Tunnels and Underground Cities: Engineering and Innovation meet Archaeology,

Architecture and Art – Peila, Viggiani & Celestino (Eds)

© 2019 Taylor & Francis Group, London, ISBN 978-1-138-38865-9

Response of tunnel surrounding rocks in heavily deformed ground:

Case study of Dongao Tunnel, Taiwan

C.-S. Lin
Fortune Construction Co, Ltd, Taipei, Taiwan

H.-J. Shau
Suhua Improvement Engineering Office, Directorate General of Highways, Ilan, Taiwan

Y.-P. Chen
Directorate General of Highways, Taipei, Taiwan

T.-T. Wang
National Taiwan University, Taipei, Taiwan

ABSTRACT: Dongao Tunnel underwent the strata near the collision belt of the Eurasian
Plate and the Philippine Sea Plate. The excavated geological formations suffered from deform-
ation caused not only by the global tectonics, but also by local deep-seated gravitational slope
movements (DSGS), resulting in different tunneling features. The ground deformed by DSGS
exhibits open fractures between rock blocks, with infilling gouge. During initial excavation
stage, rock wedges were displaced with various magnitudes around tunnel perimeter.
Although cave-in due to falling of rock wedges was considered a possibility, the excavated
face was generally stable. Tunneling encountered also a tectonically squeezing ground. The
crew suffered from multiple severe face instabilities and squeezing problems. The responses of
tunnel surrounding rock after excavation are investigated. Some innovative approaches for
construction management are also introduced, including bidding strategy for contractor selec-
tion, integrated predictions on multi-temporal geological data at different scales, risk manage-
ment and timely notification system.

1 INTRODUCTION

The stability of excavated face and associated self-standing time are key factors for tunneling
in rocks. A stable excavated face with sufficient self-standing time allows large excavating dis-
tance for each rounding, moderate or even no rock support needed after excavation, resulting
in high advancing rate of tunneling. In contrast, an excavated face with limited self-standing
time, or even unstable immediately after excavation, always jeopardizes rock tunneling. Such
a case needs ground reinforcement or improvement for the completion of tunnel excavation
and installation of necessary supports typically. However, ground reinforcement or/and
improvement is costly and time consuming.
Rock mass classification is typically adopted for the selection of excavation and support
type in rock tunneling. Engineering characteristics of rock masses are generally classified into
five types, sometimes slightly more. Amongst which, auxiliary countermeasures are typically
prepared for the worse type. Nevertheless, a large number of tunnel cases indicated that the
value of rock mass rating has low correlation with the stability of excavated face. As such,
identifying the stability of excavated face of a rock tunnel and factors affecting tunnel instabil-
ity are still challenging tasks for rock tunneling.

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 Dongao Tunnel underwent the strata near the boundary of the collision belt of the Eurasian
Plate and the Philippine Sea Plate. The excavated geological formations suffered from deform-
ation caused not only by the global and regional tectonics, but also by local deep-seated gravi-
tational slope movements (DSGS), resulting in different responses of surrounding rock and
thus tunneling features. Taking the Dongao Tunnel as an example, this manuscript investi-
gates the response of surrounding rocks in heavy deformed ground after excavation, related
challenges met in terms of contractual practice, and introduces some innovative approaches
for construction management.

2 PROJECT BACKGROUND

The Dongao Tunnel is a twin-bore highway tunnel located between Suao and Nanao, Ilan
(Yilan) County, Taiwan. The tunnel, with 3.32 km in length and 11.52 m in net width, passes
the Mt. Houi and Dongao Ridge in northeast Taiwan. The Dongao Tunnel is the critical-path
engineering of the Suhua Highway Improvement Project that is going to reconstruct and
bypass the dangerous section of existing Suhua Highway to meet the safety expectation of
eastern Taiwan populations. Figure 1 shows the location of the Dongao Tunnel.

2.1 Regional geology

Figure 2 shows the regional geology in the vicinity of the Dongao Tunnel. The tunnel passes
through the Suao Formation, Xiaomaoshan Fault, Nansuao Formation, Houishan Fault and
Dongao Schist. The Miocene Suao Formation is mainly composed of slate, with occasionally
interbedded thin meta-sandstone. The Eocene Nansuao Formation consists of arkose (feld-
spar sandstone), diabase, slate, phyllitic slate and phyllite. The Dongao Schist is equivalent to
the late Paleozoic to early Mesozoic Dananao Schist near the tunnel, and comprised of quartz
mica schist, chlorite schist, meta-chert. In addition to these major formations, amphibolite
and gneiss can be also founded in the vicinity of the tunnel (Lin and Kao, 2009).

