Special Issue Reprint

Mining Technologies
Innovative Development II

Edited by
Sergey Zhironkin and Dawid Szurgacz

[Link]/journal/energies
Mining Technologies
Innovative Development II
Mining Technologies
Innovative Development II

Editors
Sergey Zhironkin
Dawid Szurgacz

Basel ‚ Beijing ‚ Wuhan ‚ Barcelona ‚ Belgrade ‚ Novi Sad ‚ Cluj ‚ Manchester

Editors
Sergey Zhironkin Dawid Szurgacz
Open Pit Mining Department DOH Hydraulik Center
T.F. Gorbachev Kuzbass State Rybnik
Technical University Poland
Kemerovo
Russia

Editorial Office
MDPI
St. Alban-Anlage 66
4052 Basel, Switzerland

This is a reprint of articles from the Special Issue published online in the open access journal
Energies (ISSN 1996-1073) (available at: [Link]/journal/energies/special issues/mining
technologies innovative development II).

For citation purposes, cite each article independently as indicated on the article page online and as
indicated below:

Lastname, A.A.; Lastname, B.B. Article Title. Journal Name Year, Volume Number, Page Range.

ISBN 978-3-7258-1026-0 (Hbk)

ISBN 978-3-7258-1025-3 (PDF)
[Link]/10.3390/books978-3-7258-1025-3

© 2024 by the authors. Articles in this book are Open Access and distributed under the Creative
Commons Attribution (CC BY) license. The book as a whole is distributed by MDPI under the terms
and conditions of the Creative Commons Attribution-NonCommercial-NoDerivs (CC BY-NC-ND)
license.
Contents

About the Editors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . vii

Sergey Zhironkin and Dawid Szurgacz

Mining Technologies Innovative Development II: The Overview
Reprinted from: Energies 2023, 16, 5668, doi:10.3390/en16155668 . . . . . . . . . . . . . . . . . . . 1

Yongkang Yang, Xuecong Xu and Chenlong Wang

Study on the Mechanism of Surrounding Rock Deformation and Its Control for Roof Cutting
Retained Gob-Side Entry in Close-Distance Coal Seams Co-Mining
Reprinted from: Energies 2023, 16, 4379, doi:10.3390/en16114379 . . . . . . . . . . . . . . . . . . . 6

Adam Wróblewski, Arkadiusz Macek, Aleksandra Banasiewicz, Sebastian Gola, Maciej

Zawiślak and Anna Janicka
CFD Analysis of the Forced Airflow and Temperature Distribution in the Air-Conditioned
Operator’s Cabin of the Stationary Rock Breaker in Underground Mine under Increasing Heat
Flux
Reprinted from: Energies 2023, 16, 3814, doi:10.3390/en16093814 . . . . . . . . . . . . . . . . . . . 23

Maciej Pikuła, Krzysztof Chudy, Magdalena Worsa-Kozak and Mariusz Czop

Scale Effect on Hydraulic Properties of Pore-Fissure Deep Rock Formations and Its Importance
for the Mining Shaft-Sinking Process
Reprinted from: Energies 2023, 16, 2263, doi:10.3390/en16052263 . . . . . . . . . . . . . . . . . . . 41

Aleksandra Banasiewicz, Paweł Śliwiński, Pavlo Krot, Jacek Wodecki and Radosław Zimroz
Prediction of NOx Emission Based on Data of LHD On-Board Monitoring System in a Deep
Underground Mine
Reprinted from: Energies 2023, 16, 2149, doi:10.3390/en16052149 . . . . . . . . . . . . . . . . . . . 63

Piotr Bortnowski, Horst Gondek, Robert Król, Daniela Marasova and Maksymilian Ozdoba
Detection of Blockages of the Belt Conveyor Transfer PointUsing an RGB Camera and CNN
Autoencoder
Reprinted from: Energies 2023, 16, 1666, doi:10.3390/en16041666 . . . . . . . . . . . . . . . . . . . 79

Dawid Szurgacz, Beata Borska, Ryszard Diederichs, Anthony J. S. Spearing and Sergey
Zhironkin
Minimizing Internal Leaks of a Powered Roof Support’s Hydraulic Prop Based on Double Block
with Charging
Reprinted from: Energies 2023, 16, 1341, doi:10.3390/en16031341 . . . . . . . . . . . . . . . . . . . 97

Adam Wróblewski, Pavlo Krot, Radosław Zimroz, Timo Mayer and Jyri Peltola
Review of Linear Electric Motor Hammers—An Energy-Saving and Eco-Friendly Solution in
Industry
Reprinted from: Energies 2023, 16, 959, doi:10.3390/en16020959 . . . . . . . . . . . . . . . . . . . . 111

Arina Smirnova, Kirill Varnavskiy, Fedor Nepsha, Roman Kostomarov and Shaojie Chen
The Development of Coal Mine Methane Utilization Infrastructure within the Framework of
the Concept “Coal-Energy-Information”
Reprinted from: Energies 2022, 15, 8948, doi:10.3390/en15238948 . . . . . . . . . . . . . . . . . . . 139

Mohammad Siami, Tomasz Barszcz, Jacek Wodecki and Radoslaw Zimroz

Detection And Segmentation Of Overheated Idlers In Belt Conveyor Systems Using Image
Processing And Adaptive Neuro Fuzzy Inference system (ANFIS)
Reprinted from: Energies 2022, 15, 6771, doi:10.3390/en15186771 . . . . . . . . . . . . . . . . . . . 154

v
Adam Wróblewski, Jacek Wodecki, Paweł Trybała and Radosław Zimroz
A Method for Large Underground Structures Geometry Evaluation Based on Multivariate
Parameterization and Multidimensional Analysis of Point Cloud Data
Reprinted from: Energies 2022, 15, 6302, doi:10.3390/en15176302 . . . . . . . . . . . . . . . . . . . 175

Jakub Janus and Piotr Ostrogórski

Underground Mine Tunnel Modelling Using Laser Scan Data in Relation to Manual Geometry
Measurements
Reprinted from: Energies 2022, 15, 2537, doi:10.3390/en15072537 . . . . . . . . . . . . . . . . . . . 195

vi
About the Editors
Sergey Zhironkin
Sergey Zhironkin is a Professor at National Research Tomsk Polytechnic University, Siberian
Federal University, and the T.F. State Technical University of Gorbachev Kuzbasa, all leading
universities in Siberia, where he focuses on Russian mining clusters. Zhironkin specializes in
geotechnology, the neoindustrial development of mining clusters, and sustainable development. He
serves on the Editorial Board of many internationally renowned peer reviewed scientific journals

Dawid Szurgacz
Dawid Szurgacz is a manager of research and development projects at the Center of Hydraulics
DOH Ltd., a leading company globally. On a daily basis, he works in Polska Grupa Górnicza, the
largest mining company in Europe. He specializes in machines and equipment in an underground
hard coal mining complex. In this area, he also gives lectures to students from the Faculty of
Geoengineering, Mining and Geology, Wroclaw University of Science and Technology.

vii
 energies
Editorial
Mining Technologies Innovative Development II:
The Overview
Sergey Zhironkin 1,2, * and Dawid Szurgacz 3

1 Institute of Trade and Services, Siberian Federal University, 79 Svobodny Av., 660041 Krasnoyarsk, Russia
2 Open Pit Mining Department, T.F. Gorbachev Kuzbass State Technical University, 28 Vesennya St.,
650000 Kemerovo, Russia
3 DOH Hydraulics Center, Polska Grupa Górnicza S.A., ul. Powstańców 30, 40-039 Katowice, Poland;
dawidszurgacz@[Link]
* Correspondence: zhironkinsa@[Link]

Dear colleagues—readers and authors of Energies journal, we present the Special Issue
“Mining Technologies Innovative Development II”, which continues the previous issue,
developing the ideas of sustainable mining of fossil energy sources, concentrating around
the innovative modernization of the mineral resource sector in the context of achieving
sustainable development goals [1].
Today the innovative development of fossil energy sources mining coincides in its
imperative with the expansion of renewable energy production [2], bringing modern society
closer to a low-carbon economy, thanks to post-mining and full extraction of minerals and
their recycling. The research development in the field of convergence of mining, digital,
nature-saving and managerial technologies is currently taking place within the framework
of Tripple and Quadruple Helix—new forms of implementation of innovative cooperation
between firms and universities, local communities and governments [3]. In this regard,
the Special Issue “Mining Technologies Innovative Development II” aims at creating a
discussion platform for the global dissemination of advanced scientific ideas in the field of
sustainable and innovative development of the mining sector.
The success of mining innovative development as a part of the global transition
to sustainable development is determined by interdisciplinary research that combines
innovations in the extraction of traditional fossil fuels, the production of energy from
alternative sources, in geophysics and geochemistry, and information technology. Therefore,
Citation: Zhironkin, S.; Szurgacz, D. collected papers have contributed to the transition of mining to the circle of sectoral leaders
Mining Technologies Innovative in innovative development.
Development II: The Overview. Like the previous one, the current Special Issue “Mining Technologies Innovative De-
Energies 2023, 16, 5668. https:// velopment II” aims to progress the pluralism in the discussion of the problems concerning
[Link]/10.3390/en16155668 increasing the contribution of the mining sector to sustainable development by bringing
Received: 3 June 2023
together representatives of the research community from different countries.
Accepted: 17 July 2023
Below there is a summary of each article in the Special Issue “Mining Technologies
Published: 28 July 2023 Innovative Development II”, which underwent a thorough peer-review and was selected
by the Editors from a number of publications devoted to solving the most urgent organi-
zational, technical, technological and environmental problems of mineral resource sector
development.
Copyright: © 2023 by the authors. A. Wróblewski, A. Macek, A. Banasiewicz, S. Gola, M. Zawiślak, A. Janicka in their
Licensee MDPI, Basel, Switzerland. article consider a model of mining equipment operator’s cabin using CFD analysis of the
This article is an open access article forced airflow and temperature distribution in the air [4]. The authors rightly assert that the
distributed under the terms and primary temperature of rocks is the main source of thermal airflow, but diesel engines of
conditions of the Creative Commons mining equipment are an equally important source of heat. Therefore, the cabin geometric
Attribution (CC BY) license (https:// model proposed in the article takes into account heat transfer, according to three conditions:
[Link]/licenses/by/
the current actual temperature, the predicted temperature of the conditioned air, and the
4.0/).

1
Energies 2023, 16, 5668

simulated flow rate to ensure the thermal comfort of the operator. The achievement of
the authors is the calculation and analysis of the personal mean vote (PMV) index. With
its help, a conclusion was made about the optimal parameters of conditioned air (flow
rate 2.4 × 10−2 m3 /s, temperature 10.00 ◦ C) for the temperature in the mine working of
35.00 ◦ C; the air temperature in mining machine cabin will be 20.40 ◦ C. In turn, if the
air temperature in the mine working rises to 38.00 ◦ C due to increased heat release from
the rock array or more powerful machine, it is required to lower the temperature of the
conditioned air to 8.00 ◦ C or increase the flow rate to 3.14 × 10−2 m3 /s. In this case, the
thermal comfort of the operator in the cabin will correspond to a constant value of the PMV
index.
The article by M. Pikuła, K. Chudy, M. Worsa-Kozak, M. Czop presents the results
of the analysis of the deep-lying rocks hydraulic parameters, in relation to the deepening
of mine shafts [5]. As the main method, the authors used an assessment of the drainage
potential of Triassic sandstones during the analysis of core parameters. The authors proved
that laboratory tests underestimate the hydraulic parameters of porous-fractured rocks,
while the part of all core samples with the maximum value of hydraulic conductivity can be
representative of the aquifer. Along with this, the authors showed that the currently used
methods for calculating the water inflow to the mineshaft are characterized by low accuracy
and reliability due to unrepresentative values of hydraulic conductivity. Therefore, the
clarification of hydrogeological conditions when predicting the inflow to the mineshaft
largely affects the pace of its construction, labor safety and safety of capital investments.
Based on the results of laboratory studies and calculations, the authors recommend using
the highest values of hydrogeological parameters of rocks based on a pessimistic scenario
for predicting water inflow to conducted mineshafts. As a limitation of the study, the
authors highlighted the applicability of the proposed method exclusively for porous and
porous-fractured rocks.
A. Banasiewicz, P. Śliwiński, P. Krot, J. Wodecki, R. Zimroz presented a 4th order
statistical polynomial model for 11 and 10 input variables with modeling accuracy of
8% and 13% respectively (measurements were carried out using SYN-APSA systems) in
their article devoted to forecasting emissions of nitrogen oxides (NOx) by diesel transport
vehicles in mines [6]. For comparison, the authors consider sensor accuracy of 10% and
20% for stable and transient operation modes. The importance of the study is confirmed
by the fact that as the mine workings deepens and the mining front moves away from
the ventilation shafts, the gas content increases, and the risk of reaching critical values
increases. According to the results of the study presented in the article, flexible planning of
the ventilation system is possible to optimize the consumption of electricity by transport
and other mining equipment in deep underground workings. The authors rightly position
the developed model as a “soft sensor”, promising for monitoring and predicting NOx
emissions from diesel vehicles, including dump trucks that are not equipped with harmful
gas sensors, as well as for providing faster ventilation of underground mine workings
along which diesel locomotives move.
The original method for detecting blockages of the belt conveyor transfer point was
proposed by P. Bortnowski, H. Gondek, R. Król, D. Marasova, M. Ozdoba [7]. This method
is based on the use of RGB camera for data acquisition and CNN Autoencoder for data
analysis and interpretation. The authors proceed from the need to solve the widespread
problem of failure of the transfer point of the conveyor belt due to clogging of the transfer
chute and disruption of the flow of material by oversized pieces of rock or other objects,
as a result of which the entire transport route can be disabled. In this regard, the use
of a neural network allows restoring images of the operation of conveyor equipment for
comparison with standard operating conditions. The authors concluded that the best
results are possible when using Gaussian filters for image selection, thresholding and
transformation using morphological operators. In particular, the neural network quite
accurately detected transfer point blocking when oversized pieces of rock and anchor bolts
hit (the most common reasons for a decrease in conveyor throughput). It will be useful for

2
Energies 2023, 16, 5668

readers to know that the future research of the authors promises to be focused on real-time
processing of RGB images using a neural network.
D. Szurgacz, B. Borska, R. Diederichs, A.J.S. Spearing, S. Zhironkin in their article
consider new possibilities of internal leaks minimizing in hydraulic prop of a powered roof
support [8], starting from its three functions: equipment control, overload protection—the
result of rock pressure, minimization of leaks in props and in entire hydraulic system. To
do this, the authors propose replacing the existing support block with a double block with
charging, which allows increasing the load capacity of the prop by 10–50% by maintaining
pressure in the under-piston space of at least 250 bar. The leakage also can be minimized.
The authors found that the block prototype maintains the required load capacity of the
props, despite leaks, which makes it possible to avoid costly and time-consuming replace-
ment of the props. The article presents the results of bench tests of the prototype block,
which confirmed the correctness of the working hypothesis, as well as tests in real con-
ditions, which approved the authors in the assumption of the operability of the power
support prop in case of an internal leak. Consequently, the results of the study of double
block with charging, presented in the article, allow replacing existing blocks in the real
conditions of mines already today.
A. Smirnova, K. Varnavskiy, F. Nepsha, R. Kostomarov, S. Chen in their article consider
the use of methane from coal mine as a primary energy source for power supply of mine
consumers and, above all, data processing centers [9]. The authors rightly point out that
the development of coal deposits by the underground mining releases up to 8% of methane
into the atmosphere (the contribution to greenhouse gas emissions is up to 17%). In this
regard, the authors proposed the integration of methane extraction from coal seams with the
development of mine data centers (concept “Coal-Energy-Information”) in three variants.
They are cogeneration—burning the methane at gas power generating utilities; burning
for use in absorption systems for data center equipment cooling; trigeneration—the use
of power generating unit and absorption refrigerator for power supply to mines’ data
centers. As a result of a comparative analysis of capital and operating costs, profitability
and savings for each option, the authors determined the payback period for investments:
five years for the first, seven years for the second and six years for the third variant. This
made it possible to single out the cogeneration of electricity from coalmine methane as
the most promising way to supply power to data centers at mining enterprises. There is
no doubt that the implementation of the author’s idea will allow coalmines to enter the
information technology market and diversify their activities.
M. Siami, T. Barszcz, J. Wodecki, R. Zimroz consider design and prototyping of
the infrared image processing pipeline for robotic inspection, designed for monitoring
conveyors at surface mines [10]. The authors rightly argue that traditional methods of
transport equipment inspecting are laborious and dangerous, which fully applies to the
thermography of intensively operating units. On this basis, the article considers a robot
inspector moving along a conveyor, receiving, processing, analyzing and interpreting
infrared images for automatic detection and analysis of overheated rollers. The authors
identified significant potential for timely recognition of temperature anomalies analyzed
using a histogram of infrared images obtained by the robot. The authors declare a limitation
of the proposed method associated with false thermography results obtained from a mirror
object in the RGB shooting field, which can lead to false alarms. The authors see overcoming
the limitation in the use of pre-processing algorithms, including CLAHE, adaptive gamma
correction to reduce unwanted gray level variations. The authors associate future research
in this area with the widespread introduction of robotic devices and infrared image scanners
in conveyor systems equipped with artificial intelligence for the transition to new synthesis
methods.
The problem of underground structures geometry evaluation was considered by A.
Wróblewski, J. Wodecki, P. Trybała, R. Zimroz in the context of using point cloud data for
multivariate parameterization and multidimensional analysis [11]. Without a doubt, the
implementation of underground mine workings and large-scale structures (gallery, bunkers,

3
Energies 2023, 16, 5668

chambers) in strong rocks by drilling and blasting or mechanically leads to the formation
of surfaces that are uneven in terms of geometry. In addition, the resulting vibrations and
seismic phenomena violate the stability of previously created structures. At the same time,
it is difficult to use stationary underground monitoring systems due to the constant blasting,
operation of mining and transport mining equipment. In this regard, the authors proposed
an original method for monitoring the geometric parameters of underground workings,
based on measurements using LiDAR/Terrestrial Laser Scanner. The resulting digital point
cloud is used to create a 3D model of the tunnel geometry, processed repeatedly to obtain
a homogeneous structure, followed by segmentation to separate cross sections with the
required resolution. An important achievement by the author is the standardization of the
operational structure of 3D data, which simplifies data analysis and reduces their required
volume, and significantly increases the efficiency of post-processing.
The article by J. Janus, P. Ostrogórski is devoted to the modeling of underground
mine workings using data obtained from laser scanning, in comparison with manual
measurements [12]. The paper discusses the advantages and disadvantages of several
methods for measuring the cross-sectional area of a mine working: the empirical method;
use of CAD; approximation by a semi-ellipse, including those with attached straight
sections. It has been established that the use of CAD software gives the best approximation
than other methods. The results show the maximum differences between the semi-ellipse
and laser scanning methods, and the approximation method at the level of 5.9%. The
authors argue that in all methods the shape of the lower part of the working is modeled
as a straight line, which often leads to an unacceptable simplification, therefore, for the
deformed floor, it is recommended to take into account its height marks. This allows
adjusting the length of the straight parts of the arc for better modeling of the shape of an
underground mine working. Finally, the article convincingly proves that the use of the
entire family of CAD methods makes it possible to speed up the modeling process, in
particular, calculations of the cross-sectional area of mine workings. At the same time, for
modeling each individual mine working, it is necessary to make a decision on the choice
of an appropriate method, which is dictated by the inevitable deformations of the tunnels
under the action of rock pressure and seismic effects.
A. Wróblewski, P. Krot, R. Zimroz, T. Mayer, J. Peltola in their article provide a detailed
review of the energy-saving and environment-friendly solution for linear electric motor
hammers [13], which are widely used for crushing oversized pieces of blasted rocks, as well
as for disintegration of concrete structures. Today, along with electric hammers, hydraulic
hammers are widely used, which have their own advantages and disadvantages. In this
regard, the article provides an overview of existing hammers with a linear electric motor in
order to select more energy-saving and environmentally friendly equipment. The authors
argue that the shorter payback period of electric hammers (1–2 years) makes them especially
profitable in enterprises with a large fleet of machines. However, their operation requires
additional costs for the purchase of cables and power points, which, due to their versatility,
can be used in enterprises for other purposes. The authors set promising scientific tasks
for future research on electric hammers, related to the improvement of their design for use
at elevated temperatures and humidity in underground mines, where full maintenance of
machines is difficult.
Y. Yang, X. Xu, C. Wang in their article, devoted to forming an approach to the
study of host rocks deformation in the development of coal seams [14], note that the
mechanism of rocks deformation during the close mining of coal seams in coal mines
is not sufficiently reflected in the studies. Therefore, the authors proposed a model for
studying the distribution of stresses at different distances between deformation zones.
The article presents the results of a significant number of measurements of rock pressure,
which indicate that the degree of damage to a single column in the workings of the upper
and lower coal seams is quite low (no more than 5% and 1%, respectively). With a roof
settlement in the upper layer of the stratum in the range of 0.74–1.33 m, the authors revealed
the occurrence of sliding instability. Accordingly, if the size of the subsidence exceeds the

4
Energies 2023, 16, 5668

values of 1.33 m, the massif within the underground mine working will be deformed,
causing an increase in rock pressure. The staggered distance of 40 m between the upper
and lower faces allows reducing the pressure on the face when mining the lower coal seam.
Without a doubt, the results of the study presented by the author are the contribution to
improving the method of reducing damage to underground mine workings and stabilizing
coal production.
Feeling proud for the opportunity to participate in the editing of the Special Issue
“Mining Technologies Innovative Development II” and select the best articles, it is necessary
to thank all the Reviewers, whose work has allowed strengthening the expression of
scientific thought in the field of sustainable development and mining–important modern
energy carriers. One can be sure that further progress in the field of energy supply in
modern economy and society will be stimulated by the popularization of innovative ideas
and know-how in mining.

Author Contributions: Conceptualization, S.Z. and D.S.; methodology, S.Z. and D.S.; validation, S.Z.
and D.S.; writing—original draft preparation, D.S.; writing—review and editing, S.Z.; supervision,
S.Z. and D.S. All authors have read and agreed to the published version of the manuscript.
Funding: This research received no external funding.
Conflicts of Interest: The authors declare no conflict of interest.

References
1. United Nations. Sustainable Development Goals. 17 Goals to Transform Our World. Available online: [Link]
sustainabledevelopment/ (accessed on 30 May 2023).
2. Cehlar, M. The structural role of convergent technologies in the modern economy. Econ. Innov. Manag. 2019, 3, 24–31. [CrossRef]
3. Khloptsov, D.M.; Gasanov, M.A.; Potyagail, S.V. Evolution of the technological platform of structural shifts in the economy. Econ.
Innov. Manag. 2022, 1, 20–32. [CrossRef]
4. Wróblewski, A.; Macek, A.; Banasiewicz, A.; Gola, S.; Zawiślak, M.; Janicka, A. CFD Analysis of the Forced Airflow and
Temperature Distribution in the Air-Conditioned Operator’s Cabin of the Stationary Rock Breaker in Underground Mine under
Increasing Heat Flux. Energies 2023, 16, 3814. [CrossRef]
5. Pikuła, M.; Chudy, K.; Worsa-Kozak, M.; Czop, M. Scale Effect on Hydraulic Properties of Pore-Fissure Deep Rock Formations
and Its Importance for the Mining Shaft-Sinking Process. Energies 2023, 16, 2263. [CrossRef]
6. Banasiewicz, A.; Śliwiński, P.; Krot, P.; Wodecki, J.; Zimroz, R. Prediction of NOx Emission Based on Data of LHD On-Board
Monitoring System in a Deep Underground Mine. Energies 2023, 16, 2149. [CrossRef]
7. Bortnowski, P.; Gondek, H.; Król, R.; Marasova, D.; Ozdoba, M. Detection of Blockages of the Belt Conveyor Transfer Point Using
an RGB Camera and CNN Autoencoder. Energies 2023, 16, 1666. [CrossRef]
8. Szurgacz, D.; Borska, B.; Diederichs, R.; Spearing, A.J.S.; Zhironkin, S. Minimizing Internal Leaks of a Powered Roof Support’s
Hydraulic Prop Based on Double Block with Charging. Energies 2023, 16, 1341. [CrossRef]
9. Smirnova, A.; Varnavskiy, K.; Nepsha, F.; Kostomarov, R.; Chen, S. The Development of Coal Mine Methane Utilization
Infrastructure within the Framework of the Concept “Coal-Energy-Information”. Energies 2022, 15, 8948. [CrossRef]
10. Siami, M.; Barszcz, T.; Wodecki, J.; Zimroz, R. Design of an Infrared Image Processing Pipeline for Robotic Inspection of Conveyor
Systems in Opencast Mining Sites. Energies 2022, 15, 6771. [CrossRef]
11. Wróblewski, A.; Wodecki, J.; Trybała, P.; Zimroz, R. A Method for Large Underground Structures Geometry Evaluation Based on
Multivariate Parameterization and Multidimensional Analysis of Point Cloud Data. Energies 2022, 15, 6302. [CrossRef]
12. Janus, J.; Ostrogórski, P. Underground Mine Tunnel Modelling Using Laser Scan Data in Relation to Manual Geometry Measure-
ments. Energies 2022, 15, 2537. [CrossRef]
13. Wróblewski, A.; Krot, P.; Zimroz, R.; Mayer, T.; Peltola, J. Review of Linear Electric Motor Hammers—An Energy-Saving and
Eco-Friendly Solution in Industry. Energies 2023, 16, 959. [CrossRef]
14. Yang, Y.; Xu, X.; Wang, C. Study on the Mechanism of Surrounding Rock Deformation and Its Control for Roof Cutting Retained
Gob-Side Entry in Close-Distance Coal Seams Co-Mining. Energies 2023, 16, 4379. [CrossRef]

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 energies
Article
Study on the Mechanism of Surrounding Rock Deformation
and Its Control for Roof Cutting Retained Gob-Side Entry in
Close-Distance Coal Seams Co-Mining
Yongkang Yang 1,2, *, Xuecong Xu 1 and Chenlong Wang 1

1 Key Laboratory of In-Situ Property-Improving Mining of Ministry of Education,

Taiyuan University of Technology, Taiyuan 030024, China
2 State Key Laboratory of Coal Resources and Safe Mining, China University of Mining & Technology (Beijing),
Beijing 100083, China
* Correspondence: yangyongkang@[Link]; Tel.: +86-132-034-13056

Abstract: Sustainable development in coal mining requires a continuous and efficient method of
coal extraction. Research shows that gob-side entries retained through roof cutting retained gob-
side (RCGE) are vital for improving mining efficiency, enhancing coal recovery rates, and enabling
continuous production. However, the mechanism of surrounding rock deformation during close-
distance co-mining of coal seams with this technique is not yet clear. For the Jiaokou coal mine
in China, due to an unreasonable stagger distance between upper and lower working faces, the
gob-side entries retained at the 9102 tailgate and 10102 headgate experience severe rock pressure,
leading to significant prop damage and a sharp reduction in the cross-section of the entry. This greatly
hampers the reuse of these entries. To investigate this issue, we established a model to study the
stress distribution of surrounding rocks at different stagger distances (20 m, 40 m, 60 m, 80 m, and
120 m) through numerical simulation and optimized the support parameters for the retained entries.
Our research found that when the subsidence of the roof in the upper coal seam exceeds 0.74 m but is
less than 1.33 m, there is sliding instability in the mining body. When the subsidence exceeds 1.33 m,
the mining body will rotate and deform, causing significant mining pressure within the retained
Citation: Yang, Y.; Xu, X.; Wang, C.
entry. A stagger distance of 40 m between the upper and lower working faces can reduce pressure on
Study on the Mechanism of
the face during the mining of the lower coal seam. Extensive field measurements of rock pressure
Surrounding Rock Deformation and
revealed that the damage rate of the single column in the gob-side entries of the upper and lower
Its Control for Roof Cutting Retained
Gob-Side Entry in Close-Distance
coal seams does not exceed 5% and 1%, respectively. In summary, this study provides a practical
Coal Seams Co-Mining. Energies 2023, method to reduce damage to entries during the mining process, thereby increasing the continuous
16, 4379. [Link] production capability of the coal mine. This is critical for the sustainable development of coal mining.
en16114379
Keywords: close-distance coal seams co-mining; roof pre-fracturing; gob-side entry retained by roof
Academic Editors: Sergey Zhironkin
cutting; surrounding rock control
and Dawid Szurgacz

Received: 7 May 2023

Revised: 20 May 2023
Accepted: 24 May 2023 1. Introduction
Published: 28 May 2023
With the growth of global energy demand, coal, as an important source of energy, has
seen an increase in both consumption and production [1,2]. However, due to the increasing
scarcity of coal resources, coal mines around the world are facing mining difficulties, and
Copyright: © 2023 by the authors.
mining has caused varying degrees of environmental damage [3–6].
Licensee MDPI, Basel, Switzerland. In some areas, such as the United States and India, room and pillar mining is often
This article is an open access article used in underground mines [7,8]. The room and pillar mining method is a kind of pillar
distributed under the terms and system mining method. Coal pillars of different shapes are left in the coal room during coal
conditions of the Creative Commons mining, and the coal pillars temporarily support the roof in the coal mining room [9–11].
Attribution (CC BY) license (https:// In shallow coal seams, the thickness of the covering layer should not exceed 500 m, the
[Link]/licenses/by/ inclination angle should be small, single coal seams or non-short-distance coal seams are
4.0/). used, the roof is more than moderately stable, and the floor is hard. Under these conditions,

6
Energies 2023, 16, 4379

the coal quality is medium hard or above medium hard. There is no hard gangue; the gas
emission is low, and the coal seam will easily spontaneously ignite, etc. This approach is
more suitable. Many scholars have conducted research on mine pressure appearance and
corresponding support measures within the mining process [12–14].
Compared to thick and easily mined coal seams, the mining conditions and geological
situations of close-distance coal seams are more complex [15,16], yet they account for a
significant portion of coal reserves. Co-mining of close-distance coal seams is an effective
mining method to address these challenges [17,18]. However, the traditional co-mining
of close-distance coal seams presents significant risks and low recovery rates, making the
development of safer and more efficient mining technologies a current priority [19,20].
Gob-side entry retaining technology involves preserving some goaf in the entry, where
the collapsed goaf naturally forms one side of the entry. The successful implementation
of this technology not only increases coal recovery rates but also greatly enhances safety.
Specifically, the roof of the gob-side entry can be effectively preserved, improving the
safety of mining operations [21]. Many scholars have studied the gob-side entry retaining
technology under different roof and burial conditions [22,23]. Especially in deep areas,
the successful use of gob-side entry retaining has solved the serious threat brought by
enormous geo-stress to the entry.
However, in areas with shallow burial, due to the thin and multi-layered nature of
coal seams, traditional co-mining of close-distance coal seams presents many problems.
The close proximity of the roadways leads to multiple disturbances, resulting in difficult-to-
support roadways. Therefore, we combined gob-side entry retaining technology with co-
mining of upper and lower coal seams and conducted research on roof cutting retained gob-
side entry in close-distance coal seams co-mining. Considering that in recent years, with
the development of technology, the technical condition systems for monitoring reservoirs
and mines have been significantly improved [24–26]. These systems aim to monitor various
parameters of mines in real-time, including geo-stress, gas pressure, coal seam temperature,
etc., to ensure the safety of miners and improve the operating efficiency of mines. This
provides us with more detailed geological production data and safety guarantees as we
attempt to solve these issues.
In close-distance coal seams combined mining, a key issue is determining the reason-
able offset between upper and lower coal seam entries [27,28]. This is because the floor
may undergo plastic failure after the upper coal seam is mined, which makes the roof of
the lower coal seam entry prone to collapse. The interaction between upper and lower
coal seams during mining can affect the surrounding rock structure and stress distribution.
Too small of an offset can make it difficult to control the surrounding rock, while too large
of an offset can affect production continuity and output stability. Therefore, the layout
of the lower coal seam entry is divided into stable pressure zone layout and depressur-
ized zone layout, both of which aim to reduce the impact of disturbance caused by the
upper coal seam mining on the stability of the lower coal seam entry [29,30]. However,
in actual engineering, a reasonable entry layout is difficult to achieve due to geological
conditions and mining plans. Entries that are too close can lead to problems such as sur-
rounding rock deformation, mining pressure, increased support difficulty, and dangerous
gas concentration [31–35].
However, there is currently no clear conclusion on the mechanism of cutting the top
and unloading pressure along the gob-side entry in close range coal seams, so it is necessary
to conduct in-depth research on the characteristics of overall roof movement of upper
and lower coal seams, the deformation mechanism of surrounding rock, and the mining
pressure law of the interaction between the roadway and surrounding rock.
Taking the 9102 tailgate and the 10102 headgate in Jiaokou Coal Mine as the back-
ground, analyze the spatiotemporal evolution of the overlying strata structure and the
deformation of surrounding rock. By constructing a mechanics model, analyze the theo-
retical mechanism of the roof, floor, and surrounding rock in the cutting of the top and
unloading pressure along the gob-side entry at different stages. Using FLAC3D simulation

7
 deformation of surrounding rock. By constructing a mechanics model, analyze the theo-
retical mechanism of the roof, floor, and surrounding rock in the cutting of the top and
Energies 2023, 16, 4379
unloading pressure along the gob-side entry at different stages. Using FLAC3D simulation
software, study the stress field variation during the mining process of the No. 9 and No.
10 coal seams, and explore the influence of the upper and lower coal seam working faces
software, study the stress field variation during the mining process of the No. 9 and No. 10
on the stress distribution of the surrounding rock in the gob-side entry. Finally, optimize
coal seams, and explore the influence of the upper and lower coal seam working faces on
the
thesupport scheme and
stress distribution apply
of the it to engineering.
surrounding rock in the gob-side entry. Finally, optimize the
support scheme and apply it to engineering.
2. Field Practice of Gob-Side Entry Retained
2. Field Practice of Gob-Side Entry Retained
In Jiaokou Coal Mine, the method of co-mining and roof cutting gob-side entry re-
tainingIn Jiaokou
is adoptedCoalforMine, the method of
close-distance coalco-mining and roof
seams, where cutting
the gob-side
horizontal entry re-
distance between
taining is adopted for close-distance coal seams, where the horizontal distance between
the 9102 tailgate and the 10102 headgate is 6 m, the vertical distance is 10 m, and the cross
the 9102 tailgate and the 10102 headgate is 6 m, the vertical distance is 10 m, and the
sections of theof
cross sections 9102
the tailgate and the
9102 tailgate and10102
the 10102 headgate areare
headgate 4700 mm
4700 × 3000
mm × 3000mm mmand 4700 mm
and
×4700
3500mm mm, respectively.
× 3500 First, the
mm, respectively. 9102
First, theworking face face
9102 working starts mining,
starts and
mining, the
and the9102
9102tailgate
begins gob-side entry retaining. When the working face advances
tailgate begins gob-side entry retaining. When the working face advances 120 m, the 10102 work-
120 m, the 10102
working
ing face starts
face starts mining,
mining, andand
thethe 10102
10102 tailgatebegins
tailgate beginsgob-side
gob-side entry
entry retaining,
retaining,with
witha a stag-
staggered
gered distance
distance of 120
of 120 mm betweenthe
between theworking
working faces,
faces, as
asshown
shownininFigure
Figure1. 1.

(a) (b)
Figure 1.
Figure Relationship between
1. Relationship between goaf
goafofofupper
upperand
andlower
lowercoal mining
coal faces
mining andand
faces gob-side entry.
gob-side entry. (a)
(a) 9102
9102 working
working face
face location(b)
location (b)10102
10102 working
working face
facelocation.
location.

As shown
As shown in inFigure
Figure2,2,
the slitslit
the holes areare
holes located 200 mm
located 200 above the roof,
mm above thewith
roof,a with
spacing
a spacing
of 600 mm. The advanced support method adopts 4.2 m π-shaped beams + single columns
of 600 mm. The advanced support method adopts 4.2 m π-shaped beams + single columns
(one beam, three columns) with single column spacings of 2800 mm and 1200 mm, while
(one beam, three columns) with single column spacings of 2800 mm and 1200 mm, while
the lagging support method adopts 4.2m π-shaped beams + single columns (one beam,
the lagging
eight columns) support method
with single adopts
column 4.2m π-shaped
spacings of 1000 mm, beams
1000 +mm,
single
400 columns
mm, 400 mm, (one beam,
eight
400 mm, columns)
400 mm,with single
and column
400 mm. Thespacings
advanced ofsupport
1000 mm, 1000 mm,
distance for the4009102
mm, 400 mm, 400
tailgate
is 20 400
mm, m, and
mm,the
andlagging support
400 mm. Thedistance
advanced is 240 m. Asdistance
support the working face9102
for the advances, theis 20 m,
tailgate
single
and thecolumns
lagginglagging
supportby 240 m are is
distance partially
240 [Link] for pedestrian
As the working and transportation
face advances, the single col-
purposes.
umns The advanced
lagging by 240 msupport distancerecovered
are partially for the 10102 forheadgate is 80 m,
pedestrian andand the lagging pur-
transportation
support
poses. distance
The is 200 support
advanced m. As thedistance
working for facethe
advances, the single columns
10102 headgate is 80 m,lagging
and the bylagging
200 m are partially recovered and reused for pedestrian and transportation purposes.
support distance is 200 m. As the working face advances, the single columns lagging by
Due to unscientific historical mining in the No. 9 coal seam of Jiaokou Coal Mine, the
200 m are partially recovered and reused for pedestrian and transportation purposes.
setup entry of the 9103 working face cannot be excavated, as shown in Figure 3a. Therefore,
Due towas
ventilation unscientific
improvedhistorical
by excavatingmining in the No.
a roadway 9 setup
at the coal seam
entryofto Jiaokou Coal
connect the Mine, the
9102
setup
tailgate entry
and of the headgate.
10102 9103 working
This face
allowscannot be excavated,
the 10102 headgate, as shown
10102 in Figure
tailgate, 3a. There-
and 9102
headgate to be ventilated simultaneously while the 9102 tailgate returns the airflow. That
fore, ventilation was improved by excavating a roadway at the setup entry to connect the
is, the
9102 No. 9 and
tailgate andNo. 10 coal
10,102 seams share
headgate. Thisaallows
common thereturn
10102airway, as shown
headgate, 10102intailgate,
Figure 3b.
and 9102
headgate to be ventilated simultaneously while the 9102 tailgate returns the airflow. That
is, the No. 9 and No. 10 coal seams share a common return airway, as shown in Figure 3b.
The lithology of the roof and floor of 9102 and 10102 working faces is shown in Figure
4. The thickness of the No. 9 coal seam is 0.30 m to 1.75 m, averaging 1.04 m, with a simple
structure, generally containing 0 to 1 layer of gangue, and is a stable and mostly mineable
coal seam in the whole area. The roof is L1 limestone, and the floor is mudstone and sandy
mudstone. The thickness of the No. 10 coal seam is 1.74 m~3.93 m, with an average of 3.04

8
Energies 2023, 16, x FOR PEER REVIEW 4 of 17

Energies 2023, 16, x FOR PEER REVIEW 4 of 17

Energies 2023, 16, 4379

m, and a simple structure containing 1~3 layers of gangue, stable thickness, and is minea-
ble across
m, and the whole
a simple area. containing 1~3 layers of gangue, stable thickness, and is minea-
structure
ble across the whole area.

(a)
(a)

(b)
Figure 2. Advance support and(b) lagging support gob-side entry. (a) 9102 tailgate advance support
Figure 2. Advance support and lagging support gob-side entry. (a) 9102 tailgate advance sup-
and lagging support gob-side entry (b) 10102 headgate advance support and lagging support gob-
port and
Figure 2. lagging
Advancesupport gob-side
support entry support
and lagging (b) 10102gob-side
headgate advance
entry. support
(a) 9102 andadvance
tailgate lagging support
side entry.
gob-side
and entry.
lagging support gob-side entry (b) 10102 headgate advance support and lagging support gob-
side entry.

(a) (b)
(a) (b)
Figure 3. Ventilation method in the mining area. (a) Traditional ventilation gob-side entry (b) Actual
ventilation gob-side entry.
Figure
Figure 3.
3. Ventilation
Ventilation method
method in
in the
the mining
mining area.
area. (a)
(a) Traditional
Traditional ventilation
ventilation gob-side
gob-side entry
entry (b)
(b) Actual
Actual
ventilation gob-side entry.
ventilation gob-side entry.

9
 Energies 2023, 16, 4379

The lithology of the roof and floor of 9102 and 10102 working faces is shown in Figure 4.
The thickness of the No. 9 coal seam is 0.30 m to 1.75 m, averaging 1.04 m, with a simple
structure, generally containing 0 to 1 layer of gangue, and is a stable and mostly mineable
coal seam in the whole area. The roof is L1 limestone, and the floor is mudstone and sandy
mudstone. The thickness of the No. 10 coal seam is 1.74 m~3.93 m, with an average of
Energies 2023, 16, x FOR PEER REVIEW
3.04 m, and a simple structure containing 1~3 layers of gangue, stable thickness, and is
mineable across the whole area.

[Link]
Figure Boreholediagram.
diagram.
3. Overlay Transport Characteristics and Surrounding Rock Deformation Mechanism
3. Overlay
3.1. Transport
Deformation Characteristics
and Damage and
Characteristics of the Surrounding Rock Deformation
Roof Mech
3.1. Figure 5 demonstrates
Deformation the roof
and Damage damage and key
Characteristics block
of the changes during the mining
Roof
process of the upper and lower group coal seam working face. As the coal seam mining
Figure 5 demonstrates the roof damage and key block changes during the
advances, the overlying rock subsidence leads to changes in key blocks A, B, and C. Among
process
them, the of the upper
position and lower
of A is stable, C movesgroup
down,coal
andseam working
B is affected by Aface.
and CAsandthe coal seam
rotates
and sinks. When
advances, the lower group
the overlying rockofsubsidence
the coal seamleads
is mined, the roof sinking
to changes in key increases
blocks A, B,
and the structural stability of key block E is weakened, which in turn
Among them, the position of A is stable, C moves down, and B is affected by A anaffects the structural
stability of key block B, and the mine pressure shows obviously. The damage to the bottom
rotates and sinks. When the lower group of the coal seam is mined, the roof sin
plate has a significant impact on the stability of the key block, and the degree and extent of
creases
the damage andarethe structural
related stability
to the difficulty of key
of safe block
mining of theE coal
is weakened, which
seam of the lower in turn aff
group.
In order to clarify the deformation mechanism of the surrounding rock, it is necessary to The
structural stability of key block B, and the mine pressure shows obviously.
analyze the sliding
to the bottom instability
plate and rotary deformation
has a significant impact on themechanism
stabilityofofkey
theblock
keyBblock,
in the and the
mining process of the upper and lower group coal seams.
and extent of the damage are related to the difficulty of safe mining of the coal sea
lower group. In order to clarify the deformation mechanism of the surrounding ro
necessary to analyze the sliding instability and rotary deformation mechanism
block B in the mining process of the upper and lower group coal seams.

10
 structural stability of key block B, and the mine pressure shows obviously. The damage
to the bottom plate has a significant impact on the stability of the key block, and the degree
and extent of the damage are related to the difficulty of safe mining of the coal seam of the
lower group. In order to clarify the deformation mechanism of the surrounding rock, it is
Energies 2023, 16, 4379 necessary to analyze the sliding instability and rotary deformation mechanism of key
block B in the mining process of the upper and lower group coal seams.

(a) (b)

Energies 2023, 16, x FOR PEER REVIEW 6 of 17

Energies 2023, 16, x FOR PEER REVIEW 6 of 17

(c) (d)

(e) (f)
(e) (f)
Figure 5. The process of roof failure during mining at the working face. (a) End of upper and lower
roadway
Figure
Figure excavation
5. The
5. Theprocess (b)
processofofStart
roof of upper
rooffailure
failure group
during
during coal seam
mining
mining atat mining
the
the (c)
working
working End(a)of
face.
face. (a)upper
End End and
of lower
upper
of upper and roadway
and
lower lower
excavation
roadway (d) Start
excavation of
(b) upper
Start group
of upper coal seam
group mining
coal seam (e) End
mining of
(c)upper
End ofand lower
upper
roadway excavation (b) Start of upper group coal seam mining (c) End of upper and lower roadway androadway
lower excava-
roadway
tion (f) Start
excavation
excavation (d)of upper
(d)Start ofgroup
Startof upper coal
group
upper group seam
coal
coal mining.
seam
seam mining
mining (e) End
(e) End of upper
of upper androadway
and lower lower roadway excava-
excavation
tion(f)(f) Start of upper group coal seam
Start of upper group coal seam mining. mining.
3.2. Research on the Damage Mechanism of the Surrounding Rock Structure
[Link]. Research
Research ononthe
In the process
theDamage
Damage Mechanism
Mechanism of the
of the workover ofofthe theSurrounding
Surrounding
upper
Rock
and lower
Structure
Rock Structure
groups of coal seams in the
In the process of the workover of the upper and lower groups of coal seams in the
nearIn theseam
coal processwithofcutting
the workover of the upper
top unloading pressureandalong
lowerthe groups of coal
air stay, seams
the force in the
analysis
near coal seam with cutting top unloading pressure along the air stay, the force analysis of
near
of the
thecoal
keyseam
blockswith A, cutting
B, and top
C isunloading
carried out pressure
as shownalong in the
Figure air stay,
key blocks A, B, and C is carried out as shown in Figure 6. The force of the key blocks key
6. Thethe force
force of analysis
the
of the key
blocks blocks
(assumed
(assumed to be to A,be
A, B,B,A,and
and B,C) CofisC)
and carried
the of out roof
as shown
the overlying
overlying intheFigure
roofofrock
rock of the6.
upper The coal
upper
group force
group ofcoal
seam the key
is seam
blocks (assumed
is analyzed. to be A, B, and C) of the overlying roof rock of the upper
analyzed. Assuming that these key blocks are articulated, it is necessary to analyze the slip the
Assuming that these key blocks are articulated, it is necessary group
to coal
analyze seam
is instability
analyzed.
slip and
instability rotary
Assuming
and deformation
these of
thatdeformation
rotary keykeyblocks
block
of key B.
areHere, itB.
is simplified
articulated,
block tosimplified
Here,it itis is a two-dimensional
necessary to to
analyze the
a two-di-
slipproblem,
mensional and and
instability somerotary
problem, basic parameters
and some basic are
deformation setkey
of for the
parameters blocks.
block
are Thethe
B. Here,
set for force isanalysis
it blocks. parameters
simplified
The to a analysis
force two-di-
and the key
mensional
parameters parameters
problem,
and the key of the rock
andparameters
some basic masses
theare
parameters
of shown
rock areinset
masses Table 1.
forshown
are the blocks. [Link] analysis
in Table
parameters and the key parameters of the rock masses are shown in Table 1.

(a) (b)
(a) (b)
Figure 6. 6.
Figure Stress
Stressanalysis
analysisof
of the roofof
the roof ofthe
theupper
upper and
and lower
lower coalcoal seams.
seams. (a) End
(a) End of upper
of upper and lower
and lower
roadway
Figure 6. excavation
Stress (b)
analysis Start
of theof upper
roof of group
the coal
upper seam
and mining.
lower
roadway excavation (b) Start of upper group coal seam mining. coal seams. (a) End of upper and lower
roadway excavation (b) Start of upper group coal seam mining.
Table 1. Stress analysis and key parameters of rock mass.
Table 1. Stress analysis and key parameters of rock mass.
Parameter Symbols Physical Meaning Unit
Parameter𝐾Symbols Physical
Key block C mining Meaning
gangue stiffness Unit
N/m
𝐾𝑆 Key block
Key block 11 area gangue stiffness
C mining
C mining displacement N/m
m
𝑊, 𝑊𝑆 , 𝑊 Key block C mining
Self-weight areablocks
of key gangueA, displacement
B, and C m
kN
Energies 2023, 16, 4379

Table 1. Stress analysis and key parameters of rock mass.

Parameter Symbols Physical Meaning Unit

K Key block C mining gangue stiffness N/m
S Key block C mining area gangue displacement m
Wa , Wb , Wc Self-weight of key blocks A, B, and C kN
Q a , Qb , Qc Key block A, B, C structure friction shear reaction force kN
Za , Zb , Zc Key blocks A, B, and C are loaded kN
Support force transmitted by the bracket underneath the
Fb kN
critical block B
C1 Distance of the support transfer key block B m
Fc Key block C mining area gangue support force kN
Tab , Tbc Horizontal binding force of the structure on A and B, B and C kN
l Length of key blocks A, B, C m
h Height of key blocks A, B, C m
γ Turning angle of key block B with respect to A ◦
θ Turning angle of key block B with respect to C ◦
k p1 Crushing and swelling coefficient
k p2 Residual swelling factor
hi Thickness of the ith collapsed rock layer m

According to the hydrostatic equilibrium equation for the point O1 we have Equation (1).

 − Q a + Tab sinγ = 0
Z + Tab cosγ − Za = 0 (1)
 b
− Q a h + Zb C1 − Tab cosγ l = 0
For the O2 point there is Equation (2).

 − Qc + Tbc sinθ = 0
Z + Tbc cosθ − Zc = 0 (2)
 a
− Qc h + Za C1 − Tbc cosθl = 0

Slip destabilization analysis of key block B during the mining of the upper group of
coal seams, according to the balance of lateral forces on the key block B, Equation (3) can
be listed.
Tab + Tbc + Fb = Zb (3)
where, Tab and Tbc are the horizontal restraint force of the articulated structure on the key
block B, respectively, Fb is the support force transmitted by the bracket below the key block
B, Zb is the load borne by the key block B. Consider that the maximum shear force on key
block B occurs when it is in the sliding instability state, which satisfies so that Equation (3)
can be simplified to Equation (4).

2Tbc + Fb = Qb (4)

Based on:
Tbc = Sbc Kbc Lbc (5)
where Sbc is the shear area between the key blocks C and B, Kbc is the shear stiffness, and
Lbc is the hinge distance. Substituting into Equation (3) yields Equation (6).

2Sbc Kbc Lbc + Fb = Qb (6)

In order to ensure that the key block B does not slip and destabilize, it is necessary to
ensure that the horizontal binding force Tbc of the articulated structure on B is greater than
or equal to the friction force Qb on the key block B. To this end, Equation (7) is established.

Tbc µ ≥ Qb (7)

12
Energies 2023, 16, 4379

Then, according to the moment balance equation, we can obtain Equation (8).

h
Tbc C1 + Fb hsinγ − Qb l − Zb =0 (8)
2
The condition for determining whether the key block B slips and destabilizes is
Equation (9).
h 1 h
( Fb + Zb ) + Fb hsinγ − Zb C1 ≥ 0 (9)
2 µ 2
Simplify and organize to obtain Equation (10).

(µ ab − 1) Tab + (µbc − 1) Tbc ≥ µ ab gsinγ + µbc gsinθ − Q a (10)

The condition for the key block B not to undergo rotary deformation during mining of
the upper group coal seam is Equation (11).

Za + Wa + Tab − Tbc
≥ tanγ + tanθ (11)
Zb + Wb

Equation (11) simplified and organized as Equation (12).

Scos(γ + θ ) h − 32 hi T C 1
+ bc 1 l − k p1 ρgShsinθ ≥ 0 (12)
tanγ h 2

The slip instability and rotary deformation conditions of key block E in the lower
group coal seam are almost the same as the derivation of key block B in the upper group
coal seam mining, so no derivation is made.
Since it is assumed that the block C sinks as a whole ∆y, as in Figure 4b, then Za and
Zc decrease and increase ρgh∆y, respectively, where ρ is the rock density, kg/m3 ; g is the
acceleration of gravity, kg/m2 , at which point there are Equations (13) and (14).

 − Q a + Tab sinγ = 0
Z + Tab cosγ − ( Za − ρgh∆y) = 0 (13)
 b
− Q a h + Zb C1 − Tab cosγ l = 0

 − Qc + Tbc sinθ = 0
Z + ρgh∆y + Tbc cosθ − Zc = 0 (14)
 a
− Qc h + Za C1 − Tbc cosθ l = 0
Slip destabilization analysis of key block B during mining of the lower group coal seam,
according to the balance of lateral forces on key block B and previous derivation, the condi-
tion for lower group coal seam mining to satisfy key block B without slip destabilization is
Equation (15).
Tab ≥ Q a µ a + Qc µc + Fb (15)
where, Tab is the horizontal binding force of the articulated structure on the key block A
and B, Q a and Qc are the frictional shear reactions of the articulated structure of the key
block A and C, respectively, µ a and µc are the friction coefficients between the rocks, and Fb
is the support force transmitted by the brace below the key block B.
Considering the overall sinking of block C by ∆y, the horizontal and articulated forces
on the key block B will also change. According to the principle of mechanical equilibrium,
the condition that the key block B does not slip and destabilize is satisfied by Equation (16).

Tab ≥ Q a µ a + Qc µc + Fb + Zb tanθ − Zc tanθ − Zb tanγ + Za tanγ − K∆y (16)

Equation (16) is expanded and organized to obtain Equation (17).

13
Energies 2023, 16, 4379

ρlh ρglh ρglh

Tbc − (1 − k p1 )∆y + Tab cosγ − (1 − kp1 )∆ysinγ ≥ (1 − k p2 )µ( Q A + Q B )cosθ (17)
2 2 2
In the lower group coal seam mining, when block B undergoes rotary deformation,
Equation (18) needs to be satisfied.

Tab tanγ + Tbc tanθ ≥ Zb + Gb + Fb − Fa − Fc − k p1 S (18)

Equation (18) is simplified and organized to obtain Equation (19).

2(k p1 −k p2 )∑in=1 hi sinγ

l
∆y T tanµ ∆y
(1−k p1 )( Zla + Zlc + gρh)( 3h − 3 )+ ab l ( 2h − 3 ) (19)
≥ 2 ρg ( h − ∆y )+ 2 tanµ ( h − ∆y )
3 2 3 3 2 3

According to the production geology and filed practice, take h = 4.17 m, l = 6.2 m,
k p1 = 1.4, k p2 = 0.2, E = 22 GPa, γ = θ = 15◦ , ρ = 2450 kg·m−3 , g = 9.8 kg·m−2 , µ = 0.35, and
∑in=1 hi = 275 m, Za = 4.18 MPa, Zc = 3.9 MPa, Tab = Tbc = 3.16 MPa. By substituting them
into Equations (17) and (19), it can be obtained that ∆y ≥ 0.74 m, ∆y ≥ 1.33 m.
Finally, when the subsidence ∆y of the goaf roof in the upper group of coal seams
falls within the range of 0.74 m ≤ ∆y ≤ 1.33 m, block B experiences sliding instability.
When ∆y ≥ 1.33 m, block B will rotate and deform, and both situations will cause severe
mining pressure in the roadway, leading to large deformation of the surrounding rock and
posing a threat to the stability of the next group of coal seam roadways and the safety of
mining work. Therefore, in the mining of the lower group of coal seams, it is necessary to
further consider the reasonable stagger distance between the upper and lower working
faces to reduce the stress concentration caused by the mining impact of the upper group of
coal seams.

4. Numerical Simulation of Rock Pressure in Gob-Side Entry

In order to study the effect of different working face stagger distances on gob-side
entry stability under the same mining situation of upper and lower coal seams, we designed
a numerical simulation plan for coal seam excavation under different working face stagger
distances. The advancing distance of the upper coal seam working face is larger than that
of the lower coal seam, and the stagger distances of the upper and lower coal seam working
faces are 20 m, 40 m, 60 m, 80 m, and 120 m.
Combined with the lithology, spatial distribution, and the mining scheme of the 9102
and 10102 chutes of the Jiaokou coal mine, a numerical model of 335 m × 320 m × 50 m
was established (see Figure 7), taking into account parameters such as the size of the coal
roadway, the width of the working face, and the horizontal and vertical distances. The
rock mechanics parameters (see Table 2) and contact parameters (see Table 3) were defined,
and the boundary conditions were set after pre-splitting. Pre-splitting and roof cutting
are achieved by using the interface unit in FLAC3D to define the cracking behavior. The
model contains two support schemes, scheme I and scheme II, which adopt different anchor
spacing, row spacing, and number of anchors, respectively. For scheme I, anchor spacing is
1100 mm, row spacing is 1600 mm, it has one anchor cable in the center of the roof, and 3
and 4 anchor cables in the 9102 return wind chute and 10102 transport chute of the roadway
gang, respectively. For scheme II, two anchor cables are added on the basis of scheme I, the
distance between its anchors is 700 mm, and the distance between its rows is 800 mm. After
adding support, the coal seams 9 and 10 were excavated in steps, and the changes in the
surrounding rock stresses in the two roadways during the retrieval process were studied.

14
 roof, and 3 and 4 anchor cables in the 9102 return wind chute and 10102 transport chute
of the roadway gang, respectively. For Scheme II, two anchor cables are added on the basis
of scheme I, the distance between its anchors is 700 mm, and the distance between its rows
is 800 mm. After adding support, the coal seams 9 and 10 were excavated in steps, and the
Energies 2023, 16, 4379 changes in the surrounding rock stresses in the two roadways during the retrieval process
were studied.

Figure 7. numerical
Figure model.
7. Numerical model.

Table
Table 2. Rock
2. Rock mechanicsparameters.
mechanics parameters.

Den- Bulk Modu- Bulk Shear Modu-

Shear Friction
Friction An- Tensile
Tensile
Lithology
Lithology Density/kg·m−3 Cohesion/MPa
sity/kg·m−3 lus/GPa Modulus/GPa Cohesion/MPa
Modulus/GPa lus/GPa Angle/ ◦
gle/° Strength/MPa
Strength/MPa
Sandy mudstone2450 2450
Sandy mudstone 9.8 9.8 5.6 5.6 1.8
1.8 2727 10.5 10.5
Coal 1600 1.4 0.6 0.7 20 5.9
Coal Limestone 1600 2750 1.4 17 0.6 9.2 0.7
2.6 2920 23.6 5.9
Mudstone 2750 1900
Limestone 17 7.2 9.2 3.4 1.4
2.6 2529 8.9 23.6

Table 3. Contact mechanics parameters of slit.

Modulus of Tensile Shear Cracking

Friction Angle/◦ Cohesion/MPa
Elasticity/GPa Strength/MPa Strength/MPa Toughness/MPa·m1/2
27 1.5 22 4.9 7.3 0.3

4.1. The Influence of the Upper and Lower Group of Working Face Retrieval on the Stress
Distribution of the Gob-Side Entry Surrounding Rock
In Figure 8, contour lines are drawn for the stress distribution of the upper and lower
group coal seam along the gob-side entry at the different working face stagger distances.
According to Figure 8a–e, it is known that the stress value of the lower group of coal
roadways is smaller than that of the upper group of coal roadways. It can be seen that
the upper group coal seam roof cut destroys the roof stress transfer, and with the stagger
distance increase in the working face’s advance, the stress on the solid coal side and the
roof increases, and the roadway gang is always in a high-stress state. However, when the
working face stagger distance is 40 m, see Figure 8b, the stress of the upper coal seam
gob-side entry solid coal side is 9 MPa, the stress of the lower coal seam gob-side entry
solid coal side is 8 MPa, the difference between the two is not significant. This indicates
that the mining activity of the upper coal seam face has the greatest impact on the lower
part at this time. When the working face is staggered by 20 m, the roof of the upper coal
seam working face has not yet fully collapsed. For the safety and efficiency of mining the
lower coal seam, we believe that the suitable working face offset is 40 m.

15
 peak. With the increase in the working face of the lower group coal seam, the high-stress
range of the surrounding rock of the upper group coal gob-side entry increases. The effect
of the slit along the empty roadway of the lower group coal seam is different from that of
the upper group coal seam, and the slit gob-side entry of the lower group coal seam main-
tains the original stress state of the roof plate under the activity of overburdened rock in
Energies 2023, 16, 4379
the mining area and the change in surrounding rock of upper group coal seam roadways
so that no stress concentration is generated.

