buildings
Article
Investigation on Disaster Mechanism of Diversion Tunnel
Induced by Gripper TBM in Hydrokarst Erosion Stratum and
Engineering Measures
Tengtian Yang 1,2
Citation: Yang, T. Investigation on
Disaster Mechanism of Diversion
Tunnel Induced by Gripper TBM in
Hydrokarst Erosion Stratum and
Engineering Measures. Buildings 2024,
14, 625. https://doi.org/10.3390/
buildings14030625
Academic Editors: Eugeniusz Koda,
Hongming He and Yongjiao Wu
Received: 11 December 2023
Revised: 24 January 2024
Accepted: 21 February 2024
Published: 27 February 2024
Copyright: © 2024 by the author.
Licensee MDPI, Basel, Switzerland.
This article is an open access article
distributed under the terms and
conditions of the Creative Commons
Attribution (CC BY) license (https://
creativecommons.org/licenses/by/
4.0/).
Buildings 2024, 14, 625. https://doi.org/10.3390/buildings14030625
1 China Railway Construction Bridge Engineering Bureau Group Co., Ltd., Tianjin 300300, China;
15596883707@163.com
2 Shaanxi Key Laboratory of Geotechnical and Underground Space Engineering, Xi’an 710055, China
Abstract: In gripper tunnel boring machine (TBM) tunneling through complex geological formations,
the safe and efficient recovery from large-scale collapses remains a formidable challenge. In this study,
we investigate the causes of a 1246 m3 collapse that occurred during the gripper TBM tunneling
in the diversion tunnel in Xinjiang, China. Various techniques including TSP seismic waves, CFC
advanced water exploration, laboratory point load tests and packer permeability tests were employed
for thorough research. The examination discloses that the water softening in biotite-quartz schist in
fractured zones contributes significantly to the loosening and dislocation of rock layers along joints.
The gripper TBM’s cutterhead exacerbates this process through cutting action and vibrations, causing
large-scale instability and eventual rock mass collapse. To tackle this engineering problem, we propose
a three-step treatment scheme comprising “Reinforcement-Backfill-Re-excavation”. Furthermore,
we propose a technique to handle TBM collapses by creating a “protective shell” within the cavity.
The safety and feasibility of these proposed solutions were thoroughly validated through numerical
simulations. Also, we utilized the Hoek-Brown theory and Rostami prediction formula to establish
recommended values for the total thrust and total torque of the TBM during the collapsed section.
The proposed treatment scheme and estimated parameters were successfully applied, resulting in a
comprehensive solution from collapse handling to tunneling. This study offers valuable details on
effectively managing large-scale collapses in gripper TBM tunneling, which can be useful for similar
tunnel engineering and improve safety and efficiency.
Keywords: diversion tunnel; gripper TBM; unfavorable geology; collapse cavity; measures
1. Introduction
In recent years, the tunnel boring machine (TBM) has been widely used in tunnel con-
struction for its advantages of excavation speed, engineering quality, tunneling safety, low
carbon emission, and economic benefits, and has become the primary construction method
for long railway tunnels and water diversion tunnels [1–3]. However, in unfavorable geol-
ogy such as high ground stress, squeezing rocks, and fault-fracture zones, TBM encounters
significant challenges, making it easy for destructive accidents like water-gushing, mud
inflowing, collapses, and shield jamming [4–6]. These incidents not only lead to project
delays and economic losses but also jeopardize tunneling safety [7,8]. For instance, Iran’s
Zagros water conveyance tunnel experienced an 8-month shutdown due to incidents of
jamming and collapses caused by fault zones with water-bearing gouges and squeezing
formations [9]. China’s Qinling Diversion Tunnel encountered 159 instances of rock bursts
attributed to the high-stress surrounding rock [10]. Similarly, Turkey’s Water Diversion
Tunnel faced 18 occurrences of TBM jamming due to squeezing formations, which took
192 days to resolve [11]. Moreover, Japan’s S Diversion Tunnel encountered TBM jamming
in the presence of high ground stress, eventually leading to construction abandonment [12].
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Buildings 2024, 14, 625 2 of 18