Figure 1. Location of Dongao Tunnel.

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Figure 2. Regional geology near Dongao Tunnel.

The Xiaomaoshan Fault and the Houishan Fault are respectively the boundaries of the Suao
Formation and Nansuao Formation, and the Nansuao Formation and Dongao Schist. The Xia-
omaoshan Fault has a WNW strike and thrust to north. The fault zone, with a thickness of 30
m approximately, is mainly composed of fractured slate. Both the attitude and thickness of the
Houishan Fault are similar to that of the Xiaomaoshan Fault, however, fault gauge and breccia
composed of quartz and meta-chert are common seen in the Houishan Fault (Lin et al., 2017).

2.2 Tunneling experience nearby Dongao Tunnel

There are two tunnels, the Yungchuen Tunnel and New Yungchuen Tunnel close to the
Dongao Tunnel with distance less than 1 km. These tunnels were both single track railway
tunnels and built in late 1970s and late 1990s, respectively. The mechanical excavator (known
colloquially as Big John) used for the construction of Yungchuen Tunnel was abandoned
after 656 m excavation due to its poor advance rate and several collapses (NLREB, 1980).
The drilling and blasting method was used for the subsequent excavation. However, a number
of construction problems were still encountered. In the northern part of tunnels, tunneling suf-
fered from huge deformation (> 200 mm) caused by squeezing ground. And catastrophic
groundwater inflows jeopardized construction of these two tunnels (Wang et al., 2011).
The experience learned from the Yungchuen Tunnels provides valuable information for the
design and construction of the Dongao Tunnel. A three dimensional geological map was pro-
posed in detailed design stage, based on the geological information revealed from the Yungchuen
Tunnels and results of supplement geological investigation (Fig. 3). To avoid the catastrophic
groundwater inflow, the route of the Dongao Tunnel is shifted 63 m to the east of the Yung-
chuen Tunnel, with a raise of tunnel elevation about 20–35 m above the Yungchuen Tunnels.

2.3 Tunneling design

The complicated geological conditions of the Dongao Tunnel and associated possible influ-
ence on tunnel construction were realized during planning and design stages. The New

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Figure 3. 3D geological model of Dongao Tunnel.

Austrian Tunneling Method (NATM) was adopted for the design and construction of the
tunnel, associated with the use of the rock mass rating (RMR). The top heading and bench
excavation using the drilling and blasting method was designed, and could be separated into
three to five steps to mitigate the disturbance to the surrounding ground. Steel fiber shotcrete,
rock bolt, sectional steel and lattice girder were major support elements.
A series of auxiliary methods were also prepared for the mitigation of possible hazards
caused by unfavorable geological situation. First, geological investigation during tunnel con-
struction to grasp and confirm the geological information from Fig. 3, including the use of
Resistivity Image Profiling (RIP) technique on surface above the tunnel, the Tunnel Seismic
Prospecting (TSP) in the working area inside the tunnel, and advancing drilling with and with-
out core recovery. Second, forepoling using spiles and the roof pipe method. Third, consolida-
tion grouting in weak zone using cement or chemical materials. Finally, surrounding rock
deformation and variation of groundwater level are close monitored to grasp the influence of
groundwater inflow in hydrogeologically sensitive sections (Shau et al., 2018).

3 RESPONSE OF SURROUNDING ROCK AFTER EXCAVATION

The construction of the Dongao Tunnel was excavated from the southern and northern
portals of both lines with four working areas totally. The response of surrounding rock after
tunnel excavation exhibited huge differences at different rock types and relative distances to
the Xiaomaoshan Fault and the Houishan Fault.

3.1 Stability of excavated face in various lithology

The overburden of the tunnel north of the Xiaomaoshan Fault ranges 30–50 m. Lithology
mainly consist of slate, phyllitic slate, phyllite, and meta-sandstone. Foliation is well developed
except for meta-sandstone. The excavated face exhibited displaced rock masses with wet
groundwater condition. After tunnel excavation, the excavated faces were typically stable,
except that minor cave-ins occasionally occurred in the phyllitic slate and slate sections (Lin
et al., 2017).