Energies 2023, 16, x FOR PEER REVIEW 11 of 17

(a)

(b)

(c)

(d)

(e)
Figure
Figure 8.8. Stress distribution
Stress of gob-side
distribution entry
of gob-side under
entry different
under working
different face stagger
working distances.
face stagger (a)
distances.
working face stagger distance is 20 m (b) working face stagger distance is 40 m (c) working face
(a) working face stagger distance is 20 m (b) working face stagger distance is 40 m (c) working
stagger distance is 60 m (d) working face stagger distance is 80 m (e) working face stagger distance
face
is 120stagger
m. distance is 60 m (d) working face stagger distance is 80 m (e) working face stagger
distance is 120 m.
4.2. Quarry Stress Distribution Characteristics
In Figure 9, the stress magnitude along the slit side of the gob-side entry is compared
and analyzed with the back of16 the mining area. In Figure 9a, the stresses on the solid coal
side with a slit are larger compared with the stress values on the uncut side. This indicates
Energies 2023, 16, 4379

When the lower coal seam is retrieved, the horizontal to vertical stress distribution of
the top plate gob-side entry and mining of the lower group coal seam will affect the stress
distribution of the upper group coal seam gob-side entry but will not change the stress
peak. With the increase in the working face of the lower group coal seam, the high-stress
range of the surrounding rock of the upper group coal gob-side entry increases. The effect
of the slit along the empty roadway of the lower group coal seam is different from that
of the upper group coal seam, and the slit gob-side entry of the lower group coal seam
maintains the original stress state of the roof plate under the activity of overburdened rock
in the mining area and the change in surrounding rock of upper group coal seam roadways
Energies 2023, 16, x FOR PEERso that no stress concentration is generated.
REVIEW 12 of 17

4.2. Quarry Stress Distribution Characteristics

In Figure 9,the
destroying the stress of
stability magnitude
the originalalong the slitstructure.
articulated side of the gob-side
As the entryin
overburden is the
compared
up-
and analyzed with the back of the mining area. In Figure 9a, the stresses on
per mining area rotates and slips, the stress will be redistributed and reach a new equilib-the solid coal
side with
rium astate,
slit are largerincompared
resulting differences with the stress
in stress [Link] on the uncut
The overburden [Link]
activity This indicates
the
that the bending
regulating andofsinking
effect of thecoal
upper group upperseammining
cuttingsareaon during the lower group
stress distribution, of coal seam
which increases
retrieval makes the stress
the supporting solid coal
on theside with
solid coalcut seams suffer greater support stresses. The reason
side.
for this phenomenon is that the overburden cut
The lower group coal seam roadway activity in the lower
will destroy mining area
the overburden leads to an
articulation
structure, and the stress should be smaller compared with the uncut
increase in the overburden activity space in the mining area of the upper coal seam. case, as shown Inin this
Figure 9b.
case, the overburden in the upper mining area will continue to sink, destroying the stability
Combining the whole upper and lower group coal seam retrieval processes, it can be
of the original articulated structure. As the overburden in the upper mining area rotates
found that the upper group coal seam is more influenced by mining activities; therefore,
and slips, the stress will be redistributed and reach a new equilibrium state, resulting in
when the actual project is carried out, it is necessary to pay close attention to the potential
differences in stress values. The overburden activity weaken the regulating effect of upper
influence of the mining activities of the lower group coal seam on the stability of the upper
groupgob-side
coal seamentrycuttings
and takeon stress distribution,
appropriate which increases
support measures thesafety
to ensure the supporting stress on
and stability
the solid coal
of the side.
roadway.

Figure 9. Three-dimensional stress map of the roof strata along both sides of the empty roadway at
Figure 9. Three-dimensional stress map of the roof strata along both sides of the empty roadway at
the same horizontal level.
the same horizontal level.
4.3. Comparative Analysis of Different Support Schemes
The lower group coal seam roadway cut will destroy the overburden articulation
According to Figure 10a,b, in support scheme I, the maximum settlement of the roof
structure, and the stress should be smaller compared with the uncut case, as shown in
slab of the 9102 return wind chute is 17.9 cm, which is located at model 95.7 m; while
Figure 9b.
under scheme II, the maximum settlement of the roof slab is 15.3 cm. The short-term sup-
Combining
port effect ofthe whole
scheme II isupper
14.5% and lower
higher thangroup
that ofcoal
schemeseam retrieval
I. In processes,
the analysis it can be
of the settle-
foundment
thatofthe upper group coal seam is more influenced by mining activities;
the roof slab of the 10,102 transport chute in the No. 10 coal seam, the maximum therefore,
whensettlement
the actualofproject
schemeisI is
carried
1.4 cm,out,
anditthat
is necessary
of scheme II toispay
1.28close attention
cm, with to theofpotential
a difference 0.16
influence
cm, and the short-term support effect of scheme I is only improved by 7.8%. Theofsupport
of the mining activities of the lower group coal seam on the stability the upper
gob-side
effectentry and
of both take appropriate
options support measures
meets the engineering [Link] ensure the safety and stability of
the roadway.
As shown in Figure 10c,d, the vertical stress distribution of the roof plate of the 9102
tailgate and the 10102 headgate shows that the minimum vertical stress of the 9102 roof
4.3. Comparative
plate is 1.05 Analysis
MPa underof Different
scheme ISupport
and 6.9 Schemes
MPa under scheme II. The support effect of
scheme II is reduced by 37.3% and still has a better effect under the influence of subsequent
According to Figure 10a,b, in support scheme I, the maximum settlement of the roof
overburden transport and mining movement; the support effect of scheme I is reduced by
slab of the 9102 return wind chute is 17.9 cm, which is located at model 95.7 m; while under
88.2%, and it can hardly play a supporting role under the influence of subsequent over-
scheme II, the maximum settlement of the roof slab is 15.3 cm. The short-term support
burden transport. In the 10102 headgate, the support effect of the two support schemes is
effectreduced
of scheme II is 14.5%
by 91.1% higher
and 35.7%, than that of scheme I. In the analysis of the settlement of
respectively.
the roof slab of the the
Although 10102 transport
change chute in the
in the horizontal No.of10
stress thecoal seam,gang
roadway the maximum settlement
directly affects the
of scheme I isof1.4
stability thecm, and that
roadway, andof the
scheme II is or
presence 1.28 cm, with
absence a difference
of anchor of anchor
rods and 0.16 cm, and the
cables
does not affect this conclusion, in Figure 10e–h, after comparing the horizontal stress of
the roadway gang in the upper and lower along-air roadway, it is found that: in the close-
distance coal seam co-mining with pre-split gob-side retaining project, the horizontal
17
high-stress distribution on the solid coal side of the upper group coal seam can be made
under the condition of appropriately increasing the support strength. The range is re-
Energies 2023, 16, 4379

short-term support effect of scheme I is only improved by 7.8%. The support effect of both
Energies 2023, 16, x FOR PEER REVIEW 13 of 17
options meets the engineering requirements.

20 2.0
① ② ① ① ② ①
1.5
15
Settlement of roof (cm)

Settlement of roof (cm)

1.0

10 0.5

Scheme I 0.0 Scheme I

Scheme II Scheme II
5
① Model Boundary ① Model Boundary
−0.5
② 9102 Tailgate ② 10102 Headlgate

0 −1.0
0 50 100 150 200 250 300 0 50 100 150 200 250 300
Distance from the model boundary (m) Distance from the model boundary (m)
(a) (b)
12 12
① ② ① ① ② ①
10 10 Scheme I
Scheme II
① Model Boundary
Vertical stress(MPa)

Vertical stress(MPa)
8 8 ② 10102 Headgate

6 6

Scheme I
4 Scheme II 4
① Model Boundary
② 9102 Tailgate
2 2

0 0
0 50 100 150 200 250 300 0 50 100 150 200 250 300
Distance from the model boundary (m) Distance from the model boundary (m)
(c) (d)
12 12
① ② ① ① ② ①
10 10
Horizontal stress (MPa)

Horizontal stress (MPa)

8 8

6 6
① Model Boundary ① Model Boundary
4 ② 9102 Tailgate 4 ② 9102 Tailgate
solid coal solid coal
3m in solid coal 3m in solid coal
2 6m in solid coal 2 6m in solid coal
9m in solid coal 9m in solid coal

0 0
0 50 100 150 200 250 300 0 50 100 150 200 250 300
Distance from the model boundary (m) Distance from the model boundary (m)
(e) (f)
6 6
① ② ① ① ② ①
5 5 ① Model Boundary
① Model Boundary ② 10102 Headgate
Horizontal stress (MPa)

Horizontal stress (MPa)

solid coal
② 10102 Headgate
4 4 3m in solid coal
solid coal 6m in solid coal
3m in solid coal 9m in solid coal
3 6m in solid coal 3
9m in solid coal

2 2

1 1

0 0
0 50 100 150 200 250 300 0 50 100 150 200 250 300
Distance from the model boundary (m) Distance from the model boundary (m)
(g) (h)

Figure 10. Comparison of support schemes. (a) 9102 tailgate roof settlement (b) 10102 headgate roof
settlement (c) 9102 tailgate roof vertical stress (d) 10102 headgate roof vertical stress (e) Stress on solid
coal side of 9102 tailgate in scheme I (f) Stress on solid coal side of 9102 tailgate in scheme II (g) Solid
coal side stress of 10102 headgate in scheme I (h) Solid coal side stress of 10102 headgate in scheme II.

As shown in Figure 10c,d, the vertical stress distribution of the roof plate of the 9102
tailgate and the 10102 headgate shows that the minimum vertical stress of the 9102 roof

18
Energies 2023, 16, 4379

plate is 1.05 MPa under scheme I and 6.9 MPa under scheme II. The support effect of
scheme II is reduced by 37.3% and still has a better effect under the influence of subsequent
overburden transport and mining movement; the support effect of scheme I is reduced
by 88.2%, and it can hardly play a supporting role under the influence of subsequent
overburden transport. In the 10102 headgate, the support effect of the two support schemes
is reduced by 91.1% and 35.7%, respectively.
Although the change in the horizontal stress of the roadway gang directly affects the
stability of the roadway, and the presence or absence of anchor rods and anchor cables
does
Energies 2023, 16, x FOR not affect this conclusion, in Figure 10e–h, after comparing the horizontal
PEER REVIEW 14 of 17stress

of the roadway gang in the upper and lower along-air roadway, it is found that: in the
close-distance coal seam co-mining with pre-split gob-side retaining project, the horizontal
Figure 10. Comparison of support schemes. (a) 9102 tailgate roof settlement (b) 10102 headgate roof
high-stress distribution on the solid coal side of the upper group coal seam can be made
settlement (c) 9102 tailgate roof vertical stress (d) 10102 headgate roof vertical stress (e) Stress on
under thesolid
condition
coal sideof
of appropriately increasing
9102 tailgate in scheme the
I (f) Stress on support strength.
solid coal side The range
of 9102 tailgate is reduced.
in scheme II
Because the range
(g) Solid ofside
coal horizontal mining-induced
stress of 10102 headgate in scheme stress changes
I (h) Solid reduced,
coal side thereby
stress of 10102 reducing
headgate
in scheme II.
the probability of rock bursts and other hazards, which is conducive to the long-term
stability of5. the gob-side
Industrial Trials entry.
By analyzing the numerical simulation research results of the overburden transport
5. Industrial Trials
characteristics and the mineral pressure performance law gob-side entry, the engineering
By analyzing
applicationthe numerical
of the technologysimulation research
of close distance results
coal seams roofofcutting
the overburden
gob-side entrytransport
re-
characteristics
tainingand the
in the mineral
same miningpressure performance
in the close law gob-side
coal seam is carried out. entry, the engineering
application ofThe the9102 tailgate and the 10,102 headgate are both rectangular in the cross section,
technology of close distance coal seams roof cutting gob-side entry
with dimensions of 4700 mm × 3000 mm and 4700 mm × 3500 mm, and the 9102 tailgate is
retaining cut
in the same mining in the close coal seam is carried out.
into the bottom of the coal seam, while the 10102 headgate is cut along the top of the
The 9102 tailgate and the 10102
bottom. The cross section and plan headgate are both
of the gob-side entry rectangular in the
roof reinforcement crossare
support section,
with dimensions of 4700
shown in Figure 11. mm × 3000 mm and 4700 mm × 3500 mm, and the 9102 tailgate is
cut into the bottom of the coal seam, while the 10102 headgate is cut along the top of the
After using this design scheme on site, the single column breakage of upper group
bottom. The
coal cross
does notsection
exceedand5%, plan
and the oflower
the gob-side
group coalentry roof
basically reinforcement
does not exceed 1%,support
which are
indicates that the engineering application of near coal seam co-mining top cutting and
shown in Figure 11.
pressure removal along the empty stay is successful.
Left-hand
threaded steel
anchor bolt Original support anchor cable
φ20mm×1700 φ17.8mm×6300
Reinforced Reinforced Reinforcing anchor cable
Original φ21.6×6700mm W-shaped steel
anchor support anchor Slitting
cable anchor cable hole 3500
600

cable
1000
1500

800

Slitting hole
1000

15° 15°
3000

1100 1100 1100 1100

1750 1750
15°
1500
700
1000

6000
700
1000

1500
700

3000
700

1500

4500
150 1100 1100 1100 1100 150
4700
500 1000 945 400

4500

(a)

Left-hand
Reinforced Original Reinforced threaded steel
anchor support anchor anchor bolt Original support anchor cable
cable cable φ20mm×1700 φ17.8mm×6300
anchor Reinforcing anchor cable
cable φ21.6×6700mm W-shaped steel

3500
600
1000

15° 15°
800

Slitting hole
2000

1100 1100 1100 1100

1000

1750 1750
15°
2000
1000

6000
1000

2000
1000

150 1100 1100 1100 1100 150

500 1000 945 400
4700
4500

(b)

Figure 11. Figure

[Link] of roof reinforcement support for gob-side entry (a) 9102 tailgate roof reinforce-
roof reinforcement support for gob-side entry (a) 9102 tailgate roof reinforcement
ment design (b) 10102 headgate roof reinforcement design.
design (b) 10102 headgate roof reinforcement design.

19
Energies 2023, 16, 4379

After using this design scheme on site, the single column breakage of upper group
coal does not exceed 5%, and the lower group coal basically does not exceed 1%, which
indicates that the engineering application of near coal seam co-mining top cutting and
pressure removal along the empty stay is successful.

6. Discussion
This study presents an in-depth examination of deformation mechanisms and rock
pressure behavior during gob-side entry retaining in close distance co-mining of upper
and lower coal seams. Our results highlight the significant impact of staggered distances
between the working faces on the stress distribution of the surrounding rock, with a
distance of 40 m, demonstrating optimal performance.
Despite these findings, there are limitations in our study that warrant further research.
First, our model is reliant on accurate geological data and complex numerical simulations,
which may not always be feasible. Second, while our model primarily considers staggered
distances, other factors that might influence deformation and rock pressure behavior are
not extensively addressed. Future studies should explore these influences for a more
comprehensive understanding of gob-side entry stability.

7. Conclusions
In conclusion, this research focused on understanding the deformation mechanisms
and rock pressure behavior in gob-side entry retaining during close distance co-mining of
upper and lower coal seams. A structural model was developed, and numerical simulations
were performed to assess the impact of varying working face staggered distances on the
stress distribution of surrounding rock.
The impact of roof subsidence (∆y) on the stability of gob-side entry retaining during
the co-mining of upper and lower coal seams was investigated. Additionally, it was found
that when the subsidence of the goaf roof in the upper group of coal seams falls within
the range of 0.74 m ≤ ∆y ≤ 1.33 m, block B experiences sliding instability. In cases where
∆y ≥ 1.33 m, block B undergoes rotation and deformation. Both of these scenarios re-
sult in severe mining pressure in the roadway, leading to significant deformation of the
surrounding rock.
A working face staggered distance of 40 m was identified as the most effective choice,
leading to significant improvements in the performance of support schemes. This optimal
distance resulted in single column damage rates of no more than 5% for the upper coal
seam group and 1% for the lower coal seam group.
These insights can inform the development of strategies to enhance mining safety and
efficiency in gob-side entry retaining for close distance co-mining projects.

Author Contributions: Writing—original draft, X.X.; Writing—review & editing, C.W.; Project admin-
istration, Y.Y. and C.W. All authors have read and agreed to the published version of the manuscript.
Funding: This work was supported by the National Natural Science Foundation of China (Grant
No. 51404167); Natural Science Foundation For Young Scientists of Shanxi Province (Grant No.
201901D211066); Scientific Research Grant Project for Returned Overseas Students in Shanxi Province
(HGKY2019038); Teaching Reform Innovation Project for Higher Education Institutions in Shanxi
Province (J2019055); China postdoctoral science foundation funding project (Grant No. 2016M590151).
Data Availability Statement: The article data used to support the findings of this study are included
within the article.
Conflicts of Interest: The authors declare no conflict of interest.

20
Energies 2023, 16, 4379

Nomenclature
K Key block C mining gangue stiffness, N/m
S Key block C mining area gangue displacement, m
Wa , Wb , Wc Self-weight of key blocks A, B and C, kN
Qa , Qb , Qc Key block A, B, C structure friction shear reaction force, kN
Za , Zb , Zc Key blocks A, B and C are loaded, kN
Fb Support force transmitted by the bracket underneath the critical block B, kN
C1 Distance of the support transfer key block B, m
Fc Key block C mining area gangue support force, kN
Tab , Tbc Horizontal binding force of the structure on A and B, B and C, kN
l Length of key blocks A, B, C, m
h Height of key blocks A, B, C, m
fl Turning angle of key block B with respect to A, ◦
` Turning angle of key block B with respect to C, ◦
kp1 Crushing and swelling coefficient
kp2 Residual swelling factor
hi Thickness of the ith collapsed rock layer, m
∆y Distance of key block C sinks as a whole, m
Sbc Area of the shear between the key blocks C and B, m2
Kbc Shear stiffness of key block C and B
Lbc Hinge structure length of key block C and B, m

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Hard Roof: A Case Study. Teh. Vjesn. 2018, 25, 1028–1036. [CrossRef]
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Reuse of Gob Side Entry Retaining by Roof Pre-Splitting. Eng. Fail. Anal. 2022, 137, 106271. [CrossRef]
32. Fan, D.; Liu, X.; Tan, Y.; Song, S.; Gu, Q.; Yan, L.; Xu, Q. Roof Cutting Parameters Design for Gob-Side Entry in Deep Coal Mine: A
Case Study. Energies 2019, 12, 2032. [CrossRef]
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of the Working Face under the Overlying Residual Pillar: A Case Study. Energies 2023, 16, 1701. [CrossRef]
34. Wang, K.; Huang, Y.; Gao, H.; Zhai, W.; Qiao, Y.; Li, J.; Ouyang, S.; Li, W. Recovery Technology of Bottom Coal in the Gob-Side
Entry of Thick Coal Seam Based on Floor Heave Induced by Narrow Coal Pillar. Energies 2020, 13, 3368. [CrossRef]
35. Xinjie, L.; Xiaomeng, L.; Weidong, P. Analysis on the Floor Stress Distribution and Roadway Position in the Close Distance Coal
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 energies
Article
CFD Analysis of the Forced Airflow and Temperature
Distribution in the Air-Conditioned Operator’s Cabin of the
Stationary Rock Breaker in Underground Mine under
Increasing Heat Flux
Adam Wróblewski 1, * , Arkadiusz Macek 2 , Aleksandra Banasiewicz 1 , Sebastian Gola 1,3 ,
Maciej Zawiślak 2 and Anna Janicka 2

1 Faculty of Geoengineering, Mining and Geology, Wroclaw University of Science and Technology,
Na Grobli 15, 50-421 Wroclaw, Poland
2 Faculty of Mechanical Engineering, Wroclaw University of Science and Technology, Łukasiewicza 5/7,
50-370 Wroclaw, Poland
3 KGHM Polska Miedź S.A., O/ZG Polkowice-Sieroszowice, 59-101 Kazimierzów, Poland
* Correspondence: [Link]@[Link]

Abstract: The exploitation of natural resources is associated with many natural hazards. Currently,
the copper ore deposits exploited in Polish mines are located at a depth of about 1200 m below the
surface. The primary temperature of the rocks in the exploited areas reaches 48 ◦ C, which constitutes
a major source of heat flux to the mine air. However, another important source of heat is the machine
plant, which mainly consists of machines powered by diesel engines. Following the results of in situ
measurements, boundary conditions for a simulation were determined and a geometric model of the
cabin was created. Furthermore, an average human model was created, whose radiative heat transfer
was included in the analysis. Three cases were studied: the first covering the current state of thermal
conditions, based on the measurement results, and two cases of forecast conditions. In the second case,
Citation: Wróblewski, A.; Macek, A.;
the temperature of the conditioned air was determined, and in the third, the flow velocity required to
Banasiewicz, A.; Gola, S.; Zawiślak,
M.; Janicka, A. CFD Analysis of the
ensure thermal comfort was found. The results of the simulation indicated that for the microclimatic
Forced Airflow and Temperature conditions established based on the measurements (ambient air temperature in the excavation 35.0 ◦ C,
Distribution in the Air-Conditioned air-conditioned airflow 2.4 × 10−2 m3 /s, and temperature 10.0 ◦ C), the temperature of the air inside
Operator’s Cabin of the Stationary the air-conditioned operator’s cabin would be 20.4 ◦ C. Based on the personal mean vote (PMV)
Rock Breaker in Underground Mine index, it was concluded that the thermal sensation would range from neutral to slightly cool, which
under Increasing Heat Flux. Energies confirmed the legitimacy of the actions taken to reduce the adverse impact of the microclimatic
2023, 16, 3814. [Link] conditions on workers in the workplace. However, for the case of predicted conditions of enhanced
10.3390/en16093814 heat flux from strata and machinery, resulting in an average ambient temperature increased to 38.0 ◦ C,
Academic Editors: Sergey Zhironkin it would be necessary to lower the temperature of air from the air conditioner to 8.00 ◦ C or increase
and Dawid Szurgacz the flow rate to 3.14 × 10−2 m3 /s to maintain thermal comfort at the same level of PMV index.

Received: 20 March 2023

Keywords: CFD; cabin interior; cabin air conditioning analysis; heat transfer; thermal hazard
Revised: 20 April 2023
Accepted: 23 April 2023
Published: 28 April 2023

1. Introduction
Based on many years of experience in production activities in the area of the Polish
Copyright: © 2023 by the authors. copper basin, various procedures have been developed, which in general can be described
Licensee MDPI, Basel, Switzerland. as deposit mining technology. The individual elements of this process have been adapted
This article is an open access article based on various factors, such as the deposit mining conditions and natural hazards [1].
distributed under the terms and The method of mining the deposit in the mines belonging to KGHM Polska Miedź S.A. is
conditions of the Creative Commons exploitation with the use of explosives. The excavated material, initially detached from
Attribution (CC BY) license (https://
the rock mass, is loaded and transported using LHD’s (load, haul, dump) and HT’s (haul
[Link]/licenses/by/
trucks) to transfer points, located at a certain distance from the mining front, called the unit
4.0/).

23
Energies 2023, 16, 3814

discharge screen. In these places, the excavated material is cyclically unloaded from the
machines [2], and the excavated material is reloaded onto a belt conveyor [3].
The multiplicity and complexity of the factors that influence the rock mining process
with the use of explosives make production very diverse, in terms of the size of rock chunks.
In the hauled material there are many chunks of a very large size. Their appearance not
only causes problems from the point of view of ore processing, due to the additional energy
expenditure incurred in the first stage of crushing the material, but can also cause failures
of the technical infrastructure during reloading, in particular the belt conveyors [4–6] at
unit transfer points [7].
To avoid damage to the components of the conveyor belt at the unit transfer points,
preliminary crushing of oversized chunks is carried out with the use of a stationary rock
breaker. Copper ore is unloaded by LHDs and HTs onto the so-called screen, which
is designed to separate smaller pieces from those that are too large [8]. The operation
principle is similar to a sieving process. When the size of the screen mesh is adjusted, the
maximum size of fragments that can be loaded onto the conveyor belt without damaging
it is defined. The remaining chunks on the screen are crushed into smaller pieces using
hammers placed on manipulators that form the stationary rock breaker [9]. Preliminary
crushing of oversized chunks with this method is also found in the exploitation of other
minerals in Poland, such as gypsum and anhydrite or salt.
In many cases, the stationary rock breaker is controlled by an operator directly from
a cab located at the unit transfer point. As a result of their proximity to the mining area,
transfer points are often affected by many natural hazards [10,11] due to their closeness to
the mining fronts and due to the current depth of exploitation of Polish copper ore deposits,
especially thermal hazards [12]. Measurements carried out near a selected operator cabin
showed that the average dry bulb temperature reached 35 ◦ C. The primary temperature
of the rock mass, which locally exceeded 45 ◦ C, was responsible for the largest increase in
air temperature in the operator’s workplace. It is worth mentioning that in underground
mines there are also other heat sources, which have a significant impact on the increase in
the temperature of the mine air. In the case under consideration, the machines and devices
that periodically appear at the unit discharge screen, where the ore is being discharged,
emit significant amounts of heat into the atmosphere. To protect the stationary rock
breaker operator from significant exposure to high temperatures and humidity, and to
improve the thermal conditions in the workplace, the cabin in which the operator works is
air-conditioned.
This article presents an experimental study to determine the forced air flow and
temperature distribution inside an air-conditioned operator’s cabin of a stationary rock
breaker during a standard working shift and in conditions characteristic of unit transfer
points in an underground copper ore mine. Based on technical design, a CAD model of the
cabin was created, in which a human model based on the dimensions of the 50th percentile
of the male population was placed. In situ measurements determined the microclimate
parameters, both outside (dry and wet bulb temperatures) and inside (temperature and
airflow velocity at the outlets of the air conditioning system), which were used as boundary
conditions. The simulation was carried out using ANSYS FLUENT software, based on
the results of which a thermal comfort assessment was made, utilizing a predicted mean
vote (PMV) methodology. Due to a planned expansion of exploitation, the depth of
exploitation and, thus, the climate threat are expected to intensify. Therefore, a second
case was simulated, in which a higher air temperature was assumed for the excavation,
and the values of the inlet air parameters (temperature and velocity) were determined,
which are necessary for maintaining the thermal comfort of the operator following the PMV
methodology. This article presents an innovative approach to determining environmental
and microclimatic parameters in confined spaces, such as machinery cabins, particularly
the difficult conditions encountered in underground mining, but also in other industries;
the provision of which will allow creating acceptable working conditions.

24
Energies 2023, 16, 3814

2. State of the Art

Due to the often difficult environmental conditions in mining, work parameters
such as temperature, humidity, gas concentrations, and dust levels are controlled in
the workplace [13–16]. Mining machine operators generally work in conditions partially
isolated from the direct impact of the environmental conditions. However, closed cabins
equipped with filters and an air conditioning system only partially protect miners from
these hazards, especially in extreme cases. For this reason, inspections include dust
measurements outside and inside cabins to estimate the filtration efficiency in machines
with different filters and intake configurations [17]. The contribution of diesel particle
matter (DPM) from individual engine emissions to total emissions, cabin integrity, positive
pressure, and air filtration systems is validated, to assess exposure to this factor [18], while
quantitative levels of exposure to diesel exhaust expressed by elemental carbon (EC) are
estimated, together with a description of the excess risk of lung cancer that can result from
these levels [19]. Similarly, thermal comfort and the threshold range of airflow supply
parameters are assessed for different types of work, including shearer drivers [20].
The exploitation of deposits located deep underground, which is increasing its share
in the global mining industry, due to the exploitation of shallower deposits, is inextricably
linked to the occurrence of climatic threats. This problem affects the mining of various
mineral resources at different depths globally; for example, metal ores or coal mines in
China [21–23], India [24], South Africa [25], and Poland [26,27], driving scientists to look
for new solutions to combat this threat. A method for achieving this goal may be thermal
insulation, the application of which was studied in [28,29].
The subbranch of fluid mechanics in which numerical methods are used to solve fluid
description problems is called computational fluid dynamics (CFD). Through discretization
and numerical determination of partial differential equations, it is possible to determine
approximate distributions of physical quantities, such as velocity, pressure, temperature,
and other characteristic flow parameters [30]. In the literature, many examples of successful
CFD applications to solve flow-related problems in the mining industry [31] and in
tunneling can be found. Ren and Balus [32] conducted a review of the literature in the field
of solving health and safety problems in mining with the use of CFD. Solving ventilation
problems with CFD at working faces and in mine tunnels was presented by Yi et al. [33],
while an analysis of ventilation safety using CFD in hard coal mining was summarized
in [34]. Roadway fire accidents, considering smoke diffusion, temperature distribution, and
CO concentration and distribution in four working conditions, were numerically analyzed
by Peng et al. [35].
The reduction of the dead zone with the definition of an appropriate ventilation
system and the optimization of the relative airflow velocity inside a tunnel boring machine
(TBM) utilizing CFD was presented in [36]. Based on numerical simulations, Liu et al. [37]
studied the effect of dust control in TBM construction tunnels with different dust extraction
configurations and flow rates. The influence of ventilation parameters on dust pollution
in TBM tunnels under different air suction volumes was also investigated in [38], where
different distances from the dust removal device ports from the mining face were considered,
and where CFD analysis allowed the establishment of the optimal suction rate and distance.
Researchers have devoted a great deal of attention to the analysis of the diesel particle
matter (DPM) distribution in mines. Xu et al. [39] conducted a numerical study of the DPM
distribution in two different operational scenarios: when the machine worked in isolated
zones upstream and downstream. The results allowed the upgrading of the auxiliary
ventilation designs to achieve smaller concentrations. As proven in [40,41], optimizing
auxiliary ventilation through the utilization of computational fluid dynamics allows
minimizing human carcinogenic DPM intakes. One of the most interesting applications of
CFD in mining developed recently is the analysis of mine airflow and its components, using
data from laser scanning to create high-accuracy geometric models of excavations [42] and
thanks to which the accuracy of the results obtained increases. An example from hard coal
mining can be found in [43], where airflow analysis was conducted at the longwall and

25
Energies 2023, 16, 3814

at the goafs, as well as in a section of a mine gallery in [44]. The results showed the great
impact of the infrastructure elements present in the excavation on the turbulent airflow
behavior, which should not be neglected.
Taking into account the application of CFD in the literature, one can find many
examples of its use to predict and analyze the air distribution inside closed spaces, such as
aircraft cabins. In the last century, Aboosaidi [45] proved the validity and role of this tool
in application, by performing experimental and analytical tests using the example of two
three-dimensional cabin airflow configurations. Zhang et al. [46] analyzed the air velocity,
air temperature, and CO2 concentration distributions in a Boeing 767 aircraft cabin using a
validated CFD tool, selecting the optimal air distribution system to counteract draft risk.
The global transport process of contaminated air within a cabin was investigated in [47]
using experiments and CFD simulations to understand the mechanism of the spread of
diseases. Li [48] studied airflow and contaminant concentration fields in a cabin section,
applying two turbulence models and three types of air supply model. In their review of
the literature, Liu et al. [49] indicated that due to developments in the performance and
affordability of computing, numerical simulations for studying airflow and contaminant
distributions in aircraft cabins have become very practical.
A closer relation to the topic discussed in this paper can be found in the automotive
industry, where CFD is very often used to model the distribution of air and its components
in vehicle interiors. The size and distribution of volatile carcinogens inside a vehicle
were analyzed in [50], while the concentrations of volatile organic compounds were
analyzed in [51,52]. Exposure of the driver to the spread of toxic compounds, such as
the hydrocarbons emitted by the engine was investigated in [53]. Taking heat transfer as a
factor, Hadi et al. [54] analyzed variations in temperature and airflow in the interior of a
parked car, considering different solar intensities at various angles, while Mao et al. did
the same for a parked and an electric car driven in summer and winter conditions [55].
Analysis using CFD tools often covers the temperature distribution and energy efficiency
analysis of air conditioning systems in electric vehicles, in which, especially in winter,
energy consumption has a key impact on range, as shown by Basciotti et al. [56].
Limiting the internal space of a cabin to the case where only one person is inside, one
can mention examples of the use of CFD to model airflow in the cabins of agricultural and
industrial machinery. Singh and Abbassi [57] created a thermal model of a combine-harvester
air-conditioning system, to investigate the instantaneous thermal state of cabin air, combining
a 3D CFD model with a neural network and updating the thermal state of the air based
on data on the performance of the refrigeration cycle. A similar work presented by Oh
et al. [58] studied and analyzed the dependence of thermal comfort on airflow and the
location of the air conditioner in a tractor. The temperature and airflow distribution in a
tractor cabin was also modeled using CFD by Akdemir et al., considering summer [59] and
winter [60] conditions. The issue of thermal comfort in the cabin of construction equipment
was raised in [61], where the authors proposed a thermal comfort performance index
for the position of the excavator operator, evaluating the location of the air conditioning
vents using CFD modeling. Ghorpade et al. [62] dealt with the design, selection, and
fabrication of the components of air-conditioning systems by calculating the heat load of
operation under hot conditions and using CFD analysis of the heat and airflow distribution
in manipulator cabins.

3. Materials and Methods

The following section presents the methodology applied for the simulation of forced
air and temperature distribution in the cabin. Section 3.1 presents the governing equations,
while Section 3.2 presents the applied turbulence model and its description. In Section 3.3,
the description and dimensions of the created geometry are presented. The type and quality
of the mesh developed is described in Section 3.4, and the boundary conditions applied for
the model and their determination method are given in Section 3.5.

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Energies 2023, 16, 3814

3.1. Governing Equations

For the steady compressible laminar flow of a Newtonian fluid, the equations of
motion in Cartesian coordinates can be written as follows [63]:

∂(ρu) ∂(ρv) ∂(ρz)

+ + =0 P = ρRT (1)
∂x ∂y ∂z
      
∂u ∂u ∂u ∂P ∂ ∂u −
→ − → ∂ ∂u ∂v
ρ u +v +w = ρgx − + 2µ + λ∇ · V + µ +
∂x ∂y ∂y ∂x ∂x ∂x ∂y ∂y ∂x
   (2)
∂ ∂w ∂u
+ µ +
∂z ∂z ∂z

      
∂v ∂v ∂v ∂P ∂ ∂v ∂u ∂ ∂v −
→ −→
ρ u +v +w = ρgy − + µ + + 2µ + λ ∇ · V
∂x ∂y ∂z ∂y ∂x ∂x ∂y ∂y ∂y
   (3)
∂ ∂v ∂w
+ µ +
∂z ∂z ∂y

       
∂w ∂w ∂w ∂P ∂ ∂w ∂u ∂ ∂v ∂w
ρ u +v +w = ρgz − + µ + + µ +
∂x ∂y ∂z ∂z ∂x ∂x ∂z ∂y ∂z ∂y
  (4)
∂ ∂w −
→ − →
+ 2µ + λ∇ · V
∂z ∂z

   
∂T ∂T ∂T ∂P ∂P ∂P −
→ −→
ρc p u +v +w = βT u +v +w + ∇ · (k ∇ T ) + Φ (5)
∂x ∂y ∂z ∂x ∂y ∂z

where u, v, and w—the velocity components in the x, y, z directions; P—the pressure; ρ—the
mass density; R—the specific ideal-gas constant; T—the temperature; g—the gravitational
−
→
acceleration; µ—the viscosity; λ—the second coefficient of viscosity; ∇ —divergence;
−
→
V —velocity of the fluid; c p —specific heat at constant pressure; β—the thermal expansion
coefficient of air; k—thermal conductivity; and Φ—dissipation function.
The given equations are partial differentials of conservation of mass Equation (5),
momentum in three directions Equations (2)–(4), and continuity Equation (1) left, while the
algebraic equation is the ideal-gas law Equation (1) right true for laminar flow. Considering
high flow speeds, the flow would be treated as turbulent and the equations should be
modified to include a turbulence model.

3.2. Turbulence Model Applied and Its Description

The turbulent flow inside the cabin was modeled using the realizable k-emodel. As
in the standard k-e model, two partial differential (transport) equations were solved: the
turbulent kinetic energy k and the turbulence eddy dissipation e. The difference with the
standard k-e model is that it contains an improved formulation for turbulent viscosity, and
the transport equation for the dissipation rate e was derived from an exact equation for
the transport of the mean-square vorticity fluctuation [64]. Realizable means satisfying
certain mathematical constraints on Reynolds stresses following the physics of turbulent
flows. The model used allows an increased accuracy in predicting the distribution of
the dissipation rate of flat and round streams. Better prediction is also provided for the
characterization of the boundary layer with large pressure gradients and separated and
recirculating flow [65]. The transport Equations (6) and (7) in the realizable k-e model may
be written as follows:
 
∂k ∂kui ∂ ∂k
+ = Dk e f f + Gk − e (6)
∂t ∂xi ∂xi ∂xi

27
Energies 2023, 16, 3814

 
∂e ∂eui ∂ ∂e √ e2
+ = Dee f f 2C1e Sije − C2e √ (7)
∂t ∂xi ∂xi ∂xi k + ve
where Gk —generation of turbulent kinetic energy due to mean velocity gradients; Dk e f f
and Dee f f —effective diffusivity for k and e (8):
vt vt
Dk e f f = v + Dee f f = v + (8)
σk σe
where σk and σe —turbulent Prandtl number for k and e equals 1.0 and 1.2 [57].
Turbulent viscosity (9):

k2
vt = Cµ (9)
e

1
Cµ = (10)
A0 + As kUe
∗

q
U∗ = Sij Sij + Ω̃ij Ω̃ij (11)

Ω̃ij = Ω̄ij − eijk ωk − 2eijk ωk (12)

where Ω̄ij —mean rate of rotation tensor; ωk —angular velocity.
Constants A0 and As are determined as follows:
√
A0 = 4, As = 6 cos ϕ. (13)

1 √
ϕ= arccos(min(max ( 6W, −1), 1)) (14)
3

Si jS j kSk i
W= (15)
S̃2
C1 e is defined as:
 
η
C1 e = max , 0.43 (16)
5+η
 
k
η=S (17)
e
Constant C2 equals 1.9 [57].

3.3. Geometry
The air flow and temperature distribution in the operator’s cabin, which is an integral
part of the stationary rock breaker, were analyzed. A technical drawing of this device is
shown in Figure 1.
The geometric model of the operator cabin is 1.8 m high, 1.4 m long (by the floor),
and 1.3 m wide. The front wall of the cabin at a height of 0.940 m bends at an angle
of approximately 162◦ , so that its length at the ceiling is approximately 1.676 m. Above
the bend, there is a window through which the operator controls the hammer. In the
symmetrical side walls, there are also windows secured with a lattice, as well as doors.
In turn, there are a total of five openings in the rear wall: in the upper part, at a height
of 1.580 m, at a distance of 0.250 m from the side edge and 0.400 m apart (center of the
openings) three air intake holes with a diameter of 0.100 m each, while in the lower part, at
a height of 0.255 m, at a distance of 0.400 m from the center of symmetry of the wall, two
outlet holes with a diameter of 0.159 m. Inside the cabin, there is the necessary equipment
in the form of a cabin frame made of steel profiles with dimensions of 0.120 × 0.120 m,

28
Energies 2023, 16, 3814

diffusers that direct air through the inlet openings (preventing the inflow of cooled air
directly to the operator), a control panel with dimensions of 0.860 × 0.305 × 0.175 m, as
well as the necessary wiring and lighting. In the central part of the cabin, there is the
operator’s seat, on which the human model is placed. There is also a fire extinguisher in
the lower corner of the cab, behind the operator’s seat. A simplified CAD model created
based on the technical sheet of the cabin dimensions is presented in Figure 2a (exterior)
and Figure 2b (interior).

Figure 1. Stationary Rock Breaker Type URB/K (1—manipulator; 2—generator; 3—control panel in
the operator’s cabin [66]).

Following the guidelines described in [67], a model of the 50th percentile of the male
population was made. The model was simplified as much as possible to shorten and
maintain the stability of numerical calculations. The dimensions based on which the model
used for numerical calculations was created are shown in Table 1.

(a)
Figure 2. Cont.

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Energies 2023, 16, 3814

(b)
Figure 2. Simplified CAD model of the cabin with the human model. (a) Front, side, and rear view of
the cabin exterior; (b) side view for the cabin interior.

Table 1. Dimensions for creation of the 50th percentile of the male population model (based on [67]).

Description Dimensions (mm)

Total Sitting Height 884
Shoulder Pivot Height 513
H-Point Height—ref. 88.5
H-Point from seat Back—ref. 137
Shoulder Pivot from Backline 89
Thigh Clearance 147
Elbow to Wrist Pivot 297
Shoulder to Elbow 338
Elbow Rest Height 201
Buttock to Knee 592
Popliteal Height 442
Knee Pivot to Floor 493
Buttock Popliteal Length 465
Chest Depth 221
Foot Length 259
Foot Width 99
Shoulder Width 429
Chest Circumference 965.5
Waist Circumference 851

3.4. Mesh
The geometry of the model was simplified to improve the stability of the numerical
calculations. For this purpose, the control panel was simplified and unnecessary equipment
elements that do not much affect air flow in the operator cabin were removed. Due to
the fact that the model is symmetrical in relation to the vertical plane passing through the
center of the operator’s cabin, only half of the model was meshed, to shorten the calculation
time. A discrete model was made with a poly-hexcore mesh. This type of mesh provides a
reduced calculation time with adequate precision [68]. The mesh consists of 2.1 million
elements, of which 200 thousand and 1.9 million are hexa- and poly-elements, respectively
(Figure 3). A skewness value of 0.80 was achieved and orthogonal quality—0.18.

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(a) (b)
Figure 3. Poly-hexcore mesh elements. (a) Isotropic poly-prisms in the boundary layer;
(b) hexahedron elements in the bulk region.

3.5. Boundary Conditions Applied and Their Determination

Measurement of the airflow velocity and temperature in the air-conditioning vents
(inlet air supply holes) was difficult, due to the presence of air-directing diffusers. For this
reason, measurements were made using a special nozzle with a narrowed outlet (Ø10 cm)
relative to the inlet (Ø30 cm) (Figure 4).

Figure 4. Airflow measurements with the nozzle.

Airflow measurements were conducted with a TSI Airflow Instruments LCA301

anemometer. Following the calibration certificate, the device was verified by the TSI
manufacturer, certified to ISO 9001:2015 and accredited to 17025:2017. The measurement
range of this device is 0.25–30 m/s in terms of velocity and 0.01–3000 m3 /s in terms of
volumetric, the accuracy of the measurements is +/−1% reading (+/−0.02 m/s) in terms
of velocity. The test results showed that the airflow rates at the discharge ports were
2.30 × t 10−2 , 2.50 × 10−2 , and 2.40 × 10−2 m3 /s, while the vents area was 7.85 × 10−3 m2 .
Thus, the air velocity at the vent was calculated as 2.93, 3.18, and 3.13 m/s, and the average
values of 3.06 m/s and 3.00 m/s were applied as the boundary condition.
The ambient air temperature in the excavation was defined using an Assman
psychrometer. The dry thermometer reads were 35.0 ◦ C in the first measurement, 35.2 ◦ C
in the second measurement, and 34.8 ◦ C in the third measurement, in 5 min periods; thus,
the value of 35.0 ◦ C was adopted as a radiative temperature boundary condition for all
external boundary surfaces of the cabin. Furthermore, the calculations took into account
the generation of heat from the human body, and the temperature of 36.6 ◦ C was applied as
the radiative temperature on its surfaces. The radiative heat transfer model used assumed
an internal emissivity value of 1 at the boundaries. The applied boundary conditions are
shown in Table 2.

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Energies 2023, 16, 3814

Table 2. Boundary Conditions Applied.

Name Boundary Condition

Inlets Velocity—3 m/s; Temperature—10 ◦ C
Outlets Pressure—0 Pa
Human Temperature—36.6 ◦ C, Radiation (internal emissivity—1)
Cabin Temperature—35.0 ◦ C, Radiation (internal emissivity—1)

4. Results
Figure 5 shows the inner airflow streamlines following the velocity variable, while
Figure 6a,b show the velocity magnitude field and vectors in the cross section. Figure 7
shows the temperature field in the same cross-section. In turn, Figure 8 shows the results
of cabin cooling as the decrease in temperature as a function of time.

Figure 5. Airflow streamlines colored by the velocity variable.

(a) (b)
Figure 6. Air velocity distribution inside the operator’s cabin. (a) Air velocity magnitude field; (b) Air
velocity magnitude vectors.

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Energies 2023, 16, 3814

Figure 7. Temperature field inside the cabin.

Figure 8. Decrease in average air temperature over time inside the cabin. f ( x ) = 0.2711e−2.323x +
−5
293.5e1.297×10 x , R2 = 1, RMSE < 1%.

Following the trajectory of the conditioned air flowing out of the intake ports, based on
airflow streamlines and air velocity magnitude vectors, we can see that there is a secondary
vortex around the operator’s head and chest. Another smaller vortex can be seen above
and below the control panel, as well as behind the seat. Following the results presented
above, the average air velocity in the operator cabin was 0.35 m/s, while the average air
temperature was 20.40 ◦ C. Considering the air velocity, it can be seen that its distribution is
constant in the entire cabin, except for the area near the inlets and air diffusers. On the other
hand, the air temperature distribution changes in the cross-section. Cooler temperatures
of about 10 ◦ C are observed around the diffusers and air-conditioned intakes of the cabin,
as expected. In the immediate vicinity of the face and chest, the temperature is slightly
warmer, about 18.3 ◦ C, than in the greater part of the cabin toward the front window and
the control panel (about 17.6 ◦ C). This is a direct result of the path of the airflow that
comes out of the inlets and circulates in the cabin when an obstacle, in the form of the
seat and the operator, appears. In addition, a lower air temperature is noted in the further
trajectory of the air-conditioned stream from the inlets under the operator’s panel near his
feet, where in the floor area the air stream is refracted and directed toward the outlets. In

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Energies 2023, 16, 3814

the remaining parts of the cabin, that is, under and behind the seat and above the control
panel, the temperature was relatively constant and reached 21.9 ◦ C. The results obtained
were consistent with three verification measurements carried out after 15 min of starting
the air conditioning and closing the door by the operator at three points in the cabin: above
the control panel at the level of the inlets (average 22.7 ◦ C), in front of the operator at
head/chest height (average 19.5 ◦ C), and below the control panel at leg height (average
17.4 ◦ C).
Since the 1970s, the methodology for assessing thermal comfort based on the thermal
comfort equation created by Fanger has been used globally [69]. In 1970, Fanger [70]
defined PMV as an index to predict or represent the mean vote on a standard scale
for thermal sensation for a large group of people for any given combination of thermal
environmental variables, activities, and clothing levels. It allows predicting the optimum
temperature that should be provided for a group in closed spaces. Based on PMV, the
predicted percentage of dissatisfaction (PPD) can also be determined. The predicted mean
vote (PMV) model has become the internationally accepted model for describing predicted
mean thermal perceptions. Furthermore, based on this methodology, the International
Organization for Standardization created a standard for the analytical determination of
thermal comfort using the calculation of the PMV and PPD indices [71].
For a given parameters, the PMV value can be obtained in two ways. One way relies
on calculating the value using the equation developed by Fanger and presented in [70].
However, following the guidelines that can be found there, the mathematical form of PMV is
quite complicated and impractical; thus, its author suggests using a more practical method;
that is, utilization of prepared tables. The authors used the suggested method to determine
the PMV value, focusing primarily on the determination of the parameters needed.
Due to the climatic conditions that prevail in mines, employees are usually equipped
with light clothing selected according to personal preferences: a flannel shirt or thermoactive
shirt, trousers or thermoactive shorts, work shoes or rubber boots, underwear, and socks.
Based on the values defined in [71], it was determined that the thermal insulation of the
combination of workwear used by operators is 1 clo (0.115 m2 K/W), which corresponds
to the average value for the set of underwear, overalls, socks, shoes, and for the set of
underwear, shirt, overalls, socks, and shoes from the workwear group. Similarly, taking
into account the metabolic rate, this value was determined to be 1.2 met (70 W/m2 ), which
corresponds to activity in a sitting position. Based on the results of this calculation, for
further estimations, it was assumed that the average airflow velocity inside the cabin was
0.35 m/s, and the air temperature was 20 ◦ C.
Considering the above, it was established that the value of the PMV index for the
conditions defined in this way ranged from −0.67 to −0.76. This means that the operator’s
thermal sensation would range from neutral to slightly cool. The graph in Figure 8
suggests that the conditions referred to above would prevail inside the cab after about 180 s,
assuming that the operator enters the cab and closes the door and that the air-conditioning
system immediately starts working at full capacity.
Due to the planned development of the mine, the depth of exploitation will increase,
and higher ambient air temperatures should be expected in the operator’s workplace. By
changing the boundary condition of the external boundary surface radiative temperature
to 38 ◦ C (which is the predicted dry bulb temperature of the mine air at the planned depths
of exploitation of the mining areas currently being prepared) and the air-conditioned air
temperature at the inlets, an attempt was made to obtain conditions similar to those that
in the previous case gave the same result for the PMV index. This goal was achieved for
the air temperature boundary condition at the inlets of 8 ◦ C (Figure 9). These conditions,
as in the first case and with the same assumptions, would be obtained by the operator
after about 180 s (Figure 10). The temperature distribution obtained in the cabin in this
case is very similar to the conditions simulated on the basis of the measurement data in
the previous case. As the air velocity parameters did not change, the average air velocity
remained at 0.35 m/s, while the average air temperature changed slightly to 20.35 ◦ C. In

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Energies 2023, 16, 3814

the vicinity of the face and chest, the temperature decreased to 17.9 ◦ C, while it increased
to 17 ◦ C in the further part of the cabin toward the front window and the controls. In the
remaining parts of the cabin, the temperature remained constant, but increased to 22.2 ◦ C.
For these thermal conditions, the PMV index remained at the same level, and thus so did
the operator’s thermal sensation.

Figure 9. Temperature field inside the cabin—case 2.

Figure 10. Decrease in average air temperature over time inside the cabin—case 2. f (x) =
−5
0.3226e−2.33x + 293.5e1.378×10 x , R2 = 1, RMSE < 1%.

In the case of increased heat flux from the rock mass and intensified extraction,
resulting in an increase in the average air temperature at the unit discharge point, it
may turn out that the cooling power of the device will not allow for such a significant
reduction in the temperature of the conditioned air at the inlets to the cabin. In such a case,
an increase in the air temperature inside the cabin and a reduced thermal comfort of the
operator should be expected. With limited possibilities for reducing the air temperature
at the inlet, in order to maintain satisfactory thermal conditions of work at the station, its
speed should be changed. In case 3, the climatic conditions within the cabin were simulated
by changing the boundary conditions in the form of increasing the radiative temperature
of the external boundary surface to 38 ◦ C and the air-conditioned air velocity at the inlets

35
Energies 2023, 16, 3814

to 4 m/s, while maintaining the temperature at the same level as in case 1 (10 ◦ C). The
temperature distribution in the cabin in this case is shown in Figure 11. The operator would
obtain these conditions in a shorter period of about 150 s (Figure 12).

Figure 11. Temperature field inside the cabin—case 3.

Figure 12. Decrease in average air temperature over time inside the cabin—case 3. f (x) =
−7
18.76e−0.04994x + 293.4e−2.469×10 x , R2 = 1, RMSE < 1%.

Furthermore, in this case the temperature distribution obtained in the cabin was
similar to that simulated in Case 1 for the conditions that currently prevail in the mine. The
average air velocity increased to 0.47 m/s, while the average air temperature decreased to
20.20 ◦ C. In the vicinity of the face and chest, the temperature decreased to 17.9 ◦ C, while
in further part of the cabin toward the front window and the control panel it increased
to 17.3 ◦ C. In the remaining parts of the cabin, the temperature remained constant and
reached 21.5 ◦ C. The ultimate goal of maintaining thermal comfort at a similar level, as
assessed by the PMV index, was achieved.

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5. Conclusions
In this study, in situ measurements of environmental parameters were performed to
determine the boundary conditions, based on which CFD simulations were carried out to
analyze the thermal conditions in the operator’s workplace for a stationary rock breaker in
an underground mine. Based on the simulation results, a thermal comfort assessment was
performed using the PMV methodology.
However, taking into account a future planned expansion of exploitation, which
would result in an increase in the depth of the works carried out and the intensification
of the excavation, two additional cases were also analyzed. Assuming an increase in the
average air temperature in the mine, an attempt was made to determine the temperature
and velocity of the air-conditioned air flow at the outlet of the air-conditioning device
required to maintain the climatic conditions at the same level of PMV.
The PMV value obtained suggests that the thermal sensation in the operator cabin for
the microclimate conditions considered in case 1 (currently prevalent in the mine) would
range from neutral (PMV = 0) to slightly cool (PMV = −1). On this basis, it can be concluded
that the actions taken to reduce the negative impact of microclimatic conditions on the
human body in the workplace of the stationary rock breaker operator had the intended
effect. Thus, this PMV value was treated as a reference for further investigation of the inlet
air parameters that should be ensured to maintain the thermal comfort of the operator.
The results of the CFD simulation showed that similar climatic conditions could
be obtained within the operator’s cabin, with a projected increase in the average air
temperature to 38 ◦ C. In the first of the cases considered, this effect was obtained by
lowering the temperature of the air conditioning to 8 ◦ C. However, taking into account the
limitations in the cooling power of the devices, with a higher temperature in the second
case, this effect was achieved by maintaining the current temperature value of 10 ◦ C and
by increasing the air flow velocity at the inlet to the cabins to 4 m/s.
Presentation of the simulation results in the form of the temperature distribution
inside the cabin in the section passing through its center could be used to determine
the location of the air temperature measurement points used in the mine to determine
the operator’s comfort using PMV, or another indicator determining the level of thermal
comfort. Although the velocity distribution was constant in most of the cabin, except
for the area near the inlets and air diffusers, the temperature distribution implied that
several measurement points should be taken into account to obtain a reliable average
cabin temperature. The extreme values found around the inlets and diffusers should not
be considered.
Based on the analysis of the results, it was found that, with regard to the PMV index
and URB operator cabin, it was reasonable to take measurements at six points. From the
point of view of operator comfort, the temperature should be measured in the immediate
vicinity of the face/chest. The second point should be located at the same height, in the
path of the airflow that comes out of the inlets; and the third, also at the same height,
should be located in the vicinity of the front glass. The fourth measurement point should
be placed in the path of airflow directed from the inlets to the lower part of the cabin, at
the level of the tibias. The last two points should be placed behind the seat, again at the
height of the tibia and at the height of the center of the back. Similar temperature values
were obtained in the area of the front window and seat (directly below and behind). Due to
the difficulties in taking measurements around the seat, they were omitted; however, they
should be included in the calculations, taking the value registered at the front window.
The created model of the operator’s cabin allows the prospect of further analyses and
simulations aimed at ensuring and maintaining optimal working conditions; especially
taking into account other hazards, i.e., the adverse impact of harmful substances contained
in mine air in gaseous or solid form, in particular harmful and dangerous gases, dust, and
DPM. Future work by the authors will focus on determining the operating parameters of
devices and the measurement characteristics needed to counteract these threats, to maintain
comfort and comply with regulations in the workplace.

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Author Contributions: Conceptualization, A.W., A.B., M.Z. and A.J.; methodology, A.W. and A.M.;
validation, M.Z.; formal analysis, A.W.; investigation, A.W. and A.B.; resources, S.G.; data curation,
A.M.; writing—original draft preparation, A.W.; writing—review and editing, A.W., A.B., M.Z. and
S.G.; visualization, A.M.; supervision, M.Z., A.J. and S.G. All authors have read and agreed to the
published version of the manuscript.
Funding: This activity received funding from the European Institute of Innovation and Technology
(EIT), a body of the European Union, under the Horizon 2020, the EU Framework Programme for
Research and Innovation. This work was supported by EIT RawMaterials GmbH under Framework
Partnership Agreement No. 21016 (ECHO: Electrical Computerised Hammering Operator). The
project is co-financed by the Polish Ministry of Education and Science within the framework of the
program titled International Co-Financed Projects.
Data Availability Statement: Data available on request.
Acknowledgments: The authors would like to thank the company KGHM Polska Miedź S.A. and
the authorities and employees of O/ZG Polkowice-Sieroszowice for enabling the performance of
underground measurements, and their support and assistance in the implementation of this work.
Conflicts of Interest: The authors declare no conflict of interest.

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people or property resulting from any ideas, methods, instructions or products referred to in the content.

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 energies
Article
Scale Effect on Hydraulic Properties of Pore-Fissure Deep Rock
Formations and Its Importance for the Mining
Shaft-Sinking Process
Maciej Pikuła 1 , Krzysztof Chudy 2 , Magdalena Worsa-Kozak 2, * and Mariusz Czop 3

1 KGHM Cuprum Research and Development Centre, 53-659 Wrocław, Poland

2 Faculty of Geoengineering, Mining and Geology, Wrocław University of Science and Technology,
50-421 Wrocław, Poland
3 Faculty of Geology, Geophysics and Environmental Protection, AGH University of Science and Technology,
30-059 Kraków, Poland
* Correspondence: [Link]-kozak@[Link]

Abstract: The problem of hydraulic parameters estimation lies in the depth: the deeper the rock
formation, the more expensive and difficult the field tests and samples acquisition, and the more
challenging the technical issues. The article assesses the Triassic sandstone’s drainage potential at
the stage of shaft sinking. It focuses on parameter analysis in varied scales, from drill-core sample
laboratory testing, through a single well drawing test, to long-term pumping and recovery tests in
the well with observation piezometers. The obtained results are compared to the values estimated in
the past using different methods. Finally, the paper states whether it is reliable to forecast pore-fissure
sandstone drainage potential based only on core samples’ laboratory tests. This research proved
that lab tests underestimate pore-fissure rocks’ hydraulic parameters (mean hydraulic conductivity
k = 9.79 × 10−8 m/s) tenfold more than long-term pumping tests (mean k = 4.45 × 10−7 m/s). How-
ever, it can be concluded that the group of so-called “witness samples”, 10% of all core samples with
a top value of the hydraulic conductivity tested in the laboratory, can be representative of the aquifer
and comparable to the values obtained in pumping tests. With this in mind, we recommend using the
Citation: Pikuła, M.; Chudy, K.; highest values of hydrogeological parameters from laboratory tests based on the worst-case scenario.
Worsa-Kozak, M.; Czop, M. Scale
Therefore, it is possible to forecast inflows to the shafts reliably. This methodology is recommended
Effect on Hydraulic Properties of
only for rocks of porous and pore-fissure character.
Pore-Fissure Deep Rock Formations
and Its Importance for the Mining
Keywords: open porosity; specific yield; hydraulic conductivity; pumping test; Triassic sandstone
Shaft-Sinking Process. Energies 2023,
16, 2263. [Link]
10.3390/en16052263

Academic Editors: Sergey Zhironkin 1. Introduction

and Dawid Szurgacz
The reliable hydraulic properties of pore-fissure rocks are crucial to the accurate
Received: 9 December 2022 prognosis of groundwater inflow to the sinking shafts. Moreover, they determine the safety
Revised: 8 February 2023 of mining operations and water management strategies. For example, a known unpredicted
Accepted: 23 February 2023 catastrophic influx to the sinking shaft is the R-XI shaft accessing Poland’s “Rudna” copper
Published: 27 February 2023 ore deposit [1]. Groundwater intrusion in 2002/2003 stopped the sinking process at a
depth of 600–635 m for nearly a year and showed that more attention must be paid to
hydrogeology when accessing deep deposits. Copper ore deposits in Poland’s Fore-Sudetic
Monocline (FSM) have been exploited for more than 60 years. As a result of many years
Copyright: © 2023 by the authors.
of mining, the resource base decreases, making it necessary to mine in deeper and less
Licensee MDPI, Basel, Switzerland.
accessible parts of the copper ore body. However, access to mineral resources at greater
This article is an open access article
depths is performed within complicated geological and hydrogeological conditions, causing
distributed under the terms and
conditions of the Creative Commons
health and safety challenges. Appropriate solutions for the ore body-opening technology
Attribution (CC BY) license (https://
should be based on reliable geological and hydrogeological research results. The best
[Link]/licenses/by/ method of assessing these conditions should rely on a factual assessment of the previous
4.0/). exploration methods. Combined with an analysis of the predicted and measured data,

41
Energies 2023, 16, 2263

weaknesses, and strengths of particular practices have been indicated. Hydrogeological

research preceding the design and construction of a shaft, if performed on a limited scale
or using low accuracy and reliability methods, provides incomplete and unreliable data [2].
Such imprecise recognition of hydrogeological conditions and geological structure leads to
inaccurately estimated inflows, as was proved during the long-term exploitation in FSM
(Figure 1). As a result, several critical influxes occured during shafts’ sinking and disrupted
or even stopped the process [1,3–5].

Figure 1. Comparison of predicted and measured inflows into the sinking shaft R-XI; (A) complete
data, (B) data in the range up to 0.1 m3 /min (black square in (A); [2] modified).

