Rock Mech Rock Eng (2017) 50-1883-1900 DO! 10.1007/s00603-017-1208-0 Mow ORIGINAL PAPER Failure Mechanisms and Evolution Assessment of the Excavation Damaged Zones in a Large-Scale and Deeply Buried Underground Powerhouse Haicbo Li" + Ming-chang Liu? - Wan-bo Xing* + Shuai Shao! «Jiaewen Zhou Received: 10 September 2016/ Accepted: 20 March 2017/ Published online: 25 March 2017 (© Springer-Verlag Wien 2017 Abstract The Finping I underground powerhouse is deeply buried and is one of the largest underground powerhouses in China, As a result of high levels of in situ stress, com- plex geological conditions and the effects of excavation in ‘adjacent caverns, the surrounding rock mass has been severely deformed and broken, and excavation damaged zones (EDZs) have become major obstacles to the design ‘of cavern excavation and support. Field investigations and ‘monitoring data indicated that there are two main modes of failure: high tangential stress induced failure and progres sive failure, which have occurred on the mountain side and the river valley side of the Jinping I underground power- house, These two main modes of failure were due to strong secondary principal stress forces in the sub-parallel direc- tions and sub-vertical directions, acting on the axes of the ‘main powerhouse on the mountain side and on the river valley side, respectively. Deformations and EDZs on the river valley side were generally larger than those found along the mountain side, and the distribution of deforma- tions was consistent with the distribution of EDZs. The evolution of the EDZ on the river valley side has clearly been time dependent, especially along the downstream arch abutment, and the EDZ was considerably enlarged with further excavation, Additionally, the deformation of the © Siawen Zhou jwzhou@seu.eda.en State Key Laboratory of Hyéraulis and Mountain River Engineering, Sichuan University, Chengdu 610065, People's Republic of China ‘Yalong River Hydropower Development Company, LTD. Chengdu 610051, People’s Republic of China ower China Chengdu Engineering Corporation Limited, ‘Chengdu 610072, People’s Republic of China surrounding rock mass was first initiated from the edge of the excavation area and gradually extended to deeper areas away from the opening. However, the EDZ on the moun- tain side was enlarged only during the first two phases of excavation, The extension of pre-existing cracks and the creation of new fractures hias mainly occurred in the oldest EDZ section, and the HDZ has been visibly enlarged, whereas the EDZ has shown little change in other exca- vation phases. Keywords Underground powerhouse - Excavation damaged zone (EDZ) « Progressive failure » Time dependent behavior - EDZ evolution 1 Introduction ‘The construction of large underground caverns can result in stress redistribution and concentration, in unloading rebounds in surrounding rock mass, and in the initiation and propagation of micro-cracks, and typically results in the creation of excavation damaged zones (EDZs) (Kim et al. 2013), As a result, the deterioration of rock mass {quality and marked changes in hydrogeological conditions ‘occur in EDZs, thereby decreasing stability levels and increasing the probability of failure in underground caverns (Chen et al, 2015). The density and magnitude of induced fractures and cracks in EDZs should decrease from the borders of excavation zones to far-field undisturbed areas (Maxwell et al. 1998; Zhou et al. 2013). EDZs can be sub- divided into three zones: excavation damaged zone (EDZ), ‘excavation disturbed zone (EdZ) and highly excavation ‘damaged zone (HDZ). An EDZ is defined as a zone that has significant changes in mechanical behavior and in perme- ability characteristics, and an EdZ is a zone that has not D Springer1884 ‘undergone major changes in mechanical behaviors and permeability characteristics and that has no negative effects on long-term safety. An HDZ is a zone positioned near the edge of an excavation area where macro-scale fracturing, spliting or spalling can occur, in which the surrounding rock mass is heavily damaged, the mean wave veloc level is relatively low; such areas represent the section of| an EDZ that has been highly damaged by excavation (attahi etal. 2013; Dai et al. 2015). EDZs significantly influence the overall performance of underground caverns and have become a Key factor affecting the design and construction of underground cav- cms. This problem has been the focus of several studies ‘Atomic Energy of Canada Limited (AECL) has invest- gated EDZ sizes and characteristics through in situ tests mainly conducted in underground research laboratories (URLs) (Hudson et al. 2001; Martino and Chandler 2004) Previous studies have used displacement monitoring, acoustic emission and microseismic events, acoustic waves and a borehole television (TV) technique to analyze EDZs around several excavation sites (Malmgren et al. 2007; Kwon et al. 2009; Lu et al. 2013). A simple relationship between unloading strain and the cumblative opening dis- placement of cracks has been proposed to quantify the extent of damage in EDZs according to unloading strain energy, which is released during the excavation of under- ground caverns (Wu et al, 2009), The extemt of EDZs and the quantification of the degree of damage to underground cavers have been studied using a micromechanies model according to acoustic emission and microseismie events (Cai and Kaiser 2005). However, there have been few studies on EDZ formation, width and evolution at large scales and in deeply buried and complex excavation project sites. The Jinping I underground powerhouse is one of the largest underground powerhouses in southwestern China ‘Owing to high levels of in stu stress, complex geological conditions and the effects of adjacent excavation, some special geological hazards have occurred during the excs- vation, such as spliting, spalling, bulking, cracking and deep fracturing of the shoterete layer. The formation of a large and asymmetric relaxation zone (as deep as 15m) has been a key problem encountered throughout the construe- tion of the underground powerhouse of the Jinping 1 Hydropower Station (Wu