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 The section between the Xiaomaoshan Fault and the Houishan Fault, with an overburden
of 50–140 m, was the most difficult section during the construction of the Dongao Tunnel.
The forepoling using spiles and pipe roof method associated with grouting for the improve-
ment of surrounding rocks, and ring excavation with reserved core part and heavily support
was commonly adopted to protect the working area. The stability of excavated faces can be
further classified into three subsections, i.e., the northern Xiaomaoshan Fault, the southern
Houishan Fault, and the disturbed transition zone between these two faults. In the Xiao-
maoshan Fault zone, the maximum discharge during tunnel excavation was 1,140 l/min. Rock
blocks and debris commonly fell from face and tunnel wall after excavation, with limited influ-
ence on the adjacent support elements that have been completed. In the disturbed transition
zone between the two faults, the ground water might flow or gush out with various discharges.
Fractured rock blocks fall down from the gap between the spiles and roof pipes, broadened
the cave-in zone and damaged the supported section. The thickness of sheared mud and pul-
verized rock in the Houishan Fault is much greater than that in the Xiaomaoshan Fault and
in the transition zone, with the maximum thickness exceeding 5 m. The groundwater consist-
ently flowed or even gushed out from excavated face and tunnel wall, with the maximum dis-
charge of 3,600 l/min. Although the auxiliary methods mentioned above were used to enhance
the stability of excavated face, several collapses and cave-ins successively jeopardized tunnel
construction.
The overburden of the Dongao Tunnel south of the Houishan Fault reaches 515 m. The
rock mass mainly consists of schist, marble and amphibolite. The engineering characteristics
of rock masses in the southern part of the tunnel are better than that in the northern part.
Groundwater also impacted tunnel construction, the excavated face during tunneling were
generally stable, with minor cave-ins caused by falling rock wedge and collapses occurred in
local sheared zones.

3.2 Tunnel deformation in heavy deformed ground

Due to the global tectonic collision of Eurasia Plate and Philippine Sea Plate, the meta-
morphic rock formation in Taiwan are typically folded with various wavelengths and devel-
oped foliation. Faults and shear zones can be found everywhere. The Ryukyu Trench causes
another regionally tectonic activity, resulting that the rock mass in northeastern Taiwan
exhibits tensile trend. The strike of Central Ridge Mountains shifts from the northeast-south-
west direction to the east-west, or even southeast east direction near Dongao. Rock masses in
this area have anisotropic engineering characteristics because of inherent foliation and second-
ary discontinuities such as joint sets and fractures. Gravitation-induced deep-seated deform-
ations with various depths are also common near slopes, leading to the break of rock
formations and open fractures. During tunneling the surrounding rocks exhibited diverse
responses in DSGS deformed zones, faults and sheared zones.
Figure 4 shows the images taken in the location north of Xiaomaoshan Fault after tunnel
excavation. The foliation in slate (cleavage) is clearly observed and dip to right hand side
steeply in the image. Sheared gouge fills in some fractures. The rock separated by an arc
(dotted curves in the Fig. 4) in the middle part of these images are obviously displaced with
open fractures, being in line with the representative appearances of DSGS formation. Along
with the tunnel excavated round by round, the variation of fracture opening and rock wedges
rotation can be observed. Tunneling in this section has limited groundwater discharge and
pressure, minor surrounding rock deformation. The excavated faces were typically stable with
occasionally local cave-ins and no support failure was reported.
Figure 5 shows the images taken in the Xiaomaoshan Fault after tunnel excavation. The
rock formation has been disturbed by the fault that is heavily fractured. Fractured rock block
and debris always fell out from excavated face. The groundwater flow might increase the
volume of fallen rock block and debris. The designed support sustained the tunnel well with
limited surrounding rock deformation, perhaps due to the limited overburden stress.

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Figure 4. Images taken in the location north of Xiaomaoshan Fault after tunnel excavation.

Figure 5. Images taken in Xiaomaoshan Fault after tunnel excavation.

Figure 6 illustrates the images taken in the disturbed transition zone between the Xia-
omaoshan Fault and the Houishan Fault. The rocks exposed in this section, including slate,
meta-sandstone, diabase, and phyllite are all disturbed by these two faults and disseminated
with dense folds and sheared zones. The groundwater discharge increases, and the excavated
faces are rarely self-standing. Collapses occurred when groundwater gushed out and damaged
the supports that have been completed.
Figure 7 illustrates the images taken in the Houishan Fault after tunnel excavation. The exca-
vated face lost self-standing time totally, pipe roof associated with grouting were necessary for

Figure 6. Images taken in the disturbed transition zone between Xiaomaoshan Fault and Houishan
Fault after tunnel excavation.