The problem of adequately identifying hydrogeological conditions in the copper min-

ing area in FSM began to be described in the 1970s and 1980s [3,6,7] and remains valid.
It became more important with the development of numerical modeling methods and
their implementation to prognoses of water inflow to underground mine workings [2,5,8,9].
However, the software development was not followed by the explicit recognition of rock
mass filtration parameters. As a result, it caused problems in properly defining boundary
conditions or hydrogeological schematization [10] and adequate integration of laboratory
and field measurements [11,12]. Similar challenges were noticed in hydrogeological mod-
eling in mining areas worldwide. For example, one of the first review papers on data
reliability and quality and the investigation methodology for determining the hydraulic
parameters necessary for the initial inflow to shafts estimations for modeling purposes
highlighted the importance of field tests in drill holes [13]. Likewise, the application of
groundwater flow modeling for mining purposes and data quantity and quality challenges
were widely described based on examples from the Czech Republic [14]. However, pre-
dictions of groundwater states and flows based on numerical modeling are challenging
in mining and every application. Accurate recognition of hydrogeological parameters
of rock mass for shaft-sinking purposes is also crucial for proper design of the sinking
technology [15,16]. Thus, special attention must be paid to data collection, which was
presented in detail based on the case study of the Death Valley regional groundwater flow
system [17]. Cases from Poland and other countries mentioned above show that more atten-
tion must be paid to the hydrogeological properties of individual water-bearing horizons.
For deep multilayered aquifers, it is a considerable challenge mining engineering, hydraulic
engineering, and hydrogeology must face minimizing the risk of disaster, specifically at the
stage of shafts sinking.
The accuracy and reliability of estimated hydrogeological parameters of rocks and
soils vary with the scale of the investigation [18–24]. In most cases, the lowest values are
obtained on the test in the smallest point scale, such as laboratory tests of soil or core
samples [18,21,23]. In contrast, the largest values that characterize rock mass on a local or

42
Energies 2023, 16, 2263

regional scale are derived by the filed tests (single- or cross-borehole pumping tests) [19–21].
The novelty presented by our work is comparing different methods of hydraulic properties’
estimation and an indication of the most reliable methodology of their evaluating for shaft
sinking in the pore-fissure rocks.
Our study provides: (1) reliable and unique data on Triassic pore-fissure sandstone
parameters as a referential for numerical modeling, (2) best practice guidance on the useful-
ness of the results obtained in different scales, (3) hydrogeological parameters of the Middle
and Lower Bunter sandstone in FSM are the objectives of this study. It has been done
based on field and laboratory tests presented in this article and allowed for comprehensive
hydrogeological characteristics of sandstone formations, classified as the Middle and Lower
Bunter sandstone, together with an assessment of their drainage potential at the stage of
shaft construction. Moreover, we ask whether it is reliable to forecast pore-fissure sandstone
drainage potential based only on core samples’ laboratory tests. We answer this question by
analyzing porosity, specific yield, storage coefficient, and hydraulic conductivity, examined
in varied scales from drill-core samples’ laboratory testing and a single well-drawing test
to long-term pumping and recovery tests in the cross-borehole. The novel approach was
implemented based on the methodology for estimating representative values of hydro-
geological parameters for pore-fissure rocks, taking into account the often overlooked
laboratory tests for samples derived from drill cores. Finally, the obtained results are
compared to the values estimated in the past using different methods and matched with
real inflows.

2. Materials and Methods

2.1. Study Area
The study area is situated in southwestern Poland on the FSM, between Gawronki
and Gawrony (Figure 2) in the north-eastern part of the Retków copper ore deposit, which
is a prospective part deposit designated for future exploitation.

EUROPE
deposit

N N
i-
Głębok
ysłowy
Głogów
-Przem

Poland
Gawronki
Gawrony

Krzydłowice

„Żelazny Most”
Mining Waste
Disposal Facility Rudna O-2
N
Rudna
8m

deposit
12

O-1 85 m W-1
osit
Retków dep 0 1.5 km

roads W-1 pumping well

railways O-1 observation well/piezometer
deposit boundary research area
Figure 2. Location of the research area within a copper ore deposit.

43
Energies 2023, 16, 2263

The bedrock of the FSM is a complex of crystalline rocks formed in the Proterozoic
and older Palaeozoic periods (Figure 3) [25]. The Permian formations are represented by
the Rotliegendes sediments of red-colored conglomerate, shale, sandstone, and higher
volcanic rocks (rhyolite, rhyolitic tuff) [26]. They are overlaid by brownish-red sandstone,
which changes into grey and white in the upper part. Zechstein sediments are copper-
bearing shale, limestone, dolomite, anhydrite, rock salt, and clay shale [27], and overlay
the Rotliegendes part. The Zechstein is divided into four cyclothems: Aller (Z4), Leine (Z3),
Stassfurt (Z2), and Werra (Z1) (Figure 3). Triassic deposits, represented by the lower and
middle Triassic, lie conformably on the Zechstein formations. In the L=lower Triassic, the
Bunter sandstone is represented by sandstone, siltstone, and shale with limestone interbeds
in the lower and middle parts. The upper part of the lower Triassic (Röt Formation) is
characterized by marl, shale, siltstone, dolomite, limestone, anhydrite, and gypsum with
interbeds of marl. The Middle Triassic, represented by Muschelkalk, comprises limestone,
dolomite, marl, anhydrite, and gypsum. The Cenozoic formations are characterized by
Paleogene, Neogene, and Quaternary formations, which lie unconformably on Triassic
deposits. The Palaeogene–Neogene sediments are mainly quartz sand, glauconitic sand,
and clay with an interbedding of mud or sand. Quaternary formations consist of sand,
gravel, clay, and silt of the Southern and Central Poland glaciations. The Quaternary is
characterized by high lithological variability in vertical and horizontal profiles.

Figure 3. Location and geologic setting of the research area. Geologic cross-section along line A–B in
upper figure [28].

The hydrogeologic profile of the study area includes four aquifers: Quaternary,
Neogene–Paleogene, Triassic, and Permian (Figure 4) [5]. The Quaternary aquifer covers
sandy and sandy-gravel water-bearing layers of the Holocene and Pleistocene, which are
usually separated from lower layers by Pliocene clays of the Poznan series.

44
Energies 2023, 16, 2263

Figure 4. Scheme of hydrogeological conditions of the pumping test area.

The Neogene–Paleogene water-bearing horizon includes water in sandy and sandy-

gravel layers within isolating layers: clay, silt, and brown coal. Three water-bearing
horizons can be distinguished within this horizon: over-coal (Pliocene and upper Miocene),
inter-coal (middle and lower Miocene), and under-coal (Oligocene). These three levels of
the Neogene–Pliocene aquifer may have hydraulic connectivity locally. The subject of the
presented research, the Triassic aquifer, is distinguished by an aquifer of shell limestone,
upper Bunter sandstone (Röt Formation), and middle and lower Bunter sandstone. The
middle and lower Bunter sandstone aquifer’s water occurs in the arkose sandstone, more

45
Energies 2023, 16, 2263

rarely in quartz sandstone. This sandstone is interlayered with insets of poorly permeable
and impermeable sediments—shale and gypsum. The studied sandstone is characterized
by diversified grain sizes—from fine- to coarse-grained. Water-bearing formations of the
discussed zone occur in most of the FSM area. Sub-Cenozoic outcrops of this aquifer in
the area of the monocline spread in a wide belt, several kilometers wide, located to the
northeast of outcrops of older, lower Zechstein formations (cyclothem Z4). Paleogene
sediments are present above the sub-Cenozoic outcrops of this aquifer in unconsolidated
sandy formations and isolating layers of silt and clay. To the north and north-west of the
sub-Cenozoic outcrops of the middle and lower sharp sandstone, the aquifer is covered
by isolating sediments (mudstones) overlain by carbonate water-bearing sediments of the
upper Bunter sandstone and Muschelkalk. The middle and Bunter sandstone sediments are
underlaid by separating rocks of Zechstein’s siltstone and anhydrite. In the copper-bearing
area, the thickness of the Middle and Lower Bunter sandstone completely disappears
in the southwestern region of its sub-Cenozoic outcrops. In the northern areas of the
documented copper ore deposits, the maximum thickness reaches approx. 600 m. In the
study area, the thickness of sediments of this aquifer ranges about 450 m. The hydraulic
conductivity of the discussed aquifer in the copper-bearing area of the FSM ranges between
10−9 m/s ÷ 10−6 m/s [29]. The Permian aquifer comprises the Zechstein and Rotliegendes
aquifers and includes sedimentary and relict water. It is built of dolomite, limestone, and
gray and red sandstone separated by impermeable layers.

2.2. Methods and Calculations

2.2.1. Field Test
Field hydrogeologic investigations in the middle and lower Bunter Sandstone aquifer
were based on pumping tests in the well (W-1) with two observation wells (O-1, O-2;
Figure 2). The pumping test ran between 08.07 and 02.09.2016 at a depth from 684.7 m to
755.0 m. It covered purge pumping and measurement pumping. Each was completed by
recovery of the water level. Purge pumping was conducted to remove the drilling mud
and decontaminate the near-borehole zone [30,31]. A submersible electronic hydrostatic
pressure sensor—APLISENS SG-25, and a backup Solinst Levelogger Edge water level
sensor were used for constant, automated observation of the water level in the wells.
Additionally, control manual measurements were taken with the SEBA Electric Contact
Meter Type KLL. The pumping test flow rate was measured using an electromagnetic flow
sensor Siemens MAG 3100. The pumping test was performed as a two-drawdown step
procedure (Figure 5) [30]. The first drawdown step was carried out with the pumping rate
of 60.0 m3 /h for 9 days and 23 h, and the second was carried out with the rate of 80.0 m3 /h
for 40 days and 1 h 30 min. After the pumping test was completed, observations of water
table recovery in the boreholes were conducted for 74 days in the pumping borehole
and 56 days in the piezometers. Interpreting the pumping test with the determination
of the hydraulic conductivity was carried out using methods for non-steady flow. The
hydraulic conductivity and storage coefficient was determined based on measurements
from a pumping borehole (W-1) and two piezometers (O-1 and O-2) using the AquiferTest
software. For the W-1 borehole, both for the period of pumping and stabilization of the
water table, methods were applied which consider the influence of so-called “well effects”
on the obtained measurement results. For measurements from pumping, “Agarwal’s
method” was used, and for measurements from stabilization, “Agarwal’s solution” was
applied, taking into account the assumptions of the above method [32–34]. Measurement
data from piezometers O-1 and O-2 were interpreted using the Theis method, and for data
from the stabilization period, the Theis method, Agarwal’s solution [32,34,35]. Data from
the complete pumping and stabilization period were included in the interpretation. Only
the initial 10 min of the 2nd pumping step were omitted because of the significant stepwise
variability in the magnitude of the pumping rate. For the 1st and 2nd pumping test steps,
the variability in pumping rates during the tests was included in the calculations.

46
Energies 2023, 16, 2263

For comparison of parameters estimated with the software storage coefficient was also
calculated using the formula [36]:

S = 3 × 10−6 b (1)

where b is saturated aquifer thickness in meters.

0 500

20
450
40

400
60

80
350
pumping teststopped (hardware failure)

100 1-st step 2-nd step

pumping rate m3/h

water-table stabilization
300
120
drawd own m

140 250

160
200
180 W-1

O-1 150
200

220 O-2
100

240 analyzed time period

50
260 Q

280 0
0 20,000 40,000 60,000 80,000 100,000 120,000 140,000 160,000

time min

Figure 5. Pumping test progress.

The rock quality designation (RQD) index, developed by Deere et al. (1967) [37], was
also implemented to analyze hydrogeological parameters. RQD is defined as the borehole
core recovery percentage or ratio incorporating only pieces of a solid core longer than
100 mm in length measured along the core’s centerline of the core [38]. It is distinguished
for selected structural domains or specific sizes of core [39]. It was estimated in the field
while the core was logged during the drilling operations.

2.2.2. Laboratory Test

Laboratory studies were also significant in determining aquifer parameters. After
the drilling of boreholes, rock samples were taken from drill cores to test hydrogeological
parameters in terms of open porosity (po ), specific yield (Sy ), and hydraulic conductivity
(k). The hydrogeological parameters of sandstone were studied on 36 samples at the AGH
University of Science and Technology in Krakow. Samples were taken from those sections
of the core that allowed a smaller diameter sample to be cut. The samples ready to test
were cylindrical (diameter 50 mm; length 55 mm, (Figure 6A)). First, the open porosity
was determined. The next step was the determination of specific yield using a high-speed
centrifuge. Finally, hydraulic conductivity was determined.
Open porosity (po ) (interconnected porosity) is one of the elementary microstructural
characteristics of rocks. It determines the proportion of interconnected pores regard-
less of their size in the volume of the rock sample. Tests were performed based on the
method described in the literature and saturating samples in water, called the Archimedes’
method [10,40–43]. The value of the open porosity was calculated from the formula [43,44]:

po = ( Ga − Gd )/( Ga − Gw ) × 100% (2)

where Ga is the weight of the sample saturated with water (24 h) and weighed in air, Gd is
the weight of the sample dried at 110 ◦ C for 24 h, Gw is the weight of the sample saturated
with water (24 h) and weighed in water.

47
Energies 2023, 16, 2263

To determine the ability of rocks to drain free water under the effect of gravity, we
estimated the specific yield (Sy ), which defines the volume of water that can drain away
from a unit volume of rock [36,45,46]. The method used to determine the rock’s Sy is based
on a laboratory centrifuge (Figure 6B) [47,48].

Figure 6. Core prepared for parameter determination (A), samples placed in a high-speed cen-
trifuge (B), test equipment for measurement of k (C).

The centrifuge’s speed is adjusted to the height of the sample to simulate a negative
pressure of 10 m of the water column, which is assumed to be the maximum value occur-
ring in nature and simulates natural drainage lasting 5–20 years. This value is used in
international research [10,42–44,49]. The Sy was calculated from the formula:

Sy = Vw /Vr (3)
where V w is the volume of drained water released by a suction pressure equivalent to a
water column 10 m high (cm3 ), V r is the volume of the sample/rock (cm3 ).
All the samples were centrifuged for 30 min, equivalent to the percolation time un-
der natural conditions from 2 to 2.5 years. This interval was calculated according to
Prill et al. [48] as the relationship between percolation time (T n ) of gravitational water in
nature and centrifugation time (t):

( Tn /t) = ( a/g)2 (4)

where: a—centrifugal acceleration, g—gravity.

Hydraulic conductivity (k) is one of the most important parameters used in hydro-
geology. It is determined from the measured intrinsic permeability (k p ). Intrinsic perme-
ability was determined in Dulinski’s [50] apparatus, the gas permeameter (Figure 6C).
This works on forcing the flow of compressed gas (liquid) through the dried sample. The

48
Energies 2023, 16, 2263

absolute pressure “before” and “after” the sample and the amount of gas flow is measured.
Formula (5) [42,43] is used for calculations:

k p = 2Qplη/F ( p21 − p22 ) (5)

where: k p is intrinsic permeability (Darcy), Q is the volume of flowing gas (cm3 /s), p is
atmospheric pressure (at), l is sample length (cm), η is dynamic gas viscosity coefficient
(cP), F is sample cross-sectional area (cm2 ), p1 is the pressure of gas before sample (at), p2 is
the pressure of gas behind sample (at).
The Formula (6) describes the relationship between intrinsic permeability and hy-
draulic conductivity [43]:
k = k p (γw /ηw ) (6)
where: k—hydraulic conductivity (cm/s), k p —intrinsic permeability (Darcy), γw —water
specific gravity (g/cm3 ), ηw —water dynamic viscosity coefficient (cP).
From (6) we find that (at temp = 10 ◦ C):

k = 7.66×10−6 k p (7)

3. Results
3.1. Field Test
The value of hydraulic conductivity k determined on measurements from the first step
of test pumping for the W-1 borehole was 3.31 × 10−7 m/s. For the observation wells, it
was 3.71 × 10−7 m/s (O-1) and 5.80 × 10−7 m/s (O-2). The arithmetic mean of the whole
system (pumping well with observation wells) was 4.27 × 10−7 m/s.
Based on measurement data obtained in the second step of the pumping test, the
calculated value of k for the test borehole (W-1) was 3.82 × 10−7 m/s, and for the observation
wells—3.92 × 10−7 m/s (O-1) and 5.62 × 10−7 m/s (O-2). As a result, the arithmetic mean
value of the k equal 4.45 × 10−7 m/s was calculated for the whole system (pumping well
with observation wells) (Figures 7–10).
Measurements made during water table recovery in a pumping well (W-1; (Figure 11)
determined k of 3.88 × 10−7 m/s and in observation wells—3.71 × 10−7 m/s (O-1) and
4.58 × 10−7 m/s (O-2) (Figure 12), on average for the whole system (pumping well with
observation wells)—4.06 × 10−7 m/s.
Matching calculated depression with measured depression (Figure 13), as well as
matching statistics (Table 1), indicate that the above parameters calculations are reliable.

Figure 7. Analytical diagram for measurements in O-1 and O-2 during the first step of the pumping
test (Theis method).

49
Energies 2023, 16, 2263

Figure 8. Analytical diagram for measurements in W-1 well during the first step of the pumping test
(Agarwal’s method).

Figure 9. Analytical diagram for measurements in O-1 and O-2 during the second steps of the
pumping test (Theis method).

Figure 10. Analytical diagram for measurements in W-1 well during the second step of the pumping
test (Agarwal’s method).

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Energies 2023, 16, 2263

Figure 11. Analytical diagram for measurements during recovery in the W-1 well (Agarwal’s method
considering well effects + Agarwal’s solution).

Figure 12. Analytical diagram for measurements during recovery in observation wells O-1 and O-2
(Theis method + Agarwal’s solution).

Figure 13. The plot of measured borehole depression vs. value calculated by the software

The results obtained from the pumping test classify the rocks into semi-permeable [51]
or low-permeable rocks [52]. The water storage coefficient S value was also determined
based on the analyses performed. Averaged values of this parameter for observation wells
O-1 and O-2 of the first and second step of the pumping test are equal to 2.27 × 10−4
and 2.18 × 10−4 , respectively, and the average value for measurements during recovery is
4.02 × 10−4 . A similar result, 4.49 × 10−4 , was obtained from Formula (1) calculations by
which the S-value is estimated from the thickness of the aquifer.

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Energies 2023, 16, 2263

Table 1. Matching statistics between measurements taken during the pumping test and model values
calculated with the software.

Sum of Squared Standard

Pumping Test Well No Mean ∆s [m] Variance [m2 ]
Errors [m2 ] Deviation [m]
1st step W-1 0.014 799.087 3.386 1.84
1st step O-1 0.054 59.743 0.234 0.484
1st step O-2 0.108 42.545 0.212 0.460
2nd step W-1 0.003 795.837 0.846 0.920
2nd step O-1 0.007 173.542 0.496 0.704
2nd step O-2 0.014 81.773 0.224 0.473
Recovery after 2nd step W-1 −0.097 4578.936 3.134 1.770
Recovery after 2nd step O-1 −0.003 1367.277 0.522 0.722
Recovery after 2nd step O-2 0.074 1038.755 0.396 0.630

3.2. Laboratory Test

3.2.1. Characteristics of the Rock Samples
Macroscopic analysis of the rock samples identified three groups of sandstone: very
fine-grained, fine-grained, and medium-grained.
The very fine-grained sandstone samples (seven samples) occur in the depth interval
of 604–687 m in single layers of small thickness. These are samples of red or brownish-red
quartz sandstone with gray layers added. They are layered flat-parallel or have wavy
lamination. The mineral composition is dominated by transparent and semitransparent
quartz grains, mainly pink, of spherical or ellipsoidal shape. The shape of the grains is
semi-sharp to rounded. The lithic components are light and dark micas. Ferrosilicate
binder predominates.
Fine-grained sandstone was the most popular in the analyzed samples and occurred
in the complete profile (24 samples) as red or brownish-red quartz sandstone. In the depth
interval of 640.0–644.0 m and 697.0–730.0 m, light gray and light green color dominates.
Flat-parallel lamination up to 1mm thick predominates. Quartz dominates the mineral com-
position with semitransparent, pink, or grey grains. Grains are spherical and semi-rounded
to rounded. The lithic constituents are light and dark micas. Silica binder predominates.
Medium-grained sandstone represents the minor group of four analyzed samples.
They occur locally below 700.0 m and comprise red-brown to reddish quartz sandstone. Flat-
parallel, continuous lamination dominates here, and laminae are light red and brownish red.
The main mineral component is transparent and semitransparent Quartz, locally pink or
yellow. Grains are semi-rounded and shaped spherical or ellipsoidal. The lithic components
are light and dark micas and clay minerals. The sandstone is brittle and porous. Iron–silica
or clay–silica binder dominates.

3.2.2. Interconnected Porosity (po )

The studied sandstone’s open porosity (po ) is relatively high. Values are between
0.0098 (Table 2) and 0.1894, with a mean of 0.0918 and a standard deviation of 0.0105. Very
fine-grained and fine-grained sandstone showed similar po values. However, the highest
po values were recorded for medium-grained sandstone (mean 0.1308).
The distribution of po is not homogeneous. Two subgroups with a similar parameter
distribution can be distinguished but shifted to each other (Figure 14). In the first subgroup,
we have fine-grained sandstone with low po (up to about 0.06). Sandstone with much
higher po values (0.12–0.19) is placed in the second subgroup. Lower values belong to
fine-grained sandstone (po < 0.15), and higher po > 0.15 to very fine-grained and medium-
grained sandstone.

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Table 2. Statistics of the measurement date set.

Very
Fine-Grained Medium-Grained Sandstone in
Rock Type Parameter Fine-Grained
Sandstone Sandstone Total
Sandstone
Number of
6 24 4 34
samples
Min. 0.0098 0.0136 0.0614 0.0098
Max. 0.1893 0.1829 0.1820 0.1894
po Arithmetic Mean 0.0807 0.0881 0.1308 0.0918
Geometric Mean 0.0514 0.0219 0.1211 0.0683
Median 0.0401 0.0583 0.1398 0.0624
Standard
0.0771 0.0583 0.0521 0.0611
Deviation
Variance 0.0059 0.0034 0.0027 0.0037
Number of
1 13 3 17
samples
Min. - 0.0017 0.0160 0.0018
Max. - 0.0849 0.0495 0.1059
Sy Arithmetic Mean - 0.0422 0.0374 0.0451
Geometric Mean - 0.0219 0.0333 0.0259
Median - 0.0389 0.0466 0.0466
Standard
- 0.0322 0.0185 0.0327
Deviation
Variance - 0.0010 0.0003 0.0011
Number of
5 23 3 31
samples
Min. 7.00 × 10−12 4.25 ×10−12 3.67 ×10−10 4.25 × 10−12
Max. 1.65 × 10−6 4.89 × 10−7 1.85 × 10−7 1.65 × 10−6
k
Arithmetic Mean 3.31 × 10−7 5.10 × 10−8 6.90 × 10−8 9.79 × 10−8
Geometric Mean 1.22 × 10−10 4.58 × 10−10 1.22 × 10−10 5.24 × 10−10
Median 9.73 × 10−12 5.31 × 10−10 2.17 × 10−8 3.67 × 10−10
Standard
7.40 × 10−7 1.14 × 10−7 1.01 × 10−7 3.06 × 10−7
Deviation
Variance 5.47 × 10−13 1.29 × 10−14 1.02 × 10−14 9.39 × 10−14

3.2.3. Specific Yield (Sy )

Sy values were measured for 17 samples of fine-grained sandstone. The remaining
17 samples were mechanically disintegrated at the centrifugation stage. Unfortunately, this
does not allow a comparison of results for the three distinguished sandstone groups. The
Sy value of tested samples ranges from 0.0018 to 0.1059 (Table 2). The arithmetic mean is
0.0451, with a standard deviation of 0.0079.

3.2.4. Hydraulic Conductivity (k)

The last measured parameter in the laboratory tests was the hydraulic conductivity (k),
determined for 31 samples. Measurements were made three times, and the average of these
three measurements was taken for analysis. The k of the sandstone matrix shows variation
from 4.25 × 10−12 m/s to 1.65 × 10−6 m/s; the geometric mean is 9.79 × 10−8 m/s, and the
standard deviation is 3.06 × 10−7 m/s. Very fine-grained and fine-grained sandstone show
very similar k values (Table 2). In medium-grained sandstone, the lower limit of the k value
is two orders higher than in fine-grained.
The distribution of k values is logarithmic but not homogeneous (Figure 14). Three sub-
groups can be distinguished. The first is sandstone with a very low k value (7.37 × 10−12 m/s
to 9.73 × 10−12 m/s), mainly fine-grained and very fine-grained, probably with small pore
sizes. The second subgroup is very fine-grained, fine-grained, and medium-grained sandstone
with k oscillating between 1.58 × 10−11 m/s to 1.39 × 10−9 m/s). In this case, the slope of
the approximating line is significantly lower, which indicates a more significant variation

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Energies 2023, 16, 2263

in the pore space distribution in the samples. The third group consists of sandstone with
higher permeability values (1.26 × 10−8 m/s to 1.65 × 10−6 m/s)) and well-developed pores
where individual pores connect and enable water flow. The macroscopic observations show
that the samples with clay interlayers tended to have lower k values than those without
clay interlayers.

Figure 14. Cumulative frequencies of po , Sy , and k [m/s].

3.2.5. Variation of the RQD and Hydrogeological Properties with Depth

The analysis of changes in the described parameters should start with assessing the
quality (strength) of the drill core since it describes the mechanical strength of rocks and
indirectly tells about the binder that holds grains together. The RQD index was used for
this purpose, and its analysis indicates that the studied rock mass has different mechanical
strengths depending on the depth (Figure 15). Three zones with different RQD values can
be distinguished. The first zone begins at 595.0 m and extends to a depth of 723 m. In
this zone, the rock mass shows high mechanical strength, RQD > 80 for most of this zone
(Figure 15). The exception is the interval from the depth of 690.0 m to 700.0 m, where locally,
the RQD drops to the value of 60–63. Below the depth of 730 m, the zone of weakened
rock mass begins, where the RQD index drastically drops to the value from 20 to 50. In an
interval of 735–737.5 m, it reaches a minimum value of RQD = 0, and at a depth between
747.0 and 750.2 m, RQD equals 6.25. This zone ends at a depth of 796.0 m, where there is a
significant increase in the strength of the rock mass RQD > 80, with local zones of weakness
in the range of 804.0 m–808.0 m and 810.0 m–814.0 m. Such a distribution of RQD indicates
the mechanical strength of the rock mass translated into the ability to collect samples for
laboratory testing. Therefore, samples were taken from those strong enough fragments to be
mechanically processed (cutting smaller core fragments of a specific, smaller diameter). In
addition, the samples had to have sufficient mechanical strength to survive centrifugation
in a high-speed centrifuge. For this reason, there are no samples from core fragments with

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RQD < 50. There is no evident variability of hydrogeological parameters with depth. It
is possible to distinguish zones in the profile with low values interspersed with zones
with high values of measured parameters. The zones with low values are the depth zones
625.0 m–640.0 m, 680.0 m–700.0 m, and below 810 m (Figure 15). A slight correlation
between their occurrence with local zones of reduced RQD can be noticed.

Figure 15. Distribution of po , Sy (A) and k (B) in the vertical profile.

3.2.6. Correlation between Hydrogeological Parameters

The arrangement and geometry of the matrix determine the values of po , Sy , and k. The
homogeneity of the grain size, the shape of the grains, and the degree of grain cementation
influence this. The degree of grain cementation will be indirectly indicated by the RQD
parameter, the variation of which with depth was discussed earlier. The correlation between
RQD and depth is moderately negative. Negative moderate correlation between RQD and
po is evident (Figure 16, Table 3).
The analysis shows a fairly strong correlation between po and Sy (R = 0.70) (Figure 17).
Correlation analysis for k shows its moderate correlation with Sy (R = 0.67) and po (R = 0.45).
On the other hand, there is no visible correlation between depth and Sy and k, as well as
between RQD and Sy and k.

Table 3. Correlation matrix between measured parameters.

Depth po Sy k RQD
depth 1.00 0.27 0.13 0.00 −0.62
po 0.27 1.00 0.70 0.45 −0.49
Sy 0.13 0.70 1.00 0.67 −0.08
k 0.00 0.45 0.67 1.00 −0.03
RQD −0.62 −0.49 −0.08 −0.03 1.00

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Energies 2023, 16, 2263

Figure 16. RQD vs. depth, po and k in the sandstone.

Figure 17. k vs. po and Sy , po vs. Sy .

4. Discussion
The middle and lower Bunter sandstone horizon is characterized by high horizontal
and vertical variability in terms of water flow. It is formed in fine- and medium-grained,
medium-bedded sandstone, locally brittle and multi-directionally fractured. Core recovery
was observed in a wide range of 10–90%. Additionally, mudflow escapes were common
while drilling this horizon.
RQD parameter analysis indicates the presence of a zone of mechanically strong,
highly cemented sandstone and a zone of mechanically weak sandstone. In the weak zone,
there are numerous clay inserts and delaminations. This results in privileged groundwater
flow paths, reflected in mudflow escapes and large water inflows to the borehole. In the
discussed borehole, such a zone occurs below a depth of 700 m. The negative correlation
between RQD and po indicates that binder influences the level of permeable fractures. We
observe lower interconnected porosity in rocks with higher strength and more binder. The
second factor determining interconnected porosity is sandstone grain sorting. Samples
with good sorting (medium-grained sandstone) have higher po values than samples with
worse sorting (finer material fills the pore spaces).
The good correlation of po with Sy indicates a close relationship between these param-
eters, which is typical for sandstone where water fills the pore spaces. If a depression cone
is formed, it is drained according to local pressure gradients and determines the long-term
inflow to the mine workings.
One of the most important parameters determining the possibility of groundwater
flow is hydraulic conductivity (k). The studied samples show three subgroups of results

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with different water filtration properties, which depend mainly on pore formation and
connections between them. Low values of k are found in local weak zones of the rock mass,
which may indicate admixtures of clay minerals that fill the pore space and restrict water
flow. Analysis of the results from the laboratory measurements shows that we obtain much
lower k values in these studies than in the pumping tests. Only the six highest k values from
laboratory measurements were similar to the k result from the pumping test. It means that
direct adopting the results of laboratory measurements to calculate groundwater inflow
gives the underestimated ability of rock mass drainage.
Information from archival hydrogeologic documentation was collected to evaluate the
results on a regional scale. These are data from pumping tests performed in the middle
and lower Bunter sandstone horizon since the 1970s. One hundred verified field tests were
used to create a probability distribution plot of k. Results show hydraulic conductivity
calculated from the single well (borehole) pumping tests ranging from 2.30 × 10−8 m/s to
2.60 × 10−6 m/s (Figure 18, blue points), average 6.48 × 10−7 m/s. The results obtained
during the pumping tests classify the rocks into semi-permeable [51] or low-permeable
rocks [52].
The k-values estimated based on current laboratory tests and pumping well W-1 are
plotted on this graph for comparison to archival results from pumping tests. The W-1
pumping test results indicate that the rocks are low permeable and included in the regional
values’ upper zone. The laboratory results are shifted towards lower values and indicate
that very low and low permeability rocks dominate. Such laboratory and pumping k values
distribution suggest that the inflow to the mine will have two components (short-term and
long-term), as described below, that are related to the scale of water-bearing voids.

Figure 18. Values of the hydraulic conductivity of the middle and lower Bunter sandstone horizons
determined from a single well pumping test (blue) ([53]), W-1 well-pumping test (green), and
laboratory tests (orange) within the current study. x ± s: mean ± standard deviation, x ± 2s: mean ± 2
times standard deviation. Classification according to the Hydrogeological Dictionary [45].

The tested volume of the aquifer or sample strongly influences the obtained results, as
was also proved by studies conducted in various laboratories (e.g., [18,54,55]). Different k
values are obtained under laboratory conditions and during field measurements for the
same sampled lithological interval (Figure 19). However, hydraulic conductivity increases
with the scale of the tested pore-fissure rock mass (Figure 19). The same rule was observed
in a described case; k measured in a laboratory is tenfold lower than in the pumping test
in the well W-1. Moreover, such a distribution of results indicates that the pumping test
shows the drainage ability of large rock intervals and gives information on water stored

57
Energies 2023, 16, 2263

in privileged regional structures (tectonic zones, rock faults, connected voids, etc.). These
structures will be drained at first during the opening of the deposit and will provide a large
and fast inflow (short-term component). They will also be responsible for the inflow to the
shaft during the sinking operation. The laboratory measurements indicate values typical
for the local rock matrix that will determine the inflow conditions to the mine long after the
drained privileged zones. It will shape the long-term and smaller-intensity inflow.

Figure 19. Dependence of the hydraulic conductivity on the volume of the tested rock mass.
Green line: Fore-Sudetic Monocline Triassic sandstone, Black dashed lines: carbonate series rocks
A: Thiensville Formation, B: Mayville carbonate rocks, C: Romeo carbonate rocks [56] after [55].

While discussing scale influence on hydraulic conductivity, we should also consider

the thickness of the studied aquifer, which plays an important role in shaping the inflow to
the sinking shaft. Parametrically it is defined by water transmissivity index T [m2 /s], which
is a function of the properties of the liquid, the aquifer, and the thickness of the porous me-
dia [57]. In the study area, the average thickness of the middle and lower Bunter sandstone
water-bearing formations reaches about 450 m. Consequently, the water transmissivity T
index determined from the averaged pumping test results ranges from 1.82 × 10−4 m2 /s
to 2.00 × 10−4 m2 /s (15.72–17.28 m2 /d). Therefore, according to the VI step classification
proposed by J. Krásný (1993) [58], we classify the hydraulic transmissivity of the middle
and lower Bunter sandstone horizon as class III: intermediate water transmissivity.

5. Conclusions
The process of sinking a mine shaft is a technologically challenging operation, es-
pecially in complex geological conditions. As described in the article, the Fore-Sudetic
Monocline is precisely one of the areas with challenging geology. In order to reach a
copper ore deposit at present, it is necessary to mine more than 1200 m deep and to pass
through many aquifers. To date, the commonly used methodology for predicting inflows
to the shaft has relatively often proved inaccurate and unreliable due to unrepresentative
values of the hydraulic conductivity obtained from simple or inadequate estimates. An
accurate assessment of the hydrogeological conditions and estimating the expected inflows
to the sunken shaft determines its construction technology and influences the crew’s safety
and investment.

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Our work and other scientific articles prove it [10,56,59] that to obtain the most realistic
inflow predictions, it is necessary to rely on hydrogeological parameters from long-term
pumping tests at nodes. However, such surveys for shafts deeper than 1000 m are extremely
costly and time-consuming, and hence there is often great resistance to their use. Performing
a long-duration pumping test also delays the mining works associated with the shaft
excavation, which is also an unfavorable factor for performing this testing. New to our
work were hydraulic conductivity measurements obtained from laboratory tests for samples
obtained from drill cores. These types of samples are easy to collect in the course of drilling
works related to the rock mass’s reconnaissance and the subsequent shaft excavation. It is
obvious that these samples characterize hydrogeological parameters on a point scale. Still,
their sufficiently large population makes it possible to estimate a representative value of
the hydraulic conductivity of the whole rock mass.
Our research showed that lab tests underestimate hydraulic parameters of the pore-
fissure Triassic sandstone (mean hydraulic conductivity k = 9.79 × 10−8 m/s) tenfold more
than long-term pumping tests (mean k = 4.45 × 10−7 m/s). This situation is consistent
with cases known from the literature of the influence of the test scale on the values of the
hydraulic conductivity in porous and pore-fissure aquifers with low rock matrix porosity.
In our study for the Triassic sandstone, we found that this underestimation, i.e., the ratio
of the hydraulic conductivity value obtained from the pumping test to the mean value of
this parameter from the laboratory method, is relatively small and amounts to less than an
order of magnitude (“underestimation” ratio = 4.54). The results published in the literature
for fractured karst rocks show a difference in the results from laboratory tests and pumping
tests of up to several orders of magnitude.
Individual laboratory samples cannot indicate the representative value of hydraulic
conductivity, as it depends strongly on the research scale. Hydraulic conductivity typically
increases with the test scale and then approaches an asymptote (Figure 19). Only if the
tests cover the rock mass volume of at least 10,000–100,000 m3 is it possible to obtain
representative values of the hydrogeological parameters, including hydraulic conductivity.
In such a volume, it is highly probable to capture most of the privileged zones affecting the
groundwater flow conditions, e.g., those associated with higher porosity or characterized
by a higher density of cracks.
For porous and pore-fissure rocks, such as the studied sandstone, collecting a large
population of samples with the most diverse porosity makes it possible to find “witnesses”
samples with parameter values close to a representative. This situation does not occur in
the case of published studies of carbonate rocks where the permeability is related only to
cracks and not to the porosity of the matrix (e.g., [18,39,54]. Based on our research, it can be
concluded that the group of these ”witness samples”, for which the values of the hydraulic
conductivity correspond to the representative value from the pumping test, comprises 10%
of all core samples tested in the laboratory. With this in mind, we recommend using the
highest values of hydrogeological parameters from laboratory tests based on the worst-case
scenario. Therefore, it is possible to forecast inflows to the shafts reliably. This methodology
is recommended only for rocks of porous and pore-fissure character. We recommend
continuing research in this area to confirm whether the relationship found is valid only for
the studied Triassic sandstone from the area of the Fore-Sudetic Monocline or also for all
sandstone types from other locations.
The main conclusion of practical importance arising from our study is the confirmation
of the relatively very low values of the hydraulic conductivity for Triassic sandstone from
the area of the Fore-Sudetic Monocline. This is confirmed by results obtained by two
methods at different scales, not only from drill core samples but from long-term and much
more representative pumping tests.
The very low values of the hydraulic conductivity of the Triassic sandstone mean
that, consequently, the expected inflows to the deep shaft will also be relatively small and
technically feasible to drain using pumps. We, therefore, recommend considering the use
of direct dewatering techniques for the rock mass without the need to freeze the ground,

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which for deeper parts of the rock mass above 1 km is costly and technically difficult due
to the high temperature of the rock and the presence of highly saline groundwater (brines).

Author Contributions: Conceptualization, M.P., M.W.-K., K.C. and M.C.; methodology, M.P., M.W.-K.,
K.C. and M.C.; software, M.P.; validation, M.P. and M.C.; formal analysis, M.P. and K.C.; investigation,
M.P. and K.C.; resources, M.P., M.W.-K. and K.C.; data curation, M.W.-K. and K.C.; writing—original
draft preparation, M.P., M.W.-K. and K.C.; writing—review and editing, M.W.-K. and K.C.; visu-
alization, M.P. and K.C.; supervision, M.W.-K. and M.C.; project administration, M.W.-K.; fund-
ing acquisition, M.W.-K. and K.C. All authors have read and agreed to the published version of
the manuscript.
Funding: The research work was partially funded with the grant co-financed by NCBiR and
KGHM Polska Miedź S.A., entitled “IMore—Innovative methods of accessing deep deposits” (No.
CuBR/I/1/NCBiR/2014) under the CuBR program and Wrocław University of Science and Technol-
ogy research fund from the Polish Ministry of Education and Science granted for 2023.
Conflicts of Interest: The authors declare no conflict of interest.

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 energies
Article
Prediction of NOx Emission Based on Data of LHD On-Board
Monitoring System in a Deep Underground Mine
Aleksandra Banasiewicz 1 , Paweł Śliwiński 2 , Pavlo Krot 1, * , Jacek Wodecki 1 and Radosław Zimroz 1

1 Faculty of Geoengineering, Mining and Geology, Wroclaw University of Science and Technology,
Na Grobli 15, 50-421 Wroclaw, Poland
2 KGHM Polska Miedz S.A., ul. Marii Skłodowskiej-Curie 48, 59-301 Lubin, Poland
* Correspondence: [Link]@[Link]

Abstract: The underground mining industry is at the forefront when it comes to unsafe conditions
at workplaces. As mining depths continue to increase and the mining fronts move away from the
ventilation shafts, gas hazards are increasing. In this article, the authors developed a statistical
polynomial model for nitrogen oxide (NOx) emission prediction of the LHD vehicle with a diesel
engine. The best-achieved prediction accuracy by the 4th order polynomial model for 11 and 10 input
variables is about 8% and 13%, respectively. It is comparable with the sensors’ accuracy of 10% at a
stable regime of loading and 20% in the transient periods of operation. The obtained results allow
planning of ventilation system capacity and power demand for the large fleet of vehicles in the deep
underground mines.

Keywords: NOx emission; LHD machines; deep underground mine; statistical model; ventilation; prediction

1. Introduction
One of the main tasks of an employer is to ensure safe working conditions for its em-
ployees regardless of the industry in which they work. According to [1], the underground
Citation: Banasiewicz, A.; Śliwiński, mining industry is at the forefront when it comes to unsafe conditions at workplaces.
P.; Krot, P.; Wodecki, J.; Zimroz, R. As mining depths continue to increase, and the mining fronts move away from the venti-
Prediction of NOx Emission Based on lation shafts, gas hazards are increasing. This article will analyze the danger of nitrogen
Data of LHD On-Board Monitoring
oxides (NOx). Sources of NOx emissions into the mine atmosphere can be divided into nat-
System in a Deep Underground Mine.
ural and technological. It is assumed that diesel mining machinery has the greatest impact
Energies 2023, 16, 2149. https://
on air pollution. It is important to properly control gas concentrations in mine workings.
[Link]/10.3390/en16052149
Unfortunately, not all mining machines have NOx measurement sensors installed—making
Academic Editors: Sergey Zhironkin it difficult to control the concentrations of these gases in workings. Rapidly changing
and Dawid Szurgacz standards for reducing gas concentration limits at workplaces are forcing the use of new
methods in assessing workers’ exposure to harmful gases. Not only is the lack of machine-
Received: 20 January 2023
Revised: 14 February 2023
mounted sensors a major problem in assessing the work environment, but also the problem
Accepted: 21 February 2023
of variable selection or data recording errors.
Published: 23 February 2023
Monitoring, analyzing, and now also predicting parameters to ensure safe and trouble-
free continuous operation of underground crews has been carried out for years [2–5]. Due to
the difficult working conditions and unreliability of electronic equipment in underground
conditions, the use of prediction sometimes turns out to be the only option for assessing
Copyright: © 2023 by the authors. the state of the environment or the condition of the equipment/vehicle.
Licensee MDPI, Basel, Switzerland. The article uses measurement data from the SYNAPSA system, which data is obtained
This article is an open access article from the monitoring system mounted on an LHD. Authors selected from the full list of
distributed under the terms and parameters those ones, which affect the value of NOx concentrations. Based on them,
conditions of the Creative Commons a model for the prediction of the value of these concentrations was created. To ensure safe
Attribution (CC BY) license (https:// working conditions for underground crews, it is important to know the values of emissions
[Link]/licenses/by/
of harmful compounds from mining machinery. The created prediction model can be used
4.0/).

63
Energies 2023, 16, 2149

to estimate the values that are generated by mining machines that do not have a nitrogen
oxide sensor installed.
Nitrogen oxides are currently a critical problem. Their negative impact on human
health results in continuous changes and lowering of nitrogen oxide concentration limits
in the working environment of underground crews. The solution presented in the article
will help improve working conditions. In further research, the proposed statistical models
can provide valuable assistance in determining further parameters that can affect NOx
from vehicle emissions, like measurements of other important engine variables such as
cylinder pressure. In addition, statistical modeling can be very useful for predicting
emissions under transient conditions of engine operation, where physical models still need
significant improvement.
The main difference is that we used a new multi-polynomial statistical model to
predict the NOx emissions and verified it by the unique data of LHD working in the
underground mine with harsh environmental conditions. The majority of previous studies
were conducted either for different types of diesel vehicles on-surface or in-lab conditions.
The obtained accuracy of NOx emission prediction allows applying the developed model
for practical needs.

Problem Formulation
Following the own observations of the ventilation systems in the deep underground
mines and taking into account the capabilities of onboard monitoring systems in Load-
Haul-Dump (LHD) vehicles, the following problems can be distinguished:
• Although all manufacturers of diesel engines for heavy-duty vehicles include the
exhaust gas aftertreatment systems, NOx sensors are not present in the LHD machines
working in deep underground mines.
• To solve the urgent issues of ventilation, especially in the deep underground mines,
and provide safe working conditions, the engineering and management staff would
like to know immediately the NOx emissions from every vehicle working in different
geological conditions. This is practically more efficient to realize by the on-board
monitoring systems instead of permanent numerous sensors installation in the mines
with constantly changing the configuration of tunnels. However, all recorded data,
including signals from onboard NOx sensors, are uploaded to the server via wireless
connections only once per working shift (about 6 h). Therefore, mathematical models
and software tools are required for the post-processing of big data sets offline.
• Since the onboard monitoring system can record a huge number of working param-
eters, the problem arises of their optimal selection from the whole set. Moreover,
due to different reasons, data are not always correctly stored (NaN values, missed
data, etc.); therefore, data pre-processing and cleaning procedures are required for
correct calculations.
• While designing a NOx prediction model, the problem exists of the balance between fit
quality and overfitting related to smoothing of initial data (already after pre-processing
and invalid data cleaning). Also, having an even enough accurate model tested over
certain working conditions and machine technical state, its robustness should be
provided for other working locations, operators’ experience, and critical elements
deterioration (engine, turbine, exhaust system, tires).

2. State of the Art

The safety of a worker while at work these days should be the most important cri-
terion for an employer. However, there are industries where the health and safety of
workers are at risk more than others. One such process is raw materials mining - mainly
in underground mines. The ever-increasing demand for mineral resources results in the
exploitation of deposits from ever deeper. The great depth of mining (up to 1000–1500 m)
is associated with an increase in the exposure of workers to natural hazards prevailing
underground [6–8]. The most dangerous at present is the climatic hazard associated with

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Energies 2023, 16, 2149

the constantly increasing primary temperature of the rocks, which in Polish copper ore
mines is almost 50 °C [9]. Another critical problem is the gas hazard. As the mining
depth increases and the mining fronts move away from the ventilation shafts, the rate of
rarefying of harmful gases and ventilation of the workings decreases. According to Stru-
minski [10] and Szlazak [11], the most harmful gases are carbon monoxide (CO), hydrogen
sulfide (H2 S), methane (CH4 ), and nitrogen oxides (NOx). In the recent studies of Yin and
Linga [12], it has been proposed to use hydrogen or natural gas hydrate as a source of
primary fuel to eliminate NOx and SOx.
As reported by Shaw et al. [13], NOx is understood as the sum of nitrogen oxide (NO)
and nitrogen dioxide (NO2 ) compounds. In underground mines, NOx gas hazards can have
a natural or technological source. Natural sources include the oxidation of nitrogen from
the atmosphere or the natural outflow of nitrogen oxides from the rock mass. The most
significant, however, are nitrogen oxides that are generated by technological processes—
these include nitrogen oxides that originate in the blasting process, those from welding
processes, and, above all, those from diesel engines [14–16].
According to Kampa [17], nitrogen oxides are gases that are harmful to a living
organism. Both NO and NO2 are odorless gases. Nitrogen oxide is additionally a colorless
gas, while nitrogen dioxide in higher concentrations can take on a brown color [18–20].
According to Galbreath et al. [21], in the exhaust of a diesel engine, the percentage of
nitrogen oxides is about 90% NO and about 10% NO2 . As reported by Hori et al. in [22], it
is nitrogen dioxide that is more toxic. NO2 causes respiratory problems as low as 1.5 ppm,
while at 5 ppm, it causes a drop in blood pressure. Death occurs at concentrations near
200 ppm of NO2 [23].
Given the chemical and physical properties of nitrogen oxides and how they affect the
human body working in the underground mine, continuous monitoring of the values of
these concentrations is being introduced. Measurements are made of the values of NOx
concentrations in the mine atmosphere and at the exhaust of the internal combustion engine.
The limit values in the exhaust gases are 500 ppm for NO2 and 750 ppm for NO.
Due to the harmfulness of the compounds in the exhaust, numerous studies are being
conducted on predicting the emissions of harmful compounds, including nitrogen oxides,
into the atmosphere from diesel vehicles [24–26].
This article represents the research results related to NOx emission from load-haul-
dump (LHD) vehicles driven by diesel engines.
The articulated load-haul-dump (LHD) machine (LKP-1701), which was under in-
vestigation (see Figure 1), is designed for underground application in a confined space of
low transportation tunnels. The main parameters of its diesel engine (DEUTZ TCD 12.0
V6) are given in Table 1. These LHDs are equipped with an onboard system for machine
working parameters monitoring via CAN bus. The exhaust gas NOx concentration signal
from the sensor is stored in the database among other signals of the diesel engine and
operator actions (gear selection, torque converter locking, acceleration, and braking). This
type of machine is characterized by the continuous reverse motion for blasted bulk material
(copper ore) taking and haul truck loading. Due to that, diesel engine exhibits excessive
exhaust gas emissions. The most intensive mode of engine loading determined based on
working cycles analysis [27] and dynamical model [28] is the bucket digging in the hill.
To reduce the harmful gas emission due to lower combustion temperature, the diesel
engine is equipped with the exhaust aftertreatment (EAT) or exhaust gas recirculating
(EGR) systems. The exhaust gas is typically routed through a Diesel Oxidation Catalyst
(DOC) where a chemical reaction is induced to convert hydrocarbons, NOx, and other
pollutants of diesel exhaust to less harmful compounds like carbon dioxide. The remaining
particles (soot) are reduced by the Diesel Particulate Filter (DPF).

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Energies 2023, 16, 2149

Figure 1. The LHD vehicle under investigation: LKP-1701 (KGHM ZANAM) with a powerful diesel
engine for the underground mines [29].

Table 1. Parameters of DEUTZ TCD 12.0 V6 diesel engine [30].

Parameter Value Units

Power output as per ISO 14396 390 kW
at speed 2100 rpm
Max. torque 2130 Nm
at speed 1400 rpm
Min. idling speed 600 rpm
Max. nominal speed 1800–2100 rpm

CanmetMINING Diesel Research Laboratory (Canada) conducted a progressive load

test (PLT) and vehicle transient test (VTT) to estimate the contribution in NOx emission of
Diesel Oxidation Catalysts (DOC) [31]. The VTT simulated operation of a load-haul-dump
(LHD) vehicle’s working cycle. Three groups of DOCs are tested: (1) platinum; (2) base
metal/palladium; and (3) the “advanced” group. All groups showed a good reduction of
carbon monoxide (CO) and total hydrocarbon emissions. However, the change in NO2
(g/kWh) emissions varied from an increase of 446% to a reduction of 47% for groups 1 and
2 while group 3 showed NOx reduction in any mode of operation.
Those systems provide Tier 4 Interim (Stage IIIB) emissions in accordance with EU
regulations. For this class of engine power (up to 560 kW), the allowed maximum amount of
nitrogen oxides (NOx) is 3.3 g/kWh; non-methane hydrocarbons (NMHC) —0.19 g/kWh;
particulate matter (PM) 0.025 g/kWh. In other types of vehicles and EU regulations, these
emission parameters are given per kilometer regardless of engine power. Although ad-
vanced technologies for emissions reduction are proposed and applied in civil cars [32],
e.g., Lean NOx Trap (LNT), Selective Catalytic Reduction (SCR), they have not been yet
widely implemented in underground mining vehicles. Moreover, the Common Rail Direct
Injection (CRDI) system stabilizes the output power and reduces the fuel consumption of
the turbocharged diesel engine under transient modes of loading and speed.
The important role in exhaust gas emission is the setting made by the machine pro-
ducer in the Electronic Control Unit (ECU), which controls the whole process of machine
operation. Depending on certain operator experience, the machine can be operated at
different engine rotations and motion speeds. The real power and torque characteristics
are given in Figure 2. For this engine, the maximum torque is provided at about 1400 rpm.
Although the operators intuitively try to work around this point by gear selection and accel-
eration regulation; it could not be the optimum by the minimum of exhaust gas emission.
As mentioned earlier, nitrogen oxides from combustion engines are the largest con-
tributor to pollution of the mine atmosphere. Therefore, it is important for the safety of
the underground crew to monitor them constantly. Since not all machines are equipped
with appropriate sensors, this problem can be solved by modeling. Once the factors and
their influence on the increase in the value of NOx concentrations on the engine exhaust
have been determined, it is possible to determine the top-down operating parameters of
the machine, which the machine operator can control independently, e.g., machine speed,
and engine rotation.

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Energies 2023, 16, 2149

Figure 2. The characteristics of the output power and torque by the rotation speed for DEUTZ TCD
12.0 V6 diesel engine [30].

In the area of exhaust gas emission prediction, there are several approaches to get a
relation based both on physical and empirical models [33,34]. The limitations of physical
models are, in fact, that they require some not measured parameters, e.g., in-cylinder burned
gas temperature, the ambient gas-to-fuel ratio, the mass of injected fuel, etc. [35]. Engine
emissions due to components’ aging, parameters drift, and tolerances violation pose serious
problems in meeting emission regulations. To meet practical demand, some authors [36]
proposed an optimal linear output feedback controller and a set-point adaption loop on the
exhaust gas recirculating rate. Low accuracy restricts the application of physical models in
practice. Therefore, in the paper [37], the authors used a statistical approach and correlation
analysis to study the main influencing factors of engine torque and NOx emission. They
obtained accurate regression models and discovered that ambient temperature in the
range 5–30 ◦ C has a great influence both on torque and NOx prediction. The experimental
research of intake air humidity influence on the emissions of a turbocharged diesel engine
has been conducted in [38]. The relative air humidity was varied from 31 to 80% at a fixed
ambient air temperature of 26 ◦ C. The results of tests under three levels of load and rotation
speed showed that increasing the intake of air moisture causes less by 3–14% of the NOx
emissions. However, since the ambient temperature and humidity in certain underground
mines do not variate significantly (+35 ◦ C and 60%), these factors can be neglected in the
prediction model.
In general, ANN-based engine models offer a multi-dimensional, adaptive, and learn-
ing tool, which does not require knowledge of the governing equations for engine combus-
tion kinetics for emissions prediction [39]. However, this approach requires model training
and is difficult to implement in the vehicle onboard monitoring systems due to restricted
computing resources. For earth-moving operations with wheel loaders, authors in [40]
analyzed energy use and emissions (CO2 , CO, NOx, CH4, VOC, PM) based on the crite-
rion of the fuel consumption per cubic meter of hauled material. Using Artificial Neural
Networks (ANN) and discrete event simulations, they showed that the fuel consumption
and emissions of wheel loaders are mostly dependent on engine load, utilization rate (idle
time), and bucket payload.
In the paper [41], three nonlinear models were evaluated: ANN, the split and fit
algorithm, and a polynomial NARX model with linear parameters. In the transient mode of
the automotive diesel engine, each algorithm showed good prediction accuracy and a short

67
Energies 2023, 16, 2149

time (0.3 ms) of calculation. By the training time, the split and fit algorithm was the quickest
(50 s). The authors concluded that such models are much more accurate than the frequently
used engine map and the linear fit models, moreover, in the transient mode. Authors
in [42] developed fast one-dimensional models for NOx emission prediction based on the
Extended Zeldovich mechanism and different calibration multiplier maps. It is shown that
turbine inlet temperature, in-cylinder maximum temperature, maximum pressure, load,
CA50 (Crank Angle position where 50% of the heat is released), exhaust gas recirculating
rate, and fuel-air ratio are the most critical map parameters for accurate NOx prediction.
The problem of input parameter selection for the AI-based NOx emission prediction models
is considered in [43]. The gradient boosting regression (GBR) model was used to train
based on 10 input features. The coefficient of determination (R2 ) values is within 0.88–0.99
for different driving routes. The most important features for the NOx prediction are mass
air flow rate (g/s), exhaust flow rate (m3 /min), and CO2 (ppm).

3. Measurement Method
The NOx sensor is permanently installed on the underground articulated LHD vehicle
with the diesel engine DEUTZ TCD 12.0 V6 (see Figure 3). This is a 6-cylinder in-line engine
with a charge air cooling and exhaust turbocharger. The engine manufacturer declares a
lifespan of about 1 million km. By official information, the engine copes well with sharply
increasing loads providing 90% of the maximum torque already at 1300 rpm. Additional
parameters of the engine are given in Table 2. Best point consumption refers to diesel with
a density of 0.835 kg/dm3 at 15 ◦ C.

Figure 3. The diesel engine DEUTZ TCD 12.0 V6 installed on the LHD-1701 vehicle and its SCR
system [30]: 1—Engine control module; 2—AdBlue® pipe; 3—AdBlue® pump; 4—AdBlue® tank;
5—Solenoid valve; 6—Coolant line for preheating the AdBlue® tank; 7—Exhaust gas temperature
sensor; 8—Coolant line for cooling the proportioner; 9—Dispenser; 10—SCR catalytic converter;
11—NOx sensor.

Table 2. Additional parameters of DEUTZ TCD 12.0 V6 diesel engine [30].

Parameter Value Units

Number of cylinders 6
Piston stroke 145 mm
Cylinder bore 132 mm
Displacement 11.900 cc
Specific fuel consumption 194 g/kWh
Euro standards Euro 5

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Energies 2023, 16, 2149

The typical parameters of the NOx sensor are given in Table 3. The current regulation
implies the minimum NOx mass measurement accuracy requirements of either ±20%
or ±0.1 g/bhp-h [44]. However, the majority of NOx sensors are not able to meet these
demands under transient loading due to different factors of noise like NOx sensor tolerance,
exhaust flow rate, cross-sensitivity to ammonia (NH3), mass airflow (MAF), and sensor
position. The noise of many sensors is about 10 ppm at a zero NOx concentration, which
can be caused by residual NOx in the exhaust system. While at 100 ppm NOx concentration,
the accuracy is approximate ±10% and achieves a better than ±10% accuracy at NOx values
of 500 ppm or higher [45].

Table 3. Parameters of NOx sensor.

Parameter Value Units

Measuring range (NOx) 0–1500 ppm
Accuracy ±10 (20) %
Operating temperature −40–105 ◦C
Exhaust gas temperature <800 ◦C

In the data given for analysis taken from the onboard monitoring system, any of
the above-mentioned combustion process model parameters were not available. Instead,
the list of parameters stored on the server of the mining enterprise is given in Table 4.

Table 4. Parameters of the monitoring system taken for analysis.

Nr Parameter Description Units

ENGNOX NOx Emissions ppm
1 ENGCOOLT Coolant temperature ◦C
2 ENGOILT Oil Temperature kPa
3 ENGRPM Engine rotations rpm
4 ENGTPS Engine acceleration %
5 FUELUS Fuel consumption L/h
6 GROILP Gear oil pressure kPa
7 GROILT Gear oil temperature C
8 HYDOILP Hydraulic oil pressure MPa
9 INTAKEP Intake air pressure kPa
10 INTAKET Intake air temperature ◦C
11 SPEED Machine speed km/h

The sampling frequency of all parameters is 1 s except for INTAKEP, with 5 s. Results
of preliminary data analysis of are represented in Figures 4 and 5. On the first graph, several
cycles are shown of LHD loading and unloading, each lasting about 4 min (240–250 s).
In every cycle, the largest oscillating values of NOx are observed at the beginning and
during the completion of the cycle. On the other graphs, for the different engine parameters,
the first cycle is shown along with moving average (10 points) curves. The most correlated
with a NOx parameter is intake pressure (INTAKEP), although it has the longest sampling
period (5 s). The other parameters, namely, rotation speed (ENGRPM). fuel use (FUELUSE)
and engine acceleration (ENGTPS) are less statistically related to emission (ENGNOX) due
to larger short-time deviations. The smoothed curves have fewer deviations and follow
the ENGNOX curve more clearly. The other parameters from Table 4 react more slowly to
NOx changes. The highest accuracy of the second-order polynomial regression function
(R2 = 0.5216 for INTAKEP) is enough low. Other types of regression functions with a single
input parameter do not increase fitting accuracy. Hence, further improvement of prediction
methodology is needed based on multivariate regression models.

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Energies 2023, 16, 2149

Figure 4. Relation of NOx emission (ENGNOX) with engine rotation speed (ENGRPM) over several
working cycles with corresponding second-order polynomial regression.

Figure 5. Relations of NOx emission (ENGNOX) with engine rotation speed (ENGRPM); engine
intake pressure (INTAKEP); fuel use (FUELUS); and engine acceleration (ENGTPS) with the corre-
sponding second-order polynomial regressions.

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Energies 2023, 16, 2149

Variables for multivariate analysis were selected based on their impact on the fit of the
predictive model to real data. The indicator referred to by the authors was primarily the
coefficient of determination R2 . Additionally, information value and weight of evidence
analysis have been conducted, and the results are consistent with the R2 assessment.

