulated rainfall system and slope solid model.
The artificial simulated rainfall system consists of a pressure pipe and down spray simulated
rainfall device with five different sizes on each group. The nozzle size and pipe pressure can be
set through the control interface of the computer system, simulating the rainfall intensity from 30
to 180 mm/h. The nozzle of the rainfall hall is 22 m above the ground, which allows more than
95% of the raindrops final speed to reach the natural rainfall final speed. The slope soil erosion
simulation solid model adopts adjustable slope trough with the specification 5 m×1 m×0.6 m, and
the adjustable slope is between 0˚ and 30˚ , which can simulate different angles from gentle slope
to steep slope. This test simulation sets the slope to 20 steep slope and has a water hole with 5 mm
diameter at the bottom of the tank, so that soil water can be freely infiltrated. The soil used in the
test was taken from the surface layer of Mangshan in Gongyi City, Henan Province, located in the
deputy district of the Loess Plateau. The soil particle size composition is shown in Table 1.

Table 1. Particle size distribution and median diameter of tested soil.

Particle size composition%

Soil type 0.005 ∼ 0.01 0.01 ∼ 0.05 >0.05

Loess 43.40% 35.45% 21.15%

2.2 Test design

To more objectively reflect the changes of rill morphology during slope erosion, single erosion
multiple rainfall scheme was designed to make the fine ditch erosion process both independent
and inherited. The design of the rainfall characteristic parameters of the simulation test mainly
includes the selection of rain strength, duration, and rainfall events. Rill erosion is mainly caused
due to short-term rainstorm runoff erosion. Referring to the Loess Plateau erosion rainfall and
its rainstorm frequency characteristics, the three rain strengths are 60, 90, and 120 mm/h, corre-
sponding to moderate rain, heavy rain, and rainstorm in the Loess Plateau, respectively. In the test,
the combination rate of pressure and nozzle is determined. According to the development of fine
ditch, seven rainfall for each rain intensity was considered, each lasting about 10 min, and the soil
capacity was controlled at about 1.25 g/cm3 .
For eliminating the effect of suspended rainfall on the slope abortion process, the slope topog-
raphy was determined using FARO Focus3D three-dimensional laser scanner produced by an
American company which had fast scanning speed (976,000 bit/s) and high accuracy (50 m dis-
tance to 2.0 mm). Scanning a standard slope takes about 1 min to maximize the continuity of slope
abortion production. To maximize the compression and scanning time with accuracy, the 3D laser
scanner was mounted on the rainfall system pressure pipe directly above the test tank, with a topo-
graphic scan immediately after the end of each rainfall and the next rainfall starting immediately
after the scan. During the test, the rainfall intensity and drop map were measured by LPM laser

446
drop spectrometer to analyze the rainfall time, slope, and fine groove by combining stain tracing
(KMnO4) and real-time imaging technology; the water width and depth of the slope surface with the
sampling interval of 1 to 2 min/time with the accuracy of 0.5 L and the weighing accuracy of 0.01
g. The actual rainfall intensity was 66, 94, and 127 mm/h, with the rain intensity uniformity> 90%.

3 RESULTS AND ANALYSIS

3.1 Headward erosion and rill head advance

By comparing the rill cumulative lengths at rainfall intensities of 66, 94, and 127 mm/h (Figure
1), rainfall intensity was found to have a significant influence on rill cumulative length. The rill
cumulative length varied from 0.5 to 5.3 m, 1.3 to 9.7 m, and 1.2 to 9.0 m, respectively, under
three rainfall intensities. The rill cumulative length was the largest and increased the most under
94 mm/h rain intensity, followed by 127 mm/h rain intensity, and the rill cumulative length was
the smallest and increased the least under 66 mm/h rain intensity. This indicates that the headward
erosion is the strongest under the condition of moderate rainfall intensity, and the rill head advance
is the most active at this time. When the rainfall intensity is too high, the rill network takes a short
time to reach stability, which leads to a decrease in the increase of rill cumulative length. When
rainfall intensity is too low, rill runoff energy is small. With the development of rill network, runoff
sediment concentration increases, shear effect of water flow increases, runoff energy is consumed
by lateral erosion and shear erosion, and headward erosion weakens.

Figure 1. Changes of rill cumulative length with rainfall.

3.2 Gravity erosion and rill wall collapse

According to the results in Figure 2, under the three rain intensities of 66, 94, and 127 mm/h, the
average width of the rill after each rainfall changed from 4.7 to 8.7, 3.3 to 10.5, and 3.4 to 12.6
cm, respectively. The results show that rainfall intensity has no obvious influence on rill width, and
the rill width increases slightly under 66 mm/h rainfall intensity, but the rill width increases almost
the same under 94 mm/h and 127 mm/h rainfall intensity. With the increase in rainfall duration,
the average width of rill under the three rain intensities increased, and the increased amplitude
gradually decreased. The results show that the gravity erosion of rill boundary is less affected
by rainfall intensity, but more affected by rainfall duration. The rill wall collapse rate changes
little under different rainfall intensity, but the rill width changes obviously under different rainfall
durations.

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Figure 2. Changes of rill mean width with rainfall.

3.3 Runoff shear dispersion and rill bed cut

According to the analysis results in Figure 3, under the three rain intensities of 66, 94, and 127
mm/h, the average depth of the rill after each rainfall varies from 2.8 to 6.5, 3.8 to 9.2, and 3.7 to
12.8 cm, respectively. By comparing the variation process of the three types of rainfall intensity, it
is found that the variation of the rill depth shows a strong differentiation in the rainfall intensity.
With the increase in rainfall intensity, the depth of rill increases. Under the same rainfall duration,
the average depth of rill is the largest under the rainfall intensity of 127 mm/h, followed by the
rainfall intensity of 94 mm/h, and the smallest under the rainfall intensity of 66 mm/h. There was
a slight difference in the growth trend of rill depth under the three rainfall intensities. With the
increase of rainfall duration, the increase range of rill average depth under 66 mm/h and 94 mm/h
rainfall intensities gradually increased, and the increase of rill average depth under 127 mm/h
rainfall intensities linearly. Therefore, the correlation of runoff energy changes constantly under
different water and sediment combinations, rill flow shows different shear and dispersion effects,
and rill bed cut shows different variation trends with rainfall intensity and rainfall duration.

Figure 3. Changes of rill mean depth with rainfall.

448
3.4 Response of sediment yield process on slope to rill boundary change
At different rill development stages, slope erosion patterns are also changing correspondingly. In
general, in the early stage of rill development, rill network develops rapidly, and headward erosion
plays a leading role. In the middle stage of rill development, rill width expands relatively fast
and gravity erosion is relatively active. In the later stage of rill development, the rill network is
relatively stable, runoff sediment concentration is relatively high, shear force increases, and runoff
shear plays a dominant role. With the change of rill erosion patterns in different development stages,
sediment yield process on slope is also changing correspondingly.
From the above analysis, it can be seen that slope sediment yield process has obvious response
relationship to rill boundary changes, and headward erosion is the most active sediment yield
factor during rill development, which provides most of the sediment yield at the early stage of rill
development. The rill wall collapse and runoff shear were the active factors in the rill development
period, which directly led to the rapid increase of soil erosion rate in the middle stage. Runoff
shear dispersion is a more active factor in the later rill development, and the change in its relative
relationship with sediment concentration leads to the continuous oscillation of soil erosion rate.

4 CONCLUSION

(1) Rill boundary of gravity erosion is little affected by rainfall intensity is small and is strongly
influenced by rainfall duration. Under the effect of different rainfall intensities, the rill wall
collapse rate change is not big, but under different rainfall durations, rill width change showed
obvious differentiation regularity of rill wall collapse; runoff shear is active in the middle of
the development of rill sediment yield factors.
(2) Rill depth has a strong differentiation in rainfall intensity. Rill depth increases with the increase
in rainfall intensity, but the trend of rill depth growth is slightly different under different rainfall
intensity and the runoff shear dispersion is a more active sediment yield factor in the late rill
development.

ACKNOWLEDGMENTS

This work was financially supported by the National Natural Science Foundation of China
(42041006), and the Natural Science Foundation of Henan Province of China (212300410060).

REFERENCES

Cai Qiangguo. Research of rill initiation condition on loess hillslopes. Journal of Sediment Research, 1998,
(1): 52–59.
Horton R E. Erosional development of streams and drainagebasins: hydro-physical approach to quantitative
morphology. Bulletin of Geological Society of America, 1945, 56: 275–370.
Li Junlan, Cai Qiangguo, Sun Liying, et al. Reviewing onFactors and Critical Conditions of Rill Erosion.
Progress in Geography, 2010, 19(11): 1319–1325.
NiuYaobin, GaoZhaoliang, LiYonghong, et al. Rill morphology development of engineering accumulation and
its relationship with runoff and sediment. Transactions of the Chinese Society of Agricultural Engineering
(Transactions of the CSAE), 2016, 32(19): 154–161.
Wirtz S, Seeger M, Ries J B. Field experiments for understanding and quantification of rill erosion processes.
Catena, 2012, 91: 21–34.
Zhang Pan, Tang Hongwu, Yao wenyi, et al. Rill morphology evolution and runoff and sediment yielding
processes. Advance in Water Science, 2016, 27(4): 535–541.
Zheng Liangyong, Li Zhanbin, Li Peng, et al. Slope erosion process tracing in simulated raining with rare
earth elements. Transactions of the Chinese Society ofAgricultural Engineering (Transactions of the CSAE),
2010,26(3): 87–91.

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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Research on repeated acidification technology of high pressure

water injection well

Jiangfen Jia∗ , Xin Wang, Zhengdong Xu, Jianchao Tian, Yan Guo, Zhen Qin, Qilun Liu, Xu
Zhang & Weizhong Kong
Engineering Technology Research Institute of Huabei Oil Company, Renqiu City, Hebei Province, China

ABSTRACT: In order to solve the problems of poor acidizing and increasing injection effect, not
obvious depressurization effect and short effective period of high pressure water injection wells,
polyhydroacid repetitive acidizing process was proposed. According to the geological character-
istics and reservoir physical properties of Xi10 block, the reasonable concentration of additives
in the polyhydroacid system is optimized, and then the polyhydroacid acid system with repeated
acidification is obtained. Stimpro software was used to simulate the reasonable acid quantity and
displacement of repetitive acidification. The results showed that HB-1 had buffering effect, and
the higher the concentration, the better the buffering effect. The core flow experiment shows that
the core permeability increases significantly after repeated acidification compared with that after
one acidification. When the displacement is 1.5 m3 /min and the acid content is 80 m3 , the optimal
effective action distance is 2.5 m.

1 INTRODUCTION

Due to the high content of clay minerals in low permeability sandstone reservoir of Huabei oilfield,
the seepage capacity of reservoir decreases. Strong water sensitivity, acid sensitivity, resulting in
reservoir pollution blocking; Reservoir physical property is poor, heterogeneity is strong, pore
throat radius is small, resulting in high water injection pressure. After water injection development,
water injection is difficult, formation energy maintenance level is low, and single well production
is low. Conventional acidizing acid reacts quickly with formation rocks and minerals, and the
treatment radius is small, resulting in secondary pollution and unsatisfactory acidizing effect.
Through years of research, the polyhydroacid acid system for deep acidification of high pressure
water injection Wells has been independently studied, which has effectively solved the problems
of short effective distance of acid action, secondary precipitation pollution and unsatisfactory
acidification effect in the acidification of sandstone water injection Wells in Huabei oilfield for a
long time. In this paper, on the basis of polyhydroic acid acid system to improve the development of
polyhydroic acid, polyhydroic acid hydrogen ions can react with salts to produce hydrogen fluoride,
but because of the slow release rate of hydrogen ions, it reflects the good slow performance of the
system; The acid system has a strong ability to inhibit secondary sediment and effectively solve
the problem of formation pollution.
Xi10 fault block in Xiliu Oilfield is divided into eastern and western well areas due to the
difference of plane reservoir properties. The eastern well area is low permeability reservoir, and the
western well area is ultra-low permeability reservoir. The contradictions between zonal, intrazonal
and plane of Es3 member in eastern well area are prominent. The contradictions between zonal,
intrazonal and plane of Es3 member in western well area are prominent and worse than those in
eastern well area. The supply condition of the eastern well area is good, while the supply condition

∗ Corresponding Author

450 DOI 10.1201/9781003308584-63

of the western well area is poor. The saddle of the western well area began to inject water in 2007.
Due to the poor physical property and low permeability of the reservoir, the water injection pressure
of the injection well was high and water injection was not entered, which corresponded to the low
fluid and low production of the oil well. In order to improve reservoir physical properties, acidizing
fracturing measures were carried out for injection Wells in the western ultra-low permeability area
from 2008 to 2012. Before 2013, the problem of poor water injection capacity has become the
bottleneck of improving development effect in western well area. In order to improve formation
permeability, supplement formation energy, develop a new polyhydroacid system, optimize the
formula and construction technology, realize the low permeability reservoir of Xi10 fault block
injection well pressure reduction and increase injection, explore a new way for low permeability
sandstone reservoir increase injection.

2 POLYHYDROACID MAIN AGENT IS PREFERRED

The reaction of conventional acid systems with clay minerals in sandstones can produce secondary
precipitation, resulting in formation damage and, in severe cases, ineffective acidification. In this
paper, the acid system of polyhydroic acid was upgraded and the polyhydroic acid was developed
by optimizing the additives of the acid system. Polyhydroic acid has complexation effect on metal
ions in solution, which are bound to the solution. At the same time, polyhydroic acid has strong
adsorption ability on Ca2+ and K+ plasma, so it is difficult for these ions to form fluorosilicate
precipitation with clay minerals in the polyhydroic acid solution system. Moreover, polyhydroacid
can effectively increase the action distance and slow down the H+ reaction rate.
Because polyhydroacid is HF acid system, PH can not be measured directly by glass electrode, so
antimony electrode acidity transmitter is used to measure electrode potential. Antimony electrode
acidity transmitter is a PH measurement system composed of antimony electrode and reference
electrode. In the acid solution to be tested, a potential difference will be formed between the metal
antimony surface and antimony trioxide due to the formation of antimony oxide layer on the surface
of the antimony electrode. The magnitude of the potential difference depends on the concentration
of antimony trioxide, which corresponds to the moderation of hydrogen ions in the acidic solution
being tested. The acidity of polyhydroic acid system was indirectly expressed by electrode potential.

Figure 1. 3% HB-1 contrast acidity curve with 3% HCl.

It can be seen from Figure 1 that there is only one mutation point in the acidity curve of HCl,
and the mutation part of the curve is very steep, almost straight line, indicating that HCl is a unary

451
strong acid, and H+ is in a completely ionized state in the solution. The acidity curve of HB-1 has
multiple mutation points, and the mutation part is smooth, indicating that HB-1 is a multi-weak
acid, and H+ is partially ionized in the solution. In the process of adding NaOH, H+ will gradually
ionize in the solution to reach the ionization equilibrium with the consumption of H+ . The acidity
curve of HCl and HB-1 shows that the initial pH value of HCl is lower than that of HB-1, that is
to say, H+ in HCl solution is higher than that of HB-1. HB-1 will gradually re-ionize H+ as H+ is
consumed, while HCl will no longer ionize H+ . It indicates that HB-1 has buffering property for
solution, but HCl does not. The solution containing HB-1 can then be called a buffer solution.

Figure 2. Acidity curve of different concentrations HB-1.

As can be seen from Figure 2, there is little difference in initial PH for different types of
polyhydroacids. As can be seen from the consumption of NaOH, the higher the concentration, the
greater the final H+ amount can be released. The more flat of HB-1 , the better buffer effect of acid
.

3 CORE FLOW EXPERIMENT

In order to evaluate the performance of polyhydroacid acid system, three cores with different
permeability from Xi10 fault block were selected. The pre-acid shows for these.12%HCI+ +3%HB-
1+8%LDX+6%DMDA+4%XT-16+7%JZ9. As can be seen from Table 1, core permeability is
significantly increased after repeated acidification compared to primary acidification.

Table 1. Changes in core permeability of acidification measures.

Core Original Permeability Acidification Permeability Repeat Permeability

number (10−3 µm2 ) (10−3 µm2 ) (10−3 µm2 )

1-1 9.3 10.2 14.27

1-2 5.92 6.2 9.36
1-3 20.49 28.7 34.8

Core flow experiments show that the increase of core permeability after repeated acidification
is due to the formation of wide diameter roar during acidification and the ability to acidize deeply,
resulting in pressure drop and increase of core permeability ratio.

452
4 FIELD APPLICATION

Taking Xi10-86X well as an example, the geological data of the well were imported into StimPro
software to establish a complete numerical model, and reasonable acid content and displacement
were selected. The average permeability of the target layer is 8.3×10−3 µm2 , the porosity is 11.3%,
and the oil saturation is 51.16%.

Figure 3. Displacement is preferred. Figure 4. Acid quantity optimization.

As can be seen from the figure above, when the displacement is greater than 1.5 m3 /min, the
effective action distance curve rises gently, indicating that the effective action distance increases
in a small range, that is, the effect of increasing the displacement is not obvious. When the acid
content is greater than 80 m3 , the effective action distance rises slowly, indicating that the increase
of acid content cannot effectively increase the action distance, that is, the acid content at this time
is the optimal acid content.

5 CONCLUSION

Based on the results and discussions presented above, the conclusions are obtained as below:
(1) The core flow experiment results show that the core permeability after repeated acidification
is significantly increased compared with the effect of primary acidification.
(2) The numerical simulation results show that when the displacement is 1.5 m3 /min and the amount
of acid is 80 m3 , the optimal effective distance is 2.5 m.

REFERENCES

Buijse M.A.Understanding wormholing mechanisms can improve acid treatments in carbonate forma-
tions.SPE, 38166, 1998.
Diversion Technology during Horizontal Well Acidization. Drilling & Production Technology, 2013,
3(65):100–102.
Hualin Liao,Gensheng Li.Influential Factors and Mechanism Analysis of Rock Breakage by Ultra-high Pres-
sure Water Jet under Submerged Condition.Chinese Journal of Rock Mechanies and Engineering, 2008,
06:1243–1250.
Levy J H, Day S J, Killingley J S. (1997) Methane capacities of Bowen Basin coals related to coal properties,
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Qingwang Liu, Qilei Tong, Jigang Wang,et al. (2018) Study on the damage mechanism of multiple acidification
to reservoirs. Modern chemical industry, 1740–1743.
R.S. Sieright. Impact of permeability and lithology on gel performance. SPE2410.
Shuang Xu. (2014) Study on reducing pressure and increasing injection technology of polyhydric acid in
Hainan3 faultblock. Northeast Petroleum University.
Xing Wang. Additives for acidification of reservoirs used abroad.Drilling Fluid & Completion Fluid,
2010(1):75–78.
Xugang Wang, Wenhua Zhang, et al. Rapid Drilling Technology in Ahdeb Oilfield. Petroleum Drilling
Techniques, 2013, 41(1):35–39.
Yanpeng Gao. (2014) Study on depressurization and injection increase of high pressure water injection well in
Chang 8 reservoir of Huanjiang Oilfield. Xi’an Shiyou University.

454
 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

The application of BIM technology in the construction of bridge

engineering

Yuliang Zhou
Cscec Road & Bridge Group Co., Ltd, Hebei Shijiazhuang, China

Chong Liu∗
School of Civil Engineering, Hebei University of Science and Technology, Hebei Shijiazhuang, China

Sinan Wang
Cscec Road & Bridge Group Co., Ltd, Hebei Shijiazhuang, China

Jing Jin
School of Civil Engineering, Hebei University of Science and Technology, Hebei Shijiazhuang, China

ABSTRACT: BIM technology has advantages and characteristics that traditional work mode and
collaborative management mode do not possess. This article takes the construction of suspension
bridge as an example to elaborate on the important role of BIM technology in bridge construction.
Studies have shown that BIM technology has played an irreplaceable role in the positioning of
bridge components, the positioning of embedded facilities, the deepening of drawings to guide
construction, and the calculation of large and complex components. These are also the key applica-
tions recommended by this project in the construction of suspension bridges. Projects with similar
problems have a certain reference significance.

1 INTRODUCTION

The application of BIM technology in municipal bridge drawing review, technical scheme com-
munication, engineering quantity review, project management and other aspects is conducive to
communication, improve quality, speed up construction progress, and save costs. This article is
based on the application of BIM technology in the construction of Hengzhou Bridge, hoping to
accumulate experience for the application and promotion of this technology in suspension bridge
engineering.
BIM technology can realize the visual display of the project design stage, greatly increase the
amount of construction drawings, improve design efficiency, and achieve the purpose of controlling
project costs and shortening the construction period. Liu Kexin and others analyzed the applica-
tion of BIM technology in the whole life cycle of bridge engineering and the value created by
combining the research data of many domestic scholars. They pointed out the problems that have
yet to be solved, and prospected its application prospects. Zhang Hailong analyzed the application
advantages of BIM technology in bridge construction, and put forward the shortcomings in the
application process, so as to better improve the application effect of BIM technology in bridge con-
struction and improve construction quality. Song Bing and other software can quickly check design
deficiencies and collision problems in bridge engineering, and can quickly, accurately and simply
count the raw materials used in actual bridge construction, and then carry out bridge construction
management.

∗ Corresponding Author: 986793237@qq. com

DOI 10.1201/9781003308584-64 455

2 PROJECT OVERVIEW

The whole bridge length of Hengzhou Bridge in this project is 888 m. The main bridge is a single-
span double-hinge steel box girder suspension bridge with a main span of 400 m. The standard
width of the main bridge deck is 41.0 m (including the suspension cable area). The prestressed
concrete is simply supported first and then the continuous T beam is used. The upper structure of
the approach bridge at Menglong Bank adopts the prestressed concrete first simply supported and
then the continuous T beam. The standard width of the approach bridge deck is 30.5 m and 36.0 m.
The main cable span is arranged as 172.973 m+400 m+172.973 m. The vertical-span ratio of the
mid-span main cable is 1/9, the steel box girder adopts the closed partial advection linear steel
box girder, and the orthotropic steel bridge deck. The bridge pylon is a reinforced concrete portal
bridge pylon.The bridge pylon foundation is the foundation of the cap and the bored cast-in-place
pile, the anchorage is the gravity anchorage.The foundation is excavated and expanded. The model
is shown in Figure 1.

Figure 1. The model of the bridge.

3 ANALYSIS OF KEY PROBLEMS

The construction process is complex and the disclosure is difficult. The traditional disclosure is
mainly based on text description, and its disclosure effect is subject to the description of the technical
process by the technician on the one hand. On the other hand, subject to the level of understanding
of the person being disclosed, the disclosure is intuitive and accurate through 3D visualization
of BIM technology, as shown in Figure 2(a). The shape of the bridge tower is complex, and the
accuracy of various data affects the construction quality. The concrete appearance of the bridge
tower is a pentagonal special-shaped oblique curve in terms of structure. There are also cavities
inside, such as manholes, maintenance channels, and durability equipment rooms. It is difficult to
calculate various data. The BIM model can accurately obtain the construction data, and carry out
the detailed design of the parts. It can provide construction basis, refine construction and improve
project quality, as shown in Figure 2(b).
The gravity anchorage of the main bridge has a large volume of concrete, and each embedded
part requires high precision. Through the BIM model, the layout of the cooling pipe can be further
designed, and the layered volume can be quickly extracted according to different schemes, and the
repeated calculation can be increased or decreased. The coordinate information of the model can
solve the problem of the position coordinates of the embedded parts, as shown in Figure 2(c). The
main cable and auxiliary construction and box girder hoisting have high technical requirements.
There is a lot of cross-work and planning is difficult. The erection of the main cable has high
technical and data accuracy requirements. There are many processes. Construction space is small.
The unreasonable design of the process will increase the construction period. The application
of BIM technology to supplement construction information can provide construction technical
support, as shown in Figure 2(d).

456
Figure 2. Details of the model.

4 BIM TECHNOLOGY IMPLEMENTATION

Under the guidance of construction organization design and the path of BIM implementation plan,
establish and improve the project digital management system, plan BIM technology application in
advance, and steadily promote the implementation of digital management. According to the project
demand and actual project progress, the main structure model of the bridge and approach road is
established. Optimize the application model of key parts, and establish special application models
of BIM, as shown in Figure 3.

Figure 3. BIM special application models.

457
4.1 Visual design and citation
Model roaming is to render the BIM model as a whole and make roaming animation. Meanwhile, a
project introduction video is made based on the rambling painting of the model for project explana-
tion and project image promotion. The scheme optimization is to use the model to simulate the space
layout of construction machinery to verify the feasibility and accuracy of site layout and construction
path selection, so as to avoid the influence of tower crane on subsequent construction. Video dis-
closure is the disclosure of construction technical scheme. It can directly demonstrate the obscure
technical language with BIM model, and effectively transfer the construction technology to the
construction personnel through 3d model to ensure the orderly execution of construction plan.

4.2 Model positioning

Anchor cable system positioning: BIM model is used for positioning, to obtain the control coordi-
nates of each point, so as to guide the site construction and improve the quality of the project. Bridge
tower positioning: The bridge tower of this project is a spatial pentagonal inclined plane shaped
bridge tower, and it is poured in layers. Slight deviation of each layer will cause quality and appear-
ance problems of the bridge tower. Stiffness skeleton positioning: the stiffness skeleton positioning
has a very important role. It is mainly used for the fixation of steel bars, cable tower construction
guidance and template consolidation. The overall rectification and control of the pier pier body has
an impact.

4.3 Deepen design and application

The drawings do not give detailed construction drawings. BIM is used to carry out in-depth design,
assist construction scheme preparation and guide on-site construction. Manhole bridge tower to
improve the accuracy of the bridge tower model, concluded that the accurate data, in every con-
struction has great guiding significance to the on site construction, such as bridge tower and beam
construction of preloading.We need to know that the amount of concrete, the accuracy of the
dosage of the success of the direct relationship between the preloading and the quality of bridge
tower and bridge tower and beam internal cavity volume is calculated using artificial very hard. BIM
technology is used to deepen the design of special cap beam warping head and obtain the tem-
plate processing data. The traditional technology formula is complex, all rely on experience, poor
inheritance, large human factors and low efficiency. Compared with BIM technology, it has the
advantages of high efficiency, accuracy, accuracy and reduction of repeated calculation. In order
to reduce the adverse influence of the stress and axial force brought by the weight of the bridge
tower in the construction process on the construction quality of the bridge tower, the BIM model is
used to design the bridge tower cross support, and ANSYS is used for the finite element analysis
of each construction stage, in order to improve the construction quality, as shown in Figure 4.

Figure 4. Analysis of bridge pylon of transverse bracing in ANSYS.

458
4.4 Calculation of engineering quantity for large special-shaped components
The calculation of anchorage layering quantity solves the problems of low efficiency and waste of
manpower caused by manual calculation, which cannot accurately calculate the abnormal shape
and needs to be repeated with the change of scheme. The amount of concrete in each layer is very
important for material scheduling, personnel allocation and fine construction. However, the bridge
tower of this project is a special-shaped bridge tower, especially with a cavity inside. It is impossible
to calculate exactly by hand, but it is very simple to solve by model. BIM technology is promoted
with the actual construction cycle. After the layered pouring of the bridge tower, the actual concrete
amount is compared with the BIM model calculation, so as to further verify, improve and improve
the BIM model application. The cyclic promotion of the two makes the BIM application more and
more consistent with the actual construction and has more guiding significance. The inner hollow
structure of the upper and lower beams of the bridge tower is complicated and difficult to calculate
by hand, but the preloaded weight of the bridge tower depends on the volume of concrete. If
the manual calculation error is large, it will lead to insufficient preload weight and beam quality
problems.

4.5 Anchorage deep foundation pit excavation calculation

BIM is combined with 3D scanning. Due to the large amount of earthwork in anchor deep foun-
dation pit, irregular ground planes or large rock bodies may be formed during the earthwork
excavation. Before and after excavation, a three-position scanner is used to scan the terrain and
establish BIM model. By comparing before and after the excavation, the amount of excavation in
each stage can be calculated quickly and accurately. BIM is combined with drones. UAV is used
to take oblique photography of deep foundation pit, and then it is combined with BIM model to
accurately calculate the number of earthfill. Ensuring the smooth progress of the follow-up earth
filling work, so as not to delay the construction period.

5 CONCLUSIONS

(1) Due to the characteristics of the suspension bridge itself, the construction of certain parts of
the process is still difficult under traditional methods, but it can be solved well with BIM
technology.
(2) In this project, BIM technology has played an irreplaceable role in the positioning of bridge
components, the positioning of embedded facilities, the deepening of drawings to guide
construction, and the calculation of large and complex components.

REFERENCES

Chen Wenbao, Wei Zhisong, Zhang Hang, Wang Jun, Miao Zizhen (2019). Application of BIM technology in
prefabricated bridge engineering[J]. Journal of Beijing Jiaotong University , 43(04): 65–70.
Liu Kexin, Li Yanjie, Yang Yali (2017). Summary of Research on the Application of BIM Technology in Bridge
Engineering[J]. Science and Technology Vision, (02): 7+9.
Liu Zhimin, Wang Ying, Sun Jing, Jia Yingjie, Gao Ri (2015). Application research of BIM technology in the
design stage of bridge engineering[J]. Journal of Beijing Jiaotong University, 39(06): 80–84.
Song Bing, Bian Jia, Zhang Yan (2018). Application of BIM technology in overseas suspension bridge
construction[J]. Highway and Transportation Science and Technology, 35(S1): 22–28.
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(08): 135–136.

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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Petroleum exploration potential of the Yaken uplift in northern

Tarim Basin

Qingqing Hao & Weijun Chen

Institute of Mineral Resources Research, China Metallurgical Geology Bureau, Beijing, China

ABSTRACT: The Yaken uplift is located in the southern slope of Kuqa piedmont depression
in the margin of southern Tianshan. This uplift possesses favorable hydrocarbon accumulation
conditions, characterized by high-quality source rock, multi-sets of reservoir-cap rock assemblages,
and several types of traps. In addition, these conditions match fairly well. Based on previous studies
on petroleum geology, this work also describes the hydrocarbon enrichment conditions according
to the latest exploration results, and evaluates the petroleum potential. Stratigraphic traps of gas
lateral migration along sandstone body and structural traps of gas migration along unconformities,
faults, and sandstone are favorable hydrocarbon accumulation models in the Yaken uplift. Traps
related to subsalt structures are the most prospective exploration targets in the Yaken uplift.

1 INTRODUCTION

Yaken uplift is a thrusting frontal zone of Kuqa decollement-fold system in northern Tarim Basin.
To its north lies the East Qiulitage structural zone, and to the south the Yekela-Luntai fault bulge
developed into Yanan fault belt and Shaya uplift (Figure 1). It is a gentle fold, dominated by blind
bedding detachment-nappe structure. Till now, large-duty gas flow has been produced from DN-1
and DN-2 structures in the eastern Qiulitage structural belt, which is north of the Yaken uplift
(Cheng et al. 2020). Moreover, the proven Yaha gas field lies in the south of this uplift.
Exploration wells such as well Ya-2 and Yaken-3 were drilled before the 1990s, without large oil
and gas discoveries. After 1990s, the Northwestern Petroleum Administration (NPA) discovered
numerous traps after deployment of seismic exploration. Then in July 2000, NPA drilled Well
Ku-1 in the northern Yaken uplift and revealed many layers of hydrocarbon shows in Cretaceous–
Palaeogene, indicative of good gas potential in this area. In the Yaken uplift, CNPC drilled well
Yaken-3 in 1993–1995, which penetrated the Lower Cretaceous Bashenjiqike Formation at a depth
of 6300 m. Only three layers with fluorescent shows were discovered in Miocene Jidike Formation,
and they were unfortunately tested as water-bearing layers. NPA drilled well Ku-1 in the top of
Northern Yaken-1 structure with a drilling depth of 6941.15 m in the Shushanhe Formation.
This work systematically analyzes the source rock, reservoir, and cap rock conditions and dis-
cusses hydrocarbon accumulation in an attempt to delineate favorable hydrocarbon targets to provide
basis for the next exploration.

2 GEOLOGICAL SETTING

The Tarim Basin can be divided into three uplifts and four depressions, and Kuqa depression is one
of the most important depressions. The Kuqa depression can be separated into five tectonic belts,
i.e., northern monocline belt, Kelasu-Yiqikelike tectonic belts, Baicheng-Yangxia sags, arc-shape
Qiulitage tectonic belt, and Yaken uplift (Figure 1).

460 DOI 10.1201/9781003308584-65

Figure 1. Map showing regional geology and exploration wells in Yaken uplift (modified from Li 2006).

The Yaken uplift has undergone three main stages: (1) subsidence and deposition from Late
Permian; (2) northward-thickening wedge-shape sedimentation from Late Jurassic, when the sea
became large and the basin developed; (3) in early Miocene, the area became a gentle north-
trending slope, with deposition of gypsum salt. With increasing compressive stress, fracturing began
to occur in this area. This uplift developed Triassic, Jurassic, Cretaceous Yageliemu Formation
(K1 y), Shushanhe Formation (K1 s), Baxigai Formation (K1 b), Bashenjiqike Formation (K1 bs),
Kumugeliemu Formation (E1−2 km), Suweiyi Formation (E2−3 s), Jidike Formation (N1 j), Kangcun
Formation (N1 k), Kuche Formation ((N1 –Q1 )k), and Quaternary (Q). The basement is mainly
composed of metamorphic rocks of Permian and before Permian.

3 ANALYSIS OF THE PETROLEUM SYSTEM ELEMENTS

3.1 Description of source rocks

The source rocks are dominated by Triassic and Jurassic dark mudstone, carbonaceous shales, and
coals, which provide hydrocarbons to Yaken uplift. The uplift also develops Triassic source rock
itself, which was however pinched out in this area.
Jurassic source rocks in Southern Tianshan were mainly Kezilenuer Formation and Qiketai
Formation, and are predominated by dark mudstone and coal rocks deposited in semi-deep to
shallow lacustrine depositional environment. The thickness was generally 200 m to about 400 m,
reaching greater than 500 m in the center of the depression. The content of TOC was 0.51%–5.45%,
averaging 2.31% (Table 1); the content of Chloroform bitumen “A” was (312–11,990)×10−6 ; the
hydrocarbon content was (104–4394)×10−6 , averaging 549×10−6 ; the content of (S1+S2) was
0.75 mg/gc; the HI ranged in 82.89–977.24 mg Hc/g TOC (Li, 2006). The vitrinite reflectance
tested by surface samples and few drilling well samples was 0.53%–1.08%. The even/odd predom
index of normal paraffin hydrocarbons ranged from 0.97 to 1.36, and C31 -22S/22R of hopanoid
was 1.26–1.68. It is inferred that Jurassic source rocks were mainly low mature to mature.
Triassic source rocks are mainly dark mudstone, and are 200–500 m thick, reaching 800 m in the
center of the Kuqa depression. The content of TOC is 0.85%–5.73%, averaging 1.37%, and that of
chloroform bitumen “A” is (310–6110)×10−6 , averaging 1639×10−6 . The hydrocarbon content is
(111–1870)×10−6 . The source rocks have Ro ranging in 0.55–0.87. The type of Kerogen is mainly
humic, preferable gas-generation source rock.

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Table 1. Organic matter abundance and types of the Triassic–Jurassic source rocks in southern Tianshan.

Chloroform Hydrocarbon
TOC Asphalt “A” content S1 +S2 Kerogen
Strata Lithology (%) (×10−6 ) (×10−6 ) (mg/g.c) types Evaluation

J Dark mudstone 0.51–5.45 312–11990 104–4394 0.04–2.86 Dominated by type Fairly good
and coal rock III, with part of to good
type II
T Mudstone 0.85–5.73 310–6110 111–1870 0.06–1.04 Types II–III, domi- Fairly good
nated by type III

It is inferred that source rocks in southern Tianshan are generally good, and that the Baicheng
and Yangxia sags are the main source rock distribution zones. The Yaken uplift is south of Baicheng
and Yangxia hydrocarbon-generation sags, and is also the hydrocarbon migration direction of the
two sags. Oil-source rock correlation indicates that hydrocarbon in Yaha gas field is from Baicheng
and Yangxia sags. Thus, oil sources are favourable in this area, and hydrocarbon will accumulate
if there are effective traps.

3.2 Description of reservoir rocks

The Yaken uplift has undergone lake-fan and delta-lake facies depositional environments in Meso-
zoic and Cenozoic. Affected by the depositional environment and hot arid climate, this uplift
developed pebbly sandstone and sandstone, while dark mudstone was rare.
During the deposition of Lower Cretaceous Shushanhe Formation (K1 s), shore shallow lake
facies was dominated, with relatively less-developed sandstone. The sandstone was mainly beach
bar siltstone and fine sandstone, with single thin sandstone layers. The Baxigai Formation (K1 b)
was deposited in a fan delta environment, and contained fine- to medium-sized, well-sorted and
well-rounded sandstone. Moreover, sand bodies were widely distributed, and had good connectivity.
This made it an important set of reservoir rocks in Yaken uplift. During the deposition of Baxigai
Formation (K1 b), the water body began to be shallower, and fan delta plain deposition dominated in
this area. Sandstones of this stage were thick and had a wide distribution and good connectivity. The
drilling results have confirmed that it was a potential set of reservoir rocks. During the deposition of
Kumugeliemu Formation (E1−2 km), the sandstone body was relatively thick, and had some lateral
distribution, belonging to fairly good reservoir rocks in this area (Shi, 2019). The Jidike Formation
(N1 j) deposited a set of flood plains and evaporitic lake facies sediments. In general, this formation
cannot act as reservoir rock. The overall evaluation of reservoirs rocks in the Yaken uplift is listed
in Table 2.
Table 2. Evaluation of reservoir rocks in the Yaken uplift.

Reservoir Porosity Permeability

rocks (%) (×10−3 µm2 ) Evaluation

Kumugeliemu Group 6.91 1.91 Good

Bashenjiqike Formation 10–14 – Excellent
Baxigai Formation 5–16 – Excellent
Shushanhe Formation 4–10 – Good
Jidike Formation – – Bad

3.3 Description of cap rocks

The widely distributed gypsum salt rocks in Neogene Jidike Formation (N1 j), thick shale in
Kumugeliemu Formation (E1−2 km), and Shushanhe Formation (K1 s) are the most important cap
rocks in the Yaken uplift.

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 The widely distributed Jidike Formation gypsum-salt rocks in southern Tianshan were 20–80 m
thick, and can act as a set of regional cap rocks (Shi et al., 2005). Two sets of shales in Kumugeliemu
Formation and Shushanhe Formation can also be good cap rocks due to their good sealing capacity
indicated by huge thickness and strong capillary force.

3.4 Description of reservoir-cap rock assemblages

Three main sets of reservoir-cap rock assemblages are developed in the Yaken uplift as shown in
the following (Figure 2).

Figure 2. Scheme diagram of reservoir-cap rock assemblages in Yaken uplift area.

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 (I) Assemblage of Jidike Formation shale and mudstone and Kumugeliemu Formation sandstone.
The cap rock of this assemblage is mainly shale and mudstone in the bottom of Jidike Formation
(N1 j), while reservoir rock is mainly medium and coarse sandstone in Kumugeliemu Formation.
(II) Assemblage of shale and sandstone in Kumugeliemu Group (E1−2 km).
This assemblage developed in Kumugeliemu Group (E1−2 km), shale and silty mudstone in its
Upper part as cap rocks, and coarse sandstone in its middle part as reservoir rock.
(III) Assemblage of in Kumugeliemu Group shale and Bashenjiqike Formation sandstone
Mudstone, silty mudstone, and compacted conglomerate in middle-lower Kumugeliemu For-
mation (E1−2 km) act as cap rock, while sandstone in the middle and upper part of Bashenjiqike
Formation (K1 bs) is reservoir rock.
(IV) Assemblage of Bashiqike Formation cemented dense conglomerate and Baxigai Formation
sandstone.
(V) Assemblage of Shushanhe Formation mudstone and sandstone.
This self-generating and self-preserving assemblage contains mudstone intercalated with thin
silty mudstone as cap rock, and medium–thick gravel sandstone and medium–coarse sandstone as
reservoir rock.
The five sets of reservoir-cap rock assemblages are characterized by their wide distribution and
common large thickness. In addition, they are all located under the regional Paleogene detachment,
which is favorable for oil and gas migration and accumulation.

3.5 Trap distribution

(1) Mesozoic and Cenozoic low-amplitude anticline trap
This type of trap includes compressive trap, drape anticline, and salt dome anticline, characterized
by low amplitude and small trap area. Neogene evaporate and gypsum salt rocks act as cap rock,
featured by their good sealing capacity. The reservoir rock is mainly continental clastic rocks, and
has high porosity and high permeability. Although it is far from the source kitchen, hydrocarbon
generated in Baicheng and Yangxia sags can migrate here, based on the latest drilling results. The
Yaha play, which lies in the south of Yaken uplift area, belongs to this type of trap.
In addition, the anticline trap in Paleogene to Lower Cretaceous can be observed from a gas
reservoir profile. The Baxigai Formation (K1 b) developed anticline traps, Shushanhe Formation
(K1 s) has fault-anticline traps, and Yageliemu Formation (K1 y) also developed fault-anticline traps.
The reservoir rock in Baxigai Formation (K1 b) is the best developed, forming effective traps with
the compacted sandstone in Bashenjiqike Formation (K1 bs). It is the most favorable trap in this
area.
(2) Mesozoic stratigraphic overlap trap
This type of trap is a potential one in this area. Previous studies have selected eight overlap traps
in Jurassic, nine overlap traps in Lower Cretaceous. However, due to the low-density of seismic
profiles and poor seismic profile quality, they still cannot be accurately delineated.
The Tiergen petroleum structure has been observed in stratigraphic overlap belts of southern
Yangxia Sag. Hydrocarbon shows have been found in Well Yang-1 of this area, implying that
stratigraphic overlap has good petroleum potential in Yaken uplift area.
(3) Buried hill traps
Paleozoic buried hill is a possible type of trap developed in this area, of which regional cap rock
of Neogene gypsum salt rock exists, and reservoir rock has good petrophysical properties.

3.6 Timing
Triassic source rock in Kuqa depression has reached maturity during the middle stage of Kangcun
Formation (N1 k), reaching a hydrocarbon-expulsion period. During the deposition of Kangcun
Formation (N1 k) and Kuche Formation ((N1 –Q1 )k), Triassic and Jurassic source rocks have gen-
erally reached maturity to high maturity. It was in this stage that the condensate gas reservoirs
were formed. During the late Kuche deposition ((N1 –Q1 )k)–Xiyu stage, source rocks in the Kuqa

464
depression have all reached high-maturity to over-maturity, forming condensate gas reservoirs and
dry gas reservoirs. As Yaken uplift formed in the late period of Himalayan movement (that is equal
to the Kuche Formation deposition stage-Xiyu stage), the trap formation matched well with the
hydrocarbon generation and expulsion period. The critical time of hydrocarbon accumulation is in
the Neogene to Quaternary Period.

4 HYDROCARBON ACCUMULATION MODELS

(1) Structural trap model of gas migration along unconformities, faults, and sandstone
Many types of structural traps, such as fault-anticline and anticline, were developed in Yaken
uplift area. Hydrocarbon generated in Baicheng and Yangxia sag migrated along unconformi-
ties, faults and high-permeability sandstone vertically and laterally (Sun 2014). Once there
were suitable traps, hydrocarbon would accumulate.
(2) Stratigraphic trap model of gas lateral migration along sandstone body
Yaken uplift area developed stratigraphic overlap traps. Hydrocarbon from Baicheng and
Yangxia sag would accumulate in these traps, when it met connected sandstone body and
migrated along it.

5 CONCLUSIONS

Based on the results presented above, the conclusions are obtained as below:
(1) The favorable hydrocarbon accumulation conditions in Yaken uplift are characterized by: a.
good source rock conditions; b. multiple sets of reservoir-cap rock assemblages; c. several
types of traps; d. fairly good match conditions of hydrocarbon accumulation.
(2) Traps related to subsalt structures are the most prospective exploration targets in Yaken uplift
area. Exploration of subsalt anticlines should be a key starting point. It is important not to be
confused by the surface anticline highs, as it may correspond to the sub salt synclines.

ACKNOWLEDGMENTS

This work was funded by the National Natural Science Foundation of China (grants No.
41972144, 41804079).

REFERENCES

Cheng, Y., Wu, C., Li, L. J., et al., (2020). Influence of pre-existing faults and gypsum salt deposits on structural
deformation in the eastern Kuqa Depression. Chinese Journal of Geology, 55(2), 352–368.
Li, T., (2006). Gas exploration prospect of Yaken uplift belt in Kuqa depression. West China Petroleum
Geosciences, 2(4), 379–384.
Shi, H. M., (2019). Structural characteristics and reservoir evaluation of Yakenbei No. 1 in southern Tianshan
area. China Petroleum and Chemical Standard and Quality, 39(7), 155–156.
Shi, W. Z., Chen, H. H, Zhang, X. M., et al. (2005). Origin of overpressure and its relation with oil and gas
reservoir in Yangxia Sag. Earth Science (Journal of China University of Geoscience), 30(2), 221–227.
Sun, Z. M., (2014). Structural characteristics and hydrocarbon accumulation in Qiunan-Yaken area of Kuqa
sag. Petroleum Geology and Engineering, 28(6), 8–12.

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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Detection technology and engineering application of pipeline

crossing river

Yonggang Qi, Zhiqiang Fu, Xinghui Zhu & Demin Zhou

China Special Equipment Inspection Institute, Beijing, China

ABSTRACT: Oil and gas pipelines are generally buried by directional drilling or large excavation
in the section that crosses the river, resulting in a large buried depth of the pipeline. Restricted by
conditions such as burial depth and rivers, conventional detection techniques cannot be performed.
Foreign countries have carried out the detection of crossing rivers earlier, but the functions do
not fully meet the detection needs. This paper introduces a detection technology specially used
for pipelines crossing rivers, which combines ROV for submarine pipeline detection with conven-
tional buried detection technology, and is equipped with underwater cameras and sonar equipment.
Through practical cases, the feasibility of the detection technology is verified, which has important
reference significance for the detection of pipelines crossing rivers.

1 INTRODUCTION

Oil and gas pipelines are generally buried by directional drilling or large excavation in the sec-
tion that crosses the river, resulting in a large buried depth of the pipeline (Xu 2016). Restricted
by conditions such as burial depth and rivers, conventional detection techniques cannot be per-
formed. In foreign countries, in terms of river crossing detection, such as BPS river crossing
pipeline detection system, magnetic multi-function positioning and tracking system, ONE-PASS
detection system, FIELDSENS pipeline telemetry system, etc. (Wang 2014; Zeng 2018), but
these detection systems are mostly for river crossings. Buried depth detection, underwater camera
and sonar scanning do not detect the corrosion protection system function of the pipeline. The
River-ROV detection system selected in this paper is a combination of ROV (Remote Operated
Vehicle) technology (Sun 2019; Wang 2016) used for deep-sea oil and gas pipeline detection and
onshore buried steel pipeline detection technology, which is specially used for long-distance oil
and gas transmission. The external corrosion detection system of underwater pipelines of rivers
and rivers in the pipeline network is equipped with underwater cameras and sonar. Through the
practical application of a certain river crossing pipeline, the effectiveness of the detection technol-
ogy is proved, and it has important reference significance for the detection of other river crossing
pipelines.

2 DETECTION PRINCIPLE

The detection technologies involved in the River-ROV detection system include: electromagnetic
detection method of pipeline buried depth, and DCVG detection method of damage point of anti-
corrosion layer. In addition, there are cathodic protection current detection, underwater camera and
side scan sonar detection.

466 DOI 10.1201/9781003308584-66

2.1 Pipeline electromagnetic detection technology

Figure 1. The principle of pipeline depth measurement.

River-ROV’s pipeline positioning and sounding system applies the active electromagnetic detection
method, which can realize the detection of large buried deep underwater pipelines. The pipeline
positioning test system uses the electromagnetic induction coil to measure the distribution of
the applied signal above the pipeline. According to the signal distribution law, the position of
the pipeline can be accurately located. At the same time, through the corresponding relationship
between the magnetic induction intensity and the pipeline depth, the buried depth of the large buried
pipeline can be realized. Detection, real-time display of the positioning signal, manual/automatic
determination of the buried depth of the pipeline, convenient for the tracking and measurement of
the pipeline.

2.2 The principle of potential gradient detection

The potential gradient detection process uses a sensitive millivoltmeter with two measurement elec-
trodes connected to both ends. When the electrodes are placed on the electric field generated by
cathodic protection, the potentials across the electrodes will be different. The position of the dam-
aged anti-corrosion coating on the pipeline can be reflected by measuring the horizontal potential
gradient value generated by the two electrodes in the electric field. The River-ROV is equipped with
a device with a potential gradient measurement function, which can detect the potential gradient
distribution of the underwater pipeline according to the measured potential gradient. According to
the existing detection standard, the position of the pipeline protection layer defect can be detected
by the change of the potential gradient.

2.3 Cathodic protection detection technology.

Place the detection system in the water, position the device just above the pipeline, turn on the
potential measurement function, and the measured voltage is the protection potential of the pipeline.
If a satellite synchronous circuit breaker is used to switch the cathodic protection current on and off,
the measured power-off potential value is the real protection potential of the pipeline. Using this
system, the potential distribution along the pipeline can be measured, and the cathodic protection
status of the pipeline can be judged by the potential distribution.

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2.4 Sonar detection technology
Sonar is an electronic device that uses underwater acoustic waves to detect, locate and communicate
with underwater targets. It is the most widely used and most important device in underwater
acoustics. Through the 2D sonar of BlueView, the environment around the ROV can be observed.
On the one hand, the position and motion state of the ROV can be judged underwater through the
sonar to provide the user with the underwater environment, which plays a role in avoiding obstacles;
Observe and judge the condition of the pipeline burial environment.

3 DETECTION IMPLEMENTATION

3.1 Project overview

The oil pipeline managed by a certain oil pipeline passes through a certain section of the tributary
of the Yangtze River. The medium is naphtha, the pipeline specification is 159×7 mm, the
operating temperature is normal temperature, the pipeline length is about 1800 m, and the water
flow is relatively slow. According to the requirements of the Yangtze River Maritime Supervision
Department, in order to ensure the safety of the Yangtze River waterway and the smooth water
transportation, the testing time window is short, and it is required to be completed within the
specified time.

3.2 Detection process

First, the inspectors use the transmitter at the shore test pile to apply the AC inspection signal. The
frequency selected for the inspection signal is 640 Hz, and the applied signal strength is 2A. Use
the receiver and GPS to carry out GPS position positioning and buried depth measurement of the
buried part of the pipeline.
Secondly, put the well-debugged River-ROV underwater detection device into the water, and
travel in the tangential direction of the pipeline along the direction of onshore positioning to
conduct a preliminary search for the location of the pipeline. At the position where the pipeline
is initially searched, the underwater detection device is submerged to the bottom of the water,
and the electromagnetic method pipeline locator mounted on the underwater detection device is
used to accurately locate the pipeline position along the bottom of the water. Ensure the accuracy
and reproducibility of test data. When the underwater detection device finds the exact position of
the pipeline, it measures the location and buried depth of the pipeline there. The pipe-to-ground
potential and potential gradient are measured at the position just above the measured pipeline;
after completing the above process, the underwater detection device floats to the water surface.
This process is repeated continuously as the underwater detection device travels until it reaches the
opposite bank of the river. The detection instrument is recovered, the tail wire of the underwater
detection device is disconnected, the GPS synchronous circuit breaker is retrieved, the normal
output of the potentiostat is restored, and the on-site detection task is completed.

4 TEST RESULTS AND DATA ANALYSIS

4.1 Pipeline burial depth

Figure 2 shows a plot of the buried depth data. The pipeline still has a certain depth from the river
bed, and there is no exposed and drifting phenomenon. The general situation of the pipeline laying
is as follows: at the beginning of the crossing, it is laid down with a certain slope, at the bottom of
the river, it is laid horizontally, and finally it climbs out of the river embankment. Affected by the
river bottom environment, there were slight fluctuations when measuring the bottom buried depth,
but it did not affect the overall data analysis.

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Figure 2. Buried depth map of crossing the river.

4.2 Pipe laying environment

Figure 3. Side scan sonar detection map (part of the river bottom landform).

The side scan sonar is used in this inspection, which can realize the observation and analysis of the
pipeline environment, so as to judge the situation of the pipeline burial environment. It can be seen
from the figure that the surrounding environment of the pipeline is basically sediment, and there
is no major hazard.

4.3 Damage condition of outer anti-corrosion layer

This time, the anti-corrosion layer was detected by the DCVG method, and the potential gradient
fluctuation was small, and it was basically confirmed that there was no damage to the anti-corrosion
layer.

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4.4 Cathodic protection status

Figure 4. Cathodic protection detection.

According to the existing testing standard GB/T 19285-2014, when the pipe-to-ground OFF poten-
tial is -850∼-1200 mV, the pipe is in an effective protection state. It can be seen from Figure 4 that
the cathodic protection of the pipeline across the river is in an effective protection state.

5 CONCLUSIONS

This paper introduces a new technology for the detection of pipelines crossing the river. Through the
underwater detection of the pipelines crossing the Yangtze River-ROV, it shows that the detection
technology is suitable for the detection of pipelines crossing the water. Through the data analysis
of the buried depth of the pipeline, the damage point of the anti-corrosion layer, the cathodic
protection potential, and the side scan sonar, the safety status of the pipeline can be initially given.
Combined with the data of pipeline installation and construction, operation data, as well as stray
current, guided wave test at both ends of the river section, etc., the safety status of the pipeline can
be comprehensively evaluated.

REFERENCES

Sun C B, Zou D J. (2019) ROV-based deep water pipeline external inspection technology. Petroleum Engineering
Construction, 45(2):1–5.
Wang J L, He R Y, Zhang H B, et al. (2016) The latest technology and development direction of submarine
pipeline inspection. China Petroleum Machinery, 44(10):112–118.
Wang W B, Luo X, Li Q, et al. (2014) Detection technology of underwater pipeline based on the principle of
electromagnetic method. Oil & Gas Storage and Transportation, 33(11):1193–1197.
Xu C W, Sun W L, Liu Z B, et al. (2016) A Method for Evaluating Coating Quality of Horizontal Direction
Drilling Pipeline. Total Corrosion Control, 30(2):80–84.
Zeng H, Qiang Y, Wang Z L, et al. (2018) Spot Application and Analysis of One-Pass River Crossing Pipeline
Inspection System. Pipeline Technique and Equipment, 2018(6):19–21.

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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Application of mine bore-hole transient electromagnetic method in

hydraulic fracturing effect detection

Yuteng Li & Jiajia Zhao

Xi’an Research Institute of China Coal Technology & Engineering Group, China

ABSTRACT: Directional long borehole hydraulic fracturing technology in coal seam is an effec-
tive method to improve gas recovery, but there is no ideal method for the detection and evaluation
of hydraulic fracturing effect. In order to solve the problem of efficiently and vividly detecting the
effect of hydraulic fracturing, a dynamic source and dynamic receiving transient electromagnetic
detection device constructed in the fracturing hole in the coal mine is adopted. The 0 – 324 m
section of the fracturing borehole in a coal mine is detected before and after fracturing by the push
of the drilling rig, and the stereo imaging of the pure anomaly field is extracted for analysis. The
results show that the bore-hole transient electromagnetic detection technology is the organic com-
bination and mutual supplement of mine geophysical prospecting, drilling and hydraulic fracturing
technology. The fracture direction and extension range are effectively delineated, which can be
effectively used to evaluate the effect of hydraulic fracturing in coal mines.

1 GENERAL INSTRUCTIONS

Coal is an important fossil energy, but gas disasters in coal mining have become an important cause
of coal mine safety mining. Inspired by hydraulic fracturing technology in petroleum industry,
some scholars introduced hydraulic fracturing technology into coal mines to improve gas extrac-
tion rate, and achieved good application results. The formation environment of coal mine is quite
different from that of oil and gas fields, so it is impossible to directly apply the related fracturing
effect detection technology (Feng 2012). More and more scholars pay attention to the study of the
geometric morphology of cracks formed by hydraulic fracturing in coal mines. According to the
relative time relationship between the detection method and the hydraulic fracturing engineering,
the fracturing detection method can be divided into the detection method before fracturing, the
detection method in fracturing and the detection method after fracturing (Kang 2017; Yu 2014).
The detection method before fracturing mainly refers to the detection method based on theoretical
calculation and laboratory numerical simulation and physical simulation. The advantage of this
method is that it can obtain the characteristics of fracturing cracks before fracturing engineering,
but the accuracy of this method is closely related to the accuracy of given prior parameters. Due
to the actual formation structure and its complexity, this method is usually used as a guide before
fracturing rather than as the final means of fracturing effect detection (Yang 2020; Zhao 2019).
The synchronous detection method during fracturing usually refers to the microseismic monitoring
method (Moghadas 2015). This method can collect elastic wave signals during fracturing. When
the wave field signal generated by hydraulic fracturing is obvious, it can effectively distinguish the
characteristics of cracks. However, when the wave field characteristics generated by hydraulic frac-
turing in coal mines are not obvious and the interference wave is serious, it is difficult to effectively
identify cracks. There are geophysical methods for monitoring after fracturing. For example, when
the resistivity method is used to detect, the low-resistivity filler is added during fracturing, and the
electrical detection technology is used to identify the cracks in the filled geo-resistivity body. How-
ever, it is difficult to preserve the low-resistivity filler in coal mine hydraulic fracturing, and the

DOI 10.1201/9781003308584-67 471

detection effect is not obvious. In view of this situation, on the basis of conventional mine transient
electromagnetic method, some scholars proposed a small coil three-component transient electro-
magnetic detection method based on dynamic source and dynamic receiving to detect cracks, and
applied it to the detection of hydraulic fracturing effect in coal mine gas drainage holes, delineated
the spatial morphology of cracks, and achieved good application results (Fan 2017; Li 2019; Zhao
2020). However, due to the use of human push technology, it cannot be applied to the detection of
hydraulic fracturing effect in long-distance directional drilling.
In this paper, a three-component dynamic receiving transient electromagnetic device in borehole
is used to test the hydraulic fracturing effect of a coal mine borehole by drilling rig push. The
fracturing section is detected before and after fracturing, and the pure abnormal field is extracted
to analyze the law of fracture development.

2 BASIC PRINCIPLE OF BORE-HOLE TRANSIENT ELECTROMAGNETIC DETECTION

The borehole transient electromagnetic method ( BH-TEM ) is a time-domain electromagnetic

detection method. Through the step waveform electromagnetic pulse, the secondary field signal
generated by the formation eddy current is received after the excitation source is switched off, and
the detection purpose is achieved according to the electrical difference of geological bodies. In
transient electromagnetic detection, Maxwell’s differential expression is :

∂B
∇ × E=− (1)
∂t
∇ × H =j (2)
∇ • B=0 (3)
∇ • E=0 (4)
and,
B = µH (5)
j =σE (6)
In the formula, B, H and E are magnetic induction intensity, magnetic field intensity and electric
field intensity, µ and σ are magnetic permeability and conductivity of the medium, and j is the
density of conduction current.
The formula (3) shows that only two of the three components of the magnetic field are independent
of each other, so there are the following equations :

∂Bx ∂By ∂Bz

= − (7)
∂t ∂z ∂y

∂By ∂Bz ∂Bx

= − (8)
∂t ∂x ∂z
∂Bz ∂Bx ∂By
= − (9)
∂z ∂x ∂y
Equations (7), (8) and (9) are the theoretical basis for calculating the three-component response.
BH-TEM principle of coal mine borehole is shown in Figure 1, where T is the transmitter coil
and R is the three orthogonal receiving coils. It is composed of Z component receiving coil Rz
coaxial with the transmitter coil, X component receiving coil Rx orthogonal with the transmitter
coil and Y component receiving coil Ry orthogonal with the transmitter coil. The transmitting coil
adds step excitation to send pulse electromagnetic signals to the surrounding rock, and collects
them by three-component receiving coil to realize the range detection and azimuth recognition of
all-space geological anomalies.

472
Figure 1. Three-component BH-TEM principle.

Figure 2 shows a simple case of BH-TEM. In a measurement, we place the detection device
in the borehole and move the detection to multiple locations of the electromagnetic field. If there
are more conductive materials between boreholes than the background, the electromagnetic field
attenuates faster and moves slower, which will lead to the response of a measurement less than that
of only the background stratum.

Figure 2. BH-TEM diagram of horizontal well hole in coal mine. This shows the signal values of three
different time channels after power outage. Gray fillings in the map are better conductive geological bodies.

The designed bore-hole three-component detection device is shown in Figure 3, including two
parts of the bore-hole probe and the orifice synchronizer. The hole probe is composed of three
modules : battery host, transmitting circuit and receiving probe, which is the core circuit part of
the device. Out-of-hole synchronizer is mainly used to issue measurement parameters and clock
synchronization in the measurement process. During the detection, the drill presses the probe to
measure the secondary field signal along the extension direction of the borehole at a certain point
distance.

Figure 3. Three-component BH-TEM device.

3 DATA PROCESSING METHOD

3.1 Vertical component data processing

The curve shape of vertical component of BH-TEM data is basically the same as that of mine
transient electromagnetic detection data (Figure 4). Therefore, the data processing method can

473
refer to mine transient electromagnetic, and the preprocessing technology is used to correct the
inductance effect. The corrected data can be processed and interpreted by various inversion imaging
methods (Fan 2014).

Figure 4. Comparison of measured curves of mine equipment and drilling equipment.

3.2 Horizontal component data processing

Based on the three-component BH-TEM device pushed by the drilling rig, the device will inevitably
rotate in the borehole. Therefore, the actual formation horizontal component data need to be
obtained through the corresponding transformation of the tool surface angle. The rotating angle of
the instrument in the borehole is α0 , and the tool face angle at the i measuring point in the hole is
αi , the rotation angle of the instrument in the borehole is

α = αi − α0 (10)

The corrected induced electromotive force of X and Y components at the i measuring point is

Vi,x = Vi,x cos α + Vi,y sin α (11)

Vi,x = Vi,x cos α + Vi,y sin α (12)

In the formula, Vi,x and Vi,y are the horizontal component induced electromotive force measured
at the M measuring point.
The BH-TEM is used to detect the hydraulic fracturing effect before and after fracturing. Because
the main environmental difference between the two detections is caused by fracturing, it is consid-
ered that the difference between the two detection results is pure fracturing field effect. According
to the numerical simulation, the transient electromagnetic horizontal component detection curve
generated by the pure anomaly field has ‘sine’ or ‘anti-sinusoidal’ shape (Figure 5). The curve
characteristics of pure anomalous field when simulating different quadrant anomalies can be sum-
marized as the combination of ‘sine’ and ‘anti-sinusoidal’ shapes shown in Figure 6, so the quadrant
where the anomalous body is located can be judged according to Figure 6.

474
Figure 5. Pure abnormal field pattern.

Figure 6. Horizontal component abnormal field pattern combination.

The trigonometric function relationship between the amplitude of the horizontal component
anomaly field (Figure 7) is used to calculate the deflection angle θ of the anomaly body within this
quadrant according to the following formula.

⎛ ⎞
yA
Vn
⎜ ⎟
θ = arcsin ⎝  ⎠ (13)
yA
(VnxA )2 + (Vn )2

475
Figure 7. Deflection angle of anomalous body.

4 ENGINEERING APPLICATIONS

Hydraulic fracturing technology is used to improve gas extraction rate in a coal mine in Shaanxi
Province. In order to detect the fracturing effect, BH-TEM was used to detect the borehole depth
0-324 m. In order to more clearly identify the abnormal distribution and development, the detection
results before fracturing are regarded as the background field, and the background field is subtracted
from the detection results after fracturing, and the pure abnormal field is extracted. The calculation
results are shown in Figure 8. The horizontal coordinate is the drilling depth, and the ordinate is
the radial distance of the drilling. It can be seen that the overall visual resistance value is low in
the range of 0-20 m radial distance of the borehole, but because figure 8 is the result of the overall
superposition of the abnormal field, it is impossible to intuitively see the development trend of the
earth resistance body. The detection results are stereo-imaging, and the results are shown in Figure
9. Figure 9 shows clearly the spatial distribution of fractures, which is convenient to evaluate the
effect of hydraulic fracturing.

Figure 8. Results of pure anomaly field detection plane.

Figure 9. Display of abnormal spatial distribution.

476
5 CONCLUSIONS

The BH-TEM is used to detect and extract the influence of pure anomaly field before and after
fracturing, and the three-dimensional results are plotted. This method can effectively detect the
fracture orientation of hydraulic fracturing. The obvious banded low resistivity anomaly distribution
in the contour map of pure anomaly field is caused by the formation of fractures by fracturing,
and the abnormal geometric shape is the geometric shape of fractures. The borehole transient
electromagnetic detection technology is an organic combination of mine geophysical prospecting,
drilling and hydraulic fracturing technology. It effectively delineates the fracture direction and
extension range, and can be applied to the detection of hydraulic fracturing effect of coal mine gas
drainage, which has an important guiding role in improving gas recovery.

REFERENCES

Fan Tao & Zhao Zhao & Wu Hai, et al. (2014) Research on inductance effect removing and curve offset for
mine TEM with multi small loops. J. Journal of China Coal Society. 932–940.
Fan Tao. (2017) Coalbed Methane Hydraulic Fracturing Effectiveness Test Using Minimal Coil Single Bore-
Hole Transient Electromagnetic Method. J. Journal of China Coal Society. 1–16.
Feng Yanjun & Kang Hongpu. (2012) Test on hard and stable roof control by means of directional hydraulic
fracturing in coal mine. J. Chinese Journal of Rock Mechanics and Engineering. 1148–1155.
Kang Hongpu & Feng Yanjun. (2017) Hydraulic fracturing technology and its applications in strata control in
underground coal mines. J. Coal science and technology. 1–9.
Li Xueqian & Han Depin & Wang Cheng, et al. (2019) Application of roadway - borehole tem in water -
bearing and water conducting structure prospecting. J. Coal Geology of China. 77–82.
Moghadas D & Engels M & Schwalenberg K. (2015) 1D joint multi-offset inversion of time-domain marine
controlled source electromagnetic data. J. Geophysical Prospecting. 1334–1354.
Yang Zhaozhong & Zhang Dan, Yi Liangping, et al. (2020) Longitudinal propagation model of hydraulic
fracture and numerical simulation in multi-layer superimposed coalbed. J. Journal of China Coal Society.
1–12.
Yu Bin & Duan Hongfei. (2014) Research on roof control technology of hydraulic fracturing in high strength
fully mechanized caving mining of extra-thick coal seam. J. Chinese Journal of Rock Mechanics and
Engineering. 778–785.
Zhao Dan. (2019) Application research of gas pre-drainage technology by hydraulic fracturing permeability
improvement in mapu coal mine. J. Liaoning Technical University.
Zhao Rui & Fan Tao & Li Yuteng, et al. (2020) Application of borehole transient electromagnetic detection in
the test of hydraulic fracturing effect. J. Coal Geology & Exploration. 41–45.

477
 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Evolutional simulation of the water quality and its influence on water

environment in closed coal mine

Peng Zhang & Qiang Guo

Shanxi Provincial Geological and Mineral Research Institute, Shanxi, China

Chengbin Zhang
The Third Exploration Team of Shandong Coalfield Geologic Bureau, Jinan, China

Shaowei Zhang
Shanxi Provincial Geological and Mineral Research Institute, Shanxi, China

ABSTRACT: Based on the occurrence conditions of shallow buried depth, thin bedrock, and thick
coal seam in the coal mining of west China, the goaf water of some closed coal mines contained Fe2+ ,
Mn2+ ,and other heavy metal ions, which can cause serious harm to the ecological environment.
Used to store and recycle the mine water resources in the mined-out area of a coal mine, the
underground reservoir technology provides a new way for the green mining of the western water-
shortage mining areas. Because of the current contradiction between the groundwater resources
shortage and pollution/waste of Datong coal mining, combined with the water storage space and
recharge condition of the coal mined-out area in the closed Dadougou coal mine, the water quality
evolution was simulated by GMS(Groundwater Modeling System). The results show that the goaf
water is expected to produce a little effect on groundwater quality in the next 10 years to 30 years,
because the pollutants mainly flow along with the groundwater, and diffusion in other directions
is weak. After 30 years prediction, the influence of pollutants on aquifer reached a considerable
scale; therefore, the water quality of goaf water becomes better. The results will provide references
for the groundwater solute transport simulation and the construction of the underground reservoir
in a closed coal mine, which can also provide a reference for the solute transport simulation of
trace elements in groundwater, such as the fluorine in groundwater of Qinshui coalfield.

1 INTRODUCTION

The regions of Shanxi, Shaanxi, Inner Mongolia, Ningxia, and Gansu in China, a key area for coal
development, are known as the “Golden Triangle of western energy”. The proven coal reserves
and output of these regions account for about 71.6% in total, which has an important position in
the national energy strategy. At the same time, it is a severely water-deficient area, where the total
amount of water resources only accounts for 3.9% of the country’s total, the annual evaporation
of which is about 6 times than precipitation. Therefore, the severe shortage of water resources
is the main constraint for sustainable energy development in the future in the “energy Golden
Triangle” regions (Chen 2016; Gu 2013; Xie & Wang 2014). Based on the occurrence conditions
of shallow depth, thin bedrock, and thick coal seams, the goaf water of some western closed
mines contained Fe2+ , Mn2+ , and other heavy metal ions, has water quality characteristics of high
salinity (1000∼10000 mg/L). If communicates with the surrounding aquifer, the goaf water will
bring serious harm to the ecological environment (Cao et al. 2010; Han et al. 2020; Liu et al. 2003;
Sun et al. 2020; Zhao et al. 2018). Therefore, effective prediction of the water quality evolution in
closed mine is an important guarantee for realizing the coordinated development of coal and water
resources utilization in the ecologically fragile areas of western China.

478 DOI 10.1201/9781003308584-68

 This subject takes the occurrence and enrichment mechanism of fluorine in coal in the southeast of
Qinshui Coalfield as the research objective, aiming to explore the migration and transformation of
fluorine in groundwater, and its relationship with the transformation of fluorine in coal. This article
takes Dadougou coal mine as an example to study simulation on solute transport in groundwater,
which provides a reference for the fluorine transformation of Qinshui coalfield. Datong is located
on the Loess Plateau in the northern Shanxi, which has a typical temperate continental monsoon
climate with little rain and fragile ecology (Liang et al. 2011). The average annual rainfall is only
400 mm, and the average total water resources are 951 million m3 . The per capita share is 1/8 times
lesser than the national average. Thus, it is one of the 110 cities in China with severe water shortages
(Sha & Liu 2005; Xi 2003). From the analysis of water storage capacity and the simulation of heavy
metal ion migration in the goaf of Dadougou coal mine, which is a closed mine in Datong, the
solute transport law of the goaf water and the impact on the water environment are discussed, and
also can provide a reference for the solute transport simulation of trace elements in groundwater.

2 PROFILE OF MINE HYDROGEOLOGY AND GOAF

2.1 Hydrogeological conditions

Severe wind and sand belong to the arid continental climate of the Loess Plateau, with a severe
cold in winter and heat in summer. The rainy season is mostly concentrated in the three months
of July, August, and September, the precipitation of which accounts for 60-70% of the years. The
annual maximum precipitation is 628.3 mm and the minimum is 259.3 mm. The maximum daily
precipitation is 79.9 mm. The aquifers in the area include:
① Carbonate karst fractured aquifer
The aquifer is exposed in the Xishi Mountain Range and the eastern Kouquan Mountain Range,
which is located on the southwestern and western edge of the coalfield. Its outcrop developed joints
and fissures have karst phenomena such as small caves. It has Cambrian-Ordovician limestone and
dolomitic limestone, which is 520–820 m thick and gradually becomes thinner from south to north.
According to the previous exploration, the northern rock formations have poor water content, with
a unit water inflow of 0.005-0.l L/s·m; the southern rock formations have strong water content
and uneven karst development, with a unit water inflow of 0.01-1.328 L/s·m. The altitude of the
aquifer is 900–1300 m. The water quality types are HCO3 ·SO4 -Ca·Mg and HCO3 ·Cl-K+Na·Ca.
The salinity is 0.32–1.34 g/L. The pH is 7.3–8.4.
② Carboniferous-Permian sandstone fractured aquifer
The aquifer is dominated by sandstone and glutenite, with water in the cracks of sandstone.
According to regional pumping results, the unit water inflow is 0.000004-0.024 L/s·m, thus the
water content is weak. Groundwater mostly converges towards the axis of the Datong syncline, so
artesian flows have appeared in a low-lying valley, where the water head is 2.35–10.39 m above
the ground.
③Jurassic sandstone fractured aquifer
The aquifer relatively developed the joints and fissures and is mainly dominated by sandstone,
glutenite, and sandy mudstone, which is loosely cemented, yet they have poor water content as the
location is above the local erosion base level. The unit water inflow is generally 0.004–0.2 L/s·m, but
the water content is good in local sections, even springs are exposed. For example, in the sandstone
aquifer of Datong Formation on the south bank of Yungang Town, Shilihe, the groundwater has
been artesian, with a salinity of 0.685–0.97 g/L and a PH of 7.2–7.4. The water quality type is
generally SO4 ·HCO3 -Ca.
④ Quaternary pore aquifer
The aquifer is located on the first and second terraces and floodplains on both sides of the river
valley, the thickness of which is 0.6–11.31 m. It is dominated by sand and gravel in the alluvial
layer of the river bed, where the thickness is 0–6 m. The unit water inflow of the aquifer is 1.21–
9.47 L/s·m, thus the water content is strong. Due to the impact of mine drainage on both banks

479
of the Shili River and Kouquan River valleys, the phreatic level of the alluvial layer has become
deeper and the water volume has become smaller. The water quality type is SO4 ·HCO3 -Ca·Mg.
The salinity is 0.891-1.083 g/L and the PH is 7.1–7.9.

2.2 Water source and water quality in the goaf

In the past 40 years, due to the large-scale development of coal, surface water, and alluvial water
which penetrated underground through the weathered crust and the collapsed cracks of the coal
roof, have become the main source of water filling in the mine and the goaf. Except for the
Quaternary alluvial, alluvial strata, and the weathering crust of the Yungang Formation, which
directly receive atmospheric precipitation, have good recharge conditions, the rest of the aquifers
have poor recharge conditions. The Datong Formation, sandstone fractured water-bearing rock
group is dominated by fine, medium and coarse sandstone, with a salinity of 0.685–0.97 g/L, PH
of 7.2–7.4, which has relatively good water content. The water quality is generally SO4 ·HCO3 -Ca.
It is the direct water filling factor of the goaf. The water filling method is mainly water seepage
and dripping, followed by spraying and gushing water. The Yongdingzhuang Formation, Shanxi
Formation, and Taiyuan Formation sandstone fractured water-bearing rock formations are deeply
buried, with tight rock cementation, poor permeability, and extremely weak-weak water content,
which will not recharge underground. Ordovician limestone karst fissure aquifer is estimated to
have a water level of 1050–1126 m, so coal seams 11 and 14 were all under pressure mining.
However, due to the poor water richness, few replenishment sources of this aquifer, far from the
Datong coal seam about 300–500 m, and multiple water barriers, Ordovician limewater has little
effect on the water filling of mined-out areas in seams 11 and 14−3 . The water-filled channels are
mainly the cracks in the rock above the coal seam roof and the water-conducting cracks formed
after mining.
According to many years of observation data, the mine drainage of Dadougou coal mine has
caused the groundwater level to reduce in the coal-measure aquifer and its replenishment area.
At the same time, it accelerates the runoff and discharge of groundwater, and improves the water
quality in the original groundwater stagnant area. The water quality at the outlet points of −113,
−155, −269, and −310 levels improved slightly, but the six indicators such as iron, manganese,
sulfate, dissolved solids, total hardness, and turbidity have not yet reached the level of daily drinking
water standards.

3 WATER LEVEL RECOVERY AND FLOW FIELD EVOLUTION SIMULATION OF THE

GOAF IN DADOUGOU MINE

The water inflow of Dadougou mine is 100.17 m3 /h before closing. After the mine closed, the
drainage will stop, and the water gushing from the mine will continue to flow into the existed
goaf. In the process of the regional groundwater reaching a new balance, the local high-water
pressure will have a significant impact on the original groundwater flow field, thereby changing
the conditions of groundwater replenishment, runoff and drainage in the mining area. This time,
the water source and capacity of the goaf and the water catchment conditions of the Dadougou
mine are analyzed after closed.

3.1 Analysis of the water source and the water capacity of the goaf after the pit is closed
1. Analysis of the source of the old goaf water after the pit is closed
After the Dadougou Mine was shut in, the gushing water levels were −113 level, -155 level, -269
level, and -310 level. Among them, −113 level effluent is 13 m3 /h, −155 level is 19 m3 /h, −269
level is 25 m3 /h, −310 level is 33 m3 /h. The water effluent form is mainly from the roof of the coal
seam. Therefore, the goaf area and the water inflow are generalized into a linear relationship, and
the water inflow from the mining area is allocated to the water output in each levels according to
the area of the mining. As shown in the following table:

480
 Table 1. Water content of the sub-periods in mining section.

Mining area −113 level −155 level −269 level −310 level

Area of the output(m2 ) 480,900 1,071,100 676,900 615,300

Output of 30 days(m3 ) 9360 13,680 18,000 23,760
Output of 90 days(m3 ) 28,080 41,040 54,000 71,280
Output of 180 days(m3 ) 56,160 82,080 108,000 142,560
Output of 360 days(m3 ) 112,320 164,160 2,016,000 285,120

2. Analysis of water capacity in the goaf

The accumulation line is delineated every 10 m as per the contour line (the elevation when the two
catchment areas are connected is separately delineated), and the water capacity of the mined-out
area is preliminarily estimated as follows:
Q=KMF/cosα
Q-the water capacity in the goaf of coal seam, m3 ;
α – The inclination of the coal seam;
K-water filling coefficient, which is related to coal mining method, recovery rate, coal seam
inclination, coal roof, and floor lithology and its degree of broken expansion, post-mining interval,
roadway formation time, and maintenance status. Its value is usually 0.25∼0.5 in mined-out areas,
comprehensively considered the water filling coefficient of the roadway and goaf, we considering
it 0.25 at this time;
M-the height or thickness of the coal seam in the goaf, m;
F-the projected area of the mined-out water surface, m2 .
3. Analysis of catchment conditions
Since the lead height produced by the 11# and 14# mining cannot reach the 3# floor and leaves a
large safe thickness, combining the structure and mining conditions in the Dadougou minefield, we
divided the Dadougou underground catchment area into two areas: 2#&3# and 11#&14# Catchment
area. This simulation focuses on the former.
The water catchment in 2#&3# area is divided into three stages:
The first stage: Before the water level in the area rises to −155 m, according to the structure
of the area, the distribution of the mined-out area, and the catchment conditions, the water mainly
fill the cracks of the floor damage zone caused by the 3# mining. The water filling source is the
fissure sandstone water of 2 coal and 3 coal roof and atmospheric precipitation.
The second stage: Between the water level in the area rises to −155 m and −113 m, according to
the structure of the area, the distribution of the mined-out area, and the catchment conditions, the
main water storage space is the 3# mined-out area and water-conducting fissure zone between 2#
and 3#, the water filling source is 2#, 3# roof sandstone fissure water, and atmospheric precipitation.
The third stage: When the water level in the area rises to −113 m, according to the structure of
the area, the distribution of the mined-out area, and the catchment conditions, the main filling space
is the 2# mined-out area, and the water-conducting fissures above that, the water filling source is
2# coal-measure sandstone fissure water and atmospheric precipitation.

3.2 Simulation of the water flow field in the goaf after the pit is closed
1. Hydrogeological conceptual model and mathematical model
After years of mining in the Jurassic coal seam of Dadougou Coal Mine, the structure of the
aquifer above the coal seam has been destroyed. The sandstone fissure water is collected in the
goaf, one part of which is discharged from the mine, and another formed the goaf water, so the
aquifers calculated are the Jurassic Yungang Formation, Datong Formation sandstone fractured
aquifers, and the mined-out areas contained in this simulation.
The Dadougou minefield is surrounded by Yongdingzhuang minefield in the northeast and east,
the Tongjialiang minefield in the south and southwest, and the Sitai minefield in the northwest.

481
Between these are man-made boundaries. The hydraulic connection between surface water and
underground aquifers inside and outside is not changed due to the mining boundary. There is no
natural water barrier between the minefield boundary and adjacent coal mines. The water in each
aquifer that migrates from high to low along the water barrier is collected at the syncline axis. All
aquifers have natural hydraulic connections with adjacent coal mines in the horizontal direction.
Because the man-made boundary is difficult to define, the study area has been expanded to the
natural boundary as a whole. The north is expanded to the Shili River, which is about five kilometers
away from the northern boundary of the Dadugou minefield. The east had a normal fault and is set
as the general boundary. The west also is set as the general boundary in GMS due to previous studies
that have shown lateral recharging in this area. the south is set as the second type of water-proof
boundary because the groundwater is flowing slowly.
The top of the target aquifer is a Quaternary loose pore aquifer with a thickness of 10 m,
the upper of which has a Jurassic Yungang Formation sandstone and sandy mudstone with poor
permeability and an average thickness of 35 m, the under of which is a siltstone and mudstone
series of the Yongdingzhuang Formation, which belong to the water barrier due to good water
resistance. The groundwater flow of the target aquifer is mainly horizontal movement spatially,
yet there is Quaternary Leap-flow recharge. Through the analysis of hydrogeological conditions,
the groundwater numerical simulation model of the study area is established. The study area is
generalized into a three-dimensional unsteady confined sandstone fractured groundwater flow
system with cross-flow and homogeneity, which is described by establishing the definite solutions
of partial differential equations:
⎧  
⎪
⎪ ∂
K ∂H
+ ∂
K ∂H
+ ∂z∂ K ∂H + W = Ss ∂H (x, y, z), t ≥ 0
⎪ ∂x
⎪ ∂x ∂y ∂y ∂z ∂t
⎨
H (x, y, z, 0) = H0 (x, y, z) (x, y, z)
⎪
⎪ ∂H
|1 = 0 (x, y, z)1
⎪
⎪ ∂n
⎩
Kn ∂H∂n
| 2 = q (x, y, z)2

-Calculation area range;

K-Permeability coefficient along the x, y coordinate axis, m/d;
H-point (x, y) the head value at time t, m;
H0 -the initial water head of the aquifer, m;
M-thickness of aquifer, m;
Ss-water storage rate in aquifer;
W-source and sink item, m/d;
1 , 2 are the water-proof boundary and constant flow boundary surface respectively;
n-the outer normal direction of the boundary;
q-Flow rate per unit width on the boundary of the second type of seepage zone, m3 /d,
Kn-The permeability coefficient on the normal line of the 2 boundary, m/d.
2. Establishment of groundwater flow numerical model
The topographic map of the study area with a scale of 1:50,000 was imported into GMS as the base
map for establishing the hydrogeological conceptual model. Based on hydrogeological analysis, the
scope of the study area, source and sink items, and replenishment area were drawn out. According
to hydrogeological conditions, the aquifer permeability coefficient and water storage coefficient
are divided into 4 zones, and rainfall infiltration is divided into 2 zones. The simulation time is
the whole year of 2016. The discrete method of equidistant finite difference is used for automatic
division. The horizontal calculated area of the simulation is 146.58 km2 . A total of 4 layers with
10,000 rectangular unit bodies and a total of 13005 nodes are divided.
The groundwater levels of a continuous hydrological year are different in the dry and wet periods.
Therefore, the boundary flow is calculated according to the dry season and the wet season when
calculating. Considering the lack of flow observation data at the boundary, Darcy’s formula is used
to deal with the boundary flow:
Q=KAHI

482
 Where: Q-lateral replenishment or excretion, m3 /d;
K-Permeability coefficient, m/d;
A-section width, m;
H-the thickness of aquifer, m;
I-hydraulic slope perpendicular to the profile.
The general water head boundary in the eastern part of the study area is about 5556.2 m. Accord-
ing to the hydrogeological parameters of the simulation area, the permeability coefficient of the
eastern boundary is 9.5 m/d, with the average thickness 50.14 m of the aquifer. The hydraulic slope
at the eastern boundary is calculated to be about 0.0014. After entering the formula, the flow rate
is about 3705.22 m3 /d.
3. Model checking
According to the actual measured data of borehole exploration, the established hydrogeological
conceptual model is calibrated to ensure that the established conceptual model and mathematical
model are consistent with the actual situation. Calibration is to change the model’s replenishment
and permeability coefficients systematically, then the model runs repeatedly until the calculated
solution matches the observed value within an acceptable level of accuracy. In GMS, the model
calibration function is used to fit the simulated water level with the measured value, which can
improve the accuracy of the model.
The drilling that exists and can be controlled in the mining area was selected. The observation
water level of each hole was collected in 2011. After importing the data into the model, the
parameters are continuously adjusted in the GMS to make the simulated water level change trend
consistent with the actual measured value (Figures 1 and 2). It is ensured that the model can better
reflect the hydrogeological characteristics of the study area.

Figure 1. Water level calibration curve Figure 2. Water level variation of

of the model. the typical borehole.

4 SIMULATION OF WATER QUALITY EVOLUTION IN THE GOAF OF DADOUGOU

MINE

After the mine is closed, the rebound of the water level will cause changes in groundwater quality.
Due to long-term coal mining in Datong area, it has caused close hydraulic connections between
different aquifers within the mining area (Sui et al. 2019; Xu et al. 2019). In some areas, especially
the Quaternary shallow groundwater around abandoned shafts and some limestone water in Taiyuan
Formation, the water quality has begun to deteriorate. Iron, sulfate, total hardness, and soluble
solids in the water exceed the groundwater class III (Li 2014), even the iron content can reach up
to 3.22 mg/L, which exceeds the groundwater quality standard by more than 10 times.
According to the characteristics of coal mine goaf and its impact on the groundwater environment.
The prediction and evaluation of the possible impact and harm of the goaf water on the groundwater
is an important part of the construction of groundwater reservoirs (Wu et al. 2021). Using the
numerical simulation of GMS to restore the water level and flow field evolution process of the
water in the goaf of Dadougou mine, the impact of groundwater quality in the Dadougou mine was
simulated. The influence of iron ions of the goaf on groundwater was predicted and evaluated.

483
 1. Mathematical model of solute transport
(1) Control equation
The groundwater solute transport model established is a three-dimensional dispersion model
under the influence of three-dimensional water flow. The mathematical model of the three-
dimensional hydrodynamic dispersion equation for solute transport is as follows:
# $
∂C ∂ ∂C ∂
θ = θDij − (vi C) + qs CS (i, j = 1, 2, 3)
∂t ∂xi ∂xj ∂xi
Where:
C-The dissolved concentration of the components in the groundwater, mg/m3 ;
θ− The porosity of the aquifer medium, dimensionless;
t-time, d;
xi-the distance along the axis of the Cartesian coordinate system, m;
Dij-hydrodynamic dispersion coefficient tensor, m2 /d;
Vi-average actual velocity of pore water, m/d;
qs -the volume flow rate of the source/sink in the aquifer, 1/d;
Cs-the concentration of the component in the source or sink stream, mg/m3 ;
When simulating the diffusion of pollutants, adsorption, convection, and dispersion are mainly
considered, while chemical reaction and other factors are not.
(2) Initial conditions
The initial conditions should be set to distinguish the mined area and its surroundings. According
to the water quality test results, the Fe2+ concentration in the mined area is set at 0.5139 mg/L, and
the Fe2+ concentration in the aquifer outside the goaf is set at 0.0500 mg/L.
(3) Boundary conditions
Each boundary of the aquifer is regarded as the second type boundary condition (Neumann
boundary) in this simulation, and the dispersion flux across the boundaries is 0, which can be
expressed as:
∂C
−Dij =0 when 2 , t > 0
∂xj
Where 2 is the Neumann boundary.
2. Simulation results
The total time of this solute transport simulation is 30 years, and the simulation results of each
stage are shown in the figures below:

Figure 3. Simulation of initial Fe2+ concentration in goaf water and groundwater.

484
 Figure 4. Simulation of Fe2+ migration in 10 years Figure 5. Simulation of Fe2+ migration in 20 years.

Figure 6. Simulation of Fe2+ migration in 30 years.

3. Result analysis
After the groundwater flow field in the mined-out area has been restored, where the hydraulic
slope range is very small and the water flow velocity is slow, therefore the solute transport is very
slow in the simulation. From the analysis of each stage of the simulation, the pollutants in the
goaf gradually moved along with the flow of groundwater as time increased. In the past 10 to 30
years, the water in the goaf had little impact on the quality of groundwater. Pollutants mainly flow
along with the flow of groundwater, and the scale of diffusion to other directions is small. When
the prediction time reached 30 years, the influence of pollutants on aquifer reached a considerable
scale, and the water quality of goaf water becomes better. After the closed water level of the coal
mine has been restored, the impact of the water in the goaf of the coal mine on the surrounding
aquifer is very slow and small if there is no large-scale water inrush accident or other changes to
the groundwater flow field.

5 CONCLUSIONS

Based on the research of “The occurrence and enrichment mechanism of fluorine in coal in the
southeast of Qinshui Coalfield”, This paper takes Dadougou coal mine as an example to study the
simulation of solute transport in groundwater combined with the water storage space and recharge

485
condition of the coal mined-out area in the closed Dadougou coal mine. The GMS software was used
to carry out the water quality evolution simulation about the impact of iron ions on the surrounding
water environment after the mine closed. The following conclusions were shown:
In the next 10 years to 30 years, the goaf water is expected to have a little effect on groundwater
quality, and the pollutants will mainly flow along the groundwater flow direction, and the scale of
diffusion to other directions will be small. When the prediction time reached 30 years, the influence
of pollutants on aquifer reached a considerable scale, and the water quality of goaf water becomes
better. The results provide a reference for the simulation of groundwater solute transport and the
construction of underground reservoirs in a closed coal mine, and the solute transport simulation
of trace elements in groundwater, such as the fluorine in the groundwater of Qinshui coalfield.

ACKNOWLEDGMENTS

This work was financially supported by the National Natural Science Foundation(41902180).

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matter and ammonia nitrogen from mine water by coal gangue. Journal of China Coal Society, 43(1):
236–241.

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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Monitoring and forecast analysis of expressway slope

Fuji Gu, Yu Liu, Jie Zhao, Guoqin Yan & Long Qian∗
HEBEI GEO-ENVIRONMENRT MONITORING, Shijiazhuang, China

ABSTRACT: This paper makes a comprehensive comparative analysis of the current compre-
hensive prediction and prediction techniques of slope geological disasters in China, focuses on
the classification and summary of the prediction model and prediction criterion, and discusses the
applicability and inadequacy of the current prediction model and prediction criterion. The predic-
tion model and prediction criterion suitable for this project are put forward, and the comprehensive
early warning system of slope geological hazard is established by using the more mature prediction
model of displacement-time statistical curve and the double criteria of plastic strain ε and horizontal
displacement change rate vf .

1 INTRODUCTION

With the development of engineering construction to the mountain area, there will be more and
more slope projects. The construction and later maintenance of slope engineering and the prediction
of related geological disasters are inseparable from the monitoring work. For a slope, first of all,
it is necessary to judge its stability. If there is a possibility of instability and failure and landslides
occur, it is necessary to judge the scope and time of landslides. This is what people often call the
spatial and temporal prediction techniques of landslides (Louis 1974; Sun et al. 2001; Wen 1996;
Yang 2010). In recent years, the transportation department also attaches great importance to the
monitoring of slope engineering at high altitude in highway construction, especially for the stability
monitoring of unconventional parts such as deep road cutting slope, transverse half-filling and
semi-digging slope, road-tunnel transition section and road-bridge transition section of mountain
expressway, which plays a good role in ensuring engineering safety and inspecting construction
quality.

2 GENERAL SITUATION OF THE PROJECT

The Xingtai-Ji-Jin section of Xingfen Expressway is located in Xingtai City, Xingtai County and
Shahe City, Hebei Province. The whole line of the project is located in Xingtai, and the overall
route is in the east-west direction. The total length of the main line is 84.329 km. The whole
line 8-13 is marked as a mountain section, and there are 17 cutting sections with a cutting height
of more than 30 m, with a total length of 2.453 km. The statistics of high slopes are shown in
Table 1.

∗ Corresponding Author: [email protected]

DOI 10.1201/9781003308584-69 487

Table 1. The statistical table of deep excavation cut slope in Xingfen highway.

Mileage of cutting slope

Serial Construction Start-stop Monitoring Maximum cut

number bid section mileage section mileage slope height /m Remarks

1 8 bid section K45+200∼K45+354 K45+260 45.3 The structure of the original

mountain is low on the left and
high on the right.
2 9 bid section K50+357∼K50+589 K50+520 37.3 The structure of the original
mountain is low on the left and
high on the right.
3 9 bid section K52+603∼K52+726 K52+690 39.5 The structure of the original
mountain is low on the left and
high on the right.
4 10bid section YK55+963∼YK56+092 YK56+020 31.0 Slope foundation
5 10 bid section YK57+833∼YK57+999 YK57+960 40.2 The original mountain is low on
the left and high on the right,
and the left is unstable.
6 10 bid section YK58+151∼YK58+281 YK58+240 41.5 Slope foundation
7 11 bid section YK59+192∼YK59+357 YK59+280 30.9 The original mountain is low on
the left and high on the right,
and the left is unstable.
8 12 bid section YK63+901∼YK64+024 YK63+980 31.2 The left side of the original
mountain is unstable.
9 12 bid section YK66+036∼YK66+114 YK66+080 41.6 The original mountain is low on
the left and high on the right,
and the mountain on the right is
unstable.
10 13 bid section YK69+520∼YK69+701 K69+640 40.2 The right side of the line is
unstable, the left side is rela-
tively stable, and the right sec-
tion is monitored.

3 MONITORING OF SLOPE ENGINEERING

The content of slope monitoring engineering is comprehensively considered according to the

importance grade of the project, geological conditions and treatment measures taken. The general
monitoring items include crack monitoring, displacement monitoring, sliding surface monitor-
ing, surface water monitoring, groundwater monitoring, precipitation monitoring and macroscopic
deformation monitoring and so on (Zheng et al. 2007). As most of the slopes of the project are zonal
distribution along the highway, long distance, small scale and large quantity, the monitoring mode
of highway slope engineering should follow the principles of conciseness, automation, real-time,
long-distance and economy. The integrated method of multiple monitoring items and multiple mon-
itoring methods is not in line with the principle of economy, so the most representative monitoring
items should be selected for monitoring (Yang 2010; Zhang 2010).
Deep displacement monitoring can accurately monitor the position of sliding surface, at the same
time, it can monitor the displacement values of different depths, and it is not affected by climate, so
it is an ideal method for slope monitoring. The method of displacement-time statistical analysis and
prediction of slope geological disasters is also a mature prediction theory with the most in-depth
theoretical research and the most extensive application. Therefore, the slope monitoring and early
warning and forecasting project of Xingfen Expressway based on this project mainly carries out

488
dynamic monitoring of deep displacement of slope rock mass, and uses small weather stations to
monitor precipitation.
There are many slope monitoring methods, and different monitoring projects need to adopt
different monitoring methods and monitoring instruments. To sum up, slope monitoring mainly
includes simple observation method, station observation method, instrument observation method
and remote automatic monitoring method and so on. With the development of electronic technology
and computer network technology, a variety of automatic telemetry technologies have come out
one after another, and more and more remote automatic monitoring methods are adopted in the
monitoring of slope engineering.
Remote automatic monitoring method generally buries fixed automatic acquisition and monitor-
ing instruments according to the needs of monitoring projects. The monitoring data are collected
through the field controller and then sent to the monitoring center through the wireless network
(satellite network, mobile GPRS network, etc.); the monitoring center is equipped with data receiv-
ing and processing equipment, which can collect, store, print and display the observed data in real
time, and adjust the collection items and frequency of the on-site data acquisition device at any time.
With the advantages of high degree of automation and fast information feedback, it has been used
more and more widely in recent years. This method is suitable for long-term stability monitoring
of slope and safety prediction of geological disasters.
In this paper, based on the Xingfen Expressway Slope Geological Disaster Safety Monitoring
Project, this method is adopted to carry out long-term automatic monitoring of slope stability during
construction and operation. By using the disaster early warning and forecasting decision-making
system, the state of these disaster-causing or potential disaster-causing points can be kept under
the control of highway management and maintenance personnel and professional and technical
personnel at all times, and it is convenient for government functional departments to make decisions
quickly. Effectively avoid major accidents caused by car accidents due to geological disasters. It
has improved the guarantee level of highway transport services, ensured the safe and convenient
travel of the people, and better achieved the goals of disaster prevention, disaster reduction and
disaster management.

4 PRINCIPLES AND TYPES OF SLOPE LANDSLIDE PREDICTION

In this paper, the time of geological landslide is predicted for the deep cutting slope and longitudinal
half-filling and half-digging slope along Xing-Fen expressway. Due to the complexity and diversity
of landslide geological conditions and inducing factors, it is difficult to capture the dynamic
information of landslide. The prediction and prediction of landslide sliding time has always been
considered to be a very difficult frontier topic. In addition, the high cost and long period of landslide
monitoring is also one of the factors limiting the research progress of landslide time prediction (Hu
2001).
For many years, the time prediction of landslide has been based on the three stages of dis-
placement (strain)-time curve in the creep (rheology) theory of rock and soil. In viscoelastoplastic
mechanics, the creep of rock and soil is divided into three stages, as shown in Figure 1. The first
creep stage: also known as the initial creep stage, that is, the AB section in the figure. In this stage,
the deformation of rock and soil gradually slows down, and the slope of creep curve decreases
gradually; the second creep stage: also known as stable creep stage, that is, the BC section in the
figure. The rock and soil deformation develops at the same speed, and the slope of the creep curve
is basically unchanged; the third creep stage: also known as the accelerated creep stage, in the CE
section of the figure, the creep speed of rock and soil is gradually accelerated until failure. This
stage is generally divided into two stages, the rock and soil deformation rate of the CD section
begins to accelerate, but the soil has not been destroyed; the rock and soil deformation rate of the
DE section increases sharply, and the rock and soil mass is destroyed quickly.

489
Figure 1. The creep curve of rock and soil mass.

According to this theory, the time prediction of landslide is divided into long-term prediction
(stage I), medium-term forecast (stage II), short-term forecast (stage III CD) and imminent slip
prediction (stage III DE).
Generally speaking, long-term forecast, medium-term forecast and short-term forecast are called
trend forecast. Trend forecasting is a form of prediction to judge whether landslides occur in months,
years or even decades. This is generally a qualitative forecast for a wide range of regions, which
provides a decision-making basis for regional development, such as railway and highway route
selection, urban development direction and so on. The long-term forecast generally focuses on the
inducing factors of landslides, such as rainfall and the rise of river and lake water level and flood
erosion caused by it, so precipitation is a frequently used forecast parameter in long-term forecast.
Impending landslide prediction refers to the prediction of the occurrence time of landslides within a
few days before the occurrence of landslides, which is what we call landslide prediction in a narrow
sense. Generally speaking, the prediction of impending slippage should be accurate to “days” or
even “hours”. This is also the most difficult type of forecast. Because of different regions and
different geological structures, the prediction forms of slopes with different load types are very
different, and the prediction requirements are also different in different occasions (highway slopes,
urban building slopes, dams or mine slopes, etc.).

5 TIME PREDICTION MODEL OF SLOPE LANDSLIDE

The core problem of landslide time prediction is the establishment of prediction model and pre-
diction criterion. Based on a comprehensive analysis of the current time forecasting methods and
models at home and abroad, they can be divided into four categories: deterministic forecasting
model, statistical forecasting model, nonlinear forecasting model and macroscopic information
forecasting model. At present, Saito method and displacement acceleration regression equation
prediction model are widely used.
Saito did a large number of indoor and outdoor tests on the time prediction of landslides in the
1960s, put forward a formula for calculating the creep failure time according to the strain rate of
rock and soil in 1968, and successfully predicted the Takachang Mountain landslide in Japan in
1970.
·
lg tr = 2.33 − 0.916 lg ε ± 0.59 (1)
Or approximately expressed as
·
tr · ε = 214 (2)

490
 If you replace the constant in formula (1) with letters, you get a more general expression.
·
lg tr = a − b · lg ε (3)
·
In the formula, ε is generally obtained according to the displacement change measured by the
extensometer according to the formula (4).
· l 1
ε= · (4)
l T
For the landslide in the accelerated creep stage (stage III), the formula (5) can be used to obtain
a more accurate impending sliding time.
1
(t
2 2
− t 1 )2
tr − t = (5)
(t2 − t1 ) − 12 (t3 − t1 )

Or
tr − t0
l = l0 · A lg (6)
tr − t
In formula (6), when t = t0 , ε=0.
The analysis results of the third stage creep are shown in Figure 2.

Figure 2. The graphic method of failure time in the III creep stage.

In Figure 2, three points A1 , A2 and A3 are taken on the creep curve, and their relative displace-
ments are equal, and the time values of each point are t1 , t2 and t3 , respectively. Using A2 as the
horizontal line, the projection of A1 and A3 on the horizontal line is A1 ’and A3 ’respectively. M is
the midpoint of A1 ’ A2 , N is the midpoint of A1 ’ A3 ’, with A2 as the center, A2 M and A2 N as the
radius, intersecting with the vertical line passing through A2 at the M  and N ’points, respectively,
and the horizontal line passing through M  intersects with the extension line of A1 ’N ’ at one point
R, and the corresponding time value of this point is the destruction tr .
The regression equation prediction model of displacement acceleration through the regression
analysis of the displacement-time curves of a large number of landslides, it is known that most
of the displacement-time curves can be fitted into a quadratic curve. Therefore, the fitting curve
can be used for extrapolation prediction, and its reliability generally depends on the continuity and
discreteness of the regression curve.
The fitting equation of general displacement acceleration is

y = c + bx + ax2 + δ (7)

491
 In the formula, δ is the influence value of random factor on displacement y. Therefore, in order
to minimize the sum of square deviation Q between the fitting curve and the corresponding value
of the monitoring value, the undetermined coefficients c, b, a in formula (7) can be obtained
according to the principle of least square method and the principle of finding extreme value, that
is, the partial derivative of the sum of square deviation Q is zero. Expand the system of equations
with zero partial derivative, sort it out and express it as a matrix.
⎛ % % 2 ⎞⎛ ⎞ ⎛% ⎞
N
% % x2 % x3 c %y
⎝ x ⎠ ⎝ b ⎠ = ⎝ xy ⎠
% 2 % x3 % x4 % 2 (8)
x x x a x y

By substituting the displacement or displacement velocity data of the monitoring point in a

specific landslide into (8), c, b, a can be solved, and the regression prediction equation of slope
dynamic change law can be obtained by substituting (7). If the equation is proved to be qualified,
the specific time x of landslide can be predicted.
In order to ensure the correctness of the prediction results, it is best to use the latest data in
∧
the monitoring period to fit the curve, and to eliminate the influence of random factors on y, the
residual standard deviation s can be obtained from the curve regression equation of the parameters,
as shown in formula (9).
.
/ N
/ ∧
s=0 (yi − yi )/(N − 3) (9)
i=1

6 STUDY ON PREDICTION CRITERION OF SLOPE LANDSLIDE

At present, there is no good universality and model. Therefore, in order to achieve accurate pre-
diction, it is necessary to establish some applicable landslide prediction criteria(Li 2003, Dawson
1999, Cho 2001). In this paper, combined with the actual situation of Xingfen Expressway, it is
decided to adopt the double criteria of slope plastic strain ε and horizontal displacement change
rate vf . The analysis is as follows.
(1)Plastic strain ε criterion
According to the traditional geotechnical creep theory, when the landslide occurs, the soil on
the sliding surface or sliding zone is completely destroyed, can’t continue to bear the load, and will
form a continuous plastic region, which is considered to be consistent with the sliding surface or
sliding zone. Therefore, the investigation of the plastic displacement at the characteristic point of
the slope (the foot of the slope) can judge the current state of the slope and predict the occurrence
time of the landslide.
However, the sliding surface of the slope is in a state of limit equilibrium everywhere, forming
a continuous plastic penetration zone, which is only a necessary condition but not a sufficient
condition for slope failure. Even if the soil on the sliding surface reaches the limit equilibrium
state. However, due to the constraint of boundary conditions, the soil will not be destroyed without
enough displacement. For example, if the water in the swimming pool does not have shear strength,
the whole water in the swimming pool is in a state of limit equilibrium. Due to the constraint of the
pool wall, the flow still does not occur. Therefore, the investigation of the plastic displacement at the
characteristic points of the slope can’t fully characterize the dynamic characteristics of the slope, so
it is necessary to comprehensively judge the stability of the slope by combining the displacement
parameters.
(2) Criterion of horizontal displacement change rate
From the point of view of the failure phenomenon of the landslide, when the landslide occurs,
the sliding body changes from the static state to the moving state, and the displacement and plastic
strain of the nodes on the sliding surface will change abruptly. After that, the displacement and

492
plastic strain will develop infinitely at a high speed, which is in line with the concept of slope
failure.
Therefore, the change rate of plastic strain or displacement at the characteristic points on the
sliding surface can be used as a sign of landslides in the overall instability of the slope.
Through the comparative analysis of the deformation rate before the occurrence of some land-
slides at home and abroad, the deformation rate is generally between 0.1 and 1000 mm/d, which
is quite different. In general, the critical deformation rate of clay slope is 0.1 mm/d; the critical
deformation rate of rock slope is 10 mm/d, 14.4 mm/d or 24 mm/d. For example, the critical defor-
mation rate of Xintan landslide is 116 mm/d, while that of Huanglashi landslide is only 2 mm/d.
Therefore, taking the deformation rate as the prediction criterion of landslide, it is necessary to
make a preliminary formulation according to the on-site geological conditions, and analyze the
monitoring results and adjust them in time in the process of monitoring.

7 CONCLUSION

This paper introduces the related theories of slope monitoring engineering and geological hazard
prediction. The prediction models and criteria of landslide prediction at home and abroad are
compared and analyzed. The monitoring items, forecasting models and forecasting criteria used in
the project supported by this paper are selected.
Comparative analysis of prediction models and criteria of slope geological disasters most widely
used at home and abroad at present, referring to the on-site conditions of Xing-Fen Expressway,
the horizontal displacement and deep displacement data monitored in the field are statistically
analyzed, and the displacement-time curve is fitted. Combined with the plastic deformation values
of characteristic points, the two variable curves are extrapolated to predict the specific time of
landslide. And in the sudden increase in the displacement rate of the slope safety timely early
warning, to provide reference to the relevant decision-making departments, so that it can make
corresponding countermeasures in time to avoid the loss of people’s lives and property to the
maximum extent.

REFERENCES

Cho S E, Lee S R. (2001). Instability of unsaturated soil slopes due to infiltration. J. Computers and Geotechnics.
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Li Xiuzhen, Xu Qiang, Huang Runqiu, et al. (2003). Study on landslide prediction criterion. J.Chinese Journal
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Sun Huaijun, ZhangYongbo. (2001). Present situation and development trend of landslide prediction. J. Journal
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Zhang Yonghui. (2010). Study on monitoring and early warning of highway landslides based on surface
displacement. J. Rock and soil Mechanics. 3672–3677.
ZhengYingren, Chen Zuyu, Wang Gongxian, et al. (2007). Slope and landslide engineering treatment. People’s
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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Dynamic monitoring of urban planning based on image

data fusion in multi-source remote sensing

Ting Xue
Xi’an Eurasian University, Xi’an, Shaanxi, China

Xuhui Zhao
Shaanxi Hanhua Industry Group Co., Ltd., Xi’an, Shaanxi, China

ABSTRACT: To realize the dynamic monitoring of urban planning, an automated system for
urban planning monitoring was proposed based on satellite remote sensing data, with a view
to monitoring new land-use changes. A combination of B/S architecture and C/S architecture
was adopted to build the system. In data acquisition module, WorldView-2, a commercial Earth
observation satellite, was used to acquire remote sensing data for urban planning. The high-speed
serial data among them was first adapted into computer-processable data and was then stored
in planning database, fundamental geographic information database and business database. Data
processing modules pre-process the remote sensing data in various databases through radiation
calibration and atmospheric correction, and extract various features of urban planning such as
roads and land use. Those features were then transmitted to release modules through the spatial
database engine and web server of a RF module, with S3C2410X as the processor, to realize
automated monitoring and display the results. Experiments verified that the system is able to
accurately monitor urban planning at different stages and new land-use change.

1 INTRODUCTION

Satellite remote sensing data is one of the most powerful ways to detect surface change coverage
in recent decades. Remote sensing satellites, launched through space engineering, can collect real-
time remotely-sensed images of urban land-use change, based on which a comprehensive urban
map can be constructed.
Due to the high level of economic development, a large number of cities have been increasing
the degree and form of land use. Many large and medium-sized cities are expanding rapidly, while
many smaller cities are also growing rapidly, accelerating the process of urban modernization.
However, urban planning problems gradually emerge during the process. When implementing
urban transformation, we are often not clear about the scope of land use, which hinders urban
reform and construction. Currently, a number of scholars have conducted research on this issue.
For example, Xin Chen et al. studied remote sensing monitoring of urban land cover change in the
arid zone of Central Kazakhstan based on cloud platform. Shangmin Zhao et al. studied remote
sensing methods for the dynamic monitoring of urban development status in Shanxi Province
based on DMSP/OLS data. However, it is still impossible to complete automated monitoring for
the interconversion of surface features.
In this regard, this paper proposed an automatic monitoring system for urban planning based on
satellite remote sensing data. The hardware part of this system is composed of data acquisition,
database and data transmission modules, while the software part is realized by pre-processing
remote sensing data and extracting road feature data. The two were then combined to achieve
dynamic and automated monitoring of urban planning.

494 DOI 10.1201/9781003308584-70

2 AN AUTOMATED MONITORING SYSTEM FOR URBAN PLANNING BASED ON
REMOTE SENSING

2.1 System structure overview

A combination of B/S architecture and C/S architecture was adopted to build a remotely-sensed
monitoring system for city planning. Currently, WorldView-2 is a commercial satellite, with high
resolution and rapid response, so it is used for data acquisition module to obtain remote sensing
data. After data conversion, the acquired data are stored into the database modules of each category.
Then, data processing modules pre-process the stored data and extracts various urban planning
features, which are transmitted to a release module through the spatial database engine and the
network server of RF module. Finally, the release module will send the monitoring results to various
clients to realize automated monitoring and show the results on display screens. The overall system
architecture is represented in Figure 1.

Figure 1. System architecture overview.

2.2 Design of data acquisition module

This module aims to convert the data into computer-processable data, and adjust the high-speed
serial data through the corresponding processing method, so that the synchronous operation can
be achieved when the data is exchanged between the satellite remote sensing equipment and the
computer. The principle of the acquisition module is represented through Figure 2.

Figure 2. Basic principles of data acquisition module.

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(1) Input interface circuits
When matching techniques for circuits, we select the terminal matching method of differ-
ential ECL circuit and constructs a matching circuit based on two-channel data by using the
simulation function of HyperLynx while considering the transmission line impedance. The
serial remote sensing satellite downlink data is adjusted to become parallel 32-bit data. After
adjusting the NECL level to PECL level, the serial PECL signal is converted to an 8-bit par-
allel signal to achieve signal down-conversion. And after that, the PECL level signal will be
converted to a TTL level signal through a signal level adjustment.
(2) Data collation
For the 8-bit TTL signal adjusted by PECL, it is adjusted to 32-bit parallel data format to
ensure that the data can be written to the FIFOs.
(3) FIFO circuits
To prevent the data from being missed when exchanging with the system and to realize the
real-time acquisition of downlink data, FIFO is constructed before data transmission, and a
large-capacity FIFO circuit is selected to realize the dual-channel data caching.
(4) Channel selection
Since this paper constructs dual data channels so that the data can be received by the database,
it is necessary to divide the data attribution before data storage and construct a “selection mark”
in front of the channel so that the PCI interface chip can read and judge.
(5) PCI interface
Since the PCI bus protocol cannot be realized by simple discrete components, this paper uses
a PCI interface chip with turnstiles to realize the PCI bus logic control. PLX9056 from PLX is
selected, and it offers high I/O acceleration and flexible connectivity to achieve maximum PCI
bandwidth. PLX9056 is a bridge-driven chip, so when the PCI bus and the local bus are used
for data transfer, block mode is adopted for data transmission. The PLX9056 contains three
connection local bus forms, namely M, C and J modes, and C mode, i.e., data bus mode, is
selected in this paper.
(6) Control circuit
When one of the two FIFOs outputs a “half-full” signal, the PLX9656 is used to output
an interrupt request, and when the interrupt operation is realized, the PLX9656 instruction is
obtained to set the PAE flag bit.

2.3 Design of database module

The database module constructed in this paper has three types of databases, through which the
collected remote sensing data of urban planning can be divided more comprehensively. The specific
structure of database module is shown in Figure 3. Figure 3 shows that fundamental geographic
information database contains various forms of topographic data; the business database stores data
of various engineering approval projects and business documents of cities; the planning results
database stores data of the completed city construction documents.

2.4 Design and implementation of RF module

The module realizes wireless transmission of satellite remote sensing data related to urban planning,
which is composed of ARM processor, SDRAM, FLASH, GPRS module (SIM300), UART port,
JTAG debug port, power supply and peripheral circuits, etc. Its structure is represented in Figure 4.
S3C2410X processor produced by Samsung is selected as the controller processor of the module.
It has ARM920T core, and it is a 16/32-bit RISC embedded form, including 3 channels of UART,
and thus power consumption is low while processing data. Meanwhile, it is equipped with a built-in
NANDFLASH controller and contains MMU function. The processor can work at a frequency of
more than 200 MHZ and realize 5-stage pipeline; two HY57V561620CT-H chips are used to form
SDRAM memory, which has a capacity of 64 MB and 32 bits, and the data communication module
mainly runs in this memory, which can enhance the speed of data processing during communication.

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Samsung’s K9F1208 and NANDFLASH with 64MB capacity are selected to store various non-
real-time data. SIM300 from SIMCOM is selected to form the GSM/GPRS module, which is
equipped with GPRS function and can support AT command and high built-in TCP/IP protocol
to achieve high-speed data transmission with low energy consumption. When the level-adjusted
UART interface is connected to the serial port of the GSM/GPRS unit, data control and interactive
transmission begin.

Figure 3. Structure of database module.

Figure 4. Structure of data communication.

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2.5 Implementation of system software
2.5.1 Pre-processing of remote sensing image data
When remote sensors acquire urban features, they are often affected by various substances such as
the atmosphere and cloud particles, resulting in the scattering phenomenon of the acquired data,
which makes the information received by the sensors contain non-target feature data. The spectral
reflectance of these non-target feature data is somewhat different from the actual feature reflectance,
so the radiation distortion phenomenon will occur and the quality of the acquired data will be
insufficient. The quality of the acquired data is not perfect. In this paper, the atmospheric radiation
correction is used to remove the influence of atmospheric transmission and diffuse reflection on
data quality. By adjusting the measured values of sensors, the values can be transformed into the
real ground reflectance. Therefore, the pre-processing of remote sensing data is realized through
two parts: radiation calibration and atmospheric correction.
(1) Radiation calibration This step is to construct a correlation between the data sent by each
detector of the remote sensors and its real radiation brightness of ground. When in the visible and
near-infrared wavelengths, WorldView-2 is used to influence the radiometric calibration and adjust
the DN values received by the sensor to a data image that represents the ground reflectance.
(2) Atmospheric correction
In this paper, MODTRAN4+ radiative transfer model code is selected to realize the correction
of the remote sensing data. In this way, the influence of the atmosphere on the reflection spectrum
can be improved, and image processing in visible and near-infrared bands can be realized. Thus,
the real reflectance of the features can be obtained with the help of atmospheric correction.

2.5.2 Road features and their extraction

Road features from remote sensing images refer to the differences in physical and geometric
characteristics of urban objects, which make the grayscale on the corresponding position of remote
sensing images vary. Since the geographical details in the satellite remote sensing data contain
a large number of features, it is necessary to extract road features in advance before dynamic
monitoring. µk and δk are used to describe the mean and standard deviation of each band of the
spectral features of remote sensing data, respectively. The calculation formula of the mean value
is:
n
1
µK = vi (1)
n i=1

where the image element value of remote sensing data is described by vi; the number of data pixels
is described by n; the number of bands is described by K.The standard deviation was calculated by
Equation (2):
.
/
/ 1 n
δK = 0 (vi − µK )2 (2)
n − 1 i=1

The steps to achieve road feature extraction based on spectral features of remote sensing data
are:
(1) The pre-processed remote sensing data are sampled and all the sampling points are counted,
and the multi-band spectrum of the actual road surface is calculated by Equations (1) and (2).
There are no interfering objects in this spectral road surface, that is, the mean value µk and
standard deviation δk of red, green, blue bands and near infrared bands can reflect the spectral
characteristics of the road surface. When road features are being extracted, the sampling points
will lower the extraction accuracy. Therefore, the number of selected samples is used to improve
the extraction accuracy of road features.
(2) Based on the statistical µk and δk in step (1), all the road points in the current city that meet
the road features are viewed and the road profile is collected, specifically through two parts: one
is the search criteria. For a certain point P to be judged, set the four-band spectral value of the

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judging point as KP . If the value of KP is close to the spectral statistics of the sampling point, then
the point can be selected as a road point. The value is:

µK − δK ≤ KP ≤ µK + δK (3)

If the point P is selected as the judgment point, δk is used as the judgment threshold to determine
whether point p can be a road point. The second one is the searching principles of road point. Taking
µk and δk as criteria, we traverse all the pixel points among the scope of city planning, obtain each
road point in all road, set the road point markers in turn, and draw the road outline.
(3) Mathematical morphology is used to process the extracted road features in depth. However,
errors such as spots, pedestrians and trees in the road that do not reach the spectral features could
occur after the processing. In such a case, corrosion, dilation, open operation and closed operation
in morphological operations can be used for eliminating errors.

3 EXPERIMENTAL RESULTS AND ANALYSIS

The monitoring capability of the system is verified in the form of simulation, and a city is selected
for simulating urban planning.
It is time-consuming to analyze that road feature extraction under different weather conditions
when the remote sensing data increase gradually. The analysis results of the extraction capability
are shown in Figure 5. According to Figure 5, with the gradual increase of road data, the extraction
time of road features under different weather also increases, among which, the extraction time
under sunny weather is the shortest, and the extraction time under hazy weather is the longest,
which is due to the existence of fog under hazy weather, which will lead to the increase of the
extraction time of remote sensing data. Although the extraction time under heavy rain and sandy
weather is higher than that under sunny weather, the extraction time for all kinds of weather does
not exceed 0.25 s, and thus the extraction of road features can be achieved faster.

Figure 5. Extraction capability of road features under different weather.

The urban expansion intensity, compactness, and land fractal dimension of the urban land expan-
sion index between 2000 and 2020 were analyzed, and the urban expansion is shown in Figure 6.
From Figure 6, we can conclude that the expansion index of the expansion intensity was the largest
in 2000, and decreased gradually with time, indicating that the city was at the peak of urban con-
struction in 2000. At the same time, the expansion index of the urban compactness decreased with
the expansion of the city, indicating that the urban construction area gradually expanded and the

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urban area became more compact. The expansion index of the urban land fractal dimension, on the
other hand, rose rapidly from 2000 to 2010 and tended to decline after 2010, indicating that the
urban land and land occupation reaches a peak in 2010, after which the rate of urban construction
gradually slowed down. Experimental results show that the system can effectively monitor the
planning status of the city at different stages.

Figure 6. Monitoring of urban expansion index by year.

The area and proportion of new land use of different land types in the city in 2020 were monitored.
Comparing the monitoring results with the actual results, we can obtain the area of new land use
(Table 1) and the proportion of new land-use (Figure 7). According to Table 1, the monitoring
of land use is in full conformity with the actual new area, and there are only small errors in the
monitoring of industrial, mining and storage land and transportation land, which indicates that the
proposed system in this paper can accurately monitor the area of new land-use. Figure 7 shows that
the highest percentage of land use is monitored for industrial and mining warehousing, indicating
the rapid development of the urban industrial and mining warehousing industry.

Table 1. Area of new land-use.

Types of Actual newly-added Newly-added area
land use area/hm2 by monitoring/hm2

Commercial land 1.85 1.85

Industry, mining and warehousing land 334.97 334.96
Residential land 116.57 116.57
Transportation land 293.67 293.65
Special land 7.69 7.69
Other construction land 14.97 14.97

The analysis of land planning allocation of arable land, non-agricultural land, idle land and
unused land in the six administrative districts of the city is shown in Figure 8. It can be seen
that among the six administrative regions, region 6 has the largest area of arable land and non-
agricultural land, while region 5 has the largest area of unused land among the six regions. The four
types of land-use for region 1 and region 2 are relatively small within the six regions, indicating
that these two regions have a small administrative area. Through the systematic monitoring, we can
more clearly derive the different land use of the six administrative regions.

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Figure 7. Percentage of the area of new land-use.

Figure 8. Monitoring of different land planning.

4 CONCLUSION

This paper designs an automated monitoring system for urban planning based on remote sensing
data. It can help monitor urban planning dynamically based on remote sensing methods and extract
various urban planning features such as road images by road feature extraction algorithm. The
results of the system monitoring were verified through experiments, and the land-use change of
different sites were obtained. In the future, we can continue to improve the monitoring capability of
the system according to the available system modules, and realize a dynamic real-time monitoring
of urban planning in all aspects.

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ABOUT THE AUTHOR

Ting Xue (born Sept. 1979), female, Han nationality, is from Xi’an, Shaanxi. Xue is an associate
professor with a master’s degree, and her research interests cover technical economics, engineering
surveying, and project management.
About the author: Xuhui Zhao(1983-), male, master, born in Xi’an, Shaanxi, mainly engages in
real estate management and city planning.
Real Estate Center, Xi’an Eurasia University, Yanta District, Xi’an, Shaanxi, 710065.
Ting Xue
Tel: 13572195349

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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Application of a new type of directional water exploration and release

drilling equipment in Shangwan Coal Mine

Jiajia Zhao, Kaibin Wang & Yuteng Li

Xi’an Research Institute of China Coal Technology & Engineering Group, Xian, China

ABSTRACT: The main means of coal mine gas drainage and directional exploration and drainage
is directional drilling. To ensure coal mine safety mining, the diameter of construction bore-
holes should be minimized. The existing directional exploration and drainage drilling equipment
is equipped with 73 mm drill pipe and drilling measurement system, and the diameter of bore-
holes is more than 94-108 mm, which is difficult to meet the needs of field construction. In this
paper, a new type of narrow-body ZDY4000LD (C) directional water detection rig is developed for
small-diameter directional water detection and drainage and gas drainage boreholes. The targeted
design is carried out in terms of its volume layout, torque, rotational speed, spindle inclination
angle, feeding process, and pulling force, and the 63 screw motor is equipped. A small-diameter
electromagnetic wave while drilling measurement system is developed, and a micro-power probe
circuit, a small-diameter structure, a high-sensitivity orifice controller, a wavelet flameproof and
intrinsically safe power supply are designed. The new directional exploration and drainage drilling
equipment is tested in Shangwan Coal Mine. The drilling length is 248 m, and the equipment is
reliable, which meets the practical application needs of the mine and ensures the safe and efficient
mining of the coal mine.

1 INTRODUCTION

In recent years, directional drilling technology (Shi & Yao 2019, 2020; Yao 2020) has played
an important role in coal mine safety mining, directional exploration and drainage (Li & Shi
2019), and gas drainage (Liang & Wang 2021). Directional drilling technology in the coal mine
is mainly divided into stable directional drilling technology and screw drilling tool directional
drilling technology. The stable combination drilling tool is realized with a single point inclinometer,
which has the advantages of low cost, simple structure, and large diameter drilling. With the
development of directional tools and borehole bending measurement technology, the directional
drilling technology of screw drilling tools with drilling measurement is rising. The technology has
high construction accuracy and flexible measurement trajectory direction in the process of drilling
construction, which is the main means of the gas drainage holes and geological exploration.
To ensure the safety of drilling construction and the stability of coal seam structure, gas drainage,
and water exploration drilling in coal mine enterprises The pore size is generally not more than
75 mm, so as not to collapse the coal pillar due to high flow rate. Although the pore size in the
new version of the “Rules for the Prevention and Control of Water in Coal Mines” is not more than
94 mm, the actual use is mainly based on the strata of coal mines, and small diameter boreholes
are selected as far as possible under the premise of ensuring safety. The existing drilling equipment
drill pipe diameter is 73mm, drilling diameter is 94-108mm above, it is difficult to meet the
actual needs of coal mine water prevention and control. Therefore, it is urgent to develop a new
narrow drilling rig and small-diameter electromagnetic wave measurement system suitable for
small-diameter drilling (Gu & Wang 2021; Wang 2019; Zhao 2020).

DOI 10.1201/9781003308584-71 503

2 GENERAL SITUATION IN MINE GEOLOGY

Shangwan Coal Mine is one of the main production mines of Shendong Coal Group. It is located
in Wulanmulun Town, Yijinhuoluo Banner, Ordos City, and Inner Mongolia. The minefield area is
61.8 square kilometers, the geological reserves are 1.23 billion tons, and the recoverable reserves
are 8.3 billion tons. Main mining 1-2, 2-2, 3-1 coal seam, which coal quality with low ash, low
sulfur, low phosphorus, and high calorific value characteristics, belongs to high volatile long flame
coal and unbonded coal, is high-quality power, coal to oil, chemical and metallurgical coal.
The test site is 22104 return airways, along the mining direction of the working face, the overall
negative slope of the coal seam is promoted, and some coal seams are affected by the structure.
The return air trough revealed two scourings: the scouring length at 11 # -12 # shunting tunnel was
160 m, and the maximum cutting amount of roadway side was 1.3 m; the length of scouring is 30
m at 136 m from the cut hole, and the maximum cutting top is 0.5 m; gangue thickness 0.05-0.15
m; the thickness of coal seam has little change and is relatively stable. The thinnest coal seam in
the working face is located at the 11 – 12 # shunting audit of the return airway, and the thickness
is about 4.51 m. The average coal thickness of the working face is 6.32 m. Through the analysis
and evaluation of the coal seam thickness exposure of 22104 working face, the recoverable index
of coal seam is 1, and the variation coefficient of coal seam thickness is 5.9 %. The analysis shows
that the coal seam structure of 22104 working face is simple, belonging to stable coal seam, and
the hardness is 2. The test was carried out in 22104 return airway for directional drilling of water
exploration and drainage. The purpose is to apply new directional drilling equipment to directional
exploration and drainage construction of the working face, ensure safe and efficient mining of coal
mines, and improve production efficiency and economic benefits of coal mines.

3 ZDY4000LD(C) DIRECTIONAL DRILLING RIG

3.1 Layout design of drilling rig

The design width of the drilling rig is 950 mm, the length of the car body is 3200 mm, the main
engine layout and the front of the car body, the motor pump group, and the fuel tank are discharged
in the middle of the car body, and the console layout and the end of the car body. This design can
effectively separate the operator from the drilling device and improve the construction safety of
the operator. Through the miniaturization design of the core components, the compact layout is
realized, which lays the foundation for the miniaturization of the whole machine.

3.2 Rated torque and speed of drilling rig

The designed rated torque of the drilling rig is 4000 – 1050 Nm, and the rated speed is 60 – 200
r / min, which can meet the requirements of common hole accident treatment. Taking torque and
speed as basic parameters, the matching hydraulic components are selected by design calculation.

3.3 Drilling angle and drilling azimuth angle

The adjustment range of the main shaft inclination angle of the drilling rig is designed to be
−90◦ ∼ +90◦ , so that the drilling rig can carry out various large-angle rotary drilling construction
in addition to the directional drilling construction, which improves the application scope of the
drilling rig.

3.4 Feeding process and feeding pulling force

Under the same conditions, the shorter the stroke of the feed device is, the shorter the total length size
of the feed device is, which can effectively reduce the space occupied by the transverse arrangement

504
of the feed device in the construction state of the ordinary roadway along the trough. In addition,
the length of the whole machine can also be reduced in the transportation state. Comprehensive
consideration, the drilling rig is designed to be 600 mm. By optimizing the connection form of the
feed cylinder, fuselage, and drag plate, the length of the feed device is minimized. Considering
comprehensively, the feed cylinder is designed as a hinged cylinder, the maximum feed and pulling
force is not less than 123 kN and 155 kN, which can meet the needs of directional drilling 300 m
and hole accident treatment. The new narrow directional drilling rig ZDY4000LD ( C ) suitable for
the narrow roadway is shown in Figure 1.

Figure 1. New narrow-body directional drilling rig ZDY4000LD (C).

3.5 Small-diameter screw motor

A 63 screw motor suitable for small diameter drilling was developed. The length of one screw
motor was 3.2 m. The motor was suitable for hydraulic drilling construction. The rotation speed
was 220 rpm, the drainage volume was 9.6 – 12 m3 / L, and the inclination angle was 1.25◦ , which
met the requirements of field construction. 63 small diameter screw motor as shown in Figure 2,
motor technical parameters as shown in Table 1.

Figure 2. 63 small diameter screw motor.

Table 1. Requirements of 63 mm external screw motor parameter.

Motor Displacement Diameter Length Deflection Output speed Torque

type m3 /h mm mm angle◦ Rpm Nm

Hydraulic 9.6 ∼ 12 63 3200 1.25 200 4000 ∼ 1050

4 SMALL DIAMETER ELECTROMAGNETIC WAVE MEASUREMENT WHILE

DRILLING SYSTEM

The small-diameter Electromagnetic Wave MWD consists of two parts: the borehole subsystem
and the orifice subsystem. The orifice subsystem includes an orifice controller and supporting
measurement software, explosion-proof and intrinsically safe power supply, receiving antenna and
electrode, explosion-proof keyboard, etc. The borehole subsystem includes an inclinometer probe,
wireless transmission probe, and borehole transmitting antenna. Its system composition is shown
in Figure 3.

505
Figure 3. composition of small diameter electromagnetic measurement while drilling system.

4.1 Working principle of small diameter electromagnetic wave MWD system

The drilling attitude, temperature, pressure, and azimuth (Fan 2018) of the borehole subsystem
are measured by the acceleration sensor (Wang & Zhang 2018) and magnetic sensor (Fan & Liu
2021; Dai &Yan 2017). This information is transmitted to the main control unit through the RS482
communication bus. The main control unit sends this information data to the modulation module and
becomes a low-frequency electromagnetic wave signal. After amplification, the insulation antenna
is coupled to the formation and propagates along with the formation to the orifice controller.
The orifice subsystem obtains the attenuated electromagnetic wave signal through the receiving
antenna composed of the drill string and the grounding electrode. After the signal demodulation,
the board in the orifice controller is processed by amplification filtering, demodulation, and other
signal processing, the obtained information is transmitted to the industrial computer of the orifice
controller through the RS232 communication bus. Finally, the attitude, temperature, azimuth, and
other data are obtained, and these data are processed by mapping so that the drilling trajectory
can be displayed in real-time to guide drilling. The working principal diagram of small diameter
electromagnetic while drilling the measurement system is shown in Figure 3.

Figure 4. Functional diagram of small diameter electromagnetic measurement while drilling system.

506
4.2 Key technologies of small diameter electromagnetic wave MWD system
(1) Micro-power probe circuit design
At present, the length of the coal seam and the through hole in Shendong mining area is not
more than 200 meters. In order to reduce the number of drills back and extend the working time
of the instrument in the drilling construction, the probe tube circuit is designed with low power
consumption. When selecting the device and designing the circuit, the low power consumption
device is selected as far as possible, and the circuit layout is used to minimize the line loss.
At present, the length of the coal seam and the through hole in the Shendong mining area does
not exceed 300 meters. In order to reduce the number of drills back and extend the working time
of the instrument in the drilling construction. The probe tube circuit is designed with low power
consumption, the probe circuit adopts a low power consumption design. When designing, try to
use low-power devices, and minimize line losses in circuit layout.
(2) Small diameter structure design
The hardware circuit of the probe tube in the hole subsystem of the electromagnetic wave is
miniaturized. The power control circuit, the transceiver circuit, and the battery protection circuit
are designed. The PCB is arranged as per the diameter of the probe tube. While the internal circuit
meets the requirements of probe diameter, the external probe mechanical structure and skeleton
should meet the IP54 protection level, and be resistant to water pressure, vibration, and impact
design.
(3) High-sensitivity orifice controller design
Due to the smaller diameter of the probe tube, the smaller diameter of a single battery leads
to the smaller battery capacity, so the battery capacity of the battery group decreases accordingly
under the same length. In order to ensure a reasonable working time, it is bound to reduce the
transmitting power of the probe tube, and the corresponding signal transmitted to the orifice will
be weakened to a certain extent. Moreover, the electromagnetic environment in the coal mine is
complex. The focus and difficulty of the controller design is to improve the sampling sensitivity
to ensure the reliable reception of the signal. It is proposed to solve this problem by reducing the
ripple coefficient of the power supply to improve the sampling accuracy of the sampling circuit,
optimizing the processing algorithm, and enhancing the shielding effect of the orifice controller.
(4) Small ripple flameproof and intrinsically safe power supply Design
The explosion-proof and intrinsically safe power supply required by the orifice controller in this
project intends to use the design concept of linear power (Xu & Jiao 2021) supply circuit instead of
switching power supply circuit to achieve the purpose of reducing the power ripple coefficient. The
linear power supply first reduces the voltage amplitude by passing the AC through the transformer,
and then the pulse DC is obtained by rectifying the rectifier circuit. After filtering, the DC voltage
with small ripple voltage is obtained. The linear power supply can achieve high stability, small
ripple, and small interference and noise. Therefore, it also reduces the interference to the weak
signal (Gou & Yan 2016) of the instrument. Small diameter electromagnetic wave measurement
system is shown in Figure 5.

Figure 5. Small diameter electromagnetic MWD system.

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5 PRACTICAL APPLICATIONS

ZDY4000LD (C) narrow tracked directional drilling rig and small-diameter electromagnetic wave
MWD system carried out 10 rotary drillings for water detection and drainage in 22104 return air of
Shangwan Coal Mine, Shendong Group, with footage of about 770 m. There were two directional
drillings, and the maximum hole depth was 248 m. The designed hole depth of 248 m finally
reaches the designated goaf area, which effectively guides the drilling of directional exploration
and drainage holes and achieves the expected construction effect. The drilling trajectory of No. 18
hole in 22104 working face of Shangwan Coal Mine is shown in Figure 6.

Figure 6. The actual drilling trajectory of No. 18 hole in the 22104-return air lane of Shangwan Coal Mine.

6 CONCLUSION

Aiming at 63 exploration and drainage borehole, a new directional exploration and drainage
drilling equipment was developed, which was composed of a new narrow body drilling rig and a
small diameter electromagnetic wave measurement system. The test shows that the new directional
water detection and drainage drilling equipment is used for directional water detection and drainage
test in 22104 return airways of Shangwan Coal Mine of Shendong Group. The drilling construction
length is 248 m, reaching the designated goaf. During the test, the equipment is stable and reliable,
which provides a guarantee for safe and efficient mining of coal mines, and indirectly improves
the production efficiency and economic benefits of coal mines.

ACKNOWLEDGMENTS

This work was financially supported by China Shenhua Energy Co., Ltd. Technology Innovation
Project (SHGF-17-13), Science and Technology Innovation Fund Project of China Coal Science
and Industry Group Xi’an Research Institute Co., Ltd. (2018XAYZD03), the Shaanxi Provincial
Key R&D Program Fund Project (2022GY-151), and the Shaanxi Provincial Key R&D Program
Fund Project (2022GY-147).

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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

New trend of domestic geological prospecting industry under the goal

of carbon neutrality

Yuan Yao, Lamei Li∗ , Jie Zheng, Junjie Yi, Hao Yan, Jing Ma & Xianglong Niu
Institute of Mineral Resources Research, China Metallurgical Geology Bureau Beijing, P.R. China

ABSTRACT: The proposal of peaking the emission and carbon neutrality ‘36.60’ will bring all-
round changes in the industrial structure of geological prospecting and promoting the transformation
and upgrading, which will also bring severe challenges as well as new opportunities to the industry.
The paper has, under the goal of carbon neutrality, mainly analysed the strategic optimization
and adjustment objectives that geological prospecting industry needs to focus on. Combining the
demand for unconventional, non-carbon and low-carbon new energy and resources, the paper has
analysed the layout adjustment of geological prospecting industry and the progress of studies on
geological prospecting and its technology.

1 INTRODUCTION

According to the data measured by Mauna Loa Observatory in Hawaii in May 2019, CO2 concen-
tration has reached a new high of 415.26 ppm, peaking the history of mankind for 23 million years.
CO2 is considered as one of the pollutants with the strongest greenhouse effect, and the increase
of CO2 concentration is closely related to climate deterioration. The United Nations pointed out
that the transformation could no longer be postponed. Otherwise, the number of people facing
flood disaster by 2050 would be increased from 1.2 billion to 1.6 billion (Chen 2020; Li 2021).
In September 2020, at the 75th UN General Assembly, China put forward the goal of “peaking
emission by 2030 and realize carbon neutrality by 2060”. “Carbon neutrality” means the balance
between the greenhouse gases emitted into the atmosphere and those absorbed by human beings in
a fixed area within a specific time (such as one year) is reached after the emission is peaked (Wang
et al. 2020).
To achieve the goal of peaking emission and carbon neutrality ‘30.60’, geological prospecting
is facing a severe test of low-carbon-oriented layout optimization and adjustment. In the process of
promoting low-carbon transformation, we should adhere to the low-carbon development principle,
stick to the reform and innovation in new technologies, the extension and application in the industry,
the cross-disciplinary cooperation, and stick to the promotion in the transformation and upgrading
in geological prospecting.

2 STRATEGIC OPTIMIZATION AND ADJUSTMENT OBJECTIVES OF GEOLOGICAL

PROSPECTING INDUSTRY

Based on the principle of peaking emission and carbon neutrality, the following aspects of adjusting
the strategic objectives of geological prospecting industry by choosing appropriate means to realize
carbon neutrality through carbon emission reduction and carbon storage.

∗ Corresponding Author: [email protected]

510 DOI 10.1201/9781003308584-72

2.1 Prospecting of strategically critical metal minerals and adjustment of prospecting
deployment
Under the background of “Peaking emission and carbon neutrality”, the domestic industry pattern
will be greatly adjusted. The development of traditional dominant industries facing the dual pres-
sures of economic growth and reduction in carbon emission will be severely limited, among which
the original two industries with high output – steel and electrolytic aluminum are facing limited
and reduced production. Therefore, the output of iron, manganese, aluminum and other minerals
will be limited; On the other hand, the high-quality development of emerging industries such as
wind power, photovoltaics, new energy vehicles, energy storage and fuel cells will inevitably lead
to an increase in the consumption of copper, rare earth, lithium, cobalt, nickel, platinum, palladium
and silver. Therefore, in the situation of “peaking emission and carbon neutrality”, the prospecting
of minerals shall be adjusted from solid minerals to strategically emerging and bulk shortage min-
erals(Dong et al. 2020). It is necessary to focus on the following two classes of metal minerals as
shown in Table1. The first class includes 27 types of minerals (metal minerals with more strategic
emerging applications), and the second class includes 13 types of minerals (metal minerals with
more traditional applications).

Table 1. Metal minerals analysis.

Metal Minerals metal minerals with more strategic copper, titanium, chromium, molybdenum, bismuth,
Analysis emerging applications (27 types) tungsten, tellurium, lithium, magnesium, silver, rare
earth, tantalum, selenium, strontium, palladium,
germanium, thallium, indium, hafnium, zirco-
nium, mercury, cobalt, rhenium, gallium, beryllium,
rubidium and cesium

metal minerals with more tradi- zinc, aluminum, cadmium, antimony, iron, lead,
tional applications (13types) manganese, nickel, niobium, gold, tin, vanadium
and platinum

2.2 Utilization of geological and mineral prospecting technology in CCUS

Carbon Capture, Utilization and Storage (CCUS) technology refers to the industrial process of
directly utilizing or storing carbon dioxide after separating it from emission sources to achieve
the reduction of carbon dioxide emission. Evolved from CCS, CCUS technology represents the
top of the current technology, which is an emerging technology that is expected to realize large-
scale low-carbon utilization of fossil energy. In China, the Ministry of Natural Resources, in
conjunction with enterprises in coal, petrochemical and industries, is carrying out 19 demonstration
projects of CCS geological storage project. As of the end of 2019, the accumulated carbon dioxide
storage of all CCUS projects in that year was only one ten thousandth of the annual emissions,
excluding traditional chemical utilization. The main problem at present is the high cost and low
benefit. Immature technology and high cost make these projects impossible to be carried out with
market orientation. Without market-oriented operation, it will be difficult to expand the scale of
the application. With the update of policy-oriented concepts, technological progress will reduce
costs and result in the low-cost, full-process, integrated and large-scale capture, utilization and
storage of carbon dioxide. CCUS will be an important means to reduce carbon dioxide emissions,
ensure energy security and achieve sustainable development in the future. The geological and
mineral prospecting technologies involved in CCUS as shown in Figure 1 which include the site
selection for the geological storage of carbon dioxide, the analysis of future potential carbon
storage of terrestrial ecosystem, technical evaluation on carbon capture, utilization and storage,
comprehensive geological survey, remote sensing, geophysics, drilling, sample collection and
testing, monitoring, numerical simulation and other technical methods.

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Figure 1. The geological and mineral prospecting technologies involved in CCUS.

2.3 Green prospecting technology and green mine construction

Under the dual requirements of “peaking emission and carbon neutrality” and “Clear waters and
green mountains are as good as mountains of gold and silver”, higher requirements have been put
forward for green mine construction and green prospecting technology.
In terms of green prospecting technology, we should apply green prospecting technology in
the process of mineral prospecting and implement the current green prospecting industry stan-
dards. The green exploration demonstration has covered 25 provinces and autonomous regions in
China, involving different landscape areas, different minerals, different exploration stages, differ-
ent sources of funds, etc; Shallow drilling technology (replacing groove with drilling), one-base
multi-hole technology, Geophysical chemistry remote sensing integration technology, modular
drilling rig, construction of standard machine, environmental protection mud, treatment of three
types of wastes and other technologies shall be applied (Zheng et al. 2021); The utilization effi-
ciency of energy resources needs to be improved. The associated minerals of bulk minerals need
to be focused on to promote the comprehensive application of minerals and the recycling of solid
waste; Researches on comprehensive prospecting methods and deep prospecting in key metallo-
genic areas shall be enhanced to increase the accuracy of prospecting, reduce ineffective works and
realize green and low-carbon prospecting.
In terms of green mine construction and in the whole process of mineral resources develop-
ment, we should implement scientific and orderly mining, keep the disturbance to the ecological
environment of the mining area and its surrounding areas under control, and realize the ecological
environment, scientificity in mining, high-efficiency in resource utilization, informationaliza-
tion and digitalization of management and harmony in mining areas; We should encourage using
abandoned mining areas to develop and construct new energy and energy storage projects, or plant
vegetation to improve carbon storage capacity. On this basis, tourism can also be developed to form

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a cultural industry; We should improve the clean and efficient mining of oil and gas, accelerate the
large-scale development of unconventional oil and gas resources such as shale gas, coalbed methane
and tight oil and gas, encourage oil and gas enterprises to use free construction lands to develop
renewable energy and build distributed energy facilities, and we should establish complementary
function systems in oil and gas fields.

2.4 Carbon emission detection, carbon monitoring and integration of carbon sources
In terms of carbon emission detection, the current national standards, industry standards, local
standards and group standards related to greenhouse gas detection have been sorted out. Meteorol-
ogy, environmental protection, petrochemical industry, agriculture and other departments in China
have put forward the standards of carbon dioxide measurement, including off-axis integrated cavity
output spectroscopy, non-dispersive (non-spectral, non-dispersive) infrared spectroscopy, Fourier
infrared spectroscopy, gas chromatography and rapid detection. It is worth noting that the study
of carbon isotope in environment, ecology and geology, retrieving the regional carbon cycle in a
certain period from another aspect, is also an important field.
One of the most important technical means at present is to use remote sensing satellite technology
to monitor carbon (including carbon sink calculation), especially the study on global climate change.
Commonly used means of atmospheric monitoring include ground weather stations, ground obser-
vation towers, high-altitude detection balloons, detection airships, etc., which are characterized by
three-dimensional monitoring (sky-air-ground). These technologies are currently concentrated in
China Meteorological Administration, Institute of Atmospheric Physics, Institute of Spatial Infor-
mation, and some universities. In 2016, China’s carbon satellite was successfully launched and
operated in orbit, becoming the third satellite with high-precision detection capability of green-
house gases in the world after GOSAT of Japan and OCO-2 of the United States. The main challenges
of satellite remote sensing of atmospheric carbon dioxide are demand in high accuracy, multiple
interfering factors and difficulty in inversion. The improvement of inversion technology is the very
core technology (IMRR 2021).

2.5 Control of environment pollution

Recycling is the most direct low-carbon environmental protection way. The extended geological
prospecting technology already has a certain foundation in the field of environment pollution con-
trol, such as sludge wet ecological treatment and resource utilization technology; By using purifying
materials in mineral and rock environment, natural manganese mineral formaldehyde purification
products can be developed to adsorb formaldehyde and other gases; By using hyperspectral remote
sensing technique in black and odorous water classification, the distribution characteristics of black
and odorous water can be quickly extracted, which will play a great role in water environment man-
agement and ecological environment protection; The analysis and test on the organic matter content,
total nitrogen content, soil bulk density, total water-soluble salt and PH value can provide basis for
environmental monitoring and control.

3 ADJUSTMENT OF GEOLOGICAL PROSPECTING LAYOUT AND RESEARCH

PROGRESS OF PROSPECTING TECHNOLOGY RELATED TO NEW ENERGY AND
NEW RESOURCES

The proposal of the goal of carbon neutrality has brought a great impact on the energy field, and the
adjustment in the energy structure is a necessary path to achieve carbon neutrality. Non-conventional
non-carbon and low-carbon new energy resources such as dry hot rock shallow geothermal energy
and marine gas hydrate have become the focus of research. By focusing on the urgent demand for
new energy and new resources, a series of layout adjustments have been done in the geological

513
prospecting industry. Meanwhile, great progresses have been made in the research on geological
prospecting and related technologies.

3.1 Research progress of dry and hot rocks

In 2017, China Geological Survey and Qinghai Provincial Department of Land and Resources
jointly organized and implemented the dry-hot rock exploration project in Gonghe Basin, Qinghai
Province. By drilling at a depth of 3,705 meters in Gonghe Basin, the high-temperature dry-hot
rock mass of 236◦ was obtained, which was a major breakthrough in the prospecting of dry-hot
rock in China. The indicator system for the site selection of hot-dry rock target area in China
was established, which included 8 indicators, namely, the terrestrial heat flow, thermal reservoir
lithology, overburden thickness, buried depth, in-situ stress (tectonic history), radioactive heat
generation rate, geothermal gradient and regional economy, and the favorable target areas of hot-
dry rock resources in China were preliminarily selected; The genetic mechanism of different types
of dry-hot rocks was put forward. Combined with these mechanisms, the dry-hot rock resources
in China could be divided into four types, namely, the high heat flow acid rock type, sedimentary
basin type, modern volcanic type and strong structural belt type. On this basis, the key target areas
of various types of dry-hot rock resources were determined.

3.2 Research progress of hydrothermal geothermal resources

The distribution characteristics of hydrothermal geothermal resources have been clearly investi-
gated at present. There are obvious regularity and zonality in the distribution of hydrothermal
geothermal resources in China, which are mainly distributed in eastern China, southeast coast,
Taiwan, Erdos rift basin, southern Tibet, western Sichuan and western Yunnan. Among them,
the geothermal resources of sedimentary basins are mainly distributed in Mesozoic and Cenozoic
plain basins in eastern China, including North China Plain, Hehuai Basin, Subei Plain, Jianghan
Plain, Songliao Basin, Sichuan Basin, Erdos Rim Fault Basin and other areas, and the resources
in these areas are medium and low temperature geothermal resources; Geothermal resources in
uplift mountains are mainly distributed in the southeast coast of China, Jiaoliao Peninsula and the
northern foot of Tianshan Mountains. Categorizing by temperature, high temperature geothermal
resources are mainly distributed in southern Tibet, western Yunnan, western Sichuan and Taiwan,
while resources in other areas are mainly medium and low temperature geothermal resources. The
total amount of hydrothermal geothermal resources in China (equivalent to standard coal) is 1.25
trillion tons, and the annual recoverable amount (equivalent to standard coal) is 1.865 billion tons,
which are mainly medium and low temperature geothermal resources and some of them are high
temperature geothermal resources(Wang et al. 2017; 2020).

3.3 Research progress of natural gas hydrate resources in sea area

Natural gas hydrate in sea area is considered to be an important alternative energy for oil and natural
gas in the future. As of the end of 2020, China has carried out two trial production of natural gas
hydrate in the sea area. In 2017, China carried out the first trial production of natural gas hydrate
with a water depth of 1,266 meters and a burial depth of 200 meters. In the trial production,
free gas and water-soluble gas were collected by formation saturated fluid extraction method for
about 60 days, and the total gas production was about 300,000 cubic meters. Among them, the
average daily gas production from May 10 to May 18 exceeded 16,000 cubic meters, exceeding
the expected target of “10,000 cubic meters per day for one week”. Several major breakthroughs
have been made, such as long continuous gas production time, stable gas flow and environmental
safety. Meanwhile, the feasibility of depressurization method has been fully proved. In 2020, China
carried out the second test production, a series of advanced technologies including horizontal well
and depressurization method were used. The trial production had set two world records of total
gas production of 861,400 cubic meters and average daily gas production of 28,700 cubic meters,

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realizing a great leap from “exploratory trial production” to “experimental trial production” (Hou
et al. 2021). The two successful trial productions have proved that the exploitation technology of
natural gas hydrate in sea areas in China is leading in the world. However, commercial application is
still not available. It is necessary to continue researches on cost reduction, efficiency improvement,
safety and environmental protection.

4 CONCLUSION

Based on the results and discussions presented above, the conclusions are obtained as below:
(1) With the proposal of the goal of peaking emission and carbon neutrality “30.60”, the geological
prospecting industry is facing great changes, as well as new opportunities and development
trends.
(2) The geological prospecting industry shall focus on the adjustment of the prospecting of key
strategic metal minerals and prospecting deployment, the utilization of geological mineral
prospecting technology in CCUS, green prospecting technology and green mine construc-
tion, carbon emission detection, carbon monitoring, carbon sources integration, environmental
pollution control and other fields.
(3) With the change of energy structure demand, a series of pattern adjustments have been made in
the geological prospecting industry. Significant progress has been made in geological prospect-
ing and related technologies of hot new energy resources such as dry hot rocks, shallow
geothermal energy and natural gas hydrate in sea areas.

ACKNOWLEDGMENTS

The research of this paper has been supported by China Metallurgical Geology Peaking Emission
and Carbon Neutrality Research Center.

REFERENCES

Li B. (2021) Research on China’s role in global climate governance [D]. Shandong. Shandong University.
Chen W.L. (2020) Understanding China Deeply Amid Global Changes[J]. Renming Luntan·Xueshu Qianyan,
(18):90–111.
Dong X.S., Huang J.B., Zhong M.R., et al. (2020) A review on the impact of technological progress on critical
metal mineral demand[J]. Resources Science, 42(8):1592–1603.
Hou L., Yang J.H., Liu Z.X., et al. (2021) Current status and suggestions on development of marine gas hydrate
technologies in China[J]. World Petroleum Industry, 28(03):17–22.
Institute of Mineral Resources Research, China Metallurgical Geology Bureau.(2021) Progress report on
peaking emission and carbon neutrality (internal) [M].
Wang C., Zhang Y.X. (2020) Implementation pathway and policy system of carbon neutrality vision[J].
Environmental conformity Assessment, 12(6):58–64.
Wang G.L., Zhang W., Liang J.Y., et al. (2017) Evaluation of geothermal resources potential in China[J]. Acta
Geoscientia Sinica, 38(4): 448–459.
Wang G.L., Liu Y.G., Zhu X., et al. (2020) The status and development trend of geothermal resources in
China[J]. Earth Science Frontiers,27(1):1–9.
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project[J]. China Mining Magazine, 30(11):37–41.

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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Integrated automatic landslide monitoring and reliability analysis

Jie Zhai∗
Beijing Shisanling Pumped Storage Power Station, State Grid Xinyuan Co., Ltd., Beijing, P.R. China

Lanyu Xu∗
Nanjing Research Institute of Hydrology and Water Conservation Automation, Ministry of Water Resources,
Nanjing, P.R. China

Yi Zhang & Yuan Zhang

Beijing Shisanling Pumped Storage Power Station, State Grid Xinyuan Co., Ltd., Beijing, P.R. China

ABSTRACT: The stability problem of slope is one of the hot issues in the field of reservoir safety
at present, but the relevant theories have not been built up. This paper developed an integrated
automatic landslide monitoring device by joint use of GNSS technology and MEMS sensors which
can collect internal and surface deformations at the same time. The well-developed device has been
tested on a landslide-prone slope of Shisanling Reservoir. The results show that the data obtained
are reliable and the surface displacements measured by GNSS and MEMS sensors integrated in
this device are consistent, which identify the accuracy and reliability of the system.

1 INTRODUCTION

The stability of slope engineering has always been the focus of research in water conservancy,
geotechnical and construction industries (Shen & Yu 2017; Xie et al. 2016; Zeng et al.; 2019),
and the traditional strategy such as real time monitoring is always executed to solve such problems
(Dong et al. 2016; Li et al. 2021). As we know, slope displacement monitoring including deep
and surface deformation monitoring are the most intuitive form enable to reflect the stability or
instability of the slope engineering (Cai et al. 2016; 2018).
In recent years, GNSS and MEMS technologies have been developed rapidly, and their reliability
and accuracy have been greatly improved, which have been well applied in many water conservancy
projects at home and abroad. GNSS can collect the absolute location of measuring points in
real time, which has the advantages of high precision (mm level), automatic remote, long term
monitoring at high speed, three- dimensional positioning capacity and working in all-weather(Chen
et al. 2019; Ela et al. 2020). It is often applied in continuous monitoring of surface three-dimensional
displacement deformation and velocity in large area and different deformation stages. However, a
well-known limitation of GNSS is that its limited accuracy of surface deformation prediction, which
is mainly due to the inconsistency between surface deformation and slip surface displacement and
certain precision differences caused by different monitoring principles. So it is more suitable for
middle and later stages of slope sliding under large deformation. As the characteristics of high
precision, large measuring range, strong anti-interference and corrosion resistance, automatic real-
time monitoring and so on (Abdoun et al. 2008; Chen et al. 2015), MEMS sensing technology
is suitable for stages of landslide monitoring in large area to obtain deep displacement which can
help us predict the slip surface. However, it’s all based on the assumption that the bottom end of
the inclinometer tube serves as a stable reference and must be embedded beyond the displacement

∗ Corresponding Authors: [email protected] and [email protected]

516 DOI 10.1201/9781003308584-73

zone, which is not true in practical engineering. The South-to-North Water Transfer Project is the
case, and its internal deformation is even greater than the surface deformation.
So in this paper the integrated automatic landslide monitoring device by joint use of GNSS
technology and MEMS sensors are tested on a landslide-prone slope of Shisanling Reservoir. Then,
the whole process of internal and surface deformation of the slope is comprehensively analyzed,
and the test measurement of GNSS and MEMS sensors data are also compared and analyzed. The
up research will contribute to the supplement and verification of internal and surface deformation
of landslide, and further broaden the application field of GNSS and MEMS techniques.

2 CONSTRUCTION AND GEOMETRICAL DIMENSIONS OF SPECIMENS

The basic requirement of integrated automatic landslide monitoring device is to ensure measured
values of surface point by GNSS the top of the inclinometer tube by MEMS are consistent in space
and time.
The spatial consistency mainly includes two aspects: consistency in position and coordinate. Then
data inconsistency and even contradiction may occur due to the different installation positions of
GNSS and MEMS sensors, as well as monitoring accuracy, error and other factors. To solve this
problem, we propose a new device to integrate measurements from GNSS and MEMS sensors.
Both of them are connected by concrete observation pier, the GNSS receiver fixed on the top of
the pier to obtain the surface deformation and the upper of inclinometer tube to record internal
deformation (Figure 1), which ensure the consistency between the top set of MEMS inclinometer
and GNSS data. This integrated automatic landslide monitoring device enables real-time fusion of
deep and surface data.

Figure 1. Integrated automatic deformation monitoring device.

In addition, the GNSS references World Geodetic System 1984 (WGS 84), which are only
geodetic plane coordinates after projection transformation, while the MEMS records reference the
coordinate system according to the slope direction. Therefore, the angle between the two coordinate
systems should be first measured during installation, then transfer the original data into the database
to ensure the consistency of the two measured values in space.

517
 While for the time consistency, both of the monitoring time and frequency should be synchronized
as far as possible, and the same initial value time should be set, so as to obtain a consistent cumulative
change.
Then according to the principle of deformation transfer, the three-dimensional underground
deformation is obtained by piecewise approximation, and the accuracy of approximation is adjusted
by the length of each piecewise inclined rod. In the approximation process, it is assumed that the
deformation of each section can be measured by the inclination of the inclinometer, and the three-
dimensional deformation of each underground point can be obtained by adding up the deformation
of each section.

3 ENGINEERING APPLICATION

3.1 Layout of measuring points

The integrated automatic landslide monitoring device mentioned above was installed on a natural
landslide site (Point IN05) in Shisanling Reservoir in May 2021, where the inclinometer tube was
used to observe internal deformation with digital inclinometer probe manually before, resulting poor
real-time data. As mentioned above, MEMS inclinometer enabled us to obtain three-dimensional
deformation of deep displacement, while GNSS and the top MEMS sensor were both used to
obtain surface deformation in Point IN05, defining the X direction as the original direction along
the slope. As shown in Figure 2, assumed the X direction of GNSS coordinate as east direction
and the X direction of MEMS coordinate along the slope, the angle between the two coordinates
is about 170 degrees.

Figure 2. Location of the in situ monitoring site, which is conducted on a natural landslide site in Shisanling
Reservoir, Beijing, China.

3.2 Results & discussions

1)Horizontal displacement along the depth: Since June 17, 2021, the initial value of the deep
horizontal displacement of the Point IN05 on the slope has been obtained. The inclinometer tube
is 29.5 meters long, and the top MEMS sensor is 0.2 m under the ground. To verify the accuracy
and reliability of the data collected by the device, the monitoring data collected by the new test
device were compared to the records of earlier systems provided by digital inclinometer. Figure
3 shows basically the similar distribution of the curves along the depth direction by different
measurements, which is roughly divided into four sections with good consistency. Cumulative
variation distribution along the depth at Point IN05 shows a positive displacement from 2015
to 2018, then the displacement slows down, after which there is a trend of slow decline and

518
oscillation in the negative direction of X. After the installation of the integrated automation device
in June 2021, the weekly cumulative displacement distribution after one month is selected as a
comparison, when the change of monitoring value is very small (less than 1mm) and conforms to
the historical variation. Therefore, it can be considered that monitoring results of the integrated
automatic landslide monitoring device are reliable.

Figure 3. Cumulative variation distribution along the depth. (a) Cumulative deflections of earlier systems
provided by digital inclinometer per year from 2015 to 2020, (b) Cumulative deflections of earlier systems per
quarter in 2020, (c) Cumulative deflections collected by the new integrated device from July 29 to August 27
2021.

2)Surface horizontal displacement: Times series of the daily cumulative displacement variation
by real-time GNSS and the top MEMS sensor are shown in Figure 4(a). The Figure 4(b) shows a
good correlation between the two data results, and a strong impact on the correlation coefficient
0.65 though the GNSS data are larger than MEMS data. The Figure 4(b) shows the difference
between the two displacements is increasing slowly with time.

Figure 4. Times series of the daily cumulative displacement variation and scatterplots by real-time GNSS
and MEMS sensors. (a) Times series of the daily surface cumulative displacement variation by GNSS and
MEMS sensors, (b) scatterplot between the above two variables, (c) Times series of the difference between the
up two variables from July 28 to August 28 2021 in the top of the measuring point.

519
 3)Cause of the Differences: The results show that the surface displacement monitored by GNSS
and MEMS has a strong correlation, but there are also some differences. For example, the GNSS
measurements are bigger than the MEMS records, and the difference between the two increases
slowly with time. There may be three reasons for this difference:
• Different installation height. Although both are fixed on the concrete pier, the GNSS receiver
is 1.3m higher from the ground, and the top MEMS sensor is 0.2m lower from the ground. The
installation height is different, and the monitoring displacements may be different.
• Different accuracy. The difference of data accuracy caused by the difference of structure per-
formance and observation principle between the two instruments. The horizontal monitoring
accuracy of GNSS is about 2 mm, and the monitoring accuracy of MEMS sensor can reach
0.1 mm. Due to the short installation time and small deformation of the location, the accuracy
difference between the two will cause the difference of monitoring data.
• The bottom end of the inclinometer tube is not stable. The displacement of the top MEMS
sensor is calculated according to the cumulative calculation of the bottom segment by segment,
assuming the bottom point stable. The above reasons can’t explain the gradual expansion of
the difference between the two results. However, when the deep measuring point is the moving
point, and that may be one of the reasons for the gradual increase of the difference.

4 CONCLUSION

Based on the results and discussions presented above, the conclusions are obtained as below:
(1) The internal deformation obtained by the integrated automatic landslide monitoring device
are reliable, and the consistency of surface deformation is good, both of which verifies the
accuracy and reliability of the system operation. The real-time monitoring can reflect the real
deformation characteristics of the landslide, thus form a basis for a reliable early warning
landslide system.
(2) The device by joint use of GNSS technology and MEMS sensors which can collect internal and
external deformations at the same time, which solves the problems of single monitoring item,
low efficiency, poor real-time performance and monitoring accuracy by the original digital
inclinometer probe manually. It can truly achieve a full range of effective monitoring, internal
and external data check each other, which will help us analyze the actual situation of the slope
more accurately and reliably.
However, as a demonstration application of the new technology, this paper only analyzes its
applicability and reliability through the application of a single point in the field, which can’t
represent the whole deformation characteristics of the slope. In the future, research will be focus
on three-dimensional visualization of landslide for online analysis.

ACKNOWLEDGMENTS

This work was financially supported by the Research and Application of Integrated Monitoring
System for Surface-Internal Deformation of West Outer Slope of Upper Reservoir of Shisanling
Pumped Storage Power Station (SGXYKJ-2020-009).

REFERENCES

Abdoun T, Pd V. Bennett, L Danisch, M Barendse. Real-Time Construction Monitoring with a Wireless Shape-
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United States: 2008 [C].

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Cai Jialun, Zhang Wenjun, Li Yuanyuan, Ren Shuai. Landslide stability analysis based on law of surface
displacement [J]. Science of Surveying and Mapping, 2016, 41 (3): 96–99.
Cai Qing’e, Zhao Dong, Xia Wangmin. Data Analysis of the Monitoring of the Deep Displacement of the
Landslide [J]. Journal of Catastrophology, 2018, 33 (S3): 156–160.
Chen He, Li Yajun, Fang Rui, Li Guo. A NOVEL TECHNIQUE FOR MONITORING DEEP DIS-
PLACEMENT AND EARLY-WARNING OF LANDSLIDE [J]. Chinese Journal of Rock Mechanics and
Engineering, 2015, 34 (S2): 4063–4070.
Chen Jiaxing, Zhao Lanying, Si Changliang. Mechanism analysis of reactivation evolution of ancient detritus
landslide [J]. Yangtze River, 2019, 50 (10): 126–130.
Dong Wenwen, Zhu Honghao, Sun Yijie, Shi Bin. Current Status and New Progress on Slope Deformation
Monitoring Technologies [J]. Journal of Engineering Geology, 2016, 24 (6): 1088–1095.
Li Yuansong, Wang Yu, Zhu Donglin, an Haitao, Dai Zhe1. Research Status and Developmental Trends of
Slope Stability Evaluation Method [J]. Journal of Wuhan Institute of Technology, 2021, 43 (04): 428–435.
Šegina Ela, Peternel Tina, Urbanèiè Tilen, Realini Eugenio, Zupan Matija, Et Al. Monitoring Surface Displace-
ment of a Deep-Seated Landslide by a Low-Cost and near Real-Time GNSS System [J]. Remote Sensing,
2020, 12 (20): 3375–3375.
Shen Renbao, Yu Daijun. Deformation Monitoring and Analysis of a Deep Foundation Pit [J]. West-China
Exploration Engineering, 2017, (1): 1–5.
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Mining, 2016, (1): 151–157.
Zeng Gang, Wang Shimei, Zheng Jun, Chen Yufei. Stability analysis and reactivation criterion of Yangjiatuo
Landslide in Three Gorges Reservoir Area [J]. Yangtze River, 2019, 50 (11): 130–133.

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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Research on integrated surface-internal three-dimensional automatic

deformation monitoring device for slope

Jie Zhai∗
Beijing Shisanling Pumped Storage Power Station, State Grid Xinyuan Co., Ltd., Beijing, China

Lanyu Xu∗ & Xiaoxuan Zhang

Nanjing Research Institute of Hydrology and Water Conservation Automation, Ministry of Water Resources,
Nanjing, China

Yi Zhang & Yuan Zhang

Beijing Shisanling Pumped Storage Power Station, State Grid Xinyuan Co., Ltd., Beijing, China

ABSTRACT: Deformation is one of the most significant forms to reflect slope stability. The exist-
ing slope deformation monitoring is mainly completed by setting surface deformation or internal
deformation monitoring items independently, mainly resulting in a complex measurement process,
large cumulative error, and manual data correction. The surface Global Navigation Satellite Sys-
tem(GNSS) technology combined with the internal Micro Electro Mechanical Systems(MEMS)
monitoring technology and the new embedded system are used to develop a surface-internal defor-
mation integrated automatic measurement device, which can achieve truly all-round and effective
monitoring. The data are checked with each other, and the actual operation of the slope will be
more accurate and reliable.

1 INTRODUCTION

The safety monitoring of slope engineering has always been the focus of research in water conser-
vancy, geotechnical, and construction industries (Chen et al. 2015; Zhang et al. 2020; Zhong et al.
2012). Prototype monitoring is often used for slope monitoring, such as displacement monitoring,
physical field monitoring, and external environment monitoring. Then displacement monitoring is
the most basic conventional monitoring method as its most intuitive form of presentation, mainly
including internal deformation, and surface deformation. As we know, monitoring technologies
such as theotheoite, total station, level, measuring robot (Xu et al. 2015), GNSS (Wu et al. 2015),
interferometric synthetic aperture radar (InSAR) measurement technology (Chen et al. 2019) and
3D laser scanning (Huo et al. 2017), and so on, are always used in surface deformation monitor-
ing, which provides surface deformation as absolute values. However, the accuracy of landslide
prediction based on surface deformation is very limited because of the inconsistency between
surface deformation and landslide deformation. Internal deformation has more concealment and
suddenness, which has a very serious impact on the safe operation of slope engineering. It can be
obtained by inclinometer, multi-point displacement meter, optical fiber sensing technology (Han
et al. 2019), TDR technology (Zhang 2007), and array displacement meter (Bendea 2019; Wang
& Xu 2017; Zheng et al. 2020,), which provide deep displacement as relative values. However,
many practical projects often encounter difficulties when judging the real stability of the deep
base. Many measuring results such as the south-to-north water transfer project have shown that
the internal deformation is even larger than the surface deformation. In addition, the above moni-
toring technologies can only measure the internal deformation or surface deformation and do not
organically combine the internal deformation and surface deformation. At the same time, there

∗ Corresponding Authors: [email protected] and [email protected]

522 DOI 10.1201/9781003308584-74

are disadvantages such as complex measurement process, largely accumulated errors, and manual
data correction. Therefore, it is very necessary to study a kind of instrument that can accurately
perceive and reflect the surface and internal deformation of the slope, which can avoid large labor
costs and difficult data calculation and reduce accidental and calculation errors.
GNSS monitoring technology has the advantages of high accuracy (mm level), automatic remote
monitoring, all-weather, fast, three-dimensional deformation measurement, is not limited by terrain
accessibility conditions and climate conditions, and high reliability. It is suitable for continuous
monitoring of three-dimensional surface displacement deformation and velocity in different defor-
mation stages of landslides in large regions. MEMS sensing technology has the characteristics of
higher precision than the inclinometer, larger range, strong anti-interference, corrosion resistance,
automatic real-time monitoring, and so on. It is suitable for determining the sliding surface dis-
placement and monitoring the deep displacement of landslides in various deformation stages in
a wide range. MEMS technology and GNSS technology have developed rapidly and have been
successfully applied in projects of Lianghekou, Miao Wei, and South-to-north water transfer in
China.
Therefore, this article is designed with a new integrated automatic displacement-monitoring
device by combining GNSS and MEMS technologies, employing the GNSS technique to get high
precision surface deformation while using MEMS sensors to collect deep deformation. Then in
combination with a new type of embedded systems, we develop the new landslide monitoring
system which automatically receives GNSS data and MEMS data in real -time, and is applied to
the Ming Tombs Reservoir. The system is tested on a landslide-prone slope of Shisanling Reservoir
and its performance is evaluated under the actual field conditions.

2 THE INTEGRATED AUTOMATIC DEFORMATION-MONITORING DEVICE

2.1 Device structure

The newly designed integrated 3D automatic deformation-monitoring device consists of a sur-
face deformation-monitoring component and an underground deformation monitoring chain. The
structure of the device is shown in Figure 1.

Figure 1. Construction and geometrical dimensions of specimens.

2.2 Principle and algorithm

According to deformation transfer principle, the underground three-dimensional deformation along
the inclinometer tube can be obtained by taking the top ground horizontal displacement obtained

523
by GNSS as the start point and accumulating downward in turn to solve the problem to ensure the
real stability of the deep base. The calculation steps are as follows:
1) GNSS data are referred to as the surface displacement at time t. To communicate the three spatial
dimensions, we use the X, Y, and Z coordinates. X and Y denote horizontal displacement, Z
denotes vertical displacement. The flexible connection of each deformation monitoring unit is
defined as the origin of coordinates. The coordinate system group is X1-Y1-Z1, X2-Y2-Z2... ,
Xi-Yi-Zi, each coordinate system set is parallel to each other. The ground deformation at time
t is obtained by using the ground deformation monitoring component, denoted as x0 (t), y0 (t)
and z0 (t) .
2) According to the surface displacement measured at time t, the three-dimensional coordinates of
the corresponding point A(i) of the ith underground deformation monitoring unit are obtained
by taking the following Equations (1) ∼ (3):
n
xn (t) = x0 (t) + Li (t) sinαi (t) (1)
i=1

n
yn (t) = y0 (t) + Li (t) sinβi (t) (2)
i=1
n 1
zn (t) = z0 (t) + Li (t) [cosβi (t)]2 + [sinβi (t)]2 (3)
i=1
Where Li (t) is the length of the ith guide bar at t time; α i (t) is the angle between the axis
of the corresponding guide bar and the Yi-Zi surface in the ith deformation monitoring unit
at t time, β i (t) is the angle between guide rod axis and Xi-Zi surface in the ith deformation
monitoring unit at t time, Xi (t), Yi (t) and Z i (t) denote the X, Y and Z coordinates of the point
under the ground at t time, where n=1,2...., i.
3) According to three-dimensional coordinates of point A(i) at the t moment and the initial time,
get three-dimensional deformations of point A(i).

Figure 2. Three dimensional coordinate system of deformation unit.

2.3 Landslide monitoring network

In a poor environment such as with no or poor mobile phone signal in the sloping site, a special
wireless network coverage scheme can be adopted, and NB-IoT, Mesh, Zigbee, LoRa, 5G, and
other ways can be used to carry out ad hoc networking or integrate into the public network easily,
and realize bidirectional communication with the background computer or mobile terminal.

524
3 APPLICATION

3.1 Project introduction

The prototype was tested on one of the most active slopes measuring point IN5 in Shisanlin Reser-
voir, i.e., the slope in the west of the upper reservoir. In the early time, boreholes were used and
deep displacement was collected by manual inclinometer, which resulted in a poor real-time per-
formance of monitoring data and large measurement errors when the deep point of the casing is
not stable. The objective of this test is to present the first results of the designed-monitoring device
and to evaluate its performance under actual field conditions.

3.2 Field application

A concrete observation pier was built at measuring point IN5 to ensure both the GNSS receiver and
MEMS sensors were located in the same location of the point (Figure 3), while the GNSS receiver
was fixed on the top of the pier and the MEMS sensors were installed in the early inclinometer
tube. Then we got the surface displacement by GNSS and lateral displacement in the depth of the
inclinometer tube, which also ensured the consistency between the top set of MEMS inclinometer
and GNSS data. This integrated automatic landslide-monitoring device enabled the real-time fusion
of deep and surface data.
After implementation of the designed integrated automatic deformation-monitoring device in
this test, we can simultaneously measure the three-dimensional displacements along with the depth
of inclinometer tube and display the results to the cloud platform in real time (Figure 4). At the
same time, it also has diversified chart display, professional correlation analysis, early warning
alarm, report statistics, and other functions, to provide safe, reliable, real-time, comprehensive,
timely, and effective information services and ensure the safety status information of measuring
points is known in time.
The monitoring displacements were evaluated for its good performance through a comparison
with the top set of MEMS inclinometer and GNSS data. The results of real-time monitoring
using the designed integrated automatic deformation-monitoring device by the joint use of GNSS
technology and MEMS sensors provided a detailed insight into the pattern of top-depth displacement
of landslide movements.

Figure 3. Prototype of the designed device in the field.

525
Figure 4. System application interface.

4 CONCLUSION

The newly developed integrated automatic deformation-monitoring device by the joint use of GNSS
technology, MEMS sensors, and the new embedded system presented good real-time results of the
three-dimensional displacements along with the depth of the inclinometer tube, and well-evaluated
its performance through a comparison with the top set of MEMS inclinometer and GNSS data under
actual field conditions. All-round effective monitoring and well-known of the actual operation of
the slope has been enabled.

526
 The integrated automatic-monitoring device enabled to improvement in the technical level of
slope safety monitoring, data fusion ability, and integration level, which provides a new insight to
ensure timely mastering the safety operation of slope engineering. At the same time, it can also
serve the large underground caverns, deep underground tunnels, and other environments.

ACKNOWLEDGMENTS

This work was financially supported by the Research and Application of Integrated Monitoring
System for Surface-Internal Deformation of West Outer Slope of Upper Reservoir of Shisanling
Pumped Storage Power Station (SGXYKJ-2020-009).

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Accelerometers [10.3390/app9235075]. 19 November 2019. http://www.mdpi.com/journal/applsci.
Casagli, T.C.V.T.L.L.F.R.S.B.D.B.P.T.N. Combination of GNSS, satellite InSAR, and GBInSAR remote sensing
monitoring to improve the understanding of a large landslide in high alpine environment [J]. Geomorphology,
2019, 335 62–75.
Chen He, LiYajun, Fang Rui, Li Guo. Study on new technology of landslide deep displacement monitoring and
early warning and prediction [J]. Journal of rock mechanics and engineering, 2015, 34 (S2): 4063–4070.
Chen Xingfang, Zhang Fucun, Wang Xiaodong, Guo Defu, Jiang Yuxiang. Study on landslide disaster moni-
toring based on Time-series InSAR technology [J]. Engineering of Surveying and Mapping, 2020, 29 (05):
45–49.
Han Heming, Zhang lei, ShiBin, Wei Guangqing. Prediction of majiagou Landslide deep displacement based
on optical fiber monitoring and PSO-SVM model [J]. Journal of Engineering Geology, 2019, 27 (04):
853–861.
HuoXinJie, Cui Lei, Jiang Guohui, Wu Dapeng. Analysis of application of 3D laser scanner in slope
deformation monitoring [J]. Bulletin of Surveying and Mapping, 2017, (11): 157–158.
Li Zhihong. Application of GNSS system in slope deformation monitoring of Huangjinxia Dam abutment [J].
Yellow River, 2021, 43 (01): 125–128.
Wang Wenguang, Xu Hui. Experimental study on deformation monitoring of foundation pit based on MEMS
technology. Engineering Investigation and Prospecting, 2017, 45 (03): 12–16.
Wu hao, Huang Chuang, Zhang Jianhua, Ye Haiwang, Li Hua, Bao Guangming. Research and application
of GNSS/GIS integrated high slope deformation monitoring system in open-pit Mine [J]. Geomatics and
Information Science of Wuhan University, 2015, 40 (05): 706–710.
Xu Maolin, Zhang He, Li Haiming, Guo Zhaopeng. Slope displacement monitoring system of open-pit Mine
based on Measuring Robot [J]. Science of Surveying and Mapping, 2015, 40 (01): 38–41.
Zhang Qing. Study on TDR monitoring technology of sliding slope geological disaster [D]. Jilin University,
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Zhang Shuai, He Na, Zhong Wei, Hu Kaiheng, Yang Hongjuan. The status and prospects of landslide disaster
monitoring and prediction [10.13393/j.cnki.issn.1672-948X.2021.05.007]. 2020-08-27 https://doi.org/10.
13393/j.cnki.issn.1672-948X.2021.05.007.
Zheng Tianao, Cai Desuo, Chen Shengzhen, Lin Chengfeng, Li Shuheng, Yang Jiaxing. Development and
Performance Test of MEMS flexible Inclinometer [J]. China Rural Water and Hydropower, 2020, (07):
190–195.
Zhong Cheng, Li Hui, Xiang Wei, Huang Xianfeng. Comprehensive Study of Landslide through the Integration
of Multi Remote Sensing Techniques: Framework and Latest Advances [J]. Journal of Earth Science, 2012,
23 (02): 243–252.

527
 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Design of the oval-shaped troubleshooting shaft by the reverse

building method

Yuan Zhou & Xiaoxiang Chen∗

POWERCHINA Fujian Electric Power Engineering Co., Ltd., Fuzhou, China

ABSTRACT: The project’s surrounding environment and urban planning restrict Fuzhou’s 3.2 m
inner diameter power jacking pipe pass under the existing two-way six-lane road. Because the
jacking pipe encounters slightly weathered granite boulders when excavating in the residual soil
layer. It is impossible to mine, and building a shaft from the ground is necessary to remove
obstacles. To solve the specific engineering problems, based on the size and shape of the boulders
obtained from the supplementary geological survey and comprehensively taking advantage of the
characteristics of the circular well structure and the small footprint of the rectangular well, an
elliptical inverse shaft was proposed. The area of the post and its enclosure have been reduced from
the conventional 3-lane to 2-lane, which can ease the impact on ground traffic while removing
obstacles smoothly. The article introduces the design and construction scheme of the shaft in detail
and provides a reference for the construction of similar projects.

1 GENERAL INSTRUCTION

The earth pressure balance or the mud-water balance pipe jacking is widely used to construct
municipal pipe networks and small-diameter tunnel projects (Sterling 2020). When the machine
jacks through the composite strata, it often stagnates because it encounters underground obstacles
(Shanghai Municipal Engineering Design Institute 2008). In engineering, the most common block
is encountering large-diameter boulders with low weathering degrees in residual soil strata or
facing underground barriers —backfill construction waste. Since the closed pipe jacking machine
generally does not have the conditions for opening the warehouse, in this case, the conventional
solution is to accurately locate the position of the obstacle and obtain its geometric parameters,
then use the supporting structure such as row piles or steel sheet piles to enclose, excavate After
the foundation pit is cleared (Kai 2021). When the surrounding environmental conditions allow,
caisson removal is also used.
Since the purpose of clearing is only to remove obstacles in the stratum in front of the pipe
jacking, the width of fault clearing excavation is generally the width of the machine head, and
along the direction of jacking depends on the range of obstacles, which may be much larger than
the width. At present, the most commonly used methods are to use the retaining structure for
an enclosure, excavate the foundation pit and then clear the obstacles, or use the cast-in-place
caisson structure or reverse shaft (Tang 2020). The shafts are all rectangular plane structures, that
is, rectangular wells.
As far as the current situation is concerned, the construction sites using trenchless technology
are all municipal roads or other sites that do not allow large-scale excavation (Kurokawa 2004).
The foundation pit is excavated after the earth retaining structure is used for an enclosure and
extended the construction period. And the construction of the world-keeping facility requires the
use of large-scale machinery, which occupies a large area and is difficult to implement. On the other
hand, when the design of the well is rectangular, the bending moment of the long side is significant,

∗ Corresponding Author: [email protected]

528 DOI 10.1201/9781003308584-75

making the thickness of the shaft wall large, the amount of reinforcement is also substantial, and
the economy is poor.
Occasionally, circular wells are used in vertical shafts for obstacle removal. The sidewalls of
circular wells have good mechanical performance. However, because the wells need to be circum-
scribed circles of obstacles, they generally cover a large area, which requires an increase in the
number of excavation works. And because the cross-section becomes more extensive, the growth
of the perimeter of the sidewall of the well may lead to a rise in the amount of engineering, which
offsets the concrete volume saved by its mechanical performance to a certain extent. At the same
time, if a circular well is implemented in the center of the road, its area will exceed that of a
rectangular well, which will have a more significant impact on road traffic.
A 220 kV high-voltage power cable tunnel in Fuzhou City was constructed with a concrete pipe
jacking with an inner diameter of 3.2 m. When jacking along the municipal I-level main road, the
construction was stagnant due to encountering a boulder with a diameter of not less than 1.5 m.
After unique technology After the demonstration, the plan of building a continuous wall shaft to
remove obstacles was adopted. The clearance size in the post is 7.5 m long × 6.8 m wide, and the
excavation depth is 14.5 m. In addition to the function of the foundation pit enclosure, the shaft
must also reserve 4.1 m pipe jacking holes on both sides. The structural design must consider the
influence of openings on the integrity of the diaphragm wall. The pipe jacking head must be strictly
positioned during construction. The impact of the underground diaphragm wall construction on
the head should be considered. Hence, the design and construction are complicated.
Aiming at the functional requirements of the above-mentioned fault-removing wells, combined
with the underground diaphragm wall technology characteristics, this paper introduces the design,
spatial arrangement, structural design, construction, and monitoring of the fault-removing faults
wells in detail. It provides a basis for the construction of similar projects.

2 SCHEME DESIGN OF THE OVAL TROUBLESHOOTING SHAFT

The shaft scheme is restricted by factors such as geological engineering conditions, the size of
the pipe jacking machine, the size and location of obstacles, and the surrounding environmental
conditions. This section briefly introduces the design of the fault removal well scheme.

2.1 Engineering geological conditions

Table 1. Physical and mechanical parameters of representative soil.

Soil name γ (kN/m3 ) C(kPa) φ(◦ ) Soil Structure Description

① 17.5 10 5 Loosen mainly composed of gravel, brick, silty clay, sand,

Plain fill and a small amount of domestic garbage. The content of
hard impurities is about 10-40%, and the uniformity is
poor artificial filling.

② 19.0 25 20 Can-hard plastic, wet-slightly wet; the main components

Residual soil are quartz, feldspar, etc. The feldspar has been weathered
and is soil-like. Easy to soften when soaked in water.

③ 20.0 25 35 Medium-coarse-grained granite structure, scattered struc-

Completely ture, the facility is damaged, the main mineral components
decomposed are quartz, feldspar, etc., the weathering is severe, the rock
granite mass is highly broken, it is a very soft rock, and the primary
quality grade of the rock mass is V.

529
This pipe jacking section is a residual hill landform scattered between the alluvial and silt plain
landforms. The terrain is slightly undulating. It is mainly distributed in the motor vehicle lane of
Jianxin South Road. There are residential buildings and workshops on both sides of the road. The
upper covering layer of the residual hill landform is an artificial landfill: coating, residual layer,
overlying granite. The physical and mechanical parameters of the main soil layers in the shaft area
are shown in Table 1.
The groundwater types along this project site are mainly stagnant water in the upper layer,
cohesive soil in the lower layer, and pore water in the gravel layer that occurs in the surface fill.
The groundwater (mixed) stable water level in the borehole in the residual hill area is buried at a
depth of about 4.0∼6.0 m. The groundwater level of the site is mainly affected by seasonal rainfall.
According to experience, the annual water level varies by about 1∼2 m. The water head elevation
of the slightly confined water in the lower sand layer is about 0 m.

2.2 Construction scheme of jacking

This section uses a precast concrete pipe section with an inner diameter of 3.2 m and a section
length of 2.5 m. The wall thickness of the pipe is 0.3 m. The jacking pipe runs under Jianxin South
Road, the I-level municipal main road. The jacking pipe passes from the north side of the road to
the south side, and the jacking route In the design, upward jacking is adopted to avoid the strongly
weathered rock formation that may contain boulders. The total plane length of the jacking interval
is 278.2 m, and the height difference is 7.15 m. The vertical section of jacking is shown in Figure
1.

Figure 1. Profile view of pipe jacking and the geological condition.

530
 According to the geological conditions of the excavation stratum and the surrounding environ-
mental conditions, the pipe jacking machine selected by the construction unit is a full-section
cutting pipe jacking machine with an outer diameter of φ3.8 m and a length of 5.5 m.

2.3 Scheme of troubleshooting shaft

When the pipe jacking started from the 11# working well to 154.1 m, it encountered a boulder, and
the pipe jacking machine was stuck. The 11+1# well was built to remove the obstacle, and then the
plan of jacking from the 12# well was adopted. Starting from Well 12, when the jacking reached
54.4 m, the pipe encountered obstacles and stagnated. After an additional survey with a vertical
spacing of 0.5 m and a row spacing of 1.9 m, it was found that there was a range of boulders, and
the edge of the boulder was slightly weathered along the top. The length of the pipe axis is 7.5 m,
the width is not less than 3.8 m, and the uniaxial compressive strength is more significant than
100 MPa.
To remove the boulder, the construction unit decided to add a barrier removal shaft (project
number 11+3#) when measures such as ground punching were unable to remove the barrier. Because
the geological conditions around the post are mainly residual soil and weathered rock formations,
the groundwater level is deep, and the reverse method conditions are met. At the same time,
the traffic flow around the shaft is small and is not very sensitive to formation deformation.
Shaft.
According to the size of the obstacles disclosed in the geological survey data, if a conventional
circular well is constructed, the internal clearance size of the well shall not be less than 7.5 m, plus
the wall thickness and the width of the inverted L beam suspended from the ground, the excavation
area of the foundation shall be at least 7.5 m. It is 10.0 m. Considering the construction enclosure
area, it needs to occupy more than three lanes of the municipal road.
To minimize the impact of shaft construction on road traffic, combined with the size and location
of boulders, an elliptical well with a long axis of 7.5 m and a short axis of 4.5 m was used, and the
ratio of the short axis to the long axis was 0.6.
The floor plan of the shaft is shown in Figure 2. The section of the post is shown in Figure 3.

Figure 2. Troubleshooting shaft floorplan.

531
Figure 3. Profile view of troubleshooting shaft.

3 STRUCTURAL DESIGN AND DURABILITY DESIGN OF THE SHAFT

The structural design of the shaft is divided into two parts: the structural design along the horizontal
cross-section direction and the structural design along the vertical path (Zhao 2012).

3.1 Design of horizontal cross-section

The cross-section design follows the method of the shaft structure design in tunnel engineering.
Generally, the load structure and the stratum structure methods can be used. The basic idea of
designing with load structure method is introduced here:

(1) Along the height direction, select a representative cross-section for calculation. In general,
the excellent height is 1.0 m, and a representative section is generally 3∼4 m in the height
direction.
(2) Calculate the soil side pressure within this height range, and calculate according to the uniform
load around the ellipse.
(3) Using the plane strain model, a beam with a height of 1.0 m is selected to calculate the internal
force of the frame.
(4) According to the bending moment, the control section is selected for reinforcement. The
reinforcement determines the inner lining of the elliptical well and the outer circumferential
support.

532
 The representative calculation results of the vertical internal force of the shaft are shown in
Figure 4. The shaft wall in the outer direction of the long axis and the inner shaft wall in the short
axis direction is bent.

Figure 4. Diagram of bending moment in the depth of 8.0 m ( kN·m).

3.2 Design of vertical cross-sectional

The vertical structure design mainly considers the transmission of the self-weight of the vertical
shaft wall. Generally, the self-weight of the lower well is transmitted through the vertical steel
bars between the shaft walls and finally transferred to the inverted L-shaped structure on the
ground. According to the calculation results, the sectioned configuration, the inverted L-beam on
the basis is determined according to the transmitted load and the bearing capacity of the surface of
the foundation. Considering the disturbance of the foundation soil excavation, a particular safety
factor needs to be reserved.

3.3 Waterproof design

Since this shaft is only a temporary functional well, the pipe jacking will continue to advance after
the fault is removed, and the sand will be backfilled to restore the pavement structure layer within
the shaft range. Therefore, the excellent structure is not considered permanent; special waterproof
measures do not need to be considered.

3.4 Reverse building of oval shaft

The construction of the oval inverse shaft includes shaft neck construction, sidewall soil excavation,
shaft sidewall construction, horse headgate construction, and surrounding environment monitoring
during the excavation process.

533
 The construction of the shaft neck mainly includes removing the surface, miscellaneous fill → ,
the compaction of the foundation soil → , the reinforcement of the reinforcement → , the structure
of the formwork → , the pouring of the concrete → , the curing → the pouring of the first section
of the shaft wall.
The construction of the section includes three processes: excavation of the sidewall soil →
hanging the reinforced mesh shotcrete cover → forming the form → pouring the side wall concrete
→ curing to meet the strength requirements → excavation of the next section of the shaft wall.
Figure 5 shows the pouring of the shaft neck and sidewall of the elliptical shaft.
If the shaft is connected with the tunnel, it is necessary to pour the Matou gate connecting the
two. The construction process of Matou gate is mainly: locking foot anchor construction → Matou
gate soil excavation → hanging reinforced mesh shotcrete → lining construction.

Figure 5. Collar construction and sidewall of oval shaft.

4 CONCLUSIONS

A new type of shaft section form is proposed starting from the actual engineering needs and
combined with the basic engineering needs, and the design and construction process is introduced.
The paper mainly includes the following conclusions:
(1) Compared with circular wells, elliptical shafts occupy a smaller area, which is beneficial
to engineering construction, and at the same time, it can avoid the unloading deformation
effect caused by the excavation of rectangular wells; at the same time, the wall thickness can
be controlled within a specific range, which has obvious advantages. economic and social
benefits;
(2) The force transmission path of the elliptical shaft structure is clear, the design method is simple
and straightforward, and it is easy to be popularized in related projects.

534
ACKNOWLEDGMENT

The author would like to thank the Fujian Provincial Department of Science and Technology
and Fujian Association for support (Joint Project of Science and Technology Innovation Strategy
Research of Fujian Province, Grant/Award Number:2020R0173).

REFERENCES

Mitsuru Kurokawa , Takashi Kuhara , Atsuo Shima , Masaru Iizumi , Takuya Nakagawa. (2004) Construction
of shaft tunnel by slurry pipe jacking through sedimentary ground under high water pressure [J]. Tunnelling
and Underground Space Technology incorporating Trenchless Technology Research, 19(4): 355–355
Raymond L. Sterling. (2020) Developments and research directions in pipe jacking and microtunneling[J].
Underground Space, 5(1): 1–19
Shanghai Municipal Engineering Design Institute (2008) CECS 246: Pipe Jacking Technical specification of
Water Supply and Drainage, 2008 [S] Beijing: China Planning Press, 2008.
Wen Kai,Zeng Wei,Shimada Hideki,Sasaoka Takashi,Hamanaka Akihiro (2021). Numerical and theoretical
study on the jacking force prediction of slurry pipe jacking traversing frozen ground [J]. Tunneling and
Underground Space Technology incorporating Trenchless Technology Research, 15:104076
Ziqiang Tang. Design and Construction of the Circular Shape Shaft Using the Reverse Construction Method[J].
E3S Web of Conferences, 2020, 198: 02011.
Zhao Chao & Peng Xiaolin (2012). ProcessingTechnology of solitary stone in electricity tunnel. [J]. Guangdong
Civil Engineering and Architecture, (10): 60–62. (in Chinese)

535
 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Research on the design of solar energy architecture in rural areas

Jia Shen∗
School of Architecture and Art, North China University of Technology, Beijing, China

ABSTRACT: As solar energy-saving technology has been widely used in the field of architecture
in China, it has gradually become an important part of architectural design. Due to the high operating
cost of solar energy-saving facilities in the later stage, the frequency of use in rural housing is lower
than that in cities. With the development of society, the demand of rural population for the quality
of life is increasing day by day, the problem of building energy consumption has become an
issue that needs to be paid more attention to. Taking the innovative practice project “Research
on the Integration of New Rural Construction and Solar Energy Building” for college students of
North China University of Technology as an example, according to the existing rural conditions
and energy-saving technology, from three aspects of design concept, plane layout and technology
application, this project integrates the design content of active and passive solar energy-saving
facilities, further explores the future rural building design, also provides a new idea for the design
of energy-saving buildings.

1 GENERAL INSTRUCTIONS

After entering the 21st century, the main research field of building energy conservation is the
sustainable use of building energy. European countries, which are at the forefront of the energy
conservation field, have already complete zero energy consumption housing standards, zero carbon
dioxide emission standards and energy self-sufficiency standards. Energy-saving buildings are
becoming more and more mature, have strict design and control standards.
As the economic and technological development of our country used to be a growth model
at the cost of consuming a lot of energy and sacrificing the natural environment, there are few
opportunities for research in the field of building energy efficiency, and there is a lack of mature
norms and standards. Therefore, it has caused the remaining problems of thin enclosure structure,
thermal insulation, poor air tightness and high energy consumption, which has a large gap with the
western countries. (As shown in Table 1)
In recent years, the growth of the number of energy-saving buildings is mainly reflected in the
large-scale public buildings and new residential areas in the city. As a key area of development in
China, rural areas are seldom used in rural residential buildings because of the high construction
and operating costs of energy-saving buildings, and there is still a lot of room for progress.
Taking the design of single solar energy house in well-off new countryside as a case, this paper
combines solar energy technology with building structure and space, takes it as a template to
explore the new direction of energy-saving design of rural single building in the future, to provide
new ideas for solar integrated buildings.

∗ Corresponding Author: [email protected]

536 DOI 10.1201/9781003308584-76

Table 1. Comparison between Chinese and western standards.

K value of Exterior Air permeability

Construction exterior wall Roof window of doors and windows

China: Western developed countries 2.6-3.6:1 3.2-4.2:1 1.4-2.0:1 3.0-6.0:1

2 COMBINED DESIGN OF RURAL SINGLE BUILDING AND SOLAR ENERGY

BUILDING

Table 2. Major problems.

The main issues involved Specific content

The indoor thermal comfort in winter is very poor The average family’s indoor heating temperature in
winter is 10-14 degrees Celsius.
The thermal performance of the maintenance struc- It is mainly manifested in the large heat transfer
ture is poor coefficient of doors and windows.
Poor indoor air quality in winter Adhesive strips are commonly used to seal win-
dows to prevent cold air inflow, resulting in long-
term inability to open outer windows in winter.
The indoor heating mode in winter is backward The “Kang” is still in extensive use, in which
the energy-saving hanging Kang is still being vig-
orously promoted, and the heating effect of soil
heating is poor.
The structure of energy consumption is backward The use of plants such as straw and firewood still
accounts for a large proportion.

As mentioned above, there is still a lot of room for improvement in the design of modern rural
architecture, there are great problems to be solved and considered (As shown in Table 2).
Solar radiation energy is a well-known sustainable energy with no pollution and almost no
resource consumption. At the same time, it is also a kind of energy with low energy flow density
and can be used intermittently. In the design of modern buildings, people can use solar energy
for heating through light-heat conversion, which can not only improve and improve the quality
of indoor thermal environment in winter, but also save energy and protect the existing ecological
environment. It is an economical, effective and widely used “green” technology.
In the process of the construction and development of a well-off countryside, it is very necessary
for rural housing construction to popularize new concepts and technologies such as low carbon,
energy saving, environmental protection and sustainable development. In the residential design,
this project fully considers the combination of solar energy utilization technology (including active
and passive, as shown in Figure 1) for architectural design, which has good indoor thermal comfort,
energy saving and emission reduction effect in winter, also uses the passive solar energy design to
make a beautiful design in appearance.

Figure 1. Passive solar energy design.

537
2.1 Project design concept

Table 3. Contents of economic and technical indicators.

Contents of economic and technical indicators Numerical value

The area standard of local homestead 200 m2

The area of homestead 180 m2
The area of the construction base 125 m2
Total construction area 225 m2
Residential area 180 m2

The location is Beijing, according to the geographical location and climatic conditions of Beijing,
the amount of solar radiation is set to 4378 ∼ 5365 MJ / m2 . Beijing area belongs to the second-
class area, the dominant wind direction is northward, the average annual temperature is 11.4◦ C.
The outdoor heating design temperature in winter is −9◦ C, the indoor heating design temperature
in winter is 18◦ C, the outdoor air conditioning design temperature in summer is 33.2◦ C. The design
temperature of the air-conditioned room in summer is 26◦ C. The sun room, sloping roof and glass
curtain wall are applied to the architectural design to ensure the overall permeability and interest of
the building, while making use of reasonable layout and orientation, in a completely natural form
(convection, radiation and heat conduction). Integrate the building’s heat collection system with
the outer structure. (As shown in Figure 2)

Figure 2. Overall structural drawing of the building.

2.2 Plane layout

As shown in Figure 3, this apartment is a single-courtyard residence, the entrance is located on
the west side of the courtyard, the entrance width is 4.2 meters, can be used for one-way vehicles
to enter. Extend the slope of the roof as a scaffolding, can plant climbing vines above, but also
as an entrance gray space to provide a rich sense of space for the courtyard of the building. A
staircase is set up on the east side, which can directly enter the second floor of the house and
divert people. The first floor is mainly arranged with functional spaces such as elderly bedroom,
master bedroom, living room, dining room, kitchen, sun room, toilet and so on. The bedroom of
the elderly is adjacent to the sun room, which facilitates the activities of the elderly and serves as a

538
buffer space at the entrance. The master bedroom, bathroom and dining room are designed around
the living room, which is in the middle, which is similar to the central form of the traditional rural
residential hall, arranged as the core space of the whole house. The two walls of the sun room
use double-layer glass curtain walls with air layers to ensure that there is sufficient light in the
living room at the same time, so that the residence in the north has a better thermal insulation
function.
There are two entrances to the second floor, which can be accessed from the staircase located
on the first floor of the indoor living room and the east outdoor staircase. The plane layout is
roughly the same as that of the first floor, the living room is located in the center, connecting the
guest bedroom, the second bedroom and the sun room on the second floor, respectively. The study
on the second floor is close to the sun room, which makes it convenient for people to enjoy the
warmth of the sun after work and study. The dining room and kitchen on the first floor are used
as guest bedrooms and second bedrooms, which are close to the outdoor staircase, which makes it
convenient for guests to enter the bedroom directly from the outside, separate from the streamline
on the first floor, ensure people’s privacy. There is a buffer space when the outdoor staircase enters
the second floor, which can be treated as a storage space.
The top floor is mainly composed of stairwell, equipment room and top floor open platform, the
top of the slope is set up above the top floor. The roof is equipped with solar photovoltaic panels,
solar heat storage system, sound insulation and shockproof layer.

Figure 3. Three floor plans.

2.3 Facade and roof design

From the south facade, most of the southward roofs are covered by solar collectors and solar panels,
which can provide enough electricity and heat for the house, and if wind turbines are installed on
the roof platform, there will be enough electricity for the house at night. The attic on the roof is
partially transparent, which can be used as a place to enjoy the cool and rest in summer, it can also
satisfy people in rural areas to dry food and so on. There is no daylighting port in the rear of the
house, a large area of daylighting is carried out in the middle of the south facade to ensure that
there is enough light in the room and provide enough heat to the room at the same time. (As shown
in Figure 4)

539
Figure 4. Elevation.

3 THE UNIVERSALITY OF THE COMBINATION OF RURAL SINGLE BUILDING AND

SOLAR ENERGY BUILDING

In recent years, as a key development trend, rural buildings with energy-saving and shape charac-
teristics still have a lot of room for play and progress. With the integration of solar energy-saving
technology into the architectural design process, the design of the combination of single buildings
and solar buildings will be called a trend of rural architectural design in the future, making use of
the advantages of vast land, sparsely populated and rich natural resources, build a beautiful new
future in the countryside.

4 SUMMARY

With the concept of green building gradually going deep into the design process, energy-saving
design has become an indispensable link in architectural design. In previous buildings, the design
of energy-saving devices and structures often cost more energy and money to operate than the
energy saved in their life cycle. Looking to the future, if green buildings gradually become the
goal that every building follows, then we should set up more systematic production and convenient
design methods, so as to reduce the previous cost, to achieve the real goal of energy saving and
emission reduction in the life cycle of the building.
According to the design case of solar energy single building, this paper has a certain degree of
reference value for the future green building gradually going deep into the countryside, and provides
new ideas for popularizing and promoting green building and bringing solar energy design into the
design process.

REFERENCES

Gao Qinglong, Qian Fang & Rong Xiangyang. (2021) Zero-carbon Building Design Strategy implemented by
Architects– Summary of Sichuan Ruoergai warm Nest Design. J. WorldArchitecture, 2021 (06): 14–17+126.
DOI:10.16414/j.wa.2021.06.002.
Huang Shengxiang, Xie Ruihang, Zhou Tiejun & Zhang Haibin. (2021) Research on Green and Sustainable
Rural Solar Building Design– taking the first prize of 2019 Delta Cup International Solar Building Design
Competition as an example. J. New Building, 2021 (04): 124, 128.
Liu Dalong, Xue Wenjing & Yang Jingli. (2021) Study on thermal performance of solar buildings based on
shape design. J/OL. Industrial Building: 1–7 [2021-12-04]. Https://doi.org/10.13204/j.gyjzG21040504.
Shu Bo, Zhang Yang, Wang Jiaqian, Yang Guan & Ding Kui. (2021) Research progress and prospect of
integrated design of passive solar buildings. J. Industrial Architecture, 2021 Magi 51 (07): 177–184. DOI:
10.13204/j.gyjzg20052805.
Sun Rui, Lei Yonggang, Song Yifang & Jing Sheng Lan. (2021)Natural ventilation performance of louver
composite solar chimney. J. Journal of Solar Energy, 2021, 42(10):452–457. DOI:10.19912/j.0254-0096.
tynxb.2019-0672.

540
 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

The monthly variation characteristics of salinity in the waters of

Jiaozhou Bay

Dongfang Yang
Accountancy School, Xijing University, Xi’an, China
North China Sea Environmental Monitoring Center, SOA, Qingdao, China

Danfeng Yang∗
The Fu Foundation School of Engineering and Applied Science, Columbia University, USA

Haixia Li, Dong Lin & Qi Wang

Accountancy School, Xijing University, Xi’an, China

ABSTRACT: By the dataset on the waters of Jiaozhou Bay from May to October 1980, the
salinity level and its horizontal distribution are studied in this paper. The results showed that the
varied range of salinity in the waters of Jiaozhou Bay was 24.67-31.93‰ from May to October,
with an interval length of 7.26‰. The salinity of seawater reached 24.00‰ and above, but lower
than 32.00‰. The monthly variation curve of the high value of salinity presented that the high
value of salinity reached the lowest, 31.16‰, in August. The monthly variation curve of the low
value of salinity presents that the low value of salinity reached the lowest, 24.67‰, in August. In
the waters of Jiaozhou Bay, the high value and the low value of salinity reached their lowest in
August. In May, June, July, and August, with the change of months, the high value of salinity in
the water body of Jiaozhou Bay showed a decreasing change. In September and October, a high
value of salinity showed an increasing change. Moreover, a high value of salinity appeared in the
northwestern coastal waters of Jiaozhou Bay in May. In June, July, and August, the high value of
salinity appeared in the southern waters outside of the bay mouth, the waters in the bay mouth +
outside of the bay mouth (southern + northern waters outside of the bay mouth), and the southern
waters outside of the bay mouth, respectively. In June, the descending rate of the high value of
salinity was the largest, which indicated that the decrease of the high value of salinity was the
fastest in the waters in the bay mouth and outside the bay mouth. At the same time, in September,
the high value of salinity appeared in the southern waters outside the bay mouth and in the waters of
bay mouth in October. In October, the ascending rate of the high value of salinity is large. In May,
June, and August, the low value of salinity in the water body of Jiaozhou Bay showed a decreasing
change; in July, the low value of salinity showed an increasing change; in September and October,
the low value of salinity also showed an increasing change. From May to October, the low value of
salinity appeared in the surrounding coastal waters of Jiaozhou Bay: southwestern coastal waters,
northwestern coastal waters, and northeastern coastal waters. In August, the descending rate of the
low value of salinity was the largest while the ascending rate was the largest in September.

1 INTRODUCTION

The salinity of seawater is the most important and basic element in marine hydrology (Chen &
Wang 2007). In addition, the salinity is an indicator in testing the saltness in seawater (Shen 2006),

∗ Corresponding Author: [email protected]

DOI 10.1201/9781003308584-77 541

and a significant component in the marine system (Yang & Gao 2010; Yang & Miao 2010; Yang
2013, 2006a, 2006b, 2006c, 2006d; Yang & Gao 2007; Yang & Wu 2007). Therefore, s studying
the variation of salinity and the high-salinity water areas can provide great help for environmental
protection and ecological and sustainable development. Based on the survey materials, the author
analyzed the level of salinity in the waters of Jiaozhou Bay, horizontal distribution, and the changes
of sources, and studied the variation process of salinity and the sourced quantity, providing scientific
background for the synthetic analysis on the sources of salinity in the waters of Jiaozhou Bay and
high-salinity areas and the theoretical basis for the influence of salinity changes on the environment.

2 SURVEY WATERS, MATERIALS, AND METHODS

2.1 Natural environment of Jiaozhou Bay

Jiaozhou Bay is located in the southern part of Shandong Peninsula. Its geographical position is
between 120◦ 04 − 120◦ 23 E and 35◦ 58 − 36◦ 18 N. It is bounded by the line connecting Tuan
Island and Xuejia Island and is connected to the Yellow Sea. With an area of about 446 km2 and an
average water depth of about 7 m, it is a typical semi-enclosed bay. More than a dozen rivers are
entering the sea in Jiaozhou Bay, among which the Dagu River, Yang River, Haibo River, Licun
River, and Loushan River in Qingdao City are with larger runoff and sand content. These rivers are
all seasonal rivers, and the river hydrological characteristics have obvious seasonal changes (Yang
& Wang 2004; Yang & Chen 2005).

2.2 Materials and methods

The survey data of salinity in the waters of Jiaozhou Bay from May to October 1980 used in this
study are provided by the North Sea Monitoring Center of the State Oceanic Administration. From
May to October, taking water samples from eight stations: H34, H35, H36, H37, H38, H39, H40,
H41, and H82 (Figure 1). Water samples were taken six times from May to October 1980 based on
the water depth (surface and bottom layers were taken when the depth >10m, and only the surface
layer was taken when the depth <10m). The survey of pH value in Jiaozhou Bay water body was
carried out as per the method of the national standard, which was recorded in the national “Marine
Monitoring Code” (State 1991).

Figure 1. Investigation sites of Jiaozhou Bay.

542
3 RESULTS

3.1 Salinity
From May to October, the varied range of salinity in the waters of Jiaozhou Bay was 24.67–31.93‰,
where the interval length was 7.26‰. . In May, the varied range of salinity in the waters of Jiaozhou
Bay was 31.48–31.93‰, where the salinity of seawater was very high. In June, the salinity in the
surface waters decreased, with a varied range of 29.12–31.52‰, which is relatively high. In July,
the salinity in the seawater decreased continuously, with a varied range of 29.57–31.28‰, where the
salinity was relatively low. In August, the salinity in the surface waters of Jiaozhou Bay decreased
slowly. The varied range of salinity in the waters of Jiaozhou Bay was 24.67–31.16‰, reaching
the lowest. In September, the salinity in the seawater increased, changing within 30.34–31.19‰,
a relatively low level. The salinity further increased in October, changing within 30.68–31.48‰,
a relatively high level. Therefore, the salinity in the waters of Jiaozhou Bay changed by 24.67–
31.93‰ from May to October, all above 24.67‰. It indicated that in terms of salinity, the salinity
in the entire waters of Jiaozhou Bay was relatively low from May to October (Table 1).

Table 1. The salinity in the surface waters of Jiaozhou Bay from May to October.

Time May June July August September October

Salinity in the
seawater/‰ 31.48–31.93 29.12–31.52 29.57–31.28 24.67–31.16 30.34–31.19 30.68–31.48

3.2 The changes of high-salinity in the surface

In the waters of Jiaozhou Bay, take the monthly highest salinity in all stations as the value of high-
salinity in every month. From May to October, the highest salinity in every month was 31.93‰,
31.52‰, 31.28‰, 31.16‰, 31.19‰, and 31.48‰ (Figure 2). A curve was formed through these
high salinity values. Establish equation (1) for simulation and the simulated curve was highly fitted
with the actual curve, R2 = 0.9939. Take the derivative of equation (1) to get equation (2).

y = 0.0818x2 − 1.3228x + 36.509 (1)

dy/dx = 0.1636x − 1.3228 (2)

Where y is the value of high-salinity in every month, x represents the corresponding month
(x = 5, 6, 7, 8, 9, 10), and dy/dx is the changing rate of salinity.
On a monthly basis, the monthly changing rate of the high-salinity from June to October is
31.52 − 31.93 = −0.41, 31.28 − 31.52 = −0.24, 31.16 − 31.28 = −0.12, 31.19 − 31.16 = 0.03,
31.48 − 31.19 = 0.29, respectively.

Figure 2. The changing of high-salinity in the surface of Jiaozhou Bay in 1980 (‰).

543
 The high-salinity was decreasing continuously from June to August, and the decreasing rate of
the high-salinity was the highest in June and the lowest in August. In addition, the decreasing rate of
high-salinity gradually decreased as the month changed. Started from September, the high-salinity
gradually increased. From September to October, the high-salinity increased continuously and got
the highest increase in October and the lowest in September. In addition, as the month changed,
the increasing rate of high-salinity gradually became large. Thus, from August to September, there
must be a certain time when the changing rate of high-salinity was zero. At this time, applying
models (1) and (2), we can calculate out: when x = 8.16‰, y = 31.16‰. That is, on August 5t, the
salinity reached the lowest value. The decreasing rate of high-salinity was the smallest in August
while the increasing rate was the smallest in September, which indicated that it exhibited slow
decreasing and slow increasing when the high-salinity reached the lowest value.

3.3 The changes of low-salinity in the surface

In the waters of Jiaozhou Bay, take the monthly lowest salinity in all stations as the value of low-
salinity in every month. From May to October, the lowest salinity in every month was 31.48‰,
29.12‰, 29.57‰, 24.67‰, 30.34‰ and 30.68‰ (Figure 3). A curve was formed through these
low salinity values. Establish equation (3) for simulation and the simulated curve was highly fitted
with the actual curve, R2 = 0.494.

y = 0.6139x2 − 9.3586x + 63.176 (3)

dy/dx = 1.2278x − 9.3586 (4)

Where y is the value of low-salinity in every month, x represents the corresponding month
(x = 5, 6, 7, 8, 9, 10), and dy/dx is the changing rate of salinity.

Figure 3. The changing of low-salinity in the surface of Jiaozhou Bay in 1980 (‰).

On a monthly basis, the monthly changing rate of the low-salinity from June to October is 29.12 −
31.48 = −2.36, 29.57 − 29.12 = 0.45, 24.67 − 29.57 = −4.90, 30.34 − 24.67 = 5.67, 30.68 −
30.34 = 0.34, respectively.
From June to August, the low-salinity decreased, but also increased. The decreasing rate of low-
salinity was highest inAugust and lowest in June. In July, the low-salinity increased slightly. Starting
in September, the low-salinity began to rise. The low-salinity had been rising from September to
October. The increasing rate of low-salinity was the highest in September and lowest in October.
Moreover, as the months changed, the increasing rate of low-salinity gradually decreased. In this
way, at some point from August to September, the rate of low salinity was zero. The decreasing rate
of low-salinity was the highest in August, and the increasing rate of low-salinity was the highest in
September, which presented that when the low-salinity reached its lowest value, there had been a
rapid decline and a rapid rise.

544
4 DISCUSSION

4.1 Time changes of salinity

The varied range of salinity in the waters of Jiaozhou Bay was 24.67 − 31.93‰ from May to
October. The salinity of seawater reached 24.00‰ and above, but lower 32.00‰. The monthly
variation curve of the high value of salinity presents that the high value of salinity reached the
lowest, 31.16‰, in August. The monthly variation curve of the low value of salinity presents that
the low value of salinity reached the lowest, 24.67‰, in August. In the waters of Jiaozhou Bay, the
high-salinity and the low-salinity all reached the lowest in August.

4.2 Regional change of high-salinity

From May to August, the high-salinity in the waters of Jiaozhou Bay decreased as the months
changed. The positions of high-salinity from May to August were H41, H82, H34+H35+H82, and
H82. In May, the high-salinity appeared in the northwestern coastal waters of Jiaozhou Bay. From
June to August, the high-salinity appeared in the southern waters outside the bay mouth, the waters
in the bay mouth and outside the bay mouth (southern +northern waters outside the bay mouth),
and the southern waters outside the bay mouth, respectively.
In September and October, the high-salinity in the waters of Jiaozhou Bay increased. The posi-
tions of high-salinity were H82 and H35. In September, the high-salinity appeared in the southern
waters outside the bay mouth. In October, the high-salinity appeared in the waters of bay mouth.
Therefore, the high-salinity appeared at stations H34, H35, H82, and H41, in the waters of bay
mouth, the waters outside the bay, and the northwestern coastal waters.

4.3 Regional change of low-salinity

From May to August, the low-salinity in the waters of Jiaozhou Bay decreased as the months
changed. However, the low-salinity increased in July. The positions of low-salinity were H39, H36,
H41, and H41. In May, the low-salinity appeared in the waters between the estuary of Loushan
Rive and the estuary of Licun River. In June, it appeared in the western waters inside of the bay. In
July and August, the low-salinity appeared in the northwestern coastal waters of Jiaozhou Bay.
In September and October, the low-salinity increased in the waters of Jiaozhou Bay. The positions
of low-salinity were H40 and H39. In September and October, the low-salinity appeared in the
northeastern coastal waters of Jiaozhou Bay.
Thus, the low-salinity appeared at H36, H39, H40, and H41, surrounding the circle of coastal
waters of Jiaozhou Bay: southwestern, northwestern, and northeastern coastal waters.

4.4 The changing rate of salinity

The decreasing rate of high-salinity was the highest in June, and the increasing rate was the highest
in October. Regardless of the rate of increase or decrease of high-salinity, the order from high to low
was the rate in June>the rate in October>the rate in July>the rate in August>the rate in September.
This showed that in June, the decreasing rate of high-salinity was the highest. In October, the
increasing rate of high-salinity was relatively high.
The decreasing rate of low-salinity was the highest in August, and the increasing rate was the
highest in September. Regardless of the rate of increase or decrease of low-salinity, the order from
high to low was the rate in September>the rate in August>the rate in June>the rate in July>the rate
in October. This showed that in September, the increasing rate of low-salinity was the highest. In
August, the decreasing rate of low-salinity was relatively high.
Thus, the decreasing rate of high-salinity was the highest in June and the decreasing rate of
low-salinity was relatively high in August. In September, the increasing rate of low-salinity was
the highest and the increasing rate of high-salinity was relatively high in October.

545
4.5 Monthly variation of salinity
In May, June, July, and August, with the change of months, the high value of salinity in the water
body of Jiaozhou Bay showed a decreasing change.
In May, the high-salinity appeared in the northwestern coastal waters of Jiaozhou Bay, which
indicated that the salinity started to decrease in the northwestern coastal waters of Jiaozhou Bay.
In June, July, and August, a high value of salinity appeared in the southern waters outside of
the bay mouth, the waters in the bay mouth+outside of the bay mouth (southern + northern waters
outside of the bay mouth), and the southern waters outside of the bay mouth, respectively. In June,
the descending rate of the high value of salinity was the largest, which indicated that the decrease
of the high value of salinity was the fastest in the waters in the bay mouth and outside of the bay
mouth.
In September and October, the high-salinity increased in the waters of Jiaozhou Bay. In Septem-
ber, the high-salinity appeared in the southern waters outside the bay mouth, which indicated that
the salinity started to rise in the southern waters outside the bay mouth. In October, the high-salinity
appeared in the waters of bay mouth. The increasing rate of high-salinity in October was relatively
high.
In May, June, and August, the low-salinity in the water body of Jiaozhou Bay showed a decreasing
change; in July, the low-salinity showed an increasing change; in September and October, the low-
salinity also showed an increasing change. From May to October, the low-salinity appeared in the
surrounding coastal waters of Jiaozhou Bay: southwestern coastal waters, northwestern coastal
waters, and northeastern coastal waters. In August, the decreasing rate of the low-salinity was the
largest while the increasing rate was the largest in September.

5 CONCLUSION

The varied range of salinity in the waters of Jiaozhou Bay was 24.67 − 31.93‰ from May to
October, with an interval length of 7.26‰. The salinity of seawater reached 24.00‰ and above,
but lower 32.00‰. The monthly variation curve of the high value of salinity presented that the high
value of salinity reached the lowest, 31.16‰, in August. The monthly variation curve of the low
value of salinity presented that the low value of salinity reached the lowest, 24.67‰, in August. In
the waters of Jiaozhou Bay, both the high value and the low value of salinity all reached the lowest
in August.
In May, June, July, and August, with the change of months, the high value of salinity in the water
body of Jiaozhou Bay showed a decreasing change. In September and October, the high value of
salinity showed an increasing change.
In May, the high-salinity appeared in the northwestern coastal waters of Jiaozhou Bay. From
June to August, the high-salinity appeared in the southern waters outside the bay mouth, the waters
in the bay mouth and outside the bay mouth (southern +northern waters outside the bay mouth),
and the southern waters outside the bay mouth, respectively. In June, the descending rate of the
high value of salinity was the largest, which indicated that the decrease of the high value of salinity
was the fastest in the waters in the bay mouth and outside of the bay mouth.
In September, the high-salinity appeared in the southern waters outside the bay mouth. In
October, the high-salinity appeared in the waters of bay mouth and was relatively high.
In May, June, and August, the low-salinity in the water body of Jiaozhou Bay showed a decreasing
change; in July, the low-salinity showed an increasing change; in September and October, the low-
salinity also showed an increasing change. From May to October, the low-salinity appeared in the
surrounding coastal waters of Jiaozhou Bay: southwestern coastal waters, northwestern coastal
waters, and northeastern coastal waters. In August, the decreasing rate of the low-salinity was the
largest while the increasing rate was the largest in September.

546
ACKNOWLEDGEMENT

This research was sponsored by Doctoral Degree Construction Library of Guizhou Nationalities
University, Research Projects of Guizhou Nationalities University ([2014]02), Research Projects of
Guizhou Province Ministry of Education (KY [2014] 266), Research Projects of Guizhou Province
Ministry of Science and Technology (LH [2014] 7376).

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Chen, Z.S.& W.H. Wang (2007). Introduction to the Gulf of China. Beijing: Maritime Press, 1–335.
Shen, W.Z. (2006).China’s Offshore Spatial Geography. Beijing: Maritime Press, 1–269.
State O. A. ( 1991). The Specification for Marine Monitoring. Beijing: China Ocean Press, 1–387.
Yang, D.F. & F. Wang (2004). Ecological Phenomena of Phytoplankton in Jiaozhou Bay. Marine Science, 28
(6),71–74.
Yang, D.F. & J. P. Wu (2007). Complementary Mechanism of Air and Water Temperatures in the Earth
Ecosystem. Advances in Marine Science, 25 (1),117–122.
Yang, D.F. & Y. Chen (2005). Silicon Limitation on primary production and its destiny in Jiaozhou Bay, China
IV transect offshore the coast with estuaries. Chin. J. Oceanol. Limnol., 23(1),72–90.
Yang, D.F. & Z.H. Gao (2006a). Complementary Mechanism of Nutrient Silicon in Earth Ecosystem. Advances
in Marine Science, 24 (4), 407–412.
Yang, D.F. & Z.H. Gao (2006b). Influence of environmental change on marine biological resources in Jiaozhou
Bay. Marine Environmental Science, 25 (4), 39–42.
Yang, D.F. & Z.H. Gao (2006c). Silicon limitation on primary production and its destiny in Jiaozhou Bay, China
VI The ecological variation process of the phytoplankton. Chin. J. Oceanol. Limnol., 24(2), 186–203.
Yang, D.F. & Z.H. Gao (2006d). Silicon limitation on primary production and its destiny in Jiaozhou Bay, China
VII the Complementary mechanism of the earth ecosystem. Chin. J. Oceanol. Limnol., 24(4), 401–412.
Yang, D.F. & Z.H. Gao (2007). Study on the Impact of Marine Ecological Change on Climate and Its
Associations with Crop Planting. Journal of Modern Academic Research, 7,104–109.
Yang, D.F. & Z.H. Gao (2010). Marine Bay Ecology (Volume 2). Beijing: China Ocean Press, 1–330.
Yang, D.F. & Z.Q. Miao (2010). Marine Bay Ecology (Volume 1). Beijing: China Ocean Press, 1–320.
Yang, D.F. (2013). Silicon Dynamics of Earth Ecosystem. Beijing: China Ocean Press, 1–372.

547
 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

The content and distances of Cu content transported by various

paths over the earth

Dongfang Yang∗
Xi’an Traffic Engineering Institute, Xi’an, China
North China Sea Environmental Monitoring Center, SOA, Qingdao, China

Xiaoju Zhang
Xi’an Traffic Engineering Institute, Xi’an, China

Danfeng Yang
The Fu Foundation School of Engineering and Applied Science, Columbia University, USA

ABSTRACT: By virtue of the survey data in May, September and October 1993, Cu content in
Jiaozhou Bay water body represented its variation range of 1.57–3.57 µg/L, which abides by the
national seawater quality standard of Class I (5.00 µg/L). It unveiled that in May, September and
October, the entire water of Jiaozhou Bay was not contaminated by Cu at all. In May, the variation
range of Cu content in the bay’s waters was 1.57–3.57 µg/L. In the eastern coastal waters of Jiaozhou
Bay, the Cu content got to a relatively high value, which was 3.57 µg/L. In September, Cu content
in the waters of Jiaozhou Bay showed its variation range of 1.82–3.08 µg/L. In the eastern coastal
waters of Jiaozhou Bay, the Cu content got to a high value, 3.08 µg/L. In October, Cu content in
the waters of Jiaozhou Bay provided the variation range of 1.80–2.78 µg/L. In the mouth waters
of Jiaozhou Bay, the Cu content got to a relative high value, 2.78 µg/L. From the angle of Cu
content, the water quality of Jiaozhou Bay had reached high quality. The water was clean, and was
not polluted by Cu content at all. The Cu content in the waters of Jiaozhou Bay mainly came from
three sources, the transportation of atmospheric deposition, the transportation of offshore ocean
currents and the transportation of surface runoff. Thus, human activities brought the Cu content to
the land and ocean, and reached the waterbody of Jiaozhou Bay through these three paths. Even so,
the atmosphere, ocean and land did not get polluted by Cu content at all. The author further builds
a model block diagram to present the paths of Cu content in the migration process. The Cu content
from the transportation of atmospheric deposition was 3.08–3.57 µg/L, from the transportation of
offshore ocean currents was 2.78–3.49 µg/L, and from the transportation of surface runoff was
2.64 µg/L. The order of Cu content transported from different sources in descending order is:
Cu content transported from atmospheric deposition> Cu content transported by offshore ocean
currents> Cu content transported by surface runoff. From this, the author proposed the quantity
and distance transported by different paths: 1) Transport substance by atmospheric deposition is
the best way for the earth to deliver, with high content and long distance; 2) Transport substance
by offshore ocean currents is the second way for the earth to deliver, with low content and short
distance; 3) Transport substance by surface runoff is the final option for the earth to deliver, with
low content and short distance.

1 INTRODUCTION

In nature, Cu is widely distributed. No matter in the atmosphere, the ocean, or the land, there is
Cu everywhere. Thus, the atmosphere, ocean and land all have Cu content (Yang & Yang 2016a,

∗ Corresponding Author: dfyang @shou.edu.cn

548 DOI 10.1201/9781003308584-78

2016b, 2016c; Yang & Zhu 2016a, 2016b, 20176c;Yang & He 2017) Therefore, humans are actively
concerned about the Cu content migration process in the bay and the ocean. Based on the survey data
in 1993, the author analyzed the Cu content in the waters of Jiaozhou Bay, the horizontal distribution
and its sources, demonstrated the water quality, sources background and sourced quantity, and got
the transportation paths, transported quantity and distance of Cu content of the water bodies inside
and outside the Jiaozhou Bay, providing scientific and theoretical basis for the research of the
sources, paths and migration process of Cu content in Jiaozhou Bay.

2 SURVEY WATERS, MATERIALS AND METHODS

2.1 Natural environment of Jiaozhou Bay

Jiaozhou Bay in the southern part of Shandong Peninsula lied between 120◦ 04 − 120◦ 23 E and
35◦ 58 − 36◦ 18 N, showing the line connecting Tuan Island and Xuejia Island and confronting
to the Yellow Sea. Jiaozhou Bay represented a typical semi-enclosed bay, and indicated about
446km2 in an area and about 7m in an average water depth. Around Jiaozhou Bay there are
several rivers such as the Dagu River, the Haibo River, Licun River and Loushan River with larger
runoff moving into the estuaries (Yang & Yang 2016a, 2016b, 2016c; Yang & Zhu 2016a, 2016b,
20176c).

2.2 Materials and methods

In May, September and October 1993, the survey data on Cu content in Jiaozhou Bay utilized in
this study are collected by the North Sea Monitoring Center of the State Oceanic Administration,
which decided the seven stations in the bay’s waters to get the investigation water samples: stations
H3101, H3102, H3103, H3104, H3105, H3106 and H3107 (Figure 1). For three times Samples
were taken in May, September and October 1993, respectively. Moreover, By the water depth,

Figure 1. Collected samples stations in Jiaozhou Bay.

549
they in the surface and bottom layers were got when the depth >10m, and they only in the surface
layer was got when the depth <10m). The dataset of PHC content in Jiaozhou Bay water body was
surveyed with the national standard method, recorded in the national “Marine Monitoring Code”
(1991) (State 1991).

3 RESULTS

3.1 Cu content
In May, the Cu content in the waters of Jiaozhou Bay showed the range within 1.57–
3.57 µg/L (Table I). The first high value area represented in the eastern coastal waters
of Jiaozhou Bay, station H3107, where the Cu content was the highest, 3.57 µg/L, sat-
isfied the national seawater standard of Class I (5.00 µg/L). The second high value area
represented in the mouth waters of Jiaozhou Bay, station H3101, where the Cu con-
tent reached relatively high, 3.49 µg/L, satisfied the national seawater standard of Class I
(5.00 µg/L). The low value area represented in the northern waters of Jiaozhou Bay, sta-
tion H3103, where the content of Cu reached very low, 1.57 µg/L, satisfied the national
seawater standard of Class I (5.00 µg/L). In other water areas of Jiaozhou Bay, the Cu
content reached relatively low, which satisfied the national seawater standards of Class I
(5.00 µg/L).
In September, the Cu content in the bay’s waters ranged within 1.82-3.08 µg/L (Table I). The
high value area appeared in the eastern coastal waters of Jiaozhou Bay, station H3107, where the
Cu content was the highest, 3.08 µg/L, met the national seawater standard of Class I (5.00 µg/L).
The low value area represented in the mouth waters of Jiaozhou Bay, station H3101, where the
content of Cu reached the lowest, 1.82 µg/L, satisfied the national seawater standard of Class I
(5.00 µg/L). In other water areas of Jiaozhou Bay, the Cu content reached relatively low, which
satisfied the national seawater standards of Class I (5.00 µg/L).
In October, the Cu content in the bay’s waters ranged within 1.80-2.78 µg/L (Table I). The first
high value area represented in the bay’s mouth waters, station H3101, where the Cu content was
relatively high, 2.78 µg/L, met the national seawater standard of Class I (5.00 µg/L). The second
high value area had appearance in the northern coastal waters of Jiaozhou Bay, station H3103,
where the Cu content was the highest, 2.64 µg/L, met the national seawater standard of Class
I (5.00 µg/L). The low value area had appearance in the eastern coastal waters of Jiaozhou Bay,
station H3107, where the content of Cu was very low, 1.80 µg/L, met the national seawater standard
of Class I (5.00 µg/L). In other water areas of Jiaozhou Bay, the Cu content was relatively low,
which met the national seawater standards of Class I (5.00 µg/L).
So, the variation range of Cu content in the bay’s waters was 1.57-3.57 µg/L in May, Septem-
ber and October, satisfying the seawater standards of Class I. It unveiled that the Cu content in
the entire water body of Jiaozhou Bay was less than 4.00 µg/L, far less than the national sea-
water standards of Class I. The water showed clean and was not polluted by Cu content at all
(Table 1).

Table 1. The Cu’s water quality in surface of the bay in May, September and October.

May September October

Cu content in the seawater/µg·L−1 1.57–3.57 1.82–3.08 1.80–2.78

National seawater standard Class I Class I Class I

550
3.2 Horizontal distribution of the surface layer

Figure 2. Cu content distribution at the surface in Jiaozhou Bay in May (µg/L).

In May, in the northern waters of Jiaozhou Bay, station H3107, the Cu content was relatively high,
3.57 µg/L. A high Cu content area was formed centered on the eastern waters of the bay, forming
a series of concentric circles with different gradients. The Cu content decreased from the high
content of 3.57 µg/L in the center to the surroundings along the gradient, to 2.75 µg/L in the
central waters of the bay, and to 1.57 µg/L in the northern waters of the bay (Figure 2). In the
bay’s mouth waters, station H3101, the Cu content was the highest, 3.49 µg/L. A high Cu content
area was formed centered on the mouth waters of the bay, making appearance on a series of semi-
circles with different gradients. The Cu content decreased from the high content of 3.49 µg/L in
the center to the surroundings along the gradient, to 3.05 µg/L in the southeastern waters of the
bay, to 2.75 µg/L in the central waters, and to 1.57 µg/L in the northern waters of the bay (Figure
2).
In September, in the eastern waters of Jiaozhou Bay, station H3107, the Cu content was relatively
high, 3.08 µg/L. A high Cu content area was formed centered on the eastern waters of the bay,
making appearance on a series of concentric circles with different gradients. The Cu content
decreased from the high content of 3.08 µg/L in the center to the surroundings along the gradient,
to 2.09 µg/L in the central waters of the bay, to 2.21 µg/L in the northern waters of the bay, and to
1.82 µg/L in the mouth waters of the bay (Figure 3).

Figure 3. Cu content distribution at the surface in Jiaozhou Bay in September (µg/L).

551
 In October, in the mouth waters of Jiaozhou Bay, station H3101, the Cu content was the highest,
2.78 µg/L. A high Cu content area was formed centered on the mouth waters of the bay, forming
a series of semi-circles with different gradients. The Cu content fell from the high content of
2.78 µg/L in the center to the surroundings along the gradient, to 2.26 µg/L in the southeastern
waters of the bay, and to 2.54 µg/L in the central waters of the bay (Figure 4). In the northern waters
of Jiaozhou Bay, station H3103, the Cu content was relatively high, 2.64 µg/L. A high Cu content
area was formed centered on the northern waters of the bay, forming a series of concentric circles
with different gradients. The Cu content fell from the high content of 2.64 µg/L in the center to the
surroundings along the gradient, to 2.54 µg/L in the central waters of the bay, and to 1.80 µg/L in
the eastern waters of the bay (Figure 4).

Figure 4. Cu content distribution at the surface in Jiaozhou Bay in October (µg/L).

4 DISCUSSION

4.1 Water quality

In May, September and October, the Cu content in the waters of Jiaozhou Bay was 1.57–3.57 µg/L,
met the national seawater standards of Class I (5.00 µg/L). It unveiled that in terms of Cu content,
in May, September and October, the entire water body of Jiaozhou Bay has not the pollution of Cu
at all.
In May, the variation range of Cu content in the waters of Jiaozhou Bay was 1.57–3.57 µg/L,
indicating that the water body of Jiaozhou Bay has not the pollution of Cu at all. In the eastern
coastal waters of Jiaozhou Bay, the Cu content got to a relatively high value, 3.57 µg/L. In the
bay’s mouth waters, the Cu content reached 3.49 µg/L, which unveiled that the water quality in
the eastern coastal waters and the mouth waters of Jiaozhou Bay did not get pollution of Cu. In
other water areas of Jiaozhou Bay, the Cu content got relatively low, far less than 5.00 µg/L, which
showed that in other water areas of the bay, the water had high quality with clean water and did not
get polluted by Cu in terms of Cu content.
In September, the variation range of Cu content in the waters of Jiaozhou Bay was 1.82–
3.08 µg/L, indicating that the water body of Jiaozhou Bay has not the pollution of Cu at all.
In the eastern coastal waters of Jiaozhou Bay, the Cu content reached a relatively high value,
3.08 µg/L, which demonstrated that the water quality was not polluted by Cu in the eastern coastal
waters of Jiaozhou Bay. In addition, in other water areas of Jiaozhou Bay, the Cu content showed

552
relatively low, far less than 5.00 µg/L, which indicated that in other water areas of the bay, the
water had high quality with clean water and did not get polluted by Cu in terms of Cu content.
In October, the variation range of Cu content in the waters of Jiaozhou Bay was 1.80–2.78 µg/L,
indicating that the water body of Jiaozhou Bay has not the pollution of Cu at all. In the mouth waters
of Jiaozhou Bay, the Cu content reached a relatively high value, 2.78 µg/L, which demonstrated
that the water quality was not polluted by Cu in the northern coastal waters of Jiaozhou Bay. In
addition, in other water areas of Jiaozhou Bay, the Cu content got relatively low, far less than
5.00 µg/L, which unveiled that in other water areas of the bay, the water had high quality with clean
water and did not get polluted by Cu in terms of Cu content.

4.2 Sources
In May, it formed a high Cu content area in the eastern waters of Jiaozhou Bay, which indicated that
the Cu was sourced from the transportation atmospheric deposition with a relatively high content of
3.57 µg/L. In the mouth waters of Jiaozhou Bay, it formed a high Cu content area, which indicated
that the Cu content was sourced from the offshore ocean currents with a relatively high value,
3.49 µg/L.
In September, it formed a high Cu content area in the eastern waters of the bay, which indicated
that the Cu content was sourced from the transportation of atmospheric depositon, and the Cu
content was relatively high, 3.08 µg/L.
In October, it formed a high Cu content area in the mouth waters of the bay, which indicated
that the Cu content was sourced from the offshore ocean currents with a relatively high content of
2.78 µg/L. In the northern coastal waters of Jiaozhou Bay, it formed a high Cu content area, which
indicated that the Cu content was sourced from the land surface runoff with a relatively low value
of 2.64 µg/L.
In May, the Cu content transported by atmospheric deposition to Jiaozhou Bay was 3.57 µg/L and
by offshore ocean currents was 3.49 µg/L, satisfying the national seawater quality standard of Class
I (5.00 µg/L). It demonstrated that the atmospheric deposition and offshore ocean currents did not
get polluted by Cu at all (Table 2). In September, atmospheric deposition transported Cu content
of 3.08 µg/L to Jiaozhou Bay, met the national seawater quality standard of Class I (5.00 µg/L).
It demonstrated that the atmospheric deposition did not get polluted by Cu content (Table 2). In
October, the Cu content transported by offshore ocean currents to Jiaozhou Bay was 2.78 µg/L and
by land surface runoff was 2.64 µg/L, satisfying the national seawater quality standard of Class I
(5.00 µg/L). It demonstrated that the offshore ocean currents and land surface runoff did not get
polluted by Cu at all (Table 2). Therefore, the Cu content transported by atmospheric deposition,
offshore ocean currents and surface runoff met the national seawater standard of Class I (5.00 µg/L),
indicating that the atmospheric deposition, offshore ocean currents and surface runoff did not get
pollute by Cu content.

Table 2. The Cu content from different sources in Jiaozhou bay.

Different The transportation of The transportation of The transportation of

sources atmospheric deposition offshore ocean currents land surface runoff

Cu content/µg·L−1 3.08–3.57 2.78–3.49 2.64

4.3 Transportation paths and input volume

The Cu content in the waters of Jiaozhou Bay mainly transported from three sources: atmospheric
deposition, offshore ocean currents and land surface runoff. Thus, human activities brought Cu
content to the land and the ocean, and to the water bodies of Jiaozhou Bay through these three
paths.

553
 From land, ocean and land to the water body of Jiaozhou Bay, three different migration paths
of Cu content have been presented in the following: 1) Human activities directly discharged Cu
content on the atmosphere. Through atmospheric deposition, the Cu content was subsided to the
land surface and the ocean waters. The Cu content transported from atmospheric depositon to the
water body of Jiaozhou Bay was 3.08–3.57 µg/L. 2) Humans discharged Cu content to atmosphere,
ocean and land, and then transported the Cu content to the ocean through the above paths. As time
changes, the Cu content in the ocean increased under the accumulation of input volume. Transported
by rivers, the Cu content was delivered from the high content area to the low content area. Thus,
the Cu content transported from offshore ocean currents to the waters of Jiaozhou Bay was 2.78–
3.49 µg/L. 3) Humans discharged Cu content directly to the land. Through rainwater, the Cu content
transported directly by land surface runoff to the water body of Jiaozhou Bay was 2.64 µg/L. This
reveals how the Cu content from human emissions to the waters of Jiaozhou Bay through three
paths (Figure 5).

Figure 5. Migration paths and input volume of Cu (µg/L).

The order of Cu content transported from different sources to Jiaozhou Bay waters in descending
order is: Cu content transported by atmospheric deposition> Cu content transported by off-
shore ocean currents> Cu content transported by surface runoff. This reveals the three ways of
transportation of Cu content by atmosphere, ocean and land.
The Cu content in the atmosphere was very high, and the transported distance of the Cu content in
the atmosphere was also relatively long. Thus, the substance content transported by the atmosphere
is the best way for the earth to transport, with high content and long distance. 2) Transport substance
by offshore ocean currents is the second way to be transported by the earth. Compared with the
content transported by the atmosphere, the content of Cu transported by the offshore ocean currents
was relatively low. Moreover, compared with the distance transported by the atmosphere, the
distance of Cu content transported by ocean currents was relatively short. In this way, transport
substance by offshore ocean currents was the second way for the earth to transport, with low
content and short distance. 3) Transport substance by surface runoff is the last choice for the
earth to transport. Compared with the transported content of the atmosphere and offshore ocean
currents, the Cu content transported by surface runoff was the lowest. And compared with the
transport distance of the atmosphere and ocean currents, the distance of transporting Cu content in
land surface runoff was the shortest. Thus, transport substance by surface runoff is the final option
for the earth to deliver, with low content and short distance.
Therefore, the Cu content discharged by humans to the atmosphere, ocean and land was far
less than 5.00 µg/L, demonstrated that the atmosphere, ocean and land did not get polluted by Cu
content at all.

554
5 CONCLUSION

In May, September and October 1993, the variation range of Cu content in the bay’s water body was
1.57–3.57 µg/L, which abided by the national seawater quality standard of Class I (5.00 µg/L). It
unveiled that in May, September and October, the entire water of Jiaozhou Bay was not contaminated
by Cu at all.
In May, the variation range of Cu content in the waters of Jiaozhou Bay was 1.57–3.57 µg/L,
indicating that the water body of Jiaozhou Bay had not the pollution of Cu at all. In the east-
ern coastal waters of Jiaozhou Bay, the Cu content got to a relatively high value, 3.57 µg/L.
which showed that the water had not the pollution of Cu. In other water areas of the bay,
the water had high quality with clean water and did not get polluted by Cu in terms of Cu
content.
In September, the variation range of Cu content in the waters of Jiaozhou Bay was 1.82–
3.08 µg/L, indicating that the bay’s water body had not the pollution of Cu at all. In the eastern
coastal waters of Jiaozhou Bay, the Cu content reached a relatively high value, 3.08 µg/L, which
demonstrated that the water quality had not the pollution of Cu. In addition, in other water areas of
the bay, the water had high quality with clean water and did not get polluted by Cu in terms of Cu
content.
In October, the variation range of Cu content in the waters of Jiaozhou Bay was 1.80–2.78 µg/L,
indicating that the water body of Jiaozhou Bay had not the pollution of Cu at all. In the mouth
waters of Jiaozhou Bay, the Cu content reached a relatively high value, 2.78 µg/L, which demon-
strated that the water quality had not the pollution of Cu. In other water areas of the bay,
the water had high quality with clean water and did not get polluted by Cu in terms of Cu
content.
The Cu content in the waters of Jiaozhou Bay mainly transported from three sources: atmospheric
deposition, offshore ocean currents and land surface runoff. Thus, human activities brought Cu
content to the land and the ocean, and to the water bodies of Jiaozhou Bay through these three paths.
The Cu content from the transportation of atmospheric deposition was 3.08-3.57 µg/L, from the
transportation of offshore ocean currents was 2.78-3.49 µg/L, and from the transportation of surface
runoff was 2.64 µg/L. The order of Cu content transported from different sources in descending
order is: Cu content transported from atmospheric deposition> Cu content transported by offshore
ocean currents> Cu content transported by surface runoff. This revealed the three transportation
paths of Cu content to the atmosphere, ocean and land.
From this, the author proposed the quantity and distance transported by different paths: 1)
Transport substance by atmospheric deposition is the best way for the earth to deliver, with high
content and long distance; 2) Transport substance by offshore ocean currents is the second way for
the earth to deliver, with low content and short distance; 3) Transport substance by surface runoff
is the final option for the earth to deliver, with low content and short distance.
The Cu content discharged by humans to the atmosphere, ocean and land was far less than
5.00 µg/L, demonstrated that the atmosphere, ocean and land did not get polluted by Cu content
at all. The author established a model block diagram to further present the transportation paths of
Cu content in the migration process.

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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Experimental research on drilling resistance mechanism of Wujiaping

formation in Shuangyushi extra deep well drilling in Sichuan Basin

Jianlin Yao & Bin Liu

CCDC Petroleum Drilling & Production Technology Co., Ltd., China

Bin Yang
College of Energy Resources of Chengdu University of Technology, China

Lei Li
CCDC Drilling & Production Technology Research Institute, China

Shiming Dong
CCDC Petroleum Drilling & Production Technology Co., Ltd., China

ABSTRACT: The drilling process in Wujiaping Formation of Shuangyushi structure in Northwest

Sichuan province always meets difficulties such as low average ROP, short bit life, and unsatis-
factory drilling effect with PDC bit, cone bit, and hybrid drill bit. This article makes experimental
research on the drillability, abrasiveness, and drilling resistance mechanism of cropping flint and
siliceous limestone core in Wujiaping Formation. Results show that the drilling resistance of Wuji-
aping Formation is extremely strong with 9.65 average drillability level in which high content of
silicon is the key factor, meanwhile, the obvious difference lies in the drilling resistance mechanism
between Wujiaping Formation and sandstone formation due to the high content of the calcareous
layer. Through the combination of rock mechanics and bit cutting surface microscopic observation,
evidence shows that the reasons for bit slipping are difficult penetration of bit cutter and smooth
cutting surface due to high strength and hardness of siliceous limestone, besides, the main reason
for extremely strong drilling resistance of rock is difficult cutting due to tight cementation and high
hardness of flint which leads to breaking rocks by impact grinding. Therefore, the optimization of
bit acceleration in Wujiaping Formation in the middle part of Shuangyushi structure should focus
on enhancing bit tooth penetration and overall impact resistance, to improve the efficiency of rock
breaking and service life of the bit.

1 INTRODUCTION

The Qixia Formation gas reservoir in Shuangyushi structure in northwestern Sichuan has great
potential for development. At present, 8 test wells have been drilled in Qixia formation, with
average test output of 46.17×104 m3 /d (Su et al. 2019; Wan et al. 2017). During drilling, many sets
of difficult-to-drill formations, such as Xujiahe Formation, Wujiaping Formation, and Jingbaoshi
Formation were encountered. The penetration rate was extremely low, the bit life was short, and the
effects of using PDC bit, cone bit and hybrid drill bit were not satisfactory, which seriously restricted
the development process of the gas reservoir. To further shorten the drill cycle and reduce the drill
cost of Wujiaping Formation in Shuangyushi structure, this paper takes the limestone formation
of Wujiaping Formation as the research object and reveals the drilling resistance mechanism of
rocks in Wujiaping Formation by combining it with rock drillability evaluation and rock mechanics
experiments, to guide the bit development of high-quality and rapid drilling.

DOI 10.1201/9781003308584-79 557

2 FIELD BIT ANALYSIS

There were siliceous limestone, flint, tuff, pyrite, and other minerals in Wujiaping Formation of
Shuangyushi structure, and their distribution structure was highly heterogeneous in the lateral
direction. The siliceous content of rock in the north of Wujiaping Formation was low, the footage
of a single bit could reach 115m, the average penetration rate was 1.65m/h, and one-trip to two-trip
drills could be achieved by using non-planar teeth bits or hybrid drill bits. The rock in the middle
area of Wujiaping Formation had poor drillability, which was high in siliceous content with flint
lumps, flint strips, and pyrite. The footage of a single bit was only about 30m, and the average
penetration rate was 0.81m/h. The results of acceleration by using hybrid drill bit, joint venture
cone, impregnated bit, and PDC bit were not satisfactory.

Figure 1. Usage of various drill bits in Figure 2. Wear of drill bits after drilling in the middle part
the middle part of Wujiaping Formation. of Wujiaping Formation (a: impregnated, b: roller, c: PDC).

It can be seen from Figure 1 that although the penetration rate of the PDC bit is relatively the
highest, the current bit fails quickly, and the footage of a single bit is less than 10m, which cannot
meet the engineering requirements. The average footage for the hybrid drill bit and joint venture
cone bit is only 22-32m. The impregnated drill bit has larger footage than other types of drill
bits and has good abrasion resistance, but the drill bit has low rock breaking efficiency, and the
average mechanical drilling speed is only 0.44m/h. The drilling effect of the above bit is still far
from meeting the requirements of the ideal drilling speed on-site. Figure 2 also shows that the
joint-venture cone bits, impregnated bits and PDC bits in the middle area of Wujiaping Formation
have suffered obvious impact damage and wear.

3 MATERIALS AND METHODS

Outcrops in Wujiaping Formation in XibeiTown and ShangsiVillage, Guangyuan City were selected
as the experimental cores. The black part of flint bands is lentil-shaped flint and the white part is
limestone. The cumulative thickness of the flint band can reach 30-40m, which is the hardest rock
to drill in this interval. The outcrop of Wujiaping Formation in Shangsi Village mainly develops
siliceous limestone with some flint bands and clumps in between and the layer thickness reaches
20-30m. Experimental core is drilled from a siliceous limestone and flint band limestone outcrop.
The sampling diameter is 50mm and the length is 55-60mm and is used for testing drillability and
abrasiveness.
The rock drillability test was carried out as per the oil and gas industry standard drillability deter-
mination and classification method (SY/T5426-2000). The blade used in the drillability experiment
test was a standard PDC sheet. During the test, two PDC sheets were clamped on the micro drill
bit (Figure 3(b)). After assembly, the drill bit had an outer diameter of 32mm, a back rake angle of
20◦ , and an inclination angle of 15◦ ; the test process ensured that the static load bit pressure was
500N ± 10N, and the spindle rotation speed was 55r/min ± 1r/min. After drilling to the depth of

558
1mm the timing was started, and when drilling reached to a depth of 3mm, the drilling time was
recorded. The rock drillability level value was calculated by using the following formula:

Kd = log2 t (1)

Kd -rock drillability grade value, dimensionless; t-average drilling time, s. According to the rock
drillability classification standard, the drillability grade value was divided into ten grades from low
to high, and the drill resistance characteristics were gradually enhanced from low to high.
The friction between the rock-breaking tool and the rock causes the wear of the blade to be called
abrasive wear, and the ability of friction to wear the rock-breaking tool is called rock abrasiveness.
Studying the laws of rock abrasiveness is of great significance to the rational design of rock breaking
tools, improving rock breaking efficiency, and reducing drilling costs. The test method used in this
experiment is the standard material grinding method. The basic principle of the test is to use the
weight wear of cylindrical steel rods while rubbing against the rock surface as an indicator of the
relative rock abrasiveness. During the rock abrasiveness test, the axial pressure applied to the steel
rod was 300N, the speed of the steel rod was 500rpm, and it was cooled by water. The test steel
rod was a standard sample of A3 annealed steel, the hardness was HRB70∼75, the outer diameter
was 12mm±0.05mm, the inner diameter was 8mm±0.05mm, and the length was 80mm. During
the test, the two ends of each steel rod were ground for 5 minutes. Three steel rods were tested for
each specimen and the average grinding amount was taken as the experimental result. At present,
the rock abrasiveness has also been divided into ten grades, from low to high, the abrasiveness
gradually increases.

4 EXPERIMENTAL RESULTS

The test results showed (Figure 3) that the rock drillability of the Wujiaping Formation was extremely
poor. The average drillability test grade value reached 9.65. More than 70% of the tested rock
samples had the highest drillability grade value. In addition, considering the difference in lithology
(siliceous limestone, flint) between the sampling points (Xibei Town, Shangsi Village) and the test
rock samples, the measured drillability grade value distribution was not significantly different,
indicating that the high drilling resistance was the general characteristic in the middle part of
Wujiaping Formation in Shuangyushi structure. The abrasiveness test showed that the standard rod
grinding amount measured in the experiment was 0.05-0.87mg, which was a typical low grinding
level (Wang et al. 2012). According to the observation and test rock sample photos, the cutting and
breaking pits of the rock samples of Wujiaping Formation were shallow and extremely irregular,
and the abrasive test traces were extremely inconspicuous, indicating that the rock was hard and
had strong anti-intrusion ability, and the bit teeth were extremely difficult to penetrate. This was
also the main reason why the drillability level of the drill bit was extremely high during the test,
but the grinding amount of the standard rod was extremely low.

Figure 3. Experimental results of drillability Figure 4. Experimental photos of drillability

and abrasiveness. and abrasiveness.

559
5 ANALYSIS AND DISCUSSION

5.1 Composition of mineral and element

The results of the porosity and permeability test of the Wujiaping Formation rock sample in the
Shuangyushi structure showed that the permeability was less than 0.2mD and the porosity was
mainly distributed within 2.0%, indicating that the lithology was extremely dense and the hydraulic
pressure was difficult to transfer to the rock, which was not conducive to the hydraulic-assisted
rock breaking. X-ray diffraction experiments (XRD) showed that the main mineral of the Wujiaping
Formation rock samples was calcite, followed by quartz, which was consistent with its lithological
characteristics of siliceous limestone and flint bands/clumps (Figure 5). The quartz content of some
samples was up to 95%, which mainly reflected the mineral composition of flint (Xiong et al. 2005).

Figure 5. XRD mineral composition analysis of Figure 6. XRF elemental composition analysis of
rocks in Wujiaping Formation. rocks in Wujiaping Formation.

X-ray fluorescence analysis (XRF) showed that the Wujiaping Formation was comprised of
calcium as the main element, followed by silicon, and contained a small amount of aluminum
and iron. Calcium mainly reflected the content of calcite, while silicon represented the siliceous
cement in siliceous limestone and the quartz mineral in clay or flint. The silicon content of the local
flint bands was above 90%, which accorded with the typical characteristics of flint. In general, the
higher the silicon content, the stronger the rock drilling resistance (Li et al. 2018). However, when
the silicon and aluminum elements in the rock sample are both high, it means that the clay content
is relatively high, so the rock drilling resistance will be relatively weakened. If the aluminum and
iron elements are both high, it indicates that tuff content is high and the drilling resistance of the
formation is enhanced.

5.2 Rock mechanical characteristics

The results of rock mechanics test showed that the peak differential stress measured by the triaxial
strength test (50MPa confining pressure) between siliceous limestone and chert in Wujiaping For-
mation of Shuangyushi structure was relatively low. The average peak stress of the flint sample was
only 61.6MPa, and that of siliceous limestone sample was only 114.8MPa, which was significantly
lower than the average compressive strength of the difficult-to-drill stratum of the Xujiahe Forma-
tion in the upper part of the block. However, by comparing the hardness test curve (Figure 7), it can
be found that the flint samples of Wujiaping Formation have the highest hardness value, with an
average hardness of 2.87GPa. Therefore, after comparing the compressive strength and hardness
change characteristics of rock samples, it can be seen that the anti-drilling mechanism of the flint
and siliceous limestone of Wujiaping Formation is significantly different from that of tight sand-
stones of Xujiahe Formation. To be specific, the strong drilling resistance of the former is mainly
due to the hardness and anti-penetration ability of the rock, while the drilling resistance of the latter
mainly comes from the overall macroscopic mechanical strength and the strong abrasiveness of
microscopic debris particles. This difference is reflected in the specific rock-breaking process of
the drill bit. As shown in Figure 4, the broken pits of drill teeth in the Wujiaping Formation rock
560
samples are shallow and extremely irregular and the grinding marks are not obvious, indicating
that the high hardness of rock in the Wujiaping Formation makes it extremely difficult for drill
teeth to penetrate. Moreover, rock breaking is mainly dominated by the impact damage between
drill teeth and bottom-hole rock, so the drilling ROP (rate of penetration) is extremely low and it
is easy to cause the drill bit failure.

Figure 7. Analysis of the compressive strength and Figure 8. Scanning Electron Microscope analysis
hardness of rocks in Wujiaping Formation. of rock cutting surface in Wujiaping Formation.

5.3 Cutting rock characteristics of drill teeth

The cutting pit shape of PDC bit teeth and surface characteristics of Wujiaping Formation rock
samples were analyzed. The results showed that the cutting pits of the siliceous limestone had
regular shapes (Figure 8(a)) and extremely smooth surfaces with characteristics similar to glazing.
SEM (Scanning electron microscope) observations found that compared with the natural fracture
surface, the cutting surface of siliceous limestone was still very microscopically smooth, and thin
slices of cutting debris were produced. The smooth characteristics from macro to micro may cause
the drill bit to slip on the rock surface, which was not conducive to the bit teeth to penetrate and
efficiently break the rock. This also reveals the reason why the Wujiaping Formation rock was weak
in abrasiveness but at the same time, the drillability was extremely high.
By comparison, it can be seen that the cutting pits of the flint rock sample are extremely irregular
(Figure 8(b)) and the overall cutting surface observed by microscopy is relatively flat but not smooth.
Compared with the natural fracture surface, it also had flaky broken cuttings, but the size of the
cuttings was obviously larger than that of siliceous limestone. It indicates that the flint rock samples
of the Wujiaping Formation have strong resistance to drill teeth invasion. At the same time, because
of the large macroscopic hardness, the drill teeth vibrate strongly during the rock breaking process
of the drill bit (Li et al. 2018; Tang et al. 2010). On the microscopic level, the cementing strength
of flint was high and extremely dense (Figure 9(b)). It is difficult for PDC teeth to form a scraping
effect similar to siliceous limestone on the surface (Hoseinie et al. 2019). Eventually, rock breaking
by drill bit was mainly impact crushing and the broken pits formed are extremely irregular and
mainly flaky cuttings.

Figure 9. (a): Rock sample section of siliceous limestone; (b): Rock sample section of flint; (c), (d): Downhole
cuttings in Wujiaping Formation.

561
 Figure 12 shows the downhole cuttings characteristics of the flint-developed interval in Wujiap-
ing Formation. It can be found that compared with the broken cuttings of conventional PDC bit, the
cuttings in this interval were relatively large and dominated by irregular flaky structures with sharp
edges and corners, which further indicated that the drill bit broke the rock mainly by impacting
and crushing in this formation (Lan et al. 2015; Zheng et al. 2012). Due to the high cementation
strength and hardness of the rock, the PDC bit teeth cannot take advantage of the high-efficiency
rock cutting because of the difficulty in penetration. In the follow-up optimization design of the
drill bit in Wujiaping Formation, it was recommended to focus on enhancing bit tooth penetra-
tion and overall impact resistance, to improve the efficiency of rock breaking and service life of
the bit.

6 CONCLUSIONS

Wujiaping formation is the hardest stratum to drill in Shuangyushi district of Sichuan basin, and
revealing its drilling resistance mechanisms is of great significance in shortening the drilling cycle
and promoting the exploitation benefits of this district. Based on the above field and experimental
data analyses, the conclusions were made as follows:
(1) Siliceous limestone and flint bands/clumps are the main reasons for the extremely strong
drilling resistance of the Wujiaping Formation in the middle part of the Shuangyushi structure
in western Sichuan. The average drillability grade of the tested rock samples was as high as
9.65, but abrasiveness was relatively low due to the high calcium content, and its anti-drilling
mechanism was significantly different from that of sandstone formations.
(2) In Wujiaping Formation of the Shuangyushi structure, high rock strength and hardness, dif-
ficulty in penetration of drill teeth, and the slipping of the drill bit due to the smooth cutting
surface were the main reasons for the strong drilling resistance of siliceous limestone. Flint
with the characteristics of dense cementation and high hardness was difficult to be penetrated
and cut by the drill teeth and the rock breaking was mainly caused by impact damage, reflecting
the extremely strong drill resistance.
(3) In future work, to further improve the bit penetration rate in Wujiaping Formation, more
attention should be paid to the interactions of bit teeth and rocks, particularly the frictional and
lubrication mechanisms between the diamond compact and rock matrix.

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4. Sustainable resource utilization and energy storage
technology
 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Feasibility analysis and evaluation of in-situ two-stage gasification of

deep coal seam to produce high hydrogen coal gas

Lin Xin, Kaixuan Li, Mingze Feng & Jiaze Li

Key Laboratory of Ministry of Education for Mine Disaster Prevention and Control, Shandong University of
Science and Technology, Qingdao, China

ABSTRACT: Hydrogen energy is a vita clean energy in the 21st century. Aiming at the resource
characteristics of China’s “rich coal, lack of oil and gas,” based on a thorough investigation of the
deep coal seam underground gasification technology and the two-stage gasification process at home
and abroad, it is believed that it is theoretically and technically feasible to produce high-hydrogen
gas by using the in-situ two-stage gasification technology of deep coal seams. Moreover, according
to the field experiment data, the hydrogen content in the gas produced by the two-stage method can
reach more than 40%. In addition, deep coal seam underground gasification technology can also
be combined with carbon capture and storage (CCS) and other technologies to achieve zero CO2
emissions and promote the clean and efficient use of traditional energy.

1 INTRODUCTION

With the increasing global demand for fossil fuels and the increasing damage tol ecosystems caused
by pollutants emitted during their use, there is an urgent need to find a green, low-carbon, renewable
energy source. As a new type of secondary energy, hydrogen energy (Aakko-Saksa 2018; Nagpal
2018) has the advantages of high calorific value of combustion, good combustion performance, and
the products of combustion are water without destroying the earth’s ecosystem. Thus it has received
significant attention from many countries. However, the large-scale and efficient application of
hydrogen energy is mainly limited by the following three aspects (Hanley 2018; Zhang 2016): (1)
the problem of the hydrogen economy and mass production; (2) the preparation of hydrogen gas;
(3) the storage and transportation of hydrogen.
The precondition for the economic and mass production of hydrogen is the availability (Septina
2017; Swathi 2021) of sufficient raw materials; although the decomposition of water to produce
hydrogen has an absolute advantage in terms of raw materials, it requires a lot of electricity, so it is
difficult to form a real competitive edge; natural gas to produce (Chisalita 2019) hydrogen, although
the technology is mature, it will emit CO2 and other greenhouse gases. Compared with other
fossil energy sources, China is rich in coal resources. However, due to high water pressure, high
temperature, and high stress, a large number of deep coal resources have not been developed and
utilized. The continuous development of deep underground coal gasification technology, combined
with carbon capture and storage (CCS) technology (Korre 2019), will provide a new way of low-
cost and zero-emission coal mining and utilization. Therefore, using deep coal seam underground
gasification technology to produce hydrogen will have a very broad development prospect in China.
To this end, this paper carries out a feasibility analysis and evaluation on the use of the in-situ two-
stage method to produce high hydrogen gas from deep coal seams based on sufficient data research,
which has certain reference significance for promoting the underground gasification of deep coal
seams to produce high hydrogen gas.