encountered TBM jamming in the presence of high ground stress, eventually leading to
construction abandonment [12].
The majority of TBM tunnel accidents, such as collapses and jamming, occur near
The majority
fault-fractured of TBM
zones, tunnel accidents,
accounting for up to 54%suchofasincidents
collapses[13].
andThejamming,
rock massoccur in near
these
fault-fractured zones, accounting for up to 54% of incidents [13]. The rock
fault-fractured zones is relatively loose, and the disturbance generated during tunnel con- mass in these
fault-fractured
struction alters zones is relatively
the original stabilityloose,
of theand the disturbance
surrounding generated
rock, leading duringcollapses
to potential tunnel
construction alters the original stability of the surrounding rock, leading
in the tunnel roof and face [14]. Moreover, tunneling disturbances in water-rich fault zones to potential
collapses
may result in in
thecatastrophic
tunnel roofwaterand face [14].orMoreover,
inflows tunneling
mud inflows, causingdisturbances
TBM breakdown in water-and
rich fault zones may result in catastrophic water inflows or mud inflows,
support system failure [15]. Nowadays, when a tunnel collapses, the only way to remove causing TBM
breakdown and
the frictional support system
resistance caused failure
by the [15].
fallenNowadays,
rocks on thewhenTBM a tunnel
shield collapses,
is throughthe only
manual
way to remove the frictional resistance caused by the fallen rocks on
excavation to prevent the TBM jamming. Working in collapsed cavities can be extremely the TBM shield is
through manual excavation to prevent the TBM jamming. Working in collapsed cavities
dangerous, especially in unfavorable geology [16–18]. Therefore, it is essential to investi-
can be extremely dangerous, especially in unfavorable geology [16–18]. Therefore, it is
gate the reasons behind tunnel collapses completely. This helps pinpoint the instability
essential to investigate the reasons behind tunnel collapses completely. This helps pinpoint
mechanisms of the TBM tunnel and provides a basis for accurately repairing the collapsed
the instability mechanisms of the TBM tunnel and provides a basis for accurately repairing
cavity and planning re-excavation processes with science and accuracy.
the collapsed cavity and planning re-excavation processes with science and accuracy.
This paper presents a case study of a large-scale collapse in a diversion tunnel in the
This paper presents a case study of a large-scale collapse in a diversion tunnel in the
Xinjiang Uygur Autonomous Region, China. The investigation aims to pinpoint the causes
Xinjiang Uygur Autonomous Region, China. The investigation aims to pinpoint the causes
of substantial collapses during the gripper TBM’s traversal through unfavorable geology.
of substantial collapses during the gripper TBM’s traversal through unfavorable geology.
Diverse technical methods, such as TSP seismic wave detection, CFC advanced ground-
Diverse technical methods, such as TSP seismic wave detection, CFC advanced ground-
water exploration, laboratory load testing, and packer permeability tests, were utilized to
water exploration, laboratory load testing, and packer permeability tests, were utilized to
unveil the reasons behind the extensive collapses. Based on the investigation results, a
unveil the reasons behind the extensive collapses. Based on the investigation results, a
rapidand
rapid andflexible
flexibleTBMTBMcollapse
collapsemanagement
managementtechnique
techniquewaswasproposed,
proposed,and andthethefeasibility
feasibility
of the proposed scheme was verified by finite element analysis (FEA).
of the proposed scheme was verified by finite element analysis (FEA). The parameters for The parameters for
TBMre-excavation
TBM re-excavationare areestimated
estimated using
using thethe Hoek-Brown
Hoek-Brown theory
theory andandthe the Rostami
Rostami predic-
prediction
tion formula. Ultimately, the restoration scheme was successfully implemented
formula. Ultimately, the restoration scheme was successfully implemented for the collapsed for the
collapsed cavity of the diversion tunnel, yielding favorable results. The
cavity of the diversion tunnel, yielding favorable results. The proposed approach can offer proposed ap-
proach can offer valuable insights for tackling similar engineering
valuable insights for tackling similar engineering challenges in the future. challenges in the future.