et al. 2010; Huang etal. 2011; Li tal 2014), Fortunately, a complete set of monitoring data, including from rock deformations, acoustic waves, bolt stress and borehole TV techniques, has been collected to estimate the stability of the underground powerhouse and to determine the probability of failure. In this study, spliting, slabbing and folding characteristics and defor- mations of surrounding rock masses were analyzed, and ‘mechanisms of stress-induced and progressive failure are © springer H.Lieta, presented. Through the use of acoustic waves, multipoint ‘extensometers and borehole TV techniques, the evolution of deformations and acoustic wave curves in different areas ‘was studied. Furthermore, through the study of geological conditions, excavation steps and monitoring data, typical EDZs around powerhouse cavers were graded (e.g., HDZ, EDZ and EdZ), and the evolution of EDZs in different areas throughout the excavation of the underground pow- cethouse was revealed, 2 Project Background ‘The Jinping I Hydropower Station is located along the lower reaches of the Yalong River, which is 75 km away from the city of Xichang in Sichuan Province of southwestern China (Fig. 1a). The large-scale underground powerhouse is posi- tioned along a right-flanking mountain at vertical depths of 160-420 m and at horizontal depths of 110-380 m. As shown in Fig. 1b, the underground powerhouse is mainly composed of six diversion tunnels, a main powerhouse, six omnibus bar caves, a main transformer chamber, two cit- cular tailrace surge chambers and two tailrace tunnels. The ‘main powerhouse and main transformer chamber are arranged in parallel with a dip direction of N6S*W and cover excavation areas. of 276.99 m x 28.90 m x 68.80 m length x width x height) and 197.10 m x 19.30 m x 32.70 m (length x width x height), respectively. The cit- cular tailrace surge chambers accommodate three turbines and cover excavation areas of 41,00 m x 80.50 m (diame- ter x height) on the mountain side and 37.00 m x 79.50 m (Giameter x height) on the riverside, Rock pillars above the rock bench and between the main transformer chamber and ‘main powerhouse are 43.75 m thick and those below the rock bench are approximately 46.00 m thick, The under- ground powerhouse reflects a typical design with tall side- walls, a long span and complex construction conditions. 2.1 Geological Conditions ‘The geological conditions in the underground powerhouse area are complex. As shown in Fig. 2a, rock strata in the powerhouse area are mainly found in the second to fourth layers (132,720, and 72%) of Trasic marble. The second layer (732%) is mainly divided into upper and lower sub-layers, of which the upper sub-layer mainly consists of a fairly thin marble layer anda small volume of fen schist, and the lower sub-layer is mainly composed of thick breciated marble, The third layer (72%,) is rnainly composed ofa thick marble layer wth traces of thinFailure Mechanisms and Evolution Assessment of the Excavation Damaged Zones ina Large-Scale. 1885 Fig. 1 Location and layout of (fay the underground powerhouse of the Jinping Hydropower Station: a map of the Yalong River; b layout of the Jinping underground powerhouse = npg yeropde Se seen schist The fourth ayer (72) ism of gray marble and motley breccated marble with traces of green schist, which forms weak structural planes, The main Strata area is found in a strike at N3O"-60°E at a dip direction of NW and a dip angle of 25-40°, ‘The main strctual surfaces of the powerhouse arva consist of three large-scale, sub-vertically oriented faults (Fis, Fi4 and Fjg) and a small weakness dike (X). Three faults le parallel at an angle of approximately 50° to the axis ofthe main powerhouse with a strike of N6O°-70°E, a dip direction of SE and a dip angle of 60-80", Fi is contol fault that extends approximately 700_m and that passes through the main powerhouse, main transformer chamber and tailrace surge chamber on the mountain side cover a fault zone of approximately 0.2-1.0 m that is locally up t0 35-40 m thick, and itis mainly composed of breccia. Xs a small dyke of mice-pagioelas lamprophyre that intrded into the marble at a later stage and covers fault zone of approximately 1.0-20 m thick and approxi mately 1000 m long. Additionally, four groups of ertcally ‘ricated joins are found inthe powerhouse area (Jy with a stike of N30°-6O°E, a dip direction of NW and a dip angle (0 30-40"; Ja witha stk of NSO*-70°E,a dip direction of SE and a dip angle of 60-80"; J, with a stke of N2S*— +#1-6 pressure piping #1-2 circular tailrce surge chamber -40°W, a dip direction of NE and a dip angle of 80-90"; and J, with a strike of N6O°70°W, a dip direction of NE and a ip angle of 80-90°). J and J2 are the two most fully developed joints around the main powerhouse and are spaced 1-2 m apart, whereas Js and J are less developed and are spaced 0.3 and 5 m apart, respectively. A stereo- ‘graphic projection of the joints presented in Fig. 2b shows correlations between the faults and underground powerhouse, 2.2 In Situ Stress In situ stress in the underground powerhouse area was ‘measured by using the borehole stress relief method at an early stage before the excavation of the underground powerhouse (Fig. 3a). As shown in Fig. 3b, field test results for the powerhouse area show that the in situ stress distribution had a humped configuration and followed the typical stress distribution pattern of deep valleys with a horizontal depth of 100-350 m representing the peak. The ‘underground powerhouse area is located in the high in situ stress region. An abrupt change of in situ stress was found: near fault Fy4; on the river valley side, the in situ stress ficld is controlled by regional tectonic stress, but on the mountain side, gravity stress is the main form of stress D SpringerSE ee 1886 Fig. 2 Geological conditions of the underground powerhouse of the Jinping I Hydropower Station: a2 typical geological section ofthe underground powerhouse (along the axis of ‘the main powerhouse) and ba stereographic projection of four sroups of critically oriented joins in the underground powerhouse area Nosew/ Stereographic projections of in situ stress are presented in Fig. 3c, d to illustrate detailed spatial characteristics. The direction of the maximum principal stress force was rela- tively uniform, and it intersected with axes of the main powerhouse at a small angle with a dip direction of N30°- ‘7O°W and an average dip angle of 30°. The second prin- cipal stress force, which was approximately in line with fault Fs, could be divided into two groups: group I and group II (Fig. 3a). Group I intersected with axes of the ‘main powerhouse at a small angle (approximately 10°) toward the mountain side with a stecp dip angle of approximately 60°, Group II was sub-vertical to axes of the ‘main powerhouse and was oriented toward the mountai side at a large intersection angle of approximately 60-70° and a dip angle of 50°. The directions of the minimum Drincipal stress forces did not follow well-defined rules; Sorin 2 en et lof the smowntaine Downstream Upstréam they intersected with axes of the main powerhouse at approximately 40-85° and followed a dip angle of approximately 3-20°, ‘The magnitudes of maximum principal stress (1) were approximately 20.0-35.7 MPa, The second principal stress (c2) magnitudes were approximately 10,0-25.0 MPa, and the minimum principal stress (3) magnitudes were approximately 4.0-12.0 MPa. The rock mass strength’ stress ratio (RU¢q, where R, is the saturated uniaxial compressive strength of rock mass in the underground powerhouse area, and cy, is the maximum level of stress in surrounding rock mass of the underground powerhouse during excavation) was approximately 1.5-4.0, and the underground powerhouse was positioned in the high in situ stress zone. More detailed parameters of the in situ stress ‘measurements are provided in Table 1Failure Mechanisms and Evolution Assessment ofthe Excavation Damaged Zones in a Large-Scale... 1887 ig. 3 Typical characteristics —— of in situ stress at the Jinping I \, Co yeropowe Staton a tajot of Qe) pesnsarneimees te neve pao || US a iaeiaks, ‘ns soes in tbe undergron \ ay) 2 Powerhouse region; bvaaons TE} Tse of in situ stress with horizontal | depth inthe main powerhouse a | | | |Groupll of maximum principal stress; \ rt. and d stereographic projection of secondary principal sess { 'Yalong River) L (b) 40 Underground jowerkivee =] | 0 50 100 150 200 250 300 350 400 450 S00 ss0 i Morlzontal aepibon)1888 Hliea, ‘Table 1 Field measurements of in stu suess around the underground powerhouse (linping Hydropower Station) No Measuring Horizontal Verieal ay o am serihim) dep) Vane a) FO) Va a PO) ara) Pa) 1 ey-t 8 307 1613 1509 51694524926 418368 TW 2 o-1 180 24 2127 1841-296 9473269 2S 3 3 on 2 385 523 253231931796 20S BLL a9 4 o-1 233 299 357 BHO 5 ay-3 40 180 1542 128 26 961 1S 46 2037 184 6 en-4 MO 280 17431507 907-735-3457 SRA 6224987 7 oar-1 310 360 21981264 46.794 M7365 GOL 2391 0 8 on-S 150 210 2321784051767 3509471105948 9 on-2 368 403 2 B74 29 2382-1339 23094 10 ose—1 270 330 182 156) 741923 27365304 RG HN ama-2 20 310 3039-198 2871847778259 98H 2 o@-3 280 330 2863 3S 2198S 2 OTS OG 13 owt 380 320 2872 167322092280. 6S 79610932 4 am-1 200 270 3565 1323-89 «S83 459 GR 241109 15 cer-2 400 20 1787 136.1 321166236 4761398243248 ‘is the dip direction ofthe principal stress and isthe ip angle ofthe principal sess 2.3 Failure Characteristics of the Surrounding Rock Mass ‘The rock masses in the Jinping underground powerhouse ‘area are mostly fine grained. The roughness of the sur- rounding rock surface is low, and the half-cast factor reached 90% afler excavation blasting. However, a number of stress-induced breakages (¢.g., splitting, spal- ling and peel off) occurred hours after excavation. Fig- lure 4 shows some typical failure phenomena occurring around the underground powerhouse during the excava- tion and supporting process. As shown in Fig. 4a, b, the rock mass was split, and the shoterete layer bulked and cracked considerably along the downstream arch abut- ‘ment between sections KO + 35 m and KO + 65 m of the ‘main powerhouse. The split rock mass was mainly lake- like, fragmented and weak, and the reinforcement mesh ‘was extruded and heavily bent, thus indicating the pres- ence of a high level of tangent stress concentrated along the downstream arch abutment. The surrounding rock mass in the downstream arch foot between sections KO + 165 m and KO + 185m was extruded and then folded and bellied, and some even broke off (Fig. 4c). As shown in Fig. 44, the surrounding rock mass rebounded and deformed toward the free face, and slabbing fre- quently occurred along the downstream arch abutment between sections KO + 95m and KO + 145 m of the ‘main powerhouse, Slabbing cracks had opened and were nearly parallel to the critically oriented joint J. Because of unloading and relaxation, surrounding rock masses © springer around the high sidewalls were deformed toward the free face with relatively large values, thus causing tension ‘cracks to open and leading to considerable dislocations of the remaining blast holes (Fig. 4c). Monitoring data show that deformations along the downstream sidewall of the main powerhouse became more pronounced as the number of excavation steps increased, and deformation rates evidently did not decrease, even during the suspension of excavation from May to October of 2009, owing to the rheology of sur- rounding rock mass subjected to high levels of tangential stress. Deformations exceeding 50 mm occurred at 14.5% {in the monitoring points in the main powerhouse. Addi- tional protrusion occurred in the deep relaxation zone around the main powerhouse, especially on the river valley side, where the deepest relaxation zone reached 15 m (in section KO + 126.8 m of the downstream arch abutment). ‘The depth of the relaxation zone (1-15 m) exceeded the expected depth for similar scales and geological conditions of underground powerhouses built in China (1-9 m for the main powerhouse of the Houziyan Hydropower Station). 