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Tunnelling in the Himalayan Region: geological problems and solutions

Article  in  International Water Power and Dam Construction · September 2012

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 Construction
Tunnelling in the
Himalayan Region:
geological problems
and solutions
Tunnels are an essential and important component of run-of-river hydroelectric schemes and
constitute a substantial percentage of the overall cost of the project. Geological problems
encountered in tunneling projects in the Himalayan Region are presented by Dr. H. R. Sharma and
Dr. A. N. Tiwari.
I
n a run-of-river hydroelectric scheme most
of the project components are underground,
be it the diversion tunnel, desilting
chambers, silt flushing tunnel, headrace tunnel,
powerhouse cavern, surge tank, pressure shafts,
tailrace tunnel, various access tunnels etc. The
construction of these underground structures can
be a challenge for engineers, especially when the
locations of these structures encounter weak,
fragile and sheared rocks. Particularly in the case
of tunnels, if the alignment passes through such a
terrain of active tectonic zone with mixed
lithology and trapped water, the tunnelling
becomes hazardous and very costly due to
problems of running/flowing ground, squeezing,
swelling, sudden ingress of water, hot
temperature condition and gases in rocks. In
tectonically active young mountains like the
Himalayas, the rocks found during tunnelling are
relatively incompetent and affected by a number
of folds, faults and thrusts of various magnitudes
14 INTERNATIONAL WATER POWER & DAM CONSTRUCTION
and at many places are heavily charged with
underground water.
The most commonly encountered geological
problems during tunnelling for hydroelectric
projects in the Himalayan Region are
Fault/Thrust/Shear zones, running ground
conditions, squeezing, heaving and swelling, rock
bursting, ground water inflow, wedge/block
failures, hot temperature conditions, and gases in
rock etc. The major geological problems
experienced and their possible remedial
measures are discussed in the following sections.
Fault/thrust/shear zones
The majority of the hydroelectric projects are
located in deep dissected valleys favourable for
large storage and relatively high water heads for
power generation. The bulk of hydropower
potential in India (about 75%) is located in the
Himalayan hill states of Himachal Pradesh,
Uttarakhand, Jammu & Kashmir and the North-
Raveling of
small wedges in
closely jointed
rock mass.
Eastern states, particularly in Arunachal Pradesh,
Meghalaya and Sikkim. From a geological
perspective the Himalayan region is a tectonically
active zone created by the collision of Indian and
Sino-Tibetan plates during Eocene-Oligocene
period. During the collision the convergence of
Indian and Sino-Tibetan plates resulted in the
crustal shortening that was largely
accommodated by south directed deformation
resulting in tectonic transport and thrusting all
along the arcuate length of the Himalayan range
(DeCelles et al, 2001; Joshi & Tiwari, 2009).
There is hardly any tunnel in the Himalayan
region where shear zones of varying thickness
have not been encountered. A shear zone is a
zone with sub-parallel walls in which high
deformations are localized as a result of folding,
faulting and thrusting. The severity of problems in
tunnelling, due to encountering shear, depends on
the thickness, extent, nature and orientation of
shear in relation to tunnel alignment. The
September 2012

Figure 1 (a&b): Muck flow from shear zones
encountered during tunnelling in Dul-Hasti
hydroelectric project.
occurrence of shear zone results into rock fall,
muck flow and formation of cavities. This affects
the progress of tunnelling very adversely. The
shear zones if combined with water ingress,
which is mostly the case, hampers the progress of
tunnelling considerably and in some cases
applies a complete break. Figure 1 shows the
flowing matrix conditions encountered at Dul-
Hasti hydroelectric project after puncture of the
shear zone rendering the tunnelling extremely
difficult. The encountered shear zones were
steeply dipping, striking oblique to the tunnel axis
at 300 to 400 and covering a length of 15 to 20m
along the tunnel alignment. At most of the places
shear zones were associated with confined
aquifers under high hydrostatic head.