2.2.Tunnel
TunnelGeological
GeologicalEnvironment
Environmentand andCollapse
CollapseSituation
Situation
2.1.
2.1.Overview
Overviewofofthe
theDiversion
DiversionTunnel
Tunnel
The
The diversion project isislocated
diversion tunnel project locatedininthethe Altay
Altay Prefecture
Prefecture of Xinjiang
of Xinjiang Uygur
Uygur Au-
Autonomous
tonomous Region Region ofofChina,
China,with
witha atotal
totallength
lengthof of 26.718
26.718 km
km and a starting
starting and
andending
ending
mileage
mileageof ofK2
K2++370
370m~K29
m~K29++ 187 187 m.
m. The
The satellite
satellite image
image ofof the
thediversion
diversiontunnel
tunnelproject
projectisis
shown
shown in Figure 1. The ground elevation is higher towards the east and north andlower
in Figure 1. The ground elevation is higher towards the east and north and lower
towards
towardsthe thewest
westandandsouth,
south,with
withaalongitudinal
longitudinaltunnel
tunnelslope
slopeatat1/3000.
1/3000. The
The area
areahas
haslow
low
mountains
mountainsand andhills
hillswith
withelevations
elevationsranging
rangingfromfrom730730to
to1400
1400m,m,resulting
resultingininaadifference
difference
of
of670
670mmininrelative
relativeheight.
height.The
Thediversion
diversiontunnel,
tunnel,linked
linkedto tothe
theBurqin
BurqinRiver
Riverthrough
throughan an
artificial channel, extends from northwest to southeast. It employs a gripper
artificial channel, extends from northwest to southeast. It employs a gripper tunnel boring tunnel boring
machine
machine(TBM),
(TBM),commonly
commonly called
calledananopen-type
open-type tunnel boring
tunnel machine
boring (TBM)
machine in China
(TBM) [19],
in China
as the primary excavation method.
[19], as the primary excavation method.

Figure1.1.Satellite
Figure Satelliteimage
imageof
ofdiversion
diversiontunnel
tunnelproject.
project.

The construction section is 23.737 km, with an excavation diameter of 7.80 m and a fin-
ished tunnel diameter of 7 m. It should be noted that the gripper TBM employs supporting
Buildings 2024, 14, x FOR PEER REVIEW 3 of 19

Buildings 2024, 14, 625 3 of 18

The construction section is 23.737 km, with an excavation diameter of 7.80 m and a
finished tunnel diameter of 7 m. It should be noted that the gripper TBM employs sup-
porting structures to stabilize the tunnel wall, withstanding the reaction forces and torque
structures to stabilize the tunnel wall, withstanding the reaction forces and torque during
during forward advancement. This type of TBM is well-suited for hard-rock tunnels pri-
forward advancement. This type of TBM is well-suited for hard-rock tunnels primarily
marily characterized by rock masses of class Ⅱ and Ⅲ [20]. It can also be used for soft rock
characterized by rock masses of class II and III [20]. It can also be used for soft rock tunnels
tunnels with effective support measures. The surrounding rock of the diversion tunnel
with effective support measures. The surrounding rock of the diversion tunnel displays
displays geological characteristics indicative of water-rock dissolution. Along the excava-
geological characteristics indicative of water-rock dissolution. Along the excavation route,
tion route, gullies are observed, with a maximum burial depth of 668 m, highlighting the
gullies are observed, with a maximum burial depth of 668 m, highlighting the significant in-
significant
fluence influence
of erosional of erosional
processes. processes.
To adapt to theTo adapt geological
complex to the complex geological
environment, theenviron-
gripper
ment,isthe
TBM gripper with
equipped TBMadvanced
is equipped with advanced
drilling drilling
and grouting and grouting
equipment, equipment,
steel arch steel
installation
arch installation devices, shotcrete equipment, and various
devices, shotcrete equipment, and various other auxiliary tools. other auxiliary tools.