4. Methodology
After the input variables selection, the algorithm of data processing assumed in this
paper consists of the following steps:
1. Selection of recorded data segment not less than 10–20 working cycles.
2. Data is split into 90% training part and 10% test part.
3. A model is selected for the training data set (polynomial).
4. Model is tested on the test data.
5. From the original data and model output, R2 and RMSE statistics are calculated, which
allows evaluation of the prediction quality.
6. Moreover, the RMSE is calculated normalized to the segment length to be able to
calculate the learning and test parts and compare them correctly.
7. The above steps have been done for two different model orders: 3 and 4, to see
which model is good enough on the learning part, but not too good that there is no
over-fitting on the test part, as seen in the higher order predictions.
8. The above-mentioned steps are fulfilled for two scenarios: first, for all 11 variables
that are initially selected, and then for those 10 variables, for which the predicted and
initial data are correlated most strongly.

4.1. Model Estimation

Multivariate polynomial (sometimes called “multinomial”) fitting procedure solves
for the coefficients of a polynomial regression model using traditional linear least squares
technique [46]. It is implemented using QR factorization with pivoting to solve the system.
This is more stable than the simple, unpivoted QR. We have also used automatic variable
scaling to deal with a simple cause of ill-conditioning.
Once the model has been specified, the estimation procedure itself is rather simple.
The problem becomes that of estimation of the vector x, given the linear system of equations:

A∗x = y (1)
For this estimation to have a unique solution, matrix A should be both non-singular
and have more rows than columns. Problems with fewer rows than columns are called
under-determined, and in such cases, it is strongly recommended to either obtain more
data or reduce the order of the model. Assuming matrix An× p with n > p, we can solve this
system via many different approaches, such as the pseudoinverse method, least-squares
method, normal equations, i.e., x = ( A0 A) \ ( A0 y), QR or pivoted QR, just to name a
few. Of these methods, only those based on the QR factorization will also directly yield
estimated variances for the parameters. A pivoted QR is also reasonably efficient, as well
as numerically stable, which is why this approach has been chosen.

5. Data Analysis
For testing the methodology, the authors used data describing a single work shift in
the mine. In the first step, a subset of usable variables have been selected from all of the
channels since most of them contained only (or almost only) empty values. Out of those,
the authors selected the ones that presented any meaningful behavior at all. For example,
the variable describing if the engine is on or off is not helpful, since it is on during the
entire shift. At this point, 11 variables remained, and those were used for the analysis (see
Table 4). Raw signals of the selected variables are presented in Figure 6.

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Energies 2023, 16, 2149

Figure 6. Full set of input variables.

The remaining data set has been divided into the training set and a testing set with
a proportion of 90–10%, respectively. The input variables of the training set are then
provided to the multivariate polynomial fitting procedure (see Section 4.1). When the
models are fitted, they are evaluated in the testing segment. Models of orders 3 and 4 were
tested. Those orders were chosen because orders lower than 3 presented poor quality of fit,
and orders higher than 4 experienced too strong over-fitting errors. The results of fitting
the models can be observed in Figure 7. RMSE values are summarised in Table 5.

Table 5. RMSE values for the different input variables taken in the model.

10 Variables 11 Variables
Model of order 3 23.231 21.179
Model of order 4 17.342 14.131

Additionally, Table 6 presents the normalized RMSE (NRMSE) values for both orders
with the distinction of training and testing segments. It is obtained by calculating the
ordinary RMSE value and then dividing it by the number of samples in each respective
segment. This way, the values can be compared. It is clearly visible that with higher order,
the quality of fitting the model to the training segment increases, but it also causes increasing
over-fitting problems in the testing segment. Moreover, the error value is always lower for
the training segment in comparison to the testing segment, which is understandable.

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Energies 2023, 16, 2149

Figure 7. Orders 3 and 4, all 11 variables.

Table 6. NRMSE errors for respective model orders and 11 variables.

Training Segment Testing Segment

Model of order 3 0.0024 0.0342
Model of order 4 0.0016 0.0478

After that, the authors measured the cross-correlation between the obtained mod-
els and the individual input variables. One variable with the lowest correlation factor
(ENGCOOLT—temperature of engine coolant) has been removed from the set of input
variables. A reduced set of 10 input variables was used again to fit the models. The results
are presented in Figure 8. Similarly, Table 7 presents the NRMSE values. In this case, one
can also observe the effect where with increasing model order, the fit quality increases but
also over-fitting values increase the error on the testing set.

Figure 8. Orders 3 and 4, selected 10 variables.

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Energies 2023, 16, 2149

Table 7. NRMSE errors for respective model orders and 10 variables.

Training Segment Testing Segment

Model of order 3 0.0026 0.0337
Model of order 4 0.0019 0.0362

It is also interesting to compare NRMSE tables. For 11 variables, errors for training
segments are lower than for 10 variables. There is more input data to work on, so the
fit is better. However, for 11 variables, errors for testing segments are higher than for 10
variables, because the over-fitting is more significant, and models with 10 input variables
have better generalizing quality.
One can observe that NRMSE values for the training segment are lower for a full
set of variables than for the reduced set. It comes from the fact that the model has more
information to learn on. Similarly, NRMSE values are higher for a full set of variables than
for the reduced set, because the model fitted on the full set is more specialized and has worse
generalization properties, hence it tends to display over-fitting problems. The correlation
of predicted and original data on NOx emission is shown in Figures 9 and 10.

Figure 9. Correlation of predicted and original data for all 11 variables.

Figure 10. Correlation of predicted and original data for selected 10 variables.

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Energies 2023, 16, 2149

6. Discussion
The research presented in this paper allows putting forth several points for the discussion:
• The decision of the model order selection has to be balanced between the quality of fit
during the fitting phase and the amount of over-fitting exhibited while testing on a
new portion of data.
• It is important to select the meaningful input variables. The authors made an attempt
to use the full data set of 56 variables, no matter how irrelevant they were, because in
theory, it would maximize the information. In practice, the results were meaning-
less and unusable. Moreover, even if one thinks that they selected the meaningful
data set, it becomes visible that removing some variables can improve the general-
ization capability of the model, even if it slightly decreases the quality of fit on the
training segment.
• For a larger data set (in terms of time), it is not obvious if the modeling with the same
parameters will yield better or worse results. The authors attempted to use not one but
two shifts of time as a working data set. It turned out that for the second shift, some
other operator was driving the machine, and the data looked completely different.
One could say that more data did not provide more information, and with the same
parameters, the results were much worse.
• Some other parameters of LHD vehicle’s operation, which are not explicitly reflected
in the signals available via CAN bus, may have an influence on the NOx prediction,
such as road waviness and its watering. However, this factor is reflected in several
working parameters (FUELUS and partly ENGRPM). Temperature and humidity are
also among the factors influencing the fuel combustion process. However, they are
enough stable in a certain location of every underground mine and easily measured by
the simple, low-cost digital sensors, which signals can easily be added to the onboard
monitoring system.
• The achieved deviation of the values predicted by the model from the values measured
by the permanently installed sensor is less than 15%, which is comparable with the
accuracy of the NOx sensor itself (up to 20% under sharp loads application). Following
Figure 9, the certain role in accuracy level plays the outliers, which are also visible in
time series graphs as rare peaks during the transient periods of work. The duration of
these separate periods and in total is very short; hence, they can be rejected to increase
the accuracy of NOx prediction over the majority of remaining data samples.
• Subjectively, the authors assess that the result of the presented research was successful.
However, it is obvious that further research needs to be conducted to try different
modeling techniques. In this paper, the authors made the first attempt to solve the
problem of the lack of NOx sensors on a large scale using the simplest possible
technique, which is modeled using polynomial fitting. This way, it is possible to
provide a practical solution for NOx emission assessment for the industry using
simple software tools and not time-consuming procedures. The authors are well
aware that there are a lot of different techniques of mathematical modeling, and the
investigation of their potential for such use cases will be the subject of further work.

7. Conclusions
The conducted research resulted in the development of the statistical model for NOx
emission values prediction.
1. The model structure is optimized by order of polynomials and the number of in-
put parameters. During the research, it was decided to include 11 parameters mea-
sured with SYNAPSA systems (Table 4). In addition, models of orders 3 and 4 were
compared. The choice is explained in Section 5—Data Analysis. The best achieved
prediction accuracy by the 4th order polynomial model for 11 and 10 input variables
is about 8% and 13%, respectively. It is comparable with the sensors’ accuracy of 10%
at a stable regime of loading and 20% in the transient periods of operation.

75
Energies 2023, 16, 2149

2. The developed model can be considered as a “soft sensor” and used for NOx emis-
sions monitoring and prediction in heavy-duty LHD vehicles with diesel engines.
The solution presented in the article will contribute to a better understanding of the
working atmosphere of underground crews at workplaces near LHDs. Since most
machines are not equipped with sensors for measuring the concentrations of harmful
gases, the proposed statistical methods can help improve working conditions by
predicting the possible threat of atmospheric pollution by nitrogen oxides.
3. These data of predicted NOx emissions can be utilized as input information for
ventilation system power demand and capacity planning based on the production
plan, required fleet of vehicles, the length of the transportation routes, and under-
ground mining conditions. With the statistical method proposed in the article for
predicting the emission of NOx concentrations into the mine atmosphere, it will be
possible to optimize the ventilation system for underground workings. Knowing the
production plan and the demand for diesel-powered machinery will make it possible
to estimate the value of nitrogen oxide concentrations at the workplace. This will en-
able ventilation services to manoeuvre the ventilation system accordingly, for example,
by increasing the air volume flow to ventilate the workings faster.

Author Contributions: Conceptualization, A.B. and R.Z.; methodology, J.W.; software, J.W.; vali-
dation, P.Ś. and J.W.; formal analysis, P.K., P.Ś. and R.Z.; investigation, A.B.; resources, R.Z.; data
curation, P.Ś., P.K.; writing—original draft preparation, A.B., J.W., P.K. and R.Z.; writing—review and
editing, A.B. and P.K.; visualization, J.W.; supervision, R.Z.; project administration, A.B.; funding
acquisition, R.Z. All authors have read and agreed to the published version of the manuscript.
Funding: This research received no external funding.
Data Availability Statement: Data is unavailable due to privacy restrictions.
Acknowledgments: This work is supported by the European Institute of Innovation and Technology
(EIT), a body of the European Union, under the Horizon Europe, the EU Framework Programme for
Research and Innovation. EIT RawMaterials GmbH under Framework Partnership Agreement No.
21119 (VOT3D—Ventilation Optimizing Technology based on 3D-scanning).
Conflicts of Interest: The authors declare no conflict of interest.

Abbreviations
The following abbreviations are used in this manuscript:

LHD Load-haul-dumping vehicle

NOx Nitrogen Oxides
NMHC Non-Methane Hydro Carbons
SCR Selective Catalytic Reduction
LNT Lean NOx Trap
DOC Diesel Oxidation Catalysts
EAT Exhaust Aftertreatment
EGR Exhaust Gas Recirculating
DPF Diesel Particulate Filter
ECU Electronic Control Unit
CRDI Common Rail Direct Injection
PLT Progressive load test
VTT Vehicle transient test
PM Particulate matter
VOC Volatile organic compounds
ANN Artificial Neural Networks
MAF Mass airflow
RMSE Root mean square error
NRMSE Normalized Root Mean Square Error

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 energies
Article
Detection of Blockages of the Belt Conveyor Transfer Point
Using an RGB Camera and CNN Autoencoder
Piotr Bortnowski 1, * , Horst Gondek 2 , Robert Król 1 , Daniela Marasova 3 and Maksymilian Ozdoba 1

1 Department of Mining, Faculty of Geoengineering, Mining and Geology, Wrocław University of Science and
Technology, Na Grobli 15, 50-421 Wrocław, Poland
2 VSB—Department of Machine and Industrial Design, Technical University of Ostrava, 17 Listopadu 2172/15,
708 00 Ostrava, Czech Republic
3 Institute of Logistics and Transport, Faculty BERG, Technical University of Košice, Park Komenského 14,
043 84 Košice, Slovakia
* Correspondence: [Link]@[Link]

Abstract: In the material transfer area, the belt is exposed to considerable damage, the energy of
falling material is lost, and there is significant dust and noise. One of the most common causes
of failure is transfer chute blockage, when the flow of material in the free fall or loading zone is
disturbed by oversized rock parts or other objects, e.g., rock bolts. The failure of a single transfer
point may cause the entire transport route to be excluded from work and associated with costly
breakdowns. For this reason, those places require continuous monitoring and special surveillance
measures. The number of methods for monitoring this type of blockage is limited. The article presents
the research results on the possibility of visual monitoring of the transfer operating status on an
object in an underground copper ore mine. A standard industrial RGB camera was used to obtain the
video material from the transfer point area, and the recorded frames were processed by a detection
algorithm based on a neural network. The CNN autoencoder was taught to reconstruct the image of
regular transfer operating conditions. A data set with the recorded transfer blockage state was used
for validation.

Keywords: belt conveyor; transfer point; chute monitoring; anomaly detection; image processing;
Citation: Bortnowski, P.; Gondek, H.;
blockages state
Król, R.; Marasova, D.; Ozdoba, M.
Detection of Blockages of the Belt
Conveyor Transfer Point Using an
RGB Camera and CNN Autoencoder. 1. Introduction
Energies 2023, 16, 1666. https:// A belt conveyor allows bulk materials to be moved over long distances [1,2] while
[Link]/10.3390/en16041666 providing optimal electricity consumption [3,4] and reliability [5] indicators. For this reason,
Academic Editor: Duarte Valério belt conveyors are one of the most popular means of transport in industry and mining [6].
The length of the belt conveyor route is limited by the permissible belt stresses in the upper
Received: 14 January 2023 belt [7], resulting from the resistance to movement along the length of the route [8]. As
Revised: 3 February 2023
a standard, it is assumed that the operating stresses should be 10% of the nominal belt
Accepted: 5 February 2023
strength [9]. Intermediate drives are a solution that extends the length of the route [10], but
Published: 7 February 2023
their use is not always possible or cost effective [11]. In such cases, it is necessary to use
parallel transfer chutes, which allows the material to be reloaded from the feed conveyor to
the receiving conveyor in the transport line [12]. In a situation where it is required to feed
Copyright: © 2023 by the authors.
the material to the conveyor at a significant angle and change the flow direction, angular
Licensee MDPI, Basel, Switzerland. chutes are used [13].
This article is an open access article Transfer chutes are crucial infrastructure elements that connect conveyors that are part
distributed under the terms and of complex transport systems [14]. Proper operation of transfers determines the continuity
conditions of the Creative Commons of production. Blockage causes production shutdown and, consequently, losses related
Attribution (CC BY) license (https:// to downtime and removal of failures [15]. In addition, at the transfer points, there are
[Link]/licenses/by/ significant energy losses [16] associated with additional resistance to accelerating the loaded
4.0/). material to the speed of the receiving belt [17] and friction against skirt boards [18]. The

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appropriate shape of the transfer chute structure allows for feeding the material steadily
and at the right speed tangential to the receiving belt. Thanks to this, the resistance to
movement is reduced, as well as the wear of the belt. Statistical studies and a review
of available failure analyses show that transfer points are where the conveyor belt most
often fails [19]. Due to the described issues, transfer chute projects are subject to increased
supervision compared to other route elements. The design of modern transfer points
is supported by numerical methods [20,21], thanks to which it is possible to optimize
new [22] and already working structures [23,24]. There is also considerable dust [25,26]
and noise [27] at the transfer points.
A well-designed transfer chute increases production capacity by controlling dust
and noise [28], reducing belt wear [28] and mistracking [29], and eliminating potential
blockages of the loading zone [30]. Blockages occurring is one of the most dangerous
failures of chutes, the conveyor belt may be completely cut or broken, and significant
damage to the steel structure of the route may occur [30,31]. Blockages are caused by the
appearance of oversized or foreign bodies in the transported material or the feeding of
too much material that the conveyor cannot receive [32]. At the moment of blockage, the
loading space is gradually filled until it is filled. In this case, the receiving conveyor stops
due to a significant increase in resistance or damage or a breakng of the blocked belt [33].
Most standard monitoring methods and non-contact blockage detection are adapted
only to chutes with a gutter in the free fall zone and loading zone [34]. The most basic
solution is proximity sensors, emitting a beam in the infrared band [35]. Information on the
status of regular operation and blockage is sent with the detected movement of material.
RF sensors are less and less used due to numerous operation problems in conditions of
extreme dust and vibration, which generate false failure states. Over time, radiometric
detectors have replaced RF sensors, which are considered one of the most effective so-
lutions [36]. However, the sensor’s construction requires using radioactive isotopes to
detect the presence of a blockage in the hopper. The radiation source must be shielded
and placed in the direction of the material flow in a chute, and the detected radiation
level on the opposite side allows for blockage state determination [37]. The measurement
method’s most significant disadvantage is the cost, safety, and environmental impact. The
use of radiometric sensors requires increased supervision of external services that allow the
device to work and numerous training of service employees. The most popular solution is
microwave sensors, consisting of a low-power microwave emitter and a receiver [38]. This
device is relatively cheap compared to radiometric detectors, does not require additional
training and safety regulations, and is not sensitive to vibration and dust. Among the
contact methods, the most popular are limit switches signaling the status of the chute
blockage at the moment of contact with the material at a safety level.
Many transfer points are structures without a chute in the zone of free fall of material;
therefore, the measurement methods mentioned in the previous paragraph cannot be
used. The article presents the research results on monitoring the transfer operation in an
underground copper ore mine using images from an industrial RGB camera. The anomaly
detection was based on the CNN autoencoder, which was taught the parameters of regular
transfer operation. The detection effectiveness was validated based on collected data
frames illustrating the actual lock states. The results of the neural network operation were
illustrated based on the network learning loss function, the algorithm’s effectiveness, and
the error matrix was determined. Anomalous operating states were visualized using color
maps superimposed on the anomalous test dataset.

2. Related Works
Vision methods in industry and mining are widely used in production quality supervi-
sion [39,40] and condition monitoring [41,42]. One of the most developed areas is detecting
damage to idlers [43], pulleys, and conveyor belt drives based on anomalies in the image
of the thermal imaging camera [44,45]. Increasingly, monitoring using thermal imaging
methods is carried out using robots [46,47] and automated diagnostic platforms [48]. The

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thermal image can also be used to identify people [49]. The RGB image is also used for
diagnostic purposes to determine rollers’ anomalous operating states [50] and estimate the
rotational speed [51]. In the case of conveyor belts, vision algorithms are used to detect
surface damage [52–54]. Industrial cameras are used to detect the type of machines and
vehicles [55] and to monitor the state of their operation. It is also possible to forecast per-
formance and plan production in real-time based on parameters read from the image [56].
Another area of application is assessing grain size composition [57] based on images from
drones [58], industrial cameras on conveyors [59], or cyclic transport vehicles [60]. Cameras
installed on machines are used to monitor the wear status of components [61–63]. The issue
most similar to the subject discussed in the article is the monitoring of crusher blockages
based on the image from the chute [64,65]. Monitoring based on CNN is very often used
to evaluate images when supervising production quality [66], monitoring the condition
of structures [67], medicine [68] or nanotechnologies [69]. Many of the presented works
are limited only to laboratory conditions. This article focuses on the practical use of in-
dustrial cameras and artificial intelligence in image processing to detect blockages under
operating conditions.

3. Materials and Methods

3.1. Research Object
The research was carried out on a perpendicular, angular transfer (approx. 90◦ ) in an
underground copper ore mine (Figure 1). The nominal capacity of the feeding conveyor is
600 t/h, while the capacity of the receiving conveyor is 1700 t/h. The increased efficiency
of the receiving conveyor is because several transfer chutes are located along its route. The
receiving conveyor collects material from three feeding conveyors from several branches in
the mine. The analyzed transfer is the first construction along the route of the receiving
conveyor. The belt speed of the conveyor is 2 m/s, and the speed of the receiving conveyor
is 2.7 m/s. The density of the transported material is approx. 1.7 t/m3 .
The transfer is a Rock-Box construction, where the material going into the box loses
its kinetic energy and then slides onto the conveyor belt. At the moment of contact of the
material with the belt, its acceleration occurs. The zone where the material is accelerated
has been built with skirt boards, preventing material spillage and guiding material in the
acceleration zone.

Figure 1. Research object—perpendicular, angular transfer point in an underground copper ore mine.

The selected transfer station is a construction with a tendency to blockades. Trans-

ported material moves the phase of preliminary grinding and separation on the grate [70],
but this stage does not allow for maintaining a balanced grain size distribution of the ore
stream. For this reason, many elongated lumps of rock in the material can cause blockage
of the transfer point. In addition, there are often wastes in the stream that are the remnants
of exploitation, such as rock bolts. The object also has a disadvantage in its design, as the
falling stream of material hits the chute plate directly and does not slide freely down the
side chute plate onto the receiving conveyor belt in the loading zone.

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3.2. Measuring Equipment

Images were captured with an AXIS P1354-E standard industrial RGB camera (Figure 2).
The camera is a regular part of the mine monitoring infrastructure, used to monitor the
transfer space by the mine dispatcher. The article also tested the recorded image regarding
the possibility of automatic detection of transfer blockages and unwanted foreign bodies
in material drop and loading areas. The recorded images were in the mine’s internal
data acquisition system, while the processing was already performed in external software.
The Ethernet protocol carried out power, communication, and data transmission. The
camera was placed under the roof of the excavation at a distance of approx. 6 m from the
transfer point. The camera is resistant to dust, vibrations, and climatic conditions, which is
important due to the constantly deteriorating micro climate [71] and temperature above
30 ◦ C. For this reason, no additional cooling of the apparatus was required. The camera has
been able to record images with a frame rate of 10 FPS. The data rate was 13,197 kb/s. The
video image is distributed into data frames measuring 1920 × 1080 px, 96 dpi resolutions
in two directions, and 24 bits deep.

Figure 2. Measuring equipment—RGB camera to monitor the working conditions of the transfer point.

3.3. Methodology
Data acquisition was the first stage of the work. Data frames in video materials divided
over individual frames were collected for different periods of transfer chute operation so
that the training data set contained all the characteristic features of the regular operating
state. The training set consisted of 1078 photos. To validate the model, 205 images were
used, on which there were various types of blockages in the form of oversized lumps and
foreign bodies blocking the free flow of material. Figure 3 shows sample images later used
to create training and test collections.
The original images were processed in the second stage to isolate distinctive features
and reduce interference. Through subsequent trials with different image processing meth-
ods and subsequent iterations of algorithm learning, the best results were obtained by
degrading the complexity of the input images. The data frames were cropped and resized
to represent the area of free fall and loading of material onto the receiving conveyor. Fre-
quency domain filtering is used to reduce noise and image features while preserving all
edges of objects. Then, using threshold operators and morphology, the elements of the
transfer chute and the flowing material were separated from the background.
The last, third stage included neural network learning in order to obtain the best
results of the reconstruction of the input image. A previously trained convolutional neural
network VGG16 [72] was used, which was additionally modified for the purposes of the
article. The network consists of six blocks. Each block contained convolutional layers
and a pooling layer (MaxPooling). Some layers were preserved in a learned state, and
the remaining layers were trained. After the section of subsequent blocks, one more
layer of pooling (Global Average Pooling) was added. The last layer defined the class
of the object being analyzed. Multi-class classification was used for two predicted states
with Softmax activation. The autoencoder was validated against a test data set containing

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anomalous operating states. The loss of image reconstruction and the performance metrics of
the prediction model were determined. The results were visualized using modified code [73]
that allowed the density of outliers in images classified as abnormal to be determined using a
color scale. Figure 4 presents the algorithm of conduct and subsequent tasks discussed in the
article.

(a)
0

200

400

600

800

1000
0 250 500 750 1000 1250 1500 1750

(b)
0

200

400

600

800

1000
0 250 500 750 1000 1250 1500 1750

(c)
0

200

400

600

800

1000
0 250 500 750 1000 1250 1500 1750
Figure 3. Recorded original data frames: (a) normal operation of the transfer point—free flow of bulk
material; (b) normal operation of the transfer point—no flow; (c) anomalous operating state of the
transfer point—blockage.

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1. Data acquisition 2. Image processing 3. Network training

Learning and
Training data Cropping and
reconstruction of
acquisition resizing
training data

Testing data Validation on test

Smoothing
acquisition data

Thresholding Reconstruction error

Morphology Detection accuracy

Figure 4. Procedure algorithm.

3.4. Image Processing

3.4.1. Crop
In the first stage of processing, the recorded data frames were cut only to the area where
the transfer box was visible, and therefore the moment of free fall of the material and loading
on the receiving belt was analyzed. Images from the original size were cropped to 1000 × 1000
for network training, and the input image size was further reduced to 225 × 225 without
changing the aspect ratio. Figure 5 shows what an example image of regular (Figure 5a) and
failure working state (Figure 5b) looks like after cropping and resizing.

(a) (b)
0 0
25 25
50 50
75 75
100 100

125 125

150 150

175 175

200 200

0 50 100 150 200 0 50 100 150 200

Figure 5. Original images after cropping and resizing: (a) normal working condition; (b) blockage state.

3.4.2. Smoothing
The Gaussian averaging operator was chosen as the most optimal way to smooth the
image. Using Gaussian blur is the same as combining an image with Gauss. Thanks to

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this filter, it is possible to reduce components from high-frequency images (low-pass filter),
which allows limiting interferences recorded in underground camera conditions. It is a type
of image blur filter that uses the Gaussian function to determine the normal distribution in
statistical issues to calculate transformations for each pixel of the image being processed.
The Gaussian function g for a one-dimensional system with a coordinate x, controlled by
the variance of the σ2 , is [74]:
 
1 − x2
g( x, σ ) = √ e 2σ2 (1)
2πσ2
Image processing requires the use of the Gaussian function g for a two-dimensional
system with coordinates x, y, which is described by the equation:
 
x 2 + y2
1 − 2σ2
g( x, y, σ ) = e (2)
2πσ2
Equation (2) allows the calculation of the Gaussian template, which is then entangled
with the image. For processing, use a 7 × 7 template that reduces many image features.
Once entangled, each pixel has a new weighted average neighborhood value for that pixel.
The original pixel has the highest weight value, and the weight of adjacent pixels is based
on the distance from the original pixel. Thanks to this, the image obtains blurring and
reduces many components and distortions, while maintaining the most important feature,
which is the objects’ edges and boundaries [74]. Figure 6 shows the picture of regular
transfer operation and its spectrum before and after filtration.

(a) (b)
0 0
25 25
50 50
75 75
100 100
125 125
150 150
175 175
200 200

0 50 100 150 200 0 50 100 150 200

Figure 6. Cont.

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(c) (d)
0 0
25 25
50 50
75 75
100 100
125 125
150 150
175 175
200 200

0 50 100 150 200 0 50 100 150 200

Figure 6. Filtering with the use of Gaussian blur of the image of the normal operation of the transfer
point: (a) normal conditions; (b) normal conditions spectrum; (c) normal conditions filtered out;
(d) normal conditions filtered out spectrum.

3.4.3. Thresholding
In the next stage, to distinguish the characteristic features of the images, a threshold
was used, where the pixels above the designated level received white and below the black
color [74]. Thanks to this procedure, it is possible to separate the background elements of
the transfer from its construction and excavation, which isolates objects of interest from
the monitoring point of view. In this case, binary thresholding combined with the Otsu
method [75] and color inversion was used. The Otsu method allows the determination of
the optimal value of the threshold of pixel separation and separation of the object from
the background based on the difference in intensity. The research shows that the Otsu
method maximizes the probability that the threshold will be chosen to divide the image
between the object and its background [76–78]. This is achieved by selecting a threshold
that provides the best class separation for all pixels in the image. This method uses a
standardized histogram in which the number of each level point is divided by the total
number of image points. Therefore, this represents the probability distribution for intensity
levels as [74]:

N(l )
p(l ) = (3)
N2
The formula is used to calculate the cumulative moments of the zero and first-order
normalized histogram to the k-th level as:

k
ω (k) = ∑ p(l ) (4)
l =1

k
µ(k) = ∑ l · p(l ) (5)
l =1

The total average image level is:

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Nmat
µT = ∑ l · p(l ) (6)
l =1

The variance of class separation then has the form:

(µT · ω (k) − µ(k))2

σB2 (k) = ∀k ∈ 1, Nmax (7)
ω (k)(1 − ω (k ))
The optimal threshold is the level at which the variance of class separability is maxi-
mum. That is, the optimal threshold is one where the variance is:

 
σB2 Topt = max σB2 (k) (8)
1≤k < Nmax

The threshold results are shown in Figure 7 on the example of an image for a normal
operating state and blockage.

(a) (b)
0 0
25 25
50 50
75 75
100 100
125 125
150 150
175 175
200 200

0 50 100 150 200 0 50 100 150 200

Figure 7. Thresholding results: (a) normal condition; (b) blockage state.

3.4.4. Morphology
The operators used in mathematical morphology were developed based on set [79].
Thanks to them, we process images according to shape, treating both of these elements as
separate sets of points [80]. Local transformations defined that changing the value of the
pixels represented as sets. Changing pixel values is strictly formalized by a miss-and-hit
transformation. The object is represented as a X set and tested by a structural element
represented by the B set. The transformation is defined as the operator point [74]:
n o
X ⊗ B = x | Bx1 ⊂ X ∩ Bx2 ⊂ X c (9)

In Equation (9), x represents one pixel in the image, which is one element from the set
of X. X c is the complement of X, that is, the set of pixels of the image that are not in the set
X. Dement structuring B is represented by two parts B1 and B2 , which apply to the set of
X or its complement X c . The structural element is the shape, which is how mathematical
morphological operations process images according to the properties of the shape. An
operation B1 on a set of X is a hit transformation, and B2 on a X is a miss. The lower index

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indicates that the structuring element has moved to the position of the x element. The B
dement defines the window that is moved through the image [74]. In image processing, the
simplest forms of morphological operators, i.e., erosion and extension, were used. Erosion,
otherwise known as reduction, occurs when B1 is empty:
n o
X B = x | Bx1 ⊂ X (10)

In the erosion operator, the hit or miss transformation determines whether a pixel x
belongs to the set. It is possible when each point of the element B1 transferred to x is in the
set of X. Since all points in B1 must be in X, this operator removes pixels on the boundaries
of objects in the X set. Thus, it erodes or shrinks the collection. The operator was used to
remove noise from images after thresholding. The erosion operator sometimes causes the
loss of valuable edges, so the image has been corrected using dilation, otherwise known as
increase, which occurs when B2 is empty [74]:
n o
X ⊕ B = x | Bx2 ⊂ X c (11)

The results of image processing using morphological operators are shown in Figure 8.

(a) (b)
0 0
25 25
50 50
75 75
100 100
125 125
150 150
175 175
200 200

0 50 100 150 200 0 50 100 150 200

Figure 8. Morphology operators results: (a) normal condition; (b) blockage state.

3.5. CNN Autoencoder Structure

An autoencoder based on a convolutional neural network was used to detect anomalies
on subsequent frames from the video material. This algorithm was taught to reconstruct
the input data. Autoencoders are taught to encode data in an unsupervised manner, which
is important in the case of binary classification of anomalous events at the transfer point.
Preparing a dataset containing regular- and anomalous-state labels is difficult. Blockages
and other anomalous events are rare, so it is difficult to prepare a proper database. In
addition, anomalous events in the case of transfer are so diverse that detection and manual
labeling of all possible cases are practically impossible [81].
Autoencoders consist of three main parts. The first part, an encoder, compresses the
input into an encoded representation. The size of the encoded representation is usually
several times smaller than the size of the input data. The second part, called the bottleneck,
is the latent space where the encoded representation of the input in a compressed form is
stored. The last, third part, called the decoder, is used to reconstruct compressed data. The

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reconstruction data are then compared with the input data, and a reconstruction error is
determined [82]. Figure 9 shows a diagram of a typical autoencoder used to reconstruct an
input image.

Encoder f(x) Decoder g(xʹ)

Output image
Input image
Reconstruction

Latent vector

Compressed data

eq (x) d f (z)

Input data Output data

x xʹ

Figure 9. Autoencoder structure of a convolutional neural network.

Iterative neural network learning involves specifying a loss function that determines
the error of the decoder reconstruction relative to the input image. The autoencoder loss
function can be written as [83]:
2 2
Loss = x − dφ (z) = x − dφ (eθ ( x )) (12)
The proposed neural network model determines the probability of anomalies in the
studied image. For this reason, categorical cross-entropy was chosen as the parameter
characterizing the autoencoder loss function. The categorical cross-entropy function can
be used for two-class or multi-class classification. It allows for calculating the average
difference between the actual value and the predicted probability distributions for all classes
in the analyzed classification problem. In subsequent iterations, the result is minimized,
and the ideal cross-entropy value is 0 [84]. The equation can describe the cross-entropy for
a class problem:
N
Loss = − ∑ ti · log( pi ) (13)
i =1

where ti is the truth label and pi is the Softmax probability for each class i from the class
set N.

4. Results
Figure 10 shows how the autoencoder loss function changed during subsequent
iterations of neural network learning. For the first 10 iterations of the model for training
data, the cross-entropy value varies quite a lot from 0.58 to 0.01. After this learning stage,
the loss function’s course is smoothed and stabilized at an average level of 0.002. The loss
for validation data is less than 0.01 in a complete iterative cycle, and for the waveform
stabilization range, it is only 0.001 on average. The model was trained until the cross-
entropy value was approximately 0, which occurred in about 50 iterations.

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0.6
train
validation
0.5

0.4

Loss
0.3

0.2

0.1

0.0
0 10 20 30 40 50
Epochs

Figure 10. Autoencoder network learning loss—categorical crossentropy.

As an indicator of the quality of the prediction model, a parameter called accuracy

was chosen, which allows the determination of how often the predictions were equal to the
actual labels defining the class of the analyzed image. Figure 11 shows how the accuracy
value changed during subsequent iterations of model learning. As with the loss function,
the most significant changes were recorded in the first 10 iterations. After this stage, the
mileage for test and training data stabilized. For iterations, when the autoencoder loss
function was 0, the forecast accuracy was 1.

1.00

0.95

0.90
Accuracy

0.85

0.80

0.75
train
0.70 validation
0 10 20 30 40 50
Epochs

Figure 11. Autoencoder network training metric—accuracy.

The results of the prediction algorithm were visualized using a matrix of errors
(Figure 12). The error matrix is used for assessing the quality of binary classification, where
there were regular and anomalous transfer chute operation classes. Data labeled positive
and negative are classified as either a predicted positive class or a predicted negative class.
A given originally marked as positive may be mistakenly classified as negative. Due to the
effectiveness of network detection equal to unity, there are only two classes in the error
table: truly positive (TP) and truly negative (TN). The TP class accounted for 72.45% of the
forecasted data, while the TN 27.55%.
The prediction algorithm allows the determination of the location of anomalous pixels
on reconstructed images. Heatmaps were plotted based on their location and using the
function of detecting maximum values on forecasted images, where colors show the density
of outlier pixels. Figure 13 shows the detected anomaly caused by the blockage of an
oversized rock block in the zone of free fall of material. Figure 14 shows the detected
foreign body as a rock bolt stuck between the transfer box and the feed conveyor structure.
The last example (Figure 15) shows the detected complete blockage. Each of the presented
cases was positively classified as an anomaly, and the additional marking in the form of a

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field with a red border indicates only the area of the detected most significant number of
outlier pixels.

0.7

0.6

False
72.45% 0.00%
0.5
Actual Values

0.4

0.3

0.2
True

0.00% 27.55%
0.1

0.0
False True
Predicted Values

Figure 12. Confusion matrix.

(a) (b)
0 0
25 25
50 50
75 75
100 100
125 125
150 150
175 175
200 200

0 50 100 150 200 0 50 100 150 200

Figure 13. The result of the autoencoder network operation: (a) original image of blockage—oversized
rock; (b) location of the anomaly most clearly.

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(a) (b)
0 0
25 25
50 50
75 75
100 100
125 125
150 150
175 175
200 200

0 50 100 150 200 0 50 100 150 200

Figure 14. The result of the autoencoder network operation: (a) original image of blockage—foreign
body mining anchor; (b) location of the anomaly most clearly.

(a) (b)
0 0
25 25
50 50
75 75
100 100
125 125
150 150
175 175
200 200

0 50 100 150 200 0 50 100 150 200

Figure 15. The result of the autoencoder network operation: (a) original image of blockage—full
blockage; (b) location of the anomaly most clearly.

5. Conclusions
The article presents the possibility of detecting blockages of the conveyor transfer point
using the proposed detection algorithm. The best results were obtained by filtering the
images with a Gaussian filter and reducing complexity by thresholding and transforming
using morphology operators. By pointing out, the image examples used for validation
turned out to be a trivial problem for the trained autoencoder algorithm. The effectiveness
and loss of learning validation data were more beneficial than training data because the

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anomalous images contained typical examples of blockages and the presence of solids in
the zone of fall and loading of material. The real anomalous states vary widely, and it is
impossible to record them all for model validation. The algorithm managed to detect the
blockage of transfer through an oversized rock fragment and a rock bolt. Blocks caused by
these objects are the most common reason for reduced capacity and can be considered the
beginning of a potential blockage.
At this stage, the possibility of using the method proposed in industrial conditions
should be considered. Since this method is in the initial stage of development, the detection
algorithm should provide a security alert before the state of total blockage occurs. The
tested model also detected total blockages when the receiving conveyor loading space was
filled with excavated material, causing material spillage. The following stages of research
will focus on validating the algorithm based on real-time image processing. In much more
diverse operating conditions, there will undoubtedly be a decrease in detection efficiency
and the occurrence of false alarm states. The presented algorithm will require modifica-
tion and taking into account other parameters, e.g., information about the movement of
the material.

Author Contributions: Conceptualization, P.B., H.G., R.K., D.M. and M.O.; methodology, P.B and
M.O.; software, P.B. and M.O.; validation, H.G., R.K. and D.M.; formal analysis, R.K.; investigation,
P.B., R.K. and M.O.; resources, R.K.; data curation, P.B.; writing—original draft preparation, P.B. and
M.O.; writing—review and editing, H.G., R.K. and D.M.; visualization, P.B.; supervision, H.G., R.K.
and D.M.; project administration, R.K.; funding acquisition, R.K. All authors have read and agreed to
the published version of the manuscript.
Funding: The research work was funded with the research subsidy from the Polish Ministry of
Science and Higher Education granted for 2023.
Institutional Review Board Statement: Not applicable.
Informed Consent Statement: Not applicable.
Data Availability Statement: Not applicable.
Conflicts of Interest: The authors declare no conflict of interest.

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 energies
Article
Minimizing Internal Leaks of a Powered Roof Support’s
Hydraulic Prop Based on Double Block with Charging
Dawid Szurgacz 1,2 , Beata Borska 3 , Ryszard Diederichs 1 , Anthony J. S. Spearing 4 and Sergey Zhironkin 5,6, *

1 Center of Hydraulics DOH Ltd., ul. Konstytucji 147, 41-906 Bytom, Poland
2 Polska Grupa Górnicza S.A., ul. Powstańców 30, 40-039 Katowice, Poland
3 KWK Ruda Ruch Halemba, ul. Halembska 160, 41-717 Ruda Ślaska,˛ Poland
4 School of Mines, China University of Mining and Technology, 1 Daxue Road, Tongshan District,
Xuzhou 221116, China
5 Department of Trade and Marketing, Siberian Federal University, 79 Svobodny av.,
660041 Krasnoyarsk, Russia
6 Department of Open Pit Mining, T.F. Gorbachev Kuzbass State Technical University, 28 Vesennya st.,
650000 Kemerovo, Russia
* Correspondence: zhironkinsa@[Link]

Abstract: The hydraulic system of a powered roof support performs two functions. The first function
is to control the powered roof support in the extraction wall. The second function is to protect against
adverse overloads resulting from rock mass pressing directly on the powered roof support. This
damaging phenomenon is prevented by the protection of the powered roof support, with a safety
valve built into the hydraulic system or directly into the prop. However, the third function proposed
by the authors based on the research results is to minimize leaks. These leaks usually develop in
the props or in the hydraulic system. The authors propose implementing changes to the hydraulic
system for this purpose. The change consists of replacing the existing support block with a double
block with charging. Tests were carried out in real conditions, that is, a mining wall. Tests in the
mining wall were carried out on the powered roof support’s leaking prop. As a result of charging,
the actual load capacity of the prop increased by about 10–50% in relation to the load capacity before
charging. The use of a double block with charging ensured that the pressure in the under-piston
Citation: Szurgacz, D.; Borska, B.; space of the prop was maintained at a minimum of 250 bar. The results allowed us to determine the
Diederichs, R.; Spearing, A.J.S.;
usefulness of the proposed solution and eliminate its disadvantages—the designated direction of
Zhironkin, S. Minimizing Internal
research and development on the powered roof support allowed us to expand its functionality by
Leaks of a Powered Roof Support’s
minimizing leaks.
Hydraulic Prop Based on Double
Block with Charging. Energies 2023,
Keywords: internal leaks; hydraulic prop; powered roof support; tests under real conditions
16, 1341. [Link]
en16031341

Academic Editor: Paul Stewart

Received: 22 November 2022

1. Introduction
Revised: 15 January 2023 At the current level of economic development, mining companies are expected to
Accepted: 25 January 2023 reduce their production costs and thus increase their operational efficiency [1–4]. At the
Published: 27 January 2023 same time, lowering costs must not affect work safety [5–8]. This determines the need to
increase the efficiency of machines [9–11] as well as their reliability [12,13], and to reduce
their energy intensity [14–16]. In mining, the monitoring of machine work processes is
gradually being introduced [17,18]. The aim of this monitoring is to reduce the cost of
Copyright: © 2023 by the authors.
servicing the machines and to maintain the highest possible reliability. This can be achieved
Licensee MDPI, Basel, Switzerland.
using the latest technologies [19–21].
This article is an open access article
Continuous development is also needed due to deteriorating mining and geological
distributed under the terms and
conditions. Operating at ever-greater depths generates new challenges in the field of
conditions of the Creative Commons
Attribution (CC BY) license (https://
exploitation [22,23] and regarding the requirements for machines and devices [24,25]. It
[Link]/licenses/by/
is necessary to develop and optimize the scope of applied technologies [26–28], machine
4.0/).
fleets [29–31], as well as ways to combat natural hazards [32–34]. For this purpose, bench

97
 Energies 2023, 16, x FOR PEER REVIEW 2 of 15

Energies 2023, 16, 1341 fleets [29–31], as well as ways to combat natural hazards [32–34]. For this purpose, bench
testing [35–37] and in situ testing [38–41] are carried out. They are complemented by
model testing [42–43] and computer simulations [44–46] based on mathematical algo-
testing
rithms[35–37]
[47–55].and in situ testing [38–41] are carried out. They are complemented by model
testingIn[42,43]
hard coalandmining,
computer thesimulations
development [44–46] based on
of powered mathematical
roof-support algorithms
complexes [47–55].
is crucial
[56–59]. A longwall complex is a set of machines constituting the essential equipmentisofcru-
In hard coal mining, the development of powered roof-support complexes a
cial
mining[56–59].
[Link]
is used tocomplex
mechanize is a the
set of machines
process constituting
of mining, loading, theandessential equipment
transporting the
of a mining
product. The wall. It is used to mechanize
interdependence the process
of construction of mining,characterizes
and movement loading, andmachinestransporting in
the
the wall complex. The primary function of the wall complex is to achieve the machines
product. The interdependence of construction and movement characterizes required
in the wall complex.
performance The primarysafety.
while maintaining functionTheofpowered
the wall wallcomplex is to includes
complex achieve the required
a powered
performance
roof support,while maintaining
a scraper conveyor safety.
and The powered
a mining wall complex
machine. includes
In this work, the aauthors
powered roof
focus
support, a scraper conveyor and a mining machine. In this
mainly on the development of the powered roof support. Recent research on the devel-work, the authors focus mainly
on the development
opment of powered of thesupports
roof powered canroof
be support.
found in Recent
[60–63].research on the development of
powered roof supports can be found in [60–63].
The powered roof support has two primary functions in the mining wall. It protects
The powered
the roof roof support
of the excavation, has two
ensuring theprimary
safety offunctions
operation. in The
the mining
second wall. It protects
is to move the
the roof of the excavation, ensuring the safety of operation.
entire powered wall complex along the progress of the wall front. The operation The second is to move theofentire
the
powered
poweredwall roofcomplex
support along
consists theofprogress
repetitiveof the wallEach
cycles. [Link]
The operation
comprises of thethefollowing
powered
roof
stages:support
drawing consists of repetitive
off powered cycles. Each
roof support, moving,cyclespreading
comprises andthesecuring
following thestages:
roof
drawing
(Figure 1). offWithdrawing
powered roof the support,
powered moving, spreading
roof-support section and securing
consists the roof its
in lowering (Figure
height1).
Withdrawing the powered roof-support section consists in lowering
– so that the canopy loses contact with the excavation roof. Then it is possible to move the its height—so that the
canopy
powered loses
roofcontact
support with the excavation
section towards the roof. Then
coal. it ismoving
After possible topowered
the move theroof powered roof
support,
support section towards the coal. After moving the powered roof
it is expanded between floor and roof of the excavation – so as to get the canopy in con- support, it is expanded
between
tact withfloor and roof of
the excavation [Link] excavation—so as to get the
ensure proper operation canopy
of the powered in contact with the
roof support, it
excavation
is necessary to maintain the required load-capacity value. Load-carrying capacity is theto
roof. To ensure proper operation of the powered roof support, it is necessary
maintain
force with the required
which load-capacity
the support acts onvalue.
the roofLoad-carrying
[63,64]. capacity is the force with which
the support acts on the roof [63,64].
1 2 3
5

8 6

7
Figure 1. Work cycle for the powered roof-support section, where 1—withdrawing the powered
Figure 1. Work cycle for the powered roof-support section, where 1—withdrawing the powered
roof-support section, 2—moving the powered roof-support section to a new location, 3—spragging
roof-support section, 2—moving the powered roof-support section to a new location, 3—spragging
the powered roof-support section, 4—longwall scraper conveyor, 5—roof, 6—coal, 7—floor,
the powered roof-support section, 4—longwall scraper conveyor, 5—roof, 6—coal, 7—floor, 8—goafs.
8—goafs.

A powered roof support operates with three kinds of load capacity. Initial load capacity
A powered roof support operates with three kinds of load capacity. Initial load ca-
is obtained at the moment of expanding the powered roof support. After the powered roof
pacity is obtained at the moment of expanding the powered roof support. After the
support takes the pressure of roof rocks, it obtains working load capacity. However, at the
powered roof support takes the pressure of roof rocks, it obtains working load capacity.
maximum load-bearing value, the powered roof support reaches the nominal load capacity.
However, at the maximum load-bearing value, the powered roof support reaches the
Its value depends on the setting of the safety valves [65]. For the powered roof support to
nominal load capacity. Its value depends on the setting of the safety valves [65]. For the
perform its tasks well, its reliable operation is necessary. Internal leaks represent one of the
significant problems in the operation of the powered roof support.
The formation of internal leakage in the racks of the powered roof support significantly
affects the loss of working load capacity. The simplest way to minimize them is to remove

98
Energies 2023, 16, 1341

the cause of the leak. This is usually done by replacing the affected components, which
generates high costs. The powered roof support usually consists of about 150–160 sections.
The wall’s extraction and the impact of the rock mass also affect the loss of the required
load capacity. The proposed solution is to protect the powered roof support against loss of
load capacity due to these events.
The presented test results were obtained in real conditions. The basis for the tests
was the positive results of bench tests. The research is described in [65]. Researching the
prototype solution in real-world conditions is a significant challenge. In conducting this
research it was necessary to ensure that it did not influence the work safety or the safety of
the powered roof support’s operation. Another requirement was measurement to obtain
test results. Satisfying those conditions allowed us to know the scope of the research and
achieve our goal, described explicitly in this paper.
Section 2 describes our solution, which limits the consequences of leaks. We present
the characteristics of a double valve with charging—the subject of this paper. This paper
also concerns the measurement system and the excavation wall conditions, which was our
research’s location. The results of this research are described in detail in Section 3. The
measurement results are presented in the form of graphs, and their analysis is provided
afterwards. Section 4 discusses the effects of using the double valve with charging, while
Section 5 summarizes the research and its results.

2. Materials and Methods

The research was conducted in an extraction wall (Figure 2), 166–245 m long and 970 m
deep. The height of the wall was between 2.5 and 3.3 m. The longitudinal slope of the wall
was up to 12◦ , while the transverse slope was up to 7◦ . The wall operation was carried out at
780–850 m. The operation was carried out with a longitudinal wall system with caving. On
the selected deck’s roof, there was shale with layers of coal and shale with coal. Above it, the
shale was locally passing into sandy shale. Due to the presence of poorly compacted rocks
on the direct deck roof, roof rocks were at risk of falling. The direct footwall contained shale.
Below, there was a coal deck with a thickness of about 1.2–1.5 m. At the footwall of this deck
laid shale locally, passing into sandy shale. The following hazards were present in the wall:
methane hazard category III, first-degree water hazard, and dust hazard class B. The coal of
the deck was classified as group III–IV self-ignition. The rock mass and rocks in the area of the
wall were not prone to tremors. The wall had powered roof support, whose working range
Energies 2023, 16, was
x FORfrom
PEER2.4 to 4.4 m. The characteristics of the powered roof support’s hydraulic prop are
REVIEW 4 of

shown in Table 1.

(a) (b)

Figure [Link]
Figure 2. The extraction The in
extraction
which thewallresearch
in whichwas
thecarried
researchout,
waswhere:
carried(a)
out,
thewhere: (a) the measureme
measurement
system with a prototype double block was installed on a prop; (b) view of
system with a prototype double block was installed on a prop; (b) view of the section on whichthe section
theon which t
research was carried out.
research was carried out.
A DOH DROPS-01 wireless pressure transducer was modified for testing purpose
Its measuring range was up to 60 MPa. Its modification consisted of changing the sam
pling value. The sampling frequency was 0.01 s (100 measurements per second). A DO
DROPS-01 are powered by batteries. A resistance strain gauge sensor is used as th
measuring element.
99 The sensors are equipped with a three-color LED. LEDs enable lig
signaling for specific pressure ranges. These pressure ranges are predeclared by the use
Energies 2023, 16, 1341

Table 1. Technical characteristics of the hydraulic prop of the powered roof support.

Operation Range Work Unit

Working diameter 300 mm/230 mm
Supply pressure 25 ÷ 32 MPa
Nominal pressure 43 MPa
Initial load capacity 1767 ÷ 2262 kN
Working load capacity 3039 kN
Hydraulic I stage stroke 1212 mm
Hydraulic II stage stroke 1129 mm
Min. length 1897 mm
Max. length 4238 mm

A DOH DROPS-01 wireless pressure transducer was modified for testing purposes.
Its measuring range was up to 60 MPa. Its modification consisted of changing the sampling
value. The sampling frequency was 0.01 s (100 measurements per second). A DOH DROPS-
01 are powered by batteries. A resistance strain gauge sensor is used as the measuring
element. The sensors are equipped with a three-color LED. LEDs enable light signaling for
specific pressure ranges. These pressure ranges are predeclared by the user.
The purpose of the tests was to minimize internal leaks of the powered roof support’s
prop, the parameters of which are summarized in Table 1. We propose the use of a
prototype block with automatic charging in the hydraulic system to minimize these leaks.
The operating parameters of the block are included in Table 2. A double block with charging
is equipped with a threshold valve. This valve is set to 9 MPa. It means that below this
value the charging is not carried out. Thanks to this, after withdrawing the powered roof
support section, when the pressure in the over-piston space of the hydraulic prop is close to
zero, the charging system is turned off. The prototype block is double—this means that the
check valves used protect both the space above the piston and the space below the piston of
the hydraulic prop against pressure loss. This is necessary in charging system. Charging is
carried out by an additional connection of the double-charging block to the supply line. A
shut-off valve is installed on the additional connection between the double-charging block
and the supply line. This allows to turn off the charging any time.

Table 2. Technical characteristics of the prototype double block.

Operation Range Work Unit

Nominal pressure 480 bar
Flow diameter Ø 10 mm
Maximum flow 400 l/min
Number of check valve cartridges 3
Work temperature 40 ◦ C ÷ 60 ◦ C

The purpose of the block is to minimize the effects of internal leaks and maintain the
required value of working support. Working load capacity depends on the prop’s diameter
and the pressure in the under-piston space of the prop [66]:

πd2
FW = · pw (1)
4
where:
FW —Working load capacity (N).
d—The prop’s diameter (mm).
pw —The pressure in the under-piston space of the prop (MPa).

100
Energies 2023, 16, 1341

When an internal leak occurs, there is a pressure drop in the under-piston space of the
prop. Loss of pressure reduces the load capacity of the powered roof support. A double
block charges the pressure, which was included in the formula to prevent this:

πd2

FRD = · pw − ∑ ∆p + ∆pd (2)
4
where:
FRD —Actual load capacity after charging (N).
d—The prop’s diameter (mm).
pw —The pressure in the under-piston space of the prop (MPa).
∑∆p—The sum of pressure losses in the under-piston space of the prop (MPa).
∆pd —Increase in pressure as a result of charging (MPa).

3. Results
Bench tests differed from real-conditions tests in that they made it possible to deter-
mine the possible operation of the system. On the other hand, tests in real conditions
showed the actual operation of the hydraulic system with the applied block with charging.
Conducting this type of research is quite difficult in real conditions due to the lack of system
operation characteristics with the use of a double block. The first days of testing allowed us
to determine the features of the system’s operation. The actual conditions adopted for the
tests of the double block consisted of the mining wall, in which the powered roof support’s
prop had an internal leak.
Preparations for the actual tests began with the preparation of the system together
with the measurement sensors at the surface station. These tests were aimed at verifying
the sensors’ correct operation and operation of the double block with charging—the site
tests of the solution made it possible to verify the initial work before application in real
conditions. Figure 3 shows the surface station on which the operation of the system and the
measurement system were tested. In turn, Figure 4 shows the work of the block in which
we observed the influence of charging time. The results of the bench tests allowed us to
assess that the measurement system and the prototype block were ready for testing in real
conditions. The bench test allowed us to look at the operation of the block and its functions
and confirmed that the measurement system cooperated correctly with the double block.
Figure 5 shows the measurement obtained from the actual conditions of the mining
wall. This figure shows a section of measurements from about 12 research days. The
average pressure under the piston of the hydraulic prop was up to 30 MPa, and was mainly
related to the pressure of rock layers on the powered roof support. To fully illustrate the
measurement for the operation of the hydraulic system with a double block, Figure 5 has
been divided into individually selected fragments of the operation of the double block
with charging. The measurements presented in Figure 5 were analyzed, consisting of the
selection of several work areas of the block charging. The mining and geological conditions
as well as the pressure of the layers of roof rocks were omitted. The focus was solely on the
analysis of the pressure charging function.
Figure 6 shows the analysis of the charging time, where four boosts of pressure were
obtained. The first charge (a) was 1.9 min. The second charging started after 11.7 min and
reached time (b), which was 2.4 min. For the subsequent charging (c), the maintenance
time of the working load capacity of the powered roof support was 15.9 min. In the graph
(Figure 6), the third charging (d) reached a time of 5.0 min. The working load capacity
between the third and fourth charging (e) was 95 min. However, the fourth charge in graph
(f) was captured within 1.2 min.
The graph in Figure 7 considers the charging time together with the relocation of the
section of the powered roof support. The powered roof-support section’s moving time was
6.9 min. The first charging (b) took 40 s, and the time load capacity of the powered roof
support between the first and the second charging (c) was 48 min. The second charging
time happened in (d) 2.6 min. The maintenance of the load capacity resulting from Figure 7

101
 with the measurement sensors at the surface station. These tests were aimed at verifying
the sensors’ correct operation and operation of the double block with charging—the site
tests of the solution made it possible to verify the initial work before application in real
conditions. Figure 3 shows the surface station on which the operation of the system and
Energies 2023, 16, 1341 the measurement system were tested. In turn, Figure 4 shows the work of the block in
which we observed the influence of charging time. The results of the bench tests allowed
us to assess that the measurement system and the prototype block were ready for testing
in realthe
before conditions. Thecharging
subsequent bench test
(e)allowed us to180.9
was within lookmin.
at the operation
The of charging
following the blocktime
and its
(f)
functions and confirmed that the measurement system cooperated correctly with
was about 2.4 min. After this time, the working load capacity (g) lasted 40.6 min, after the
doublethe
which, block.
subsequent charging occurred in a time (h) of 1.9 min.

1 2 3 4 5 6 7

Figure 3.3. View

Figure View of
of the
the test
test bench
bench for
for verification
verification of
of the
the double
double block
block charging
charging function,
function, where:
where:
1—pressure sensor for the supra-block space, 2—pressure charging, 3—double block with
1—pressure sensor for the supra-block space, 2—pressure charging, 3—double block with pressure pressure
Energies 2023, 16, x FOR PEER REVIEWcharging, 4—safety valve, 5—pressure sensor for the sub-block space, 6—hydraulic prop, 7—frame 7 of 15
charging, 4—safety valve, 5—pressure sensor for the sub-block space, 6—hydraulic prop, 7—frame
of test site.
of test site.

Figure 4. Stationary test of the double block charging function, where: (a) the charging time is 15.1 s;
Figure 4. Stationary test of the double block charging function, where: (a) the charging time is 15.1
s; (b)the
(b) thetime
timeofofloss
lossofofthe
theprop’s
prop’sload
loadcapacity
capacityisis141.8
141.8s;s;(c)(c)the
thecharging
chargingtime is is
time 9.69.6
s. s.

Figure 5 shows the measurement obtained from the actual conditions of the mining
wall. This figure shows a section of measurements from about 12 research days. The av-
erage pressure under the piston of the hydraulic prop was up to 30 MPa, and was mainly
related to the pressure of rock layers on the powered roof support. To fully illustrate the
measurement for the operation of the hydraulic system with a double block, Figure 5 has
been divided into individually selected fragments of the operation of the double block
with charging. The measurements
102 presented in Figure 5 were analyzed, consisting of the
selection of several work areas of the block charging. The mining and geological condi-
 related to the pressure of rock layers on the powered roof support. To fully illustrate the
measurement for the operation of the hydraulic system with a double block, Figure 5 has
been divided into individually selected fragments of the operation of the double block
with charging. The measurements presented in Figure 5 were analyzed, consisting of the
selection of several work areas of the block charging. The mining and geological condi-
Energies 2023, 16, 1341
tions as well as the pressure of the layers of roof rocks were omitted. The focus was solely
on the analysis of the pressure charging function.

Energies 2023, 16, x FOR PEER REVIEW 8 of 15

between the third and fourth charging (e) was 95 min. However, the fourth charge in
graph (f) was captured within 1.2 min.

Energies 2023, 16, x FOR PEER REVIEW 8 of 15

between the third and fourth charging (e) was 95 min. However, the fourth charge in
graph
Figure (f)
Figure 5. was captured
5. Testing
Testing the within 1.2
the functionality
functionality of aamin.
of double
double block
block in
in real conditions.
real conditions.

Figure 6 shows the analysis of the charging time, where four boosts of pressure were
obtained. The first charge (a) was 1.9 min. The second charging started after 11.7 min and
reached time (b), which was 2.4 min. For the subsequent charging (c), the maintenance
time of the working load capacity of the powered roof support was 15.9 min. In the graph
(Figure 6), the third charging (d) reached a time of 5.0 min. The working load capacity

Figure 6. The four times ranges of pressure charging obtained to maintain the required working
load capacity.

The graph in Figure 7 considers the charging time together with the relocation of the
section of the powered roof support. The powered roof-support section’s moving time
was 6.9 min. The first charging (b) took 40 s, and the time load capacity of the powered
roof support between the first and the second charging (c) was 48 min. The second
charging time happened in (d) 2.6 min. The maintenance of the load capacity resulting
from Figure 7 before the subsequent charging (e) was within 180.9 min. The following
charging time (f) was about 2.4 min. After this time, the working load capacity (g) lasted
Figure 6. The four
four times
times ranges
ranges of
of pressure
pressure charging
charging obtained to maintain the required working
40.6
load min, after which, the subsequent charging occurred in a time (h) of 1.9 min.
capacity.
load capacity.