3 Large Deformations and Excavation Damaged Zones ‘The underground powerhouse was excavated using a bench method involving conventional drilling and blasting. As shown in Fig. 5, the construction of the main powerhouse ‘occurred from May 2006 to April 2010 over 11 main (nSFailure Mechanisms and Evolution Assessment of the Excavation Damaged Zones in « Large Scale Fig. 4 Failure problems encountered around the Underground powerhouse during ‘constuction: a bulking and cracking ofthe shoterete layer; 1b extrusion and bending of the reinforcement mesh; e folding, telling and breaking off; 4 stabbing; and e tension cracks and dislocation of remaining blast holes along the tall, sidewall Moss] Misis vinon , DYheanszo O TE avai0r-0 | 16300 8 E 100 1620.0 & é a 2 so 16100 00 1600.0 08/05/27 08/11/23 09/08/22 0/11/18 10/08/17 10/11/18 Time(yysmmda) © or Orifice-4m—4— 4m-7m—6= 7m-15m—e=15m-30m a 30.0 16545, aa Faso e ibe 1650.0 & F200} : = 1685.08 Eso fo 1610.08 é sot § 1633.9} 1635.0 0.0 hecho cc ED 16200 08/08/27 08/12/28 09/07/01 lo/oa/i7 Time(yy-mm-dd) D SpringerFailure Mechanisms and Evolution Assessment ofthe Excavation Damaged Zones in a Large-Sc surrounding rock mass in the deeper area gradually deformed as excavation proceeded. Figure 6b, ¢ shows relative deformations at various depths of surrounding rock ‘masses in section KO + 31.7 mand section KO + 126.8 m of downstream arch abutments of the main powerhouse (elevation 1659 m), respectively. Deformation character- istics between section KO+31.7m and section KO + 126.8 m of the downstream arch abutments were significantly different. The surrounding rock mass in see- tion KO + 31.7 m of the downstream arch abutment showed rapid deformation in the first two excavation steps (step IV and step V) and deformed less in the remaining excavation steps. The surrounding rock mass at the surface (from the orifice to 8 m) experienced the majority of deformation effects, and only a limited amount of elastic deformation occurred in the deeper area and was induced by stress adjustments during excavation. Although the surrounding rock mass in section KO + 126.8 m of the downstream arch abutment underwent gradual deformation as excavation proceeded, relatively significant deformation ‘occurred, even in the deeper area (between 15 m and 30 m). Additionally, the surrounding rock mass in section KO + 126.8 m of the downstream arch abutment clearly exhibited time-dependent deformation, particularly between 4m and 7m, within which the deformation increased rapidly during the suspension of excavation between step VI and step VI (from May to October 2008). The evolution of deformation in section KO + 126.8 m of the downstream arch abutment initiated from the edge of the excavation zone and gradually propagated to deeper areas away from the opening as excavation proceeded, ‘The monitored deformations in the surrounding rock sass in section KO + 31.7 m and section KO + 126.8 m of the underground powerhouse are shown in Fig. 7. The deformations in section KO + 1268 m were generally larger than those in section KO + 31.7 m, especially along the downstream sidewall of the main transformer chamber ‘where there was a large fault Fy and an intrusive weakness dike X, the maximum deformation level reaches 236.7 mm (in September of 2010). The quality of the surrounding rock mass in section KO + 126.8 m of the upstream side- wall was poor and was influenced by fault F4; the defor- mation magnitude was roughly 30-60 mm, and the heavily deformed layer was approximately 4-6 m. However, deformation in section KO + 31.7 m of the upstream sidewall reached approximately 10-25 mm, and the heavy deformed layer was shallower (1-3 m). The surrounding Tock masses in section KO-+ 31.7 m and section KO + 126.8 mof the downstream sidewalls exhibited clear time dependence with large deformations of approximately 50-70 mm as a result of the complex excavation of ‘omnibus bar caves and thin rock pillars (46 m), whereas the heavily deformed layer in section KO + 126.8 m of the 1891 downstream sidewall was as deep as 6-12 m, extending ‘deeper than section KO + 31.7 m, which reached approx- imately 3-6 m. Deformations at the arch crowns were smaller (less than 10 mm), except at downstream arch abutments of the main powerhouse, where a large defor- ‘mation with a thick, heavily deformed layer formed in section KO + 126.8 m; the heavily deformed layer in section KO + 31.7 m was much thinner. 3.2 EDZs Detected by Acoustic Waves Our acoustic wave test was based on the theory of elastic ‘wave propagation in solid media. The test is used to ana- lyze the physical and mechanical properties of the sur- rounding rock mass. By launching sound waves at @ distance through a medium with a manval shaking method and receiving the modulated sound waves, including their physical characteristics, the EDZs can be confirmed after observation and analysis of the speed along the test bore- holes (Barton 2007). The wave velocity decreases with increasing acoustic impedance and fracture development, and it increases with increasing rock mass stress and den- sity (Deng et al. 2001). It is typically assumed that the release of radial stress and the formation of new cracks are the two major causes of velocity (and modulus) reductions in the EDZs. Confinement reduction causes stress release and redistribution and leads to the opening of original closed cracks (assuming that no new cracks are induced), to the expansion of pores and to minor changes in rock mass density, thus eventually resulting in the reduction of wave velocity. Induced fracturing in the EDZs, owing to either the extension of pre-existing cracks or the creation of new fractures, would result in decreased clastic moduli and wave velocity, and as the magnitude of the wave velocity decreases, more damage would be caused (Suzuki et al 2004; Li et al. 2013). Confinement reduction and stress release have considerable effects on wave velocity, but this relationship is very complex, and it is difficult to monitor the stress response of surrounding rock masses during the construction of an underground powerhouse (Wepfer and Christensen 1991; Barton 2007). Therefore, wave velocity changes in rock masses as a result of stress-induced frac- turing and confinement reduction have not been distin guished to assess the EDZs during excavation via the acoustic wave test, thus satisfying engineering requirements Figure 