The adverse effects of shear zone in tunnelling
can be minimized if orientation of the strike of the
shear zone runs across the tunnel alignment. The
shear zones along the tunnel are generally
projected from surface geological mapping as
drilling up to the tunnel grade is difficult, costly
and time consuming because of high cover. If the
rock, particularly in metamorphic terrain, is
severely folded and faulted by tectonic events the
geology can significantly differ from that
interpreted from surface geological mapping. In
such terrain, advance probe hole technique during
tunnelling has proved very successful to ascertain
the nature of expected geological conditions. At
Dul-Hasti, the advance probe holes of about 45m
length were found to be very effective during
tunnelling in a shear zone associated with
confined aquifers. In the tunnel of Maneri
hydroelectric project stage-II, the roof and face
collapses were associated with water-inrush when
a fractured and jointed rock mass in contact with
an impervious rock mass was encountered. Probe
September 2012
holes of 75-100mm diameter with perforated pipes
at crown level ahead of a tunnel face were used to
ascertain the presence of groundwater.
In the Himalayan region a number of
hydroelectric projects have been delayed due to
encountering thrust/shear zone during
underground excavations. At Tapovan-Vishnugad
hydropower project the work was delayed for
about 17 months due to engineers encountering a
thrust/shear zone which resulted into the
formation of a cavity at the crown during
tunnelling. The critical situation was tackled by
adopting the following treatments:
■ Advance cement grouting for face and crown
stabilization.
■ Umbrella pipe roofing with perforated seamless
pipes of 114mm ϕ, 15m long @ 0.3m spacing
from SPL to SPL to ensure the crown stability.
■ Installations of drainage holes of 76mm ϕ, 5.0m
long at appropriate locations for ground water
seepage control.
■ Excavation by Multiple Drifting Method
■ Pull length restricted to 1.00m
■ Provision of steel ribs (ISMB 250) at 0.6m
spacing
Figure 2: Installation of Umbrella Forepoling.
In another example, the 5.6km long and 7m
diameter Khodri headrace tunnel of Chibro-Khodri
hydroelectric system passes through sedimentary
rocks of Nahan, Subathu and Mandhali formations
separated by Nahan and Krol Thrusts. The tunnel
was to pass through the bands of sandstone and
siltstone on the downstream side and quartzite and
slate on the upstream side. In between these two
formations, an intra thrust zone of about 1000m
width bounded by Krol and Nahan thrusts,
comprising shear red shale “Sabathu” clays was
met along the tunnel alignment. During actual
excavation of the tunnel the red shales were
encountered again and again in the intra thrust
zone, causing problems in excavation of the tunnel
due to rock mass failure. This delayed the
completion of the tunnel nearly six years.
Ultimately it was decided to triplicate the 7m
diameter tunnel into three tunnels of small
diameter (~5m) in the intra thrust zone (Goel, 2000).
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Construction
To tackle the geological problems as
encountered in the form of shear zone the
following remedial measures are suggested.
■ Advance Probe hole(s).
■ Core drilling at face, if necessary, to ascertain
precise location of shear zone.
■ Drainage holes around tunnel periphery.
■ Umbrella Forepoling (Figure 2).
■ Pre-Grouting/Grouting.
■ Reduction in pull length.
■ Reduction in tunnel span by Multiple Drifting
method (Figure 3).
■ Face advancement with concurrent rib support
and backfill concrete as required.
Running ground conditions
The running ground condition can be defined as
water soaked fragmented rocks often containing
larger rock fragments embedded in a matrix of
finer grained material that has almost no strength
and flows into tunnel as slurry (Figure 1). In the
past such ground was described as “swimming”
which aptly describes the importance of the
water and the strength deficiency of the material.
The initial pressures generated by running
ground may be high to cause failure of even very
heavy supports. The running ground is quite a
common feature associated with faults, thick
shear zone, thrusts and buried fossil valleys in the
Himalayan region as encountered in several
projects e.g. Dul-Hasti hydroelectric project,
Nathpa-Jhakri hydroelectric project and Tapovan-
Vishnugad hydroelectric project.