DOI 10.1201/9781003308584-80 567

2 MODERN UNDERGROUND COAL GASIFICATION PROCESS

Underground coal gasification (UCG) is simply (Mocek 2016) the process of controlled combustion
of buried coal to produce combustible gases through the thermal and chemical action of coal. The
essence is to extract the energy-bearing components from the coal seam and leave the useless ones
underground. In addition, it integrates the three major processes of good construction, coal mining,
and gasification into one, combining coal mining and transformation, changing the traditional
physical coal mining for chemical coal mining, eliminating huge economic expenses, thus having
the advantages of less investment, less pollution, the high utilization rate of coal resources, good
safety, etc. It is known as the second-generation coal mining method.
The underground gasification principle of coal is roughly similar to the ground gasification
principle of coal. The main difference is that (Bhutto 2013; Perkins 2018) its gasifier is directly
built in the coal seam. After the coal seam is ignited, the gasification agent (air, oxygen, steam,
etc.) is blown into the coal seam to be gasified through the air inlet. After coal seam combustion,
three reaction zones as shown in Figure 1 will be formed in the gasification channel according to
different temperatures and chemical reactions. After a series of reactions, water gas with H2 , CO,
CO2, and N2 as the main components will be formed. The generated mixed gas will be discharged
from the exhaust hole, and the residual ash and Coke will remain in the gasification channel.

Figure 1. Schematic diagram of underground coal gasification.

Modern underground coal gasification technology (Liu 2020) integrates directional drilling
and its controlled back injection technology (CRIP), downhole measurement technology, much-
advanced petroleum equipment, and advanced drilling technology. It can be used for in-situ mining
of deep coal seams with a seam depth of more than 1,000 m and can gasify up to 1,000 m of
horizontal coal seams. The process can not only greatly improve the service life of the gasifier, but
also strengthen the gasification process, achieve stable gas and high-quality output, meet the needs
of downstream chemical applications and reach the level of modern industrial production.

3 DEVELOPMENT STATUS OF IN-SITU GASIFICATION FOR HYDROGEN

PRODUCTION

3.1 Field practice of hydrogen production by UCG of residual coal

Since the German scientist William Siemens (Sajjad 2015) proposed the idea of “Underground
Coal Gasification Technology” in 1868, UCG has a history of more than 100 years. In 1912, the
famous chemist William Ramsey, a British Nobel Prize winner, conducted the first underground
coal gasification experiment in the Durham Coal Mine in the UK. Later, due to the influence of
key technologies and World War I, the development of underground coal gasification has been
restricted to a certain extent. Subsequently, due to the breakthrough of related technologies and the
increased stability of the international political situation, underground coal gasification technology
has set off a new upsurge in many countries around the world.

568
 The former Soviet Union reached its peak in underground coal gasification projects (Sarhosis
2018) in the 1960s, and a total of 5 industrial-scale UCG projects were in operation. However,
due to the low calorific value of the gas produced by gasification, unstable production, high cost,
and other defects, as well as the influence of the rich oil and natural gas resources discovered in
the former Soviet Union, most UCG projects were terminated in the late 1960s. So far, only the
Anglian UCG plant has been operating, and the syngas produced is used by the Anglian power plant,
which was later acquired by Linc Energy, Australia. Affected by the world’s first oil crisis in 1973
(Klimenko 2018), the United States invested a large number of funds in underground gasification
research experiments. By the mid-1980s, a total of 29 underground coal gasification experiments
had been conducted, and the gas produced by gasification had the highest heating value up to 14
MJ/m3 . It is worth noting that in 1987, at the Rocky Mountain-1 underground coal gasification
experimental site, the Controlled Retracting Injection Point (CRIP) gasification new process test
was conducted for the first time, which is a new kind of underground gasification technology. The
model includes two underground gasification unit schemes (Figure 2), one is a linear horizontal
well (L-CRIP) and the other is a parallel horizontal well (P-CRIP). In this gasification experiment,
two gas injection schemes of oxygen enrichment/steam and oxygen/steam were used to obtain coal
gas of different components. The underground coal gasification (Blinderman 2018) experiments in
European countries began in the late 1940s, and the first commercial development experiment was
conducted in the Newman Spinney shallow coal seam in Derby-shire from 1958 to 1959. Although
the gasification experiment was successful, the project was eventually terminated due to the import
of cheap gasoline in the 1960s. After that, it was not until the end of the 1970s that the underground
coal gasification experiment in Europe resumed (Table 1 shows the composition and concentration
of typical underground coal gasification in foreign countries).

Figure 2. Schematic diagram of two horizontal well gasification units.

Underground coal gasification in China was carried out in the 1950s. On the basis of fully
inheriting and absorbing the “Channel blower type” gasification process of the former Soviet
Union, after a period of development, China University of mining and technology studied and
proposed a new process suitable for China’s underground coal gasification – “long channel, large
section, and two-stage” gasification process initiated at home and abroad in 1984 (Liang 2002),
and carried out a series of field tests.

569
Table 1. Composition and concentration of typical coal gas in foreign underground gasification.

Gas composition and concentration /%

Experiment Calorific value/
Country location Year CO2 CO H2 CH4 N2 O2 (MJ·Nm−3 )

Former Donbass 1952 12.1 15.9 14.8 1.8 54.1 0.2 4.19
Soviet Suburbs of 1956 19.5 7.1 14.1 1.5 55.9 0.3 3.5
Moscow
Union South Abinsk 1964 5.6 28.7 18.4 2.1 44.9 0 6.49
Anglensk 18 6 19.6 2.1 55 0.35 2.93
Italy Varidano 1979 19.7 4.5 15.6 2.2 57.8 0.2 3.43
Zhedala 1955 19.5 4.0 15.0 4.5 57 0.0 4.08
U.S.A Galgas 1952 11.7 7.1 7.6 2.1 70.9 0.6 2.68
Hanna 1979 15.0 8.0 12.4 2.9 49.0 0.0 4.31
Rocky Mountain 1987 42.5 9.23 1.6 10.1 ELW
No. 1 Pure 1987 37.5 11.9 38.4 9.4 CRIP
Oxygen
Gasification
Station
Britain Newmen Spinney 1950 15.5 4.9 7.9 1.0 70.7 0.0 2.05
Belgium Bualedam 1979 19.3 53.3 17.6 0.7 0.0 0.09 9.17
Turin 1986 29.9a 3.4 7.5 16.9 6.25
1987 49.5b 1.94 2.4 17.0 0
Spain Teruel 1998 41.0 12.8 24.8 13.2 10.9
∗The data in the table is from literature (Bu 2004).

With the support of the national eighth five-year key scientific and technological breakthrough
project, Xuzhou Xinhe No. 2 Well conducted a semi-industrial test of underground coal gasifi-
cation in March 1994. The furnace body of this gasification experiment was built on the mine’s
waterproofing in the coal pillar, the gasified coal is bituminous coal, the coal seam thickness is
about 3 m, and the coal seam inclination angle is above 78◦ . For the first time, the “long passage,
large section, two-stage” underground gasification process was used for continuous gasification
for about 10 months (Table 2). The gas produced by gasification was sent to Xuzhou Gas Company
for residents to use. This semi-industrial test reached the international advanced level, Solving
the problem of some long-term stagnation of underground coal gasification. In May 1996, with
the support of the Hebei Provincial Key Science and Technology Project, the Tangshan Liuzhuang
Coal Mine began an industrial test of underground coal gasification (Liu 2009). In this test, two
gasifiers were set up in the safety coal column of the Liuzhuang mine, and the gasification coal
type is fat gas coal, the thickness of the coal seam is 2.5–3.5 m, the dip angle is 45–55◦ . The coal
seam thickness is 2.5–3.5 m, and the dip angle is 45–55◦ . On the basis of adopting the underground
gasification process of “long channel, large section and two stages”, the supporting measures such
as pressure pumping combination, filling while gasification and detection of fuel empty area are
adopted to form a relatively perfect production process system, which basically meets the calorific
value requirements and the goal of balanced, stable and continuous gas production (gas supply)
(Table 2). The gas produced is mainly used by the Tangshan Sanitary Ceramics Factory and the
heating boiler of the Liuzhuang Mine, and has been in experimental production for more than five
years. The Shandong Xinwen Suncun Mine (Hu 2017) underground gasification test was fired in
April 2000 using a two-stage pulsatile ventilation program. The gasification coal type is gas coal,
the coal seam thickness is 1.6–1.85 m, and the coal seam inclination angle is 28◦ . After more than a
year of experimental production, it has successfully provided gas to 10,000 households and steam
boilers continuously and has conducted a test of power generation with a 400 Kw small internal

570
combustion engine to achieve a breakthrough in the industrialization of underground gasification
(Table 2).

Table 2. Overview of gas production in some domestic underground gasification (long passage, large section,
two-stage) experiments.

Tangshan Suncun Mine,

Xuzhou Xinhe Liuzhuang Xinwen,
Mining area No.2 Well Coal Mine Shandong

Average calorific value of 1697.5 2985 2529

gas kcal/m3

Daily gas Production/m3 40700 55800 27800

Gas H2 /% 59.90 46.26 45.90

components CH4 /% 11.05 12.14 9.32
CO/% 12.64 14.11 9.62
CO2 /% 13.57 17.47 27.00
N2 /% 2.84 10.02 6.34
∗The data in the table is from literature (Klimenko 2018).

3.2 Exploration of UCG for mining deep coal resources

At the beginning of the history of underground coal gasification, due to some technical constraints
such as drilling and penetration (Klimenko 2009), most of the gasification experiments were con-
ducted on shallow coal seams, and it was not until the 1970s that experiments on gasification of
deep coal seams gradually emerged. For example, the deep coal seam gasification experimental
project in Thurin (Burton 2019), Belgium, which started in 1976, conducted high-pressure gasifi-
cation experiments in the Thurin coal field (coal seam depth 860 m); in 1988, the European Coal
Underground Gasification Working Group, formed by six EU member states, conducted on-site
gasification experiments in the middle and deep coal seam (coal seam depth 500 m-700 m) in
the Teruel mine (Sury 2004) Spain. These experimental projects have made major breakthroughs
and solved a series of technical problems, confirming that deep coal seams are more favorable
to gasification than shallow coal seams. With the rise of modern coal underground gasification
technology with coal seam horizontal wells and coiled tubing controllable retracting injection point
(CRIP) as the core, Canada was in Swan Mountain, Alberta from 2009 to 2011 (Akbarzadeh Kasani
2017) conducted the deepest coal underground gasification industrialization field experiment to
date in the coal seam (seam depth 1400 m). The test uses the L-CRIP process, the gasification
agent is pure oxygen, the horizontal section of the U-shaped well is about 1600 m long, the daily
output of crude gas is about 110,000 m3 , and the highest content of CH4 reaches 37%. The project
verified for the first time that the content of methane in the gas produced by the flue gasification
reaction under the pressure of 10-12 MPa underground can increase about two times that of shallow
low-pressure gasification. In general, foreign deep coal seam underground gasification technology
has made great progress, and a series of significant results have been obtained, which all show that
it is technically feasible to carry out deep coal seam underground gasification.
Deep coal seam in situ two-stage gasification technology research in China has just started, only
carried out some theoretical research and numerical simulation work, such as Tianjin, Liaoning,
etc. have conducted research on the feasibility of deep coal underground gasification in the region;
Liaohe Oilfield in 2005 proposed to carry out 1000 m deep underground gasification experiments;
In 2010, Ningxia Bureau of Geology and mineral resources signed a letter of intent on underground
gasification test of deep coal resources in Ningxia with Xinao gasification and Coal Mining Co.,
Ltd. and China University of Mining and Technology (Beijing).

571
4 COMPARISON OF TRADITIONAL HYDROGEN PRODUCTION AND DEEP COAL
SEAM IN-SITU TWO-STAGE GASIFICATION FOR HYDROGEN PRODUCTION

4.1 Traditional hydrogen production process

The traditional hydrogen production process mainly includes water decomposition hydrogen pro-
duction and fossil fuel conversion hydrogen production, of which water decomposition hydrogen
production is mainly electrolysis water hydrogen production and thermochemical sulfur-iodine cir-
culating water decomposition hydrogen production two processes, fossil fuel conversion production
Hydrogen mainly consists of two processes: natural gas steam reforming and coal gasification (see
Figure 3 for the cost of different hydrogen production processes).
Hydrogen production from electrolyzed water is one of the more widely used and more mature
methods (Ren 2015). It has the advantages of simple process and flexible operation and no pollution
in the reaction process. The main reactions involved are

H2 O → H2 + O2
Thermochemical sulfur-iodine cycle water decomposition to produce hydrogen (Tanaka 2021)
is the process of producing hydrogen through the decomposition of water through a series of
interrelated thermochemical reactions. The maximum heat source temperature in the entire process
is much lower than that required for direct high-temperature pyrolysis water. The temperature and
the reaction are relatively mild, and the process operation is easy to achieve. The main reactions
involved are

2H2 O + SO2 + I2 → H2 SO4 + 2HI(293K ∼ 373K)

2HI → H2 + I2 (473K ∼ 973K)
H2 SO4 → H2 O + SO2 + 1/2O2 (1073K ∼ 1173K)
Natural gas steam reforming to produce hydrogen (Ghorbani 2021) (NGSR) is the use of methane
and steam under the catalyst and high-temperature conditions to generate a mixed gas containing H2
and CO. This reaction is a strongly endothermic reaction (the reaction should be at a high temper-
ature of 750◦ ∼920◦ ) requires external heating (natural gas combustion), which has the advantages
of short process flow and simple operation. It is widely used in the production of synthetic gas,
pure hydrogen, and synthetic ammonia raw material gas. The main reactions involved are

CH4 + H2 O → H2 + CO H298 = 206KJ/mol

The technology of hydrogen production from coal gasification has more than 100 years of
development history (Burmistrz 2016). The process is simply the process of coal gasification at
high temperature to generate a mixed gas containing H2 and CO. It has the characteristics of mature
technology, low raw material cost, and large scale of equipment. The main reactions involved are

C + H2 O → H2 + CO

Figure 3. The cost of different hydrogen production processes.

572
4.2 Advantages of in-situ two-stage gasification hydrogen production in deep coal seam
Compared with the traditional hydrogen production process (Table 3), the advantages of deep coal
seam in-situ two-stage gasification hydrogen production include but are not limited to the following
aspects: First, it has a huge advantage in cost, according to Xuzhou Xinhe No. 2 Mine The semi-
industrial test data shows that the cost of using two-stage production of high hydrogen content gas
(Liang 1995) is about 0.15 yuan per cubic meter. Second, the effect of carbon emission reduction is
remarkable. For the carbon dioxide gas generated by the in-situ two-stage gasification of the deep
coal seam, due to the high pressure of the deep coal seam, it is beneficial to the separation, capture,
and transportation of CO2 . Therefore, it can be combined with carbon capture and storage (CCS)
and other technologies to inject the captured CO2 into the coal cave space formed by gasification for
permanent storage. Calculations have shown that when gasifying a coal seam at a depth of 1,000
meters, about two-thirds of CO2 can be stored in the abandoned underground gasification and
combustion area (Durucan 2014). Britain, Canada, Australia and other countries have combined
UCG, CCS, and hydrogen production as a new direction for coal use. Thirdly, for the underground
gasification combustion space with good geological conditions, hydrogen storage can be built at
a very low cost (Kong 2016), which not only has a storage capacity of Large and relatively low
running costs.

Table 3. Comparison of several hydrogen production processes.

Hydrogen Advantages Disadvantages

production process

Hydrogen Mature technology, simple equipment, High energy consumption, high

production from no pollution, can produce hydrogen of cost of hydrogen production
water electrolysis high purity

Natural gas to Large hydrogen production, mature High energy consumption, high
hydrogen technology, applications greenhouse gas emissions
broad-based

Coal gasification to Large hydrogen production, mature Large greenhouse gas emissions
produce hydrogen technology and low cost and more pollutant emissions

In-situ two-stage Low cost, significant carbon reduction, No large-scale application to

gasification of deep less pollutant emissions industrialization
coal seam to produce
hydrogen

5 PREPARATION OF HIGH HYDROGEN COAL GAS BY TWO-STAGE METHOD

5.1 Principle and process technical index of two-stage hydrogen production

The two-stage underground coal gasification process is a process of underground gasification that
circularly supplies air and steam. Each cycle process is divided into two stages. The purpose of
the first stage is to accumulate a large amount of heat energy in the underground gasifier, mainly
through the input of air to make the carbon in the coal seam undergo a multiphase chemical reaction
to produce a large amount of heat, so as to form an ideal temperature field. With the continuous
injection of air, the range of the high-temperature zone continues to expand, and the heat diffuses
to the coal wall. After the calorific value of gas reaches 800 kcal/m3, the gas injection continues to
be stable for 2h. At this time, an ideal temperature field is formed, and the gas injection is stopped
at the end of the heat storage stage. The main reactions that occur at this stage are

C + O2 → CO2 H = +393.8MJ/kmol

573
 C + O2 → 2CO H = +231.4MJ/kmol
The purpose of the second stage is to produce high calorific value water gas containing a large
amount of H2 and CO by using the decomposition reaction of hot carbon and water vapor at high
temperature and water gas shift reaction. The main reactions that occur at this stage are

H2 O + C → H2 + CO H = −131.5MJ/kmol
2H2 O + C → 2H2 + CO2 H = −90.0MJ/kmol

Figure 4. Steps of generating high hydrogen coal gas by the two-stage method.

The decomposition reaction of water is an endothermic reaction, which will reduce the temper-
ature of the gasification channel. When the temperature decreases to the point where the chemical
reaction conditions cannot be maintained, the quality of H2 will decrease. Through gas sampling
detection, when the H2 concentration decreases to 1/3 of the peak concentration, the H2 production
rate decreases the fastest. At this time, stop injecting water vapor and inject air to store heat in the
coal seam. In this regard, from the perspective of better production of high hydrogen coal gas, the
flow chart of two-stage production of high hydrogen gas by underground coal gasification is put
forward (Figure 4).

5.2 Field application of two-stage hydrogen production

The key to the two-stage underground coal gasification process is the burning of large amounts of
coal and the release of a large amount of heat. The deep coal seams (700 m and above) are bound
by tight rock layers, with good sealing conditions, high structural strength, and easy to achieve the
required high-temperature environment. Table 4 and Table 5 are respectively the gas production
situation of the traditional gasification method and the two-stage gasification method in the field
experiment (Bu 2004) of Tangshan Liuzhuang Coal Mine in Hebei.

Table 4. Liu Zhuang coal mine field test traditional gasification gas composition, calorific value, flow
situation.
volumetric fraction/%
calorific value/ Gas flow/
H2 CH4 CO CO2 N2 (MJ·Nm−3 ) (Nm3 ·h−1 )

10∼20 2∼4 10∼20 10∼25 40∼65 4.18∼5.86 10∼12

∗The data in the table is from literature (Liang 2013).

By comparing Tables 4 and 5, it can be found that the content of H2 and CH4 in the gas has
increased by at least two times and the content of the inert gas N2 has decreased significantly. The
calorific value and flow rate of the gas have also increased simultaneously. This is mainly because

574
Table 5. Liu Zhuang coal mine field test two-stage gasification gas composition, calorific value, flow rate
situation.
volumetric fraction/%
Number of Calorific value/ Gas flow/
cycles H2 CH4 CO CO2 N2 (MJ·Nm−3 ) (Nm3 · h−1 )

1 40.66 7.84 28.02 5.51 17.97 11.88 1936

2 43.57 11.02 15.68 6.92 22.81 11.89 2287
3 47.14 12.38 13.36 20.48 6.64 12.59 2263
4 46.69 10.27 14.45 23.55 5.04 11.83 2345
5 47.94 12.04 16.63 18.17 5.22 12.97 2462
6 52.00 8.65 11.24 21.83 6.27 11.45 2430

*The data in the table is from literature (Liang 2013).

(1) The gasification agent is steam, which eliminates the influence of N2 on the composition and
calorific value of gasified coal gas; (2) In the process of underground coal gasification, iron oxides
and other metal oxides in ash slag have a certain catalytic effect on steam decomposition reaction
and CO conversion reaction; (3) By introducing air to store heat in the coal seam, the oxidation-
reduction reaction temperature conditions are good, and the water vapor decomposition rate is high
by reasonably controlling the contact time between water vapor and carbon.
From this, it appears that the two-stage gasification process Both are far superior to the traditional
underground gasification process, which also shows that the use of two-stage method to produce
high-hydrogen gas is feasible.

6 PROSPECTS FOR THE DEVELOPMENT AND APPLICATION OF IN-SITU TWO-STAGE

GASIFICATION OF DEEP COAL SEAMS TO PRODUCE HYDROGEN IN CHINA

The characteristics of China’s resource existence can be summarized as six words “rich coal, lack of
oil, less gas”, which determines China’s energy structure in the future for a long period of time based
on coal. According to the data released by the National Bureau of Statistics in 2017, the proven
reserves of coal resources in my country are 142 times the sum of oil and natural gas resources
(Heede 2016), of which about 53% of the total coal resources are buried below 1,000 m. Due to the
lack of economically feasible deep well mining technology, it is difficult for traditional well mining
to utilize this part of the coal resources buried deep. As a very important clean energy in the 21st
century, hydrogen energy is widely used in all aspects of life. How to produce hydrogen with high
efficiency, low cost and no pollution has become an urgent problem to be solved. The deep coal
seam in-situ two-stage gasification hydrogen production technology provides an efficient, low-cost,
and pollution-free commercial development solution for these two problems. The gas produced by
gasification can not only be used as fuel gas for direct civilian use and power generation, but also
as a raw material for synthetic oil, dimethyl ether, ammonia, and methanol Gas, and the content of
hydrogen in the gas produced by the two-stage method can reach more than 40%, which will have
far-reaching significance for the future development and utilization of hydrogen energy. Therefore,
the use of coal underground two-stage gasification technology to recover deep coal resources to
produce hydrogen has very important practical significance and broad application prospects in my
country, and also helps to optimize the energy structure of my country.

7 CONCLUDING REMARKS

Based on the full investigation of literature and relevant field experimental data, it is considered
that the in-situ two-stage method for producing high hydrogen gas in deep coal seam is feasible

575
in theory and technology. This is not only conducive to improving the utilization rate of deep coal
resources and reducing the waste of coal resources. Moreover, by combining with carbon capture
and storage (CCS) and other technologies, carbon emissions can be significantly reduced, which
provides a new direction for low-cost and low pollution hydrogen production. This is of great
significance to the clean and efficient utilization of traditional coal resources.

ACKNOWLEDGEMENT

This study was financially supported by the Shandong Natural Science Foundation (No.
ZR2020ME084), the National Natural Science Foundation of China (No. 51504142),
the Qingchuang Science and Technology Program of Shandong Province University (No.
2019KJG008), the Scientific Research Foundation of Shandong University of Science and Technol-
ogy for Recruited Talents (No. 2017RCJJ013), the SDUST Research Fund (No. 2018TDJH102),
and the Geological Survey Project of China Geological Survey (No. DD20190182).

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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Study on water production law of fracture cave reservoir in the

east of Jingbian gas field

Xiaoling Meng∗
Exploration & Development Research Institute, Petro China Changqing Oilfield Company,
Xi’an, Shaanxi, China
National Engineering Laboratory for Low∼permeability Petroleum Exploration and Development,
Xi’an, Shaanxi, China
Evaluation & Potential Excavation Project Team of Thousand-Gas Well, Changqing Oil Field Branch
Company Ltd., Petro China, Xi’an, Shaanxi, China

Min Xu
Evaluation & Potential Excavation Project Team of Thousand-Gas Well, Changqing Oil Field Branch
Company Ltd., Petro China, Xi’an, Shaanxi, China

Hongbo Zhang
CNPC Chuanqing Drilling Engineering Company Limited, Chengdu, Sichuan, China

Xuedong Meng
Gas Production Plant of Changqing Oilfield Company, Petro China, Yulin, China

ABSTRACT: The lower Paleozoic in the east of the Jingbian gas field is a set of quasi syngenetic
dolomite fracture cave reservoir. Lithology is relatively dense, solution pores are not developed,
most reservoirs only develop intergranular pores and pinholes, while fractures and microfractures
are generally developed. The study area is close to the Jingbian gas field, but it has not been
developed on a large scale so far. The water output of production wells is generally the main factor
restricting its effective development. Based on the data of core observation, thin section, scanning
electron microscope, imaging logging, and water quality analysis, this paper considers that: (1)
the reservoir sealing conditions are good, the produced water has the characteristics of formation
water, and the water volume increases sharply with the decrease of formation pressure; (2) The
lower Paleozoic reservoir is located in karst depression and is generally dense, the natural gas filling
and pore water displacement are insufficient, the gas water difference is not obvious, and there
is no unified gas-water interface,; (3) The combination of reservoir fractures and holes forms the
network channel of reservoir fluid migration, which is an important condition for water production;
(4) When taking reservoir reconstruction measures for this kind of fracture cavity tight reservoir,
the scale should not be too large and it is easy to communicate with distant fractures.

1 INTRODUCTION

The lower Paleozoic carbonate reservoir in the east of Jingbian gas field is the extension of the
gas field to the East, but it has not been put into large-scale development. There are three main
reasons: (1) it is located in karst depression, with weak dissolution degree, high filling degree, and
insufficient gas reservoir filling; (2) The main gas producing layer (Ma531 ) of most gas wells is
missing; (3) After the gas well is put into operation, the water breakthrough period is shorter than

∗ Corresponding Author: [email protected]

578 DOI 10.1201/9781003308584-81

that of Jingbian gas field, and the development efficiency is low. At present, 120 wells have been
drilled in this area, and only 17 wells have been put into operation. According to the analysis of
production data, the average water breakthrough period is 1.5 years, which is 18.5% of Jingbian
gas field. It can be seen that poor reservoir conditions and short water breakthrough period are the
main factors restricting its scale production.
There is no relevant research on water source identification and law analysis of gas field produced
water in this area (Chen 2011; Jian 2004; Lin 2014; Sun & Wang 2009; Sun & Wu 2008; Zhang
& Li 1993; Zhou & Li 2011;. Some studies have been carried out on the surrounding blocks and
similar gas fields, mainly in terms of structure, logging interpretation, and production profile test.
According to the special geological conditions of this area, it is also necessary to study the reservoir
forming characteristics and water production mechanism.

2 REGIONAL OVERVIEW

The study area is located in the east of Jingbian gas field, covering an area of 3 600 km2 (see
Figure 1). The main gas-bearing strata are Ma5 1∼2 of Majiagou Formation of Lower Paleozoic
Ordovician. Among them, the main gas reservoir is Ma5 31 , followed by Ma5 41 and Ma5 22 . The study
area is located in a karst depression, and the lithology is relatively dense. The solution pores are
not developed, or the solution pores are developed but the filling is serious. Most reservoirs only
develop intergranular pores and pinholes, fractures and micro-fractures are generally developed
later. According to the observation of the core section and the identification of thin sections, the
Ma51+2 member in the study area is a set of carbonate strata mainly composed of peneconsyngenetic
dolomite, intercalated with dolomitic mudstone, argillaceous dolomite, gypsum dolomite, and
tuff. According to the comprehensive study of core observation, thin section, scanning electron
microscope, and other analytical data, it is determined that the main dissolution filling in the study
area is calcite and dolomite (see Figure 2).

Figure 1. Sketch map showing structural location of research area.

579
Figure 2. Core photos and SEM in the study area.

3 FORMATION WATER PRODUCTION CHARACTERISTICS

3.1 Water production characteristics

Due to the poor physical properties and tight lithology of reservoirs in this area, fractures have an
important impact on fluid production. In the area with insufficient gas reservoir filling, the fluid
production characteristics are complex, which is mainly reflected in two aspects: (1) in the position
of relative uplift, the initial gas test only produces gas and no water is produced, but water will
be seen soon in the test production. (2) In relatively low-lying areas, the initial gas test output is
very low (0 ∼ 0.5 m3 /d) and there is a small amount of water (3 ∼ 5 m3 /d). However, after large-
scale transformation, there is no gas production and large water production (greater than 10 m3 /d),
which increases with the increase in transformation scale. Consider Q20 as an example: the well is
located at the high position of the structure, the reservoir is relatively dense, intergranular pores and
pinholes are developed, and fractures and micro fractures are also developed. The initial gas test of
the well was obtained 10.8016 ×104 m3 /d (AOF) with no water production, but water output was
observed during pilot production, with an average daily water output of 0.5 m3 /d. At the initial stage
of production, the average daily gas production of the well is 6.0×104 m3 /d, with an average daily
water production of 1.5 m3 /d. After 210 days of continuous production, the daily gas production
decreased to 1.2×104 m3 /d, with an average daily water output of 3.1 m3 /d (see Figure 3).

Figure 3. Profile of Q23 ∼ Q13 Lower Paleozoic gas reservoir in the study area.

580
3.2 Chemical characteristics of produced water
According to the test data of 65 water samples from 17 wells in the study area, the chemical
characteristics of produced water are analyzed. The study area: (1) the total salinity is 62.6 ∼ 229
mg/L, with an average of 148.9 mg/L; Cl− content ranged from 24.8 to 147 mg/L, with an average
of 93.4 mg/L; (2) The produced water is CaCl2 type; (3) Trace the chemical characteristics of the
water sample and qualitatively judge it as formation water (see Table 1).
The type of produced water in this area is comprehensively determined by the chemical charac-
teristic coefficients such as formation water metamorphism coefficient, desulfurization coefficient,
and genetic coefficient. (1) Metamorphic coefficient, also known as sodium chloride coefficient,
reflects the formation sealing index, which has no direct relationship with oil and gas and belongs
to the environmental index. The metamorphic coefficient in this area ranges from 0.06 to 0.43, with
an average of 0.19. According to the standard of Boyarski (1970), the stratum sealing in this area is
good. (2) The smaller the desulfurization coefficient, the more sufficient the desulfurization effect,
which reflects that it is in the anoxic formation environment. The desulfurization coefficient in the
study area ranges from 0.02 to 2.26, with an average of 0.43, reflecting that the desulfurization
effect of the stratum in this area is relatively sufficient. (3) The genetic coefficient ranges from
2.50 to 15.80, with an average of 6.03, reflecting good reservoir sealing conditions.

Table 1. Identification of produced water source of lower paleozoic carbonate formation in the study area.

Total salinity/ Metamorphic Desulfurization Genetic

mg·L-1 coefficient coefficient coefficient

200.00 0.13 0.02 12.00

155.00 0.13 0.04 4.55
151.00 0.19 0.24 4.93
62.60 0.06 2.26 8.30
72.35 0.42 0.88 6.80
118.00 0.14 0.34 4.14
134.00 0.16 0.45 3.03
147.00 0.14 0.57 2.69
174.00 0.23 0.09 15.80
159.00 0.15 0.06 5.01
228.00 0.17 0.06 5.96
229.00 0.16 0.06 5.51
94.62 0.43 0.90 3.20
160.00 0.19 0.12 2.50

4 ANALYSIS OF WATER PRODUCTION MECHANIS

4.1 Reservoir forming characteristics

The lower Paleozoic reservoir in the study area is located in a karst depression, which is generally
dense. The dissolved pores are either developed or under-developed, but the filling is serious. The
natural gas filling and pore water displacement are insufficient, lack a unified gas-water interface,
and the gas-water difference is insufficient.

4.2 Natural gas seepage mechanism

According to the percolation mechanism of oil and gas production, the formation energy is sufficient
at the initial stage of production, and the gas-liquid carrying capacity is good under the action
of production pressure difference P. The gas well production at this stage is high and a small

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amount of condensate water is produced; in the middle and late stages of production, the production
differential pressure increases with the decrease of formation energy, P. At this time, the slip
effect is significant, the gas carrying capacity is reduced, and the wellbore effusion is gradually
formed. In severe cases, drainage and gas production measures need to be taken to resume gas well
production. Due to the characteristics of fracture and micro fracture development in the study area,
it is easy to produce large amount of water in a short time. The research shows that when the water
phase permeability is greater than 65%, the gas well produces only water and no gas.

4.3 Fluid migration channel

Core and SEM data show that horizontal fractures, vertical fractures, and reticular leaching frac-
tures are mainly developed in the reservoir in the study area, and sutures are also common. The
combination of fractures and holes forms the network channel of reservoir fluid migration, which
is also an important reason for its water production (see Figure 4).

Figure 4. Comparison between intergranular pore mode and fracture pore mode.

5 CONCLUSION

Based on the results and discussions presented above, the conclusions are obtained as below:
(1) The study area is located in a karst depression with dense lithology. The dissolved pores are
not developed, or the dissolved pores are developed but not filled seriously. It belongs to a
typical fracture cave reservoir.
(3) Through the analysis of produced water quality and corresponding chemical characteristic
coefficients such as metamorphic coefficient, desulfurization coefficient, and genetic coeffi-
cient, it is comprehensively determined that the type of produced water in this area contains
CaCl2 .
(3) Insufficient natural gas filling and pore water displacement, no unified gas-water interface,
insufficient gas-water difference, and fluid migration channels composed of holes and fractures
are important reasons for water production.
(4) With the decrease of formation energy, the slippage effect of gas intensifies. When the water
phase permeability is greater than 65%, the production well will only produce water and no
gas.
(5) While practicing reservoir reconstruction measures for this kind of fracture cavity tight reser-
voir, the scale should not be too large to enable the ease of communication with distant
fractures.

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REFERENCES

Chen Qing. & Wang Da-Cheng (2011). A research on water producing mechanism and water controlling
measures. J. Journal of Southwest Petroleum University (Science & Technology Edition).125–128.
Jianyi. & Li Yingchuan (2004).Intergrated study on water producing law of condesate reservoirs with anomaly
high temperature. J.Nature Gas Industry.89–91.
Lin Hai-ping. & Li Qian-ding (2014). Study on regularities of the produced water in western sulige gasfield.
J. Chemical Engineer. 34–38.
Sun Hufa. & Wang Xiaolu (2009). The application of water source identification to control water breakthrough
in gas wells of the Sebei gas field. J. Nature Gas Industry.76–78.
Sun Laixi. & Wu Jiantang (2008). Reasons of producing water in the low-permeability gas/water reservoirs
without edge/bottom water. J. Nature Gas Industry.113–115.
Zhou Junjie. & Li Yingchuan (2011). Water production pattern of Daniudi low-permeability gas field,
OrdosBasin. J. Oil & Gas Geology. 946–951.
Zhang Linan. & Li Xiaoping (1993).The judgement on the origin and the phase state in underground reservoir
of produced water in gas well. J. Journal of Daqing PetroleumIn-stitute. 107–110.

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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Reservoir forming conditions and main controlling factors of

tight sandstone gas in Ordos Basin

Fang Zhang, Bo Qiao & Xiaoling Meng∗

Exploration & Development Research Institute, Petro China Changqing Oilfield Company,
Xi’an, Shaanxi, China
National Engineering Laboratory for Low∼Permeability Petroleum Exploration and Development,
Xi’an, Shaanxi, China

Xiaochuang Ye
Gas Production Plant of Changqing, Oilfield Company, Petro China, Wushenqi, China

ABSTRACT: The upper Paleozoic gas reservoir in Ordos Basin is an important tight gas reservoir
energy base. Four tight gas fields with proven reserves of more than 100 billion cubic meters have
been built. The analysis of tight gas source rocks, reservoirs, and other reservoir forming conditions
in the basin guides for the discovery of tight gas reservoirs in other areas of the basin. The research
shows that: (1) the coal seams of Benxi Formation Shanxi Formation are the main source rocks,
with high abundance and maturity of organic matter, mainly high over maturity, which provides
sufficient material basis for natural gas accumulation in the basin; (2) The lithology is mainly lithic
quartz sandstone and quartz sandstone. The reservoir has the characteristics of “small pores, fine
throat, undeveloped micro fractures, and poor pore throat connectivity”; (3) The reservoir evolved
into a tight sandstone reservoir in the early Middle Jurassic, and then a large amount of natural
gas was injected to form a gas reservoir in the late Jurassic Early Cretaceous, which is typical
“tight first and then reservoir forming”; (4) The distribution of tight gas in Ordos Basin is mainly
controlled by sedimentary microfacies and reservoir’s physical properties, in which reservoir’s
physical properties are the key controlling factor, and fractures have an important impact on the
improvement of reservoir physical properties.

1 INTRODUCTION

Tight gas is a typical unconventional natural gas resource stored in low and ultra-low permeability
in a tight sandstone reservoir. It is difficult to exploit it by relying on conventional technology.
Natural gas with economic value can be produced by large-scale fracturing or special gas production
technology. The upper Paleozoic in Ordos Basin is an important energy base for tight sandstone
gas (Fu et al. 2012; Hu et al. 2006; Li et al. 2012; Yang et al. 2016). Since 2000, the upper
Paleozoic tight sandstone gas in Ordos Basin has entered large-scale development and achieved
great results. At present, four tight gas fields with proven reserves of more than 100 billion cubic
meters, including Sulige, Wushenqi, Daniudi, and Shenmu, have been found, and the cumulative
geological reserves of tight sandstone gas are about 353 million × 1012 m3 , accounting for 84% of
the total discovered natural gas reserves in the basin.
To meet the needs of sustainable and efficient development and stable production of tight gas
in the basin, this paper studies the source rock, reservoir, reservoir forming characteristics, and
migration mode, and analyzes the tight gas reservoir forming conditions to have a comprehensive
and systematic understanding of the formation process of tight gas in the basin and lay a foundation
for finding the tight gas enrichment area in the basin.

∗ Corresponding Author: [email protected]

584 DOI 10.1201/9781003308584-82

2 REGIONAL OVERVIEW

Ordos Basin is located in the west of the North China plate. It is a typical superimposed basin
on the margin of the craton. It is the second-largest sedimentary basin in inland China, spanning
Shaanxi, Gansu, Ningxia, Mongolia, and Shanxi. The total area of the basin is about 37 × 104 km2
(Figure 1). The basin has experienced multiple tectonic movements such as Wutai, Luliang, Cale-
donian, Hercynian, Indosinian, Yanshan, and Himalayan (Wang 2011; Zhang 1982; Zhao et al.
2012), and developed middle and Upper Proterozoic Lower Paleozoic marine carbonate platform
facies deposits, Upper Paleozoic marine continental interactive coal-bearing clastic rock deposits,
Mesozoic inland river delta lake basin facies deposits, Cenozoic Aeolian Loess, and fluvial facies
deposits.

Figure 1. Sketch map showing the structural location of the research area.

3 TIGHT GAS RESERVOIR FORMING CONDITIONS

3.1 Sedimentary reservoir conditions

The upper Paleozoic tight sandstone gas reservoirs are mostly located in the north of the basin,
and the He8 member of the Lower Shihezi Formation is the main gas-bearing horizon. During this
period, the gentle slope shallow water delta was developed (Chen et al. 2012; He et al. 2002; Li et al.
2011), and the distributary channel and underwater distributary channel developed, thus, becoming
a favorable sedimentary facies belt in this area. The main rock types are lithic quartz sandstone,
quartz sandstone, and lithic sandstone. It is mainly medium sandstone (59.61%), followed by coarse
sandstone (20.53%) and fine sandstone (18.80%). Sandstone is mainly supported by particles, and
the particles are mainly in line contact. The roundness of clastic particles of sandstone is mainly
sub-prismatic and sub-circular, the sandstone is well sorted to medium, and the cementation type
is mainly pore cementation.

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 The porosity of sandstone reservoir is mainly distributed in 4%–8%, and the permeability is
0.1 ×10−3 µm2 ∼ 0.5×10−3 µm2 (Figure 2), generally, it belongs to low porosity and low per-
meability tight sandstone reservoir. The main pore types include primary intergranular pores,
secondary dissolution pores, and microfractures. Secondary dissolution pores are the most devel-
oped, accounting for 70% of the total pores, and are the most important pore type. There are few
primary intergranular pores, while microcracks are only developed in local areas or horizons.
The main types of secondary pores are intergranular pores, cuttings dissolved pores, and inter-
granular dissolved pores (Figure 3). According to the characteristics of the mercury injection curve,
there are both platform and steep slopes (Figure 4). The reservoir generally has the characteristics
of “small pores, fine throat, undeveloped micro fractures, and poor pore throat connectivity” (Wang
et al. 2015; Wu et al. 2014). The pore structure type is mainly class III, followed by class II.

3.2 Source rock conditions

During the deposition of Benxi Formation Shanxi Formation in the basin, the climate was hot and
humid, the structure was stable, the paleotopography was gentle, the sedimentary environment of
epicontinental sea and River Delta was developed, and two sets of source rocks of coal measures and
carbonate rocks were formed. Among them, the source rocks of coal measures were developed in a
large area within the basin, which laid a material foundation for extensive hydrocarbon generation
(Duan & Zhang 2015; Yao et al. 2017). The main source rock is the coal measure strata of Benxi
Formation Shanxi Formation, with high organic carbon content, soluble organic asphalt “a”, and
total hydrocarbon content. The analysis of 65 coal seam samples shows that the organic carbon
content is 38.31%-89.17%, and the average value is 72.53%.

Figure 2. Histogram of porosity and permeability of Upper Paleozoic Sandstone Reservoir.

Figure 3. Main types of secondary pores.

Asphalt “a” content is 0.1657%–2.4491%, with an average value of 0.71%. The total hydrocarbon
content is 222.3–6699.9 ppm, with an average of 2157.6 ppm. The average values of “a” and the
ratio of total hydrocarbon to organic carbon are 0.95% and 0.36%, respectively. From these three
indicators, the abundance of organic matter in Upper Paleozoic coal is high. The contents of
vitrinite and inertinite in coal rock are dominant, with an average content of 85%–95%, and the

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Figure 4. Typical mercury injection curve.

contents of crustite and sapropel are generally less than 10%. The type index (TI) of coal kerogen
is -85-10, belonging to type III kerogen. Carbon isotopic composition and soluble organic matter
characteristics of kerogen in source rocks can infer the source of organic matter. Upper Paleozoic
Sandstone in the basin δ 13cpdb is mainly distributed in −24.5‰–23.5‰, and the carbon isotope of
kerogen is relatively heavy; the carbon isotope distribution of saturated hydrocarbon of source rock
asphalt “a” is −30‰–25‰, and the main distribution of colloid and asphaltene is −27‰–23‰,
which reflects the characteristics of humic organic matter.
Vitrinite reflectance RO is an important index to characterize the maturity of source rocks.
According to the statistics of vitrinite reflectance data of 182 source rock kerogen samples from
59 wells in the basin, RO is 0.96%–2.96%, with an average value of 1.78%, which is generally
in a high maturity stage (Figure 5). Although there are some differences in the maturity of Upper
Paleozoic source rocks in different regions, they are mainly high over the maturity stage.

Figure 5. Vitrinite reflectance contour map of Upper Paleozoic source rocks.

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3.3 Natural gas migration conditions
The coal measure source rocks of Benxi Shanxi Formation in the lower part of the upper Paleozoic
are the main source of tight gas in the upper Paleozoic. In the late Jurassic Early Cretaceous, the
organic matter of the source rocks rapidly evolved from low maturity to high over maturity, a
large number of hydrocarbons were generated, and abnormally high pressure was formed locally
in the formation. The pressure rises continuously to produce micro-cracks, and the natural gas
expands outward along the micro cracks. Extensive hydrocarbon generation and large-area reservoir
sand bodies are effectively configured. Under the action of source reservoir pressure difference,
natural gas is transported and accumulated near the source and large-area reservoir formation
along the network transportation system composed of reservoir sand bodies and micro-fractures
(Figure 6).

Figure 6. Network transport system composed of the reservoir sand body and microfracture.

3.4 Reservoir forming model

According to the study on the burial history of the upper Paleozoic and the period of oil and gas
filling and reservoir formation in the basin, the early filling occurred in the Triassic sedimentary
period, with a buried depth of 2000–2500 m and a temperature less than 110◦ C. The middle filling
is equivalent to the early Middle Jurassic, with a buried depth of 2500–3000 m and a temperature of
110–140◦ C. When the organic matter enters the mature stage, the source rock begins to generate and
expels hydrocarbons. In particular, the hydrocarbon generated by source rocks migrated upwards
a short distance into the reservoir and accumulated locally. The late filing is equivalent to the late
Jurassic Early Cretaceous, with a buried depth of 3000–4500 m and a temperature of more than
140◦ C, the reservoir is dense, the water-rock interaction is weak, and only a small amount of quartz
cement is formed. Organic matter enters the gas generation peak and evolves to the high mature
stage. A large amount of natural gas migrates along with the residual primary pores, secondary
pores, and microfractures of the reservoir, and is filled in tight reservoirs. It can be seen that the
tight sandstone gas reservoir of Upper Paleozoic in the basin is first tight and then reservoir forming
(Figure 7).

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Figure 7. Reservoir forming model of upper paleozoic in ordos basin.

4 MAIN CONTROLLING FACTORS OF TIGHT GAS ACCUMULATION

4.1 Control of sedimentary micro relative to tight gas accumulation

The tight gas reservoir in the study area is a lithologic gas reservoir controlled by lithology and
physical properties, and the gas-bearing property of the reservoir is controlled by sedimentary
microfacies. The main gas reservoirs He8, Shan 1, and Shan 2 are mainly distributed on the
distributary channel belt.

4.2 Reservoir physical property is the key factor to determine the enrichment of tight gas
A reservoir’s physical properties play the most important role in controlling the enrichment of
tight gas, and the spatial distribution of the sand body is consistent with the plane distribution
of reservoir physical properties. Generally, the area with continuous sand bodies, large thickness,
and wide distribution, as well as the area with large reservoir porosity, high permeability, and
oil-bearing property is generally good. In addition, fractures are of great significance to make up
for poor reservoir physical properties and promote oil and gas migration and accumulation and
play a role in communicating tight sandstone reservoirs.
In conclusion, it can be seen that the distribution of tight gas in Ordos Basin is mainly controlled
by sedimentary microfacies and reservoir physical properties.

5 CONCLUSION

Based on the results and discussions presented above, the conclusions are obtained as below:
(1) Tight sandstone gas reservoirs are developed in the upper Paleozoic in Ordos Basin. The coal
rock of Benxi Formation Shanxi Formation is the main source rock of the basin. There are many
coal layers with thin single layer thickness and high abundance of organic matter. Kerogen is
type III kerogen, mainly humic organic matter. The source rocks in the basin are mainly over
matured.
(2) The upper Paleozoic reservoir lithology in the basin is mainly lithic quartz sandstone, quartz
sandstone, and lithic sandstone, with medium to good sorting and rounded sub-edge sub-circle.
Porosity is mainly distributed in 4%–8% and permeability are 0.1×10−3 µm2 –0.5×10−3 µm2 ,
belonging to low porosity and low permeability tight sandstone reservoir. The pore type is
mainly secondary dissolution pore.
(3) The tight gas reservoir in the basin is first tight and then reservoir forming, which has experi-
enced early, middle, and late filling, and the reservoir is first tight and then reservoir forming.

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 Under the action of a gas expansion force, natural gas is mostly injected into the reservoir
adjacent to the source rock along with the micro fractures, and finally, a large area of dense
sandstone gas reservoir is formed.

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Chen Anqing, Chen Hongde, Hou Mingcai, et al. Late Paleozoic sedimentary filling and gas accumulation in
the North Ordos Basin. Earth Science-Journal of China University of Geosciences, 2012;37(S):151–162.
Duan Zhiqiang, Zhang Min. Composition characteristics and significance of rearranged hopanes in Coal-
bearing source rocks in different Sedimentary in North Ordos Basin. Science Technology and Engineering,
2015; 15(15): 27–30.
Fu Haijiao, Tang Dazhen, Xu Hao, et al. Characteristics of tight sandstone reservoir and accumulation process
of gas pool. Fault-Block Oil and Gas Field, 2012;19(1): 47–50.
He Yizhong, Chen Hongde, Zhang Jinquan. Discussion of deposition systems and sedimentary characteristics
of Early Permian in the Jingbei Area of Ordos Basin. Xinjiang Petroleum Geology, 2002; 23(1): 27–29.
Hu Mingyi, Li Shixiang, Wei Guoqi, et al. Reservoir apprecisal of tight sandstones of upper Triassic Xujiahe
Formation in the western Sichuan Foreland Basin. Natural Gas Geosecience, 2006; 17(4):456–462.
Li Jiangzhong, Guo Bincheng, Zheng Min, et al. Main types, geological features and resource potential of
tight sandstone gas in China. Natural Gas Geosecience, 2012; 23(4): 607–615.
Li Jie, Chen Hongde, Lin Liangbiao, et al. Genesis and distribution pattern of shallow water dalta sandbodies
in Member 8 of Lower Shihezi Formation in the northwest of Ordos Basin. Journal of Chengdu University
of Technology(science and technology edition) , 2011; 38(2):132–139.
Wang Shuangming. Ordos basin tectonic evolution and structural control of coal. Geological Bulletin of China,
2011;30(4):544–552.
Wang Xuan, Luo Shunshe, Wang Rui, et al. Delta Sedimentary System and Evolution of Ordos Basin—-
with the Example of the Southwest region of Shan1 and He8 Members, Permian. Science Technology and
Engineering, 2014;14(31):25–31.
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2015;15(32): 14–21.
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Basin. Beijing: Science Press. 2016:130–171.
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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Research on the path of urban carbon emission peak based on urban

energy planning model: A case study of Beijing

Guanjun Fu & Yanming Jin

State Grid Energy Research Institute CO., LTD., P.R. China

ABSTRACT: The city is the main space to bear carbon emissions, and is an important position
to implement the national “double carbon” strategic objectives. At present, there are few empirical
studies at the city level on how to scientifically identify the peak stage and influencing factors
of cities based on the relationship between total urban carbon emissions and urban economic and
energy development. This paper constructs an urban energy planning model based on the interaction
of urban economy, energy and environment, and predicts the total carbon emissions of energy
industry in Beijing in the future. The prediction results show that the carbon emissions in Beijing
will decrease steadily during the 14th Five-Year Plan period, and the maximum carbon emissions
will not exceed the peak emissions of 160 million tons in 2012, and the carbon emissions will be
about 140 million tons in 2025.That is to say, Beijing’s carbon emission peak year is 2012, and the
“14th Five-Year Plan” period is the carbon peak platform period. Effectively controlling the total
energy consumption, vigorously developing local non-fossil energy and increasing the proportion
of foreign green electricity are the key measures for Beijing to effectively control carbon emissions.

1 INTRODUCTION

In September 2020, President Xi pledged at the 75th Session of the United Nations General Assem-
bly that “China will increase its nationally determined contributions, adopt more effective policies
and measures, strive to peak carbon dioxide emissions by 2030, and strive to achieve carbon neu-
trality by 2060”. According to the data released by the United Nations, urban carbon emissions
account for about 75% of the total global emissions. Cities are the main spatial form of carbon
emissions and an important position for the implementation of the “double carbon” strategy in
the future. In the third batch of national low-carbon city pilot projects, 45 pilot cities have clearly
defined the carbon peak target, of which 36 cities have proposed to reach the peak during the
“14th Five-Year Plan” period. However, at present, there are few empirical studies at the city level
to scientifically identify the peak stage and influencing factors of cities based on the relationship
between the total amount of urban carbon emissions and the development of urban economy and
energy. Beijing started its carbon emission reduction work earlier, and took the lead in implement-
ing the dual control mechanism of total carbon emissions and intensity in the whole country. It
is one of the first pilot provinces and cities in the national carbon trading market, and its carbon
intensity is the best level at the provincial level, which has a good foundation for carbon emission
reduction work. Based on the energy economic model and energy technology model, this paper
constructs the urban energy planning model to predict the carbon emissions of the urban energy
industry, and takes Beijing as an example to explore the carbon peak path, its influencing factors
and related experience, which has important reference significance for other cities that are about
to enter the peak track.

DOI 10.1201/9781003308584-83 591

2 RESEARCH METHODS AND MODELS

2.1 Carbon emission accounting method for urban energy activities

Urban carbon emission sources refer to any process or activity that emits greenhouse gases into
the atmosphere, generally including energy activities, industrial production processes, agricultural
activities, land use change and forestry, and urban waste disposal (Wang 2017). The carbon emis-
sions from energy activities are the main source of greenhouse gas emissions growth in recent
years. Academia generally takes carbon emissions from energy combustion as the main research
object (Li 2020), so the calculation of urban carbon emissions in this paper is mainly aimed at
urban energy activities. At the same time, for cities, although the transferred electricity (excluding
green electricity) does not consume primary energy locally, it also indirectly produces greenhouse
gases, which should also be included in the accounting of carbon emissions in the transferred areas
(Yang 2015).
Direct carbon emissions from fossil fuel combustion in cities are accounted using the IPCC
reference method, which is based on the consumption of various fossil fuels and the carbon emission
factors corresponding to the fuels, while the carbon emission factors are related to the unit calorific
value and carbon content of various fuels, as well as the average oxidation rate of major equipment
burning various fuels. The carbon emission factors used in this paper to calculate Beijing’s carbon
emissions refer to the Guidelines for the Compilation of Provincial Greenhouse Gas Inventories
and the Guidelines for the Accounting and Reporting of Carbon Dioxide Emissions of Enterprises
(Units) in Beijing (2017 Edition), and the historical data of energy activity levels come from the
latest statistics on the official website of Beijing Statistical Bureau. The future data are predicted
by the urban energy planning model constructed in this paper.
The specific accounting method of indirect carbon emissions generated by urban power trans-
fer is generally calculated by multiplying the amount of power transferred into the city by the
average power supply emission factor of the regional power grid to which the transferred power
belongs (Ma 2020). When calculating future carbon emissions, it is impossible to obtain the aver-
age power supply emission factor of the regional power grid. Therefore, this paper estimates the
carbon emissions generated by external power transfer in Beijing by multiplying the amount of elec-
tricity transferred in that deducting the green electricity by the carbon emissions per unit of coal
electricity.

2.2 Urban energy planning model

The goal of urban energy planning model is to meet the demand of urban terminal energy services
under a certain level of economic development, to take the urban carbon emission policy target as
the constraint, and to consider the impact of urban energy resource constraints, other ecological
environment constraints, technological progress and related policies. To study the balance of supply
and demand of urban energy system in the future and the reasonable optimization scheme of energy
supply.
Based on the principle of system engineering, this paper couples the energy economic model and
energy technology model, establishes the soft connection between the two models, and integrates the
urban terminal energy service demand forecasting module and the environmental impact analysis
module of urban energy carbon emissions, through the interaction of key information among urban
economic development, urban energy system and urban environment.
Based on the computable general equilibrium theory, the urban energy economy model U-CGE
considering resource-environment constraints is independently developed on the GAMS platform.
By incorporating environmental factors and energy resources into the production function and util-
ity function, it can be used to simulate the impact of energy development policies such as emission
trading and total energy consumption control on urban economic development. U-TIMES, a multi-
regional and fine-scale urban energy technology model, is based on TIMES, a foreign energy model
tool, and is specially constructed for the particularity of urban energy system development, and

592
integrates the urban terminal energy service demand forecasting module to realize the interaction
with the urban economic system. The model simulates the urban energy system in multiple regions
and fine time scales. Especially, the operation characteristics of the power system with high pro-
portion of renewable energy are described in detail, which can meet the needs of energy planning in
different regions and periods under the development trend of urban multi-functional areas and the
construction of a new power system with new energy as the main body. The urban energy carbon
emission and other environmental impact analysis module is an urban carbon emission and other
environmental analysis function module based on the coupling expansion of U-CGE and U-TIMES,
which provides urban carbon emission targets, environmental carrying capacity, construction of
ecological civilization targets and other constraint boundaries for U-CGE and U-TIMES models,
and uses the optimization results of urban economic and energy system models. Combined with
the above urban carbon emission accounting method,The emissions of carbon dioxide generated
by urban energy production and consumption are calculated, and the optimization of urban carbon
emission reduction path is further studied.

3 STUDY ON THE CARBON PEAK PATH OF BEIJING

3.1 Prediction of future primary energy demand in Beijing

According to the prediction results of the urban energy planning model constructed in this paper,
the total energy demand in Beijing will maintain a low-speed growth trend in the future, reaching
a peak around 2030, and then declining steadily. With the deepening of the green and low-carbon
transformation of Beijing’s economy and society, the growth rate of total energy demand will show
a slow downward trend, reaching a peak in 2030.The peak level is about 86 million tons of standard
coal, and the total energy demand will decline steadily after reaching the peak, and will drop
to 84.5 million tons of standard coal in 2035. The future energy demand in Beijing is shown in
Figure 1.

Figure 1. Change trend of total primary energy demand in Beijing.

From the perspective of energy consumption structure, the proportion of electricity consumption
in terminal energy consumption is increasing. On the basis of consolidating the effect of coal
substitution, the substitution of terminal oil consumption is increased, and the proportion of oil
consumption is greatly reduced. After entering the “14th Five-Year Plan”, on the basis of the
basic completion of the “coal reduction” task, the proportion of terminal oil consumption began to
decline. By 2035, the proportion will drop to 27%, and by 2019-2035, the proportion will drop by

593
8 percentage points. The proportion of natural gas consumption will basically remain at a stable
level of about 10% until 2035. The energy consumption structure is shown in Figure 2.

Figure 2. The predicted energy consumption structure in Beijing.

3.2 Prediction of future carbon emissions in Beijing

From the perspective of historical emissions, the total carbon emissions of Beijing’s energy industry
reached a peak of 160 million tons in 2012, and then showed a fluctuating downward trend.
Preliminary calculation shows that the total carbon dioxide emissions from the energy sector in
Beijing. After reaching the peak in 2012, the total carbon emissions showed a rapid downward trend
from 2013 to 2016, and the total emissions rose slightly in 2017, but did not exceed the peak level
in 2012. From 2018 to 2019, the proportion of foreign green electricity increased significantly, and
the total emissions decreased. Affected by the epidemic in 2020, energy consumption and emissions
in air transportation and other fields have dropped significantly. It is preliminary estimated that the
city’s total carbon emissions have dropped significantly.
In terms of energy types, oil products have replaced coal as the largest source of carbon
emissions in Beijing, accounting for 37.2%. Since the year 2008, the carbon emissions and
proportion of coal have dropped dramatically, making it the energy source with the least car-
bon emissions. The proportion of carbon emissions generated by natural gas and oil products
increased significantly, by about 20 and 10 percentage points respectively, from 8.0% and 27.7%
in 2008 to 28.3% and 37% in 2019. The proportion of carbon emissions generated by exter-
nal electricity has shown a fluctuating upward trend, rising from 27.2% in 2008 to 32.0% in
2019.
At the beginning of the 14th Five-Year Plan, with the effective control of the epidemic, the
total carbon emissions will show a slight upward trend compared with 2020, but with the fur-
ther optimization and adjustment of the energy structure and the increase of the proportion
of foreign green electricity, it is expected that the carbon emissions will decline steadily dur-
ing the 14th Five-Year Plan period, and the maximum carbon emissions will not exceed the
peak of 160 million tons in 2012. In 2025, carbon emissions will be about 140 million tons.
From 2025 to 2035, carbon emissions showed a continuous downward trend, with a decline of
12% and an average annual decline of 2%.The future carbon emission in Beijing is shown in
Figure 3.

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Figure 3. Change trend of carbon emissions in Beijing.

3.3 Realization path of carbon emission peak in Beijing

The specific carbon peak year in Beijing depends on the peak of carbon emissions during the 14th
Five-Year Plan period. If the peak of carbon emissions during the “14th Five-Year Plan” period can
not be effectively controlled, exceeding the peak level of 160 million tons in 2012, the peak year
of carbon emissions in Beijing will be during the “14th Five-Year Plan” period.
During the “14th Five-Year Plan” period, the key points for Beijing to achieve a steady decline in
carbon emissions and consolidate the effect of carbon peaking in 2012 are to increase the proportion
of local non-fossil energy and foreign green electricity, continue to reduce coal consumption and
control the growth rate of oil consumption to make it peak as soon as possible. After entering the
“14th Five-Year Plan” period, Beijing will continue to promote the reduction of coal combustion.
The growth rate of fossil energy utilization will be greatly slowed down, and the total carbon
emissions from fossil energy combustion will show a downward trend. At the same time, local new
and renewable energy sources will be developed according to local conditions, clean and high-
quality electricity will be actively introduced, and the increase of energy consumption in the city
will be mainly supported by new and renewable energy sources (including green electricity).New
and renewable energy accounted for 74% of the increase in energy consumption, and external
electricity increased by 25% during this period, resulting in the growth of carbon emissions from
external electricity, but under the strict requirements of joint prevention and control of air pollution
in Beijing, Tianjin and Hebei and the hosting of the Green Winter Olympics, the proportion of
external green electricity in Beijing will increase significantly, reaching about 30% by 2025. The
carbon emission factor of external electricity will also decrease.

4 CONCLUSION

Based on the results and discussions presented above, the conclusions are obtained as below:
1) In this paper, an urban energy planning model based on the interaction of economy, energy
and environment is constructed by coupling the energy economy model and energy technology
model, establishing the soft connection between the two models, and integrating the urban
terminal energy service demand forecasting module and the urban energy carbon emissions and

595
 other environmental impact analysis module, which can be used to study the optimization of
urban carbon emission reduction path.
2) The total carbon emissions of Beijing at the beginning of the “14th Five-Year Plan” will show
a slight upward trend compared with 2020, but during the “14th Five-Year Plan”, the carbon
emissions will be stable and declining, the maximum carbon emissions will not exceed the peak
of 160 million tons in 2012, and the carbon emissions in 2025 will be about 140 million tons.
3) During the “14th Five-Year Plan” period, the key points for Beijing to achieve a steady decline
in carbon emissions and consolidate the effect of carbon peaking in 2012 are to increase the
proportion of local non-fossil energy and foreign green electricity, continue to reduce coal
consumption and control the growth rate of oil consumption to make it peak as soon as possible.

REFERENCES

Li Huimin, Zhang Xi, Zhang Zheyu, Wang Yufei. (2020). The Pathway and Policy Implication of Reaching
Peak of Carbon Emission in Beijing. Environmental Protection. 48, 24–31.
Ma Cuimei. (2020). Indirect GHG Emission Factors from Consumption of Purchased Electricity in China.
China Environmental Publishing Group.
Wang Jilong, Zuo Xiaoli, Liu Miying. (2017). A Research on Carbon Emissions Peak in Beijing. Theory and
modernization, 6, 29–36.
Yang Xiu, Fu Lin, Ding Ding. (2015). Issues on Regional CO2 Emission Peak Measurement: Taking Beijing
as an Example. China population, resources and environment, 10, 39–44.

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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Application of variable production well testing technology in tight

sandstone gas reservoir

Yuguang Yang∗ , Wangui Ding & Jianhong Dong

China United Coalbed Methane Company, Beijing, China

Hanlie Cheng & Qiang Qin

COSL-EXPRO Testing Services (Tianjin) Co., Ltd., Tianjin, China

ABSTRACT: In view of the problems of long shut-in time, high test cost, and influence on pro-
ductivity in conventional well test construction in Linxing gas field, the variable production well
test method is introduced, and the technology is perfected and improved according to the actual
situation of a gas field. This time, taking downhole conventional pressure recovery as the standard,
wellhead pressure measurement, and downhole pressure measurement are carried out simulta-
neously to verify the reliability of the variable production well test. The field test has achieved
good results, and the interpretation results of downhole and wellhead pressure measurements are
consistent. Through error analysis, the average error of formation pressure and main formation
parameters is less than 5%, and the maximum error is less than 10%; conventional shut-in pressure
recovery test shortens the well test period by 5 ∼ 10 days, which provides a reliable basis for
the adjustment of the development scheme. In the later period, wellhead pressure measurement
and variable production well testing can be popularized for this kind of gas wells without liquid
accumulation.

1 INTRODUCTION

Linxing gas field is a typical tight sandstone gas reservoir with the characteristics of low pressure,
low permeability, and low production. Conventional pressure recovery well testing methods often
shut-in for a long time, which is usually difficult to meet in actual field construction. Especially
in the environment of heavy production tasks, conventional pressure recovery well testing data are
less, which cannot meet the daily needs of comprehensive development of gas fields; for water-
producing gas wells, due to phase separation, conventional well test data cannot obtain accurate
formation parameters. Under this background, based on seepage theory, the variable production
well test method is proposed. This technology effectively solves the problems faced by conventional
test wells, and the error between interpretation results and the conventional well test is very small,
which improves the quality of well test data and meets the needs of gas field development.

2 MATERIALS AND METHODS

2.1 Well test theory

According to the principle of seepage mechanics, it can be known that when a production well
changes its working system, unstable pressure changes will be formed in the bottom hole and

∗ Corresponding Author: [email protected]

DOI 10.1201/9781003308584-84 597

surrounding formations, which can reflect the properties of formations and fluids and the boundary
conditions of the well. Shut-in is just a special case of changing the working system. If you do
not shut in, you can only change the well production or bottom hole flowing pressure, and then
continuously measure the bottom hole pressure with time, and you can also get the same result as
shut-in test, which is the basic theory of variable production well test.
It is assumed that in the homogeneous, equal thickness and horizontal infinite formation, after the
production with constant production Q1 to Tp time, the production with production Q2 continues,
and the second flow is less than the first flow (Q2 < Q1). The bottom hole pressure at a certain
time after adjusting the production can be obtained by using the superposition principle, as Eq. 1:

2.121 × 10−3 q1 Bµ
pwf ( t) = pi − ×
, Kh 2 (1)
q2 − q1 q2 K
lg (tp + t) + lg ( t) + ( lg + 0.9077 + 0.869s)
q1 q1 φµCt rw2
Where: Pwf is bottom hole flow pressure, MPa; Pi is the original formation pressure, MPa; K
is the effective permeability of the reservoir, mD; H is the thickness of producing layer, m; Q1 is
the gas production of the first production system, 104 m3 /d; Q2 is the gas production of the second
production system, 104 m3 /d; B is the formation fluid volume factor; S is skin factor, dimensionless;
µ is formation fluid viscosity, mPa·s; φ is formation porosity; t is the production time of the
second yield system, h.

2.2 Test method

In the field, the test sequence that the output of the first working system is greater than that
of the second working system is adopted. From the first working system to the second working
system, the bottom hole flowing pressure is a process of recovery and rise. The key to variable
production well test is that the production under the two working systems must be stable, and the
production and pressure data should be accurately obtained. Theoretically, the production difference
between the two working systems is large, so the pressure recovery range is large and the formation
characteristics are fully reflected.
At present, the precession vortex flowmeter is used to measure the production of a single well
in the Linxing gas field, which has high measurement accuracy and can meet the measurement
requirements of variable production well test technology. At present, the field test flow is as follows:
Generally, the current stable production of the well is adopted as the first working system, and
the observation is 4 hours. After the production and oil pressure are stable, the wellhead pressure
gauge is installed on the production wing of the gas well, and the pressure gauge is lowered to test
the gradient, requiring stable production for more than 48 hours.
If the production of the well is low, it needs to increase the production to the design production,
and the production system can be changed when the production and pressure reach stability; the
needle valve at wellhead should be used to change the output, and the operation time should not
exceed 1min.
The output of the second working system is generally 1/2 ∼ 1/3 of that of the first working
system, ensuring that the pressure recovery value is large enough, the second working system is
stable for 120 hours, and the pressure gauge is lifted to test the gradient after the test.
For water-producing gas wells, the output of the second system must be greater than the critical
liquid carrying flow rate of the well; try to ensure that the downhole pressure gauge goes down to
the middle of the pay zone to ensure the accurate calculation of flowing pressure.

2.3 Data interpretation method

The semi-logarithmic analysis method combined with modern well test analysis software is used
to interpret and analyze the two-flow well test data in variable production well test. Analytical
equations can be written as Eq. 2.

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 2.121 × 10−3 q1 Bµ
pwf ( t) = pi − ×
, Kh 2 (2)
tp + t q2 q2 K
lg ( )+ lg ( t) + ( lg + 0.9077 + 0.869s)
t q1 q1 φµCt rw2
According to Eq. 2, the corresponding section of the semilogarithmic curve presents a straight
line with a slope of m and an intercept of b, as Eq. 3, Eq. 4:

2.121 × 10−3 q1 Bµ
m= (3)
Kh
q2 K
b = pi − m ( lg + 0.9077 + 0.869s) (4)
q1 φµCt rw2
The formation pressure can be obtained from equations (3) and (4), namely as Eq. 5:
q2
pi = b − [pwf ( t = 0) − pwf ( t = 1)] (5)
q1 − q 1
At present, software such as Saphir and EPS have realized the software drawing of this formula.

3 RESULTS

3.1 Gas condition and test process system

Taking the measured wellhead and downhole variable production test data of well LX-Y as an
example, this well is a development well in the Linxing gas field, and the development horizon is
He 7 member of the Permian Shihezi Formation. The basic parameters are as follows: well radius
0.057 m, effective reservoir thickness 8.9 m, average porosity 13.3%, logging average permeability
4.01%, average water saturation 31.14%, viscosity 0.01635 mPa·s, and compressibility 0.04080
MPa−1 . The volume system is 0.006678 and the deviation coefficient is 0.8605.
The test technology of downhole steel wire suspension pressure gauge and wellhead production
wing installation pressure gauge is adopted, and the test system is large production section + small
production section + shut-in, during which the pressure and temperature gradient are tested. The
specific test system is shown in Table 1.

Table 1. Variable output production system table.

Average gas production, Test

Test phase m3 /d time, h

First production test section 52508 80

Second production test section 24037 120
Shut-in pressure recovery section 0 120

3.2 Explain the analysis results

According to the characteristics of double logarithmic curves generated by shut-in pressure recovery
test, variable production test, wellhead converted pressure, and downhole measured pressure,
combined with various dynamic and static data and actual engineering conditions, the model of
“well reservoir + skin + finite conductivity fracture + homogeneous reservoir + infinite boundary”
is selected. The pressure double logarithmic curves of the four test types are highly consistent, as
shown in Figure 1. The pressure history fitting effect is good, as shown in Figure 2.

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Figure 1. Double logarithm of downhole pressure recovery.

Figure 2. Downhole pressure history fitting diagram.

Four kinds of analysis results are compared, focusing on the main formation parameters such as
formation pressure, permeability, formation coefficient, fracture half-length, fracture conductivity,
and total skin factor. The comparison results are shown in Table 2, and the interpretation parameters
are consistent.
According to the main analysis results in Table 2, based on the conventional downhole shut-
in pressure recovery interpretation results as the standard, the error analysis of the interpretation
parameters of the other three methods is carried out, and the analysis results are shown in Table 3.
The error of formation pressure, permeability, formation coefficient, and total skin factor is less
than 5%, and the fracture half-length and formation coefficient is less than 10%. The comparison

600
results show that the interpretation results of the downhole and wellhead variable production well
test are reliable.

Table 2. Data table of different test interpretation results.

Formation Half length Fracture Total

Test Well test Formation Permeability coefficient of crak conductivity skin
type model pressure MPa MD MD · m M mD m factor

Downhole Well 14.878 0.30 2.67 165.73 886.22 −7.18

pressure reservoir +
recovery skin + finite
Downhole conductivity 14.859 0.29 2.60 165.17 902.74 −7.02
variable fracture +
production infinite
Wellhead boundary 14.883 0.31 2.76 162.00 904.28 −7.13
pressure
recovery
Variable 14.821 0.29 2.55 150.00 818.00 −6.98
wellhead
production

Table 3. Error analysis table of different test interpretation results.

Parameter error (based on downhole pressure recovery interpretation

Half Total
Test Well test Formation Formation length Fracture skin
type model pressure Permeability coefficient of crak conductivity factor

Downhole Well 0 0 0 0 0 0
pressure reservoir +
recovery skin + finite
Downhole conductivity −0.13% −0.33% −2.62% −0.34% 1.86% −2.23%
variable fracture +
production infinite
Wellhead boundary 0.03% 0.33% 3.37% −2.25% 2.04% −0.70%
pressure
recovery
Variable −0.38% −0.33% −4.49% −9.49% −7.70% −2.79%
wellhead
production

4 CONCLUSION

(1) Conventional downhole pressure recovery interpretation results show that the reservoir has low
permeability and poor physical properties, and is a typical tight gas reservoir. The double log-
arithmic curve shows that the formation seepage process has obvious fracture characteristics,
the fracture half-length is longer and the fracture conductivity is better in the test detection
range, which reflects that fracturing can effectively transform the formation. At the same time,
due to the limited test time, there is no boundary feature in the double logarithmic curve.

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 Compared with conventional downhole pressure recovery interpretation results, In the early
well storage stage, due to the opening and closing of wells and the selection of shut-in points
in the interpretation process.
(2) It has an influence on the early shape of the double logarithmic curve obtained by the two test
methods, but the changing trend of the curve shape reflecting the reservoir characteristics in
the middle and late period of the two double logarithmic curves is almost the same, and the
double logarithmic curves have high coincidence degree and good corresponding relationship,
which can completely reflect the formation seepage characteristics.
(3) Comparing the interpretation results of wellhead variable production converted pressure with
the interpretation results of downhole variable production, the two double logarithmic curves
have the same shape trend, and the final curves coincide with each other, which can completely
reflect the formation seepage characteristics, and the interpretation results have almost no big
error. Comparing the interpretation results of wellhead pressure recovery converted pressure
data with the interpretation results of conventional downhole pressure recovery pressure, the
double logarithmic curves of the two are almost completely coincident, and the corresponding
relationship is good, which can completely reflect the formation seepage characteristics, and
the interpretation results parameters have almost no big error.
(4) The double logarithm curves and results obtained from downhole and wellhead pressure data
analysis have high consistency. The gradient test data of this well show that the fluid in the
wellbore is mainly gas phase, without liquid accumulation, and the production is stable during
the test process. For such gas wells with stable gas production and mainly gas phase in the
wellbore, wellhead variable production well test and wellhead pressure recovery well test can
be used instead of conventional downhole pressure recovery well test.

ACKNOWLEDGMENTS

This work was not supported by any funds. The authors would like to show sincere thanks to those
techniques who have contributed to this research.

REFERENCES

Dahbag, M. B. & Alquraishi, A. & Benzagouta, M. (2014). Efficiency of ionic liquids for chemical enhanced
oil recovery. Journal of Petroleum Exploration and Production Technology. 5, 353-361.
Dong, Z. & Li, Y. & Lin, M. & Li, M. (2013). A study of the mechanism of enhancing oil recovery using
supercritical carbon dioxide microemulsions. Petroleum Science. 10, 91-96.
Howard, R. M. & Tanner, C. & Lyons, D. F. (2015). Flight test of a half-scale unmanned air vehicle. Journal
of Aircraft. 28, 843-848.
Lim, H. T. & Virkar, A. V. (2008). A study of solid oxide fuel cell stack failure by inducing abnormal behavior
in a single cell test. Journal of Power Sources. 185, 790-800.
Rbeawi, S. A. & Tiab, D. (2014). Effect of the number and length of zonal isolations on pressure behaviour of
horizontal wells. International Journal of Petroleum Engineering. 1, 2-33.
Yan, S. & Wei,Y. J. & Su,Y. J. (2008). Experimental studies on the hydrogen isotope recovery using low-pressure
palladium membrane diffuser. Journal of Membrane Science. 322, 302-305.

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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Research and application of shallow horizontal well drilling technology

Peng Wei∗ , Mengyi Liu, Hongwei Liu

Drilling Engineering Company, BHDC, Cangzhou, China

ABSTRACT: Horizontal well drilling and completion technology to develop shallow reservoirs is
a development mode actively recognized by major oil and gas fields at home and abroad at present,
which is characterized by less investment, high output, and obvious economic benefits, but shallow
horizontal wells have many difficulties in drilling and completion. In this paper, some reservoirs
with buried depths between 340 m and 490 m are considered as an example. Because of shallow
reservoir burial, a relatively large ratio of displacement to well depth, loose upper formation and
high difficulty in deflection, the adjustment margin of wellbore trajectory control is very small, and
there are some characteristics such as large wellbore friction during drilling and casing running.
The technical difficulties and key technologies of shallow horizontal wells are summarized and
analyzed, and the drilling fluid additives are optimized. Through the experimental study on the
inhibition, drag reduction, lubricity, and rock carrying performance of the drilling fluid system for
shallow horizontal wells, the drilling fluid system for shallow horizontal wells with small workover
rigs is finally formed. It provides a new method for developing shallow reservoirs economically
and effectively and enhancing oil recovery by using shallow horizontal well technology.

1 INTRODUCTION

Shallow oil and gas reservoirs have not been defined clearly at home and abroad currently, but oil
and gas reservoirs buried within 1000 meters are usually regarded as shallow oil and gas reservoirs
in the industry. Shallow oil and gas reservoirs are mainly distributed in Xinjiang and Northeast
China in China, among which the proven oil storage area of shallow heavy oil reservoirs in Karamay
Oilfield of Xinjiang is 9.8 square kilometers, the average buried depth of reservoirs is l30 ∼ 150
meters, and the distribution thickness is relatively stable, about 10 meters (Tsao et al. 2005). Up to
now, China is rich in shallow oil and gas resources. Facing the increasing energy demand, if this
kind of shallow oil and gas reservoir can be developed efficiently and reasonably, it will greatly
affect the speed and effect of economic development in China (Noritis 1991). With the continuous
progress and perfection of drilling and completion technology and related supporting technologies
of domestic drilling enterprises, the development process and effect of shallow oil and gas reservoirs
will be greatly improved. At present, horizontal well drilling and completion technology has become
the mainstream production mode because horizontal well sections can greatly increase the exposed
area of oil and gas reservoirs and enhance oil recovery. Horizontal well drilling has the advantages
of a short investment return period, quick effect and high production, and gradually replaces the
single vertical well drilling and completion technology used in the early stage of oil and gas field
development (Zhu et al. 2013).
After 30 years of development and improvement, the drilling and completion technology of
shallow horizontal wells has achieved good results and remarkable economic benefits. However,
different from the conventional horizontal drilling and completion technology, shallow horizontal
well technology is facing many technological and technical problems (Jaganathan et al. 2011).

∗ Corresponding Author: [email protected]

DOI 10.1201/9781003308584-85 603

Although the use of deviated well drilling rig can reduce the difficulty of drilling, its cost is high,
casing running is difficult, wellhead installation is difficult, and drilling tools are mainly designed
for vertical well drilling rig, these factors seriously restrict the use of deviated well drilling rig.
Because shallow horizontal wells have the characteristics of the short vertical interval, light hanging
weight of drill string, large curvature of wellbore, long horizontal interval and large friction, the
self-weight of the casing cannot overcome the running friction during completion construction, and
then it is difficult or even impossible to run casing, which greatly affects the completion quality of
shallow horizontal wells.

2 WELLBORE TRAJECTORY OPTIMIZATION

Shallow horizontal wells are buried in shallow target and require the shortest interval to drill into oil
and gas reservoirs, so it is particularly important to design well trajectories correctly and reasonably.
A reasonable wellbore trajectory can reduce the risk in the process of drilling, and at the same time,
it is beneficial to the smooth progress of later completion and oil production operations (Noritis
1991).
The design of wellbore trajectory should take into account the capability of drilling equipment,
the realizability of trajectory control, wellbore cleaning, safe drilling and casing running, downhole
operation, and the deflection ability of deflection tools. The usual optimization method is to select
several possible wellbore trajectories, through simulation calculation of friction and torque of drill
string in the wellbore, and to determine the reasonable deviation point and optimized wellbore
trajectory. Correct selection of wellbore trajectory is the basis of safe, high-speed, and smooth
drilling and completion of shallow horizontal wells. Usually, when choosing wellbore trajectory,
attention should be paid to: the axial resistance, and rotating torque of the column in the wellbore
should be low; The designed wellbore trajectory is easy to realize and easy to control in the actual
drilling process, and conventional inclination of increasing tools are selected as much as possible;
Try to avoid the deviation angle range where wellbore cleaning is difficult. If possible, the vertical
interval above the deviation point should be as long as possible to meet the driving force needed
for sliding drilling and casing running; To optimize the well trajectory, it is mainly to select the
deviation point and control the friction torque and deviation angle.
The slope-building point should be selected in the stratum with good diagenesis and stable rock
stratum. In shallow horizontal well drilling, because of the short deviation section, the required
build slope is extremely high, Therefore, it is necessary to directly increase the deviation angle
from 0 to 90 or higher from the deflection point, However, the formation stability of the deflection
section faced by shallow horizontal wells is poor, the lithology is loose, and it is too soft to bear
pressure. There may be some undesirable situations as follows: the drilling footage increases rapidly
in deflection drilling, the deflection angle cannot be increased according to the requirements, or
no deflection is built at all, and the deflection rate has to be increased in the lower deflection
process, resulting in a large local dogleg degree in the wellbore. The deflection section of the
shallow horizontal well is usually large. After deflection in unstable formation, the upper wellbore
wall without support is easy to collapse, resulting in borehole collapse and even drilling tools are
buried. In Dagang or Bohai Rim area, the depth of plain formation is 200 ∼ 300m, which belongs
to soft mud, quicksand, and non-rock stratum, so slope formation in plain formation should be
avoided as much as possible. In fact, with the extension of horizontal displacement, drilling torque
is also the main factor affecting the normal drilling of shallow horizontal wells, and the magnitude of
torque is proportional to the length of drill pipe lying on the low side of the wellbore and the tension
of the drill pipe in the bending section of the wellbore. The longer the drill pipe below the bending
section of the wellbore, the greater the weight of the drill string, the greater the friction between
the drill string and the wellbore, and the greater the drilling torque. Therefore, when designing
wellbore trajectory, we should try our best to further study deviation points and shorten the length
of deviated section. For some shallow horizontal wells, because the buried depth of the designed
target oil layer is extremely shallow (the shallowest one is only about 100m), the deflection point

604
at this time can only be considered as close as possible, and even after casing is discharged, the
deflection point at this time can only be selected in the range of about 10m below the casing shoe,
and the directional deflection can be started immediately after the directional instrument avoids
magnetic interference.
To complete the construction of shallow horizontal wells, At the early stage of design, the
oblique design method should be considered, the commonly used tilting methods include circular
arc, catenary, quasi-catenary, parabola, side modified catenary, side parabola, constant curvature
increasing curve, constant curvature decreasing curve and so on. There are two common types of
these methods, one is circular arc type, the set-up rate is constant, and it is often used in the design
of shallow horizontal wells with relatively deep set-up points and small displacement and vertical
depth ratio; The other is quasi-catenary type, the initial build-up rate is small, generally every
7/30m, but after drilling a section, the build-up rate increases by 0.5/30m, which is often used in
extended reach wells with shallow build-up point and large ratio of displacement to vertical depth.
In order to reduce the dog leg degree and smooth the wellbore, the abrupt change of the build-up
rate should be avoided regardless of the build-up section, and the build-up rate should be controlled
below 15/30m, which is mainly to reduce the tension of drill pipe at the build-up section, prevent
the casing from being seriously worn when drilling the lower section and increase the friction in
the later drilling process.
The main purpose of using quasi-catenary borehole is to prolong the borehole length with low
deviation angle in the upper part. Because the actual deflection capacity of tools changes with the
increase of deflection angle in the field construction process, the two methods can better increase
the downward driving force of drill string and casing string in the later period, which is beneficial
to the later drilling and completion construction.

3 ANTIFRICTION AND RESISTANCE REDUCTION TECHNOLOGY

To reduce friction torque, the method of adjusting drilling fluid performance is usually adopted,
but this method greatly increases the cost of drilling fluid, increasing the drilling cost. At the
same time, all the problems related to friction torque cannot be solved by adjusting drilling fluid
performance. Torsion reduction and friction reduction tools used in BHA are usually used except
in certain situations.
Drilling friction, also known as drilling friction, refers to the friction between drilling string and
borehole wall during drilling, which is mainly composed of axial friction resistance and circum-
ferential friction torque of drilling string. Usually, the drill string structure required for drilling
horizontal wells is complex, the bottom hole tool structure is rigid, and the outer diameter is large.
In horizontal wells, due to the gravity of the drill string, the drill string is attached to the lower
wellbore, and the turbulence of drilling fluid is affected, resulting in a poor sand return effect;
Moreover, the reservoir interval generally has large porosity, sandstone is in the majority, and the
rock cementation is poor, which is easy to form sand bridges, which seriously affects the lifting
and lowering of a drill string. Therefore, in the process of drilling directional wells, especially in
highly deviated directional wells and horizontal wells, the key to its success is to predict and reduce
drilling friction.

3.1 Lubrication and anti-sloughing performance of drilling fluid

Filter loss is an important index to determine the quality of filter cake. The larger the filter loss,
the greater the water content of the filter cake, the looser the filter cake, and the greater the friction
between the drilling tool and the borehole wall. To obtain a high-quality filter cake, the filtration
loss should be less than 5 mL. Drilling fluid must also have proper static shear force. If the static
shear force is too small, fine sand will quickly adhere to the wellbore under the action of pressure
difference, which will increase the friction between drilling tools and wellbore. Generally, it is
required that the static sheer force of drilling fluid should not be less than 3Pa during drilling. On

605
this basis, adding high-quality lubricant polyalcohol to the drilling fluid can form an oil film on the
filter cake, and the friction between the drilling tool and the wellbore becomes the internal friction
between the drilling fluid on the drilling tool and the drilling fluid on the wellbore, thus achieving
the effect of friction reduction. Adding plastic balls with different particle sizes before running
casing can change the sliding friction between casing and borehole wall into rolling friction, and
can also avoid the occurrence of drilling sticking accident.

3.2 Development of antifriction and torsion reducing tool

In the drilling process, the drill string movement can be divided into the up and down movement
along the borehole direction and the rotation movement around the borehole axis. When the drilling
tool is lifted or lowered, it will cling to the lower borehole wall under the action of its gravity, and
then produce friction between it and the borehole wall, thus producing friction, and the rotation
of the drill string will produce torque. The increase in friction and torque during drilling not only
affects the drilling efficiency but also leads to fracture of drilling tools at the same time, because
its value is greater than the safety limit of drilling tools. This produces complex consequences. The
antifriction and torsion-reducing tool is a structural component with a bidirectional action function
added to the tool body, when the drill string moves up and down the sliding friction between drill
string and borehole wall is converted into rolling friction to reduce the overall friction of the drill
string. When the drill string rotates, the relative rotation between the outer sleeve and the inner
sleeve occurs, and its friction coefficient is lower than that between the outer sleeve and the borehole
wall, thus reducing the torque received by the drill string. Through the joint action of the two ways,
the friction torque can be reduced.

4 FLOATING DRILLING OF HORIZONTAL WELLS

4.1 Hydraulic pressurizer

Floating drilling equipment is mainly a hydraulic pressurizer, which is a new downhole tool that can
not only reduce vibration but also exert stable weight on bit (WOB) improve penetration rate, resist
bending and deviation, and reduce operation cost. Hydraulic pressurizer can convert the pressure
drop of bit nozzle or downhole motor into WOB in drilling and workover operations, which plays an
energy conversion role and changes the previous way of applying WOB by the weight of drill collar.
It not only solves the technical problem that WOB is not easy to be applied in directional wells,
horizontal wells, extended reach wells, and slim hole operations at the same time, it effectively
changes the stress state of BHA, reduces stress concentration, and has the purposes of absorbing
shock and preventing jump, automatically feeding drill, protecting the service life of bit and drilling
tool, improving penetration rate, reducing accidents and ensuring wellbore quality. A large number
of field applications show that the hydraulic pressurizer is a practical downhole tool with obvious
effects.
The upper joint of the hydraulic pressurizer is connected with the upper drilling tool. While
drilling, the hydraulic pressure in the drill string acts on the end faces of pistons at all levels in
the cylinder, and at the same time, the pressure is transmitted to the bit through the dowel rod
to form WOB. During drilling, the rotary torque is transmitted to the bit by the main cylinder
through the spline dowel rod. By selecting the appropriate bit nozzle, the WOB can well meet
the needs of drilling production in its WOB range. As shown in Figure 1, when a certain flow of
high-pressure drilling fluid flows into the container, the pressure difference between inside and
outside the container acts on the piston end face to produce a stable force.
This tool is especially suitable for directional wells, horizontal wells, extended reach wells, and
wells with poor wellbore quality. Because of the large friction of drill string, it is difficult to solve
the problem of how much WOB the bit gets while drilling, but the WOB is constant when using
hydraulic pressurizer, which can better solve the problem of difficult pressurization.

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Figure 1. Schematic diagram of hydraulic pressurizer.

When the tool is suspended, the hydraulic pressurizer can divide the drill string into two sections,
and the dead weight and hydraulic load of the drill string below the tool act on the drill bit as WOB.
The drill string above the tool is not mechanically associated with the drill string below it in the
axial direction. The longitudinal vibration of the drill bit will not be transmitted to the drill collar
above the hydraulic pressurizer, and the vibration of the drill collar only comes from the vibration
excited by pressure fluctuation and bending transverse vibration. This effectively protects the lower
drill string assembly, so that the coupling between longitudinal vibration and transverse vibration of
drill collar excited by longitudinal vibration of drill bit will not occur, which is called decoupling.
This is very important for drilling poor well depth, hard formation and easy-to-jump formation.
When the tool is at the bottom dead center position, the larger bit pressure drop makes the tool
generate enough thrust and fully stretches the drill string. Adding proper WOB can avoid bending of
drill string during pressurization and prevent well deviation. While using the hydraulic pressurizer,
the hydraulic reaction force acting upward on drill collar is equal to the weight on the bit. The drill
collar bears the reaction force of liquid evenly, which is beneficial to reduce the bending of the
drill collar and prevent deviation and beat quickly.
When the tool is suspended and the piston stroke of the hydraulic pressurizer reaches 300mm,
the driller can break the brake handle. When the weight indicator or pump pressure gauge indicates
the piston to bottom dead center, another square of the piston stroke is lowered to make it easy for
the driller to feed the drill.

4.2 BHA
The hydraulic pressurizer can be placed at any position of the lower drill string. However, it should
be connected as close to the bit as possible, and should not exceed the length of three drill collars.
In conventional rotary table operation, it can be directly installed on the bit. At this time, the role of
the bit is to provide reaction force, and the generated WOB is the bit WOB, which can effectively
reduce the bit deflection wear, effectively improve the WOB, achieve bending resistance, prevent
deviation, and enable rapid drilling. While using a screw drilling tool, the tool can be installed
on the screw drilling tool. During coring operation, the tool can be installed on the coring barrel.
According to the needs of drilling operations, it is recommended to generally have the following
groups of BHA, but more importantly, it should be implemented according to the BHA scheme
formulated by technicians of users.
1) Drill bit + hydraulic pressurizer + drill collar. This is a common combination, which can
effectively prevent drilling jumping, apply stable WOB and ensure wellbore quality. If PDC bit
is used, the effect will be more obvious because of the small WOB.

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2) Drill bit + hydraulic pressurizer + drill collar + centralizer + drill collar. This pendulum drilling
tool assembly can help prevent, correct, and reduce deviation, thus speeding up drilling.
3) Drill bit + 1-2 drill collars + hydraulic pressurizer + drill collars. This combination is not easy
to bend because of the small number of drill collars, which can play a better effect on stabilizing
inclination.
4) Drill bit + centralizer + hydraulic pressurizer + centralizer + drill collar. In this eyeful combi-
nation, the hydraulic pressurizer is equivalent to a short drill collar, and two centralizers are
added near the bit, which can better ensure steady deviation drilling.
5) Bit + power drilling tool + hydraulic pressurizer + drill collar. This is a drilling tool assembly
in a conventional power drilling tool vertical well.
6) Bit + power drilling tool + hydraulic pressurizer + directional drilling tool assembly + drill
collar + drill pipe. This is a BHA in a directional well with power drilling tools.

5 OPTIMIZATION AND PERFORMANCE EVALUATION OF DRILLING FLUID SYSTEM

Drilling fluid should have the following properties: excellent chemical flocculation ability, static
thickening, high viscosity, good suspension performance, flow thinning, and good shear dilution;
low solid content in drilling fluid, reducing the content of submicron particles in drilling fluid
and the influence of maximum penetration rate; should possess strong anti-sloughing ability and
inhibition, and should be able to adapt to the lithology of different intervals and keep the wellbore
stable when drilling different strata; choosing suitable shielding temporary plugging materials to
effectively plug the pore throat of oil and gas reservoirs near the wellbore zone help in protecting
oil and gas reservoirs; reduce the dynamic water loss of drilling fluid and reduce the damage of
drilling fluid filtrate to reservoir; lubrication and friction reduction characteristics are better, and
at the same time, the torque of drill string drilling and the risk of sticking are also reduced; the
rheological properties should be able to be adjusted during any abnormal problems witnessed. By
studying the application of drilling fluid system in the study area, it is found that the drilling fluid
system in this area is non-dispersible low solid polymer drilling fluid system, in which KPA is
the main polymer and ammonium salt is the main fluid loss reducer, and its basic formula is 4%
bentonite +0.2% KPA+1% ammonium salt +1% anti-sloughing lubricant. This drilling fluid system
has been widely used in Jilin Oilfield, which shows that it has good adaptability for this area.
Specific drilling fluid grouting for each opening: First opening: 4% hydrated bentonite +0.3–
0.5% soda ash +0.5-1% ammonium salt. Bentonite and soda ash were mixed into slurry by adding
water in proportion. After pre-hydration for 24h, 0.5% NH4-HPAN was added in a mixing funnel
and stirred evenly.
Second opening: 4-6% hydrated bentonite +0.3-0.5% soda ash +1.5% ammonium salt +0.1-03%
KPA+1.5% HA resin +2.0% cationic emulsified asphalt powder +2.0% plugging anti-sloughing
agent HQ-1 +1.0% reservoir protective agent HMD-1 +3% RH-2 +3% ORH-101.

6 CONCLUSION

In floating drilling and the use of oscillator in the horizontal section of shallow drilling in horizontal
wells, drilling speed is obvious, a good solution for drag pressure problem during horizontal
drilling in horizontal section. Reasonable mud selection ensures drilling safety in horizontal drilling
production. The sand carrying capacity and lubricity of mud wellbore are obviously improved in
deviated and horizontal wellbore sections.

ACKNOWLEDGMENTS

This work was not supported by any funds.

608
REFERENCES

Jaganathan, A.P., Shah, J.N., Allouche, E.N., Kieba, M., Ziolkowski, C.J. (2011) Modeling of an obstacle
detection sensor for horizontal directional drilling (HDD) operations. Automation in Construction. 20:
1079–1086.
Noritis. (1991) Horizontal drilling technology keeps advancing. Oil and Gas Journal. 89: 49–54.
Tsao, T.M., Wang, M.K., Chen, M.C., Takeuchi, Y., Matsuura, S., Ochiai, H. (2005) A case study of the pore
water pressure fluctuation on the slip surface using horizontal borehole works on drainage well. Engineering
Geology. 78: 105–118.
Zhu, X., Dong, L., Tong, H. (2013) Failure analysis and solution studies on drill pipe thread gluing at the exit
side of horizontal directional drilling. Engineering Failure Analysis. 33: 251–264.

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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Study on theory and application of gas drilling technology

Jingxin Cao∗ , Aihua Bao & Lei Zhao

No. 4 Drilling Engineering Company, BHDC, Cangzhou Hebei, China

ABSTRACT: Gas drilling technology is a revolutionary drilling technology and has been widely
used in China as well as abroad. This paper introduces the geological characteristics of the reservoir
in the study area, which is a typical reservoir with low porosity and low permeability and brings
great challenges to drilling technology. Because of its flexible gas supply system, nitrogen drilling
has good generalization. At the same time, this paper studies gas drilling parameters, gas drilling
deviation control technology, gas drilling formation water judgment method, and more. Two well
drilling tests were carried out in the field, which proved that the gas drilling technology can greatly
improve the penetration rate, protect the reservoir and reduce the drilling cost. At the same time, the
matching technology of natural gas underbalanced drilling equipment suitable for the geological
characteristics of the study area has been formed.

1 INTRODUCTION

Gas drilling technology refers to a new drilling technology that uses compressed air or natural gas
or gas-liquid mixture as a flushing medium or uses compressed gas as power of rock breaking tools
and flushing medium. Gas drilling is an important branch of underbalanced drilling (Guo et al.
2010). Compared with conventional fluid drilling, gas drilling has obvious advantages, and it is the
earliest developed underbalanced drilling technology. Gas drilling technology has the advantages of
improving penetration rate, overcoming lost circulation, and prolonging the service life but it also
has the disadvantages of easily causing wellbore instability, drilling sticking caused by formation
water entering the wellbore, downhole explosion, and difficulty in well control (Jiang et al. 2013;
Schneider et al. 2013).
Gas drilling can be divided into air drilling, nitrogen drilling, natural gas drilling, and diesel
exhaust drilling based on different types of gases used in drilling. Air is a circulating medium
widely used in gas drilling, which is mainly used for drilling in non-reservoir sections. When
drilling, the air compressor sucks air from the atmosphere, and then enters the well after pres-
surization, condensation, and water separation. Because the air can be directly extracted from the
surrounding environment, the cost of this technology is relatively low (Zhu et al. 2012). However,
if combustible gas is encountered during drilling, there is a danger of explosion in the downhole.
Therefore, it is necessary to closely monitor the change in hydrocarbon content during drilling.
Nitrogen can be used as a circulating medium alone or together with other fluids during drilling.
Nitrogen is superior to air and will not burn when mixed with hydrocarbons, so nitrogen drilling can
effectively avoid downhole explosions. There are two sources of nitrogen in the drilling process:
low-temperature nitrogen supply and membrane separation nitrogen production. Because there is
no reaction between the natural gas drilling fluid and hydrocarbons produced in formation, there
is no danger of explosion in the downhole. However, if there is a natural gas leak at the wellhead,
there can be a danger (Zhen et al. 2011). Therefore, it is also necessary to properly seal the wellhead

∗ Corresponding Author

610 DOI 10.1201/9781003308584-86

equipment. At the outlet of the chip removal pipeline, the returned natural gas needs ignition and
combustion.
Compared with conventional fluid drilling, the main advantages of gas drilling are as follows:
significantly improves drilling speed and shortens the drilling cycle; provides a good deviation
control; avoids complex downhole situations caused by water absorption and expansion; effectively
avoids lost circulation during drilling; effectively improves the footage of a single bit and saves
the bit consumption; and the cost of drilling fluid is saved, which is beneficial for environmental
protection. Forward gas drilling is mainly used in medium and low-pressure formations, which
can greatly improve drilling speed and prevent lost circulation. Because most oilfields in our
country are in the late stage of development, the formation pressure mostly has different degrees
of decline, which provides a useful place for gas drilling. In recent years, with the development
of a large number of low permeability oil and gas reservoirs, how to protect such reservoirs
has become the focus of attention. Gas drilling has obvious advantages over traditional drilling
methods in protecting low permeability reservoirs. At the same time, gas drilling also has other
characteristics, such as greatly improving drilling speed, reducing drilling cost, and reducing the
environmental pollution. Because gas drilling has so many technical and economic advantages, it
has more extensive application prospects in China.

2 RESERVOIR CHARACTERISTICS IN THE STUDY AREA

The reservoir pressure in the study area is lower than the hydrostatic column pressure, so the over-
balanced drilling with conventional water-based drilling fluid will produce a large positive pressure
difference. However, the filtrate invasion and solid invasion of drilling fluid will cause serious reser-
voir damage under the action of a large positive pressure difference. Underbalanced drilling with
negative pressure difference eliminates reservoir damage caused by the positive pressure difference
in overbalanced drilling, which is beneficial to reservoir protection. Low-pressure gas reservoir is
also low permeability or ultra-low permeability strong hydrophilic or rich in water-sensitive clay
minerals if only by water-based working fluid negative pressure difference underbalanced drilling
cannot achieve a good reservoir protection purpose. Because of its compactness, low permeability,
large specific surface area, strong surface hydrophilic potential, and low initial irreducible water
saturation formed in the process of reservoir formation, the original state of the gas reservoir are
“dry and short of water”. Once the reservoir is opened by water-based working fluid, the reservoir
will absorb a lot of water, even under the “negative pressure difference”, because the energy of this
“water absorption” is provided by the capillary force of the tight capillary bundle and the interfa-
cial adsorption hydrophilic potential on the pore surface of the reservoir. This spontaneous “water
absorption” continues until the irreducible water saturation of dense porous media is reached. The
clay minerals in these pores will hydrate, expand, disperse, and migrate after meeting with water,
which will aggravate the damage caused by reservoir water absorption.
Because the study area belongs to low pressure, low permeability, and low production gas
reservoir, the relative cost of developing with conventional drilling technology is relatively high
and the profit space is small. Therefore, new technologies must be applied to improve drilling
efficiency and reduce drilling costs. According to the analysis of gas test data of 120 wells in the
study area in 2019, most wells show low production. The main reason is that the permeability
of rock matrix is low, and the structural fractures of rock are not developed, which are mainly
micro-fractures and ultra-micro fractures, and the fractures often appear as high-angle fractures.
It shows high dispersion of permeability. When fractures are drilled, the permeability is higher
than that of developed reservoirs, and the single well production is higher, while the production
is lower without fractures (Figure 1). Because the density of fractures is small and often appears
at high angles, the probability of drilling vertical wells encountering fractures is relatively small.
Therefore, it is difficult to improve the single well production by drilling vertical wells. It is
necessary to combine horizontal well drilling technology with gas drilling technology to form gas
underbalanced horizontal well drilling technology, which can not only protect the reservoir to the

611
maximum extent but also cross multiple fractures to achieve the purpose of improving single well
production.

Figure 1. Gas well production after drilling in the study area in 2019.

3 NITROGEN DRILLING TECHNOLOGY

3.1 Well bore structure

The wellbore structure design of nitrogen drilling mainly considers two aspects: cost and safety. To
reduce the cost of nitrogen drilling, the borehole size and the use of equipment and materials should
be reduced as much as possible on the premise of satisfying oil and gas production. From a safety
point of view, the open hole interval of nitrogen drilling should be shortened as far as possible
to reduce the incidence of downhole complexity and accidents. Therefore, when designing the
wellbore structure of nitrogen drilling, generally, the casing is run down to the top of the oil layer
with the technology of ™ 177.8, and the nitrogen drilling in the reservoir section is carried out
with the bit of ™ 152.4.

3.2 Equipment matching

The most different place from conventional drilling is that nitrogen drilling needs to use special
well control and circulation equipment to realize gas pressure control, circulation rock carrying,
rotary diversion, fluid treatment, and other functions to ensure safe and rapid drilling. The main
equipment is:
Pressure control equipment: During nitrogen drilling, there is no liquid column pressure in the
wellbore to balance the formation pressure, The flow rate of circulating fluid returned from wellbore
is extremely high. It can reach 50∼150 m/s, so besides standard single and double ram BOP and
annular BOP, it is also necessary to use rotary BOP to build a barrier between the annulus and drill
floor, and to guide the fluid returning from wellbore away from the drill floor. The rotary BOP is
mainly used to realize the above functions, and the rotary BOP is installed at the top of wellhead
device.
Gas supply system: The gas supply system is one of the core equipment of nitrogen drilling,
which is mainly composed of a nitrogen production truck, liquid nitrogen pump truck, and related
connecting pipelines. It is required to meet the requirements of circulating rock carrying, and at
the same time, it can deal with the formation of water, annulus blockage, and other downhole
complications such as large displacement and high-pressure gas. One liquid nitrogen pump truck
(liquid nitrogen) is used to supply air with four nitrogen trailers or two liquid nitrogen pump
trucks. The characteristics of these two kinds of air supply systems are a large adjustment range

612
of displacement and pressure, adjustable displacement in 10∼250m/min, and maximum rated
pressure can reach 105MPa, which has a very good application effect.
Liquid supply equipment: Liquid supply equipment is used for atomization drilling, foam drilling
conversion, or cleaning casing and drilling tools, mainly using an atomization pump and a cement
truck.
Internal blowout preventer: Float valve, single flow valve, butterfly valve. Nitrogen gas carrying
cuttings, formation fluids, and other substances flow back and clog the bit water hole or damage
the downhole tools.
Operate equipment under pressure: To protect the oil and gas reservoir, special auxiliary equip-
ment must be used to complete pressure monitoring, tripping, sieve running, tubing running,
Christmas tree installation, and other pressure operations during nitrogen drilling and drilling
completion because the wellbore is in the underbalanced state.

3.3 BHA
Nitrogen drilling bits can be selected as per conventional drilling design bits, and generally, no water
holes are installed; the design of drilling tools should be simplified as far as possible. If the wellbore
quality is not required to be controlled, the smooth drill collar BHA can be adopted, otherwise, the
deviation reducing BHA meeting the wellbore quality can be adopted; to prevent compressed gas
from flowing backward from the drilling tool, two floating valves should be installed as close as
possible to the bit; during pressure relief, to prevent the high-pressure gas in the drilling tool from
being released, and to increase the time of connecting single pipe, one lower cock and one float
valve shall be installed after drilling, and no other special requirements shall be made. Drill bit +
120 float valves 2 + drill collars 2∼3 + stabilizer 1 + drill collars 15 + ramp drill pipe + lower cock
+ float valve 1 + ramp drill pipe + kelly lower cock + hexagonal kelly.

3.4 Injection parameters

Cutting carrying is one of the most important technologies in gas drilling. The deterioration of
cuttings carrying capacity and the subsidence and accumulation of downhole cuttings will cause
drilling sticking and other downhole complex situations. Through theoretical calculation and field
application verification, it is considered that the nitrogen drilling injection parameters listed in
Table 1 are reasonable and can meet the requirements of cuttings carrying in field construction.

Table 1. Nitrogen displacement required for different well diameter and well depth.

Well depth, m 300 600 1200 1800 2400 3000 3600 4000

Gas displacement, Nm3 4500 5200 5800 65000 82000 94000 110000 130000

4 CALCULATION OF MINIMUM GAS VOLUME IN GAS DRILLING

In gas drilling, sufficient gas volume is the key to the success of gas drilling. The main task of
gas circulation is to transport cuttings from the bottom hole out of the wellhead and keep the
bottom hole clean. If the gas volume is insufficient, the cuttings at the bottom of the well will not
return to the wellhead in time, and will gradually gather at the bottom of the well and increase the
gas pressure at the bottom of the well. If the gas flow rate is not increased in time, the cuttings
accumulate more and more at the bottom of the well, thus, the gas flow rate continues to decrease
and the wellhead pressure continues to rise until the cuttings returning from the wellhead become
less, forming a “blocking” phenomenon.

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 Experiments show that the annulus pressure drop is mainly composed of two parts, one is caused
by the friction between the mixed fluid and the borehole wall, and the other is caused by the static
pressure head of the mixed gas. When the fluid flow rate is high, the cuttings’ migration velocity
is close to the gas velocity, the cuttings’ slippage effect is not obvious, and the cuttings can be
effectively transported out of the well. If the mass flow rate of the solid phase is kept constant and
the gas flow rate is reduced, the velocity of mixed fluid will decrease and the concentration of solid
phase will increase, which will lead to a decrease of wellbore friction loss and the increase of the
static pressure head. But at this time, the annular pressure drop mainly depends on the wellbore
friction loss, so the whole annular pressure drop decreases. Although the wellbore friction loss
decreases, the pressure drop of the whole annulus rises due to the obvious increase of static pressure
head. If the gas flow rate continues to decrease, the annulus pressure drop will become larger, and
the bottom hole pressure will become higher. With less debris returning from wellhead, blocking
phenomenon is formed. As long as the gas flow rate is always above the minimum debris-carrying
gas flow rate, it can keep the debris flow rising and ensure safe drilling (Figure 2).

Figure 2. Relationship curve between annular pressure drop and annular air flow rate.

5 SUPPORTING EQUIPMENT AND TOOLS

In the process of gas drilling, there is no liquid column pressure to balance the formation pressure,
and the annulus pressure is relatively high, which will make the wellbore out of control if it is not
well controlled. Therefore, 1∼3 blowout pipelines + BOP stack + rotary BOP control are adopted.
When the reservoir is opened, the formation fluid may enter the wellbore, which may produce
high pressure. Therefore, the number of blowout pipelines is more than that of conventional wells,
in order to discharge the fluid in the well in time. Rotary blowout preventer plays a guiding role
and controls the fluid in wellbore to be discharged from the outlet. Specific wellhead well control
equipment matching: double common short joint with bottom flange + single ram BOP + four
cylinders + double ram BOP + rotary BOP.
According to the requirements of gas drilling technology, the rotary blowout preventer of Wei
Defu Company is matched. See Table 2 for the preliminary matching scheme according to the
requirements of process parameters.
The back pressure valve of drilling tools used in conventional mud drilling cannot pass through
inclinometer, so inclinometer operation cannot be carried out in gas drilling. In order to solve the
problem of inclination measurement in gas drilling, a 3.5-inch drilling tool float valve is developed.

614
Table 2. Matching scheme of gas drilling equipment.

Input and output pressure, Single engine displacement, Total gas volume,
Device name MPa m/min m/min

Air compressor Output 2.0∼2.5 30 240

Supercharger 2.0∼2.5 60 240

The difference between this new drilling tool float valve and return pressure valve is that it allows
inclinometer to pass through and can realize inclination measurement. The technical parameters are
as follows: Table 3. In the field test, the floating valve entered the well for 180h, and the inclination
was measured twice. The valve plate was sealed reliably.

Table 3. Technical parameters of float valve.

Working pressure, Minimum size, Maximum outside diameter, Outer connection size,
MPa mm mm in

30 40 141 3.5

6 FIELD TEST SITUATION

According to the geological characteristics of the study area, the field drilling tests of two wells
were carried out, and the specific conditions are as follows:
1) The test interval of well W1 is 1325∼2058m, and the pure drilling time is 36 hours. When
drilling to the depth of 1352m, water begins to come out. With the increase of well depth and
formation water yield, the liquid accumulation in wellbore increases, and the pressure rises. The
measures of drilling 300L foam well sweeping are taken for every two single wells. Mudstone
hydrated and collapsed due to a large amount of water from the formation, and the drilling tools
were seriously blocked when they were drilled to a well depth of 2,058m. When the gas injection
pressure rises to 13MPa, the borehole cannot be smooth after many foam injections, so mud
drilling is converted.
2) Well W2 underbalanced natural gas drilling field test, test interval 2058 ∼ 3156m, pure drilling
time 93.5 h. In the process of drilling Zhifang Formation, because hydrates in natural gas hydrate
soft mudstone, the annulus is not smooth, the gas pressure rises, and foam liquid injection
many times has no effect. When drilling at a depth of 2846m, it is found that the bit has mud
bag characteristics. Drilling 2814∼3141m interval of drilling tools up and down the blocking
phenomenon occurred many times, by injecting high viscosity foam fluid sweeping measures
to alleviate. When drilling in 3141∼3156m well interval, the lifting and lowering drilling tools
were seriously blocked, and the annulus could not be unblocked by injecting high viscosity foam
fluid, so it was judged that the borehole wall collapsed, and mud drilling was converted to drilling
at drilling depth.

7 CONCLUSION

(1) Nitrogen drilling has poor adaptability to water formation, coal seam, gypsum layer, and other
formations, so it is necessary to avoid the water layer as much as possible using casing sealing
and formation optimization to ensure the success of nitrogen drilling.

615
(2) Nitrogen drilling in low pressure and low permeability reservoirs has absolute advantages in
protecting oil and gas reservoirs, discovering oil and gas reservoirs in time, and improving
single well production, which provides an effective way to greatly improve exploration and
development benefits.
(3) The field test of nitrogen drilling in two wells proves that gas drilling technology can greatly
improve penetration rate, protect reservoir and reduce cost.

ACKNOWLEDGMENTS

This work was not supported by any funds. The authors would like to show sincere thanks to those
techniques who have contributed to this research.

REFERENCES

Guo, X.L., Wang, Z.M., Long, Z.H. (2010) Study on three-layer unsteady model of cuttings transport for
extended-reach well. Journal of Petroleum Science & Engineering. 73: 171–180.
Jiang, G., Li, L., Xu, W., Li, Y. (2013) Research and evaluation on bubble sweep used for extended reach well.
Drilling Fluid and Completion Fluid. 30: 5–8.
Schneider, M., Berthe, L., Fabbro, R., Muller, M., Nivard, M. (2013) Gas investigation for laser drilling.
Journal of Laser Applications. 19: 165–169.
Zhen, N., Xia, B., Zhou, L., Deng, J. (2011) Modeling of wellbore stability for gas drilling. Natural Gas
Industry. 31: 71–76.
Zhu, H., Zhou, F., Wang, X., Fan, X., Tang, H., Lian, Z. (2012) Design and application of anti-fatigue sub for
gas drilling. Natural Gas Industry. 32: 43–45.

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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Feasibility analysis on resource utilization of dredged soil in

Bohai Bay

ChunPeng Wen, YingNi Luan∗ & Tao Liu

Tianjin Research Institute for Water Transport Engineering, M.O.T., National Engineering Laboratory
for Port Hydraulic Construction Technology, Key Laboratory of Engineering Sediment of Ministry of
Transport, Tianjin, China

ABSTRACT: With the deepening of China’s port and waterway construction, a large amount of
dredged soil has been produced. However, the current treatment of dredged soil in China often
adopts the method of water throwing, which has an adverse impact on the ecological environment
and a waste of resources. Taking the Bohai Bay as the argumentation background, through relevant
research work, the current methods and existing problems of the dredged soil in the Bohai Bay were
summarized, and the impact of dredging on the marine environment and the value of the dredged
soil were analyzed. From the aspects of technology, environment, and social-economic benefits,
the necessity and feasibility of the resource utilization of dredged soil were explained. The results
show that the resource utilization of dredged soil in the Bohai Bay was not only conducive to the
protection of the marine ecological environment, ensuring the normal operation of the port, but
also conducive to the stable and sustainable development of the Bohai Bay regional economy.

1 INTRODUCTION

There were five major port clusters in China, namely the Bohai Rim, the Yangtze River Delta, the
Southeast Coast, the Pearl River Delta, and the Southwest Coast. Most of the ports have excavated
artificial waterways, and the maintenance mileage of coastal waterways exceeds 10,000 km. The
amount of dredged soil produced by the maintenance of the waterway was huge each year, and it was
mainly distributed in the Bohai Rim, the Yangtze River Delta, and the Pearl River Delta. According
to incomplete statistics, there were about 80 million cubic meters of maintenance dredged soil each
year in the Bohai Sea alone. The dredging volume of the third-phase intelligent project of theYangtze
River Estuary Deepwater Channel reached 170 million cubic meters, after it was officially put into
use, the annual dredging volume will be about 50 million cubic meters. In the Pearl River Delta,
there were also nearly 30 million cubic meters of dredged soil. In recent years, the annual dumping
volume has been 170 to 260 million cubic meters, showing an increasing trend year by year.
At present, China is the country with the largest annual output of dredged soil in the world, but it
was insufficient in the use of dredged soil. For a long time, the dredged soil in the coastal ports of
China has been treated by dumped into the water except for land reclamation, which was not only a
negative impact on the environment but also a huge waste of resources. If the generated dredged soil
can be used reasonably as a resource, it can not only reduce the impact on the marine environment
but also increase a large number of resources and contribute to the sustainable development of
the national economy. Therefore, it was of great significance to scientifically study the resource
utilization of dredged soil and seek countermeasures for the comprehensive utilization of dredged
soil to meet the requirements of green development and sustainable development.
In this paper, based on the background of Bohai Bay, the treatment methods and existing problems
of dredged soil in Bohai Bay were summarized through relevant research work, and the influence

∗ Corresponding Author: [email protected]

DOI 10.1201/9781003308584-87 617

of dredged mud on the marine environment and the utilization value of dredged soil were analyzed,
to provide a reference for the green long-term disposal of dredged soil.

2 PROBLEMS FACED BY DREDGING SOIL TREATMENT IN BOHAI BAY

2.1 Large amount of dredged soil and insufficient volume of dumping area
In recent years, to promote the economic and social development of the Bohai Sea region, the port
needs to increase the depth, width, and the number of port channels which have led to an increase
in the amount of dredging.
According to the statistics of various monitoring units in the Bohai Sea, the average demand for
dumping of dredged materials in Hebei Province exceeds 30 million cubic meters per year, which
has exceeded the upper limit of the number of dredged materials allowed to be dumped in Hebei
Province; the amount of dredged soil applied for in Tianjin has reached 3 million cubic meters,
close to the upper limit of the amount of dredged materials allowed to be dumped in the Tianjin
Ocean Dumping Area.
Judging from the current situation, the dumping demand of dredged soil has exceeded the upper
limit of the allowable dumping volume, and the upper limit of the allowable dumping dredged
material was gradually unable to meet the dredged dumping demand.

2.2 Negative impact on the marine environment

A large amount of dredged soil is dumped into the marine dumping area, which will have a certain
degree of impact on the marine environment in and around the dumping area. In the process
of dumping, the stratification of water body was disturbed, the content of suspended solids in
seawater was increased, and the seabed topography was changed, which affects the water depth
of the dumping area. At the same time, the dissolution of some pollutants in dredged soil also
has a certain impact on the quality of seawater. The dumping activities will also change the living
environment of phytoplankton, zooplankton, and benthic organisms, resulting in the reduction of
biological species.
(1) Influence on seabed topography
The long-term dredging and dumping of mud has not only affected the marine environment, but
also caused tremendous changes in the seabed topography. According to the comparison of water
depth surveying maps, the -10m isobath in the sea area of Bohai Bay has been extrapolated by more
than 5km. The variation of water depth in the Bohai Bay was shown in Figure 1. Two of the four

Figure 1. Variation of water depth in the Bohai Bay.

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dumping areas in Huanghua Port that were out of service have been completely diffused, and the
sediment in the remaining two areas showed an obvious trend of spreading. The diffused sediments
crossed the channel and returned to the channel to silt up again. It has been in a vicious circle of
“dredge → dump → return → dredge again → dump again → return again” for a long time.
(2) Negative impact on the ecological environment
The impact of dredged soil dumping on the ecological environment mainly includes two aspects:
the short-term environmental impact of the dredging operation and dumping process, and the
long-term environmental impact of the dumping area after the dumping of the dredged material.
The temporary effects of dredged soil dumping include the increase of suspended solids and
turbidity in seawater, the decrease in seawater quality, and the migration and diffusion of pollutants.
The effects were generally temporary, but they will still harm certain economic fish, and cause
major economic losses in the short term. The long-term effects of dredged dumping include changes
in the topography and bottom sediments characteristics, increased sedimentation rates in adjacent
areas, and the resulting impact on organisms. Studies have found that the degree of pollution of
dredged soil was different, and the impact on the environment was also different. Clean dredged
soil only produces physical and sedimentological effects. The dumping of contaminated dredged
materials may also cause chemical effects, such as harmful substances, heavy metals, and petroleum
pollutants. Accumulation of heavy metal pollutants in sediments can also endanger human health
through the food chain.
(3) Impact on fishery resources
The suspended sediment entering the sea during dredging will form a high-concentration diffu-
sion field within a certain range (Figure 2). Presence of a large number of suspended particles in the
seawater hinders reproduction and growth of natural bait. A large number of suspended particles
in the water will enter the gills with the breathing action of the fish, damage the gill tissue, block
the gas exchange, and affect the survival and growth of the fish. Suspended particles will directly
cause damage to the young and larvae of marine organisms. The main manifestation was that it
affects the development of embryos, blocks the gills of organisms and causes suffocation death,
causes severe hypoxia in the water body, leading to death of organisms for the secondary pollution
of suspended harmful substances, etc.
According to the requirements of fishery water quality standards, artificially increasing the
concentration of suspended solids greater than 10mg/L will affect the growth of fish. In this water
area, fish eggs and larvae will partially die due to the high concentration of sand. Although adult
fish can be avoided, the larvae still cannot escape bad luck.

Figure 2. Diffusion of sediment in the dumping area.

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3 FEASIBILITY OF RESOURCE UTILIZATION OF DREDGED SOIL IN BOHAI BAY

Currently, the dredged soil has become an important factor restricting the development of the port.
On the one hand, if the dredged soil generated by the port was not treated in time, it will directly
affect the normal operation of the port. On the other hand, if it was not handled properly, it will have
a certain impact on the marine environment and ecology, at the same time, it was also a huge waste of
land resources. Therefore, to protect the environment and realize the utilization of waste resources,
take a certain method to treat the dredged soil and convert it into renewable resources, which can
effectively reduce environmental pollution and avoid waste of resources, eliminate obstacles to the
construction of ports, waterways, and coastal marine engineering, and then fundamentally solve
the contradiction between the disposal of dredged mud and the protection of marine environment
and resources.
(1) Technical feasibility
Currently, the use of dredged soil in the world was diversified and comprehensive. In summary,
there were two major directions: one was the comprehensive utilization of engineering, such as
land reclamation, reinforcement of dams, backfilling of open-pit mines and submarine pits, soil
for construction, and industrial use, etc. The second was comprehensive ecological utilization.
Many cities in the world use dredged soil for construction and ecological restoration. In wetlands,
parks, aquaculture, and other fields, it was necessary to use soil with rich nutrients and high water
content, and dredged soil was a very good choice; in addition, the dredged soil contains a lot of
water and a large number of nutrients and microorganisms, which can help the rapid establishment
of ecological environments such as wetlands and parks. Diversified utilization methods can provide
a reference for the long-term utilization of dredged soil in Bohai Bay.
(2) Environmental feasibility
The dredging and dumping of the Bohai Bay for many years has had a huge impact on the
environment, and the impact has been reflected in many aspects such as hydrology, topography,
sediment environment, and ecological environment. After the dredged soil was used as a resource,
the sediment dumped directly into the sea can be greatly reduced, and the adverse impact on the
marine environment can be reduced.
A large number of investigations and analyses on the characteristics of the siltated soil in various
ports in the Bohai Bay indicate that the silted soil has better compactness after being disturbed
and re-sedimented. In addition, to better grasp the nature of the dredged soil from each port in the
Bohai Bay, physical and chemical tests have been carried out on the samples from each port. From
the analysis, the quality of the sediments in the Bohai Bay was in good condition and there were
very few harmful substances. After clarifying the harmless treatment of inorganic, organic, and
heavy metals, the sediment in this state can be directly used on land.
(3) Great demand for land
At present, various areas in Bohai Bay were still in the development stage, and there was a
large demand for land use. The land hydraulic fill elevation in some areas has not yet reached the
planning and design requirements. According to the current actual situation, the Huanghua Port
area alone has more than 100 million cubic meters of land use. In addition to this, the construction
of the Bohai Bay over the years has caused extensive pits and ravines on the coastal land, and a large
amount of soil was lacking. Because of the long years of borrowing, hundreds of huge deep pits
have been formed along the coast, and the situation was still intensifying. According to preliminary
estimates, it takes about 240 million cubic meters of soil to restore the ecology of these giant deep
pits to the original topography. Status of Some Planning Areas and Reclamation Areas in Bohai
Bay was shown in Figure 3. It can be seen that the construction of backfill soil was an important
direction for the utilization of dredged soil in the Bohai Bay area.
In addition to the construction of backfilling soil, the dredged soil has many uses, such as
ecological restoration soil, new building materials, etc. Due to various uses and vast hinterland
space, it not only solves the problem of long-term use of dredged soil on land but also makes the
ecological and resource utilization of dredged soil sustainable.

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Figure 3. Status of Some Planning Areas and Reclamation Areas in Bohai Bay.

(4) Social and economic benefits

In China, the construction of ecological civilization has been incorporated into the country’s
overall layout and strategic layout. It was required to place ecological environmental protection
in a more prominent position and use the strictest system to protect the ecological environment.
Therefore, the realization of the resource utilization of dredged soil was of great significance. The
impact on economic benefits was mainly reflected in four aspects: First, it can reduce the amount
of active sediment on the seabed while improving the marine environment, and continue to reduce
the siltation of the port and channel; second, it can reduce the distance of dredging and reduce the
cost of dredging. Third, land use of the dredged soil will reduce a large amount of environmental
governance input; the fourth was that the harmless treatment of the dredged soil was an increase in
cost input, but the treated dredged soil has been turned into a treasure and as earthwork resources,
it can be used in many ways to form new economic value.

4 PRINCIPLES FOR SELECTION OF TREATMENT SCHEMES

The disposal of dredged soil needs to achieve the following four goals: (1) Stabilization: fix the
components of the dredged soil so that the contaminated part would not leak or seep out during the
treatment and disposal process to avoid secondary pollution; (2) harmlessness: remove the harmful
part of the dredged soil; (3) reduction: reduce the volume of the dredged soil, the water content,
and reduce the disposal and treatment costs; (4) reuse: turn waste into treasure and reduce damage
for the benefit, not only the dredged soil has been treated but also the recycling of resources and
environmental protection have been realized.
Based on the current research results and engineering practice experience, when evaluating
the dumping, filling, or other disposal options of dredged soil, the physical, chemical, biological
characteristics, the dynamic characteristics, and the organic and inorganic pollutant characteristics
should be considered. Combined with the wave dynamic conditions of the dumping area, a com-
prehensive analysis of the possible initial, medium, and long-term effects of the dumping plan,
the potential threats to humans and the environment, and whether it met relevant regulations and
public opinion.
While choosing the dumping and filling scheme, it was also necessary to consider the possibility
of the resource utilization, the potential hazards, and control methods of the diffusion of pollutants
in the dredged soil. To ensure the minimum impact of resource utilization on the environment and
the maximum utilization rate, the physical, engineering, chemical, and biological characteristics of
dredged soil reuse were the basic data for evaluating the applicability of the dredged soil resource
utilization program.
Therefore, when choosing a technical plan for the disposal of dredged soil in Bohai Bay, according
to the physical, chemical, and biological properties of the dredged soil in each port area, it was
relatively determined by the economic, technical, social, and environmental impacts, etc. and
the preferred choice was mature technology and convenient management, low investment, and

621
minimum social–environmental impact. And at the same time, it was determined according to
local requirements and conditions. The process of determining the dredged soil disposal plan was
shown in Figure 4.

Figure 4. Process of determining the dredged soil disposal plan.

5 CONCLUSION

With China’s policies on port green development, sustainable development, and environmental
protection, the view that “dredged soil is a valuable resource” was gradually recognized by all
walks of life, and related research on the use of dredged soil as a resource was carried out..
This article takes the Bohai Bay as the background, focuses on the research field of dredged
soil resource utilization, analyzes the current situation of dredged soil utilization in China and
various problems in the process of treatment, and at the same time the value of resource utilization
of dredged soil in Bohai Bay is demonstrated from aspects of technology, environment, actual
demand, and social and economic benefits. And the results show that the resource utilization of
dredged soil through a reasonable evaluation process is not only conducive to the protection of
the marine ecological environment, ensuring the normal operation of the port, but also conducive
to the stability and sustainable development of the Bohai Bay regional economy, so it has strong
feasibility and forward-looking significance.

REFERENCES

HR Wallingford 1996 Guidelines for the Beneficial Use of Dredged Material[S].

Li Y.M. (2001). Disposal and Application of Dredged Material in Some Foreign Countries. J. Jourary of
Waterway and Harbour. 22(3):146–148.
Liu J, Zhao D.Z, Yuan Y.H, Cheng H.F. (2012). Investigation and Study on the Comprehensive Utilization
of Dredged Soil. J. Academic Exchange Conference on Estuary and Water Resources of the Professional
Committee on Estuary Governance and Protection of Chinese Hydraulic Engineering Society in 2012.
37–41.
Naito R, Nakamura Y. (2009). Integrated Coastal Zone Management. M. J. Blackwell Publishing Ltd.
237–249.
Nakamura Y. (2006). Current status of subaqueous borrow pits and their restoration in Japan. J. Journal of
Advanced Marine Science and Technology Society. (12): 43–50.
PIANC 1992 Beneficial Uses of Dredged Material: A Practical Guide. S.
Suchida T, Takeuchi D, Okamura T, et a1. Kishida. (1996). Development of lightweight fill from dredgings,
environmental geotechnics. C. Proceedings of the Second International Conference on Environmental
Geotechnics, Balkema. 415–420.
Tanabe T. (2005). Current status on the disposal of dredged material in Japanese ports and harbors. J. Journal
of Japan Society of Waste Management Experts. (16): 61–65.
USACE 1986 Beneficial Uses of Dredged Material, Engineer Manual. S.
Zentar. R, Abriak. N E, Dubois, V. (2009). Beneficial use of dredged sediments in public works. J.
Environmental Technology. 8(30):841–847.

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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Key drilling technologies of extended reach wells and their

applications

Aihua Bao∗ , Lei Zhao & Jingxin Cao

No. 4 Drilling Engineering Company, BHDC, Cangzhou, China

ABSTRACT: Extended reach well drilling technology is a new drilling technology developed
in China in 1990s, which is actually a comprehensive embodiment of directional well, horizontal
well, deep well and ultra-deep well technology. Aiming at the technical difficulties of large friction
and torque in extended reach wells, as well as the requirements of wellbore trajectory control
and wellbore stability. This paper analyzes the key drilling technologies of extended reach wells,
and discusses the well trajectory design technology, steering drilling technology, high-quality
drilling fluid technology with high lubrication and strong inhibition, friction and torque prediction
and monitoring technology in the implementation of extended reach horizontal wells. This paper
analyzes the technical difficulties and strategies of extended reach horizontal well drilling, in order
to promote the application of extended reach horizontal well drilling technology and improve the
level of oil production.