8 shows typical test results for acoustic wave ccurves recorded during excavation in section KO + 31.7 m and section KO + 126.8 m of arch abutments in the main powerhouse, As shown in Fig. 8a, b, the wave velocity in section KO + 31.7 m of the downstream arch abutment decreased considerably within a certain distance from the borders of the excavation zone, and the wave velocity in D springer1392 HLietal 100m Deformation ——— wm a — mz fuels dz and excavation damaged zones (EDZs) detected by monitoring the underground powerhouse after excavation: « around section KO 431.7 m and b around section KO + 126.8 m 2 springerFailure Mechanisms and olution Assessment ofthe Excavation Damaged Zones in Large Seale 1893 Fig. 8 Typical test resus of @r0 wo acoustic wave curves measured $60 rr meen, 260 i JST Faye, in the main powerhouse daring 350 WO gs0 : ‘excavation: ain section 240 pes ooo jan-2008 | KO4 317 mot the x1) Ab mse: 200 S40] MJ ‘svg 2008 ‘downstream arch abutment, bin oe —Apr2009 7) care section KO + 126.8 m of the downstream arch abutment, ein section KO + 31.7 m ofthe upstream arch abutment and 02 4 6 & to ip ia 16 18 20 Depth ian in section KO + 1268'm of wea ppnow the upsream ach abutment f May-2008 May-2008 e208, —Sepr2008 4 == Apr2009 agre2009 O29 6% toiisiere a0 027 6 § tor teieie a0 Depth (m) Deptnim) section KO + 126.8 m of the downstream arch abutment (@)75 ~<~Osiee 2a-te2-4m--:6m—E-6im-M-f.20m fluctuated considerably during excavation. In contrast, the wave velocity in section KO + 31.7 m of the upstream arch abutment showed strong fluctuations, and the wave veloc- ity in section KO + 126.8 m of the upstream arch abutment decreased considerably during excavation but only along the surface (0-4 m) of the surrounding rock mass (as shown in Fig. 8c, d). These wave velocity patterns showed 4 time effect, especially in section KO + 31.7 m of the upstream arch abutments and in section KO + 126.8 m of the downstream arch abutments, and EDZs were visibly enlarged during excavation, Figure 9 shows the mean wave velocity versus time at various depths of the surrounding rock mass in section KO 431.7 m and section KO + 126.8 m of the down- stream arch abutments. As shown in Fig. 9a, the mean wave velocity in section KO + 31.7 m of the downstream arch abutment decreased the most 30 days after excavation by blasting, and this decrease decelerated over time. The mean wave velocity showed a sharp change, decreasing considerably along the surface of the surrounding rock ‘mass (0-6 m) and decreasing less in deeper areas. Although the mean wave velocity in section KO + 126.8 m of the downstream arch abutment showed no obvious jump point, the decrease in wave velocity was initiated from the edge of the excavation zone and gradually propagated to deeper areas away from the opening as excavation pro- ceeded (Fig. 9b). The strong decrease observed in the mean wave velocity zone in section KO + 1268m of the downstream arch abutment was deeper than that in section KO + 31.7 m of the downstream arch abutment. ‘As shown in Fig. 10, sufficient data indicated that acoustic wave curves of rock mass surrounding the Jinping 1 underground powerhouse could be classified into the following four categories: type J, type Il, type III and type IV. For type I, the acoustic wave curve could be divided into three parts: a “lower wave velocity” section near the ge” ‘. gas © ss oiptatcocrmaN 287 ir Ti Vv Vv VI Excavation steps ~+~Oriee-2m-@+2-4m 466m 6-4 8-20 Originalrock mast > vi Excavation steps Fig. 9 Mean wave velocity versus time at various surrounding rock mass depths: a in section KO + 31.7 m of the downstream arch abutments and b in seetion KO + 126.8 m of the downstream arch sutments boundaries of the excavation site zone where the rock mass is heavily damaged (HDZ); a “rises with fluctuation wave velocity” section where multiple parallel fresh cracks are initiated by stress redistribution after excavation and where the wave velocity is lower near cracks and relatively high in the rock bridge (EDZ); and a “high wave velocity with ‘minor fluctuations” section in the deeper zone where rock is disturbed but not damaged (EdZ). For type II, which mainly occurred in the high stress concentration-induced failure area, the acoustic wave curve could be divided into two parts, and it differed from type I in that “rises with fluctuation wave velocity” sections were not present or ‘were very small. For this type, the surrounding rock mass ‘was heavily damaged in the area along the borders of the excavation site but was not as affected in deeper areas. For D springer1894 H Lita, Fig. 10 Four categories of 240) eh) acoustic wave eames ofthe ¢ Highvelosity with — igh velocity with Surrounding rock mass ine é Eiecvit, “smligyomidon’ all dugtucton underground powerhouse ofthe & | Lower Seytion, S| tower Sinping 1 Hydropower Satin: 3 | vetogtty i FI velocity farypel, b type Il, type I and z Vppz | EZ | eee, Raz aitype IV 2[mpz i i eLHpz | Depihtm Depihimy FAO gicewih Hisdvelociyy win — ZA @ i Aerie womimagunton BT gcc ig, — lahyelacy with 8 omer veri E] Risewitn “Slt goctunion 2 | witsjpwrie z| z 3 4 | _HDZ Baz 2 3|_naznz Depihm) Wave velocity (Km, Depih(ay Depth(m) Fig. 11 Two typical acoustic wave curves ofthe same test borehole measured during excavation and unloading: a pattern I, which occured ‘mainly in the progressive failure area and b pattem Il, which occurred mainly inthe high tangential stress type II, which was mainly found during stress regulation after excavation, the acoustic wave curve could also be separated into three parts. It differed from type T in that lower wave velocities near the edge of the excavation site rose slowly. For type IV, which was mainly found during the lining stage after excavation when the EDZs were emerging and expanding, the acoustic wave curve could be divided into two parts: a “rise of wave velocity with fluctuation” part and a “high wave velocity with minor fluctuations” part (Zhang et al. 2011) Figure 11 presents two typical evolution paths of acoustic wave curves in the same test borehole during excavation and unloading. As shown in Fig. 11a, the undisturbed rock mass occupied a