To overcome the running ground condition
under water pressure the ground is required to be
drained and strengthened ahead of the working
face. In Nathpa-Jhakri running ground conditions
were encountered with heavy ground water flow
Figure 3: Excavation by Multi Drift Method.
associated with about 40m thick very soft and
sheared rock zone. In another example a major
portion of the 6.8m diameter headrace tunnel of
Tala hydroelectric project, Bhutan flowing
condition was encountered causing considerable
delay in tunnelling. In running ground condition
the DRESS (Drainage, Reinforcement, Excavation
and Support Solution) technique has been widely
used and has now become a very successful
15
 Construction
Figure 4: Rock reinforcement with
grouted pipe.
method. The process involves:
■ Drainage of rock mass in advance ahead
of the face.
■ Rock mass reinforcement with grouted
perforated pipe forepoles (Figure 5) and face
shotcreting.
■ Excavation of rock mass in parts
(By Multi Drift Method).
■ Support installation (mainly steel ribs).
This method has been successfully employed
in Nathpa-Jhakri and Tala hydroelectric projects.
During the excavation of the 4.0m diameter
headrace tunnel of Allain Duhangan, severe
geological problems were encountered in the
form of flowing ground conditions due to sheared
rock mass occurring almost parallel to the long
stretch of the tunnel and heavy ingress of water
up to 200lps to 300lps from the face (Madan,
2011). The following measures were adopted for
stabilizing the flowing ground condition:
■ Pressure relief hole/Drainage holes of 89mm ϕ
of 15m length installed in crown periphery.
■ The face was plugged with sand bags covered
with thick layer of dry shotcrete.
■ Pipe roofing was carried out using 89mm ϕ
seamless perforated pipes of 10 - 12 m length
by creating an umbrella of pipes.
■ Probe hole investigation before next excavation.
■ Pre-grouting with long holes with packer
assembly was carried out through the same
probe holes.
■ Excavation was carried out by multi drift method.
■ Ribs were provided with vertical support at a
spacing of 0.5m to zero spacing.
Squeezing, heaving and swelling
The state of stress within the rock mass at depth is
disturbed on driving the tunnel. The stresses are re-
distributed with time to a new state of equilibrium.
As long as the stresses are low and are well within
the in - situ strength of the rock mass there are no
tunnel stability problems. However, the stresses
exceeding the in-situ strength of the rock mass
initiate the process of progressive failure around
the periphery of the tunnel opening. The failure of a
rock mass is associated with volumetric expansion.
16 INTERNATIONAL WATER POWER & DAM CONSTRUCTION
The failure of rock mass due to over stressing and
movement of the failed rock mass into tunnel
opening is called squeezing. The squeezing
behaviour is associated with poor rock mass
deformability and strength properties.
A high order of closures and support pressures is
observed in squeezing ground often resulting in
buckling of the steel rib supports as shown in
Figure 5. In a number of cases the tunnel sections
had to be re-excavated to get the required opening.
Swelling pressure on tunnel support is also
mobilised due to volumetric expansion of the rock
mass around the tunnel opening. The volumetric
expansion is caused due to an increase of volume
by absorption and adsorption of water.
The degree of squeezing can be represented
by tunnel convergence as follows (Singh and
Goel, 1999; Barla, 2001):
■ Mild squeezing – convergence 1-3% tunnel
diameter
■ Moderate squeezing – convergence 3-5%
tunnel diameter
■ High squeezing – convergence >5% tunnel
diameter
Figure 5: Severe squeezing in tunnel.
Squeezing in as high as 17% of the Tunnel
section was reported in Chibro-Khodri, Maneri-
Bhali, Uri-I and Nathpa Jhakri Projects.
As discussed earlier, the 5.6km long Chibro-
Khodri Tunnel of Yamuna Stage-II faced severe
problems in excavation and tunnel support due to
squeezing. In the end the 7m-diameter tunnel
was divided into three 5m-diameter tunnels.