1 INTRODUCTION

The definition of extended reach wells generally refers to directional wells and horizontal wells whose ratio of
horizontal displacement to vertical depth is equal to (or greater than) 2, and also refers to the ratio of sounding to
vertical depth. Extended reach well is a long section with high deviation and stable inclination (generally, the high
deviation and stable inclination angle is > 60 degrees). Due to the need of various types of oil and gas reservoirs,
extended reach wells with variable azimuth angle have gradually developed from extended reach wells with constant
azimuth angle (Guo et al. 2010). In the drilling process of extended reach wells, the contact force between drill string
and casing is slightly larger due to the long open hole section, large deviation angle and large change of wellbore
curvature, which leads to serious wear of casing (Knott 1998).
The design of well profile should be carried out at the initial stage of extended reach well construction, and the
following requirements should be referred to in the specific design process: the extension length of extended reach
well should be increased, so as to reduce torque and friction resistance, reduce casing wear degree, and enhance the
running performance of pipes, drilling tools and measuring equipment (Guo et al. 2011). The most critical point is to
fully consider the torque and friction limit of drill string. At the same time, in the complete set of drilling technologies,
well trajectory control technology plays a very important role. Usually in the process of drilling directional wells,
in order to change the well deviation and orientation, it basically takes 65% of the time and is in sliding drilling
mode, while the remaining small part of the time is in rotating drilling mode. In the process of extended reach well
construction, because the drill string does not rotate, the wellbore is not clean and tidy, which makes the torque/friction
increase obviously. In addition, the weight on bit is difficult to apply, and the sliding mode is greatly resisted, and at
the same time, the local dog legs increase obviously; enlarging dog legs in turn will increase torque, thus creating a
vicious circle.
Geosteering technology (GST) is an advanced guiding technology at present, it is formed by synthesizing a series
of advanced technologies, including logging while drilling (MWD), measurement while drilling (LWD) and rotary
steering drilling (SWD), etc. In GST, LWD and geological evaluation logging information are collected in real time
and analyzed quickly, and drilling trajectory is effectively controlled by man-machine interaction. Gyro and MWD
technology are usually used in extended reach well engineering in China to ensure effective control of wellbore
trajectory and reach the target bottom hole orientation. LWD technology can fully obtain geological data of pay zones
and realize accurate control of drilling trajectory (Wang et al. 2015).
The steering technology widely used in China is still in the first generation, while the second generation steering
drilling system and the third generation rotary steering drilling technology have been widely used in developed

∗ Corresponding Author: [email protected]

DOI 10.1201/9781003308584-88 623
countries (Jiang et al. 2013). The main problem is the lack of key technologies. For example, LWD, high strength
drill pipe and variable diameter stabilizer are lack of in-depth research. In addition, China has great disadvantages
in independent technology, and many advanced technologies need to be imported from abroad. While promoting
the introduction of extended reach drilling equipment and supporting tools, China should strengthen the theoretical
research on extended reach drilling technology and develop advanced supporting tools, so as to truly make this
technology mature day by day, improve technical support for China’s petroleum industry and contribute to the
implementation of China’s energy strategy.

2 KEY TECHNOLOGY

2.1 Well profile design

Among the frequently used curvature profiles, the special one is “straight-increasing-stabilizing” three-section, which
is convenient to design and easy to realize. However, due to the characteristics of extended reach wells, such as small
vertical depth and long section of large-angle stable deviation wells, it is necessary to bear large friction when drilling.
To reduce friction, and increase that horizontal displacement of the well as much as possible, Some researchers put
forward variable curvature trajectory design theory, a typical one is quasi-catenary profile design theory. When using
this method, the rigidity of drill string is not considered, and it is assumed that the drilling trajectory presents catenary
shape and the drill string keeps hanging in the borehole. Under this condition, the friction of drill string will be
obviously reduced. However, the curvature of catenary profile changes obviously, and the deviation increases very
fast. In addition, the curvature at the end of catenary profile is large, which is very unfavorable for extended reach
wells.
In practical application, the first step is to set the deviation with a lower set-up rate of 1.0–1.5◦ /30 m. With
the increase of vertical depth, the set-up rate increases according to a certain law, that is, from 0.5◦ /30m to 2.5-
2.75◦ /30 m. The deviation angle (80-84) obtained by this method is increased by 20-24 degrees compared with the
previous method. Through a large number of engineering practices, it is concluded that using the above profile can
obviously increase the running quality of pipe sleeve, and the specific increase ratio is as high as 20% ∼ 25%, so
the quasi-catenary profile has many application advantages. Considering the deflection problem, the most commonly
used method is to ensure that the deflection area is located in the deep underground when designing the wellbore
trajectory, so that it can be far away from the high slurry formation, thus reducing the resistance of drilling tools,
reducing the wear of drilling tools, speeding up the steering drilling process, reducing the deflection angle of the well
section, and ensuring the cleanliness of the wellbore in the well section.

2.2 Borehole trajectory control

The basic application principles of geosteering technology are as follows: In well design, The logging information
obtained in advance through experiments or from adjacent wells is imported into relevant software to obtain logging
simulation information of newly developed wells through a series of complex operations, In the actual construction
process, the information obtained by MWD and logging tools is compared with the simulation information. If there is
little difference between them, it shows that the optimal geological target can be found accurately. On the contrary, the
drilling trajectory should be adjusted and optimized in real time according to the measured geological information.
For ERW, its displacement/vertical depth is generally greater than 2.5. In the process of drilling this kind of well,
when the distance is not far from the pre-designed depth, every time the drilling is 20 ∼ 30 hr, the corresponding
tripping is 30 ∼ 40 hr, which will obviously prolong the drilling time and cost more money. If the variable diameter
stabilizer is used, the bend of well depth can be effectively restrained, the resistance of drill string can be greatly
reduced, and favorable conditions for cuttings transfer can be created. In addition, the drilling tool can also use the
maximum WOB, which can ensure the designed well deviation without tripping in the rotary drilling process, thus
obviously increasing economic benefits.

2.3 Drill string design

The outburst characteristics of extended reach wells include high deviation, long open hole and large length of stable
deviation section. However, if the deviation angle in a certain area is large, it will bring obvious resistance to drill
string sinking. This kind of friction factor in the well, which can not be called critical friction factor by its own gravity,
can not be called drilling string sliding down the well. After the critical friction factor is exceeded, the drill string
cannot slide downward by its own gravity in the well. If the actual environment exceeds the critical value, the drill
string assembly cannot sink by its own gravity. If the pipe string withstands downward thrust and sinks to the bottom
hole, if it bears excessive axial thrust, it will increase the yield probability in the process of drilling extended reach
wells.

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 The specific design steps are as follows: firstly, the force that the drill string needs to bear should be calculated,
and then the appropriate drill string device should be selected based on the force. Because the above two links are
interrelated and need to be repeated, the two-way arrow is given in the figure. In addition, the final determination of
drill string type should not only consider the load factor, but also comprehensively analyze its other factors.

2.4 Reduce friction and torque

If the horizontal displacement (H)/vertical depth (V) value is not less than 2, the corresponding minimum deviation
angle will be greater than 63; At the same time, there is usually a vertical area in extended reach wells, so the maximum
deviation angle will exceed 70. This will inevitably lead to most of the dead weight of drill string (sin max > 0.9, that
is, more than 90% of the dead weight of drill string) pressing to the wellbore in the deviated section of extended reach
wells, resulting in great friction. In the actual construction process, after the friction torque of the pipe string exceeds
a certain value, it may cause the following problems: the drilling tool can not be lifted up, and even the drilling tool is
broken; The casing string assembly cannot sink to the preset layer, so the completion cannot be carried out normally;
Logging equipment and oil production equipment can not successfully sink to the preset level, resulting in the hole
can not successfully obtain oil.
There are many factors that affect torque/friction, but it is very difficult to quantitatively analyze the influence
degree. Generally speaking, if the deviation of theoretical calculation value can be guaranteed to be less than 20%,
it can be considered that the prediction result meets the actual demand. In the actual calculation process, the friction
coefficient will have a great influence on the calculation of torque/friction, and it can reflect many complex hidden
factors to a certain extent. From the surface torque data obtained by actual measurement in an oilfield, it can be seen
that the friction factor is not fixed, and the friction coefficient corresponding to different areas is different in the same
drilling, even in the same well interval, its friction coefficient fluctuates in a certain interval. Table 1 describes the
specific changes of axial friction coefficient of some wells in this oilfield.

Table 1. Variation of axial friction coefficient of two wells in an oilfield.

Measured fluctuation value of friction coefficient

Diameter 311mm Diameter 216mm

Well number Boundary Casing Naked eye Casing Naked eye

W1 Lower limit 0.21 0.13 0.11 0.52

Upper limit 0.43 0.15 0.15 0.53
W2 Lower limit 0.16 0.12 0.18 0.12
Upper limit 0.31 0.15 0.17 0.14

During the construction of extended reach horizontal wells, the following measures are generally taken to reduce
friction and torque:
Adopt oil-based drilling fluid, increase oil-water ratio and reduce friction coefficient. Compared with water-
based drilling fluids, oil-based drilling fluids have outstanding advantages in lubrication and inhibition performance.
By comparing two kinds of drilling fluids with different oil-water ratios (90: 10 and 62: 38 respectively), it is found
that the friction coefficient between metals and between metals and sandstone is reduced by 40%. At present, most
ERWs in the world use oil-based or synthetic-based drilling fluids in the drilling process. Although the above two types
of drilling fluids have very good lubrication and anti-sloughing properties, their environmental friendliness is poor
because of their high cost and troublesome treatment process. In contrast, although water-based solution does not have
good lubrication and anti-sloughing performance, it is suitable for drilling construction with horizontal displacement
less than 5 km. It can be seen that if the horizontal displacement is not large and the geological conditions of drilling
are relatively simple, the water-based solution with high environmental friendliness can be used, and the material cost
can be reduced at the same time.
Increase the lubricity of drilling fluid. In the process of drilling extended reach wells, a large amount of drilling
fluid needs to be used, and the lubricity of the solution needs to meet the following requirements: the lubrication
coefficient of the solution should not exceed 0.15, and the friction coefficient corresponding to the filter cake should
not exceed 0.1. In order to improve the lubricity of the solution, extreme pressure lubricant and polyalcohol can
be added to it, so as to reduce the friction of drilling tools. If solid lubricating substances such as graphite and
small plastic balls are used, the drilling friction can be effectively reduced, because graphite and other substances can
adhere around the casing wall, so that the friction between drill pipe and casing can be transformed into the interaction
between adjacent scales in graphite, which can obviously reduce the friction coefficient at casing.

625
 Use torque reduction tools. The torque reduction nipple of drill string can be matched with conventional drill
pipes of 127mm, 139.7 mm and 168mm, and the torque range can be reduced by 40%.
Torque and friction monitoring. In order to predict the friction torque, it is necessary to build a calculation
model of friction torque between pipe string and borehole wall, so as to accurately estimate the specific value of
friction torque between them. In practical application, a special short-circuit method of measurement while drilling is
usually used to obtain the torque and weight on bit of drilling tools in real time, and at the same time, the mud logging
and logging information are transmitted to the drill string simulator, and the specific value of friction coefficient is
calculated on the basis of the obtained data.

2.5 Wellbore cleaning and stabilization technology

In the concrete construction of extended reach wells, there are significant differences between cuttings and vertical
wells, which are as follows: some cuttings will be produced at the low edge and gradually accumulate into cuttings
beds; Cuttings will gradually slip towards the bottom layer, especially after stopping circulation, which can explain
why it is difficult to put a single piece into the bottom when the deviation angle is large, and the problem can be
solved by rotating the turntable after sticking. The well deviation creates a favorable environment for the formation
of cuttings bed. Parameters such as hollow cuttings concentration and critical return velocity in annulus will increase
with the increase of inclination angle. On the contrary, the cleaning condition of wellbore will become worse with
the increase of inclination angle. Under the condition of large inclination angle, thicker cuttings bed will easily be
produced. The cuttings bed has great resistance to the rotation of the bit, which also increases the construction cost.
Yes, the activities of drilling tools in the wellbore are severely limited, and the weight on bit cannot be completely
applied to the bit; In addition, it will increase the torque of drilling tools, and even damage drilling tools. In order
to ensure good wellbore cleanliness, a cleaning model can be used to calculate the minimum displacement and the
optimal rheological properties. It should be ensured that drilling fluid is mainly in laminar flow or turbulent flow
state, and the occurrence of overflow flow state should be restrained as much as possible, which can also improve
wellbore cleanliness.
Wellbore stability will be affected by many factors. The factors with greater correlation degree are dip angle,
in-situ stress value and its corresponding non-uniform distribution, drilling fluid characteristics, stratigraphic plane
characteristics and bottom hole mud column pressure. In addition, the chemical reaction between drilling fluid and
formation will also have a significant impact on the stability, so drilling fluid with better inhibition performance
should be used. For example, quasi-oil-based synthetic drilling fluids and water-based drilling fluids containing more
potassium elements have better inhibition performance. The problems of high hydration dispersion and low wellbore
stability in shale in extended reach wells can be solved by enhancing the inhibition performance of drilling fluid.

3 TECHNOLOGY APPLICATION

In order to ensure the wellbore quality, the main techniques used are as follows: using Sysdrill directional design
software of STAOL Company, using “minimum curvature method” to design wellbore trajectory and BHA, and
calculating corresponding torque and friction; Using SYN-TEQ bio-oil-based drilling fluid can reduce pollution,
protect oil layer and provide circulating medium for drilling; Use LWD geosteering while drilling and logging
technology to evaluate formation lithology and physical properties in time; Use MWD measurement while drilling
system to know the wellbore trajectory in time (Figure 1). In order to improve the trajectory accuracy, the sysdrill

Figure 1. MWD system.

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idea DDS software is used to comprehensively consider the indeterminate calculations in all measurements; Using
variable diameter stabilizer and strictly controlling drilling parameters. Under the condition of directional control,
sliding drilling is minimized and rotary drilling is used.
The designed build-up rate of well WF1 in eastern China is about 0.5◦ per 400m, and the final steady inclination
angles are 80.2◦ , 80.5◦ and 82.3◦ , respectively. WF1 well adopts a relatively simple way, which can be realized by
the mutual cooperation between deflection-making and deflection-stabilizing profiles. The reason for this is to pay
attention to the stability of the wellbore, so that it can successfully complete the electric submersible pump completion
under extreme inclination conditions. Such a well profile needs to be deflected at a very shallow place of the well, and
it is difficult to achieve a deflection rate of 4/30m due to loose formation. The rationality of this profile is verified by
observing the torque formed on the wellbore wall and other data. Therefore, the initial selected build-up rate ranges
from 1/30 m to 1.5/30 m, and with the continuous accumulation and optimization of experience and technology, the
maximum build-up rate can finally reach 2.5/30 m. The wellbore trajectory of well WF1 is shown in Figure 2.

Figure 2. Wellbore trajectory of well WF1.

4 CONCLUSION

(1) In the actual drilling process of extended reach wells, the drilling trajectory can be effectively controlled by
matching BHA, fast bit and remote measurement while drilling system, and the control accuracy can be improved
by alternately adopting rotary and sliding drilling modes.
(2) Extended reach well drilling technology is very comprehensive, which contains many key technologies and
involves multi-disciplinary knowledge, such as mechanics, materials, geology and electronic information. In
addition, with the gradual increase of drilling depth and level, more difficult problems need to be solved.

ACKNOWLEDGMENTS

This work was not supported by any funds. The authors would like to show sincere thanks to those techniques who
have contributed to this research.

REFERENCES

Guo, X.L., Wang, Z.M., Long, Z.H. (2010) Study on three-layer unsteady model of cuttings transport for extended-
reach well. Journal of Petroleum Science & Engineering. 73: 171–180.
Guo, X.L., Wang, Z.M., Long, Z.H. (2011) Transient cuttings transport laws through all sections of extended reach
well. Journal of China University of Petroleum. 35: 72–76.
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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Application and effectiveness of deeply buried thin reservoir prediction

techniques with sedimentary landform constraints

XinWu Mi
School of Earth Science and Engineering, Xi’an Shiyou University, Xi’an, China
A. Balkema Publishers, Leiden, The Netherlands
Korla Branch, GRI, BGP Inc, CNPC, Korla, Xinjiang, China

Lei Li
School of Earth Science and Engineering, Xi’an Shiyou University, Xi’an, China
A. Balkema Publishers, Leiden, The Netherlands

XiaoChuan Yang & YaoZu Han

Korla Branch, GRI, BGP Inc, CNPC, Korla, Xinjiang, China

ABSTRACT: A set of shoreline shallow lakeshore dam sand body TII0 is developed in the mud-
stone section of Triassic TII oil group in Lunan oil field of Tarim Basin, which is deeply buried,
thin in thickness, fast in lateral variation, and difficult in reservoir carving. A comparative analysis
of multiple wells revealed that the thinly bedded TII0 sand body is positively correlated with the
thickness of the mudstone in the lower section of the thick TII oil formation, and the sedimentary
geomorphology is the main controlling factor for the development of the thinly bedded sand body
in this area. The pre-depositional micro-geomorphology of the TII0 formation was finely recovered
by a combination of well seismic, and several low bumps and shallow shoals were developed before
the deposition of the TII0 formation, and the sand bodies were mainly developed in the shallow
shoals formed by inheriting the Ordovician subduction channel background. Using the sedimen-
tary micro-geomorphology as a constraint, we constructed a phase-control model and carried out
seismic waveform inversion to characterize the spreading of the sand body of the 1–3 m TII0 minor
layer, and achieved the identification of this minor layer, and a number of wells implemented
accordingly were successful.

1 GENERAL INSTRUCTIONS

As an important type of lithologic reservoir with wide area, shallow recognition and low devel-
opment, the beach dam sandstone reservoir has great exploration and development potential
(Christopher & Brian 2005; Flores 1979; Heather & Davies 1985; Zhang et al. 2004; Zhou et al.
2017; Zhu et al. 1994) and is currently found in all major hydrocarbon-bearing basins. Compared
with other types of sand bodies, the Tanba sand body has thin reservoirs, poor lateral continuity,
high exploration difficulty (Gao 2015; Jia et al. 2007; Tang et al. 2015), relatively low research
degree, and is mainly concentrated in the east of China. In this paper, the TII0 beach dam sand
in the top lacustrine intrusion-higher system of the Triassic Karamay Formation in the Lunan oil
field of the Tarim Basin, which was poorly understood and not given much attention, is taken as
the research object. Using the information from drilling and logging and seismic data, a set of
identification methods for the deep buried thin beach dam sand in Lunan was explored based on
the development pattern of the positively correlated mudstone section and beach dam sand, and the

628 DOI 10.1201/9781003308584-89

research idea of controlling sand deposition by micro-geomorphology and predicting sand bound-
ary by phase-controlled inversion, which provides a reference and basis for its rolling development
and as a replacement exploration system for the old oil field in Lunan.

2 REGIONAL GEOLOGICAL OVERVIEW

The Lunan oil field is located at the northern edge of the Taklamakan Desert, and the regional
geological structure is located in the Lunan fault zone of the Tabei uplift in the Tarim Basin (Figure
1). The Lunan oil field is located in the northern part of the Tarbei region, which has entered the
evolutionary stage of large inland argillaceous lake basins since the Hercynian Epoch, and has
developed riverine, deltaic, and lacustrine deposits since the Mesozoic (Tang et al. 2015).

Figure 1. Location map of the study area.

The Triassic stratigraphy in the Lunan area was in the lacustrine period, and the Triassic stratigra-
phy shows a regressive river-controlled fan-delta-lake deposition with reduced percentage upward
conglomerate content, finer grain size, reduced sand-to-mud ratio, and weakened fluvial action
(Tang et al. 2015), and the submarine diversional channels are the main part of the Lunan fan-delta
deposition (Gu & He 1994; Sun & Peng 2007; Tang 2014). The Triassic system from the bottom
to top is the Lower Triassic Okhotsk Group, Middle Triassic Karamay Group, and Upper Triassic
Huangshanjie Group, among which the thick reservoirs (TII and TIII) developed in the middle and
lower part of the Karamay Group are the main oil and gas development sections in this area, but the
production has been decreasing rapidly in recent years and has entered the late stage of develop-
ment and the study of non-main replacement formations has attracted increasing attention. During
the comprehensive management of old wells, it was found that a set of thin sand TII0 with good
display was developed in the top lake intrusion-high system domain of the Karamay Formation in
individual wells, but the sand body is thin (1-3 m), deep (4800 m), scattered distribution and weak
response of seismic data, so the basis for its development on a large scale is not sufficient, and
there is an urgent need to conduct a fine study on it to clarify the distribution of the thin sand body,
an important type of lithologic reservoir with wide area, shallow

3 ANALYSIS OF MAIN CONTROL FACTORS

The TII0 minor layer was less studied in the previous period, and its sedimentary phase was not
clearly understood. On the basis of core observation and thin section identification, the depositional
environment of its shoreline shallow lake was determined by petro-mineralogical characteristics
and sedimentary structure, and then the depositional characteristics of its beach dam sand were
confirmed.

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 The deposition pattern of the beach dam phase is one of the hot spots in oil and gas field
exploration and development research. Scholars at home and abroad have concluded through the
study of modern beach dam deposition characteristics that topographic features have a certain
control on the formation of beach dams, and Xiaomin Zhu concluded (Zhu et al. 1994) that the
geomorphology of the original deposition period is directly related to the distribution of beach dam
sand bodies. By conducting a multi-well comparison in the study area, it was found that the TII0
minor layer was developed within a section of the TII oil formation shoreline shallow lake mudstone
at the top of the Klamath Formation (Figure 2), and the thickness was basically between 1-3 m.
Further analysis shows that the thickness variation of the shoreline shallow lake mudstone section in
the study area is positively correlated with the development of the TII0 minor layer, which basically
does not develop when the mudstone section is thin but develops when the mudstone section is
thick. For example, the thickness of the mudstone section in well LN3-3-8 reached 45 m, and
the well was drilled with 2.5 m of TII0 microlayer; the thickness of the mudstone section in well
LN2-23-4 was only 32 m, and the well was missing the TII0 microlayer. This positive correlation
confirms that micro-geomorphology is the main control factor of sand body development in this
area. This positive correlation further confirms that micro-geomorphology is the main control
factor of sand development in this area, and fine recovery of micro-geomorphology before TII0
deposition becomes key to predict the distribution of thin sand layers.

Figure 2. Comparative section of the Triassic TI∼TII oil group tie-in wells in Lunan oil field.

4 TII0 BEACH DAM SAND BODY IDENTIFICATION

4.1 Qualitative micro-geomorphology analysis of favorable areas

All Paleomorph recovery usually includes both tectonic recovery and stratigraphic recovery, and
the accuracy of geomorph recovery can be improved by combining 3D seismic data with high
lateral resolution and logging data with high vertical resolution (Gao 2015) The commonly used
steps of paleomorph recovery methods include finding residual thickness and compaction recovery.
The topography of the study area is relatively gentle, and there is no large-scale stratigraphic uplift
and denudation. According to the statistics of 91 wells, the sand-to-ground ratio of the shoreline
shallow lake mudstone section where the TII0 minor layer is located is less than 0.1, so the impact
of compaction correction on paleomorph recovery is relatively small.
The seismic data in the study area has a main frequency of 32 HZ , a stratigraphic velocity of
4600 m/s, and a 1/4 wavelength of 36 m, which is comparable to the thickness of the mudstone
section in this area, and provides reliable basic information for accurately portraying the thickness
of the mudstone section and carrying out the identification of TII0 sand body in the deep layer
of Lunan. On the basis of the whole-area well seismic calibration to determine the top-bottom
reflection characteristics of the mudstone section, fine interpretation is carried out; and the whole-
area drilling data are used to correct the thickness of the mudstone section obtained from the seismic
data, and finally a more realistic thickness of the mudstone section stratigraphy is obtained.

630
 The paleomorphology determines the supply channels and favorable unloading areas of the
material sources, which will have an important impact on the development of the sand body of the
beach dam. The study area has a relatively gentle geomorphology (Figure 3(a)), with a topographic
slope of less than 1◦ , and a total of six low bumps, which are located in the south of well 26, south
of well 12, south of well 2, north of well 3, south of well 4 and south of well 10. To the north of
the low bulge, the water body is relatively deep, and two major semi-shallow shoals are developed,
mainly the semi-shallow shoal in the north of Wheel South 2 wells and the semi-shallow shoal in
the north of Wheel South 4 wells. To the south of the low bulge, the terrain is gentle and several
gentle shallows are developed, which are the main sediment unloading areas.
The source of the beach dam sand body is mainly the adjacent delta or other shallow water sand
bodies, and the sediments in the study area are mainly from the north and northeast, among which
the northern delta is larger and more abundant (Tang 2014). The micro-geomorphic, drill and log
and core data were integrated to further subdivide the TII0 small layer sedimentary phase type
(Figure 3(b)), with the micro-geomorphic low bump as the boundary, the northern semi-shallow
beach area is closer to the source area, and is a delta frontal sediment, developing frontal diversion
channel sand body, with thick sand body; the southern gentle shallow beach area is a beach dam
phase sediment, developing thin beach dam sand, with thin sand body thickness, generally around
2 m, in the form of sheet and strip deposition.

Figure 3. Pre-depositional micro-geomorphology and the depositional phase plan of TII0 minor layer.

631
4.2 Quantitative identification of reservoirs
Based on the qualitative analysis of the favorable area and development pattern of the sand body of
TII0 beach dam using micro-geomorphology, the spatial spreading characteristics of the sand body
were quantitatively characterized through the construction of the phase-control model and seismic
waveform inversion. In the establishment of the initial model of seismic inversion, the TII0 small
layer sedimentary micro-geomorphology is involved in the model establishment as a constraint,
and the phase control model is constructed to control the lateral spreading of the sand body and
improve the lateral discrimination ability. On this basis, the seismic waveform inversion is applied
to achieve the quantitative identification of TII0 beach dam sand bodies in this area.
Figure 4(a) shows an east-west over-well seismic section of the Lunan Triassic. After flattening
the top of the TII mudstone, the pre-TII0 depositional microtopography can be approximately
recovered. As seen in Figure 4(a), there is a certain correspondence between the low convexity of
the TII0 pre-sedimentary microtopography and the Ordovician background. The low convexity of
Lunan 2, Lunan 3, and Lunan 4 corresponds to the early Ordovician buried hills, and the trench
sites on both sides of the subduction hills developed Lunan 206 and Lunan 3 shoals. Figure 4(b)
shows the phase control inversion section of the TII oil formation corresponding to Figure 4(a &
b) shows that the Triassic TII oil formation in the Lunnan oil field developed a 15-20 m thick
main sand body with a 30-50 m thick shoreline shallow lake mudstone, and a 1-3 m thick TII0
minor layer developed in the inner curtain of the mudstone section. The lamellar TII0 sand body
is developed in the gentle beach area of Lunan 3 in the microtopography, and the TII0 minor layer
is not developed in the low bump development area in the microtopography, which has a strong
correspondence with Figure 4(a).

Figure 4. East-west over-well seismic profile and phase-controlled inversion profile of the TII minor layer.

632
 Using the results of micro-geomorphology and phase control inversion, it is predicted that the
TII0 beach dam sand body has a favorable development area of 124 km2 , and the predicted thickness
of the sand body is 1-3m, which has a large rolling exploration potential; from the effect of the
implemented batch of drilling, the research idea of identifying the thin beach dam sand body by
combining geological and physical means of prediction and using micro-geomorphology to control
the sand and phase control inversion to control the margin is basically able to meet the actual. From
the results of the implemented batch of drilling, the research ideas of micro-geomorphic sand
control and phase-control inversion edge control are used to identify the thin beach bar sand body,
which can basically meet the demand of reservoir prediction for the actual production development
and provide a strong support for the efficient development of the beach bar sand body in the region.

5 CONCLUSION

The thin sand layer TII0 of the Triassic in Lunan oil field is deposited by beach dam, the thickness
of the shallow lake mudstone section on the shore is positively correlated with the development of
this sand layer, the micro-geomorphology is the main control factor of the development of beach
dam sand body in this area, the micro-geomorphology before the deposition of small layer TII0 is
finely recovered, and the research method of micro-geomorphology control sand and phase control
inversion control edge is adopted, which can realize the identification of 1-3 m thick beach dam
sand body. The results were applied to the peripheral rolling of Lunan oil field, and a number of
wells were successful, which realized the increase of storage and production in the old oil field.

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bar deposits, southwestern San Juan Basin, New Mexico [J]. AAPG Bulletin, 63(3): 451–452.
Gu, J Y & He, B. (1994). Study on Triassic fan delta sedimentation and reservoir in Lunnan area of Tarim
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[J]. Journal of Xi’an University of Petroleum (NATURAL SCIENCE EDITION), (1): 41–48.
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Tabei area [J]. Petroleum geology of Xinjiang, 36 (3): 299–303.
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Shangdian oilfield [J]. Daqing Petroleum Geology and development, 23 (6): 1–2.
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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Study of microbial huff-and-puff field test in Weixing oil field

Chunyou Wang
Qingxin Oilfield Development Co., Ltd., Heilongjiang, China

ABSTRACT: After a long run of water flooding recovery, the near well areas of the Weixing
oil fields were blocked by a large amount of colloids, asphaltenes, and paraffin, resulting in
yield decline of the oil wells. There is an urgent need to explore new technologies to mitigate
oil production decline and increase single well production. The results of microbial reservoir
adaptability evaluation indicate that the microbial huff-and-puff test is suitable for Weixing oil
fields. Eleven pilot test wells were selected according to the well selection principle, and one
strain of Bacillus subtilis with good compatibility with the reservoirs was selected, which could
metabolize biosurfactant and reduce the surface tension to 28.85 mN/m. The corresponding huff-
and-puff scheme is designed according to the production status, pay-zone thickness, treatment
radius, and porosity. After microbial huff-and-puff, it was effective in 10 wells, accounting for
90.91%. The daily fluid production rate was increased from 28.2 t/d before the huff-and-puff to
63.4 t/d after the operation and the oil production from 9.7 t/d to 25.0 t/d. The effect lasted for
240 days, accumulatively increasing oil production by 2048 tons and the input-output ratio reached
1:4.9. After the treatment, the bacterial concentration in the produced fluid rose significantly to
more than 107 cfu/mL, indicating that the injected microbial strain grew well in the target reservoirs
and had great oil-increasing potential.

1 INTRODUCTION

Microbial huff-and-puff technology involves injecting microbial fluid and nutrients into oil wells,
and uses microbial degradation and metabolism to remove bottom hole blockage resulting from
asphaltenes and paraffin and improve single well output (Wu et al. 2013; Zhu et al. 2006). This
method is a simple process, low cost, environmentally friendly, and reusable, which has been paid
more and more attention over recent years (Sen 2008; Wang et al. 2019 ). The main production
layer in the test area of Weixing oil field is Putaohua oil layer, with an average effective porosity
of 23.0%, average air permeability of 108.2 mD, and average temperature of 54.14◦ C, the average
viscosity of crude oil is 31.8 Mpa.s, the average freezing point is 34.0◦ C, the average wax content
is 22.5%, and the average gum content is 18.18%. The total salinity of formation water is 9800.31
mg/L, and the water belongs to NaHCO3 type. The reservoir has been developed by water injection
for a long time. Before microbial stimulation, the average daily oil production of a single well in
the test area was 1.18 tons, water cut was 75.73%, oil recovery was 17.28%, and the water drive
recovery was 32.41%, which is in the medium recovery degree and high water cut development
stage. Microbial huff-and-puff treatment measures are carried out for two types of wells, long-term
shut-down wells and low-efficiency wells: one is a well-developed reservoir, but the initial fluid
production is low or the current fluid production is gradually decreasing, and there is a phenomenon
of dynamic and static inconsistency. The other is oil well water injection due to poor efficiency
or elastic exploitation, the formation fluid supply capacity is seriously insufficient, affecting oil
output. Eleven production wells with low liquid yield, insufficient liquid supply, and high water
cut were selected for microbial huff-and-puff test, as shown in Table 1.

634 DOI 10.1201/9781003308584-90

Table 1. Parameters of test wells.
Well Layer Effective Daily fluid Daily oil Water
name thickness/m thickness/m production/t production/t cut/% Remark

W-325 1.2 1.2 2.0 1.4 32.0 Poor flow capacity

W-225 3.2 3.2 4.0 1.7 56.3 Elastic exploitation
W-3X11 9.6 7.0 5.3 1.2 76.6 Poor fault flank
water-flooding effect
W-121J 6.4 3.0 0.8 0.6 30.0 Poor flow capacity
W-9X11 5.4 5.0 0.7 0.6 16.0 Elastic exploitation
W-161J 12.6 10.0 3.2 0.4 86.2 Poor flow capacity
W-215 6.0 4.4 2.2 0.9 59.2 Poor flow capacity
W-130 6.0 3.8 2.4 0.6 75.9 Poor water flooding effect
W-136 10.2 4.6 6.3 1.4 77.4 Poor flow capacity
W-227 2.8 2.2 1.3 0.9 30.0 Elastic exploitation
W-025 8.6 3.2 5.8 0.3 95.4 Poor flow capacity

2 STRAIN SCREENING AND EVALUATION

Bacillus subtilis SL-2 was selected as the target strain from the strain library according to reservoir
temperature, formation water salinity, and oil properties of Weixing oil field test block. The strain
can produce lipopeptide surfactants, and the metabolites can significantly improve oil displacement
efficiency after acting with oil and reservoir rocks in the reservoir.

(1) Culture medium and culture conditions

Medium: sucrose 30.0g/L, NaNO3 3.0g/L, KH2 PO4 3.4g/L, K2 HPO4 H2 O 4.0g/L, MgSO4 7H2 O
0.6g/L, yeast powder 1.2 g/L; Trace element solution 5 mL.
Culture conditions: shaking table culture temperature of 37◦ C, rotation speed of 180 rpm/min,
period of 6 days, pH control at 6∼8.
(2) Experimental methods
The plate counting method (Braon 2006; Zhao et al. 2018) and microbial concentration were
used to test the oil-ring method (Wang et al. 2016; Youssef et al. 2004), which was further used
to test microbial metabolic lipopeptide surfactant concentration, and the interface tensiometer
FTA1000B was used to measure the surface tension of the target bacterial liquid.
(3) The matching between the target strain and the original strain
The results showed that the number of bacteria in formation water of Weixing oil field test
area was 102 -103 cfu/mL .The formation water is used to configure nutrient solution without
sterilization, inject target microorganisms, and test the growth of target microorganisms. After
two days of culture, the number of bacteria increased to 108 cfu/mL, indicating that the target
strain had a good match with the original microorganism.
(4) Surfactant yield evaluation
The production of lipopeptide surfactants of 12 strains of Bacillus, including SL-2, was mea-
sured by the oil-ring method, as shown in Figure 1.The results showed that the yield of
lipopeptide of SL-2 was significantly higher than that of other strains, reaching 3.29 g/L.
The change in surface tension of SL-2 strain before and after culture was measured. It was
found that the lowest value of liquid surface tension of SL-2 strain after culture could reach
about 28.85 mN/m.
(5) Crude oil emulsification effect evaluation
Unsterilized formation water was used to prepare the nutrient and add to the crude oil. It was
cultivated in a shaker for 10 days. The results showed that the SL-2 Bacillus subtilis crude
oil had a good emulsification effect on Weixing crude oil. After emulsification, the crude
oil particles were small and even. An ink-shaped uniform suspensoid could be made after

635
Figure 1. Comparison of lipopeptide production of different strains in the medium.

oscillation, in which oil and water are completely miscible, without oil and water boundary.
After the emulsion was rested, oil and water was not stratified, and there was no crude oil on
the bottle wall. The emulsification effect was comprehensively rated as Grade 5 (Huang 2014).

3 MICROBIAL HUFF-AND-PUFF PROCESS DESIGN AND INJECTION OF MICROBIAL

SOLUTION

The injection amount of microbial huff-and-puff is related to the effective thickness of oil layer,
treatment radius, reservoir porosity, etc., and the injection amount of microbial liquid was calculated
according to formula 1 (Sun et al. 2017):

Q = πr 2 H φ (1)

Where r is the processing radius (m); H is reservoir thickness (m); φ is reservoir porosity (%).
Organic pollutants in oil wells mainly occur near the well zone, and the test oil well is a medium-
permeability reservoir, so the radius of the oil layer for microbial single well treatment is set at
about 5 m, such that microbes can have sufficient space to grow and reproduce in the underground
oil layer and complete various physiological metabolic activities.
The injection steps are as follows: (1) Stop the production operation, empty the air in the annular
casing, clean the oil well thoroughly, and remove dead oil and other pollutants from the wellbore;
(2) Normal production according to the original standard, after the oil well liquid production and
water cut normal construction; (3) Test injection with clean water to check whether there is leakage;
(4) Inject preposition liquid, bacteria liquid, and displacement liquid in sequence; (5) Shut down the
well for 10 to 30 days, after opening the well according to the original working system production.
From July 22, 2019 to October 27, 2019, microbial huff-and-huff construction was carried out
on 11 oil wells successively, and microbial solution injection was successfully completed in 11
wells according to the design scheme. Then, the shutdown time varied from 10 to 30 days, and
production was carried out according to the original oil production system after well opening. The
production fluid of the oil well is taken to monitor the production fluid, water content, crude oil
composition, and microbial concentration in the solution.

636
4 FIELD TEST RESULTS OF MICROBIAL HUFF-AND-PUFF

4.1 Stimulation profile

After microbial huff-n-puff operations, the 11 wells showed a good effect of huff-n-puff plugging
removal. After the resumption of production, the fluid production increased greatly, among which
10 wells had a significant effect of oil increase, and the effective rate reached 90.91%. The fluid
production of the 11 wells increased from 34.0 t/d of before huff-n-puff and stimulation to 72.4
t/d after the stimulation, with an increase of 38.4 t/d; oil production increased from 10.0 t/d before
huff-n-puff stimulation to 25.2 t/d after the stimulation, increasing by 15.2 t/d; as of May 2020, the
11 wells had added 2048 tons of cumulative oil (Table 2).

Table 2. Microbial huff-and-puff test well production data.

Before huff-n-puff After huff-n-puff

Well Daily fluid Daily oil Water Daily fluid Daily oil Water Cumulative oil
name production/t production/t cut/% production/t production/t cut/% increase/t

W-225 4.0 1.7 56.3 8.7 4.8 45.0 267

W-3X11 5.3 1.2 76.6 13.9 4.2 70.0 420
W-325 2.0 1.4 32.0 5.6 3.9 30.0 452
W-9X11 0.7 0.6 16.0 1.5 1.4 5.0 104
W-121J 0.8 0.6 30.0 1.4 1.1 20.0 138
W215 2.2 0.9 59.2 5.4 3.5 34.9 162
W161J 3.2 0.4 86.2 4.7 0.6 81.0 90
W130 2.4 0.6 75.9 2.8 1.4 50.9 141
W136 6.3 1.4 77.4 14.3 2.1 85.0 178
W227 1.3 0.9 30.0 2.0 1.7 14.0 86
W025 5.8 0.3 95.4 9.0 0.2 98.0 10
Total 34.0 10.0 70.6 72.4 25.2 65.2 2048

The stimulation results were divided into four categories. First, two wells (W-325 and W-3X11)
had the best stimulation results. The daily oil production of well W-325 increased from 1.4 t before
stimulation to 3.9 t. After nearly 8 months of well opening, the cumulative oil production increased
by 452 t, with the best stimulation effect. The daily oil production of well W-3X11 increased from
1.2 t before stimulation to 4.2 t, and the cumulative oil production increased by 420 t. Second, there
are five wells with good stimulation effect, and the cumulative oil increase is 138∼267t. Third,
the oil increase effect of the three wells is moderate, the main reason is the formation pressure is
low, the liquid supply is insufficient, the liquid quantity increase is not obvious, the oil increase is
86∼104 t. Fourth, the effect of one well is poor, the main reason is high water cut; water cut did
not decrease after huff-and-puff.

4.2 Results of microbial monitoring in oil well produced fluid

The concentration of produced liquid bacteria was monitored in typical wells, and the results of
microbial detection in well W-325 are shown in Figure 2. Microorganisms increased by two orders of
magnitude after huff-and-huff compared with those before injection, indicating that the target strain
could proliferate in the reservoir and had a good adaptability to the actual reservoir environment of
Weixing oil field. In the early stage, nutrients were abundant and bacterial concentration increased
considerably. In the early stage of production, the produced fluid was mostly water injected in the
early stage and displacement fluid, resulting in high water content (about 90%) and fluctuating
the concentration around 107 cfu/mL. After that, the number of bacteria increased sharply, and
the concentration reached the peak of 8.75×108 cfu/mL on August 20 (one month after injection).
At this stage, microorganisms have enough nutrients to metabolize and reproduce, the daily fluid

637
volume tends to plateau, and the water content drops extremely fast (the water content drops to
about 30%). The overall trend of bacterial concentration in the 10 wells was similar to that in well
W-325.

Figure 2. The variation tendency of bacterial concentration in produced fluid of the test well (A: Before
injection; B: Well startup; C: One month; D Two months; E Three months).

4.3 Crude oil composition in huff-n-puff wells

Considering the huff-n-puff well test results, it can be seen that the microbial species can grow
and reproduce well under reservoir conditions, and the stimulation effect of the bacterial species
is good. At the same time, the crude oil can be effectively degraded after they are acted on the
crude oil, improving the fluidity of the crude oil and making the proportion of heavy components
in the crude oil decreased. The proportion of light components is increased and the surface tension
is obviously reduced. Overall, the oil displacement system shows a good oil displacement effect.

Figure 3. Changes of crude oil components in the test oil well.

5 CONCLUSIONS

Based on the results and discussions presented above, the conclusions are obtained as below:
(1) Microbial huff-and-puff and stimulation technology achieved remarkable effects in low pro-
duction and low efficiency oil wells. The output of 10 out of 11 oil wells increased by 2,048 t,
and the input-output ratio reached 1:4.9, showing good economic benefits.
(2) After microbial huff-and-huff, the proportion of heavy components in crude oil produced by
oil wells decreases, while the proportion of light components increases, which can effectively
degrade crude oil and improve the fluidity of crude oil.

638
(3) Microbial concentration in the oil well is greatly improved after huff-and-huff, indicating that
the injected functional bacteria have good compatibility with the actual environment of the
target reservoir and have the potential of long-term oil increase.
(4) Microbial huff-and-huff can effectively remove the blockage of gum, asphaltene, and wax near
the well zone. It is suggested to expand the application scale of microbial huff-and-huff and
oil displacement in similar low-yield and low-efficiency wells.

ACKNOWLEDGMENTS

Thanks for the support and help from Institute of Fluid Dynamics &flow in porous media, Research
Institute of Petroleum Exploration and Development, CNPC, in microbial species selection and
field monitoring.

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improve heavy Oil Recovery. Energy & Fuels, 31(12): 13724–13732.
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Oilfield . Microbiology Bulletin, 40(8): 1478–1486.
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by diverse microorganism. Journal of Microbiological Methods, 56(3): 339–347.
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enhance oil recovery through in-situ biosurfactant production without air injection. Bioresource Technology,
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639
 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Prediction of the reservoir fluid mobility by array-resistivity

logging and its application in normalization of the seismic
fluid mobility attribute

Weibiao Xie
State Key Laboratory of Petroleum Resources and Prospecting, China University of Petroleum (Beijing),
Beijing, China
College of Geosciences, China University of Petroleum (Beijing), Beijing, China
PetroChina Jidong Oilfield Company, Tangshan, Hebei, China

Fanglu Wang & Qiuli Yin

PetroChina Jidong Oilfield Company, Tangshan, Hebei, China

Guiwen Wang
State Key Laboratory of Petroleum Resources and Prospecting, China University of Petroleum (Beijing),
Beijing, China
College of Geosciences, China University of Petroleum (Beijing), Beijing, China

ABSTRACT: The reservoir fluid mobility is essential for reservoir simulation, development,
and production. It is a crucial parameter comprehensively reflecting rock permeability and fluid
properties. In this paper, the seepage process of mud invasion into the formation around the
borehole is analyzed and the characterization model of reservoir fluid mobility is derived. Based
on the above, the reservoir fluid mobility estimation method computed from the array-resistivity
logging is investigated. The new method is verified in Nanpu sag and the results show that the fluid
mobility calculated by the new method is in good agreement with MDT tested mobility. Further, the
new method calculated fluid mobility is applied to normalize the reservoir fluid mobility attribute
computed from seismic data. The result shows that the normalized seismic fluid mobility can
improve the accuracy of high-quality reservoir prediction. The estimation method of fluid mobility
provides a new approach for the application of array resistivity logging and has good application
prospects in seismic reservoir prediction, reservoir evaluation, engineering and production.

1 INTRODUCTION

The seepage flow characteristics effectively respond to the flowing capacity of the pore fluids. It is
essential for reservoir simulation, development, and production. The seepage flow characteristics’
main parameter is the rock permeability and fluid mobility (Amaefule et al. 1993). Many permeabil-
ity calculation models and methods have been investigated, for example, the permeability-porosity
model, SDR model and Timur model (Herron 1987; Kozeny 1927; Timur 1968). Many researchers
have proposed methods of permeability evaluation by log responses (Ghasem et al. 2014; Korjani
et al. 2016), such as stoneley wave (Biot 1962; Tang Xiaoming et al. 2009), nuclear magnetic
resonance (JianPing Yan et al. 2017; Liu Mi et al. 2018), electrical imaging logging (Qin Ruibao
et al. 2015; Xu Chunming et al. 2006), etc.
However, the pore fluids’ flowing capacity in the formation is affected by pressure, fluid proper-
ties, and other factors. The rock permeability only reflects the static seepage capacity of the rock.
How to accurately predict the flowing capacity is still a challenge. The reservoir fluid mobility can
comprehensively reflect rock permeability and fluid properties (Cai Jianchao 2019). Many scholars

640 DOI 10.1201/9781003308584-91

have introduced it into the flowing capacity evaluation (Lisha Sheng 2020). Guillen studies the
controlling effect of pore size on pore fluid fluidity (Guillen et al. 2012). Patel quantifies the effect
of capillary number, contact angle and viscosity ratio on fluid mobility of porous media (Patel
et al. 2019). Liu Xiaoping and Weichao Tian discuss the influences of pore structure types on
fluid mobility by experimental data (Liu Xiaoping et al. 2020; Weichao Tian et al. 2020). These
research reports only discuss the influencing factors of fluid mobility and do not give the calculation
method. The reservoir fluid mobility can be directly measured by the modular formation dynamics
tester tool (MDT tool) (Umrani et al. 2020; Villegas et al. 2020). The application of this method
is limited because of the time-consuming and sample discontinuity. Zhubayev presents a method-
ology of fluid mobility from integrated VSP and logging data (Zhubayev et al.2013). Methods of
fluid mobility prediction by seismic data have been carried out, such as synchro squeezed wavelet
transforms (Yajuan Xue et al. 2018), the reflection coefficient of the dominant frequency content
(Zhang Yijiang et al. 2020), the incidence angle of frequency-dependent AVO (Liao J. et al. 2020),
frequency of seismic velocity (Batzle et al. 2006; Zhang Shengqiang et al. 2016), Bayesian seismic
inversion (Luo Yaneng et al. 2018; Hilterman et al. 2007), etc. However, without calibration, the
relative error of the fluid mobility computed from these methods is large.
At present, the prediction method of fluid mobility with resistivity logging is seldom. The
array resistivity logging (array induction logging and array laterolog logging) provides resistivity
information of surrounding beds in different investigation depths (Wang Fei et al. 2016). The
resistivity of the uninvaded zone and the invaded depth can be inverted from array resistivity
analysis (Alpak et al. 2006; Zhao Peiqiang et al. 2019).
In this paper, we analyze the seepage process of mud invasion into the formation around the
borehole and obtain the characterization model of reservoir fluid mobility. According to the model,
we investigate the fluid mobility determination method and the critical parameters in the new
method can be computed from the array-resistivity logging. The new method is verified by MDT
tested mobility, and the calculated fluid mobility is applied in the normalization of seismic fluid
mobility in Nanpu sag. The results show that the estimation method of fluid mobility provides a new
approach for the application of array resistivity logging and improves the accuracy of high-quality
reservoir prediction using seismic data.

2 THE ESTIMATION METHOD OF FLUID MOBILITY

2.1 The seepage process of mud invasion into the formation around the borehole
With the invasion of drilling fluids into permeable rocks, the invaded fluid can displace some or
all of the connate water or hydrocarbon present. It is assumed that the formation is isotropic and
homogeneous. Pore fluids have compressibility. The seepage process of mud invasion into the
formation around the borehole meets with Darcy’s law (Darcy 1856; Song Rui et al. 2019).
The fluid flow through the rock section can be depicted as

KA
p
Q= (1)
µ

Where Q(m3 ) is the volume of the fluid flow. A(cm2 ) is the pore area of the rock section. K(md) is
the rock permeability.
p(mPa) is the pressure of the rock section. µ(cp) is the fluid viscosity.
Generally, the rock permeability is a constant. It is assumed that the mud filtrate and the formation
fluid radially flow into the formation (Xie W et al. 2020), the fluid flow through the rock section
in the radial distance r can be expressed as

K dp
q = 2πrh (2)
µ dr

641
Where q(m3 ) is the volume of the fluid flow. r(m) is the radial distance from the borehole. h(m) is
the reservoir thickness. p(mPa) is the pressure.
Figure 1 shows the radial formation profile in the vertical borehole direction. Smf is the ratio of
the mud filtrate volume radially flowing through the rock section in the radial distance r and the
total pore volume. It is defined as
qmf
Smf = (3)
2π rhϕdr
Where qmf (m3 ) is the volume of the mud filtrate radially flowing through the rock section in the
radial distance r. ϕ(v/v) is the total porosity.
Figure 2 shows the radial variance of Smf computed by the step response model. Smf is the
function of r. The mud filtrate radially flowing through the rock section in the radial distance r can
be written as
qmf = 2πrhϕSmf (r)dr (4)

Figure 1. The radial formation around the bore- Figure 2. The schematic diagram of Smf by the step
hole. response model.

The volume of the mud filtrate radially flowing through the rock section in the radial distance r
and the volume of the formation fluid radially flowing out of the rock section are equal, that is, the
integral of Eq. (2) equal to the integral of Eq. (4).

K dp
∫2π rh = ∫2πrhϕSmf (r)dr (5)
µ dr

The definition of fluid mobility is the ratio of the formation permeability and fluid viscosity.
According to Eq. (5), fluid mobility can be obtained

K ϕ∫Smf (r)rdr∫ 1r dr
= (6)
µ ∫dp

Using the second-order step response model to simulate the radial variance of Smf . Then Eq. (6)
reduces to
K ϕ
= Smf (ri ) r 2 ln (ri /r0 ) (7)
µ p
Where ri is the radius of the invasion zone. r0 is the radius of the borehole r 2 = ri2 − r02 . Smf (ri )
is the volume ratio of the mud filtrate in the invasion zone.
In order to reduce the calculation error, the regional coefficient is introduced into Eq. (7).

K ϕ
= Smf (ri ) r 2 ln (ri /r0 ) (8)
µ C p

642
 In Eq. (8), C is the regional coefficient and it can be obtained by the comparison of the MDT
tested mobility and the calculated mobility. How to accurately calculate the volume of the mud
filtrate in the invasion zone Smf (ri ) is the key in reservoir fluid mobility determination.

2.2 The estimation method of fluid mobility computed from array-resistivity logging
The rock is assumed to be hydrophilic. The pore fluids are divided into two parts, irreducible fluids
and moveable fluids. And irreducible fluids include clay irreducible water and capillary irreducible
water; moveable fluids include moveable water, oil and gas. Basing on this rock volume model and
the Archie equation, the three water conductive model is derived (Lihua Zhang et al. 2010; Xiuwen
Mo et al. 2001).
mf
σt = ϕf Swf
n
σwf + ϕwi
mi
σwi + ϕwc
mc
σwc (9)
Where σt is the conduction of the uninvaded zone. Swf is the ratio of the moveable water and
the moveable fluids. ϕf is the porosity of the moveable fluids. ϕwi is the porosity of the capillary
irreducible water. ϕwc is the porosity of the clay irreducible water. n is the saturation factor. mf is the
cementation factor of the moveable water. mi is the cementation factor of the capillary irreducible
water. mc is the cementation factor of the clay irreducible water. σwf is the conductivity of the
moveable water. σwi is the conductivity of the capillary irreducible water. σwc is the conductivity
of the clay irreducible water.
In Eq. (1), Swf can be calculated by

Sw − Sirr
Swf = (10)
1 − Sirr

Where Sw is the total water saturation. Sirr is the total irreducible water saturation.
In the mud invasion portion around the borehole, the formation conduction can be obtained by
mf
σts = ϕf Szfn σmf + ϕwi
mi
σwi + ϕwc
mc
σwc (11)

And 
wz −Sirr
Szf = S1−S irr
ϕ −ϕ (12)
Swz = 1 − f ϕ mf

Where σts is the conduction of the invasion zone. ϕmf is the mud filtrate volume in the invasion
zone. σmf is the conduction of the mud filtrate. Swz is the total water saturation of the invasion zone.
Szf is the total moveable water saturation of the invasion zone.
Eq. (1) minus Eq. (11) yields
mf
σ = σt − σts = ϕf n
Swf σwf − Szfn σmf (13)

According to Eq. (13),


σwf σ
ϕmf = ϕ (1 − Sirr ) n Swf
n
− mf (14)
σmf ϕf σmf

In the seepage process of mud invasion into the formation around the borehole, the increasing
volume of mud filtrate equals the decreasing volume of the formation fluids. That is

ϕmf n σwf σ
Smf (ri ) = = (1 − Sirr ) n Swf − mf (15)
ϕ σmf ϕf σmf

643
 Inserting Eq. (4) and Eq. (5) into Eq. (8) gives
.
/# $
K ϕ / Sw − Sirr n σwf σt − σts 2
= (1 − Sirr ) 0
n
− mf ri − r02 ln (ri /r0 ) (16)
µ C p 1 − Sirr σmf ϕf σmf

In Eq. (6), Sw , σt , σts , ri can be diverted from the array resistivity logging . ϕ , ϕf and Sirr can
be obtained from NMR logging analysis. Other parameters C, p, n, σwf , σmf , mf are regional
constants. The parameter p can be estimated from the formation pressure gradient(FPG), the
drilling fluid density and formation depth.
According to Eq. (6), the estimation method of fluid mobility computed from array-resistivity
logging is investigated.

3 VERIFICATION

The new methodology is applied in Well NPX to calculate the fluid mobility in Dongying Formation
of Nanpu sag, China. The fluid mobility calculated using Eq. (6) and MDT tested mobility are shown
in Figure 4. And parameters of Eq. (6) are shown in Table 1. From track 1-10 includes conventional
well logging, array induction logging, array induction logging inverted uninvaded zone resistivity,
array induction logging inverted invaded depth, caliper curve, NMR logging T2 spectrum, NMR
logging calculated clay irreducible water, NMR logging calculated capillary irreducible water,
NMR logging calculated movable water, NMR logging calculated permeability, the new method
calculated fluid mobility, MDT tested fluid mobility.

Table 1. Parameters of Eq. (16).

C n σwf σmf mf

1.1 2 2.2 1.6 1.75

Figure 5 shows the comparison between the computed mobility and the MDT tested mobility. The
goodness of fit is 0.9232. The result indicates an excellent agreement between the fluid mobility
calculated using the new model in this paper and the parameter provided by MDT tested data.
Tracks from left to right include, Track 1-3: natural gamma-ray logging (GR: GAPI)/spontaneous
potential logging (SP:MV), depth(meters), acoustic-wave slowness logs (AC: us/m)/ bulk density
(DEN: g/cm3 )/ neutron porosity (CNL:%), Track 4: Array induction logging (M2R9/ M2R6/
M2R3/ M2R2/ M2R1: OHMM), Track 5:the invaded depth inverted from array induction logging
(RI:CM)/ caliper curve (CAL:CM), Track 6: NMR logging T2 spectrum (NMR.TA: ms), Track
7: clay irreducible water computed from NMR logging (PORWC:V/V) / capillary irreducible
water computed from NMR logging (PORWI:V/V) / movable water computed from NMR log-
ging(PORF:V/V), Track 8: permeability calculated from NMR logging (NMR.PERM:MD), Track
9: the new method computed fluid mobility(MOB: md/cp)/ MDT tested fluid mobility(FTL.MOB:
md/cp).

4 APPLICATION OF THE SEISMIC FLUID MOBILITY NORMALIZATION

Fluid mobility is an important seismic attribute in high-quality reservoir prediction (Batzle et al.
2006). The reservoir thickness, range and direction can be characterized by seismic section based
on the seismic fluid mobility (Zhubayev et al. 2013). However, the wide range of the fluid mobility
values calculated from seismic data always leads to the low accuracy of distinguishing reservoir
from non-reservoir (Shengqiang Zhang et al. 2016; Yingrui Ren et al. 2013). In order to improve the

644
Figure 3. Application in well NPX (2575m–2750m).

high-quality reservoir prediction by seismic section based on the seismic fluid mobility, the fluid
mobility calculated from array-resistivity logging is used to normalize the seismic fluid mobility.
Figures 6 and 7 are fluid mobility based seismic sections of Dongying Formation, in the X
study area of Nanpu Sag, Huanghua Depression, China. The well logging in seismic sections is the
calculated fluid mobility by array-resistivity logging and it has been verified by MDT. The value
of fluid mobility increases from left to right. And reservoir has a high fluid mobility value. The
agreement between the reservoir thickness derived from the seismic section and that indicated by
the new method calculated fluid mobility is used to determine the reservoir prediction accuracy.
Figure 6 shows the seismic section intersecting well x61 and well x60 based on the seismic
fluid mobility. In Figure 6, it can be seen that the reservoir thickness of well x60 and well x61
characterized by seismic fluid mobility is in low coincidence with the formation thickness indicated
by the new method calculated fluid mobility. The agreement rate is 50.1%. This will result in a
large misleading in drilling location selection, development plan.
Figure 7 shows the seismic section intersecting well x61 and well x60 based on the normalized
seismic fluid mobility. In Figure 7, Well X60 is the standard well and Well X61 is the verification

645
Figure 4. The comparison between the computed mobility and the MDT tested mobility.

Figure 5. High quality reservoir prediction of the seismic section intersecting well x61 and well x60 based
on the seismic fluid mobility.

well. The seismic fluid mobility data is standardized by fluid mobility data of well X60. It can
be seen that the seismic section differs greatly from Figure 6, and the reservoir thickness of Well
X61 characterized by normalized seismic fluid mobility is in good coincidence with the formation
thickness indicated by the new method calculated fluid mobility. The agreement rate is improved
to 83.3%.

5 DISCUSSION AND FUTURE WORK

In Figure 5, some calculated mobility has a deviation with MDT tested data, mainly caused by
three reasons. (1) The logging data error, (2) the error of the MDT tested mobility caused by the
instability during MDT testing, (3) the depth mismatch between MDT tested data and the logging
data.
As the new method is based on the seepage process of mud invasion into the formation around
the borehole, the new method can not be applied in the formation with no or very little low mud
invasion, such as tight reservoir, shale, etc. And when the array resistivity logging can not accurately
obtain the resistivity information of formation, the new method can not calculate the fluid mobility.

646
Figure 6. High-quality reservoir prediction of the seismic section intersecting well x61 and well x60 based
on the normalized seismic fluid mobility.

Comparing Figure 6 with Figure 7, the accuracy of high-quality reservoir prediction is improved
after the seismic fluid mobility normalized by the new method calculated fluid mobility. To further
improve the accuracy of high-quality reservoir prediction based on seismic section, the following
work should be carried out: (1) normalization of the seismic fluid mobility data by standard wells
whose fluid mobility data is verified and calibrated by MDT logging data, (2) normalization of the
seismic fluid mobility data by multi-standard wells in the same research work area, (3) improvement
of the signal-to-noise of seismic data, (4) the environment and borehole corrections of logging data.
Further research directions and subjects concerning the reservoir fluid mobility and reservoir
assessment may be anticipated in:
a. Reservoir production prediction is essential in the study of reservoir exploitation schemes and
construction design. The new method in the paper can provide reliable fluid mobility for reservoir
production prediction.
b. Flowing property of pore fluids is critical in reservoir quality evaluation, and fluid mobility is
an indicator parameter of reservoir pore fluid flowability. The reservoir quality evaluation based
on fluid mobility is one of the following research directions.
c. When reservoir permeability is small, the fluid mobility is mainly controlled by the pore fluid’s
viscosity. As the viscosity of oil and water differs greatly, the fluid property can be indicated
when the reservoir permeability is known.
d. According to seismic sections based on normalized seismic fluid mobility, the regional variation
law of reservoir fluid mobility in the study area is obtained, which provides basic data for regional
geological research (Xie W et al. 2021).

6 CONCLUSION

Based on the results and discussions presented above, the conclusions are obtained as below:
(1) The reservoir fluid mobility comprehensively reflects rock permeability and fluid properties.
It can effectively respond to the reservoir flowing capacity.
(2) The seepage process of mud invasion into the formation around the borehole is simplified as a
steady flow system. And an estimation method of fluid mobility computed from array-resistivity
logging is established.
(3) The new methodology is verified by the MDT tested mobility in Nanpu sag. The result indicates
an excellent agreement between the fluid mobility calculated using the new model and MDT-
tested data.

647
(4) The seismic fluid mobility can be normalized by the new method calculated fluid mobility, and
the accuracy of high-quality reservoir prediction is improved.
(5) The estimation method of fluid mobility computed from array-resistivity logging can pro-
vide continuous information on fluid mobility and has good application prospects in seismic
reservoir prediction, reservoir evaluation, engineering and production.

FUNDING

This work was financially supported by the National Natural Science Foundation of China(No.
41872133).

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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Significance of deep carbon cycle in subduction zone to the

development of geological carbon neutralization

Zhenping Tang, Tingting Wang, Xuan Ren, Chunxia Yi, Jingping Yu,
Danping Hou & Haiyang He∗
Hunan Key Laboratory of Rare Metal Minerals Exploitation and Geological Disposal of Wastes,
University of South China, Hengyang, China
School of Resource Environment and Safety Engineering, University of South China,
Hengyang, Hunan, China

ABSTRACT: About 90% of the earth’s carbon is distributed in the deep part of the earth, and the
lithospheric carbon pool occupies most of 90%. Although the carbon content of the lithospheric
carbon pool is the highest, the research methods are not mature enough. The stability of methods
such as mineral carbon sinks, soil carbon sinks, and karst carbon sinks, as well as the future
development direction, are issues that need to be solved urgently. The subduction zone is the
link between the earth’s surface and the earth’s deep system, and it is also an essential place
for material exchange between the earth’s surface and the earth’s deep system. Combined with
previous studies, this article briefly summarizes the deep carbon cycle process and restrictive
factors in the subduction zone, as well as the decarburization mechanism and carbon sequestration
process of the subduction zone. The decarburization mechanism of the subduction zone mainly
includes metamorphic reaction decarburization, fluid dissolution decarburization, melting action
decarburization, and redox reaction decarburization, The carbon in the subduction zone will not all
leave the subduction zone, and part of it will follow the subduction zone into the deep part of the
earth, which is the process of carbon sequestration. The deep carbon cycle in the subduction zone
is a small step to promote a more mature geological carbon sink, which needs to be further studied.

1 INTRODUCTION

The earth is a complex interlocking system formed by interacting the biosphere, atmosphere, hydro-
sphere, and lithosphere with humans. The carbon cycle is divided into the earth’s surface carbon
cycle and the earth’s deep carbon cycle. The simple model diagram is shown in Figure 1. Mag-
matism and subduction are important entry points for opening the deep carbon cycle. The tectonic
effects of slab subduction limit the exploration of the geodynamic mechanism (He 2021, He 2020,
He 2021), and the slab subduction also has a profound impact on carbon migration. Carbon element
is distributed and uneven in each circle. With the movement of the earth and a series of evolution,
carbon element is also constantly changing in the biosphere, hydrosphere, and lithosphere. In
short, due to the law of conservation of material energy, the total carbon content is constant (Xie
2021, Zhang 2021, Tong 2021). The carbon cycle plays a vital role in exchanging material and
energy between the various circles. With the increase of carbon emissions, the CO2 content in the
atmosphere becomes higher and higher, making the carbon neutral situation more severe.

∗ Corresponding Author: [email protected]

650 DOI 10.1201/9781003308584-92

Figure 1. Carbon cycle pattern diagram.

2 CARBON CYCLE IN SUBDUCTION ZONE

The carbon cycle has been studied by many scholars at home and abroad. Still of it is concentrated in
the shallow part of the earth’s surface, unlike the lithospheric carbon cycle that penetrates the deep
part of the earth’s surface. The carbon cycle of the lithosphere is longer, even as long as millions of
years, and it plays a key role in the balance of the carbon cycle for a long time (Zhang 2019). Plate
subduction will cause a low degree of partial melting of subducting slabs carrying carbonates in the
upper mantle to produce carbon dioxide-enriched carbonate melts, causing the carbonate-carrying
parts to separate from the subducting slabs. In the separated part, the carbonate-containing slabs
reacted with the reducing FeO due to the oxidation environment of the upper mantle to form the
allotrope of carbon-diamond, which fixed the carbon in the upper cover in the form of diamond.
Some of them participate in the melting process and release carbon dioxide to the surface due to
the decarburization reaction. Some scholars’ research on carbon cycle influencing factors is shown
in Table 1.

Table 1. Subduction zone carbon cycle influencing factor.

Impact factor Source

Temperature Woodland, 2003; Rajdeep Dasgupta, 2006; Stefano Poli, 2009; Hammouda T, 2010;
Arno Rohrbach, 2011; H M Zhang, 2012; LP Liu, 2014; L F Zhang, 2017; D T He, 2017;
Y S Liu, 2019; J C Wei, 2020
Pressure Woodland, 2003; Rajdeep Dasgupta, 2006; Stefano Poli, 2009; Hammouda T, 2010;
Arno Rohrbach, 2011; H M Zhang, 2012; LP Liu, 2014; L F Zhang, 2017; D T He, 2017;
Y S Liu, 2019; J C Wei, 2020
Oxygen fugacity Woodland, 2003; Arno Rohrbach, 2011; H M Zhang, 2012; LP Liu, 2014;
L F Zhang, 2017; Y S Liu, 2019

2.1 The process of decarburization in the subduction zone

2.1.1 Decarburization
Studies have found that during the plate subduction, the increase in temperature and pressure is con-
ducive to the metamorphism of carbonate and silicate minerals to release CO2 , and a large amount

651
of fluid H2 O will be discharged at the same time. For example, CaCO3 +SiO2 →CaSiO3 +CO2 , the
finally released CO2 is released into the atmosphere through magmatism. The metamorphic and
decarburization reaction during plate subduction is mainly controlled by temperature, pressure,
and the composition of subducted materials. Under the action of thermal subduction, dehydration
reaction occurs at the pre-arc position, but the decarburization reaction is limited. Under the action
of cold subduction, neither dehydration nor decarburization will occur in the oceanic crust. In
addition, the study of the cold subduction zone of the Tianshan Mountains in southwestern China
found that no CO2 was released during the metamorphic reaction, which further indicated that there
might not be a pure metamorphic CO2 removal reaction during the low-temperature cold subduc-
tion metamorphism. The exception is that the clay-rich argillaceous limestone has almost all carbon
and water released at the pre-arc position under high-temperature conditions. Through the study
of altered basalt, it is found that under the high temperature and low-pressure environment of the
initial stage of the young subducting oceanic crust, significant metamorphic decarbonization will
occur, under normal circumstances, the metamorphic decarbonization reaction of the subducted
altered oceanic crust is unlikely to occur (Liu 2019; Wei 2020; Zhang 2017; Zhu 2021). In short,
the process of metamorphism and decarburization is not only related to temperature, pressure, and
material composition of subduction zones, but also related to the rate of plate subduction. The
faster the plate subduction rate is, the lower the plate temperature is and the weaker the meta-
morphic decarbonization reaction is. The plate subduction rate is slow, and the higher the plate
temperature is, the stronger the metamorphic decarbonization reaction is. It is consistent with the
temperature above effect on the carbon cycle of the subduction zone. Finally, the proportion of
pure metamorphic decarburization reactions in the metamorphic process of subduction zones with
different geothermal gradients is still unclear, and further research is needed.

2.1.2 Fluid dissolution decarburization

The amount of CO2 released by pure metamorphic reaction decarbonization mechanism during plate
subduction is limited, which is far insufficient to match the amount of CO2 emitted by magmatic
eruption, indicating that there are other decarburization mechanisms during the subduction process
to balance the amount of CO2 discharged by magmatism. Through previous studies, the current
discussion is that a large amount of CO2 is brought to the surface through the dissolution of fluids
during the subduction process. Combined with the field petrology study, it is further found that there
are diamond-containing fluid inclusions in garnet, and HCO− 3−
3 and CO2 plasma are found in the
fluid, which further confirms that carbonate minerals can be dissolved to form HCO− 3−
3 and CO2 and
other carbon-containing fluids during the metamorphism of subduction zone. Carbon-containing
fluids such as HCO− 2−
3 , CO3 (Liu 2019; Wei 2020; Zhang 2017, 2019; Zhu 2021), and calculated by
mass balance, decarburization by dissolution is about ten times the amount of decarburization by the
metamorphic reaction. During slab subduction, metamorphism will release a large number of fluids.
These fluids dissolve a large amount of carbonate minerals during the migration process. Therefore,
the mechanism of dissolution and decarbonization can provide sufficient carbon for island arc
magma. In addition, experiments have proved that most of the carbonate in the subduction zone is
dissolved by the fluid and the decarburization reaction occurs, which also explains the problem that
the amount of CO2 released by the metamorphic reaction in the subduction zone is not enough to
balance the amount of CO2 emitted by magmatism (Zhu 2021). In the aforementioned subduction
metamorphism process, carbonate minerals undergo metamorphism and transform into carbonate
mineral phases. Whether the carbonate minerals and carbonate mineral phases will be different
under the dissolution of subduction zone fluids requires further study.

2.1.3 Decarburization by melting

During plate subduction, the temperature increases with the increase of geothermal gradient. When
the temperature exceeds the melting temperature of carbonated rocks, the carboniferous phase in
plate subduction will be separated in the form of melting, and then metasomatism to the upper
mantle or return to the surface (Liu 2019; Wei 2020; Zhang 2017, 2019; Zhu 2021). The melting
of carbonated rocks has been confirmed by previous petrology and high-pressure experiments. In

652
recent years, the melting and facies relationship of carbonate rocks have been widely concerned. In
2016, Thomson and other scholars conducted high-temperature and high-pressure experiments and
observations of diamond enclave petrology. They found that under particular circumstances, the
carbonated basalt system of deep subduction will melt in the interval of 300-700km. According to
the geothermal gradient model of Peacock et al. (1999), no matter the geothermal gradient lines are
cold or hot, any temperature and pressure before the plate subduction arc cannot cause carbonate
rock to form melt, that is, melting decarbonization contributes limited to the release of carbon
from island arc magma (Wei 2020; Zhu 2021). However, as the slab subducts into the deep part
of the earth, the alkali metals, such as Na and K, can lower the melting temperature of carbonated
rocks by about 400–500◦ C. Finally, the quantitative research on the decarburization mechanism of
melting during slab subduction needs to be further in-depth.

2.1.4 Redox reaction decarburization

During the carbon cycle of slab subduction, carbonate minerals are converted into easily migrating
hydrocarbons through oxidation-reduction reactions, thereby removing carbon from the subduction
zone as a reducing fluid, which enriches the decarburization mechanism during slab subduction.
Combined with previous studies on the carbon cycle decarburization mechanism of subduction
zones, whether the decarburization reaction occurs in subduction zones only considers the effects
of temperature and pressure on the stability of carbonate minerals (Zhang 2017, 2019). It is ignored
that the stability of carbonate minerals will be affected by oxygen fugacity due to the presence of
variable valence elements such as C and Fe in carbonate (Liu 2019; Wei 2020; Zhu 2021). Stagno
and Frost (2010) through high-temperature and high-pressure experiments believe that when the
oxygen fugacity in the mantle is 100-150km, carbonate will be reduced to diamond or graphite in a
stable form in the mantle. Some scholars have proved through high-temperature and high-pressure
experiments of oxygen fugacity changes that the carbonate in the subducting slab will be reduced
to diamond or graphite stably in the mantle when it enters the metal saturated oxygen fugacity at a
depth of 250km. The carbide-rich cover surges into an oxidizing environment and oxidizes into a
carbonate-rich melt brought out of the surface with magmatism (Wei 2020; Zhang 2019). So far,
the research on the effect of oxygen fugacity on the stability and decarburization of subduction
zone carbonates is limited, and more research is needed to explore this issue. The existing forms
and stability depths of some carbonaceous species in the current redox state are shown in Table 2.

Table 2. The redox state, type, existence form and possible stability depth of carbon.

Redox state Kinds Existing form Stable dept /km

Oxidized forms of C CO2 fluid inclusions All

Carbonates calcite ?
dolomite <60∼120km
magnesite >120∼150km
Neutral C Graphite thin films on mineral surfaces <120km
and cracks as grains
Diamond mineral inclusions in kimberlite, >120km
potash lamprophyre, and ultra-high
pressure metamorphic rock
undergoing deep subduction
Solid solution C the crystal lattice of silicates ?
Reduced C Organic compounds cracks and mineral surfaces in inclusions ?
CH4 inclusions ?
CO inclusions
Moissanite (SiC) kimberlite matrix and inclusion in diamond ?

653
2.2 Carbon sequestration mechanism in subduction zone
The weathering of carbonates and silicates in karst carbon sinks and the photosynthesis of plants
and other surface carbon sequestration are familiar. In contrast, research on the deep carbon cycle in
subduction zones is scarce. From the recent trend of plate tectonics, plate subduction is the primary
way to bring carbon from the surface into the deep part of the earth. The subduction zone is more
severe than the surface conditions. The subduction zone is in a high-temperature and high-pressure
environment, which is rarely achieved in the laboratory, so there will be less research in comparison
(Tao 2015; Zhang 2017; Zhu 2021). Like the reversibility of the weathering reaction of carbonates
and silicates in karst carbon sinks, the carbon cycle in subduction zones is also reversible.
Most of the carbonates on the surface will undergo crustal-scale and mantle-scale cycles through
plate subduction (Zhang 2019; Zhu 2021), migrate from the subduction zone into the mantle
wedge, or be carried into the deep mantle (possibly to the upper cover and transition zone, or
Lower cover), and cause changes in the physical properties (such as oxygen fugacity structure) and
chemical composition of the crust-mantle components (Tao 2015). The overlying mantle wedge in
the subducting plate is an excellent place for carbon sequestration. In the process of plate subduction,
carbonaceous material undergoes decarburization, dissolution, melting and reduction reactions to
become carbonaceous fluids and enters the overlying mantle wedge and the ultrabasic rocks in
the mantle wedge to react with each other. Some carbon-containing fluids undergo a reduction
reaction and are reduced to graphite or diamonds, which are fixed in the plate subduction zone, and
then carried into the deeper parts of the earth (Zhu 2021). Whether the carbon in the subduction
zone can enter the deep part of the mantle during plate subduction depends on the temperature
and pressure of the cover. Studies have shown that low temperature and high-pressure conditions
are more conducive to the carbon in the subduction zone entering the deep part of the world. The
cold subducting slabs provide more powerful conditions to bring carbonates into the depths of the
earth. The deeper the mantle, the more conducive to the reduction reaction between the carbonate
and the surrounding cover, reducing the carbon in the carbonate to diamond or carbide, which is
better fixed in the subduction zone; Under the high-pressure environment, the calcium carbonate
and silicate of the subducting plate react to form a more stable substance - magnesite (MgCO3),
which enters the deep part of the earth with the subduction of the plate, and may even reach the
lower mantle or the core of the earth (Liu 2019; Wei 2020; Zhang 2017; Zhu 2021). The specific
carbon cycle diagram and the stability of some carbon-containing phases are shown in Figure 2.

Figure 2. The deep carbon cycle and the stability of carbon-bearing material in subduction zone.

654
3 CONCLUSION

In the process of slab subduction, the metamorphic reaction, fluid dissolution, melting effect,
redox reaction decarburization mechanism, and the quantitative study and influencing factors in
the process of carbon fixation in the deep carbon cycle all need more in-depth analysis. Temperature,
pressure and oxygen fugacity have certain results on the stability of carbon-containing phases, and
many in-depth studies and verification are still needed. Judging from the current research status,
the exploration of the lithospheric carbon cycle is far from enough. The mineral carbon sinks, karst
carbon sinks, and deep carbon cycles of subduction zones need to be understood by more scholars.

ACKNOWLEDGEMENTS

This research was financially support by the Natural Science Foundation of Hunan Province
(2020JJ5481), Scientific Research Project of Hunan Provincial Department of Education
(19C1615), College Student Innovation and Entrepreneurship Training Program (202110555081;
S202010555169; X202010555342; X202110555481).

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© 2023 Copyright the Author(s), 978-1-032-31202-6

Influence of thermal convection development in complex orographic

areas on atmospheric circulation

Y.J. Wang
College of Computer Science and Technology, National University of Defense Technology, Changsha, China

J.P. Wu
College of Meteorology and Oceanography, National University of Defense Technology, Changsha, China

M.J. Ma
College of Atmospheric Sciences, Lanzhou University, Lanzhou, China

D.Z. Liu
College of Meteorology and Oceanography, National University of Defense Technology, Changsha, China

ABSTRACT: This paper uses FNL (Final Operational Global Analysis) reanalysis data to define
the thermal convection index and thermal index. It analysed the spatial and temporal changes in
the development of thermal convection in a complex terrain area between 2000 and 2018. The
complex orographic area takes the Tibet Plateau as an example. In special years of the thermal
convection index, the 850hPa, 500hPa atmospheric circulation anomalies and the 200hPa altitude
anomalies were compared and analyzed. Besides, the correlation analysis between the plateau
thermal convection index and the Asian zonal circulation index is also made. The results show
that the spatial distribution of the thermal convection index and boundary layer height has the
characteristic that the west is larger than the east. The plateau meteorological element values all
dropped sharply from 2009 to 2011; Tibet plateau thermal convection index is closely related to
the zonal circulation in Asia, and there is a significant correlation; In typical years of the thermal
convection index, circulation situation in the global polar regions, Russia, southern North America,
southern South America and northern Africa has obvious changes.

1 INTRODUCTION

The Tibet Plateau is the highest and widest plateau in the world. It is called the “Roof of the World”
and “The Third Pole of the Earth” (Yao et al. 2017). It lies between 26◦ N∼40◦ N and 74◦ E∼105◦ E. In
Tibet Plateau, the terrain is complex and the daily and seasonal changes of meteorological elements
are intense, which causes the thermal and dynamic disturbances of the plateau to become very
frequent (Zhang et al. 2016). The dynamic effect of the plateau’s high terrain produces mechanical
forcing on the airflow, excites orographic waves and generates airflow climbing and detours (Qiao
et al. 2014). The thermal effect of Tibet Plateau is reflected from winter to summer. The surface of
Tibet Plateau is special, with an average altitude is about 4000m above, which accounts for about
one-third of the troposphere (Liu et al. 1989), so solar radiation is stronger than that in the plains
(Zhang et al. 2019). After the land surface of Tibet Plateau is heated, it reaches the strongest in
summer and acts as a huge heat source, which causes the local airflow to rise strongly and vigorous
development of thermal convection. The huge South a strong South Asian High is formed in the
upper troposphere in the end (Liu 2013), which has an important impact on the precipitation in
China, position of the Western Pacific Subtropical High (Li et al. 2011), and provides favorable
circulation background conditions for the low ozone centers over the plateau in summer (Zhou et al.

656 DOI 10.1201/9781003308584-93

2004). This kind of plateau heating in the middle of the troposphere caused a strong development
of plateau thermal convection, which is important for Asian monsoon circulation, precipitation,
and atmospheric circulation and climate in North America, Europe, and the South Indian Ocean
(Zhou et al. 2009), even has an important impact on the northern hemisphere and even the global
climate and atmospheric circulation (Chen et al. 1964, Huang et al. 2019, Pan et al. 2013, Ye &
Zhang 1974).
In recent years, there have been many studies on the dynamic and thermal effects of Tibet Plateau,
some scholars have shown that the thermal effect of the Tibet Plateau plays a decisive role in the
circulation of Asia in summer (Hua & Chen 1997), but different scholars have different definitions
of the thermal conditions of the Tibet Plateau. Wang et al. (2008) used the average temperature
of 500-300hPa in the main plateau area to represent the thermal conditions, and analyzed the
influence of plateau thermal effects on the seasonal evolution of the low-latitude circulation and
the Asian monsoon circulation. Luo et al. (2019) separately calculated condensation latent heat,
sensible heat, and net atmospheric radiation, and then summed them to obtain the atmospheric
heat source to represent the thermal conditions of the Tibet Plateau. Liu et al. (2002) calculated
the sum of various heating rates such as the vertical diffusion heating rate, condensation latent
heat heating rates, net short-wave radiation and net long-wave radiation heating rates, etc. The
total heating rate is finally used to represent the thermal conditions of Tibet Plateau. Zhang et al.
(2001) used snow cover rate as an indicator of the thermal conditions of Tibet Plateau to compare
and analyze the Asian summer monsoon and the climate of eastern China in snowy years and less
snowy years on Tibet Plateau. The study found that when the plateau heat source is strong, thermal
convection develops vigorously, and the height of atmospheric boundary layer will increase with
the development of thermal convection. It can be seen that height of atmospheric boundary layer
reflects the thermal conditions of the plateau to a certain extent. Zhuo et al. (2002) used global
climate model to calculate boundary layer height, and analyzed the effects of boundary layer height
of Tibet Plateau on the circulation and precipitation in the Yangtze River Basin in summer. Su et
al. (2018) found that atmospheric boundary layer height of the main Tibet Plateau area in 2003
had opposite changes to the surface sensible heat flux and latent heat flux. It can be seen that the
thermal conditions of the plateau are determined by multiple factors such as sensible heat latent
heat flux and the height of the boundary layer. Comprehensive consideration of the heat flux and
boundary layer height will more accurately represent the thermal conditions of Tibet Plateau.
In this study, the development of thermal convection is used as an indicator of thermal conditions
of Tibet Plateau, and two factors of temperature and boundary layer height are comprehensively
considered to define a thermal convection index which can better reflect thermal conditions of Tibet
Plateau. It analyzed the time changes and spatial distribution characteristics of the Tibetan Plateau
Thermal Convection Index and correlation between the Plateau Thermal Convection Index and the
Asian Zonal Circulation Index. Besides, in the years when plateau thermal convection developed
abnormally, it analyzed the changes in the global circulation situation at different altitudes.

Figure 1. Spatial distribution of the orography height of the Tibet Plateau(m).

657
2 MATERIALS AND METHODS

The orography characteristics of the Tibet Plateau are shown in Figure 1. Most areas of the plateau
are above 4000m in altitude, which is significantly higher than the plain areas. Due to severe
weather conditions in Tibet Plateau, plateau meteorological stations are unevenly distributed and
mostly located in the eastern part of plateau. In the case of insufficient time and spatial resolution of
the measured data, this paper used FNL (Final Operational Global Analysis) data jointly produced
by the US National Centers for Environmental Prediction (NCEP) and the National Center for
Atmospheric Research (NCAR) which has a horizontal resolution of 1◦ ×1◦ and a time resolution
of 6h, That is, 00:00, 06:00, 12:00 and 18:00 (Universal Time) every day.
Thermal convection refers to the phenomenon that heat propagates upward through a flowing
medium in the vertical direction. During the development of thermal convection, heat from the
ground and the lower atmosphere is transported upwards through wind, heating the troposphere.
The development height of plateau boundary layer can represent the maximum height of heat
upward transportation, and the temperature of 500hPa, 400hPa, and 300hPa in the troposphere can
represent the intensity of heat upward transportation. This paper comprehensively considers the
two factors of tropospheric temperature and boundary layer height, using 500hPa, 400hPa, 300hPa
temperature data and boundary layer height HPBL data to construct a thermal convection index Q,
which represents the development of thermal convection in Tibet Plateau. The thermal convection
index Q is defined as
Q = (T500 + T400 + T300) × H (1)
The thermal index is defined as

T = T500 + T400 + T300 (2)

among them, T500, T400 and T300 are the temperatures at 500hPa, 400hPa and 300hPa, and H
is the development height of the atmospheric boundary layer. Take 25◦ ∼40◦ N and 70◦ ∼105◦ E as
the main area of Tibet Plateau. Then use the FNL data from 2000 to 2018 to study the spatial
distribution and time change of the boundary layer height, thermal index, and thermal convection
index. And calculate the correlation between the Tibetan Plateau Thermal Convection Index and the
Asian Zonal Circulation Index to study the influence of the plateau thermal convection on the Asian
zonal circulation. Generally, the height of 850hPa is the maximum water vapor transport volume,
which has an important impact on air humidity and ground precipitation. The height of 500hPa has
a guiding effect on the atmospheric circulation. South Asia high is at a height of 200hPa, which is a
stable center of atmospheric activity in the mid-latitudes of the northern hemisphere. By studying
the inter-annual variation of the thermal convection index and selecting special years of the thermal
convection index, we studied the global anomaly of 500hPa, 850hPa wind and 200hPa height in
the year of abnormal thermal convection index from the perspective of whether the atmospheric
circulation is abnormal, and discussed the influence of thermal convection over the Tibet Plateau
on global atmospheric circulation.

3 RESULTS

3.1 Characteristics of the development of thermal convection in Tibet Plateau

The height of the boundary layer around the plateau is obviously lower than that of the main plateau
area, As shown in Figure 2(a), the boundary layer height distribution in the main plateau area has an
obvious distribution characteristic that the west is larger than the east, the main reason is that there
is more rainfall and covered forest, and the humidity is high in the eastern part of the plateau, so
the heat is concentrated in the bottom layer, the development height of the atmospheric boundary
layer is relatively low, mostly below 900m, and the low value center is near the Chaka Salt Lake.
However, the western plateau has a high altitude and receives more solar radiation, the ground is

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mainly covered by desert grassland, with less precipitation and low humidity. Therefore, the height
of the atmospheric boundary layer development is relatively high, mostly higher than 1000m in
the western part of the plateau. These values of height ??are lower than the actual height of the
atmospheric boundary layer in the Tibet Plateau. One reason is that reanalysis data filter out some
larger values, and the other reason is that the maximum height of the atmospheric boundary layer
generally appears in the afternoon, but reanalysis data only four times a day, the time when the
height of the boundary layer is the highest is often not in these four times. But generally speaking,
reanalysis data can better reflect the spatial distribution characteristics of the plateau boundary
layer height.

Figure 2. The average boundary layer height (a, unit: m) and thermal convection index (b, unit: K · km)
distribution in Tibet Plateau from 2000 to 2018.

The distribution of the plateau thermal index is similar to the distribution of the thermal con-
vection index, so I won’t go into details here. Next, I will mainly analyze the spatial distribution
of the plateau thermal index. As shown in Figure 3, the development of thermal convection in
the steep terrain around the Tibet Plateau such as Altun Mountains, Qilian Mountains, Hengduan
Mountains, Himalayas, and Kunlun Mountains is significantly smaller than that of the main plateau
area. In most parts of the Tibet Plateau, the thermal convection index is above 600 K · km, and its
distribution is roughly opposite to the distribution of soil moisture in Tibet Plateau, showing a
negative correlation. It can be seen that the development of plateau thermal convection is affected
by many factors such as plateau orography, soil, snow, precipitation and so on.
The change trend of atmospheric boundary layer height is shown in Figure 3. Between 2000
and 2018, the overall atmospheric boundary layer height and thermal convection index showed a
downward trend. In particular, the thermal convection index declined significantly, while the linear
change of the thermal index was not significant. But the overall trend is increasing, and the reasons
for this need to be further studied. A more interesting finding is that the height of the boundary
layer, the thermal index, and the thermal convection index all dropped sharply during 2009-2011.
The difference between the height of the atmospheric boundary layer before and after can reach
103.09m, the time point when the thermal index dropped sharply It was 2010. Compared with the
height of the boundary layer, the time point of the sudden change of the thermal index was a bit
lagging behind. The thermal convection index drops the most before and after the sudden change,
up to 163K·km. The climate of the Tibet Plateau changed abruptly from 2009 to 2011. The change
trends of elements such as the thermal convection index, thermal index and boundary layer height
have all decreased significantly, which just proves that Su et al. (2018) has entered the study found
that the plateau around 2009 There has been a sudden climate change, and the changing trend of
various elements in the plateau area has changed significantly.
The average monthly change trends of the thermal index, boundary layer height and thermal
convection index are shown in Figure 4. Their changes in a year have the characteristics of rising
first and then falling, but their peak times are different. The peak time of the boundary layer height
is two months earlier than the peak time of the thermal index, and the fluctuation range of the
thermal index is also smaller. The main reason is that it is affected by the rainy season on the

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plateau. The plateau dry season and rainy season are distinct. Rainfall is mainly concentrated in
May to September, accounting for more than 80% of the total annual rainfall (Duan et al. 2021).
During this period, the air humidity increases, so heat is difficult to transport upwards, and the
boundary layer height reaches its maximum before the rainy season and decreases during the rainy
season, while the thermal index reaches its maximum during the rainy season. The peak time of
the thermal convection index is around June, which is between the peak times of the thermal index
and boundary layer height. From May to June, the plateau thermal convection develops vigorously.

Figure 3. Average annual change trend of thermal index (a, unit: K), boundary layer height (a, unit: m) and
thermal convection index (b, unit: K·km) in the main area of the Tibet Plateau.

In order to study the spatial distribution of linear changes of the thermal index, boundary layer
height, and thermal convection index in Tibet Plateau, the least square method was used to calculate
their average spatial change trends from 2000 to 2018 (Figure 5). Their spatial change trends have
obvious regional differences: the thermal index in most parts of the plateau has an upward trend,
except for a downward trend near the Himalayas, but the rising rate in the northern part of the
plateau is significantly greater than that in the southern part, with obvious north-south differences.
However, the spatial change trend of the plateau boundary layer height has obvious characteristics of
difference between the east and the west. The east of the plateau has a higher rate of decline, with the
maximum value reaching more than 44 m · a−1 , while the west has a lower rate of decline. It can be
seen that the change trends of the boundary layer height and the thermal index are quite different, and
the opposite change trends appear in many regions. In the analysis of annual changes, the thermal

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index showed an upward trend in the periods of 2005-2007, 2009-2010, 2012-2013, and 2014-
2015, while the boundary layer height showed an opposite downward trend during these periods.
On the contrary, in 2007-2008, 2011-2012, 2013-2014, 2016-2018 and other periods, the thermal
index showed a downward trend, while the boundary layer height showed an opposite upward trend
during these periods. Moreover, the monthly changes of these two indicators sometimes also show
opposite changes, and they do not correspond well. It shows that the boundary layer height and
thermal index cannot describe the development of thermal convection alone, and the two indicators
need to be considered comprehensively. The above just demonstrates the rationality of constructing
the thermal convection index.

Figure 4. Average monthly change trend of thermal index (a, unit: K), boundary layer height (a, unit: m) and
thermal convection index (b, unit: K·km) in the main area of the Tibet Plateau.

The spatial distribution of linear changes of the plateau thermal convection index has obvious
differences between the east and the west. In most areas of the eastern plateau, the development
of thermal convection shows a weakening trend, and the maximum of decline rate can reach more
than 32 K·Km · a−1 . Although the development of thermal convection in the western plateau also
shows a weak trend, the decline rate is relatively slow, and it appears weak upward trend in many
places.

3.2 Analysis of atmospheric circulation in a special year of thermal convection development

There are many factors that cause changes of atmospheric circulation, which can be divided into
human factors and natural factors. Changes of solar activity, plateau temperature, and plateau
snow cover can affect the development of plateau thermal convection by changing the plateau’s
thermal conditions, and further affect the atmospheric circulation. This chapter first calculates the
correlation between the plateau’s thermal convection index and the Asian zonal circulation index,

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Figure 5. The distribution of average spatial change trend of thermal index (a, unit: K · a-1), the boundary
layer height (b, unit: m · a-1) and the thermal convection index (c, unit: K · km · a-1) in the main area of the
Tibet Plateau.

and then analyzes the influence of the plateau’s thermal convection development on the meridional
and zonal circulation in Asia. At the same time, select the maximum year 2000, the minimum year
2015 of the plateau thermal convection index, and the year 2009 before the sudden change, and
the year 2011 after the sudden change of the thermal convection index as the special year for the
development of thermal convection. From the perspective of whether the atmospheric circulation is
abnormal, we analyze the global anomaly fields of 850hPa, 500hPa wind and 200hPa height in the
special year of thermal convection to further explore the influence of the development of thermal
convection on the atmospheric circulation.

3.2.1 The correlation between the plateau’s thermal convection index and the Asian zonal
circulation index
The Asian Zonal Circulation Index is also known as the Asian Westerly Index, which is an indicator
of the amount of westerly wind in the average geostrophic wind. In the study of zonal circulation
and longitude circulation in the last century, Rossby (Rossby 1939) first proposed the concept of
regional westerly index. He calculated the average sea-level pressure difference along the 35◦ N
and 55◦ N latitude circles to represent the strength of westerly wind in the temperate regions of the
northern hemisphere. In recent years, some scholars have gradually realized the importance of the
westerly index, its value can better represent the basic state of the atmospheric circulation in the
middle and high latitudes, and has a close relationship with China’s climate (Liu & Li 1983; Liu
et al. 2006; Yan et al. 2007). We improved the regional westerly index defined by Sun et al. (2010)
in the study of the relationship between the Asian zonal circulation and autumn precipitation in
Shaanxi, China, and changed the longitude interval from 2.5◦ to 1◦ as the Asian zonal circulation
index in this study. The equation is
 M M

1
I= (1, N) − H(2, N) (3)
M N N

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 In equation (3), I is the Asian zonal circulation index, H (1, N) and H (2, N) are the height values
of the 45◦ N and 65◦ N latitude circles on the 500hPa respectively, N is the number of equidistant
longitudes taken along the latitude circle (range of longitude taken is 60◦ ∼150◦ E), the interval is
1◦ , and M is the total number of grid points along the latitude circle.
It can be seen from Figure 6 that the zonal circulation index and the plateau’s thermal convection
index have obvious interannual changes. Before the abrupt change of the plateau climate, only in
a few years, the zonal circulation index and the plateau’s thermal convection index have opposite
changes. In other years, the two indices had the same changing trend. And their anomaly values are
almost all positive, and the anomaly values show a trend of decreasing year by year. After the abrupt
change of the plateau climate, the zonal circulation index and the plateau’s thermal convection index
have the same changing trend in most years, and the two indices are both negative anomalies. The
development of thermal convection over the plateau weakened, and the zonal circulation index
decreased. This indicates that the weakening of the development of thermal convection over the
Tibet Plateau is conducive to the weakening of the zonal circulation in Asia, which leads to the
strengthening of meridional airflow and increasing the exchange of north-south airflow. After 2015,
both the zonal circulation index and the plateau thermal convection index have shown a slow upward
trend. The strengthening of the development of thermal convection on the Tibet Plateau affects the
weather system in the lower reaches of the plateau, causing the Asian zonal circulation index to
slowly increase, and the activity of the Asian zonal airflow is strengthened, and the north-south air
exchange is hindered, and the accumulation of cold air at higher latitudes is strengthened.

Figure 6. Annual change of the anomaly of the plateau’s thermal convection index and the zonal circulation
index.

From 2000 to 2018, there were only two times of normalized anomalies between the thermal
convection index and the Asian zonal circulation index, which have opposite signs, and the signs
are the same in the rest of the year. As shown in Table 1, the correlation coefficient between
the thermal convection index and the Asian zonal circulation index is 0.936, which has passed the
significance level test of 0.01, which proves that the plateau’s thermal convection index has a strong
correlation with the Asian zonal circulation index during 2000-2018. Therefore, the development
of the plateau’s thermal convection is closely related to the Asian zonal air flow. If the plateau’s
thermal convection develops vigorously, then the thermal convection index will drop strongly. This
will increase the zonal circulation in Asia through the influence on the weather system of the lower
plateau. The zonal airflow hinders the exchange of north-south airflow, which is conducive to the
accumulation of cold air at high latitudes. Conversely, if the thermal convection index weakens,
the Asian zonal circulation index will decrease and the meridional airflow activity will increase,

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which is conducive to the cold air from the north going south, which is likely to cause the cold
wave to break out.

Table 1. The correlation between the plateau’s thermal convection index and the zonal circulation index from
2000 to 2018.
zonal circulation index thermal convection index

zonal circulation index Pearson correlation 1 0.936**

Significance (bilateral) 0
N 19 19
thermal convection index Pearson correlation 0.936** 1
Significance (bilateral) 0
N 19 19

3.2.2 Global circulation field in the years of the maximum and minimum values of the thermal
convection index
The 500hPa height is located in the upper and middle troposphere. The airflow at this height serves
as the main guiding airflow and has a guiding effect on the movement of the low-level weather
system. The global wind anomalies of 500hPa in the year 2000 with the maximum value of the
thermal convection index (Figure 7(a)) and the year 2015 with the minimum value (Figure 7(b)).
In the northern hemisphere, when the thermal convection index was at its maximum (2000), there
was an anticyclone in the southern part of North America, which was conducive to the cold air
flow from the north to the south. There was a strong anticyclone in the Atlantic Ocean to the east,
which was conducive to the transportation of warm and humid air to the north and to merge with
the cold air to the south. Therefore, cloud and rain weather may be formed on the eastern coast
of the United States, while the United States was controlled by high pressure, and it was mostly
sunny. However, when the thermal convection index was at its minimum (2015), the southern
part of North America had a cyclonic airflow. In its eastern Atlantic, it became a cyclone to the
north and an anticyclone to the south; When the thermal convection index was at its maximum
(2000), there was a counterclockwise vortex near northeastern Africa, which was controlled by
low pressure, and a clockwise vortex in the northern Arabian Sea, which was controlled by high
pressure. However, when the thermal convection index was at its minimum (2015), northern Africa
turned into a clockwise vortex and moved westward, resulting in dry and sunny weather in northern
Africa, and a counterclockwise vortex in the northern Arabian Sea, which could transport the warm
and humid air in the Indian Ocean to India. When the thermal convection index was at its maximum
(2000), an anticyclone with a large longitude span appeared on the Arctic Ocean in northern Russia,
which was controlled by the cold high pressure, but when the thermal convection index was at its
minimum (2015), the anticyclone on the Arctic Ocean disappeared. The cyclones over Russia and
Mongolia have further strengthened, which is conducive to the cold polar air going south.

Figure 7. Global wind anomalies at 500hPa (a: 2000, b: 2015).

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Figure 8. Asian wind anomalies at 500hPa (a: 2000, b: 2015).

In the southern hemisphere, when the thermal convection index was at its maximum (2000),
a strong anticyclonic circulation appeared in southern South America, the center was near the
Antarctic Peninsula, controlled by the cold high pressure, and the cold air was condensed in the
polar regions, which was not conducive to the exchange of cold and warm air. However, when the
thermal convection index was at its minimum (2015), the anticyclonic circulation near the Antarctic
Peninsula disappeared, and a cyclonic circulation appeared near the Drake Strait on the south side
of Tierra del Fuego, which was conducive to the transportation of cold air from the south pole on
the west side of the cyclone to the north. The meridional circulation is dominated near the equator.
When the thermal convection index was at its maximum (2000), the meridional circulation was
dominated by easterly airflow, and when the thermal convection index was at its minimum (2015),
the meridional circulation was dominated by westerly airflow.
In order to understand the circulation situation in Asia in more detail, the anomaly field of wind at
500hPa height in Asia were plotted (Figure 8). It can be seen that when the thermal convection index
was at its maximum (2000), the meridional circulation south of 60◦ N in Asia was obvious, and there
was a very powerful cyclone in the North Pacific, which was conducive to the southward movement
of the polar cold airflow. However, when the thermal convection index was at its minimum (2015),
the zonal circulation was dominated south of Asia at 60◦ N, and the cyclone over the North Pacific
weakened, and an anticyclone was produced in the south. A large amount of warm and humid
Pacific air flowed from Japan to Russia through the Sea of Okhotsk on the southwest side of the
anticyclone, and finally transported to the vicinity of Novaya Zemlya. After cyclonic shear occurs,
it would invade China with polar cold airflow through Mongolia, which was conducive to the
exchange of cold air currents in the polar regions and warm and humid air currents in the Pacific.
The 850hPa is located in the middle and lower troposphere. The maximum amount of water
vapor transport occurs approximately at an altitude of 850hPa. The circulation at this altitude has
an important impact on the transport of water vapor, and is also an important factor affecting the
weather process and climate of various places. According to Figure 9, it is found that the wind
direction is more regular on the ocean and more disorderly on the land. The main reason is that the
850hPa height is close to the land in some areas or is already below the land. The terrain drags causes
the wind direction disorder. When the thermal convection index was at its maximum (2000), there
was an anticyclone with obvious meridional circulation in the Atlantic south of Greenland, which
was conducive to transporting water vapor from the Atlantic to Greenland. There was a northeast-
southwest cyclonic circulation in western Europe, which made the wind direction converge, and
was conducive to the accumulation of water vapor here, and increase precipitation. However, when
the thermal convection index was at its minimum (2015), the south of Greenland and the west of
Europe became a strong cyclonic circulation, and the southern tributaries of the cyclone diverted
to northwest Africa, bringing a large amount of water vapor from the Atlantic Ocean to northwest
Africa; At the maximum thermal convection index (2000), there was an anticyclonic high pressure
on the Siberian coast of northern Russia, with a longitude span of up to 120◦ . The Novosibirsk
archipelago and parts of northern Russia were in a divergent field, which was not conducive to the

665
accumulation of water vapor in this area. When the thermal convection index was at its minimum
(2015), the anticyclonic circulation weakened to disappear.

Figure 9. Global wind anomalies at 850hPa (a: 2000, b: 2015).

In the southern hemisphere, when the thermal convection index was at its maximum (2000),
there was an anticyclone with obvious meridional circulation over the ocean in southern South
America, which was controlled by high pressure. When the thermal convection index was at its
minimum (2015), the anticyclonic circulation in the area disappeared and turned into a cyclonic
circulation. Its center moved north to southern South America, and Tierra del Fuego, the Drake
Strait and other places were in the convergence field, which was conducive to the accumulation of
water vapor here and increases the precipitation in the area.

Figure 10. 200hPa global height anomaly field (a: 2000, b: 2015).

The 200hPa is located in the upper troposphere. The southern pressure at this altitude is the
stable center of atmospheric activity in the mid-latitudes of the northern hemisphere, which has a
great impact on precipitation in South Asia, the Indochina Peninsula and the low-latitude areas of
China. According to Figure 10, in the year of maximum thermal convection index, the center of the
South Asian High is approximately (30◦ N, 60◦ E), and the center anomaly can reach 20∼30gpm,
and the North Pole had negative height anomalies in a wide range. There were eight anomalous
maximum centers in the mid-high latitudes of the northern hemisphere, and there was a maximum
anomaly center of the height field near the Antarctic Peninsula in the southern hemisphere, with a
center value of up to 60gpm. However, in the year with the minimum thermal convection index, the
center of the South Asian High moved eastward, at about (35◦ N, 90◦ E), and a large range of positive
anomalies appeared in the North Pole. There were four minimum anomaly centers in the mid-high
latitudes of the northern hemisphere, and the anomaly values were generally reduced. There was a
minimum height anomaly center near the Antarctic Peninsula in the southern hemisphere.

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3.2.3 Global circulation field before and after the sudden change of heat convection index
According to the 500hPa global wind anomaly before and after the thermal convection index sudden
change (Figure 11), it can be found that before the thermal convection index abrupt change (2009),
there was a cyclonic circulation on the north side of the Gulf of Alaska around 60◦ N in the eastern
Pacific, and on its south side, cyclone and anticyclone were distributed alternately, 30◦ N∼50◦ N
had anticyclone, 0◦ ∼30◦ N had cyclone, 0◦ ∼20◦ S had cyclone, and 20◦ S∼50◦ S had anticyclone,
and there was cyclone around 60◦ S. However, after the sudden change of the thermal convection
index (2011), the circulation properties in the eastern Pacific were just the opposite. An anticyclone
was around 50◦ N on the south side of the Gulf of Alaska, and an anticyclone was around 60◦ S in
the southern hemisphere. The cyclones and anticyclones are distributed alternately between them.

Figure 11. Global wind anomalies at 500hPa (a: 2009, b: 2011).

According to Figure 12, we can get a clearer understanding of the changes in theAsian circulation.
Before the sudden change of the thermal convection index (2009), there was a strong anticyclonic
circulation in Central Siberia, which was controlled by high pressure and gathered a lot of cold air.
However, after a sudden drop in the thermal convection index (2011), the anticyclone in Siberia
weakened and moved eastward to the vicinity of the Sea of Okhotsk. The cyclone originally near the
European Caspian Sea also moved eastward to the north side of Weihai. The polar vortex centered
near the Novosibirsk Islands also strengthened, and a strong cyclone was produced at 155◦ E and
15◦ N in the Pacific Ocean.

Figure 12. Asian wind anomalies at 500hPa (a: 2009, b: 2011).

At the height of 850hPa (Figure 13), before the sudden change of plateau’s thermal convection
index (2009), the clockwise and counterclockwise circulations in the eastern Pacific Ocean were
distributed alternately, which was conducive to the development of the zonal circulation. After the
sudden change of plateau’s thermal convection index (2009), the clockwise and counterclockwise
circulations in the eastern Pacific Ocean were also distributed alternately, but compared with before
the sudden change, the vortices all changed to circulations of the opposite nature; In addition,

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before the sudden change of plateau’s thermal convection index (2009), Central Siberia was under
anticyclonic high pressure, and most of Russia was in a divergent field, which was not conducive
to the accumulation of water vapor, which caused a decrease in precipitation here. However, after
a sudden change in plateau’s thermal convection index (2011), the previous anticyclone moved
eastward to the Sea of Okhotsk, controlling the eastern region of Russia. A cyclone circulation
was generated near Moscow, which was conducive to water vapor accumulation and increased
precipitation in Moscow.

Figure 13. Global wind anomalies at 850hPa (a: 2009, b: 2011).

In the 200hPa height field (Figure 14), before the sudden change of thermal convection index,
the position of the South Asian High is about (30◦ N, 70◦ E), and the center anomaly is about 10-
20gpm, between 60◦ N and 30◦ S Most areas are in the negative anomaly field, and parts of the
Antarctic are in the positive anomaly field; After the sudden change of the thermal convection
index, the position of the South Asian High moved eastward, about (30◦ N, 80◦ E), and the center
height decreased to −10gpm. The 200hPa height increased in most areas of the middle and low
dimensions in the northern and southern hemispheres, and the 200hPa height dropped in parts of
Antarctica.

Figure 14. 200hPa global height anomaly field (a: 2009, b: 2011).

4 CONCLUSIONS

This paper constructed a thermal convection index that can characterize the development of thermal
convection on the Tibet Plateau. We used NCEP/NCAR’s FNL reanalysis data to analyze the spatial
distribution and time changes of the thermal convection index from 2000 to 2018, and used the
least square method to analyze the spatial change trend of the plateau’s thermal convection index.

668
Then we conducted a correlation analysis on the plateau’s thermal convection index and the Asian
zonal circulation index. At the same time, we selected typical years with obvious differences
in the thermal convection index characteristics, and compared and analyzed the global 850hPa,
500hPa atmospheric circulation anomalies and the height anomaly field of 200hPa, the following
conclusions are obtained:
(1) The plateau’s thermal index and the boundary layer height varied greatly in time and space
from 2000 to 2018, and the two often had opposite changes, which do not correspond well.
The plateau’s thermal convection index had a distribution characteristic that the west is larger
than that of the east. It has a downward trend from 2000 to 2018. The decline rate in the east
is greater than that in the west. The 2009 is a sudden change point.
(2) There is a significant correlation between the plateau’s thermal convection index and the Asian
zonal circulation index. When the plateau’s thermal convection index was large, the Asian
zonal circulation was obvious, which was conducive to the accumulation of cold air in high
latitudes. When the plateau’s thermal convection index is small, Asia meridional circulation
was obvious, which was conducive to the occurrence of cold air outbreaks such as cold waves.
(3) According to the comparison of the circulation situation at the maximum and minimum values
of the thermal convection index, it was found that the development of thermal convection over
the plateau had a significant impact on the circulation situation in southern North America,
southern South America, northeastern Africa, northern Arabian Sea, Atlantic Ocean, Arctic
Ocean, southern Tierra del Fuego, and the equator at a height of 500hPa. At 850hPa, it had
an obvious influence on the circulation situation in the Atlantic Ocean, western Europe, the
Siberian coast of northern Russia, southern South America, as well as the 200hPa height of the
Arctic and the position and intensity of the South Asian High.
(4) According to the comparison of the circulation situation before and after the sudden change
of the plateau’s thermal convection index, it was found that the circulation situation of 500hPa
and 850hPa in Central Siberia and the area between the northern side of the Gulf of Alaska and
the southern hemisphere, the 200hPa height in most areas of middle and low latitudes, and the
location and intensity of the South Asian High had changed significantly.
This article aims to analyze the time changes and spatial distribution characteristics of the
plateau’s thermal convection development, the influence of the plateau thermal convection devel-
opment on the zonal circulation in Asia and the changes in the circulation situation of the thermal
convection in special years. It is hoped that there will be helpful for future research work. This
paper ignores the specific influence mechanism of the development of thermal convection on the
atmospheric circulation and other influence factors that may exist in the change of the circulation
situation. These need to be further studied with the help of more accurate data and high-resolution
numerical weather prediction methods.

ACKNOWLEDGMENTS

This research was funded by National Natural Science Foundation of China, grant number
41875121.

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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Discussion on ecological restoration model of mine geological

environment taking Shandong as an example

Peng Qin & Zhentao Wang

Shandong Provincial Space Ecological Restoration Center, Jinan, China

Chuanyuan Zhuo
Shandong Institute of Geological Sciences, Jinan, China

Lin Zhao
Shandong Provincial Space Ecological Restoration Center, Jinan, China

Peng Yang
The 8th Bureau of Geological And Mineral Resource Prospecting of Shandong, Rizha, China

Yiping Li
Shandong GEO-Surveying & Mapping Institute, Jinan, China

Xitao Zhao
Shandong Provincial Space Ecological Restoration Center, Jinan, China

ABSTRACT: The ecological restoration of mine geological environment is an important means

to implement the development concept of “green water and green mountains are golden mountains
and silver mountains” and promote the construction of ecological civilization. During the 13th
Five Year Plan period, Shandong Province has carried out a large number of ecological restoration
of mine geological environment and accumulated some achievements and experience. This paper
summarizes the successful models and typical practices of mine geological environment governance
and ecological restoration in the province for reference to other similar regions, finds out the
existing problems and deficiencies, and puts forward improvement measures and suggestions.
According to different recovery objectives, it is mainly divided into four modes: market-oriented
recovery of surplus resources, comprehensive development and management, development of
efficient agriculture, driving diversified tourism in combination with local culture, and planning
and construction of industrial parks.

1 INTRODUCTION

The ecological restoration of mine geological environment is an important means to implement the
development concept of “green water and green mountains are golden mountains and silver moun-
tains” and promote the construction of ecological civilization. By 2017, the damaged mountains
and open pits in Shandong had occupied 3473.54 hm2 of damaged cultivated land, 3355.20 hm2
of damaged grassland, 444.63 hm2 of damaged orchard land, 6198.84 hm2 of damaged forest land,
2464.34 hm2 of damaged construction land, 16358.31 hm2 of other types of damaged land, and
32294.86 hm2 of damaged land. There are 5616.64 hm2 of recoverable cultivated land, 10187.35
hm2 of recoverable forest land, 4666.49 hm2 of recoverable grassland, 1721.67 hm2 of recover-
able orchard land, 674.53 hm2 of recoverable construction land and 9019.65 hm2 of other types
of recoverable land. The cumulative recoverable land is 31886.24 hm2 , and the recoverable rate is
98.73% (Figure 1).

DOI 10.1201/9781003308584-94 671

Figure 1. Histogram of land occupied and recoverable by historical mines.

During the 13th Five Year Plan period, Shandong Province invested about 8 billion yuan in the
restoration and treatment of the geological environment of historical open-pit mines, including
about 170 million yuan from the central government, about 760 million yuan from the provincial
government and 7 billion yuan from the local and social funds. The restoration and treatment
area of the geological environment of historical open-pit mines was 25660 ha. On this basis, this
work summarizes the overall mode and method of mine ecological restoration, which can provide
reference for mine ecological restoration in the future, and has certain reference significance for
introducing social capital to participate in ecological restoration in the future.

2 GOVERNANCE MODEL

2.1 Using residual resources and market-oriented repair

According to the plan for the protection and treatment of mine geological environment in Shandong
Province (2018-2025): “Abandoned quarries with residual resources can be treated with the pro-
ceeds from the recovery of residual resources on the premise of meeting the planning and ensuring
safety and in accordance with the principle of being conducive to the coordination of land use,
ecological restoration and the surrounding environment.” Many cities have successively explored
such governance models and achieved certain results.
The total treatment area of the West abandoned quarry in Wangjiaguanzhuang village, Rizhao
City is about 48.7 hm2 , of which the plane area of the damaged area of the abandoned pit is
31.12 hm2 . The current situation belongs to the mining area of the abandoned ownerless quarry
group that has been destroyed by the old responsible person, which has seriously damaged the
land resources and formed visual pollution. The former land and Resources Bureau of Donggang
District adopted the market-oriented restoration mode and used residual resources to organize and
carry out mine ecological restoration. The disposed waste earthwork is about 2.8 million m3 , the
project construction cost is 84.763 million yuan, and the disposal of waste earthwork is subject
to the transfer income of mining right and resource tax of 14 million yuan. The treatment project
mainly carries out platform leveling and slope greening based on the principle of cutting high and
filling low. After the platform is leveled, the guest soil is covered with green to increase the site
vegetation coverage, cover the damaged mountains, create a characteristic landscape and carry out
ecological restoration, so as to achieve a double harvest of ecological and economic benefits.

2.2 Comprehensive development and management to develop efficient agriculture

Such governance projects are generally far away from cities. Social funds are transferred intensively
through land transfer, contracting and leasing to develop agriculture and realize profits (Chou et al.
2021; He et al. 2021; Zhai et al. 2021; Zhou et al. 2021).

672
 The abandoned mining area of Xingxing mountain in Xiashan District of Weifang City has
left several huge pits with exposed rubble, potential safety hazards and serious visual pollution.
In 2013, the Management Committee of Xiashan District introduced Weifang Huayi Agricultural
Technology Co., Ltd. to promote the restoration and treatment of the geological environment of
the xingxingshan mine. While the project realizes ecological restoration, it introduces a number of
advanced agricultural technologies from Israel, creates a vertical industrial chain based on high-
tech, high value-added planting and aquaculture, and introduces ecological tourism experience
projects to build abandoned mine into an international ecological agriculture demonstration park
integrating scientific research, production, tourism and incubation. Transplant the mature hydro-
ponic technology to the ordinary film greenhouse for demonstration and promotion, attract local
farmers to participate in contract planting, drive farmers to get rich and develop together, and
build an ecological high-yield agricultural industrial park with informatization, standardization,
sustainability, replicability, linkage of three industries and integration of agriculture and tourism.

2.3 Combine with local culture to drive diversified tourism

Governance projects are generally located in the suburbs of cities or near scenic spots. Social funds
use mining heritage resources to build tourism and vacation facilities, amusement parks or mining
parks to develop tourism industry (Han et al. 2021; Wang et al. 2021; Yin et al. 2021).
Weihai Longshan, the former site of Weihai Huaxia City, is located at the south end of Likou
mountain system in Weihai City. In history, Huaxia city has a history of open-pit mining for more
than 50 years. The stope height is generally 20-40m, up to 80m, and the slope is more than 50
degrees. It covers an area of 251.1 hm2 . It is poor stability and high risk. Uncontrolled indiscriminate
opening and mining caused the fragmentation of the mountains, land damage, continuous noise,
indiscriminate sprinkling of stone slag and diffuse dust, which seriously affected the local ecolog-
ical environment, formed a dazzling contrast with the surrounding mountains and seas, vibrant
and picturesque city appearance, greatly reduced the quality of urban geological and geomorphic
landscape, and became a stubborn ringworm in the beautiful face of Weihai City. In 2003, Weihai
adopted the governance model of “government guidance, enterprise participation and multi capital
integration”, and introduced the capital of Huaxia group, a private enterprise, to participate in the
mine ecological restoration. The group has invested 4.43 billion yuan successively. Adhering to the
concept of combining environmental governance with tourism development and enriching the peo-
ple, and focusing on building a “cultural tourism” project, after 14 years of repair and governance,
the group has built Weihai Huaxia city scenic spot, a large-scale eco-cultural tourism destination
integrating 5000 years of Chinese history and traditional culture, marine characteristic culture and
Jiaodong folk culture, It has successfully built a national 5A scenic spot. The scenic spot has been
shortlisted as “China’s top ten most potential theme parks”, won the “best park award of China’s
creative industry”, and was rated as “the first batch of cultural industry demonstration parks in
Shandong Province”, “national cultural industry demonstration base” and “national leisure fishery
demonstration base”. At the same time, Huaxia city has driven the employment of thousands of
villagers, which has become a solid support for Rural Revitalization.
The abandoned Xiangshan mine in Yinan county is located in Xiangshan village, Tongjing
Town, Yinan County, covering an area of more than 67 ha. After years of mining by many mining
enterprises, it has caused mountain damage, mines and serious ecological damage. In order to
restore the green water and green mountains and drive the local people to get rich, with the consent
of the county government, Linyi Baishazhou Tourism Development Co., Ltd. has repaired the
damaged mountains and ponds through scientific planning since 2016, transformed them into
eco-tourism spots, developed rural tourism and revitalized the rural economy. Relying mainly on
the unique landscape resources, fantastic crystal culture and obvious location advantages of quartz
sandstone mine, taking Crystal Green Island and resort sandbar as the image positioning, and taking
theme landscape sightseeing, modern leisure vacation and mineral site sightseeing experience as the
functional positioning, build a tourism and leisure resort with prominent theme. The tourist area is
located on the connecting line between Yimeng ecological Avenue and red tourism special line. It is

673
adjacent to Zhuquan village scenic spot, hongshizhai scenic spot and Maquan creative agricultural
leisure park in the East, Yimeng red film and television base scenic spot in the West and Zhisheng
Tangquan in the south. It can realize the dislocation development and mutual supplement with the
surrounding characteristic scenic spots, and further improve the tourism product structure of Yinan
county, It has realized the nirvana and rebirth of abandoned mines, industrial transformation, and
created a new highlight of rural tourism with domestic characteristics.

2.4 Combined with the planning of industrial park, construction and governance
go hand in hand
It is generally located around the city or in the urban planning area. With the guidance and support of
the government, social funds obtain land use rights at a low price and develop construction projects.
Qilu wine place in Anqiu City, Weifang City is a typical case of this model (Li & Zhan 2021).
Qilu wine place is located in Qinglongshan area, Anqiu City, Weifang City, with a planned area
of 5.1km2 . Convenient transportation and complete infrastructure. The original appearance of the
park is nearly 66.7 hm2 of abandoned quarries, and quarries and pits are everywhere on hills and
barren slopes. Shandong Jingzhi wine industry found hope in the desolation. In order to realize the
ecological dream of “turning waste into treasure, returning green to the mountains and benefiting the
people”, in 2012, it started an entrepreneurial journey of “turning corruption into magic”. In the past,
the hills and barren slopes have become green rivers and mountains with beautiful scenery. With the
core positioning of building a “Happy Town suitable for industry, living and tourism”, Qilu wine
place has overall planned five industrial sectors of “cultural creativity, tourism experience, sports
and leisure, education and training and health preservation”. After years of building, Qilu wine
place has won many awards and has been rated as a nationalAAAA tourist attraction, a characteristic
town in Shandong Province and the first batch of national sports and leisure characteristic towns.

3 MAIN PROBLEMS

3.1 The integration level of mine environment and ecological restoration needs to be improved
The treatment mode of mine geological environment is single, which mainly adopts engineering
construction methods such as slope cutting and unloading, and an effective mode of comprehensive
treatment by multiple means has not been established. Moreover, mining is easy to cause high and
steep slopes and other landforms, and the later treatment is limited by woodlands and rivers, so it
is impossible to use slope cutting, pit filling and other methods for complete treatment. As a result,
the high and steep slope is exposed, which is inconsistent with the treated part.

3.2 The investment mode of mine environmental ecological restoration is single

Over the years, the fund channel for the treatment of mine geological environment in the province
has been single, mainly relying on financial investment to carry out engineering treatment and
ecological restoration. The enthusiasm of social forces to invest in the treatment of mine geological
environment has not been fully mobilized, and the mechanism for the comprehensive use of market,
finance and taxation, land and other policies has not been established.

3.3 The standardization of ecological restoration of geological environment needs to be

strengthened
In recent years, our province has actively carried out the ecological restoration of mine geological
environment and achieved certain results. However, from the perspective of project planning and
engineering technology, the standardization of mine geological restoration and treatment still needs
to be strengthened. On the one hand, scientific and effective technologies and methods must be

674
adopted for the ecological restoration of mine environment. At present, there are no detailed pro-
visions on the standards, procedures, treatment objectives and treatment technical requirements of
mine ecological environment restoration in the province and even in China, and the treatment tech-
nical level needs to be improved; On the other hand, the evaluation system of mine environmental
ecological restoration needs to be established and improved. Ecological restoration is a long-term
process. Reasonable evaluation is an effective guarantee to avoid the one sidedness of the treatment
project and maximize the social benefits of the treatment project.

4 CONCLUSION

During the 13th Five Year Plan period, remarkable achievements have been made in the restoration
and treatment of the geological environment of historical open-pit mines in Shandong Province.
According to different restoration objectives, it is mainly divided into four modes: market-oriented
restoration of residual resources, comprehensive development and treatment, development of effi-
cient agriculture, combination with local culture to drive diversified tourism, and combination with
the planning and construction of industrial parks, The level of integrated governance needs to be
improved, and the investment mode is relatively single. The later work can draw lessons from the
classification of this study to attract social capital.

ACKNOWLEDGMENTS

This work was financially supported by the Scientific Research Project of Shandong Land
Development Group Co.,Ltd. (202107-YJYJJ-009).

REFERENCES

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layout. J. Progress in Geography. 1925–1941.
Fubao Han, Ting Kou, Jinlong Wang etc. (2021). Study on ecological restoration path of open-pit abandoned
mines from the perspective of spatial governance. J. West-China Exploration Engineering. 410–414.
Juanni He, Xi Wang, Sheng Wang etc.(2021). Discussion on ecological restoration types of three typical
abandoned open-pit mines in Weinan City. J. West-China Exploration Engineering. 21–24.
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Ruwei Zhai, Youbo Huang, Lei Qiu (2021). Analysis on garden ecological restoration scheme of closed mines.
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Longchuan County, J. Heyuan City. Smart City. 116–117.

675
 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Research on the blocking effect of vertical isolation barrier on

pollutants in an industrial site

Shaowen Hou
Jiangsu University of Science and Technology, Zhenjiang, China

Shuo Meng
The Second Engineering Co., Ltd. of CTCE Group Suzhou, China

Heng Zhang
Nanjing Kingdom Architectural Design Co., Ltd, Nanjing, China

Kaidong Zhang
Jiangyin Kebo Architectural Design Co., Ltd., Jiangyin, China

ABSTRACT: The application of vertical isolation barriers to block the migration of pollutants
is a common technical method. In this paper, the effects of convection, dispersion, diffusion, and
adsorption on the transport of pollutants are comprehensively considered, and the blocking effect
of vertical isolation barriers with different permeability coefficients on pollutants is analyzed and
studied. With the help of Hydrus-2D software, a two-dimensional coupled model of groundwater
seepage and pollutant migration in a chemically polluted site was established. Numerical analysis
was used to analyze the migration characteristics of pollutants in groundwater, and to study the
barrier effect of isolation barriers on pollutant migration. The results show that in the case of an
isolation barrier with an initial concentration of Cd2+ of 0.1 mg/L, a depth of 17 m, a thickness of 1
m, and the Cd2+ pollution concentration of 0.01 mg/L specified in the Groundwater Environmental
Quality Standard as the breakdown standard, when the permeability coefficient is 1×10−7 cm/s, the
breakdown time is 11,663 days (31.95 years); when the permeability coefficient of the isolation
barrier is 1×10−8 cm/s the breakdown time is 15,460 days (42.36 years).

1 GENERAL INSTRUCTIONS

With the acceleration of the urbanization process and the adjustment of the industrial structure,
the relocation of industrial enterprises presents a general trend (Luo et al. 2011). The relocation
of many heavily polluting enterprises has left behind a large number of industrially polluted sites.
There are a lot of heavy metal pollutants and organic pollutants in the sites left after the relocation of
industrial enterprises, which will bring risks to the human body and the surrounding environment
(Hou et al. 2006). An investigation of 26 polluted sites in Beijing indicated that the main types of
pollutants were volatile semi-volatile organic compounds, pesticides, and heavy metals (Ma et al.
2017). Affected by chemical plants, As, Cd, Pb, and Cu in the groundwater of Hunan Xiawan Port
exceeded the standard by 130 times, 1990 times, 59.8 times, and 2.97 times, respectively, posing
a threat to the safety of drinking water for residents (Xiang et al. 2015). The maximum detectable
concentration of arsenic at the site of a pyrite ore-making enterprise in Hebei was 1590 mg/kg, and
the maximum multiple of exceeding the standard was 25.5 times (Han et al. 2022). Heavy metal
elements such as Pb, Cu, Cr, and Zn are the main pollution factors of soil in Chongqing market (Luo
et al. 2020). Pollutant barrier technology refers to the selection of appropriate isolation structures
and materials based on site geology and the properties of polluted liquids, and the formation of

676 DOI 10.1201/9781003308584-95

geotechnical structures that can delay the transport of pollutants through construction. A vertical
barrier is one of the commonly used means to block the migration of pollutants and is widely used
in polluted sites and landfills (Qian & Guo 1997).
HYDRUS is a software developed by Czech for 2D and 3D motion simulation of water, heat,
and various solutes in variably saturated porous media. It has multiple modules such as slope
stability analysis module, seepage analysis module, constructed wetland module, geochemistry
module, colloid-promoted transportation module, etc. It has been widely used in water conservation,
environmental science, and other fields (Ge et al. 2020; Šimůnek 2008).
The site where a chemical plant is located belongs to a mountainous area. The site is generally
high in the south and low in the north. The slope of the mountain slope is within a range of about
10 degrees. The soil layers of the site are, from top to bottom, mixed fill soil layer, clay layer,
moderately differentiated rock layer, and slightly weathered rock layer. After investigation, many
heavy metals in groundwater exceeded the standard, among which the concentration of cadmium
ions exceeded the standard in the widest range (concentration 0.1 mg/L). In order to solve the
environmental pollution caused by the migration of cadmium ions in the field, a vertical isolation
barrier is arranged on the north side of the slag yard, and the isolation barrier is embedded in
the slightly weathered rock formation, to cut off the migration path of pollutants and ensure the
surrounding environment safety.
In this paper, the HYDRUS-2D numerical analysis software is used to establish a two-
dimensional seepage pollutant migration model, and analyze the anti-seepage and pollution
interception effects of the vertical isolation barrier. Combined with the parameters of each soil
layer in the area, permeability coefficient, dispersion, diffusion coefficient, retardation factor, and
other calculation parameters of each soil layer and vertical isolation barrier were determined, a
two-dimensional pollutant migration model was established, and pollutants were simulated in the
presence of isolation barriers. The relationship between concentration and time and space was
analyzed, and the blocking effect of the vertical isolation barrier on Cd2+ was analyzed.

2 MATHEMATICAL MODEL

2.1 Water flow model

Soil water movement is mainly controlled by Richard’s equation (Zeng 2018).
   
∂θ ∂ ∂θ ∂ ∂θ ∂K
= D + D + (1)
∂t ∂x ∂x ∂z ∂z ∂z

In the formula (1), θ is the volumetric water content, m3 /m3 ; t is the time, s; x, and z are
the distances in the horizontal and vertical directions respectively, m; D is the dispersion coeffi-
cient, referring to molecular diffusion and hydrodynamic dispersion, m2 /s, K is the unsaturated
permeability coefficient, cm/s.
The soil hydrodynamic properties and K in the above formula are modified by the van Genuchten
equation (Genuchten 1980). This equation can describe soil hydrodynamic properties more flexibly
when soil water is close to saturation. The equation is as follows:
 θs −θr
θr + ,h<0
θ= [1+|αh|n ]1−1/n (2)
θs , h ≥ 0

In the formula (2), θ is the volumetric water content; θs is the saturated soil water content,
m3 /m3 ; θr is the residual soil water content, m3 /m3 ; α and n is the correlation coefficient of the soil
moisture characteristic curve.

677
2.2 Solute transport model
The soil solute in the field is mainly controlled by the convection-dispersion equation(Zhang et al.
2013, 2020).

∂C ∂ 2C ∂C
Rd = D 2 − vi (3)
∂t ∂xi ∂xi
ρd
Rd = 1 +
Kd (4)
n
In the formula (3) and (4), C is the solute concentration, mg/L; Rd is the retardation factor,
dimensionless; n is the porosity; Kd is the linear isothermal adsorption partition coefficient,
mg/kg.

3 SIMULATION CALCULATION OF POLLUTANT MIGRATION

3.1 Finite element calculation model

In this paper, based on the survey point data in the geological survey report, the reference section
is obtained, and the finite element numerical analysis model of the pollutant migration of the site
is established, as shown in Figure 1 below. By using numerical model calculation, the long-term
migration and development trend of Cd2+ in the site stratum is predicted, and then the pollution
resistance effect of the vertical isolation barrier is analyzed.

Figure 1. Finite element calculation model.

3.2 Initial conditions and boundary conditions for seepage

This simulation condition considers the most unfavorable working condition that the water level on
the south side of the polluted site is higher and the water level on the north side is lower. Through
the geological survey report, it is obtained that the water level of the upstream site of the barrier is
−2 m underground, and the water level of the outer site of the barrier is −6 m underground. The
boundary water head settings on the left and right sides of the model are distributed linearly along
the depth.