2.2. Geotechnical
2.2. Geotechnical Conditions
Conditions of of the
the Study
Study Area
Area
Figure 22 illustrates
Figure illustrates the
the geological
geological profile
profile ofof the
the collapsed section in diversion tunnel.
Thebedrock
The bedrockthatthatthe
thediversion
diversiontunneltunneltraverses
traverses within
within thethe interval
interval from
from station
station K4 K4 + 740
+ 740 to
to K7 + 932 m is primarily composed of Ordovician biotite quartz
K7 + 932 m is primarily composed of Ordovician biotite quartz schist with varying degreesschist with varying de-
grees
of of weathering,
weathering, metamorphic
metamorphic granite,
granite, exhibiting
exhibiting lightand
light gray gray andgray
dark darkcolors.
gray colors.
The TBM-The
TBM-excavated
excavated sectionsection is characterized
is characterized by moderately
by moderately developed developed
faults andfaults and undulating
undulating fracture
fracture surfaces,
surfaces, with distinctwithoccurrences
distinct occurrences
of sericiteofalteration.
sericite alteration. Mineral composition
Mineral composition analysis
analysis indicates
indicates a quartzexceeding
a quartz content content exceeding
50% in the50% rock.inGeological
the rock. Geological
investigations investigations
reveal that
reveal
the weakthat the weaklayer
weathered weathered layer ofisthe
of the bedrock 8–12bedrock
m thick,iswhile
8–12 the
m thick,
stronglywhile the strongly
weathered layer
measures 3–5 m in thickness. The bedding orientation of the rock layers
weathered layer measures 3–5 m in thickness. The bedding orientation of the rock layers ranges from 295 to
300 degrees
ranges fromNE 295azimuth, dipping
to 300 degrees NEat azimuth,
an angle of 50 to 60
dipping atdegrees.
an angleThe of 50inclination angleThe
to 60 degrees. for
the tunnel axis
inclination angleranges from
for the 15 to axis
tunnel 20 degrees. The tunnel
ranges from 15 to 20is situated
degrees.atThedepths ranging
tunnel from
is situated
23
at to 668 m,
depths and along
ranging fromthe23tunnel
to 668 alignment,
m, and along there
theare 13 secondary
tunnel alignment, small-scale
there are faults. The
13 second-
width of the fault
ary small-scale crushed
faults. zones generally
The width of the faultranges
crushedfrom 0.50generally
zones to 2.50 m,ranges
with afrom
maximum
0.50 to
width
2.50 m,ofwith
8–10am. Within these
maximum width crushed
of 8–10zones, cataclastic
m. Within theseand fragmented
crushed rock materials
zones, cataclastic and
predominate. At a point where the TBM reached station K6
fragmented rock materials predominate. At a point where the TBM reached station+ 843 m, a large-scale collapse
K6 +
occurred in the diversion
843 m, a large-scale collapsetunnel. The in
occurred tunnel’s depth at
the diversion this location
tunnel. was 8depth
The tunnel’s m, and the
at this
volume 3
locationof the8collapse
was m, and thereached
volume 1246ofmthe. collapse reached 1246 m3.

Figure 2.
Figure 2. Geological
Geological profile
profile of
of diversion
diversion tunnel
tunnel with
with collapse
collapse cavity
cavitylocation.
location.

2.3. Collapse Disaster of the TBM Tunnel Face

During the TBM excavation, a crack extending from the top of the TBM shield to the
tunnel face was encountered, eventually leading to a large-scale collapse. The specific
evolution process is as follows. On 12 July 2018, at 10:40 a.m., a significant crack extending
towards the tunnel face was observed at the top of the shield when the TBM advanced to
 2.3. Collapse Disaster of the TBM Tunnel Face
During the TBM excavation, a crack extending from the top of the TBM shield to the
tunnel face was encountered, eventually leading to a large-scale collapse. The specific evo-
Buildings 2024, 14, 625 lution process is as follows. On 12 July 2018, at 10:40 a.m., a significant crack extending 4 of 18
towards the tunnel face was observed at the top of the shield when the TBM advanced to
mileage K6 + 837.00. The surrounding rock exhibited significant fragmentation, accompa-
mileage K6 + falls,
nied by rock 837.00.
as The
shownsurrounding rock
in Figure 3a. exhibited significant
Reinforcement supportfragmentation,
was applied using accompa-
steel
nied by rock falls, as
bar arrangements, andshown in Figure
the type of steel3a.
archReinforcement support from
support was changed was applied
HW125 using steel
to HW150,
bar arrangements,
as shown in Figureand3b.the
Ontype of steel
12 July arch
2018, at support wasthe
11:05 p.m., changed
thrust from
forceHW125
increasedto HW150,
to 6230
as shown in Figure 3b. On 12 July 2018, at 11:05 p.m., the thrust force
kN and the monitoring system issued an abnormal debris warning when the TBM ad- increased to 6230 kN
and the monitoring system issued an abnormal debris warning when the
vanced to mileage K6 + 840.70. Upon inspection, numerous large pieces of rock debrisTBM advanced to
mileage K6 + 840.70. Upon inspection, numerous large pieces of rock debris
were identified, accompanied by the observation of a crack in the rock extending along were identified,
accompanied by the
the shield toward theobservation
tunnel face.ofHowever,
a crack innothe rock extending
collapse along in
was witnessed thethe
shield toward
shield’s top
the tunnel face. However, no collapse was witnessed in the shield’s top direction.
direction.