triaxial compressive stress state (axial stress, radial and tangential stress), and the wave velocity reached up to 6000-6300 m/s along the centite test borehole. After excavation blasting, the wave velocity near the edge of the excavation site decreased, and acoustic wave curve shapes in type IV of the rock mass were damaged by blast vibrations. The radial stress was relieved, and the rock mass entered an unstable high biaxial stress state, thus causing the surrounding rock mass to deform by gradually rebounding toward the free face, The EDZs were enlarged because of micro-crack initiation, 2 springer vduced failure area propagation and coalescence due to unloading and defor: mation. Then, with an increase in excavation steps, cracks and EDZs gradually expanded into deeper ground layers because of excavation disturbances and increasing sidewall heights. Cracks and EDZs expanding from the edges of the excavation site to deep ground layers resulted in the evo- lution of acoustic wave curves from type IV to type III © type I (eg. Fig. 8b, c). However, as shown in Fig. 11b, when cracks and EDZs mainly formed near the edges of the excavation site and did not extend to deeper areas, the acoustic wave curve evolved from type IV to type Ill 10 type II (@g., Fig. 8a, d). Construction findings have shown that the densities and ‘magnitudes of induced fractures and cracks in EDZs should decrease from the boundaries of an excavation site to a far field undisturbed state. In contrast, the wave velocity increases gradually. On the basis of the acoustic wave test and borehole TV images, Fig. 12 shows a typical measured result for EDZs in the main powerhouse of the Jinping I Hydropower Station. The figure shows that the mean wave velocity near the boundaries of the excavation site was relatively low (below 4000 mis). The rock mass was heavily damaged with densely distributed extrusion cracks accompanied by shear cracks, which showed clear signs of agFailure Mechanisms and Evolution Assessment of the Excavation Damaged Zones in a Large Scale. 1895 Fig. 12 Excavation damaged @ Lower ‘zones (EDZs) along the depth of. velocia the rock mass surrounding the Finping main powerhouse: a a typical account ofthe acoustic a wave velocity inthe G60 A poe % / tppical account of» borehole e507 fh | ‘TV of fractures in the Zao t surrounding rock mass and a \ € classicaton of EDZs along sof] Rise with uct High velocity with | i I I Mow we / | y the depth ofthe rock mass surrounding the Jinping min powerhouse OW ) Densely distributed HDZ splitting and spalling induced by blasting vibrations and siress concentrations. This zone is called the HDZ. (Cater and Booker 1990; Zhou et al. 2012). Next to the HDZ, Where the EDZ was located, the wave velocity fluctuated between 4000 and 5500 mis. Fresh cracks formed, and rupture surfaces were fairly steep and nearly parallel to the ‘excavation surface. The response characteristics of wave velocity changes varied with crack formation. Inthe deeper zone, the mean wave velocity reached up to 5500-6300 m/ ' with minor fluctuations occurring near the EDZ because of the presence of sparsely distributed closing cracks. The rock mass was disturbed but was not damaged (EdZ). The distribution of EDZs was analyzed by applying acoustic waves to the surrounding rock mass of section KO + 31.7 m and section KO + 126.8 m of the under- ‘ground powerhouse. The corresponding results are shown in Fig. 7. The EDZs in section KO + 126.8 m are rela- tively large and asymmetric, especially for the EDZ. that reached 15 mat the downstream arch abutment of the main powerhouse. The depths of the EDZ in section KO + 126.8 m of the downstream arch abutment and of sidewalls of the main powerhouse were much greater than the depth of the HIDZ in the same area, and the depth of the [BDZ in section KO + 31.7 m was not significantly greater than the depth of the HZ in the same area, particularly at the downstream arch abutment. The HDZ in section Depth (m) Sparsely distributed losing cracks Deep tension ‘cracks EZ KO + 126.8 m of the arch crown and upstream arch abutment was fairly small, as is the EDZ, but a large EDZ ‘was found in section KO + 31.7 m of the upstream abut- ment of the main powerhouse. EDZs in sections KO + 31.7 m and KO + 126.8 m of tall sidewalls in the ‘main powerhouse were relatively large, whereas they were generally small around the main transformer chambers, ‘except in section KO + 126.8 m of the downstream side- wall, where there was a large deformation. The EDZs around section KO + 31.7 m and section KO + 126.8 m of the underground powerhouse were relatively large and were positioned much deeper than 20 m (the scope of the acoustic wave test) in many areas. These findings were determined mainly on the basis of deformations, though such resulls are not very accurate. Furthermore, the dis- tribution of EDZs agreed well with the distribution of deformations. 3.3 Mechanism Analyses As shown in Figs. 3a and 13a, in situ stress on the moun- lain side (such as section KO + 31.7 m) was classified as ‘group I. Although both the maximum and second principal stress intersected with axes of the main powerhouse at a small angle of approximately 10-15°, which favors the stability of the main powerhouse, the second principal 2 springer1896 HLieal, Fig. 13. Main fafure mechanisms ofthe rock mass surrounding the Jinping 1 “underground powerhouse during excavation: a high tangential stress-induced failure and D unloading and propresive failure a) SNe @ \ ee mle ee fo; Ne \ NG stress reached large values of approximately 10-25 MPa and dipped downstream at a steep dip angle of approxi- mately 60°. As a consequence, significant tangential stress (c,) was applied on the downstream arch abutment of the main powerhouse. During excavation, radial stress (o,), which was approximately parallel to the minimum pri pal stress with small values, was relieved, and tangential stress near the edge of the downstream arch abutment concentrated and inereased as a result of stress adjustments ‘The extensive initiation, propagation and coalescence of ‘micto-cracks occurred, and high levels of tangential stress confined the rock mass