678
3.3 Initial and boundary conditions for pollutant transport
According to the actual measurement, the maximum concentration of Cd2+ in the polluted site can
reach 0.1 mg/L, and 0.1 mg/L as the initial concentration of the site. The solute transport boundary
is set as the constant concentration boundary.

3.4 Calculated parameters

In this paper, mixed fill, silty clay, moderately weathered rock, slightly weathered rock, and vertical
isolation barriers are equivalent to soil. On the basis of referring to “Design and Construction of
Anti-fouling Barriers for Landfills and Polluted Sites” (Qian et al. 2017) and the geological survey
report, the VG model parameters, dispersion, diffusion coefficient, and retardation factor of each
soil layer α were determined, as shown in Table 1.

Table 1. Calculated parameters.

Medium Lightly Vertical

Miscellaneous Silty weathered rock weathered rock isolation
Parameter fill clay formations formations barrier

Porosity 45% 40% 27% 25% 30%

0.078 0.001 0.001 0.001 0.001
θS 0.45 0.4 0.27 0.25 0.2
Permeability 5.1×103 1.4×104 2×106 2×108 1×107 ∼1×108
coefficient/(cm/s)
θr 0.036 0.2 0.005 0.005 0.005
n 1.2 1.3 1.6 1.6 1.6
Dry density/(g/cm3 ) 1.5 1.6 2.2 2.4 2
Lateral dispersion/m 0.1 0.1 0.1 0.1 0.1
Longitudinal dispersion/m 0.01 0.01 0.01 0.01 0.01
D/(10−10 m2 /s) 21.4 12.5 6.3 5.3 7.1
Kd /(mL/g) 0.4 1.3 1.5 2.2 2.2

Since the permeability coefficient of the isolation barrier is in the range of 10−7 cm/s and
10−8 cm/s, the permeability coefficient of the isolation barrier is selected as two working conditions
of 1×10−7 cm/s and 1×10−8 cm/s respectively for calculation.

4 RESULTS AND DISCUSSION

4.1 Barrier with permeability coefficient of 1×10−7 cm/s

Figure 2. Migration when the barrier is high permeability.

679
 It can be seen from the Figure 2 that from the 0th year to the 50th year, Cd2+ migrated downward
from the top of the site, driven by the water flow. After the pollutants are blocked by the isolation
barrier, they accumulate inside the barrier, and the local concentration rises. At the same time,
pollutants enter the rock formation under the action of water flow. During the 50th to 100th years,
the contaminants continued to migrate toward the isolation barrier, and some contaminants passed
through the barrier.

4.2 Barrier with permeability coefficient of 1×10−8 cm/s

Figure 3. Migration when the barrier is low permeability.

As can be seen from the Figure 3, from the 0th year to the 100th year, Cd2+ migrated downward
from the top of the site, driven by the water flow. Contaminants are blocked by the isolation barrier,
and a small number of contaminants pass through the barrier. By comparing the migration of
pollutants under two working conditions (permeability coefficient 1×10−8 cm/s and 1×10−7 cm/s),
it was found that when the permeability coefficient is 1×10−8 cm/s, the concentration of Cd2+ the
blocking effect is better. It is observed that the permeability of the isolation barrier has a very
significant effect on the isolation effect of pollutants.

4.3 Contaminant breakdown curve

Further, by setting observation points outside the isolation barrier, the breakthrough curves of Cd2+
under different conditions are obtained, as shown in the following figure

Figure 4. Breakthrough curves of Cd2+ .

680
 Barrier failure refers to the loss of the effectiveness of the antifouling barrier in protecting the
environment, which is the time node when the leachate causes harm to the environment. In this
paper, the pollutant concentration specified in the Groundwater Environmental Quality Standard
is used as the breakdown standard (Zhu et al. 2016). According to the relevant specifications, the
contamination concentration of Cd2+ is 0.01 mg/L. It can be seen from the above figure that when
the permeability coefficient of the isolation barrier is 1×10−7 cm/s, the breakthrough time is 11,663
days (31.95 years); when the permeability coefficient of the isolation barrier is 1×10−8 cm/s, the
breakthrough time is 15,460 days (42.36 years).

5 CONCLUSIONS

Based on the results and discussions presented above, the conclusions are obtained as follows:
(1) After setting up vertical isolation barriers around the polluted site, it can hinder the movement
of pollutants on the site to a certain extent, and effectively reduce the outward migration of
pollutants on the site.
(2) The groundwater seepage caused by the water level difference in the site will accelerate the
migration of pollutants in the site. Therefore, reducing the groundwater level of the polluted site
and hindering the groundwater seepage is a reasonable means to reduce the outward migration
of pollutants.
(3) The permeability of the vertical isolation barrier is one of the important factors affecting the
breakdown of the isolation barrier by pollutants. Therefore, improving the impermeability of
the vertical isolation barrier can effectively improve the blocking effect of the vertical isolation
barrier on pollutants, and improve the service life of the vertical isolation barrier.

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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Risk assessment of coal-fired solid waste for landfill and soil

improvement on soil

L. Jiang
North China Electric Power Research Institute Co., Ltd, Beijing, P.R. China

Y. Xu
Beijing Huake Tonghe Technology Co., Ltd, Beijing, P.R. China

L. Du
North China Electric Power Research Institute Co., Ltd, Beijing, P.R. China

ABSTRACT: In this paper, the content of heavy metals, leaching toxicity value and nutrient
content of coal-fired solid waste (fly ash and desulfurization gypsum) from a coal-fired power
plant in Northwest China were selected to qualitatively evaluate the impact on local soil, so as to
guide the large-scale comprehensive utilization of coal-fired solid waste for soil improvement and
landfill. The distribution of nutrients in fly ash and desulfurized gypsum has good complementarity.
From the perspective of nutrient composition, the mixture of fly ash and gypsum (2:1) has a more
favorable impact on soil. From the perspective of nutrient composition, controlled element content,
the addition of gypsum and fly ash will not adversely affect the original nutrient composition and
controlled element content of soil. From the perspective of leaching toxicity, the addition of gypsum
and fly ash will increase the leaching toxicity content of As and Se in soil, but they still meet the
water quality standard of class IV groundwater. When the leaching toxicity of As and Se in fly ash
and gypsum does not exceed the standard, a large amount of coal-fired solid waste (fly ash and
desulfurization gypsum) can be digested by mixing with soil.

1 INTRODUCTION

The solid waste of coal-fired power plant mainly includes fly ash and desulfurization gypsum. The
former mainly comes from the ash in pulverized coal and the latter mainly comes from the by-
product of wet flue gas desulfurization. The annual output of fly ash in China is about 600 million
tons, and the comprehensive utilization rate is about 70%; The annual output of desulfurized
gypsum is about 71 million tons, and the comprehensive utilization rate is about 83% (Jiang 2020;
Yang 2018). However, the comprehensive utilization rate in Western China is only about 30%,
resulting in a large number of fly ash and desulfurization gypsum being stacked in the coal ash
yard (Lei 2017). It not only wastes a lot of solid resources, but also causes a certain degree of
environmental risk to the local soil and groundwater. At the same time, a lot of funds need to be
invested in anti-seepage and other environmental protection measures in the ash yard (Si et al.
2017).
The ecological environment in Northwest China is mainly broken terrain, loose soil, dry climate
and little rain, lack of water resources and low vegetation coverage, which is easy to lead to vertical
and horizontal gullies, soil erosion and land shortage/desertification (Yang et al. 2020). Due to
years of natural erosion or human activities, the natural gullies on the high loess slope have the
risk of landslides, especially in bad natural weather (Xu et al. 2021). The geological conditions
and characteristics of Northwest China provide the possibility for large-scale filling of coal-fired
solid waste and soil improvement. However, there will be harmful substances represented by heavy

DOI 10.1201/9781003308584-96 683

metals in coal-fired solid waste. It is necessary to first detect the existing form and content of
harmful substances in coal-fired solid waste, evaluate the risk to soil and groundwater after soil
improvement, and take appropriate measures to control or remove harmful substances, so as to
realize the large-scale application of coal-fired solid waste for gully filling and soil improvement
in Northwest China (Wu et al. 2020).
In this study, the content of heavy metals, leaching toxicity value and nutrient content of solid
wastes (fly ash and desulfurization gypsum) from a coal-fired power plant in Northwest China were
selected to qualitatively evaluate the impact on local soil. The impact of coal-fired solid waste on
soil blending is evaluated from three perspectives: nutrient composition, heavy metal content and
leaching toxicity value, so as to guide the large-scale comprehensive utilization of coal-fired solid
waste for soil improvement and landfill.

2 EXPERIMENT AND METHODS

2.1 Detection index and detection method

The materials used in the experiment are as follows: dry fly ash without moisture tracing, desulfur-
ization gypsum after normal dehydration, soil on the surface layer where the power plant is located
and deionized water. The production process of the mixture is as follows: after mixing according
to a certain proportion, place it on the vibrating platform for continuous vibration for 1h, then add
deionized water with 15% of the total mass of the mixture, stir evenly and stand for 7 days.
The content of each element in various solid substances and the specified test items are mainly
based on the standard <Soil environmental quality standard for soil pollution risk control of agri-
cultural land> (GB 15618-2018). The tested elements are cadmium (Cd), mercury (Hg), arsenic
(As), lead (Pb), chromium (Cr), copper (Cu), nickel (Ni) and zinc (Zn).
The leaching toxicity content and specified test items of various elements in various solid sub-
stances are mainly based on the standard <Quality standard for groundwater> (GB/T 14848-2017).
The detected elements are iron (Fe), manganese (Mn), copper (Cu), zinc (Zn), aluminum (Al),
sodium (Na), mercury (Hg), arsenic (As), selenium (Se), cadmium (Cd) and chromium (Cr6+ ).
The contents of available potassium, organic matter, nitrate nitrogen and available phosphorus
in various solid substances are mainly detected with reference to the detection methods of various
organic components in soil (Gong et al. 2009).

2.2 Experimental instrument

The main test instruments used in the test mainly include: pH meter, electronic balance, atomic fluo-
rescence photometer, inductively coupled plasma emission spectrometer, visible spectrophotometer
and atomic absorption spectrophotometer.

3 RESULTS AND DISCUSSIONS

3.1 Nutrient composition of soil and coal-fired solid waste

The soil used in the experiment is rich in nutrients: the grade of available phosphorus is rich; the
grade of organic matter is above middle; the grade of available potassium is extremely abundant;
the grade of nitrate nitrogen is lack. The contents of available phosphorus and organic matter in
fly ash are higher than the soil background value, which can effectively improve the contents of
the above two nutrients in soil. The high effective potassium content and low pH in desulfurized
gypsum can effectively improve the characteristics of fly ash. The mixture of soil and fly ash, and
the mixture of soil, fly ash and gypsum have little difference in nutritional composition.
Due to the complementarity of fly ash and desulfurized gypsum, the contents of nutrients in the
mixture of fly ash and gypsum are higher than those in soil. However, if there is only pure fly ash

684
and desulfurized gypsum without adding desulfurized gypsum to fly ash, the nitrate nitrogen and
pH in fly ash have a negative impact on the soil, and the content of available phosphorus and organic
matter in desulfurized gypsum is extremely deficient, which will also lead to uneven impact on
the soil. From the perspective of nutrient composition, the available phosphorus of the mixture (fly
ash: gypsum = 2:1) is extremely abundant, the content of organic matter is medium and upper, the
content of available potassium is also medium and upper, the content of nitrate nitrogen is higher
than that of soil, and the pH of the mixture can be controlled at 9.2, which has a more favorable
impact on the soil.
From the perspective of nutritional composition, the addition of gypsum and fly ash will not
deteriorate the nutritional composition of the soil, and can digest a large amount of coal-fired solid
waste.
Table 1. Different state content of arsenic in fly ash and coal (10−6 ).

Available Nitrate Organic Available

Substance and grade phosphorus nitrogen matter potassium pH

Items mg/kg mg/kg g/kg mg/kg /

Soil 27.0 43.6 25.3 290 8.97
Ash fly 60 0.361 30.2 82 10.86
Ash fly : Desulfurized gypsum (3:1) 46.7 6.03 23.19 119 9.27
Ash fly : Desulfurized gypsum (2:1) 41.2 8.09 20.65 129 9.21
Ash fly : Desulfurized gypsum (1:1) 32.4 7.46 16.19 155 9.17
Ash fly : Desulfurized gypsum (1:2) 22.2 14.6 11.50 178 8.85
Desulfurized gypsum <0.5 8.71 2.17 228 7.93
Soil : Ash fly (3:1) 57.9 38.2 28.0 198 9.83
Soil : Ash fly : Desulfurized gypsum (9:2:1) 44.4 17.7 23.2 202 9.09
Grade 1 (extremely abundant) >40 >150 >40 >200 /
Grade 2 (rich) 20∼39 120∼150 30∼40 150∼199 /
Grade 3 (above middle) 10∼19 90∼119 20∼30 100∼149 /
Grade 4 (below middle) 5∼10 60∼89 10∼20 50∼99 /
Grade 5 (lack) 3∼5 30∼59 6∼10 30∼49 /
Grade 6 (extremely lack) <3 <30 <6 <30 /

3.2 Heavy metal content in soil and coal-fired solid waste

Table 2 shows the content of each controlled element in the test soil and the mixture with solid
waste. The content of each element in the three samples has little difference and meets the soil
standard of agricultural land. The contents of different controlled elements in different substances
vary greatly, and the contents of Cu, Ni, Zn, As, Pb and Cr in fly ash are significantly higher than
those in desulfurized gypsum. Except elements of Hg and Cd, the contents of controlled elements in
other soils were significantly higher than those in desulfurization gypsum. The overall performance
of environmental risk is: fly ash > soil > desulfurization gypsum.
In comparison, the content of controlled elements in the mixture with fly ash and gypsum is
lower, whose environmental risk is lower. From the perspective of controlled element content, the
addition of gypsum and fly ash will not increase the content of controlled elements in soil, and can
also digest a large amount of coal-fired solid waste.

3.3 Leaching toxicity content in soil and coal-fired solid waste

Among the leaching toxicity of fly ash, the leaching toxicity values of all metals (except Fe)
exceed the leaching toxicity of local soil, and the contents of Al, As and Cr6+ exceed the class III
groundwater quality standard, indicating that fly ash will cause certain environmental risks to soil

685
Table 2. Heavy metal content and evaluation of soil and coal-fired solid waste (10−6 ).

Substance and standard Cd Cr Fe As Hg Cu Ni Zn

Soil 0.704 59.6 28700 14.8 0.780 34.0 10.2 80.9

Ash fly 0.367 75.8 21.0 14.6 0.396 50.0 17.6 179
Desulfurized gypsum 0.122 2.54 0.798 1.82 0.918 1.73 1.16 8.51
Soil : Ash fly (3:1) 0.331 45.0 19900 11.9 0.538 24.7 6.29 64.7
Soil : Ash fly : Desulfurized gypsum (9:2:1) 0.684 24.7 10900 10.8 0.614 18.6 5.98 44.1
GB 15618-2018 Risk screening value ≤ 0.6 ≤ 250 ≤ 25 ≤ 3.4 ≤ 100 ≤ 190 ≤ 300
Maximum risk control value ≤ 1.5 ≤ 800 ≤ 200 ≤ 2.0 / / /

and groundwater. Only leaching toxicity values of As and Zn of desulfurized gypsum exceed the
local soil leaching toxicity values, and both meet the quality standards of class III groundwater,
indicating that the environmental risk of desulfurized gypsum to soil and groundwater is very
limited.
In the three soil samples, except As and Se, there is little difference in the leaching toxicity
content of each element, and all meet the class III groundwater quality standard. For As, only
increasing fly ash can lead to excessive leaching toxicity of As in the soil, while the soil with
gypsum additives meets the class IV water quality standard of groundwater as the same as the
original soil. For Se, the addition of coal-fired solid waste can improve the leaching toxicity of Se
in soil, but it also meets the class IV groundwater quality standard.
In general, from the perspective of leaching toxicity content, the addition of gypsum and fly
ash will increase the leaching toxicity content of as and Se in soil, but they still meet the class IV
groundwater quality standard. Therefore, a large amount of coal-fired solid waste can be digested
when the leaching toxicity of the above two elements in fly ash and gypsum does not exceed the
standard.

Table 3. Leaching toxicity content and evaluation of soil and coal-fired solid waste (mg/L).

Substance and standard Hg (µg/L) As (µg/L) Cr6+ Cr Al Se Zn Fe Mn

Soil <0.04 17.7 <0.004 <0.01 0.2 0.0008 <0.006 0.18 0.0473
Ash fly <0.04 11.7 0.053 0.06 2.1 0.0012 <0.006 <0.03 <0.001
Desulfurized gypsum <0.04 2.7 <0.004 <0.01 <0.1 0.0032 <0.006 <0.03 <0.001
Soil : Ash fly (3:1) <0.04 50.8 0.026 <0.01 0.2 0.0794 <0.006 <0.03 0.0499
Soil : Ash fly : Desulfurized <0.04 29.0 0.025 0.02 0.2 0.0619 <0.006 <0.03 0.0569
gypsum (9:3:1)
GB 5085.3-2007 100 5000 5 15 / / 100 / /
GB 8978 50 500 0.5 1.5 / / 2 / 2
GB.T 14848-2017 I ≤ 0.1 ≤1 ≤ 0.005 / ≤ 0.01 ≤ 0.01 ≤ 0.05 ≤ 0.1 ≤ 0.05
II ≤ 0.1 ≤1 ≤ 0.01 / ≤ 0.05 ≤ 0.01 ≤ 0.5 ≤ 0.2 ≤ 0.05
III ≤1 ≤ 10 ≤ 0.05 / ≤ 0.2 ≤ 0.01 ≤1 ≤ 0.3 ≤ 0.1
IV ≤2 ≤ 50 ≤ 0.1 / ≤ 0.5 ≤ 0.1 ≤5 ≤2 ≤ 1.5
V >2 >50 >0.1 / >0.5 >0.1 >5 >2 >1.5

4 CONCLUSIONS

(1) The distribution of nutrients in fly ash and desulfurized gypsum has good complementarity.
The content of available phosphorus (extremely abundant) and organic matter (abundant) in
fly ash is high, while the content of available potassium (extremely abundant) in desulfurized

686
 gypsum is high, and the pH of desulfurized gypsum can also neutralize the high alkalinity
in fly ash, so as to reduce the salinization impact of fly ash on soil. From the perspective of
nutrient composition, the mixture of fly ash and gypsum (2:1) has a more favorable impact on
soil.
(2) From the perspective of nutrient composition, controlled element content, the addition of
gypsum and fly ash will not adversely affect the original nutrient composition and controlled
element content of soil. From the perspective of leaching toxicity, the addition of gypsum and
fly ash will increase the leaching toxicity content of As and Se in soil, but they still meet the
water quality standard of class IV groundwater. When the leaching toxicity of the above two
elements in fly ash and gypsum does not exceed the standard, a large amount of coal-fired
solid waste (fly ash and desulfurization gypsum) can be digested by mixing with soil.

REFERENCES

Gong, X., Xu, M. H., & D. Zhang (2009) Sequential extraction of heavy metals in fly ash from a coal-fired
power plant. Journal of Engineering Thermophysics. 30(10), 1775–1778.
Jiang, L. (2020) Comprehensive utilization situation of fly ash in coal-fired power plants and its development
suggestions. Clean Coal Technology. 26(4), 31–39.
Lei, R., Fu, D. S., & G. F. Li (2013) Research progress of fly ash comprehensive utilization. Clean Coal
Technology. 19(3), 106–109.
Si, X. F., Li, Y. H., & Y. Huang (2017) Environmental pollution and control of ash storage field in coal-fired
power plants. Environmental Engineering. 35(11), 110–113+119.
Wu, L., Zheng, Y. H., & Z. G. Zhang (2020) Assessment of nutrient and pollution risk of fly ash as a soil
amendment. Environmental Science & Technology. 43(09), 219–227.
Xu, D., Ji, P. H., Wang, L., Zhao, X., Hu, X. F., Huang, X. R., Zhao, H. H., & F. H. Liu (2021) Effect of
modified fly ash on environmental safety of two soils contaminated with cadmium and lead. Ecotoxicology
and Environmental Safety. 215(1), 1–9.
Yang, D. L., & Z. Y. Yang (2018) Current situation of comprehensive utilization of desulphurization gypsum
in China. Sulphuric Acid Industry. 9, 4–8.
Yang, Z. S., Zhang, F. R., & H. Wang (2020) Analysis on the differences and its green development ways of
ecologically fragile areas in China. Ecology and Environmental Sciences. 29(06), 1071–1077.

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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Remediation effect of surfactant on coking plant soil contaminated by

high concentration polycyclic aromatic hydrocarbons

Xuan Gong∗ & Wen Qian Li

Environmental Engineering, Northeastern University, Shen Yang, Liao Ning, China

ABSTRACT: Polycyclic aromatic hydrocarbons (PAHs) cause harm to the environment and
human health. PAHs contaminated soil, sediment, and groundwater have become a common envi-
ronmental problem. The concentration of PAHs in abandoned coking plants is extremely high,
but there have been technical difficulties in remediation of this kind of contaminated soil. The
main obstacle is that the excessively high concentration of PAHs makes conventional bioremedi-
ation methods difficult to achieve ideal results. In this study, surfactants (TX100 and TW80) and
biosurfactant (alkyl glycoside APG) are used to treat the coking plant-soil contaminated by high
concentration PAHs, adopting the column leaching method to achieve the removal effect of PAHs
in soil. The results showed that for soil A, the concentration of PAHs was relatively low, and the
removal rate of total PAHs by TW80 was the highest. The removal rates of total PAHs by 1.5%
TW80 and 2.5% TW80 were 19.7% and 31.6%, respectively. The removal rates of 1.5% TX100,
2.5% TX100,1.5% APG, and 2.5% APG were 12.2%, 22.5%, 12.4%, and 28.8% respectively; For
soil B, the concentration of PAHs is relatively high, the removal rate of total PAHs in soil by each
eluent is lower than that in soil A. The removal rates of 1.5% TW80 and 2.5% TW80 for total PAHs
in soil were 11.3% and 17.8%, respectively. The removal rates of 1.5% TX100, 2.5% TX100, 1.5%
APG, and 2.5% APG were 7.4%, 13.4%, 9.3%, and 11.2%, respectively.

1 INTRODUCTION

Polycyclic aromatic hydrocarbons (PAHs) cause harm to the environment and human health. PAHs
contaminated soil, sediment, and groundwater have become a common environmental problem.
The concentration of PAHs in abandoned coking plants is extremely high, but there have been
technical difficulties in remediation of this kind of contaminated soil. The main obstacle is that the
excessively high concentration of PAHs makes conventional bioremediation methods difficult to
achieve ideal results. Surfactant is a type of organic compound that can be both hydrophilic and
lipophilic, and can reduce the surface tension of water or other liquids effectively. In this study,
surfactants (TX100 and TW80) and biosurfactants (alkyl glycoside APG) are used to treat the
coking plant-soil contaminated by high concentration PAHs, adopting the column leaching method
to achieve their removal effect of PAHs in soil.

2 EXPERIMENTAL MATERIALS AND METHOD

2.1 Experimental soils

The experimental soils are collected from the abandoned site of a coking plant in Beijing. The site
has a production and processing history of more than 50 years. Investigations confirm the existence
of various PAHs pollutants on site. We collect heavily contaminated soils in the plant, with the soil

∗ Corresponding Author: [email protected]

688 DOI 10.1201/9781003308584-97

column height ranging from 0 to 20 cm. The samples are sealed in cloth bags, and brought back
to the laboratory for natural ventilation, air drying, and grinding before screening with a 2 mm
sieve. After mixing evenly, the samples are preserved at 4◦ C for later use. The basic physical and
chemical properties of the experimental soils are shown in Table 1.

Table 1. Chemical and physical characteristics of the experimental soils.

Experimental soils PAHs (mg/kg) TN (%) TP (%) pH Org.-C (%) TK (%)

Coking plant soil A 408.9 0.204 1.266 6.95 4.53 19.0

Coking plant soil B 996.8 0.124 1.334 6.45 2.72 22.1

The concentration data of PAHs in soil are shown in Table 2.

2.2 Experimental eluent

1.5% and 2.5% Tween 80 (TW 80) surfactant solution;
1.5% and 2.5% Triton X-100 (TX100) surfactant solution;
1.5% and 2.5% APG surfactant solution.

2.3 Other reagents and instruments

Triton X-100 (TX100), Tween 80 (TW 80): Chemical Pure, Sinopharm Chemical Reagent Co.,
Ltd.;
Alkyl polyglycosides (APG0810, 50%, degree of polymerization 1.2 ∼ 1.8): Shandong Hengia
Pharmaceutical Development Co., Ltd.
Acetone (analytical pure, Shenyang Economic and Technological Development Zone Reagent
Factory), dichloromethane and n-hexane (analytical pure, Tianjin Concord Technology Co.,
Ltd.), acetonitrile (chromatographic pure, Tianjin Concord Technology Co., Ltd.), and methanol
(chromatographic pure, Shandong YuWang Industrial Co., Ltd.).
High Performance Liquid Chromatograph (Agilent 1200 series), JJ500 Precision Electronic Bal-
ance (G&G GmbH Co., Ltd.), Sartorius Electronic Balance (Model BP221S, Sartorius Co., Ltd.),
Low Speed Automatic Balance Centrifuge (Model DT5-2, Beijing Era Beili Centrifuge Co., Ltd.),
HZQ-C Constant Temperature Oscillator (Harbin Donglian Electronic Technology Development
Co., Ltd.)

Table 2. PAHs concentrations in the experiential soils.

Concentration (mg kg−1)

AHs Number of rings Logkow (25◦ C) Coking plant soil A Coking plant soil B

Phenanthrene (Phe) 3 4.60 121.6 ± 7.2 63.7 ± 8.6

Anthracene (Ant) 3 4.50 30.8 ± 2.1 10.3 ± 1.5
Fluoranthene (Flt) 4 5.22 55.2 ± 1.7 151.7 ± 17.2
Pyrene (Pyt) 4 5.18 67.8 ± 2.3 172.5 ± 13.6
Benzo(a)anthracene (Baa) 4 5.61 32.8 ± 3.3 93.9 ± 8.6
Chrysene (Chry) 4 5.91 23.2 ± 1.1 56.8 ± 4.9
Benzo(b)fluoranthene (Bbf) 5 6.12 18.2 ± 1.6 103.9 ± 8.4
Benzo(k)fluoranthene (Bkf) 5 6.00 16.8 ± 1.5 43.9 ± 4.8
Benzo(a)pyrene (Bap) 5 6.50 15.5 ± 1.2 99.0 ± 7.6
Dibenzo(ah)anthracene (Daha) 5 6.50 13.4 ± 1.1 12.0 ± 9.7
Benzo(ghi)perylene (Bghip) 6 7.10 7.2 ± 0.9 95.2 ± 11.2
Indeno(cd)pyrene (Icdp) 6 6.58 6.4 ± 1.1 93.9 ± 17.1
Total 408.9 ± 52.3 996.8 ± 102.6

689
2.4 Elution device and method
Load the column with 20 g of contaminated soil uniformly. The column should be 15–20 cm high,
with an inner diameter of 4 cm approximately. The soil column is first filled with glass beads,
which are used to adjust the space of the elution column, and at the same time, prevent preferential
flow, so that the flow of eluent is more uniform. There should be a 3-mm-high glass wool layer
placed upon the beads, and the contaminated soil should be filled in after the glass wool layer.
Afterward, place another 3- mm-high glass wool layer upon the soil layer to prevent the soil from
moving up and down with the eluent. The eluent flowing out of the soil column is collected by a
glass measuring cylinder. The content of PAHs in the leaching solution is determined, based on
which the removal rate of PAHs can be obtained. See Figure 1 for the specific experimental device.

Figure 1. Experimental soil column.

The experimental soil column includes 1-drain pipe, 2-column, 3-soil, 4-glass beads, 5-collecting
cup, 6-eluent, 7-inlet, and 8-valve.
The removal effect of PAHs in the soil is studied under the eluent-soil ratio (v/w) of 20/1. Four
repetitions are set up in the experiment, and the experimental replicate design is shown in Figure 2.

Figure 2. Experimental replicate design.

peristaltic pump-9, holder-10, fixing clip-11, liquid storage bottle-12, reducer-13, rubber tubing-14, eluent-15,
multiple-tube passage-16.

690
2.5 Surfactant sample treatment
Take 3 mL of eluent collected during the experiment and add it into a centrifuge tube which can
be covered and sealed. Then, add 2 mL n-hexane into the centrifuge tube and shake the mixture
in an oscillator for 5 min before centrifugation, during which process the aqueous phase and the
organic phase are separated. The recovered organic phase is concentrated by a rotary evaporator,
dried by nitrogen, fixed with acetonitrile, and then transferred to a chromatographic injection bottle
for determination by high-performance liquid chromatography.

2.6 Liquid chromatographic analysis method

The high-performance liquid chromatography is of Agilent 1200 series, with a C-18 chro-
matographic column (ZORBAX Eclipse). The samples of contaminated soil are detected by a
fluorescence detector, and the chromatographic conditions are as follows: the column temperature
is 35◦ C; the mobile phase is acetonitrile and water; the ratio of acetonitrile increases linearly from
60% to 100% at the beginning of 35 min; the ratio is kept for 10 min before the ratio of acetonitrile
decreases linearly from 100% to 60% within the next 10 min; and the ratio is kept for another
5 min; the flow velocity is 0.5 mL min-1; the injection amount is 10 µL; all kinds of PAHs are
measured at their respective emission/excitation wavelengths.

3 RESULTS AND DISCUSSION

3.1 Total removal rate of PAHs in coking plant soil

Three surfactants, TW80, TX100, and APG, are used in this chapter. Figures 1 and 2 show the
removal rates of total polycyclic aromatic hydrocarbons in soil A and B by three surfactants respec-
tively. It can be seen from the figure that the concentration and type of surfactant have an obvious
influence on the removal of PAHs. For soil A, the concentration of PAHs is relatively low, and
the removal rate of total PAHs by TW80 is the highest. The removal rates of total PAHs by 1.5%
TW80 and 2.5% TW80 are 19.7% and 31.6%, respectively. The removal rates of 1.5% TX100,
2.5% TX100, 1.5% APG, and 2.5% APG are 12.2%, 22.5%, 12.4%, and 28.8%, respectively.
For soil B, the concentration of PAHs is relatively high. The removal rate of total PAHs in soil
by each eluent is lower than that in soil A. The difference in removal rate of total PAHs by each
eluent is similar to that in soil A. The removal rates of 1.5% TW80 and 2.5% TW80 for total PAHs
in soil are 11.3% and 17.8%, respectively. The removal rates of 1.5% TX100, 2.5% TX100 1.5%
APG, and 2.5% APG are 7.4%, 13.4%, 9.3%, and 11.2%, respectively.
Comparing the results shown in the diagrams, it can be seen that the concentration of PAHs in
soil has a significant impact on the removal effect of each surfactant. The experimental soil used in
this study is the contaminated soil of a coking plant, which contains a relatively high concentration
of PAHs. As a result, the removal effect of the above surfactants on PAHs in the soil is not very high,
which is different from many research results obtained by adopting artificial soil as experimental
soil (Yan et al. 2015). The interfacial migration process of PAHs is limited mainly because of the
high concentration of PAHs and the aging effect. In addition, to reduce the amount of eluent, the
removal effect of high concentration biosurfactants on PAHs is not investigated in this study. Ji
Hongju (Ji et al. 2016) et al. set the concentration of TW80 at 0-12.5% while studying the removal
effect of similar surfactants on PAHs in coking plant soil. They concluded that with the increase in
surfactant concentration, the removal rate of PAHs increased accordingly. The main purpose of this
study is to provide technical support for the establishment of biosurfactants, biodiesel compound
eluents, and microbial remediation in the later stage. Excessive concentration of surfactants can
help achieve better removal efficiency of PAHs, but it also limits the effect of compound eluent and
bioremediation, which are of great significance in improving remediation efficiency and economic
feasibility of PAHs contaminated soil.

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Figure 3. Total PAH removals from contaminated oil A by three surfactants, TW80, TX100, and APG.

Figure 4. Total PAH removals from contaminated soil B by three surfactants, TW80, TX100, and APG.

3.2 Removal rate of individual PAH in coking plant soil

Besides the removal rate of total PAHs in soil, it is also of a great significance to analyze the
removal rate of PAHs with different ring numbers and molecular weights, because the physical and
chemical properties of each type of PAH are quite different, and additionally, their toxicological
characteristics and environmental behaviors are completely different. Therefore, the removal effi-
ciency of each type of PAH under various treatment conditions is analyzed respectively to provide
a basis for further understanding of the removal efficiency of PAHs in soil.

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3.2.1 Individual PAH removals in soil by TW80

Figure 5. Individual PAH removals from contaminated soil A by TW80.

It can be seen from Figure 5 that TW80 shows little difference in removal efficiency of each PAH
in soil A. Besides, the removal rate of PAHs tends to increase with the increase of molecular weight.
This contradicts the results obtained with artificially contaminated soil. Under the experimental
conditions of artificial soil, the removal rate of low molecular weight PAHs is usually higher, while
that of high molecular weight PAHs is relatively low. The trend obtained in this study may attribute
to the initial concentration of PAHs and the aging process, because the initial concentration of
high molecular weight PAHs is relatively low, and the high molecular weight limits their aging
and locking in the soil at the same time. However, under the artificial simulated soil conditions,
the environmental behavior of high molecular weight PAHs such as benzo(a)pyrene is usually not
examined. The concentration setting is relatively higher on the other hand. Both contribute to the
different results concluded in this study (Wei 2015). The differences shown give another example
proving the necessity of using the original contaminated soil for the experimental study. In addition,
when the concentration of TW80 increases from 1.5% to 2.5%, the removal rate of PAHs increases
correspondingly.
Similarly, the removal of individual PAH in soil A by TW80 is shown in Figure 6. Comparing the
treatment results of soil A and soil B, it can be seen that the removal efficiency of individual PAHs
decreases with the increase of PAH concentration in soil. Moreover, at 1.5% TW80 concentration,
the removal rate no longer increases with the increase of molecular weight. This may be because
such a concentration of TW80 is closer to the critical micelle concentration (CMC) of the surfactant.
Another possible reason might be the high concentration of PAHs in the soil makes the solubilization
effect of TW80 less obvious. On the other hand, the main active principle of TW80 is that the added
TW80 solution can effectively reduce the interfacial tension of PAHs in soil and void water spread
in soil particles, at the same time increase the water solubility of PAHs, so that PAHs in the soil
can transfer to solution-phase (Yang et al. 2003). Because of the increase of PAHs in soil, the
solubilization of PAHs decreases relatively. The removal rate of PAHs decreases accordingly. To
improve the removal rate of PAHs, one option is to increase the concentration of TW80. However,
this will lead to an increase in surfactant dosage, resulting in higher remediation costs and ecological
risk of residual surfactants in soil. In addition, a higher TW80 concentration leads to its combination

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Figure 6. Individual PAH removals from contaminated soil B by TW80.

with PAHs in soil, forming viscous substances to block the gaps within, resulting in the inability of
PAHs to be eluted and affecting the transfer of PAHs in polluted areas (Wang & Chen 2012). As a
typical nonionic surfactant, TW80 has low CMC, relatively low price, and strong solubility. It can
also reduce the possibility of strong adsorption and is easily biodegradable. However, when using
TW80 for leaching remediation on PAHs contaminated soil, many factors should be considered,
including soil pollution status, soil properties, elution ability of TW80, and the feasibility of
combining other remediation technologies, to comprehensively determine the optimal scheme.
As for the residue of TW80 in the soil after leaching, Chen Weiwei (Chen et al. 2010)et al.
verified through experiments that the nonionic surfactant TW80 had a good elution effect on
DDTs in soil, and to prevent the residual surfactant from re-polluting the ecological environment,
deionized water was added to the soil. As a result, the residual TW80 in the soil was found removed
almost completely.

3.2.2 Individual PAH removals in soil by TX100

Figures 7 and 8 show the removal of individual PAH in soil A and soil B by TX100. On the whole,
the removal rate of individual PAH in soil by TX100 is lower than that by TW80. However, similar
to TW80, the removal rates of individual PAHs are close to each other, except that those of high
molecular weight PAHs are slightly higher. There is no phenomenon that the removal rates of
low molecular weight PAHs are significantly higher than those of high molecular weight PAHs as
reported in other studies. This is an outcome resulting from multiple factors such as the aging of
the original contaminated soil, locking effect, and pollutant concentration. Villa (Villa et al. 2010)
et al. use nonionic surfactant TX-100 as eluent for the remediation of contaminated soil. It was
found that the removal rates of DDT and DDD in soil were 66% and 80% respectively, while the
diesel oil in soil was completely removed. This result indicates that the removal effects of TX100
on different pollutants are quite different, proving an important prerequisite for selecting leaching
agents pertinently for the efficient remediation of contaminated soil.
Different surfactants have different CMC. However, the decrease in CMC does not necessarily
mean an absolute increase in solubilization ability. In other words, the CMC value cannot effectively
measure the solubilization ability of surfactants. Therefore, to study the solubilization ability of

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Figure 7. Individual PAH removals from contaminated soil A by TX100.

Figure 8. Individual PAH removals from contaminated soil B by TX100.

various surfactants, it is necessary to further evaluate and compare the solubilization of PAHs by
single and mixed surfactant systems (Yan et al. 2015).
The concentrations of surfactants designed in this study are relatively low. In many studies, the
concentrations of the above surfactants are as high as 5% or 10% (Wei 2015). It is shown that with

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the increase of surfactant concentration, solubilization increases sharply at first and then levels
off gradually. This trend has been obtained by both Peng et al. and Zhi Yinfang (Zhi et al. 2007)
et al. in their research on solubilization. Peng (Peng et al. 2011) et al. focused on the solubilization
of PAHs by TW80 and TX100, while Zhi et al. studied that of diesel oil by LAS and TX100.
Such a surfactant concentration relatively improved the removal rate of PAHs. However, inevitable
problems about economic feasibility and environmental risks may emerge. In this study, we strive
to reduce the dosage of surfactants, and use biosurfactants, biodiesel, and microbial remediation
as compensation, to provide support for improving the economic and technical feasibility of this
study.

3.2.3 Individual PAH removals in soil by APG

Besides ionic surfactants, biosurfactants are also frequently used in leaching contaminated soil. In
this study, we take alkyl polyglycosides (APG) as a representative to study the removal effect of
biosurfactants by leaching on PAHs contaminated soil and compare the result with that of the ionic
surfactants mentioned above.

Figure 9. Individual PAH removals from contaminated soil A by APG.

Figures 9 and 10 show the removal of individual PAH in soil A and soil B by APG. The total and
individual removal rates of APG and TX100 are close. The removal trend reflected is also similar to
each other. Li Guo studied the solubilization of PAHs in soil by surfactants in the presence of various
hydrophobic organic compounds (HOCs) of diesel oil. The results showed that the solubilization
of surfactants to diesel oil follows the sequence: rhamnolipid > TX100 > APG > TW80 > LAS
> SDS. However, the action sequence concluded in this study contrasts that above, which may
attribute to the diesel oil-contaminated soil used in Li’s study. The coexisting components in the
soil he used were also affected by the solubilization of surfactants, while the contaminants in our
study are mainly PAHs, which are less disturbed by other pollutants (Li et al. 2011). Yang et al.
also studied the application of APG. He combined APG with an electrochemical reaction to remove
phenanthrene from kaolinite (Yang et al. 2005). APG has obvious advantages compared with other
surfactants. As a biosurfactant synthesized from renewable natural fatty alcohol and glucose, APG
has the characteristics of both anionic and nonionic surfactants and is easy to biodegrade (Qin et al.

696
2003). Besides, it has excellent performance and its raw material is widely available and easily
accessible (Dong et al. 2008).

Figure 10. Individual PAH removals from contaminated soil B by APG.

4 CONCLUSION

In this study, surfactants (TX100 and TW80) and biosurfactant (alkyl glycoside APG) are used
to treat the coking plant-soil contaminated with high concentration PAHs, adopting the column
leaching method to obtain their removal effect on PAHs in soil.
The main conclusions can be summarized as follows:
(1) For soil A, the concentration of PAHs is relatively low, and the removal rate of total PAHs by
TW80 is the highest. The removal rates of total PAHs by 1.5% TW80 and 2.5% TW80 are
19.7% and 31.6%, respectively. The removal rates of 1.5% TX100, 2.5% TX100 and 1.5%
APG, 2.5% APG are 12.2%, 22.5%, 12.4% and 28.8%, respectively.
(2) For soil B, the concentration of PAHs is relatively high. The removal rate of total PAHs in soil
by each eluent is lower than that in soil A. The removal rates of 1.5% TW80 and 2.5% TW80
for total PAHs in soil are 11.3% and 17.8%, respectively. The removal rates of 1.5% TX100,
2.5% TX100,1.5% APG, and 2.5% APG are 7.4%, 13.4%, 9.3%, and 11.2%, respectively.
The removal rates of individual PAHs are close to each other, except that those of high molecular
weight PAHs are slightly higher. This is an outcome resulting from multiple factors such as the
aging of the original contaminated soil, locking effect, and pollutant concentration.

ACKNOWLEDGEMENT

This research was financially supported by Study on the Potential of Air Pollutant Emission
Reduction in Iron and Steel Industry Based on DMFA (No. N2025008).

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299–237.
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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Evaluation of water resources carrying capacity for shale gas

development in China: A case from Weiyuan field

Anqi Liu
CNPC Research Institution of Safety & Environment Technology, P.R. China

Meijia Xu
School of Management Science and Engineering, Central University of Finance and Economics, P.R. China

Bo Yuan∗
CNPC Research Institution of Safety & Environment Technology, P.R. China

Shaokang Li
State Key Laboratory of Evironment Criteria and Risk Assessment, Chinese Research Academy of
Environmental Science, P.R. China

ABSTRACT: The environmental impact of shale gas production has become increasingly promi-
nent, particularly the intensive water consumption of hydraulic fracturing technology, which might
threaten the security of water resources in shale gas field. Thus, this study employed the water
resources supply-demand balance method to calculate the maximum scale of shale gas produc-
tion. An evaluation framework (comprising nine indexes) for the water resources carrying capacity
(WRCC) of shale gas development in China was established using the fuzzy-analytic hierarchy pro-
cess (FAHP) approach, and the Weiyuan shale gas filed in Sichuan province, China, was selected
for case study. Results show that the value of WRCC index of Weiyuan is 0.76, indicating that
the area’s water resources system can sustain shale gas production. Besides, Weiyuan’s maximum
WRCC for shale gas production is 4174 to 6678 wells. The developed WRCC evaluation model
enables policy makers comprehensively understand the water impacts associated with tapping shale
gas in China, contributing to the sustainable development of the country’s shale gas sector.

1 INTRODUCTION

As shale gas production continuously grows in China, the potential threats associated with the
energy production to water resources become prominent. China is estimated to have the world
largest shale gas reserves (31.6 trillion cubic meters), approximately the sum of that of the U.S. and
Canada (EIA 2013). However, compared to the production of conventional natural gas, shale gas
development has significantly higher water consumption due to the hydraulic fracturing technique,
which is commonly used in low-permeability shale formation to increase gas flow to a well. Since
most shale gas fields in China are water-scarce areas, large-scale production of shale gas will raise
the demand for local water resources, which may interfere with agricultural irrigation, industrial
production, and residents’ daily living, threatening the water sustainability of regions (Wang et al.
2018). Thus, the impact of shale gas development on water resources should be completely evaluated
to guarantee the security of water system.
Much have been done about quantifying the water impacts and proposing water solutions for
China’s shale gas production. Chang et al. and Wang et al. used life-cycle inventory modeling

∗ Corresponding Author: [email protected]

DOI 10.1201/9781003308584-98 699

approach to quantify the water consumption associated with typical shale gas production in China
(Chang et al. 2014; Wang et al. 2018). Xie et al.further classified the water resources into blue and
grey water and estimated their consumption during shale gas exploration (Xie et.al 2019). Ren et al.
used bi-objective programming model to optimize the water use of shale gas production (Ren et al.
2019). Guo et al. projected the total water demand to achieve China’s shale gas production targets
(Guo et al. 2016). However, since water resources involve multiple end-users (such as agricultural
irrigation, residential use, and industrial production), the impact of shale gas production on the
water resources carrying capacity (WRCC) of a region should be evaluated in a systematic manner,
i.e., embedding shale gas production in social and economic context.
To fill the aforementioned knowledge gap, this study establishes a methodological framework for
evaluating the WRCC of shale gas development in China. First, we employed the water resources
supply-demand balance method to quantify the WRCC of shale gas production. Second, an index
system for WRCC evaluation that is specific to China’s shale gas production practice was estab-
lished. Third, using the fuzzy-analytic hierarchy process (FAHP) approach, the WRCC of shale
gas production was evaluated, and the Weiyuan shale gas filed in Sichuan province, China, was
selected for case study. The WRCC evaluation framework proposed by this study provides shale
gas developers and policy makers an approach to comprehensively understand the water impact of
shale gas exploration, contributing to the green development of China’s shale gas sector.

2 WRCC FOR SHALE GAS DEVELOPMENT

2.1 Concept of WRCC

The concept of WRCC refers to the maximum support of water resources for economic, social,
and ecological environment (Feng et al. 2008; Yu et al. 2003). The WRCC of a given region is
dynamic, varying with its economic and social development. As for shale gas exploration, WRCC
analysis focuses on calculating the maximum scale of shale gas well drilling based on the study
area’s specific conditions, such as water resources availability, population, and industrial scale.
The water resources supply-demand balance method (GAQSIQ 2017; Liu et al. 2012)is widely
employed for WRCC evaluation. Based on the balance between the supply and demand of regional
water resources, the method compares and analyses the total amount of water availability and
water consumption to quantify current supply-demand conflict of water resources and to predict
the ability of water resources to support social and economic development.

2.2 Calculation of shale gas development scale based on WRCC

This study selected Weiyuan shale gas filed in Sichuan province, China, for case study. The calcu-
lation of WRCC for shale gas development consists of three modules, including the water supply
module, water consumption module, and shale gas development module.

2.2.1 Water supply module

Since the water resources consumed by Weiyuan shale gas field mainly derived from surface water,
this module only considers surface water as the water supplier for shale gas production. According
to the water resources bulletin of Neijiang in 2015, the total water resources in Weiyuan area are
288.57 million m3 .

2.2.2 Water consumption module

The total water consumption (Wtotal consumption ) of Weiyuan area includes domestic water (Wdomestic ),
industrial water (Windustrial ), agricultural water (Wagricultural ), and ecological water (Wecological ), see
equation (1).

Wtotal consumption = Wdomestic + Windustrial + Wagricultural + Wecological (1)

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 It should be noted that the domestic water consumption (Wdomestic ) consists of the water use of
both urban and rural residents. Since the urbanization rate in China is projected to be 75% by 2030,
the potential growth of urban and rural population of Weiyuan can be calculated. Then, according
to the quota of urban and rural domestic water consumption, the Wdomestic (m3 ) can be calculated,
see equation (2).
365qm
Wdomestic = (2)
1000
Where q is per capita domestic water quota, L/(capitaday); m is the number of people in the
forecast period, person.
The total industrial water consumption is calculated by equation (3).

Windustrial = QC + QD + QR (3)
Where QC is direct water consumption, m3 /year; QD is water discharge, m3 /year; QR is repeated
water consumption, m3 /year.
Agricultural water mainly refers to irrigation water use, and is calculated by equation (4).

Wagricultural = uω (4)
3
Where u is the irrigation water consumption quota of a certain type of crop, m /acre; ω is the
irrigated area of the crop, acre.
Wecological is ecological water consumption, comprising the water consumption of greenland,
urban sanitation water, and water replenishing for river and lake. Wecological can be calculated by
equation (5).

Wecological = Sgreen qgreen + Surban qsanitation + Swater qwater (5)

Where Sgreen is the area of greenland, acre; qgreen is the irrigation water consumption quota of
greenland, m3 /acre; Surban is the urban area, acre; qsanitation is the water consumption quota for urban
sanitation, m3 /acre; Swater is the area of river and lake, acre; qwater is the water replenishing quota
for river and lake, m3 /acre.
According to the water resources bulletin of Neijiang in 2015, the water consumption of Weiyuan
area can be estimated, see Table 1.

Table 1. Water consumption in weiyuan.

Classification Content Amount (million m3 )

By source Surface water 191.14

Underground water 5.77
By use Domestic 31.79
Agriculture 81.67
Industry 82.97
Ecology 0.48

2.2.3 Shale gas development module

According to the annual surface water availability (288.57 million m3 ) and water consumption
(196.91 million m3 ) in Weiyuan area, the amount of water resources available for shale gas devel-
opment in 2015 is calculated to be 91.66 million m3 . Since the water consumption of one typical
shale gas well production in China is about 22500 to 36000 m3 with the flowback rate of 39%,
the fresh water consumption of one well was estimated to be 13725 to 21960 m3 . Based on the
equation (6), the maximum carrying capacity of shale gas production in Weiyuan area in 2015 was
calculated to be 4174 to 6678 wells.

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 Wavailable − Wtotal consumption
N= (6)
e
Where N is the number of shale gas wells in the study area; e is the water consumption per shale
gas well, m3 /well.

3 EVALUATION OF WRCC FOR SHALE GAS DEVELOPMENT

3.1 Evaluation index system

Based on the concept of WRCC and the practice of shale gas production in China, we developed
a WRCC evaluation index system for shale gas development. The system consists of three criteria
(including nine indexes), reflecting the situation of water demand and supply, see Table 2. Also,
the recommended score of the evaluation indexes, ranging from 1 to 10, is shown in Table 2.

Table 2. Evaluation index system of WRCC and the recommended scores for shale gas development.

Recommended
A: Aim B: Criterion C: Index Index value index score

WRCC of B1 : Regional C1 : Water resources 389.5∼1200.5 7∼10

shale gas water per capita (m3 ) 322.5∼389.5 5∼7
development resources 270∼322.5 3∼5
abundance 0∼270 1∼3
C2 : Dryness 0∼1 10∼7
1∼1.5 7∼5
1.5∼4 5∼3
4∼16 3∼1
>16 1
abundance C3 : Utilization ratio of 0∼10% 10∼7
water resources 10%∼30% 7∼3
30%∼100% 3∼1
B2 : Water C4 : Domestic Water 728∼2244 7∼10
resources Consumption per 603∼728 5∼7
pressure of capita per day (L/d) 505∼603 3∼5
society <505 1∼3
C5 : Ecological water 30%∼100% 3∼10
consumption rate <30% 1∼3
C6 : Industrial water ≥ 0.25 10
consumption per 0.1∼0.25 3∼10
day (million m3 /d) 0∼0.1 1∼3
C7 : Agricultural water ≥ 20 10
consumption per 3∼20 3∼10
second (m3 /s) 0∼3 1∼3
B3 : Water C8 : Water consumption per 22500∼36000 1∼10
resources shale gas well (m3 )
pressure of C9 : Flowback rate of fracturing fluid 0∼10% 10∼7
shale gas 10%∼20% 7∼3
development 20%∼30% 3∼1
>30% 1

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3.2 Determination of evaluation index score and weight
3.2.1 Scoring evaluation index
According to the water resources bulletin of Neijiang in 2015 and the shale gas production practice
of China National Petroleum Corporation (CNPC) in Weiyuan shale gas field, the value of the
indicators (C1 to C9 ) was determined, see Table 3. Following the scoring recommendation listed in
Table 2, the score of each evaluation index was calculated, see Table 3.

Table 3. The value and score of WRCC evaluation index for shale gas development.

C: Index Value Score

C1 Water resources per capita 484 m3 7.3

C2 Dryness 2.5 4.2
C3 Utilization ratio of water resources 51% 2.4
C4 Domestic Water Consumption 146 L/d 1.6
C5 Ecological water consumption rate 0.3% 1.0
C6 Industrial water consumption 0.227 million m3 /d 8.9
C7 Agricultural water consumption 2.6 m3 /s 2.7
C8 Water consumption per shale gas well 3.24×104 m3 6.6
C9 Flowback rate of fracturing fluid 30% 1.0

3.2.2 Weighting evaluation index

To comprehensively analyse the shale gas development’s impact on groundwater environment, the
fuzzy-analytic hierarchy process (FAHP) was adopted to weight the evaluation indexes (Al Mamun
et al. 2019; Dahiya et al. 2017). A 0.1–0.9 scale method was used to construct the pair-wise
judgment matrix, shown in Table 4, and the weight of each evaluation index was calculated, see
Table 5.
Table 4. 0.1–0.9 Scale method.
Score of index’s importance Definition Note

0.5 Equally important Compared index Cj , index Ci is equally important as Cj

0.6 Slightly important Index Ci is slightly important than Cj
0.7 Fairly important Index Ci is fairly important than Cj .
0.8 Extremely important Index Ci is extremely important than Cj .
0.9 Perfectly important Index Ci is perfectly important than Cj
0.1, 0.2, 0.3, 0.4 Opposite meaning Compared with index Cj , if the score of Ci ’s importance
is rij , the score of Cj ’s importance is rji = 1 − rij

Table 5. The weight of WRCC evaluation index for shale gas development.

C: Index Recommended weight

C1 Water resources per capita 0.19

C2 Dryness 0.19
C3 Utilization ratio of water resources 0.12
C4 Domestic Water Consumption 0.05
C5 Ecological water consumption rate 0.06
C6 Industrial water consumption 0.04
C7 Agricultural water consumption 0.05
C8 Water consumption per shale gas well 0.17
C9 Flowback rate of fracturing fluid 0.13

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3.3 Comprehensive evaluation
The evaluation of WRCC for shale gas development is a multi-level and multi-element decision-
making system, and the subsystems and elements are interlinked. Thus, we adopted the linear
weighted index method for comprehensive evaluation, see equation (7).

Zk = X j λj (7)

Where Zk is the comprehensive score of subsystem k; Xj is the score of evaluation index j of the
subsystem k; λj is the weight of the evaluation index j of the subsystem k
In Weiyuan shale gas field, ZB1 = 2.473; ZB2 = 0.631; ZB3 = 1.252. Since the WRCC for shale
gas development reflects the relationship between water supply and water demand, the support
and pressure of water resources should be considered. Specially, for Weiyuan area, the carrying
capacity support (CCS) index is the sum of the value of each evaluation index in the regional
water resources abundance (B1 ) subsystem, i.e., CCS = ZB1 = 2.473; the carrying capacity pressure
(CCP) index is the sum of the value of each evaluation index in water resources pressure of
society (B2 ) subsystem and water resources pressure of shale gas development (B3 ) subsystem,
i.e., CCP = ZB2 + ZB3 = 1.883.
Since the carrying capacity index (CCI) is the ratio of CCP to CCS (i.e., CCP = CCP
CCS
), the CCI in
Weiyuan shale gas field is calculated to be 0.76. Generally, CCI >1 means that the water resources
system is overloaded; CCI=1 indicates that the water resources system reaches its maximum car-
rying capacity; and CCI<1 indicates that the pressure is less than the supporting capacity of water
resources system. Thus, the CCI value of Weiyuan shows that the water resources system in this
area can sustain shale gas development.

4 CONCLUSION

On the basis of the pressure-support capacity of water resources, this study proposed a theoretical
framework for evaluating the WRCC of shale gas development in China, and the Weiyuan shale gas
field in Sichuan province was selected for case study. Results of this study show that approximately
92 million m3 of water resources in Weiyuan are available for shale gas development in 2015, and
the maximum carrying capacity is estimated to be 4174 to 6678 shale gas wells. The WRCC of
Weiyuan is dominatingly affected by water resources per capital, dryness, and water consumption
per shale gas well. The value of Weiyuan’s WRCC is calculated to be 0.76, showing that the area’s
water resources system can sustain shale gas production.

ACKNOWLEDGMENTS

This work was financially supported by the National Science and Technology Major Project
(2016ZX05040).

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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Investigation and restoration of chromium slag contaminated site

Xiaozhao Wang, Liuchen Yang, Zexi Li; Dan Xing & Dan Xia∗
Shaanxi Institute of Geology and Mineral Resources Experiment Co., Ltd., Xi’an, Shanxi, P.R. China

ABSTRACT: With the continuous development of China’s industrial industry, ecological envi-
ronment pollution is becoming more and more serious, according to the current specific pollution
of the ecological environment to carry out effective investigation and repair work, can promote
the orderly construction of ecological civilization. Chromium residue pollution is an important
pollution problem in industrial production. In the investigation of chromium slag pollution, it is
necessary to comprehensively analyze the site of chromium slag pollution, grasp the purpose and
principle of pollution investigation of industrial enterprises, and have a correct understanding of
the harm of chromium slag pollution. At the same time, it is necessary to determine the appropriate
investigation content from different angles, master the characteristics and existing problems of
each chromium slag contaminated site, and conduct in-depth analysis of the specific remediation
technology of chromium contaminated site, reduce the pollution degree of chromium slag, and
promote the orderly development of ecological environmental protection.

1 INTRODUCTION

Chromium is an important metal resource and an important chemical raw material in the process
of industrial development. China is a major producer of chromite in the world. The migration and
transformation of chromite in ecological environment is active, and it can be carried out among
atmosphere, water body, soil and organisms. Hexavalent chromium is highly toxic and easily soluble
in water. It migrates easily in soil and water and seriously threatens ecological environment quality
and human health. In recent years, more and more attention has been paid to the investigation
and research of chromium-contaminated sites. According to the specific situation of chromium-
contaminated sites, scientific and reasonable remediation technology should be adopted to treat
chromium-contaminated sites, so as to reduce the pollution intensity of chromium-contaminated
sites as much as possible and improve the level of ecological environment treatment.

2 PURPOSE AND PRINCIPLE OF POLLUTION INVESTIGATION OF INDUSTRIAL

ENTERPRISES

Before chromium slag contamination investigation, it is necessary to analyze the industrial enter-
prise pollution site investigation, site investigation, strengthen industrial enterprise pollution can
take the relevant elements of environment pollution, especially can effectively identify and confirm
the main pollutants, which is beneficial to the health degree of soil properties and soil science.
Therefore, the comprehensive utilization value of the site is analyzed to provide an accurate and
reliable basis for the subsequent restoration work. In general, before the investigation of contami-
nated sites of industrial enterprises, it is necessary to carry out the investigation from the aspects of
land use planning and related requirements, to understand the health risks of land properties, and

∗ Corresponding Author: [email protected]

706 DOI 10.1201/9781003308584-99

at the same time, to conduct in-depth investigation of pollutant components, to master the situation
of specific pollutants and the harm to human body and ecological environment. In addition, the
risk that can be accepted by the human body should be scientifically assessed. If the soil risk of
the contaminated site does not reach the limit value or other indicators are still within the standard
range of safe use, it does not need to be repaired and can be directly used. If the risk is relatively
high, effective remediation must be carried out according to the degree of soil pollution, and the
soil quality should be tested to determine the corresponding risk reaches the standard range before
development and utilization (Liu et al. 2019). It is necessary to follow the investigation principle to
ensure the reliability of the investigation results when carrying out the investigation of contaminated
sites of industrial enterprises. In the investigation of contaminated sites of industrial enterprises,
there are many types of pollutants, so there will be pollution in water resources, soil and space
environment. In order to conduct a full investigation of the contamination, normative principles
must be followed. Investigators should clarify the specific requirements and operating standards
of the investigation to ensure that the investigation standards are carried out in an orderly manner.
In particular, the application of investigation process and investigation technology must follow the
corresponding system and technical requirements to ensure the standardization of the investigation
work. In addition, the principle of operability should also be followed. In the specific investigation
process, different factors such as investigation funds, investigators and investigation techniques
should be fully considered, and scientific and perfect investigation plans should be made to ensure
the smooth operation of the investigation (Zhang 2020).

3 HARM OF CHROMIUM RESIDUE POLLUTION

Chromium slag depositing site refers to the polluted site caused by a large amount of chromium
salt depositing site. The main reason for serious pollution of chromium slag depositing site is that
there is no effective treatment of chromium slag. In addition, the amount of chromium residue pile
up is relatively large, resulting in the soil, surface water and space environment of the pile up site
suffered great pollution. Chromium slag itself will cause harm to the ecological environment and
human health, strengthening the investigation of chromium slag pollution is an important basis to
ensure the smooth operation of chromium slag pollution control. At present, the pollution control of
chromium slag has been listed as the key content of environmental control work in China, requiring
effective treatment of the producing area of chromium slag heap and the contaminated soil, so as
to ensure the harmless treatment of chromium slag heap. The harmful components in chromium
slag are mainly soluble sodium chromate and acid soluble calcium chromate, which seriously harm
human health. In particular, acid-soluble calcium chromate and other compounds into the human
body will produce a series of lesions, such as edema, upper abdominal swelling and pain, anemia,
pulmonary fibrosis, cardiomyopathy, liver and kidney lesions, loss of consciousness, and may even
lead to death. And toxic and harmful compounds in the way of steam through the respiratory tract
will enter the human body, directly lead to gastrointestinal diseases, white blood cell decline and
lung lesions similar to asthma. Contact dermatitis or burns can occur if the compound comes into
contact with the skin. In addition, soluble sodium chromate and acid-soluble calcium chromate
have strong carcinogenicity, and their continuous accumulation in human body will greatly increase
the probability of human lung cancer (Dong 2019).

4 CONTENT OF INVESTIGATION ON SITE CONTAMINATED BY CHROMIUM

RESIDUE

4.1 Complete the survey of spatial distribution

In the investigation of chromium-contaminated sites, it is necessary to master the specific situa-
tion of the spatial distribution of chromium in the soil. Generally, the investigation and analysis

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Figure 1. Chromium slag pollution to water body.

should proceed from the following two aspects to ensure the reliability of the spatial distribution
analysis results: First, horizontal distribution analysis. In the actual investigation, a comprehensive
investigation should be carried out on typical soil waste chromium production sites and chromium
residue stacking sites according to the specific investigation area. Different sampling points can
be arranged in the horizontal direction, and the concentration and average concentration level of
chromium in the soil within a specific range can be accurately mastered according to the sample
analysis results. In the process of horizontal distribution analysis, the need to make sure that sample
size is enough, at the same time by using statistical software was carried out on the field distribution
of the pollutants, can visually display the specific distribution of chromium pollution in situations
of the survey and laws, especially for some chemical production enterprises and chromium slag
yard in the investigation, the analysis of the need to strengthen the whole process work, to conduct a
comprehensive investigation of possible chromium contamination sites, such as raw material work-
shops, production workshops, waste storage sites, an adequate number of sampling sites should be
ensured. Ahp fuzzy detection method can be used to evaluate the data of thousands of sampling
points. It can ensure the reliability of the survey results. Second, vertical distribution analysis.
Vertical distribution analysis is mainly to study the vertical distribution of pollutants in the site
and master the pollution risk of groundwater. In the analysis of vertical distribution, it is necessary
to select different soil depths to carry out research, and vertical sampling is mainly used to study
the chromium residues in different soil layers. At the same time, the transport of chromium in soil
should be evaluated comprehensively according to the physical and chemical properties of different
soil layers and the possibility of vertical transport should be judged scientifically. In the process of
vertical distribution analysis, classical statistical methods can be used to process the relevant data,
and special attention should be paid to the gap analysis of hexavalent chromium in different layers
of the sampling point, and the contour map of chromium should be drawn.

4.2 Ecological risk analysis

It is necessary to strengthen the ecological risk analysis when investigating the site contaminated by
chromium residue. The ecological risk caused by chromium pollution in space environment must
be paid attention to before scientific selection of remediation technology can be made according
to the investigation results. At present, the ecological risk analysis of chromium slag contaminated
sites mainly includes the following methods: First, the potential ecological risk index is used to
scientifically evaluate the heavy metal pollution of the same kind. Potential ecological risk index is a

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method to evaluate the degree of geographical pollution and potential ecological harm. This method
is simple and quick to use, and can obtain more reliable evaluation results. Ecological risk index
mainly includes metal content, data price, biological toxicity index, sensitivity and other related
contents, which can reflect the specific impact of each pollutant in a particular environment and
analyze the comprehensive impact of various pollutants. The contents of heavy metals in surface
sediments, types of pollutants, toxicity levels and sensitivity of water to heavy metal pollution
can be comprehensively analyzed. The ecological risk index can be calculated by determining
the pollutant content in sediment samples. The potential ecological risk index can show various
characteristics such as bioavailability, relative contribution ratio and geographical space difference,
and can reflect the specific impact of heavy metals in sediment. In the investigation of chromium
slag contaminated site, the application of this method can grasp the specific impact of chromium
pollution on soil and ecological environment, and can scientifically evaluate the ecological risk
of this area. Second, the assessment of heavy metal pollution content in vegetable fields is an
important method to master the ecological risk of chromium contaminated sites. In the specific
analysis process, it is necessary to analyze the chromium residue level in the plant crops planted
on the soil. Therefore, the analysis of the chromium pollution in soil is conducive to scientific
judgment of the main ecological risk of the site contaminated by chromium residue. Third, the
secondary toxicity effect and critical concentration of chromium in soil were calculated by using
a simple foreign food chain model. The ecological risk of chromium in soil was investigated and
analyzed based on the data, and the migration and transformation of toxic heavy metals in the food
chain should be comprehensively mastered. In this way, the ecological risk can be scientifically
assessed through the food chain. For example, the chromium absorption rate of spinach and rice
is relatively high, and the chromium content of spinach and rice will be transferred to chickens,
cattle and sheep through the food chain, resulting in high chromium content of chicken, mutton
and beef. On this basis, daily food safety risks can be scientifically judged (Bian et al. 2020).

5 CHARACTERISTICS AND PROBLEMS OF CHROMIUM SLAG DEPOSITING SITE

At the present stage, the characteristics of chromium slag storage sites in China are mainly reflected
in the following aspects: First, there are many sites in the chromium slag contaminated sites, and the
pollution scope is relatively wide, and the specific situation of the chromium slag site is not deeply
understood in the investigation work, which will affect the reliability of the investigation results.
Because of the wide application range of chromium salt products, products in short supply, promote
the development of chromium salt production industry. China is of chromic salt production country
in the world, with the constant development of industry of chromate production process, some
small factories lack of ecological environmental protection consciousness, to scientific research
and production process in strict control, reduce the pollution, led to a nationwide, large and small,
chromium production factory has had a different degree of environment pollution, and pollution
places are hidden, There is no relevant information record, and there is a problem of incomplete and
in-depth understanding of the relevant situation in the investigation work, which directly affects the
repair effect of the chromium slag storage site. Second, the enterprise management of chromium
slag industry is not standardized, and the equipment of chromium slag storage is relatively simple.
The production date of most of our country’s factories is outdated, the management mechanism
is not perfect, there are problems of running and leaking. The chromium slag pile in the factory
area is relatively large, and the management of chromium pollution and chromium slag is not paid
attention to in the production process. Chromium slag storage site facilities are relatively simple,
which will lead to further expansion of chromium pollution.
At present, most of the sites in China have been treated innocently, but because of the serious
chromium pollution, the problems of soil and groundwater caused by chromium slag can not be
effectively solved in a short time. Therefore, it is necessary to put forward effective comprehensive
treatment and remediation measures according to the specific situation of chromium slag pollution
to improve the remediation effect of chromium slag. At present, there is a lack of accurate data

709
support, and the processing technology and repair technology are not perfect. Especially repair
management cost is higher, there is no mature project management experience, coupled with the
different areas of chromium slag site soil condition, hydrological condition and pollution condition,
etc. There are great differences, also no corresponding laws and regulations in our country, lead
to chromium slag piling site repair and pollution control work cannot be carried out orderly and
stable.

6 REMEDIATION TECHNOLOGY FOR SITES CONTAMINATED BY CHROMIUM

RESIDUE

6.1 Mining technology

Excavation and remediation technology mainly refers to the use of manual or mechanical means
to excavate the soil in the site of chromium residue accumulation. In the process of excavation,
attention should be paid to the follow-up treatment of excavated soil, and various remediation
technologies and methods should be effectively utilized in different stages of site restoration. In
general, excavation technology is applied in sites with deep soil layer and relatively light pollution,
or sites with heavy pollution but relatively small area. It should be noted that the excavation
and remediation technology only transfers the environmental problems and does not remove the
pollutants in the soil. Therefore, there are still ecological risks and health risks, and it can only be
used as an auxiliary remediation technology, not as the main remediation technology.

6.2 Chemical reduction technology

In the application of chemical reduction technology, it is necessary to use iron filings, ferrous
sulfate, sulfide and other readily available chemical reducing agents to reduce hexavalent chromium
into trivalent chromium. Trivalent chromium itself is insoluble, can reduce the mobility of chromium
in space activity, reduce chromium pollution and harm degree. In the application of chemical
reduction technology, it is necessary to pay attention to scientific selection of reducing agent,
ensure that reducing agent can be directly added to the soil, and pay attention to the selection of
low cost reducing agent, so as to ensure the application benefit of this technology. At present, in the
research process, filled reducing agent is used to simulate the permeable redox reaction before, and
then the solution containing hexavalent chromium flows through this region, so that the reduction
of hexavalent chromium can be analyzed.

6.3 Chemical cleaning technique

Chemical cleaning technology is also an important technology for remediation of chromium residue
contaminated sites. In the application of chemical cleaning technology, it can promote the disso-
lution of pollutants in the soil environment. The hydraulic pressure head is used to promote the
cleaning liquid, which is directly injected into the contaminated soil layer, and then the liquid
containing pollutants is pulled out from the soil layer to carry out separation and sewage treatment.
At present, chemical cleaning technology mainly includes in situ chemical cleaning technology
and ectopic chemical cleaning technology. In the application of chemical cleaning technology, sci-
entific selection of cleaning liquid is needed. The cleaning liquid may contain some complexing
agent or directly use clean water. In situ chemical cleaning technology refers to that the cleaning
solution is directly added to the contaminated area, and the chromium in the soil is fully mixed
into the cleaning solution. The cleaning solution penetrates down or is discharged horizontally, and
the cleaning solution containing chromium pollutants is collected for centralized treatment. This
kind of chemical cleaning technology is suitable for porous and permeable soil, but not suitable for
fine soil such as yellow soil and red soil. This repair technology is relatively mature, and the cost
is relatively low. Ectopic chemical cleaning technology is to excavate contaminated soil and then

710
Figure 2. Redox remediation technology for chromium pollution.

clean it. It is suitable for soil areas with clay content below 25% and soil contaminated by heavy
metals, radionuclides and petroleum hydrocarbons (Wang et al. 2020).

Figure 3. Chemical cleaning technology process.

6.4 Bioremediation technology

Biological remediation technology is also a common remediation technology used in the remedia-
tion of chromium residue contaminated sites. Bioremediation requires the use of microorganisms,

711
plants or animals to degrade and absorb or enrich pollutants in groundwater and soil, which is a
chromium pollution remediation technology with relatively high green level. According to disposal
site, it can be divided into in situ bioremediation and ectopic bioremediation. According to the spe-
cific biological types, phytoremediation technology, microbial remediation technology and animal
remediation technology are mainly included. Among them, the application of phytoremediation
technology is more common. Phytoremediation technology mainly uses plants to remove and elim-
inate pollutants, which is based on the tolerance and excessive accumulation of some pollutants by
plants. This remediation technology does not need special operators in the application process, and
the operation cost is relatively low, but the treatment depth of chromium pollution is relatively shal-
low, and the treatment cycle is relatively long, and the treatment effect is general, so it is suitable
for some relatively light pollution in the soil treatment process. Microbial remediation technol-
ogy is completed by using indigenous bacteria. Through engineering means, indigenous microbial
colonies can be strengthened or foreign bacteria can be attracted to enhance microbial degradation
function and contaminated soil can be repaired. In addition, with the continuous development of
engineering technology, the ability and effect of microbial degradation can also be improved by
transferring multiple degradation genes into the same microorganism (Xiong 2019).

7 CONCLUSION

All in all, a comprehensive investigation of chromium slag contaminated sites can provide an
accurate reference for the selection of remediation technology. In order to improve the remediation
effect of chromium slag contaminated sites, it is necessary to master the ecological restoration and
the specific distribution of pollutants. Only in this way can scientific and reasonable restoration
technology be adopted to carry out ecological environment governance and promote the coordinated
development of social economy and ecological environment protection.

REFERENCES

Bian Chao, Cai Wutian, Lv Yonggao, et al. (2020)On site determination of Cr (VI) trace index for analysis of
chromium polluted groundwater sources. Environmental science and technology, (2).
Dong Jingqi. (2019)Evaluation method and case study of green sustainable restoration of polluted sites . China
University of Geosciences (Beijing).
Liu Lei, Wang Yufeng, Li Hui, et al.(2019) Distribution characteristics and leaching remediation technology
of hexavalent chromium in soils with different particle sizes in a chromium residue contaminated site .
Journal of Hangzhou Normal University (Natural Science Edition), v.18; No.102(03):34–39.
Wang Xingrun, Li Lei, Yan Xianghua, et al. (2020 )Progress in remediation technology of chromium
contaminated sites. Environmental engineering,(6).
Xiong Jie. (2019)Investigation on the current situation of soil environment in polluted sites and Research on
soil management and remediation countermeasures. Smart city, 005 (012): 134–135.
Zhang Qin. (2020)Soil remediation and risk assessment of heavy metal chromium residue contaminated sites
. Resource conservation and environmental protection, (2): 24–24.

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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Optimization of profile control and flooding technology in Jurassic

reservoir

Yinqi Bi∗ , Cailin Feng, Meng Wang, Wei Wen & Hongtao Zhang
No. 9 Oil Production Plant of Changqing Oilfield, Yin Chuan, P.R. China

ABSTRACT: In view of the obvious incompatibility of conventional water shutoff and profile
control in Jurassic reservoir, such as poor plugging effect and short validity period, the application
of polymer microspheres is proposed to further improve the water drive effect. By analyzing the
effect of polymer microspheres in implemented reservoirs, this paper evaluates the adaptability of
polymer microspheres with different particle sizes, and finally establishes the application chart of
polymer microspheres in Jurassic reservoirs, so as to provide technical support for the subsequent
adjustment of microsphere injection parameters in Jurassic reservoirs. At the same time, aiming at
the problem of poor adaptability of microspheres in some bottom water reservoirs, it is proposed
to carry out the test of viscoelastic self regulating agent. Viscoelastic self regulating agent can
not only increase the viscosity of displacement phase, but also improve the ability to enter small
pores, show good viscoelasticity, and can solve the problems of effectively plugging large pores,
deep migration demand, supplementing upper reservoir energy, etc, It can achieve the purpose
of increasing oil and controlling water in Jurassic reservoir. Through research and practice, two
understandings are obtained: ① polymer microspheres can reduce decline and control water cut in
Jurassic reservoir. With the increase of permeability, the particle size of Jurassic reservoir should
increase, so as to achieve good decline effect. When the permeability is less than 20md, the particle
size of 100nm is better; When the permeability is between 20 ∼ 40md, the effect of 300nm is
better. ② In view of the maladjustment of some reservoir microspheres, the test of viscoelastic self
regulator is carried out. The results show that viscoelastic self regulator can stabilize oil and reduce
water.

1 INTRODUCTION

The reservoir quality developed in recent years has decreased year by year. With the extension
of production time, the contradiction between reservoir plane and profile is prominent. Affected
by some high permeability zones and large pores, the injected water has been difficult to reach
the medium and low permeability layers, and the sweep coefficient becomes smaller, resulting
in the worse and worse effect of water injection development. In order to ensure stable produc-
tion and improve oil recovery, polymer microspheres deep profile control and flooding test was
carried out in Jurassic reservoir. The test results show that polymer microspheres "block, elas-
tic deformation, migration and re plugging" in the reservoir (Jia et al. 2017; Liu & An 2010;
Wang et al. 2018), increase the Jamin effect of high permeability channel through continuous
plugging and migration, and gradually enter the deep part of the reservoir, so as to improve the
swept volume of the remaining oil enrichment area in the deep part of the reservoir and improve

∗ Corresponding Author: [email protected]

DOI 10.1201/9781003308584-100 713

the crude oil recovery (Han & Li 2013; Larry et al. 2006; Lei et al. 2012). Polymer micro-
spheres can achieve good results in injected water reservoirs, but poor results in bottom water
reservoirs. Taking the Jurassic reservoir of the ninth oil production plant as an example, through
the analysis of the effect of polymer microspheres in the implemented reservoir, this paper evalu-
ates the adaptability of polymer microspheres with different particle sizes, and finally establishes
the application chart of polymer microspheres in Jurassic reservoir, so as to provide technical
support for the subsequent adjustment of microsphere injection parameters in Jurassic reservoir.
At the same time, aiming at the problem of poor application effect of polymer microspheres in
bottom water reservoir, it is proposed to carry out the test of viscoelastic self regulating agent.
Viscoelastic self regulating agent can not only increase the viscosity of displacement phase, but
also improve the ability to enter small pores, show good viscoelasticity, and can solve the problems
of effectively plugging large pores, deep migration demand, supplementing upper reservoir energy,
etc.

2 ADAPTABILITY ANALYSIS OF PROFILE CONTROL AND FLOODING IN JURASSIC

RESERVOIR

2.1 Main development contradictions of Jurassic reservoir

In recent years, the Jurassic reservoir has a small scale, the characteristics of oil-water difference
and low resistance contrast are more prominent, and the reservoir thickness is thinner Physical
property deterioration (the permeability is mainly less than 10mD), and the single well production
decreases year by year. Some reservoirs lag water injection, the initial production parameters are
too large, and the injection production regulation is not in place, resulting in poor development
effect. The contradiction between plane and profile is prominent, and it is more difficult to stabilize
production in the later stage: on the profile, the vertical heterogeneity is strong, the profile is mostly
spike shaped and finger shaped water absorption, and the water absorption is uneven, with a water
absorption ratio of 42.5%. On the plane, the reservoir is affected by water Due to the influence of
reservoir physical properties, the injected water is easy to rush along the main high permeability
zone of the sand body, resulting in the rise of water cut in the oil well.

2.2 Adaptability analysis of microsphere profile control and flooding

In order to further improve the oil recovery of Jurassic reservoir, microsphere profile control and
flooding will be implemented on a large scale in 2019, with main particle sizes of 50nm, 100nm
and 300nm. According to the effect analysis of 18 blocks implemented from 2019 to 2021, several
understandings are obtained: ① injection pressure: the injection well pressure will rise slightly
by 7.2 ↑ 7.9Mpa in 2020, indicating that it can block formation fractures to a certain extent.
② Water absorption profile: from the water absorption profile of comparable wells, the water
absorption profile test can compare 8 wells, of which 5 are significantly improved, accounting
for 62%, indicating that microspheres have a certain effect on profile improvement. ③ Production
end effect: Taking the implementation wells in s534 block as an example, 7 wells with particle
size of 100nm are implemented, corresponding to 31 wells, with monthly decline of 0.5% ↓ 0.4%,
water cut rise of - 6.6% ↑ - 4.3%, and cumulative oil increase of 862t. A total of 6 wells with
particle size of 300nm were implemented, corresponding to 15 oil wells, with monthly decline of
0.7% ↓ - 0.3%, water cut rise rate of 3.2% ↓ - 0.5%, and cumulative oil increase of 2000t. Polymer
microspheres can achieve the purpose of reducing decline and controlling water content. According
to the implementation effect of 18 blocks from 2019 to 2021, the matching relationship between
permeability and particle size is established.

714
Figure 1. Chart of matching relationship between permeability and particle size.

3 OPTIMIZATION OF JURASSIC PROFILE CONTROL AND FLOODING PROCESS

In view of the maladjustment of microspheres in bottom water reservoir, the test of viscoelastic self
regulator is proposed. Technical idea of viscoelastic self regulating agent: a variety of functional
monomers are introduced through molecular structure design to enhance the linearity of molecular
chain. It not only increases the viscosity of displacement phase, but also improves the ability to
enter small pores, shows good viscoelasticity, and solves the problems of effectively plugging
large pores, deep migration requirements, and supplementing the energy of upper oil layer. At the
same time, the laboratory experiments show that the viscoelastic self regulator can use its good
linear structure and high shear thinning performance to force it into the upper reservoir with small
permeability (small pore throat and large shear), improve the energy of the upper reservoir and
realize oil increase and water control. The viscoelastic self regulator can expand the water drive
sweep, and the indoor evaluation can improve the oil recovery by 17%.

Figure 2. Displacement test of 0.1% viscoelastic self regulating agent in low permeability core.

According to the test conditions, the test block is optimized. In November 2020, three well
group tests were carried out in W135 area, with 14 corresponding oil wells and 12 effective,
with an effective proportion of 85.7%. After implementation, the monthly decline rate decreased
from 5.5% to 1.4%, and the water cut rise rate decreased from 11% to 0.9%. The rising speed of

715
water content is restrained and good results are obtained. The experimental results show that the
viscoelastic self regulator can stabilize oil and reduce water.

Figure 3. Effect of viscoelastic self regulating agent.

4 CONCLUSION

Through the research of this paper, it is clear that polymer microspheres can reduce decline and
control water cut in Jurassic reservoir. Different particle sizes suitable for different permeability
are put forward, which provides a technical direction for profile control and flooding of Jurassic
reservoir. The viscoelastic self regulating agent test was carried out in Jurassic bottom water
reservoir, and some results were obtained: the monthly decline of the test reservoir decreased, and
the water cut increased. The results show that the viscoelastic self regulating agent can stabilize oil
and reduce water.
Through the research of this paper, three understandings are summarized: ① with the increase of
permeability, the particle size of Jurassic reservoir should increase, so as to achieve good decline
effect. ② The matching relationship between permeability and particle size is established. When the
permeability is less than 20mD, the effect of particle size 100nm is better; When the permeability is
between 20 ∼ 40mD, the effect of 300nm is better. ③ In view of the maladjustment of microspheres
in Jurassic bottom water reservoir, the test of viscoelastic self regulator is carried out, and a certain
decline effect is achieved. The results show that viscoelastic self regulator can stabilize oil and
reduce water.
Viscoelastic self regulating agent can continue to be popularized and tested in Jurassic bottom
water reservoir. At the same time, attention should be paid to the timely optimization of injection
parameters and water injection parameters of viscoelastic self regulating agent in the test process
to ensure the adaptability of viscoelastic self regulating agent.

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Han Haiying, Li Junjian. Reservoir Adaptability of the Deep Fluid Diversion for Polymeric Microspheres [J].
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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Design and research progress of hybrid ground source heat pump

Haoyi Liu∗ & Jifu Lu

School of Mechanical and Power Engineering, Zhengzhou University, Zhengzhou, China

ABSTRACT: In the cooling-dominated area, the long-time operation of the ground source heat
pump will disrupt the underground heat balance, resulting in the deterioration of system per-
formance. The coupling of auxiliary cooling devices and ground source heat pump systems can
effectively alleviate the problem of underground heat imbalance and reduce the initial investment.
This paper expounds on the types, connection modes, dimensions, and operating parameters of
auxiliary cooling devices, as well as the design and research of each part, and points out the current
problems and future development direction according to the whole system.

1 INTRODUCTION

As a clean and efficient renewable energy technology, the ground source heat pump uses under-
ground soil as a heat / cold source to provide heating, refrigeration, and domestic hot water (Wang
2020; Yang et al. 2010). Its operation depends on the stability of the temperature at about 10m
underground, about 12 − 15◦ C. It is used as the cold source in summer and the heat source in
winter. At the same time, the ground source heat pump has higher efficiency than the air source
heat pump (Gao et al. 2018; Mrrone et al. 2014; Pouloupatis et al. 2011; Rybach & Eugster 2010;
Yu et al. 2020). The ground source heat pump itself does not generate energy, but only trans-
fers heat from indoor to underground or extracts heat from the soil to indoor for refrigeration or
heating, to obtain high energy efficiency. A standard heat pump can use one part of electricity
to convert two parts of environmental heat or waste heat into three parts of useful heat (Mustafa
2008).
When the ground source heat pump system is applied in cooling-dominated area, due to the
imbalance of cooling and heating load, the heat discharged into the soil in summer is far greater
than the heat extracted from the soil in winter. The long-time operation will disrupt the soil tem-
perature balance, resulting in the deterioration of the performance of the ground source heat pump
system. Underground heat accumulation can be controlled or eliminated by increasing the total
length of GHE (Ground Heat Exchanger), reducing borehole density, or adopting special borehole
arrangement, but these methods often increase the initial cost of the system and require a larger
land area (Hu et al. 2016; Man et al. 2011; Ozyurt & Ekinci 2011; Pandey et al. 2017; Safa et al.
2015; Sagia 2012; Xi et al. 2011; Yang et al. 2013; Zhang et al. 2020).
In order to reduce the initial cost and improve the performance of the system, a feasible choice is
to apply the hybrid ground source heat pump (HGSHP) system, also known as the hybrid ground-
coupled heat pump system (Man et al. 2010). Based on the ground source heat pump system,
auxiliary equipment, such as a cooling tower, is used to meet part of the peak cooling load of
the building, provide auxiliary heat dissipation, reduce the initial investment of the system, and
alleviate underground heat accumulation, as shown in Table 1.

∗ Corresponding Author: [email protected]

718 DOI 10.1201/9781003308584-101

Figure 1. HGCHP system series (a) and parallel connection (b).

The research on three HGSHP systems by S. hacker et al. (Hackei & Pertzborn 2011) shows that
if reasonably adopted, the hybrid system can become an economic and effective method for building
energy conservation. Yi man et al. (Man et al. 2010) studied the hybrid ground source heat pump
system in hot weather areas such as Hong Kong. The simulation results show that compared with
the traditional ground source heat pump system, the HGSHP system can effectively alleviate the
underground heat accumulation and reduce the initial cost and operation cost of the air conditioning
system. The results of these studies show that compared with the traditional ground source heat
pump system, the HGSHP system can effectively alleviate the underground heat accumulation (Wu
et al. 2014; Zhang & Yang 2016) and reduce the initial and operating costs.
The combination of auxiliary equipment and ground source heat pump system brings additional
changes and more difficulties to the design of the hybrid system. Compared with the traditional
ground source heat pump system, the type and connection mode of auxiliary equipment, the
selection of auxiliary equipment and GHE size, the determination of operating parameters such
as each loop flow, and appropriate control strategy need to have a more in-depth experiment and
analysis of HGSHP system.

Table 1. Hybrid system performance.

Auxiliary
Location Build devices Conclusion

Hong Kong private house cooling tower The temperature rise of drilling Sagia, Z. (2012)
holes in GSHP and HGSHP systems
in one year is 10.89◦ C and 0.16◦ C
cooling tower Initial investment reduction 144- (Hackei,
354 yuan/m2 Pertzborn 2011)
Yangzhou Yangzhou university cooling tower 90% recovery rate of soil tempera- (Zhang, Yang
yangzijin campus ture can be obtained at 50 m depth 2016)
East China A large passenger Chiller+cooling After 10 years, the change of soil (Wu, Zhang,
station tower temperature is less than 1◦ C Zhou, et al 2014)

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2 CLASSIFICATION OF AUXILIARY COOLING DEVICES

The use of appropriate auxiliary cooling devices can effectively balance the underground heat load,
reduce the size of GHE and the initial investment of the system. According to whether energy is
consumed for mechanical refrigeration or not, auxiliary cooling devices can be divided into two
types: active cooling devices and passive cooling devices. In addition, some technical equipment
such as desuperheater and heat storage tank can effectively use excess heat as an auxiliary means
to reduce underground heat accumulation.

2.1 Active cooling devices

Active cooling devices mostly use cooling towers. In the area where the cooling load is dominant,
it can be used for two purposes: one is to dissipate excess heat; the other is soil cold storage at
night (Fan et al. 2008). Rui fan et al. (Fan et al. 2014) designed and constructed the experimental
HGSHP system of an experimental building in Shanghai, using a cooling tower and air source heat
pump as the additional radiator, and explored various control strategies. Li Kaiyuan (Li W 2007)
believes that the use of a cooling tower-assisted hybrid ground source heat pump system has certain
advantages in terms of initial investment and operation cost of the system. In addition, Zhou Shiyu
et al. (Zhou et al. 2016) proposed a chiller-assisted HGSHP system and two operation strategies.
The simulation in TRNSYS shows that the cop of the chiller is lower than that of heat pump cooling
mode. Compared with the cooling tower scheme in a transition season, the energy-saving effect
is not obvious. Wu Jiachen (Wu et al. 2014) studied the HGSHP system in the form of a parallel
chiller + cooling tower. The results show that the ground source heat pump unit gives priority to
refrigeration in a high load period, and the ground source heat pump unit stops intermittently at
night. Under the operation strategy of 10 years of operation, the change of soil temperature is less
than 1◦ C, and the effect is good.
The HGSHP system with a cooling tower as auxiliary equipment is widely used, the technology is
mature, and has more experience in design and operation. However, the demand for cooling towers
for land, water supply, and noise will limit its practical application. Therefore, it is necessary to
develop other feasible auxiliary cooling devices.

2.2 Passive cooling devices

Compared with the active regulation methods such as cooling towers, there is less research on
passive cooling devices as an alternative or auxiliary GHE. Chiasson ad et al. (Chiasson et al.
2000) showed through examples that using shallow water tanks as auxiliary cooling devices can
significantly reduce the size of GHE in ground source heat pump systems. Considering the location
of buildings, some buildings are not suitable to use shallow pools to absorb excess heat. Yi man
et al. (Man et al. 2011) proposed a new hybrid ground-coupled heat pump system with a night
cooling radiator, which is cooled at night by electromagnetic infrared radiation exchange between
the ground and the sky (Catalanotti et al. 1975). The experimental results show that compared with
the conventional ground source heat pump system, the initial investment is reduced, and the total
10-year operation cost is saved by 10.22%. Hou Gaoyang et al. (Hou & Taherian 2019) designed an
HGSHP system with a horizontal ground circuit in parallel with a liquid dry cooler. By analyzing
the energy consumption and COP of different ground circuit total lengths and diverter setpoint
temperatures, they recommended the best value of system design.
The passive cooling device does not need mechanical refrigeration to dissipate heat. It is a cleaner
and energy-saving heat dissipation method. Generally, it has simple control and low price, because
there is no rotating structure, it has a longer life cycle and lower noise.

2.3 Auxiliary heat utilization devices

In some HGSHP systems, hot water is generated by a desuperheater installed between the com-
pressor and the condenser, and some or all domestic hot water can be supplied, as shown in Figure

720
1 (a(c)). Yi man et al. (Man et al. 2010) studied the hybrid ground source heat pump system in
Hong Kong, using desuperheater for waste heat utilization. At this time, the refrigerant is cooled in
advance before entering the condenser, which not only alleviates the underground heat accumulation
but also provides users with free hot water.

3 AUXILIARY EQUIPMENT CONNECTION MODE

An HGSHP system mainly consists of three circuits: the main refrigerant circuit including the heat
pump unit, the underground fluid circuit including GHE, and the auxiliary fluid circuit including the
cooling tower. The performance of the HGSHP system depends on the connection mode (series or
parallel) and flow direction (upstream or downstream) of auxiliary equipment to a certain extent.
It should be noted that it is common to study the cooling tower as an auxiliary cooling device.
This paper describes the HGSHP system with the cooling tower as a representative of auxiliary
equipment.

3.1 Series configuration

The series configuration is that GHE is connected in series with the auxiliary equipment and cooling
water flows through the auxiliary cooling device and GHE in turn as shown in Figure 1(a). Cooling
water flows first through the auxiliary cooling unit and then into the underground circuit, which is
referred to as the upstream mode and vice versa. Joo Seong Lee et al.’s (Lee et al. 2015) research
on the HGCHP system shows that compared with downstream series configuration, the upstream
series configuration has higher COP and 15% higher COP than the general ground source heat
pump system.

3.2 Parallel configuration

Parallel configuration means that the main refrigerant flow circuit is connected with the under-
ground fluid circuit and the auxiliary fluid circuit respectively, forming two separate circuits, and
cooling water enter the two circuits for cooling, as shown in Figure 1(b). Chen Zhengshun et al.
(Chen & Yu 2015) compared the operation results of the hybrid ground source heat pump when
the cooling tower was connected in series or parallel with the buried pipe under the same operation
mode through experiments and considered that the energy consumption of the circulating water
pump on the source side increased due to the increase of the loop resistance connected in series,
and the available temperature difference on the source side decreased, so the system connected in
parallel had higher COP. Hao, X.D et al. (Hao et al. 2009) compared the system performance by
experimental methods and concluded that the hybrid ground source heat pump with parallel con-
figuration was superior to the hybrid ground source heat pump system with series configuration in
energy-saving and operation management, which was consistent with the above results.
Combined with the study of the two connection methods, the results may be different due to
the different characteristics and conditions of each project. However, the series connection will
obviously increase the energy consumption of the circulating water pump and reduce the energy
efficiency of the system, so the appropriate connection mode should be selected according to the
system requirements and project characteristics. Kavanaugh et al. (Kavanaugh 1998) suggested
that the cooling towers should be connected in parallel to reduce the lift required in series. If
they are placed in series, GHE must be too large to avoid excessive heat loss. Therefore, it is
best to adopt parallel configuration for newly-built HGSHP projects, while the GHE of existing
projects has been determined according to the maximum heat load, and it is suitable to adopt series
configuration after transformation. On this basis, Cui Wenzhi et al. (Cui et al. 2015) studied the
newly-built HGSHP parallel project and the modified HGSHP series project and determined the
optimal operating parameters of the cooling tower-assisted ground source heat pump.

721
4 DESIGN STRATEGY OF HYBRID GROUND SOURCE HEAT PUMP SYSTEM

Ground-source heat pump design usually starts with calculating the hourly cooling and heating
load of buildings, using dynamic energy analysis software tools such as DeST. Then, the load is
imported into a tool such as GLD (Ground Loop Design) to determine the length of GHE. In the
case of the hybrid system, the underground circuit does not need to meet all the loads due to the
use of auxiliary equipment, which means that the design freedom is almost unlimited.

4.1 Auxiliary cooling device design

With the auxiliary cooling device, GHE may be much smaller, and the cost of the auxiliary device is
expected to be very small compared with the savings in drilling cost and heat pump operation cost
of buildings dominated by cold load (Yavuzturk 2000). At the same time, the power consumption
of auxiliary equipment and water pump also increases the operating cost.
ASHRAE (AMERICAN SOCIETY OF HEATING R, ENGINEERS A-C, RESEARCH C. 1995)
(American Society of Heating, Refrigeration andAir Conditioning Engineers) was designed accord-
ing to the difference between the average monthly cooling load and the thermal load of the building
and suggested that the size of the ground loop should be adjusted to meet the thermal load. That
is, the size of GHE should meet the building heat load, and the excess heat is dissipated by the
auxiliary cooling device. Adjusting the size of the auxiliary cooling system by meeting the heating
demand instead of the cooling demand significantly reduces the required length of the buried pipe.
Kavanaugh and Rafferty (Kavanaugh & Rafferty 1997) suggested that under the design conditions,
the size of the auxiliary radiator should be selected according to the peak load of design conditions,
and its rated capacity should be calculated according to the difference between cooling load and
heating load. Generally speaking, the HGSHP system adopts the ground source heat pump system
which provides the basic load demand, and the auxiliary cooling system which is supplemented
during the peak demand period. Because the peak demand only occurs in a short period every year,
the proportion of the total energy provided by the ground source heat pump system for the basic
load demand may still be very high, that is, the more environmentally friendly components (GHE)
bear most of the energy demand.

4.2 Heat pump unit design

In a hybrid system, the capacity of the ground source heat pump is usually determined according
to empirical rules, and then the economic feasibility is tested by calculation. One design strategy
is the empirical rule put forward by Canadian Standards Association (ASSOCIATION C S 2002),
which is currently being used in industry. For residential buildings, it is suggested that the design
of a hybrid system should make the ground source heat pump meet 70% of the peak demand
of building heating or cooling, and the remaining 30% of the peak demand of building should
be met by an auxiliary cooling system. However, the application of this rule to commercial or
industrial buildings will be limited by the actual situation. Another more rigorous mathematical
calculation method was proposed by Masih Alavy (Alavy et al. 2013) to calculate the size of the
ground source heat pump in a hybrid system. The design method is that the capacity of the ground
source heat pump is regarded as a part of the peak load demand, and it changes gradually from 0
(without ground source heat pump) to 1 (without auxiliary equipment). For each value of ground
source heat pump capacity between 0 and 1, the ground source heat pump and auxiliary system
are evaluated according to the building load, and the initial/installation and annual operating costs
are determined, and the sum is the total cost. Take 100 values between 0 and 1 to calculate, and
establish the function between the total cost and the capacity of the ground source heat pump, to
find the capacity of the ground source heat pump that can minimize the total cost. This method is
used to test 10 cases from residential buildings to commercial and industrial buildings. The results
show that compared with following the rule of thumb or using non-mixed systems, this method
can significantly reduce the initial installation cost, payback period, and operating cost.

722
 Set a minimum value and a small constant increment to gradually increase the value, calculate
the economy of the building and compare the system performance under each value, and get the
optimal design value. Long Ni et al. (Long et al. 2011) adopted this method for the design between
the ground source heat pump and the auxiliary boiler, which is simple and rude, has a large amount
of calculation, and is not universal, but can get the most accurate result for the system design. Masih
Alavy’s method can save a lot of calculation time for designs with less high precision requirements.

5 OPERATING PARAMETER DESIGN

The above content introduces the overall design strategy between the ground source heat pump
and auxiliary equipment, but for specific auxiliary cooling devices or other components, such as
cooling tower, heat pump unit, and GHE, whether the design of internal operating parameters is
reasonable or not means whether the system performance can be fully exerted.
Joseon Lee et al. (Lee et al. 2014) measured the performance of HGSHP and ground source
heat pump system by changing the fluid flow of auxiliary fluid circuit heat exchanger and gave
the optimal fluid flow under simulation conditions. Honglee Park et al. (Park et al. 2012) studied
the HGSHP system with GHE and auxiliary radiator in parallel in cooling mode. By changing the
amount of refrigerant, the fluid flow of the ground circuit, and the fluid flow of the auxiliary circuit,
the performance of the HGSHP system is optimized. As a result, compared with the conventional
ground source heat pump, the COP of the HGSHP in parallel configuration is increased by 21%.
According to the research of Wen Zhicui (Cui et al. 2015), considering the increase of underground
temperature and total power consumption in 20 years of operation, the optimal auxiliary cooling
ratio of parallel and series HGSHP systems is 50%. Sagia et al. (Sagia 2012) improved the design
of the cooling tower of the HGSHP system by comparing the system performance under different
auxiliary cooling ratios. Xumei Gong (Gong et al. 2018) based on experiments and simulations,
studied the optimal cooling tower input capacity of cooling tower assisted ground source heat pump
system and simulated the influence of cooling tower input capacity on soil temperature and system
performance. The results showed that when the cooling tower input capacity ratio was greater than
50%, the soil heat accumulation could be effectively alleviated.
Generally, for the design of operating parameters in HGSHP system, such as the flow rate of the
secondary circuit, the amount of refrigerant in the primary circuit, the auxiliary cooling ratio, etc.,
the fundamental goal is often to seek the optimal heat dissipation ratio of the auxiliary equipment
and the ground source heat pump, and the influence of this heat dissipation ratio is often only
roughly calculated but not accurately and explored, such as the influence on the underground heat
accumulation and the recovery of soil temperature.

6 CONCLUSION

This paper summarizes the technology and research of ground source heat pumps combined with
an auxiliary cooling device and describes the types, connection modes, selection of auxiliary
equipment, and operation parameters in turn. the conclusions are obtained as below:
(1) HGCHP system can effectively solve the problem of underground heat imbalance, reduce the
initial investment and operating cost, and is more attractive than the traditional ground source
heat pump system.
(2) The research at home and abroad mainly focuses on the optimization of operation parameters
and control strategies of the HGCHP system. The auxiliary cooling devices are mainly cooling
towers, and the research on passive auxiliary cooling devices is rare, so more cooling devices
should be developed. Parallel connection of auxiliary equipment has high energy efficiency,
and specific project implementation should be selected according to the requirements of the
system and the characteristics of the project. According to the building load and local climate

723
 conditions, many studies have given the appropriate type selection and operation parameter
design of HGCHP system, but the optimal heat dissipation ratio of auxiliary equipment and
ground source heat pump respectively needs more accurate calculation and in-depth study.
(3) The system design of the whole HGCHP system is not a simple addition of the designs of each
part. We should connect the designs of each link to find the optimal design scheme for the
whole system.

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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Key technology and applications of coal mining subsidence area

treatment in high groundwater level mining area

Guang Sun
China Coal Science and Technology Ecological Environment Technology Co., Ltd., Beijing, China

ABSTRACT: Due to the large-scale and high-intensity mining of underground coal resources
in the mining areas with high groundwater water levels in the eastern part of my country, large-
scale waterlogged areas have been formed, resulting in the destruction of land resources and loss of
original functions, which has caused serious impacts on local production and life, and restricted the
development of local cities and the improvement of agricultural functions, as well as the sustainable
development of mining areas. It is of great significance to do a good job in the management
of coal mining subsidence areas. In-depth and systematic research in this field has important
theoretical significance and practical value for restoring the ecological environment of the mining
area, rationally planning the direction of land use, and realizing the sustainable development of
the mining area economy. Based on the analysis of the current status and characteristics of land
destruction in coal mining subsidence areas in high groundwater water levels, this article puts
forward the corresponding key technologies for the treatment of coal mining subsidence areas and
provides a more in-depth introduction and analysis of existing engineering practices. Theoretical
research and governance planning provides reference.

1 INTRODUCTION

Coal is my country’s basic energy source, accounting for about 70% of the primary energy pro-
duction. While ensuring the country’s energy supply, its development has formed a coal mining
subsidence area of approximately 20,000 km2 , which is increasing at a rate of approximately 700
km2 per year. There is a production scale that is expected to reach 28,000 km2 by 2030, and the
current reclamation rate of land subsided by coal mining is only about 35% (Hu 2020; Li 2019).
The coal mining subsidence area in the eastern region of my country accounts for about 60% of the
country’s total area and is close to cities. The coal mining subsidence has made it difficult for many
construction projects in 63 prefecture-level mining cities to function normally, severely restricting
the development of the city, and turning the subsidence area into construction. Using the land and
building an ecologically livable city is the future development direction.
The land resources in our country are scarce, and the land and ecological problems in mining
areas caused by coal mining subsidence are serious. China’s mining area resources, environmental
problems, and land and ecological problems have become one of the prominent hindrances to
economic development. According to statistics, the mining subsidence rate of plain mining areas in
the eastern region of my country is 20%-40%, and the perennial water accumulation area is about
2000 km2 . Due to the accumulation of water on the ground subsided by coal mining, the amount
of cultivated land is reduced, the buildings are cracked, and the area gets covered. The inundation
of stagnant water results in the loss of living and living functions. If the coal mining subsidence
area in this area is not effectively restored and developed, it will cause a waste of land resources
and severely restrict the sustainable development of the local economy and society.

726 DOI 10.1201/9781003308584-102

2 PROBLEMS IN THE TREATMENT OF COAL MINING SUBSIDENCE AREAS IN HIGH
GROUNDWATER LEVEL MINING AREAS

2.1 Characteristic analysis

Extensive mining of coal resources will cause a series of ecological and environmental problems,
such as surface subsidence, ground fissures, etc. (Jiang 2019; Xu 2018). In the eastern high diving
mining area, the mining of coal resources can easily cause ground deformation and sink water,
resulting in a sharp decrease in the effective arable land area and a sharp drop in grain output,
which seriously affects the local agricultural production and development. In addition, the ground-
water level in the subsidence area rises, which is likely to cause waterlogging, which affects the
normal growth and development of crops, resulting in low or no crop production. Land subsidence
caused by coal mining has brought serious social, economic, and ecological problems. If it is not
managed in time, it will inevitably lead to social instability. Generally, the treatment of coal mining
subsidence areas is usually carried out after the coal mining subsidence area has settled down.
On the one hand, the reclamation project is difficult and costly, and the construction environment
is poor; on the other hand, the period from destruction to reclamation is long, and the impact is
far-reaching.
The mining of thick coal seams and multiple coal seams in the high groundwater level mining
area may cause water to accumulate after the land subsidence, permanently losing farming ability,
and a large number of precious soil resources sink into the water; multiple coal seam mining and
the increase in mining depth make the coal mining subsidence stable time growth, leading to long-
term desolation of a large amount of land. Generally speaking, the eastern high diving mining
area has the characteristics of wide range, large depth, serious water accumulation, and relatively
complicated land use conditions (Table 1).

Table 1. Analysis of peculiar forms of mining subsidence in high groundwater level mining areas.

Normal form Unique form of high

Object of destruction groundwater level mining area

farmland Destroy soil structure, ranging from Seasonal water accumulation areas and perennial
soil erosion, fertility decline, and water accumulation areas are prone to occur on the
crop yield reduction, to a severe loss surface. Seasonal water accumulation areas usually
of function and crop failure affect the cultivation of crops due to the inability to
take timely drainage measures, resulting in produc-
tion reduction or even failure. The perennial water
accumulation areas generally have completely lost
their cultivation function.

Building (structure) Houses at the edge of the basin are In addition to the general form, the buildings
cracked, tilted, and collapsed (structures) in the central area of the ground moving
basin will still be severely affected. In the slightest,
the foundations will lose their stability and dura-
bility due to the impact of stagnant water, and the
buildings (structures) will be partially or wholly
affected. Flooded.

ecosystem Destroy landforms, landscapes, New wetlands will be formed in the land subsi-
vegetation, and affect the water dence area of the lake area, which will increase
environment the depth of the original water body, effectively
increase the water storage capacity of the lake
area, increase the water area of the lake area, and
promote the improvement of the biodiversity and
stability of the entire ecosystem.

727
2.2 There is a problem
The surface subsidence of the high groundwater level mining area has formed large-scale water
accumulation, which makes the reclamation project difficult, high cost, and poor effect (Cheng
2017; Yang 2021). The main disadvantages include the following aspects:

(1) During the restoration and treatment process, it is easy to cause on-site construction difficulties,
especially the earthwork is mostly underwater, which makes the construction difficult.
(2) In addition to the difficulty of construction, the cost of underwater earth borrowing projects is
significantly higher than that in areas without stagnant water, resulting in a shortage of funds.
(3) Due to the accumulation of water, the traffic, water conservancy, and power facilities in the
subsidence area get damaged, and the construction and transportation conditions of the project
deteriorates.
(4) The soil characteristics become worse after the surface water accumulates in the coal mining
subsidence area, and some areas are severely salinized, which reduces the quality of cultivated
land.
(5) Surface water and silt in the area lead to a longer construction period for treatment projects,
resulting in low project efficiency and poor benefits.

3 RESEARCH DIRECTION AND KEY TECHNOLOGY ANALYSIS

The comprehensive management of coal mining subsidence areas in high groundwater level min-
ing areas is an important way to ensure my country’s food security, break the bottleneck of urban
construction land, and build ecologically livable mining areas (Chang 2017; Fu 2016; Zhao 2017).
Combining existing theories and methods, the following research directions are proposed: carry
out large-scale value-added development of construction land in coal mining subsidence areas
around cities, develop and construct urban functions in coal mining subsidence areas, and solve
the bottleneck constraints of construction land in mining cities; Large-scale urban wetland func-
tion development in the subsidence area of water accumulation, micro-landscape improvement in
subsidence area of water accumulation, construction of wetland water system and water quality
restoration, construction of vegetation landscape, etc., to promote the value-addition and devel-
opment and utilization of surrounding land; carry out coal mining away from cities. Large-scale
management of subsidence areas, large-scale development, and construction of high-standard farm-
land, characteristic agriculture, aquaculture, tourism and other industries in coal-mining subsidence
areas, to drive local economic development and industrial transformation; to carry out the trans-
formation and utilization of resource-exhausted mines and to carry out value-added agricultural
production management, and utilization technology to realize the successful transformation and
redevelopment of coal mines.
In view of the characteristics of coal mining subsidence areas in high diving mining areas,
combined with existing research results (Li 2019; Zhao 2019), the following main key technologies
are proposed:

(1) Dynamic pre-reclamation technology. The dynamic pre-reclamation technology is based on

specific conditions such as coal mining plan, geological mining conditions, working face
advancement, degree of surface subsidence, topography before subsidence in the project area,
surface water system and other specific conditions, and the mining unit is divided according to
the mining plan and the geological conditions of the subsidence area, Using the mining subsi-
dence theory to predict the dynamic subsidence contours of the mining unit during each mining
period, reasonably determine the scope of the project area, the scale of reclamation and the main
objectives; simulate the recovery rate of cultivated land, investment, water and soil layout under
different restoration opportunities; comprehensively consider the above The conditions deter-
mine the optimal restoration time, carry out the overall engineering design of pre-backfilling

728
 reclamation materials, project layout, backfilling methods, engineering arrangements, con-
struction parameters, etc.; carry out control field and construction block division, construction
sequence selection and engineering construction.
(2) Deep digging and shallow padding technology. Firstly, according to the geological and mining
conditions of the mining area, design the surface elevation after shallow digging; calculate the
boundary points of the shallow digging depth on the main cross-section of the working face
and the digging shallow boundary of the subsidence basin after goaf; it is expected that after
the end of the mining face The elevation of the fill required for governance; use the elevation
of the fill in the coal mining subsidence area to advance the corresponding area on the surface
before mining in the underground mining area; after the local mining is completed, the surface
will automatically form the expected governance effect, and the ground will be leveled. To
complete the digging deep and shallow in the subsidence area.
(3) Agroecological reshaping technology. Mainly in response to the problems of land damage,
agricultural landscape destruction, water, and soil erosion caused by underground mining in
high groundwater level mining areas in eastern my country, the comprehensive technology of
land reclamation and agricultural ecological remodeling is adopted, and soil profile construc-
tion technology, soil rapid fertilization technology, and biological technology are integrated.
Diversity protection technology, agricultural landscape reshaping technology, etc., realize the
comprehensive improvement and utilization of damaged land and agricultural landscape in
coal mining subsidence areas and quickly restore land productivity and agricultural landscape
functions.
(4) Construction technology of urban wetland in stagnant water area. Aiming at the problems of
coal mining subsidence in high groundwater level mining areas that cause large-scale water
accumulation and waste discharge on the surface, causing damage to ecological environment
elements such as land, water, vegetation, and landscape in coal mining subsidence areas, and
serious water and soil pollution, the characteristics and stability of regional mining subsidence
Analysis, coordinated planning of coal mining and urban wetland construction, construction
and maintenance of urban wetland water areas in coal mining subsidence areas, wetland land
construction and urban function development, wetland urban plants screening, and landscape
construction, etc., to develop and construct coal mining subsidence water areas Constructed
wetlands with urban service functions form the "green lungs" of the ecological environment
of coal mine cities, change the regional microclimate, and significantly improve the quality of
the ecological environment in the mining area.

4 PROJECT CASE ANALYSIS

Over the years, as the country has paid more attention to the treatment of coal mining subsidence
areas, a series of coal mining subsidence area treatment projects have been implemented in the
mining areas with high groundwater water levels in the east. The following is a combination of
representative cases to introduce the practical results of the coal mining subsidence area treatment
project.
(1) In terms of agricultural reclamation treatment, Jining City, Shandong Province, through the
pre-reclamation treatment of the dynamic coal mining subsidence area, implemented the agricul-
tural reclamation project in the coal mining subsidence area of the 1st and 2nd branches of Nanyang
Lake Farm to control the coal mining subsidence area of Jining No. 2 Mine of 5.12 km2 and restora-
tion of arable land of 3.51 km2 , which changed the seasonal accumulation of water and surface tilt
in the coal mining subsidence area, and made the coal mining subsidence area a sustainable, high-
yield, high-efficiency farmland. Zoucheng City has applied agricultural reclamation technology
resulting in a continuous reclamation to treat coal mining subsidence area of 10 km2 , established
different ecological reclamation demonstration parks, shortened the time for reclamation of high-
quality farmland by 2-3 years, and reshaped the regional agricultural landscape. The Longgu Coal
Mine in Juye County, Heze City used land transfer to control the coal mining subsidence area of

729
12 km2 , actively promoted the development of diversified industries such as agriculture, forestry,
animal husbandry, fishery (Figure 1), and tourism, built a garden nursery of 5 km2 , and built 32
sunlight greenhouses, 2 intelligent multi-span greenhouses, 3 standardized breeding farms. The
coal mining subsidence area will be built into a comprehensive economic park integrating efficient
planting and breeding.

Figure 1. The fish ponds were reclaimed by digging deep for money in the subsidence area of coal mining.

(2) Concerning the construction of urban building complexes, Huaibei City, Anhui Province,
through the urban development planning adjustment, construction, and utilization practices of the
coal mining subsidence area, expanded the urban development space to the coal mining subsidence
area and solved the bottleneck of urban construction land (Figure 2); in the complete area of 285
km2 . The coal mining subsidence area of 120 km2 is used in the urban development plan, of which
60 km2 is planned for urban construction land; the coal mining subsidence area is currently 42 km2
in the main urban area, accounting for 53.3% of the urban built-up area for the construction of
multi-storey, mid-high, and high-rise buildings. The total area is 27.5 million square meters, and
the largest single building area reaches 186,000m2 . Tangshan Nanhu Lake and the surrounding coal
mining subsidence area have an urban building function development land area of 8 km2 , which
will be used to construct a conference center, exhibition center, grand theater, library, residential
clusters, etc. The highest number of floors is 33, the maximum building height is 100 m, and the
building area of independent clusters is up to 1 million square meters, with about 16 million square
meters of new residential buildings in the coal mining subsidence area.

Figure 2. Multi-storey houses built in the coal mining subsidence area.

(3) In terms of artificial wetland construction, Xuzhou City, Jiangsu used high-standard planning
to build core wetland landscapes such as Pan’an Lake, Fengming Pu, and Jiuli Lake by using high

730
standards in the coal mining subsidence water area around the city. Among them, the Pan’an Lake
treatment project alone formed more than 6000 acres of the lake area. The shabby and backward
image of the mining area has been changed, making it a new "back garden" in Xuzhou. Tangshan
City has implemented the Nanhu Ecological Project Construction Project in the Suburban Coal
Mining Subsidence Area (Figure 3). During the development process, the overall planning concept
of “Landscape construction drives the development of surrounding cities” was established, and the
Nanhu Eco-city master plan and landscape area construction was successfully prepared. Planning,
industrial development planning, etc., following the principle of "overall planning, distributed
implementation", and orderly promote development and construction. The settlement area with
garbage, crossflow of sewage, and odor before treatment will be built into an area of 28 km2 with
verdant vegetation, a national AAAA-level urban central ecological park with friendly people and
water.

Figure 3. A corner of urban wetland landscape.

5 CONCLUSION

(1) Compared with other mining areas, the high groundwater level mining area has obvious charac-
teristics of subsidence and easy accumulation of water. It is more difficult to manage and utilize
the damaged land in the follow-up, and the original land type often has to be changed. Before
treatment, it is necessary to fully grasp the characteristics of regional mining subsidence and
future subsidence, reasonably divide the treatment period, and actively conduct pre-treatment
of unstable and basically stable land to avoid irreversible damage to land resources.
(2) While planning for the treatment of coal mining subsidence areas in high groundwater level
mining areas, it is advisable to combine urban development layout, economic, social structure,
and location advantages, and focus on urban and rural planning and related agricultural and
forestry, water conservancy, ecological, tourism and industrial planning, and policy regulations.
Comprehensively consider the development positioning and development needs, propose the
overall district planning governance direction, governance utilization mode, and functional
layout, optimize the regional land use structure, achieve conservation, and intensive land use,
and realize regional sustainable development.
(3) In the follow-up research process, adhere to the coordination of underground mining and above-
ground improvement, combining the development and management with efficient utilization,
firmly establish the governance concept of large regions, large ecology, and large environment,
and continuously innovate governance systems, mechanisms, and governance models and
methods. To guide the development of subsided areas from traditional agriculture to diversified
industries, build sustainable development and ecological restoration management system with
modern significance, and strive to improve the economic, social, and ecological benefits of
coal mining subsidence area management.

731
ACKNOWLEDGMENTS

The authors would like to thank the editors and the anonymous reviewers for their helpful and
constructive comments. This research was funded by the China coal science and industry group
science and technology innovation venture capital special key project (2018-2-ZD007). Beijing
Science and Technology project (Z181100005118012).

REFERENCES

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49(04):125–128.
Cheng, L. L. (2017). Evaluation of land damage degree in coal mining subsidence area with high groundwater
level. Transactions of the Chinese Society of Agricultural Engineering. 33(21):253–260.
Fu, Y. H. (2016). Coal mining subsidence wetland in high water table coal mining area and its ecological
treatment. Wetland Science. 14(05):671–676.
Hu, Z. Q. (2020). On the ecological environment of coal mining area "mining while recovering". Journal of
China Coal Society. 45(01):351–359.
Jiang, Y. (2019). A summary of the development of mining subsidence theory. Metal Mine. 2019(10):1–7.
Li, S. Z. (2019). Practice and countermeasure analysis of coal mining subsidence area treatment in China.
Coal Science and Technology. 47(01):36–43.
Li, X. L. (2019). Application of dynamic pre reclamation technology in reclamation engineering design of
coal mining subsidence area. Mine Survey. 47(04):126–129.
Xu, Z. J. (2018). Pre evaluation of disturbance of mining subsidence on farmland soil and vegetation carbon
pool. Journal of China Coal Society. 43(09):2605–2617.
Yang, Y. J. (2021). Study on decision-making of agricultural land protection technology before coal mining
subsidence in high groundwater level mining area. China Mining Industry. 30(05):115–119.
Zhao, H. S. (2019). Study on the excavation depth of deep excavation and shallow cushion Reclamation Based
on earthwork balance-Taking the coal mining subsidence land in Zhaogu mining area as an example. Journal
of China University of Mining and Technology. 48(06):1375–1382.
Zhao, Y. H. (2017). Analysis on spatial expansion characteristics of water area in high groundwater level mining
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732
 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Research and practice on the technology of using mining subsidence

area as construction land

W. Zhu & Y.H. Teng

Ecological Environment Technology Co. Ltd, CCTEG, Beijing, P.R. China

ABSTRACT: The influence depth of the new building load in the strata above the goaf was
calculated by using the foundation additional stress method. The building’s foundation stability
on the goaf was quantitatively evaluated, and the building height was determined. The residual
subsidence deformation of the construction site was predicted, and the anti-deformation technical
measures used to ensure building safety were put forward. The technical application and engineering
practice were carried out at Pingdingshan mining district in Henan Province. The results show that
it is feasible to evaluate the foundation stability on the goaf by comparing the bottom interface
position of the influence depth of the new building load with the top interface of the mining
fracture zone. It is very necessary to take anti deformation technical measures for resisting the
residual deformation to ensure the new building safety.

1 PREFACE

Large subsidence area is formed by serious coal mining in our country. Up to now, the area of
mining subsidence in China is 1 ∼ 1.5 million Hm2 , and the utilization rate is less than 30%, which
has a serious impact on the ecological and social environment. At the same time, the construction
land in resource-based cities is seriously short. How to use coal mining subsidence land safely,
reasonably and effectively has important ecological, social and economic significance. In recent
years, more and more projects are built on the mining subsidence area. Using mining subsidence
area as construction land has become an important way to solve the shortage of construction land
in mining cities.
Since the 1990s, the technology of new buildings on the surface of old goaf has been widely
studied and achieved fruitful results (Guo 2001; Teng & Zhang 1997). The void estimation model
of goaf roof, which provided a technical method for the calculation of residual subsidence and
deformation of goaf was studied (Deng et al. 2012; Hu et al. 2008). The additional stress and
probability integral method was used to evaluate the foundation stability of the gently inclined coal
seam old goaf in semi infinite mining (Wang et al. 2013). Fuzzy mathematics method and neural
network way were used to evaluate the foundation stability of old goaf (Ding & Wang 2009; Zhang
2009). The theory of key strata was used to verify the feasibility of local grouting to strengthen
the foundation stability(Wang 2010).The papers have carried out a lot of construction engineering
practice on mining subsidence area, achieved good technical and economic benefits (Teng & Tang
2016; Zhou 2017). The above research results play a good role in promoting the construction on
mining subsidence area. In order to use mining subsidence area to build projects scientifically and
reasonably, it is necessary to evaluate the stability of the construction site firstly to ensure the new
building safety on the goaf. This paper takes a construction project in Pingdingshan mining area of
Henan Province as an example, and introduces the utilization technology and engineering practice
of building in coal mining subsidence area in detail.

DOI 10.1201/9781003308584-103 733

2 CONSTRUCTION SITE AND GOAF

The construction site covers an area of about 0.3 km2 and is located in the east of Pingdingshan City
of Henan Province. It was planned to construct residential buildings and commercial bodies. The
coal seam was mined from years of 1950 to 1970. The max mining height is 5.1 m with dip angle
of 5–15◦ . The minimum mining depth is about 120 m. Longwall blasting and roof caving mining
method was used. The distribution of goaf is shown in Figure 1. The thickness of the quaternary
system is 50–81 m.

Figure 1. Distribution of the goafs under construction site.

3 SURFACE RESIDUAL SUBSIDENCE DEFORMATION

The surface movement process of any point in the subsidence basin can be divided into initial stage,
active stage and recession stage. In this period, 90%–95% of the total final subsidence has been
occurred. Due to the compaction of the pores and fractures in the strata or the influence of the over-
lying load, some residual subsidence deformation will be produced on the surface, which may do
certain damage to new buildings, especially for new high-rise buildings and long-span buildings.
That is shown in Figure 2. The surface inclination index has a great impact on high-rise build-
ings, while the surface horizontal deformation index has a serious impact on long-span buildings.
Therefore, it is very necessary to predict the surface residual subsidence deformation on goaf.

Figure 2. Deformation characteristics of high-rise and long-span structures.

734
 In this paper, the probability integral method was used to calculate the surface residual subsidence
deformation. The surface residual subsidence coefficient qr can be calculated as follows:
!
qr = (1 − q) k 1 − e−( 50 )
50−t
(1)

where q = conventional subsidence coefficient; k = adjustment coefficient, generally 0.5–1.0; t =

time interval from the end of mining to now. According to the time interval from the end of mining,
the residual subsidence coefficient can be simplified as shown in Table 1, and other parameters are
basically the same as those used in conventional prediction. The residual subsidence coefficient
should be appropriately increased while partial mining or more residual coal pillars reserved.

Table 1. Reference value of surface residual subsidence

coefficient.
Years 3 5 10 15 above 20

qr 0.10 0.07 0.05 0.03 0.02

The maximum residual subsidence value of the whole area is 153 mm, which is shown in Figure
3. The maximum surface inclination deformation is 1.6 mm / m, and the maximum horizontal
tensile deformation is 1.2 mm / m, the two indexes do not exceed the threshold of class I standard (
inclination deformation is less than 3 mm / m, horizontal tensile deformation is less than 2 mm / m).
It should be noted that the time interval from ending of mining to year of 2015 is more than 30
years. According to the general law of mining subsidence, the surface subsidence deformation is
in a stable state. The predicted residual subsidence deformation is accumulative value from now
on, which is of a gradual and slow process, so it has little damage impact on the new buildings.

Figure 3. Contour map of residual subsidence (Unit: mm) .

4 BUILDING FOUNDATION STABILITY

4.1 Influence depth of building load

The load of new buildings in the subsidence area will be transferred down and deep through the
foundation. If the additional stress influence depth of the building load spreads to the caving
mining fracture zone, the original equilibrium of strata will be broken and move again to reach a

735
new equilibrium. In this process, the gaps, cracks and separation space between the rock masses
will be compacted. It will lead to a chain reaction on the surface with large residual subsidence
deformation, which will make serious damage to the new buildings.
The influence depth of building load generally increases with the increase of building load,
for example more building layers and much larger height. Under normal conditions, when the
additional stress caused by new building load is equal to 20% of gravity stress of the ground base at
the same depth, the impact of additional stress on the foundation can be ignored. But when building
on subsidence area the result will be changed, the influence depth should be confirmed where the
additional stress is equal to 10% of the gravity stress of the foundation.
There are three conditions.
(1) H = Hz + HLi . When the mining depth of coal seam equals to the sum of the influence depth of
building load and the height of fracture zone, it is considered that the goaf is in critical stable
state, as shown in Figure 4(b).
(2) H > Hz + HLi . It is in stable state, the protective layer will not cause the activation of the old
goaf, as shown in Figure 4(a).
(3) H < Hz + HLi . It is in unstable state, the new building load will disturb strata above the old
goaf, uneven subsidence may occur and make some damage to new building. At this time, it is
very necessary to reduce the floor height or reduce the building load, or grouting to strengthen
foundation bearing power, as shown in Figure 4(c).
Where H = mining depth; Hz = influence depth of building load; Hli = height of fracture zone. P=
additional stress caused by building load; σ c = foundation gravity stress

Figure 4. Foundation stability state of subsidence area.

In this paper, an example for calculating influence depth of building was done, and the building
length is 30m and the width is 15m, the standard floor height is 3m. The single-layer building load
is 18 kN/m2 . The number of evaluation floors is form 7 to 13. The maximum influence depth of
the new 13-floors building is about 33 m below the ground base.

4.2 Foundation stability

The height of mining fracture zone can be measured on site or calculated according to the formula
recommended in literature. The calculation formula is as follows:
%
100 M
Hli = % + 5.6 (2)
1.6 M + 3.6

736
where M =mining height. The corresponding HLi = 50 m is obtained. The top interface of the
fracture zone is 50 m above coal seam roof. In fact, the height of the fracture zone should be much
smaller than calculated result because of years-and-years sedimentary compaction.
It is shown that the height of fracture zone (50 m) plus the maximum influence depth (33 m) is
far less than the mining depth (120 m), which belongs to the situation (a) in Figure 4. Therefore,
the foundation of new buildings is in stable state, and the new building load will not make the goaf
activation.

4.3 Effect of surface inclination deformation

High-rise buildings on subsidence area is very sensitive with surface inclination deformation.
The surface inclination deformation including building load both needs to be considered when
determining the number of floors or height of buildings. Referring to the rules in construction
foundation specifications based on theoretical researches and practical experiences of deformation-
resistant building technology, allowable surface inclination deformation of multi-floor and high-rise
deformation-resistance buildings and structures can be determined according to the requirements
shown in Table 2. It is shown that new building with anti-deformation structure has better ability to
resist the surface inclination deformation. However, building above 20 floors on subsidence area
should be cautious and conservative.

Table 2. Allowable ground inclination.

Building height HJ / m Allowable surface inclination deformation (mm / m)

Existing related specifications Anti-deformation building

HJ ≤ 12 4.0 8.0
12 < HJ ≤ 24 4.0 6.0
24 < HJ ≤ 40 3.0 4.0
40 < HJ ≤ 60 3.0 3.0
60 < HJ ≤ 100 2.5 2.0

It is shown that 13-floors building (HJ ≤40) allowable inclination deformation value of 4 mm
/ m is much higher than the maximum predicted inclination deformation value of 1.6 mm / m, so
building height is feasible.

5 ANTI DEFORMATION TECHNOLOGY AND APPLICATION

New buildings may be destroyed because of residual subsidence deformation of goaf. It is very
necessary to take anti deformation technology to ensure new building safety. The main technological
measures includes: (1) High rise and large span buildings should avoid the concentrated areas of
residual subsidence. The shape of building should be simple. The length of the unit should generally
not exceed 30 m. The deformation joints should be completely separated from the foundation to
the roof. The width of the deformation joints should be calculated and determined according to
the value of the surface deformation that may occur in the future; (2) The foundation should be
treated by the way of compaction and consolidation before construction, and a horizontal sliding
layer should be set under the foundation beam. The same single concrete foundation beam should
form a closed hoop. The reinforcement of the foundation beam and the connecting beam should
be checked and calculated according to the horizontal tensile deformation value; (3) Strength
and stiffness of upper part of new building must be increased appropriately. Cross-section and
reinforcement of ring beams and structural columns should be calculated and verified according to

737
the residual subsidence deformation. (4) Just-connected structure among pipes should be changed
to articulated structure, flexible joints can be considered.
The whole construction process was completed in year of 2015. The height of the buildings in
the project area were 7 and 13 stories respectively. Different anti deformation technical measures
were adopted on all the new buildings separately. The construction project is shown in Figure 5.
7-floors constructions were build in the south and west of the site and 13-floors buildings were
built in the northeast area. No damage has occurred on any new buildings until now.

Figure 5. Construction results of the project area.

6 CONCLUSION

Foundation stability must be evaluated when mining subsidence area used as construction land.
A quantitative evaluation method was proposed, that is spatial relationship between the influence
depth of new building load with height of mining fracture zone.
Anti deformation measures must be adopted to ensure building safety. Surface inclination
deformation should be a key consideration when high-rise building planned to be constructed.
Technology research and engineering practice show that it is feasible to use coal mining subsi-
dence area as construction land . The collapsed wasteland due to mining can be effectively used
with significant ecological, social and economic benefits.

ACKNOWLEDGMENT

This paper is supported by National Natural Science Foundation of China (NO.51474129), and
Key Project of Science and Technology Innovation and Entrepreneurship Fund of China Coal
Technology & Engineering Group (NO.2019-ZD004), and Tangshan Science and Technology Fund
Project(NO.19150258E).

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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Analysis and assessment of nickel pollution in soils and research

progress of passivation repair technology

Yarui Zho
Ocean College, Zhejiang University, Zhoushan, China

Haiyan Qin
11th Geology Team of Zhejiang Province, Wenzhou, China

Haoze Gao
Ocean College, Zhejiang University, Zhoushan, China

Alexander M. Piotrowski
Department of Earth Sciences, University of Cambridge, Cambridge, UK

Zilong Li∗
Ocean College, Zhejiang University, Zhoushan, China

ABSTRACT: Nickel is abundant in the earth’s crust and is as one of the eight major elements
that cause soil pollution in the soil in China. Recently, nickel pollution has become an important
environmental problem affecting China’s economic and social development. In order to practice
the scientific concept of “lucid waters and lush mountains are invaluable assets” and understand
the pollution degree of nickel from the source, scientific methods have been adopted to improve
the pollution in the soils. This study summarizes pollution status of nickel both domestic and
international, and takes a contaminated plot in the Longwan District in Wenzhou City of Zhejiang
Province as an example to further analyze the source of nickel pollution in the soil, which is of great
significance for finding suitable remediation methods. Various remediation technologies for nickel
pollution involve physical and chemical remediation technology, plant and microbial remediation
technology, particularly, passivator remediation technology with great application potential and
commercial prospects is used as a key way for nickel pollution control from soils.