The graph in Figure 7 considers the charging time together with the relocation of the
section of the powered roof support. The powered roof-support section’s moving time
was 6.9 min. The first charging (b) took 40 s, and the time load capacity of the powered
roof support between the first and the second charging (c) was 48 min. The second
charging time happened in (d) 2.6 min. The maintenance of the load capacity resulting
from Figure 7 before the subsequent charging (e) was within 180.9 min. The following
charging time (f) was about 2.4 min. After this time, the working load capacity (g) lasted
40.6 min, after which, the subsequent charging occurred in a time (h) of 1.9 min.

Figure 7.
Figure Analysis of
7. Analysis of the
the charging
charging function
function in
in real
real conditions.
conditions.

Figure 8 shows a graph of the obtained measurement for the charging function. The
analysis considers the time of moving the section, which was (a) 2.2 min. After which, the
first pressure charging time 103
was recorded (b = 54 s). Maintaining the working load ca-
pacity (c) lasted about 24.4 min. On the other hand, its decrease caused a pressure
 Energies 2023, 16, 1341

Figure 8 shows a graph of the obtained measurement for the charging function. The
analysis considers the time of moving the section, which was (a) 2.2 min. After which, the
Energies 2023, 16, x FOR PEER REVIEW 9 of 15
first pressure charging time was recorded (b = 54 s). Maintaining the working load capacity
(c) lasted about 24.4 min. On the other hand, its decrease caused a pressure charging which
lasted about (d) 1.4 min. The working load capacity between the second and third charging
wasthird
and maintained
charging within (e) 20.7 [Link]
was maintained The third pressure
(e) 20.7 min. boost was about
The third (f) 50
pressure s. On
boost wasthe
other(f)
about hand,
50 s. the
On working
the other load
hand,capacity was maintained
the working load capacity forwas
about (g) 23 min.
maintained forThe
aboutfourth
(g)
23charging
min. The took about
fourth (h) 22.5took
charging s, after which,
about the working
(h) 22.5 load capacity
s, after which, was maintained
the working load capacity for
the maintained
was time of (i) 28.2
for min. The analysis
the time of (i) 28.2of min.
the charging function
The analysis was
of the completed
charging by moving
function was
the sectionby
completed tomoving
a new position, which
the section to atook
new (j) 1.2 [Link] took (j) 1.2 min.
position,

Analysis
[Link]
Figure of of
thethe pressure
pressure charging
charging function
function withwith the time
the time of moving
of moving the section
the section to a
to a new
new position.
position.

Thegraph
The graphin in Figure
Figure 99 shows
shows the thecharging
chargingtime time(c), which
(c), whichwaswas13 13
s. However,
s. However, the time
the
of the
time of first change
the first of theofpowered
change roof-support
the powered section
roof-support to the to
section newtheposition (a) was(a)
new position 3.2was
min.
Load capacity time between the first switching of the powered
3.2 min. Load capacity time between the first switching of the powered roof support (b) roof support (b) reached
72.9 min.
reached The
72.9 second
min. movement
The second of the section
movement to a new
of the section to location (e) happened
a new location in 8.6 min,
(e) happened in
and
8.6 theand
min, loadthe
capacity time between
load capacity this operation
time between and the charging
this operation time (d) was
and the charging time284.4 min.
(d) was
Figure
284.4 min. 10 Figure
shows 10 theshows
pressure
the charging time (a), which
pressure charging time (a), was about
which was1.2about
min. 1.2
On min.
the other
On
hand,
the other thehand,
working load-capacity
the working time (b) time
load-capacity lasted(b)about
lasted37.3 min.37.3
about Then,
[Link],
section
theof the
sec-
powered roof support was moved to a new place (c = 6.9 min).
tion of the powered roof support was moved to a new place (c = 6.9 min). The measure- The measurement of the
ment of the first charging time (Figure 11) was about (a) 18.3 s. On the other hand, theof
first charging time (Figure 11) was about (a) 18.3 s. On the other hand, the maintenance
the load capacity
maintenance of thebefore the second
load capacity beforecharging (b) was
the second about 2.8
charging (b)[Link]
Theabout
research analysis
2.8 h. The re-in
Figure 11 ends with the time of the second charging (c) time, which
search analysis in Figure 11 ends with the time of the second charging (c) time, which was 23 s.
was 23 s.

104
 the other hand, the working load-capacity time (b) lasted about 37.3 min. Then, the sec-
tion of the powered roof support was moved to a new place (c = 6.9 min). The measure-
ment of the first charging time (Figure 11) was about (a) 18.3 s. On the other hand, the
maintenance of the load capacity before the second charging (b) was about 2.8 h. The re-
Energies 2023, 16, 1341 search analysis in Figure 11 ends with the time of the second charging (c) time, which
was 23 s.

Energies
Energies 2023,
2023, 16,
16, xx FOR
FOR PEER
PEER REVIEW
REVIEW 10
10 of
of 15
15

Figure9.
Figure
Figure 9. Analysisof
[Link]
Analysis ofthe
of thecharging
the chargingfunction
charging functionduring
function duringthe
during thetests.
the tests.
tests.

Figure10.
Figure
Figure 10. Testingthe
[Link]
Testing thecharging
the charging function
charging function along
function along with
along with the
with the section
the section relocation.
section relocation.
relocation.

Figure11.
Figure
Figure 11. Analysisof
[Link]
Analysis ofthe
of theactual
the actualload
actual loadcapacity,
load capacity, including
capacity, including the
including the charging
the charging function.
charging function.
function.

4.
4. Discussion
Discussion
The
The study
study considered
considered pressure
pressure
105
loss
loss as
as an
an internal
internal leak.
leak. It
It was
was formed
formed on
on the
the inner
inner
seal,
seal, which
which caused
caused aa pressure
pressure drop
drop in
in the
the prop.
prop. ToTo obtain
obtain the
the best-possible
best-possible operating
operating
Energies 2023, 16, 1341

4. Discussion
The study considered pressure loss as an internal leak. It was formed on the inner seal,
which caused a pressure drop in the prop. To obtain the best-possible operating parameters of
the double block, we used a technically defective hydraulic prop employed in powered roof
support in an extraction wall. The collected testing material presented in the graphs displayed
in Figures 5–11 determined the actual charging time. Table 3 shows the aggregated results of
the charging time (TD ) results for the recorded pressure drops (∑∆p).

Table 3. The values obtained based on the research carried out.

Actual Load Actual Load Increase in Load

Sum of Pressure
Supply Pressure Capacity before Time of Charging Capacity after Capacity as a
Losses
Cz (bar) Charging TD (s) Charging Result of
∑∆p (bar)
FR (kN) FRD (kN) Charging ∆F (%)
260 42 1611 113 1837 14
255 50 1484 143 1795 21
270 37 1561 298 1893 21
270 30 1710 74 1900 11
255 23 1632 40 1795 10
265 24 1646 157 1844 12
255 30 1604 144 1780 11
260 22 1639 113 1837 12
260 49 1526 54 1837 20
250 35 1590 83 1766 11
255 21 1632 50 1773 9
255 20 1625 23 1802 11
270 56 1498 13 1900 27
260 43 1512 70 1809 20
270 96 1251 23 1879 50

The pressure drops resulting from the internal leakage of the prop ranged from 20 to
96 bar. This directly affected the significant reduction of the actual load capacity of the
prop. The charging time ranged from 13 to 298 s. Cases that recorded longer charging times
were probably due to insufficient pressure in the main power line. The charging function
was interrupted at pressures which were too low in the main power line. Only after the
pressure in the main power line increased did the block continue to charge. This had a
direct effect on the increase in the charging time.
Based on Formula (1), the load capacity values for the tested prop were calculated. The
temporary load capacity values were calculated for when the pressure drop occurred (FR ),
and for after the pressure charging (FRD ). The results are recorded in Table 3 and shown
in Figures 12 and 13. The research results suggest that a double block with a charging
function ensured that the required working load capacity was maintained at a minimum
level of 1766 kN. As a result of charging, the actual load capacity of the prop increased by
about 10–20% in relation to the load capacity before charging. At higher pressure losses,
the increase in load capacity after charging reached up to 50%. After charging, the prop’s
load capacity was directly proportional to the temporary pressure in the main power line.
The results of real tests confirmed the results obtained in bench tests [65].

106
Energies 2023, 16, x FOR PEER REVIEW 12 of 15
Energies 2023, 16, x FOR PEER REVIEW 12 of 15
Energies 2023, 16, 1341

2000
2000
1900
1900
1800

kNkN
1800
1700

capacity,
1700 (FRD)
capacity,
1600 (FRD)
1600
1500
1500
Load

1400
Load

1400
1300
1300
(FR)
1200 (FR)
1200
1100
1100 10 20 30 40 50 60 70 80 90 100
10 20 30 40 50 60 70 80 90 100
Sum of pressure losses, bar
Sum of pressure losses, bar
Figure 12. Analysis of the prop’s actual load capacity before charging FR (a) and after charging FRD
Figure12.
Figure
(b). Analysisof
[Link] ofthe
theprop’s
prop’sactual
actualload
load capacity
capacity before
before charging
charging FFRR (a)
andand
after charging
after [Link]
charging
(b).
1920
1920
kNkN

1900
charging,

1900
charging,

1880
1880
1860
1860
after

1840
after

1840
capacity

1820
capacity

1820
1800
1800
Load

1780
Load

1780
1760
1760
1740
1740 245 250 255 260 265 270 275
245 250 255Supply 260
pressure, 265
bar 270 275
Supply pressure, bar
Figure13.
Figure Analysisof
[Link] ofthe
theprop’s
prop’sactual
actualload
loadcapacity
capacityafter
aftercharging
chargingdepending
dependingon
onthe
thepressure
pressurein
in
themain
the mainpower
Figure 13. powerline.
line.
Analysis of the prop’s actual load capacity after charging depending on the pressure in
the main power line.
[Link]
Conclusions
This work
5. Conclusions
This work presents
presentsthe theimplementation
implementation of the double-charging
of the double-charging blockblock
in realincondidions.
real con-
didions. The basis for the preparation for these tests were the previouslyinbench
The basis
This for
work the preparation
presents the for these
implementationtests were
of thethe previously
double-charging conducted
block tests.
real con-
conducted
Bench
didions. tests
The confirmed
basis for the
the correct operation
preparation for of
thesethe double-charging
tests were
bench tests. Bench tests confirmed the correct operation of the double-charging [Link] block.
previouslyPositive results
conducted
of bench
bench tests
tests. allowed
Bench teststo confirmed
start testingthe
in real conditions. Theofactual tests made it possible to
Positive results of bench tests allowed tocorrect operation
start testing in real the double-charging
conditions. The actualblock.
tests
determine
Positive the usefulness
results oftobench of the proposed
tests allowed solution
to startoftesting in the event of an
in real conditions. internal leak in the
made it possible determine the usefulness the proposed solution inThethe actual
event of tests
an
hydraulic
made it prop of
possible to the powered
determine the roof [Link]
usefulness the proposed internal
solutionleaks
in is important
the event of anto
internal leak in the hydraulic prop of the powered roof support. Minimizing internal
improving
internal leakthe
inreliability
the of poweredof roof
thesupport. This is important for improving safety
leaks is important to hydraulic
improvingprop the reliability powered
of powered roof support.
roof Minimizing
support. internal
This is important
in theislongwall
leaks important andto maintaining
improving thereliability
the continuity ofof exploitation.
powered roof support. This is important
for improving safety in the longwall and maintaining the continuity of exploitation.
On
for improvingthe basis
safetyof the present research, it can be concluded that a exploitation.
double block with
On the basis of in
thethe longwall
present and maintaining
research, the continuity
it can be concluded that of
a double block with
charging
On the performs
basis ofitsits
thefunction
present correctly
research, in real conditions. Thethat
tests were carried out in
charging performs function correctly in it
realcan be concluded
conditions. The tests a double
were block
carried outwith
in a
a mining
charging wall.
performs For the research,
its function a prop with an evolving internal leak was selected. As
mining wall. For the research,correctly
a prop within real anconditions. The testsleak
evolving internal werewas
carried out inAs
selected. a
demonstrated
mining wall. Forby our
the measurements,
research, a propafter
witheachan pressure
evolving drop in
internal the under-piston
leak was space
selected. As of
demonstrated by our measurements, after each pressure drop in the under-piston space
the prop, the block charged automatically. The charging time ranged from several seconds
demonstrated
of the prop, the by block
our measurements, after each The
charged automatically. pressure drop time
charging in theranged
under-piston space
from several
of the prop, the block charged automatically. The charging time ranged from several

107
Energies 2023, 16, 1341

to several minutes. This time depended mainly on the instantaneous pressure value in the
main power line.
This research proves the validity of the adopted theory. The solution minimizes the
effects of internal leaks. Using a double block with charging ensured that the pressure
in the under-piston space of the prop was maintained at a minimum of 250 bar. Thus,
the prototype block maintained the required working load capacity in the prop, despite
its internal leakage. It is essential to operate powered roof support and ensure safety
adequately: the proposed solution allowed us to avoid costly and time-consuming prop
replacement. Thus, using a block with charging may increase the efficiency of operation.
In connection with the test results, it is proposed that the powered roof support
performs three functions. These functions already include two which are well-established,
i.e., moving machines and devices using a control system as well as protecting against
adverse mining and geological conditions. The third function proposed by the authors
in this paper is eliminating any leaks that may affect the system’s adverse mining and
geological conditions and the control functionality.

Author Contributions: Conceptualization, D.S. and B.B.; methodology, D.S. and B.B.; software,
B.B.; validation, D.S., B.B. and S.Z.; formal analysis, A.J.S.S.; investigation, D.S.; resources, R.D.;
data curation, S.Z.; writing—original draft preparation, D.S., B.B. and A.J.S.S.; writing—review and
editing, D.S. and B.B.; visualization, D.S.; supervision, D.S.; project administration, D.S., B.B. and
S.Z.; funding acquisition, D.S. and S.Z. All authors have read and agreed to the published version of
the manuscript.
Funding: This research received no external funding.
Institutional Review Board Statement: The study was conducted according to the guidelines of
the Declaration of Helsinki and approved by the Mining Institute Review Board of T.F. Gorbachev
Kuzbass State Technical University (Protocol Number 1101 from 29 November 2021).
Informed Consent Statement: Not applicable.
Data Availability Statement: Not applicable.
Conflicts of Interest: The authors declare no conflict of interest.

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Intensification by Productive Stratum Drainage Zone Reaming. Energies 2021, 14, 3514. [CrossRef]
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 energies
Review
Review of Linear Electric Motor Hammers—An Energy-Saving
and Eco-Friendly Solution in Industry
Adam Wróblewski 1 , Pavlo Krot 1, * , Radosław Zimroz 1 , Timo Mayer 2 and Jyri Peltola 2

1 Faculty of Geoengineering, Mining and Geology, Wroclaw University of Science and Technology,
Na Grobli 15, 50-421 Wroclaw, Poland
2 Lekatech Oy, 47400 Kausala, Finland
* Correspondence: [Link]@[Link]

Abstract: Standard hydraulic breaking hammers are widely used for crushing oversized blasted
materials and concrete structures demolition in industry. These hammers, installed in on-surface
working excavators or stationary manipulators at the dumping points of underground conveyors,
provide the required limited sizes of bulk materials and enable the safe operation of other equipment
(screens, crushers). In parallel, hydraulic hammers have an alternative—fully electric hammers.
This paper aims to review existing linear electric motor (LEM) hammers as an energy-saving and
eco-friendly solution in industry. Global market analysis is presented with potential branches of LEM
hammers. Several aspects for implementation—design optimization, dynamics simulation, machine
control, and performance estimation—are considered. Different case studies for LEM-hammer
application are given. The preliminary measurements are demonstrated on the electric hammer
of Lekatech Company, which is intended for the mining industry and construction demolition.
Experiments showed that depending on the impact frequency, type of rock, and shape of the crushing
tool, the time to fracture varies significantly. Optimal parameters exist for every case, for which
adjusting requires online hammer control.

Keywords: linear inductive motor (LIM); linear electric motor hammer; mining; raw materials;
crushing
Citation: Wróblewski, A.; Krot, P.;
Zimroz, R.; Mayer, T.; Peltola, J.
Review of Linear Electric Motor
Hammers—An Energy-Saving and 1. Introduction
Eco-Friendly Solution in Industry. Both open-pit and underground mining operations face the issue of oversized chunks
Energies 2023, 16, 959. https:// of rock material that remain after blasting. To fit the rock material to further crushing
[Link]/10.3390/en16020959 stages and conveying systems, rock breakers are used. Currently, these operations are
Academic Editors: Sergey Zhironkin performed by hydraulic breaker hammers, mostly operated by a human in place. In the era
and Dawid Szurgacz of electric and digital transformation, especially within the mining industry, the efficiency
and safety of this process can be significantly increased. The new standards for sustainable
Received: 13 December 2022 mining demand the mine of the future to be carbon-dioxide-free, digitized, and expectant
Revised: 4 January 2023
of the replacement of inefficient, dirty, energy-driven, and manual processes through the
Accepted: 11 January 2023
implementation of electric, remote-controlled, and/or autonomous machines.
Published: 14 January 2023
The fully electrical impact hammer is a promising alternative to the hydraulic hammers
currently in use. It could be a functional machinery subsystem, which is environmentally
friendly (without CO2 emissions), energy-saving, with increased performance, and not
Copyright: © 2023 by the authors.
requiring high pressure and hazardous oils. Lower noise and tremor levels, which charac-
Licensee MDPI, Basel, Switzerland. terize an electric device, in contrast to hydraulic hammers, are other significant advantages
This article is an open access article in the case of quarrying and civil-engineering operations that are performed near residential
distributed under the terms and areas. Although many technical solutions in electric-hammer design have been patented
conditions of the Creative Commons in the world, there is no evidence in the market of products ready to be used in place of
Attribution (CC BY) license (https:// hydraulic or pneumatic hammers in heavy industries.
[Link]/licenses/by/ A recently started ECHO project aims to introduce an electrical, programmable ham-
4.0/). mer (LEH) to provide full control and digitization in these sectors of industry. This novel

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Energies 2023, 16, 959

patented technological solution of Lekatech Company (Finland) is capable of boosting

the rock-fragmentation process. Compared to hydraulic hammers, LEH eliminates CO2
emissions, saves energy and hydraulic oil, increases safety, and lowers noise level and
life-cycle cost. The increased performance is achieved by the fully adjustable force and
frequency of impacts, depending on the hardness of the treated material, which are more
limited in hydraulic hammers.
The research work in this project is related to measurements and the process of
data collection on operations during LEH testing in several mining companies in Poland,
Finland, and Spain. The aim is to confirm LEH reliability and to determine the optimal
controllable parameters of vibration for different materials and operating conditions. The 3-
year ECHO project funded by EIT Raw Materials is led by Lekatech in a consortium with
Iberian Sustainable Mining Cluster (Spain), MNLT Innovations IKE (Greece), KGHM Polska
Miedz S.A. and Wroclaw University of Science and Technology (Poland). This project will
result in a fully new approach to the hammering process in mining and provide a cost-
efficient, digitized, safe, environmentally friendly, and user-friendly solution, ready to be
commercially distributed and used in the industry.

1.1. Market Analysis and Global Players

Following the results of the global market research in [1,2], rock-breaker sales were
a little over 1 billion USD in 2017 and are projected to grow by more than 11% during
2018–2023, to nearly 2 billion USD by 2023. This sector of machines manufacturing is spread
out because there are five top manufacturers of hydraulic hammers: Sandvik AB, Atlas-
Copco (Krupp), Montabert (Joy Global), Furukawa, and Eddie, but their total production
takes a total of only 24.29%; hence, there are many local manufacturers in different countries.
Europe and China took 56.97% of the global production market of hydraulic hammers as
of 2016.
For the application market (see Figure 1), the construction industry has always had
largest share (33.58% in 2016). While the sector of municipal engineering and mining
industries take 27.98% and 18.03%, respectively.

Figure 1. Market share of hydraulic hammering applications [2].

1.2. Energy Consumption

In the mining industry, although the alternative technologies of rock breaking are
under consideration [3,4] to replace blasting, the conventional method of drilling and
blasting has many advantages from the viewpoint of productivity. On the other hand, there
are certain implications due to non-homogeneous geological structures, which resulted in
oversized pieces of rocks influencing the rock-breaking hammers’ performance and the
fuel consumption of machines.
Opportunities for energy efficiency in the stone and asphalt industry are considered
in [5]. The typical breakdown of energy costs in an average-size mining enterprise produc-

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Energies 2023, 16, 959

ing aggregate and the energy consumption at the different stages of crushing operations
are represented in Figure 2. Besides electric energy, the biggest part of costs is spent on
explosives. Therefore, blasting optimization and planning has significant potential for the
economy. Just using the electronic detonators in place of non-electric initiation has shown
such benefits as:
• A 32% decrease in the mean size of rock in the post-blast pile;
• A 37% increase in the amount of rock of less than 8-inch size;
• A 25% reduction in digging time to excavate the pile;
• A 6–10% savings in primary crushing costs measured by power consumption.

Figure 2. The typical breakdown of energy costs in an average-size mining enterprise (a); and
electric-energy consumption share in the crushing facility of asphalt plant (b) [5].

The diagram in Figure 3 reveals the energy balance of mining and construction ma-
chines with hydraulic and electric hammers. Approximately 47% of the total energy is
supplied by the machine combustion engine to the ancillary equipment. According to their
average efficiency, a hydraulic pump spends 11.7%, hydraulic piping takes about 12.9%
due to losses by throttling, and only 3.7% reaches the breaker. Meanwhile, impact energy
constitutes only 8.5% [6].

Figure 3. Sankey plot of energy flow through an excavator during operation with a hydraulic hammer
adopted from [6] and fully electric hammer.

2. Problem Formulation
Pneumatic and hydraulic actuators have similar dimensions to tubular electric actu-
ators; thus, they constitute an alternative choice for the designers of industrial machines.
The force is created by applying pressure to a working gaseous or liquid medium in a
cylinder and the piston converts the pressure to a force. Ficarella et al. [7] showed that
the key parameter, which is responsible for better hammer performance, is the increased

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working pressure. This solution has several disadvantages. The most frequently occurring
problems in hydraulic hammers during operation and maintenance are as follows:
• Sealing damage and oil leakage due to wear and surface contamination;
• Cylinder body deformations due to overloading by high pressure;
• Possible piston rod deformation under load;
• Hydraulic oil consumption and utilization;
• Impossibility of changing hammering parameters online within wide ranges.
Traditional actuators usually use open-loop force control but many applications often
require controlled stroke and force, which requires the installation of additional sensors and
special wiring with environmental and mechanical protection as well as signal-acquisition
hardware. Instead, all these issues can be easily resolved with electric hammers.
An electric hammer based on a tubular linear inductive motor has better accuracy,
readiness, and control reliability; it is maintenance-free, has easier energy-supply availabil-
ity, and does not create any troubles with hydraulic fluid.
The increased costs of hydraulic-hammer operation and maintenance during the full
life cycle make their replacement with electric hammering solutions profitable. However,
certain considerations have to be taken into account for the successful implementation of
innovative drives.
This paper is focused on the analysis of possibilities for the application of linear
electric-motor hammering solutions to the rock-breaking process. The analysis of other
similar domains is given in the paper to understand better the pros and cons of linear
electric motors and potentially new domains for their application.

3. State of the Art

3.1. What Is a Linear Electric Motor
Gieras [8] and Budig [9] classified linear electric motors as a group of special electrical
machines that convert electrical energy directly into the mechanical energy of axial motion.
Linear electric motors can drive a linear-motion load without intermediate gears,
screws, or crankshafts. Linear electric motors can be classified as follows:
• DC motors;
• Induction motors;
• Synchronous motors, including reluctance and stepping motors;
• Oscillating motors;
• Hybrid motors.
The application of DC linear motors is less widespread, save for special automotive
applications where a DC supply is provided by the onboard generator. The direct-drive
electromagnetic active suspension system is developed by Shen et al. in [10], which consists
of a double-stator air-core tubular permanent magnet linear motor (DATPLM) acting in
parallel with a coil spring. The proposed DATPLM can also operate in generator mode,
which provides an additional energy supply. This suspension system can simultaneously
eliminate road disturbances and apply active roll and pitch control. Unlike the existing
slotted topologies of magnetic poles (radial, axial), the proposed device has a quasi-Halbach
topology with improved dynamic response and very-low-force ripple. Some other studies
in this domain are presented by Gysen et al. in [11]. The dynamic model of the car
suspension system based on a linear electric motor subjected to sharp loading impacts
is proposed by van Casteren et al. in [12]. This model includes non-linear bump stops,
actuator saturation, and a combination of Coulomb and viscous friction. The issues of using
accelerometers are discussed. The use of the skyhook controller showed improvements in
a frequency region of 0.7 to 8 Hz. It is shown that the non-linear model more accurately
predicts the acceleration of the car mass.
The most popular are permanent magnet (PM) linear synchronous motors (LSMs)
and linear induction motors (LIMs), which are manufactured commercially for many
applications. The most known application of LIMs is in transportation based on electric

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traction systems, where the primary is mounted on the vehicle and the secondary is installed
along the track. Linear induction motors are used in cranes for material handling. They
are also used for liquid-metal pumping, actuators for door movement, high-voltage circuit
breakers, and accelerators for rigs for testing vehicle performance under impacts. In recent
years, significant attention has also been paid to LIM applications in kinetic weapons (rail
guns). In hammering applications, similar to rail guns, tubular LIMs are used, whose
structure is shown in Figure 4.

Figure 4. Typical structure of tubular LIM with permanent magnets (Lo et al. [13]).

In the general sense, the stator and the rotor of LIM are known as primary and
secondary, respectively. If the primary of the linear induction motor is connected to a three-
phase voltage supply, a traveling flux wave is produced, which travels along the primary
body. Due to the relative motion between the traveling flux wave and the secondary,
a current is induced in the conductor, which also produces a magnetic flux-wave interaction
with the traveling flux wave of the primary, resulting in a linear force. Depending on what
body is fixed, primary or secondary, the electromagnetic force will move the opposite body
in the direction of the traveling flux wave.
The linear synchronous speed vs of the traveling flux wave produced by the primary
of the linear induction motor is given by the formula:

vs = 2 f P, (1)

where f is the frequency of the supply voltage (Hz); and P—pole pitch.
If the LIM is an asynchronous or induction motor, the speed of the secondary is less
than the synchronous speed and the difference between the two speeds is known as the
slip. The slip of the linear induction motor is given by,

s = (vs − vr )/vs , (2)

The speed of the secondary vr in the linear induction motor is given by the formula:

vr = (1 − s ) v s , (3)

The linear force or thrust of the linear induction motor is given by the formula:

F = Pgap /vs , (4)

where Pgap —power at air gap.

Govindpure et al. [14] noted that during the LIM design process, basic equations of
rotary induction motors (RIM) are commonly used, but they do not reflect the true merit of
LIM. The end effect and edge effects are usually neglected. A double-sided LIM of 12 m in
length is designed by the 3D Maxwell software and analyzed at no-load conditions.
The literature analysis shows that modern mining enterprises worldwide are aimed
at digitizing and automating mining processes with autonomous working or robotized
machines. Although the different versions of the design (Grinchenko [15]) of linear electric

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motors have been known for a long time (Brittain and Laithwaite [16]), they are still not
widely represented in heavy industries such as mining, oil and gas, construction and
metallurgy (Kurilin et al. [17]).
The actuators based on linear electric motors are mainly applied in precise manufac-
turing processes, robots, materials machining centers, additive manufacturing, and laser
cutting for working tools positioning and parts moving (Gieras [18], Korendyi et al. [19,20]).
The best linear electric motors for such applications are permanent magnet (PM) linear
synchronous motors (LSM).
Combined linear induction motors (CLIMs) for moving robotic trolleys in sealed
radiation chambers are considered by Tiunov [21]. These motors consist of induction
driving units and braking units based on permanent magnets. Acting together, these units
make it possible to obtain a low-speed trolley without a complicated control system or
frequency converters.
One of LIM’s applications, which can be considered for underground mines, is their
combination with hydraulic cylinders in the powered roof supports of a long-wall shear
complex. The main reason is to decrease the response time of hydraulic actuators to sharp
dynamic loading occurring from the rock (Rudzki et al. [22]).

3.2. Design Optimisation

In most industrial applications, LIM requires a larger air gap as compared to a con-
ventional rotary induction motor; hence, the magnetizing current of LIM is larger than
that of a rotary induction motor of the same power. Therefore, the efficiency and the
power factor of LIM are lower than that of a conventional induction motor of the same
rating. Nasar et al. [23] estimated primary core and solid secondary eddy-current losses in
the tubular linear induction motor (TLIM), considering the nonlinear B-H characteristic,
hysteresis, and skin effect. Techniques for the parameter determination of the equivalent
circuit and performance predictions are developed, which are in good agreement with
calculated values.
The optimization of the electrical and mechanical parts of LIMs plays an important
role in the reduction in losses and improvement of performance, which increases overall
competitiveness in high-power applications.
A tubular linear induction motor (6 kW, 3-phase, 415 V, 50 Hz) is designed and ana-
lyzed by Kumar et al. [24] for continuous hammering application. Design analysis was
carried out using ANSYS MAXWELL software, which allowed for the simulation of the
thrust force, linear speed, and other parameters of the motor. In paper [25], the authors
presented the design optimization of an LIM. The objective function of the optimization
problem includes power efficiency, output thrust, and the total weight of the device. Var-
ious design parameters were used as constraints. Optimization resulted in significant
improvements in machine efficiency and output power compared to the known solutions.
Machine design and its optimization were carried out with RMxprt software.
In low-power applications of both hydraulic (pneumatic) or electrical drives, e.g., in
manual hammers, vibrations and impacts can cause health-related issues for workers.
Meanwhile, in large-scale mechanisms, impacts of high amplitudes cause cyclic fatigue
and failures of structural elements and impact surrounding buildings, e.g., in pile-driving
machines. Therefore, the development of an innovative vibration-damping solutions is of
great importance for the safety and durability of hammering machines.
The development of an electric hammer using self-synchronization phenomena is
conducted by Bonkobara et al. [26] to address the problem of hand–arm vibration syndrome.
The authors showed, based on a dynamic model, that two oscillators acting together can
reduce harmful vibration. Some other types of damping principles and technical solutions
were also proposed by Harada [27].
Goman et al. [28] describes a mathematical model of interconnected electromechanical
and thermal processes in an LIM. The thermal model consisted of eight control volumes
on each tooth pitch of the LIM. Model verification was performed using the finite element

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method and using experimental data. The authors determined the limits of safe operation
by considering the unevenness of heating along the length in two cases: natural cooling
and forced cooling. For forced cooling, the required values of airflow were determined.
For the arc-induction motor of the screw press, the influence of various factors (i.e., of the
stroke, the use of a soft start, and the use of forced cooling) on heating was evaluated.
The recent developments patented by Peltola et al. [29–32] disclose the design of
LIM-based devices for different hammering applications. The main efforts of these and
many other known inventions are aimed at structural strength capacity, and impact-force
increasing for the minimal power supply.

3.3. Material and Topology of Permanent Magnets

The performance of linear electric motors and hammers directly depends on the mag-
netic properties of permanent magnets. The two possible options—Ferrite and Neodymium-
based—are given in Table 1. Although the price of Neodymium magnets is higher, they
have superior properties (specific energy, coercive field) in comparison with ferrite magnets
(Milanesi [33]). Ferrites have low remanence, are low-energy and have a strong temperature
de-rating.

Table 1. Comparison among main parameters of ferrite and Nd-Fe-B magnets (Milanesi [33]).

Parameter Ferrite Nd-Fe-B

Remanence Br [T] 0.2 ÷ 0.5 1.1 ÷ 1.3
Coercive field Hc [kA/m] 150 ÷ 295 700 ÷ 1000
Relative permeability 1.1 1.08
Temp. coeff. of Br [% ◦ C] −0.11/−0.12 −0.54/−0.60
Temp. coeff. of Hc [% ◦ C] −0.2 +0.3

In tubular electric motors, the topology of permanent magnets can be surface-mounted,

radially magnetized or axially magnetized. The two main topologies of permanent magnets
in linear electric motors—(a) surface-mounted; and (b) buried magnet arrangements—are
shown in Figure 5. Both topologies produce similar thrust force under certain geometrical
parameters of the electrical machine (van Zyl [34]).

Figure 5. Two main topologies of permanent magnets in linear electric motors: (a) surface-mounted;
and (b) buried magnet arrangements (van Zyl [34]).

Experimental tests and simulation results of buried magnet topology are shown in
Figure 6. We can conclude that the advantage of LIM is in the wide range of force regulation
without a significant increase in the required current in the coils. Increasing from about 5 to
10 A results in a greate force by 1000 N. In addition, the DC test gives remarkably higher
thrust force than the AC test.

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Figure 6. Measured and predicted forces for the buried magnet arrangement (van Zyl [34]).

Cogging forces appear as the result of the interaction between the permanent magnets
and the steel teeth of the primary section. This cogging force results in a slightly jerky
motion of the internal part, which is most noticeable at low speeds and creates a problem
in the precise positioning of actuators. Certain methods are developed for cogging-force
reduction by Lo et al. [13].
A comparative analysis of two variants of magnet topology was carried out by
Wang et al. [35]. The authors concluded that the axially magnetized option has a higher
force density, but is more material-consuming. If the same volume of the permanent mag-
net is supposed, the two topologies provide the same force density. Nevertheless, axially
anisotropic rare-earth magnets are usually less expensive and widely used.

3.4. Dynamical Model of Electric Hammer

Although LIM has many potential applications with periodic motion (air compressors,
hydraulic pumps) because of their good reliability, high power density, and convenient
maintenance, most studies rarely concentrate on the dynamic behaviour of the linear os-
cillating actuator such as as a hammer under the action of external loads (Jiao et al. [36],
Giuffrida et al. [37]). The main efforts are directed at the simulation of hydraulic pressure
distributors and working-cycle optimization (Gorodilov [38]). The multi-body mathe-
matical models of the technological vibratory and impacting units with electromagnetic
excitation are developed by Neiman et al. [39,40]. Vibro-impact system dynamics under
a Hertzian contact force and the influence of asymmetric electromagnetic actuators are
analyzed by Herisanu et al. [41] near the primary resonance.
When modelling the mechanisms containing the hammers, it is important to account
for the unavoidable clearances in the joints. Chen et al. [42] developed a planar hydraulic
rock-breaker model with multiple joint clearances by combining the hydraulic cylinder
model and the clearance in joints. The dynamic simulations showed that multiple clear-
ances can reduce the dynamic responses of a rock breaker producing vibrations and slow
movements. In addition, the friction could reduce the rapid vibrations significantly.
Song et al. [43] estimated the impact loads delivered to the housing of a hydraulic
breaker quantitatively. Vibrations in the equipment housing, which were experimentally
measured, and the impact loads in the chisel were derived from strain gauge measurements
of the striking energy.
The proposed authors’ generalized dynamical model of the electric hammer is depicted
in Figure 7. This is a non-linear mechanical system with piece-wise linear characteristics
of stiffness parameters due to internal clearance in contact of the moving part with the
chisel (δ12 ). Although the operator intends to press the chisel to the rock before and during
crushing, certain external clearance (δ23 ) can appear during hammer work. This calculation
scheme is similar and applicable to both hydraulic and electrical hammers. The only
difference is that excitation force (Fe ) is created either by hydraulic pressure or the electric
current in the coils. In addition, both types of hammers have a gas or hydraulic damper
(c01 ) on the top of the housing (m0 ), to accumulate the kinetic energy of the moving part

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(m1 ) and increase its impact on the working tool (m2 ). The experimental investigation of
linear permanent-magnet actuators with gas springs is conducted by Ummaneni et al. [44].

Figure 7. Hydraulic and electric hammers with different available shapes of chisels for rock-piece
crushing (a); and the generalized multi-body dynamical model (own study) (b).

It is important to note that the energy portion transferred to the rock (m3 ) by the mov-
ing part (m1 ) via the working tool (m2 ) depends not only on the contact conditions between
colliding bodies but also on the technical condition of the supporting structure; in particular,
the excavator or stationary manipulator. The wear of bearings (radial clearances) in the
couplings (δ0 ) reduces the overall stiffness of the structure and creates additional shocks on
its elements, which are damped (c0 ) by the hydraulic cylinders of actuators, but still cause
further degradation and looseness of joints in manipulators.
During hammer operation, the manipulator stiffness (k0 ) is continuously changing,
due to the arbitrary regulating of hammer position by a machine operator. When setting
the frequency of hammering impacts within a wide range (1–20 Hz), it could coincide with
certain natural modes of supporting-structure oscillations. In turn, those modes can also
change their frequencies depending on the spatial position of the hammer. Those dynamical
processes are similar both in hydraulic and electric hammering, but the supporting structure
is less susceptible to higher frequency oscillations in the latter case.
Depending on the shape of the treated material and crushing conditions, i.e., flat
surface and stable position or uneven shape on an unstable basement, different chisel
ends can be used: cone, blunt, or wedge. Worth noting is that during the operation of the
hammers, the shape of the chisel changes significantly but their replacement usually occurs
after full failure (rod bending or cracking).

3.5. The Diagnostics and Control of Linear Electric Motors

Since the hammers are subjected to severe impacts, they are susceptible to frequent
failures, and diagnostics is of great importance during a crushing machine’s operation.
Different kinds of internal faults in linear electric motors as a subclass of electrical machines
can be detected by the electrical signature analysis (ESA), motor voltage signature analysis
(MVSA), or motor current signature analysis (MCSA). These methods allow the detection
of damages not only in electrical parts but in mechanical elements too. Instead, hydraulic
actuators including hammers require the installation of additional sensors to measure such
parameters as pressure, oil flow, displacement, or acceleration.
The combined modeling and identification of the parameters of a tubular LIM (TLIM)
are represented by Agnello et al. [45]. In addition, the TLIM speed control for this specific
application is proposed. A fault diagnosis method is proposed by Wang et al. [46] to detect
current sensor faults for the primary permanent-magnet linear motor (PPMLM) in the

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traction system. Only two current sensors are required in this method, and the gain fault
and zero-offset fault can be distinguished.
Hydraulic hammers always apply maximum pre-installed impact energy, while the
electric hammer can automatically or manually control the impact. To eliminate this short-
coming, a hybrid system of a hydraulic breaker system is suggested by Yoon et al. [47] with
optimized impact forces and active control to improve energy efficiency. The characteristics
of rock properties are obtained by a proximity sensor which can determine the depth,
at which the piston stroke will reach the object. Moreover, a cascade control system for
multiple levels of impact points is included and monitoring modules are developed with
wireless communication. The field test showed the feasibility of the suggested breaking sys-
tem. However, the rebuilding of existing hammering systems makes this approach difficult
to implement, particularly, in mining machines working in harsh environmental conditions.
The original application of a three-phase LIM as a sensor of the damage in the contin-
uously rolled steel sheet is proposed by Szewczyk and Walasek [48]. A data-based method
to monitor linear electro-mechanical actuators is developed by Ruiz-Carcel and Starr [49].
The proposed algorithm uses the electric current and position data, which are typically
available from the controller, to detect and diagnose mechanical damage in the actuator.
The main parameter from the viewpoint of hammer performance is the impact energy,
whose reduction can be a sign of internal damage either in electrical or mechanical parts.
There are many methods of impact energy measurements but mainly in laboratory studies
on the test rigs (Ficarella et al. [7,50,51], Park et al. [52]).

4. Case Studies of Hammers Applications

4.1. Deep Drilling in Oil And Gas
Percussive-rotary drilling is an effective method for hard-rock drilling. Since hydraulic
and pneumatic hammers have many problems in deep core drilling, a new electromagnetic
hammer driven by a tube linear motor is introduced by Wu et al. [53]. The problem of the
relatively high working temperatures in a deep down hole is considered and its influence
on the electromagnetic thrust of the linear motor is analyzed. A model of the linear motor
hammer is developed, allowing the authors to analyze the impact power and frequency
under different stroke lengths and temperature conditions (see Figure 8). Impact frequency
and impact power have an inverse relationship, but the first parameter is non-linearly, and
the second is linearly, dependent. The impact stroke has an influence mainly below 50 mm.

Figure 8. The impact frequency and impact power with different impact strokes (a); average electro-
magnetic thrust and impact power curves under different temperatures (b) (Wu et al. [53]).

The prototype test showed that the linear motor hammer can reach and even ex-
ceed the hydraulic hammer of the same diameter, especially in the low-frequency range.
Wu et al. [54], using the developed model, estimated the loss of permanent magnet,
coil resistance variation, and coil thermal expansion within the temperature range from
20 ◦ C to 300 ◦ C. The obtained results of model simulations showed the by less than
31% trust reduced by copper loss; the thrust reduced by 18% by the permanent magnet

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loss. On the other hand, the effect of the air-gap change by thermal expansion can be
practically neglected.
A tubular linear permanent magnet motor used for drilling is described by
Zhang et al. [55]. The advantage of this motor is in the gas springs, which allow for
increasing the electric power transmitted to rock without additional elements. A math-
ematical model of the hammering process is composed and the dynamics of oscillatory
motions are analyzed. The dynamic response of no-load mode and load mode is compared.
Simulation results show the advantages of the additional spring in comparison to a simple
forced motion of the hammer.
In the rigs for blasting holes, and drilling in the underground mines and open pit mines,
there are many hydraulic cylinders (Wodecki [56]). They can be naturally substituted with
LIMs of appropriate scale because usually the electric power is supplied to these drilling
machines by additional connected cables, which can be used for electric units too. In this
case, the percussion force, thrust force and rotation torque can be combined in one device.
An example of an electric-hammer application for the drilling of blast holes is given by
Petit [57]. In the case of electric percussive drilling machines, the diagnostics of bit wear
become easier (Zhang et al. [58], Antonucci et al. [59]), due to simple hardware and software
tools for operational-parameter recording and electrical-signal interpretation.
A comparative study of pneumatic and electric drilling devices regarding productivity,
noise, vibration, and created dust is conducted by Rempel et al. [60]. The experiments
showed that noise, vibration, and respirable dust levels were higher (by 13 dB, 5×, and 40×)
with the pneumatic drill, while there were no differences in drilling productivity (ROP—
rate of penetration) between these two types of units of similar mass.

4.2. Metallurgical Forging Press

Probably, the most spectacular example of a linear electric motor application is the
metallurgical forging press shown in Figure 9. Due to the implementation of electrical
driving technology instead of traditional hydraulic drive, many technological benefits have
become available (Schuler [61]).

Figure 9. New linear electric forging hammer (Schuler [61]).

The embedded electronic control system can automatically adjust the energy of impact
and the number of necessary forging blows in accordance with the actual state after each
cycle, until the final part thickness is achieved. The influence of working-tool wear on
process accuracy can, therefore, be compensated by regulating the energy input. This

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approach and design of an electrically driven press improves product quality and makes it
possible to optimize the technological process.

4.3. Sieving Screens

Traditionally, hydraulic crushing hammers are used at the first stage of sieving screens
(see Figure 10), to prevent the passing of oversized rocks for further sieving and other
technological processes (Bembenek et al. [62], Korendiy et al. [63]).

Figure 10. New crushing hammer on the first in the technological chain sieving screen (METSO [64]).

One more industrial application of linear motors is for actuators of vibration in sieving
machines. Such types of drives allow the manufacturing of equipment with very low
energy consumption and material costs (Makarov et al. [65]).
The main problem, which should be solved in the actuators of sieving screens and
other vibrating machines for bulk-material processing, is the tuning of frequency, amplitude,
and trajectory (orbit) in the course of the operation when the properties of the sieved media
change (Gursky et al. [66]) and these changes are quite difficult to predict or track (Bardzin-
ski et al. [67–69]). Screen-parameter tuning is difficult to realize in the standard design
with unbalanced vibrators and requires different technical solutions (Gurski et al. [70,71]).
Using LIM as actuators can replace special spring supports requiring complicated methods
of diagnostics (Krot et al. [72]) and, thus, reduce maintenance actions and cost.
The linear electric motors used as the actuators of vibrating machines can easily change
all the above-mentioned technological parameters by the signals from accelerometers, real-
izing efficient feedback loop control. Aipov et al. [73] developed a sieve mill for a grain
cleaning machine driven by a linear induction motor. It is shown that the advantage of
a linear induction motor compared to standard drive designs is significantly less metal
consumption for drive shafts, transmission elements, connecting shafts, bearings, and struc-
ture. Hence, energy consumption is also reduced due to the pulse drive, which makes it
possible to perform technological-parameter regulation within a wide range for various
crops with various physical and mechanical parameters.

4.4. Crushing Hammers in Mining

By different estimates, depending on variable geological conditions and mineral
production technologies, about 15% of blasted rocks are oversized for further process-
ing, including transportation by heavy vehicles and belt conveyors (Doroszuk et al. [74],
Król et al. [75]), screening or comminution, which can cause machines failures or additional
energy consumption, e.g., in tumbling mills (Góralczyk et al. [76], Bortnowski [77]).
The influence of the particle-size distribution of excavated material on hydraulic
excavator productivity was experimentally investigated by Kujundžić et al. [78] by pho-
togrammetric method and the excavator working cycle was measured by analysis of video
recordings. It was discovered that a larger number of fine particles in granular materials
with a higher uniformity increases the volume of the bucket load. In underground mines,
the oversize pieces of the blasted ore generate additional loads on the structural elements
and transmission of load–haul–dump (LHD) vehicles (Krot et al. [79]).
The concept of “active bucket” is proposed by Gorodilov et al. [80,81] for open-pit
mining excavators, which supposes the dynamic impacts (vibrational or low-frequency)

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of buckets on the rock mass of high strength. Any bucket element (front wall, teeth)
can be equipped with a dynamic actuator (electromagnetic, hydromechanical, pneumatic
or hydraulic).
Unlike other types of crushers (jaw, cone, gyratory) designed for fine-fraction produc-
tion, impact hammers, both stationary and mobile, are intended to be used at the first stage
of blasted-rock-pieces treatment.
The energy consumption using the laboratory vibratory jaw crusher is estimated by
Mazur [82] for limestone and diabase. In this study, electrical energy is measured as a
function of changing parameters of the vibratory crusher: jaw stroke, the outlet gap section,
and the frequency of jaw vibration. The author compared the expected crushing energy
by the Bond hypothesis with the measured values and observed large differences between
them. The crushing work index is determined in [82] on the basis of Bond’s formula [83]:

Ejv
W Iv = √ √ , (5)
10(1/ D80 − 1/ d80 )

where WI v —crushing work index (kWh/Mg); E jv —specific energy of crushing (kWh/Mg);

D80 , d80 —control grain size for the feed and the crushing product, respectively (µm).
By analogy with the comminution process, the smaller the pieces after the material
crushing,
√ the more
√ energy is required for the hammering process. Hence, the component
(1/ D80 − 1/ d80 ) could be a measure of crushing-process intensity. However, this
parameter is well-suited for the small and fine fractions of materials with more similar
structures, while its application for crushing large oversized pieces of rock may have a
significant bias from theoretical values due to the action of many factors, e.g., piece position;
chisel position on the rock (middle or end), bit shape, edge wear; impact direction (angle of
inclination), rock stratification).

4.5. Application of Electric Hammers in Mining

The electric hammers based on a tubular linear asynchronous motor have an armature,
which produces an oscillating movement. To increase the power indices, the design can
include a pneumatic power accumulator, whose characteristics are matched with the
parameters of the linear asynchronous motor. In this way, the one-sided movement of
the linear asynchronous motor armature under the action of the electromagnetic forces is
provided, while the reversing operation happens due to a pneumatic spring. The pneumatic
shock absorber also protects the base unit from shock impacts.
The energy to the oversize piece of rock is transmitted from the armature to a separate
bit (chisel with a hard cone or wedge) via a certain clearance where the armature rod is
accelerated to gain the appropriate kinetic energy. A required working voltage (DC or AC)
is supplied to the linear electric motor and due to the traveling electromagnetic field in the
stator, the armature goes up and down.
In the case of helical steel springs or gas accumulators, the moving armature com-
presses a spring or gas and when the forces acting on the armature body reach equilibrium
at the upper position, the linear motor stator can be periodic with a certain periodicity
disconnected from the line by a signal from the power controller or special sensor. Then,
the armature moves down and applies an impact to the tool. The energy of a single impact
may be controlled by changing the volume of the gas accumulator (stiffness of the spring)
and the function of the supplied voltage (time that the motor for moving the armature is
turned on).

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The linear electric motor hammers do not require secondary energy converters (com-
pressors, oil pumps, hydraulic lines), which increase the energy efficiency of the hammer
since they are powered directly by the main electric lines. The mechanical impact energy of
the electric hammer achieved by Kabachkov et al. [84] reached 18,500 J and the crushed
volume of oversize magnesite up to 4.5 m3 . The hammer power supply voltage is 380 V;
the total mass of the hammer is 3000 kg; impacting part mass is 110 kg; the mass of the
tool is 250 kg and the diameter is 0.2 m. The pieces were treated at the frequency of
60–100 min−1 (1–2 Hz). The conducted tests showed that after a series of impacts by the
wedge (lance) end of the tool, a pulverized layer appears on the surface, which absorbs the
energy of the impacts. The total number of impacts for the largest pieces was up to 12–14
and even 1–2 impacts were enough for small-piece (0.5–1.5 m3 ) crushing with the impact of
maximum energy.
In the construction industry, hammers are used for hard-concrete-element demolition
(walls, foundations). The use of electric hammers to break up concrete foundations in
the process of the overhaul and replacement of production equipment is described by
Minaev et al. [85]. The cooling system of the electric hammer is designed for a duty factor
of 15%. In the experiments, the authors suspended a hammer from an overhead crane in
the workshop.
The operators of both hydraulic and electric hammers should put the impact tool on
the oversize piece at a straight angle to prevent its sliding over the surface and possible
bending. The oversized piece of rock should be crushed starting from the edge and, step
by step, continued to the center. To prevent tool-bit heating, which promotes its strength
reduction and excessive wear, a maximum of only 10–20 strikes should be produced with a
subsequent stopping. The maintenance staff should provide scheduled lubrication of the
tool and bit sharpening.
The current challenges for underground and open-pit mining include the improvement
of safety as well as the optimization of production processes, reducing bottlenecks and
downtime while increasing the operational efficiency of the machines. To achieve these
goals, the hydraulic hammer can be remotely controlled, allowing for a more comfortable
and safe work environment.
A specific stage in the production chain of an underground copper mine is a place
where blasted bulk material is transported by the LHD vehicles and heavy trucks to
the conveying system. Such a place is called a dumping point (see Figure 11), which is
equipped with a screen classifying the material into coarse and fine fractions. The process
of bulk material delivery has a cyclic schedule (Krot et al. [86]) and the performance of
a hydraulic hammer breaking oversized rocks to prevent damage to the conveyor belt
affects the overall productivity of the mine. Therefore, to make the hammering process
continuous, a prototype test rig has been proposed for debugging the algorithm for the
automatic detection of oversized rocks, crushing them along with sweeping of bulk material
(Stefanik et al. [87]). The whole view of the hydraulic manipulator with a hammer is
depicted in Figure 12.

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Figure 11. The dumping point with a screen and hydraulic hammer on the manipulator in the
underground mine (Stefaniak et al. [87]).

Figure 12. Typical design of hydraulic manipulator with the hydraulic hammer for crushing of
oversized pieces of blasted material (KGHM ZANAM [88]) in the underground mine: 1—boom; 2—
hydraulic unit; 3—air-conditioned cabin; 4—hydraulic system; 5—central control system; 6—electrical
unit; 7—automatic fire extinguisher; 8—hydraulic hammer.

To improve the efficiency of the hydraulic system at the dumping point, an approach is
proposed by Siwulski et al. [89] based on the analytical model of a stationary rock-breaking
machine (see parameters in Table 2). The results of the calculations showed benefits from a
modified hydraulic system in energy consumption.

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Table 2. Parameters of the hydraulic manipulator and hammer (KGHM ZANAM [88]).

Parameter Value Units

Height min 5.0 m2
Width min 6.0 m2
Length min 10.0 m2
Boom reach 4700 mm
Boom turning angle ±40 grad
Total weight 7000 kg
Impact energy 400 ÷ 1900 J
Working pressure 10 ÷ 17 MPa
Hydraulic oil flow 20 ÷ 120 L/min

The concept of process monitoring and automation with visual sensors for au-
tonomous operation and remote hammer control in such applications is represented by
Krauze et al. [90]. The development of a telerobotic rock breaker is also described by
Duff et al. [91].
A similar system for the automatic control of impact hammers used in underground
mines is described by Cardenas et al. [92]. The position and angle are determined at which
the impact hammer must strike a rock to break it. The automatic system uses sensor
data composed of point clouds and images. The rock segmentation subsystem receives
identifiers of the rock pieces above the grizzly screen and transfers information to a pose
generation subsystem, which produces a list of rock-breaking targets. Then, it selects the
best candidates among them. The conducted experiments showed the efficiency of the
developed system.
Poor visibility in the underground environment may result in a collision between
the hammer and the grizzly screen covered by fine fractions of bulk material. To prevent
machine damage, Correa et al. [93] developed the haptic tele-operation system based on
a 3D LIDAR scanning and point-cloud model of the environment, which can estimate
repulsion forces transferred to the operator (see Figure 13).

Figure 13. The 3D LIDAR scanning at the dumping point of the underground mine for tele-operation
of hydraulic hammer (Correa et al. [93]).

Regarding the autonomous operation of impact hammers, although research started

more than twenty years ago (Takahashi et al. [94]), the reported results are still not satisfac-
tory for the application of this technology in a real mining environment. Lampinen et al. [95]
obtained an average success rate of only 34% in the task of the remote control of rock breaking.
All such automated and semi-autonomous systems for hydraulic hammer positioning
have certain functional limitations related to the absence of additional control of impact
force and frequency, which can be realized in the electric hammers.

4.6. Prediction of the Impact-Hammer Performance

While performing crushing operations, the constant setting of breaking force causes
energy dissipation due to the various strengths of the material. In cases when the overall

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situation is not monitored, this may damage the mechanical and hydraulic components of
the system. Frequent maintenance and parts replacement can result in costly losses and
increased downtime. Therefore, a novel approach to rock breaking is needed that is able to
predict the treated material properties in order to set an optimal impact force and frequency
of hammer impacts.
There are many kinds of rock mass classifications and ratings (Bieniawski [96],
Aksoy [97]). The typical classification of rock materials by the unconfined compressive
strength (UCS), which is most applicable for separated rock pieces, is given in Table 3.

Table 3. The unconfined compressive strength (UCS) of rock materials (Bieniawski [96]).

Material Grade UCS (MPa)

Very soft 30
Soft 70
Medium hard 100
Hard 130
Extremely hard 160

The main dynamical parameters in the rock-crushing process by hammers are as

follows: strike length L; impact energy E; impact frequency f ; and impact efficiency η.
For hard rocks, longer strokes are better, while shorter and higher frequency impacts are
used for softer rocks to reduce unnecessary energy losses, which improves the performance
and durability of machine parts (Yoon et al. [47]).
Mezentsev [98] determined the crushing efficiency of a hydraulic hammer as follows:

A
η= , (6)
Qc ∆p

where A—crushing energy; Qc —volumetric consumption in a cycle; and ∆p—difference

in inlet/outlet pressure of the hammer. The relation of hammer efficiency with power is
shown in Figure 14. It was concluded in [98] that efficiency rises with power but, at the
same time, greater power corresponds to higher frequencies (6.0–11.7 Hz) for almost equal-
impact energy values. The author concluded that the most influencing factor of efficiency
is the hydraulic distributor and the most advanced devices can provide a maximum of
60–70% efficiency.

Figure 14. The efficiency of hydraulic hammering vs. power [98].

Crushing energy delivered to a working tool is determined (but not equal to) by the
kinetic energy of the moving part of the hammer:

mv2
E= , (7)
2
where m—mass of moving part; and v—velocity at the moment of impact.

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However, not all of the kinetic energy generated by the moving part is transferred
to the rock mass. It depends on the rebound rate in the contacts with the working tool
(back end of the chisel) and with the rock surface (front end of the chisel). In mechanics,
for collision with a stationary surface, this dynamic process is described by the coefficient
of restitution (CR ):
u
CR = , (8)
v
where u—speed after impact; and v—speed before impact. Its values correspond to two
marginal cases of collision: 0—absolutely inelastic impact; and 1—absolutely elastic impact.
The latter case is preferable in both contacts from the viewpoint of rock-crushing efficiency
by the hammer. This coefficient does not account for the masses of colliding bodies;
however, such influence exists.
The hardening of the working-tool material made of alloy steel at the top end can
change the CR after a long series of impacts. Therefore, material properties (steel grades) of
an electric core should be correctly chosen (or bottom-end hardened) to provide durability.
The other relations describing the hammering process depend on design parameters:
The acceleration of the moving part:

Fe
a= , (9)
m
The maximum velocity before impact:

Vmax = at, (10)

The time of one-way motion (half-period of vibration):

r
2S
t= , (11)
a
The required frequency of hammer:
1
f = , (12)
2t
where m—is the mass of the moving part; Fe —thrust force acting on the moving part from
the electric system; and S—the distance between the working tool’s upper end and the
moving part’s lower end in its upper position (see δ12 in Figure 7b).
Certain efforts have been undertaken to predict the properties of crushed materi-
als to increase the efficiency of breaking hammers (Aksoy et al. [99], Ismael et al. [100],
Kucuk et al. [101], Tumac et al. [102]). Research on the resonance characteristics of rock
material under harmonic excitation is represented by Li et al. [103], where the influence of
excitation frequency, the rock properties and dimensions are analyzed using FEM. The mass
and shape of the rock are the main factors affecting its resonance frequency, besides the
material properties. A 3D FEM model of impact is developed and experimentally verified
by Chiang et al. [104], which permits simulation of the energy transmission to the rock via
the bit–rock interaction, and to analyze the process of rock fragmentation. The majority
of studies in this domain are devoted to the small-size bodies’ (projectiles) penetration
into different concrete walls with comparatively low energy. Anyway, results obtained by
Higan et al. [105] can be useful in hammering analysis. For example, more dense materials
produce less fractured masses and have larger dominant fragment sizes. The tip geometry
influenced the penetration depth, which was in quadratic relation with the initial kinetic
energy (Kumano et al. [106]). The dominant rock properties affecting the penetration rate
in percussive drilling are determined by Kahraman et al. [107] and they are uniaxial com-
pressive strength, the Brazilian tensile strength, the point load strength and the Schmidt
hammer value. However, the rate of penetration has weak correlation with both elastic
modulus and density, and the absence of correlation was noted with P-wave velocity.

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Energies 2023, 16, 959

The results of experimental and numerical studies of the impact breakage of granite
with high ejection velocities are represented by Zhang et al. [108]. The dependencies of
the high-speed collision parameters granite damage ratio (αd ) and energy dissipation (End )
on impact velocity are shown in Figure 15. Although the usual range of hammer impact
velocities is less than shown in these graphs, the general dependencies (almost linear) will
also be valid for low-frequency hammering applications.

Figure 15. Dependencies of hammering parameters on impact velocity: (a) granite damage ratio (αd );
(b) energy dissipation (End ) (Zhang et al. [108]).

Results of the experimental investigation are reported by Gorodilov and Efimov [109,110]
of shock pulses in the piston-bit system in interaction with rock mass. The rock mass was
simulated by a marble block of 0.95 × 0.95 × 1.5 m3 in size and 400 kg in weight. The test
cylindrical pistons (3.1, 5 and 16 kg and 565 mm) were impacted by a pendulum hammer
into the bits (5 and 9.6 kg and 160 mm) with a tapered end (30 mm length and 60◦ angle),
which was tightly contacted with a rock. The pre-blow velocities of the pistons (5.01, 4.01,
2.25 m/s) were set to obtain similar impact energies for the different weights. The highest
efficiency of rock fracture is observed in the piston–bit pair of 5.5–5 kg weight, while the
lightest piston (3.1 kg) has the highest recoil and the weakest fracture efficiency. The other
two pistons have small recoil, which corresponds to the higher energy transfer coefficient
to the bit. The shock duration (up to negative velocity moment) is 0.1 ms for the 5 kg piston
and 0.6 ms for the heavier piston. The motion patterns of the 3.1 and 5.5 kg pistons differ
from the 16 kg piston; namely, lighter pistons exhibit oscillations with a period close to the
double wave travel time in these pistons. For the heavier piston, such oscillations were
almost invisible. The logical continuation of these results is the development of a hammer
design methodology and the creation of a control system adaptable to material properties
(Gorodilov et al. [111]).
The Leeb hardness test (LHT) with a test value of LD for rock materials is investigated
by Corkum et al. [112]. An updated methodology is developed and the correlation of Leeb
hardness LD with UCS units is shown. Instead of manual measurements with special tools
according to ASTM ASTM D5873-14 [113], this methodology can be efficiently implemented
for automatic online monitoring and process control in electric hammers with additional
sensors, e.g., proximity meters (Yoon et al. [47]).

