Simulation-Driven Rate-of-Penetration Prediction and Multi- Objective Optimization of Drilling Parameters for Tricone Bits | Research Square window.SnipcartSettings = { analytics: { enabled: false } }; (function() { var accessVector = localStorage.getItem('access_vector') || ''; window.dataLayer = window.dataLayer || []; if (accessVector) { window.dataLayer.push({ user: { profile: { profileInfo: { snid: accessVector } } } }); } })(); (function(w,d,s,l,i){w[l]=w[l]||[];w[l].push({'gtm.start':new Date().getTime(),event:'gtm.js'});var f=d.getElementsByTagName(s)[0],j=d.createElement(s),dl=l!='dataLayer'?'&l='+l:'';j.async=true;j.src='https://www.googletagmanager.com/gtm.js?id='+i+dl;f.parentNode.insertBefore(j,f);})(window,document,'script','dataLayer','GTM-K279D39R'); Browse Preprints In Review Journals COVID-19 Preprints AJE Video Bytes Research Tools Research Promotion AJE Professional Editing AJE Rubriq About Preprint Platform In Review Editorial Policies Our Team Advisory Board Help Center Sign In Submit a Preprint Cite Share Download PDF Research Article Simulation-Driven Rate-of-Penetration Prediction and Multi- Objective Optimization of Drilling Parameters for Tricone Bits Xin He, Yingjie He, Guojun Wen, Yudan Wang This is a preprint; it has not been peer reviewed by a journal. https://doi.org/ 10.21203/rs.3.rs-8400540/v1 This work is licensed under a CC BY 4.0 License Status: Under Review Version 1 posted 9 You are reading this latest preprint version Abstract Optimizing drilling parameters is a critical challenge for improving both the efficiency and cost-effectiveness of deep and complex strata drilling. The core objective lies in achieving a multi-objective balance among maximizing the rate of penetration (ROP), minimizing specific energy consumption, and prolonging bit life. Conventional approaches, which typically rely on semi-empirical ROP prediction models and classical optimization algorithms (e.g., NSGA-II), often suffer from limited model adaptability and suboptimal convergence performance when confronted with highly nonlinear and strongly coupled optimization problems. To address these limitations, this study proposes a simulation-driven modeling and optimization framework for a tricone bit–sandstone formation system. First, a dynamic drilling simulation model is developed in ABAQUS, and parametric analyses (with weight on bit ranging from 20–60 kN and rotational speed from 60–120 r/min) are conducted to obtain the bit’s dynamic response data. Based on these data, a response surface methodology (RSM)-based ROP prediction model is constructed, achieving an average relative error of only 4.4%. Second, the simulation-informed mechanical model is integrated with Teale’s specific energy theory and a bit wear model to formulate a multi-objective optimization problem targeting ROP, specific energy, and bit life. To efficiently solve this problem, the dung beetle optimization (DBO) algorithm is introduced. By incorporating dynamic weight adaptation, elite-chaotic initialization, and a spiral search enhancement strategy, the algorithm effectively balances global exploration and local exploitation. Optimization results demonstrate that, in terms of the IGD metric, DBO outperforms NSGA-II and MOPSO by 10% and 70%, respectively, while also yielding a more uniform and diverse Pareto front. Overall, this study verifies the superior optimization performance of the proposed simulation-driven modeling framework and the DBO algorithm under complex operational conditions, providing a robust theoretical foundation and methodological support for intelligent decision-making in deep drilling. Tricone bit Multi-objective optimization Numerical simulation Rate-of-penetration prediction Dung beetle optimization algorithm (DBO) Full Text Additional Declarations No competing interests reported. Cite Share Download PDF Status: Under Review Version 1 posted Editorial decision: Revision requested 06 Feb, 2026 Reviews received at journal 06 Feb, 2026 Reviewers agreed at journal 25 Jan, 2026 Reviews received at journal 15 Jan, 2026 Reviewers agreed at journal 15 Jan, 2026 Reviewers invited by journal 06 Jan, 2026 Editor assigned by journal 06 Jan, 2026 Submission checks completed at journal 29 Dec, 2025 First submitted to journal 18 Dec, 2025 You are reading this latest preprint version Research Square lets you share your work early, gain feedback from the community, and start making changes to your manuscript prior to peer review in a journal. As a division of Research Square Company, we’re committed to making research communication faster, fairer, and more useful. We do this by developing innovative software and high quality services for the global research community. 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Also discoverable on Platform About Our Team In Review Editorial Policies Advisory Board Help Center Resources Author Services Accessibility API Access RSS feed Manage Cookie Preferences © Research Square 2026 | ISSN 2693-5015 (online) Privacy Policy Terms of Service Do Not Sell My Personal Information {"props":{"pageProps":{"initialData":{"identity":"rs-8400540","acceptedTermsAndConditions":true,"allowDirectSubmit":false,"archivedVersions":[],"articleType":"Research Article","associatedPublications":[],"authors":[{"id":570539170,"identity":"8f756c49-9a9e-4428-a885-14532e3c5e05","order_by":0,"name":"Xin He","email":"","orcid":"","institution":"China University of Geosciences(Wuhan)","correspondingAuthor":false,"prefix":"","firstName":"Xin","middleName":"","lastName":"He","suffix":""},{"id":570539171,"identity":"5358a0c2-135e-4be2-b50f-a0123274e2d5","order_by":1,"name":"Yingjie He","email":"","orcid":"","institution":"China University of 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