Tunnelling and Underground Space Technology 18 (2003) 223–232

Evaluation of loosened zones on excavation of a large underground rock

cavern and application of observational construction techniques
Toshio Maejimaa, Hiroshi Moriokaa,*, Takayuki Morib, Kenji Aokic
a
The Tokyo Electric Power Co. Inc, Tokyo, Japan
b
Kajima Corporation, Tokyo, Japan
c
Kyoto University, Kyoto, Japan

Abstract

To ensure the stability of caverns and optimize the support systems, observational design and construction procedures have
been used recently for excavating large underground caverns, such as those for pumped-storage power plants, which spontaneously
process data monitored during construction and real-time feedback of the results to the next construction steps. In observational
design and construction procedures, the cavern support systems should be optimized by monitoring the loosening behavior and
correctly predicting and analyzing the subsequent behavior of the cavern. This paper describes an evaluation of loosened zones
based on monitored stress of rock and an application of prediction analysis for observational construction techniques.
䊚 2003 Elsevier Science Ltd. All rights reserved.

Keywords: Underground cavern; Observational construction technique; Excavation; Support design; Monitoring technique; Numerical analysis

1. Introduction tional strain and rock displacement measurements to

The Kan-nagawa power plant is a pumped storage
power station of maximum output of 2820 MW and is
being constructed by the Tokyo Electric Power Co. Inc.
150 km north-west of Tokyo at the boundary of the
Gunma and Nagano Prefectures.
As shown in Fig. 1, the underground cavern of the
power station has dimensions of: length 216 m, width
33 m, height 52 m, approximately 220 000 m3 in total
excavation volume, and maximum cross-sectional area
of 1400 m2.
The excavation was completed in October 2000. Four
452 MW electric generators and two transformers will
be installed in the cavern to generate an output of 1880
MW.
In observational design and construction procedures,
loosened zones around cavern during the excavation
should be monitored and their behaviors should be
correctly predicted to optimize the support systems.
Rock strain measurements and acoustic emission
(AE) measurements were conducted as well as conven-
*Corresponding author. The Tokyo Electric Power Co. Inc, Con-
struction Dept., Ushisaiwai-cho 1-1-3, Chiyoda-ku, Tokyo, Japan 100-
0011. Tel.: q81-3-4216-1111; fax: q81-3-4216-4269.
E-mail address: morioka.hiroshi@tepco.co.jp (H. Morioka).
directly evaluate the loosened zones. Prediction analyses
were performed by conducting precise preliminary geo-
logical surveys and considering the results of inverse
analyses to improve the precision of prediction (Maeji-
ma et al., 2001a,b).
2. Geology and rock properties
The geology of the Kan-nagawa site was the Chichibu
south belt strata of Paleozoic–Mesozoic layer, which
were formed by the re-deposit of marine sediment of
the Paleozoic–Mesozoic period during submarine land-
slides in the Jurassic–Cretaceous period.
The strata consist of mudstone-based rock with irreg-
ularly mixed olistoliths, such as sandstones, chert, basic
volcanic rocks, and limestones. As shown in Fig. 2, the
strata near the power plant were classified into six by
the matrix and the kinds and percentages of mixed
gravel. The CG1 layer, which consists of conglomerate
and coarse sandstone, was likely to be the prime bed.
The six layers were found to have different properties.
The rock property values and the initial rock stresses
are shown in Table 1 and Fig. 3. Since steep discontin-
uous surfaces were dominant in the M1, S1 and FS1

0886-7798/03/$ - see front matter 䊚 2003 Elsevier Science Ltd. All rights reserved.
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224 T. Maejima et al. / Tunnelling and Underground Space Technology 18 (2003) 223–232

Fig. 1. Dimensions of the underground power plant cavern.