The Maneri Bhali Stage-II project has
experienced squeezing problem within a 40m
reach of 6m diameter tunnel. The highly crushed,
pulverised and thick contact of metabasics and
quartzite was encountered at this span. This zone
acting as a water reservoir created high hydrostatic
pressure. The metabasics were highly strained due
to accumulated tectonic forces. To overcome the
problem, the cross section was changed from
horseshoe to circular shape. Instruments have been
installed in the troubled zone by Central Mining
Research Station (CMRS) to monitor the squeezing
rock condition (Saini et al. 1989).
In the headrace tunnel of Nathpa-Jhakri, highly
converging ground conditions were observed due
to high ground stresses where quartz mica schist
striking sub parallel to tunnel were encountered
which were reflected in the form of cracks in
shotcrete, bending and buckling of ribs and
reduction of tunnel section, tunnel closures being
of the order of 300mm to 500mm. This problem
was tackled by over excavating the tunnel and
supporting it with steel ribs of appropriate size.
To tackle the problem of squeezing rock mass in
tunnelling through high stress zones the following
measures have being successfully adopted:
■ Yielding Supports: One of the solutions to the
problem of squeezing rock mass is to adopt
yielding supports. The number of yielding joints
can be modified to suit the site conditions. It
has been found essential to shotcrete the gaps
once the closure nears the limit allowed without
the steel sections actually butting together. In
the case of swelling rock containing clay and/or
anhydrite the problem stems from the capacity
of these rock types to increase their volume by
absorbing water and thus leading to heaving of
the base of the tunnel. The solution to the
problem is provided by designing a lining
system that allows a given amount of base
heave without violating operational
requirements. Inserting highly compressible
materials of a specified high resistance between
rock and invert provides a satisfactory solution.
The steel support is provided with sliding joints
and yielding beam elements are inserted in the
shotcrete lining as shown in Figure 6 (Kovári,
2009). In this way the lining is capable of
providing considerable rock support (so called
lining resistance) and at the same time also
permitting convergence leading to a reduction
of rock pressure for the final lining.
Figure 6: Steel cylinders inserted into slots
of the Shotcrete lining.
■ Pressure Relief Holes: The pore pressure
distribution and the piezometric head
influence the rock mass stress-strain
behaviour. Drainage measures causing a
reduction in piezometric head help inhibiting
development of ground deformations.
For successful tunnelling in squeezing ground
it is desirable to develop reliable, easy-to-use
September 2012
 Construction
approaches for predicting ground conditions and
identify the need for flexible support systems. An
empirical approach can be used for predicting
ground conditions (Goel et al., 1995b). This
approach suggests that squeezing ground will be
encountered when
H.a 0.1 > 260 N0.33 (1)
Where H = tunnel depth (Rock cover) in
metres, a = tunnel radius in metres, N = rock
mass number i.e., Q (Barton et al 1974), Q =
Tunnelling Quality Index =
(RQD/Jn)(Jr/Ja)Jw/SRF, RQD = rock quality
designation, Jn = joint set number, Jr = joint
roughness number, Ja = joint alteration number,
Jw = joint water reduction factor, SRF = stress
reduction factor (assumed 1)
It is also necessary to ascertain the expected
support pressure and the tunnel closure for
effective handling of squeezing ground. Grimstad
and Barton (1993) suggest that the relationship
between the value of Q and the permanent roof
support pressure Proof is estimated from:
Proof = 2√Jn Q1/3/3Jr
where, Proof = Roof Support Pressure,
Q = Tunnelling Quality Index, Jn = joint set number,
Jr = joint roughness number.
Once the optimum desirable closure is known,
flexible supports can be designed to absorb it and
the excavation size can be increased accordingly
so that re-excavation is not required to
accommodate the closure.
Rock bursting, spalling and slabbing
Failures known as spalling, popping or rock bursts
are caused by overstressing of brittle, massive
rocks often at depths in excess of 1000m below
surface. These failures can also be induced at
shallower depth where high horizontal stresses or
strongly anisotropic stresses are acting.
Rock bursting/spalling (Figure 7) cases were
reported in Kadamparai and Parbati-II projects
(Infraline Energy Business Report Series, 2009)
and in some tunnel portions of Nathpa Jhakri.