1 INTRODUCTION

Nickel contaminated soil is widely distributed all over the world, the over-standard rate of nickel
has reached the rate of 4.8%, second only to cadmium in China, according to the Soil Pollution
Survey of 2014 (Chen et al. 2014). In addition to China, there are nickel-contaminated soils in
the Philippines, Malaysia, Indonesia, Iran, the Arabian Peninsula, and the Mediterranean coast
(Vaughan & Scarrow 2003). The existence of nickel in the soil at a high level mainly causes
harm to humans reflected in two aspects. Excessive nickel in the soil will inhibit the synthesis
of chlorophyll and protein (Wang & Guan 2013), which has a toxic effect on plants and is not
conducive to the growth of crops (Liu 2007). On the other hand, nickel pollution also posed a
huge threat to health through the food chain, resulting in the toxic effects of inducing cancer
(IARC 2012), teratogenicity, and mutagenesis (Wei et al. 2008). With the development of indus-
trial and agricultural activities, heavy metal pollution has attracted widespread attention in recent

∗ Corresponding Author: [email protected]

740 DOI 10.1201/9781003308584-104

years. This study will take a nickel-contaminated plot in Wenzhou City as an example, examine
the pollution level and source of pollution in the area, point out a highly targeted and effective
nickel pollution treatment technology, and then improve the nickel pollution of cultivated land
while providing technical support for ecological restoration and ensuring the safety of agricultural
products.

2 POSSIBLE SOURCES AND ACCUMULATION OF NICKEL POLLUTION IN SOILS

Take a nickel-contaminated plot in the Longwan District as the subject of field investigation. This
area is located in the eastern part of Wenzhou City, which is situated in the south bank of the
Oujiang Estuary. Most of the rock masses in the territory are bare due to erosion and weathering.
The rock formation in this area belongs to the Quaternary soil layer with a strong lithological
foundation. The north, west, and east sides of the study area are farmland, and there are lots of key
industry enterprises on the south side, mainly involving metal surface treatment technology. There
are rivers on the west and east sides of the farmland. The irrigation of farmland is mainly river
water. The possible sources and accumulation of heavy metals are shown in Figure 1.

Figure 1. Sources and accumulation pathways of heavy metals in soils.

2.1 Natural sources of nickel pollution

The natural source of nickel in the soil mainly comes from the formation process of soil and rock,
as well as the process of volcanic eruption, rock weathering, and other geological activities. The
parent material (Baize D 2000; McGrath 1995; Zupan et al. 2000) and pH especially play a decisive
role in the metal content of the soil. The parental material affects the metal contents of the original
soil and plays a leading role in the soil metal contents at the early stage of development, while it
contains heavy metals, and the content of heavy metals in the soil formed by different weathering
of the parental material usually is obvious differences. The pH value is related to the loss of metals
in the soil. Generally, the metal ions in the soil are not easy to transfer, but this situation will change
when it comes to acidic conditions, so they play a decisive role in the development of mature soil
metal contents.
The landform type of the study area is the coastal plain; and the soil type has evolved over
time due to long-term human use and continuous improvement. The near-coast soil with shorter
reclamation and utilization is saline soil. The soil is mainly used for dry farming after desalination,
and it gradually evolves into fluvo-aquic soil. As the increase of time, the land is often changed to
paddy field, and the soil develops towards paddy soil. The pH value of the cultivated soil is generally
high because of the carbonate composition in the soil-forming parental material. The soil available
phosphorus was uneven, however, the average content of available potassium reached a high level.

741
Organic matter content in soil is quite different, which the soil organic matter is mainly at the
middle-low level, and the soil retention capacity is generally average. The standard value of nickel
for the Tertiary land is ca. 200 mg/kg according to China’s soil environmental quality standards
(No. GB15618-1995). The background value of nickel in soils in China is about 26.9 mg/kg, and
the nickel content in most soils is less than 50 mg/kg. The nickel-rich soil of the serpentinite in
Yuanjiang and Mojiang areas in Yunnan Province, the nickel-rich basalt of the Leizhou Peninsula
and Hainan Island in Guangdong Province (Chen et al. 2014) has a nickel content of 200–7,000
mg/kg.

Table 1. General nickel concentration of different parent material soils.

Parental material General nickel concentration

Sandstone, limestone or acidic igneous rock ≤ 20 mg/kg

Shale or argillaceous sedimentary rock 50–100 mg/kg
Basic igneous rock 130–160 mg/kg
Ultrabasic igneous rock 1,400–2,000 mg/kg

2.2 Source of nickel from agricultural production

Since sewage irrigation was begun to develop in China at 1960s, it has polluted more than
3.3 million hm2 of irrigated farmland, mainly in the northern arid areas (Wang & Lin 2003).
Low-quality agricultural irrigation water (Li 2007; Yohan et al. 2012) has a greater risk of soil
pollution. Irrigation sewage has a complex composition, including domestic sewage, commercial
sewage, and industrial sewage. Industrial sewage often contains high heavy metal ions, includ-
ing such Hg, Cd, Cr, and Ni, which have a greater impact on local soil pollution. Heavy metal
ions in the soil have the characteristics of poor mobility, long retention time, and inability to be
degraded by microorganisms. They will quickly accumulate in the irrigation area, which is much
higher than the background value. In addition to irrigation, pesticides (Su 2015) and insecticides
(Zhang et al. 2019) also contain heavy metal elements, which are as the sources of nickel in the
soil.

2.3 Source of nickel from industrial production

In industry, nickel is widely used because of its distinct and excellent properties. Nickel has good
magnetic properties and can be used in the manufacture and ductility of car batteries. Nickel-based
alloys have good corrosion resistance (Yang et al. 2002), and pollutants such as reaction residues
generated during the production of nickel compounds, scrap nickel catalysts, nickel residues gen-
erated in the electroplating process. Bath liquids are excessively discharged into the environment
that causes soil nickel pollution. In addition to the pollution caused during the production process
and the stacking of waste materials (Han & Cheng 2017; Li 2017; Peng et al. 2014; Yu et al. 2015),
the dumping area of industrial waste is often the most polluted area.

2.4 Source of nickel from life

The main sources of nickel in the soil from life are the application of pesticides and fertilizers,
vehicle exhaust emissions, the disposal of house demolition waste, the stacking and incineration of
garbage, and atmospheric deposition (Li et al. 2014; Solgi & Parmah 2015; Wang et al. 2020). In
addition, sewage and sludge produced by domestic and industrial industries may carry Ni, which is
then used as irrigation water and fertilizer in the agricultural production process, and the relevant
pollution source analysis can be seen in Table 2 (Ameh 2014).

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Table 2. Analysis of pollution sources in some areas.

Study Heavy Pollution Contribution

area Year metal source rate References

Zhejiang Province 2015 Pb, Hg, Cd, Cr, Organic and inorganic Hg: organic fertilizer (Yang
Al, Mn, Ni fertilizer, road dust, (74-100%), road dust 2020)
solid waste, irrigation (0-24%); Pb: road dust
water, atmospheric dust (0-80%) and solid waste
(19-100%)

Tianjin City 2016 Cd, Hg atmospheric dust, Cd: industrial waste (Yang
industrial waste, irriga- (46%), irrigation water 2014)
tion water, organic and (29%); Hg: atmo-
inorganic fertilizers, spheric dust (37%),
pesticides organic fertilizer
(25%), irrigation water
(22%)

3 PROGRESS ON SOIL REMEDIATION TECHNOLOGY

Recently, there are three main ideas for the remediation technology of soil nickel pollution. The
first is to replace the contaminated soil with uncontaminated soil completely or partially through
engineering means. The second is to separate heavy metals from the soil through physical and
chemical methods so that the content of heavy metals in the soil is lower than the background
value. The third is to change the form of nickel in the soil so that it is fixed in the soil without
entering the food chain (Kabatapendias & Pendias 1984; Skejelkvale et al. 2011).

3.1 Physical methods

3.1.1 Engineering method
The engineering method of soil remediation mainly refers to the use of soil replacement, soil
turning, and other engineering methods. Though this kind of method is stable and effective, the
project and the investment are both large. This method cannot fundamentally solve the problem of
nickel pollution, and there is a risk of secondary pollution when transfers and dilutes the pollution
(Begum et al. 2012; Tang et al. 2020; Yusuf et al. 2011).

Table 3. Engineering soil remediation methods.

Methods Remarks

Improved soil imported from other Add uncontaminated new soil to the contaminated soil
places
Replace soil Remove the contaminated soil and replace it with
uncontaminated soil
Dig soil Turn the contaminated topsoil to the lower layer
Remove topsoil Remove the contaminated topsoil

3.1.2 Electric repair

Heavy metal ions (such as Pb, Cd, Cr, Zn) and inorganic ions in the soil are transported to the
electrode in the manner of electroosmosis and electromigration through the action of electric
current, and then collected and processed in a concentrated manner. Electric remediation has

743
characters of low and fast, and controllable direction of pollutant migration, however, it is only
suitable for small-scale pollution control.

3.2 Biological methods

3.2.1 Phytoremediation
In areas with a high background value for a certain heavy metal element, plants will avoid this
element as much as possible in order to survive, but there are also super-enriched plants that can
enrich this element (Xu et al. 2013). There are about 290 species of nickel hyperaccumulators
discovered so far. Phytoremediation is to select hyperaccumulators with high metal tolerance and
strong accumulation ability (Korzeniowska1 & Stanislawska 2019) and plant them on the plot to
be repaired. Celestial blue vegetable (Rosario et al. 2004), sunflower (Hu et al. 2014), Li’s gras
(Liu & Wu 2016) are all nickel-rich plants. The cost of phytoremediation is low, and it can improve
soil fertility and beautify the environment. However, the remediation cycle is long, and there are
some problems with plant treatment methods existed.
Based on the expansion of phytoremediation, for areas that cannot reach the high background
value of nickel, the hyper-enriched phytoremediation technology can be effectively used (Wang &
Cui 2007), and the resource utilization of nickel is realized while repairing the soil. In addition,
the enrichment of nickel in different parts of crops is different (Zhang et al. 2009). For example,
the nickel in plantain (Geng et al. 2020) is concentrated in the roots and less in the leaves. If the
metal ion-rich part of the crop is in the non-edible part, it is expected to develop normal farming
operations on the soil-receiving site.

3.2.2 Microbial remediation

Certain microorganisms can increase the stability of heavy metals in soil through adsorption,
precipitation and redox while changing the chemical form of heavy metals in the soil, or converting
toxic heavy metals into low-toxic substances to reduce the toxicity of heavy metals role (Bai et al.
2018). Microorganisms, such as Bacillus cereus (Liu et al. 2020), Bacillus thuringiensis (Wang
2018), Streptomyces rimosus (Xue et al. 2012), have good adsorption effects on nickel. However,
the disadvantage is that microbial remediation requires high environmental temperature and high
cost.

3.3 Chemical methods

The heavy metal nickel exists in the soil in various forms (Kabatapendias & Pendias 1984). Ni in
the soil mainly exists in the form of Ni2+ , and a small amount exists in the form of zero valence
under general conditions. The forms of Ni in the soil solution generally include [Ni(H2 O)6 ]2+ ,
[Ni(OH)]+ , and Ni(OH)3− , Ni can react with water, fulvic acid, calcium carbonate, amorphous
iron oxide, amorphous manganese oxide, vermiculite, montmorillonite, kaolinite in soil to form
compounds. The form of nickel in the soil after the passivator treatment has changed. Although it
has not been separated from the soil, the nickel content in the crops produced in the area is limited
to a safe value, and the value of the land can still be use (Yusuf et al. 2011). The method has low
cost, convenient construction and strong stability.

3.3.1 Leaching method

The effective ingredients in the eluent (organic or inorganic acids, alkalis, salts and chelating
agents) react with solid metal compounds and become liquid. This method is more economical,
but for soil pollution in different regions, different formulations and different eluents are required.
The components and ratios in the eluent will affect the results.

3.3.2 Soil passivator method

The addition of passivators will reduce the activity of nickel and fix the nickel in the soil, so that
the nickel in the soil no longer participates in the material cycle, and also has not adverse effect on

744
people’s life and production. The available states of heavy metals in soil (Tang et al. 2020) mainly
include exchangeable state, carbonate bound state, iron manganese oxidation state, organic matter
bound state and residue state. The form of heavy metals can be transformed from the exchangeable
state with the highest activity to the bound state of organic matter and the residue state with the
lowest activity through a series of processes such as adsorption, precipitation, complexation, ion
exchange and redox.
As an excellent passivation agent, biochar can store large amounts of carbon, increase crop
yields, reduce greenhouse gas emissions, improve soil quality, reduce nutrient leaching, and reduce
irrigation and fertilizer requirements, which has received more and more attention (Fu et al. 2019;
Guo 2017; Li 2017; Wang 2014; Xiang et al. 2017; Xie 2010; Xu 2018; Xue et al. 2012; Zhang
2017).
Importantly, biochar has great complexing ability for heavy metals due to the porous structure
and the existence of various functional groups (for example, carboxyl, hydroxyl, and phenolic
hydroxyl). In addition, biochar has been shown to reduce the bioavailability of metals in the soil
and the absorption and transport of plants. Biochar is considered to be a good soil amendment due
to its good adsorption performance and high stability. At present, biochar has made some progress
in the remediation of heavy metal in contaminated soil, and has a good passivation effect on Cd,
As, Cu, Pb and other heavy metals in soil.

3.4 Composite method

Soil activation refers to increasing the mobility of heavy metals in the soil by adding a certain
substance. The activity of nickel in the soil is related to the pH value, and it has stronger bioavail-
ability under acidic conditions (Jiang et al. 2003; Öztürk 2007; Selatnia 2004; Xie 2017). Acidic
amendments, such as citric acid and DETA, can promote the absorption of nickel by plants and
increase the activity of nickel and enzymes in the soil (Wu et al. 2020). Microbial technology (Wu
2017) is generally applied to organic pollutants. In terms of heavy metal pollution, it is used as an
enhancement method for phytoremediation to improve the effect of phytoremediation. There is a
symbiotic relationship between certain microorganisms and plants (Qu et al. 2019), which activates
the activity of heavy metals in the soil and in turn enhances the accumulation of heavy metals in
plants. Microorganisms can effectively enhance the absorption of nickel by plants (Liu et al. 2018;
Yan et al. 2017), which is effective not only for enriched plants, but also for non-enriched plants.
The compound system of plant-microbe-passivator (Ma 2016) has an incomparable advantage over
a single system for compound contaminated soil.

4 CONCLUSIONS

Soil remediation is a comprehensive work involving multiple disciplines. The methods of soil
treatment are constantly innovating, and various new technologies and methods are constantly
being discovered.

(1) The treatment of nickel pollution in the soil should not only stop at the restoration of the
contaminated soil, but also reduce the pollution of the land at the source, and reduce the entry
of pollutants into the soil through advanced treatment of irrigation sewage and standardized
pesticide use.
(2) Although biochar passivators can improve the soil, promote crop nutrient absorption and
growth, and have a passivating effect on soil heavy metal pollution. The shortcomings have
largely limited the wide application of biochar in practice. Therefore, the research and devel-
opment of new biochar materials with multiple environmental benefits have higher practical
potential and commercial value.

745
(3) There are other added values, such as landscape planting, reuse of metal resources in the process
of soil restoration. The development and effective use of the added value in the soil remediation
process can effectively reduce costs and increase revenue.

ACKNOWLEDGMENTS

This work was supported by National Natural Science Foundation of China (Grant No. 41702047),
Zhejiang University Education Foundation Global Partnership Fund, and Geological Exploration
Bureau (No. 202006).

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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

The transportation of PHC from rivers and land surface runoff

Dongfang Yang∗
Accountancy School, Xijing University, Xi’an, China
North China Sea Environmental Monitoring Center, SOA, Qingdao, China

Haixia Li, Dong Lin, Ge Gao & Qi Wang

Accountancy School, Xijing University, Xi’an, China

ABSTRACT: According to the survey data of the waters of Jiaozhou Bay in May, September, and
October 1994, this article studied the content of PHC and its horizontal distribution in surface. The
results indicate that the PHC content in the waters of Jiaozhou Bay ranged within 4.13 − 44.30µg/L,
conforming to the national seawater standards of Class I and II. It shows that in terms of PHC
content, the water in the area of Jiaozhou Bay was clean and was not polluted by PHC at all in
May, September, and October. In May, the PHC content in the waters of Jiaozhou Bay was 12.60 −
17.60µg/L; in September, it was 4.13 − 10.00µg/L; in October, it was 9.94 − −44.30µg/L. There
were two sources of PHC content in the waters of Jiaozhou Bay, the transportation of rivers and the
transportation of land surface runoff. The PHC content sourced from the transportation of rivers was
17.60 − 44.30µg/L and from the transportation of land surface runoff was 10.00µg/L. Therefore,
all the PHC content is sourced from the transportation of rivers and land surface runoff during
different months. In addition, no matter how time changes, the transportation of PHC content only
came from the land, not the atmosphere, and the ocean. During the year, all PHC content came
from the land and only the PHC content in rivers and land surface runoff was transported to the
ocean. At the same time, the PHC content transported by the rivers and land surface runoff was
10.00 − 44.30µg/L, conforming to the national seawater standards of Class I and II (50µg/L).

1 INTRODUCTION

In the waters of Jiaozhou Bay, the PHC pollution was decreasing. Human activities brought the
emission of the PHC. Thus, the PHC content was transported to the bay water through the land
surface runoff and rivers (Yang & Zhang 2011; Yang & Wang 2013; Yang & Sun 2014; Yang & Wang
2015a, 2015b, 2015c, 2015d; Yang & Wang 2016; Yang & Zhu 2016). Based on the survey data
in 1994, this article analyzed the content, horizontal distribution, and source of PHC in Jiaozhou
Bay waters, studied the water quality, source, and quantity of PHC in Jiaozhou Bay waters, and
determined the PHC content in the waters of Jiaozhou Bay and the pollution degree, providing
a scientific theoretical basis for protecting the marine environment and maintaining sustainable
ecological development.

2 SURVEY OF WATERS, MATERIALS AND METHODS

2.1 The natural environment of Jiaozhou Bay

Jiaozhou Bay is located in the southern part of Shandong Peninsula. Its geographical position is
between 120◦ 04 − 120◦ 23 E and 35◦ 58 − 36◦ 18 N. It is bounded by the line connecting Tuan

∗ Corresponding Author: [email protected]

DOI 10.1201/9781003308584-105 749

Island and Xuejia Island, and is connected to the Yellow Sea. With an area of about 446km2 and an
average water depth of about 7 m, it is a typical semi-enclosed bay. More than a dozen rivers are
entering the sea in Jiaozhou Bay, among which the Dagu River, Yang River, Haibo River, Licun
River, and Loushan River in Qingdao City possess larger runoff and sand content. These rivers
are all seasonal rivers, and the river hydrological characteristics produce obvious seasonal changes
(Yang & Wang 2004; Yang & Chen 2005).

2.2 Materials and methods

The survey data of PHC content in Jiaozhou Bay in May, September, and October 1994 used in this
study are provided by the North Sea Monitoring Center of the State Oceanic Administration. Seven
stations were set up in the waters of Jiaozhou Bay to take water samples: stations H3101, H3102,
H3103, H3104, H3105, H3106, and H3107 (Figure 1). Sampling was conducted three times in
May, September, and October 1994, respectively. Water samples were taken according to the water
depth (surface and bottom layers were taken when the depth was >10m, and only the surface layer
was taken when the depth was <10m) for investigation and sampling. The survey of PHC content
in Jiaozhou Bay water body was carried out according to the national standard method, which was
recorded in the national “Marine Monitoring Code” (State, 1991).

Figure 1. Investigation sites in Jiaozhou Bay.

3 RESULTS

3.1 PHC content

In terms of PHC content in the ocean, the nation has put forward the national water quality standards
for Class I and Class II seawater (50µg/L), Class III (300µg/L), and Class IV (500µg/L).

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 In May, the PHC content in the waters of Jiaozhou Bay ranged from 12.60 to 17.60µg/L,
conforming to the national seawater quality standards of Class I and II. In September, the PHC
content in the waters of Jiaozhou Bay ranged from 4.13 to 10.00µg/L, conforming to the national
seawater standards of Class I and II. In October, the PHC content in the waters of Jiaozhou Bay
ranged from 9.94 to 44.30µg/L, conforming to the national seawater standards of Class I and II.
Therefore, in May, September, and October, the content of PHC in the waters of Jiaozhou Bay
ranged within 4.13 − 44.30µg/L, conforming to the national seawater standards of Class I and II.
This showed that in terms of PHC content, the water quality of the entire Jiaozhou Bay was not
polluted by PHC in May, September, and October (Table 1).

Table 1. The surface water quality in Jiaozhou bay in May, September, and October.

May September October

PHC content in seawaters/µg·L−1 12.60–17.60 4.13–10.00 9.94–44.30

National seawater standards Class I, II Class I, II Class I, II

3.2 Horizontal distribution in the surface layer

In May, in the northwestern part of Jiaozhou Bay, the PHC content reached a relatively high level
of 17.60µg/L at H3102 in the estuary of Dagu River, forming a high PHC content area with H3102
as the center and a series of parallels with different gradients. The PHC content decreased from
the high content of 17.60µg/L in the center to the outside along the gradient to 12.60µg/L in the
mouth of the bay (Figure 2).

Figure 2. PHC content distribution in the surface waters of Jiaozhou Bay in May (µg/L).

In September, in the northern coastal part of Jiaozhou Bay, the PHC content reached a relatively
high level of 10.00µg/L at H3103, forming a high content area of PHC with the high PHC content
area as the center and a series of parallels with different gradients. The PHC content decreased from

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the high content of 10.00µg/L in the center along the gradient to the surroundings to 4.13µg/L in
the southeastern waters of the bay (Figure 3).

Figure 3. PHC content distribution in the surface waters of Jiaozhou Bay in September (µg/L).

In October, at H3104 in the estuary of Haibo River and the eastern part of Jiaozhou Bay, the
content of PHC reached a high level of 44.30µg/L, forming a high content area of PHC in the
estuary of Haibo River. Taking station H3104 as the center, it formed a series of parallel lines with
different gradients. The content of PHC decreased from the high content of 44.30µg/L in the center
along the gradient to 9.94µg/L in the northern waters. (Figure 4)

Figure 4. PHC content distribution in the surface waters of Jiaozhou Bay in October (µg/L).

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4 DISCUSSION

4.1 Water quality

In May, September, and October, the content of PHC in the waters of Jiaozhou Bay ranged from
9.94 to 44.30µg/L, which was in line with the national seawater standards of Class I and Class II
(50µg/L). This showed that in terms of PHC content, in May, September, and October, the water
of Jiaozhou Bay was not polluted by PHC.
In May, the content of PHC in the waters of Jiaozhou Bay ranged from 12.60–17.60µg/L, and
the water of Jiaozhou Bay was not polluted with PHC at all. At station H3102 in the estuary of
Dadu River in the northwestern part, the PHC content was 17.60µg/L, which indicated that the
water quality of this area met the national seawater standards of Class I and II in terms of PHC
content, and the maximum of PHC content, 17.60µg/L, was far less than 50µg/L, so the water
had good quality and it was not polluted by PHC, conforming to the national seawater standards
of Class I and II (Figure 2).
In September, the content of PHC in the waters of Jiaozhou Bay ranged from 4.13–10.00µg/L,
and the waters of Jiaozhou Bay were not polluted by PHC. In the northern coastal waters of Jiaozhou
Bay, H3103, the PHC content reached 10.00µg/L, which showed that the water quality of this area,
in terms of PHC content, met the national seawater standards of Class I and II, and the PHC content
was far less than 50µg/L. Therefore, the water quality was not polluted by PHC and the water was
clean (Figure 3).
In October, the content of PHC in the waters of Jiaozhou Bay ranged from 9.94–44.30µg/L, and
the waters of Jiaozhou Bay were not polluted by PHC. In the estuary of Haibo River, H3104, the
PHC content reached a high level, 44.30µg/L, which indicated that the water quality of this water
area, in terms of PHC content, met the national seawater standards of Class I and II, and the PHC
content was far less than 50.00µg/L. The water is clean.
Therefore, in May, September, and October, the water in the entire water area of Jiaozhou Bay
was not polluted with PHC content at all.

4.2 Sources
In May, a high-content area of PHC was formed in the estuary of Dagu River in Jiaozhou Bay,
which indicated that the source of PHC was the transportation of Dagu River and its PHC content
was 17.60µg/L. The transported PHC content declined along the gradient, leading to a decrease in
the PHC content gradient to the surrounding area, reaching 12.60µg/L in the mouth of the bay.
In September, a high-content area of PHC was formed in the northern coastal waters of Jiaozhou
Bay, which indicated that the source of PHC was the transportation of land surface runoff, and
its PHC content was 10.00µg/L. The transported PHC content decreased along the gradient,
which caused the PHC content gradient to decrease in the surroundings, reaching 4.13µg/L in
the southeastern waters of the bay.
In October, a high-content area of PHC was formed in the estuary of Haibo River in Jiaozhou
Bay, which indicated that the source of PHC was the transportation of Haibo River, and its PHC
content was 44.30µg/L. The transported PHC content decreased along the gradient, which caused
the PHC content gradient to decrease to the surroundings, reaching 9.94µg/L to the northern waters
of the bay.
The PHC content in the waters of Jiaozhou Bay had two sources, the transportation of rivers and
the transportation of land surface runoff (Table 2). The PHC content sourced from the transportation
of rivers was 17.60–44.30µg/L and from the transportation of land surface runoff was 10.00µg/L.

4.3 The change in the content of sources

In May, September, and October, the PHC content in the waters of Jiaozhou Bay has two sources,
transportation of rivers and land surface runoff.

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 In May, the source of PHC content was the transportation of Dagu River, and the PHC content
was 17.60µg/L.
In September, the source of PHC content was the transportation of land surface runoff, and the
PHC content was 10.00µg/L.
In October, the source of PHC content was the transportation in Haibo River, and the PHC
content was 44.30µg/L.
In different months, the PHC content was sourced from the transportation of rivers and land
surface runoff. In addition, no matter how time changed, there was only transportation from land
and not from the atmosphere and ocean. Moreover, the PHC content from land surface runoff was
less than that of the river, which revealed that the PHC content in the river was formed by the
confluence of land surface runoff.

4.4 The pollution degree of source

The PHC content in the waters of Jiaozhou Bay had two sources, the transportation of rivers and
land surface runoff (Table 2).

Table 2. The PHC content had two sources in Jiaozhou bay.

Sources Transportation of rivers Transportation of land surface runoff

PHC Content/µg·L−1 17.60–44.30 10.00

In May, the PHC content transported by the Dagu River to the waters of Jiaozhou Bay was
17.60µg/L, far less than the national seawater standards of Class I and II, 50µg/L, indicating that
the Dagu River was not polluted by PHC content at all.
In September, the PHC content transported by land surface runoff to the waters of Jiaozhou Bay
was 10.00µg/L, far less than the national seawater standards of Class I and II, 50µg/L, indicating
that the land surface runoff was not polluted by PHC content at all.
In October, the PHC content transported by Haibo River to the waters of Jiaozhou Bay was
44.30µg/L, less than but close to the national seawater standards of Class I and II, 50µg/L, indicating
that Haibo River was not polluted by PHC content but the PHC content was close to the boundary
value of pollution.
Therefore, in a year, the PHC content all came from the land and was only transported by rivers
and land surface runoff to the ocean. Meanwhile, the PHC content transported by rivers and land
surface runoff was 10.00–44.30µg/L, conforming to the national seawater standards of Class I and
II (50µg/L). It indicated when the PHC content conformed to the national standards, the PHC
content was sourced from land, and the land was not polluted by PHC at all. It showed that human
activities with the improvement of the awareness of environmental protection had reduced the
emission of PHC content to decrease the PHC pollution in marine waters as much as possible.

5 CONCLUSION

In May, September, and October, the PHC content in the waters of Jiaozhou Bay ranged within
4.13 − 44.30µg/L, conforming to the national seawater standards of Class I, and II. This indicated
that in terms of PHC content, the water of Jiaozhou Bay was clean and not polluted by PHC content
in May, September, and October.
In May, the content of PHC in the waters of Jiaozhou Bay ranged from 12.60 to 17.60µg/L, and
the water of Jiaozhou Bay was not polluted by PHC content at all. In September, the content of
PHC in the waters of Jiaozhou Bay ranged from 4.13 to 10.00µg/L, and the water of Jiaozhou Bay
was not polluted by PHC content. In October, the content of PHC in the waters of Jiaozhou Bay

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ranged from 9.94 to 44.30µg/L, and the water of Jiaozhou Bay was not polluted by PHC content.
Therefore, in May, September, and October, the water in the entire water area of Jiaozhou Bay was
not polluted by PHC.
There were two sources of PHC content in the waters of Jiaozhou Bay, the transportation of rivers
and the transportation of land surface runoff. The PHC content sourced from the transportation of
rivers was 17.60–44.30µg/L and from the transportation of land surface runoff was 10.00µg/L. In
different months, the PHC content was sourced from the transportation of rivers and land surface
runoff. In addition, no matter how time changed, there was only transportation from land and not
from the atmosphere and ocean. Moreover, the PHC content from land surface runoff was less than
that of the river, which revealed that the PHC content in the river was formed by the confluence of
land surface runoff.
It indicated when the PHC content conformed to the national standards, the PHC content was
sourced from land, and the land was not polluted by PHC at all. It showed that human activities
with the improvement of the awareness of environmental protection had reduced the emission of
PHC content to decrease the PHC pollution in marine waters as much as possible.

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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Research progress of subsurface drip irrigation development and its

application

Youshuai Bai, Hengjia Zhang & Shenghai Jia

College of Water Conservancy and Hydropower Engineering, Gansu Agricultural University, Lanzhou,
Gansu, P.R. China

ABSTRACT: Water scarcity is an important factor affecting the sustainable development of

agriculture. Efficient irrigation techniques not only improve water use but also increase crop
yields. Drip irrigation with high irrigation control can provide a better growth environment for
crops, and its effect of water-saving and yield-increasing has been widely accepted. This paper
briefly introduces surface drip irrigation technology and its existing problems, and further describes
the development and superiority of subsurface drip irrigation technology. Finally, the defects of
conventional subsurface drip irrigation technology are summarized, and a novel subsurface drip
irrigation technology-sand tube irrigation (STI) is expounded. At the same time, the technology
has been proved by some scholars, which is expected to provide new perspective and strong support
for forests and fruit cultivation, ecological environment protection and economic growth in arid
areas.

1 INTRODUCTION

The limited available fresh water, low utilization rate of water resources and the mismatch of water
and soil resources have become the restraining factors for the development of global agriculture.
At the same time, water shortages also contribute to the food security and ecological security
problems, leading to the increased regional instability (Kang et al. 2017). Irrigated agriculture
consumes more than 70% of the available freshwater resources, which is the source of more than
40% of the world’s food products (FAO 2017). In the northwest of China, an intensifying trend
of groundwater overextraction, vegetation death and desertification aggravation is under way.
However, fortunately, the government and scholars have realized these problems and started to
solve them through practical actions. It is also important to develop new irrigation techniques to
ensure food security and the development of agriculture under limited resources. Therefore, water
productivity must be improved. Common water-saving irrigation techniques include drip irrigation,
sprinkler irrigation, micro-sprinkler irrigation, seepage irrigation, and micro-moisture irrigation.
Replacing surface irrigation with high-efficiency micro-irrigation technology can improve water
use efficiency, alleviate water shortage and ensure the sustainable development of agriculture (Liu
2021). Drip irrigation is the most efficient micro-irrigation technology, which was widely used
in corn, cotton, grape, jujube and other crops in northern of China. The effect of saving water
and increasing production for drip irrigation has been proved (Bai &Gao 2021; Dagdelen et al.
2009; Li et al. 2020; Sun et al. 2016; Sui et al. 2015). At the same time, the utilization efficiency
of fertilizer can be improved by the integration of water and fertilizer in pipeline (Hong et al.
2021; Sui et al. 2015). Although the effect of drip irrigation technology on water saving and yield
increasing has been widely confirmed, the existing problems of surface drip irrigation have not
been systematically discussed. So this paper will sort out the existing problems of surface drip
irrigation, introduce the development of subsurface drip irrigation and provide an effective way for
popularization and application of subsurface drip irrigation technology in dry regions.

756 DOI 10.1201/9781003308584-106

2 DRIP IRRIGATION TECHNOLOGY AND ITS WATER-SAVING MECHANISM

Drip irrigation technology is an efficient water-saving irrigation method that provides water through
pipes, which has been widely used all over the world especially in countries and regions with water
shortage. Generally, emitters delivers water drop by drop to the crop roots soil at a low pressure
of 20-200 kPa and a flow rate of l-30 L/h (CAI 2003). Drip irrigation have the features of higher
water-control and slower water-dropping, so the smaller volume of surface wet soil lead to less
evaporation and lower leakage than traditional irrigation techniques. Skaggs et al. (2010) conducted
the research of water distribution patterns under drip irrigation, and adopted numerical simulations
and field trials to reveal the influencing factors of the spreading of water from drip emitters. Wang
et al. (2021) found the water use efficiency of corn drip irrigation was 11% higher than border
irrigation. Many scholars had confirmed drip irrigation can improve crop water use efficiency
(Abdelraouf et al. 2020; Hu et al. 2018).
Many studies have confirmed the moisture retention and yield-enhancing effects of plastic mulch,
which is widely used in field cultivation. Drip irrigation technology combined with film mulching
is gradually being used widely in various field crops in arid areas. Fawibe et al. (2020) studied
the effects of film mulched drip irrigation on maize yield, water use efficiency and physiologi-
cal characteristics. The results showed that water use efficiency was significantly increased and
higher grain yield was maintained compared to flooding irrigation. Qin et al. (2016) found the
evapotranspiration of maize under mulched drip irrigation in the whole growth period was reduced
by 7.97% in 2014 and 7.30% in 2015 compared with border irrigation under sufficient irrigation.
Water-fertilizer integration technology in drip irrigation has been widely proved in improving crop
water and fertilizer utilization. Nutrient elements are important substances for crop growth and
yield formation, and their effectiveness has attracted more and more attention from scholars. How
to improve the utilization efficiency of nutrients and reduce chemical fertilizers, the Ministry of
Agriculture, PRC has formulated the "Zero Growth Action Plan of Chemical fertilizer Use by
2020". Relevant studies show that drip irrigation under mulched can improve the absorption effi-
ciency of phosphorus in soil (Wang et al. 2018). Therefore, it is considered that the water-saving
effect of drip irrigation is mainly reflected in improving the crop water-fertilizer use efficiency.

3 PROBLEMS OF SURFACE DRIP IRRIGATION TECHNOLOGY

Drip irrigation is generally divided into surface drip irrigation and subsurface drip irrigation.
Surface drip irrigation technology directly transfers water and fertilizer to the root soil of crops and
has a high water and fertilizer utilization efficiency. Studies have shown that surface drip irrigation
system can provide high potential water application efficiency up to 85%–95% at the field level
(Irmak et al. 2011). However, its lateral surface infiltration leads to the greater evaporation. Surface
water is formed in the soil-saturated area when the soil infiltration rate is less than the water
discharge from the emitter, so it is not ignored in arid region (Cui et al. 2010; Zhang et al. 2004;
Zhao et al. 2014). It is easy to age because the surface drip irrigation belt is exposed to the ground
and frequently baked by the sun, which brings great trouble to harvest. Surface drip irrigation belt
generally requires small flow, which leads to easy blockage. Therefore, irrigation water quality is
required to be high, and the filtration equipment must be added to meet water quality requirements.
In addition, although many studies have shown that the integration of water and fertilizer under
drip irrigation has significant effects on crop yield and water-fertilizer utilization efficiency, the
insufficient dissolution of granular fertilizer may also lead to emitter blockage. Clogging of the
emitter changes its hydraulic characteristics and leads to uneven irrigation, or even to crop shortage
and yield reduction due to severe clogging (Yavuz et al. 2010). This shows that the drip emitters
clogging problem has caused difficulties in the development of drip irrigation technology. Long-
term drip irrigation also has important effects on the soil environment. The scholar (Xinjiang
Institute of Ecology and Geography, Chinese Academy of Sciences) has found that the long-term
drip irrigation will cause soil salt accumulation in arid oasis. To be specific, the average salt content

757
of soil layer will increase by 0.22 g kg-1 per year on the original cultivated land, and the average
salt content of different drip irrigation plots of drip irrigation will increase by 2.36 g kg-1 per
year in the past 10 years (Figure 1) (Luo 2014). Meanwhile, the contradiction between the soil
quality deterioration due to long-term use of surface drip irrigation and the increased agricultural
investment due to one-time use is urgently needed to be solved. Due to the lack of surface water
sources and the dry climate in arid areas, rodents must search for water everywhere. If the pipeline
or drip irrigation tape were broken, it not only increases the cost of repairing, but also wastes the
manpower and water resources.

Figure 1. Variation of soil salinity in 0–200 cm depth and years.

4 SUBSURFACE DRIP IRRIGATION TECHNOLOGY AND ITS PROBLEMS

4.1 Subsurface drip irrigation technology

Subsurface drip irrigation is a new type of high-efficiency water-saving irrigation technology,
which is characterized by direct transport of water to the root soil of crops. The evaporation of
invalid water on the soil surface will reduce because the surface moisture is less in the process
of water transport upward, the purpose of water efficient utilization and water saving is achieved
eventually. Additionally, subsurface drip irrigation also eliminates surface runoff, controls weeds
and reduces surface pollution from non-point sources (Fawibe et al. 2020), and these advantages
are incomparable to surface drip irrigation.
There are many methods of subsurface drip irrigation, including the buried drip irrigation and the
installation of underground emitters (porous clay POTS), which have obvious effects on improving
soil water use efficiency and crop yield (Bainbridge 2001; Shahram et al. 2002; Vories & Tacker
2009). Subsurface drip irrigation provides better growth conditions for crops and maintains a higher
water content in the root zone compared with surface drip irrigation, which significantly improves
crop yield (Badr et al. 2010; Mo et al. 2017). Ma et al. (2018) evaluated the response of surface
drip irrigation and subsurface drip irrigation on crops and showed that subsurface drip irrigation
saved an average of 23% water compared to surface drip irrigation, but the differences were not
significant in yield and fruit composition. Wang et al. (2021) showed that subsurface drip irrigation
significantly increased WUE by 34.39–35.35% than surface drip irrigation. On the other hand, the
water-soil interface of subsurface drip irrigation is closer to the distribution area of crop roots, so
it is more conducive to the absorption of water and nutrients by crop roots (Abuarab et al. 2013;

758
Zhang et al. 2011; Zotarelli et al. 2009). Cai et al. (2021) used ceramic emitters as subsurface
drip emitters to irrigate apple trees and investigated the effect of emitters burial depth on soil
water content, yield and water use efficiency. The results showed that the subsurface drip irrigation
technique with ceramic drip emitters buried at a depth of 40 cm significantly increased the length of
new shoots, yield, water use efficiency and irrigation water use efficiency by 15.9%, 7.6%, 14.8%
and 6.5% respectively compared to conventional subsurface drip irrigation. Wang et al. (2021)
investigated two irrigation techniques(vertical pipe irrigation and surface drip irrigation) on yield
and water use efficiency of jujube trees in Xinjiang. The results showed that vertical tube irrigation
saved 37–70% of irrigation water, water use efficiency was 1.4-4.3 times higher than surface drip
irrigation, yield increased and fruit cracking rate decreased significantly.
Subsurface drip irrigation technology not only has advantages in water absorption and nutrient
utilization, but also has obvious advantages in inhibiting volatile loss of nitrogen and improving
efficient utilization of nitrogen (Hu et al. 2019; Zheng et al. 2018). Due to the poor nutrient
migration ability of phosphate fertilizer, subsurface drip irrigation can be applied directly to crop
roots, thus improving the utilization rate of phosphate fertilizer (Mikkelsen 1989). In addition,
there are some reports about eutrophication caused by excessive use of phosphate fertilizer (Correll
1998; Kuchenbach & Buczko 2011). In short, subsurface drip irrigation has a significant effect on
improving water and fertilizer utilization and increasing yield, so it has a wide application prospect.

4.2 Problems of subsurface drip irrigation

In the process of practical application, subsurface drip irrigation also has some unavoidable prob-
lems. If drip irrigation belt is laid underground at a certain depth, the water flow is not smooth due
to the drip irrigation belt deformation caused by soil pressure or the pressure of surface machinery.
The clogging of emitter in subsurface drip irrigation is an important factor affecting the normal
operation of drip irrigation system (Li & Chen 2008; Wang et al. 2011). The blockage problem of
subsurface drip irrigation is still not completely solved. In addition to the reasons for small blockage
of the flow channel of the irrigator, there are also root invasion and negative pressure mud suction
and other factors, so subsurface drip irrigation is more likely to cause blockage than surface drip
irrigation (Wang et al. 2012; Yao et al. 2021). At the same time, the installation of underground
emitter has a large amount of engineering and high cost, so the subsurface drip irrigation is not con-
ducive to large-scale promotion. In addition, leaks in subsurface drip irrigation equipment caused
by rodents have not been easily detected and repaired (Lamm & Camp 2007). Based on the above
analysis, it is extremely imperative to explore new subsurface irrigation technologies.

4.3 A novel subsurface drip irrigation technology—sand tube irrigation

For the shortcomings of subsurface drip irrigation, scholars have conducted continuous exploration,
and find an indirect subsurface drip irrigation technology. Through laboratory test, Meshkat (1997)
removed tube-like soil under drip emitters and filled coarse sand in space, and this technology was
called Sand Tube Irrigation (STI). The results showed that evaporation was equal to 30% of water
consumption under conventional drip irrigation after 4 days of irrigation. The evaporation capacity
of STI was only 3.7% of water consumption, which significantly reduced soil surface evaporation
(Meshkat 1997). Yanni et al. (2004) conducted soil water distribution and water-saving potential
at different distances and depths under different irrigation and gravel mulch conditions by using a
similar approach and it eventually showed that vertical sand mulching could significantly increase
the soil water content at a depth of 20-50cm within 14 days after irrigation under the same irrigation
amount. Zhao et al. (2009) established a parameter model for the specification of water guide device
for STI by using the principle of water balance, and comprehensively considered the influence of
emitter flow rate, irrigation water quota, hydraulic characteristics of soil and other parameters on
the specification of water guide device . In the process of STI, the transport rate of water in the
vertical direction was higher than that in the horizontal direction, so the shape of wet body was
presented as an ellipsoid with decreasing oblateness, and the symmetry axis of the ellipsoid is

759
distributed near the bottom of the water guide device. Diameter, depth and size of sand particles in
sand tube had important effects on soil water infiltration in STI, and then affected the distribution
of crop root system and soil water use efficiency (Zhao et al. 2010).
In recent years, scholars have achieved favorable results in economic forestry and fruit industry
by using STI technology. Qiao (2012) discussed the law of water transport in STI through indoor
and field jujube tests. Sun et al. (2015) used STI to study the change characteristics of salt mass
ratio in different soil layers in horizontal and vertical directions in the root zone for closely planted
jujube trees. The results showed that the salt content was lower in the vertical soil layer of 10–40 cm
compared with the control, and the main roots of jujube were in a relatively low salt environment in
a large horizontal and vertical range after irrigation for some time. This research showed that STI
had the function of soil desalination. Ma (2021) studied the effects of different irrigation amounts
on the growth index, yield, water use efficiency and quality of jujube trees using sand pipe irrigation
technology, and determined the optimal irrigation quotas. Briefly, STI technology is effective in
saving water, reducing evaporation, increasing yield, and improving soil quality in recent years (An
et al. 2016; Ma et al. 2021; Meshkat 1997; Yanni et al. 2004; Zhao et al. 2009).

4.4 Existing problems and prospects of sand tube irrigation

Water scarcity is a problem of inevitable reality. New technologies must be developed to improve
water use efficiency, increase crop yield and improve crop quality. In practice, there are also some
disadvantages of STI technology. It is not reasonable and expensive to apply for dense crops in fields
because there are some certain limitations such as infiltration devices. The size and installation
of the infiltration equipment also directly determines the cost. As with surface drip irrigation,
STI technology must be installed with water supply systems and piping systems, and filtration
equipment. Drip irrigation equipment set on sand tube has a problem of drip emitters clogging
despite the larger drip volume required. In addition, the infiltration devices are different for types
and growing years of forestry and fruit industries. For example, as trees grow older, the depth
of the sand tube equipment may need to be increased to meet the larger water requirements and
water-saving irrigation requirements. Furthermore, different soil types have some influence on the
STI technology specification parameters. At present, STI technology need further research in water
and fertilizer coupling, soil nutrient status, and other forestry such as grapes and wolfberries. It
is expected to provide support for water saving and yield increasing, forestry and fruit industry
development, and economic growth in arid areas.

5 CONCLUSIONS

Drip irrigation technology is a new micro-irrigation technology that has been widely used in recent
years in arid areas. However, while surface drip irrigation and subsurface drip irrigation can increase
crop yields and improve water use efficiency, they also have their own applicable conditions. Surface
drip irrigation can be applied to corn, cotton, potato and other field crops, while subsurface drip
irrigation can be applied to jujube, Chinese wolfberry, grape and other thinly planted trees. Long-
term surface drip irrigation in arid areas may lead to soil salinization. Subsurface drip irrigation
improves water and fertilizer utilization efficiency through directly dropping water and fertilizer
into crop root zone.

ACKNOWLEDGEMENTS

The authors would like to thank the National Natural Science Foundation of China (No. 51969002)
and the Key Research and Planning Projects of Gansu Province (No. 18YF1NA073) for the funding
& lab facilities.

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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Analysis on influencing factors of horizontal well productivity in tight

sandstone reservoir – Taking Q gas field in the middle of Ordos Basin
as an example

Xiaoling Meng∗
Exploration & Development Research Institute, Changqing Oilfield Company, Xi’an, Shaanxi, P.R. China
National Engineering Laboratory for Low-Permeability Petroleum Exploration and Development, Xi’an,
Shaanxi, P.R. China
Evaluation & potential excavation Project Team of Thousand-Gas Well, Changqing Oil Field Branch
Company Ltd., Xi’an, Shaanxi, P.R. China

Min Xu
Evaluation & Potential Excavation Project Team of Thousand-Gas Well, Changqing Oil Field Branch
Company Ltd., PetroChina, Xi’an, Shaanxi P.R. China

Xiaochuang Ye
Evaluation & Potential Excavation Project Team of Thousand-Gas Well, Changqing Oil Field Branch
Company Ltd., PetroChina, Xi’an, Shaanxi P.R. China
No. 3 Gas Production Plant of Changqing Oil field Company, PetroChina, Wushenqi, P.R. China

Hongbo Zhang
CNPC Chuanqing Drilling Engineering Company Limited, Chengdu, Sichuan, P.R. China

Xuedong Meng
No. 1 Gas Production Plant of Changqing Oilfield Company, PetroChina, Yulin, P.R. China

Xueling Liu
Exploration & Development Research Institute, PetroChina Changqing Oilfield Company, Xi’an,
Shaanxi, P.R. China
National Engineering Laboratory for Low-Permeability Petroleum Exploration and Development, Xi’an,
Shaanxi, P.R. China

ABSTRACT: Horizontal well development technology has become the main development means
of Upper Paleozoic tight sandstone gas reservoir in Ordos Basin. The study area is a typical tight
sandstone reservoir, and horizontal wells have gradually become an important driving force for the
effective development of the gas field. In order to clarify the main controlling factors of horizontal
well productivity in this area, the influence on horizontal well productivity is expounded from two
aspects: different types of sedimentary microfacies and different spatial development modes of sand
bodies. The production capacity of horizontal wells is analyzed and evaluated by using lithology
photos, logging data, nuclear magnetic resonance data, gas test data, production performance curve
and other dynamic and static data. The results show that: ① during the sedimentary period of tight
sandstone reservoir in the gas field, the hydrodynamic force plays an important role in controlling
the productivity of horizontal wells; ② The spatial development model of sand body has a decisive
impact on the productivity and stable production capacity of horizontal wells. The trajectory types
of horizontal wells corresponding to the spatial development model of gas field sand body are flat,
highly deviated and stepped; The three types of horizontal wells have a certain stable production
capacity (> 2000 d). Among them, flat and high angle horizontal wells show good stable production

∗ Corresponding Author: [email protected]

764 DOI 10.1201/9781003308584-107

capacity, and the stable production capacity of stepped horizontal wells is limited, but it is still a
necessary supplement for the benefit development of the block; ③ According to the influencing
factors of horizontal well productivity, the phased production and stable production capacity of the
block can be predicted, which provides a basis for block planning. This method is also applicable
to the production prediction of other similar gas reservoirs.

1 INTRODUCTION

The upper Paleozoic in Ordos Basin is rich in natural gas resources. It is a tight sandstone gas
reservoir with the largest reserves and the highest production in China (Yang 2002, Zou 2018, Dai
2015, Zou 2018). Over the years, there have been abundant studies on tight sandstone gas fields in
the upper Paleozoic in the basin, mainly involving sedimentary reservoir formation(Fei & Shang
2016; Dou & Li 2009; Jinhua & Yang 2012; Liu 2015 & Yang; Meng & Shang 2013; Shenli & Yang
& 2016; Wang & Zhou 2014; ,Meng & Shang 2020), reservoir characteristics(Meng & Shang 2012;
Meng & Shang 2013; Zhao & Chen 2014; Zhao & Wang 2014) , development technology(Fan &
Fu 2019; He & Jia 2013; Ji& Jia 2019; Jia & Wang 2018; Lu & Zhang 2013; Wu & Liu 2016;
Yang 2013), etc. The maturity and development of comprehensive geological theory guide the
development and rapid production of tight gas in the basin. Taking Sulige as an example, since it
was put into development in 2005, the natural gas production of the gas field has increased rapidly,
and the production reached 230 in 2014 × 108 m3 / A, which has been stable for 7 consecutive years,
laying a solid foundation for the oil and gas equivalent of Changqing Oilfield to exceed 60 million
tons in 2020. However, with the deepening of gas field development, reservoir quality decreases
year by year, and the difficulty of scale benefit development increases suddenly. Taking Q gas field
in the middle of the basin as the research object, this paper studies the influence of hydrodynamic
conditions and sand body development mode on the production capacity of horizontal wells in
the sedimentary period, defines the effective development mode of horizontal wells in this area
in the future, and provides effective guidance for fully producing geological reserves in the later
stage.

2 REGIONAL OVERVIEW

The study area is located in the middle of Yishan slope in Ordos Basin, covering an area of 9
850 km2 (see Figure 1). According to the analysis of seismic reflection layer and drilling data, the
structure of this area is a wide and gentle west inclined slope with a gradient of 1∼10 m / km. On
the monoclinic background, there are many rows of low and gentle nose bulges in near northeast
direction. The amplitude of nose bulge is generally about 10 ∼ 20 m and the width is 3 ∼ 6 km.
The sediment source of the study area comes from the northern Yinshan Mountains. He8 member
of Upper Paleozoic Permian Shihezi Formation is the main gas bearing interval in the study area.
Its main gas bearing target layer is the sandstone reservoir of He8 member of Upper Paleozoic
Lower Shihezi Formation. Alluvial plain facies and delta plain facies are developed successively
from north to south, and the microfacies are mainly distributary channel and distributary Bay.
Distributary channels are distributed in a large area near north and south, with small interdistributary
bays developed between channels, frequent channel migration, sand body development and large
thickness. The reservoir lithology is dominated by lithic quartz sandstone and quartz sandstone,
with an average porosity of 8.6% and average permeability of 0.554 × 103 µm2 , belonging to
tight sandstone reservoir. More than 2 000 straight/directional Wells and more than 500 horizontal
Wells were drilled in the study area. The direction of the horizontal section is consistent with the
distribution direction of the sand body, and the direction is mainly north-south.

765
3 INFLUENCE OF HYDRODYNAMIC STRENGTH ON HORIZONTAL WELL
PRODUCTIVITY

Previous studies have shown that hydrodynamic conditions are the basis for the formation of
high-quality sandstone reservoirs. The distributary channel and underwater distributary channel
in this area are favorable sedimentary facies belts for the formation of high-quality reservoirs.
Hydrodynamic conditions control the scale, particle size and rhythm of reservoir sand body, which
affects the reservoir productivity and is also the main control factor of horizontal well productivity.
The effective reservoirs in this area are mainly divided into main channel and channel flank in
the position of sedimentary facies. ① The stronger the hydrodynamic conditions and the coarser
the grain size of Sandstone on the main water flow line of the river, the higher the porosity and
permeability. When the natural gamma ray curve is in a smooth “box shape”, it reflects that the
water energy is strong and the water body is continuous, the sediment particle size is coarse, often
accompanied by gravelly coarse sandstone, the content of argillaceous matrix is small, and the
primary intergranular pores are widely developed. ② The natural gamma ray curve of Sandstone
on the flank of the river channel is toothed box or bell shaped, mainly medium coarse sandstone,
mainly due to weak water energy, poor sorting, high content of argillaceous matrix and poor
reservoir physical properties (Figure 2).

Figure 1. Sketch map showing structural location of research area.

In recent years, it is more and more common to study low-permeability sandstone reservoirs
by NMR. Movable fluid saturation is an important parameter for the development and potential
evaluation of low-permeability sandstone reservoirs. The fluid that can participate in the flow in
low-permeability sandstone reservoir is the resource with exploitation value. According to the NMR
curves of sandstone reservoirs at 2655m and 2660m of well Q28, there is an obvious difference in
the flowable fluid saturation between the main channel and the flank of the channel. The sandstone
reservoir located in the main river channel is gravelly coarse-grained quartz sandstone with flowable
fluid saturation of 84.7%. The sandstone reservoir on the side of the river channel is medium and
fine-grained sandstone with flowable fluid saturation of only 31.5%.

766
Figure 2. Comparison of lithology and NMR curves of different sedimentary facies.

By comparing the production curves of the main channel of the gas field with the horizontal
wells on the side of the channel, the open flow of class I wells (50 wells) drilled in the main channel
is greater than 10 ×104 m3 / d, initial production allocation of 1.6 ∼ 3.0 × 104 m3 / d, capable of
continuous production and certain stable production capacity; Class II wells (120 wells) on the side
of the river were drilled, and the open flow of gas test was 4 ∼ 10 × 104 m3 / d, initial production
allocation of 1.0 ∼ 1.5 ×104 m3 / d, basically capable of continuous production (Figure 3). It can
be seen that the hydrodynamic force plays an important role in controlling the productivity of
horizontal wells.

Figure 3. Comparison of production performance curves of main channel well and channel flank well in gas
field.

767
4 INFLUENCE OF SAND BODY SPATIAL DEVELOPMENT MODEL ON HORIZONTAL
WELL PRODUCTIVITY

The upper Paleozoic gas reservoir of Sulige gas field is tight first and then formed. The braided river
system is the key geological factor controlling the sedimentary microfacies distribution and effec-
tive sand body distribution of Sulige gas field (Guo 2016; Zou 2020). The sand body development
model in the braided river system is studied at different geological scales, the high-quality sand
body superposition area is implemented macroscopically, and the control zone of high-permeability
reservoir is defined microscopically. According to previous studies(Yang 2013, Lu 2013, Li 2018),
Combined with the drilling data of the gas field, the sand body contact relationship is studied. Most
of the sand bodies in this area are cutting and cutting river channels and scouring contact river
channels, and the other sand bodies are isolated river channels.
According to the three spatial distribution modes of sand bodies in the gas field, the design
mode of corresponding horizontal section trajectory adopts three types: straight, highly deviated
and stepped horizontal wells. Among them, flat horizontal well trajectory can be implemented
for the spatial distribution mode of cutting connected sand body, which is the most common
horizontal well trajectory type in this area (Figure 4(a)); Secondly, for the spatial distribution mode
of scour connected sand bodies, the trajectory type of highly deviated horizontal wells is usually
implemented, mainly to penetrate the seepage barrier between the upper and lower stacked sand
bodies due to the physical property difference, connect multiple sets of sand bodies and build
fluid seepage paths (Figure 4(b)); In addition, for the spatial distribution mode of isolated sand
bodies, the stepped horizontal well trajectory type is often implemented among multiple sets of
independent sand bodies (Figure 4(c)).

Figure 4. The actual drilling trajectory of straight (a), highly deviated (b) and stepped (c) horizontal wells in
the study area.

768
 Among the three horizontal well types, the reservoir penetration rate and effective reservoir
penetration rate of flat horizontal well are higher than those of the other two well types, and its
gas test effect is also the most prominent, with an average open flow rate of 44.0×104 m3 .d−1 ,
and the open flow per unit effective length reaches 0.051×104 m3 .d−1 .m−1 . The average reser-
voir penetration rate and average effective reservoir penetration rate of stepped horizontal wells
are higher than those of highly deviated horizontal wells, but their open flow and unit effective
length are lower than those of highly deviated horizontal wells. It can be seen that there is a cer-
tain correlation between sand body development mode, horizontal well type and gas test effect
(Table 1).

Table 1. Statistical data of drilling and gas testing of three horizontal wells in the study area.

Completion Effective Average Open flow per

length of Reservoir reservoir reservoir open flow / unit effective
Well Proportion horizontal Reservoir penetration length penetration 104 thickness /104
type /% section/m length /m rate /% /m rate /% m3 ·d−1 m3 ·d−1 ·m−1

Straight 74.0 1305 1062 81.4 863 66.1 44.0 0.051

horizontal
well
Highly deviated 19.0 1354 928 68.5 648 47.9 31.0 0.048
horizontal well
Stepped 7.0 1333 993 74.5 729 54.7 29.0 0.040
horizontal
well

In order to systematically analyze the production performance of three trajectory types of hor-
izontal wells in the block, the analysis is based on the pull curve of 2000 days of production of
various types of horizontal wells. The data in the figure shows that the initial stable daily gas
production of flat horizontal wells is 200000 m3, the production reaches 2000 d, and the aver-
age daily gas production is 1.0 ×104 m3 , the casing pressure difference is stable in the whole
production period, and the casing pressure is stable at 5 MPa at the end; Initial stable daily gas
production of highly deviated horizontal well: 15 ∼ 20 ×104 m3 , up to 2000 d, the casing pres-
sure difference is basically stable during the production period, the casing pressure is stable at
5.5mpa, and the average daily gas production is 8000m3; The initial daily gas production of
stepped horizontal wells is 10 ∼ 15×104 m3 , production decreased significantly to 640 d, down
to 5 ×104 m3 , up to 2000 d, the casing pressure is between 6 ∼ 7 MPa, the oil casing pressure
difference tends to increase, and the average daily gas production is 0.4 × 104m3, according to
the analysis of field data, this is mainly due to the decline of liquid carrying capacity caused by
low production, liquid accumulation in the wellbore or blockage near the well. The formation
wellbore system can be restored to be unobstructed and the normal production of gas wells can
be restored through conventional measures such as drainage and gas production and reservoir
unblocking.
It can be seen that both flat and highly deviated horizontal wells show good stable production
capacity, and stepped horizontal wells can also produce stably with a certain production. The study
area belongs to the category of typical tight sandstone gas reservoir. There is no stable production
period for direct / directional wells. The stable production of the block at a certain stage (> 2000
d) can be realized by introducing horizontal well development technology. In the later stage, the
potential can be continuously tapped and efficiency can be increased with the help of conventional
wellbore measures to restore stable production, which has become a good help for the benefit
development of the block (Figure 5).

769
Figure 5. Comparison of three types of horizontal wells in the study area.

5 CONCLUSION

1) He8 of Shihezi Formation of Upper Paleozoic boundary in Q gas field is a braided river
sedimentary system, which is a typical tight sandstone reservoir. The sand body located in the
main channel has strong hydrodynamic conditions, which controls the scale and particle size
of the reservoir sand body, thus affecting the reservoir productivity, which is also the main
control factor of the horizontal well productivity.
2) According to the spatial development model of gas field sand body, the development model
of river channel belt sand body is divided into three types: cutting connected type, scouring
connected type and isolated type. The corresponding horizontal well trajectory types are straight
type, high inclination type and stepped type respectively.
3) The production capacity of horizontal wells with different trajectory types varies greatly, and
the production capacity of flat horizontal wells is the most prominent, which is the main type
in the early stage of block development. With the deepening of development, the proportion of
highly deviated and stepped horizontal wells with scouring connected and isolated sand bodies
in the total number of wells is increasing year by year. The evaluation of the overall horizontal
well production capacity of the block should be systematic.
4) Straight and highly deviated horizontal wells show good stable production capacity, while
stepped horizontal wells can also produce stably with a certain production. The introduction of
horizontal well development technology can achieve stable production (> 2000 d) in a certain
stage of the block, which has become an important means of economic development of tight
gas reservoirs.

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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Typical production curve of different unconventional natural gas

reservoirs in Montney Basin, Western Canada

Genjiu Wang
Research Institute of Exploration and Development of Petrochina, Beijing, P.R. China

Wei Xu
No. 1 Cementing Company of Bohai Drilling Company, Renqiu, P.R. China

Ting Gao
Research Institute of Exploration and Development of Huabei Oil Field, Renqiu, P.R. China

ABSTRACT: The typical production curve is an important factor in the prediction of uncon-
ventional natural gas production. In this paper, the prediction method of single-well productivity
prediction of unconventional natural gas in the Montney basin in western Canada was to determine
the typical production curve of single well fractures in gas wells and then multiply by single well
fracturing, so the total output of a single well within the economic limits was predicted. Based on the
analysis of a large number of production data in unconventional gas fields in the Montney basin, the
typical production curves of the tight sandstone gas reservoirs are generally characterized by three
sections, the shale gas has two characteristics of production, and the coalbed gas reservoirs have a
production characteristic. The prediction accuracy of typical production curves depend on the cal-
culation parameters of the curve decreasing, the quality of the production data, and the production
cycle. The cumulative yield of unconventional natural gas reservoirs within the economic limits
depends largely on the lithology and physical properties of the reservoir. The same kind of lithologi-
cal reservoir, the better the physical properties, the higher the cumulative yield. The statistical results
show the physical properties is the key factor of sweet point of unconventional natural gas reservoir.

1 GENERAL INSTRUCTIONS

Unconventional gas development in the world is still in the early stage, so the prediction of uncon-
ventional gas single well productivity is a difficult problem. The percolation mechanism of uncon-
ventional gas is different from that of conventional gas, and the evaluation methods of single well
productivity prediction are essentially different (Agarwal et al. 1999; Gouveia & Citron 2009). Due
to the short production history of unconventional natural gas single well in the world, especially the
production history of large-scale horizontal wells, there are few production experiences that can be
used for reference (Baihly et al. 2010). At present, it is difficult to accurately predict the production
capacity of unconventional natural gas single well, especially in the middle and later stages.
Montney basin in western Canada is dominated by dense gas, followed by shale gas and coalbed
methane. The main target layer is the lower Triassic montney layer. The stratum is marine littoral to
bathyal facies, with a thickness of about 300m. The lithology is mainly siltstone and argillaceous
siltstone, and the rock type is mainly lithic quartz sandstone. The montney formation is divided
into upper and lower members. The upper member is foreland facies progradation to the basin, and
the lower member is coastal slope facies and turbidity facies. Shale gas is mainly distributed in the
muskwa formation of Devonian system. Shale is rich in quartz and organic matter. CBM is mainly
distributed in HSC formation of Upper Cretaceous.
The production history of unconventional gas reservoirs in Montney basin is analysed, and the
typical production curves of unconventional gas reservoirs are studied. The results show that the

772 DOI 10.1201/9781003308584-108

typical production curves of different unconventional reservoirs have different distribution char-
acteristics, and the prediction accuracy of typical production curves depends on the optimization
of calculation parameters of curve decline, the optimization of calculation parameters of curve
decline, and the optimization of production curves The quality and production cycle of production
data, the typical production curves of different types of reservoirs are quite different, and the gas
reservoir conditions and economic limit values also have a certain impact on the typical production
curves (Fekane 2001; Ilk & Rushing 2009).

2 CHARACTERISTICS OF TYPICAL PRODUCTION CURVE OF UNCONVENTIONAL

NATURAL GAS

2.1 Calculation formula of typical production curve

The decline curve of typical production curve of single fracturing section is calculated by classical
ARPS formula. From the above we note:
qi
q(t) = (1)
(1 + bDi t)1/b

where q(t) = gas production, 104t/a; qi = inital production, 104t/a;Di = decline rate, 1/a; t =
production date, a; a, b = constant.
ARPS formula is mainly used in conventional gas reservoirs with stable bottom hole flowing
pressure and limited seepage range (Olarewaju et al. 1991; Wylde 2010; Tiab & Zelghi 1987).
Statistical analysis shows that the single fractured section of unconventional gas reservoir has similar
production characteristics. The abscissa of decline curve analysis chart is economic recoverable
reserves (EUR), and the ordinate is daily gas production.
Unconventional gas reservoirs are characterized by high initial production and limited percola-
tion range. The early production depends on the fracturing technology, and the decline rate is large;
in the later stage, because the permeability of bedrock is very low, the production decline rate is
very small and the production time is long (Jarvie et al. 2007; Ham & Kantzas 2008; Solano et
al. 2010; Walter 2002). Through the analysis of a large number of single well development data of
unconventional gas fields in Montney basin, the typical production curve of typical unconventional
gas reservoirs is mainly composed of three sections, as shown in Figure 1.

Figure 1. A typical production curve for typical unconventional gas reservoirs.

773
 The first stage is harmonic decline, and the decline rate is very large, generally B1>1. In Montney
basin, the average block is B1 = 2. This section is in the early stage of single well production, and
there are many production data points to refer.
The second stage is hyperbolic or harmonic decline, generally 0<B2<1, the decline rate becomes
smaller and the production period is longer. Due to the limited history of unconventional production,
the data points available for reference in this stage are relatively limited. The numerical simulation
study of Montney basin block shows that B2≈1.
The third stage is exponential decline, the decline rate is slow in this stage, the general annual
decline rate is about 5%, the production duration is 20 ∼ 25 years, B3 = 0.

2.2 Characteristics of typical production curves of different unconventional reservoirs

2.2.1 Tight sandstone
There are a large number of unconventional tight sandstone gas reservoirs in Montney basin. The
tight sandstone gas is mainly free gas. Its lithology is mainly siltstone, with porosity of 4% ∼ 8%,
permeability of 0.005 ∼ 0.020md, water saturation of 5% ∼ 40% and TOC of 1% ∼ 2%; the quartz
content is 60% ∼ 70%, and the lithology is brittle, which is conducive to fracturing and fracture
generation; the clay content is low, so it is easy to take fracturing stimulation measures. Figure 2
shows the typical production curve distribution of typical tight sandstone gas reservoir, and the
total production of corresponding single fracturing section is shown in Table 1.

Table 1. Gas production of signal fracture refer to physical of tight sand

reservoir.
Porosity/ Production/ Frist/ Second/ Third/
Field % (×104 m3 ) % % %

Usunrise 4.725 1955 35 44 21

Ucore 4.608 1812 22 35 43
Uswan 4.467 1727 20 35 45
Saturn 4.400 1586 21 35 44
Ufairway 4.260 1401 20 35 45
Noel 4.167 647 20 28 52

Figure 2. A Typical production curves of typical tight sandstone gas reservoir.

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 The data statistical analysis can reflect that the typical production curve of unconventional tight
sandstone gas reservoir in Montney basin generally has three production characteristics.
In the early production stage of the first stage, the production accounts for 20% ∼ 35% of the
total production, and the production difference of different gas reservoirs is about 15%; in the
middle production stage of the second section, the production accounts for 28% ∼ 44% of the
total production, and the production difference of different gas reservoirs is about 16%; in the
late production stage of the third section, the production accounts for 21% ∼ 52% of the total
production, and the production difference of different gas reservoirs is about 31%.
For gas reservoirs with better physical properties, the larger the proportion of the first member
is, the smaller the proportion of the third member is; the worse the physical property is, the smaller
the proportion of the first member is, and the larger the proportion of the third member is about
40%.

2.2.2 Shale
Shale gas reservoirs in Montney basin generally have porosity of 3% ∼ 13%, bedrock permeability
of 0.1 ∼ 0.6md, water saturation of 10% ∼ 40%, quartz content of 70% ∼ 85%, and TOC of 3% ∼
11%; free gas accounts for about 60% and adsorbed gas accounts for 40%; shale is characterized
by high silica content and brittleness, so it is easy to take fracturing stimulation measures. At
present, there is only horn River gas field with large-scale production in the basin. During the data
statistical analysis, the production data of main shale gas fields in the United States were compared
and analysed.
Figure 3 shows the distribution of typical production curve of typical shale gas reservoir, and
the total production of corresponding single fracturing section is shown in Table 2.
Statistical analysis of data can reflect that the typical production curve of unconventional shale
gas reservoir in Montney basin generally has two production characteristics.
Shale gas reservoirs in the same area have typical two-stage production characteristics. In the
early production stage of the first stage, the production accounts for 20% ∼ 28% of the total
production; in the middle and later stage of the second stage, the output accounted for 72% ∼ 79%
of the total output.
The proportion of the first member of gas reservoir with better physical properties is relatively
large, and the proportion of the second member is relatively small.

Figure 3. Typical production curves of typical shale gas reservoir.

775
 Table 2. Gas production of signal fracture refer to physical of shale
reservoir.
Field Porosity/% Production/(×104 m3 ) Frist/% Second/%

Eagle Ford 4∼12 1869 28 72

Horn River 4∼6 2124 25 75
Haynesville 5∼12 2180 26 74
Barnet 3∼9 3851 21 79
Marcellus 5∼13 4644 23 77

2.2.3 Coal
CBM reservoir is developed in Montney basin. CBM is mainly adsorbed gas. The CBM content is
2 ∼ 12m3 / T, the permeability is 0.1 ∼ 10.0md, and the water saturation is less than 10%.
Figure 4 shows the typical production curve distribution of typical coalbed methane reservoir,
and the corresponding total production is shown in Table 3.

Figure 4. Typical production curves of typical coalbed gas reservoir.

Table 3. The production of coal reservoir.

Field Production/(×104 m3 )

CBM 850
KO 906
TI 1331
DA 1472
MI 1246

The data statistical analysis can reflect that the typical production curve of unconventional
coalbed methane reservoir in Montney basin generally has one section production characteristics.

776
3 ANALYSIS OF INFLUENCING FACTORS OF TYPICAL PRODUCTION CURVE

3.1 Impact of production data

The prediction of single well production is based on the analysis of production rate. The longer the
production history is, the more accurate the production prediction is. The production data in the
early stage of development is limited, so the forecast production trend is uncertain. Especially for
unconventional reservoirs, the production fluctuates greatly in the early stage of development, and
there are many influencing factors.
According to the unconventional gas development experience in Montney basin, if the production
history of a single well is less than 14 months, the reliability of the typical production curve predicted
by this method is poor. The main reasons are as follows:
It is difficult to predict the decline trend of production in the second and third sections according
to the decline law of production in the first section.
The first section is mainly the production of gas in fractures produced by fracturing, and the
second and third sections are mainly the production of pore gas and adsorbed gas in bed rock.

3.2 Reservoir physical property

In recent years, due to the improvement of unconventional gas reservoir fracturing technology and
the increasing number of fracturing sections, the single well production has been greatly improved.
The results show that the total production of single well in different types of gas reservoirs mainly
depends on the reservoir lithology and physical properties. The physical properties of the same
lithological reservoir are different, and the shape of typical production curve and total production
are quite different. For example, CR gas field includes six different gas reservoirs, and Figure 5
shows the typical production curve comparison curves of six gas reservoirs with the same lithology
and different physical properties. Figure 6 shows that the total production of unconventional gas
reservoir in single fracturing section has a good linear relationship with physical properties, and
the correlation coefficient reaches 0.77; the better the physical properties, the higher the total yield.

Figure 5. Typical production curves of gas reservoirs with different physical reservoirs.

777
Figure 6. The relationship between cumulative production and porosity in single fractures.

3.3 Economic limit

The late production decline rate of unconventional gas wells is very slow, and the later production
has a great impact on the operation cost of the gas field. The limit value of single well gas production
is also a very important evaluation parameter in gas field development plan. Statistical analysis
shows that the unconventional gas wells in Montney basin reach the economic limit in 15-30 years.
Under the condition of gas price of 4.5 $/ mmbtu, the economic limits of unconventional gas wells
in different gas reservoirs of western Canada unconventional operation company are as follows:
Shale gas: 8500-14200m3 /d, 300-500mcf/d; tight sandstone gas: 2800 ∼ 4200m3 /d, 100 ∼
150mcf/d; CBM: 85-400m3 /d, 3-15mcf/d.

4 CONCLUSION

The typical production curve of single well and single fracturing section of gas reservoir can
effectively predict and evaluate the productivity of unconventional natural gas single well. The
typical production curve of typical unconventional gas reservoir can be divided into three sections:
the first section is the early production stage, and the decline is very large, which can be predicted
by harmonic decline; the second stage is the medium-term production stage, where the rate of
production decline slows down and can be predicted by hyperbolic or harmonic decline; the third
stage is the later stage of production, and the production rate is small, which can be predicted by
exponential decline.
Unconventional typical production curve tight sandstone gas reservoir generally has three-stage
production characteristics, shale gas has two-stage production characteristics, and coalbed gas
reservoir has one-stage production characteristics.
The main factors affecting the total production of typical production curve are the number of
production data points, reservoir physical properties and economic limit value; the total production
of unconventional natural gas reservoirs within the economic limit mainly depends on the lithol-
ogy and physical properties of the reservoir; the better the physical property, the higher the total
production.

778
ACKNOWLEDGMENTS

This paper is the result of many years’ work of the research team. Very grateful to the members of
the research team for their hard work over the years, and also grateful to Professor Liu’s team of
Peking University for their support.

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Fitting Equation [J]. SPE Formation Evaluation, 671–682.

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5. Land digital analysis and algorithm
modeling application
 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Upstream application prospects of digital twins for oil and gas

GuFan Zhao∗
SINOPEC Research Institute of Petroleum Engineering, Beijing, China

ABSTRACT: The digital transformation of the world economy is the general trend. International
oilfield service companies are actively applying digital technologies to change operation methods
and management models. Digital twins in oil and gas have allowed the industry itself to remain on
the cutting edge. By minimizing drilling operation costs and maximizing well production, the oil
and gas companies can maintain better margins through the application of digital twins and other
information communication technologies. Digital twins can be used as a new starting point for the
digital transformation of upstream oil and gas, and further promote the wide application of digital
technology in the upstream field of oil and gas. The oil and gas companies could achieve signif-
icant benefits of digital twins, such as production efficiency, preventive maintenance, operations
monitoring, etc.

1 INTRODUCTION

At present, global informatisation has entered a new stage of full penetration, cross-border integra-
tion, accelerated innovation, and leading development. Advanced manufacturing technologies that
integrate robotics, digitization, and advanced materials are accelerating industrial digital transfor-
mation, and the development of digital economy has become the general consensus and common
choice. The digital transformation of the world economy is the general trend. The continuous
integration of new technologies such as digital twins with various industrial fields will forcefully
promote the digital and intelligent development of the industry. As an important starting point for
promoting the digitalization of the industry, technologies such as digital twins have already been
applied in aerospace product design and manufacturing fields.
Looking at the energy and chemical industries at home and abroad, especially in the upstream oil
and gas fields, digital transformation and intelligent upgrading are accelerating. International oil
companies and oilfield service companies have increased investment in information technology,
trying to create new advantages in the new round of industrial reforms. Total established a digital
factory to develop artificial intelligence technology in order to save hundreds of millions of dol-
lars on exploration and production projects. Schlumberger, Baker Hughes and other international
oilfield service companies have successively established joint ventures with Microsoft and C3.ai
to develop and apply digital technology.
Digital twin is the first “virtual digital expression equivalent to physical products” technology
proposed and used by the US Department of Defense. Around 2003, the concept of digital twins
first appeared in the product life cycle management course of Professor Grieves at the University
of Michigan in the United States. However, at that time, the term digital twin had not been formally
put forward, but was called conceptual ideal for product lifecycle management, which already
embodied the digital twin’s construction of a digital model in a virtual space to interact with a
physical entity to describe the trajectory of the physical entity’s full lifecycle. It was not until 2010
that the term digital twin was formally proposed in NASA’s technical report and was defined as “a
system or aircraft simulation process that integrates multiple physical quantities, multiple scales,

∗ Corresponding Author: [email protected]

DOI 10.1201/9781003308584-109 783

and multiple probabilities.” Subsequently, the U.S. Air Force and others discussed the application
prospects and technical challenges of digital twins, and more and more studies applied digital twins
to airframe design and maintenance, aircraft capability assessment, and failure prediction. In recent
years, it has been used in the production process of F-35 fighters, greatly improving manufacturing
efficiency (Liu 2020; Liu et al. 2021; Meng et al. 2020).
With the development of big data, 5G, and the industrial internet of things (IoT), digital twins
have received extensive attention from the industry. Many multinational companies have begun to
explore the application of digital twin technology in product design, manufacturing and services,
combined with Industry 4.0, etc. In addition to the aerospace field, digital twins are also used in
power, shipbuilding, urban management, agriculture, construction, manufacturing, oil and gas,
environmental protection and other industries (Rosen et al. 2015; Soares et al. 2019; Tuegel et al.
2011).
Domestic oil and gas companies still have problems such as weak digital service capabilities and
imperfect integrated service models. Market competition will become more intense. Companies
outside the oil and gas (such as Huawei, etc.) have joined the industry, and digital technology will
surely become a new blue ocean for the development of the oilfield service industry. Continue to
shift to an integrated service model, and at the same time it is more necessary to achieve digital
transformation. Digital twin technology can be used as a new starting point for the digital transfor-
mation of upstream oil and gas, and further promote the wide application of digital technology in
the upstream field of oil and gas (Lyu 2019; Wang 2018, 2020; Yan 2019; Yang et al. 2021; Zhao
& Sun 2018).

2 THE CONCEPT, CHARACTERISTICS AND CURRENT STATUS OF DIGITAL TWINS

Digital twin is the mapping of real data into digital models for real-time evaluation and optimization
of design, simulation, manufacturing, inspection and guarantee. It is a two-way connection between
physical space and information space for the full life cycle of physical entities and a single data
source. The digital twin has the characteristics of real-time synchronization, faithful mapping,
and high fidelity, and is an effective way to solve the interaction and integration of the physical
world and the information world. The digital twin is based on the physical and functional models
generated in the design phase, as well as the production and use of later products, and through data
mapping and information interaction with the physical entities of the equipment, it continuously
improves its integrity and accuracy, and finally completes a complete and accurate description of
the equipment entity (Grieves 2005; Stark & Damerau 2019).
In academia, the digital twin is a virtual entity that creates a physical entity in a digital way,
and uses historical data, real-time data, and algorithm models to simulate, verify, predict, and
control the technical means of the entire life cycle of a physical entity. In the process of enterprise
application, the digital twin is a software representation of assets and processes, used to understand,
predict, and optimize performance to achieve improved business results. It is mainly composed of
data models, algorithms, and related knowledge.
Digital twins have five typical characteristics: interoperability, scalability, real-time, fidelity,
and closed loop. The essence of digital twins is to create virtual models of physical entities in a
digital way, and use data to simulate the behavior of physical entities in the real environment, which
is the key to the development of information technology in the future. With the rapid development
of industrial IoT, 5G technology, deep learning and other technologies, the application foundation
of digital twin technology is more solid, the application prospects are broader, and the application
paradigm is more intelligent.
Digital twin technology needs to rely on means including simulation, actual measurement,
data analysis and other means to perceive, diagnose and predict the state information of physical
entities, thereby optimizing the physical entity and iteratively optimizing its own digital model.
Throughout the product life cycle, digital twins need to use the digital thread to provide them with

784
access, integration, and conversion capabilities to achieve comprehensive traceability, information
interaction, and value chain collaboration.

3 THE APPLICATION STATUS OF DIGITAL TWINS AND THE CHALLENGES FACED

BY DIGITAL TRANSFORMATION OF UPSTREAM OIL AND GAS

Digital twins can use the simulation technology of virtual models to explore and predict the unknown
world, find better methods, and provide new ideas and tools for the innovation and development of
the current manufacturing industry. Currently, digital twin technology is mainly used in high-tech
fields such as aerospace. The U.S. Air Force has used digital twin in F-35 production, reducing
processing decision time by 33%. Rolls-Royce has used digital twin technology to replace the
destructive test of aero-engines, effectively reducing costs. Siemens has integrated digital twins
into its industrial IoT platform, realizing closed-loop digital twins for different application scenarios
in the product life cycle of equipment, design, manufacturing, and maintenance, greatly optimizing
production processes and improving production efficiency.
The digital transformation and upgrading of the domestic oil and gas upstream sector is acceler-
ating, but there are still many challenges in achieving full digitalization, including various business
data standards, difficulty in data sharing, poor compatibility of on-site systems, and information
islands. In the upstream field of oil and gas, multiple technical directions are expected to apply
digital twins and related technologies to accelerate digital transformation.

3.1 Digital twins are used in the research and development of drilling, completion, and
fracturing tools
Most product development costs are locked in the conceptual design stage, making early rapid
iteration very critical. By performing a quick “what if ” analysis, users can understand product
characteristics early in the development process, avoid wasting time on unrealistic designs, and
prevent redesigns during the verification phase. With the help of digital twin technology, it can
help users bring innovative technologies to the market at a lower cost and faster speed.
Using digital twin technology, users can use simulation software such as structure, thermal,
electromagnetic, fluid, and control to conduct separate physical field research and coupled multi-
physics research, so as to optimize, confirm and verify the design of the designed product to
meet the relevant requirements. need. At the same time, users can build accurate comprehensive
simulation models to understand the actual product performance and continue to innovate. These
functions are beyond the reach of traditional methods.
It should be pointed out that the traditional R&D model focuses on the product life cycle and
process, and there is almost no or even very little feedback on actual operating data. The digital
twin focuses on the current applications from demand to manufacturing. It can feed back the actual
quality, performance, data used, and BOM maintenance of real-world products, and even the impact
of users, the environment, and other systems can be effectively fed back. In addition, digital twins
can continue to accumulate product design and manufacturing-related knowledge, helping R&D
personnel to continuously realize reuse and improvement (Germain et al. 2017).

3.2 Application of digital twins to maintenance of wellsite equipment

On-site product performance data can be combined with the results of engineering simulation to
predict the future performance of the product under working conditions (as shown in Figure 1). This
predictive feature optimizes maintenance schedules, reduces unplanned equipment downtime, and
can also greatly improve operational performance. Specifically, by modeling the current state of
each device and performing analysis based on real-world applications, to obtain higher operating
efficiency, lower heat consumption rate, longer life and greater power (Germain et al. 2017; Mayani
et al. 2018).

785
Figure 1. Mirror relationship model between physical entity and digital twin for oil and gas.

The digital twin is a real-time virtual version of the actual operating equipment, which can
be used to provide product performance and maintenance information. Engineering simulation is
not limited to the product development process. The sensors on the equipment send various data
such as temperature, vibration, collision, load, etc. to the digital twin, and then the digital twin
is consistent with the changes in the mechanical working environment. Digital twins can predict
conditions before they occur, so that worn parts can be replaced within scheduled downtimes to
avoid unplanned downtime. In addition, users can use the collected data to improve the design of
new generation machines.

3.3 Application of digital twins to early warning of drilling process

Digital twin technology can predict possible accidents such as jams, leaks, and collapses that may
occur during the drilling process, and the ground is prepared in advance to reduce the risk of
accidents.
While giving full play to the role of digitalization and intelligence in promoting upstream quality,
efficiency, and security development, attention should also be paid to the issue of network security.
As shown Figure 2, Digital transformation needs to reorganize the existing management process and
operation mode from the perspective of deep integration of the entire field, and actively use digital
technology to promote upstream oil and gas management transformation, process optimization and
business innovation under the premise of ensuring safety and reliability.

Figure 2. Application prospects of digital twin in upstream.

4 APPLICATION PROSPECTS OF DIGITAL TWINS IN THE UPSTREAM FIELD OF OIL

AND GAS

Domestic enterprises should further enhance their understanding, change their concepts, take the
initiative to respond to the digital revolution, seize the opportunities brought by the new generation

786
of digital technology to the innovation and development of enterprises, and accelerate the develop-
ment of digitization and intelligence. Digital twin is a disruptive new technology. It is recommended
to carry out comprehensive application research on digital technology represented by digital twin,
using digital twin as a starting point, relying on the industrial IoT, deep learning as an accelerator,
and discussing digital twin and other digital technologies. In terms of potential applications in
the field of oil and gas exploration and development, we will coordinate the implementation of
pilot applications for digital technology innovation (Chen et al. 2021; Podskarbi & Knezevic 2020;
Shirangi et al. 2020).
The first is to carry out exploratory research and development of integrated digital systems for
oil and gas exploration and development based on digital twins and other technologies. Based on
digital oilfields, deep excavation of existing oil and gas exploration and development data resources,
fusion of industrial Internet of Things, big data, deep learning, etc., explore the implementation
of oil and gas exploration and development data twins, and construct interactive mapping between
the physical space of oil and gas exploration and development and virtual digital space. The digital
twin system that integrates symbiosis improves the existing technologies and models for oil and gas
exploration and economic and effective development, and achieves cost reduction and efficiency
enhancement.
The second is to develop a digital management system for the entire life cycle of petroleum
engineering equipment. Based on the petroleum engineering equipment design and management
platform, carry out the research on the digital technology of petroleum equipment, build the
equipment industrial Internet of Things, realize the correlation between the life cycle data of design,
manufacturing, use, management, maintenance, etc., foresee product quality, and conduct on-site
Test data verification, optimizing equipment performance, improving production technology, real-
time remote monitoring of equipment task data, environmental data, and maintenance support
data, realizing real-time management and monitoring of the entire field and life cycle of petroleum
equipment. Fully realize the digitization of equipment and lay a solid foundation for “smart +”.
The third is to carry out research on drilling and completion digital twin technology. Based on
the description of the drilling geological environment factors, make full use of the data informa-
tion of the drilled and drilled formations, integrate the existing drilling risk monitoring system,
carry out the research on the drilling and completion digital twin technology, and adopt the data-
driven deep learning method to establish oil and gas wells. Drilling prediction model, constructing
interactive mapping between drilling and completion physical space and virtual space, fusion and
symbiosis of real scenes, realizing the transformation of drilling and completion efficiency from
“post evaluation” to “pre-prediction”, effectively improving drilling and completion efficiency and
safety.
The fourth is to strengthen the construction of an information team with a background in
petroleum engineering. The more informatization develops and the more successful the digital
transformation, the more it needs the support of a first-class informatization team. Highlight the
professional background and strengthen the training and introduction of talents with special needs
in information technology. Combining with the new trend of digital technology development, orga-
nize and carry out new technology learning and business training for informatization personnel
and professional technical personnel to improve the digital awareness and technological innovation
capabilities of the entire team. Increase the training and selection of technical talents in artificial
intelligence, 5G, and industrial IoT.

5 CONCLUSIONS

Digital twins can use the simulation technology of virtual models to explore and predict the unknown
world, find better methods, and provide new ideas and tools for the innovation and development
of the current upstream oil and gas. Domestic enterprises should take the initiative to respond to
the digital revolution, seize the opportunities brought by the digital twin and other new digital
technology to the innovation and development of enterprises, and accelerate the development of

787
digitization and intelligence. Deep and ultra-deep layers have complex geological conditions. In
order to achieve efficient, safe and fast drilling, it is necessary to simulate and predict downhole
drilling operations in real time based on physical models, sensor data, and operating history, and
present the drilling process in digital form. Use digital twin technology to simulate and predict
possible accidents in the drilling process and give early warning. However, the current data acqui-
sition and transmission technology is still immature, the accuracy of the simulation model needs
to be improved, and there is still a long way to go before the digital twin is realized in upstream oil
and gas. It is recommended to carry out comprehensive application research on digital technology
represented by digital twin, using digital twin as a starting point, relying on the industrial IoT, deep
learning as an accelerator, and discussing digital twin and other digital technologies.

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white paper.
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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

The land use change analysis of Lanling City from 2005 to 2020

X.L. Ju & X.J. Jiang

School of Civil Engineering, Shandong Jiaotong University, Shandong, China

ABSTRACT: We use Landsat 5 and Landsat 8 to determine Lanling land use changes from 2005
to 2020. Lanling City lands are extracted by using supervised classification with six types of land
use. The results show that the forest, the construction land, and the water system have potential to
grow, while the rest samples (the sandy land, cultivated land, and bare land) are decreasing from
2005 to 2020.

1 INSTRUCTIONS

Land plays a big role in the social development (Feng et al. 2007; Lu et al. 2005), the use change of
which is the result of a combination of nature and human, and has a significant impact on human
development and global change. With the increasingly prominent contradiction of land resource
scarcity, it is urgent for the state to use remote sensing technology to directly monitor the dynamic
changes of land use in the macro-control of land resources, and to grasp the information of land use
changes in an objective and timely manner. The monitoring of land use changes can help solve the
many uncertainties in the sustainability of the global ecosystem; it is also an important guarantee
to the dynamic and effective management of land resources and environmental issues. Domestic
scholars use remote sensing technology to conduct research on such topics as land use dynamic
monitoring, mainly in large cities, areas with relatively rapid economic development, and areas with
relatively fragile ecological environments, such as western China. There are relatively few studies
in this category. Satellite remote sensing can provide a feasible way to monitoring the land use
change. Applying satellite images to the extraction of land use information can obtain information
efficiently and quickly (Nutini et al. 2013). In this paper, we used Landsat5 and Landsat8 data to
analyze Lanling City land use changes.

2 METHODS AND DATA

2.1 Data used and pre-processing

Lanling County is located between 117◦ 41 and 118◦ 18 east longitude and 34◦ 37 and 35◦ 06
north latitude. It is located on the southern edge of the low mountains and hills in southern Shandong,
with an elevation of 40 m to 580 m. The terrain runs from northwest to southeast. Low mountains
are mostly distributed in towns such as Lucheng, Xiacun, and Chewang in the northwest, covering
an area of 35,000 ha, accounting for 19.6% of the county. Hills are mostly in the low mountains
and plains, the area is 33,700 ha, accounting for 18.4% of the county. The plains are mostly formed
by the alluvial and flood diversion of the East, Xiba, Wen, and Yi rivers, with 112,000 ha, which
accounts for the total area of the county.
We download the data from the website http://www.gscloud.cn/. For the necessary differences,
there should be certain criteria to select the images characteristics, first, the number of clouds
in the image should not exceed 5%, and the second, the month selection should be from May to

DOI 10.1201/9781003308584-110 789

September, which will reduce the error of the relevant influencing factors of the land analysis to
the minimum, which is shown in Table 1.
Before analysis, there should be some steps to reprocess the images we choose, like the atmo-
spheric correction, radiometric calibration, as well as cropping (Taubenb et al. 2012; Yu 2011).
Radiometric calibration is the process of converting the voltage or digital quantified value recorded
by the sensor into an absolute radiance value (radiance), or into a relationship with the surface
(apparent) reflectivity, surface (apparent) temperature, etc. The process of processing relative val-
ues of physical quantities. The Landsat data usually use dimensionless digital quantification values
to record information. When performing quantitative remote sensing analysis, physical quantities,
such as radiance value, reflectance value, and temperature value, are often used. The conversion of
DN value to these physical quantities can be achieved by radiometric calibration. The radiometric
calibration is processed by Radiometric Calibration in the ENVI software toolbox Radiometric
Correction. There are many functions of atmospheric correction, like the factors’ influence can
be eliminated, including the reflection of ground objects on the atmosphere and light, and obtain
real physical model parameters such as ground object reflectivity, radiance, and surface tempera-
ture, which are used to eliminate water vapor, oxygen, carbon dioxide, methane, and ozone in the
atmosphere, and other effects on the reflection of ground objects that eliminate the effects of atmo-
spheric molecules and aerosol scattering. In most cases, atmospheric correction is also the process
of retrieving the true reflectivity of ground objects. In ENVI software, performing atmospheric
correction processing on the radio metrically calibrated images is Quick Atmospheric Correction
(QUAC) from Toolbox. The purpose of image cropping is to remove areas outside the study area.
A common method is to crop images according to the boundaries of administrative divisions or
natural divisions. In the production of basic data, standard framing is often required. Loading
the vector data of the study area is the Subset Data from ROIs in ENVI to crop the image after
atmospheric correction. For the cropping, we find the vector boundary data of Chinese provinces,
cities, and counties on the Geological GIS Empire Official Account. After decompressing, load the
vector boundary data of Chinese provinces, cities, and counties into ArcGIS software, right-click
the vector data, and then export the vector boundary data of the study area for cropping remote
sensing images in ENVI software.

2.2 Supervised classification

Radiometric calibration, atmospheric correction, image fusion (the multispectral and panchromatic
data), and image cropping. After that, use the Compute ROI Separability tool to calculate the statis-
tical distance between any class, which is used to determine the degree of dissimilarity between two
classes. The value of the separability parameters of this experiment all meet the requirements, and
the training samples are successfully selected. Supervise classification was applied (Schneider et al.
2010; Yang et al. 2018; Zhai et al. 2019). The main processing of supervise classification is as fol-
lowing: first, the ROIs are created. To judge whether the classified sample is qualified, open option
and select compute ROI reparability inside to get the sample separation report. Then, this article
chooses the maximum likelihood classification, which is called Maximum Likelihood Classifica-
tion in English. And because of some small area patch problems, for post-classification processing,
first adopt cluster analysis, second conduct filter processing, and finally select majority/minority
analysis.

Table 1. Classification accuracy.

Year Data identification Row and line number Obtaining date Cloud cover (% )

2005 LT51210362005128BJC00 121-36 2005/5/8 0.23

2020 LC81210362020138LGN00 121-36 2020/5/17 3.49

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3 RESULTS

3.1 The supervision classification of 2005 and 2020

We perform supervision classification of the image of 2005 and 2020 after preprocessing and use
the ROI Tool in ENVI to create six types of areas of interest (the types and drawing accuracy are as
shown in Tables 2 and 3). The selected supervised classifiers are the maximum likelihood (Like-
lihood Classification), which is the Maximum Likelihood Classification tool in the toolbox. The
implementation of the supervision classification is completed, and the supervision classification
results are obtained as shown in Figure 1.
After performing supervised classification, the results need to be evaluated. In this experiment,
the method of confusion matrix is used, and the Kappa coefficient of the confusion matrix is used to
test the classification accuracy. Using the Confusion Matrix tool, the accuracy of the classification
results can be displayed in a confusion matrix (used to compare the classification results with
ground truth information). The overall classification accuracy of the two-phase images is greater
than 80%, and the Kappa coefficients are all above 0.75. In general, the classification effect is ideal
(Table 4).

Table 2. Drawing accuracy/%.

Samples 2005 2020

Water 82.64 97.70

Construction land 85.92 98.67
Cultivated land 91.87 96.77
Bare land 82.71 96.94
Forest land 83.24 99.72
Sand land 81.45 99.86

Table 3. User accuracy/%.

Samples 2005 2020

Water 100 100

Construction land 91.24 97.69
Cultivated land 90.73 98.72
Bare land 84.59 99.08
Forest land 86.39 94.16
Sand land 89.63 92.31

Table 4. Classification accuracy.

Year Total accuracy/% Kappa coefficient

2005 91.7922 0.8838

2020 97.8626 0.9698

791
Figure 1. Supervision classification results in Lanling in 2005 and 2020 (left: 2005; right: 2020).

3.2 Lanling City land use change analysis

From 2005 to 2020, the water area of Lanling County increased from 23.42 km2 to 27.07 km2 , an
increase of 15.58%; the area of construction land increased from 290.26 km2 to 575.05 km2 , an
increase of 98.12%; the area of arable land decreased from 851.54 km2 to 737.79 km2 , a decrease.
The area of forest land increased from 71.59 km2 to 127.09 km2 , an increase of 77.85%; the area of
bare land decreased from 502.41 km2 to 297.09 km2 , a decrease of 40.87%; the area of sandy land
decreased from 26.63 km2 to 1.83 km2 , a decrease of 93.13%. We can see that from 2005 to 2020,
the area of forest land, construction land, and the water system have been growing and the area of
sandy land, bare land, and cultivated land to be decreasing. The construction land has increased the
most, and sandy land suffered the most.

Table 5. Area and proportion of Lanling land use (km2 ).

Year Water system Construction land Cultivated land Forest land Bare land Sandy land
Area Area Area Area Area Area

2005 23.42 2545.02 316.86 850.52 137.97 51.43

2020 27.07 2565.28 266.11 1123.91 218.72 26.22

4 CONCLUSIONS

In this paper, the dynamic land use change of Lanling City is analyzed by Landsat5 and Landsat8
data. Six samples were provided for supervised classification and the areas were obtained after
some preprocessing. The results reveals that the area of construction land, the water system, and
the forest land has been increasing, whereas the area of cultivated land, bare land, and sandy land
decreasing. The construction land increased the most, while the sandy land suffered the most.

792
ACKNOWLEDGEMENT

This work is mainly sponsored by Shandong Jiaotong University Research Fund (Z202113).

REFERENCES

Feng H X, Feng Z K, Gao S Y & Zhang Q H.(2007). Dynamic monitoring of land use changes in Jinan City
based on RS and GIS. Journal of Beijing Forestry University. 29(Supp.2),185–189
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Remote Sensing of Environment, 122,11–21
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researchers and practitioners. Geocarto International 28(3), 191–191
Nutini F., Boschetti M , Brivio P A , Bocchi S & Antoninetti M. (2013). Land-use and land-cover change
detection in a semi-arid area of niger using multi-temporal analysis of landsat images. International Journal
of Remote Sensing, 34(13), 4769–4790
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methods and datasets based on ‘urban ecoregions’. Remote Sensing of Environment, 114(8), 1733–1746
Taubenb CH, Esch T, Felbier A, Wiesner M, RothA & Dech S. (2012). Monitoring urbanization in mega cities
from space. Remote Sensing of Environment. 117, 162–176
Yang X J, Zhao W L & Tang Q. (2018) Analysis of land use change in Shanghai based on transfer matrix .
Anhui agronomy bulletin, 349 (15): 84–86 (in Chinese)
Yu M Y. (2011). Dynamic change analysis of urban green land in jinan city based RS and geo-information
tupu. Asian Agricultural Research 3(01), 94–96
Zhai W X, Cheng C Q.&Chen B. (2019). Land Use Change Detection Based on Landsat Image in Xiongan
New Area (2014∼2018). Geomatics World 26(4), 38–43 (in Chinese)

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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Study of earthquake trends in Shandong region by synthetic probability

with seismic period spectrum analysis

Jinhua Zhao∗ , Jianchang Zheng, Huawei Cui & Shijun Chen

Shandong Provincial Earthquake Bureau, Jinan, China

ABSTRACT: Earthquakes can occur in one or several periods, and by analyzing the period
spectrum and its synthetic probability, the trend of seismic activity in a certain area in the future
period can be studied. In this paper, namely, the seismic period spectra and their linear synthetic
probability values were calculated in three regions using earthquake data of magnitude M≥43/3
(all magnitudes are M in the text without special notes) from 1480-2000 and M≥4 since 1970 in
Shandong and nearby areas (34–38.5◦ N, 114–123◦ E, no further hints below), and a certain time
period in each region according to the characteristics of different subregions, The actual seismic
prediction tests were conducted for each partition according to the characteristics of each partition.
The results show that the method has good results in retrospective verification of moderate to
strong earthquakes in Shandong and neighboring areas, except for the earthquake period spectrum
of magnitude M≥43/3 since 1480 in the Yishu zone, which shows no dominant period, and makes a
reasonable analysis of seismic activity trends in Shandong based on synthetic probability out-test
predictions, there is a possibility of a magnitude 4 earthquake in Shandong and nearby areas in the
next year.

1 INTRODUCTION

Statistics from a large amount of data on historical and present-day earthquakes show that seismic
activity has a certain periodicity in time, and for the same study area, there can be one or several
cycles in the occurrence of earthquakes (Men K. P., 1994, 1997, 2002). Through the period spectrum
analysis, different period structures of seismic activities can be extracted and used for the prediction
study of future earthquake occurrence times.
Wang Haitao et al. (2003, 2006) established the first linear synthetic probability prediction
method based on the analysis of the seismic period spectrum and the probability of occurrence
of earthquake interval cycles, and the results showed that the method can provide the time period
of dominant distribution of seismic activity cycle nodes and can provide a comprehensive basis
for determining the prediction of strong earthquake trends; Zhang Yongjiu et al. (2004) used this
method to analyze the trend of future seismic activity in the Sichuan-Yunnan region and gave
prediction conclusions based on this method; Zhou Cuiying et al. (2005) used the method to
conduct an experimental analytical study of moderately strong and moderate earthquakes in the
inland main body of Shandong and its neighboring South Yellow Sea and the border of Jilu and
Henan, and the results showed that the method also has a good test effect in Shandong and its
neighboring areas; Yu Wei et al.(2006) used this method to study for the junction area of Jin,
Hebei and Mongolia, the junction area of Jilu and Henan, the old Tangshan earthquake zone, and
the Yinshan-Yanshan earthquake zone; Xu Xiaoqing et al. (2015) used this method to calculate
linear synthetic probability values for seismic period spectrum analysis and to test the retrospective
prediction of actual earthquakes for moderate to strong earthquakes in Ningxia region. The results
show that the method has good seismic prediction capability for the above-mentioned areas as well.
The purpose of this study is to use this method to calculate the characteristics and probabilities

∗ Corresponding Author: [email protected]

794 DOI 10.1201/9781003308584-111

of historical and modern moderate-to-strong earthquake cycles in Shandong and nearby areas,
and to perform retrospective prediction tests to provide predictions of future earthquake trends in
Shandong and nearby areas.

2 RESEARCH IDEAS AND METHODS

It is assumed that there is a certain correlation between individual strong earthquakes in a certain
region, which occurs non-randomly. Let the sequence of earthquakes above a certain magnitude in
a certain study area be:

{Ti = {T1, T2, T3, . . . . . . , Tn}, (1)

First calculate the time interval between two earthquakes, i.e.

Tij = Ti − Tj(i, j = 1, 2, 3, . . . . . . , n; i ≥ j) (2)

where T is the earthquake time and n is the total number of earthquakes involved in the calculation.
Let the basic unit cycle interval be τ and generate a time-increasing sequence of interval
cycles {τ i }

{τi } = { τ , 2 τ , 3 τ , , k τ } (3)
K is chosen to ensure that the maximum time interval k τ is greater than the time interval of
the first seismic sequence.
On the basis of the period spectrum calculation, the empirical probability series {P τ i } of the
corresponding interval cycle can be obtained by taking the percentage of frequency of all earthquake
time intervals falling into a fixed interval cycle sequence as the frequency of occurrence of the
interval cycle, respectively.

{Pτ i } = {P1 τ , P2 τ , P3 τ , , Pk τ,} (4)

Define the linear synthetic probability P to be calculated as:
n
p= Pi /n (5)
i=1
In Eq. (5), Pi is the probability corresponding to the time interval period from the prediction
time to the ith earthquake that has occurred, and n is the selected earthquake sample.
In the retrospective test and prospective prediction analysis, let the starting time point of the
retrospective prediction test be Tb and the cut-off time of the prospective prediction be Te , Then
the first examination time point is Tb and the second examination time point is Tb+ r...... The kth
examination time point is Tb+ r, untilTb+ r≥Te. For each time point examined, a linear synthetic
probability calculation was performed.

3 DATA SELECTION

The historical earthquakes of M≥43/3 magnitude from 1480–2000 (Figure 1) and modern earth-
quakes of M≥4 magnitude since 1970 in Shandong and the annexed areas were selected and divided
into the border area of Ji-Lu-Yu (34–36.5◦ N, 114–116.5◦ E, no further note below), the Jiaodong
Peninsula and the sea area on both sides (34–38.5◦ N, 119–123◦ E, no further note below), and the
Yishu fault zone and its north-west branch fault area (hereafter referred to as the Yishu belt area
in the polygon in Figure 1), according to the regional tectonic characteristics of Shandong and the
annexed areas. A synthetic probability prediction study with seismic period spectrum analysis was
conducted for the three regions separately. The earthquake catalogs of the three study areas for the

795
years 1480–2000 with M≥43/3 magnitude earthquakes excluding aftershocks are 17 in the border
area of Jilu-Yu, 18 in the Yishu belt area, and 12 in the Jiaodong Peninsula area, for a total of 47
earthquakes, and the earthquake catalogs are omitted.

Figure 1. Spatial distribution of M≥43/3 magnitude earthquakes in Shandong and neighboring study areas
and since 1480.

4 COMPUTATIONAL ANALYSIS

4.1 Empirical period spectrum of historical earthquakes and its synthetic probability analysis
Using the seismic period spectrum analysis method, the period spectra of magnitude 43/3 earth-
quakes from 1480–2000 and their synthetic probabilities were calculated for the three study areas,
and the results are as follows (Because the calculation method is the same, Only the display figure
of the border areas of Ji-Lu-Yu area graphics, other areas omitted).

Figure 2. Periodic spectrum of M≥43/3 magnitude earthquakes in the border area of Ji-Lu-Yu.

The dominance cycles of historical 43/3 magnitude earthquakes in the border area of Ji-Lu-Yu
were 10, 14, 19 and 46 years (Figure 2), and their dominance cycles corresponded to the active
and calm curtain of the fourth active seismic period in North China, with the shorter dominance
cycles in the active curtain and the longer dominance cycles in the calm curtain. The last M≥43/3

796
Figure 3. Linear synthetic probability time series of M≥43/3 magnitude earthquakes in the border area of
Ji-Lu-Yu

magnitude earthquake in the border area of Ji-Lu-Yu was the 5.9 magnitude earthquake in Heze,
Shandong on November 7, 1983, and the current 5 magnitude earthquake has been calm for nearly
38 years, and the current seismic activity in North China is in the calm curtain, with a dominant
period of 46 years. The results of the synthetic probability values showed that in 1937 was at a
high value, P = 0.68, and the next largest value had five synthetic probability values P = 0.35,
and two of those five next largest years had earthquakes of magnitude M≥43/3 (Figure 3). The
maximum synthetic probability value P = 0.21<0.35, and the nearest probability value P = 0.06,
which is obviously low (Figure 4), was calculated for the out-checking prediction of the period
since 2000 in this area. The analysis concluded that the seismogenic cycle of M≥43/3 magnitude
earthquakes in the junction area of Ji-Lu-Yu did not reach its dominant cycle, and the predicted
value of its synthetic probability external examination is obviously low, and the possibility of
M≥43/3 magnitude occurring in this area in the future period is small.

Figure 4. Time course of synthetic probability for the out-test prediction of M≥43/3 magnitude earthquake
in the border area of Ji-Lu-Yu.

The results for the Yishushi Belt area show that, after excluding aftershocks, 18 earthquakes
of 43/3 magnitude have occurred in the area since 1480, with dominant cycles of 29 years and 81
years, respectively. The Yishu Belt belongs to a deep and large fault zone, and the seismic activity
of this fault zone is characterized by high seismic activity intensity and long activity period. It has
been 26 years since the current 43/3 magnitude earthquakes in the region were quiet, close to one
of the dominance cycles of 29 years, and also reached the time interval of about 26 years between
the two 43/3 magnitude (excluding aftershocks) earthquakes that occurred in the Yishu Belt since

797
1900. The synthetic probability values and the out-test predictions (due to the small number of
earthquake cases, the retrospective and out-test calculations are combined) show that they are at
a high value in 1995 with P = 2.0, and P = 0 in other time periods. The analysis suggests that
the seismic time interval of M≥43/3 magnitude earthquakes in the Yishu belt area has been close
to one of the dominant cycles for 29 years, and also reached the M≥43/3 magnitude earthquake
time interval in the area since 1900, and there is a possibility of However, its synthetic probability
extrapolation prediction is obviously low, so the enhancement of seismic activity in the region in
the coming period is noted.
The results for the Jiaodong Peninsula and the sea area on both sides show that the historical
M≥43/3 magnitude earthquake dominance cycles in the Jiaodong Peninsula and the sea area on both
sides are about 24, 49 and 53 years, respectively. Similar to the Ji-Lu-Yu region, its dominance
period corresponds to the active and calm curtain of the fourth active seismic period in North
China. The shorter dominance period is in the active curtain and the longer dominance period is
in the calm curtain, and the current seismic activity in North China is in the calm curtain, so its
dominance period is 49 and 53 years.The synthetic probability value results showed that it was at
a high value of P = 0.45 in July 1969, and the next largest value was P = 0.30 in 1992, when the
7.4 magnitude Bohai earthquake and its aftershocks occurred in July 1969 and the 5.3 magnitude
Yellow Sea earthquake in January 1992, respectively. The synthetic probability of the period in this
area since 1992 year was calculated for the external check prediction, and the maximum synthetic
probability value P = 0.45,which is the time node of the 1992Yellow Sea magnitude 5.3 earthquake,
and the 2 sub-major values P = 0.25, but no M≥43/3 magnitude earthquake occurred in these 2 time
periods, and the synthetic probability value in this area is 0 since 2018.The analysis concluded that
the seismicity cycle of M≥43/3 magnitude earthquakes in the Jiaodong Peninsula and the sea area
on both sides has not reached its dominant cycle, and the predicted value of its synthetic probability
of external examination is obviously low, and the possibility of M≥43/3 magnitude occurring in the
region in the future period is small.

4.2 Empirical period spectrum of modern earthquakes and its synthetic probability analysis
Using the seismic period spectrum analysis method, the period spectra and their synthetic proba-
bilities were calculated for magnitude 4 earthquakes (catalog entries are large and not listed) from
1970-2021 for the three study areas in Figure 1, and the results are as follows (Same as the first
bar of section 4, Only the display figure of the border areas of Ji-Lu-Yu area graphics, other areas
omitted).

Figure 5. Periodic spectrum of M≥4 earthquakes in the border area of Ji-Lu-Yu.

The dominance cycles of historical 43/3 magnitude earthquakes in the border area of Ji-Lu-Yu
were 2-5 years, 24 years and 29 (Figure 5), respectively, and their dominance cycles were not
obvious. Since 1970, a total of 8 earthquakes of M≥4 have occurred in the border area of Ji-Lu-Yu,

798
with the largest one being the 5.9 magnitude earthquake in Heze, Shandong on November 7, 1983,
and the closest one being the 4.2 magnitude earthquake in Taikang, Henan on March 8, 2011,
which was an aftershock of the 4.7 magnitude earthquake in Taikang, Henan on October 24, 2010.
Calculation of the cyclic synthetic probability retracements and outlier projections for the region
since 2006 showed that (Figure 6), All four time points with synthetic probability values of P >
0.17 had M≥4 earthquakes occurred, and no M≥4 earthquakes occurred in any other time period.
Since 2018, the synthetic probability value for this area is 0. At present, it has been more than 10
years since the magnitude 4 earthquake calm in the junction area of Ji-Lu-Yu, and according to its
dominance cycle exists for 2-5 years, combined with its synthetic probability value, the analysis
suggests that there is a possibility of M≥4 earthquake in the junction area of Jilu-Yu in the future
period, but the probability of occurrence is low.

Figure 6. Linear synthetic probability of M≥4 earthquakes in the border area of Ji-Lu-Yu and the time course
of the external inspection prediction.

The results for theYishu belt area show that the dominant period is around 9 years, period 25 years
and 31 years. The results of synthetic probability values and outlier predictions (due to the small
number of earthquake cases, retrospective and outlier calculations were combined) show that all
three years with high synthetic probability values of P>0.3 had M≥4 magnitude earthquakes. The
most recent M≥4 earthquake in the Yishu belt area was a 4.1 magnitude earthquake in Changqing
on February 18, 2020, with a 4 magnitude calm of 1.7 years. Combined with the current synthetic
probability out-test result of P = 0.07, the analysis suggests that an M≥4 earthquake in the Yishu
belt area is unlikely in the next year.
The results of the Jiaodong Peninsula and the area on both sides of the sea show that the dominant
period spectrum of M≥4 earthquakes in the Jiaodong Peninsula and the area on both sides of the
sea shows that the dominant period of M≥4 earthquakes in this area is about 1 year and 11 years,
respectively, but the frequency of the period in about 3, 5, 9, 19, and 24 years is also higher, so
the dominant period of M≥4 earthquakes in this area is not very obvious, which may be related
to the larger selected area. The results of synthetic probability values show that no M≥4 earth-
quake occurred in 2001 with the maximum synthetic probability value of P = 0.13, but nine M≥4
earthquakes since 2000, eight of which occurred in years with higher probability values of P>0.09,
tested relatively well. The last 1 M≥4 earthquake in the region was a 4.0 magnitude earthquake
on March 3, 2017, with a 4.5-year calm for a magnitude 4 earthquake, but the current synthetic
probability value of P = 0.02 for the dominant period spectrum in the region is significantly low.
Therefore, the analysis concluded that the Jiaodong Peninsula and the two sides of the sea there is
the possibility of M ≥ 4 earthquake, but the probability of occurrence is low.

799
5 CONCLUSION

Using a linear synthetic probability prediction method based on the seismic period spectrum anal-
ysis, the seismic period spectrum and its synthetic probability were calculated for Shandong and
nearby areas in three regions. The results show that the method has good results in retrospective
verification of moderate to strong earthquakes in Shandong and neighboring areas, except for the
M≥ 43/3 magnitude earthquake period spectrum in the Yishu belt area since 1900, which shows no
dominant period, and makes a reasonable analysis of seismic activity trends in Shandong based on
synthetic probability out-test predictions. The conclusions are as follows.
1) The seismogenic cycle of M≥43/3 magnitude earthquakes in the border area of Ji-Lu-Yu has not
reached its dominant cycle, and its synthetic probability out-test prediction is obviously low,
and the possibility of M≥43/3 magnitude earthquakes in this area in the coming year is small,
and the possibility of M≥4 magnitude earthquakes exists, but the probability of occurrence is
low.
2) The M≥43/3 magnitude earthquake calm time in the Yishu belt area has reached the longest
time interval in the area since 1900, and there is a possibility of M≥43/3 magnitude earthquake
in the coming year, but its synthetic probability out-test prediction value is obviously low, and
we need to pay attention to the enhancement of seismic activity in the area in the coming period.
3) The seismicity cycle of M≥43/3 magnitude earthquakes in the Jiaodong Peninsula and the sea
area on both sides has not reached its dominant cycle, and the predicted value of its synthetic
probability external examination is obviously low. The possibility of M≥43/3 magnitude occur-
ring in the region in the next year is small, and there is a possibility of about 4 magnitude
earthquakes, but the probability of seismicity is low.
A comprehensive analysis suggests that there is a possibility of a magnitude 4 earthquake in
Shandong and nearby areas in the next year.

ACKNOWLEDGMENTS

This work was financially supported by the General Research Project of Shandong Earthquake
Bureau (YB2102).

REFERENCES

Men K. P. (1994) Prediction of MS≥7 strong earthquakes in Xinjiang and neighboring areas[J]. Northwest
Journal of Seismology, 16(4), 29–36.
Men K. P. (1997) Sequential analysis and foreshock prediction[J]. International Earthquake Dynamics., 5, 1–4.
Men K. P. (2002) Information prediction theory and the trend study of strong earthquake of magnitude 7 in
Xinjiang region[J]. Advances in Geophysics,17(3), 418–423.
Wang H. T., Yang L. M., et al . (2006) Study on short-term precursor characteristics and prediction methods
of strong earthquakes in Northwest China [M]. Beijing,Earthquake Press.
Wang, H. T., Long, H. Y.. (2003) Research on linear synthetic probability prediction method based on seismic
period spectrum analysis[J]. Inland Earthquake.2003,17(4), 289–293.
Xu X. Q, Li C. G, Zhu P. T., (2015) Research on synthetic probability prediction by seismic period spectrum
analysis[J]. Journal of Disaster Prevention and Mitigation, 31(2), 14–18.
Yu Wei, Zhang S.F., Sun Q., et al. (2006) Application of linear synthetic probability method to the study of
earthquake trends in North China[J]. North China Earthquake Science, 24(3), 20–23.
Zhang,Y. J., (2004) Study of earthquake trends in Sichuan andYunnan by linear synthetic probability method[J].
Highland Earthquakes, 16(3), 16–22.
Zhou C. Y., Li D.L., Zhong P. Y., et al. (2005) Application of linear synthetic probability prediction method
based on periodic spectrum analysis in Shandong Province[J]. Inland Earthquake, 19(3), 215–222.

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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Research on urban land subsidence based on time series SBAS-InSAR

Hao Liu & Qin Yuan

Tongji University, Shanghai, China

ABSTRACT: Coal mining, groundwater extraction, and urbanization have caused increasingly
prominent land subsidence problems in Shandong Province. With the help of time series SBAS-
InSAR technology commonly used for long-term and large-scale land subsidence, this paper uses
the image data of 12 Sentinel-1A scenes from March 2018 to February 2019 to investigate the land
subsidence of Jining, Heze, and Zaozhuang in Shandong Province. Sedimentation distribution,
cumulative sedimentation, and annual average sedimentation rates were obtained for the three urban
areas during the monitoring period. In the past two years, the settlement rate in these areas has been
relatively fast, reaching 193 mm/year. Under this premise, this article introduces in detail the devel-
opment characteristics and settlement characteristics of Jining city, Yuncheng city, Yanzhou District
and other areas, and conducts an in-depth discussion on the reasons for the settlement phenomenon.

1 INTRODUCTION

Land subsidence is a relatively common geological phenomenon. Under the action of various
factors, the formation of stratum has consolidated and compressed, resulting in different degrees
of decline in ground formation. It has become one of the most serious global geological disasters
(Tizzani et al. 2007). The causes of land subsidence include not only natural factors such as
geological structure but also human factors such as excessive exploitation of underground resources
(substantial mineral resources, groundwater) and large-scale engineering construction. Different
degrees of ground subsidence have brought great inconvenience to urban buildings and people’s
production and life. This is not only a threat to people’s personal safety, but can also cause huge
financial losses (Hu et al. 2009; Kim et al. 2015; Lanari et al. 2007). Shandong Province is
a significant coal province in China, especially in the southwest region, which contains a large
amount of coal resources and is a substantial energy base in China. The long-term mining of solid
minerals has caused large areas of uneven ground settlement, causing varying degrees of damage to
urban buildings and land resources, and seriously threatening the lives and properties of residents in
this area (Casu et al. 2006; Chen et al. 2018; Mateos et al. 2017). Therefore, it is essential to monitor
the land subsidence with high accuracy, comprehensive coverage, and quasi-real-time in this area.
At present, the main methods of ground settlement monitoring are InSAR, level measurement
and GPS, among which level measurement is an optical geodetic technique, which is difficult to
distribute evenly and requires many human and material resources due to the need for visualization,
while the GPS method has high positioning accuracy but is not sensitive to elevation information and
cannot meet the experimental requirements. The main advantage of InSAR is that it can carry out
real-time and practical environmental observation, and the corresponding observation equipment
can realize continuous and stable observation, which is a commonly used method of land subsi-
dence observation at present. The InSAR technique has certain limitations, such as large errors in
measurement results, constraints by atmospheric coherence and atmospheric effects, and low resis-
tance to interference. Consequently, researchers have introduced time-series-based InSAR analysis
methods on a conventional basis, such as permanent scatterer interferometry, which is characterized
by high accuracy of measurement results, high interference immunity, and good generalizability,
etc. It is widely used in both scientific research and field surveys, and plays a significant role in
urban planning, urban construction, urban management, and disaster prevention and control.

DOI 10.1201/9781003308584-112 801

 Based on the time series SBAS-InSAR technology, this paper includes a survey a survey of
land subsidence in southwestern Shandong carried out from March 2018 to February 2019. We
obtained the average annual subsidence rate in the vertical direction, and selected some coal mines
to analyze the cumulative subsidence. This paper focuses on the feasibility of monitoring large-
scale land subsidence by sequential SBAS-InSAR technology, analyzes the current situation of
land subsidence in Southwest Shandong, and provides data reference for the local government in
disaster prevention and reduction decision-making.

2 STUDY AREA AND METHOD

2.1 Study area

In recent years, the problem of surface subsidence in Shandong Province has become increasingly
prominent due to a combination of manufactured and natural factors. Since 2013, the government
has invested a lot of human, material and financial resources to alleviate this problem. From the
information collected, the northern and western parts of the province are currently the most serious
land subsidence problems, such as Jining, Zaozhuang and other areas. This experiment selected
the ground subsidence is more prominent, Jining and Zaozhuang, one of the country’s eight major
coal bases as the research object.

2.2 Data source

In this paper, sentinel-1a radar images obtained during the study period from March 2018 to Febru-
ary 2019 in the study area are selected, with a resolution of 5m×20m. Table 1 is the relevant infor-
mation of SAR image data. The monitoring range of SBAS-InSAR technology is shown in Figure 1.

Table 1. The number of officially reported plague cases in the world.

Orbit Date Orbit Date Orbit Date

21214 28/03/2018 22964 26/07/2018 25239 23/11/2018

21564 21/04/2018 23489 31/08/2018 25589 29/12/2018
22089 27/05/2018 24189 24/09/2018 26114 22/01/2019
22439 20/06/2018 24714 18/10/2018 26464 27/02/2019

Figure 1. Study area.

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 Among them, the coverage area of Jining is about 4.81x103km2, the coverage area of the
Zaozhuang area is about 4.3×102km2, and the coverage area of the Heze area is about 6.3x103km2.
In addition, to avoid errors caused by the terrain phase, the digital elevation model of the monitoring
area provided by NASA is downloaded here. (SRTM DEM), the resolution is about 30 m.

2.3 Methodology
The SBAS technique is an improved D-InSAR time series analysis technique that generates multiple
time series interferograms by combining image pairs within a certain time baseline and spatial
baseline range, and processes the interferograms in a differential manner and then combines short
baselines by means of singular value decomposition to solve the problem. In the past, the baseline
was long and therefore subject to atmospheric effects, resulting in large measurement errors.
However, the time series inversion of the target points is mainly used to obtain the measurement
results, so the measurement results are ideal. More importantly, this method increases the time
sampling frequency, so that the monitoring results with higher accuracy can be obtained.
For the same region, set the time series as t0, t1,…, tN, and obtain n + 1 image data on this
basis. One scene data is used as the main image, and other image data are registered to the main
image to generate m interferograms. M meets the following conditions:

(N + 1)/2 ≤ M ≤ N (N + 1)/2 (1)

In the k-th differential interferogram, the interference phase is:

4π
ϕk (x, r) = ϕn (x, r) − ϕm (x, r) ≈ [d (tn , x, r) − d (tm , x, r)] + ϕps + ϕre + ϕns (2)
λ

λ is wavelength length of center signal; d(tn , x, r) and d(tm , x, r) are accumulated deformation;
φps , φre , φns are atmospheric delay phase, terrain phase and noise phase.
The phase value of the above formula is expressed as the product of average phase velocity and
time:
ϕn -ϕm = vn (tn − tm ) (3)
The phase value of the k-th interferogram is:

tn
(tn − tm )vn = δϕk (4)
tm

Rewritten into matrix form:

Av = δϕ (5)
Using the SVD method, the generalized inverse matrix of matrix A can be obtained, and then the
minimum norm solution can be obtained, and then the shape variable can be obtained by integrating
each time velocity.

3 RESULTS AND DISCUSSIONS

3.1 Text and indenting

In this data processing, the time baseline is set to 365, and the critical baseline value is 45%. A
total of 73 pairs of interference images are generated, as shown in Figure 2.

803
Figure 2. Interference pair combination.

Based on the SBAS-InSAR, the results of the time series analysis of 2018.3–2019.2 were mapped
with ArcGIS, and the annual average rate and subsidence maps of the main counties and cities in
each region were obtained as shown in Figure 3.

Figure 3. Average annual settlement rate.

804
 The annual settlement of Jining’s main urban area is mostly below 20 mm, different from the main
urban area. The settlement of Heze Yuncheng is similar to that of Jinxiang, most of the settlement
area settlement in 20–40 mm, local areas reached more than 80 mm. From the perspective of space
analysis, the settlement distribution in the Zaozhuang area is relatively uniform, the settlement of
Jining city and HezeYuncheng is mostly a small area of local settlement, the individual accumulative
settlement amount is far greater than the average settlement amount in this area.
The areas with large subsidence deformation are mostly distributed around the mining area. Due
to continuous mining, the geology around the mining area is very fragile, and the foundation is
very unstable, so the subsidence of these areas is very obvious. The growth rate of settlement is
closely related to the urbanization construction: According to the data, Jining city carried out the
construction project of new town reconstruction in 2018, and its project planning map is basically
consistent with the settlement area of the main urban area. Preliminary analysis is mainly caused
by the additional load of the superstructure in some areas of Jining land subsidence.
Groundwater is rich in Zaozhuang, always keep rational exploitation of groundwater in recent
years, access to relevant data in the annual water level drop of Zaozhuang, land subsidence rate
range from the same place and declining with periodic variation characteristics of underground
water level, besides considering the range is far less than the Jining Heze area subsidence range of
Zaozhuang. It can be basically determined that the ground subsidence of Zaozhuang city is caused
by excessive exploitation of groundwater.

4 CONCLUSION

Based on time series SBAS-InSAR technology, this paper investigated land subsidence in several
cities in Shandong Province and drew the following conclusions:
(1) From the perspective of time, the subsidence funnel gradually formed a trend of taking the
city as the center and radiating outward from 2018 to 2019, mainly due to the rapid economic
development of some cities, the robust construction of basic engineering and transportation
engineering and the excessive exploitation and use of underground mineral resources, which
led to the increasingly serious phenomenon of ground subsidence.
(2) From a spatial perspective, the settlement phenomenon is more serious in the coalfields, with
the average annual settlement all exceeding 100 mm. The relevant authorities should strengthen
the monitoring of settlement deformation in these areas to avoid disaster accidents.

ACKNOWLEDGMENTS

This work was financially supported by the National Natural Science Foundation of China: Research
on Semantic Association Modeling of High-precision Driverless Maps (41771482).

REFERENCES

Casu F, Manzo M, Lanari R. A quantitative assessment of the SBAS algorithm performance for surface
deformation retrieval from DInSAR data[J]. Remote Sensing of Environment, 2006, 102(3-4):195–210.
Chen D, Lu Y, Jia D. Land deformation associated with exploitation of groundwater in Changzhou City
measured by COSMO-SkyMed and Sentinel-1A SAR data[J]. Open Geosciences, 2018, 10(1):678–687.
Hu B , Yang B , Zhang X , et al. Time-Series Displacement of Land Subsidence in Fuzhou Downtown,
Monitored by SBAS-InSAR Technique[J]. Journal of Sensors, 2019, 2019(2):1–12.
Kim J W , Lu Z , Jia Y , et al. Ground subsidence in Tucson, Arizona, monitored by time-series analysis
using multi-sensor InSAR datasets from 1993 to 2011[J]. ISPRS Journal of Photogrammetry and Remote
Sensing, 2015, 107(SEP.):126–141.
Lanari R, Casu F, Manzo M, et al. Application of the SBAS-DInSAR technique to fault creep: A case
study of the Hayward fault, California[J]. Remote Sensing of Environment, 2007, 109(1):20–28.

805
 Mateos R M , Ezquerro P , Luque-Espinar J A , et al. Multiband PSInSAR and long-period monitoring
of land subsidence in a strategic detrital aquifer (Vega de Granada, SE Spain): An approach to support
management decisions[J]. Journal of Hydrology, 2017, 553:71–87.
Tizzani P, Berardino P , Ca Su F , et al. Surface deformation of Long Valley caldera and Mono
Basin, California, investigated with the SBAS-InSAR approach[J]. Remote Sensing of Environment, 2007,
108(3):277–289.

806
 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Numerical simulation design of new assembled foundation for power

transmission lines

Chunhui He, Yajun Wang∗ , Zhenguo Liu, Qigang Sun, Xin Zhang, Li Ma & Shusheng He
Shandong Zhiyuan Electric Power Design Consulting Co., Ltd, Jinan, China
Economic and Technical Research Institute of State Grid Shandong Electric Power Company, Jinan, China

ABSTRACT: By constructing a finite element model of transmission tower-new prefabricated

foundation-foundation soil, this paper simulates and analyzes the force characteristics of the new
prefabricated foundation under load conditions and verifies the reliability of the selection and
design of the new prefabricated foundation. The structural form of the assembled foundation joints
is studied, and the bearing capacity of the joints is verified according to the force characteristics of
the assembled foundation.

1 INTRODUCTION

Transmission line is a key link and an important part of the national power transportation system, and
plays an important role in national production. Traditional new transmission line tower foundation
is mainly on-site pouring concrete foundation, from filling to forming using a long cycle time,
and cast-in-place concrete forming and maintenance is susceptible to temperature and humidity
and other environmental factors, the cost of maintenance is relatively high, on-site construction
produces more construction waste for the surrounding environment to produce greater pollution.
There are problems such as the large cost of transporting sand and gravel materials for concrete. If
encountered power failure, cast-in-place concrete foundation due to the long construction period
can not be quickly completed repair, restore power supply, a huge impact on production and life.
The transmission line assembly foundation can be completed in a shorter period of time to install
the work, put into use, the time advantage is huge. In this paper, the Abaqus/cae software is used
to simulate and analyze the prefabricated foundation of the transmission line, in order to select the
appropriate structural composition and obtain its working performance.

2 STRUCTURAL DESIGN AND PRE-TREATMENT

In order to study the actual working performance of the assembled foundation connection after
completion, the author uses 7-wire prestressing strands commonly used in bridge engineering for
the connection of the assembled units, and the clamped anchorage is selected for fixing between
each unit. The stability and load-bearing capacity of the connection between the units can be ensured.

2.1 Structural form

Nine individual units are connected to form this assembled foundation, and each unit has a cross
section of, B1-B8 Unit height is 600 mm, Z1 Unit height is 2000 mm.