5. Experiments on the Electric Hammer

The previous studies of the electric hammer of Lekatech Oy were conducted by
Mayer [114] and Korhonen [115] concerning technical issues and to ensure the electric
hammer complies with requirements set for the European Economic Area and product
safety for North American markets (Ukkola [116]).
The current research project being carried out by the authors is related to:
• Performance assessment of the electric hammer in the various geological conditions of
mining companies in Poland, Finland, and Spain;
• Measurement and collection of operational process data;

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Energies 2023, 16, 959

• Checking the reliability of electric-hammer elements in the conditions of underground

and opencast mines;
• Determination of optimal controlled vibration parameters for various materials and
grinding tasks.
Accessories required for the electric-hammer operation are as follows: cooling system
(not always necessary), inverter, rectifier, fuses, relays, and chisel lubrication unit, which
were provided for the hammer installed on the excavator in a separate box (see Figure 16a).
In the pilot LEH design, the user interface is organized via touch screen PLC CPX-Terminal-
Vemcon 7” (see Figure 16b).

(a) (b)
Figure 16. The Lekatech electric hammer (LEH) based on a linear electric motor installed on the
excavator (a) and the user interface (b) (Lekatech [117]).

The LEH’s main power is 500 V AC. This is converted to DC by the passive rectifier,
after which its DC voltage may change a little. The inverter then changes the current back
to AC, according to which mode the hammer is controlled. This AC is fully controlled by
PLC and allows the LEH to produce impacts with many different frequencies and energies
(see Table 4). Once the hammer’s mode (frequency and impact energy) has been selected
from the terminal, the joystick button (foot pedal) is used to operate the hammer, if the tool
is pressed down, and the tool limit switch is, hence, on. Oil and water cooling happens
periodically or if the respective temperatures become too high.

Table 4. Technical parameters of Lekatech electric hammer (LEH) [118].

Parameter Value Units

Hammer weight 454 kg
Minimum working weight 516 kg
Impact frequency (adjustable) 60–900 min− 1
Impact energy (adjustable) 500–1500 J
Working tool diameter 90 mm
Voltage (main) AC 400 V
50 Hz
3 × 63 A
Voltage (converter) DC 700 V

The series of experiments were conducted with different frequencies of impacts and
chisel end shapes (Mayer [114]). The graphs of impacts and corresponding kinetic energy
of the electric hammer are shown in Figure 17 for the frequency of 18 Hz and 1 s of time
duration. Every cycle of hammering certainly shows individual patterns of impacts and the
amplitudes of vibrations depending on the current state of the treated material (granite). In
addition, reinforced concrete samples were used in the experiments.

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Energies 2023, 16, 959

Figure 17. Dynamic parameters of the electric-hammer testing at 18 Hz: chisel position (mm), velocity
(m/s), acceleration (m/s2 ), and kinetic energy (J) [114].

From these represented graphs of dynamical parameters, it is noted that after the
impact on the material, the chisel rebounds, which produces corresponding peaks in
velocity and acceleration signals. However, these high-frequency jumps of small amplitude
are not visible in the position signal due to a double integration of the original signal. Since
the kinetic energy is calculated by the velocity, this signal also exhibits certain signs of
chisel rebounds from the treated material surface.
The time-domain graph of power consumption by the electric hammer at the impact
frequency of 18 Hz is shown in Figure 18. The power-consumption graphs show that the
power consumption of the inverter is constant when the moving-part position goes up and
decreases quickly to zero as the mover is accelerated rapidly downwards onto the tool.

Figure 18. The power consumption of the electric hammer at the impact frequency of 18 Hz
(Mayer [114]).

The kinetic energy of the actuator, as determined by the vibration measurements at

the top of the hammer, is highest at frequency settings of 0.9 and 5 Hz (see Figure 19).

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Energies 2023, 16, 959

Figure 19. Dependence of kinetic energy on impact frequency (Mayer [114]).

Depending on the frequency, type of processed material, and shape of the crushing
tool (cone, blunt, wedge), the time to fracture varies significantly (see Figure 20).

350

■ Cone, Normal Concrete

300
■ Blunt, Normal Concrete
- 250
■ Wedge, Normal Concrete
�
Cone, High-Strength Concrete
IV
Q)
200 Blunt, High Strength Concrete
..0
� ■ Wedge, High-Strength Concrete
Q)

IV
150
�
Q)

100

- -
50

0
1.5 (7.4)
- 5 (9.6) 8 (9.5)
I
17 {4.8) 18 (3.8)
Frequency {Hz)

Figure 20. Dependence of time to break on impacts frequency (Mayer [114]).

6. Discussion
Many technological operations in mining, oil and gas, raw-materials processing, con-
struction (demolition), and other heavy industries demand certain solutions to increase
productivity, energy efficiency, and personnel safety along with a reduction in maintenance
costs, and environmental impact (exhaust gases emissions, wastes utilization). To satisfy
these frequently contradictory requirements, innovative technical solutions based on ubiq-
uitous digitization, automation, and the electrification of machines have been proposed
and implemented in recent years.
For many types of technological machines, where, traditionally, hydraulic drives were
used including hammers, designers are trying to modify them with electrical counterparts
(Wagner [119]). However, large-scale electric hammers are not yet enough widely used
in industry due to a lack of producers and on-site investigations and comparison with
hydraulic analogs of the same power and productivity.
For the correct comparison of the hydraulic breaking hammer and linear motor electric
hammer in industrial conditions, the complexity of the process and the uneven conditions
in the experiment should be taken into account. Many uncertainties have resulted from
uncontrolled factors (e.g., human actions, inhomogeneity of the rock, and the content of
oversized pieces). However, being aware of the limitations and adopting certain simplifying
assumptions, the comparison can be conducted on the basis of:
• Two separate experiments for both types of hammers in similar working conditions;
• The same mass of spoil (1–5 Mg), grain size (>50 cm), rock type (the same part of the
deposit);
• Hammer settings (frequency, energy, etc.) taking into account hydraulic hammer
limitations (no parameters adjustment);
• Preferably the same experienced operator in both cases;

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Energies 2023, 16, 959

• Video recordings of both experiments.

Electric power supply for new hammers in the on-surface and underground appli-
cations for stationary manipulators (dumping points, sieving screens) is not a problem.
For mobile machines, additional cabling should be provided such as in reinforced bolting
installation and blast-hole drilling machines.
Although electric hammers will be subjected to excessive impacts, their durability
is higher and maintenance costs are lower than the hydraulic units. Additional savings
are expected from the lower amount of waste hydraulic oil for utilization. In the case of
diesel-engine-powered machines, fewer exhaust-gas (NOx) emissions and, simultaneously,
higher energy efficiency and fuel consumption are provided.
The main advantage of electric hammers is the possibility to control (adjust) the impact
power and working frequency depending on the hardness and morphology of the treated
rock material. This direction needs further development from the viewpoint of appropriate
sensors and methods of material properties detection. Using visual methods for hammer
control may improve tele-operation and, finally, create efficient autonomous solutions for
personnel safety and comfort in harsh environmental conditions.
Probably, the only application where linear electric motor actuators are not quite
suitable for hydraulic-cylinder replacement is the large-scale roof supports subjected to
constant high static and dynamic loads (Szurgacz [120,121]). Instead, the combination of
hydraulic cylinders and linear electric motor actuators may bring new functional benefits
in the case of meeting explosion safety regulations in underground coal mines.

7. Conclusions
The conducted review of available literature and some preliminary experiments on
the linear electric motor hammer have shown that this solution has many advantages and
certain complications for implementation in the industry.
In this paper, we considered the most critical problems related to the design, perfor-
mance, control, dynamics, and materials of electric hammers.
We claim that hydraulic hammers’ substitution with fully electric hammers, at least
in mining and construction (structures demolition), is a prospective approach allowing
a significant reduction in the energy consumption and maintenance costs of appropriate
machines. Certainly, the replacement of hydraulic hammers should be performed close to
their lifetime. Nevertheless, the short period of return on investments (1–2 years) makes
electric hammers beneficial, especially in enterprises with a big fleet of machines. The only
additional investment required for electric-hammer adaptation is the cables and probably
power supply points, which can also be used in other operations.
The significance of the comparison of the two types of hammers is in achieving a
more clear understanding of what benefits can be achieved not only in energy saving
and environmental-impact reduction but also in the overall performance improvement of
raw-materials processing. Namely, preferably, the automatic or manual control of shock
energy, the amplitude of stroke, and frequency of impacts depending on the rock properties,
size of pieces, and surrounding conditions. To increase the effect of breaking-machine
digitization, additional sensors are quite easy to integrate into an electric hammer, more
than in a hydraulic counterpart.
We mainly deal here with important problems from a practical perspective; however,
a lot of scientific tasks can be formulated aimed at further improvement of electric hammers’
design. For example, an investigation of higher temperatures, humidity, and intensive
impacts in underground mines where machine maintenance is complicated. Durability is
a critical parameter of any new mechanism intended for implementation, which will be
considered first by the technical staff of enterprises.

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Author Contributions: Conceptualization, J.P., T.M. and R.Z.; methodology, P.K., A.W. and R.Z.;
software, T.M.; formal analysis, R.Z.; investigation, A.W. and P.K.; resources, J.P.; data curation, A.W.;
writing—original draft preparation, P.K., A.W. and R.Z.; writing—review and editing, P.K., A.W. and
R.Z.; visualization, P.K. and T.M.; supervision, R.Z. All authors have read and agreed to the published
version of the manuscript.
Funding: This activity has received funding from the European Institute of Innovation and Technol-
ogy (EIT), a body of the European Union, under the Horizon 2020, the EU Framework Programme
for Research and Innovation. This work is supported by EIT RawMaterials GmbH under Framework
Partnership Agreement No. 21016 (ECHO: Electrical Computerised Hammering Operator).
Data Availability Statement: The measurement data presented in this study are not publicly avail-
able due to restrictions of privacy.
Conflicts of Interest: The authors declare no conflict of interest.

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138
 energies
Article
The Development of Coal Mine Methane Utilization
Infrastructure within the Framework of the Concept
“Coal-Energy-Information”
Arina Smirnova 1,2 , Kirill Varnavskiy 1 , Fedor Nepsha 1, *, Roman Kostomarov 1 and Shaojie Chen 2

1 Mining Industry Digital Transformation Lab, Mining Institute, T.F. Gorbachev Kuzbass State Technical
University, 650000 Kemerovo, Russia
2 State Key Laboratory of Mining Disaster Prevention and Control Co-Founded by Shandong Province and The
Ministry of Science and Technology, Shandong University of Science and Technology, Qingdao 266590, China
* Correspondence: nepshafs@[Link]

Abstract: The operation of coal mines is intricately linked with emitting a large quantity of coal
mine methane, and in most cases, this methane releases into the atmosphere. In total, according to
statistics, coal mining enterprises emit 8% of anthropogenic methane, determining a contribution to
greenhouse gas emissions to the amount of 17%. There are various means for coal mine methane
utilization. In this study, the concept “Coal-Energy-Information” is proposed. This concept implies
both the construction of data processing centers on the industrial sites of coal mines and the usage
of coal mine methane. Coal mine methane can be used as a primary energy source for the energy
supply of data processing center consumers as well as coal mine consumers with necessary energy
resources (electricity, heat, and cooling). Within the framework of the proposed concept, three options
of coal mine methane utilization are considered. The first option is the use of gas genset for electrical
and thermal energy generation (cogeneration) and their usage for coal mine and constructed data
Citation: Smirnova, A.; Varnavskiy,
processing centers and consumers’ power supply. The second option is absorption refrigerator
K.; Nepsha, F.; Kostomarov, R.; Chen, usage (with coal mine methane direct burning) for cooling the IT equipment of constructed data
S. The Development of Coal Mine processing centers. The last one is the use of a gas genset and absorption refrigerator (trigeneration)
Methane Utilization Infrastructure for constructed data processing centers’ and coal mine consumers’ energy supplies (electricity, heat,
within the Framework of the Concept and cooling). In conclusion, it is noted that proposed concept is closely correlated with the program
“Coal-Energy-Information”. Energies for the development of the coal industry in Russia for the period up to 2035, since it allows creating a
2022, 15, 8948. [Link] base for the implementation of innovative technologies based on digital platforms that ensure the
10.3390/en15238948 development of coal mining technology without the constant presence of personnel in underground
Academic Editor: Dameng Liu mining facilities.

Received: 31 October 2022

Keywords: coal mines; data processing centers; trigeneration; coal mine methane utilization
Accepted: 20 November 2022
Published: 26 November 2022

Publisher’s Note: MDPI stays neutral

with regard to jurisdictional claims in 1. Introduction
published maps and institutional affil-
According to the results and reports of 2021, the coal production in Russia almost
iations.
reached the level of 2019 and was more than 435 million tons, virtually 10% higher than
that in 2020. Therefore, the dynamics of the huge surge in coal demand in the world market
has been noticed in the extraction volume and national coal costs over the period of 2021.
Copyright: © 2022 by the authors.
Figure 1 provides current data about the coal costs per ton of three global futures [1].
Licensee MDPI, Basel, Switzerland. According to the given information, the behavior of steam coal costs for the period from
This article is an open access article 2021 to present was ambiguous. It is shown that in the second half of the year, coal
distributed under the terms and costs remained approximately stable and were USD 220 per ton. By the end of 2021, the
conditions of the Creative Commons Rotterdam and Newcastle Coal Futures prices began to increase rapidly. The reason for this
Attribution (CC BY) license (https:// was the abolishing of anti-COVID restrictions in the world and the growth in demand for
[Link]/licenses/by/ primary energy sources. However, containment measures are still being taken occasionally
4.0/).

139
 Rotterdam and Newcastle Coal Futures prices began to increase rapidly. The reason for
this was the abolishing of anti-COVID restrictions in the world and the growth in demand
for primary energy sources. However, containment measures are still being taken occa-
sionally in China. Due to that fact, the significant decline in production in China is re-
Energies 2022, 15, 8948
flected in the steady cost of coal.
There was a spike in coal costs because of aggravation of the international energy
crisis in the first half of 2022. Therefore, the peak of Newcastle Coal Futures prices was
reached
in [Link] September
Due andthe
to that fact, wassignificant
USD 420 per ton, in
decline and for Rotterdam
production CoalisFutures,
in China reflecteditsinpeak
the
steady cost of coal.
was in July with a USD 390 per ton price.

[Link]
Figure Trendsand
andforecasts
forecastsofofworld
worldcoal
coalprices
prices[1].
[1].

There was a spike

The ambiguous in coal costs
dynamics of coal because of aggravation
prices have of the international
a negative impact on the economic energy
sta-
crisis
bilityin
ofthe
coalfirst half of
mining 2022. Therefore,
enterprises. the peak
In this regard, anofurgent
Newcastle Coal Futures
task arises: findingprices was
alternative
reached
ways toinensure
September
economicand was USD 420 per
sustainability ton,the
using andexisting
for Rotterdam Coal Futures,
infrastructure of coalits peak
mining
was in July with a USD 390 per ton price.
enterprises.
The ambiguous
According to mostdynamics
forecasts, of the
coalconsumption
prices have of a negative
coal will notimpact
growonsignificantly
the economic an-
stability of coal mining
ymore. Moreover, it willenterprises.
slow down In thisfuture,
in the regard,and an it
urgent
seemstask arises:
logical finding
to use alter-
the current
native
periodways
of highto prices
ensurefor economic sustainability
coal to search for new using the existing
techniques infrastructure
for business of coal
diversification of
mining enterprises.
coal mining enterprises, because the obtained windfall can be directed to the creation and
According to
implementation ofmost forecasts, the consumption of coal will not grow significantly
new technologies.
anymore. Moreover,
The most obvious wayit will slow down in the
to introduce future, andfor
technologies it seems logical
coal deep to use theiscurrent
processing to use
period of high prices for coal to search for new techniques
the industrial site of coal mining enterprises whenever possible. However, for business diversification
this method of
coal mining enterprises, because the obtained windfall can be directed
requires significant capital investments, while the markets for such products are not al- to the creation and
implementation
ways clear. of new technologies.
The most promising
Another obvious way to introduce
option technologies forofcoal
is the implementation deep technologies
various processing is within
to use the
the
industrial site of coal mining enterprises whenever possible. However,
“Coal-Gas-Electricity” concept [2], with the production of electrical energy at the output. this method requires
significant capitalcertainly
This option investments, whileprospects
has great the markets for such products
for practical are not always
implementation, clear.
but according
Another promising option is the implementation of various
to the authors, it can be supplemented and expanded, namely by the creation of technol- technologies within the
“Coal-Gas-Electricity” concept [2], with the production of electrical
ogies within the framework of the “Coal-Energy-Information” concept. In practice, this energy at the output.
Thisthe
implies option
use ofcertainly has greatand
infrastructure prospects
productionfor practical
facilitiesimplementation, but according
of coal mining enterprises for
to the
the authors, it can
construction andbe supplemented
provision and expanded,
of the engineering namely byofthe
infrastructure creation
data of technolo-
processing centers
gies within the framework of the “Coal-Energy-Information” concept. In practice, this
(DPCs) with the necessary energy resources.
implies the use of infrastructure and production facilities of coal mining enterprises for
Currently, there is constant growth in the IT industry. The volume of processed data
the construction and provision of the engineering infrastructure of data processing centers
is increasing, and consequently, the volume of electricity consumption of DPCs is also
(DPCs) with the necessary energy resources.
growing [3]. Therefore, the growing demand for DPCs leads to a construction cost in-
Currently, there is constant growth in the IT industry. The volume of processed data
crease.
is increasing, and consequently, the volume of electricity consumption of DPCs is also
Energy consumption by DPCs is significant, and it can be said that DPCs belong to
growing [3]. Therefore, the growing demand for DPCs leads to a construction cost increase.
the energy-intense industrial energy consumers. The share of electrical energy costs is
Energy consumption by DPCs is significant, and it can be said that DPCs belong to the
about 40% of the total OPEX. Taking into consideration the trend to use clean energy
energy-intense industrial energy consumers. The share of electrical energy costs is about
sources, in [4], the need to use renewable energy sources to create “green” DPCs is men-
40% of the total OPEX. Taking into consideration the trend to use clean energy sources, in [4],
tioned. However, the use of “traditional” renewable energy sources in Kuzbass (the main
the need to use renewable energy sources to create “green” DPCs is mentioned. However,
coal-producing
the region in
use of “traditional” Russia) isenergy
renewable far from constant
sources cost effectiveness.
in Kuzbass (the main coal-producing
region in Russia) is far from constant cost effectiveness.
However, for Kuzbass, it is relevant to use one the most ecologically clean sources
from the hydrocarbon ones: coal bed methane (CBM). The coal deposits in Kuzbass contain
large amounts of CBM comprising methane from 80% to 95%, with lower contents of such
heavier hydrocarbons as ethane and propane and nonhydrocarbon gases such as nitrogen
and carbon dioxide [5].

140
Energies 2022, 15, 8948

The Kuznetsk Basin, situated in the southern part of Western Siberia, is the most
mature basin for CBM exploration and development in Russia, with prospective original
in-place hydrocarbon reserves of 13.1 trillion m3 [6]. Thus, CBM can be simultaneously
not only a hazardous industrial factor in coal mining but also a valuable co-product for
recovery and utilization [7].
CMM is a type of CBM released as a direct result of the physical process during
underground mining works and coal seam extraction. According to the authors of [8], coal
mines emit 8% of their anthropogenic methane emissions during extraction and processing
activities. In the first half of 2022, Kuzbass mining enterprises extracted 38 million tons with
underground methods, while the average methane emissions per 1 ton of extracted coal
was 17 m3 /t [9]. The rapid development of the coal mining industry led to the increase in
mining depth, which remarkably affects environmental pollution with methane emissions.
Because of the high CMM quantities emitted into the environment, methane utilization
is an advanced and relevant direction for coal region development. For greenhouse gas
emissions mitigation, methane could be captured and used for power generation [10].
Therefore, the use of one more alternative sources of energy (CMM) for power genera-
tion is of growing interest. According to the authors of [11], the cost of power generation
using CMM is 30–50 percent lower than the cost of power generation produced by wind
power plants. At the same time, the investments to eliminate 1 ton of equivalent annual
carbon dioxide emissions when using CMM are USD 34, which is four times lower than
the CAPEX of wind farms (USD 100–142).
In general, three main factors determine the feasibility of CMM utilization: (1) reduc-
tion of the number of MAM explosions during underground coal deposit development
and improving the safety of mining activities; (2) new job formation at gas fields and gas
processing enterprises and improving the economic performance of coal mines; (3) improv-
ing the environmental situation in coal mining regions by the reduction of greenhouse gas
emissions, one of which is methane. (The global warming potential of methane is 21 times
greater than that of carbon dioxide.)
There are many studies devoted to the issue of CMM processing [8,12–19]. In general,
they are aimed at ensuring the maximum use of CMM released from coal seams with
efficiency of up to 95%. For this purpose, a gas genset operating in a trigeneration cycle
can be used. The trigeneration cycle allows providing an electrical power supply to a coal
mine and DPC, as well as providing a heat supply to a coal mine and cooling to the IT
equipment of a DPC. In the future, the deep processing of CMM can provide production of
carbon dioxide, which can be used in agriculture.
Within the framework of this article, the authors considered three options for the
utilization of CMM:
1. The use of a gas genset for generation of electrical and thermal energy (cogeneration);
2. The use of a gas genset and absorption refrigerator (AR) for an energy supply to a
DPC constructed on the industrial site of a coal mine (trigeneration);
3. The use of an AR (with direct burning of CMM) for the cooling of IT equipment of
constructed DPCs.
This article is structured as follows. In Sections 2–4, options for the utilization of CMM
are considered. Sections 5 and 6 provide a comparison of three methods of CMM utilization
and considers the stakeholders interested in the development of the CMM utilization sector
and the deployment of DPCs. Section 7 provides the conclusion of the article.

2. Energy Supply System Based on a CMM-Fired Gas Genset

2.1. Common Information
In contrast to traditional gasfields, CBM is an unconventional methane resource, and
methane is not in a free form in the porous medium but in a bound (sorbed) form, which is
stored in the natural fractures (cleats) and coal micropores [20,21]. The coal seam methane
content is the volume of methane contained in a unit volume of coal (in m3 /t) on a dry
ash-free (daf) basis. The values for the coal seam methane content in the Kuznetsk Basin

141
 [Link]
EnergySupply
SupplySystem
SystemBased
Basedon
onaaСMM-Fired
СMM-FiredGas
GasGenset
Genset
[Link]
2.1. CommonInformation
Information
Incontrast
In contrastto totraditional
traditionalgasfields,
gasfields,CBM CBMisisan anunconventional
unconventionalmethane methaneresource,
resource,and and
methane is not in a free form in the porous medium but
methane is not in a free form in the porous medium but in a bound (sorbed) form, which in a bound (sorbed) form, which
Energies 2022, 15, 8948 isisstored
storedin inthe
thenatural
naturalfractures
fractures(cleats)
(cleats)and andcoalcoalmicropores
micropores [20,21].
[20,21]. The
Thecoal coalseam
seamme- me-
thane content is the volume of methane contained in a unit
thane content is the volume of methane contained in a unit volume of coal (in m /t) on a volume of coal (in m 3
3/t) on a

dry ash-free
dry ash-free (daf)
(daf) basis.
basis. TheThe values
values for for the
the coal
coal seam
seam methane
methane content
content in in the
the Kuznetsk
Kuznetsk
Basin area
Basin area reach
reach moremore than
than 30 m
3 /t on
30 m3/t/t on
3 on aa daf
daf basis and and riserise with
with increasing
increasing coal depositdeposit
area reach more than 30 m a daf basis andbasis
rise with increasing coal depositcoal depths and
depths
depths andheatand decreasing
decreasing heat
heat and and humidity [16]. Currently, the normative and technical
decreasing and humidity [16].humidity
Currently,[16]. the Currently,
normative and the normative and technical
technical documentation
documentationobliges
documentation obliges Russianusers users of ofsubsurface
subsurface resources
resources to tocarry
carry out
out coalcoalseam
seam de- de-
obliges Russian users of Russian subsurface resources to carry out3coal seam degassing work when
gassing work when the natural gas content exceeds 13 m /t on a daf basis. Therefore, CMM
gassing
the work
natural gaswhen the natural
content exceedsgas m3 /t on
13content exceeds
a daf 13 m /t Therefore,
basis. 3 on a daf [Link] Therefore, CMM
utilization is
utilizationisisbecoming
becomingrequiredrequiredbecause
becauseof ofthis
thisrule.
rule.
becoming required because of this rule.
utilization
Thevolume
volume of methane released during mining operationsin in a unit of time is char-
The
The volume of methane released during mining operations operations a unit of time is char-
acterized
acterized
acterized by the by the methane-bearing
the methane-bearing
methane-bearingcapacity capacity in m
capacityininmm/min.3
3/min. According to the authors of [22], the
3 /min. According
According to the
to the authors
authors of [22],
of [22], the
yearly
the
yearly yearlyaverage
average
average relative methane-bearing
relative
relative methane-bearing
methane-bearing capacity
capacity
capacity inKuzbass
in Kuzbass
in Kuzbass coalcoal
coal mines
mines isisfrom
mines from
is from11to
11 to 150
11150
to
m
150
3/min while mining coal at a rate of 1600–13,074 t/day. The values of the relative me-
m /min
3 3
m /min whilewhile
mining miningcoal coal
at a at
ratea rate of 1600–13,074
of 1600–13,074 t/day.t/day. The values
The values of the of relative
the relative
me-
thane-bearingcapacity
methane-bearing
thane-bearing capacity
capacity ofthe
of thethe
of most
mostmost dangerous
dangerous
dangerous mines
minesmines inKuzbass
in Kuzbass
in Kuzbass are
are shown
are shown
shown inin
in Figure
Figure
Figure 22in2in
descending
in descending
descending order
order
order [23].
[23].
[23].

[Link]
Figure Relativemethane-bearing
methane-bearingcapacity
capacityof
ofthe
theKuzbass
Kuzbasscoal
coalmines
mines[23].
[23].
Figure 2. Relative methane-bearing capacity of the Kuzbass coal mines [23].
[Link]
2.2.
2.2. Analysisof
Analysis ofofthe
theComposition
the Compositionof
Composition ofofGAM
GAM
GAM
Figure333presents
Figure
Figure presentsaaamonthly
presents monthlygraph
monthly graphof
graph ofthe
of theamount
the amountof
amount ofaaamethane-air
of methane-airmixture
methane-air mixtureremoved
mixture removed
removed
from
from underground mine operations, as well as the concentration of methane from one
from underground
underground mine
mineoperations,
operations, as
aswell
well as
asthe
theconcentration
concentration of
ofmethane
methane from
from oneof
one of
of
the
the coal
the coal mines
coalmines of
mines of Kuzbass.
of Kuzbass. The
Kuzbass. The case
The case of
case of this
ofthis coal
this coal mine
coal mine is
mine is considered
is considered in
considered in this
in this paper.
this paper.
paper.

Figure 3. Monthly graph of changes in methane concentration and volumes of GAM removed from
the mine.

These graphs show that the methane concentration did not drop below 30%, which
indicates that there is no need to enrich GAM for use as a fuel for a gas genset. At the
same time, it is necessary to note the sharply variable nature of the change in concentration,
which was caused by a change in the concentration of methane in the process of coal mining.
A structural diagram of a power system with a gas genset is presented in Figure 4.

142
 the mine.
which was caused by a change in the concentration of methane in the process of coal min-
ing.
These graphsdiagram
A structural show thatof athepowermethane concentration
system did notisdrop
with a gas genset belowin30%,
presented which
Figure 4.
indicatesThe that thereinisFigure
diagram no need to enrich
4 allows one GAM for use asthe
to determine a fuel for a gastogenset.
approach At the
the choice of same
GPU:
time, it is necessary
(1) analysis to note the
of the composition ofsharply
the gas-airvariable nature
mixture (GAM); of the change in concentration,
(2) assessment of the calorific
Energies 2022, 15, 8948
which was caused by a change in the concentration
capacity of the gas mixture; (3) assessment of amount of generated of methane in the process and
electrical of coal min-
thermal
ing.
energy; and (4) the choice of gas genset.
A structural diagram of a power system with a gas genset is presented in Figure 4.
The diagram in Figure 4 allows one to determine the approach to the choice of GPU:
Coal mine
gas
(1) analysis Primeof the composition
mover ofgenerator
Electrical the gas-air mixture (GAM); (2) assessment of the calorific
Electricity
Air
capacity of the gas mixture; (3) assessment of amount of generated electrical and thermal
energy; and (4) the High-choice of gas genset.
Temp
exhaust
Coal mine Prime mover
gas
Low-
Prime mover Electrical generator Temp Electricity
Air exhaust

Process Coal mine

High- Heat recovery unit(s)
Temp (heating)
exhaust
Prime mover Thermal energy
Low- storage
Temp
exhaust Process Data center
Cooling unit(s) (cooling)
Process Coal mine
Heat recovery unit(s)
(heating)
Figure 4.
Figure 4. Block
Block diagram
diagram of
of CMM
CMM utilization
utilization using
using gas
gas genset.
genset.
Thermal energy
storage
The diagram
2.3. Algorithm in Figure
of Choosing the4CMM
allowsUtilization
one to determine
Scheme the approach
Process to the choice of GPU:
Data center

(1) analysis of theassumes

This paper composition of the
the use of gas-air
Cooling unit(s)
a mine mixture (GAM);for
infrastructure (2)the
assessment
(cooling)
construction of theofcalorific
DPCs,
capacity
which willof the gasmain
be the mixture; (3) assessment
consumer of energyofresources
amount ofproduced
generated electrical
using CMMand thermal
utilization.
energy;
Figure4.5and
Figure Block(4)diagram
provides thethe
choice
of of gas
CMM
algorithm genset.
utilization using gas
for choosing thegenset.
optimal CMM utilization method with
this approach.
2.3. Algorithm
2.3. Algorithm ofof Choosing
Choosing the
the CMM
CMM Utilization
Utilization Scheme
Scheme
This paper
This paper assumes
assumes the
the use
use of
of aa mine
mine infrastructure
infrastructure for
for the
the construction
construction of
of DPCs,
DPCs,
which will be the main consumer of energy resources produced using CMM
which will be the main consumer of energy resources produced using CMM [Link].
Figure 55 provides
Figure provides the
the algorithm
algorithm for
for choosing
choosing the
the optimal
optimal CMM
CMM utilization
utilization method
method with
with
this approach.
this approach.

Figure 5. Algorithm for choosing a method of utilization of CMM.

Figure
Figure 5.
5. Algorithm
Algorithm for
for choosing
choosing aa method
method of
of utilization
utilization of
of CMM.
CMM.

The algorithm in Figure 5 includes the following stages:

I. Obtaining data on the volume and composition of the gas-air mixture and the
CMM concentration.
II. Analysis the composition of the gas-air mixture for the needed filtration and de-
humidification. In general, the CMM must meet the main criteria specified in Table 1. If
the permissible values are exceeded, then filtering and dehumidification equipment must
be used.

143
Energies 2022, 15, 8948

Table 1. The main criteria for the qualitative composition of CMM. The data in the table are given in
accordance with the state standards of the Russian Federation.

Index Unit Admissible Value

Sulfur g/m3 0.036
H2 O mg/m3 9
Solid impurities mg/m3 1
Particle size of solids micron 10

III. At this stage, the calorific value of the captured gas-air mixture is calculated.
IV. Determine the possibility of using CMM as a fuel for thermal engines. The main
evaluation criteria are the calorific value, the concentration of methane in the mixture (not
less than 25%) and the volume of the captured gas-air mixture. Based on the above data, it
is possible to determine the type and capacity of equipment for the utilization of CMM.
V. Next, the choice of utilization method for CMM is carried out. In this paper, three
ways to utilize CMM are considered:
• DPC with cogeneration energy center (CEC): The CEC consists of a gas genset operat-
ing on a cogeneration cycle and providing the DPC and coal mine with electrical and
thermal energy. In this case, excess heat can be given off to meet the mine’s own needs.
• DPC with refrigeration from an AR: In this case, it is proposed to use a direct-
combustion AR to provide cooling to the DCP.
• DPC with a trigeneration energy center (TEC): The TEC combines the advantages of a
CEC and AR and provides the DPC with electricity, heat and cooling.
• At this stage, the selection of equipment and a feasibility study for each specific case
are also carried out.
VI. Conduct a comparative analysis to determine the most effective method.
Each of the stages is discussed in more detail below.

2.4. Assessment of the Calorific Capacity of GAM

For determination of the gas genset power when operating on CMM, it is necessary
to estimate the potential amount of energy contained in cubic meters in the GAM which
ventilates from the mine. The drive engine of a gas genset is an internal combustion engine,
and therefore, the analysis of the energy potential of GAM must be carried out based on
the assessment of the calorific value of GAM and its debit [24].
To assess the calorific value of GAM, it is proposed to use Equation (1) of D.I. Mendeleev:
n
LCVf = LCV1 · a1 + LCV2 · a2 + . . . LCVn · an = ∑i=1 LCVi ·ai (1)

where LCVf is the lower heating value of fuel (MJ/m3 ), LCVi is the lower heating value of
gases in the composition of GAM (MJ/m3 ), and ai is the share of i-gas in GAM.

2.5. Assessment of the Amount of Generated Electrical and Thermal Energy

The lower heating value of GAM can be calculated by the following Equation (2):

LCVv = 60· R· LCVf (2)

where R is the debit of GAM (m3 ), LCVf is the lower heating value of fuel (MJ/m3 ), and
LCVv is the lower heating value of GAM (MJ/m3 ).
From the heat balance in Equation (3) and approximate heat balance values (Table 2),
it can be seen that no more than 28% of the fuel energy in a gas internal combustion engine
can be transformed into effective power and then into electrical energy:

Q0 = Qe + Qc + Qexh + Qic f + Qunc (3)

144
Energies 2022, 15, 8948

where Qe is the heat equivalent to efficient engine operation (MJ/h), Qc is the heat given off
to the cooling medium (MJ/h), Qexh is the heat carried away from the engine with exhaust
gases (MJ/h), Qic f is the heat lost due to incomplete combustion of fuel (MJ/h), and Qunc
is the unaccounted heat loss (MJ/h).

Table 2. Approximate heat balance of internal combustion engines (%) [25].

Engine Qe Qexh Qc Qicf Qunc

Petrol 21–28 30–55 12–20 0–45 3–8
Gas 23–28 35–45 20–25 0–5 5–10
Diesel 29–45 25–45 15–35 0–5 2–5

2.6. The Choice of Genset Type and Feasibility Study

According to the obtained values of LCVe , it is possible to select the type and composi-
tion of a gas genset.
For the feasibility study, Equations (4)–(9) were used.
The fuel costs in USD/kW·h are expressed as
R gas ·Cgas ·Kup
C f uel = , (4)
Punit

where R gas is the gas consumption (m3 /h), Cgas is the gas cost, (when using CMM, it is
conventionally taken as equal to USD 0), Punit is the power of the gas genset (kW), and Kup
is the capacity factor.
The maintenance costs in USD/kW·h are expressed as
Voil ·Coil1
Coil = , (5)
Tm · Punit

where Voil is the oil volume (l), Coil1 is the cost of 1 L of oil (USD), and Tm is the frequency
of maintenance in running hours.
The service costs, including overhaul, in USD/kW·h are expressed as
Cm1
Cm = , (6)
Toh · Punit

where Cm1 is the service costs, including overhaul (USD), and Toh is the frequency of
overhaul in running hours.
The oil burning costs in USD/kW·h are expressed as
Rob ·Coil
Cob = , (7)
Punit

where Rob is the oil consumption for burning (gr/kWh).

The costs for spare parts, including overhaul, in USD/kW·h are expressed as
Csp1
Csp = , (8)
Toh · Punit

where Csp1 is the cost of consumables and spare parts, including overhaul (USD). (Csp1 is
accepted to be equal to 50% of the total cost of installation.)
Amortization in USD/kW·h is expressed as
Cunit
Cdep = , (9)
Toh · Punit

where Cunit is the full cost of the gas genset and auxiliaries’ systems (USD).
Significantly increasing the efficiency of a gas genset is possible using an exhaust gas
heat and coolant recovery system.

145
Energies 2022, 15, 8948

When calculating the thermal correction, it is accepted that there will be a replacement
of an existing heat source in a gas heat and coolant recovery system. The capacity factor at
this stage is neglected.
The thermal correction ($/kWh) is the cost of 1 kW of thermal energy produced from
an existing source (boiler room). In the case of a cogeneration cycle, it is replaced by the
waste heat of the exhaust gases of the gas genset. This can be determined according to
Equation (10):
R f uel ·C f uel
Cheat = , (10)
Qunit
where C f uel is the cost per m3 (ton) of fuel for the current heat source (USD), Qunit is the
thermal capacity of a heat source (kW), and R f uel is the fuel consumption.

2.7. Calculation of Greenhouse Gas Emissions

For calculation of the reduction of greenhouse gas emissions, it is necessary to normal-
ize to the amount of emissions of greenhouse gases into units (global warming potential).
The GWP of methane is 25 units.
Thus, reducing emissions from CMM utilization based on gas gensets can be calculated
by Equation (11):
0.6682· Rcmm ·%CH4
CO2reduced = · GWP, (11)
1000
where 0.6682 is the methane density (kg/m3 ), Rcmm is the gas consumption of a gas genset
(m3 /h), and %CH4 is the percentage of a greenhouse gas (methane) in GAM.
In accordance with [26], the average cost of CO2 emissions in 2021 was USD 58.97/ton,
and the calculation of savings on quotas is produced by Equation (12):

ETSyear = CO2reduced · PETS (12)

where PETS is the cost of CO2 emissions.

The cost calculation in USD/kWh is shown in Equation (13):

CkW = Cgas + Coil + Cm + Cob + Csp + Cdep − Cheat . (13)

C∆ in USD/kWh is calculated as shown in Equation (14):

C∆ = CkW − Ratee , (14)

where C∆ is the difference in the cost of 1 kW of energy produced by a cogeneration gas

genset and the current electricity rate and Ratee is the electricity rate (USD/kWh).
The economic effect in USD per year is calculated as shown in Equation (15):

E = C∆ Teng · Punit ·Kup , (15)

where Teng is the running hours.

The payback period in years is calculated as shown in Equation (16):
Cunit
S= (16)
E
The calculation results are shown in Table 3. The calculations were made according to
the average values of the data for the volume and concentration of methane presented in
Figure 3.

146
Energies 2022, 15, 8948

Table 3. Calculation results.

Parameter Name Symbol Unit Value

Calorific capacity LCVf MJ/m3 13.24
Amount of energy LCVv MJ/m3 30,200.88
Effective power Qe MJ/h 1812.05
Maintenance costs Coil USD/kW·h 0.0016
Service costs, including overhaul Cm USD/kW·h 0.0055
Oil burning costs Cob USD/kW·h 0.00052
Costs for spare part, including overhaul Csp USD 329,676.34
Amortization Cdep USD/kW·h 0.01
The thermal correction Cheat USD/kW·h 0.01
Savings on quotas ETSyear USD 70,302.49
Cost price CkW USD/kW·h 0.0076
Economic effect E USD/year 360,798.50
Payback period S year 5

2.8. Effects of the Considered Option

The use of a gas genset for the generation of electrical and thermal energy (cogenera-
tion) allows achieving the following:
1. Reduction of payments for electricity consumed from the grid (by reducing the
maximum power and reducing the consumption of electrical energy);
2. Operation of a gas genset in cogeneration mode allows providing heating and a hot
water supply to industrial site consumers (replacement or alternative to a boiler room);
3. Reduction of fees for greenhouse gas emissions (methane);
4. Increasing a power supply’s reliability.

3. DPC Construction in Addition to the Gas Gensets

Energies 2022, 15, x FOR PEER REVIEW 10 of 16
To improve the reliability of the DPC and coal mine energy supply, CMM utilization
can be used. In this case, the coal mine energy supply structure is as shown in Figure 6.

Coal mine PSS Data Processing Center

Power supply
Coal mine equipment Server farm
equipment
Coal mine
control center
Main Grid

Other users
Substation Heat
supply Users

Cold
Methane supply Cooling system
trigeneration

Figure 6. Structure of power supply system of coal mine and DPC.

Figure 6. Structure of power supply system of coal mine and DPC.

The
In ourshare
case,ofitother consumers
was assumed such
that theasDPC
lighting, alarm, was
equipment control, and monitoring
located sys-
on the surface.
tems depends on the DPC size and is about 6% of the total consumption
However, it is possible to place the IT equipment in the underground part of the coal mine. of the DPC.
One such example is the DPC placed in Norway’s Lefdal mine, where olivine, a mineral
3.1. Options
used to makeforheat-resistant
the Use of DPC by Enterprises
glass, of the Mineral
was previously mined Resources Sector
[27]. It must be noted that the
DPC equipment
According can be authors
to the used to build applied
of [29], controlare
DPC leases systems
grouped forinto
the technological
four categories:systems
of1.a coal mine [28].
Wholesale or powered shell leases are the provision of premises and infrastructure for
The
the cooling systemofis athe
power supply DPC second consumer
building. Thesein the DPC
leases after computer
are typically long-termequipment.
contracts
Therefore, it is quite useful to use gas piston units
due to the significant investment made by the tenant. in trigeneration mode. In this case, they
can
2. provide
Turnkeyrefrigeration
or enterprise within a coal the
leases, where mine and significantly
landlord reduce
builds the shell the Power
building and Usage
installs
all infrastructure needed, including the raised floor. The tenant has a server room
ready for operation at his disposition.
3. Colocation agreements consist of providing a fully equipped server room, including
the server racks. 147
4. Cloud agreements (IaaS) offer IT services to a wide range of tenants. The tenant rents
Energies 2022, 15, 8948

Efficiency (PUE), which is a ratio that describes how efficiently a computer DPC uses energy
in comparison with cooling and other overhead.
The share of other consumers such as lighting, alarm, control, and monitoring systems
depends on the DPC size and is about 6% of the total consumption of the DPC.

3.1. Options for the Use of DPC by Enterprises of the Mineral Resources Sector
According to the authors of [29], DPC leases are grouped into four categories:
1. Wholesale or powered shell leases are the provision of premises and infrastructure for the
power supply of a DPC building. These leases are typically long-term contracts due
to the significant investment made by the tenant.
2. Turnkey or enterprise leases, where the landlord builds the shell building and installs all
infrastructure needed, including the raised floor. The tenant has a server room ready
for operation at his disposition.
3. Colocation agreements consist of providing a fully equipped server room, including the
server racks.
4. Cloud agreements (IaaS) offer IT services to a wide range of tenants. The tenant rents
computing power and is not involved in the operation of DPC equipment.
The second and third options are preferable for coal mining enterprises. The DPC con-
struction can be entrusted to an external, more experienced company when implementing
the second option. During the transition to the third option, it is assumed that the enterprise
will have personnel serving the life support system of the DPC. In the future, it is possible
to switch to the fourth option, where an enterprise will be able to provide cloud services.
These services can be related to the automation of business processes of other regional
enterprises. This includes platform services (IaaS) and application components (SaaS).

3.2. DPC Construction Cost Calculation

The DPC construction cost calculation (CAPEX) is a rather complicated process. There-
fore, for this purpose, a special service Data Center Capital Cost Calculator was used [30].
The initial parameters for the calculation are presented below:
1. DPC environment
Location of data center: Europe, Bulgaria. (The choice of this country was justified
by the lack of Russia in the Data Center Capital Cost Calculator. Therefore, it was de-
cided to choose the country with the closest value for the average gross monthly wage
(Russia = USD 1046, Bulgaria = $885 in 2022).
Data center design capacity: 1000 kW.
Cooling system: computer room air handler (CRAH).
UPS architecture: traditional, non-scalable UPS.
Power distribution type: basic wall-mount panelboards.
Power density: 5 kW.
Cost of work for one person hour: USD 22.5/h.
CAPEX: USD 3,000,000.
2. Redundancy level
DPC redundancy is typically described in four groups with increasing resilience to
component failure: N, N + 1, 2N, and 2N + 1. The N set-up is configured to have just the
number of components it needs to function, meaning that whenever one component fails,
the entire system fails. The N + 1 configuration indicates that there is one extra component
on site regardless of the size of N.
The price includes the costs of the racks, raised floor, fire suppression, switchgear, and
dropped ceiling.
As a result, the projected data center included 200 racks and was located on an area of
664 m2 , while the building area was 1135 m2 . At the same time, the construction cost was
EUR 3 million.
According to the authors of [29], the operating costs were USD 225/m2 per month.

148
Energies 2022, 15, 8948

3.3. Determination of DPC Profitability

Colocation agreements are considered when determining the yield. Here, 5 kW racks
were leased, and the Tier 3 reliability level was provided. According to the authors of [29],
the rental price was USD 800 per month. Therefore, it was assumed that 70% of the 200 racks
were always leased. In this case, the annual OPEX will be USD 255,375, and the rental
income from the racks was USD 1,920,000. The payback period at a discount rate of 12.5%
(for the Russian Federation) is about 4 years.

3.4. Effects of the Considered Option

In addition to the previously considered option, the following effects will be obtained:
1. Business diversification toward the IT sector with the possibility of generating addi-
tional income;
2. The ability to provide cooling to DPC IT equipment when using the gas-generating
set in trigeneration mode;
3. The ability to achieve the maximum efficiency of the generating unit up to 85%;
4. Development of the regional IT industry by building a new DPC to use local deposits
and employment creation.

4. DPC Construction Together with Absorption Refrigerator

IT equipment generates a lot of heat during operation. Therefore, the cooling of the
DPC premises, in which the IT equipment is located, is the most important task to ensure
the reliability of the DPC operation. In turn, energy consumption for the cold supply is, on
average, 40–45% of the total energy consumption.
The use of AR in the cooling system of a DPC located on the territory of a coal mine
will significantly reduce energy costs for cooling IT equipment. In this case, it is proposed
to use AR with direct combustion while using CMM as a primary fuel.
Energies 2022, 15, x FOR PEER REVIEW 12 of 16
The power supply structure of a coal mine and DPC when using an AR is shown in
Figure 7.

Coal mine PSS Data Processing Center

Power supply
Coal mine equipment
equpment Server farm
Coal mine
Control system
Main grid

Substation Other users

Users

Coal mine methane Absorption Cooling system

refrigerator

Figure 7. Power supply structure of coal mine and DPC when using ARs.
Figure 7. Power supply structure of coal mine and DPC when using ARs.

Withdirect
With directcombustion
combustionofofthe
theprimary
primaryfuel,
fuel,ititisismost
mostefficient
efficienttotouse
usetwo-stage
two-stageARs.
ARs.
Thecooling
The coolingcapacity
capacityofofananAR
ARcan
canbebedetermined
determinedbybyEquation
Equation(17):
(17):
𝑄 =𝑄 ∙ 𝐶𝑂𝑃, (17)
Qcool𝑐𝑜𝑜𝑙
= Qheatℎ𝑒𝑎𝑡
·COP, (17)
where COP is the refrigerating factor (for a two-stage AR, COP can be taken to be equal
where
to 1.2).COP is the refrigerating factor (for a two-stage AR, COP can be taken to be equal
to 1.2).The heat from the burner to the AR can be calculated by Equation (18) [13]:
The heat from the burner to the AR can be calculated by Equation (18) [13]:
𝑄𝑏𝑢𝑟 = 𝐿𝐶𝑉𝐶𝑀𝑀 ∙ 𝑅𝑎𝑡𝑒𝐶𝑀𝑀 , (18)
Qbur = LCVCMM · RateCMM , (18)
On average, according to the catalog, the consumption of AR (with direct combus-
tion) with a refrigerating capacity of 1.1 MW was approximately 85 m3/h. However, the
use of natural gas was assumed. Preservation of the thermal power of the AR burner dur-
ing the combustion of CMM implies the introduction of appropriate changes in the burner
design, as well as an increase149in gas consumption (the amount of gas consumed depends
on its composition) [24].
Energies 2022, 15, 8948

On average, according to the catalog, the consumption of AR (with direct combustion)

with a refrigerating capacity of 1.1 MW was approximately 85 m3 /h. However, the use of
natural gas was assumed. Preservation of the thermal power of the AR burner during the
combustion of CMM implies the introduction of appropriate changes in the burner design,
as well as an increase in gas consumption (the amount of gas consumed depends on its
composition) [24].
Using Equation (18), the amount of heat supplied from the burner was determined
when using natural heat for the considered AR Qbur = 778 kW. When using CMM with
a net calorific value of 18.38 MJ/m3 , a supply of 152.64 m3 /h of coal mine methane (or
2.53 m3 /min) would be required to operate a similar AR.
The amount of methane captured from the mine in question was four times higher
than that required for the operation of the selected AR and, accordingly, the cooling supply
of the DPC.
During the cold season, when the cooling of IT equipment can be carried out using
free cooling, an AR can be used for the heating and hot water supply of the administrative
premises of the DPC and mine, but the efficiency of the AR in heating mode will decrease.

Effects of the Considered Option

1. Business diversification toward the IT sector, with the possibility of generating addi-
tional income;
2. The possibility to provide effective CMM utilization year-round;
3. Using AR for the heating and hot water supply of industrial site consumers (replace-
ment for or alternative to a boiler room);
4. Reduction of fees for greenhouse gas emissions (methane).

5. Common Results
The CAPEX of DPC construction was USD 3,000,000. The OPEX was USD 255,000 per year.
With a gas genset (cogeneration), AR, or gas genset together with an AR (trigeneration)
installation, it became possible to decrease operational expenditures. Table 4 presents the
comparison of CMM utilization options.

Table 4. Comparison of CMM utilization options.

DPC with Cogeneration Energy DPC with Trigeneration Energy

Parameter Name AR + DPC
Center (CEC) Center (TEC)
Additional CAPEX (USD) 672,000 345,000 1,140,000
CAPEX decrease (USD) - 200,000 200,000
Additional OPEX (USD) 67,000 10,000 77,000
Profitability or Savings (USD) 200,000 60,000 260,000
Total OPEX (USD) 122,000 205,000 72,000
Payback period of CMM
≈5 years ≈7 years ≈6 years
utilization equipment

Table 4 shows that all proposed CMM utilization options allowed decreasing the total
OPEX by lowering electricity and heating bills or providing cooling for the computer room.
The AR and trigeneration energy center replaced some parts of the cooling system, such
as the chiller and cooling tower. Therefore, the CAPEX was lowered by USD 200,000. The
choice of CMM utilization option depends on the geological conditions of the coal mine
and on electricity and heat tariffs. For the considered use case, the third option yielded the
best result.

6. Discussion
The following benefits can be achieved through implementation of proposed CMM
utilization options:

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1. Improving labor safety at underground coal mines.

2. The possibility of using industrial sites of closed (or mothballed) underground coal
mines and partial preservation of jobs.
3. An increase in tax revenues for the regional budget from organizations that own
DPCs, as well as service companies that maintain and operate DPCs.
4. The creation of additional job opportunities in one of the most advanced industries:
the IT sector.
5. Improving the environmental situation by reducing greenhouse gas emissions.
6. Development of the regional IT sector through the creation of infrastructure facilities,
namely DPCs with increased energy efficiency in the local resource base.
7. The possibility of creating environmentally friendly heat supply facilities for the
population (with the usage of heat removed from server farms of DPCs).
8. Improving the efficiency of the development of coal deposits through an integrated
approach (the use of coal and CMM) and increasing the profitability of coal mining.
9. Diversification of the business of coal companies with the possibility of generating
additional income at reduced operating costs for DPCs (compared with the standard
solutions for DPCs).
10. The opportunity to save on electrical energy and heating costs at existing coal mines.
However, in doing so, there are several risks and issues in implementation of the
proposed CMM utilization options.
First, it should be noted that in each case, when considering CMM as a primary energy
source, it is necessary to consider the variability of the CMM well rate and, if necessary,
organize additional fuel reserves. This can lead to additional CAPEXs and a rise in the
need for the creation of a special department, thus increasing the OPEX.
In addition, an important component of the implementation of the “Coal-Energy-
Information” concept is the need to amend standards, technical regulations, and other
regulatory documents.
Finally, there is one more difficulty, which is the global deficit of semiconductors and
the related limitation of server hardware supplies. This problem can increase the deadlines
for the delivery of DPCs and influence the architecture of server hardware.
Nevertheless, despite the mentioned difficulties, it is obvious that at present, there
is a trend toward decarbonization in the world. However, not all countries imply the
complete rejection of the use of coal. This means that for the coal mining industry, it is
advisable to implement modern technologies and concepts that allow making coal mining
as environmentally friendly as possible and allow diversifying the business of coal mining
enterprises to ensure their stabile operation and financial sustainability.
Yet, over the coming 10–20 years, a significant decrease in coal production is not fore-
casted, which in turn determines some predictability of income for coal mining enterprises.
It is logical to use part of this income for the implementation of different approaches for com-
prehensive development of coal deposits, assuming the simultaneous production of coal
and extraction of CMM, which will allow achieving the goals of coal mining enterprises for
environmental friendliness improvement and economic efficiency increases. In particular,
the concept of “Coal-Energy-Information” can be considered one of such approaches.

7. Conclusions
Three options in the framework of the proposed concept (1 = DPC with CEC, 2 = DPC
with AR, and 3 = DPC with TEC) which allow improving the reliability and efficiency
of power supply services, decreasing the negative influence on the environment, and
diversifying the business of coal mining enterprises were shown in the paper. All three
options assumed construction of the DPC on the industrial site of a coal mining enterprise,
with different solutions for the energy supply of this DPC and the technological equipment
of the coal enterprise by all necessary types of energy (electricity, heat, and cooling), using
CMM as the primary source of energy.

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Each proposed option implies the creation of its own configuration of energy supply
systems with the necessary power equipment, but implementation of any of the three
options, on one hand, allows for reducing CH4 emissions, contributing to respecting the
environment, and on the other hand, makes it possible for coal mining enterprises to offer
the market IT services as a new “product” and thus diversify production activities.
For each option, a primary feasibility study was conducted. CAPEX, OPEX, and
profitability and savings calculations were made, and the payback periods of investments
(five years for option 1, seven years for option 2, and six years for option 3) were determined.
This paper also mentioned the major risks and issues inherent in the implementation of the
proposed options, namely the necessity to consider the variability of the CMM wells rate,
which determines the need to organize additional fuel reserves in some cases. Another
potential difficulty is the global deficit of semiconductors and the related limitation of
server hardware supplies.
Finally, it was pointed out that the construction of DPCs based on coal mines makes it
possible to stimulate mining enterprises toward efficient CMM utilization and therefore
improve the safety of mining activities, to increase economic efficiency, as well as to give
impetus to the development of the IT industry in mining cities. In addition, it is noted
that the proposed concept is in close correlation with the program for the development of
the coal industry in Russia for the period up to 2035, since it allows one to create a base
for the implementation of innovative technologies based on digital platforms that ensure
the development of coal mining technology without the constant presence of personnel in
underground mining workings, or “unmanned” coal mines.

Author Contributions: Methodology, F.N.; Formal analysis, A.S., K.V., F.N. and R.K.; Resources, A.S.;
Writing—original draft, A.S., K.V., F.N. and R.K.; Writing—review & editing, S.C.; Visualization,
F.N.; Project administration, K.V. All authors have read and agreed to the published version of
the manuscript.
Funding: This research was supported by a state assignment of the Ministry of Science and Higher
Education of the Russian Federation (No. 075-03-2021-138/3).
Institutional Review Board Statement: Not applicable.
Informed Consent Statement: Not applicable.
Data Availability Statement: Not applicable.
Conflicts of Interest: The authors declare no conflict of interest.

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Article
Design of an Infrared Image Processing Pipeline for Robotic
Inspection of Conveyor Systems in Opencast Mining Sites
Mohammad Siami 1 , Tomasz Barszcz 2, * , Jacek Wodecki 3 and Radoslaw Zimroz 3

1 AMC Vibro Sp. z o.o., Pilotow 2e, 31-462 Kraków, Poland

2 Department of Robotics and Mechatronics, AGH University of Science and Technology, Al. Mickiewicza 30,
30-059 Kraków, Poland
3 Department of Mining, Faculty of Geoengineering, Mining and Geology, Wrocław University of Science and
Technology, 50-370 Wroclaw, Poland
* Correspondence: tbarszcz@[Link]

Abstract: Conveying systems play an essential role in the continuous horizontal transportation
of raw materials in mining sites. Regular inspections of conveyor system structures and their
components, especially idlers, are essential for proper maintenance. Traditional inspection methods
are labor-intensive and hazardous; therefore, robot-based thermography can be considered a quality
assessment tool for the precise detection and localization of overheated idlers in opencast mining sites.
This paper proposes an infrared image processing pipeline for the automatic detection and analysis
of overheated idlers. The proposed image processing pipeline can be used for the identification
of significant temperature anomalies such as hotspots and hot areas in infrared images. For the
identification of such defects in idlers, firstly, the histogram of captured infrared images was analyzed
and improved through the pre-processing stages. Afterward, the location of thermal anomalies
in infrared images was extracted. Finally, for the validation of segmentation results, the shapes



and locations of segmented hot spots were compared with RGB images that were synchronized

 by captured infrared images. A quantitative evaluation of the proposed method for the condition
Citation: Siami, M.; Barszcz, T.; monitoring of belt conveyor idlers in an open-cast mining site shows the applicability of our approach.
Wodecki, J.; Zimroz, R. Design of an
Infrared Image Processing Pipeline
Keywords: overheated idlers detection; maintenance; inspection robots; IR images; hot spot detection
for Robotic Inspection of Conveyor
Systems in Opencast Mining Sites.
Energies 2022, 15, 6771. https://
[Link]/10.3390/en15186771
1. Introduction
Academic Editor: Chunhua Liu
Conveyors have been developed and used as the most common system for conveying
Received: 31 July 2022 all forms of material in the mining industry. For decades, conveyors have been used for
Accepted: 13 September 2022 transporting raw materials due to their efficiency and relatively straightforward design.
Published: 16 September 2022 Despite the conveyor advantages, there are still significant challenges for conducting
regular inspections to guarantee their operation under harsh environmental conditions in
Publisher’s Note: MDPI stays neutral
mines [1–7].
with regard to jurisdictional claims in
Idlers are important parts of the conveyors that support the belt to carry the material
published maps and institutional affil-
along its full length [8,9]. Idlers can be damaged by friction, tear, wear, jamming, or seizure.
iations.
Faulty idlers can become overheated and cause belt damage; thus, the temperature, noise
emissions, and vibrations of idlers should be constantly monitored through regular inspec-
tions. Idlers are located along the conveyor, and the typical length of conveyors in mining
Copyright: © 2022 by the authors. tunnels could reach a kilometer [10]. Human inspections of idlers by walking along the belt
Licensee MDPI, Basel, Switzerland. is time-consuming, costly, and hazardous, as even a small conveyor of 150 m consists of
This article is an open access article nearly 450 carrying rollers and 50 return rollers that should be inspected individually [11].
distributed under the terms and Monitoring the surface temperature of idlers is a key to finding faulty idlers because
conditions of the Creative Commons the abnormal temperature rise is an important characterization of idler failures on conveyor
Attribution (CC BY) license (https:// systems. The detection of overheated idlers focuses on identifying areas in IR images with
[Link]/licenses/by/ a significantly higher temperature than other elements in a image. However, the automatic
4.0/).

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Energies 2022, 15, 6771

identification of overheated idlers in IR images is difficult due to the presence of sunlight

reflection or non-informative objects (from the hot idler detection perspective) [12,13].
To summarize, according to the current status of condition monitoring (CM) methods
for conveyor systems, there is a challenging need to minimize the presence of humans by
the automatization of the inspection processes. Direct monitoring methods, such as IR ther-
mography, are capable of detecting and diagnosing defects in idler modules. In this paper,
IR image processing techniques alongside shape detection algorithms are experimentally
assessed for their applicability for CM of idlers. The proposed techniques are applied to IR
images of idler modules captured by a mobile robot during several field IR thermographic
measurements. The direct relation between idlers surface temperature and their health
status in terms of efficiency was the main topic for investigation.
The paper is organized as follows. First, the problem becomes increasingly explored
(as predictive maintenance and inspection robotics are discussed by many authors); thus, a
comprehensive literature review is provided. It has been divided into several paragraphs,
as a few perspectives need to be mentioned. Then, an original procedure for overheated
idler detection is proposed. Next, we describe the experimental trials and data acquired
by the inspection robot in the real environment, and finally, the results of the proposed
methodology applied to real data are presented and discussed.