layers, the elastic coefficients were anisotropic. Since
the tailrace sidewall was to be built through the FS1
layer, the behaviors of the FS1 layer had to be correctly
predicted and evaluated. A preliminary survey showed
local fluctuations in initial rock stress, showing the need
to examine the design rock stress values.
3. Prediction analysis and final design
Analyses for predicting the behaviors of rocks during
excavation were conducted using models that reproduced
the geological structures. Since highly-stiff triaxial com-
pression tests of boring cores showed that the rocks had
strain softening characteristics, the models were ana-
lyzed by non-linear multi-step excavation FEM analysis
that considered strain softening. A result of a prediction
analysis is shown in Fig. 4.
The behaviors of the rocks at the site were character-
ized by:
1. The maximum principal stress of the rock inclined
268 to the penstock side.
2. There is large deviation between two principal stresses
in a cross-section.
3. The stress concentrating zones of maximum principal
stress of over 25 MPa presented near the shoulder of
the tailrace side and at the corner of the penstock
side.
The maximum principal stresses in these zones
increased as bench cut excavation advanced.
Changes in stress in the stress concentrating zones by
the installation of prestressed anchors (PS anchors),
which input stress, are schematically shown in Fig. 5.
An input of minimum principal stress by the installation
of PS anchors (confining force of DP) increased the
maximum supportable stress from s1 to s1qDs1,
showing that the installation is effective to restrict the
progress of the loosened zones.
In the actual design, PS anchors were more densely
installed in these stress concentrating zones than in the
other zones to actively restrict the progress of loosening
near the cavern. The final support arrangement in the
power plant cavern is shown in Fig. 6. Supports were

Table 1

Stratum Elastic modulus Peak strength Residual strength

GPa (vertical,
Cp (MPa) fp (8) Cr (MPa) fr (8)
horizontal)
M1 10 (14,7) 1.9 40 0.5 40
S1 22.5 (30, 15) 0.8 57 0.5 49
CG1 60 5.2 57 0.5 49
CG2 60 3.4 57 0.5 49
FS1 22.5 (30, 15) 3.4 57 0.5 49
FS2 30 3.4 57 0.5 49
Fig. 2. Geological cross-section.
 T. Maejima et al. / Tunnelling and Underground Space Technology 18 (2003) 223–232 225

Fig. 3. Initial rock stress.

cross-sectionally non-uniformly arranged in the cavern
to make rational use of the supports.
The keyblocks that are generated in zones other than
the loosened zones were decided to be individually dealt
with by observational construction techniques after mon-
itoring the actual behavior.
4. Construction methods
The upper arch-shaped part of the cavern was exca-
vated by the top heading and enlargement excavation
method. Enlargement excavation of the main cavern was
conducted using the bench cut method with a bench
height of 3 m. The processes and stages of the power
plant cavern excavation are shown in Fig. 7.
For each bench, enlargement excavation was con-
ducted using the ‘block partition method’. As shown in
Fig. 8, excavation was conducted by first excavating the
center bench, then excavating the side benches and the
walls in a staggered manner, and finishing the side
walls. The deformation of the peripheral rocks and the
progress of loosening was controlled by using the block
partition method to be applied as a support before the
next block to be excavated.
The specifications of the supports are shotcrete (side
wall: 24 cm thick, roof and stress concentrating zones:

Fig. 4. Result of prediction analysis.

226 T. Maejima et al. / Tunnelling and Underground Space Technology 18 (2003) 223–232

Fig. 5. The mechanism for effect of input stress by PS anchor.

Fig. 6. Final support arrangement for the cavern.