The headrace tunnel of Parbati-II passes
through the lithological sequences of biotite
schist, carbonaceous phyllite, Manikaran
quartzite and schistose granite gneiss. Manikaran
quartzite is brittle and massive in character and
in this stretch severe rock bursts occurred
continuously during tunnelling after almost every
alternate blasting round.
Rock bursts may be prevented, limited or
controlled by De-stress Blasting (Sedlák, 1997). The
application of Thin Spray-on Lining (TSL’s)
materials onto rock, in standalone fashion or in
combination with conventional area support media,
has been found to significantly reduce apparent
surface damage effects caused by rock burst
relative to cases where the rock is left unsupported.
18 INTERNATIONAL WATER POWER & DAM CONSTRUCTION
Structurally controlled instabilities:
wedge/block failures
In tunnels excavated in jointed rock masses at
relatively shallow depth, the most common types
of failure are those involving wedges falling from
the roof or sliding out of the sidewalls of the
openings as shown in Figure 8 and on p14. These
wedges are formed by intersecting structural
features, such as bedding planes and joints,
which separate the rock mass into discrete but
interlocked pieces. One or more of these wedges
can fall or slide from the surface if the bounding
planes are continuous or rock bridges along the
discontinuities are broken.
A characteristic feature of wedge failures in
blocky rock is that a very little movement occurs
in the rock mass before failure of the wedge. This
dictates that movement along the surfaces must
be minimized. Consequently, the support system
has to provide a ‘stiff’ response to movement.
This means that mechanically anchored rock
bolts need to be tensioned while fully grouted
rock bolts or other continuously coupled devices
can be left untensioned provided that they are
Figure 7: Rock burst on tunnel wall
formed cavity.
installed before any movement has taken place
i.e. before the wedge perimeter has been fully
exposed. Mechanically anchored bolts with face
plates or fully grouted bolts or cables can be
selected to provide support. In addition, a layer of
shotcrete can be applied to the excavation
surface that plays a vital role in supporting the
wedges.
Shotcrete can be used for additional support of
wedges in blocky ground, and can be very
Figure 8: Wedge formed in the Roof and Sidewall of tunnel in a jointed rock mass.
effective if applied properly. This is because the
base of a typical wedge has a large perimeter and
hence, even for a relatively thin layer of shotcrete,
a significant cross sectional area of the material
has to be punched through before the wedge can
fail. For example, the application of a 10cm thick
shotcrete with shear strength of 200t/m2 to the
roof of the tunnel will increase the factor of safety
from 1.40 (for the rock bolted case) to 8.5.
Ground water inflow
Ground water inflow has been a major cause of
concern in tunnelling. Sudden ingress of trapped
ground water may cause a collapse in the tunnel
resulting in a drastic reduction of the tunnelling
progress or even stopping it completely. Roof or
face collapses are associated with water ingress
when a fractured and jointed rock mass is in
contact with an impervious rock mass.
The best method to discover the presence of
ground water is advance probe drilling in the
suspected ground water zone. Sometimes it
becomes essential to carry out grouting before
further advancement. Advance probing is the
best way to be prepared for ground water inflow
condition. About 50m deep advance probe holes
of about 75mm diameter could provide valuable
advance information on the nature of the
expected problem. Probing ahead of the tunnel
face using geophysical means like tomographic
analysis and radar is becoming popular but is
comparatively expensive (Goel et al., 1995a).
Sometimes pressure grouting and chemical
grouting methods are adopted to control ground
water seepage.
In the headrace tunnel of Allain Duhangan
heavy water ingress to the extent of 6000 liter per
minute has been encountered during excavation
between weak rock strata/shear zone.fluvioglacial
deposits and old glacial deposits. The ground
water flow was tackled by following treatment:
■ Heading was packed with sand bags and
shotcrete was sprayed to prevent leakage of
grout from the face and to facilitate
channelizing of water.
■ Pressure relief holes/drainage holes of 89mm
dia and 15m long were provided for
channelising water flow.