(a) (b) (c)

Figure 3.
Figure 3. Photos
Photosofoftunnel collapse
tunnel progression:
collapse progression:(a) (a)
dropping fractured
dropping rocks;
fractured (b) strengthened
rocks; sup-
(b) strengthened
port with reinforcing steel bar; and (c) collapse situation.
support with reinforcing steel bar; and (c) collapse situation.

In addition, on 13 July 2018, at 4:30 a.m., a cavity was observed above the TBM shield
at the 10–2 o’clock
o’clock direction
direction when
when thethe TBM
TBM advanced
advanced to to mileage
mileage K6K6 ++ 842.30. The cavity
height at the tail of the shield was 0.70 m, extending towards
the tail of the shield was 0.70 m, extending towards the tunnel the tunnel face,face,
withwith
a lon-a
gitudinal length
longitudinal of about
length 9m
of about 9m andanda height
a heightofofcollapse
collapseatatthe
thetunnel
tunnelface
faceofof about
about 88 m,
accompanied by falling rock fragments. To prevent further rock fragment fragment collapses, the
affected area was immediately reinforced with
affected with shotcrete.
shotcrete. After completing this tunneling
cycle, the
thesupport
supportcategory
categoryfor thethe
for surrounding
surrounding rock waswas
rock upgraded fromfrom
upgraded Ⅲ to Class
ClassClass III to
Ⅳ to provide
Class betterbetter
IV to provide support. On 13On
support. July
132018, at 11:26
July 2018, a.m., a.m.,
at 11:26 the collapse of theofroof
the collapse the rock
roof
rock intensified and the TBM excavation was immediately stopped
intensified and the TBM excavation was immediately stopped to reinforce the arch whento reinforce the arch
when
the TBMthe advanced
TBM advanced to mileage
to mileage K6 + K6 + 843.00.
843.00. The cutterhead
The cutterhead was rotating
was rotating normally,
normally, but but
the
the TBM’s
TBM’s excavation-induced
excavation-induced disturbance
disturbance caused
caused continuousrock
continuous rockspalling.
spalling. Ultimately,
Ultimately, a
large-scale
large-scale collapse
collapse of approximately
approximately 12461246 mm33 occurred, with the approximate dimensions
of length, width, and height of 12 m, 10 m, and 13.30 m, respectively.
respectively. The final shape and
dimensions of the collapse cavity are depicted in Figure
cavity are depicted in Figure 3. 3.

3. Analysis of the Disaster Mechanism of Tunnel Collapse

3.1. Advance Geology Forecast
In examining the causes of extensive collapses during gripper TBM traversals through
fractured zones, tunnel seismic prediction (TSP) and complex frequency conductivity (CFC)
exploration techniques were utilized to scrutinize the characteristics of the surrounding
rock, see Appendix A for technical details.
After encountering a collapse at the K6 + 843 m section during TBM excavation, TSP
seismic wave detection [21] was conducted ahead of the tunnel face, yielding the geological
 through fractured zones, tunnel seismic prediction (TSP) and complex frequency conduc-
tivity (CFC) exploration techniques were utilized to scrutinize the characteristics of the
surrounding rock, see Appendix A for technical details.
Buildings 2024, 14, 625
After encountering a collapse at the K6 + 843 m section during TBM excavation, TSP
5 of 18
seismic wave detection [21] was conducted ahead of the tunnel face, yielding the geolog-
ical structure displacement image within the range of K6 + 843 m to K6 + 923 m, as de-
picted in Figure
structure 4a. Theimage
displacement amplitude of reflection
within the range of K6corresponds
+ 843 m to K6to+ the reflection
923 m, coefficient,
as depicted in
where
Figurered
4a.denotes positive
The amplitude reflectioncorresponds
of reflection coefficients, to and blue signifies
the reflection negative
coefficient, wherereflection
red
coefficients. The presence
denotes positive reflectionofcoefficients,
a combination of red
and blue and blue
signifies indicates
negative the inferior
reflection stability
coefficients.
The presence of a combination of red and blue indicates the inferior stability
and integrity of the surrounding rock, suggesting a more fragmented rock mass [22]. It and integrity
canofbe
theinferred
surrounding
that rock, suggesting a more
the surrounding rock fragmented
between K6 rock mass
+ 843 m[22].
andItK6can+be875inferred
m exhibits
that the surrounding rock between K6 + 843 m and K6 + 875 m exhibits
joint fractures or fold development, indicative of fragmented and low-strength rock. The joint fractures
or fold development, indicative of fragmented and low-strength rock. The section from
section from K6 + 843 m to K6 + 855 m constitutes the collapse zone, with the surrounding
K6 + 843 m to K6 + 855 m constitutes the collapse zone, with the surrounding rock relatively
rock relatively
intact within intact within the
the excavation excavation
range from K6range
+ 855 from K6 +
m to K6 + 855
865 mm.toHowever,
K6 + 865 them. However,
rock
themass
rockoutside
mass outside the left wall of the tunnel exhibits low strength and
the left wall of the tunnel exhibits low strength and poor integrity. The rock poor integrity.
The rockbetween
mass mass between
K6 + 889K6 m+ to889
K6 + m901
to K6 + 901
m and K6m+ and
918 mK6to+ K6918+m 923tomK6features
+ 923 m features
well-
well-developed
developed jointjoint fractures
fractures and primarily
and primarily consistsconsists of weak interlayers,
of weak interlayers, displaying frag-
displaying fragmented
and low-strength
mented characteristics.
and low-strength characteristics.

