Study of Seismic Dynamic Response and Instability Failure Patterns of Fractured, Loosened, Unloaded Slopes at a Hydropower Station on the Lancang River

Study of Seismic Dynamic Response and Instability Failure Patterns of Fractured, Loosened, Unloaded Slopes at a Hydropower Station on the Lancang River | 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 Article Study of Seismic Dynamic Response and Instability Failure Patterns of Fractured, Loosened, Unloaded Slopes at a Hydropower Station on the Lancang River Hongke Zhou, Chenglong Yang, Sijue Chen, Ruiqi Yin, Cong Xie, and 3 more This is a preprint; it has not been peer reviewed by a journal. https://doi.org/ 10.21203/rs.3.rs-8684834/v1 This work is licensed under a CC BY 4.0 License Status: Under Review Version 1 posted 5 You are reading this latest preprint version Abstract In high-altitude, frigid regions, the coupled effects of permafrost thaw-freeze cycles and weathering erosion are pronounced. These areas develop extensive fractured, loosened rock masses with pronounced relaxation characteristics and poor stability. Under seismic loading, such formations are highly susceptible to instability and failure, posing significant threats to hydropower project construction and operation. To this end, this paper takes the slope of a hydropower station on the Lancang River as a case study. Using UAV aerial surveying and interpreting three-dimensional point cloud data, the dominant structural planes within the fractured and loosened rock mass were identified. A 3DEC discrete element model—a true three-dimensional numerical model—was established for the slope. The study investigates the response patterns of acceleration, velocity, and displacement, as well as the failure modes of the fractured and loosened rock mass slope under seismic loading. Results indicate that the acceleration response of fractured and loosened rock slopes to seismic loads exhibits distinct elevation amplification and surface-oriented effects. Under seismic loading, slope failure initiates as near-surface overturning deformations, triggering stepwise sliding-and-shearing failure of the upper fractured and loosened rock mass. This process is accompanied by localized overturning and toppling of fractured and loosened rock blocks. Physical sciences/Engineering Earth and environmental sciences/Natural hazards Earth and environmental sciences/Solid earth sciences fragmented and loosened rock mass numerical simulation seismic dynamic response instability failure mode Full Text Additional Declarations No competing interests reported. Cite Share Download PDF Status: Under Review Version 1 posted Reviewers invited by journal 28 Jan, 2026 Editor assigned by journal 28 Jan, 2026 Editor invited by journal 28 Jan, 2026 Submission checks completed at journal 27 Jan, 2026 First submitted to journal 27 Jan, 2026 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. Our growing team is made up of researchers and industry professionals working together to solve the most critical problems facing scientific publishing. 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-8684834","acceptedTermsAndConditions":true,"allowDirectSubmit":false,"archivedVersions":[],"articleType":"Article","associatedPublications":[],"authors":[{"id":582491570,"identity":"6b259481-8d47-4d8e-a55e-364272582f58","order_by":0,"name":"Hongke Zhou","email":"","orcid":"","institution":"PowerChina Guiyang Engineering Corporation Limited","correspondingAuthor":false,"prefix":"","firstName":"Hongke","middleName":"","lastName":"Zhou","suffix":""},{"id":582491571,"identity":"bbec9c6a-6c7d-4bde-af53-91e585700dcb","order_by":1,"name":"Chenglong Yang","email":"","orcid":"","institution":"PowerChina Guiyang Engineering Corporation 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mass, numerical simulation, seismic dynamic response, instability failure mode","lastPublishedDoi":"10.21203/rs.3.rs-8684834/v1","lastPublishedDoiUrl":"https://doi.org/10.21203/rs.3.rs-8684834/v1","license":{"name":"CC