September 2012
 Construction

■ Grouting with long holes with packer assembly
was carried out with OPC and then with Micro
fine cement/Ultra fine cement/colloidal silica
and adding silica fumes and other chemicals.
■ At some locations where heading is covered
with clayey mass and cement grout was not
successful, chemical grouting was done by
using Polyurethane to consolidate the tunnel
heading.
Hot temperature conditions
A very serious problem of excessive temperature
(390 - 400C) was reported in the power tunnel of
3.2m excavated diameter at Bhabha hydroelectric
project, Central Himalaya. The project lies within
the zone of Lesser and Greater Himalaya. Most of
Figure 9: Ingress of hot water in HRT of
Nathpa - Jhakri hydroelectric project.
region. Methane gas was encountered during the
excavation of the tailrace tunnel of Uri-I
hydroelectric project as well but at a level much
lower than the hazard limit.
Conclusions
Geological problems during tunnelling in
tectonically active terrain of the Himalayan region
characterized by widely varying geology with
folds, faults, thrusts and shear zones etc. cannot be
ruled out. The problems can however be
minimized and mitigated by proper geological
investigations and adopting certain advance
measures during excavation, such as probe holes,
forepoling, pre-grouting, drainage hole installations
and multidrift methods of excavation etc.
■ In the case of shear zone and running ground
conditions additional remedial measures such
as core drilling at face to ascertain precise
location of shear zone; reduction in pull length;
face advancement with concurrent rib support
with backfill concrete, and installation of
grouted Self Drilling Anchors have proved very
successful.
■ Squeezing problems can be successfully
tackled by adopting yielding supports, pressure
relief holes and installation of instruments to
monitor the squeezing rock conditions.
■ The rock bursts in overstressed, brittle and
massive rocks may be prevented/ limited or
controlled by De-stress Blasting.
■ The wedge failure can be prevented/
minimized by means of rock bolts as required.
For additional support in blocky ground the use
of shotcrete is very effective, if applied properly.
■ The ground water problems can be effectively
tackled by advance probe drilling in the
suspected ground water zone; controlling
ground water seepage by pressure grouting and
chemical grouting; installation of pressure relief
holes/drainage holes at appropriate locations
and providing proper drainage arrangement.
■ Excessive temperature and gas problems in
tunnelling can be best tackled by supplying
fresh air through efficient ventilation; reducing
the pull per blast, and introducing the rotation of
workmen in order to take care of exhaustion. ■
About the authors
Dr. H. R. Sharma, Chief Technical Principal
- Hydro, hari.sharma@gdfsuez.com and
Dr. A. N. Tiwari, Manager (Geology) –
Hydro, amarnath.tiwari@gdfsuez.com,
Tractebel Engineering pvt. ltd.,
10A Shivaji Marg, 110015 New Delhi, India.
www.tractebel-engineering-gdfsuez.com

the hot springs are also located along this zone.
Underground temperatures of water, rock and
humid tunnel atmosphere that exceed a320C
create very difficult working conditions. An
extensive system of refrigeration or rapid
circulation of air in the tunnel is required to work
in tunnels with temperatures beyond 320C.
The same kind of thermal problem was also
encountered in the tunnel of Nathpa Jhakri
project (Figure 9) in Central Himalaya where
ingress of hot water with temperature as high as
660C was encountered.
The problem was best tackled by supplying
fresh air through efficient ventilation, reducing
the pull per blast to 1-1.2m per day and by
introducing the alternative rotation of workmen
for short periods.
Gases in rock
A variety of natural gases, namely carbon dioxide,
methane, sulphur dioxide and hydrogen sulphide
etc. has been encountered in the tunnels. During
the excavation of Giri Bata tunnel, gas was
encountered and many workers had severe burn
injuries due to fire. Another example is the Loktak
project in the Manipur State of India in North-
Eastern region of Himalaya (Goel, 2000). Methane
(marsh gas) was encountered in abundance in
the tunnel located in the sedimentary rock
formations. Some 15 people were killed and many
had burn injuries of high degree due to explosion
and fire near the heading. A similar case was
experienced in the Ranganadi project in the same
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