(a)

(b)
Figure 4. Results
Figure ofofadvance
4. Results advancegeology forecast:(a)
geology forecast: (a)TSP
TSPseismic
seismic migration
migration image
image (b) CFC
(b) CFC migration
migration image.image.

Furthermore, conducting
Furthermore, conducting CFCCFCadvanced
advanced groundwater
groundwater exploration ahead ahead
exploration of the tunnel
of the tun-
nel face provided insight into underground water distribution within the range m
face provided insight into underground water distribution within the range of K6 + 843 of K6 +
to K6 + 943 m, as presented in Figure 4b. The transition in the image representation from
843 m to K6 + 943 m, as presented in Figure 4b. The transition in the image representation
warm tones to cool tones signifies a gradual decrease in coherent energy, indicating a shift
from warm tones to cool tones signifies a gradual decrease in coherent energy, indicating
from high to low relative moisture content in the surrounding rock. As coherent energy
a shift from high
strengthens, to low
reflective relative
waves moisture
intensify, content
reflecting in the
a higher surrounding
moisture rock.
content and As coherent
increased
energy
water strengthens,
saturation [23].reflective
Accordingwaves intensify, reflecting
to the exploration a higher
result, the average moisture
dielectric content
constant of and
increased water saturation [23]. According to the exploration result,
the surrounding rock within the range of K6 + 843 m to K6 + 943 m is 2.841. Combining the average dielectric
the image,
constant it issurrounding
of the evident that there
rockiswithin
a significant disparity
the range of K6in +water
843 mcontent.
to K6 However,
+ 943 m isin2.841.
the intervalthe
Combining from K6 + 843
image, it ismevident
to K6 + 851
thatm,there
thereisis aansignificant
extremely strong coherence
disparity energy
in water content.
(depicted in red), indicating a significant water content in the surrounding
However, in the interval from K6 + 843 m to K6 + 851 m, there is an extremely strong rock. Coupled
with the results from TSP analysis (Figure 4a), it is inferred that joint fractures are well-
coherence energy (depicted in red), indicating a significant water content in the surround-
developed in this section, potentially leading to low-flow water bursts. From K6 + 851 m
ingtorock. Coupled with the results from TSP analysis (Figure 4a), it is inferred that joint
K6 + 883 m, the coherence energy is weak (appearing in blue), suggesting a low water
content in this particular zone. In the interval from K6 + 903 m to K6 + 940 m, the coherence
energy is moderate (displayed in pale yellow), implying a moderate water content in the
surrounding rock with relatively fewer fissure waters. Nevertheless, the water content is
expected to increase correspondingly with an increase in groundwater-surface recharge.
 fractures
fractures are well-developed
are well-developed in this in this section,
section, potentially
potentially leadingleading to low-flow
to low-flow water bursts.
water bursts.
From K6 + 851 m to K6 + 883 m, the coherence energy is weak
From K6 + 851 m to K6 + 883 m, the coherence energy is weak (appearing in blue), sug- (appearing in blue), sug-
gestinggesting a low content
a low water water content
in this in this particular
particular zone.
zone. In In the interval
the interval from K6from K6m
+ 903 + 903 m to K6
to K6
+ 940 m,+ 940
the m, the coherence
coherence energyenergy is moderate
is moderate (displayed
(displayed in palein pale yellow),