2. Literature Review
2.1. Application of IR Thermography for Diagnosing Industrial Infrastructures
Critical infrastructures are almost always equipped with many sensors and supervi-
sory systems. However, in some situations, as is considered in this paper, CM systems can
be applied on a limited scale only. Drive units (engine, gearbox, etc.) are usually monitored
by supervisory control and data acquisition (SCADA) [14] but the rest of the conveyors (for
example, a typical conveyor is 1 km length), namely the moving belt, hundreds of rotating
idlers, etc. are difficult to monitor by stationary installations and need to be inspected by
maintenance staff [15]. Unfortunately, the mining environment is very harsh for that reason;
therefore, there is a general tendency to minimize the presence of humans and atomization
of inspection processes by intelligent robots.
IR thermography is categorized as a non-destructive CM technique that can be used
for analyzing the temperature patterns in objects based on utilizing IR radiations that
are emitted from an object surface [16,17]. The simple analysis of IR images can give us
information about the surface temperature of machines, while by further analysis, we can
find possible thermal emission abnormalities. Together with extracted features from IR
images, the degree of deterioration can be evaluated by analyzing the thermodynamics and
physical characteristics of inspected machines [18].
Several types of faults and conditions in rotating machinery such as coupling looseness,
rotor imbalance, misalignment, rolling element bearing damage, and lubricant inadequacy
can be detected in IR images [2,19–21].
It is worth mentioning that while IR imaging applications in the identification of
overheated modules in industrial infrastructures have already been discussed in controlled
laboratory environments, robot-based IR imaging methods for the identification of abnor-
mal temperature in real case experiments so far have been rarely discussed and their results
rarely presented.
In [22], researchers developed a method for the CM of rotating machinery using IR
image processing techniques. The authors discussed the advantages of IR imaging-based
machine health monitoring over vibration-based methods. However, in their proposed
method, they only used IR images as a reference for the identification of faulty modules;
furthermore, they used a stationary IR camera system for conducting their research in
a controlled environment. Similarly, in [23], the authors investigated a fault detection
method using thermography techniques for identifying air leakages in the pipeline in a
laboratory environment.

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Energies 2022, 15, 6771

In [4,12,15], different methods for CM of conveyor systems in mines are discussed.

In [4], researchers propose a method for analyzing the thermal state of a belt conveyor in
an underground mine. However, the thermal images were captured by a human inspector
on a limited scale. Inspired by the same problem, ref. [15] proposed a fault analysis method
for the identification of faulty idlers in conveyor systems. However, they conducted their
experiments in a controlled environment, and thermal images present a few idlers in high
resolution; furthermore, the authors did not propose a solutions for images with complex
backgrounds that should be considered in real case scenarios.
Particularly, Dabek et al. [12] suggest an automatic robot-based IR imaging method
for the identification of overheated idlers in an open-cast mining site. The authors propose
an efficient diagnostic procedure for the detection of overheated idlers, such as defining
regions of interest (ROIs) on captured images to reduce the redundant data as well as the
color-based segmentation method. For improving the proposed method by Dabek et al.,
firstly, we discuss a new ROI estimation technique for removing the non-ROIs areas.
Furthermore, we propose a histogram-based technique for improving the overall quality of
captured extracted IR frames. Therefore, we could accurately track the location of idlers in
capturing IR and RGB frames and improve the overall accuracy of segmentation results.

Automated Diagnostic Methods

During the measurements, the inspection robot was able to capture the sequence of IR
images without information about the true temperature of the conveyor elements. Due to
the automatic scaling of colors to the temperature range, “hard” thresholding based on the
predefined value of temperature was not possible.
The hotspot areas in grayscaled IR images can be extracted using an automatic thresh-
olding method where the maximum gray pixel value determines the maximum temperature
in the defined region of interest. The problem with general IR image processing pipelines
is they do not provide accurate results in identifying the objects in a complex background,
as IR images tend to be over-segmented. Some examples of IR image segmentation results
using automatic thresholding methods are shown in Figure 1. One can notice that most
of the segmented images tend to be over-segmented in comparison to the ground truth
image, which leads to some parts of the equipment or components to merged with the
background image.

(a) (b) (c) (d)

(e) (f) (g) (h)

Figure 1. Example results of infrared image segmentation using thresholding method: (a) original
infrared image, (b) ground truth segmentation, (c) Shanbhag [24], (d) Otsu [25], (e) Intermode [26],
(f) Triangle [27], (g) Yen [28], (h) Maximum Entropy [29].

In this paper, our detection strategy was focused on firstly proposing techniques for
improving the general characteristics of extracted IR frames histograms and in the next step
proposing an outlier-based automatic segmentation method together with shape detection
algorithms for the identification of overheated idlers.

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The overall quality of IR images can be improved based on histogram enhancement

techniques. In [30], the authors propose techniques for the enhancement of the subtle
thermal signatures. They suggest noise smoothing by means of, e.g., median or Gaussian
filtering, as the most common preprocessing procedures. The application of both median
and Gaussian filters to IR images with poor or insufficient information about the health
of PV modules is discussed by [31]. The combination of Contrast Limited Adaptive
Histogram Equalization (CLAHE) with Gamma correction can be considered an effective
way for improving the overall quality of digital images [32,33]. In our work, an automatic
gamma correction method together with CLAHE and median filter method has been used
for improving the contrast and reducing the noises in captured IR images.
Due to the nature of IR images which are quite different in comparison to visual
light images, extracting the hot regions within an IR image is a very challenging task [34].
The distribution of pixel intensities in IR images is based on the heat distribution of an
object. Low-intensity contrast and over-centralized intensity distributions in IR images are
important factors that bring some difficulties to automatic segmentation methods.
For addressing the mentioned issues in this paper, we exploit the concept of outliers.
If in a given IR image, any hot element will appear in the distribution of pixels, the right tail
of image histograms related to “hot” colors will be heavier than for “normal temperature”
elements. Our target is to detect really hot elements in the conveyor, i.e., significantly higher
temperatures than other elements in the picture. In this context, refs. [35–39] proposed
IR image histogram analysis techniques for the identification of thermal anomalies in
industrial infrastructures.

3. Automatic Procedure for Detection of Overheated Idlers in IR Images

3.1. General Concept
The aim of this section is to describe the key elements of the methodology. A summa-
rized flowchart of the proposed procedure is presented in Figure 2.

Figure 2. Simplified flowcharts of proposed procedure.

The proposed method started by loading the captured data by the inspection robot. The
captured data during the experiment were download in a local computer and were further
processed offline. Afterward, the total number of captured frames was extracted from
loaded IR and RGB videos. The extracted IR frames were converted into 8-bit grayscaled
images for further analysis. The camera system captured wide-angle videos from the
mining site; therefore, the extracted videos contained many non-informative objects that
were not related to the conveyor system. For reducing the number of non-informative
objects in the captured frames, ROIs were defined on IR and RGB image data sets.
During the measurements, several data acquisition sessions were performed. It is
worthwhile to notice that the environmental conditions are time-varying (even if it is
in a kind of indoor condition). A critical issue is that during the experiment, the true
temperature of the conveyor element automatically adjusts the colors to a given temperature

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range producing many complicated images. By additionally assuming the linear relation
between the intensity of the brightest pixel (hottest area) to the darkest pixel (coldest area),
we could apply statistical methods to segment overheated idlers from the background in
grayscaled IR images.
To analyze and assess the quality of idlers in conveyor systems with respect to ther-
mal defects, we first detect the overheated idler modules that have significantly higher
temperatures in comparison to other modules. The overheated idlers appeared in the
ROI as areas with an average temperature higher than their surroundings. We follow a
statistical, data-driven approach that consists of the following steps: (1) normalization
(2) correction and refinement, (3) thresholding, (4) canny edge detection implementation,
and finally (5) blob detection algorithm for detecting the overheated idlers. The proposed
pipeline was developed in the Python language using the OpenCV library for computer
vision algorithms.

3.2. IR Image Histogram Analysis

A histogram of IR images acts as a graphical representation of the color or intensity
distribution of pixels. For a gray-level image, the intensity value of pixels refers to discrete
temperature values. The statistical analysis of an IR image histogram is a practical way
of indicating anomalies in temperature patterns in captured scenes. The mean value,
variance, and standard deviation are the statistical-based features that describe the intensity
distribution of pixels in IR images. For a grayscaled IR image, the first-order histogram
probability P(g) is defined as follows [40]:

L( g)
P( g) = (1)
M
where M is the total number of pixels and L( g) describes the number of gray levels g.
In gray-level images, the total number of the intensity level of pixel L spans into [0, 256].
As the tonal distribution represents the thermal distribution in captured scenes, gray-level
infrared images can be processed based on tonal intensities. The general brightness of
images is defined by the mean value:

L −1
ḡ = ∑ g · P( g) (2)
g =0

Furthermore, the dispersion of a set of data points around their mean value is defined
by variance and is given by the following equation:

L −1
σg2 = ∑ ( g − ḡ)2 · P( g) (3)
g =0

The standard deviation or the square root of the variance has described the spread in
IR image data and can give us information about the contrast of IR images. As temperature
distribution is a key index of possible defects, the standard deviation can be considered as
an important factor for identifying overheated idlers.

3.3. Adaptive Region of Interest Estimation

The original captured videos contain both information on the target and redundant
areas; therefore, it would be an advantage if non-ROI regions can be removed before precise
(final) analysis. This reduction has to be performed in a way such that no idlers data are
lost while the computational burden is reduced. The ROI analysis is defined by a set of
techniques that can be used for selecting areas of an image from which the individual or
average pixel values are extracted for further analysis. The ROI can be defined manually or
by automated methods. The first one is faster but less precise, whereas the second method
is more time-consuming but in general more accurate.

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The purpose of ROI generation is to automatically extract regions of interest (ROI)

from the extracted IR frames that only contain pixels that are related to idlers. During the
examination, for capturing RGB and IR videos, the inspection mobile robot was navigated
through the free spaces between belt conveyors. The camera system’s point of view
(POV) was fixed and pointed toward the belt conveyor. As long as the mobile robot
followed a straight line alongside the conveyor belt, the changes in the camera system POV
were neglectable.
There are many different methods for tracking objects in the sequence of the frame.
Since the camera system POV changes during the inspection were neglectable, we could
accurately estimate the approximate location of the idler in the sequence of extracted
frames, as shown in Figure 3. By the consideration of small changes in the camera system
POV, a rectangular region of the predetermined size, 400 × 600 pixels surrounding the
estimated location of idlers with fixed positions, was defined on extracted IR and RGB
frames. The size of the defined ROI was large enough to only capture the idler, while it
was considerably smaller than the original captured frames; therefore, we could effectively
reduce the computational burden.

Figure 3. Selection of ROI on the captured IR images.

3.4. The Key Frame Extraction Method

Through the conducted experiment, the inspection mobile robot captured continuous
thermal videos from different conveyor systems. Using every individual frame for identi-
fication of the overheated idlers is unnecessary, as many frames are almost repeated in a
certain time interval. Therefore, in our research, we chose a key frame extraction method to
summarize and reduce the size of the extracted IR frames.
Mean Square Error (MSE) is one of the two error metrics which can be used for
calculating the cumulative squared error between the reference image and the target image.
In this paper, the global similarity between each reference and target frame in relation to
their pixel intensities has been measured by the MSE method, where frame f i and f i−1 are
the target and reference frames, and m and n are coordination of each pixel in compared
frames [41].
1 M N
MSE =
MN n∑ ∑ [ fi−1 (n, m) − fi (n, m)]2 (4)
=0 m =1

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For calculating the degree of similarity between each of the two IR frames, firstly,
the reference and target f i and f i−1 are loaded. Afterward, histograms of both frames are
taken, and the mean square difference between two histograms is calculated. Through
the examination, the parameter MSE ≥ 5 turned out to be sufficient and considered as
a threshold for the selection of the keyframes; therefore, when the difference between
compared frames is greater than the threshold, the target frame is declared as the next
keyframe. This process is repeated until there are no frames left for processing.

3.5. Normalization
The constant changes in color scheme adjustments by the camera can only affect the
calibration factor regarding absolute temperature values but not affect the distribution
pattern of the temperature. As long as pixel intensity was predefined by the camera with
respect to the hottest and coldest point in original frames, we need to normalize the intensity
value of a pixel with respect to the brightest and darkest pixel in defined ROIs.
The intensity value of infrared images was normalized to a constant range with
respect to pixel intensity distribution in defined ROI. Normalizing the temperature pattern
allows us to define a set of parameters that works well for analyzing ROIs with varying
temperature ranges. The normalization of ROIs with different seasons can rescale the
radiant temperature to the same level between the hottest and lowest in defined ROIs and
thus reduce the seasonal difference. Accordingly, the extracted ROIs were normalized
using the following equation:
TSi − TSmin
Ni = (5)
TSmax − TSmin
In Equation (5), Ni is the normalized value of pixel i, where TSi is the intensity value
of pixel i. Furthermore, TSmax and TSmin can be defined as the maximum and minimum
values of pixel intensity in a ROI.

3.6. Correction and Refinement

The automatic thresholding method cannot correctly exclude background regions
from the foreground due to their high variance. Therefore, some data normalization steps
are usually required before thresholding. To avoid the loss of subtleties in the extracted
ROIs, sets of pre-processing techniques were used for improving the general characteristics
of frames. The correction and refinement incorporate CLAHE, and Gamma correction was
followed by median filtering.

3.6.1. CLAHE Method

Histograms in normalized ROIs would be skewed toward the lower end of the
grayscale, and all the image detail can be compressed into the dark end of the IR im-
age histogram. For addressing this issue, histogram-based methods can be used to improve
image quality and adjust the contrast.
Histogram equalization (HE) is a simple method for enhancing the contrast of the
image by spreading out the intensity range of the image or stretching out the most frequent
intensity value of the image. Stretching the intensity values changes the natural brightness
of the input image and introduces some undesirable noises [42]. To improve the HE method,
Adaptive Histogram Equalization (AHE) [43] was proposed. In the AHE method, the input
image is split into smaller images, which are called tiles. The noise, however, often increases
when the histogram slope is steep.
CLAHE is an effective contrast enhancement method that effectively enhances the
contrast of the image. CLAHE is an improved version of the AHE method that works
precisely in the same way, but it clips the histogram at specific values for limiting the
amplification before computing the cumulative distributive function (CDF). This change

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reduces the noise because clipping prevents a CDF from being steep. The computation of
CLAHE is performed as:

p = ( pmax − pmin ) ∗ P( f ) + pmin (6)

where p represents the pixel value after applying CLAHE, pmax and pmin represent the
maximum and minimum pixel value of an image, respectively, and P( f ) represents the
cumulative probability distribution function [44].

3.6.2. Gamma Correction

Gamma correction can be used to control the overall brightness of images. It is
responsible for performing a nonlinear calculation of the pixels intensity of the input image
and thereby adjusting the saturation of the image. It is necessary to determine the optimal
gamma value; therefore, it should neither be too minimum nor maximum. For enhancing
the contrast of the ROIs, an adaptive gamma correction (AGC) technique was applied to
the image data set. For having uniform distribution in an image histogram, the optimal
value for gamma factor by consideration of Ī = 0.5( L − 1) as mean intensity can be defined
as follows [45]:  
log ( L−Ī 1)
γ= (7)
log(0.5)

3.6.3. Median Filtering

In extracted frames where sun reflections were captured on the belt, some unwanted
variations were observed within the ROIs. These variations appear in an area with the
presence of sun reflection on the belt surface in the form of bright spots that can be wrongly
segmented as hot areas. Obviously, it is not possible to exclude them through the ROI
estimation process, as they appear at the center of the camera POV. A possible solution to
this obstacle is to apply median filtering.
The normalized ROIs after double enhancement undergo median filtering to prepare
the images before the thresholding process. The median filter is a nonlinear digital filter-
ing method and is employed to eliminate salt-and-pepper noises in pre-processed ROIs.
The median filter can reduce the noise without diminishing the sharpness of the image.
Figure 4 shows the original ROI (on the left) with the unwanted variations and the
same ROI after being modified through the pre-processing stages (on the right).

3.7. Thresholding
Overheating in idlers can be recognized as a hotspot in certain areas of ROIs. In IR
images with uniform backgrounds, the number of pixels belonging to background or cold
areas is much larger than the number of pixels belonging to foreground or overheated
objects. We know that an overheated idler’s surface always looks relatively brighter than
the background in captured IR images. For distinguishing pixels that are related to the
background (cold pixels) and pixels that are related to the foreground (overheated idlers),
we classify them based on their distance to the mean value. Our automatic segmentation
method worked a base on the outlier detection technique. The main advantage of the
proposed method is that we can accurately detect abnormal pixels that lie far away from
other observation values. Therefore, in ROIs containing a very complex background and
low signal-to-noise ratio (SNR), we can precisely find abnormal pixels and prevent the
results to be over or under-segmented.

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(a) (b)

(c) (d)

(e) (f)
Figure 4. Comparison of pre-processed and orginal IR image after modification through pre-
processing stages. (a) Original ROI, (b) Pre-processed ROI, (c) Three-dimensional (3D)-map of
original ROI, (d) Three-dimensional (3D)-map of pre-processed ROI, (e) Histogram of orginal ROI,
(f) Histogram of Pre-processed ROI.

Outlier detection is a problem of finding patterns in data that are not in the range
of normal behavior. In this paper, hot spots in IR images are considered anomalous
patterns and treated as outliers. An outlier will thus indicate a temperature abnormality.
To identify defective idlers, we apply the IQR method to the extracted histogram features
Fi := { f 1 , f 2 , . . . , f 255 }.

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IQR is a technique that helps to find outliers in the data which are continuously dis-
tributed. IQR is the difference between the first quartile and the third quartile: IQR = Q3 − Q1
where, Q1 and Q3 can be defined by Equation (8) [46,47].

Q1 = ḡ − 0.675σ;
(8)
Q3 = ḡ + 0.675σ

The following thresholds (referred to as fences) are required to be defined for classify-
ing the outliers in two different classes. The outliers can be defined as values that are either
among inner and outer fences (mild outliers) or beyond outer fences (extreme outliers).
The lower and upper inner fences can be computed as Q1 − 1.5 IQR and Q3 + 1.5 IQR,
while the lower and upper outer fences can be defined as Q1 − 3 IQR and Q3 + 3 IQR,
respectively [48,49].
Let α represent the pre-processed ROI and β represent the extracted binary image from
α and T as the threshold value by the proposed method. Furthermore, W is ROI width
and H is image height. Since this captured IR is a digital image, x and y are indenting the
coordination of pixels. (
1 if α( x, y) > T
β( x, y) =
0 if α( x, y) ≤ T (9)
∀0 ≤ x < W, 0 ≤ y < H
Likewise, all the pixel values of pre-processed α are set to 1 when the pixel values are
greater than the computed T. On the other hand, the other pixel values are set to 0 when
they are less than the defined T. In order to obtain object image γ from image α and β,
the following formula is used:
(
α( x, y) if β( x, y) = 1
γ( x, y) =
0 if β( x, y) = 0 (10)
∀0 ≤ x < W, 0 ≤ y < H

After the segmentation process, γ is the thermal image of the inspected equipment
after removing the background.
Through examination, we found out that overheated idlers cannot always be defined
as mild outliers. Accordingly, for increasing the chance of true detection, the value of
extreme outliers is extracted for each frame and considered as an optimal threshold value
for segmenting the overheated idlers Figure 5.

(a) (b) (c)

Figure 5. Comparison of extreme and mild outliers in segmentation of an overheated idlers. (a) Pre-
processed ROI before segmentation, (b) Segmentation results of mild outliers detection, (c) Segmenta-
tion results of extreme otliers detection.

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3.8. Canny Edge Detection Implementation

In the previous section, we could accurately partition the input image into homo-
geneous hotspots and backgrounds using an adaptive thresholding method. The post-
segmentation processing algorithms including canny edge detection and blob detection
are designed to differentiate the hotspots edges from each. Our objective is to extract the
boundary of the segmented hotspots and classify them as separate sources of heat.
The aim of performing edge detection, in general, is to significantly reduce the amount
of data in an image, which will increase the computation speed of the approach while
preserving the structural properties of the image [50–52]. The correctness of detected edges
is an important factor that affects the blob extraction step; therefore, both the edge detection
and blob extraction stages are tightly connected. To find the shape and size of the extracted
hot spots, firstly, we used the canny edge detection method for detecting the boundaries of
the segmented hotspots.
The canny edge detector is the most common method for detecting a wide range of
edges in images. It uses a multi-stage algorithm consisting of five separate steps: smoothing,
gradient finding, non-maximum suppression, double thresholding, and edge tracking by
hysteresis for detecting boundaries in images. It determines the spots in images more
accurately than other operators. It convolves the segmented frames with a Gaussian filter
for reducing the noises and then computes the gradient and gradient direction for each
possible edge. Furthermore, the detected image gradients undergo double thresholding to
remove edge-like noise [53].

3.9. Blob Detection

Now, because all boundaries of the segmented hotspots are detached, they can be
detected and counted using techniques such as blob detection. A blob can be defined as
a region inside the calculated boundaries in which the pixels are considered to be similar
to each other, while they should be different from the surrounding neighborhoods. Blobs
are defined as interest points or interest regions. The interest points are referred to as local
extremes in scale-location spaces, which will indicate circular or square regions.
The blob detection method is commonly used in many applications that are related
to measuring the object’s shape, location, diameter, etc. For providing complementary
information about the number of hot spots which are not obtained from edge detectors, the
blob detection algorithm is applied to the canny edge detection results.
We used a blob detector method based on the Laplacian of the Gaussian (LoG). There-
fore, an image is convolved by a Gaussian kernel. Furthermore, a multi-scale blob detector
with automatic scale selection is then computed using a scale normalized Laplacian opera-
tor (see Figure 6). After labeling circular shapes, we could detect and count the different
overheated elements in ROIs [54,55].

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(a) (b) (c)

(d) (e) (f)

(g) (h) (i)

Figure 6. Intermediate and final results of presented overheated idlers module detection approach.
(a) Original IR image, (b) Grayscaled, (c) Normalization, (d) CLAHE, (e) Gamma correction, (f) Me-
dian filter, (g) Thresholding, (h) Canny edge detection, (i) Blob detection algorithm.

3.10. Performance Metrics

Six performance metrics—Sensitivity, Specificity, Precision, Accuracy and Matthew’s
correlation coefficient (MCC)—were used as evaluation metrics where TP, FP, TN, and FN
are true positive, false positive, true negative, and false negative, respectively.

( TP)
Sensitivity = (11)
( TP + FN )

( TN )
Specificity = (12)
( TN + FP)
( TP)
Precision = (13)
( TP + FP)
( TP + TN )
Accuracy = (14)
( TP + FN ) + ( FP + TN )
TP × TN − FP × FN
MCC = p (15)
(TP + FP)(TP + FN)(TN + FP)(TN + FN)
In this paper, true positives refer to the frames where overheated idlers were correctly
segmented. On other hand, false positive represents the number of frames where other
thermal sources were wrongly segmented as overheated idlers. Furthermore, true negative
cases are referred to as the frames where no overheated idler was neither present nor

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detected. In contrast, a false negative can be described as the number of frames where
faulty idlers were not segmented due to the underestimation.

4. Experiments and Data Description

The experiments were carried out by capturing data from a conveyor system located
in an opencast mine close to the bunker where transported material was [Link] mining
site is located in Jaroszów, 50 km to the west from Wrocław. The basis of our measurement
system is a remote-controlled mobile robot with an extensive navigation system figure. The
robot is custom built for the Wrocław University of Science and Technology as a universal
mobile platform for inspections, as shown in Figure 7 with main features explained in
Table 1. During the inspection mission, the robotic platform captured various types of
data, including RGB images, IR images, sound, LiDAR data, etc. The camera system with a
fixed point of view was directed toward the conveyor to better cover the ROI. The main
specifications are mentioned as follows:

Figure 7. View of the robot during inspection.

Table 1. Inspection robot main characteristics.

Locomotion type Wheeled, skid steering

Navigation system Autonomous (Internal computer)
Manual (Pilot using remote computer conection)
Internal software Robot Operating System (ROS)
Power system Internal battery, 24 V
Robot gross weight 65 kg
Maximum payload capacity 75 kg

The analyzed conveyor system in this paper is a mechanical system used for the contin-
uous horizontal transport of raw materials including raw clays, milled clays, and chamotte
from the mine pit to the bunker. The considered conveyor was the last section that ends
the entire series of conveyors. The analyzed section of the conveyor system always runs
without the material, because the material is dumped into appropriate silos just before this
section. The belt itself carries the material, which is important for thermal reasons, but the
idlers do not experience the additional weight of the material.
The investigated conveyor system was several hundred meters long, and it operates
in harsh environmental conditions. The design of the conveyor is classical, as shown in

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Figure 8. The key problem was to identify overheated idlers as a potential source of the fire.
It is worth noting that inspection had not started at the very beginning of the belt conveyor.

Figure 8. A general picture of the raw materials storage with belt conveyor to transport raw materials.

Data Description
Based on the manual analysis of the acquired data (additional information in Table 2),
we have selected several interesting situations that could be problematic during automatic
image analysis. Below, we present some of such “difficult to analyze” pictures. In general,
one may group them into several classes, namely: images without a hot idler, images with a
hot idler, images with sunlight reflection without a hot idler, images with sunlight reflection
with a hot idler, etc., see the examples presented below Figure 9.

Table 2. (a) The camera system parameter, (b) Belt conveyor parameters.

(a)
Parameter Value
Resolution 640 × 480 pixles
Frames per second 25 fps
Observation angle 45◦
Mounting height 100 cm above shelf
(b)
Parameter Value
Conveyor length 150 m
Idler diameter 133 mm
Idler spacing 1.45 m
Belt width 800 mm

Despite the advantage of IR imaging methods, there are still different factors that need
to be considered even when conducting an indoor inspection. Generally, the precision of a

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thermographic measurement is directly related to specific background parameters, i.e., the

environmental conditions, the optical properties of the target material, and the possible
presence of any nearby object. Objects with a high emissivity value such as greasy, black or
reflective objects have quite a high emissivity value, typically as high as 0.97; therefore, they
can strongly reflect the IR radiations [56]. In Figure 10, one can notice that in the raw IR
images, there are many non-informative heating sources that are not related to the conveyor
system: for example, windows or sunlight reflection on the belt (marked by arrows).

(a) (b)

(c) (d)
Figure 9. Four classes of images that were difficult to analyze. (a) Image without hot idler, (b) Image
with hot idler, (c) Image with sunlight reflections, (d) Image with sunlight reflections and a hot idler.

Figure 10. Location of sunlight sources and sun reflections on belt that captured in a raw IR image.

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The experiment was conducted on a sunny day. In a real scenario, it is impossible to

predict what the weather will be like, and since the measurement session was organized in
a real mine ahead of time, there was no way of predicting the weather several weeks ahead.
However, we managed to provide a solution that can be applied in every condition.
Solar radiation can heat the equipment, especially those with high absorption of the
sun’s energy, which can make small thermal differences. In our case (inspecting the idlers),
the solar radiation was mostly blocked by the celling; therefore, their effects on the surface
temperature of idlers were neglectable. However, one can notice that the belt surface
is black, smooth, and shiny, which makes a very probable sunlight reflection problem.
Therefore, the IR camera measured the reflected temperature instead of measuring the
temperature of the belt itself. This will make image processing difficult, and this is the main
reason to limit the analyzed area to conveyor-related only (defining the ROIs).
In Figure 11, one can see another example of hot spots (marked by frames) not related
to idlers. It shows that the application of real industrial data is always difficult due to
unpredictable sources of noise/unwanted components.
As result, the methodology will provide a false detection of sunlight recognized as a
hot area. Examples presented here with a detailed discussion on the detection efficiency and
understanding of the source of the problem are necessary before the automatic processing
of hundreds of images. In the next sections, we will discuss global efficiency with some
indicators of detection quality. Even if there are some problematic examples that are hard
to recognize, other known techniques appear much less efficient. Moreover, the proposed
technique is automatic and provides results in an objective way that is better than the
subjective opinion performed by experts.

Figure 11. Examples of hotspots that are not related to idlers.

5. Results and Data Validation

The performance of the method in the identification of overheated idlers was tested on
image data sets that were captured from a conveyor systems. The inspection robot moved
alongside the conveyor system two times (back and forth) and captured data. Initially,
6275 frames from data set 1 (moving forward) and 6135 frames from data set 2 (moving

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backward) were extracted from captured RGB and IR videos. After applying the keyframe
extraction, we could reduce the data set size up to 40%; therefore, 2470 frames from data
set 1 and 2205 frames from data set 2 were chosen for further analysis. Furthermore, we
compared the performance of the proposed method in identification of overheated idlers
with Maximum entropy, Yen and Minimum method [26].

5.1. Validation of Detection Results Based on Manual Analysis

The test images were hand labeled. The evaluation was performed by comparing the
final segmentation mask through the visual interpretation process. By consideration of
the number of thermal sources that can be detected as an overheated idler alongside the
conveyor, validation of the segmentation results is important, as other thermal sources can
be wrongly segmented as overheated idlers. Therefore, through the validation process,
the shape and location of the segmented hotspots in segmented frames were compared to
RGB images, as shown in Figure 12.

(a) (b) (c)

Figure 12. Fusion of thermal and RGB images for validaiton and localization of detected hotspots.
(a) RGB image, (b) The blob detection, (c) RGB and blob detecion fusion results.

5.2. Results
The specificity and accuracy value for both data sets were about 0.98. The specificity
value indicates the performance of the proposed method regarding identifying true posi-
tives and true negatives, while the accuracy value discussed the proportion of correctly
predicted samples among the total number of the processed samples. The precision value
determines the ratio of correctly predicted positive observations to the total predicted
positive observations, which were above 0.66 for both data sets.
We additionally computed the F1-score for both data sets (see Tables 3 and 4). The F1-
score combines the precision and recall of a classifier into a single metric by taking their
harmonic mean and measure of accuracy incorporating both the precision and recall. It can
be used as a single performance test for positive classifications, which were 0.76 for data
set 1 and 0.78 for data set 2. The F1-score of the proposed method was 80% higher than the
compared methods, which indicates the low performance of other thresholding methods in
the true detection of overheated idlers in the studied data sets.

Table 3. Comparison of the performance factors of the proposed method with other selected methods—
data set 1.

Measures Proposed Method Maximum Entropy Yen Minimum Method

Sensitivity 1 1 1 1
Specificity 0.98 0 0 0
Precision 0.62 0.05 0.03 0.03
Accuracy 0.98 0.05 0.03 0.03
F1-score 0.76 0.1 0.05 0.06

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Table 4. Comparison of the performance factors of proposed method with other selected method—data
set 2.

Measures Proposed Method Maximum Entropy Yen Minimum Method

Sensitivity 0.94 1 1 1
Specificity 0.98 0 0 0
Precision 0.66 0.05 0.05 0.01
Accuracy 0.98 0.05 0.05 0.01
F1-score 0.78 0.1 0.1 0.03

6. Concluding Remarks
Analyzing the intensity distribution of pixels from the acquired IR images by means
of ROI analysis, canny edge detection, blob detection methods and the fusion of segmented
IR and RGB frames showed an evident correlation between abnormalities in pixel intensity
(temperature patterns) and the existence of hotspots on the surface of the faulty idlers.
Furthermore, the proposed diagnostic approach gave promising results, succeeding to
diagnose four out of four defective idlers in the studied conveyor system.
In conclusion, robotic-based IR thermography with the combination of thermal image
processing techniques was proved to be a potential and reliable method for CM and fault
diagnosis of idler modules. The presented approach gave easily interpreted results and
fast detection of faulty idlers, utilizing both qualitative and quantitative data from the
processed thermal images from the two conveyor systems.
The most important limitation of the proposed method is the fact that any specular
object present in the background could cause unwanted gray-level variations that may be
conflicting with the actual variations related to hotspots that may cause false alarms. In or-
der to reduce unwanted gray-level variations, sets of pre-proposing algorithms, including
CLAHE, adaptive gamma correction, and median filter, were applied to ROIs.
In grayscaled IR images, the changes in temperature are indicated with changes in
pixel intensity; therefore, they depict some degree of smoothness during the traversal from
one pixel to another, and there is a lack of sudden and sharp change. Hence, most of the
conventional automatic methods have different performances in the automatic thresholding
of IR images as compared to their performances with other types of images.
There are further limitations referring to emissivity uncertainties, the presence of
sunlight reflection on the belt surface of the conveyor systems, and the presence of other heat
sources in mining sites that have to be always taken into account for field measurements.
Additional investigation in improving the detection results can be completed based
on the definition of adaptive ROI on extracted IR and RGB frames. Through the conducted
examination, we found out that in some cases, as long as the mobile robot was moved
through the harsh surfaces, obstacle avoidance maneuvers and sudden changes in the
robot paths were necessary. The camera system position was fixed during the inspection;
therefore, the camera’s point of view (POV) was changed due to sudden modifications in
the mobile robot path. For addressing sudden changes in camera POV and improving the
detection results, a mapping technique that fuses the camera system with the LiDAR data
for estimating the optimal region of interest on captured videos is of further interest to the
current research team.
Characterizing idler defects, e.g., bearing defects, can be completed based on a micro-
scale analysis combining the current experience with active thermography approaches or
with the fusion of acoustic and thermal imaging approaches for a more accurate CM plan.
In addition, a more thorough understanding of degradation mechanisms and failure modes
in idler modules is critical to improvements in idler design and reliability. Performing
robotic-based IR imaging in large-scale conveyor systems with new fusion techniques can
be considered in future research.

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Author Contributions: Conceptualization, R.Z.; methodology, M.S.; software, M.S.; validation, R.Z.,
J.W. and T.B.; formal analysis, M.S.; investigation, M.S. and J.W.; resources, R.Z. and J.W.; data
curation, J.W. and M.S.; writing—original draft preparation, M.S.; writing—review and editing, M.S.,
J.W., R.Z. and T.B.; visualization, M.S.; supervision, R.Z. and T.B.; project administration, R.Z.; funding
acquisition, R.Z. All authors have read and agreed to the published version of the manuscript.
Funding: Part of this work was supported by the European Commission via the Marie Sklodowska
Curie program through the ETN MOIRA project (GA 955681)—Mohammad Siami. This activity
has received funding from the European Institute of Innovation and Technology (EIT), a body of
the European Union, under the Horizon 2020, the EU Framework Programme for Research and
Innovation. This work is supported by EIT RawMaterials GmbH under Framework Partnership
Agreement No. 19018 (AMICOS. Autonomous Monitoring and Control System for Mining Plants).
Scientific work was published within the framework of an international project co-financed from
the funds of the program of the Minister of Science and Higher Education titled “PMW” 2020-2021;
contract no. 5163/KAVA/2020/2021/2.
Data Availability Statement: Archived data sets cannot be accessed publicly according to the NDA
agreement signed by the authors.
Acknowledgments: The authors (M. Siami) gratefully acknowledge the European Commission for
its support of the Marie Sklodowska Curie program through the ETN MOIRA project (GA 955681).
Support was also provided by the Foundation for Polish Science (FNP)—Jacek Wodecki.
Conflicts of Interest: The authors declare no conflict of interest.

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Article
A Method for Large Underground Structures Geometry
Evaluation Based on Multivariate Parameterization and
Multidimensional Analysis of Point Cloud Data
Adam Wróblewski , Jacek Wodecki , Paweł Trybała and Radosław Zimroz *

Department of Mining, Faculty of Geoengineering, Mining and Geology, Wrocław University of Science and
Technology, 50-370 Wroclaw, Poland
* Correspondence: [Link]@[Link]

Abstract: In underground mining, new workings (tunnels) are constructed by blasting or mechanical
excavation. The blasting technique used in underground mines is supported by economic aspects,
especially for deposits characterized by hard rocks. Unfortunately, the quality of the result may be
different than expected in terms of the general geometry of work or the roughness of excavation
surfaces. The blasting technique is also a source of vibrations that may affect other existing structures,
affecting their stability. Therefore, it is of great importance to monitor both the quality of the new
tunnels and changes in existing tunnels that may cause rockfall from the sidewalls and ceilings of
both new and existing tunnels. The length of mining tunnels and support structures in underground
mines is massive. Even if one would like to limit monitoring of tunnel geometry to those used every
day for major technological processes such as transport, it is a vast amount of work. What is more,





 any stationary monitoring system is hard to utilize both due to everyday blasting procedures and
Citation: Wróblewski, A.; Wodecki, J.; mobile machine operation. The method proposed here is based on quick LiDAR/Terrestrial Laser
Trybała, P.; Zimroz, R. A Method for Scanner measurements to obtain a cloud of points, which allows generating the spatial model of a
Large Underground Structures mine’s geometry. Data processing procedures are proposed to extract several parameters describing
Geometry Evaluation Based on the geometry of the tunnels. Firstly, the model is re-sampled to obtain its uniform structure. Next, a
Multivariate Parameterization and segmentation technique is applied to separate the cross sections with a specific resolution. Statistical
Multidimensional Analysis of Point
parameters are selected to describe each cross section for final 1D feature analysis along the tunnel
Cloud Data. Energies 2022, 15, 6302.
length. Such a set of parameters may serve as a basis for blasting evaluation, as well as long-term
[Link]
deformation monitoring. The methodology was tested and validated for the data obtained in a former
en15176302
gold and arsenic mine Zloty Stok, Poland.
Academic Editor: Krzysztof
Skrzypkowski Keywords: underground mining; mining excavations; tunneling; LiDAR; terrestrial laser scanning;
Received: 29 July 2022
point cloud; 3D model; statistical features; geometry measurement and analysis; dimensionality
Accepted: 25 August 2022 reduction; principal component analysis
Published: 29 August 2022

Publisher’s Note: MDPI stays neutral

with regard to jurisdictional claims in
1. Introduction
published maps and institutional affil-
iations. In many underground mines worldwide, especially those operating in hard rocks,
the drilling and blasting technique is the most commonly used method to excavate valuable
material [1]. This technique is relatively cheap and provides high flexibility of operations.
Although drilling and blasting technology has been strongly optimized over the years [2],
Copyright: © 2022 by the authors. there are still some major issues to overcome. One of them is the appropriate design of this
Licensee MDPI, Basel, Switzerland. process to prevent over- and underbreaks [3] together with the prediction of high risk of
This article is an open access article potential over- and under-excavated zones [4]. From the geometry point of view, it is not
distributed under the terms and so easy to control and maintain the actual shape of the tunnel cross section defined in the
conditions of the Creative Commons blast plan in the presence of hard geological conditions, manifested in the inhomogeneity
Attribution (CC BY) license (https://
of the rock mass.
[Link]/licenses/by/
4.0/).

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Energies 2022, 15, 6302

Geological and mining conditions are the main determinants of the design of the
excavations [5]. The over- and underbreaks that occur after the drilling and blasting
procedure are a serious problem, as they are not in line with the defined parameters
selected under these conditions. The deviations from the assumed cross section in the
form of underbreaks make the excavations insufficient for the proper operation of mining
machines and devices required for the materials extraction processes. Moreover, limited
dimensions of mine tunnels endanger the underground crew, determined by the permissible
concentration of oxygen and harmful gases in the mine air, its temperature, and the intensity
of its flow [6]. Underbreaks resulting from inaccurate drilling and blasting need to be
removed by additional drilling and blasting, increasing excavation maintenance costs. On
the other hand, overbreaks also contribute to increasing operating costs. As the part of the
rock mass not intended for excavation, overbreak material is often non-usable and when
blasted, degrades the ore, generating additional costs at the processing level. Enlarged
dimensions of the excavations may also lead to issues with stability [7]. For these reasons,
there is a strong need for sufficient control and prevention of over- and underbreaks.
Although there have been numerous approaches tested and validated that help avoid
over- and underbreaks, there are still some hard to control factors, e.g., the complexity of
the rock mass or human factors that result in an increase or decrease in the size of tunnels
compared to the design. In some cases, the already adopted drill-and-blast technique may
not be the most efficient, especially in rapidly changing geological and mining conditions.
There is a strong need not only for over- and underbreak prevention but also for a quick
and reliable method to measure and assess the quality of underground excavations for
further decision making.
Moreover, since drilling and blasting is often outsourced, there is a need to develop
a method for quick evaluation of mining tunnel geometry, in other words, work quality
assessment. This is a particularly important matter when additional expenditures must be
incurred for extra drilling and blasting due to underbreaks, as well as concreting or other
techniques to overcome overbreaks. Furthermore, each sequence of blasting may negatively
influence the stability of the tunnel directly or induce seismic shocks. Especially in deep
mines, it is clear that there is additionally a convergence of mine tunnels that should be
monitored on a regular basis.
As shown above, measurements of geometry are an important topic in underground
mining. Shapes of tunnels, pillars, and excavations change over time, influencing the
stress distribution in a rock mass [8]. This leads to the deformation of the tunnels. They
must be monitored to ensure the acceptable speed of deformation development, thereby
enabling safe and continuous operation of the mine. Another issue requiring geometric
measurements is the excavation process. Metric methods of tracking the mining progress
allow us to not only estimate the volume of extracted material [9] but also to check the
actual excavation geometry compliance with the overall plan. This is especially important
in the case of employing mining techniques such as drilling and blasting, which often cause
unpredicted changes of the blasting site geometry and put additional stress on the rock
mass. An ideal solution for those problems is frequent monitoring with modern methods
for a 3D metric reconstruction of the underground sites, such as photogrammetry or laser
scanning [10–12]. However, since the quality of the former is vastly influenced by the
lighting conditions, the latter method is usually the preferred one in harsh deep mining
environments. Laser scanning produces data in the form of an unstructured point cloud:
an abundant set of points with coordinates in 3D space, usually characterized by additional
variables, such as the intensity of the laser beam reflection. The problem of analyzing such
data is often the enormous size of the point cloud and the lack of topological information
of spatial relationships between points [13,14]. To get from the raw measurement data to a
tunnel convergence estimation or a blasting quality assessment accessible for interested
parties such as the geomechanical engineers or stakeholders, an automated and scalable
procedure is needed. Such a procedure should allow approximation of the structure from
a point cloud, analyzing its irregularities and deviations from the plan or prediction, and

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presenting them in an action-enabling way, conceivably with a model characterized by

easily understandable parameterized metrics.
In this paper, we propose a methodology for geometry analysis based on a 3D scanning
procedure and spatial data processing. In general, the idea of 3D scanning is well known in
tunneling, but the key issue is related to 3D data modeling and analysis with the focus on
features extraction, their analysis, and interpretation. It makes the mining workings case
different from a tunnel inspection case.
The paper is organized as follows: firstly, the most important approaches used in
tunnel inspection are recalled. Secondly, mining workings being analyzed and experimental
works performed (scanning devices, procedure, and experiment) are described. The novelty
of the paper is related to the methodology developed for 3D data analysis. Thus, the results
of 3D data analysis are presented for experiments performed in the underground mine in
the final part of this article.

2. State of the Art

Blasting is commonly used to mine hard rocks. This is a critical process from several
perspectives. It is obvious that one should mention safety issues, financial aspects, quality
of rock fragmentation, tunnel geometry that results from blasting, etc. In this paper, we
focus on “quality of blasting” related to the planned mapping of the geometry of the
tunnel into the real shape of the tunnel after blasting. Appropriate geometry of the tunnel
is important for many other processes (tunnel maintenance, ventilation, transport, etc.).
As the usual underground mine includes several hundred kilometers of tunnels, there is a
need to provide a procedure to monitor mining workings in a long-term sense as well as to
assess the compatibility of planned and received geometry just after blasting.
The over- and underbreaks can be brought about by two main reasons: by the drill-
and-blast design and execution and by the geomechanical features of the rock mass [15].
Thus, many scientists in their research have raised the problem of drilling and blasting
parameter selection to ensure the predefined shape of excavation [16–18].
The second main cause of over- and underbreaks together with the drill-and-blast
factors have been studied more carefully. The role of geological discontinuities in causing
blasting over- and underbreaks of the minor (<3 m) and major (>3 m) scale has been
evaluated by [19] through joint analysis. In [20], multiple regression analysis, both linear
and non-linear (LMRA and NMRA), and artificial neural network (ANN) were applied to
forecast overbreaks and assess the influence of geological parameters based on 49 sets of
overbreak and rock mass rating (RMR) data. In [21], the authors used data from 18 blasting
experiments conducted on-site during construction of a highway tunnel in China as a feed
for machine learning. To map the dependencies between the geological conditions, control
indices, and the outputs of the smooth blasting parameters, the improved support vector
regression (ISVR) model was implemented. In addition, an ISVR algorithm was supported
by a genetic algorithm (GA) to automate the choice of optimal parameters of the ISVR
model. Similarly, linear multiple regression analysis was performed in [22] to predict the
overbreaks induced by blasting. Controllable, non-controllable (geological conditions),
and semi-controllable blast factors were studied. Operative methodology to differentiate
drill-and-blast-related overbreaks from geological ones, together with its volume estimation
procedure, was presented in [23].
To estimate the size of under- and overbreaks, an appropriate measurement method
that provides data high quality and easy collection is required. Maerz et al. [24] divided
the excavation profile’s measurement techniques into surveying ones (manual or laser)
and photographic light sectioning methods. Simply stated, manual methods consist of
determining the distance between the certain central point to the tunnel boundaries at fixed
angular intervals. Utilized in the past, manual methods are time-consuming and strongly
inefficient when the high accuracy of measurements is needed on long tunnels.
A promising method has been proposed in [25]. Cross-section measurements through
a light sectioning method are performed by outlining it with a plane of light from a conical

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mirror. Although the procedure is much faster than the manual ones, there is still a need
to manually process the photographs and estimate the size of over- and underbreaks.
Nowadays, laser techniques are being exploited, ensuring high accuracy and enabling
automatic post-processing.
LiDAR, defined as Laser Induced Detection and Ranging or Light Detection and Ranging,
is a laser-based device allowing users to measure the distance between the sensor and
other objects [26]. It is obtained thanks to its active sensor high frequency spins emitting a
laser beam, which is reflected from the object and received back, allowing precise deter-
mination of the position of the object in relation to the sensor. LiDAR can operate in two
different modes: sending short pulses or continuous signals. Based on this, the distance is
obtained through Time-of-Flight (ToF) of the laser beam or phase-shift estimation of the
electromagnetic wave that returns to the sensor relative to the output electromagnetic wave.
Generally, the better sensing range is exhibited by ToF Terrestrial Laser Scanners, while
phase-based devices give higher accuracy. As a result of laser scanner measurements, a
precise and dense point cloud is obtained, which is the set of coordinates of points in a
three-dimensional coordinate system. Numerous reflections of the same, scattered beam of
different strength may be detected by the LiDAR and used for sophisticated data analysis,
together with other features provided, e.g., intensity or reflectance of the beam [27].
Laser scanning is used in the urban tunnel’s geometry reconstruction in the form of
a 3D point cloud. Deformation estimation based on terrestrial laser scanning as a part
of tunnel structural monitoring is presented in [28]. The 3D laser scanning for structural
inspection of the tunnels performed under an autonomous UGV mission for concrete
lining tunnel inspection is shown in [29]. Amedjoe and Agyeman [30] presented a mine
excavations stability problems management approach based on cavity monitoring system
data captured in the AngloGold Ashanti–Obuasi Mine. In order to reduce the number of
accidents related to rock falls, Warneke et al. [31] applied 3D laser scanning technology to
assess tunnels’ geometry drifts and overbreaks in Stillwater Mine, Montana. Zou et al. [32]
presented a smooth blasting evaluation method thanks to a mobile app utilizing geometry-
related data captured by a laser profilometer.
Moreover, in recent years, 3D laser scanning techniques have been applied widely
in other tunneling and mining applications [33,34]. As convergence monitoring is a well-
known tunneling problem [35–40], the authors in [40] proved that data provided by a
mobile LiDAR system can be used as an input for the method that automatically detects
road tunnel luminaries.
The scanning technology is also very useful for specific mining applications. For exam-
ple, Vanneschi et al. [41] successfully applied 3D scanning data for rock pillar degradation
monitoring, while Xu et al. [42] proposed to use terrestrial laser scanning for water leakage.
In [43], it is advised to use laser scanning technology on incident investigations in the
mining industry. The authors in [44] considered the usage of scanning for drill and blast
excavation forecasting. A review of commercial mobile mapping and surveying solutions
suitable for GNSS-denied environments, such as underground mines, has been provided
in [45].
Carrying out the LiDAR field measurements does not yet result in an easy to interpret
model, as the data should be preprocessed using automated procedures to avoid mundane
manual model preparation. The appropriate method for subsequent data analysis is also
very important. In [46], the authors proposed a method for continuous extraction of subway
tunnel cross sections based on terrestrial point clouds. In [47], the authors developed an
automated and efficient method for extraction of tunnel cross sections using terrestrial laser
scanned data. Raw 3D data from scanning are not suitable for tunnel condition evaluation,
thus in [48] a procedure for feature extraction of a concrete tunnel liner from 3D laser
scanning data has been proposed.
The next step is to provide a data-driven decision support system. The major issues
in designing such a system, also applicable in this study, are the identification or creation
of a crucial variable for decision making and providing thresholds or more sophisticated

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methods to interpret its values. Often, machine learning techniques are used for those pur-
poses. A Back Propagation Neural Network (BPNN) and Multivariate Adaptive Regression
Splin (MARS) machine learning algorithm has been proposed in [49,50]. It was already
mentioned above that multiple regression analysis and artificial neural network (ANN)
were applied to forecast the overbreaks in [20]. In [33], a state-of-the-art review focusing
on segmentation and classification of mobile laser scanning point clouds is presented. For
more details, one may refer to review papers by Grilli [51] or Remondino et al. [52,53].

3. Experiments and Data Description

3.1. Złoty Stok Gold Mine
Złoty Stok is a town located in Lower Silesia Province, southwestern Poland, in the
Eastern Sudetes. The city owes its name to the former gold exploitation from the 13th
century. At a later stage of the mine’s operation, arsenic ore was mined there until 1961.
The geological structure of the rock mass in which the tunnels are located is quite
complex. The presence of the Złoty Stok—Skrzynka tectonic zone, which is a part o fthe
Ladek—Śnieżnik metamorphic structure, is the reason for phenomena of cataclasis and
mylonitization of varying intensity in the Złoty Stok area. Metamorphic rocks are repre-
sented by schists (mica, mica–quartz, and quartzite schists), but also gneisses, leptynites,
amphibolites, as well as serpentinites and crystalline limestones gneisses are common.
Rocks in the Złoty Stok-Skrzynka tectonic zone and Kłodzko–Złoty Stok Massif borders are
contact-altered and cut by faults and dislocation zones [54].
From a huge complex of excavations (see Figure 1) consisting of over 300 km of
underground corridors, located on 21 levels, only 2 adits are accessible since in 1996 an
underground tourist route named “Kopalnia Złota” (Gold Mine) was opened. The first one,
Gertruda adit, is two kilometers long, but only initial 500 m can be seen. The remaining
part of this slant is deprived of lighting and flooded with water, and merely a small part can
be visited with boats. The second one, Czaran adit, is also partially opened. One of its side
corridors (approx. 200 m long) leads to a 25 m shaft from the 17th century, giving access to
a huge chamber in which a unique, 8-meter long underground waterfall can be seen.

Figure 1. Złoty Stok post mining area [55]. Legend: 1—mining area; 2—limestones; 3—ore nests;
4—mining waste heaps; 5—slants, galleries, and adits; 6—shafts.

The deep and extensive mine excavations in the Złoty Stok Mine were made entirely
by hand, then by blasting in very hard, though fractured massif of metamorphic rocks.
Thus, this mine has been selected for testing purposes, firstly, because it is an old mine

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in which the problem with corridor geometry (roughness/unevenness of surface) is very

clearly visible. Secondly, because it is more available than deep underground mines in
operation. The unique characteristic of the workings is the reason for some other interesting
papers related to experimental works in this mine [56,57].

3.2. Data Collection

For the purpose of testing the methodology developed in this study, data from the
work concerning the accuracy evaluation of a LiDAR SLAM solution, namely High-Density
LiDAR SLAM (HDL-SLAM [58]) have been used [59]. The procedures and details of the 3D
point cloud acquisition and coregistration are included in the referenced paper. However,
in our study only the part of the final point cloud acquired with the mobile LiDAR is
analyzed using the proposed corridor geometry evaluation procedure.
The mobile LiDAR mounted on the UGV platform during the measurements was a
Velodyne VLP-16 (‘Puck’) LiDAR sensor (Figure 2). It is a small and compact LiDAR that is
performance and power optimized for use across a variety of applications ranging from
automotive, mapping, robotics, security, and smart cities, i.e., for lower speed autonomous
vehicle (AV) applications. The Puck enables real-time, surround view, 3D distance, and
calibrated reflectivity measurements. The main features cover a range of 100 m, up to
600,000 points/second generation, a 360° horizontal field of view and a 30° vertical field of
view, and class 1 eye-safe 905 nm technology with autonomous fleet validation [60]. The
distance measurement accuracy for a single point is 3 cm (1σ).

Figure 2. Velodyne VLP-16 LiDAR sensor and UGV platform.

Moreover, the scanning has also been performed with the utilization of a higher
accuracy device, namely Riegl VZ-400i Terrestrial Laser Scanner (TLS) Figure 3. This
survey-grade device is characterized by a 3D point position determination accuracy of
5 mm (1σ at 100 m), acquisition of up to 500,000 points/second, range from 0.5 m to 800 m,
and scanning resolution of up to 0.0007◦ (vertical) and 0.0015◦ (horizontal) [61]. The scanner
has a built-in Inertial Measurement Unit (IMU) used for motion estimation during changing
scan positions and can be integrated with a GNSS receiver or a digital camera. Although
costly and requiring the operator to carry it, the Riegl TLS can quickly obtain very dense
and accurate point cloud data of a vast area.
In this paper, 3D data of the Gertruda slant (Figure 4) geometry has been processed.
Renderings of the point clouds acquired with laser scanning of the Gertruda adit with
the RIEGL VZ-400i TLS and a Velodyne Puck and HDL-SLAM are presented in Figure 5.
Moreover, from the whole 3D point cloud representing slant geometry, an approximately
24 m long segment has been chosen (Figure 6) for analysis. Large variability of the cross
sections in this part of the slant create a good test field for evaluation of the proposed
diagnostic procedure. Only the point cloud acquired with SLAM has been processed
using the proposed corridor geometry quality evaluation procedure to demonstrate its
capabilities on a dataset obtained with an accessible, lower cost data acquisition solution.
Nonetheless, a further possibility and advantages of employing it for processing highly
accurate data from a survey-grade instrument are discussed in Section 6.

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Figure 3. RIEGL VZ-400i Terrestrial Laser Scanner in the adit.

Figure 4. Wheeled robot during its low-speed passage through Gertruda slant.

Figure 5. Renderings of a point cloud obtained with a RIEGL VZ-400i TLS (left) and a Velodyne Puck
and HDL-SLAM (right). Point coloring by the Z coordinate.

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Figure 6. Top view of a 3D point cloud orthographic projection of the Gertruda slant with analyzed
region marked in red.

4. Methodology
From measurement, trial one receives a spatial dataset with a massive volume of
points and a specific format. As previously mentioned, raw 3D data is difficult to use for
any reasoning or decision making; therefore, a method for processing is needed, which
is not an easy task. If geometry evaluation is to be used in everyday practice, a simple
1D parameter is required for monitoring, but also for modeling and predicting changes
in geometry.
Thus, the proposed general approach is to build a reliable 3D model from measure-
ments, divide it into collections of cross sections, describe the 2D shape of cross sections (still
multiple points) by some statistically explained features, and then again use statistical or
machine learning techniques to find outliers, classes, or general patterns in tunnel geometry.
In this section, the key elements of the methodology are described. The general flow
of the procedure is presented in Figure 7.

Figure 7. Flowchart of the procedure.

1. Longitudinal sampling: In the first step, the grid is defined in the dimension of
tunnel length with a given resolution. Then, the original geometry produced by a
scanner is manually sampled longitudinally according to the grid. In practice, when
raw data are imported from the device to the computer, they are assembled from
multiple files to a single point cloud. From this point cloud, running the bounding box
filter of a given longitudinal interval (i.e., chosen cross-section separation), the slices
of a point cloud are extracted. Projecting them on a plane perpendicular to the tunnel
axis, the points establishing flat corridor cross sections (further called “profiles”) of the
entire geometry are generated. This way, it is possible to obtain a set of cross-sectional
profiles that can be further analyzed. When a set of such profiles is obtained, they are
cleaned by selecting only the edge points (see Section 4.1). This way, it is possible to
get rid of unnecessary points inside the corridor.

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2. Centering: In the next step, the profiles are centered so that their shapes can be
analyzed. It is a necessary preprocessing step to counteract any changes in the
directions of a path of a corridor. For example, if the corridor was excavated in a
perfectly straight line, centering would not be necessary because (at least in theory)
the center of each profile would lie in the same position on its plane. In the horizontal
direction, the median value (see Section 4.2) of each profile is subtracted (median of
horizontal coordinates of points).
In the vertical direction, profiles are first normalized to the average floor level (section
of a profile describing the floor is identified, and a mean value of the vertical coordi-
nates of this section is subtracted), and then the median value is subtracted from the
entire geometry in terms of vertical coordinates, so that the projection orthogonal to
the length of the corridor is centered around the origin of the coordinate system.
3. Circumferential resampling: Centered profiles are converted to polar coordinates.
This way, their shapes are “unfolded” so that the horizontal coordinate value of each
point represents the angle of a point with respect to the center of a corridor, and the
vertical coordinate value of each point represents the distance from the center of a
corridor (such as a unit circle converted to polar coordinates becomes a constant linear
function of value 1). For each profile Pi represented by a pair of vectors holding the
XY coordinates of individual points, the unfolded profile Ppi in a polar domain is
represented by a pair of vectors holding the RΘ coordinates calculated as:
 p
 Ri = ( X 2 + Y 2 )
Ppi = f or i=1:N (1)

Θi = tan−1 (Y/X )

where N is the number of profiles, the coordinate Θ denotes the angle coordinate, and
the coordinate R denotes the radius coordinate (distance from the center).
Now the profile coordinates can be used as single-dimensional vectors Ri in the
domain Θ, and they can be reinterpolated in the angle domain to the resolution
that is common to all the profiles. First, a new domain vector Θr is defined with K
evenly spaced points in range (0, 2π ). Then, all the vectors Ri are resampled so that
Ppi { Ri , Θi } allows to produce Ppri { Rri , Θr }, where it is important to notice that the
angle domain vector Θr is common for all Rri . The resampling itself is performed
using a Modified Akima cubic Hermite interpolation [62]. The interpolated values are
based on a piecewise function of polynomials. This way, the profiles are described by
the equal amount of points evenly spaced in the domain of the angle. At this poin,t
the evenly sampled geometry of the desired grid resolution is obtained.
4. Parameterization: In the beginning of parameterization, the median (see Section 4.2)
profile is calculated from the entire geometry which serves as a reference model. For
every profile (after circumferential resampling), their vectors Rri are arranged in a
matrix Rr, and its median is calculated along the dimension of corridor length, which
produces a new profile, also in the angle domain, such as:

Rrmodel = median( Rr ) (2)

In practice, user can import additional geometry to serve as a reference model. Then,
several statistics are calculated for every profile, such as:
• Total, positive, and negative deviation from the reference profile shape (see
Section 4.3)—those features will be useful to describe the aspect of consistency of
the excavation. Testing shows that having those 3 features together works better
than using only 1 feature of total deviation, although in practice they carry the
same information.
• Roughness factor (see Section 4.4)—this feature allows the user to describe the
qualitative aspect of a profile in terms of how wasteful the excavation was at any
given point. It is not optimal if a shape of a single profile contains a lot of variety.

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• Width, height, and area of a given profile.