2.2 Unit type and intrinsic structure relationship

2.2.1 Steel strand unit
The 1860 grade steel strand with yield strength of 1580 MPa and Poisson’s ratio of 0.3 is selected.
the prestressing steel strand is simplified in the model and replaced into a single steel strand

∗ Corresponding Author: [email protected]

DOI 10.1201/9781003308584-113 807

according to the principle of equivalent area substitution, which is convenient for modeling and
calculation. The steel strand is mainly subjected to tensile stress in the foundation, in line with
the linear structure of the truss unit which is only subjected to axial force, so the steel strand is
set as linear truss unit T3D2 for simulation analysis, and the mesh division length is selected as
30 mm

2.2.2 Concrete units

The C30 concrete is selected, and the concrete cells can be selected as three-dimensional solid
reduction integral C3D8R with a mesh division length of 80 mm. the plastic damage model (CDP)
in abaqus software is used for this structural model. the CDP model is a damage model by plastic
continuity. The basic assumption is that isotropic compression and tension lead to material damage
cracking caused by damage. The plastic damage model based on GB50010-2010 specification
of the axial compression principal structure relationship of concrete is chosen to complete the
operation, the modulus of elasticity, tensile strength is calculated according to the corresponding
formula.

2.2.3 Reinforcing steel mesh unit

Each independent unit of the assembled foundation is equipped with a reinforcement mesh disk
composed of ordinary HRB335 steel bars, which is embedded in each independent unit to form a
complete prefabricated body. The linear truss unit T3D2 is also selected for simulation analysis,
and the mesh length of each unit is 80 mm.

2.3 Model load conditions

By consulting the cast-in-place foundation project examples of transmission lines, the average
value of the load of each project example is selected as the simulation loading value. Because
of the actual transmission line in the foundation more subject to eccentric load effect, the load
can be equivalent processing, easy to load and simulation analysis, so the foundation top column
cross-section has directional and directional bending moment, the size of 500, while the top column
cross-section center there is downward transmission of equivalent vertical concentrated force, the
size of 1000, equivalent shear force of 120. The surface of the foundation is subjected to a uniform
earth pressure of 20MPa.
Take the cooling method to apply the steel strand prestressing, that is, the lowering of temperature
causes the material to shrink, and the calculation formula is:
F = α t EA
◦
t = 340 C
Eq:
α is the coefficient of thermal expansion of concrete, take 1.2 × 10−5 /C◦ ;
E is the modulus of elasticity of steel strand, take 206 GPa;
A is the equivalent area of the strand cross-section, take 633mm2 .
The analytical model using Abaqus is shown in Figure 1:

Figure 1. Abaqus finite element model.

808
3 MODEL ANALYSIS

Because the assembled foundation is assembled into units and connected by prestressing strands,
the stress transfer and distribution are different from those of cast-in-place foundation, so a
comprehensive stress cloud (S,Mises) analysis should be performed on the foundation.

3.1 Overall stress analysis of the foundation

The overall stress cloud diagram of the force after the assembly of each unit is shown in Figure 2.

Figure 2. Stress cloud at the top of the foundation.

From the above figure, it can be seen that the maximum stress under load appears in the connec-
tion pre-stressed steel strand size of 874.8 MPa, the minimum stress each unit built-in reinforcement
network, the size of 0 MPa, indicating that the reinforcement network can be reduced in the design
or do not use the reinforcement network. The transmission path is similar to cast-in-place foun-
dation, both have the upper part of the foundation downward transmission, the bottom stress is
large upper stress is small. However, the presence of prestressed steel strands in the assembled
foundation makes the structural stress redistribution, and the stress at the steel strands produces a
fault-type gap compared with other materials.
In order to display the stress more accurately, the stress display range of the foundation model
is reduced appropriately. The stress distribution of each member can be clearly displayed.
Figure 3 shows the stress cloud in the interval of 0MPa-15MPa, due to the two-way equivalent
bending moment action and the cross-section is square, and the neutral axis is near the diagonal.
The stress distribution is consistent with that of general bending members, with the lowest stress
at the neutral axis, gradually increasing to both sides, and roughly symmetrical distribution. At the
connection gap of each unit, the stresses have concentrated phenomenon with large values. As can
be seen from Figure 4, there is a stress diffusion phenomenon in the foundation concrete, which
gradually increases from the middle column to both sides according to a similar circle. It should
also be noted that the stress concentration phenomenon exists at the four corners of the foundation.

Figure 3. Stress cloud range 0–15 MPa. Figure 4. Stress cloud range 15–20 MPa.

For the assembled foundation concrete material its force transmission path and stress distribution
do not show large differences compared with cast-in-place concrete. The center column directly

809
bears the external load and meets the force characteristics of bi-directional eccentric bending
members. The assembled foundation is prone to stress concentration and uneven stress diffusion at
the joints of each unit and the four corners of the foundation. The maximum value of concrete of
each unit is 38.33MPa, which meets the concrete bearing capacity requirements and the concrete
belongs to the safe use state.

3.2 Contact surface analysis of each unit

In contrast to cast-in-place foundations, the study of the contact surfaces where the units are
connected is a point of special interest for assembled foundations. The contact surfaces have already
generated compressive stresses in the prestressing strands when the foundation is assembled, and
new compressive stresses will be generated when external loads are applied after the foundation
is put into use. To ensure the safety of the contact surface connection, no contact surface fracture
damage occurs. The CPRESS stress cloud of the model is selected to analyze the normal stress
condition of the contact surface.
Figure 5 shows the distribution of normal stresses in the middle column under prestress and exter-
nal load. From the figure, it can be seen that the stresses in the upper part of the contact surface
of the middle column are more average, and the size is between 12–24 MPa. However, the stress
in the lower part of the contact surface is larger, and combined with the deformation cloud of the
column contact surface in the figure, it can be seen that extrusion deformation occurs in all parts of
the contact surface. And the bottommost cell reaches the maximum value of deformation, and from
the maximum value of deformation, the stress gradually decreases upward and the stress gradually
decreases downward. This indicates that the proportion of compressive stresses generated by exter-
nal loads is larger in these two types of prestressing, and the effect is large in the deformation process.

Figure 5. CPRESS stress and deformation clouds of the middle column..

The cells at the base are similar to the middle column, as shown in Figure 6, the deformation
at one grid reaches the maximum value, and the stress is bounded by the maximum deformation,
increasing downward and decreasing upward. At the same time, the stress at the top of the cell is
3-5 MPa greater than the stress in the middle column. The maximum normal stress that occurs at
the contact surface is 144 MPa, which is less than the strength of the concrete material, and the
contact surface is safe to use.

Figure 6. Side column CPRESS stress and deformation clouds.

810
3.3 Analysis of prestressed steel strands
The prestressing strand is the most important part of an assembled foundation as the connection
of that foundation can be used properly. The prestressing strand can well limit the movement of
each unit rotating around the center column under the action of bending moment. The prestressing
strand tensile stress cloud is selected for analysis.

3.3.1 Analysis of tensile stress in prestressed steel strands

As can be seen from Figure 7, the magnitude of tensile stress in each prestressing strand gradually
decreases from the middle to all around, and the value of tensile stress in transverse prestressing
tendons is larger than that in longitudinal prestressing tendons due to the presence of shear force.
The middle tensile stress size range is between 800–850 MPa, about 850 MPa in the middle and
820 MPa at the edge.
The prestressing strand transmission path is clear, and there is almost no difference between the
maximum values of transverse and longitudinal tensile stresses due to the high symmetry of the
structure and external loads. The tensile stress maximum is 874 MPa, which is less than the tensile
strength of the strand is the design value of 1860 MPa and can be used safely.

Figure 7. Stress cloud of the strand under load.

3.3.2 Analysis of local compressive stress at anchorage

After the prestressing strand is tensioned, it is fixed by the anchorage on the concrete surface of
each unit, which will produce a large local compressive stress on the concrete and there is a risk of
crushing.
Figure 8 shows the local compressive stress diagram of concrete, it can be seen that the maximum
local compressive stress at the anchorage fixing is 58.4MPa, which is less than the design design
value of concrete compressive strength, so there will be no concrete crushing damage.

Figure 8. Concrete local pressure stress diagram.

811
4 CONCLUSION

In this paper, the unbonded prestressing is selected as the connection, and the assembly is carried
out after suitable blocking. It can be seen through numerical simulation analysis that the blocking
selection scheme is safe and feasible, and the assembled parts can meet the design strength and
ensure safety.
It should also be noted that this paper only studies the condition of the assembled foundation
under static load, and does not consider the force conditions of the foundation under dynamic load,
for example: wind load and other common dynamic loads of transmission lines. And there is room
for optimization of the cutting method of this model, and the stress concentration phenomenon
existing in the model can be optimized by choosing the appropriate rounded cutting method.

REFERENCES

China Academy of Building Science. (2015) Code for design of concrete structures: GB50010-2010. Beijing:
China Building Industry Press.
Hou, Z.W., Zheng, W.F. (2014) Selection and design of rock bolt foundation for UHV transmission lines.
Electric Power Construction, 35(10):64–68.
Liu, L. (2016) Research and numerical analysis on the bearing characteristics of small precast piles for
transmission towers with soft ground foundation. South China University of Technology.
Wang, H.X., Tu, Z.B., Yao, J.F., Ding, M.J., Lu, B., Chen, S.Y. (2021) Comprehensive evaluation system of
transmission tower foundation safety. IOP Conference Series: Earth and Environmental Science, 787(1):
2–3.
Wang, Y.T. (2020) Research on modular design of prefabricated assembled foundations in desert areas. Xi’an
Technological University.
Wu, X.F. (2017) Research on anti-chlorine ion corrosion of transmission line pile foundation in coastal area.
Hebei University of Technology.
Zhang, X.H. (2019) Research on the application of prefabricated bearing pile foundation for power transmission
lines. North China Electric Power University.

812
 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

An inversion method based on Back Propagation (BP) neural network

model for geoacoustic parameters in shallow sea

Z.Q. Cui
School of Naval Architecture and Maritime, Zhejiang Ocean University, Zhoushan, China

H.H. Zhu
School of Marine Science and Technology, Zhejiang Ocean University, Zhoushan, China

W. Liu∗
The 23rd research institute of China Electronic Technology Group Corporation, Shanghai, China

J. Liu
Institute of Acoustics, Chinese Academy of Sciences, Beijing, China

Q.L. Wang
School of Marine Science and Technology, Zhejiang Ocean University, Zhoushan, China

Z.G. Chai
School of Naval Architecture and Maritime, Zhejiang Ocean University, Zhoushan, China

ABSTRACT: Aiming at the shortcomings of the low efficiency optimization algorithm and the
tendency to fall into the local optimal solution in the existing shallow sea geoacoustic parame-
ters inversion research, a shallow sea geoacoustic parameters inversion method based on the Back
Propagation (BP) neural network model is proposed. First, the theoretical prediction value of the
shallow sea sound pressure field is obtained through the Fast Field Method (FFM). Then the map-
ping relationship between the predicted sound pressure field and the geoacoustic parameters value
to be inverted is established according to the BP neural network model. Finally, the measured sound
pressure field data is brought into the neural network to obtain the inversion results. The experimen-
tal results show that, compared with the classic simulated annealing (Simulated Annealing, SA)
algorithm, the BP neural network model converts the data matching process of the optimization
algorithm into the construction of a relational model, avoiding multiple matching optimization
processes for the inversion results, and the inversion results can be output directly, accurately, and
efficiently. Under the premise of setting the same accuracy, the calculation time of the BP neural
network model for the inversion result is shortened, and the number of iterations is reduced to 5%
of the SA algorithm.

Keywords: Geoacoustic parameters inversion; Optimization algorithm; Back Propagation (BP)

neural network; Fast Field Method (FFM)

1 INSTRUCTIONS

The acquisition of shallow sea geoacoustic parameters has always been a classic and debatable
issue in the field of underwater acoustics research. However, geoacoustic parameters are difficult
to measure directly and in a large range. Therefore, the use of acoustic technology to achieve accurate

∗ Corresponding Author: [email protected]

DOI 10.1201/9781003308584-114 813

inversion of the abovementioned parameters has long attracted the attention of researchers in related
fields in various countries, and has great research significance and application value. In the research
of traditional geoacoustic parameters inversion methods, more attention is paid to the selection of
the forward model in the inversion problem, and then the objective function is solved by the classic
optimization algorithm to obtain the results of the parameters to be inverted. But when the classical
optimization algorithm is used to obtain geoacoustic parameters, the multiple iterative calculations
of the model between the input data and the inversion target not only consume a lot of calculation
time, but also fall into the local optimal solution easily. In view of the excellent characteristics of
the neural network algorithm in data processing, the model is corrected by the neural layer’s joint
adjustment of the weight parameters and the threshold parameters. The result of the established
model is more stable, the number of iterations in the process is less, and the calculation time is faster.
Once the neural network model is established, it will theoretically be applicable to the inversion
of geoacoustic parameters of the same type of seafloor, which can greatly facilitate the inversion
of geoacoustic parameters of the seafloor. Based on the above research status, this paper proposes
a shallow sea geoacoustic parameter inversion method based on BP neural network. Taking the
shallow sea sound pressure field as the research object, based on the BP neural network model,
the relationship model between the predicted sound pressure field and the geoacoustic parameter
values to be inverted is established, and finally verify the relational model.

2 GEOACOUSTIC PARAMETER INVERSION METHOD BASED ON BP NEURAL

NETWORK MODEL

2.1 Forward model of shallow sea sound field

In the shallow sea environment, the marine environment can be approximately regarded as a
horizontal-layered structure, and a waveguide model conforming to the characteristics of the shal-
low sea environment is established in a three-dimensional cylindrical coordinate system. In the
model, the simple harmonic point sound source is located on the axis of symmetry of cylindrical
coordinates. Considering the influence of the seabed transverse wave sound velocity on the sound
propagation in the shallow sea waveguide environment, the influence of the sound propagation
cannot be ignored (Stoll 1998; Zhu 2014). The sea layer and the seabed layer are respectively
approximated as a uniform and isotropic fluid medium and an elastomer medium. Due to the axial
symmetry of the cylindrical coordinate system, the three-dimensional problem can be transformed
into a two-dimensional plane (r, z) to be solved (Zheng et al. 2020). Z=0 represents the sea surface,
the sea surface downward is the direction of the positive value of the depth Z axis, and the positive
R axis represents the direction of sound field propagation.

Figure 1. Semi-infinite elastic seabed model in cylindrical coordinates.

814
 In the model, set the sea layer depth as H ; the sound source with frequency f0 is located at the
sea layer depth Zs ; the density and sound velocity in the sea layer are ρ 1 and c1 , respectively; the
seabed density, compression wave velocity, transverse wave velocity, compression wave attenua-
tion, and the transverse wave attenuation in the sea bottom are represented by ρb , cp , cs , αp , and αs ,
respectively. The above five parameters are the geoacoustic parameters to be inverted in the study.
Under the wave theory, the physical quantities in the above model can be uniformly represented
by the displacement potential function φ1 . The sound pressure of the research object in this paper
satisfies p = ρ1 ω2 φ1 , and the sound pressure value of each point in the fluid can be obtained by
solving the displacement potential function. The detailed theoretical derivation can be found in the
literature (Zheng et al. 2020). Since the displacement potential function in the fluid layer satisfies:
# $
1 ∂ ∂ϕ1 ∂ 2 ϕ1
r + + k12 ϕ1 = −4π δ(r, z − zs ), 0 ≤ z ≤ h1 (1)
r ∂r ∂r ∂z 2

φ1 is as shown in equation (2):

∞
ϕ1 (r, z, ω) = Z1 (z, ξ , ω)J0 (ξ r)ξ dξ (2)
0

Where z is the ordinary differential equation of depth Z and horizontal wavenumber ξ , and J0 is
the zero-order Bessel function.
So, the sound pressure field can be expressed as:

∞
p(r, z, ω) = ρ1 ω 2
Z1 (z, ξ , ω)J0 (ξ r)ξ dξ (3)
0

Generally, normal mode method (Normal Mode Method, NMM) and fast field method (Fast
Field Method, FFM) can be used to solve equation (3). For the shallow sea environment, FFM
converts the integral formula in equation (3) into the form of Fourier transform and directly solves
it, which is more suitable for rapid calculation of shallow sea sound field (Zheng 2019). After the
calculation of p(r, z) is completed, it is substituted into the BP neural network model for training,
which is used to establish the BP neural network model for geoacoustic parameters inversion under
the model in Figure 1.

2.2 Construction of BP neural network

The structure of the BP neural network model constructed in this paper is shown in Figure 2, which
is composed of the input layer, the hidden layer, and the output layer. In model construction, the
same layers are not connected to each other, and there are two main types of signal exchanges
between layers. One is the forward working signal, that is, the function of input sound pressure
field data p(r, z) and the weight (w, b); the other is the error signal E(m). The root mean square
difference between the actual network inversion result and the true value is the error value. The
expression is shown in equation (4). It starts from the output and propagates back layer by layer
(Li et al. 2020).
.
/ N
/1
E (m) = 0 [(Yr (j) − Ye (j))]2 (4)
N j

Where Y =(cp ,cs , ρb , αp , αs ), is the matrix of parameters to be inverted, Yr represents the true
value, Ye represents the estimated value, and N represents the number of samples.

815
Figure 2. BP neural network structure for seafloor parameter inversion.

Where wi and wo respectively represent the weight of the hidden layer and output layer, and b
represents the threshold of the hidden layer and output layer.
Considering the computer performance, the scale of the experimental model and the accuracy
of parameter inversion, a sound pressure point is taken every 2 m in the horizontal distance, and
the simulated sound pressure data p(r, z) is substituted into the input layer. A single hidden layer is
set in the BP neural network structure, and the number of neurons is selected based on the equation
(5). After experiments, it is finally determined that the hidden layer is 6 neurons and the output
layer is 5 neurons. In the network structure, the input layer is the simulated sound pressure data,
and the output layer is the 5 geoacoustic parameters to be inverted, which are transmitted through
the forward nonlinear function Tansig between the hidden layer and the output layer. Through the
reverse error transmission E(m), the weight w and the threshold b are repeatedly adjusted, and
the neural network is constructed through these parameters to approximate the complex mapping
relationship between the sound pressure field and the geoacoustic parameters during geoacoustic
inversion (Wen et al. 2021).
√
m= n + l + α (5)
Where m represents the number of nodes in the hidden layer, n represents the number of nodes
in the input layer, l represents the number of nodes in the output layer, and α is a constant
coefficient.

3 BP NEURAL MODEL VERIFICATION AND SIMULATION ANALYSIS

Considering the variation range of geoacoustic parameters in general shallow sea environment, the
environmental parameters and inversion interval in the training of BP neural network model are
set as shown in Table 1. At the same time, Table 1 also shows the results of the inversion of SA
optimization algorithm and the BP neural network algorithm.
The model training samples used in this article are 2200 sets of sound pressure data randomly
generated within the range of values discussed in Table 1. After normalization, 2000 sets are
randomly divided into training sets, and the remaining 200 sets are test sets. The sound pressure

816
data is taken into the trained network for inversion calculation, which is generated by setting the
geoacoustic parameters true value. When the error reaches the set accuracy of 10−3 , the training is
completed, and figure 3 presents the E(m) value changes in the model training and iteration steps
of the SA optimization algorithm and the BP neural network algorithm.

Table 1. Simulation parameter setting and search range.

Inversion Discussion True SA inversion results BP inversion results

parameters value value mean value ± variance mean value ± variance

c1 (m/s) 1500 1500 / /

ρ1 (g/cm3 ) 1.025 1.025 / /
cp (m/s) 1800-2200 2000 1997.232±48.878 1999.128±20.340
cs (m/s) 900-1100 1000 1002.761±27.868 999.682±15.532
ρb (g/cm3 ) 1.4-1.6 1.5 1.499±0.045 1.500±0.069
αp (dB·λ−1 ) 0.1-0.3 0.2 0.201±0.014 0.199±0001
αs (dB·λ−1 ) 0.1-0.3 0.2 0.211±0.014 0.202±0.001

Figure 3. Fitness curve under the two algorithms.

Through Table 1, it can be seen that the inversion results of the BP neural network have been
significantly improved. From the change of the objective function in the iteration of two algorithms
shown in Figure 3, it can be seen that although it quickly drops to around 10−2 , a total of 730
iterations will reach the accuracy requirement. In the BP neural network, it only takes 10 steps to
achieve the accuracy requirements and completes the establishment of the inversion model. So, in
terms of the number of model iterations, the computational efficiency of the BP neural network in
this respect is much higher than that of the inversion performed by the SA optimization algorithm
alone.
Figure 4 is shown that the inversion effect of BP neural network on 5 geoacoustic parameters and
the errors analysis of each parameter. When completing the training of the BP neural network model
in the preset shallow sea environment, only the measured sound pressure needs to be substituted
into the BP neural network model to obtain the results of 5 geoacoustic parameters, which is used
to be inverted in the environment model. Figure 5 shows the TL curve calculated from the sound
pressure data under the true value and two TL curves calculated from the inversion result of the BP
neural network and SA optimization algorithm. From the comparison of the curves in Figure 5, it
can be seen that the inverse TL curve of the two methods is basically consistent with the measured
TL curve, and some of the differences also fluctuate within the allowable error range, which proves
the applicability of the BP neural network algorithm in the inversion of geoacoustic parameters.

817
Figure 4. Comparison of 200 sets of test set inversion results and preset values.

Figure 5. Comparison of TL curves under simulation conditions.

818
4 CONCLUSION

This paper studies the inversion method of geoacoustic parameters of shallow water layered seabed
model based on BP neural network, selects a single-layer seabed model for simulation, and compares
and analyzes with the SA optimization algorithm. The conclusions are obtained as below:
(1) This paper is based on the BP neural network algorithm, combined with the single-layer seafloor
physical model in the cylindrical coordinate system and the FFM sound field calculation
model for inversion calculations. Under the simulation conditions, the geoacoustic parameter
inversion of the BP neural network is performed. And verify that the obtained results are
basically consistent with the forward data, indicating the feasibility of this type of method in
multi-parameter inversion.
(2) The comparison between the inversion results of the two algorithms and the true value shows that
the error of the results obtained by the BP neural network algorithm and the SA algorithm meets
the set accuracy requirements. While the obvious advantage of BP neural network algorithm
is significantly higher than that of the traditional optimization algorithm, and the number of
iterations of the BP neural network model is only 5% of the SA algorithm.
(3) Due to the intricacies and complexity of the shallow seabed in the actual situation, this article
only considers the simple single-layer seabed situation. The actual calculation results may
deviate from the real situation, and whether there is a coupling relationship between the physical
characteristics of the seabed and the sensitivity of each parameter is also a factor that affects the
calculation accuracy. At the same time, in order to solve the problem of neural network over-
fitting, Bayesian neural network is considered in the later stage to fit the posterior distribution of
hyperparameters, and the weight parameters are adjusted to achieve a more accurate inversion
effect.

ACKNOWLEDGMENTS

This work was financially supported by the National Defense Basic Research Founda-
tion (JCKYS2020604SSJS011), the Foundation of Zhejiang Province Education Department
(Y202147766), and the Open Foundation Project of Key Laboratory of Marine Environmental
Information Technology, Ministry of Natural Resources of the People’s Republic of China.

REFERENCES

Li, R.Y., Zhang, H.Q., Chen, Y., et al. (2020) BP neural network and improved differential evolution for
transient electromagnetic inversion. Computers and Geosciences, 32(3).
Stoll, R.D., T. kg. Kan. (1998) Reflection of acoustic waves at a water-sediment interface. Journal of the
Acoustical Society of America, 70(1), 149–156.
Wen, B.Y., Tang, W.C., Tian, Y.W., (2021) Retrieval of effective wave height field of high frequency radar
based on bp neural network. Journal of Huazhong University of Science and Technology (Natural Science
Edition),49(4):6
Zheng, G.X., (2019) Research on Inversion of Bottom Acoustic Parameters Based on the Propagation
Characteristics of Shallow Sea Sound Field. D. Zhejiang Ocean University.
Zheng, G.X., Zhu, H.H., Wang, X.H., et al. (2020) Bayesian inversion for geoacoustic parameters in shallow
Sea Sensors 20(7): 2150.
Zhu, H.H., (2014) Geoacoustic Parameters Inversion Based on Waveguide Impedance in Acoustic Vector Field
[D] Harbin Engineering University.

819
 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Disaster assessment and prediction of Gaojiayu landslide based on

numerical method

Xiaolong Zhu, Guoqin Yan, Yongzhen Zhao, Zhifei Zhang*, Chengbo Fan, Yang Cui &
Jue Gao
Hebei Key Laboratory of Geological Resources and Environment Monitoring and Protection, Shijiazhuang,
China
Hebei Geo-Environment Monitoring, Shijiazhuang, China

ABSTRACT: To fully study the distribution range, scale, and influencing factors of landslide
in Nangaojiayu Village, Cangyanshan Town, the safety factor, sliding distance, range, and cover
thickness of Gaojiayu village landslide under rainfall conditions are studied by finite element
method and finite difference simulation method. The results show that at present, the potential
landslide in Gaojiayu is in a critical state of instability, and the area of landslide is estimated to be
about 14,000 m2 and the volume of landslide is about 116,000 m3 . The calculation results based
on the parameter orthogonal design show that the increase of the pore water pressure coefficient
of the sliding bed caused by rainfall will greatly increase the sliding distance, and the range of the
impact distance of the landslide is about 96 m-155 m. Under extreme conditions, the landslide may
cover more than 70 houses, and the impassable distance of vehicles is about 178 m.

Keywords: landslide; stability; safety factor; prediction; rainfall

1 INTRODUCTION

Rainfall is one of the main inducements of landslide (Gao et al. 2020). The mechanism of landslide
is that rain water infiltrates into the landslide, which leads to the increase of pore water pressure and
the decrease of effective stress in rock and soil. Many researches were done on rainfall infiltration
landslides. Through the finite element simulation method, Cho found that the slope (Cho et al.
2013) permeability has a significant impact on the safety factor. Lourenco (Zuo et al. 2019)
studied the relationship between pore water pressure and landslide failure mode under the same
rainfall. With regard to landslide dynamics, by means of data collection, on-site investigation and
statistical analysis (Ouyang et al. 2013), Gao Yang and others (Gao et al.2020) have divided the
landslide disaster model in southwest karst area into three types: rock collapse, high-level remote
landslide-debris flow and high-level remote landslide-debris flow. Liu Jun (Hu et al. 2011) realized
the dynamic simulation of the whole process of Jiwei Mountain landslide through the simulation
method of particle flow. To sum up, there are many researches on rainfall and slope stability, and
the research on landslide sliding distance is mainly based on southwest rock slope, and mainly on
post-landslide inversion, but there is little research on landslide sliding distance prediction based
on gravel soil in North China (Cho et al. 2013).Therefore, taking the typical gravel landslides in
the western mountain area of Shijiazhuang as the engineering background, this paper calculates the
safety of slopes under different rainfall conditions through the numerical analysis methods of finite
element and finite difference, and studies the relationship between the change of pore pressure in

∗ Corresponding Author: [email protected]

820 DOI 10.1201/9781003308584-115

the sliding zone and the sliding distance, predicts the coverage of landslides and provide data basis
for the prevention and control measures of geological disasters in Gaojiayu village.

2 THE PRESENT SITUATION OF GEOLOGY

Jingxing County, located in the west of Shijiazhuang and in the middle of Taihang Mountain, is
an important production base of coal, ceramic industry and building materials in central Hebei
Province.Due to the fragile geological environment, many environmental geological problems and
frequent geological disasters, it is found that there are potential landslides in Nangaojiayu Village,
Cangyan Town, with an elevation of 571 m at the bottom of the slope, 608 m at the top of the slope,
a relative height difference of about 37 m, and a slope direction of 180˚ . The slope is generally
18-32˚ , showing a gentle and steep shape. The vegetation coverage on the landslide is high, which
can reach more than 60%, and most of them are small shrubs. The landslide is mainly composed of
debris and soil accumulated by the landslide, and the material of the landslide is yellowish brown
and loose. After preliminary investigation, the thickness of the landslide is 8 m-15 m and the leading
edge is 8 m, which is thick in the middle and thin on both sides and front and rear edges.

Figure 1. Photos of the scene.

According to the investigation report of Gaojiayu landslide, the landslide is divided into two
layers. Generally speaking, the material of the upper landslide is mainly Qcol+dl gravel soil. The
average thickness of the landslide is about 10 m, and the thickness can reach 15 m in the middle
of the landslide. The lower sliding bed is bedrock, dominated by moderately weathered sandstone.
The location of the existing tension crack is marked in Figure 1.
The physical and mechanical parameters of rock and soil are determined comprehensively accord-
ing to the investigation report and laboratory experiment of Gaojiayu landslide. Six groups of sliding
soil samples are selected for indoor test. The statistical values of shear strength in different states
are shown in Table 1.

Table 1. Calculation results of power.

C Gravity density Compression modulus Elastic modulus

Status (kPa) φ(◦ ) (kN/m3 ) (MPa) (GPa)

Natural soil 23 20 20.0 16.23 –

Saturated soil 20 18 20.3 16.09 –
Sandstone 4630 45 25.3 – 3.8

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3 PREDICTION OF SLIDING DISTANCE

3.1 Massflow model

In this paper, Massflow software is used as a calculation tool to hypothetically analyze the impact
range of landslide after sliding. The software is based on the continuum mechanics theory of
depth integration, uses the improved MacCormack-TVD finite difference method, and has an
efficient calculation and simulation software of mountain disaster dynamics considering complex
topography, second-order accuracy and adaptive solution domain. It is expected that the differential
can be directly replaced by the difference at the discrete point, and a high-precision scheme can be
constructed. The numerical method is introduced in the literature.

3.2 Topographic condition

Based on the spot survey and mapping elevation data, the digital elevation grid model is established
and transformed into DEM, and then the terrain information is generated, as shown in Figure 2.

Figure 2. ArcMap Grid Terrain Information Figure 3. Potential landslide mass.

3.3 Provenance condition

Figure 3 shows the potential landslide. Through three-dimensional finite element calculation, this
area is the accumulation area of gravel and soil, which is loose and prone to debris flow under the
condition of rainstorm. The plane area is about 14,000 m2 and the volume of landslide is about
116,000 m3 .

3.4 Select parameters

The rationality of the selection of calculation parameters determines the accuracy of the calculation
results. In the simulation of landslide and debris flow, the calculation parameters can be deter-
mined according to on-site investigation, laboratory experiments, inversion of historical events,
and experience.
At present, for the simulation of landslide movement, there are three most commonly used fluid
models in the world: Coulomb friction model, Voellmy model, and Bingham model. In this paper,
based on the Coulomb friction model, the model formula is:

τ = σ(1 − ru ) tan ϕ (1)

In the formula, τ is the base resistance of the sliding body, and ru is the pore water pressure
coefficient, the dynamic friction angle and the positive pressure on the sliding path. The parameters
involved in the calculation software Massflow are cohesion, base friction coefficient, pore water
pressure coefficient, internal friction angle, and base friction angle.
In this paper, under the condition of extreme rainstorm, the cohesion is completely saturated. The
average result of cohesion in field sampling laboratory experiment is 23.97 kPa, and the saturated

822
internal friction angle is 16.33◦ . At present, the basement internal friction angle cannot be tested
in the laboratory, and the reverse calculation needs to be carried out after the landslide. Therefore,
it is necessary to take the value with reference to the relevant historical events of the landslide, as
shown in Table 2. Combined with the field situation and literature data, the base friction angle is
22◦ in this paper.

Table 2. Friction base angle.

Landslide Landslide Internal friction angle

case type of substrate /(◦ )

Castle Peak landslide in Hong Kong Mountain landslide 20

Maoxian 624 landslide Mountain landslide 23
Lishui 930landslide Mountain landslide 21

Table 3. Parameter value table.

Parameters Value

Grid precision 1m×1m

Cohesion 23.97kPa
Saturation degree 21kN
Friction angle in landslide 16.33◦
Internal friction angle of substrate 22◦

With regard to the basement friction coefficient µ and pore water pressure coefficient ru involved
in the calculation, a large number of empirical values in the literature are taken as µ = (0.3 − 0.5),
ru = (0.1 − 0.85). Based on the characteristics of landslides and vegetation cover in the north, the
values of this landslide model are µ = (0.4 ∼ 0.5), ru = (0.2 ∼ 0.4), and the calculation adopts the
orthogonal method of multiple working conditions, as shown in Table 3 and Table 4.

Table 4. Calculation results of power.

Working condition Base friction coefficient Pore water pressure coefficient

1-1 0.4 0.2

1-2 0.4 0.4
1-3 0.4 0.6
2-1 0.5 0.2
2-2 0.5 0.4
2-3 0.5 0.6
3-1 0.6 0.2
3-2 0.6 0.4
3-3 0.6 0.6

At present, Gaojiayu Village is directly below the landslide, with a total of 302 households and
1092 villages, the impact range of the landslide is greatly affected by the rainfall intensity. With
the increase of daily rainfall, the pore pressure coefficient of the slide bed will increase, so it is
necessary to evaluate the impact range of landslides under multiple working conditions.

823
3.5 The results of the calculation
Figure 4 shows the current topographic situation, with flat terrain directly below the landslide.
Gaojiayu Village has built a large number of houses in this area, and the village committee is also
in this area, the terrain is open. In the case of extreme rainstorm, loose landslides are easy to
form debris flows to impact downstream villages. Figure 5 shows the potential impact range of the
landslide after sliding under the condition of different base friction coefficient, and the limit of the
coverage area is that the thickness of the covered soil is more than 2 m. It can be seen that because
of the emptiness of the downstream, the overall coverage area of the landslide is larger, and the
sliding distance is about 100 m. With the increase of the base friction coefficient, the sliding range
gradually decreases. The data of Table 5 show that the pore water pressure coefficient and the base
friction coefficient have great influence on the landslide movement distance, and the predicted
coverage is 96-155 m, and the sensitivity of the pore pressure coefficient to the result is greater
than that of the base friction coefficient.

Figure 4. Current situation of topography. Figure 5. Sliding range and soil cover height
under condition 1-1.

Table 5. Summary of landslide impact range.

Working Impact Working Impact Working Impact

condition distance(m) condition distance(m) condition distance(m)

1-1 105 2-1 100 3-1 96

1-2 120 2-2 112 3-2 102
1-3 155 2-3 140 3-3 120

4 CONCLUSIONS

In this paper, taking the potential landslide in Gaojiayu in Jingxing County as the research object,
through on-site survey, survey sampling, indoor experiment and numerical calculation, the risk
range of geological hazard is preliminarily evaluated, and the following conclusions are drawn:
(1) Based on the three-dimensional terrain information collected in the field, a three-dimensional
geological model of potential landslide is established. Through the strength reduction method,
it is concluded that the current safety factor is 1.09, which is in a critical state.
(2) The current potential landslide area and landslide volume are calculated, and the overall
permeability of the landslide is calculated based on the historical rainfall data.
(3) DEM data are generated by ARCGIS software and imported into Massflow software. A variety
of orthogonal parameters are designed to calculate the impact range (96 m-155 m) of 2 m
thickness of overlying soil after potential landslide sliding under different working conditions.

824
REFERENCES

Cho, Sung, Eun. (2013). Hillslope Hydrology and Stability. J. Jouran of the Korean Society of Civil Engineers.
Gao Yang, HE Kai, LI Zhuang, et al. (2020). Analysis on disaster types and dynamics of landslide in southwest
karst mountain area. J. Hydrogeology & Engineering Geology (04):1–11.
Hu G S, Ding Y, Liu J. (2011). Study on the Landslide Stability Influenced by the Reservoir Water Lifting and
Atmospheric Rainfall. J. Advanced Materials Research, 243–249:3289–3295.
Ouyang C, He S, Xu Q, et al. (2013). A MacCormack-TVD finite difference method to simulate the mass flow
in mountainous terrain with variable computational domain. J. Computers & Geosciences.
Zuo L, Lourenco S, Baudet B A. (2019). Experimental insight into the particle morphology changes associated
with landslide movement. J. Landslides16(4):787–798.

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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Global warming potential of surface albedo change in China from 2000

to 2015

Sujie Liu, Junshan Yang, Xiaofeng Xiong, Junfeng Zhu, Dezhou Zhang, Chanchan Jiang,
Chunmiao Du, Peihong Wang, Yuanzhen Jin & Zhizhong Chen
Henan Provincial Institute of Geophysical Spatial Information, Zhengzhou, China
Henan Natural Resources Science and Technology Innovation Center, Zhengzhou, China

Yaoping Cui∗
The College of Geography and Environmental Science, Henan University, Kaifeng, China

Yiming Fu
Institute of Geology and exploration, Henan Geology and exploration Bureau, Zhengzhou, China

ABSTRACT: Surface albedo affects the radiation budget on the earth’s surface, and its climatic
effect has attracted more and more attention. In this study, the temporal and spatial distribution
characteristics and dynamic changes of surface albedo change and radiative forcing caused by
surface albedo change are analyzed by using GLASS surface albedo fusion data and BESS short-
wave radiation data from 2000 to 2015, in addition, the impact of albedo change on global climate
change is quantified at different scales through the global warming potential. The results show
that: (1) From 2000 to 2015, the average annual surface albedo in China fluctuated and showed a
decreasing trend as a whole, and in 2015 it decreased by 0.006 compared with that in 2000. (2)
From 2001 to 2015, the radiative forcing caused by the change of the surface albedo was generally
positive, showing the climate effect of warming. (3) The mean global warming potential of the
surface albedo change during the study period as a whole is equivalent to the climate effect of
1.589(±0.648)⊆1013 kg-eq of potential CO2 emission. Starting with the changes of a biogeophys-
ical surface parameter, this study made an analogy between the climate effect caused by the albedo
change and the climate effect caused by CO2 emissions through the global warming potential, and
analyzed its impact on regional or global climate change. The results will have an impact on our
further study of the driving mechanism of climate change.

1 INTRODUCTION

Changes in the climate system over time have long been a topic of common concern to mankind.
Land Use and Land Cover Change (LUCC) is an important way for human activities to affect
the climate, and an important driving factor affecting the change of the global climate system
(Pielke 2011). LUCC affects the energy balance of the climate system by changing a series of
biogeophysical processes such as the albedo, specific emissivity, and surface roughness of the
earth’s surface. In turn, it has an impact on global or regional climate change, which has received
more and more attention (Lee 2011; Liu 2018).
Most studies focus on the impact of LUCC on the climate system through its impact on biogeo-
chemical processes, that is, the large-scale deforestation, agricultural development, and the rapid
expansion of construction land with the acceleration of urbanization which absorb or emit green-
house gases such as CO2 , CH4 and N2 O, affect climate change by changing the carbon cycle in the

∗ Corresponding Author: [email protected]

826 DOI 10.1201/9781003308584-116

climate system (Bai & Xue 2020). Few studies have focused on the impact of LUCC on climate
system change through its effects on biogeophysical processes such as changes in surface albedo.
Surface albedo reflects the ability of the Earth’s surface to reflect solar radiation. Changes in
surface albedo will directly affect the Earth’s energy balance and its climate feedback, resulting
in changes in the local, regional and even global climate system. Radiative forcing (RF), as an
important indicator to measure the disturbance of the earth’s radiative energy, can be used to
quantify this direct impact. Although there are existing studies on energy balance and RF, there
are still few studies on how to convert the impact of biogeophysical factors on climate change into
biogeochemistry for comparable analysis. The analysis and research of the remote sensing data on
the pixel-by-raster scale is even lacking.
The radiative forcing at the top of the atmosphere caused by surface albedo change can be further
transformed into global warming potential (GWP) to quantify the relative contribution of albedo
change to the potential impact of global climate change. It is defined as the time integral of the
radiative forcing caused by a factor affecting climate change in a certain time range relative to
the time integral of the radiative forcing of a reference gas (usually CO2 ) in the same time range
(Joos 2013; Zhang 2013). Therefore, with the warming of the global climate and the continuous
acceleration of urbanization in our country, it is very necessary to carry out quantitative research
on the distribution of surface albedo to the earth’s radiant energy and the feedback to changes in
the regional or global climate system.
This study uses GLASS surface albedo data and BESS shortwave radiation data from 2000
to 2015 to analyze the temporal and spatial distribution characteristics and dynamic changes of
surface albedo and RF caused by surface albedo change, and quantifies the relative contribution
of albedo change to global climate change at different scales through global warming potential.
This study can provide practical data support for the impact of surface albedo change in China on
regional or global climate.

2 DATA AND METHOD

2.1 Data
The surface albedo data is selected from the GLASS (Global Land Surface Satellite) land surface
albedo product (http://glcf.umd.edu/data/) covering the land surface of China, which corresponds
to the albedo fusion of the Statistics-based Temporal Filter algorithm product GLASS02A06 data,
it has a spatial resolution of 1km and a temporal resolution of 8 days. GLASS product data has been
widely used in China (Chen 2015; Meng 2018). Through mosaic and projection transformation
of images, quality control marker QC was used to control the albedo data, and the annual mean
value of surface albedo per grid in the study area from 2000 to 2015 was obtained. During the
study period, the albedo data of the study area in northwestern Heilongjiang and a small part of
northeastern Inner Mongolia Autonomous Region were missing on the interannual scale.
The downlink shortwave radiation data used in this study are from the shortwave radiation
products of BESS (Breathing Earth System Simulator), the Environmental Ecology Laboratory
of Seoul National University, South Korea. The time range is 2000-2015 with a spatial resolution
of 0.05 degrees and a temporal resolution of months. BESS is a simplified process-based model
that couples atmospheric and canopy radiative transfer, canopy photosynthesis, transpiration, and
energy balance (Ryu 2018).

2.2 Method
2.2.1 RF caused by surface albedo change
To calculate the top-atmospheric radiative forcing caused by the change of surface albedo in China
from 2000 to 2015, the expression of RF caused by surface albedo change (RFalb ) can be expressed
as:
RFalb = −Rs Ta αs (1)

827
where the negative sign indicates that if the radiative forcing is negative, the albedo increases; Rs
is the descending solar radiation reaching the earth’s surface (W/m2 ); Ta is the atmospheric trans-
mittance coefficient, representing the portion of solar radiation reflected from the earth’s surface
reaching the top of the atmosphere. The Ta value at a specific location requires a detailed atmo-
spheric radiative transfer model to calculate (outside the scope of this study), so this study uses a
global average of Ta = 0.854; αs is the change in surface albedo.

2.2.2 GWP of surface albedo change

GWP is a relative value and is calculated over a certain time interval. Like other studies, this study
uses CO2 as the reference gas to calculate the GWP of surface albedo change. To calculate the
GWP of the surface albedo change (GWPalb ) in China, the expression is:
 
∫TH ∫0 TH
− Searth
S
Rs Ta ?αs dt
0 RFalb dt
GWPalb (TH ) = TH = (2)
∫0 RFCO2 dt ∫TH
0 RFCO2 dt

where RFCO2 represents the radiative forcing of CO2 pulse emission in the same time range; S is
S
the area affected by the albedo change; Searth is area of the earth (5.1×1014 m2 ); Searth represents
the conversion of radiative forcing caused by local albedo change into effective global radiative
forcing; TH represents a certain time range, referring to the time range of GWP used by the United
Nations Framework Convention on Climate Change (UNFCCC 2002) and the "Kyoto Protocol"
(UNFCCC 1998). This study selects a 100-year time horizon. In this study, when the time horizon
is 100 years, the radiative forcing integral of the reference gas CO2 is 91.7×10−15 W·m−2 ·yr·kg−1 .

3 RESULTS

3.1 Temporal and spatial variation pattern of surface albedo

From 2000 to 2015, the annual average albedo of China’s land surface showed fluctuations and a
decreasing trend as a whole (Figure 1). The annual average surface albedo continued to decrease
from 2000 to 2004, and then slightly increased in 2005 and 2006. After 2006, the annual average
surface albedo continued to fluctuate and decrease, but the fluctuation range was smaller than that
in 2000-2004. The maximum value was 0.206 in 2000, and the minimum value was 0.197 in 2004.

Figure 1. Average annual surface albedo from 2000 to 2015.

Taking 2000 as the base year, the cumulative change of China’s annual average surface albedo
relative to 2000 ( αs ) was obtained (Figure 2). Taking 5 years as a stage for further analysis, it can
be found that: from 2001 to 2005, the change of αs decreased year by year; from 2006 to 2011,
the change of αs also decreased year by year; in 2012 to 2015, the change in αs also show the
same changes as the first two periods, and the sum of the αs for these three 5-year periods also

828
decreases gradually (Figure 2). This may have some periodicity. The αs of the average annual
surface albedo in 2015 was -0.006.

Figure 2. Changes of annual average surface albedo relative to 2000 ( αs ).

By analyzing the spatial distribution of China’s surface albedo, it can be found that China’s
surface albedo exhibits obvious spatial heterogeneity. The spatial distribution of land surface albedo
in China is mainly manifested that the southeastern part of China is generally lower than that of the
northwestern part of China, and the spatial heterogeneity is smaller than that of the northwestern
part of China. Although this spatial distribution pattern did not change much during the study
period as a whole, there were considerable changes at the local scale, and the spatial distribution
of low albedo gradually spread from southeast to northwest and northeast (Figure 3).

Figure 3. Changes in the spatial distribution of the average annual surface albedo from 2000 to 2015.

3.2 Temporal and spatial variation pattern of RF

By analyzing the RFalb in the study area, it can be seen that the average value of the RFalb from
2001 to 2015 was positive (Figure 4), indicating that changes of the surface albedo in China have
had a warming effect. The RF exhibits a year-to-year fluctuation (Figure 4), which is opposite to
the change in αs (Figure 2). The maximum value of RF was 1.49W/m2 in 2004, and the minimum
value was 0.32W/m2 in 2006.

829
Figure 4. Radiative forcing caused by surface albedo change.

By analyzing the spatial distribution of RFalb from 2001 to 2015, it can be seen that there are
obvious spatial differences in RF values. Most areas in the study area have a warming climate effect
(Figure 5).

Figure 5. Spatial distribution of radiative forcing caused by surface albedo change.

3.3 Temporal and spatial variation pattern of GWP

From the analysis of the GWPalb at the regional scale, it can be seen that the GWPalb in the study area
was positive from 2001 to 2015 (Figure 6), indicating that the surface albedo change in the study
area as a whole shows the same warming climate effect as CO2 . The fluctuation of the GWPalb was
obvious during the study period, and the fluctuation before 2010 was more severe than that after
2010. The fluctuation change of the GWPalb is mainly concentrated in 0.637-2.978⊆1013 kg-eq
CO2 , and the amplitude of the GWPalb fluctuation is 2.341⊆1013 kg-eq CO2 . The average value is
equivalent to 1.589 (±0.648)×1013 kg-eq of potential CO2 emissions (Figure 6).

830
Figure 6. GWP of surface albedo change.

From the pixel scale, the spatial distribution of the GWPalb in the study area from 2001 to 2015
is analyzed (Figure 7), it can be seen that: during the study period, the study area as a whole
showed the climatic effect of warming, but there were obvious spatial differences within the study
area. Compared with the southeast, the spatial variation was more dramatic in the northwest and
northeast of the study area. The high value center is distributed in the Qinghai-Tibet Plateau, and
GWPalb is as high as 70⊆106 kg-eq CO2 . The low-value center is also mainly distributed in the
Qinghai-Tibet Plateau, and the GWP value in some areas is as low as -70⊆106 kg-eq CO2 , which
is equivalent to offset the climate effect of 70⊆106 kg-eq of potential CO2 emissions.

Figure 7. Spatial distribution of GWP of surface albedo change at pixel scale.

Assuming that the surface albedo increases by 0.01 per square meter, the resulting potential CO2
emissions are 2.55 kg CO2 · m−2 by Akbari (2009), 3.26 kg CO2 · m−2 by Menon (2010). Akbari
(2012) found that the surface albedo increased by 0.01 per square meter, which could offset 7 kg
of potential CO2 emissions per square meter in 2012. This study assumes that the GWP caused by
the increase of surface albedo of 0.01 per square meter can offset 3.32 kg CO2 , within the range
estimated by other studies (2.55-7 kg CO2 · m−2 ).

831
4 CONCLUSION

In this study, the 2000-2015 GLASS surface albedo fusion product GLASS02A06 data and BESS
shortwave radiation product data were used to analyze the temporal and spatial distribution features
of the surface albedo change and radiative forcing caused by surface albedo change, quantifying the
relative contribution of albedo change to global climate change at different scales through global
warming potential. And finally came to the following conclusions:
(1) From 2000 to 2015, the annual average surface albedo in China showed a decreasing trend as
a whole; the average annual surface albedo in 2015 decreased by 0.006 compared with 2000.
(2) From 2001 to 2015, the radiative forcing caused by the change of surface albedo showed the
climate effect of warming.
(3) Due to the decrease of the surface albedo, the average global warming potential of surface
albedo change in the study period is equivalent to the climate effect caused by 1.589( ± 0.648) ×
1013 kg-eq potential CO2 emissions. If anthropogenic biogeochemical processes are considered
only, the climate effects of biogeophysical aspects (such as albedo), which are affected by human
impacts on land cover, will be ignored, thereby the final assessment of climate effects will be
affected.

FUNDING

This study was financially supported by the National Natural Science Foundation of China
(42071415).

REFERENCES

Akbari H, Matthews H D, Seto D. (2012) The long-term effect of increasing the albedo of urban areas.
Environmental Research Letters, 7(2), 10.
Akbari H, Menon S, Rosenfeld A. (2009) Global cooling: increasing world-wide urban albedos to offset CO2 .
Climatic Change, 94(3–4), 275–286.
Bai E, Xue B. (2020) A review of influences of land use and land cover change on ecosystems. Chinese Journal
of Plant Ecology, 44(05), 543–552.
Chen A, Hu S, Bian L, et al. (2015) An assessment on the accuracy of the GLASS albedo products over the
Tibetan Plateau. Acta Meteorologica Sinica, (6), 1114–1120.
Joos F, Roth R, Fuglestvedt J S, et al. (2013) Carbon dioxide and climate impulse response functions for
the computation of greenhouse gas metrics: a multi-model analysis. Atmospheric Chemistry and Physics,
13(5), 2793–2825.
Lee X, Goulden M L, Hollinger D Y, et al. (2011) Observed increase in local cooling effect of deforestation at
higher latitudes. Nature, 479(7373), 384–387.
Liu J, Ning J, Kuang W, et al. (2018) Spatio-temporal patterns and characteristics of land-use change in China
during 2010-2015. Acta Geographica Sinica, 73(05), 789–802.
Meng W. (2018) Comparative analysis of multi-source land surface albedo data in China. Nanjing: Nanjing
University of Information Science and Technology.
Menon S, Akbari H, Mahanama S, et al. (2010) Radiative forcing and temperature response to changes in
urban albedos and associated CO2 offsets. Environmental Research Letters, 5(1), 11.
Pielke R A, Pitman A, Niyogi D, et al. (2011) Land use/land cover changes and climate: modeling analysis
and observational evidence. Wiley Interdisciplinary Reviews-Climate Change, 2(6), 828–850.
Ryu Y, Jiang C, Kobayashi H, et al. (2018) MODIS-derived global land products of shortwave radiation
and diffuse and total photosynthetically active radiation at 5km resolution from 2000. Remote Sensing of
Environment, 204, 812–825.
Zhang H, Zhang R, He J, et al. (2013) Radiative forcing and global warming potentials of CH4 and N2 O.
Chinese Journal of Atmospheric Sciences, 37(3), 745–754.

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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Bibliometric analysis of geopark based on Web of Science database

X. Hanli, L. Mingming & G. Changchun

Qiannan Normal University for Nationalities, Qiannan, China

ABSTRACT: The research papers on geopark derived from Web of Science Core Collection
Database from 1999 to 2018 were summarized and analyzed with the method of bibliometrics.
Several aspects of the related papers were discussed on the annual number of papers, language, the
distribution of papers in countries and regions, the main related research institutions, the distribu-
tion of journals, and the core authors. The results shows that the literatures on geopark increased
from 1999 to 2018 annually, and the top productive countries are China, Italy and Malasia; The top
productive institutions are China University of Geosciences, Universiti Kebangsaan Malaysia and
Chines Academy of Geological Sciences; The authors with high academic achievement are mainly
from China. Geoheritage, Journal of the Geological Society of Korea are the most active journals
in this field; the main subject categories of published geopark papers are Geosciences Mutidisci-
plinary, Environmental Sciences and Hospitality Leisure Sport Tourism. The results provide total
situation and development trend of geopark research, which may serve as a potential guide for
future geopark research.

1 INTRODUCTION

Geopark is a geological site with scientific, rare and aesthetic value, which can represent the
geological evolution history of a certain region. It not only has geological research significance,
but also has special value in archaeological, ecological and cultural studies. The establishment
of geoparks is conducive to promoting the protection of regional geological relics, popularizing
geological knowledge, and carrying out tourism activities to promote local economic development.
China has 37 world geoparks and 213 national geoparks by 2019. With the increase in the number
of geoparks, the research needs to be strengthened.
Based on existing literature, bibliometrics reveals the overall layout, development trend and
discipline advantages of the research object from different aspects and angles. At present, it has
been widely used in different disciplines and subjects. However, there is still a lack of articles on
bibliometric analysis of the research status of geoparks. Therefore, based on the core collection in
the Web of Science platform, the authors conducted a quantitative study on the research literature
on geoparks collected from 1999 to 2018. From the perspective of scientific literature output, the
authors revealed the development trend of geopark research, understood the overall development
of geopark research, and provided different perspectives and references for improving domestic
geopark research. Improve the efficiency and level of geopark research, so that researchers and
decision makers in this field can provide reference, select the work of core authors, track their
research path.

2 DATA AND METHORD

Using the Web of Science core database of Tomson Technology Information Group in the United
States, the retrieval formula is: TS = (Geopark), storage time = 1999-2018. The search time was
February 9,2019, and 409 related papers were retrieved. This paper takes 409 papers as the source
data, and uses WoS analysis data to conduct bibliometric analysis and research on the retrieval

DOI 10.1201/9781003308584-117 833

results according to the literature quantity, language type, national / regional distribution, number
of publications issued by institutions and authors, literature source publications, languages, subject
categories, fund funding institutions.

3 RESULTS

3.1 SCI literature quantity and citation frequency

From 1999 to 2018, the WoS Core Collection included the number of papers and citations related
to the International Geopark as shown in Figure 1. According to Figure 1, there are 409 papers
related to geopark journals published in WoS from 1999 to 2018, with a total of 1548 citations.
From 1999 to 2007, there were only six articles, accounting for 1.47 % of the total. After 2007,
the number of published articles increased rapidly every year, and the number of published articles
increased steadily every year after 2014. Among them, the number of published articles in 2016
was the largest, accounting for 63 articles, accounting for 15.40 % of SCI. In terms of citation
frequency, from 1999 to 2018, the citation frequency increased rapidly, and the maximum citation
frequency appeared in 2018, which was 468 times, accounting for 30.23 % of the total citation
frequency. It can be speculated that the citation frequency in 2019 will be further improved.

Figure 1. Number of published papers on geopark in WoS Core Collection from 1999 to 2018.

3.2 Major countries / regions and citations

409 papers are from 54 countries and regions, the largest number of papers are China and Italy
(Figure 2). China has the largest number of publications (98), accounting for 18.08 per cent. Italy
second (29), accounting for 7.09. Malaysia is third (25), accounting for 6.11 per cent. Among the
total citations, China (370 times) was the largest, followed by Portugal (271 times) and Malaysia
(97 times). Among the citation frequency, Portugal ranked the first, with 14.26 times per article.
Austria second (5.72 times / article). The third is United States (5.22times / article). China the
tenth, only 3.78 times / article. In the field of geopark research, the influential countries are China,
Portugal, Italy, Malaysia, the United States.

3.3 Categories
From 1999 to 2018, 409 relevant literatures of geoparks collected by WoS core library are distributed
in 80 disciplines, and the top 20 disciplines are listed in table 1. The top three disciplines are Earth
Science (200), Environmental Science (46) and Tourism Science (39). Among them, the literature
of earth science is the most, accounting for nearly half of the relevant papers, which may be related

834
to the current study of geoparks focused on the causes of geoparks and tourism geological resources
survey.

Figure 2. Top 20 countries with published papers on geopark in WoS Core Collection from 1999 to 2018.

Table 1. Top 20 subjects involved in the publication papers on geopark during 1999–2018.
Rank Category Document Ratio(per) Rank Category Document Ratio(per)
1 Geosciences 200 48.90 11 Paleontology 11 2.69
multidisciplinary
2 Environmental 46 11.25 12 Management 10 2.45
sciences
3 Tourism 39 9.54 13 Materials science 10 2.45
multidisciplinary
4 Geophysics 29 7.09 14 Ecology 9 2.20
5 Geology 25 6.11 15 Materials science 9 2.20
6 Geography 22 5.38 16 Engineering civil 7 1.71
7 Water resources 18 4.40 17 Engineering 7 1.71
geology
8 Social sciences 14 3.42 18 6 1.47
interdisciplinary
9 Environmental 13 3.18 19 Green sustainable 6 1.47
studies science technology
10 Engineering 12 2.93 20 Area studies 5 1.22
environmental

3.4 Organizations
There were 440 publishing institutions involved in 409 geopark literatures, and 400 papers were
published, accounting for 97.80 % of the total number of included literatures. Among them, the
number of papers in the top 20 institutions is shown in table 2. It can be seen from Table 4 that China
University of Geosciences ranked first published 41 articles, accounting for 10.02 %, far exceeding

835
14 articles published by Universiti Kebangsaan Malaysiaranked, accounting for 3.42 %. Chinese
Academy of Geological Sciences ranked third, published 13 articles, accounting for 3.18 %.

Table 2. Top20 institutions published papers on geopark based on Web of Science Core Collection during
1999–2018.
Rank Organization Document Ratio/% Rank Organization Document Ratio/%
1 CHINA 41 10.02 11 TECHNICAL 7 1.71
UNIVERSITY OF UNIVERSITY
GEOSCIENCES KOSICE
2 UNIVERSITI 14 3.42 12 UNIVERSITY OF 7 1.71
KEBANGSAAN SALERNO
MALAYSIA
3 CHINESE 13 3.18 13 CHEREPOVETS 6 1.47
ACADEMY STATE
OF UNIVERSITY
GEOLOGICAL
SCIENCES
4 EAST CHINA 12 2.93 14 MINISTRY OF 6 1.47
UNIVERSITY OF ENERGY
TECHNOLOGY NATURAL
RESOURCES
TURKEY
5 CHINESE 11 2.69 15 UNIVERSITI 6 1.47
ACADEMY SAINS
OF SCIENCES MALAYSIA
6 SOUTHERN 9 2.20 16 KANGWON 5 1.22
FEDERAL NATIONAL
UNIVERSITY UNIVERSITY
7 UNIVERSITY OF 8 1.96 17 MASSEY 5 1.22
BUCHAREST UNIVERSITY
8 AGH 7 1.71 18 PUSAN 5 1.22
UNIVERSITY OF NATIONAL
SCIENCE TECH- UNIVERSITY
NOLOGY
9 INSTITUTE OF 7 1.71 19 UNIVERSIDADE 5 1.22
GEOLOGY DE AVEIRO
GEOPHYSICS
CAS
10 KOREA 7 1.71 20 CHENGDU 4 0.98
INSTITUTE OF UNIVERSITY OF
GEOSCIENCE TECHNOLOGY
MINERAL
RESOURCES

3.5 Authors
The results of literature search showed that there were 1048 authors in 409 articles, with an average
number of 2.56. TIAN MZ had the largest number of authors and 14 articles. The top 20 authors
published 123 articles, accounting for 30.07 % of the total literature records (Table 3). Six of the
authors are from China, three from Malaysia, two from Poland, two from South Korea, two from
Slovakia, two from Italy and three from Russia, New Zealand and Iran, respectively. TIAN MZ has
the largest number of publications, 14 from China. RUBAN DA ranked second, 12 articles, from
Russia. Among the 20 authors, the most cited literatures were FARSANI NT (121 times), RUBAN
DA (65 times), TIAN MZ (52 times). The most influential authors were TIAN MZ, RUBAN DA,
YANG GF and FARSANI NT.

836
Table 3. Top 20 authors with published papers on geopark based on WoS Core Collection during 1999–2018.

Cited
Rank Organization Authors Documents Ratio Cited documents H-index

1 CHINA UNIVERSITY TIAN MZ 14 3.42 52 42 5

OF GEOSCIENCES
2 SOUTHERN FEDERAL RUBAN DA 12 2.93 65 34 4
UNIVERSITY
3 CHINA UNIVERSITY WU FD 8 1.96 9 8 2
OF GEOSCIENCES
4 UNIVERSITY OF GUIDA D 7 1.71 13 11 2
SALERNO
5 UNIVERSITY OF CUOMO A 6 1.47 13 11 2
SALERNO
6 AGH UNIVERSITY GALAS A 6 1.47 5 3 2
OF SCIENCE &
TECHNOLOGY
7 EAST CHINA GUO FS 6 1.47 3 3 1
UNIVERSITY OF
TECHNOLOGY
8 UNIVERSITI HALIM SA 6 1.47 36 33 2
KEBANSAAN
MALAYSIA
9 UNIVERSITI KOMOO I 6 1.47 43 38 3
KEBANSAAN
MALAYSIA
10 CHINA UNIVERSITY YANG GF 6 1.47 29 20 4
OF GEOSCIENCES
11 AGH UNIVERSITY GALAS S 5 1.22 5 3 2
OF SCIENCE &
TECHNOLOGY
12 KOREA LEE S 5 1.22 4 3 1
ENVIRONMENT
INSTITUTE
13 UNIVERSITI SAINS MARZUKI A 5 1.22 2 2 1
MALAYSIA
14 MASSEY NEMETH K 5 1.22 48 36 3
UNIVERSITY
15 CHINA UNIVERSITY YAN ZW 5 1.22 6 4 2
OF GEOSCIENCES
16 XIAN AERONAUT ZHANG Y 5 1.22 24 24 2
UNIVERSITY
17 TECHNICAL BALAZ B 4 0.98 15 15 1
UNIERSITY KOSICE
18 PUSAN NATIONAL CHO H 4 0.98 7 5 2
UNIVERSIY
19 ART UNIVERSITY OF FARSANI NT 4 0.98 121 96 4
ISFAHAN
20 TECHNICAL KRSAK B 4 0.98 15 15 1
UNIERSITY KOSICE

4 CONCLUSIONS

This paper makes a systematic analysis of 409 literatures related to geoparks included in the core
database of Web of Science from 1999 to 2018 by using bibliometric methods. The results can
comprehensively reflect the current situation of world geopark research.

837
 1) The number of papers published by different national institutions and individual literature
output and citation can comprehensively reflect the academic level and influence of a country,
institution and even individual, and its role in scientific development and academic exchange.
2) In terms of the number of published papers and citation frequency of countries, institutions
and authors, China has carried out more research and has great influence. China published 98
articles, accounting for 23.96 % of the total papers, ranking first.
3) It shows that Chinese scholars have made great contributions in the research of geoparks, and
the total citation frequency is 370 times. But in terms of citation frequency of a single article,
the number of authors in China is far lower than that in other countries. Therefore, geopark
scholars in China should pay more efforts on the quality of the article.
Through the study of relevant publications on the theme of geoparks, it can help Chinese geopark
workers to understand the relevant research progress in a timely manner, track the progress of
geopark research, and understand the classic literature of the study, guide the authors to contribute
to journals consistent with the research content, and further improve the world status of geopark
research in China. Geoheritage and Environmental Earth Sciences have relatively high acceptance
of papers on geopark studies.

REFERENCES

Amrikazemi, A. (2010). Atlas of geopark & geotourism resources of Iran: geoheritage of Iran. Selected Water
Problems in Islands & Coastal Areas, 15, 203–212.
Azman N., Halim S. A., Liu O., et al. (2010). Public Education in Heritage Conservation for Geopark
Community. In: Jelas Z.M., Salleh A., Azman N. International Conference on Learner Diversity 2010.
504–511.
Binal A. & Ercanoğlu M.(2010) Assessment of rockfall potential in the Kula (Manisa, Turkey) Geopark Region.
Environ. Earth Sci., 611361–1373.
Daim T. U., Rueda G., Martin H., et al. (2006) Forecasting emerging technologies: Use of bibliometrics and
patent analysis. Technol Forecast. Soc., 73,981–1012.
Glasser N. (2001) Conservation and Management of the Earth Heritage Resource in Great Britain. J. Environ.
Plann. Manag., 44,889–906.
Gong M.,Ma Y., Tian M., et al.(2009) Tourism Resource Evaluation of the Hukou Waterfall National Geopark
at the Yellow River. Acta Geos. Sini., 30,325–338.
Hicks D., Wouters P., Waltman L., et al. (2015)Bibliometrics: The Leiden Manifesto for research metrics.
Nature, 520429–431.
Hood W., Wilson C.(2001)The Literature of Bibliometrics, Scientometrics, and Informetrics. Scientometrics,
52, 291.
Pritchard A.(1969) Statistical Bibliography or Bibliometrics?. J. Doc., 25348–349.
Vrabel M., Bush N. J. (2009) Knowledge Central: Bibliometrics and Citation Analysis: From the Science
Citation Index to Cybermetrics. Oncol. Nurs. forum, 36(6):734–735.

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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Analysis on the spatial differentiation characteristics of poverty

alleviation regions under the background of rural
revitalization—Taking Guangxi Zhuang autonomous region as an
example from 2011 to 2019

Feng Wei & Yan Fei Wei

School of Natural Resources and Geomatics, Nanning Normal University, Guangxi, P.R. China

Xinhua Tong
School of Geographical Sciences and Planning, Nanning Normal University, Guangxi, P.R. China

ABSTRACT: As a key poverty-stricken area in the country, Guangxi ZhuangAutonomous Region

has completed the historical mission of poverty alleviation as my country won the battle against
poverty in early 2021. This paper takes the Guangxi Zhuang Autonomous Region from 2011 to
2019 as the research object and uses spatial autocorrelation analysis and spatial hotspot analysis to
explore the spatial differentiation characteristics of poverty in Guangxi. The results show that: (1)
The degree of spatial aggregation of poverty at the same level is reduced; (2) regional poverty is
stable in time and space; (3) poverty hotspots are mainly distributed in the northwest of Guangxi.

1 INTRODUCTION

The Central Committee of the Communist Party of China put forward the strategy of rural revital-
ization in the report of the 19th National Congress of the Communist Party of my country, which
successfully concluded the battle for poverty alleviation in our country, and our country’s rural
work has officially entered a new stage. Since the reform and opening up to 2020, my country’s
national economy has developed rapidly, but due to multiple factors such as location, economy,
system, and resource endowments, the contradiction of uneven development between urban and
rural areas is still acute. This phenomenon is widespread in regions, urban and rural areas, and
groups, making the development and income between the two continue to widen the distance. As
a result of the imbalance of rural promotion, my country’s poverty alleviation work continues to
deepen, so the research on the spatial differentiation characteristics of poverty alleviation regions
is also advancing accordingly.
Although the Guangxi Zhuang Autonomous Region is rich in natural resources, the conversion
rate of energy and resources is low. The karst landforms are extensive and the ecosystem is rel-
atively sensitive. The resource and environmental conditions have become one of the important
constraints for poverty alleviation and poverty reduction. With further advancement, the natural
environment, resource endowment, and other factors have also continued to show the impact of
rural impoverishment. Adapting measures to local conditions, scientific evaluation, and precise
policy implementation is both the main problem and the key issue. In this context, by systemati-
cally guiding the current stage of land poverty alleviation system design and model construction,
relevant issues have been analyzed and demonstrated, and the research on land poverty alleviation
policy innovation under the constraints of resources and environment has become a major problem
facing the development of relative poverty alleviation in Guangxi in the new stage.

DOI 10.1201/9781003308584-118 839

2 RESEARCH STATUS

The important role of resource and environmental factors in poverty reduction has always been val-
ued by scholars at home and abroad. With the development of spatial metrology, how to incorporate
spatial factors into the study of poverty mechanisms has become a hot topic in the field of poverty
research. Foreign research on poverty progress mainly focuses on the following three aspects.
The first is the analysis and measurement of the spatial characteristics of overall poverty. Foster,
Greer, and Thorbecke proposed the “distribution-sensitive” index (FGT) in 1984, which analyzed
the spatial characteristics of regional poverty from the perspective of the depth and breadth of
poverty through the incidence of poverty and the average distance between poverty.
The second is the optimal allocation of resources in the anti-poverty strategy. Kanbur, Sobek, and
David Berrian selected anti-poverty strategies by discussing anti-poverty resources and proposed
anti-poverty strategies through the direct or indirect effects of resource allocation in economic
activities. The third is to introduce space into the study of poverty, reveal the key influence of
geographical location and environment on the spatial distribution of poverty, and carry out spatial
poverty research. Gray, Mosele, and Bowles conducted research on the influence mechanism of
poverty through geographic factors, including related factors of spatial poverty.
Studying the characteristics of the spatial distribution of poverty and the reasons for its formation,
and providing a “visible and clear” basis for the formulation of poverty reduction policies and the
allocation of poverty alleviation resources, is an important area of current domestic research on
poverty. From the perspective of domestic-related research, the research on poverty is mainly
concentrated on the following two aspects:
The first is about the research on the formation and differentiation mechanism of poverty char-
acteristics. Liu Yansui and Li (2017) used geographic detectors to analyze the leading factors in
the formation of the rural poverty differentiation mechanism, revealing the internal mechanism
of the rural poverty differentiation and proposing corresponding countermeasures. Wang Yanhui
(2017) and Sun Lin et al. (2016) used a population density spatialization model to spatialize the
multi-dimensional poverty measurement results, and multi-dimensionally measured the village-
level poor population and its characteristics. Zhao Ying used the TOPSIS model combined with
the entropy method to analyze the spatial poverty characteristics of the study area, and finally
analyzed the relationship between poverty and geographic environment elements with the help of
the obstacle degree model.
The second is about the research on the distribution of poverty spatial patterns. Wang Manman
et al. (2016), Wang Shaojian et al. (2016), and Xie Shouqiong (2017) use spatial autocorrelation
analysis methods to analyze the spatial pattern and evolution of settlements, housing prices, and
financial opening at the rural, county, and provincial scales. Wang Lucang et al. (2016), Liu Hanchu
et al. (2015), and Guo Ruibin et al. (2016) used geographic detectors, spatial autocorrelation, cluster
analysis, and other GIS spatial analysis methods to explore the population aging of China at the
county scale, the semi-urbanization of the county population in Shaanxi Province and the spatial
distribution pattern of the objective life in the main urban area of Xi’an and the reasons for its
formation.
At home and abroad, the characteristics of poverty formation and the distribution of spatial pat-
terns have been touched to varying degrees, laying a theoretical foundation for follow-up research.
The current research on spatial poverty mainly uses the method of a map display of poverty to
describe the spatial pattern of poverty. There are few quantitative analysis and expressions on the
spatial relationship and spatial heterogeneity of poverty distribution, and there is little informa-
tion on the regional poverty mechanism. At the same time, the analysis of the regional poverty
mechanism stays on a single scale (global scale), and lacks multi-scale analysis. This may cause
the influence of different influencing factors on different scales or local areas to be ignored and
misjudged. Many issues still need to be deepened. From the perspective of geography, the author
intends to take the resource and environmental constraints of key poverty-stricken counties as an
entry point to explore the temporal and spatial characteristics of resource carrying capacity in
poverty-stricken areas.

840
 The goal of this study is to clarify the spatial differentiation of poverty in rural areas in Guangxi,
focus on analyzing the impact of resource and environmental factors on spatial differentiation,
and explore the relationship between resource and environmental factors and poverty in the spatial
pattern formation mechanism, and scientifically identify the types of poverty-stricken areas under
the constraints of resources and environment for providing reference and decision-making basis
for the formulation of differentiated poverty alleviation policies for different policy units.

3 OVERVIEW OF THE STUDY AREA AND DATA SOURCES

3.1 Overview of the study area

Guangxi Zhuang Autonomous Region is located in southwestern China, adjacent to Yunnan and
Guizhou, with an administrative area of approximately 23.76 sq. km. Guangxi is located on the
southeastern edge of China’s Yunnan-Guizhou Plateau, west of the hilly region of Guangdong and
Guangxi, and near the Beibu Gulf to the south. The landform is generally a mountainous and hilly
basin. In addition to the Han nationality, Guangxi has 11 ethnic minorities. Guangxi is the main
ethnic minority area in our country. It is also the main area for the western development and poverty
alleviation during the poverty alleviation period in my country.

3.2 Data source and preprocessing

This article takes the county as the research unit. Socio-economic data comes from the 2011-2019
Statistical Yearbook of Guangxi Zhuang Autonomous Region, and land use data comes from the
Resource and Environmental Science Data Center of the Chinese Academy of Sciences. Due to
the adjustment and division of the districts and counties in the western part of Guangxi at the time
of the study, to take into account, the reality of the data, combined with the adjustment data of
the district and county administrative regions, 108 district and county level research units were
delineated.

3.3 Research method

3.3.1 Spatial overlay analysis
Spatial overlay analysis is the operation of superimposing two or more layer elements to gen-
erate a new layer, and the result will generate a new layer containing the original multi-layer
attributes, establish spatial correspondence between geographic objects or generate multiple
attribute characteristics of spatial regions.

3.3.2 Spatial autocorrelation analysis

Spatial autocorrelation analysis can reveal the degree of correlation between adjacent regions. The
first definition of geography reveals that there is a certain connection between everything, and
the closer the spatial distance, the greater the connection. At present, the analysis of the spatial
relevance of a certain attribute is generally measured by the Global Moran’s I index, which is
expressed as:
%
(xi − x) nj=1 wj (xj − x)
I= %n %n
i=1 j=1 wij S

The value of I is between [−1,1]. When the value of I is in the range of (0,1], it expressed spatial
homogeneity, in a clustered state; when the value of I is in the range of [−1,0), It is negatively
correlated, showing a scattered state; when the I value is 0, it shows spatial heterogeneity. When
using the Global Moran’s I index to measure the spatial correlation, the Z-Score value is generally
used for the significance test. When |Z-Score|>1.96, the explanatory variable passes the test at the
significance level of P=5%.

841
3.3.3 Spatial hotspot analysis
Using the Getis-Ord Gi* statistical index method to measure the spatial relationship of the research
units, including the agglomeration relationship and the discrete relationship. It mainly explores the
construction land of various units in Guangxi and the hot and cold areas of economic growth, the
index is positively correlated, indicating that the object belongs to the high-value spatial agglomera-
tion area, showing a positive correlation between the two; when it is negatively correlated, it belongs
to the low-value spatial agglomeration area, showing a negative correlation between the two.

4 RESULTS AND ANALYSIS

4.1 Spatial distribution characteristics of poverty

4.1.1 Characteristics of poverty temporal and spatial patterns
(1) Characteristics of temporal and spatial heterogeneity of poverty
The temporal and spatial patterns of poverty in Guangxi are heterogeneous. The overall per
capita net income of rural residents in each county from 2011 to 2019 is shown in Table 4-1, and
the spatial distribution of each year is shown in Figure 4-1. From descriptive statistical indicators,
the per capita net income of rural residents in all counties and districts shows an overall upward
trend. However, due to fluctuations in economic inflation, the same amount of currency will have
different consumption power in different periods, and the increase in income cannot simply reflect
people’s living standards. Yufeng District is the area with the highest per capita net income of rural
residents from 2011 to 2018. The area with the highest income in 2019 is Chengzhong District.
The two counties belong to the industrialized city of Liuzhou, both of which are the main industrial
development areas in Guangxi. Industrial development drives the local economy. The poverty level
is relatively low, which reflects that the development of industrialization has a weakening effect
on regional poverty. Luocheng County, Napo County, and Dahua County are the counties with the
lowest income during the study period. Luocheng County and Napo County are counties prone to
geological disasters. The lives and property of local people are vulnerable to sudden geological
disasters. The county’s rocky desertification area accounts for 65.39% of the county’s area. It is
a county with more serious rocky desertification in Guangxi. The natural conditions are bad, the
development of land resources is limited, and the degree of poverty is high, indicating that the
higher the degree of natural resource constraints, it higher the chances of poverty. The standard
deviation has generally increased year by year, with a slight decrease in 2019, but it is still at a
relatively high level, reflecting the large differences in poverty in various regions in Guangxi, and
narrowing the poverty gap is an important task of poverty alleviation. From the perspective of the
distribution pattern of poverty levels in each year, the spatial distribution is low in the southeast and
northwest and high in the middle, and regionally, the income levels of rural residents in Liuzhou,
Guilin, Nanning, and the coastal areas of the Beibu Gulf are relatively high. The income levels of
rural residents in Baise City, Chongzuo City, and Hezhou City are relatively low, and the spatial
distribution of poverty in each year is similar, indicating that regional poverty has temporal and
spatial stability.
(2) Characteristics of temporal and spatial dependence of poverty
With the support of the GeoDa platform, the Global Moran’I value of the poverty level in Guangxi
counties and districts from 2011 to 2019 was measured using the global spatial autocorrelation
method. The I value in each year is at a significant level of p=0.01, and the |Z| value is greater
than 1.96. Reject Virtual hypothesis, through the significance test, the evolution of the poverty
level Global Moran’I in Guangxi counties and districts from 2011 to 2019 is shown in Figure 1.
The value of I is positive and the value range is 0.52–0.61, indicating that the poverty level of all
counties in Guangxi has a strong spatial dependence, that is, the poverty level of a county will
be positively affected by the poverty level of the surrounding counties. The spatial distribution of
the degree presents an aggregation pattern. The I value of the poverty level in each year shows a
fluctuating trend, which is manifested in a certain degree of increase in the I value from 2011 to

842
Table 1. Descriptive statistics of per capita net income of rural residents in Guangxi from 2011 to 2019.

Standard
Maximum value (yuan) Minimal value (yuan) Mean (yuan) deviation

2011 7512.54 (Yufeng District) 2073.82 (Luocheng County) 3884.16 1010.42

2012 8222.77 (Yufeng District) 2237.30 (Luocheng County) 4293.07 1081.70
2013 9371.68 (Yufeng District) 2598.65 (Napo County) 4902.18 1260.73
2014 10864.32 (Yufeng District) 3020.90 (Napo County) 5690.29 1466.93
2015 12812.09 (Yufeng District) 3558.61 (Napo County) 6598.02 1726.82
2016 14552.22 (Yufeng District) 4025.00 (Napo County) 7487.27 1974.61
2017 16343.00 (Yufeng District) 4548.00 (Napo County) 8338.56 2237.60
2018 17896.00 (Yufeng District) 4962.00 (Napo County) 9124.40 2466.51
2019 19073.00 (Yufeng District) 6006.00 (Dahua County) 10882.56 2403.79

2012, increased spatial dependence, and the spatial pattern of poverty presents a clustering pattern.
From 2012 to 2014, the I value continued to decline, and the degree of agglomeration weakened.
From 2014 to 2018, the I value fluctuated smoothly in the range of 0.58–0.60. From 2015 to 2016,
the I value dropped significantly and reached its lowest point in 2016, indicating that the degree of
spatial aggregation of poverty at the same level has decreased.

Figure 1. The evolution of poverty level Moran’I in Guangxi counties and districts from 2011 to 2019.

(3) Identification of hotspots of poverty occurrence

Intercept 3-time nodes in the research time interval in 2011, 2015, and 2019, and apply the
hotspot analysis function in ArcGIS 10.2 to visualize the spatial distribution of poverty hotspots
and cold spots at each time node. The identification of poverty hotspots in Guangxi counties and
districts is shown in Table 1.
From the perspective of overall space, the distribution of cold and hotspots each year is relatively
stable. Northwest Guangxi is the main hotspot area. This area is mainly karst stone mountain area.
The terrain conditions are relatively harsh and the land use has large limitations, which hinder the
development of a social economy. Poverty hotspots are very likely to occur in this characteristic
area. The central part of Guangxi is the main cold spot area, involving the plains of Liuzhou,
Guilin, and Nanning. Liuzhou is an important industrial development city with a well-developed
secondary industry. Guilin is a well-known tourist city and its tourism industry is relatively mature.
Nanning is Guangxi’s provincial capital, industrial development, and city positioning are conducive
to socio-economic development, and this area is a cold spot where poverty occurs. Judging from the
poverty occurrence hotspots at various time nodes, the distribution of hotspots in 2011 was relatively
scattered, mainly forming two clusters of large and small in the northwest and east, including 23
counties. In 2015, the distribution of hotspots tended to be concentrated but expanded, all distributed
in the northwest, including 24 counties. In 2019, the distribution of hotspots was concentrated and
involved regional reduction, mainly including 15 counties. Twelve counties, including Napo County,

843
Tian’e County, and Donglan County, were in poverty hotspots at three-time points, and they were
typical poor counties.

Table 2. Identification Table of Hotspots of Poverty Occurrence in Guangxi County.

type 2011 2015 2019

Hotspot 23 counties including 24 counties including 15 counties including Leye

Longlin County, Xilin Longlin County, Xilin County, Tian’e County, Huan-
County, Tianlin County, Leye County, Tianlin County, and jiang County, Jinchengjiang
County and Tian’e County, Leye County, etc. District, etc.
etc.
Cold spot 24 counties including Diecai 20 counties including Diecai 23 counties including Diecai
District, Xiufeng District, District, Xiufeng District, District, Xiufeng District,
Qixing District, Xiangshan Qixing District and Qixing District and Xiang-
District, Yongfu County, etc. Xiangshan District, etc. shan District, etc.

Not obvious 61 counties 64 counties 70 counties

4.2 Resource and environment elements and the characteristics of poverty spatial agglomeration
4.2.1 Poverty spatial agglomeration characteristics
The spatial correlation and aggregation degree of poverty in the studied area can be judged by
Moran’s I index. In this paper, ArcGIS and GeoDa software are used to obtain the Moran’s I index
of the poverty in the study area in 2014 under the same spatial weight matrix as 0.8912 and 0.8897,
respectively. The Moran’s I index close to 1 reflects that the poverty in Guangxi is spatially strongly
correlated. The Moran scatter plot can be obtained with GeoDa software, and the distribution in
the HH and LL quadrants is positively correlated and homogeneous. The distribution in the LH and
HL quadrants is negatively correlated with heterogeneity. The results show that in 2017, most of
the poverty in the study area was distributed in the HH and LL quadrants, and a very small amount
was distributed in the HL and LH quadrants.

4.2.2 Spatial agglomeration characteristics of the resource and environmental elements

The results of spatial aggregation and spatial hotspots of the coupling coordination degree of
ecological environment and county poverty are shown in Figure 3-2. It can be seen from the figure
that the coupling coordination degree D of ecological environment and county poverty has high-
value clusters in the south and southeast of Guangxi, and high-value clusters (HH) in 12 counties
including Qingxiu District and Qinbei District. Low-value clusters appeared, with low-low-value
clusters (LL) in 5 counties including Lingyun County, Dahua County, and Bama County, and
high-low-value clusters (HL) in Zhaoping County in the east.

4.3 Resource and environmental factors and the distribution characteristics of poverty hotspots
4.3.1 Distribution characteristics of poverty hotspots
The spatial distribution of poverty hotspots in Guangxi counties is characterized by cold spots in the
west, east and south, and poverty hotspots in the north. Analyzing the distribution map of poverty
spatial hotspots, it is found that at a confidence level of 99%, nine such as Qinbei District are
cold spots; at a confidence level of 95%, 12 such as Yinhai District are cold spots; at a confidence
level of 90%. The spatial distribution of poverty hotspots in Guangxi counties is characterized by
cold spots in the west, east and south, and poverty hotspots in the north. Analyzing the distribution
map of poverty spatial hotspots, it is found that at a confidence level of 99%, nine such as Qinbei
District are cold spots; at a confidence level of 95%, 12 such as Yinhai District are cold spots; and
a confidence level of 90% , 11 such as Dongxing City are cold spots; at 99% confidence level,
17 such as Napo County are hotspots; at 95% confidence level, 5 such as Dahua Yao Autonomous

844
Figure 2. The spatial aggregation of the coordination degree of Guangxi’s ecological environment and
county poverty coupling.

County are hotspots; at 90% confidence level, Long’an and Longzhou counties are hotspots; the
rest are insignificant areas.

4.3.2 Spatial hotspot distribution characteristics of the resource and environmental elements
It can be seen from Figure 3 that there is a concentration of Z values greater than zero in the south
and southeast of Guangxi, and a concentration of Z values less than zero in the northwest, which
further shows that Guangxi’s ecological environment and county poverty has a low degree of spatial
coupling and coordination in the northwest. The more to the southeast and the south, the higher
the degree of coupling and coordination.

Figure 3. Spatial hotspots of coupling coordination degree between Guangxi’s ecological environment and
county poverty.

5 CONCLUSION

This paper analyzes the differentiation characteristics of poverty-stricken areas in Guangxi from
2011 to 2019 through spatial autocorrelation analysis and spatial hotspot analysis. The main
conclusions are as follows:
(1) The degree of poverty is related to the degree of resource constraints. For example, the rocky
desertification area of Dahua County accounts for 65.39% of the county’s area, and the develop-
ment of land resources is limited. With the development of the social economy, the economic

845
 gap between regions with high resource constraints and other regions is getting bigger and
bigger;
(2) From the perspective of spatial structure, the distribution of cold and hotspots each year is
relatively stable. Northwest Guangxi is the main hotspot, and the central part of Guangxi is
the main cold spot;
(3) The distribution of poverty hotspots in Guangxi counties shows that the northwest is a poverty
hotspot. The east and south are cold spots.

ACKNOWLEDGMENTS

This article is financially supported by the National Natural Science Foundation of China “Analysis
and Time-Space Simulation of the Mechanism of Mutual Feedback between Land Use and Poverty
in the Old Revolutionary Areas of the Left and Right Rivers of Guangxi” (Approval Number:
41861039), 2017 Guangxi Philosophy and Social Science Planning Research Project “Research on
the Formation and Spatial Pattern of Poverty Characteristics in Guangxi under the Constraints of
Resources and Environment” (Approval Number: 17FGL014) and 2017 Guangxi Philosophy and
Social Science Planning Research Project “Research on the Innovation of Land Poverty Alleviation
Policy under the Constraints of Resources and Environment” (Approval Number: 17FGL016)

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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Wetland mapping using the object-based stacked generalization

approach based on Sentinel-1 and Sentinel-2 data

Yuannan Zhang, Zhangyu Dong & Pengfei Zhang

School of Computer and Information, Hefei University of Technology, Hefei, China

Zhang Jie
Anhui Earthquake Agency, Hefei, China

ABSTRACT: Wetlands remain the least well-known and most threatened ecosystems, which
are important for the well-being of humans as well as flora and fauna. Wetland maps are of the
essence for the conservation and management of terrestrial ecosystems. Since single classifiers
fail to obtain wetland maps with high accuracy, we proposed an object-based stacked generaliza-
tion (Stacking) method for wetland mapping using the combination of Sentinel-1and Sentinel-2
data. Additionally, to guarantee a satisfactory prediction capacity of the “base learner” (BL), we
utilize the genetic algorithm automatically for hyper-parameter tuning to ensure mapping accuracy.
Firstly, we segment Sentinel-2 multispectral images to delineate objects in this study. Then, we
extract the object-oriented features from Sentinel-1 and Sentinel-2 image objects. To reduce the
data redundancy, we calculate the feature importance using the random forest algorithm to optimize
the feature set. Thirdly, four well-known classifiers, namely K-Nearest Neighbor (KNN), Random
Forest (RF), Support Vector Machine (SVM), and Maximum likelihood Classification (MLC), are
used as the base classifier. Finally, the stacked generalization algorithm is utilized to perform wet-
land classification based on the optimal feature set in the Yellow River delta wetland. Experimental
results demonstrate that the proposed object-based stacked generalization approach achieves better
classification results.

1 INTRODUCTION

Wetlands are the region that occupies the transition zone between terrestrial and aquatic systems
providing ecological services, such as controlling floods, groundwater recharge, shoreline anchor-
ing, erosion dissipation, carbon isolation, sediment trapping and filtering sewage (Finlayson &
Moser 1991). Moreover, wetlands are deemed as the cradle of life for providing habitats and shel-
ter for multifarious flora and fauna species (Mitsch & Gosselink 1993). Despite the significance,
anthropogenic activities including urbanization, industrialization and unrestrained exploitation of
natural resources have resulted in the destruction and degradation of wetland ecosystems. As such,
it is urgent to map inclusive, comprehensive and up-to-date wetlands categories for the sake of
dynamic monitoring of wetlands (Tiner et al. 2015).
Remote sensing techniques can supply data of wide ranges of observations, short revisiting
periods for inaccessible wetland ecosystems, which facilitated long-term monitoring of wetlands.
Previous studies integrate multisource remote sensing data captured from optical and Synthetic
Aperture Radar (SAR) sensors for wetlands inventory successfully (Steinhausen et al. 2018).
Although hyperspectral data possess detailed spectral information beneficial to mapping spec-
trally similar wetland classes, the data is hard to access and costly (Jamali et al. 2021). Compared
to hyperspectral data, multi-spectral imagery is of free accessibility and provides a variety of sen-
sors like Sentinel-2 and Landsat. Specially, The Sentinel-2 imagery contains three red-edge bands,
which is effective for monitoring vegetation information (Wittke et al. 2019). Synthetic aperture

DOI 10.1201/9781003308584-119 847

radar (SAR) data such as Sentinel-1, GF-3, RADARSAT and ALOS-2 provide all-day and all-
weather radar imagery to multifarious remote sensing applications. The synergic use of Sentinel-1
and Sentinel-2 have proved helpful over the use of a single data (Mohammadimanesh et al. 2018).
Otherwise, the Object-Based Image Analysis (OBIA) divides pixel images into vector objects by
clustering neighboring semblable pixels, which has been widely applied to wetlands mapping in
recent years (Hossain & Chen 2019).
There are varieties of classification algorithms based on OBIA utilized for wetland mapping,
which can be roughly divided into machine learning classifier and deep learning classifier. Deep
learning methods can automatically extract discriminative features and have proved promising
for wetland classification. However, the CNN is complicated and its efficacy depends on a large
number of samples. Traditional machine learning classifiers, such as KNN, SVM and MLC are not
efficient enough to classify complex wetland compositions. Currently, ensemble learning methods,
such as bagging, boosting and stacking algorithms, attract the attention of academics for their
potential in obtaining high-accuracy wetland maps. The stacked generalization algorithm realizes
the optimal generalization based on the BLs. It shows the superiority over bagging and boosting
methods (Healey et al. 2018). Additionally, the prediction accuracy of BLs directly determines the
classification accuracy. Before training the BLs, hyper-parameter tuning is necessary. Generally,
simple Grid Search, Bayesian Optimization and Genetic Algorithm can realize hyper-parameter
tuning. Compared with Grid search and Bayesian Optimization, Genetic algorithms can obtain
optimal parameters in a short time after encoding, selection, crossover and mutation to find the
global optimal value from the offspring.
Although the stacked generalization algorithm has obtained promising results in other fields, it
has not been verified for wetland classification. In this research, we study the wetland mapping using
the stacked generalization method and the synergy of Sentinel-1 and Sentinel-2. Our main contribu-
tions can be summarized as follows: 1) to propose the object-based stacked generalization approach
for wetland classification using Sentinel-1 and Sentinel-2; 2) to implement hyper-parameter tun-
ing using genetic algorithm; 3) to compare the classification accuracy of proposed object-based
stacked generalization approach with the object-based single classifiers.

2 METHODS

The flowchart of the proposed object-based stacked generalization method is shown in Figure 1.
As illustrated, there are four major steps: (1) pre-processing and segmentation, (2) extracting the
object-based features and optimizing features set, (3) searching the hyper-parameter using the
genetic algorithm, (4) classifying wetlands with the proposed stacking method and four single
classifiers.

2.1 Pre-processing and segmentation

The experiment selects the Yellow River Delta for the study area, which locates in the northeast of
Shandong Province, China. In this research, the multispectral dataset used a Sentinel-2 Level-2A
image on 30 July 2020 when the vegetation in the Yellow River Delta is fully developed. The
SAR dataset used a VV/VH mode Sentinel-1A image on 15 August 2020 with Interferometric
Wide Swath Mode (IW) and Single look complex (SLC). The raw Sentinel-1 and -2 data were
downloaded from the ESA Copernicus Data Open Access Centre website.
The optical image used in this study has experienced ortho-rectification, geometrically correc-
tion, and atmospheric correction. Therefore, the pre-processing steps are predominantly described
for SAR images. The raw SAR data were first processed with orbit correction, radio-metrically
correction, and strip removal. Then, the scattering matrix was converted to the covariance or
coherency matrices and intensity layers were extracted. Finally, we perform the H/A/Alpha polar-
ization decomposition and get the polarization feature layers. The SNAP software and PolSARpro
V5.1.3 software were used for pre-processing.

848
Figure 1. The flowchart of the methodology used in this research.

After that, the obtained polarization feature layers and the band layers were performed the
feature-level fusion for segmentation. Considering speckle noise inherent in SAR data, which
may result in over-segmentation or under-segmentation, the Sentinel-2 multispectral images were
segmented using the multi-resolution algorithm in the eCognition Developer™software. The final
segmentation scale was determined to be 30, with the shape factor of 0.1 and the compactness
factor of 0.5. Eventually, 59539 objects were obtained.

2.2 Extracting the object-based features and optimizing features set

Several object-based features, including the mean of bands, Vegetation and Water Body Index, Red
Edge Index, texture features and geometry features were calculated during the segmentation for
classification. Then the segmentation result was overlaid on the SAR parameters to generate the
average feature within the object. Feature set optimization can transform the selected features into
a low-dimensional feature space, which reduces computation and data redundancy. Therefore, we
apply the generally used RF algorithm with 500 decision trees based on the variable importance
calculated by the Out-Of-Bag (OOB) data for feature set optimization.
According to the value of variable importance ranked in descending order, the top 33 important
features were selected. Remarkably, the red, green and blue bands, NDVI, NDWI, red-edge bands,
backscattering coefficient contribute the most.

2.3 Hyper-parameter tuning by genetic algorithm

Genetic algorithm imitates the evolutionary mechanisms of nature to search for the global optimal
solution. In solving complex combinatorial optimization problems, compared with some conven-
tional optimization algorithms, the genetic algorithm can obtain better optimization results quickly,
which have been widely used in areas such as combinatorial optimization, machine learning and
signal processing. The genetic algorithm evolution flow is shown in Figure 2.
In this paper, we use the genetic algorithm to search hyper-parameter. Before evaluation, set
the number of iterations. And then, through selection, crossover and mutation, we acquire a set of
parameters for the BLs. In general, the higher the number of iterations, the better the result maybe,
but the longer it takes. After several experiments, we have obtained a set of parameters. For the
SVM classifier, the kernel, C and gamma are linear, 338, 0.634 respectively. And for the MLC
classifier, hidden layers and hidden cells are 20 and 10 respectively. As for the KNN classifier, the
value of k and weight is 54 and distance, respectively. For the RF classifier, the number of generated
decision trees is 400. the minimum number of samples of leaf nodes is 81 and the maximum depth
of the tree is 20.

849
Figure 2. Genetic algorithm evolution flow.

2.4 Classifying wetlands with the proposed stacking method and four single classifiers
The stacked generalization, also known as stacking, combines the base learning result utilizing
“Meta Learner” (ML). The conceptual diagram of stacking is displayed in Figure 3. In the stacking
methodology, the BLs are employed to extract the primary feature from the base training dataset
and output the secondary training dataset for the secondary learner. In general, for a satisfactory
prediction capacity, the BLs are expected to be diverse and good enough. Therefore, we chose
regression and classification models such SVM, KNN, MLC and RF as BLs for acquiring diverse
secondary training datasets. In practice, we usually use logistic regression as the ML to combine
the BLs. However, we detect that using an ensemble learner like RF as the ML to combine BLs
will improve the prediction performance. RF is an ensemble algorithm, which uses the “bagging”
method to integrate decision trees. It can improve the performance of multiple classifier systems.
In the stacked generalization, the ML applies the RF ensemble combination rules. Firstly, the base
training dataset is employed to train and fit the base learner. And then, we use the trained BLs to
predict a new dataset to obtain the secondary training dataset. Finally, the RF as the ML is trained
using the base learning result to execute the final predictions (Cai et al. 2020; Wen & Hughes
2020).
To overcome the shortcoming of over-fitting, we used k-fold cross-validation to train each
individual BL. Specifically, we divided the base training dataset into k parts. For each part, we
trained the BLs with the remaining dataset and then predicted the result for that part. Repeating

Figure 3. Concept diagram of stacking.

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the above steps, we obtain k prediction results to constitute a new feature. In the stacked system, if
there are T base classifiers, the secondary training dataset consists of T new features (Zhang et al.
2020).
We first construct the BLs utilizing the parameters searched by the genetic algorithm and then fit
the stacking classifier using the BLs and the optimal feature subset. The study area was classified
into the marsh, swamp, aquaculture, mudflat, paddy field, pond, river and seawater classes accord-
ing to the natural environment and main wetland types by the stacked generalization classifier and
single classifier including SVM, KNN, MLC and RF.

3 RESULTS AND DISCUSSION

The classification results of the object-based stacked generalization method and the object-based
single classifier (SVM, MLC, RF and KNN) are shown in Figure 4. The overall accuracy and Kappa
coefficient calculated from the confusion matrix were utilized to access classification accuracy.
The OA and Kappa of different methods are shown in Table 1. It can be seen that the proposed
object-based stacked generalization method achieves the best OA and Kappa, which are 92.49% and
0.8633 respectively. It also obtained the best visual consistency, especially in the complex texture
region. As illustrated in Figure 5, there are clear boundaries and no overlap among the categories in
Figure 5(a). However, for the single classifiers, there were more misclassifications and promiscuous
boundaries. the major part of misclassifications was marked in red circles in the picture. In summary,

Table 1. Classification accuracy of object-based stacked generalization and single classifier (SVM, MLC,
RF and KNN).

Stacking RF SVM MLC KNN

OA (%) 92.49 84.79 81.93 80.49 79.20

Kappa 0.8633 0.7853 0.7581 0.7529 0.7466

Figure 4. The classification results of the study area using SVM, RF, KNN and MLC as well as the stacked
generalization method based on OBIA.

851
misclassification is mainly between marsh and swamp classes. This could be put the blame on their
high spectral similarity and similar vegetation patterns between them. Besides, some marsh objects
were misclassified into paddy field or pond classes and several mudflat objects were classified into
river and marsh classes. The proposed object-based stacked generalization method achieved a high
level of agreement between the ground truth and predicated wetland classes. This revealed more
advanced classification techniques can improve the classification accuracy of wetlands.

4 CONCLUSION

In this paper, we propose the object-based stacked generalization method for wetland mapping using
optical data and SAR data. Experimental results have demonstrated that the proposed method had
better performance over any single classifiers. Despite the limitation of training samples, The OA
and kappa coefficient are 92.49% and 0.8633, respectively. There is basically no overlap among the
categories. The proposed method can be developed easily using the Scikit-Learn package in Python
3.7, which can be applied to low-cost dynamic monitoring of wetlands. And it also contributes ideas
for other remote sensing applications.

ACKNOWLEDGMENTS

This work is supported by the Key Research and Development Project of Anhui Province
(202004a07020030).

REFERENCES

Cai, Y., Li, X., Zhang, M., Lin, H. (2020) Mapping wetland using the object-based stacked generalization
method based on multi-temporal optical and sar data. Int. J. Appl. Earth Obs. Geoinf., 92, 102164.
Finlayson, M., Moser, M., (1991) Wetlands. Int. Waterfowl and Wetlands Res. Bur., Oxford.
Healey, S.P., Cohen, W.B., Yang, Z., Kenneth Brewer, C., Brooks, E.B., Gorelick, N., Hernandez, A.J.,
Huang, C., Joseph Hughes, M., Kennedy, R.E., Loveland, T.R., Moisen, G.G., Schroeder, T.A., Stehman,
S.V., Vogelmann, J.E., Woodcock, C.E., Yang, L., Zhu, Z. (2018) Mapping forest change using stacked
generalization: An ensemble approach. Remote Sens. Environ, 204:717–728.
Hossain, M.D., Chen, D., 2019. Segmentation for Object-Based ImageAnalysis (OBIA): a review of algorithms
and challenges from remote sensing perspective. Isprs J. Photogramm. Remote. Sens., 150:115–134
Jamali, A., Mahdianpari, M., Brisco, B., Granger, J., Mohammadimanesh, F., Salehi, B. (2021) Deep Forest
classifier for wetland mapping usingthe combination of Sentinel-1 and Sentinel-2 data. GIsci Remote Sens,
58: 1072–1089
Mitsch, W.J., Gosselink, J.G. (1993) Wetlands, 2nd ed., New York. pp. 600
Mohammadimanesh, F., Salehi, B., Mahdianpari, M., Motagh, M., Brisco, B. (2018) An efficient feature
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Steinhausen, M.J., Wagner, P.D., Narasimhan, B., Waske, B. (2018) Combining Sentinel-1 and Sentinel-2
data for improved land use and land cover mapping of monsoon regions. Int. J. Appl. Earth Obs. Geoinf.,
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2264–2275.

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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Robust estimation of unequal observation data based on the

weight functions of Huber and Hampel

Suqi Peng, Chuanli Kang & Zhenyu Zhang

College of Geomatics and Geoinformation, Guilin University of Technology, Guilin, P.R. China

ABSTRACT: Contraposing the problem that the observation data with the gross error and the
performance weakly in the least-square estimation, two kinds of weight functions of the robust
estimation are used to deal with the data. The robust estimation is a method of reducing or elimi-
nating the effects of gross errors involved in the observation data on the unknowns by selecting the
appropriate weight function. Through the examples, two weighting functions of Huber and Hampel
are used to show that the robust estimation can improve the accuracy of the observation data by
adjusting the influence on weighting and reducing the gross error to the adjustment values.

1 INTRODUCTION

The basic task of survey adjustment is to process a series of observations with random error,
obtain the best estimate of the unknown quantity, and evaluate the accuracy of the measurement
results (SASG 2014). A common method in adjustment is to estimate it with Least Squares (LS).
However, in actual observation, due to the influence of observers, instruments and the environment,
the observation data will inevitably contain accidental errors or even a certain amount of gross errors
(Chu 2015). The least squares estimation is very sensitive to gross errors. Even if there is only
one gross error in the observed data, the solution vector will be completely changed, so the least
squares estimation does not have the ability to resist gross errors (Sun et al. 2022).
The least squares estimation also has the ability to evenly distribute errors. The existence of gross
errors will cause the reflection of the adjustment correction number to be smaller than the original
gross error value, and the gross error of the i-th observation value not only acts on the i-th correction
number Vi, and also acts on other correction numbers (Yu & Li 1996). If the adjustment calculation
is performed directly without excluding the gross error, the gross error will be transferred, so that
the residual error is not found, but the unknown value estimate is distorted. Therefore, in order to
solve the problem of gross errors mixed in observations, robust estimation methods emerge as the
times require. Moreover, according to the different weight function selection, the robustness effect
is not the same, it is of great significance to select an appropriate robustness estimation method
(Jiang 2014).

2 PRINCIPLE OF ROBUST ESTIMATION

Robust estimation was proposed in statistics by G.E.P.BOX in 1953. The so-called robustness
refers to the ability to resist the influence of several errors or factors on the estimation of unknown
quantities: 1) a large number of small errors; 2) a few gross errors; 3) the assumed distribution
does not match the actual distribution; 4) the influence of leverage points (Huang 1993). It refers
to the selection of an appropriate estimation method in the presence of gross errors to minimize
the influence of gross errors on the estimation of unknowns to obtain the optimal estimation (Zhou
1997). Its principle is to make full use of valid information, limit the use of invalid information, and

DOI 10.1201/9781003308584-120 853

exclude harmful information. Therefore, the main goal of robust estimation is to obtain reliable,
practical and effective parameter estimates at the risk of losing some efficiency (Li et al. 2006).
The process of robust estimation is based on the results of iterative adjustment, and according
to the selected weight function, the weight of the observation value is constantly changed. If the
weight function is selected properly, the weight of the observation value with gross error will
become smaller and smaller until it approaches zero. The principle of large error and small weight
is used to weaken the influence of gross error on the estimation of unknowns (Li & Yuan 2002).
The efficiency of robust estimation is determined by the equivalent weight function used. The
commonly used equivalent weight functions are Huber weight function, Hampel weight function,
Danish method, Andrews weight function, Turkey weight function and IGG equivalent weight
function.
The calculation process of the robust estimation weight function is shown in Figure 1, and the
specific steps are as follows:
1) Perform LS estimation on the observed values to obtain each residual value vi ;
2) Standardize the residuals and obtain equivalent weights according to the weight function;
3) X̂ k+1 Calculate the parameter adjustment value according to the robust estimation solution;
4) Substitute into 1) formula to calculate the k+1th step residual vk+1 ;
5) Calculate the difference between vk+1 and vk , if the stop iteration condition is met max |vk+1 −
vk | < ε, go to formula 6), otherwise go to formula 2) to continue the iterative calculation, where
ε is the set threshold, which is called the convergence condition;
T
6) Calculate the root mean square error of the unit weight σ̂ 2 = vn−tpv
, and find the σ .

Figure 1. Robust estimation process.

3 ROBUST ESTMATION WEIGHT FUNCTION

The robust weight function is a functional relationship related to the error distribution character-
istics, and is the core of robust theory and estimation methods. The selection of robust weight

854
function is closely related to the effect of design and robust estimation. In robust estimation, iter-
ation using selection weight function belongs to M estimation and is widely used in measurement
(Fang et al. 2018) .

3.1 Huber weight function

Huber function is proposed by Huber and proved to be robust to noise (Huber 2009). Huber’s
extreme value estimation is to find the best estimation based on bad conditions (Zhou 1992).
Huber M estimation is a strictly derived generalized maximum likelihood estimation (Huang et al.
2014) .Take the M estimation function
,
v2 |v| ≤ c
ρ(v) = (1)
c|v| − 12 c2 |v| > c
The weight function is obtained as
,
1 |v| ≤ c
p(v) = (2)
c
v
|v| > c
p(v) is the Huber weight function,vis the standardized residual, and c is an empirical value of 1.5σ .
It can be seen from the Huber weight function formula that when the residual is between -c
and c, the Huber estimation is the least squares estimation, which only changes the weight of the
residual except for – c∼c. When the absolute value of the residual is greater than c, it is inversely
proportional to the correction number, the larger is, the smaller the corresponding is, and the
corresponding observations with gross errors have less influence on the parameter estimation.

3.2 Hampel (Hampel 1986) weight function

The function estimated by M is taken as a 3-segment truncation function (Li 2017), and the residuals
are divided into four levels with three harmonic coefficients a, b, and c, so as to improve the
discrimination accuracy.
⎧1
⎪
⎪ v2 |v| ≤ a
⎪
⎪2
⎪
⎪
⎪
⎪ 1
⎨a|v| − a2 a < |v| ≤ b
2
ρ(v) = (3)
⎪
⎪ −
1 2 a
a + (c − b) [1 − ( c−|v| )2 ] b < |v| < c
⎪
⎪ab
⎪
⎪ 2 2 c−b
⎪
⎪
⎩ab − 1 a2 + (c − b) a |v| ≥ c
2 2
The weight function is obtained as
⎧
⎪
⎪ 1 |v| ≤ a
⎪
⎪
⎪
⎨a a < |v| < b
|v|
p(v) = (4)
⎪
⎪ c−|v|
a (c−b)|v| b < |v| ≤ b
⎪
⎪
⎪
⎩
0 |v| ≥ c
In the formula, a, b, and c are harmonic coefficients, which can be appropriately selected and can
be taken as multiples of the standard deviation. And P(v) is the Hampel function, which represents
the standardized residual. The empirical values are taken in this paper: a=1.5σ , b=3.6σ , c=8σ .

855
4 EXAMPLES

In the leveling network in Figure 2, A and B are benchmarks with known elevations, and the known
elevations of these points are assumed to be free of errors. In the figure, P1, P2, and P3 are the points
to be determined. The observed height difference and the corresponding leveling route length are
shown in Table 1. Find the adjustment value of each undetermined point.

Figure 2. Level net.

Suppose that there is a gross error of 10 cm in the observed height difference, even if 10.356
becomes 10.456=10.356+0.1. Take the iteration threshold as 0.1 mm. Perform LS, Huber and
Hampel calculations, and the results are shown in Tables 2 and 3:

Table 1. Observation data.

Route Observation height Horizontal route Known height right to
number difference (m) length (km) (m) observe

h1 10.356 1 HA = 50.000 1
h2 15 1 HB =40.000 1
h3 20.36 2 0.5
h4 14.501 2 0.5
h5 4.651 1 1
h6 5.856 1 1
h7 10.5 2 0.5

Table 2. Correction value results.

Name No gross error gross error

Correction
value/mm LS Huber Hampel Ls Huber Hampel

1 −0.4 −0.4 −0.4 −57.7 −99.0 −99.7

2 2.8 2.8 2.8 25.0 3.2 2.8
3 −4.4 −4.4 −4.4 38.3 −3.0 −3.7
4 −0.3 −0.3 −0.3 27.1 1.0 0.6
5 −3.8 −3.8 −3.8 −24.4 −4.8 −4.4
6 −1.2 −1.2 −1.2 14.2 −1.1 −1.3
7 2.0 2.0 2.0 −1.2 3.2 3.2
RMSE /mm 2.9822 2.9822 2.9822 38.2350 8.0520 6.4836

856
Table 3. Adjustment value results.

Name No gross error gross error

Adjustment
value/mm LS Huber Hampel Ls Huber Hampel

1 10.3556 10.3556 10.3556 10.3983 10.3570 10.3563

2 15.0028 15.0028 15.0028 15.0250 15.0032 15.0028
3 20.3556 20.3556 20.3556 20.3983 20.3570 20.3563
4 14.5007 14.5007 14.5007 14.5281 14.5020 14.5016
5 4.6472 4.6472 4.6472 4.6266 4.6462 4.6466
6 5.8548 5.8548 5.8548 5.8702 5.8549 5.8547
7 10.5020 10.5020 10.5020 10.4988 10.5031 10.5032

The experimental results show that when the observed values contain gross errors, direct use of
least squares estimation will distort the results, while robust estimation can maintain the accuracy
of the data. Therefore, when the observed value contains gross errors, the least squares estimation
cannot be directly used to obtain the estimated value, but an appropriate robust estimation method
should be used. In this paper, the Huber weight function and the Hampel weight function are used
for calculation. The experimental data is displayed in a certain leveling network observation. When
the observation data contains gross errors, both weight functions can improve the accuracy of the
data, and can locate gross errors. It can be seen that the estimation of the Hampel weight function
is close to the estimation of the least squares method without gross error. It can be shown that in
this case, the Hampel weight function is more effective.

5 CONCLUSION

In this paper, the robust estimation calculation of the leveling network is carried out through an
example, which verifies that the robust estimation has the ability to locate gross errors and eliminate
the interference of gross errors, and can obtain higher-precision adjustment results, indicating that
robust estimation is better than least squares estimation. When there is no gross error, the results
of the least squares estimation and robust estimation are consistent, but when there is gross error,
the gross error will be smoothed out due to the balance of the least squares estimation. The robust
estimation uses the weight function to detect the gross error position and gradually reduce its
equivalent weight to zero, eliminating the influence of gross error in the adjustment result, which is
almost the same as the adjustment result when no gross error is added. When there is no gross error,
the results of the least squares estimation and robust estimation are consistent, but when there is
gross error, the gross error will be smoothed out due to the balance of the least squares estimation.
The robust estimation uses the weight function to detect the gross error position and gradually
reduce its equivalent weight to zero, eliminating the influence of gross error in the adjustment
result, which is almost the same as the adjustment result when no gross error is added. It can be
seen that, in order to improve the accuracy and reliability of the data, it is necessary to use robust
estimation when measuring the adjustment.

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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Analysis on temporal and spatial characteristics of drought in North

China from 1998 to 2017

Jiala Man, Jiangtao Wang, Xiaoxiao Yang & Wenqiang Qu

Aerial Photography of Chinese coal Incorporated Company, Xian Shanxi, P.R. China

Xiaoxu Yang
The Frist Institute of Resources and Environment Investigation of Henan Province, Zhengzhou, P.R. China

ABSTRACT: Drought is a slow-onset natural disaster. As the main grain-producing area in China,
North China has droughts of varying degrees almost every year, which brings serious hidden dangers
to China’s grain production. Based on the daily and monthly precipitation datasets of China’s surface
climate data from 1998 to 2017, and using the standardized precipitation index (SPI) events and
specific drought events, this paper analyzed the temporal and spatial variation characteristics of
drought in North China in the past 20 years from the annual and monthly time series changes of SPI
and spatial scale evolution of seasonal drought. The results show that (1) droughts in North China
are frequent and increasing year by year; (2) the drought degree in North China changes obviously
with seasons, mainly in spring, summer and autumn, and the drought frequency is higher in spring
and summer; (3) The spring drought in some areas of Shanxi is serious, the summer drought in
North China is severe, the autumn drought in Inner Mongolia is heavy, and the winter drought in
North China hardly occurs.

1 INTRODUCTION

The sixth assessment report of the United Nations Intergovernmental Panel on climate change
(IPCC) shows that the global average surface temperature has increased by about 1◦ C since
1850–1900. Climate change is affecting rainfall characteristics, resulting in changes in monsoon
precipitation, which varies from place to place, thus affecting the temporal and spatial distribution
characteristics of drought factors (Zhu et al. 2022). According to statistics, drought accounts for
about 50% of the losses caused by global natural disasters (Zhang et al. 2020) As the most dynamic
region in northern China, drought events in North China show a certain change trend. Studying
the temporal and spatial analysis law of drought in North China is of great significance to guide
agricultural production and reduce economic and social losses (Park et al. 2016).
Drought is a slow-developing natural disaster. Compared with the expected insufficient precip-
itation, when the precipitation is extended for a season or longer, it can’t meet the needs of human
activities and the environment (Hayes et al. 2011). Previous studies have shown that the occurrence
of drought is related to abnormal atmospheric circulation, topography, human activities, and local
ability to deal with drought (Huang et al. 2019). In the past, many scholars used soil water deficit
index (SWDI) (Zhang et al. 2021), Palmer Drought Index (PDSI) (Heim, 2002), standardized
precipitation index (SPI) (McKee et al. 1993), SAPI index (Wang et al. 2012), Palmer Drought
Severity Index (PDSI) (Ram 2012), temperature rise index (TRI) (Hu et al. 2020), reconnaissance
drought index (RDI) (Tsakiris et al. 2007), standard precipitation evapotranspiration index (SPEI)
(Ghasemi et al. 2021) to analyze the drought characteristics in China. Each index mainly takes pre-
cipitation, temperature, and other data as input to analyze the profit and loss of water resources at
different time scales. Among them, the SPI has strong spatial consistency and temporal flexibility,

DOI 10.1201/9781003308584-121 859

and considers the profit and loss of water resources at different scales. Therefore, the SPI has greater
advantages than other meteorological indexes, can meet the needs of different regions and differ-
ent applications, and has been widely used in water resource evaluation and drought monitoring
at different time scales in China (General Administration of Quality Supervision, Inspection and
Quarantine of the People’s Republic of China, and China National Standardization Management
Committee 2006).
In view of the severe drought in North China in recent years, based on the introduction of the
calculation principle and grade division of SPI, and using the precipitation data from 1998 to 2017,
this paper analyzed the temporal and spatial variation characteristics of drought in North China in
the past 20 years from the annual and monthly time series changes of SPI and spatial scale seasonal
drought evolution, so as to provide a scientific reference for the operation of drought dynamic
monitoring.

2 OVERVIEW OF THE STUDY AREA

North China accounts for one-seventh of China’s geographical divisions, generally referring to the
vast area north of the Qinling Mountains and Huaihe River and south of the Great Wall of China.
According to the national level meteorological geographical division, the area includes Beijing,
Tianjin, Hebei and Shanxi provinces, central Inner Mongolia (Hohhot, Wulanchabu, Baotou and
Ordos), and politically includes the whole Inner Mongolia Autonomous Region, as shown in
Figure 1. North China mainly has a temperate monsoon climate, with high temperature and rain
in summer and cold and dry in winter. The annual average temperature is about 8–13◦ C, and the
annual precipitation is about 400–1,000 mm. The precipitation of the Inner Mongolia Autonomous
Region is less than 400 mm, which is a semi-arid region.

Figure 1. Study area.

3 MATERIALS AND METHODS

3.1 Source
The meteorological data of this study adopts the daily and monthly precipitation datasets of China
surface climate data (1998–2017) from the China Meteorological Data Sharing Service Network
(http://cdc.cma.gov.cn/). A total of 90 meteorological stations in North China were retrieved and
downloaded. The detailed distribution of meteorological stations in each province is shown in
Figure 2.

860
Figure 2. Study area overlaid with climate stations.

3.2 Calculation principle and grade division of SPI

Since the precipitation distribution is generally not normal but skew, the  distribution probability
is used to describe the change of precipitation in the precipitation analysis. The SPI is to synthesize
the first measured precipitation  the probability distribution is transformed into a standard normal
distribution by Gaussian function, and finally, the drought grades are divided by the standardized
cumulative frequency distribution of precipitation.
Assuming that the precipitation in a certain period is x, the probability density function of the
distribution () is:
1
f (x) = xα−1 e−x/β (x > 0)
β α (α)
 ∞ (1)
(α) = xα−1 e−x dx
0
Where α > 0 and β > 0 are scale and shape parameters, respectively, which can be obtained by
the maximum likelihood estimation method.

√
1+ 4A/3
α=
4A
(2)
β = x̄/a

%
n
Where A = lg x̄ − 1
n
ln xi , xi is the precipitation data sample, and x̄ is the multi-year average
i=1
of precipitation.
For precipitation x in a certain year, the probability of less than the event x is:
 x
1
G(x) = t α−1 e−t dt (3)
(α) 0
The cumulative probability is:

p(x) = q + (1 − q) ∗ G(x) (4)

861
 The cumulative probability P () is converted to the standard normal distribution function by the
following formula:
t − (c2 t + c1 ) t + c0
SPI = S (5)
((d3 t + d2 ) t + d1 ) t + 1.0

Where SPI is the standardized precipitation index, t = ln P12 , and P is the cumulative probability
P(x). When p > 0.5, P=1.0-P S=1; when P 0.5 S = −1.

c0 = 2.515517, c1 = 0.8028, c2 = 0.010328, (6)

d1 = 1.432788, d1 = 0.189269, d2 = 0.001308 (7)

In this paper, the SPI values of 1-SPI, 2-SPI, 3-SPI, 6-SPI and 12-SPI time scales from 1998
to 2017 are calculated using the monthly precipitation data of meteorological stations. i − SPI
represents the SPI value calculated by the sum of precipitation in the ith month and the previous
i > 1 month (i = 1, 2, 3, 6, 12). The temporal and spatial distribution characteristics of drought in
North China from 1998 to 2017 were analyzed. The drought grades are divided according to the
classification standard of the National Climate Center, as shown in Table 1.

Table 1. Standardized precipitation index drought classification.

Grade Type SPI value

1 No drought −0.5 < SPI

2 Light drought −1.0 < SPI < −0.5
3 Moderate drought −1.5 < SPI < −1.0
4 Severe drought −2.0 < SPI < −1.5
5 Extreme drought SPI < −2.0

4 RESULTS AND ANALYSIS

4.1 Analysis of annual variation characteristics of time series

The SPI change curve from 1998 to 2017 (Figure 3) was extracted from the 12-month SPI average
of 90 stations in North China in the same year. It can be seen that the frequency of negative SPI is
high after 2000. Except for 2003 and 2008, when the SPI is positive, all other years are negative,

Figure 3. Annual SPI change curve in North China.

862
and there is a certain degree of precipitation deficit. The severe drought years are 2000, 2001, 2002,
2006, 2015, 2016 and 2017. In recent years, the drought has shown an upward trend.

4.2 Characteristic analysis of monthly mean time series

The monthly SPI value change curve in North China from 1998 to 2017 (Figure 4) was obtained
by taking the mean value of one-month scale SPI (1-SPI) of 90 stations in North China in the
same year. It can be seen from the figure that the severe drought years (SPI < −1.0) are 2001,
2002, 2006, 2015, 2016 and 2017. Due to the short time scale, the change of drought is greatly
affected by short-term precipitation, and the SPI value fluctuates frequently and presents periodic
characteristics (with a cycle of one year). They mostly peak in January and bottom out between
June to August.

Figure 4. Change process of monthly and monthly SPI in North China from 1998 to 2017.

According to the monthly statistical mean of SPI value from 1998 to 2017, the monthly average
histogram of SPI changes in North China (Figure 5) was obtained. As can be seen from the figure,
the monthly average SPI value decreases first, then increases, then decreases and then increases.
The occurrence of drought has obvious seasonal changes, which are manifested in different stages
of vegetation growth. In winter, the SPI values are high in December, January and February, and
the drought is severe in November; the valley value appears in March of spring; in summer, the
monthly mean value of SPI is the lowest in July and August, and the drought is the most serious.

Figure 5. Monthly average SPI change in North China from 1998 to 2017.

863
4.3 Analysis of seasonal multi-year average variation characteristics
Figure 6 shows the variation curve of the three-month average SPI (3-SPI) of 121 stations in North
China from 1998 to 2017. The change of 3-SPI can better reflect the seasonal drought, and the
drought is higher in spring and summer from 1998 to 2017. The spring drought occurred in 2000,
2001, 2002, 2005, 2006, 2009, 2015 and 2017, among which the spring drought in 2001, 2015 and
2017 was the most serious, with SPI values reaching −1.33; summer drought occurred in 1998,
2000, 2001, 2006, 2009, 2015, 2016 and 2017; autumn drought occurred in 2002 and 2006, of
which the autumn drought in 2002 was the most serious, with an SPI of −1.15. While 2003 was a
wet year, the SPI values in 12 months were positive, and the maximum SPI value reached 1.131.
The year 1999, 2004, 2007, 2008, 2010, 2012, 2013 and 2014 are average years.

Figure 6. Variation curve of average SPI in North China in three months from 1998 to 2017.

4.4 Analysis of seasonal multi-year average variation characteristics

Different degrees of drought occurred in all provinces of North China from 1998 to 2017 (Figure 7).
The main manifestations are:
Droughts frequently occurred in Inner Mongolia from 1998 to 2017. Except 2003, droughts of
different degrees occurred in other years, and even continuous droughts occurred in 2000, 2001,
2002, 2006, 2007, 2008, 2015, 2016 and 2017. The most serious droughts occurred from June to
August 2001 and March to May 2017, and the SPI values reached −1.17 and −1.21, respectively.
Drought (SPI < −0.5) occurred in Hebei in 2000, 2001, 2002, 2003, 2006, 2007, 2013, 2015, 2016
and 2017. The drought mainly occurred in spring and summer. The most serious drought occurred
in the spring of 2000 and 2017. The SPI reached −1.56. The change laws of Tianjin, Beijing and
Hebei Province were basically the same. The drought in Shanxi is slightly lighter than that in Hebei.
The main droughts occurred in 1998, 2000, 2001, 2002, 2005, 2006, 2009, 2010, 2015, 2016 and
2017, and the major droughts occurred in spring.

Figure 7. The monthly 12-SPI in the provinces of North China from 1998 to 2017.

864
Figure 8. Annual SPI change curve of provinces in North China.

Figure 8 shows the monthly average SPI change curve of the province in North China. It can be
seen from the figure that the drought mainly occurs in July and August, and there is no noticeable
drought in North China in December, January, and February.

4.5 Spatial distribution of drought in North China

Considering the seasonal characteristics of crop growth and agricultural activities in North China,
the spatial characteristics of drought in North China from 1998 to 2017 were analyzed by 3-SPI.
The average SPI of 90 meteorological stations in North China from 1998 to 2017 was calculated
using the Kriging interpolation method at a spatial interpolation of 0.05◦ ×0.05◦ , which was then
converted into grid data to obtain the distribution map of drought in four seasons in North China
(from March to May in spring, from June to August in summer, from September to November in
autumn, and from December to February in winter) (Figure 9). According to the spatial distribution

Figure 9. Distribution of seasonal drought in North China.

865
of drought, drought mainly occurs in spring, summer and autumn in North China. However, due to
the influence of geographical location, terrain, vegetation and other factors, the seasonal differences
of drought occurrence in different regions are obvious. The spring drought mainly occurs in Shanxi
and the Middle East of Inner Mongolia, of which the spring drought in Shanxi is more serious,
and the drought area is the largest. The summer drought area was the largest in North China, but
there are noticeable differences among regions, among which the summer drought in eastern Inner
Mongolia, northern Hebei and Beijing are serious. The main area with severe autumn drought is
Inner Mongolia, and there is also a slight drought in Hebei. Compared with spring, summer and
autumn, there are fewer droughts in winter in North China.

5 CONCLUSION

The SPI is easy to calculate and obtain. It has been widely used in drought monitoring and drought
risk assessment at home and abroad. Based on the multi-scale SPI, the temporal and spatial vari-
ations of drought in North China were analyzed in this paper. Using the precipitation data of 121
meteorological stations distributed in North China and its surrounding areas from 1998 to 2017,
the SPI values of one month, three months, and six months on a 12-month scale were calculated.
Based on the SPI grid processing and time series method, the temporal and spatial variation char-
acteristics of drought in North China in recent 20 years were analyzed from the annual and monthly
time series changes of SPI and the seasonal drought evolution at the spatial scale. The results show
that:

(1) Droughts frequently occurred in North China, and the degree and scope of droughts varied
year by year. Serious droughts occurred in 1998, 2000, 2001, 2009, 2015, 2016 and 2017, with
the frequency increasing year by year.
(2) Drought mainly occurred in spring, summer and autumn, and the frequency of drought in
spring and summer was higher.
(3) Shanxi had a serious drought in spring, North China had a severe drought in summer and
autumn, drought in Inner Mongolia was serious in autumn, and North China had almost no
drought in winter. Affected by geographical location, vegetation and other factors, there are
apparent differences in drought occurrence in various regions.

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General Administration of Quality Supervision, Inspection and Quarantine of the People’s Republic of China,
& China National Standardization Management Committee. (2006). GB /T 20481-2006 Classification of
meteorological drought category. Beijing: Standards Press of China.
Ghasemi, P., M. Karbasi, A. Zamani Nouri, M. Sarai Tabrizi, & H. M. Azamathulla. (2021). Application
of Gaussian process regression to forecast multi-step ahead SPEI drought index. Alex. Eng. J. 60 (6),
5375–5392.
Hayes, M., M. Svoboda, N. Wall, & M. Widhalm. (2011). The lincoln declaration on drought indices: Universal
meteorological drought index recommended. Bull. Amer. Meteor. 92 (4), 485–488.
Heim, R. R., Jr. (2002). A review of twentieth-century drought indices used in the United States. Bull. Amer.
Meteor. 83 (8), 1149–1166.
Hu, T., L. J. Renzullo, A. I. J. M. van Dijk, et al. (2020). Monitoring agricultural drought in Australia using
MTSAT-2 land surface temperature retrievals. Remote Sens. Environ. 236, 111419.
Huang, J., W. Chen, Z. Wen, et al. (2019). Review of Chinese atmospheric science research over the past 70
years: Climate and climate change. Sci. China Earth Sci. 62 (10), 1514–1550.
McKee, T. B., N. J. Doesken, & J. Kleist. (1993). The relationship of drought frequency and duration to time
scales. Paper presented at Proceedings of the 8th Conference on Applied Climatology, 17–22 January, at
Anaheim, California.

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sensor indices using machine learning approaches for different climate regions. Agric. For. Meteorol. 216,
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Ram, S. (2012). Tree growth–climate relationships of conifer trees and reconstruction of summer season
Palmer Drought Severity Index (PDSI) at Pahalgam in Srinagar, India. Quat. Int. 254, 152–158.
Tsakiris, G., D. Pangalou, & H. Vangelis. (2007). Regional Drought Assessment Based on the Reconnaissance
Drought Index (RDI). Water Resour. Manage. 21 (5), 821–833.
Wang, C., H. Chen, L.Tang, & H. Duan. (2012). A daily meteorological drought indicator based on standardized
antecedent precipitation index and its spatial-temperal variation. Prog. Inquis. Mutat. Clim 8, 157–163.
Zhang, Q., Y. Yao, Y. Li, et al. (2020). Causes and changes of drought in China: Research progress and
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Zhang, R., L. Li, Y. Zhang, et al. (2021). Assessment of agricultural drought using soil water deficit index
based on ERA5-land soil moisture data in four southern provinces of China. Agriculture 11 (5), 411.
Zhu, Z., L. Lu, X. Yao, W. Zhang, & W. Liu. (2022). AR6 Synthesis Report: Climate change 2022. Available
at: http://resp.llas.ac.cn/C666/handle/2XK7JSWQ/270164 (Accessed: 15 January 2022).

867
 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Research on seismic intensity attenuation relationship in Henan

and its adjacent areas

Zhenhui Han & Chongyang He

Henan Earthquake Agency, Zhengzhou, Henan, P.R. China

Jianwei Ma
China Institute of Water Resources and Hydropower Research, Beijing, P.R. China

Xiaoyang Li
Henan Earthquake Agency, Zhengzhou, Henan, P.R. China

Jing Fu
Henan Health Cadre College, Zhengzhou, Henan, P.R. China

Hengyi Xie & Feifei Wang

Henan Earthquake Agency, Zhengzhou, Henan, P.R. China

ABSTRACT: We collect twenty-four earthquake cases and fifty-seven isoseismal lines of Henan
and its adjacent areas, then the seismic intensity attenuation relationship is established by using
the elliptic intensity attenuation model and Levenberg Marquardt nonlinear fitting method. The
result shows that the intensity attenuation relationship is more in line with the characteristics of
earthquake disasters in Henan province.