in such a way that caused cracks to develop only in the direction parallel to the boundaries of the excavation site (Cai 2008). The existence of a critically oriented joint J; (one of the most developed oriented joints in the main powerhouse) aggravated cracking, and the rock D springer mass was damaged considerably. As shown in Figs. 6b and 8a, the effects of blasting vibrations and tangential stress concentrations weakened with depth, and when the heavily deformed layer was quite shallow, the lower wave velocity ‘area was also shallow. As a result, the HDZ. in section KO + 31.7 m of the downstream arch abutment was rela- tively large, whereas the EDZ was not much larger than the HDZ (Fig. 7a) ‘As shown in Figs. 3a and 13b, in situ stress on the river valley side (such as section KO + 126.8 m) was classified as group Il. The second principal stress was relatively large, at approximately 10-25 MPa, and it was sub-vertical to the axis of the main powerhouse, dipping upstream at a large intersection angle of approximately 60-70" and a dip angle of 50°. AS a result, the radial stress (¢,), which was approximately parallel 10 the second principal stress, was aFailure Mechanisms and Evolution Assessment of the Excavation Damaged Zones in a Large-Seae. markedly increased, though the tangential stress (o;) was not as large as that found in the group T area. During sudden excavation blasting and unloading, the radial stress (@,) quickly decreased to near zero, and the rock mass rebounded and deformed toward the free face, thus in turn leading to the concentration of tension stress tthe tips of pre-existing micro-eracks, AS @ result, tension cracks expanded along the critically oriented joint Jy and differ- ‘ences between rebound levels, the relatively high tangen- tial stress value and the intersection of joint J led to slabbing, folding, bellying and even breakages near the edge of the downstream arch abutment (Fig. 4c, d). ‘Simultaneously, stress redistributed, and cracks gradually extended into deeper areas as excavation continued. As shown in Figs. 6¢ and 8b, the rock mass near the edges of the downstream arch abutment was damaged considerably by blasting vibrations and tangential stress concentrations, and cracks induced by excavation extended into a remarkably deep area with clear time-dependent behavior. {As a consequence, the EDZ. in section KO + 126.8 m of the downstream arch abutment was much larger than the HDZ (Fig. 7b. 4 Discussion EDZs distribution characteristics around Jinping power- house caverns correlated with cavern sizes, in situ stress, mechanical parameters of the rock mass, structural planes, the control of blasting vibrations, the influence of adjacent excavations and the excavation process. As shown in Fig. 7a, the HDZ in section KO + 31.7 m of the down- stream arch abutment was relatively large because tan- gential stress was concentrated near the edges of the downstream arch abutment after sudden excavation and ‘unloading. An extensive initiation, propagation, and coa- lescence of micro-cracks occurred along the boundaries of the excavation site. The rock mass along the surface was split considerably, the shotcrete layer was notably bulked and cracked, and even the reinforcement mesh was extru- ded and highly bent (Fig. 4a, 6). The wave velocity in this area is decreased considerably within a certain distance from the boundaries of the excavation site (Figs. 8a, 9a). Extensive deformation occurred along the surface of this area, and the heavily deformed layer was quite thick. The acoustic wave curve evolved from type IV to type Il to type II (Fig. 11b), thus showing that the rock mass was heavily damaged near the boundaries of the excavation site, whereas the influences of blasting vibrations and tangential stress concentrations decline with depth, and the EDZ is not much larger than the HDZ. There were rela- tively large EDZs around the tall sidewalls of section KO + 31.7 m as a result of sudden excavation unloading 1897 and large deformations, but EDZs around the transformer chamber were quite small because of the relatively small size and high quality of surrounding rock mass. ‘As shown in Fig. 7b, both the HDZ and EDZ in section KO + 126.8 m of the downstream arch abutment were extraordinarily large, and especially for the EDZ, which reached a depth of 15 m. Owing to the existence of rela- tively high second principal stress foree with a direction sub-vertical to the axis of the main powerhouse, the radial sttess(¢,), which was approximately parallel tothe second principal stress, was markedly increased. During sudden excavation blasting and unloading, the radial stress (c,) quickly decreased to near zero, and the rock mass rebounded and deformed toward the free face. Slabbing, folding, bellying and breaking frequently occurred near the edges of the downstream arch abutment because of rela- tively high levels of tangential stress and the intersection of joints J, and J>, thus causing eracks to open and become ‘oriented nearly parallel to the critically oriented joint Jy (Fig. 4e, d), As shown in Figs. 80 and 12, the wave velocity near the boundaries of the excavation site was extremely low, and the rock mass was heavily damaged (HDZ) with densely distributed extrusion cracks accom: panied by shear cracks. The stress redistributed, and cracks ‘radually extended into a deep area with clear time-de- pendent behavior. The rock mass was damaged (EDZ) in this area, Fresh cracks developed or were induced and were spaced apart by less than 0.4 m, and rupture surfaces were fairly steep and nearly parallel to joint J;. The wave velocity clearly fluctuated, and changes varied with erack evelopment. The surrounding rock mass in this area showed visible time-dependent deformations (Fig. 6c). The mean wave velocity graduslly decreased as excavation proceeded (Fig. 9b), and the acoustic wave curve evolved from type IV to type Ito type I (Fg. 11b). As a result, the depth of the EDZ was much greater than the depth of the HDZ, Additionally, in the downstream arch abutments, the EDZ in section KO + 1268 m was generally larger than that in seetion KO + 31.7 m, especially around the tall