In total, it allows us to obtain 7 features describing the corridor along its length. Those
7 features are then used as a dataset of parameters that is used for further analysis.
Those statistics can be analyzed by themselves to evaluate the geometry and draw
conclusions; however, the authors propose the following method that fuses data from
the statistics.
The matrix containing the statistics (Table 1) is processed using a principal compo-
nent analysis (PCA) algorithm (see Section 4.5). The PCA method is known for its
ability to reduce dimensionality. In practice, it means that if it is able to produce one
feature that explains the vast majority of information coming from the 7-dimensional
dataset, it is very practical to analyze this singular feature instead of performing
7-dimensional analysis of the data. The first component forms a diagnostic feature
that describes the differences between the profiles and can be used as a working
statistic for segmentation.
5. Segmentation: The diagnostic feature is segmented based on value thresholds. To
obtain them, authors calculate a kernel density estimate of a diagnostic feature (see
Section 4.6) [63] and define the thresholds as the local minima between main modes.
It is performed by differential analyses of the estimated probability density function.
Local minima are located at places where the first derivative is equal to 0 and the
second derivative is positive. Then, profiles that belong to particular classes between
those thresholds are identified. In practice, Matlab provides a function called findpeaks
that performs this operation automatically.

Table 1. Statistics matrix.

Statistics
Positive Negative Total Total Total
No. Roughness Area
Deviation Deviation Deviation Height Width
1 13.172 12.881 26.053 11.239 2.454 2.949 6.102
2 4.250 6.120 10.370 8.160 2.382 2.831 5.913
3 2.984 12.852 15.835 7.871 2.289 2.878 5.562
... ... ... ... ... ... ... ...
90 4.016 14.168 18.184 11.125 2.384 2.902 5.570
91 9.192 25.012 34.204 10.122 2.312 2.926 5.405
92 1.304 13.055 14.359 8.896 2.336 2.855 5.469

4.1. Boundary Detection

The detection of boundary points of a flat point cloud is performed in two steps.
First, the non-convex alpha shape is generated from points, and then boundary facets
are determined.
The alpha shape of a set of points is a generalization of the convex hull and a subgraph
of the Delaunay triangulation [64,65]. Moreover, alpha shapes allow users to control the
level of detail. Varying the parameter value from 0 to infinity can produce a set of different
alpha shapes for that point set.
In the second step, boundary facets (in particular—boundary edges for 2-dimensional
geometries) are identified. First, edges of an alpha shape are counted individually for each
triangle. Then, edges counted only once are defined as boundary edges, which allows us to
define boundary points.

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4.2. Median Calculation

The median is defined as:

 X(n+1)/2
 for n%2 = 1,
median( X ) = (3)

 X(n/2) + X(n/2)+1
2 for n%2 = 0,

where X is a vector of values, n is the number of samples, and % denotes the operation of
modulo division.

4.3. Deviation Calculation

One of the simplest statistics that can be calculated for the profiles is the deviation
from the model. In order to achieve that, unfolded profiles (see step 3 in Section 4) in the
angle domain are processed by subtracting from them the model profile, such as:

K
devi = ∑ Rri − Rrmodel (4)
k =1

In other words, for each point on the profile (each ray from the center), the dis-
tance from the center is compared with the distance of the same point for the reference
profile. Now one can take the absolute value of the result to obtain the total deviation,
or just take the positive or the negative part to obtain positive (outwards) or negative
(inwards) deviation.

4.4. Roughness Factor

The idea of a roughness parameter is based on the assumption that the model profile
should be relatively smooth in shape and not very jagged. In order to estimate that, the
derivative of the shape of each profile is analyzed, such as:

2π
RF (i ) = ∑ |di f f ( P(i))| (5)
θ =0

where | · | stands for the absolute value, di f f () function denotes numerical derivative, and
P(i ) is the ith profile in a sequence. Effectively, roughness value is a sum of amplitudes of
changes between consecutive points on the outline of a profile. In practice, this calculation
is performed on the unfolded form of a profile, so the value of points on the profile denotes
the distance from the center.

4.5. Principal Component Analysis

Principal Component Analysis is a very capable analytical tool [66]. It interprets a
dataset including N samples over K variables, as a point cloud in K-dimensional feature
space. The aim is to rotate and translate a local coordinate system so that the variance
is maximized over new dimensions, such that the first dimension displays the greatest
variance, the second dimension—second greatest variance, etc.
Such a transformed system contains new values of data, which are original data but
defined over a new set of dimensions (new coordinate system). Vectors representing data
over the new coordinate system are known as principal components. The new feature space
describes the original dataset with the most information content located within several
first principal components that carry the most information. In many cases, the information
contained in several first components is sufficient due to their high information content, so
PCA is regarded to be a dimensionality reduction method.

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Given n observations of m-dimensional data stacked into a matrix X ∈ Rn×m , the

principal components can be calculated using Singular Value Decomposition (SVD):

1
√ X = UΣV T , (6)
n−1

where U ∈ Rn×n and V ∈ Rm×m are unitary matrices, and Σ ∈ Rn×m contains the
nonnegative real singular values of non-increasing magnitude (σ1 ≥ σ2 ≥ · · · ≥ σm ≥ 0).
Principal components are the orthonormal column vectors of the matrix V, and the variance
of the i-th component is equal to σi2 .

4.6. Kernel Density Estimation

The distribution density is obtained using the kernel density estimator, which is the
estimated empirical probability density function of a random variable [67,68]. For real
values of the data x, the estimated distribution is given by:
n  
1 x − xi
fˆh ( x ) = ∑K h , (7)
nh i =1

where x1 , x2 , . . . , xn are samples of unknown data, K (·) is the kernel smoothing function, n
is the sample size, and h is the bandwidth. For this example, a Gaussian kernel is used.
The value of the bandwidth is obtained using the so-called Silverman’s rule of thumb [68].
For the Gaussian kernel and the assumption of a Gaussian mixture, the optimal choice for
h (that is, the bandwidth that minimizes the mean integrated squared error) is

  15
4σ̂5
h= ≈ 1.06σ̂n−1/5 , (8)
3n

where σ̂ is the estimator of a standard deviation of the samples, and n is the number
of samples.

5. Results
In this section, the authors present the geometry evaluation approach on the example
of a corridor section from a historical mine in Poland, shown in Figure 8. In the first place,
the point cloud is segmented into slices of the same depth to acquire regular profiles. In
this example, the profiles are sampled with the resolution of 25 cm; however, any different
value can be chosen by the user. An example slice is shown in Figure 9a. Individual points
segmented in slices are then projected onto a plane. Subsequently, Figure 9b presents an
example of how those points are preprocessed in a Matlab environment. Red points are
detected as boundary points, and they represent the raw form of the outlines of profiles.

Figure 8. Point cloud of the analyzed corridor segment colored by elevation.

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(a) (b)
Figure 9. Identification of boundary points for further processing: (a) isometric view of an example
of a point cloud slice used to generate profile; (b) preprocessing of the slices imported from the
raw geometry.

In the next step, the outline is converted to polar coordinates and resampled (see
Figure 10). Figure 11 presents the shapes of outlines pulled from the original point cloud
provided by the 3D scan.

Figure 10. Example of angular resampling. Original boundary points from Figure 9b (red points) and
evenly resampled data (black crosses). In this example, the amount of resampled points has been set
to lower value for better visibility.

Figure 11. Overview of shapes of outlines. Dimension units are expressed in meters.

Afterwards, the profiles are centered (Figure 12) and resampled in the domain of angle
(Figure 13). This way, every profile has the same amount of samples at the same angles, so
they can be compared.

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(a) (b)
Figure 12. Comparison of profiles between and after centering: (a) orthogonal projection of profiles
before centering; (b) orthogonal projection of profiles after centering.

(a) (b)
Figure 13. Comparison of point distribution of profiles before and after resampling: (a) overview
of raw shapes of centered outlines before angular resampling; (b) centered outlines after angular
resampling (blue) and their median (red).

When profiles are resampled, they can be parameterized with seven statistics described
in Section 4 (see Figure 14).

(a) (b)
Figure 14. Statistics calculated for the resampled profiles: (a) positive deviation, negative deviation,
total deviation, roughness index; (b) cross-section height, cross-section width, cross-section area.

Statistics are then passed to the PCA, and seven principal components are calculated,
while the first of them is regarded as a feature useful for further segmentation based on
relative variance, which for this first component was equal to 79%.

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In order to achieve that, the feature is divided into segments based on its values. First,
the kernel density estimate of the feature is calculated with an automatically obtained
bandwidth parameter equal to 0.12 (see Section 4.6) and the normalization mode set to
PDF—probability density function. It means that the integral of a function is equal to one
(see Figure 15). Then, local minima of the feature are identified. Those minima define
the thresholds for feature values (see Figure 16). Then, the thresholds define regimes in
the domain of corridor length (see Figure 17). Median profiles of each class and original
total median profile comparison toegether with profiles selected based on the results of
segmentation has ben presented in Figure 18.

Figure 15. Kernel density estimate of feature values. Red circles indicate localized thresholds.

Figure 16. Obtained thresholds at values −0.13 and 0.81 for qualitative segmentation.

Figure 17. Segmented geometry. Colors denote assignment of individual profiles to classes. In this
example, the blue class denotes the most “consistent and desirable” character of shape; green is the
moderate one and red—the most irregular.

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Figure 18. (Panels a–c): profiles selected based on the results of segmentation (blue points), median
profile of each class (red points), and original total median profile (black points); (panel d): comparison
of class medians (color-coded) with total median (black).

6. Discussion
In our study, the proposed methodology has been tested on the testbed of a closed
mine corridor characterized by varied geometry due to the basic techniques employed in its
creation. Such a case study could simulate a real scenario of evaluating the tunnel geometry
in terms of compliance with the mining plan. In this instance, significant deviations from
the plan would be in the order of tens of centimeters. As such, a point cloud obtained
with a cheap SLAM solution could be used as a source of input data, despite its accuracy
in the range of single centimeters. However, in cases where the desired precision of
identifying deviations of the corridor geometry would be lower, e.g., during convergence
monitoring, another input point cloud source of correspondingly higher measurement
accuracy and resolution will be chosen. Example techniques include terrestrial laser
scanning, photogrammetry (in mines with low pollution and well-lit corridors), and mobile
laser scanning (for tunnels accessible by a car equipped with an MLS system).
For the proposed methodology, employing instruments of higher accuracy and reso-
lution for measurements assures a more accurate representation of the corridor geometry
mostly in the direction perpendicular to its axis. The longitudinal resolution is, however,
limited by one of the initial steps of the proposed methodology—extracting slices of selected
depth from the input point cloud for cross-section generation. The value of cross-section
depth should be chosen individually for each use case scenario, depending on the expected
or desired to be detected corridor geometry deviations regarding their dimension along the
corridor. The selection of too wide cross sections may result in not detecting significant
geometry disturbances or their overestimation. On the other hand, choosing too narrow
point cloud slices might result in a low number of points establishing the profiles, making
them an unsatisfactory representation of the real corridor geometry.
As mentioned above, geometry analysis of large underground structures consisting
of dozens of kilometers of mining excavations may be of particular interest of mine main-
tenance services, especially geomechanical engineers or ventilation crews. The proposed
methodology for spatial data utilization, combined with an appropriate statistics selection,
may serve as a tool for mine ventilation optimization. As the geometry of the airways is
strongly related to airflow behavior, obtained results may be strongly informative in terms
of ventilation performance and indicate potential actions needed to improve the current

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state. On the other hand, the results may potentially contribute to reducing the aerological
hazards. Moreover, a 3D point cloud from geometry measurements adequately processed
with respect to spatial mesh of underground structure development may also provide a
basis for CFD methods analysis. The insights presented will constitute future work by the
authors in subsequent articles based on the methodology defined in this work.
Results acquired with the introduced method at the testbed in the closed mine in Złoty
Stok prove the suitability of this solution for automatic evaluation of the corridor’s geometry.
Moreover, it was demonstrated that for similar use cases, a point cloud obtained with SLAM
manifests sufficient accuracy for subsequent processing. This shows possibilities for further
automation of the proposed method utilizing an autonomous mobile robotic system. Other
important directions of research include automatization of inspection of more complex
scenes, (e.g., a grid of underground corridors) and testing various measurement techniques
for obtaining the point cloud for different use case scenarios.

7. Conclusions
In this paper, the authors have attempted to solve the problem of geometry assessment
of large underground structures. As shown in the state of the art provided, this subject is
a particular matter in the field of underground mining, but also tunneling. To meet the
specific requirements defined by the complex nature of this problem, several issues needed
to be considered during the solution development. It covers primarily a quick and reliable
measurement method allowing geometry-related spatial data acquisition with relatively
low effort and capital outlay. Secondly, processing obtained data should create a field for
deviation detection and variation tracking and analysis employing informative features.
Such an approach in the final stage would lead to a classification of certain tunnel segments,
which in terms of geometry demands taking actions aimed at maintaining mine operation
according to defined specifications.
The authors proposed a simple yet effective method of assessing the quality of exca-
vated corridors. Input data constitute the point cloud measured by a LiDAR-based scanning
system. This kind of data source is not very expensive and thus may be easily accessible.
During the experiment conducted by the authors, the LiDAR sensor was attached to a
mobile platform. Although this solution may be beneficial from different perspectives, the
process of collecting data with such a device itself can also be carried out manually. The
input data type does not influence the data processing methodology. However, depending
on the desired purpose, it may result in different accuracy. In practice, a digital model of
underground structures may be constructed based on data captured utilizing any method,
such as TLS implementation or photogrammetry.
The initial part of the proposed methodology is related to 3D data preprocessing,
which is required to apply statistical parameterization and analysis. The core of the method
is based on creating a multivariate parameterization of a corridor section concerning its
length. The calculation of selected statistics allowed the determination of more general
features. Segmentation and classification of the created segments based on those features is
performed concerning the quality defined by them. The set of cross sections arranged in
groups provides a global and quantitative measure of the quality of tunnel geometry.
The overriding goal for the authors of this paper was to use simple statistics to
determine some informative features. Obtaining information from them particularly was
not of interest; however, even by themselves, they may be useful for some specific use
cases. In terms of qualitative evaluation, one could go a step further and correlate the
segmentation results with one of the statistics, i.e., deviation from the reference model,
or a roughness coefficient. Based on this, one could conclude that one of the classes
corresponds to a better quality of excavation, while the other class to a worse one. However,
this consideration is dependent on the particular use case and is not of interest within
this paper.
In the long-term perspective, the progressing excavation in a given location will pro-
duce new sections of a corridor that can be assessed as a continuation of a previously

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parameterized dataset. Such an approach can allow for quasi-real-time evaluation of an ex-
cavated corridor, paying attention to any deviations and eventually making corrections and
maybe even adjustments to the excavation practices. Paying attention to the optimization
of corridor geometry can have significant importance for the efficiency of key technological
processes undertaken in underground mines.
The key advantage of the proposed approach is the ability to massively reduce the
data volume at several levels of abstraction. Longitudinal and circumferential resampling
allows us not only to standardize the operational structure for 3D data (which makes the
analysis relatively easy and comfortable), but also to adjust the resolution to the needs of
the particular case and inference, which allows making the dataset significantly smaller and
the analysis significantly faster. Moreover, the parameterization step allows us to further
reduce the operational dataset to only several variables in the longitudinal domain. It also
makes the post-processing step (as the segmentation proposed in this paper) very efficient.

Author Contributions: Conceptualization, R.Z., J.W. and A.W.; methodology, J.W. and R.Z.; software,
J.W.; validation, R.Z., J.W., A.W. and P.T.; investigation, A.W.; resources, P.T. and A.W.; data curation,
P.T, A.W.; writing—original draft preparation, A.W., J.W., R.Z. and P.T.; writing—review and editing,
A.W., J.W. and R.Z.; visualization, J.W.; supervision, R.Z.; funding acquisition, J.W. and A.W. All
authors have read and agreed to the published version of the manuscript.
Funding: This activity has received funding from the European Institute of Innovation and Technol-
ogy (EIT), a body of the European Union, under the Horizon 2020, the EU Framework Programme
for Research and Innovation. This work is supported by EIT RawMaterials GmbH under Framework
Partnership Agreement No. 21119 (V0T3D: Ventilation Optimizing Technology based on 3D-scanning)
and No. 19018 (AMICOS. Autonomous Monitoring and Control System for Mining Plants). Scientific
work published within the framework of an international project co-financed from the funds of
the program of the Minister of Science and Higher Education titled “PMW” 2020-2021; contract no.
5163/KAVA/2020/2021/2.
Institutional Review Board Statement: Not applicable.
Informed Consent Statement: Not applicable.
Data Availability Statement: Not applicable.
Acknowledgments: Supported by the Foundation for Polish Science (FNP)—Jacek Wodecki.
Conflicts of Interest: The authors declare no conflict of interest.

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 energies
Article
Underground Mine Tunnel Modelling Using Laser Scan Data in
Relation to Manual Geometry Measurements
Jakub Janus * and Piotr Ostrogórski

Strata Mechanics Research Institute of the Polish Sciences Academy, Reymonta 27, 30-059 Krakow, Poland;
ostrogorski@[Link]
* Correspondence: janus@[Link]

Abstract: Underground mine tunnels, drifts, and mine headings are susceptible to the impact of
convergence. The convergence has a big influence on further measurements such as airflow and the
volume concentration of methane and other gases. In most cases, deformation of arch supports lead
to getting a smaller cross-section area. A comparison is made between five methods of measuring
the cross-sectional area of a mine tunnel. The reference size of the six cross-section mine drift areas
were obtained by Terrestrial Laser Scanning, which were then compared with the cross-section areas
obtained by four other methods. The following methods were considered: area calculation using CAD
software, an empirical method, approximation by a semi-ellipse and approximation by a semi-ellipse
with attached straight sections. This article presents the quantitative and qualitative differences of
the obtained results. Differences in the calculated cross-sectional areas of the mine drift are discussed,
and reasons for the differences are determined. In addition, the advantages and disadvantages of
each method are indicated.

Keywords: arch support; laser scanning; mine drift area; mine tunnel; cross-section






Citation: Janus, J.; Ostrogórski, P.
Underground Mine Tunnel
Modelling Using Laser Scan Data in
1. Introduction
Relation to Manual Geometry The modelling of underground mine tunnels, drifts and mine headings is of great
Measurements. Energies 2022, 15, importance in many tasks connected with maintenance, inventory, underground transport,
2537. [Link] CFD modelling and accuracy of measurements [1–3]. In these tasks, the 3D models are
en15072537 necessary to reconstruct the measurement or inventory object. In many scientific publi-
Academic Editor: Sergey Zhironkin
cations, we see very simplified 3D or only 2D models which were made using technical
design documentation or manual measurements [4,5]. These models can be improved
Received: 4 March 2022 by laser scanning data and a reconstruction model from a data point cloud [6]. It takes a
Accepted: 28 March 2022 lot of time and requires a lot of effort to make it accurate and to a satisfactory degree of
Published: 30 March 2022 simplification. If we think about monitoring of geometry, we need to keep updates in a loop
Publisher’s Note: MDPI stays neutral after any shape change. It can be done using machine learning and automatic recognition
with regard to jurisdictional claims in objects from a point cloud [7]. Underground mine spaces are susceptible to the impact
published maps and institutional affil- of convergence. The convergence has a great influence on further measurements such as
iations. airflow and volume concentration of methane and other gases. In most cases, deformations
of arch supports lead to getting a smaller cross-section area, which is an important factor in
any flow measurements [8].
The convergence is a result of strata mechanics caused by stress and rock deformation.
Copyright: © 2022 by the authors. Stress and deformation can be derived from mining works [9–11].
Licensee MDPI, Basel, Switzerland.
In mine ventilation measurements, a necessary value that characterizes the flow is
This article is an open access article
the flow rate. There are several methods to determine the flow rate, including the manual
distributed under the terms and
traverse method, which is the most commonly used method in underground mining [12,13].
conditions of the Creative Commons
This is an indirect method, where average air velocity and cross-sectional area are measured.
Attribution (CC BY) license (https://
The product of these two values gives the flow rate. In addition to the traverse method, and
[Link]/licenses/by/
mainly for accurate measurements or scientific research, the multi-spot flow velocity field
4.0/).

195
Energies 2022, 15, 2537

measurement system (SWPPP) is used [14]. This uses a system of spaced vane anemometers
in the measurement cross-sections, which helps to measure air velocity at numerous points
of the cross-sections at the same time. To calculate the air flow rate with the use of the
SWPPP system, it is necessary to know the exact shape of the mine tunnel where the system
is placed. Usually, the outline of the mine tunnel is obtained by measuring the tunnel’s
height and width and delineating the cross-section using CAD tools. Using equipment
of this kind, such outlines can be drawn in several ways depending on the type of arch
yielding support. In the simplest case, the cross-section outline can be approximated by a
semi-ellipse, and in a slightly more complex case, by a semi-ellipse with attached straight
sections. In the latter case, it is necessary to know the length of the straight sections or to take
nominal lengths. The most complex case of delineation of the cross-section involves using
the manufacturer’s standards and catalog data and taking into account changes in the shape
of the mine tunnel due to clamping [15]. The Creo Parametric software used by the authors
allows one to define nodes between individual elements of the arch yielding support and
to define moving dimensions, which, based on the many dependencies between individual
elements of the arch, can be determined by the software. As a reference method, the use
of laser scanning and point cloud processing tools is adopted. In many cases, the typical
methods of measuring cross-sections in mines fail because of the large uncertainties. The
source of these errors can be found in the strata forces which act on the arch yielding
support [16]. The forces depend on the particular place in the mine: closer to the excavation
process, the forces and strata tension are normally much greater. In the present case, we
consider a ventilation tunnel which is sufficiently far from the main excavation area.
Information about the real shape and proper cross-sectional area of the mine tunnel
are also very important in Computer Fluid Dynamics of air flow in the underground mine
environment [17–20]. Proper cross-sectional area determination is necessary to obtain
correct results of the numerical simulations. Very often, CFD simulations of air flow are
carried out on simplified models. These simplifications consist of assuming the same
cross-sectional area in the entire numerical model [21].
Constant development of new technologies has resulted in the proliferation of methods
that were previously restricted to a small group of specialists. One example of this type of
technology is Terrestrial Laser Scanning (in short TLS). The very fast determination of X,
Y and Z point coordinates, called point cloud, is used to get the image of an object. From
the spatially oriented point cloud obtained during the scanning process, it is possible to
generate a scanned object 3D model. Development of the post-processing software has
made the processing of such a large amount of data more efficient.
The capabilities of this technology, in conjunction with the CAD systems, create new
possibilities. It is commonly used for land surveying to visualize changes taking place in
the field [22,23], deep tunnels’ evolution [24–26] and deformation of large-size devices such
as wind turbine towers [27]. It can be in combination with a 3D printing technology to
reproduce the actual shape of the object at a reduced scale [28,29]. This combination was
used in [30] to reproduce the historical building ornamental components. It is also used
in underground mining to observe temporary evaluation and changes of mine tunnels’
geometry over time [31]. Another application of this technology is its use in CFD modelling.
Accurate information about the shape of mine drift, in the form of a point cloud, was used
in [32] to design the actual shape of the tested object. This work also presents differences in
simulation results on simplified model geometries, the design of which was possible using
the laser scanning technology. The combination of laser scanning technology with Virtual
Reality gives even greater possibilities. Authors of work [33] show how effectively those
technologies can improve mining safety.
In this article, the authors decided to use laser scanning technology to determine
the exact cross-sectional area of a mine drift. These data were used to compare with the
results of determining the cross-sectional area using other methods. This article presents
the quantitative and qualitative differences of the obtained results.

196
Energies 2022, 15, x FOR PEER REVIEW 3 of 15

Energies 2022, 15, 2537

2. Measurements of Mine Tunnel Geometry Using Terrestrial Laser Scanning
The functioning of a laser scanner is based on the phase method of measuring dis-
2. Measurements
tances, of Mine
based, in turn, on Tunnel Geometry
the properties of Using
the wave Terrestrial
emitted Laser Scanning
by the laser. The instrument
emitsThe functioning
a laser beam of ofknown
a laser scanner is based
frequency, on the phase method
which—after meetingofthemeasuring distances,back to
object—comes
based,
the in turn, on
instrument. thephase
The properties
of theofreturning
the wave emitted by the [Link]
light is compared The the
instrument
phase ofemits
the known
frequency. The difference between the two peak values is called the phase [Link]
a laser beam of known frequency, which—after meeting the object—comes back to
instrument.
This is aThe phase
polar of the returning
measurement light in
method, is compared
which thewith the phase
location of thepoint
of a given known is deter-
frequency. The difference between the two peak values is called the phase shift.
mined by means of the horizontal and the vertical angle, as well as the distance from the
This is a polar measurement method, in which the location of a given point is deter-
measuring point. The angles are determined from the location of the mirrors scattering
mined by means of the horizontal and the vertical angle, as well as the distance from the
the laser beam.
measuring point. ToThe
establish
angles the location of from
are determined the point P, one of
the location hasthe
tomirrors
know the length of the
scattering
ray
theρ, andbeam.
laser the values of thethe
To establish angles α and
location ß (as
of the illustrated
point P, one hasintoFigure
know the1). length
The scanners
of the used
toray ρ, and the
measure thevalues
phaseofshift
the angles α and ßthe
are among (as most
illustrated in Figure
accurate 1). The scanners
instruments used
for laser scanning
to measure the phase shift are among the most accurate instruments for
intended for commercial purposes, as they make it possible to obtain the desired data very laser scanning
intendedand
quickly, for commercial
generate scanspurposes,
with as they make
a very high it possible to obtain the desired data very
resolution.
quickly, and generate scans with a very high resolution.

Figure 1. Schematic diagram of the functioning of TLS.

Figure 1. Schematic diagram of the functioning of TLS.
2.1. Measuring Device
For measurements
2.1. Measuring Device of a mine drift geometry, the FARO Focus 3D laser scanner was
used [34]. The range of the instrument is 0.6–120 m; the laser beam falls at an angle of 90◦ on
For measurements of a mine drift geometry, the FARO Focus 3D laser scanner was
a surface whose reflectance is 90%. The scanner is capable of a high speed of measurement,
used [34]. The range of the instrument is 0.6–120 m; the laser beam falls at an angle of 90°
from 120,000 to 980,000 points/s, depending on the scanning resolution. Uncertainty of
on a surface whose
measurement reflectance
is ±0.002 m [35]. is 90%.
The The scanner
scanning is capable
visual range of theofdevice
a highisspeed ofthe
360◦ in measure-
ment, fromaxial
horizontal 120,000
and to
305980,000
◦ in the points/s, depending
vertical axial on the scanning
with a wavelength of over resolution. Uncertainty
900 nm and beam
ofdivergence 0.16 mrd.
measurement is ± During
0.002 mthe measurements,
[35]. The scanning data of therange
visual scannedof points’ coordinates
the device is 360° in the
are saved on
horizontal a portable
axial and 305°diskinand
thecan therefore
vertical axialbewith
transferred to a computer
a wavelength easily.
of over 900 nm and beam
divergence 0,16 mrd. During the measurements, data of the scanned points’ coordinates
2.2. The Measurement Site
are saved on a portable disk and can therefore be transferred to a computer easily.
Measurements using the 3D scanner were performed in the ZG Sobieski mine, in the
Grodzisko cross-cut gallery, level 300. The measurement site was chosen in the neighbor-
2.2. The Measurement Site
hood of a turn, which gave the researchers wide-ranging measurement possibilities.
Measurements
The mine tunnel using
was the 3D scanner
secured were performed
with 8-KS/KO-21 in the
type arch ZG Sobieski
supports. Due tomine,
the in the
complex structure of the mine tunnel, authors had to choose appropriate places for the neighbor-
Grodzisko cross-cut gallery, level 300. The measurement site was chosen in the 3D
laser of
hood measurements
a turn, which [36–38].
gave Forthe the best mapping
researchers of the minemeasurement
wide-ranging tunnel geometry, a double
possibilities.
scanning site in tunnel
The mine the object’s
wascross-section
secured withwas8-KS/KO-21
established. The
typescanning sites wereDue
arch supports. placed at com-
to the
the left and the right side of the mine tunnel, which minimizes the areas where
plex structure of the mine tunnel, authors had to choose appropriate places for the 3D no scanning
was performed. Next, authors had to place the appropriate number of markers along the
laser measurements [36–38]. For the best mapping of the mine tunnel geometry, a double
mine tunnel, thanks to which, in the preprocessing process, it was possible to combine
scanning site in the object’s cross-section was established. The scanning sites were placed
subsequent scans placing them at a chosen set of coordinates. To obtain a full spatial
atmodel
the left
of and the right
the mine side
tunnel, theofwhole
the mine tunnel,
section of thewhich
galleryminimizes
was dividedtheinto
areas where no scan-
11 scanning
ning was performed. Next, authors had to place the appropriate number of markers along
the mine tunnel, thanks to which, in the preprocessing process, it was possible to combine
subsequent scans placing them at a chosen set of coordinates. To obtain a full spatial
model of the mine tunnel, 197
the whole section of the gallery was divided into 11 scanning
 cross-sections,
Energies which
2022, 15, x FOR PEER resulted
REVIEW in 22 measurement sites. The first scanning cross-section 4 of 1
was 23 m before the bend, and the last was 56 m after the bend (Figure 2).
Energies 2022, 15, 2537
In situations where the floor is flat, 3D scanner can be placed on a special autonomous
guided vehicle [39]. cross-sections, which resulted in 22 measurement sites. The first scanning cross-section
was 23 m before
cross-sections, the
which bend, in
resulted and the last was 56
22 measurement m The
sites. afterfirst
thescanning
bend (Figure 2). was
cross-section
In situations
23 m before where
the bend, thelast
and the floor is56
was flat,
m 3D
afterscanner
the bendcan be placed
(Figure 2). on a special autonomou
guided vehicle [39].

Figure 2. Explored section of the mining tunnel.

Figure 2. Explored section of the mining tunnel.
Figure 2. Explored
In situations section
where theof the is
floor mining tunnel.
flat, 3D scanner can be placed on a special autonomous
2.3. Processing of guided vehicle
Laser Scanning Data [39].
2.3. Processing of Laser Scanning Data
First stage of point
2.3. cloud
Processingprocessing
of point was
of Laser Scanning
First stage preprocessing.
Data
cloud As a part of As
processing was preprocessing. thea measure-
part of the measure
ment data processing,ment theFirst
data processing, the data had to be prepared for further use. measurement
stage
data of
had point
to cloud
be processing
prepared was
for preprocessing.
further use. As
Thea part of
most the
important
The most importan
data processing, the data had to be prepared for further use. The most important process of
process of this stage was the point
process of this cloud’s
stage wasconnection into connection
the point cloud’s one set ofintodata. oneObtained
set of [Link]
Obtained poin
this stage was the point cloud’s connection into one set of data. Obtained point cloud was
cloud
cloud was filtered, which was filtered,
involved which involved
cleaning andand cleaning
removal and
ofall removal of all measurement
allmeasurement
measurement errors.
filtered, which involved cleaning removal of [Link].
As a result
As a result
As a result of mine tunnel of mine tunnel
of mine tunnel
geometry geometry
lasergeometry
scanning laser laser
and scanning
scanning
pointand and point cloud
point preprocessing,
cloud preprocessing,
cloud preprocessing, aa
verydetailed,
very detailed, digital
digital mapping
mapping of of whole
the the whole
space space
of the of the scanned
scanned mine minesection
tunnel tunnelwas
section wa
very detailed, digital mapping of the whole space of the scanned mine tunnel section was
obtained,
obtained,comprising
comprising over 150,000,000
over points
150,000,000 (Figure
points 3).
(Figure 3).
obtained, comprising over 150,000,000 points (Figure 3).

[Link]
Figure Pointcloud view
cloud of the
view minemine
of the tunnel straight
tunnel sectionsection
straight near the bend.
near the bend.

During
Duringthethemeasurements
measurementsof the
of mine tunnel
the mine geometry,
tunnel it was decided
geometry, to dividetothe
it was decided divide th
relevant part of the mine tunnel into three sections:
relevant part of the mine tunnel into three sections:
− ofSection
Figure 3. Point cloud view 1, before
the mine the turn;
tunnel straight
− −
Section 1, before the
Section 2, the turn;
turn; section near the bend.
−
− Section3,2,
Section thethe
after turn;
turn.
− InSection
During the measurements each of
3,the
aftermine
section, tunnel
the turn.
the authors geometry,
chose it was decided
two cross-sections for further to divide
analysis, thethe
first
relevant part of the mine tunnel
In eachatinto
cross-section three
section, thesections:
the beginning of the section
authors choseand
twosecond at the end offor
cross-sections thefurther
section analysis,
(Figure 4). the firs
The reason for choosing measurement cross-sections was the fact that the distance between
cross-section at the beginning of the section and second at the end of the section (Figur
− Section 1, before the turn;
sections
4). The reached tenschoosing
reason for of [Link]
The cross-sections from Section
cross-sections 1 were
was located
the fact that29the
m and
distance be
− Section 2, the turn;tween sections reached tens of meters. The cross-sections from Section 1 were located 2
− Section 3, after themturn.
and 6 m before the turn. The cross-sections from Section 2 were at the entrance to and
In each section, the authors chose two198cross-sections for further analysis, the first
rgies 2022, 15, x FOR PEER REVIEW 5 o
Energies 2022, 15, 2537

Figure
exit from 4. Measurement
the
6 m beforeturn. TheThe
the turn. cross-sections.
cross-sections
cross-sectionsfrom
from Section
Section 23were
wereat located 6 mtoand
the entrance and54exitm after
from the turn. The cross-sections from Section 3 were located 6 m and 54
turn. Standard measurements of the mine tunnel’s height and width were taken. m after the turn.
Standard measurements of the mine tunnel’s height and width were taken.
Figure
3. 4. Measurement
Methods cross-sections.
of Determining the Cross-Section Area of the Min
3.1. Reconstruction with Use of Point Cloud
3. Methods of Determining the Cross-Section Area of the Min
To obtain accurate data on the mine tunnel’s cross-section
3.1. Reconstruction with Use of Point Cloud
urement cross-sections, it was necessary to use reverse engine
scribed Toin obtain
[17,42]. accurate data on the mine tunnel’s cross-sectio
urement cross-sections,
As a result of irregular it was necessaryofto
deformation theuse arch reverse
yielding enginsup
scribed
make in [17,42]. for each arch. This operation involves defin
cross-sections
FigureFigure 4. Measurementcross-sections.
4. Measurement cross-sections.
As a result
tion through theofcenterirregular of each deformation
arch. Next, of the
the arch yielding su
cross-section cu
3. Methods of Determining the Cross-Section Area of the Mine Tunnel
make
[Link]
Methods cross-sections
connecting with the
of Determining
3.1. Reconstruction
forCross-Section
Use oftriangles
each [Link] Thisofoperation
Point Cloud obtained in the process of triangu
the the Mine Tunnel involves defin
tion
3.1.
ure 5).through
Reconstruction
ToTo obtain
obtain theUse
with
accurate ancenter
dataofaccurate
onPoint of
the mine each
Cloud shape
tunnel’s arch. of theNext,
cross-sectional arch, the
area cross-section
inbased
selected on the cros
measure- cu
ment cross-sections, it was necessary to use reverse engineering [40,41], widely described
lines
section connecting
To obtain lineaccurate
in [17,42].
the on
data
was determined triangles
the mine obtained
tunnel’s6).
(Figure in the process
cross-sectional
Analogously, of
area inthe triangu
selected
shape me
urement As cross-sections, it was necessary to use reverse engineering [40,41], towidely
ure
mined
scribed
5). To
using obtain
a result
incross-sections
[17,42]. the an
of irregular accurate
deformation
horizontal ofshape of
the arch yielding
cross-section. the arch,
supports,
Using itbased on the surf
was necessary
the “swept cros
make for each arch. This operation involves defining the vertical cross-section
section
software,
through
As line
the
a result of was
after
center of determined
defining
each
irregular arch. thethe
Next,
deformation arch(Figure arch6).
shape
cross-section
of the Analogously,
line
curve,
yielding assupports,
a sketch
consisting of severalthe
it was shape
profile
lines an
necessary
connecting the triangles obtained in the process of triangulation, was obtained (Figure 5).
amined
make circular using
cross-sections
To obtain anprofile,
the
accurate shape
horizontal
for eachit was This cross-section.
[Link]
of the arch,
operation to involvesthe
create Using
defining the
geometry “swept
the vertical sur
of cross-s
the a
tion through the center of each arch. based
Next,onthe the cross-section
cross-sectioncurve,curve, the cross-section
consisting of seve
software, after
line was determined
lines using
connecting
defining the arch
(Figure 6). Analogously,
the triangles obtained
theshape
in “swept
shape line
the process
line asarch
of the a sketch profile
was determined an
the horizontal cross-section. Using the surface”offunction
triangulation,
in the CADwas obtained (F
software,
urea 5).
circular
after obtainprofile,
Todefining an arch
the accurate it was
shape line as possible
shape aofsketch
the arch, to
profile create
based
and thethe
oncross-section
the geometry
cross-section of the
curve,
line as a circular thecroa
profile,
section lineitwas
was determined
possible to create the geometry
(Figure of the arch support
6). Analogously, (Figure
the shape 7).of the arch was det
line
mined using the horizontal cross-section. Using the “swept surface” function in the CA
software, after defining the arch shape line as a sketch profile and the cross-section line
a circular profile, it was possible to create the geometry of the arch support (Figure 7).

Figure 5. Cross-section curve.

Figure 5. Cross-section curve.
Figure 5. Cross-section curve.
Figure 5. Cross-section curve.

Figure 6. Cross-section line.

Figure 6. Cross-section line.

Figure 6. Cross-section line.

Figure 6. Cross-section199line.
 Energies 2022, 15, x FOR PEER REVIEW
022, 15, x FOR PEER REVIEW

Energies 2022, 15, 2537

Figure 7. Arch yielding support geometry.

The floor and rails were mapped analogously to the arches. After obtain
Figure 7. Arch yielding support geometry.
section curves, the cross-sectional lines and shape lines of the floor and rail
FigureThe 7. Arch andyielding support geometry.
mined,floor rails were
respectively. In mapped
the caseanalogously to theaarches.
of pipelines, leading After
lineobtaining the
was determined
cross-section curves, the cross-sectional lines and shape lines of the floor and rails were
arrangement
determined, of elements
respectively. in the
In the case mine tunnel.
of pipelines, a leadingThen, using
line was the “swept
determined to mapsurface
the The
tion, floor
arrangement and
the geometries rails
of elementsof in
the were
thefloor, mapped
rails and
mine tunnel. Then, analogously
pipelines
using the were to
“sweptcreated. the
surface” CADarches.
function, the geometriestheofgeometry
the floor, rails
ofand
thepipelines werewas
created.
section Ascurves,
a result, the cross-sectional lines
3D model and shape with
obtained linestheofexact
As a result, the geometry of the 3D model was obtained with the exact representation
theref
of the respectively.
mined, shape
of the shape
of the real In object
the8),(Figure
of the real object (Figure case
and with
8),
of and with the the
thepipelines,
exact values of a
exact values line
leading of thewa
cross-sectional
cr
areas
areas in in
thethe
threethree measured
measured cross-sections.
cross-sections.
arrangement of elements in the mine tunnel. Then, using the “s
tion, the geometries of the floor, rails and pipelines were create
As a result, the geometry of the 3D model was obtained wit
of the shape of the real object (Figure 8), and with the exact va
areas in the three measured cross-sections.

Figure
Figure8. Obtained geometry
8. Obtained model, view
geometry of theview
model, mine tunnel
of thestraight
mine section
tunnelnear the bend.
straight section near th
3.2. The Area as a Result of Parametric Sketch and Integration Method Using CAD
3.2. The Area as a Result of Parametric Sketch and Integration Method Using CAD
Usually, to calculate the air flow rate, it is necessary to reconstruct the shape of the
mine tunnel at the place
Usually, where the the
to calculate measurements
air flow were
rate,carried out with the SWPPP
it is necessary system.
to reconstruct the
Then, catalog data, such as the length of the arch yielding support, are
mine tunnel at the place where the measurements were carried out with the used and adapted in
accordance with the susceptibilities of the supports.
[Link], catalogof the
approximation data, such
shape of theas the length
cross-section, of the
catalog data arch
from theyielding support, a
manufacturer
ofadapted in accordance
ŁP arch yielding with
supports with the susceptibilities
KS/KO sections were usedof the supports.
(Figure 9). ŁP arch yielding
supports
For approximation of the shape of the cross-section,The
were made according to the PN-G-15001:1973 standard [43]. table below
catalog data from t
contains data corresponding to the analyzed case.
turer of ŁP arch yielding supports with KS/KO sections were used (Figur
yielding supports were made according to the PN-G-15001:1973 standard [4
Figure
[Link]
Obtained geometry
data model,
corresponding view
to the of the case.
analyzed mine tunnel straight s

3.2. The Area as a Result

200 of Parametric Sketch and Integration Metho
Energies 2022, 15, x FOR PEER REVIEW
Energies 2022, 15, 2537

Figure 9. Dimensions of arch yielding support 8-KS/KO-21.

Figure 9. Dimensions of arch yielding support 8-KS/KO-21.
According to the catalog data (Table 1) the nominal width and height of this arch
are 4.7 m × 3.3 [Link]
According on catalog
the catalog datadata and the
(Table ability
1) the to define
nominal nodesand
width and height
movingof this a
dimensions, the outlines of the cross-section area were delineated. Moving dimensions
4.7 m × 3.3 m. Based on catalog data and the ability to define nodes and moving
were limited values. The lengths of curves C and Z were taken as variable values. The input
sions, the outlines
values were the heightof andthe cross-section
width area were
of the mine tunnel delineated.
measured Moving
on the reference dimension
outline.
limited values. The lengths of curves C and Z were taken as variable
The width was measured at a height 0.8 m under the floor. The floor was delineated as values. Th
a straight
values line, the
were due height
to the lack
andof width
sufficient
ofinformation about itsmeasured
the mine tunnel shape. Theonheight
the was
reference
measured from the floor to the highest point on the arch.
The width was measured at a height 0.8 m under the floor. The floor was delinea
straight line,
Table 1. Data dueyielding
for arch to thesupport
lack 8-KS/KO-21.
of sufficient information about its shape. The heig
measured from the floor to the highest point on the arch.
S [m] W [m] R1 [m] L1 [m] Z [m] R2 [m] L2 [m] C [m]
4.7 3.3 Table 2.8 3.2 yielding support
1. Data for arch 0.5 2.2
8-KS/KO-21. 3.8 0.45

S where:
[m] W [m] R1 [m] L1 [m] Z [m] R2 [m] L2 [m] C
S—width
4.7 of the arch
3.3 2.8 3.2 0.5 2.2 3.8
W—height of the arch
R1—radius of the side part of the arch
where:
L1—length of the side part of the arch
Z—length ofofthe
S—width straight
the arch section of the side part of the arch
R2—radius of the
W—height of the archroof part of the arch
L2—length of the roof part of the arch
R1—radius of the side part of the arch
C—length of the arch’s tab
L1—length of the sideofpart
a, b—center coordinates of theside
the arch’s arch
part. These values depend on the height and
width duringoffitting
Z—length of the archsection
the straight to the actual
of theshape
sideofpart
the mine tunnel
of the arch
R2—radius of the roof part of the arch
3.3. Analytical Methods
L2—length of the roof part of the arch
Methods of approximation of cross-sectional areas were analyzed in terms of accuracy
C—length ofreference
relative to the the arch’s tab namely the reconstruction of the real shape of the arch
method,
a, b—center
from many pointscoordinates ofthe
obtained by thelaser
arch’s side method.
scanning part. These values
Of the depend
methods on the heig
considered
below,width
only the empirical method is used in daily ventilation measurements. The
during fitting of the arch to the actual shape of the mine tunnel remaining
methods are used for more complex air flow rate measurements, as in the SWPPP system.
3.3. Analytical Methods
Methods of approximation of cross-sectional areas were analyzed in terms o
racy relative to the reference
201
method, namely the reconstruction of the real shap
arch from many points obtained by the laser scanning method. Of the methods con
 3.3.1. Empirical Method
Energies 2022, 15, 2537 The most frequently used method for calculating cross-sectional are
ground mining involves measuring the mine tunnel’s height and width, and
their product by 0.8 [44]. The value 0.8 results from the shape of the arch yiel
All of these methods,
and is other than the
therefore empirical
called method, can beshape
the cross-sectional used tocoefficient.
reconstruct The
the shape
height of the
of a mine tunnel for the purpose of CFD numerical calculations.
is measured in the middle of the tunnel’s width, from the highest point on t
corresponding point on the floor. The width is measured by placing measur
3.3.1. Empirical Method
the straight section of the side part of the arch. In some cases, just a part o
The most frequently used method for calculating cross-sectional areas in underground
section is above the floor, and it sometimes happens that this straight sec
mining involves measuring the mine tunnel’s height and width, and multiplying their
shorter or completely inaccessible. This makes it difficult to perform the m
product by 0.8 [44]. The value 0.8 results from the shape of the arch yielding support, and
properly,
is therefore called and increases
the cross-sectional the coefficient.
shape uncertaintyThe
of the result.
height of the mine tunnel is
measured in the middle of the tunnel’s width, from the highest point on the arch to the
corresponding point on the floor. The width is measured by
Ag =placing
0.8  Hmeasuring
W points on
the straight section of the side part of the arch. In some cases, just a part of the straight
where:
section is above the floor, and it sometimes happens that this straight section is much
shorter or completely
H—height inaccessible. This makes it difficult to perform the measurement
of mine tunnel
properly, and increases
W—width theof
uncertainty of the result.
mine tunnel
A g = 0.8 · H · W (1)
3.3.2. Approximation by a Semi-Ellipse
where:
Comparing the equations for the empirical method and the method base
H—height of mine tunnel
imation
W—width of mine by a semi-ellipse, it is readily seen that they differ only in the cross-se
tunnel
coefficient: for the empirical method the coefficient is 0.8, and for approx
3.3.2. Approximation by a Semi-Ellipse
semi-ellipse the coefficient is 0.785.
Comparing the equationsmeasuring
At many for the empirical
sites,method and that
it is found the method based on
a coefficient approxi-
lower than 0.8 is m
mation by a semi-ellipse, it is readily
in calculating seen that theyarea.
the cross-sectional differThis
only applies
in the cross-sectional
to places with shape
high rock
coefficient: forample
the empirical
in walls. method the coefficient
The relationship is 0.8, and
between the for approximation
floor height and the by across-se
semi-ellipse the coefficientisisshown
coefficient 0.785. in the graph below. The floor height is understood as the
At many measuring sites, it is found that a coefficient lower than 0.8 is more accurate
arch’s side part in the floor.
in calculating the cross-sectional area. This applies to places with high rock stress, for
Figure 10 shows the direction of change in the cross-sectional shape
example in walls. The relationship between the floor height and the cross-sectional shape
showsinthat
coefficient is shown approximation
the graph by aheight
below. The floor semi-ellipse should
is understood as give better
the depth of results
the in
higher floor.
arch’s side part in the floor. This applies to places where the side part of the arch is complete
Figure 10inshows the direction
the floor. of change
The equation in the cross-sectional
for approximation by a shape coefficient.
semi-ellipse It below
is given
shows that approximation by a semi-ellipse should give better results in places with a
1
higher floor. This applies to places where the side part of the arch
Ae = is completely
H W embedded
in the floor. The equation for approximation by a semi-ellipse 4 is given below.
1
where: Ae = π·H·W (2)
4
where: H—height of mine tunnel
W—width
H—height of mine tunnel of mine tunnel
W—width of mine tunnel

Figure 10. Change of cross-sectional

Figure 10. Change of shape coefficient as shape
cross-sectional a function of floor height
coefficient [13].
as a function of floor height [1

202
 3.3.3. Approximation by a Semi-Ellipse with Attached Straight Sections
Energies 2022, 15, 2537 This method improves the approximation based on a semi-ellipse by moving the mi-
nor axis of the ellipse up to the level where the straight sections end. The lower part of the
cross-section is approximated by a rectangle. Here, the straight sections are assumed to be
parallel to3.3.3.
each Approximation
other, which isbynota Semi-Ellipse
the case withwith
theAttached
ŁP archStraight
yieldingSections
supports. Therefore,
the approximationThis method
of this improves
section bytheaapproximation
rectangle givesbased
riseontoa certain
semi-ellipse by moving
errors the minor
in this method.
axis of the ellipse up to the level where the straight
Greater accuracy would be obtained with approximation by a [Link] end. The lower part of the
cross-section is approximated by a rectangle. Here, the straight sections
The cross-section’s outline is approximated by a curve consisting of a semi-ellipse are assumed to be
parallel to each other, which is not the case with the ŁP arch yielding supports. Therefore,
with straight sections attached at the ends.
the approximation of this section by a rectangle gives rise to certain errors in this method.
Greater accuracy would be obtained with approximation by a trapezoid.
Aezop
The cross-section’s = 
1
outline (
 W  H − Z by
is approximated +W)  Z consisting of a semi-ellipse
a curve (3)
with straight sections attached 4
at the ends.
where: 1
Aezop = π · W · ( H − Z) + W · Z (3)
4
H—heightwhere:
of mine tunnel
W—width of mine tunnel
H—height of mine tunnel
Z—lengthW—width
of straightofsection of side part of arch
mine tunnel
of Z of
Z—length
The value wasstraight
takensection
to be of side
the part of arch
nominal value of the straight section for the arch
The which,
type 8-KS/KO-21, value ofaccording
Z was takentotoTable
be the1,nominal
is 0.5 [Link] of the straight section for the arch
type 8-KS/KO-21, which, according to Table 1, is 0.5 m.
4. Results
4. Results
Six outlines of cross-sections were obtained using the laser scanning method. Figure
Six outlines of cross-sections were obtained using the laser scanning method. Figure 11
11 shows the shape
shows the of each
shape ofcross-section. On each
each cross-section. of them,
On each a nominal
of them, a nominaloutline
outlinewas
wasmarked
marked
according according
to the considered arch type
to the considered arch(Table 1). 1).
type (Table

Cross-Section 1.1 Cross-Section 1.2 Cross-Section 2.1

Cross-Section 2.2 Cross-Section 3.1 Cross-Section 3.2

Figure 11. Reference

Figure 11. Reference cross-section
cross-section outlinesoutlines obtained
obtained by thebylaser
the laser scanning
scanning method
method presentedon
presented onthe
the
cross-section outlines obtained by
cross-section outlines obtained by CAD method. CAD method.

Tables 2 and 3 give the results of cross-sectional area measurements calculated by

Tables 2 and
four 3 give
different the results
methods. of cross-sectional
Each case area the
was compared with measurements calculatedarea
reference cross-sectional by
four different methods. Each case was compared with the reference cross-sectional area
obtained by laser scanning. The results include the cross-sections of the pipelines under

203
 Semi-ellipse 10.88 −0.38 12.42 −0
Semi-ellipse with
11.39 0.13 12.93 −0
Energies 2022, 15, 2537 straight sections

Table 3. Results
obtained of cross-sectional
by laser scanning. area
The results include the measurements.
cross-sections of the pipelines under
the roof. The total cross-sectional area of the pipelines is 0.048 m2 . This does not cause a
significant difference in the cross-section of the mine tunnel; however, comparison of the
Cross-Section Difference Cross-Section Diff
results with the cross-sectional area obtained by laser scanning required their inclusion.
2.2 [m ] 2
Table 2. Results of cross-sectional area measurements.
[m ]
2 3.1 [m ] 2 [m
Scanning
Cross-Section
method
Difference
13.18
Cross-Section Difference
0 Cross-Section 12.99
Difference
2
1.1 [m ] 2
[m ] 2
1.2 [m ] 2
[m ] 2.1 [m2 ] [m2 ]
CAD method 13.49 0.31 13.03 0.
Scanning method 11.26 0 13.20 0 12.66 0
CAD method Empirical
11.38 method 0.12 12.87
13.30 0.101−0.31 13.00 12.530.34 −0
Empirical method 11.08 −0.18 12.65 −0.547 12.52 −0.14
Semi-ellipse Semi-ellipse
10.88 −0.38 12.61
12.42 −0.779−0.57 12.26 12.30 −0.40 −0
Semi-ellipse with
11.39 0.13 12.93 −0.266 12.77 0.11
straight sections Semi-ellipse with
13.12 −0.06 12.80 −0
straight sections
Table 3. Results of cross-sectional area measurements.

Cross-Section Difference Cross-Section Difference Cross-Section Difference

2.2 [m2 ] [m2 ] 3.1 [m2 ] [m2 ] 3.2 [m2 ] [m2 ]
Scanning method
Figures 12–14
13.18 0
show12.99
differences0
in 13.18
the shape0 of cross-
CAD method
Empirical method
given for three
13.49
12.87
0.31 methods:
−0.31
13.03 the CAD
12.53
0.046 method
−0.462
13.49 (using
12.87
catalog d
0.31
−0.31
Semi-ellipse
Semi-ellipse with
ellipse, and approximation
12.61 −0.57 12.30
by−0.692
a semi-ellipse
12.61
with
−0.57 attache
13.12 −0.06 12.80 −0.193 13.12 −0.06
straight sections
empirical method, it was not possible to obtain outlines of
no defined shape.
Figures 12–14 In each
show differences ofshape
in the theof cross-section
figures,[Link] that in
The differences are
given for three methods: the CAD method (using catalog data), approximation by a semi-
obtained for
ellipse, and the cross-sectional
approximation by a semi-ellipse witharea are
attached marked.
straight Regions
sections. Using the t
areaempirical method, it was not possible to obtain outlines of cross-sections because there is
are marked in a green color, and those that decrease th
no defined shape. In each of the figures, fragments that increase and decrease the result
obtained for the cross-sectional area are marked. Regions that increase the cross-sectional
ple color.
area are marked in a green color, and those that decrease the cross-sectional area in a
purple color.

Figure 12. Differences in cross-sections between reference method and CAD method;
cross-section 1.2.

Figure 12. Differences in cross-sections between reference metho

1.2. 204
5, x FOR PEER REVIEW

Energies 2022, 15, 2537

Figure 13. Differences in cross-sections between reference meth

ellipse; cross-section 1.2.
Figure 13. Differences in cross-sections between reference method and approximation by a semi-
ellipse; cross-section 1.2.

Figure 13. Differences in cross-sections between reference meth

ellipse; cross-section 1.2.

Figure 14. Differences in cross-sections between reference method and approximation by a semi-
ellipse with attached straight sections; cross-section 1.2.

Figures 12–14 show a common feature: an identically mapped roof. In application of

Figure 14. Differences
the surface, the symmetry linein cross-sections
of cross-sections was [Link] reference
This line was imposed on the meth
symmetrical section connecting the top of the right and left part of the walls. Vertically,
ellipse with attached straight sections; cross-section 1.2.
points were placed at the maximum height. This positioning of the two surfaces causes the
bottom line to be determined at the same level in the case of each of the cross-sections.
Table 4 shows that out of the four methods analyzed, the smallest differences compared
Figures 12–14 show a common feature: an identically
with the scanning method were obtained for the CAD method. It should be noted that the
Figure 14. Differences in cross-sections between reference meth
result obtained by this method was larger than the reference result, while in the other cases
the surface, the symmetry
the results were smaller.
ellipse with attached line of cross-sections
straight sections; was used
cross-section 1.2.
symmetrical section connecting the top of the right and le
points were placed
Figures at thea maximum
12–14 show [Link]
common feature: This position
identically
the
the bottom
surface,line
the to be determined
symmetry line ofatcross-sections
the same levelwas
in the ca
used
205
symmetrical section connecting the top of the right and le
Energies 2022, 15, 2537

Table 4. Percentage differences for each cross section, calculated by four methods compared with the
scanning method.

Approximation by a
Empirical Method Approximation by a
CAD Method [%] Semi-Ellipse with Attached
[%] Semi-Ellipse [%]
Straight Sections [%]
Cross-Section 1.1 1.07 −1.60 −3.37 1.15
Cross-Section 2.1 2.35 −2.35 −4.32 −0.46
Cross-Section 2.1 0.77 −4.15 −5.90 −2.02
Cross-Section 2.2 2.69 −1.11 −3.16 0.87
Cross-Section 3.1 0.35 −3.56 −5.33 −1.49
Cross-Section 3.2 1.00 −3.78 −5.55 −1.63

To present a quantitative assessment of used determining the cross-section area meth-

ods a decision was made to use a mean relative error measure, which is a sum of relative
errors at each cross-section (Table 4) divided by the number of cross-sections:
1 n | x − x0 |
n ∑ i =1
δsr = · 100% (4)
x
where:
n—cross-section number
x—calculated cross-section area using CAD and analytical methods
x0 —measured cross-section area using scanning method
The results of mean relative errors, shown in Table 4, shows that the biggest differences
of calculated cross-section area in competition with cross-section area measured by scanning
methods is for approximation by a semi-ellipse method. The reason for such a result
reaching almost 5% is bad representation of arch supports (Figure 13). The smallest
differences of calculated cross-section area in competition with cross-section area measured
by scanning methods is for approximation by a semi-ellipse method with attached straight
sections and it is exactly 1.27% (Table 5).

Table 5. Mean relative errors for four methods compared with the scanning method.

Approximation by a
Approximation by
CAD Method [%] Empirical Method [%] Semi-Ellipse with Attached
a Semi-Ellipse [%]
Straight Sections [%]
Mean relative error 1.37 2.76 4.61 1.27

Each method has some degree of difficulty in applying them. The easiest is empirical
in which we can easily calculate the result during the measurements. The simple ellipse
method is also easy to calculate, but it gives less accurate results. The method of ellipse
plus straight sections is a reasonable compromise between more demanding methods and
accuracy. The CAD method is only post-factum to use; it demands CAD software, and
we need to know the arch type and choose the proper standard to draw the sketch of it.
The most demanding and complicated method is the laser scanning method. It obviously
demands a special device (laser scanner) and sometimes special permission for its use.
Therefore, it is not possible to use it in every place of the mine and at all times. The
laser scanning method gives the most accurate results and it can be applied to measure
complicated cross-sections, especially in places where the convergence is significant. It
works well as a reference method for comparing different measurement methods.
Comparing these results with the shape of chosen cross-sections, we noticed that all
methods, except the scanning method, have problems with reflecting the correct shape
of the arch support where any deformations appear (for example cross-section 3.2). The
floor in these methods is always a straight line, so any unbalancing deformations increase
measurement uncertainty.

206
Energies 2022, 15, 2537

5. Conclusions
Each of the presented methods is susceptible to inaccuracies caused by deformation
of the arch supports and floor. The outline of the mine tunnel can be approximated using
the semi-ellipse method, which gives a better approximation than the empirical method.
In the analyzed cross-sections, the difference was reduced by more than half. The best
approximation, however, is given by the CAD method. It is expected that the cross-sectional
area measured by this method will be higher than the true value, because of the rock mass
pressure on the arches. It is helpful to use nodes to determine the relationship, for example,
the condition of contact at the connection of the arch’s side part and roof part, and the
symmetry condition of the arch. This makes it possible to adjust the nominal height and
width of the arch and automatically adjust the remaining dimensions. The results show
differences between methods at maximum level 5.9% by the semi-ellipse approximation
method according to the laser scanning method. This level of differences in determining
of the mine tunnel cross-section area can gradually extend depending on the deformation
degree of the object geometry.
The smallest differences between the scanning method and four other methods is for
the CAD method and semi-ellipse approximation method with attached straight sections.
It is common in every method to reconstruct the floor shape as a straight line. In many
cases this is not sufficient. To improve the accuracy of determination of the cross-sectional
area in case of a deformed floor, the floor height can be included. This leads to adjustment
of the length of the straight parts of the arch and allows better shape reconstruction.
Considering the time of carrying out the measurement and calculations determining
the mine drift cross-sectional area, it is justified to use CAD methods. However, a decision
should be made each time to choose the appropriate method. This decision should be
dictated by the degree of mine drift deformation.

Author Contributions: Conceptualization, J.J. and P.O.; Methodology, J.J. and P.O.; Software, J.J. and
P.O.; Validation, J.J. and P.O.; Formal Analysis, J.J. and P.O.; Investigation, J.J. and P.O.; Resources, J.J.
and P.O.; Data Curation, J.J. and P.O.; Writing—Original Draft Preparation, J.J.; Writing—Review and
Editing, J.J. and P.O.; Visualization, J.J. and P.O.; Supervision, J.J.; Project Administration, J.J.; Funding
Acquisition, J.J. All authors have read and agreed to the published version of the manuscript.
Funding: This paper is financed from the statutory funds of the Strata Mechanics Research Institute
of the Polish Sciences Academy.
Institutional Review Board Statement: Not applicable.
Informed Consent Statement: Not applicable.
Data Availability Statement: Not applicable.
Acknowledgments: This paper presents results of the statutory research of the Strata Mechanics
Research Institute of the Polish Sciences Academy.
Conflicts of Interest: The authors declare no conflict of interest.

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