1 INTRODUCTION

Seismic intensity describes the extent of damage caused by an earthquake. For the same magnitude
in different regions, the range and extent of damage may vary. Also, seismic intensity plays a
crucial role in earthquake loss assessment and acts as the basis for making seismic thematic maps
and emergency aid decisions. As early as 1975, according to historical earthquake data, Hanks and
Hileman conducted a study on the intensity attenuation relationship based on isoseismal maps and
proposed the method of determining the earthquake magnitude through the empirical relationship
between the area and magnitude of the intensity zone. At present, many scholars in China have
carried out studies on the seismic intensity attenuation relationship. The method generally used is
to collect isoseismal data of historical earthquakes and fit them using the least-squares method, so
as to obtain the seismic intensity attenuation relationship (He et al. 2018; Qin et al. 2014; Ren et al.
2020; Zeng et al. 2020). In recent years, some scholars have started to obtain the seismic intensity
attenuation relationship using the Levenberg-Marquardt (LM) nonlinear regression method, but
the least-squares method has better effects than the nonlinear regression method (Chen et al. 2019;
Yang et al. 2017).
During the Ten Five-Year Plan, relying on the seismic observation network project of the China
Earthquake Administration, 31 provinces and municipalities in China have established an earth-
quake emergency command technology system, which is still the main source of post-earthquake
emergency supplies. The system provides information such as the range distribution of seismic
effect fields (Yang 2017; Zhou et al. 2011). Whether the distribution of the seismic effect fields
is reasonable or not directly affects the results of rapid earthquake disaster assessment, and its
accuracy relies on the seismic intensity attenuation relationship model.

868 DOI 10.1201/9781003308584-122

 Currently, the seismic influence field model in the rapid earthquake disaster assessment system
of Henan province still uses the unified parameters of the North China region (Gu Guoliang et al.
2016). The seismic example data in the study are related to a large area, while the actual seismic
intensity relationship is affected by various factors such as geological structures and site conditions
(Zhang Suping et al. 2015). As a result, there is a gap between the assessed influence field and the
actual seismic intensity distribution, which is not in line with the condition of “A Small Earthquake
Causing Disastrous Damages” in Henan province. Given this, based on the collected data of the
historical earthquakes in Henan and its adjacent areas, this paper used GIS software to align and
vectorize the obtained data and measured the major and minor semiaxis data of the elliptic model to
obtain 57 isoseismal lines for 24 earthquakes. In particular, the small and medium-sized earthquake
data in Henan was added, making the data more reliable. The elliptic intensity attenuation model
(Chen et al. 1989; Wang et al. 2000) was also used and fitted by LM nonlinear regression method
to obtain the seismic intensity attenuation model in Henan province. By comparing this model
with the model in the existing disaster assessment software, it was found that the model was more
consistent with the earthquake condition in Henan province and could improve the accuracy of the
disaster assessment system.

2 RESEARCH MATERIALS

2.1 Background
Situated in the central area of China, Henan province shares its borders with Anhui and Shandong
to the east, Hebei and Shanxi to the north, Shaanxi to the west, and Hubei to the south, thus
connecting the eastern area with the western area and southern area with the northern area. The
total area of Henan province is 167,000 square kilometers, accounting for 1.73% of the total area
of China. High in the west and low in the east, Henan province is surrounded by four mountain
ranges, the Taihang, Funiu, Tongbai, and Dabie, which stand in its north, west, and south in a
semi-ring-shape along the provincial boundary. Henan is also an important transportation hub of
China, geologically straddling two major tectonic units, which are the North China platform and
the Qinling Fold System. Since the Middle Cenozoic, due to the tectonic superposition of the
southern Qinling-Dabie orogeny and the subduction of the eastern Pacific plate, two major fault
systems are formed in near-northwestern and northeastern directions, including the North Qinling
fault zone, the southern margin of the North China block fault zone, the Pangu Temple-Xinxiang-
Shangqiu fault zone, the Taihang Mountain front fault zone, and the Liaolan fault zone (see Figure
1). These fault zones are characterized as “Strong in the North and Weak in the South, Strong
in the East and Weak in the West” and “Inherited Development, Regional Extension, Segmental
Activity, and Complex Genesis” during the Neotectonic period. Therefore, there is a geological and
tectonic background for destructive earthquakes (Henan Earthquake Agency (2017)). There are few
cases of destructive earthquakes that occurred in Henan province, but multiple large earthquakes of
magnitude 7 or higher have ever occurred near Henan province, causing much more damage than the
earthquakes that occurred in Henan province itself. The earthquakes that caused the most fatalities
and the highest intensity in Henan were from neighboring provinces, such as the 81/4-magnitude
earthquake in Huaxian, Shanxi, in 1556, which resulted in about 10,000 deaths in Henan, and the
7.5-magnitude earthquake in Ci County, Hebei, in 1830, which lead to a VII degree seismic zone
of about 4,000 square kilometers and a IX degree seismic zone of more than 200 kilometers in
Henan province.

2.2 Seismic case collection

The seismic cases and isoseismal data used in this paper are mainly from the Catalogue of Recent
Earthquakes in China (A.D.1912 - 1990) and the compilation of related materials (Earthquake
Disaster Prevention Department of China Earthquake Administration, 1999; Earthquake Emer-
gency Rescue Department of China Earthquake Administration, 2010; Monitoring and Forecasting

869
Figure 1. Distribution of Selected Earthquakes in Henan Province and its Neighboring Areas.

Department of China Earthquake Administration, 2001; Department of Earthquake Emergency

Rescue, China Earthquake Administration, 2015(a), 2015(b)). Twenty-four earthquakes above
M4.0 from 1917 to 2015 were selected, including 13 cases of M4.0 to M4.9, 6 cases of M5.0 to
M5.9, 3 cases of M6.0 to M6.9, and 2 cases of M7.0 or above, and the location distribution is
shown in Figure 2. The seismic intensity ranges from IV to X degrees, with 20 isoseismal lines of
degree V, 18 of degree VI, 7 of degree VII, 4 of degree VIII, 2 of degree IX, and 1 of degree X (see
Table 2).

Table 1. Isoseismal data of henan province and its neighboring areas.

Magnitude Intensity Major Axis Minor Axis

No. Date Location (Ms) (I) (km) (km)

1 1917.01.24 Huoshan County, Anhui 6.25 VIII 6 2.5

VII 15 10
2 1932.04.06 Macheng, Hubei 6.0 VIII 4.82 3.16
VII 8.68 5.84
VI 14.84 8.29
3 1937.08.01 Heze, Shandong 7.0 IX 7.6 5.3
VIII 18 13.4
VII 47.1 29.4
VI 217 136
V 495 420

(continued)

870
Table 1. Continued.
Magnitude Intensity Major Axis Minor Axis
No. Date Location (Ms) (I) (km) (km)

4 1959.07.03 Huangchuan, Henan 5.0 VI 4.2 2.7

V 11 10
5 1964.09.05 Yunxi County, Hubei 4.9 VII 6 4.5
VI 19 16
V 33 27.5
6 1966.03.06 Ningjin County, Hebei 5.2 VII 6.5 3
VI 22.6 8.9
V 54.8 31.2
7 1966.03.22 Xingtai, Hebei 7.2 X 8 5.3
IX 24.1 17.4
VIII 50.2 36.4
VII 110.3 66.9
VI 227 197
V 404.5 351.6
8 1973.03.11 Huoshan County, Anhui 4.5 V 5 2
IV 37 25
9 1973.11.29 Xichuan County, Henan 4.7 VI 3.74 2.25
V 17.1 11.2
10 1977.07.09 Chengwu County, Shandong 4.8 VI 5 3
V 26 18
11 1978.06.05 Xinxiang, Henan 4.5 V+ 25 11
12 1979.03.02 Guzhen County, Anhui 5.0 VI 7 4
V 12 6.5
13 1980.08.02 Caisang Town, Linzhou, Henan 4.7 VI 3.5 1.5
V 7.9 4.45
IV 16.45 9.5
14 1989.11.09 Longyao County, Hebei 5.8 VI 10 4
15 1981.12.23 Heze, Shandong 4.3 VI 6 4
V 21 15
16 1983.11.07 Heze, Shandong 5.9 VII 12 6
VI 68 24
V 136 80
IV 272 220
17 1983.10.15 Mengzhou, Henan 4.2 IV 20 10
18 1985.11.30 Ren County, Hebei 4.6 V 5 4
19 1998.07.11 Linyi-Yongji, Shanxi 5.0 VI 10.5 8.5
V 14 14
20 2000.04.29 Neixiang-Zhenping, Henan 4.7 VI 9 5
V 42.5 13.5
III 160 42.5
21 2003.11.25 Hongtong County, Shanxi 5.0 VI 3.5 2.3
V 27 11
22 2010.10.24 Zhoukou, Henan 4.7 VI 6 4.15
V 15.15 10.35
23 2014.04.20 Huoshan County, Anhui 4.3 V 8.5 3.5
24 2015.03.14 Fuyang, Anhui 4.3 VI 2 1.4
V 5.2 3.7

2.3 Acquisition of isoseismal data

The collected seismic intensity data were digitally scanned, cropped, geometrically corrected using
GIS software, and finally vectorized to obtain isoseismal data. The steerable major-axis method

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Table 2. Seismic magnitude and intensity.

Number of Isoseismal Lines Under Different Intensity

Number of
Magnitude Range Earthquakes IV V VI VII VIII IX X Total

4.0-4.9 13 4 12 8 1 25
5.0-5.9 6 1 6 7 2 16
6.0-6.9 3 1 2 2 5
7.0-7.9 2 2 2 2 2 2 1 11
Total 24 5 20 18 7 4 2 1 57

was used to measure the major-axis and minor-axis radius of isoseismal lines, i.e., the radius of each
isoseismal line along the longest direction is the major-axis radius, and the radius of each along
the perpendicular direction to it is the minor-axis radius. The collected isoseismal data are shown
in Table 1. The scatter plot of major semi-axis, minor semi-axis, seismic intensity, and earthquake
magnitude is given in Figure 2.

Figure 2. Magnitude-intensity-distance scatter plot.

3 METHODOLOGY

3.1 Elliptic intensity attenuation relationship

Currently, all studies on the intensity attenuation relationship use the elliptic intensity attenuation
model in their seismic system. That is, the earthquake source as a point source is the starting point
of the intensity attenuation model, which is overlapping. In the far field, the seismogenic structure

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disappears and the intensity isoseismal line tends to be circular. The current major and minor axes
are calculated as follows.
The attenuation relationship along the major axis direction is as follows.

I = L1 + L2 M + L3 ln (Ra + L4 ) (1)
The attenuation formula along the minor axis direction is as follows.

I = S1 + S2 M + S3 ln (Ra + S4 ) (2)
Where I is the seismic intensity, M is the magnitude, L1 , L2 , L3 , S1 , S2 , and S3 are the regression
coefficients of the attenuation formula of major and minor axes, respectively, L4 and S4 are the
near-field saturation factors of the intensity attenuation along the major and minor axis directions,
respectively, and Ra and Rb are the major and minor axis radius of the elliptic model for the case
of intensity I, respectively, both of which have a mean value of zero.

3.2 LM Nonlinear fitting method

The LM method, also known as the Levenberg-Marquardt method, is used for the least-squares
estimation of nonlinear parameters. Compared with the ordinary least squares method, this method
can solve the parameters in Eq. (1) and (2) through Eq. (5) without presetting the values of L4
and S4 .
m # $
G(m)i − di
f (m) = (3)
σi
i=1
Where m denotes the model parameter, d denotes the observed data, G denotes the constructor,
 is the standard deviation, and f (m) is the objective function.
The scalar-valued function is as follows.
G(m)i − di
f (m) = (4)
σi
The vector-valued function is as follows.
⎡ ⎤
f1 (m)
⎢. ⎥
⎢ ⎥
F(m) = ⎢ . ⎥
⎣. ⎦ (5)
fm (m)

The gradient is calculated as follows.

∇f (m) = 2J (m)J F(m) (6)

Then proceed to the next iteration. The formula is as follows.

J (mk )T J (mk + λI) m = −J (mk )T F(mk ) (7)

m =m + m
k k
(8)
Where I is the unit matrix and J(m) is the Jacobian determinant.
When the weighted parameter values satisfy the following formula, the model parameters
converge, that is, the model parameters can be obtained.

∇f (m) = 0 (9)
Finally, through continuous iteration, the Eq. (1) and Eq. (2) of the seismic intensity attenuation
relationship in the major and minor axis directions satisfying the conditions can be obtained.

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4 CALCULATION RESULTS AND COMPARATIVE ANALYSIS

4.1 Calculation results

By virtue of the elliptic attenuation model and the non-steering major-axis statistical method, the
intensity attenuation equations for Henan and its neighboring areas were obtained by using 24
earthquakes and 57 isoseismal lines selected and fitting the data using the LM method based on
Eq. (10) and Eq. (11) as follows.

Major axis : I = 2.265 + 1.363M − 1.089 ln (Ra + 8.797)R2 = 0.851 (10)

Minor axis : I = 1.267 + 1.41M − 1.036 ln (Rb + 4.71)R = 0.845
2
(11)

4.2 Comparative analysis

The seismic intensity attenuation model used in this study was compared with the model used in
the assessment system for North China.
The seismic intensity attenuation model for North China used in the “15th Five-Year Plan”
earthquake emergency command system is as follows.

Major axis : I = 3.785 + 1.434M − 1.569 ln (Ra + 15) (12)

Minor axis : I = 2.008 + 1.434M − 1.285 ln (Ra + 7) (13)
The results obtained from Eq. (10) and Eq. (11) were compared and analyzed with the North China
seismic intensity attenuation relationship used by the disaster assessment system. Comparative plots
of the major and minor semi-axis intensity attenuation relationships were obtained, respectively
(see Figure 3).

Figure 3. Comparison of intensity attenuation relationships.

As we can see from Figure 3, for earthquakes of magnitude Ms5.0 or smaller, the intensity
degree calculated using this model is greater for places close to the epicenter, which is in line with
the condition of “A Small Earthquake Leading to A Great Disaster” in Henan province. On the
other hand, the intensity degree in meizoseismal areas calculated using the two models is similar
within 10 km. But for earthquakes of magnitude Ms6.0 or higher, the intensity degree calculated
using the North China seismic model is higher than that calculated using the model in this study.
This is probably due to the small amount of sample earthquakes above M6.0 in Henan province.
Within the range of 10 km, the attenuation relationship obtained in this study and the North China
model is basically the same. But the intensity attenuation calculated using the North China model
is significantly faster than that using this model when the area is 10 km away from the epicenter.

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5 CONCLUSION AND DISCUSSION

In this study, 57 intensity isoseismal data of 24 recent earthquakes with instrumental records in
Henan and its neighboring areas were collected and analyzed, and the seismic intensity attenuation
relationship was localized by using the LM nonlinear fitting method. By comparing the attenuation
relationship model used in this paper with that used in the assessment system for North China, the
following conclusions were obtained.
1. A total of 2 earthquakes of magnitude 7 or higher, 3 earthquakes of magnitude 60 to 6.9, 6
earthquakes of magnitude 5.0 to 5.9, and 13 earthquakes of magnitude 4.0 to 4.9 were selected.
The selected data were consistent with the characteristics of seismic activity in Henan province.
2. As can be seen from the major and minor semi-axes attenuation trend graphs (see Figure 5),
the intensity degree calculated using this model is slightly higher than that calculated using the
North China model when the magnitude is less than M5.0, which is consistent with the actual
situation of “A Small Earthquake Leading to A Great Disaster” in Henan province.
3. The north, west, and south of Henan and its neighboring areas are bedrock areas, and the thick-
covered North China Plain lies in the east. The Quaternary strata cover 2/3 of the total area. 11
of the 24 earthquakes involved in the calculation occurred in the bedrock area, and 13 occurred
in the areas covered by the Quaternary strata. Therefore, the attenuation relationship reflects
the intensity attenuation characteristics of Henan and its neighboring areas in a comprehensive
way. The slower intensity attenuation at a distance of 10 km away is more characteristic of the
attenuation relationship in the area covered by the Quaternary strata, indicating the amplification
effect of Quaternary cover strata on ground shaking.
The above study and analysis suggest that the seismic intensity attenuation relationship can better
reflect the geological conditions of Henan and its neighboring areas and has better applicability.

AUTHOR PROFILE

Han Zhenhui(1986-), male, M.S, mainly engaged in earthquake emergency and earthquake disaster
risk research.

FUNDED BY

Earthquake Fund of Henan Earthquake Agency; Earthquake Emergency Response Youth Key Task
of China Earthquake Administration (CEA_EDEM-2020).

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Chen Jing, Yang Yanming, Xiao Shuang, et al. Study on seismic intensity attenuation in shanghai and its
adjacent regions based on nonlinear fitting[J]. Plateau Earthquake Research. 2019(3).
Earthquake Disaster Prevention Department of China Earthquake Administration. Catalog of Recent
Earthquakes in China, 1912-1990, Ms≥4.7[M]. Science and Technology of China Press, 1999.
Earthquake Emergency Relief Department of China Earthquake Administration. Compilation of Earthquake
Disaster Loss Assessment in Mainland China from 2006 to 2010[M]. Seismological Press. 2015.
Earthquake Emergency Relief Department of China Earthquake Administration. Summary of Earthquake Loss
Assessment Reports in Mainland China from 2001 to 2005[M]. Seismological Press. 2010.
Earthquake Emergency Relief Department of China Earthquake Administration. Compilation of Earthquake
Disaster Loss Assessment in Mainland China from 1966 to 1989[M]. Seismological Press. 2013.

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Its Adjacent areas[J]. Technology for Earthquake Disaster Prevention. 2016, 11(01):40–48.
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Monitoring and Forecasting Department of China Earthquake Administration. Compilation of Earthquake
Disaster Loss Assessment in Mainland China[M]. Seismological Press. 2001.
Monitoring and Forecasting Department of China Earthquake Administration. Compilation of Earthquake
Disaster Loss Assessment in Mainland China: 1996-2000[M]. Seismological Press. 2001.
Qin Juan, Cai Huiteng, Wang Zanjun. Further discussion on attenuation relation of seismic intensity
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large earthquakes (Ms≥ 7) in the western area of China[J]. Journal of Natural Disasters. 2015(1):104–113.
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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Research and practice on the connectivity of rivers and lakes

Z.H. Chai, X. Wang & W.T. Lei

Changjiang River Scientific Research Institute, Wuhan, China

ABSTRACT: The connectivity of rivers and lakes is an important means in the comprehensive
management of rivers, lakes and reservoirs. Facing the rapid development of related research and
engineering practice in China, this paper discussed the concept, connotation and classification
of river lake system connectivity, analyzed the evaluation methods and application scope of river
lake system connectivity, summarized the related practice and evaluation system of river lake
system connectivity engineering, and put forward the river lake system connectivity classification
system, the coupling evaluation methods of horizontal, vertical and vertical connectivity of river
and lake system, unified evaluation standards and methods of river and lake system connectivity
engineering, and mechanism of river and lake system connectivity should be strengthened. More
attentions should be paid to the negative effects of the river and lake system connection project.
And the scientificity, rationality and sufficiency of the river lake water system connection project
should be strengthened, so as to meet the current construction requirements of happy rivers and
lakes.

1 INTRODUCTION

With the rapid development of urbanization, the improvement of the water resources bearing
capacity and the human living standards, the pattern and connectivity of river and lake systems
have changed greatly under the dual impact of global climate change and human activities. For
example, there were 108 lakes with an area of more than 10 km2 in the middle and lower reaches
of the Yangtze River before 1950, most of which were naturally connected with the Yangtze River.
At present, only Dongting Lake, Poyang Lake and Shijiu Lake are connected with the Yangtze
River, and the rest are separated from the Yangtze River by means of reclamation, dike construction
or sluice construction from 1965 to 2000 (Lei et al. 2012; Wu et al.2019). A large number of
rivers and lakes in Beijing were changed into underground rivers or filled up, resulting in the loss
of water resources in recent 50 years (Liu 2020). And the river development coefficient, river
network density and water surface rate in Jiaxing have decreased by 58.91%, 28.49% and 14.09%,
respectively (Deng et al. 2016). To some extent, the change of river and lake system connectivity
aggravates the river cutoff, water environment deterioration, water resources shortage, biodiversity
reduction, etc, affecting the health and happiness of rivers and lakes. Therefore, since the issue
of the connectivity of rivers and lakes was proposed in 2009, it has been paid attention by the
central government and governments at all levels. Many scholars have carried out a lot of research
on the theoretical system, characteristics, influencing factors, evaluation and practical application
of river lake system connectivity, and achieved lots of meaningful results. In this paper, the basic
concept and classification of river lake system connectivity, the evaluation method of river system
connectivity, the application practice of river system connectivity engineering and the evaluation
index system are summarized, in order to provide theoretical support for water system connectivity
research and engineering planning.

DOI 10.1201/9781003308584-123 877

2 CONCEPT AND CLASSIFICATION OF WATER SYSTEM CONNECTIVITY

2.1 Definition and connotation

With the development of hydrologic theory, the definition of connectivity of rivers and lakes were
given from the point of the composition of water system, hydrological process, and material and
energy transport, such as, Ma et al. (2003) put forward it was a network water system, but did
not elaborate in detail; Xu and Pang (2011) thought that establishing the hydraulic connection
between river and lake water systems through natural forces or engineering measures was called
the connectivity of rivers and lakes; Xia et al (2012) advanced that the connectivity of rivers and
lakes was based on the natural and artificial river lake reservoir system to maintain, reshape or
build a new flow connection channel meeting certain functional objectives, so as to maintain a
relatively stable flowing water body and its related material circulation. Based on the relevant
research results, the Ministry of Water Resources issued the guidance on promoting river lake
reservoir water system connectivity in 2013, which defines the connectivity of rivers and lakes
as taking reasonable engineering and non-engineering measures such as dredging, connectivity,
drainage and dispatching, to establish or improve the water system connectivity of rivers lakes and
reservoirs. From 2015 to 2016, the Ministry of Water Resources guided the local governments
to implement 84 water system connectivity projects of rivers lakes and reservoirs at the city and
county levels, and carried out the compilation of the river lake reservoir water system connectivity
implementation plan (2017-2020). In recent years, the pilot work of water system connection and
comprehensive improvement of rural water system are also promoted.
The essence of the connectivity of rivers and lakes is to enhance the hydraulic connection between
rivers and lakes, mainly including the water quantity that can meet the relevant demand and the
connecting channel of water flow. On this basis, Zhang et al. (2010) proposed that the continuity
of water flow under certain demand and keeping the connecting channel unobstructed are the
connotation of water system connection between rivers and lakes. Chen (2019) put forward that
there are some deficiencies in the connotation of water system connectivity proposed only from
the perspective of water resources and ecological environment governance. The connotation of the
connectivity of rivers and lakes should include boundary connectivity, flow connectivity, sediment
connectivity and biological connectivity, as shown in Figure 1.

Figure 1. Connotation and interrelationship of the connectivity of rivers and lakes.

2.2 Classification
Scholars have classified the connectivity of rivers and lakes in different perspectives from its
definition and connotation. For example, Zhang et al (2010) classified the connection types into
the connection between river and estuarine wetland, the connection between river and lake, the

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connection between river and swamp, the connection between river and beach, the connection
between river and reservoir, etc. Xu and Pang (2011) put forward that it can be divided into the
south rainy type, the north arid type, the northwest inland type, the Yunnan Guizhou plateau type
and the Qinghai Tibet plateau type, according to the climate division. And it can be divided into
the Inter basin connectivity, the adjacent water system connection in the same basin and the urban
water system connection in spatial scale. According to the function, it also can be divided into
the flood control type, the water supply type, the ecological environment type and the mixed
type. Xia (2012) divided it into 32 types from the aspects of driving factors, geographical location,
water system characteristics, spatial pattern, connectivity purpose, connectivity object, connectivity
mode and time effect. Chen (2019) divided river system connectivity into river channel connectivity
(main channel longitudinal connectivity, river beach channel lateral connectivity) and river system
connectivity (connection of distributary reach, confluent reach and river lake), and inter regional
water system connection (water diversion project).
There are many classification methods, but most of them are in the theoretical level. Facing
the complex river lake system and different requirements, there are some shortcomings. In the
future, according to the different requirement in the basin characteristics, regional characteristics,
economic development and water ecological environment, we should put propose a systematic
classification system based on division and target.

3 CONNECTIVITY EVALUATION METHOD

The connectivity of river and lake system is an important parameter to judge the function and health
of rivers. At present, the connectivity evaluation methods mainly include landscape method, graph
theory method, hydrology hydraulics method, and comprehensive index method, etc.
Landscape method includes regional landscape index method and local patch index method. The
former mainly determines connectivity according to regional physical geography and landscape
pattern principle, which is mainly applicable to the calculation of connectivity of multiple landscape
units. The latter is determined by patch adjacency in local geographical units, which is mainly
used to evaluate local regional ecological connectivity. Shen et al. (2015) studied the impact
of landscape pattern change on water system connectivity in Pudong New Area. Based on the
local patch index method, Zhang and Wu (2018) studied the change of hydrological connectivity
and spatial morphology evolution of Baiyangdian wetland, combining with morphological spatial
pattern analysis model and connectivity index. In addition, some scholars put forward the tree water
system connectivity index based on the landscape connectivity theory, and used it in the study of
the impact of water conservancy projects such as gates and dams on river lake the connectivity of
rivers and lakes (Kindlmann & Burel 2008; Luo et al. 2012; Meerkerk et al. 2009; Sun et al. 2016).
Combined with the hydrodynamic characteristics of river system, the physical channel of river
and lake system is mathematically generalized, and its physical connectivity is described by the edge
connectivity parameter in graph theory method (Dong 2019). Zhao et al. (2015, 2017) analyzed the
horizontal connectivity of typical rivers and plain water network by using theory method. Zhou et
al. (2015) evaluated the connectivity of raw water system in Zhengzhou. Because the simple graph
theory method is mainly suitable for evaluating the structural connectivity of tree water system and
river network water system, some scholars have optimized it from both structural connectivity and
hydraulic connectivity. Such as, Xu et al. (2012) proposed a river network connectivity evaluation
method based on flow resistance and graph theory, while Chen et al. (2016) used this method
to evaluate the river network connectivity of yanjingwei plain in Changshu. Gao et al. (2018)
developed a connectivity evaluation model, combined hydrological modeling and graph theory, by
constructing connectivity factors to characterize the water exchange capacity of river network, and
used it in Qinhuai River Basin.
The hydrologic method is to determine the connectivity according to the natural and social
attributes of the river, such as the hydrological process, the flow patency and flow capacity, the
location and importance of the river. Karim et al. (2012) used two-dimensional hydrodynamic

879
model to study the flood plain and river connectivity of Tully muraay in Australia. Meng et al.
(2014) proposed a river connectivity evaluation method based on flow resistance and hydrological
process, and applied it in the river network area of Yindongnan plain. Zheng et al. (2016) and Chai
et al. (2020) analyzed the impact of typical river lake group connectivity on hydrodynamic and
water quality by using the hydrodynamic water quality model.
The comprehensive index method is to establish a comprehensive index system of connectivity
based on the natural and social attributes of the river and lake system, and then select the analytic
hierarchy process for systematic evaluation. Dou et al. (2013) evaluated the connectivity of 13
tertiary water resources areas in Huaihe River basin with the parameters of water system ring
degree, node connectivity rate and horological connectivity degree.
Although there are many methods to evaluate the connectivity of river and lake systems, there are
some differences in the calculation results, and there is no unified understanding of choosing which
method. In addition, the current evaluation content mainly focuses on the horizontal connectivity
of river and lake systems, while the research on the vertical and vertical connectivity is relatively
small. In the future, the coupling evaluation of the horizontal, vertical and vertical connectivity of
river and lake systems should be carried out, and the evaluation norms or standards of river and
lake water system connectivity should be introduced.

4 WATER SYSTEM CONNECTION PROJECT

The connectivity of rivers and lakes mainly focuses on the areas with water shortage, fragile water
ecology and deterioration of water environment. It gradually constructs the connection pattern
of river and lake water system at the national, regional and urban levels, with reasonable layout,
complete functions, optimized engineering and strong guarantee, as well as the ability of allocating
water resources, guaranteeing the safety of water supply, controlling flood, .and protecting the
water ecological environment.
The concept of the connectivity of rivers and lakes was formally put forward by the Ministry
of water resources in October 2009. In fact, its practice has already started through the existing
culverts and gates, new water conservancy projects and water system grid across more provinces
and cities in the past few decades. The Middle Route Project of the south to North Water Diversion
Project, started from in 1952, transfers water from Danjiangkou reservoir in the middle and upper
reaches of Hanjiang River, the largest tributary of the Yangtze River. The main canal is excavated at
the head of the project canal in Xichuan County, Henan Province, on the East Bank of Danjiangkou
reservoir. The canal is excavated along the central and western edge of the North China Plain
through fangchengyakou, the watershed between the Yangtze River Basin and the Huaihe River
Basin. The tunnel passes through the Yellow River. And then, the water flows from the west side
of the railway to the north and flows to Tuancheng Lake in the summer palace of Beijing. This
project was officially opened on December 12, 2014. At present, the first phase of the middle
route of South to North Water Transfer Project has delivered about 30 billion m3 of water to the
north, alleviating the shortage of water resources in North and central China to a certain extent,
promoting the development of greening, ecological agriculture and green agriculture in the water
receiving areas, and improving the local ecological environment. Similar water diversion projects
include water diversion from the Yangtze River to Taihu, water diversion from the Yangtze River to
Huaihe, water diversion from the Yellow River to Qingjiang, water diversion from Zhangzhou to
Qinling, water diversion from the Yangtze River to Buhan, etc. (Hao et al. 2012; Sun et al. 2019).
In addition, with the development of the pilot work of rural water system connection and compre-
hensive improvement, more and more rural water system connection projects begin to be planned
and implemented. For example, the water system connection and comprehensive improvement
project in Fuxing District of Handan City, which the author is currently participating in the plan-
ning, proposes to take the water system connection as the basis, take towns or villages as the nodes,
control the water area and shoreline simultaneously, and promote the project in a centralized way.
According to the characteristics of water system, the governance layout of “one axis, two sources,

880
three corridors, four districts” is proposed, which helps to build beautiful rivers and happy rivers
in Fuxing District.

5 CONCLUSION

Since the concept of the connectivity project of rivers and lakes was put forward, its related research
and engineering practice have developed rapidly in China. However, there are still some deficien-
cies in the river lake system connectivity classification system, the coupling evaluation methods
of horizontal, vertical and vertical connectivity of river and lake system, the unified evaluation
standards and methods of river and lake system connectivity engineering, and the mechanism of
river and lake system connectivity, which is necessary to strengthen in the future.
In addition, the river and lake system is a complex network system. Artificially changing the
connectivity between water systems or nodes will have an impact on the whole network structure.
Structural changes may cause problems such as the decline of water quality and the invasion of
foreign substances. These negative effects are often potential, sudden and long-term. Therefore,
Scientific, reasonable and sufficient demonstration should be carried out in the planning of river
lake system connection project to minimize the human factors and reduce the negative effects.

ACKNOWLEDGMENTS

This work was financially supported by the Fundamental Research Funds for Central Public Welfare
Research Institutes (Grant No.CKSF2021530/HL).

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Zhang, O.Y., Xiong, W., Ding, H.L. (2010) Drainage connectivity characteristics and influential factors of
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Zhao, J.R., Dong, Z.R., Yang, X.M., et al. (2017) Connectivity Evaluation Technology for Plain River Network
Regions based on Edge Connectivity from Graph Theory. Journal of Hydroecology. 38: 1–6.
Zhao, J.R., Dong, Z.R., Zhao Z L, et al. (2011) Evaluation method for river floodplain system connectivity
based on graph theory. Journal of Hydraulic Engineering. 39: 537–543.
Zheng, Q., Li, J., Duan, G.H., et al. (2016) Influences of Water-network Connection Project on Hydrodynamic
Conditions in East Lake. International Journal Hydroelectric Energy. 34: 90–93.
Zhou, Z.M., Liu, J.X., Guo, J. (2015) Comparison and Evaluation of Drainage Pattern and Connectivity in
Zhengzhou City. Yellow River. 37: 54–57.

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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Discrete element simulation of window rock mass in Baihetan

Hydropower Station

Zhigang Shan, An Liu∗ & Shouzhong Xue

PowerChina Huadong Engineering Corporation Limited, Hangzhou, China

ABSTRACT: To effectively avoid the deviation in the generalization of rock mass structure, this
paper develops a discrete element calculation method based on on-site rock mass fine structure
mapping, by which abundant numerical tests can be directly carried out on the rock mass structure
models (mostly including intermittent joints) obtained from field survey. The on-site rock mass
structure sketch drawing is first transformed into CAD drawing, and then the data are imported
into UDEC software by self-made software to establish the two-dimensional discrete element
window rock mass model. At the same time, according to the field test and indoor test results,
the mechanical parameters of rock block and joint surface are sorted out and assigned to the
numerical model. When different loading conditions are changed, the failure mechanism of rock
mass and mechanical parameters of related engineering applications can be analyzed economically
and quickly. The result will promote the development of engineering parameter risk prediction and
reliability analysis in hydropower project construction.

1 INTRODUCTION

The advantage of numerical method is that it can better consider the complex characteristics of
rock mass media, such as anisotropy, heterogeneity, and discontinuity. An appropriate number
of conventional tests combined with a large number of numerical tests are considered an ideal
method to study the mechanical parameters of rock mass. The field of rock mass mechanics has
been exploring the calculation and analysis of rock mass mechanical properties. Zhou et al. (1992)
proposed a method to obtain engineering rock mass parameters by computer simulation based on
field exploration data. Chen et al. (2000) used numerical method to test massive rock mass, and
achieved the purpose of obtaining rock mass parameters through rock mass parameters and rock
mass structure. He (2001) proposed a parameter determination method based on field investigation,
indoor physical test, and numerical simulation. Li et al. (2003) used the three-dimensional discrete
element method to simulate the uniaxial compression test of joint rock blocks. Compared with
other methods, it is found that the calculation results have sufficient accuracy. Zhang (2006) used
the finite element method to calculate the rock mass with one group and two groups, and verified
the effectiveness of the equivalent model of joint rock mass.
Most of the above studies are the calculation and analysis of the generalized model of rock mass.
The joints and fissures in the sample are connected, but most of the actual joints are not connected.
In order to avoid the deviation in the generalization of rock mass structure, this paper develops a
set of methods based on the previous work, and directly carries out a large number of numerical
tests on the rock mass structure models (mostly including intermittent joints) obtained from field
survey.
The discrete element calculation method based on on-site rock mass fine structure mapping is
developed from two aspects: on the one hand, improve the accuracy of geological survey, carry

∗ Corresponding Author: [email protected]

DOI 10.1201/9781003308584-124 883

out fine mapping of rock mass structure in the mapping area, supplemented by high-definition
digital photography, which is used to establish typical rock mass structure unit model; On the other
hand, the field geological information is reproduced by means of numerical simulation, and the
geometric model of numerical test is established. The mechanical parameters of rock block and
structural plane obtained from indoor and outdoor test analysis are used as the basic input of the
model, and mechanical numerical tests are designed under different working conditions to finally
analyze and determine the mechanical parameters of rock mass.

2 TWO-DIMENSIONAL DISCRETE ELEMENT MODEL OF WINDOW ROCK MASS

According to the field geological research and statistical window characteristics, a representative
window (PD36_142∼143.5 m) is selected on the downstream wall of footrill to establish a two-
dimensional discrete element calculation model (Figure 1), of which the size is 1.5 m × 1.0 m.

Figure 1. Source flow of numerical model.

3 MECHANICAL PARAMETERS AND MODEL BOUNDARY CONDITIONS OF ROCK

BLOCK AND JOINT SURFACE

3.1 Basic parameter values

According to the indoor rock block test, the basic mechanical parameters of shear strength of fresh
rock blocks with different sizes are shown in Table 1.

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Table 1. Test values of shear strength parameters of rock blocks of various sizes.

Size/cm c/MPa F

5 4.55 6.14
10 3.51 2.86
50 1.22 1.47
100 0.95 1.35

The uniaxial compressive strength test results of rock blocks with different weathering degrees
are shown in Table 2.

Table 2. Summary of uniaxial compressive strength test results of blocks.

Crack length Compressive Peak Poisson’s Elastic

Sample Size per unit surface area Weathering strength strain ratio modulus
No. (cm) (cm/cm2 ) degree (MPa) (%) µ50 E50 (GPa)

2-4-1 ϕ5 × 10 0.37 weakly 91 0.46 0.08 17.7

2-5-1 ϕ5 × 10 0.64 36.4 0.24 0.29 13.9
3-2 ϕ5 × 10 0.25 116.8 0.39 0.20 32.0
52 ϕ5 × 12 0.45 slightly 42 0.2 0.50 22.0
17 ϕ5 × 12 0.42 76.4 0.22 0.08 26.5
69-1 ϕ5 × 12 0.25 156 0.37 0.31 39.0
Average 0.40 86.4 0.31 0.24 25.2

From the above two tables, the shear strength parameters of fresh and complete rock blocks are
taken, the internal friction coefficient f is 2, the cohesion c is 6 MPa, the average value of elastic
modulus is 25 GPa, and the Poisson’s ratio is 0.25. Because the weathering and unloading degree
of the calculation window is different, the mechanical parameters of the window rock block are
reduced according to the ratio of the rock block strength termed as score in the window rock mass
quality evaluation. If the score value of rock block strength term is Rm and the maximum score
value of strength term along the tunnel depth range window is Rmax , the mechanical parameters of
rock block in this window are reduced according to the following formula:

Rm
Pwindow = Pfresh (1)
Rmax
Where, Pwindow is physical parameter of window rock block; Pfresh is physical parameter of fresh
rock block.
According to the above formula, the selection of rock block physical parameters in this window
is shown in Table 3.

Table 3. Mechanical parameters of rock block required for window numerical calculation.

Rm f c (MPa) υ Et (GPa)

19 2 6.00 0.25 25.0

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3.2 Model boundary conditions
The basic boundary condition of numerical simulation calculation of compression test is that the
upper boundary of the specimen is velocity-controlled displacement boundary, the bottom boundary
is displacement constrained, and the side is different confining pressure boundary. The boundary
conditions of model loading are shown in the following Figure 2.

Figure 2. Boundary conditions of window rock mass numerical model loading.

3.3 Window rock mass numerical simulation results

The basic results of two-dimensional discrete element numerical simulation of tunnel section are
shown in Table 4. The triaxial compressive strength of window rock mass under different confining
pressures can be calculated according to the following formula:

σ1 = Fσ3 + R (2)

Where, σ 1 is axial pressure, MPa; σ 3 is lateral pressure, MPa; F is slope of relation line of
σ1 ∼σ3 ; R is intercept of the relation line of σ1 ∼σ3 on the ordinate axis.

Table 4. Calculation results of compression test.

Lateral confining pressure (MPa) Yield axial pressure (MPa) Yield axial strain

9.26 2.17E-05
0.5 15.64 1.25E-03
1 17.76 3.62E-04
1.5 20.5 −3.66E-05
2 21.94 −1.04E-04
2.5 24.16 −2.22E-04

Quasi triaxial regression

c (MPa) 2.42
f 0.96

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 The two-dimensional loading curve of window rock mass can be transformed into rock mass
shear strength parameters through the following formula:
F −1
f= √ (3)
2 F
R
c= √ (4)
2 F
Based on the above formula, the quasi triaxial numerical simulation results can be transformed
into shear strength parameters (Table 4).
The calculated shear strength parameters of window rock mass are summarized in Table 5.
Table 5. Rock mass shear resistance parameters calculated by numerical method.

Calculation Numerical simulation

Total Window rock mass quality rating
score f c (Mpa) f c (Mpa)

60.5 2 1.21 1.21 0.96 2.42

4 FAILURE MECHANISM ANALYSIS OF ROCK MASS

The maximum stress nephogram and plastic zone distribution diagram of rock mass in window as
shown in Figure 3, when the confining pressure is 0, the rock mass is under uniaxial compression,

Figure 3. Cloud diagram of maximum principal stress and plastic zone distribution after failure at different
confining pressure.

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the cylindrical joints are open, and there is a plastic zone caused by stress concentration in local
columns, but the range is small.
The numerical test of window rock mass shows that when the confining pressure is 0, the rock
mass is under uniaxial compression, the cylindrical joints open, and there is a plastic zone caused
by stress concentration in the local column, but the range is small. With the increase of confining
pressure, the blocks cut by joints are compacted and in-laid with each other, and the internal stress
distribution of rock mass is relatively more uniform, showing the characteristics of in-laid block
structure.

5 CONCLUSION

The paper introduced the working method of window rock mass discrete element simulation based
on field geological mapping, including how to establish the window rock mass model and how to
assign the basic mechanical parameters of different window rock blocks and joints. The numerical
simulation results show that the mechanical parameters of rock mass simulated by numerical
simulation are basically consistent with those based on an empirical evaluation. The cloud diagram
of maximum principal stress and plastic zone distribution map in the window rock mass show that
the mosaic block structure rock mass with more joints, similar to the columnar jointed rock mass,
has a more uniform distribution of internal stress when the confining pressure increases.
The numerical simulation method introduced in the paper has the advantages of low cost, short
construction period, and large sample size calculation and analysis, which will greatly promote the
development of engineering parameter risk prediction and reliability analysis.

ACKNOWLEDGMENTS

This research was supported by Major Science and Technology Project of Power China Huadong
Engineering Co., Ltd. (KY2021-ZD-03).

REFERENCES

Chen Z., Zhuo J., Liu S. (2000) Interference displacement method and determination of sliding boundary of
layered rock slope. Journal of rock mechanics and engineering, 05: 630–633.
He M., Xue T., Peng Y. (2001) Study on determination method of mechanical parameters of engineering rock
mass. Journal of rock mechanics and engineering, 02: 225–229.
Li S., Dong D.,Yan L. (2003) Three dimensional discrete element numerical simulation of uniaxial compression
test of jointed rock block. Geotechnical mechanics, 04: 648–652.
Zhang Y. (2006) Two dimensional finite element analysis of thermal water stress coupling effect of dis-
continuous surface on saturated unsaturated medium. Journal of rock mechanics and engineering, 12:
2579–2583.
Zhou W., Yang Y. (1992) Study on mechanical parameters of jointed rock mass. Journal of geotechnical
engineering, 05: 1–11.

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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Prediction of external corrosion rate of buried pipeline based on

CS-SVM model

Yong Wang∗ & Yang Zhou∗

College of Petroleum Engineering, Xi’an Shiyou University, Xi’an, P.R. China

ABSTRACT: In order to predict the corrosion rate of buried pipeline, this paper firstly analyzes
the main influencing factors of the corrosion rate of buried pipeline. On this basis, combined with
74 groups of measured data of external pipeline corrosion in a certain area in western China, 62
groups of them were used to establish the CS-SVM model, and the remaining 12 groups of data
were predicted. Meanwhile, the prediction accuracy and calculation time of CS-SVM, PSO-SVM,
GA-SVM, LS-SVM four models were compared. The results show that CS-SVM has the highest
prediction accuracy, the shortest calculation time and strong applicability, which can be popularized
and applied.

1 INTRODUCTION

Due to the influence of soil environment, the corrosion rate of oil and gas pipelines increases
year by year, which seriously threatens the safety of pipeline operation. Although anti-corrosion
measures can slow down the external corrosion rate of pipeline, they cannot avoid the occurrence
of pipeline corrosion damage accidents. Therefore, it is necessary to study the external corrosion
rate of buried pipeline (Li et al.2015).
In recent years, experts at home and abroad have carried out in-depth research on the prediction
of external corrosion rate of pipelines. Li Li (Li et al. 2013) and others studied the prediction
of external corrosion rate of pipeline by constructing BP neural network. However, due to the
relatively large amount of data required by the neural network algorithm and the relatively small
amount of data of corrosion rate outside the pipeline and related influencing factors, the prob-
lem of large prediction error was caused. Bi Aorui (Bi et al. 2018) and others used principal
component analysis to study the factors affecting the corrosion rate of external pipelines, and
the research results effectively reduced the complexity of the prediction problem. Luo Zhengshan
(Luo et al. 2018) and others predicted the corrosion rate outside the pipeline by establishing a
combined model. In the research process, dimension reduction was firstly carried out on the fac-
tors influencing the corrosion rate outside the pipeline, and then generalized neural network was
used to predict the corrosion rate outside the pipeline. Although the training time of the combined
model is short, the final prediction error is higher than 5%, so the prediction accuracy needs to be
improved.
From the above analysis, it can be seen that the defects of the existing prediction model of
corrosion rate outside the pipeline are low prediction accuracy, long training time and unsuitable
for small samples. In view of the existing problems in the current research, the CS-SVM prediction
model is proposed in this study, and its application effect is verified, which proves the feasibility
and advancement of this type of algorithm.

∗ Corresponding Authors: [email protected] and [email protected]

DOI 10.1201/9781003308584-125 889

 This paper first summarizes the main influencing factors of external corrosion of buried pipelines
through literature research, as shown below:
(1) Soil water content: When the water content increases, the external corrosion rate of the pipeline
will increase first and then decrease. At the same time, the water content in the soil will also
have a certain influence on the resistivity and oxygen content of the soil (Yan, Wu, Hu etc.2015).
(2) Soil PH: When the pipeline is in an acidic soil environment, the acid substances in the soil
will be dissolved in water, and the acid solution will react with the steel pipe to corrode the
pipeline; When the pipeline is in an alkaline soil environment, galvanic cells will be formed
between the alkaline substance and the pipeline metal, thus causing serious corrosion of the
pipeline (He 2016).
(3) Soil oxygen content: when the soil oxygen content is high, the increase of aerobic bacteria in
the soil, and when the oxygen content is low, the increase of anaerobic bacteria in the soil.
On the other hand, if there is a large difference in oxygen content along the pipeline, oxygen
concentration batteries will be formed along the pipeline, thus accelerating the corrosion rate
(Luo et al. 2017).
(4) Soil resistivity: When the soil resistivity is relatively high, the electron transfer rate of galvanic
cells will be accelerated, thus accelerating the corrosion rate (Feng 2018).
(5) Soil salt content: Since many salts have electrical conductivity, the increase of soil salt content
will improve the electrical conductivity of soil, thus accelerating the corrosion rate (Chen et
al. 2015).
In this paper, the corrosion rate is predicted by Support Vector Machine (SVM) on the basis of
the known main influencing factors. At the same time, Cuckoo Search algorithm (CS) is used to
optimize the SVM because the C and ε parameters required by SVM have great influence on the
prediction accuracy. A variety of combination algorithms and CS-SVM algorithm were compared
and analyzed to verify the applicability of CS-SVM algorithm.

2 MODEL ESTABLISHMENT

2.1 Basic principles of Cuckoo Search algorithm (CS)

CS algorithm is an effective algorithm to solve the optimization problem by simulating the behavior
of Brood Parasitism of cuckoo. Meanwhile, Lévy flight search mechanism is adopted to enhance
the global optimization capability of CS. The main advantages of CS algorithm are less parameters,
simple operation, easy to implement, random search path optimization and searching ability. During
the application of the algorithm, it is assumed that the number of nests is fixed, which can be
represented by N . Meanwhile, the probability of a cuckoo finding other cuckoo eggs in the process
of looking for nests is Pa . Then, the behavior of cuckoo looking for nests can be expressed by the
following formula:

xit+1 = xit + α ⊕ L(λ)(i = 1, 2, · · · , N ) (1)

In the above formula, xit represents the nest location of the i-th cuckoo during hatching of the
t-generation egg; α is the step length in the search for the nest; ⊕ represents the dot product; L(λ)
is random step size, which satisfies the Lévy distribution:

Lévy ∼ u = t −λ (1 ≤ λ ≤ 3) (2)
In this study, in order to improve the application performance of this algorithm, a weight is added
in the process of cuckoo nest searching:

xit+1 = w · xit + α ⊕ L(λ)(i = 1, 2, · · · , N ) (3)

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Basic principles of Support Vector Machine (SVM)
Support Vector Machine (SVM) has obvious advantages for solving small sample, nonlinear and
high dimensional pattern recognition. It is a classification algorithm with good performance and
can be applied to artificial intelligence and machine learning. The basic principle of this algorithm
is as follows: Suppose that the data set for model training is {(x1 , y1 ), (x2 , y2 ), · · · , (xn , yn )}, in the
data set, xi ∈ Rn represents the input vector, yi ∈ Rn represents the target value and n represents the
number of samples. The basic functions of the algorithm in the application process are:

f (x) = (ai − a∗i )K(xi xj ) + b (4)

xi ∈SVs

In the above formula, αi and αi∗ represent the Lagrangian multiplier; b represent the offset; SVS is
the data set representing the prediction process; and the K(xi xj ) is the kernel function representing
the SVM prediction. αi and αi∗ can be obtained by the following formula:
⎧ %n %n
⎪
⎪ max yi (ai − a∗i ) − ε (ai + a∗i )
⎪
⎪
⎪
⎪ i=1 i=1
⎨ %n % n
−2 1
(ai − ai )(aj − a∗j )K(xi , xj )
∗ (5)
⎪
⎪
⎪
⎪
i=1 j=1
⎪
⎪ %n
⎩ s.t (a − a∗ ) =0, 0 ≤ a∗ ≤ C
i i i
i=1
In the above formula, C represents the penalty parameter of the equation; ε represents the
insensitive loss parameter of the function. These two parameters will have a significant impact on
the accuracy of the model and need to be optimized by using algorithms. At the same time, the
kernel function of SVM regression takes Sigmoid function as shown below:
K xi , xj = tanh γ xi xj + fcoe (6)

2.2 CS-SVM model construction

In the CS-SVM prediction model, the input factors are soil water content, soil PH, soil oxygen con-
tent, soil resistivity, soil salt content and partial external corrosion rate data as CS-SVM predictive
input data, and the remaining external corrosion rate is predicted. The flow chart for predicting the
external corrosion rate of the buried pipeline by the CS -SVM model is as shown in Figure 1.

Figure 1. CS-SVM prediction forecast process.

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3 INSTANCE VERIFICATION AND ANALYSIS

3.1 Data sources

The object of this study comes from an oil pipeline in northwest China, which uses X60 steel. The
outer diameter of the pipeline is 410.6mm, the thickness of the pipe wall is 8.2mm, and the operating
pressure is 8±0.5MPa. In 2018, the researchers measured the corrosion rate of the pipeline using
the method of buried slices in the field, and obtained relevant soil data by collecting soil samples.
Finally, 74 groups of corrosion rate and related influencing factors were obtained, and some data
are shown below. In this paper, 62 groups of data are used as the learning data set of the model to
train the model, and the remaining 12 groups of data are predicted and analyzed.

Table 1. Partial pipe corrosion rate data.

Corrosion Soil Soil Soil water Soil

Rate salt content oxygen content Soil PH content resistivity
Number (g·m2 ·a−1 ) (%) (%) (%) (%) (·m)

1 4.6253 0.05 13.98 6.5 4.279 63.8

2 5.0236 0.08 13.19 6.4 4.036 74.6
3 6.1584 0.14 15.49 6.5 5.782 71.4
4 5.4268 0.17 14.51 6.7 3.279 91.2
5 4.3541 0.19 11.65 6.6 6.489 95.5
6 3.8523 0.3 11.01 6.6 8.019 100.2
7 6.2512 0.21 14.04 6.8 5.276 99.6
8 5.3122 0.15 10.89 6.5 5.387 110.5
9 3.5123 0.09 11.11 6.7 4.222 91.7
10 4.3651 0.15 10.57 6.6 8.245 88.6

3.2 CS optimization
In addition to the CS algorithm, there is still a part of the algorithm is suitable for the parameter
optimization. Because we don’t know what kind of algorithm of optimizing the best result, therefore,
we use the common four algorithms respectively to optimizing the parameters of the SVM algorithm
respectively. The optimal results of the four algorithms were input into the SVM algorithm to train
and predict the model, and the advantages and disadvantages of the model were evaluated according
to the average relative error of the prediction results and the training time of the model.

Table 2. Parameter optimization results.

Method C ε Optimal kernel function

Cuckoo Search Algorithm(CS) 43.6213 0.0483 Sigmoidal Function

Particle Swarm Optimization(PSO) 30.8542 0.8423 Sigmoidal Function
Genetic Algorithm (GA) 52.934 1.3894 Sigmoidal Function
Least Squares Algorithm(LS) 28.4523 9.0723 Sigmoidal Function

3.3 Analysis of prediction results

According to the optimization results of CS algorithm parameters, A SVM model was established
in Matlab software, and 62 groups of corrosion data were used to train the model, and the corrosion
rates of the remaining 12 groups were predicted. The average absolute error of the prediction results
of the four models and the time required for model training are shown in Figure 2 and Table 3.

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Figure 2. Comparison of prediction errors.

Table 3. Average absolute error of model prediction results and training time.

Model CS-SVM PSO-SVM GA-SVM LS-SVM

Average absolute error(%) 2.642 7.283 23.579 25.342

Training time(s) 4.928 6.327 8.724 9.053

As can be seen from Figure 2 and Table 3, the maximum prediction error of CS-SVM model is
about 5%, while the maximum prediction error of the other three models is over 10%. Meanwhile,
the average prediction error of CS-SVM model is only 2.642%, and the training time of CS-SVM
model is only 4.928s, both of which are lower than other models. Therefore, it can be seen that
CS-SVM model is superior to the other three models in the prediction of corrosion rate outside the
pipeline, which can be used for the prediction of external corrosion rate of pipeline.

4 CONCLUSION

In this paper, for the prediction of the external corrosion rate of buried pipelines, the data of external
corrosion rate and its influencing factors were obtained through literature research, and then the
combined CS-SVM model was established to predict the external corrosion rate. The prediction
results can be concluded:

(1) Due to the difficulty in measuring the corrosion rate and related influencing factors outside
the pipeline, there are relatively few available data in this respect, which makes the traditional
neural network model unable to be effectively utilized. However, SVM algorithm is a kind of
algorithm model suitable for small sample problems, which can be used to predict the research.
Considering that the parameter setting of SVM algorithm is very critical, parameters C and ε
need to be optimized before SVM is used.
(2) the use of the study in the CS algorithm and other three algorithms for parameter optimization
respectively, according to the result of optimization was carried out on the model set, then
learning and projections for the relevant data, the prediction results show that the CS-SVM
prediction results of the average relative error and model training time is less than the other

893
 three kinds of model, at the same time, the model of training speed the shortest, Therefore,
CS-SVM model is more suitable for the prediction of corrosion rate outside the pipeline.

ACKNOWLEDGMENTS

This work was financially supported by the Postgraduate Innovation and Practice Ability Cultivation
Project of Xi ’an Shiyou University (YCS21213161) and the Natural Science Basic Research
Program of Shaanxi (2021JQ-593).

REFERENCES

Bi A, Luo Z, Wang X etc. (2018) Research on Wiener Process of Metal Pipeline Degradation Based on Soil
Corrosion Principal Component. Materials Protection, 51:37–42.
Chen Y, Li L, Li D etc. (2015) Study on Mechanism of External Corrosion of Buried Metal Pipeline in Oil
Field. Corrosion & Protection, 36:1009–1013+1020.
Feng j. (2018) Analysis on Main Causes and Countermeasures of Buried Steel Pipeline Corrosion in Daqing
Oilfield. Total Corrosion Control, 32:79–81.
He F. (2016) Study on External Corrosion Characteristics and Control Measures of Gathering and Transmitting
Network in Old Area of West Sichuan Gas Field. Southwest Petroleum University.
Li L, Li X, Xing S etc. (2013) Prediction of Soil Corrosion of Carbon Steel in Typical Areas of China by BP
Artificial Neural Network. Corrosion Science and Protection Technology, 25:372–376.
Li M, Wang X, Qiao G etc. (2015) Practice of Direct Evaluation of External Corrosion of Long Distance
Natural Gas Pipeline. Materials Protection, 48:70–73.
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RS-SVM Model. China Safety Science Journal, 27:109–114.
Luo Z, Yao M, Luo J etc. (2018) Prediction of External Corrosion Rate of Buried Pipeline Based on KPCA-
BAS-GRNN Model. Surface Technology, 47:183–190.
Yan Z, Wu W, Hu H etc. (2015) Two-stage Model of External Corrosion of Buried Pipelines and Residual Life
Prediction. Petro-Chemical Equipment, 44:1–6.

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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Experimental research on correspondence of freeze-thaw cycle times

of indoor and outdoor concrete in Changchun area

Haisui Xia, Zihan Lin∗ , Yawei Chen

Undergraduate student, School of Construction Engineering, Jilin University, Changchun, China

Yifan Meng
Undergraduate student, School of Earth Exploration Science and Technology, Jilin University,
Changchun, China

ABSTRACT: The Changchun area belongs to the seasonal freezing area, and concrete structures
are often damaged due to freeze-thaw cycles, and the degree of performance deterioration of
concrete has a non-linear relationship with the number of freeze-thaw cycles. With the increase in
the number of freeze-thaw cycles, the degree of deterioration of concrete performance deepens.
However, the outdoor environmental conditions are complex, and the number of freeze-thaw cycles
is usually difficult to determine. Therefore, we substituted the two performance index data of
concrete under natural outdoor conditions and combined the results of the two indoor slow freeze-
thaw tests. With the combination of results of the two fitting equations, the estimated number of
slow freeze-thaw cycles was found to be corresponding to different dates under complex outdoor
freeze-thaw environmental conditions, which will degrade the strength of concrete. It is of certain
guiding significance for the evaluation of the service life of the building.

1 INTRODUCTION

The northern part of China has a cold and alpine climate. Freeze-thaw damage is one of the main
reasons for the deterioration of concrete performance, service life reduction, and quality decline
resulting in economic losses as the buildings fail to meet the design requirements. For the freeze-
thaw damage to concrete, scholars at home and abroad have made a lot of research. Li Jinyu
et al. established a quantitative design model and statistical model of concrete frost resistance
related to the safe operating life of buildings; Liu Weidong et al. studied the relationship between
ultrasonic wave velocity and its dynamic elastic modulus of freeze-thaw damaged concrete; LiYe et
al. classified the influence factors on the freeze- thaw environment of pavement concrete into two
categories and four indicators to quantify according to the characteristics of different freeze-thaw
environments. Wu et al. summarized the theoretical and experimental studies on the quantification
of the freeze-thaw environment in the field, the mechanism and law of action of environmental
factors on concrete freeze-thaw damage in the process of concrete undergoing freeze-thaw cycles
established a statistical method and prediction equation for the number of freeze-thaw cycles in the
field related to meteorological parameters;Yin, and Li established the “equivalent number of freeze-
thaw cycles” model, and proposed a durability design method for concrete that is consistent with
existing codes and can be combined with the results of fast freezing tests. Currently, the research
mostly adopts the method of indoor fast freeze-thaw cycles, which cannot predict the degree of
outdoor concrete freeze-thaw damage according to the complex environmental conditions. In this
test, the performance data of outdoor concrete after freeze-thaw damage in winter is recorded in the
Changchun area as the research object, and the freeze-thaw cycle test of indoor concrete is carried

∗ Corresponding Author: [email protected]

DOI 10.1201/9781003308584-126 895

out by the slow freeze-thaw method, and the ultrasonic wave velocity, and uniaxial compressive
strength data of concrete after freeze-thaw are recorded respectively, The damage of ultrasonic
wave velocity and uniaxial compressive strength of concrete after a freeze-thaw cycle are used as
indicators to study the change law of each indicator in indoor and establish the regression equation
of the relationship between the indicators and the number of slow freeze-thaw cycles. This equation
is used to connect the degree of outdoor freeze-thaw damage with the number of slow freeze-thaw
cycles equivalently, to evaluate the degree of concrete freeze-thaw damage, which is of guiding
significance for the evaluation of the life of structures.

2 EXPERIMENTAL PROTOCOL DESIGN AND PROCESS

2.1 Experimental protocol design

The regression equation between the number of slow freeze-thaw cycles and the quantitative index
of concrete was established by the slow freeze-thaw cycle test. Testing and recording of the data
were done after outdoor freeze-thaw damage to concrete, the fitting equation was used to obtain
the equivalent number of slow freeze-thaw cycles of outdoor concrete.

2.1.1 Determination of quantitative indicators

After the concrete has undergone multiple freezing and thawing, cracks occur on the surface,
spalling occurs, internal capillaries develop, volume expansion of water occurs during freezing, and
temperature stresses are generated, resulting in internal structural damage, specifically deterioration
such as ultrasonic wave velocity damage and uniaxial compressive strength damage. The ultrasonic
flat measurement method is a non-destructive testing technology that operates through the pulse
wave propagation speed in the concrete before and after the change to respond to the degree of
internal damage to the concrete. This can be a non-destructive and convenient method to estimate the
degree of internal damage and the remaining service life of the concrete. The uniaxial compressive
test is a commonly used mechanical test method because it can respond to the change in the bearing
capacity of the specimen. Therefore, from the perspective of reflecting the degree of internal
damage and mechanical property deterioration, the ultrasonic wave velocity damage ratio and
uniaxial compressive strength damage ratio were selected as indicators of the number of equivalent
indoor slow freeze-thaw cycles.

2.1.2 Indoor concrete freeze-thaw test design

Indoor concrete freeze-thaw experiments using the slow freeze-thaw method, the test conditions and
the actual conditions of use of this type of project are more consistent. Temperature is maintained
at −16◦ C in the environment of freezing for 4 hours and at about 20◦ C water thaw for 4 hours for
a freeze-thaw cycle. This is done every certain number of times to measure and record the wave
speed and uniaxial compressive strength.

2.1.3 Design of outdoor concrete freeze-thaw test

The concrete outdoor experimental group was placed on a plastic moisture barrier with a gap at the
bottom, and the gap at the bottom of the moisture barrier could ensure ventilation. The outdoor test
was conducted from November 4, 2020, to March 25, 2021. According to the temperature change
in the Changchun area, six measurement points were selected on November 14, November 22, and
December 2, from the year 2020, and January 15, March 17, and March 25 from the year2021, and
the ultrasonic wave velocity and uniaxial compressive strength of the test blocks were measured
and recorded each time.

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2.2 Preparation and grouping of test blocks
Concrete test block preparation ratio by the “ordinary concrete ratio design procedures” JGJ55-
2011, the size of the concrete specimen is 100 mm × 100 mm × 100 mm, the strength of C30,
after the completion of preparation and maintenance 28d.
A total of 84 concrete test blocks were prepared and divided into 14 groups of 6 blocks each.
The outdoor group consisted of 1-6 groups, one group was selected at each interval to measure
and record its ultrasonic wave velocity and compressive strength. The indoor group consisted of
groups 7-13, and every 5 slow freeze-thaw tests were conducted to select a group to measure and
record its ultrasonic wave velocity and compressive strength. Group 14 was measured and recorded
without any treatment, and the ultrasonic wave velocity and compressive strength were 2.004 m/s
and 33.73 MPa. The test blocks were grouped as shown in Table 1.

Table 1. Concrete test group.

Outdoor test Indoor freeze-thaw test

Test block Freeze-thaw Test block Number of freezing

group number time (days) group number and thawing

1 10 7 5
2 18 8 10
3 28 9 15
4 72 10 20
5 135 11 25
6 143 12 30
13 35

2.3 Experimental process

Ultrasonic rebound meter and uniaxial pressure tester were used to test indoor and outdoor groups
respectively, and test data were recorded.

Figure 1. Outdoor concrete arrangement.

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Figure 2. Uniaxial compressive tester.

Figure 3. Ultrasonic wave velocity rebound meter.

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3 EXPERIMENTAL RESULTS AND ANALYSIS

3.1 Indoor slow freeze-thaw method test results and analysis

To make the ultrasonic wave velocity and uniaxial compressive strength damage more intuitive to
present, the ultrasonic wave velocity damage ratio and compressive strength damage ratio (i.e.,
damage value/initial value) was used for analysis.

3.1.1 Ultrasonic wave speed damage

Table 2. Indoor freeze-thaw cycle test ultrasonic wave velocity raw data.

Number of Average
times Ultrasonic wave speed value

5 1.994 1.895 1.982 1.952 1.906 1.915 1.941

10 1.879 1.837 1.854 1.883 1.926 1.864 1.874
15 1.805 1.854 1.912 1.802 1.832 1.904 1.852
20 1.813 1.893 1.854 1.679 1.813 1.821 1.812
25 1.723 1.813 1.868 1.805 1.716 1.76 1.78
30 1.721 1.725 1.754 1.852 1.824 1.703 1.763
35 1.679 1.736 1.751 1.778 1.654 1.813 1.735

Table 3. Indoor freeze-thaw cycle test ultrasonic wave speed damage ratio.

Number of Average
times Ultrasonic wave speed value

5 0.005 0.054 0.011 0.025 0.049 0.044 0.031

10 0.062 0.083 0.075 0.060 0.039 0.070 0.065
15 0.099 0.075 0.046 0.100 0.086 0.050 0.076
20 0.095 0.055 0.075 0.162 0.095 0.091 0.096
25 0.140 0.095 0.068 0.099 0.144 0.122 0.112
30 0.141 0.139 0.124 0.075 0.090 0.150 0.120
35 0.162 0.133 0.126 0.112 0.175 0.095 0.134

Measure the ultrasonic wave velocity of the concrete after freeze-thaw, as shown in Table 2. With
the increase in the number of freeze-thaw cycles, the integrity of the internal structure of concrete
is damaged. With cracks, fine capillary water pipes, and other damaged surfaces, ultrasonic waves
pass through the damaged surface and the ultrasonic wave velocity decreases with the increasing
number of freeze-thaw cycles. To reflect the damage to the internal structure of concrete, the data
were processed to characterize the freeze-thaw damage to concrete using the ultrasonic wave speed
damage ratio, i.e., the damage value/initial value, and the data were processed as shown in Table 3
As shown in Figure 4, an analysis of the ultrasonic wave velocity damage ratio reveals that the
ultrasonic wave velocity damage ratio grows rapidly with the increase in the number of freeze-
thaw cycles. This is similar to the rapid growth phase in the trend of the relative dynamic elastic
modulus measured by Zhihao Gao [12] in the single-sided salt freezing test, which is presumed
to be because, at the beginning of the freeze-thaw cycle, the internal integrity of the concrete has
not been damaged and the water cannot move freely within the concrete, so the structural damage
caused by freeze-thaw is small. As the freeze-thaw cycle proceeds, the capillary tubes inside the
concrete are gradually formed, and after the capillary channels are penetrated, the water moves
freely, and the range of losses produced by the freeze-thaw structure gradually increases, so the
growth rate of concrete damage increases. The model Log3P1 of Origin was used to fit the data

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nonlinearly, and the adjusted R2 of the regression equation was 0.98893. The fitted curve equation
is in good agreement with the actual freeze-thaw condition and can be used as a curve equation to
measure the strength of the outdoor freeze-thaw environmental effects of concrete.

Figure 4. Indoor freeze thaw cycle test ultrasonic wave speed damage ratio curve.

Ultrasonic wave velocity damage ratio the fitted equation is as follows.

y1 = a1 − b1 ∗ ln (x + c1 ) (1)
where 1 —ultrasonic wave speed damage ratio; x—number of freeze-thaw cycles (times). a1, b1 ,
c1 —fitting equation coefficients, where a1 = −0.19135, b1 = −0.08577, c1 = 8.66953.

3.1.2 Uniaxial compressive strength damage

Table 4. Raw data of uniaxial compressive strength of indoor freeze-thaw cycle test.

Number of Average
times Ultrasonic wave speed value

5 305.4 377.5 323.0 316.2 330.2 327.6 330.0

10 320.6 338.3 298.1 308.7 309.5 351.5 321.1
15 324.2 314.8 344.2 299.0 308.0 298.4 314.8
20 244.1 231.9 356.4 346.8 356.1 292.1 304.5
25 279.4 264.8 291.2 308.3 268.4 306.6 286.5
30 243.5 210.8 250.0 267.2 289.1 247.1 251.3
35 198.4 225.4 239.6 185.9 223.4 212.9 214.2

Concrete has superior compressive properties and often forms compressive members that resist
the pressure; therefore, this experiment pays extra attention to the uniaxial compressive properties
of concrete. The uniaxial compressive strength of concrete was measured after freeze-thawing.
As the number of freeze-thaw cycles increased, the concrete surface cracked and spalled, and the
internal temperature stresses developed due to moisture freeze-swelling produced damage to the

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skeletal structure, which reduced the load-bearing capacity. To reflect the damage of the concrete
internal skeleton, the data were processed and the uniaxial compressive strength damage ratio, i.e.,
damage value/initial value, was used to characterize the freeze-thaw damage of concrete, and the
data were processed and shown in Table 5.

Table 5. Indoor freeze-thaw cycle test uniaxial compressive strength damage ratio.

Number of Average
times Uniaxial compressive strength damage ratio value

5 0.094 −0.119 0.042 0.062 0.021 0.028 0.021

0 0.049 −0.003 0.116 0.084 0.082 −0.042 0.047
15 0.038 0.066 −0.020 0.113 0.086 0.115 0.066
20 0.276 0.312 −0.056 −0.028 −0.055 0.134 0.097
25 0.171 0.214 0.136 0.085 0.204 0.091 0.150
30 0.277 0.374 0.258 0.207 0.142 0.267 0.254
35 0.411 0.331 0.289 0.448 0.337 0.368 0.364

Figure 5. Indoor freeze-thaw cycle test compressive strength damage ratio curve.

The mean value of initial compressive strength of concrete specimens in the non-damaged
condition was 33.73 MPa, and the mean value of uniaxial compressive strength of concrete gradually
decreased with the increase of the number of freeze-thaw cycles under the slow freeze-thaw cycle
method. At the number of freeze-thaw cycles of 15-25, the increase rate of the uniaxial compressive
strength change curve did not occur significantly, and entered the slow growth stage. It is presumed
that this is because in the middle of the freeze-thaw cycle, the penetration of capillaries inside the
concrete allows the free migration of water and produces erosion, which changes the distribution
of fine aggregates inside the concrete, and the original skeletal dense structure is damaged, which
shows a decrease in compressive strength when subjected to external loading. The ExpGro3 model
in Origin software was used to fit the data nonlinearly, and the adjusted R2 of the regression
equation was 0.98373. The fitted curve equation was in good agreement with the actual freeze-thaw
condition, so the curve can be used as a curve equation to measure the strength of the freeze-thaw
environmental effects on the concrete site.

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 The fitted equation for the compressive strength damage ratio is as follows:
# $ # $ # $
x x x
y2 = A1 ∗ exp + A2 ∗ exp + A3 ∗ exp + y0 (2)
t1 t2 t3
Where y2 —Compressive strength damage ratio; x—number of freeze-thaw cycles (times) y0 , A1 ,
t1 , A2 , t2 , A3 , t3 —coefficients of the fitted equation, where y=0.00321, A1 =0.00374, t1 =9.0715,
A2 =0.00374, t2 =10.07945, A3 =0.00374, t3 =11.08739.

Figure 6. Outdoor freeze-thaw test ultrasonic wave speed damage ratio and compressive strength damage
ratio curve.

3.2 Outdoor concrete freeze-thaw cycle results

The ultrasonic wave velocity and uniaxial compressive strength data of the outdoor test group were
measured, and the ultrasonic wave velocity damage ratio and uniaxial compressive strength damage
ratio were calculated respectively, and the correspondence between the ultrasonic wave velocity
damage ratio and uniaxial compressive strength damage ratio and time was plotted, as shown in
Figure 6. The ultrasonic wave velocity damage ratio and compressive strength damage ratio curves
of the outdoor test group show rapid growth with the increase of freeze-thaw days, which indicates
that, with the winter freeze-thaw cycles, there are also water migration and fine aggregate changes
inside the outdoor concrete group due to capillary development and penetration, synchronized with
the changes of the indoor group, therefore, the idea of equivalence can be applied to characterize
the number of slow freeze-thaw cycles in the outdoor the degree of freeze-thaw damage.

3.3 Evaluation of the degree of freeze-thaw damage of outdoor concrete

Integrating the outdoor ultrasonic wave velocity damage ratio data into the indoor freeze-thaw cycle
test ultrasonic wave velocity damage ratio fitting equation, you can get the outdoor ultrasonic wave
velocity damage ratio estimated number of times, recorded as Nc ; Similarly, with fitting of outdoor
uniaxial compressive strength damage ratio data into the indoor freeze-thaw cycle test uniaxial
compressive strength damage ratio fitting equation, you can get the outdoor uniaxial compressive
strength damage ratio estimated number of times, recorded as Nk .
According to the test data, the velocity of ultrasonic wave damage ratio and uniaxial compressive
strength damage ratio of outdoor freeze-thaw groups were calculated, and the number of outdoor
freeze-thaw cycles (NC ) and the number of outdoor freeze-thaw cycles (NK ) predicted by the

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Table 6. Estimated number of outdoor ultrasonic wave speed damage ratio.

Ultrasonic wave
speed damage ratio
Test block group Ultrasonic wave predicted number
number Number of days speed damage e ratio Of times (NC )

1 10 0.0159 2.54
2 18 0.0196 3.03
3 28 0.0239 3.63
4 72 0.0271 4.10
5 135 0.0349 5.31
6 143 0.0378 5.79

ultrasonic wave velocity damage ratio and the number of outdoor freeze-thaw cycles N predicted
by the uniaxial compressive strength damage ratio were obtained according to the fitting equation
established by the indoor freeze-thaw cycle test. The equation is as follows:

Nc + Nk
N= (3)
2

Table 7. Estimated number of outdoor uniaxial Compressive strength damage ratio.

Ultrasonic wave speed damage Compressive strength damage Estimated number

ratio predicted number of times ratio predicted number of of slow freeze-thaw
(NC ) times (NK ) cycles (N )

2.54 0.21 1.38

3.03 0.48 1.76
3.63 1.54 2.59
4.10 2.83 3.47
5.31 4.70 5.00
5.79 6.15 5.97

Tables 6, 7, and 8 show the corresponding test data and the predicted number of results data
for each group. The predicted number of outdoor equivalent indoor slow freeze-thaw cycles in
Changchun area in winter is 5.97.

Table 8. Estimated number of outdoors low freeze.

Compressive strength
Test block Compressive strength damage ratio predicted
group number Number of days damage ratio number of times (NK )

1 10 0.0147 0.21
2 18 0.0150 0.48
3 28 0.0163 1.54
4 72 0.0181 2.83
5 135 0.0212 4.70
6 143 0.0240 6.15

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4 CONCLUSION

Based on the experiments and analysis, the main conclusions of this paper are as follows. In this
paper, the velocity of ultrasonic wave and uniaxial compressive strength are selected as the concrete
performance indexes to establish the fitting equation for the number of slow freeze-thaw cycles
indoors.
By substituting the two performance indexes of concrete under natural outdoor conditions into the
regression fitting equation, the number of equivalent indoor slow freeze-thaw cycles in Changchun
in winter is estimated to be 5.97, and the deterioration of concrete strength is predicted, which is
important for the evaluation of building life and safety maintenance.

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Zhongke Donghua Test Equipment Co.
Gao Zhihao, Wang Ling, Zhao Xia, et al. Design and parameter optimization of concrete confining stress test
apparatus under single-sided salt freezing [J]. Concrete, 2020, (12): 26–30.
Leng Guangming, Rong Junming, Ding Wei, Tian Guanfei, Zhou Yongxiang, Ji Xiankun, He Xinghua, Wei
Qingdong, Wang Jing, Bao Kemeng, Tian Kai. Introduction to GB/T50082-2009 Standard for Test Methods
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Zhigang, Peng Tao, Cai Meizhu, Zhang Xiumei. Quantitative design of frost resistance of concrete[A].
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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Analysis on comprehensive treatment and utilization of coal mining

subsidence area from the perspective of territorial space planning

Xueliang Li∗
China Coal Science and Technology Ecological Environment Technology Co., Ltd., China

Jianlong Yan
Guangzhou Urban Planning and Designing Survey Research Institute, Guangzhou, China

ABSTRACT: With the vigorous promotion and in-depth development of China’s ecological civ-
ilization construction, the land and space planning has been launched in various provinces. Land
and space planning is a relatively broad concept, and specific implementation needs to be tailored
to local conditions and scientific planning. Resource-based cities in the eastern part of China have
formed large-scale coal mining subsidence due to long-term extensive resource mining. Combi-
nation of the comprehensive management of coal mining subsidence with national land and space
planning is a practical problem that needs to be solved urgently. From the perspective of territorial
space planning, this article analyzes the existing theories of territorial space planning and the treat-
ment ideas of coal mining subsidence, combined with experience, and analyzes the comprehensive
management and utilization of coal mining subsidence under the perspective of territorial space
planning, and proposes. The corresponding suggestions provide references for the compilation of
similar territorial and spatial plans.

1 INTRODUCTION

Territorial and spatial planning is a guide for national spatial development, a spatial blueprint for
sustainable development, and the basic basis for various development, protection, and construction
activities. Establish a territorial and spatial planning system and supervise its implementation,
integration in major functional area planning, land use planning, urban and rural planning, and
other spatial planning into a unified territorial and spatial plan, achieve “multiple planning in one”,
and strengthen the guidance of territorial and spatial planning for each special plan. The restraint
is of great significance (Dong 2019; Yang 2019a, 2019b; Zhao 2019a, 2019b, 2019c).
In the resource-based cities in the eastern part of China, the exploitation of underground coal
resources has caused serious damage to the local ecological environment, especially in areas with
high groundwater levels, which have the characteristics of flat terrain, vast land, high groundwater
levels, widespread villages, and dense population. After coal mining, a series of problems such as
subsidence and accumulation of water, reduction of cropland production, and damage to buildings
are caused (Chen 2020; Gu 1998; Li 2020), which makes the ecological environment more fragile
thereby leading to significant changes in the land use structure. Based on the current situation of land
and space planning, this paper conducts research and analysis on the comprehensive management
and utilization of coal mining subsidence.

∗ Corresponding Author: [email protected]

DOI 10.1201/9781003308584-127 905

2 THEORETICAL ANALYSIS OF LAND AND SPACE PLANNING

2.1 The concept of land and space planning

Land and space planning is an arrangement in space and time for the development and protection
of land and space in a certain area. Territorial and spatial planning is a guide for national spatial
development, a spatial blueprint for sustainable development, and the basic basis for various devel-
opment, protection, and construction activities. Land and space planning includes overall planning,
detailed planning and related special planning (Hao 2019; Zhao 2019a, 2019b, 2019c). The state,
provinces, cities, and counties prepare overall territorial and spatial plans, and local territorial and
spatial plans for townships and towns are drawn up based on actual conditions.
Relevant special plans refer to special arrangements for space development, protection, and
utilization in specific areas (watersheds) and specific areas to reflect specific functions. The land
and space master plan is the basis for detailed planning and the basis for related special plans.
In May 2019, the “Several Opinions of the Central Committee of the Communist Party of China
and the State Council on Establishing a Territorial and Spatial Planning System and Supervising
Implementation” made comprehensive arrangements for the formulation and implementation of
territorial and spatial planning.

2.2 Theoretical research on land space planning

In the concept and system of spatial planning, planning is not a single plan such as urban and rural
planning or land use planning, but a comprehensive land resource and spatial planning (Zhao 2019a,
2019b, 2019c). Therefore, “multi-plan integration” has not only been a hot topic in theoretical
research and practice in the planning field in recent years but has also strengthened the guiding and
restrictive role of territorial and spatial planning in various plans. Since the establishment of the
Ministry of Natural Resources, the state is required to clearly divide the management responsibilities
of the former Ministry of Land and Resources for territorial planning, land use planning, urban
and rural planning, etc., and establish a scientific and reasonable territorial space planning system
with clear rights and responsibilities across the country. This is not only an important measure
to achieve a good pattern of land and space development and protection in the new era but also
to promote the construction of ecological civilization and ensure the effective implementation of
national strategies, to further realize the unified connection and scientific and efficient development
of land and space planning.

2.3 Planning analysis of coal mining subsidence land

The coal mining subsidence land management plan is based on the premise of protecting and
improving the ecological environment, following the principle of adapting measures to local con-
ditions, and based on the principle of “grain is suitable for food, fishing is suitable for fishing,
animal husbandry is suitable for animal husbandry, and the forest is suitable for forestry”. The
focus of the control of coal mining subsidence is shifted from the passive type to the active type (Li
2019). Through the comprehensive improvement of the land within the mining area, the production
potential of the land is tapped, the living standards of the people in the mining area are improved,
and the living conditions and the environment of the people in the mining area are improved; while
the existing coal mining subsidence is comprehensively reclaimed, the new coal mining subsidence
is increased. Reclamation will be obtained, and the reclamation rate of coal mining subsidence will
be gradually increased. Through the implementation of coal mining subsidence land management
planning, the stability of the production and life of the people in the region and the continuous,
stable, efficient, and rapid development of economic construction is ensured.
The management of coal mining subsidence should be combined with regional land and space
planning, which requires the guidance of land and space planning. The land and space planning
containing coal mining subsidence should coordinate mines, cities, and villages; promote the eco-
logical reconstruction of mining areas under the idea of multi-plan integration; strengthen, collect,

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exchange, and disclose the information of the mining industry; balance the interests of mining
enterprises, the government, and villagers; attach importance to the restoration and construction
of infrastructure.

3 FEATURES OF COAL MINING SUBSIDENCE AND TREATMENT IDEAS

3.1 Analysis of overburden failure types

Mining practice has proved that coal mining methods and roof management methods are the main
factors that affect surrounding rock stress changes, rock layer movement, and overlying rock failure.
At present, the more common methods used in coal mines include the long wall caving method,
the long wall filling method, and the coal pillar support method, among which the long wall caving
method is the most widely used (Guo 2019; Yang 2019a, 2019b). In the case of full mining, the
overburden damage caused by the longwall caving method is the most serious. When the caving
method is used to manage the roof for longwall face mining, the roof rock generally suffers from
caving and cracking damage. “Three belts” are formed inside the rock formations (see Figure 1).
During strip mining, the overlying strata mainly form a natural balanced arch, and when the depth
is large enough, the overlying strata failure will also be distributed in “three zones”. Under the
premise of reasonable mining and retention ratio design, there will be no wave-shaped sinking
basin on the surface, but a single sinking basin.

Figure 1. Damaged structure model of the overlying rock in the old goaf of the long wall.

The above three moving belts are more obvious in the mining of horizontal or gently inclined coal
seams. Depending on the roof management method, the size of the mined-out area, the thickness
of the mining, the nature of the rock, and the depth of the mining, the above three zones in the
overburden may not exist at the same time. Different mining methods cause different forms of
surface coal mining subsidence.

3.2 Damage characteristics of coal mining collapsed land

The continuous exploitation of coal resources will cause year-round accumulation of water in some
areas, drying up of rivers and ditches, breakage of roads, bridges, and culverts, the collapse of
arable land, and destruction of houses, which will seriously affect the harmonious development of
economy, society, and the environment. Generally speaking, the impact of mining subsidence is
mainly reflected on topography, ecological environment, groundwater, cultivated land (including
basic farmland), infrastructure, and villages.
Here we mainly talk about the goaf area with high phreatic levels in the east. According to
statistics, the rate of mining subsidence in the plain mining area with high phreatic levels in the
eastern China is 20%-40%, and the perennial water area is about 2000 km2. The Quaternary loose
layer in this area is thicker, the phreatic level is higher, and the range of the post-mining sinking basin
expands far. The main influence angle tangent tgβ value is small. This feature is completely different
from the general soft rock surface movement law. It presents the characteristics of a large sinking

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area and serious water accumulation. In addition, there is repeated mining of multiple coal seams,
and the accumulated depth of surface land subsidence is large; filling materials and topsoil are
lacking, and 100% of the perennial water-filled cultivated land cannot be re-cultivated (Hu 2013);
cultivated land is lost, villages are relocated, and conflicts between people and land are prominent.

3.3 Analysis of the governance model of coal mining subsidence land

Based on the analysis of domestic coal mining subsidence land treatment cases and models, the coal
mining subsidence land management model is classified into 3 categories and 14 sub-categories
(see Table 1). The scope of application of the following several modes has certain differences and
needs to be selected according to the site conditions and local conditions.

Table 1. Analysis of the existing treatment model of coal mining subsidence land.

First-level mode Secondary mode Principle

Agricultural governance Traditional agricultural Restore subsided land to cultivated land and
model governance model develop traditional agriculture.
Ecological agriculture Using the method of digging deep and shal-
governance model low, turning the simple planting agriculture in
the collapsed land into ecological agriculture
combining planting and feeding. (Figure 2)
Facility Agriculture Use advanced science and technology and pro-
Governance Model duction factors to equip agriculture to realize
a reclamation model of agricultural production
mechanization, electrification, informationiza-
tion, biologicalization and chemicalization.
Sightseeing agriculture Utilize the unique natural advantages of the
governance model subsided land and the local characteristic agri-
cultural advantages for building a commercial
sightseeing agricultural park with comprehen-
sive functions such as production, sightseeing,
leisure and vacation, and entertainment.
Leisure agriculture Give full play to the functions of agriculture and
governance model rural leisure tourism, and improve the quality of
tourism.
Fishery governance model Choose pollution-free waters for
three-dimensional fish farming.
New energy industry Set up photovoltaic power generation facilities
governance model in subsidence areas (including subsidence areas)
and build photovoltaic power plants.

Ecological governance Constructed wetland On the premise of promoting a virtuous cycle

model management model of pollutants in wastewater, give full play to the
production potential of resources and prevent
re-pollution of the environment.
Urban wetland governance Shift the traditional focus on economic benefit
model development to a development model that takes
into account the sustainable development of
population, society, economy, environment, and
resources, and focuses on the overall benefits of
the compound ecology. (Figure 3)
Reservoir construction Further deep excavation of the perennial water
governance model and deepwater area, and connection with nearby
rivers and rivers, can take advantage of the
subsidence area.

(Continued.)

908
Table 1. Continued.
First-level mode Secondary mode Principle

Building Reclamation Residential area A reclamation model for building residential

Mode governance model areas on the mining surface.
Industrial park governance Establish relevant industrial clusters in the sub-
model sided land after leveling.
Urban construction Develop urban functional areas to subsidence
governance model areas, expand urban use space, and optimize
land use structure.
Mine park governance A new type of comprehensive management
model model of mine environment restoration and coal
mining subsided land management is promoted
in the closed coal mine.

Figure 2. Ecological agriculture governance model. Figure 3. Urban wetland governance mode.

4 ANALYSIS AND SUGGESTIONS ON THE TREATMENT OF COAL MINING

SUBSIDENCE FROM THE PERSPECTIVE OF LAND SPACE PLANNING

With the suggestions and work of the country’s establishment of a land and space planning system,
local governments at all levels and relevant land and resources management departments have
responded actively, focusing on the guiding ideology of the preparation of land and space planning,
and adhering to the development concept of adapting measures to local conditions and people-
oriented to be effective. Improve the reasonable planning and layout of the territorial space in the
region, and promote the efficient and sustainable development of the regional society and economy
(Cheng 2020; Gong 2021). In resource-based cities, because coal mining subsidence has a greater
impact on the entire land and space planning, it should be highly valued in actual work.
(1) Stick to the red line of cultivated land and promote ecological construction projects. With
population growth and rapid economic development, the scale of urbanization continues to
expand and the area of arable land continues to decrease. Most of the original cultivated land is
converted into forest land, garden land, or other industrial land. Coal mining subsidence leads
to soil erosion and soil fertility decline. Seasonal and year-round water accumulation in areas
with high phreatic water levels has a serious impact on cultivated land. Cultivated land is the
foundation of national development. It is very important to adhere to the national red line index
for arable land to ensure that the area of permanent basic farmland remains unchanged. At the
same time, it is also necessary to make full use of coal mining subsidence, turn waste into
treasure, and develop ecological space and liveable land. Living space provides a guarantee for
the sustainable development of territorial space in the region.
(2) Do a good job in the geological safety assessment of the coal mining subsidence area. Following
the relevant standards and specifications of the “Regulations on Mine Geological Environment

909
 Protection”, “Regulations on Geological Disaster Prevention and Control”, “Regulations on
Land Reclamation”, and according to the results of mining subsidence prediction and the func-
tions and characteristics of the land, different geological environmental safety levels are carried
out on the collapsed land Divide and analyze the impact of coal mining on different ecological
environment elements. Focus on the analysis of geological disasters that affect the safety of
human life and property caused by goafs, water and soil environmental pollution threatening
drinking water safety and basic farmland protection, and the destruction of topography and
landscape within the visual range of traffic arteries, etc., for the preparation of the national
land space master plan Lay the Foundation.
(3) Improve the land use industry classification system and effectively control coal mining sub-
sidence. China’s land use industry classification system is not yet perfect, and there are areas
that still need to be improved and revised. Industrial classification and land use layout greatly
affect people’s use of land resources. In some places, the shortage of land resources restricts the
development of local industries. The reasonable and effective use of coal mining subsidence
land resources can be used for different industries to a certain extent. Create conditions for
the development of the country. Therefore, under the background of land and space planning
in the new era, we must adhere to multi-departmental collaborative management, vigorously
promote the management of coal mining subsidence, and at the same time, give full play to the
top-level guidance and restraint role of land and space planning, and maximize the use of land
resources based on rational use of land resources. To a certain extent, improve the economic
efficiency of land use.
(4) Overall planning for regional coordination and making planning connections. Under the
premise of a new round of national land surveys and spatial planning assessments, the strategic
position and basic role of national land space have become more important. The planning of
coal mining subsidence areas should be organically integrated and connected with relevant
provincial and municipal plans, clarify the basic principles and objectives and tasks of com-
prehensive management, innovate governance models, and plan comprehensive management
strategies. We will rationally lay out governance zones, scientifically arrange key projects, and
make every effort to promote ecological civilization. According to the characteristics and trends
of industrial development in different regions, it is necessary to develop industries based on
regional characteristics, integrate population, environment, resources, national policies, and
other factors, optimize the industrial structure, to achieve the purpose of rational use of various
industrial land and promote the formation of production and life in the region Appropriate,
ecological civilization, harmonious development and sustainable development of land space
utilization pattern.

5 CONCLUSION

(1) Establish a highly unified, clear-cut, scientific, and efficient land and space planning system,
plan the overall development and protection pattern of land and space in the new era, com-
prehensively consider factors such as population distribution, economic layout, land use, and
ecological environment protection, and scientifically arrange production spaces, Living space
and ecological space are key measures to accelerate the formation of green production methods
and lifestyles, and promote the construction of ecological civilization. As an important part of
multi-regional land and space planning, coal mining subsidence should be given full attention.
(2) To coordinate the comprehensive management of coal mining subsidence and realize the inten-
sive and economical use of land resources, the guidance of land and space planning is required.
At the same time, turn the destructive power of underground mining into a driving force to
promote urbanization, rural revitalization, and agricultural industrialization. The preparation
of land and space plans for mining areas must resolve various planning conflicts on the one
hand, and integrate various plans on the other, to unify data foundations and platforms, land
use classifications and standards, and spatial layout and goals.

910
(3) As a unique type of land, coal mining subsidence has its own characteristics. Through the
comprehensive improvement of coal mining subsidence, the mining area’s land resources can be
activated, and the resource advantages of coal mining subsidence areas can be used to develop
wetland tourist resorts. Industries such as agricultural sightseeing belts, circular economy
industrial parks, and trade and logistics promote economic transformation, economic growth,
and optimize the industrial layout.

ACKNOWLEDGMENTS

The authors would like to thank the editors and the anonymous reviewers for their helpful and
constructive comments. This research was funded by the China coal science and industry group
science and technology innovation venture capital special key project (2018-2-ZD007). Beijing
Science and Technology project (Z181100005118012).

REFERENCES

Chen, X. X. (2020). Dynamic evolution law of ponding range in coal mining subsidence area with high
groundwater level. Coal Geology and Prospecting, 48(02):126–133.
Cheng, M. (2020). Study on the implementation evaluation system of city and county land and space master
plan. (2020). Planner, 36(S1):5–9.
Dong, Z. J. (2019). Ten relations of land spatial planning in the new era. Resources Science, 41(09): 1589–1599.
Gong, Y. X. (2021). Study on the delimitation method of the main functional area in the land spatial planning
of cities and counties. (2021). Science of Surveying and Mapping, 46(03):183–191.
Gu, H. H. (1998). Study on damage mechanism of mining subsidence to cultivated land in high groundwater
level area. Journal of China Coal Society, (05):76–79
Guo, W. B. (2019). Definition and discrimination method of sufficient mining degree of overburden failure.
Journal of China Coal Society, 44(03):755–766.
Hao, Q. (2019). Reflection on carrying capacity in land spatial planning: concept, theory and Practice. Journal
of Natural Resources, 34(10):2073–2086.
Hu, Z. Q. (2013). Evaluation on morphological development of reclaimed soil in coal mining subsidence land in
high water table plain area. Transactions of the Chinese Society of Agricultural Engineering, 29(05):95–101.
Li, S. Z. (2019). Practice and countermeasure analysis of coal mining subsidence area treatment in China.
Coal Science and Technology, 47(01):36–43.
Li, S. Z. (2020). Delimitation of reclamation direction and planning zoning of coal mining subsidence land in
high water table plain mining area. Coal Science and Technology, 48(04): 60–69.
Yang, B. J. (2019a).Construction of ecological space system under the background of land civilization planning.
Urban Planning Journal, (04):16–23.
Yang, D. M. (2019b). Lithology and fracture characteristics of overburden in high-intensity mining. Journal of
China Coal Society, 44(03):786–795.
Zhao, G. Y. (2019a). Thoughts on technical reform of detailed planning under the system of land and space
planning. Urban Planning Journal, (04):37-46.
Zhao, M. (2019b). Discussion on the logic and operation strategy of the construction of land spatial planning
system. Urban Planning Journal, (04):8–15.
Zhao, Y. J. (2019c). On the basic framework of land spatial planning. Urban Planning, (12): 17–26+36.

911
 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Analysis of common failure causes and optimization suggestions of

ESP

Zhixin Xu
Daqing Oilfield Powerlift Pump Industry Co., Ltd, Daqing, Heilongjiang, P.R. China

ABSTRACT: In the late stage of oilfield water injection development, the water cut of oil wells
increases and the production differential pressure decreases. In order to ensure the crude oil produc-
tion, it is necessary to increase the liquid extraction volume. Electric submersible pump(ESP), as
an important mechanical oil production equipment, has been popularized and applied. According
to incomplete statistics, nearly one third of the world’s oil production is exploited by various forms
of ESP(Wang 2012), and the number of ESP wells is tens of thousands. Nowadays, the proportion
of ESP is higher in the main producing areas of crude oil exploitation in the world, especially in
desert and offshore oil fields. Therefore, how to better apply the ESP to make it operate efficiently
and improve the running life has become a point concerned by users. This time, according to the
operation of ESP unit provided for a certain block, we talk about several common damage causes
and optimization suggestions during the operation of ESP, in order to improve the running life of
ESP unit.

1 SUMMARIZE

According to the “operation tracking statistics of ESP unit in last three years” provided by a certain
project department and the pumping report of oil wells, the following failure cause analysis and
optimization suggestions of ESP unit are formed. In the process of statistical analysis of failure
causes, in view of the fact that some production data and well condition data are not accurate and
perfect, including the gas content of oil wells and the degree of corrosion impact, the analysis and
proposed measures need to be further verified in practice. However, it is clear that the performance
and reliability of products will be further improved by taking targeted technical measures.
The ratio of influencing factors of pumping operation of a certain project department in last
three years is shown in the table as follow,

Marginal ESP Geological Power

Reason operation Failure factors Supply others

% 39.7 9.1 46.8 1.4 3

It can be seen from the table that the Marginal operation measures and geological factors are the
two main influencing factors leading to the pulling-out of ESP unit.

2 MARGINAL OPERATION

In the 370 well-time pulling-out in the past three years, 147 well-time were pulled due to measures,
accounting for 39.7% of the total. The detailed classification and corresponding well times of

912 DOI 10.1201/9781003308584-128

measure operation are as follows: 100 well-time were pulled due to tubing leakage, 19 well-time
with high water cut, layer modification and resisting water layer, when the production period is up
and the oil well is evaluated, 9 well-time are pulled, replaced the pump type and pulled the pump for
8 well-time; 11 well-time were pulled for other reasons. The influencing factors of unit operation
are shown in the table.

Tubing High W/C Pump Type well

Reason Leakage Layer change Change evaluation Others

% 68 13 5.4 6.1 7.5

3 GEOLOGICAL FACTORS

According to statistics, among 370 well-time trips in past three years, 173 well-time trips were
caused by geological factors, accounting for 46.8% of the total well trips. The specific geological
factors and corresponding well-times are as follows: 95 well-time are affected by sand and mechan-
ical impurities, 27 well-times are affected by scaling, 26 well-times are affected by corrosion, 17
well-times are affected by insufficient liquid supply, and 8 well-times are affected by other factors.
The influence of geological factors on pulling-out is shown in the table.

Sand and Insufficient

Factor impurities Scaling Corrosion liquid supply Other

% 54.9 15.6 15 9.8 4.7

It can be seen from the table that sand and mechanical impurities, corrosion, scaling and
insufficient liquid supply are the four main influencing factors leading to the pulling-out of the
unit.

3.1 Sand and impurities

Excessive content of sand and mechanical impurities in oil well fluid will have the following adverse
effects on ESP unit.
① The matching clearance of bearing pair is increased, which cannot play the role of
centralization, and the unit vibrates violently.
② The pump and separator shells are abraded and perforated, and in serious cases, they are
broken, causing the unit to fall into the well.
③ Sand blockage and pump jamming cause pump lifting operation.
According to statistics, in the past three years, the certain project department has pulled-out 95
wells due to erosion and damage of sand and mechanical impurities, accounting for 54.9% of the
pulling-out due to geological factors. The pump and separator in the unit were worn through for
62 wells due to sand and mechanical impurities; The shaft of the pump or protector is broken for
6 wells; The pump was stuck or other parts were damaged for 27 wells. The average operation
days of failed wells are 434 days, the shortest operation time is 6 days, and the longest operation
time is 1516 days. For example, 4 oil wells such as 4008 werepulled-out three times each due to
sand damage, 15 oil wells such as 2105 were pulled-out two times each due to sand damage, and
the remaining 52 oil wells were pulled-out one time each due to sand and mechanical impurities
damage.

913
Figure 1. Sand accumulation at pump discharge head and check valve.

3.2 Corrosion
According to the current oil well data, the corrosion of an overseas oil field is mainly Cl- corrosion,
which will cause shell pitting, perforation or cable armor falling off, reduce the insulation of motor
cables and accelerate the damage of units. In particular, the dual effects of sand and corrosion will
further accelerate the wear of the unit.
According to statistics, in recent three years, the certain project department pulled-out 26 wells
due to unit corrosion damage, accounting for 15.0% of geological factors. The average operation
time of the fault unit is 438 days, the shortest operation time is 101 days, and the longest operation
time is 735 days. The corrosion damage of 6 oil well units is relatively light, and the corrosion
damage of the remaining 18 oil well units is serious. Some oil wells pulled-out twice due to the
corrosion damage of the units.

Figure 2. Housing and cable armor damage caused by corrosion.

3.3 Scaling
Scaling is mainly concentrated outside the motor, protector, separator, pump and oil pipe above the
pump, and inside the oil pipe below the separator, centrifugal pump and single flow valve. Scaling
has the following four effects on the ESP unit:
① Reduce the heat dissipation of the motor in the annulus, so that the heat dissipation of the motor
becomes worse and the motor temperature increases.
② Blocking the flow passage of centrifugal pump and separator, resulting in the decrease of oil
well liquid production.
③ Prevent the movement of rotating parts such as shaft, increase the shaft power, and finally
cause the motor to burn out.
④ Accelerate pit corrosion of metal parts of the unit. (Wang 2014)

914
 According to statistics, the certain project Department pulled-out 27 wells in recent three years
due to unit scaling, accounting for 15.6% of geological factors. The average operation time of the
fault unit is 366 days, the shortest operation time is 21 days, and the longest operation time is 908
days. There are 9 wells with serious scaling, and some wells pulled-out twice due to scaling.

Figure 3. Scaling of impeller & diffuser and spline sleeve.

3.4 Insufficient liquid supply

Insufficient liquid supply is also an important reason for premature failure of the unit. Insufficient
liquid supply will have the following adverse effects on the unit:
① The heat dissipation performance of motor and cable becomes worse and the insulation
decreases, resulting in final burning.
② Frequent startup and shutdown of the unit due to under load operation led to premature failure
of the motor and protector (Liu 2019).
Insufficient liquid supply is the main cause of motor burnout. The motor mainly relies on the
well fluid flow to take away the heat. When the fluid supply is insufficient, the heat dissipation
condition of the motor becomes worse and the temperature rise increases. When the temperature
resistance limit of the motor is exceeded, it is easy to burn the motor.
According to the pump pulling-out description in the unit operation tracking statistical table
provided by the certain project department, the unit pulled-out 17 wells due to insufficient liquid
supply, accounting for 9.8% of geological factors. The average operation days of the failed well
unit are 204 days, the shortest operation time is 38 days, and the longest operation time is 475 days.
Three oil wells were pulled-out twice due to insufficient liquid supply, and the other 14 oil wells
were pulled-out once.

3.5 Other
In the influence distribution of geological factors on failure, 8 well-times were pulling-out due to
wax deposition, non-standard operation and other factors, accounting for a small proportion.

4 OPTIMIZATION SUGGESTION

In view of the above main influencing factors causing unit damage and pump failure, it is rec-
ommended to take the following measures to prolong the running life of the unit and improve the
operation effect.

915
4.1 For oil wells with high content of sand and mechanical impurities, the following measures
are recommended
4.1.1 Aiming at the problem of wear leakage of separator shell caused by high sand content in
well fluid
Considering the comprehensive factors such as high sand content and serious corrosion, it is
recommended to take the following measures for the vortex separator to improve its service life in
high sand content and corrosion wells.

Item Suggested material

1 Housing bushing Stainless steel, inner surface WC sprayed

2 Upper connector assembly Stainless steel
3 Lower connector assembly Stainless steel
4 Centralizer assembly Nickel cast iron material

The separator produced according to this scheme has been used in large quantities in Tarim
Oilfield, Xinjiang, China. The sand content in Tarim Oilfield generally exceeds 0.6%. After adopt-
ing this scheme, the problem of separator wear leakage and equipment drop can be significantly
solved, the running life of the unit can be effectively prolonged, and the cost performance can be
significantly improved.

4.1.2 In view of the wear leakage problem of pump diffuser and housing caused by extremely
high sand content in well fluid, erosion resistant units developed by some ESP suppliers
can be used, which are suitable for oil wells with sand content ≤ 1%.
Erosion resistant ESP unit has been used in Tarim Oilfield in Xinjiang, China, It mainly solves the
problem of erosion and perforation of pump diffuser and impeller of some ultra-high sand bearing
well units. The average pump running life is more than 600 days and the longest operation life
is more than 1200 days. This scheme can significantly solve the problem of wear and perforation
of pump diffuser, housing and separator in high sand content wells, and effectively prolong the
running life of the unit.

4.2 For severely corroded oil wells, the following measures are recommended
① The joints and MLE cable armor in the unit components are made of stainless steel;
② The external surface of the unit shall be sprayed with Monel coating, and the installation
procedures of the unit shall be strictly observed during construction to avoid scratching and bumping
of Monel coating;
③ The parts in contact with the well fluid inside the unit are made of stainless steel corrosion-
resistant material.

4.3 For oil wells with serious scaling, the following measures are recommended
The heavy oil anti-scaling unit produced by the ESP supplier shall be selected. Compared with
the ordinary diffuser and impeller, the overflow area of diffuser and impeller increases by 30% ∼
50%. By increasing the overflow area, the well fluid throughput is improved and the well fluid flow
speed is reduced.

916
Figure 4. Comparison between anti scaling wide channel impeller and diffuser (left) and ordinary impeller
and diffuser (right).

At the same time, anti-scaling coating shall be applied on the surface of the ESP in contact
with the produced liquid. The coating has stable performance, low surface friction coefficient and
corrosion resistance.

Figure 5. Comparison between anti scaling coating impeller and diffuser (left) and ordinary impeller and
diffuser (right).

4.4 For oil wells with insufficient liquid supply and low liquid production, the following
measures are recommended
① Raise the temperature resistance grade of the unit with well temperature higher than 70 ◦ and
liquid production less than 50m3 / D to 155 ◦ , and the insulation system of the motor is less prone
to aging or breakdown, so as to prevent the motor from overheating and burning.
② When the inner diameter of the casing meets the requirements, select the motor with larger
outer diameter as far as possible, or install a shroud outside of the unit to increase the surface flow
rate of the motor.
③ For oil wells with low liquid production, the sand cannot be carried out by the liquid, resulting
in the deposition of sand in the check valve or pump housing. It is suggested that while selecting
the sand control unit produced by the ESP supplier, the customer should also take necessary sand
control measures to ensure that the ESP unit has better sand control effect and effectively prolong
the operation life of the unit.
In terms of oil well operation management, in order to prevent the unit from being restarted or
overloaded shutdown due to sand deposition, the continuous and stable operation of the unit shall
be maintained as far as possible, and the check valve and drain valve shall be cancelled during unit
installation.
The above is our analysis and suggestions based on the application failure of the unit in the
oil field of a certain project in recent three years. We believe that through targeted improvement
and optimization of the unit, the ESP unit will better adapt to the geological conditions of the

917
corresponding oil field, the operation effect will be significantly improved, and the running life of
the unit will be significantly improved.

REFERENCES

Liu K. (2019) Mechanism analysis and Countermeasures of insufficient liquid supply of ESP, Science and
wealth. Issue 09 .
Wang J. (2012) Development of working condition diagnosis system for ESP in geothermal well, Changjiang
University.
Wang Y. (2014) Zhang Guohui , Study on Anticorrosion Technology of ESP in Tahe oilfield, China machinery.

918
 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Author(s), 978-1-032-31202-6

Perforation cluster spacing optimization using numerical simulation for

shale-gas wells in Zhaotong demonstration area

Haibing Lu, Tianyi Wang & Xinchun Jiang∗

Research Institute of Petroleum Exploration & Development, Beijing, P.R. China

ABSTRACT: Zhaotong National Demonstration area is another area in China with great potential
in shale gas exploration and development, after the Changning-Weiyuan region. The Wufeng and
Longma Shale Formation are the main target reservoirs. Through various analyses related to regional
geological conditions, rock mechanics and reservoir gas capacity, the stable regional geological
structure and deposition environment provide the target reservoir with good porosity (average
2.47%); excellent fracability (brittleness index> 50) and high gas content (average 3.11 m3 /ton).
But the complex pore structures and strong heterogeneity in the reservoir also make its permeability
relatively low. Compared with the production rate of adjacent regions, the high-quality reservoir
in the Zhaotong area does not reflect the potential that they should, so the modification of the
fracturing construction is particularly important. To achieve a further advance in the production of
the two main shale gas regains in the Zhaotong area, this paper analyzes the rock characteristics of
the target reservoir and investigates the data of 101 hydraulic fracturing wells in this area, focusing
on the particular cluster spacing in the hydraulic fracturing design, analyzes the hydraulic fracturing
model combined regional rock characteristics, and then evaluates the results from 3 test wells with
optimized cluster spacing range. This new optimized construction design successfully guided the
hydraulic fracturing construction of the other 3 experimental wells in the study area. The final
result showed that the optimized perforation treatment could increase shale gas production.

1 INTRODUCTION

Currently, due to the rapid development of China’s economy, a shortage of energy demand for
conventional oil and gas reservoirs become a serious issue. Meanwhile, the requirements for
environmental protection are becoming increasingly urgent. The exploitation of ultra-permeability
gas reservoirs, especially shale-gas reservoirs, is developing sharply. Because of its large reserves
and wide distribution, shale gas has the large potential to produce and provide sufficient natural
gas energy for decades or even hundreds of years (NETL 2013; Zhu & Mu 2019). To meet the
growing demand for natural gas, China’s 13th Five-Year Plan clearly states that the exploitation of
the abundant unconventional oil and gas fields in China will be an important development trend
for the country’s new energy transition and the realization of the “carbon neutral” plan (Cai et al.
2021).
In this paper, the comprehensive characteristics of shale gas reservoirs in the Hunagjinba and
Zijinba regions of the Zhaotong demonstration area have been analyzed, and the fracturing pro-
duction datum from 101 of these wells was collected for data statistical analysis and numerical
simulation analysis. Combining the numerical simulation study results and the target reservoir
characteristics, the optimized perforation of cluster spacing was established and guided the con-
struction of 3 hydraulic fracturing test wells. The final result shows that the new fracturing design
gains a significant success.

∗ Corresponding Author: [email protected]

DOI 10.1201/9781003308584-129 919

2 OVERVIEW OF THE RESERVOIR CHARACTERISTICS

2.1 The regional geological structure of the Huangjinba and Zijinba regions
The main study area of this paper is the western region of Huangjinba containing four platforms
and the eastern region of Zijinba containing one well platform. These platforms are all located
on the southern margin of the low-steep part of the southern Sichuan fold belt, adjacent to the
Yunnan-Guizhou Depression in the south, see Figure 1. The stratigraphic deposit of the main study
area is relatively gentle and stable, with the west flank of the Jianwu diagonal uplift providing a
favorable preservation area for shale gas reservoirs (Zhai et al. 2002).

Figure 1. Division of regional tectonic units of Zijinba and Huangjinba.

2.2 Reservoir type and productivity analysis

The main sedimentary deposit in the Huangjinba and Zijinba regions under investigation is a com-
bination of marine and terrestrial facies. And the main target formation is the Longmaxi Formation
that is a set of black graptolite shales containing rich organic matter (Wu et al. 2016). Accord-
ing to the analysis of various samples from wells in the region, the Longmaxi Formation-Wufeng
Formation presents a large thickness, high organic carbon abundance, and good preservation for
shale-gas production. The average thickness of high-quality shale gas reservoirs in the study area
is 33.6–35 meters. (Table 1).

Table 1. The thickness of target reservoirs: Long and Wufeng group.

Layers #1well #2well #3well

Long-1(m) 4 13.97 12.58 15.03

3 7 6.86 6.78
2 5.64 7.06 5.21
1 2.96 5.66 2.93
Wufeng group (m) 3.52 4.68 3.06
Total (m) 33.09 36.84 33.01

Based on the plenty of analysis from the core and logging data in the study area, the TOC
ranged from 2.3 to 5.9%. The logging evaluation results collected from the high-quality shale of
Longmaxi Formation in the same area show that the average effective porosity of the reservoir
ranges from 1.65 to 3.03%, with an average of 2.47%. The total measured gas content of the cores
from target shale formation ranges from 2.56 to 3.48 m/ton (average 3.11 m3 /ton), and the gas

920
content interpreted by special logging data is 2 to 7.5 m3 /ton (average 4.1 m3 /ton). The shale gas
reservoirs in the huangjinba and the Zijinba regions have good hydrocarbon source conditions and
are well suited for hydraulic fracturing modifications to increase the production rate.

2.3 Reservoir fracability and rock mechanics parameters

Taking the mineral composition of the Longmaxi Formation shale in the Huangjinba area as an
example, the high-TOC parts are mainly argillaceous siliceous shale, mixed siliceous shale. The
quartz and feldspar content of the shale in this area is 42–53%, the content of calcite and dolomite
is 15.9–31.7%, and the content of clay minerals is 22.7–25.9%. In this high-quality shale. The
clay content is relatively high but gradually decreases with increasing depth, while the carbonate
content gradually increases and leads to higher brittle minerals content averaging up to 69%. Based
on the relationship between the brittleness index and the fracture network, it can be determined that
the fracture type created by the hydraulic fracturing process is in the transitional stage of fracture
network and multiple fractures, which can form large-scale and more complex fracture distributions
created from massive hydraulic fracturing operation (Hou et al. 2014).
The evaluations of the core test from the Huangjinba the Zijinba regions show that the aver-
age Young’s modulus of the reservoir is 3.3605×104 MPa, the average compressive strength is
249.41 MPa, and the Poisson’s ratio is 0.22. The brittleness index is mainly distributed at 50% by
the Rickman rock brittleness index analysis (Rickman et al. 2008), which indicates that the target
reservoir in this area is suitable for massive hydraulic fracturing. The evidence from the mineral’s
evaluation and brittleness index test demonstrate that the modification of target reservoirs can use
massive hydraulic fracturing construction to create large-scale and more complex fracture networks
easily.

3 PERFORATION CLUSTER SPACING OPTIMIZATION

3.1 Previous fracturing design and performance

In this study, the fracturing construction parameters and product comparisons from 101 HF pro-
duction wells in the study area were collected, and the main construction design and technology
parameters of fracturing construction in the area were summarized using big data analysis. The
predominate process type is horizontal well combining multi-stage fracturing technology, with an
average single-stage length of 73.68m, average cluster spacing of 24.6m, the average number of
clusters per stage of 3–4 clusters; the average single-stage fluid volume of 1753m3 , the average
fluid intensity of 25.1m3 /m; construction stopping pressure between 30–40 MPa, average bottom
pressure gradient of about 0.026 MPa/m.
According to the summary of fracturing construction in the study area and comparison with
fracturing production in other neighboring regions, although the reservoir quality, including TOC,
gas content, thickness, in the Zhaotong demonstration area is generally better, it does not reflect
significant advantages compared with other reservoirs. Optimization of the previous fracturing
design, especially the determination of cluster spacing and the number of clusters in the perforation
process, is particularly important.

3.2 Cluster spacing optimization

3.2.1 Analysis of the impact of cluster spacing on fracturing production
The Longmaxi and Wufeng Formations mud shales in the Zijinba and Huangjinba areas are uncon-
ventional reservoirs with low porosity (less than 2%) and ultra-low permeability (less than 0.03 mD
on average), so the main production zones of fractured production wells can only be constrained in
the modification area after fracturing. This leads to the conclusion that tighter cluster spacing, the
more injected proppant, and the more consumption of fracturing fluid may significantly increase
the initial and final cumulative production (xiong et al. 2018).

921
 Because of the extremely low permeability of unconventional reservoirs, the fracture area filled
by proppant, even the fracture area not completely filled by proppant, has a much higher flow
conductivity than the non-fracture area (Liu et al. 2017). Therefore, the initial flow between two
fractures is closely linear. And under the assumption of linear flow with pseudoinfinite fracture
conductivity, the short-term production estimation model derived by Wattenbarger can be simplified
and written as the following equation (Wattenbarger et al. 1998; Xiong et al. 2020).

1 km C∅ 1
q ≈ Sf kf × × p× √ , (1)
µB2 t
Where q denotes well production efficiency; Sf denotes the cracks surface area after hydraulic
fracturing process; B denotes the reservoir volume index; t denotes the well production time; C
denotes a constant coefficient based on the constant pressure solution; Km denotes the permeability
of the reservoir; Kf denotes the permeability coefficient of the fracture (dimensionless);  denotes
the reservoir porosity; µ denotes the fluid viscosity; p denotes the drawdown well production
pressure. The production efficiency of a producing well can be very intuitively simplified by
Equation (1) as the main relationship regarding the total fracture surface area (Sf ) and the value-
related fracture and reservoirs conductivity (Kf and Km ). The total fracture surface area depends
on the number of effective fractures under the corresponding fractured stage. Therefore, the more
effective fractures created from the fracturing process can significantly achieve the higher initial
production efficiency (Xiong 2020). This feature was demonstrated in the investigation of multiple
wells in the study area. If the length of cluster spacing becomes larger, the cumulative production of
wells shows a decreasing trend, while some wells with smaller cluster spacing reflected an increase
in production over adjacent wells, see Figure 2.

Figure 2. Cluster spacing vs well production.

However, during actual fracturing construction, smaller cluster spacing does not necessarily
result in increased production. In the case of anisotropy of reservoir rock, the native fractures in
the reservoir will repel the post-fractures generated by hydraulic fracturing (Blanton & Thomas
1982; Cleary & Michael 1987). Meanwhile, Thallak and Jeffrey (Jeffrey et al. 2013; Thallak et
al. 1991) found by using finite element and numerical simulation that two adjacent fractures can
form a mutual repulsion between each other, and this effect called ’stress shadowing’ formed by
the adjacent fractures can be much greater than the influence from in-situ stress on the fractures.
Cheng (2012) further studied the influence of ‘stress shadow’ caused by changes of cluster spacing
on the production effect and concluded that the negative influence of ‘stress shadowing’ related
to mechanical interaction between each fracture would significantly narrow the width of the inner
fracture and reduce the fracture conductivity, thereby impair the production efficiency. Therefore,
overly tight cluster spacing can instead restrain the generation of effective fractures and thus lead

922
to a decrease in overall production capacity. These interactive influences should be considered in
the actual fracturing design.

3.2.2 Numerical simulation analysis of cluster spacing and cumulative yield

Based on the results of the above evaluation, and combined with the geological characteristics of
the reservoir in the study area in Section 2, a reservoir numerical model was established. Four
cluster spacings types of 5, 15, 25, and 50 m were set to study the impact of cluster spacing on well
production, and the variation of reservoir pressure with the time change is shown in Figure 3(a).
It can be seen that the smaller the cluster spacing, the faster the reservoir pressure decreases, thus,
the faster the production rate can be created. The cumulative production results are shown in Figure
3(b) showing that the production capacity will reach a maximum of 125 million m3 for 5m cluster
spacing. As the cluster spacing increases, the cumulative production decreases and compared to the
cumulative production with 5m cluster spacing, the cumulative production with cluster spacing of
50m cluster spacing decreases by 20 million m3 . This shows that shortening the cluster spacing is
beneficial for increasing the production per well, but this benefit will gradually decrease for tight
cluster spacing (Figure 3(b)).

Figure 3. Reservoir numerical simulation: cluster spacing and cluster number.

A fracturing construction model (Figure 4) was constructed using the geological characteristics
of the reservoir in the study area in Section 2 of this paper, and three sets of clusters of 3, 8,
and 16 clusters were established to study the effect of cluster number/cluster spacing on the total
fracture surface area and construction process. The simulation results concluded that the smaller
the cluster spacing can cause the stronger interference by ‘stress shadow’ and the more complex
the multi-cluster fracture morphology will become. In the case of constant hydraulic fracturing
construction scale(injection volume, proppant volume, and so on), if all fractures are effectively
formed, the more clusters, the smaller the fracture length and the higher the total fracture area, as
shown in Table 2 below, which compares the results of the simulations.

Table 2. The parameter of numerical simulation: fracturing construction.

Number of fracture Net Injected Total fracture

clusters length/cluster pressure/cluster volume/cluster surface area m2

3 clusters 291 m 1.4 MPa 320 m3 43808

8 clusters 234 m 2.6 MPa 120 m3 46325
16 clusters 130 m 4.5 MPa 60 m3 55304

Finally, according to the characteristics of the mechanical and geological parameters in the
study area, considering the natural fracture expansion measured by logging, and combining with

923
Figure 4. The fracture system contribution from numerical simulation.

the actual construction capacity and construction cost comparison, the optimal cluster spacing in
this area should be 6.5–11.6m, and the number of clusters per stage should be raised to more than 5.

4 VALIDATION FOR CLUSTER SPACING OPTIMIZATION

From the above analysis, it is obvious that the reservoirs in the huangjinba and Zijinba regions
are well suited for massive hydraulic fracturing construction in terms of fracability, in-situ stress,
and reservoir mechanical parameters, and the well production can be effectively increased by
appropriately reducing the cluster spacing and increasing the number of clusters per stage. The
optimized fracturing design was used to guide the fracturing of three other test wells (H5-3, H5-5,
and H4-1) in the same region, with the optimized cluster spacing of 6-12 m and the number of
clusters per stage increased to more than 5 clusters (5,7,11). The final results (Figure 5) show
a significant increase in both the initial and overall cumulative production of the test wells. The
successful implementation of this new design has led to the development of the shale gas hydraulic
fracturing construction in the Southern Sichuan area. The following horizontal wells in the area
can be retrofitted with this model to effectively increase initial and cumulative production.

Figure 5. The cumulative production: old design vs new design.

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5 CONCLUSION

The optimization of perforation cluster spacing for fracturing construction is important for the
fracturing construction in this region, given the relatively stable geological structure and important
economic value in South Sichuan. In this paper, the linear flow model and inter-fracture stress
perturbation after fracture generation were analyzed for capacity efficiency. And the optimal cluster
spacing was derived from numerical modeling based on various properties of reservoir rocks
obtained in the field and laboratory, which guided the testing of three wells and led to the following
conclusions.

(1) The high-quality reservoir in the Zhaotong demonstration area has excellent fracability and is
well suitable for massive hydraulic fracturing operations to effectively increase production.
(2) Optimization of fracture cluster spacing needs to consider increase of fracture surface area,
while also concerned the interactive interference of adjacent fracture stress disturbances. an
optimal cluster spacing is 6–12 m and cluster number is 5 or more in the study area.
(3) For the unique geological reservoir features in the southern Sichuan area, optimizing the
cluster spacing is only one of the important factors, and more factors and further analysis are
still needed to be considered for obtaining the optimal production efficiency.

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 Advances in Geology and Resources Exploration – Bin A Rashid & Huang (Eds)
© 2023 Copyright the Editor(s), 978-1-032-31202-6

Author index

Ai, X. 243 Feng, Q. 136 Jie, Z. 847

An, X. 136 Feng, Z. 340 Jin, C. 334
Fu, G. 591 Jin, G.Z. 196
Bai, Y. 756 Fu, J. 868 Jin, J. 391, 455
Bao, A. 610, 623 Fu, Y. 826 Jin, W. 334
Bi, Y. 713 Fu, Z. 466 Jin, X. 167
Jin, Y. 591, 826
Cao, J. 610, 623 Gao, G. 358, 749 Jin, Z. 340
Cen, X. 365 Gao, H. 740 Jing, J. 391
Chai, Z.G. 813 Gao, J. 820 Ju, X.L. 789
Chai, Z.H. 877 Gao, J.-H. 312 Jun, H. 440
Changchun, G. 833 Gao, M. 97
Chen, K. 216 Gao, T. 772 Kang, C. 853
Chen, L. 22 Gao, X. 108, 386 Kang, Q. 3, 9
Chen, P. 196 Gong, X. 688 Ke, N. 376
Chen, S. 794 Gu, F. 58, 64, 487 Kong, W. 450
Chen, W. 460 Guan, Y. 243 Kong, Y. 49
Chen, X. 528 Guo, D. 320
Chen, Y. 167, 895 Guo, Q. 478 Lei, W.T. 877
Chen, Z. 826 Guo, Y. 450 Li, C. 129
Cheng, H. 226, 597 Guo, Y.S. 291 Li, H. 81, 189, 358,
Cheng, Y. 3, 276 541, 749
Cheng, Z. 226 Han, J. 365 Li, J. 3, 216, 243, 567
Cong, S. 248 Han, Y. 628 Li, K. 567
Cui, H. 794 Han, Z. 868 Li, L. 81, 189, 510,
Cui, J. 115 Hanli, X. 833 557, 628
Cui, Y. 820, 826 Hao, Q. 460 Li, N. 284
Cui, Z.Q. 813 He, C. 807, 868 Li, S. 123, 426, 699
He, H. 650 Li, W. 97
Dai, H. 276 He, S. 807 Li, W.Q. 688
Dai, L. 340 He, W. 216, 426 Li, X. 88, 868, 905
Deng, L. 348, 365, 376 He, W.Q. 306 Li, Y. 161, 391, 471,
Ding, H. 49 Hou, D. 650 503, 671
Ding, W. 597 Hou, S. 676 Li, Z. 706, 740
Dong, J. 597 Hu, L. 167 Liang, W. 299
Dong, S. 557 Hu, M.N. 196 Liang, X. 49
Dong, Z. 43, 847 Huang, B. 232 Liao, H. 376
Du, C. 826 Huang, W. 400 Liao, X. 306
Du, L. 683 Liao, Y. 237
Du, X. 129 Jia, J. 450 Lihui, C.H.I. 432
Jia, S. 756 Lin, D. 358, 541, 749
Fan, C. 820 Jiang, C. 826 Lin, J. 268
Fan, R. 299 Jiang, L. 683 Lin, Z. 895
Fang, J. 3, 9 Jiang, W. 167, 326 Liu, A. 699, 883
Feng, C. 713 Jiang, X. 919 Liu, B. 557
Feng, M. 177, 567 Jiang, X.J. 789 Liu, C. 455

927
Liu, D.Z. 656 Qiao, B. 584 Wang, P. 826
Liu, G. 261 Qiao, Q.Q. 291 Wang, Q. 209, 340,
Liu, H. 603, 718, 801 Qihua, M.A. 432 541, 749
Liu, J. 243, 813 Qin, H. 740 Wang, Q.L. 813
Liu, K. 299 Qin, P. 671 Wang, S. 455
Liu, K.S. 291 Qin, Q. 597 Wang, T. 3, 9, 650, 919
Liu, M. 603 Qin, Z. 450 Wang, X. 450, 706, 877
Liu, Q. 38, 450 Qu, S. 340 Wang, Y. 203, 326,
Liu, S. 826 Qu, W. 859 400, 807, 889
Liu, T. 177, 284, 617 Qu, Y. 9 Wang, Y.J. 656
Liu, W. 129, 177, 813 Quan, H.M. 196 Wang, Z. 22, 671
Liu, X. 216, 764 Wang, Z.-Q. 312
Liu, Y. 3, 9, 64, 487 Ren, X. 650 Wei, F. 839
Liu, Z. 145, 807 Wei, P. 603
Long, C. 261 Shan, Z. 883 Wei, Y.F. 839
Lou, M. 391 Shang, Z. 3 Wei, Z. 136
Lu, H. 919 Shao, L. 306 Weixiang, M.A. 432
Lu, J. 718 Shen, G. 108 Wen, C. 617
Lu, X. 376 Shen, J. 348, 365, Wen, G. 27
Lu, Y. 261 376, 536 Wen, W. 713
Luan, Y.N. 617 Shen, K. 348 Wu, H. 81, 189
Luo, H. 136 Shen, R. 64 Wu, J. 276
Luo, S. 268 Shi, X.J. 291 Wu, J.P. 656
Luo, Y. 232 Shi, Y. 232 Wu, K. 38
Lyu, H.Y. 306 Song, J. 129 Wu, Y. 58, 64
Sun, G. 726 Wu, Y.A. 299
Ma, J. 510, 868 Sun, Q. 807
Ma, L. 216, 807 Sun, W. 445 Xia, D. 706
Ma, M.J. 656 Xia, H. 27, 70, 895
Ma, W. 27 Tang, D. 276 Xiang, G. 421
Ma, Y. 81 Tang, X.W. 291 Xie, D. 22, 365, 376
Man, J. 859 Tang, Z. 650 Xie, G. 326
Mao, M.J. 38 Tao, L. 299 Xie, H. 868
Meng, S. 676 Tao, W. 88 Xie, W. 640
Meng, X. 578, 578, Tao, Y. 43 Xin, L. 567
584, 764, 764 Tao, Z. 268 Xing, D. 706
Meng, Y. 895 Teng, Y.H. 733 Xing, X. 97
Mi, X.W. 628 Tian, J. 450 Xiong, X. 826
Mingming, L. 833 Tian, Y. 261 Xiong, Z. 49
Mu, P. 103 Tong, X. 839 Xu, C. 49
Xu, H. 326
Nie, Q. 276 Wang, C. 203, 634 Xu, L. 145, 516, 522
Niu, X. 510 Wang, C.X. 209 Xu, M. 49, 578, 699,
Wang, D. 320 764
Pan, Y. 129 Wang, F. 3, 9, 326, Xu, W. 772
Peng, J. 243 640, 868 Xu, X. 365
Peng, R. 203 Wang, G. 640, 772 Xu, Y. 683
Peng, S. 853 Wang, H. 177 Xu, Z. 261, 450, 912
Peng, W. 115 Wang, J. 243, 426, 859 Xue, S. 883
Piotrowski, A.M. 740 Wang, J.J. 38 Xue, T. 243, 494
Wang, K. 503
Qi, Y. 466 Wang, L. 81, 255 Yan, G. 58, 487, 820
Qian, L. 64, 487 Wang, M. 226, 713 Yan, H. 510

928
Yan, J. 905 Yu, J. 650 Zhang, Z. 820, 853
Yan, X. 3, 9 Yuan, B. 699 Zhao, G. 340, 783
Yan, Y.T. 291 Yuan, P. 312 Zhao, H.-D. 312
Yang, B. 557 Yuan, Q. 801 Zhao, J. 58, 167, 426,
Yang, C. 88 Yue, K.-Y. 312 471, 487, 503, 794
Yang, D. 358, 358, 541, Yue, Y. 340 Zhao, L. 610, 623,
541, 548, 548, 749 671
Yang, F. 261 Zhai, J. 516, 522 Zhao, T. 15
Yang, J. 826 Zhang, B. 326, 348 Zhao, X. 494, 671
Yang, L. 706 Zhang, C. 167, 284, Zhao, Y. 97, 820
Yang, M.L. 38 391, 478 Zheng, B. 203
Yang, P. 671 Zhang, C.G. 291 Zheng, J. 510, 794
Yang, S. 237 Zhang, D. 22, 826
Zheng, Z. 216
Yang, T. 299 Zhang, F. 400, 584
Zhi, M. 400
Yang, W. 129 Zhang, G. 145
Zhou, D. 466
Yang, X. 628, 859, Zhang, G.-X. 312
Zhou, Q. 391
859 Zhang, H. 578, 676, 713,
Yang, Y. 597 756, 764 Zhou, Y. 455, 528,
Yao, C. 38 Zhang, J. 409, 413 740, 889
Yao, J. 557 Zhang, K. 22, 226, 676 Zhu, C.Q. 306
Yao, Y. 189, 510 Zhang, L. 129, 156, 216 Zhu, H. 115
Yao, Z. 196 Zhang, P. 445, 478, 847 Zhu, H.H. 813
Ye, M.S. 38 Zhang, S. 268, 478 Zhu, J. 826
Ye, X. 584, 764 Zhang, W. 58, 243 Zhu, W. 733
Yi, C. 650 Zhang, X. 450, 522, Zhu, X. 466, 820
Yi, J. 81, 189, 510 548, 807 Zhuo, C. 671
Yin, Q. 640 Zhang, Y. 203, 391, 516, Zou, Z. 268
Yu, C. 261 516, 522, 522, 847 Zuo, H. 261

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