sidewall, because of fault Fy, which decreased the quality of the surrounding rock mass along the upstream sidewall AA relatively large second principal stress force that was sub-vertical to the axis of the main powerhouse led to the formation of a much larger radial stress force (¢,) and more severe rebound unloading deformation during excavation. ‘The EDZs around section KO + 126.8 m were asymmetsic because of the presence of thin rock pillars and the influ- ‘ence of adjacent caverns (such as omnibus bar caves and the main transformer chamber), and EDZs along the downstream high sidewall were much larger than those along the upstream high sidewall. Rebounding and unloading deformation was so substantial that it caused the opening of tension cracks and the dislocation of remaining © springerae eee eee 1998 Hise Fig. 14 Evouion of EDzs (a) tnd he main poweinse 1 thring excavation minvecton = 1 4 a somal vinosion nok TT ween +12 ut a om IV WV \v. Vv v. yy vt MI VE a vi vit Vi VII vin spy vu VIII 1x 1x re ebe bz, ( blast holes along the tall sidewall of the main powerhouse Fig. 4(@).. ‘The evolution of the EDZ in section KO + 31.7 m and section KO + 126.8 m of the main powerhouse throughout excavation is presented in Fig. 14. EDZ characteristics between section KO + 31.7 m and section KO + 126.8 m ‘were significantly different. The EDZ in section KO +1268 m was relatively large and asymmetric, especially along the downstream arch abutment, and the EDZ reached a depth of 15m, The EDZ in section KO + 126.8 m of the downstream arch abutment exhibited clear time dependence and was considerably enlarged with ‘an increase in the number of excavation steps, particularly the first five excavation steps. The evolution of deformation initiated at the boundaries of the excavation site and ‘gradually propagated to deeper areas away from the ‘opening (Fig. 6c), thus revealing significantly progressive failures resulting from stress adjustments and tension cracks gradually spreading into deeper areas of surrounding rock mass with a low strengtb/stress ratio during exeava- tion, In contrast, the EDZ in section KO + 31.7 m was relatively symmetric, The EDZ in the downstream arch abutment was enlarged only during the frst two excavation steps (step TI and step III) and did not substantially increase during the remainder of the excavation period, The mean wave velocity of the early EDZ considerably decreased during remaining excavation steps (Fig. 9b), thus indicat- ing that the extension of pre-existing cracks and the cre- ation of new fractures mainly occurred in the early EDZ. ‘The HDZ was visibly enlarged, although the EDZ changed little during the remaining excavation steps. We also note that, interestingly, the EDZ in section KO + 31.7 m of the upstream arch abutment was much larger than that in section KO + 126.8 m of the upstream arch abutment and D springer \ 1p 20m exhibited time-dependent behavior, because the stress state in section KO + 31.7 m of the upstream arch abutment (Fig. 13a) was similar to that in section KO + 126.8 m of the downstream arch abutment, although the rebound unloading deformation was not as severe as that in section KO + 126.8 m of the downstream arch abutment and the critically oriented joint J> was not as developed as joint J. ‘The EDZ around the tall sidewalls was visibly enlarged as @ result of sudden excavation unloading and large deformation. 5 Conclusions Failure mechanisms of rock mass surrounding the Jinping T underground powerhouse were analyzed, and the evolution of EDZs around the underground powerhouse was dis- ‘cussed and assessed. The following can be concluded: 1. High levels of tangential stress-induced failures such as splitting, severe bulking and cracking of the shotcrete layer along the downstream arch abutment of the main powerhouse on the mountain side. The failure weakened with depth, and the depth of the EDZ was not substantially greater than the depth of the HDZ. However, progressive failures, such as deep fractures and large deformations, mainly occurred along the downstream arch abutment on the river valley side with clear time dependence, and the depth of the EDZ was much greater than the depth of the HZ. 2. High second principal stress levels traveling sub- vertical and sub-parallel to the axes of the main powerhouse on the river valley side and the mountain side, respectively, as well as critically oriented joints, [coe RRRFailure Mechanisms and Evolution Assessment ofthe Excavation Damaged Zones in ¢ Large-Seale. 1899) were the main forces underlying the high tangential stress-induced and progressive failure in different areas, of the main powerhouse. 3. Acoustic wave curves of rock mass surrounding the Tinping 1 underground powerhouse could be classified into four categories. The evolution of acoustic wave curves at the same test borehole during excavation could be classified into two types: high tangential stress-induced failure and progressive failure areas, 4, Deformations and EDZs on the river valley side were ‘generally larger than those on the mountain side. The distribution of deformations was consistent with the distribution of EDZs. 5. The evolution of the EDZ along the downstream arch abutment on the river valley side exhibited time dependence that increased considerably with excava- tion. The deformation of surrounding rock mass initiated from the boundaries of the excavation site and gradually propagated to deeper areas away from the opening. However, the EDZ at the downstream arch abutment on the mountain side was enlarged only during the first two excavation steps. The extension of pre-existing cracks and the creation of new fractures occurred mainly in the early EDZ, and the HDZ was visibly enlarged, although the EDZ changed little in remaining excavation phases. Acknowledgements We gratefully acknowledge the support of the Seience Foundation for Excellent Youth Scholars of Sichuan University (2013SCUO4A07). Critical comments by the anonymous reviewers greatly improved the initial manuscript, References Baton N (2007) Rock quality, seismic velocity, atenuation and anisotropy. 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