 T. Maejima et al. / Tunnelling and Underground Space Technology 18 (2003) 223–232 227

as well as conventional strain and rock displacement

Fig. 7. Excavation process and stages of power station cavern.
32 cm thick), rock bolts (5–8 m long), and PS anchors
(10–20 m long).
5. Observational construction technique
5.1. Methods for evaluating the loosened zones
To monitor the redistribution of stress along the
progress of excavation, rock strain measurements and
acoustic emission (AE) measurements were conducted
measurements. The items measured at the site are listed
in Table 2.
5.2. Observational design and construction procedures
Uncertain factors, such as initial stress that could not
be precisely monitored in the preliminary survey and
the effects of discontinuous surface along the tailrace
side, were not included in the standard design before
excavation but were decided to be individually designed
after confirming the actual behavior to make rational
use of the supports.
5.3. Program to optimize designs in the observational
construction technique
In order to take measures immediately after detecting
the behavior of these uncertain factors, prediction anal-
ysis was conducted to estimate the time when such
behavior was likely to be detected and the possible
reinforcement measures.
In order to determine the initial rock stress, it was
decided to monitor the absolute rock stress at the
shoulders of cavern while spreading the ceiling.
Regarding the influence of the steep discontinuity in
layer of FS1 at the tailrace side, since the boundary of
FS1 and FS2 layer was not clear by the survey before
excavation, so, it predicted by setting up the model
which considered the physical properties of the whole
FS layer as an equivalent for the S1 layer in which the

Fig. 8. Excavation process for bench.

Table 2

Monitoring items Instruments Section

number
Daily management
Measurement of Multiple stage extensometer 10 sections
rock displacement Ls15;20 m (5, 6, 7, 8 stages)
Stress measurement Effective stressmeter 5 sections
of shotcrete
Load measurement Load cell (300 kN) 21 sections
of PS anchor
AE monitoring AE sensor 2 sections
and monitoring system
Stage management
Absolute rock stress Compact Conical-ended 2 sections
measurement Borehole Overcoring
(CCBO)
228 T. Maejima et al. / Tunnelling and Underground Space Technology 18 (2003) 223–232
discontinuity of steep inclination excels like the FS1
layer.
The difference with the standard model appears in the
development of the loosened zone at the time of the
completion of 7th bench excavation (Fig. 9), and may
serve as the information for model selection.
The time of the completion of 7th bench excavation
to which the loosened zone in side wall begins to
progress was set as the object of step management.
In addition, the support for middle part of cavern was
adopted as the support pattern determined by the anal-
ysis result using the low physical properties which can
correspond when it has the influence of discontinuities.
6. The result of observational construction
procedures
6.1. Behavior and supports during enlargement exca-
vation of the cavern ceiling
The absolute rock stress values at the shoulders of
cavern are shown in Fig. 10, which were measured
using the compact conical-ended borehole overcoring
method.
The tailrace side showed generation of concentrated
stresses that were larger than the initial rock stress at
depths deeper than 2.3 m, and decreases in maximum
principal stress as the depth increased.
However, the penstock side showed a maximum
principal stress smaller than the initial rock stress at the
depth of 1.9 m and counterclockwise changes in the
Fig. 9. Result of prediction analysis (loosened zone).
direction of the maximum principal stress action as the
depth increased. The loosened zoned at the shoulders
reached depths of approximately 2 m.
These results of behavior almost agreed with the
results of a prediction analysis conducted using the
standard model, showing that both the direction and the
intensity of the initial rock stress were valid. The
supports during enlargement excavation were also decid-
ed to be calculated using the standard model.
6.2. Behavior and supports of the tailrace side during
the excavation of the middle levels
The behavior measurements of the rocks are shown
in Fig. 10, which focuses on stress changes during the
excavation of the seventh bench. Monitoring of the
excavation faces and borehole TV showed that there
were three discontinuities, which were highly consecu-
tive (L2, L3 and L4).
To confirm the progress of the loosened zones, abso-
lute rock stress was measured using the compact conical-
ended borehole overcoring method at the sixth and
seventh bench levels. The results of measurement
showed maximum principal stresses smaller than the
initial rock stress up to the depth of 5 m and concen-
trated and uniaxial stresses in deeper than 7 m.
The AE behaviors during excavation, which were
monitored at the fourth bench, showed redistribution of
stress concentration from the depth of 3 m during the
excavation of the fifth bench to the depth of 7.5 m
during the excavation of the sixth bench. The depths
 T. Maejima et al. / Tunnelling and Underground Space Technology 18 (2003) 223–232 229

Fig. 10. Comparison of measurement result and prediction value.