BY 4.0","url":"https://creativecommons.org/licenses/by/4.0/"},"manuscriptAbstract":"\u003cp\u003eIn high-altitude, frigid regions, the coupled effects of permafrost thaw-freeze cycles and weathering erosion are pronounced. These areas develop extensive fractured, loosened rock masses with pronounced relaxation characteristics and poor stability. Under seismic loading, such formations are highly susceptible to instability and failure, posing significant threats to hydropower project construction and operation. To this end, this paper takes the slope of a hydropower station on the Lancang River as a case study. Using UAV aerial surveying and interpreting three-dimensional point cloud data, the dominant structural planes within the fractured and loosened rock mass were identified. A 3DEC discrete element model\u0026mdash;a true three-dimensional numerical model\u0026mdash;was established for the slope. The study investigates the response patterns of acceleration, velocity, and displacement, as well as the failure modes of the fractured and loosened rock mass slope under seismic loading. Results indicate that the acceleration response of fractured and loosened rock slopes to seismic loads exhibits distinct elevation amplification and surface-oriented effects. Under seismic loading, slope failure initiates as near-surface overturning deformations, triggering stepwise sliding-and-shearing failure of the upper fractured and loosened rock mass. This process is accompanied by localized overturning and toppling of fractured and loosened rock blocks.\u003c/p\u003e","manuscriptTitle":"Study of Seismic Dynamic Response and Instability Failure Patterns of Fractured, Loosened, Unloaded Slopes at a Hydropower Station on the Lancang River","msid":"","msnumber":"","nonDraftVersions":[{"code":1,"date":"2026-01-30 11:44:15","doi":"10.21203/rs.3.rs-8684834/v1","editorialEvents":[{"type":"communityComments","content":0},{"type":"reviewersInvited","content":"","date":"2026-01-29T01:48:33+00:00","index":"","fulltext":""},{"type":"editorAssigned","content":"","date":"2026-01-29T01:45:37+00:00","index":"","fulltext":""},{"type":"editorInvited","content":"","date":"2026-01-28T11:24:46+00:00","index":"","fulltext":""},{"type":"checksComplete","content":"","date":"2026-01-28T01:26:04+00:00","index":"","fulltext":""},{"type":"submitted","content":"Scientific Reports","date":"2026-01-28T01:20:44+00:00","index":"","fulltext":""}],"status":"published","journal":{"display":true,"email":"[email protected]","identity":"scientific-reports","isNatureJournal":false,"hasQc":true,"allowDirectSubmit":false,"externalIdentity":"scirep","sideBox":"Learn more about [Scientific Reports](http://www.nature.com/srep/)","snPcode":"","submissionUrl":"","title":"Scientific Reports","twitterHandle":"","acdcEnabled":true,"dfaEnabled":true,"editorialSystem":"stoa","reportingPortfolio":"Scientific Reports","inReviewEnabled":true,"inReviewRevisionsEnabled":true}}],"origin":"","ownerIdentity":"dada8325-0e18-44d8-90de-5c8d8752bd5d","owner":[],"postedDate":"January 30th, 2026","published":true,"recentEditorialEvents":[],"rejectedJournal":[],"revision":"","amendment":"","status":"under-review","subjectAreas":[{"id":61972890,"name":"Physical sciences/Engineering"},{"id":61972891,"name":"Earth and environmental sciences/Natural hazards"},{"id":61972892,"name":"Earth and environmental sciences/Solid earth sciences"}],"tags":[],"updatedAt":"2026-01-30T11:44:15+00:00","versionOfRecord":[],"versionCreatedAt":"2026-01-30 11:44:15","video":"","vorDoi":"","vorDoiUrl":"","workflowStages":[]},"version":"v1","identity":"rs-8684834","journalConfig":"researchsquare"},"__N_SSP":true},"page":"/article/[identity]/[[...version]]","query":{"redirect":"/article/rs-8684834","identity":"rs-8684834","version":["v1"]},"buildId":"XKTyCvWXoU3ODBz1xrDgd","isFallback":false,"isExperimentalCompile":false,"dynamicIds":[84888],"gssp":true,"scriptLoader":[]}