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Figure 7. Images taken in Houishan Fault after tunnel excavation.

the strengthening of surrounding rock before excavation. Ring cut with reserved core part of
excavated face are always needed to protect the working area. Rock masses in this section are
disturbed by the fault that is heavily fractured, mixed with sheared mud with various thickness.
Fractured rock block and sheared mud were squeezed out from the gap between roof pipes,
broadened the cave-in scope in the heading area behind excavated face and increased the stress
on the support. Deformation of the surrounding rock was huge and resulted in insufficient
clearance. Excavated faces became instability as soon as groundwater gushed out or gradually
deteriorated by the increases of groundwater discharge, resulting in severe collapses.
There were more than 200 cave-ins, or even collapses occurred during the construction of
the Dongao Tunnel, among which, more than 2/3 happened in the heavily deformed ground
that is studied in this manuscript. These cave-ins and collapse increase the volume of debris
with a magnitude exceeding 280,000 m3 and more than 24,000 m3 lining concrete. The chal-
lenges met in terms of contractual practice are under mediation. Obviously, conventional rock
mass rating method was not able to adequately distinguish the engineering characteristics of
ground with pre-existed deformations, therefore its benefit in the section of heavy deformed
ground of the Dongao Tunnel is limited.

4 PROJECT MANAGEMENT

Some innovative management approaches were applied to smooth tunnel construction

(Wang et al., 2018).

4.1 Entity’s different quality procurement with lowest tender

After completing the design of the Dongao Tunnel project, the conventional design and build
(DB) contract was suggested for the contractor selection of the tunnel, and the procurement
considers both qualities of the candidates and the tender amount. A special proposal and spe-
cification review stage is added between the stages for qualification examination of contractor
and the award of bid by minimum total prize. The review contents include the composition of
construction teams and subcontracting proportion, experience and credibility of the bidders,
other engineering quantities and execution statue at the time of bidding, and the understand-
ing regarding the engineering geology of tunnel and related construction plan and process
arrangements, etc.
The bidding policy aims to guide the potential contractor to understand the engineering
characteristics and tunneling risks in the bidding stage, enhance the construction concept and
organize construction team and required machinery and materials. In addition, the client
benefits from the review process by understanding different views of bidders on special and
difficult construction topics in advance, facilitating the whole construction team later to over-
come foreseen tunneling difficulty in unfavorable geological conditions.

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4.2 Integrated prediction of geological characteristics at different scales obtained
in multiple periods
The Suhua highway improvement project has extensively collected geotechnical and geological
data near the route of the project, including the early geological investigation reports and the
construction record of the North-link railway in 1970’s and their improvement projects in
1990’s, and the previous investigation results of the suspended Suhua expressway project in
2000’s. Descriptive model for engineering geology along the alignment of the Suhua highway
was proposed based on integrated interpretation on these data. A geological model was then
confirmed by further detailed investigation that was implemented in detail design stage.
Accordingly, a large-scale geological profile, the geological map and the distribution of rock
masses rating results along the route of Dongao Tunnel were prepared for tunnel excavation
and support design, so as the reference for construction. To mitigate possible tunneling diffi-
culty caused by the variation of geological conditions, a considerable number of geological
investigations were mandatory preformed in construction stage, such as the RIP in the surface
above the tunnel, TSP inside the tunnel, drilling investigation with and without core recovery
at the face, etc. Monitoring boreholes were also installed in some hydrogeological sensitive
areas for the observation of variations of groundwater level while the excavating face was
close to and far away these areas, providing reference for the mitigation on catastrophic
groundwater inflow.

4.3 Risk management

To avoid or mitigate construction accidents caused by the predicted unfavorable geological
conditions and potential uncertain factors, the administration of the Dongao Tunnel – the
Suhua Improvement Engineering Office, Directorate General of Highway, MOTC, Taiwan
(SIEO), carried out risk management for some working items that might jeopardize tunnel
construction, the high risk working items. High risk working items were identified in detailed
design stage first, and then reviewed in the preparation stage of supervision plan and construc-
tion plan. Risk management strategies associated with prevention and/or mitigation counter-
measures were formulated with these items for the establishment of operation plan and
detailed procedure. The work section of the SIEO supervised the operation of risk manage-
ment before, during and after the construction of high risk working items. Some intense coun-
termeasures could be applied in case of the occurrence of critical response and a signal of
accident event. The supervision unit identified the high risk working items and possible
hazard factors during construction, developed the hazard prevention measures and scheduled
control period, and implemented the control procedure of high risk management plan. The
construction unit established a standard flow chart of control operation to each high risk
working item, including the emergency notification and processing mechanism, and imple-
mented situational simulation to familiarize the relevant personnel with the operation process.
Figure 8 shows the operational procedure of risk management to high risk working item.