where stress concentrated did not move thereafter. The
AE frequency dropped at a depth of 6 m while excavat-
ing the sixth bench, but no such a drop was observed
at the depth of 7.5 m (Fig. 11).
These results of observation showed that the loosened
zone was at the depth of 7.5 m when the excavation of
the seventh bench was completed. This depth of the
loosened zone was approximately 2 m deeper than the
depth predicted using the standard model, which did not
consider the effects of the discontinuous surfaces.
Regarding prediction analysis, since the distribution
of the discontinuity of high continuity became clear, the
230 T. Maejima et al. / Tunnelling and Underground Space Technology 18 (2003) 223–232

Fig. 11. Monitored AE event and frequency.

discontinuity was incorporated into the analysis model
and improvement in prediction accuracy was aimed for.
Prediction analyses were conducted by modeling the
three highly consecutive discontinuities using anisotrop-
ic parameters, which are the exfoliation and slippage of
the discontinuities, as proposed by Sakurai and Ine
(1986), Sakurai et al. (1998) and Sakurai et al. (in
press).
These parameters and the elastic coefficients of the
discontinuities were then back analyzed (Fig. 12). The
results of the inverse analysis were used to construct a
model that considered the discontinuity, which were
used in strain-softening analysis to predict behavior
(Fig. 10). The analyses could simulate the behavior at
the completion of the seventh bench excavation.
A cause for larger loosened zones in this model than
the standard model was likely to be the exfoliation and
deformation of the discontinuous surfaces L2 and L3
near the walls, which released the minimum principal
stress (along the radial direction of the cavern) and
enhanced the uniaxial stress state in the rocks behind
the cavern.
The maximum loosened zones at the completion of
excavation reached the depth of 10 m in the model that

Fig. 12. Discontinuity model for analysis.

 T. Maejima et al. / Tunnelling and Underground Space Technology 18 (2003) 223–232
Fig. 13. Distribution of rock displacement and strain.
reduced the entire physical properties of the FS layer,
but stopped at the depth of 7.5 m in the model that
reproduced the discontinuous surfaces. Therefore, the
supports for levels lower than the eighth bench were
decided to be reduced (Fig. 6).
6.3. Stability evaluation of the cavern
The displacement of the wall and the sectional strain
distribution are shown in Fig. 13 for a representative
cross-section at the completion of excavation. The strain
was discontinuously distributed along the depth direction
especially at the tailrace side. The sections of large
strains almost agreed with the sections where the highly
consecutive discontinuities existed, showing that the
behaviors of the surfaces were dominant.
To confirm the progress of loosened zones, absolute
stresses were measured along the measuring line of the
fourth bench using the compact conical-ended borehole
overcoring method again (Fig. 10). The maximum
principal stresses at sections shallower than 6 m were
smaller than the initial rock stress, but the stress con-
centrated along the circumference of the cavern at depths
deeper than 9 m. The loosened zone along the wall of
231
the tailrace side was estimated to be 7.5 m deep, which
almost agreed with the value predicted using the model
that considered the discontinuous surfaces (Fig. 10).
These show that the prediction model that was revised
after the completion of the seventh bench was effective
to accurately evaluate the effects of the discontinuities
at the tailrace side.
7. Conclusions
This paper describes the observational construction
technique for excavation of the underground cavern of
the Kan-nagawa pumped storage power station.
This large rock cavern was excavated by measuring
the stresses in the rock mass and the AE around the
cavern which occurred due to the excavation, and using
observational construction techniques especially for
monitoring loosened zones. The behavior at the final
completion of excavation was correctly predicted by
monitoring the progress of the loosened zone along with
the advancement of excavation and optimizing the ana-
lytical models during excavation.
This method was effective to optimize the support
system and conduct the excavation works safely. The
232 T. Maejima et al. / Tunnelling and Underground Space Technology 18 (2003) 223–232
progress of the loosened zones with discontinuity was
well predicted by conducting strain-softening analysis
that considered the anisotropic deformation of the dis-
continuities, which further improve the precision of the
prediction analyses.
It is desirable that study continues on the methods for
measuring, predicting and analyzing rock stresses to
make rational use of supports in large-scale underground
caverns.
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