4.4 Timely notification

Another innovation of the Suhua Highway Improvement Project is the use of instant notifica-
tion systems. Traditional construction notifications need to be reported on a layer-by-layer
basis, sometimes missing opportunities for timely processing or emergency response. Benefit-
ing from the rapid advancement of wireless networks and communication software, hand-held
mobile de-vices such as smart phones and tablet computers can easily transfer files and
images. The SIEO makes good use of these technologies, organizes various timely notification
groups according to the engineering characteristics and the responsibility of personnel in the
construction team. Such a timely notification system contributes the construction of the
Dongao Tunnel significantly since the construction team, the site supervisor, the engineers of
the work section of SIEO and even its director received construction information in close
time. The combination of timely no-tification system, integrated prediction of geological

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Figure 8. Operating procedure of high risk management

characteristics at different scales obtained in multiple periods and risk management operation
delivery tunneling information directly, after quick discussion the decision-making can be
more rapid and accurate, and the effect of applied countermeasures can be examined in short
time. In addition, team members can visualize the changes of site condition, learn and accu-
mulate experience together. In a word, these innovative management approaches play a huge
role in the success of the construction of Dongao Tunnel.

5 CONTRAUCTUAL PRACTICE CHALLENGES

The contractor, being at the front line, has the most immediate feedback from the ground con-
ditions and excavated faces. With years of experiences, the contractor is in the best position to
suggest modifications to designed tunneling techniques to improve safety as well as efficiency;
this is also the spirit of NATM tunneling method. On the other hand, the client and/or con-
sult-ants often see project completion dates and budget control as priorities; if project sched-
ule is compressed without proper support in funding, flexibilities in construction methods,
and communication channels for all levels of personnel, risk of delaying or worst case collaps-
ing of project grounding, both figuratively and physically speaking, increases drastically.
For contractual practices of this scale, it is important to realize two factors are in play: 1.
de-signs can NOT be perfect, even with unlimited budget; and 2. contracts can NOT be perfect
(Hart, 1995). Disagreements on how the project should be executed therefore should not be a
surprise given the high variability nature of the work, and all parties involved should take the
responsibility of resolving the differences positively, proactively, and responsively. Finding
suitable mechanisms that can encourage collaboration between parties and increase transpar-
ency of projects such as this should be of high importance and based on experience and data,
so the potential of public resources can be maximized.

6 CONCLUSION

Dongao Tunnel underwent the rock formations deformed by the global and regional tectonic
activities and local DSGS deformation, resulting in diverse deformed ground characteristics
and tunneling features. The ground deformed by DSGS exhibits open fractures between rock
blocks, with gouge fills in some fractures. During initial excavation stage rock wedge was dis-
placed with various magnitudes around tunnel perimeter. Although cave-in due to falling

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wedge was considered a possibility, but the working face was generally stable. Perhaps the
interlocking of rock wedge contributes to tunnel stability. The tectonically squeezed ground
commonly involves highly sheared rocks and heavily fractures, with faulty gouges filled in-
betweens. Tunnel construction suffered from multiple severe face instabilities and squeezing
problems, even with forepoling and ring excavation together with pre-grouting and reinforced
shotcrete in excavated face.
The construction of the Dongao Tunnel adopted the NATM and some innovative manage-
ment approaches. First, both the most advantage tender and the entity’s different quality pro-
curement with lowest tender have been applied to select excellent consultant and construction
teams. Multi-temporal geological data and tunneling records which obtained in previous
stages with various precisions have been integrated to predict geotechnical characteristics and
tunnel behavior in advance, associated with preparing necessary construction resources for
risk management. Modern communicative software is adopted for timely notification to
related personnel, and engineering information is disclosed typically; not only does it benefits
timely decision-making, but also make the team members keep abreast of changes in construc-
tion information. Thus, participants in a project can learn and accumulate experience
together. These innovative management approaches play a huge role in the success of the con-
struction of Dongao Tunnel, especially in the sections of heavy deformed ground, making the
tunnel was opened to traffic in early 2018 in the light of its project plan.

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