yellow), implyingimplying
a moder-a moder-
Buildings 2024, 14, 625 ate content
ate water water content in the surrounding
in the surrounding rockrelatively
rock with with relatively fewer fissure
fewer fissure waters.waters. 6 of 18
Neverthe-
Neverthe-
less,
less, the thecontent
water water content is expected
is expected to increase
to increase correspondingly
correspondingly with anwith an increase
increase in ground-
in ground-
water-surface
water-surface recharge.
recharge.
3.2. Deterioration Characteristics of Surrounding Rock Strength in Collapse Zone
3.2. To
Deterioration
3.2. Deterioration
further Characteristics
Characteristics
investigate of Surrounding
of Surrounding
the physical Rock Rock Strength
and Strength in Collapse
in Collapse
mechanical Zone Zone
characteristics of the surrounding
To
rock inTothe
further further investigate
investigate
collapse zone, the physical
the physical
detectionand and mechanical
mechanical
sections characteristics
werecharacteristics
established of the
atofintervals ofsurrounding
the surrounding 1 m within the
range of K6 + 831 m to K6 + 840 m. For each detection section, rock samples1 from
rock in rock
the in the
collapsecollapse
zone, zone, detection
detection sections
sections were were established
established at at intervals
intervals of 1 m of m within
within the
thethe tunnel
range
rangecrown
of of
K6 +wereK6mselected
831 + to
831K6m+to K6
840 +
m. 840
For m. For
each each detection
detection section,section,
rock rock
samples samples
from from
the
for mineral composition analysis, water damage sensitivity testing, the
tunnel tunnel
crown crown
andwere were selected
selected
strength assessment.for mineral
for mineral The composition
composition
class analysis,
analysis,
III surroundingwater water
damage
rock damage sensitivity
sensitivity
segment consists testing, testing,
of Ordovician
and strength
and strength
biotite quartz assessment.
assessment.
schist.The TheⅢclass
Theclass
dominant Ⅲ surrounding
surrounding
minerals rock
within rock
segment segment
consists
the collapse consists
zone ofare
of Ordovician
rock Ordovician
amphibole,
biotite biotite
quartz quartz
schist.
plagioclase, andschist.
The TheThe
dominant
quartz. dominant minerals
minerals
mineral withinwithin the collapse
the collapse
composition zone
zone rock
proportions are are rock are amphibole,
amphibole,
presented in Table 1.
plagioclase,
plagioclase, and quartz.
and quartz. The mineral
The mineral composition
composition proportions
proportions are presented
are presented in Table in1.Table 1.
Table 1. Mineral composition and microscopic structure of biotite quartz schist.
Table 1.Table 1. Mineral
Mineral composition
composition and microscopic
and microscopic structure
structure of quartz
of biotite biotite schist.
quartz schist.
Minerals Content
Minerals (%) Content(%)
Minerals Particle Size (mm)
Content(%)
ParticleParticle Macrostructure
Size (mm)
Size (mm) Microstructure
Macrostructure Microstructure
Macrostructure Microstructure
Hornblende 25Hornblende 25
Hornblende 25
0.50–1.50.50–1.50.50–1.5
Tremolite 1 Tremolite 1
Tremolite 1 0.30–0.50
0.30–0.50
0.30–0.50
Titanite 2 Titanite 2
Titanite 0.05–0.10
2 0.05–0.10
0.05–0.10
Garnet 3 Garnet 3
Garnet 0.10–0.30
3 0.10–0.30
0.10–0.30
Plagioclase 37 Plagioclase 37 0.10–0.30
Plagioclase 37 0.10–0.30
0.10–0.30
Quartz 25 Quartz 25 0.30–0.50
Quartz 25 0.30–0.50
0.30–0.50
Pyrite 5 Pyrite
Pyrite 5 0.50–1
5 0.50–1 0.50–1
Limonite 1 Limonite 1
Limonite 0.05–0.10
1 0.05–0.10
0.05–0.10
Epidote 1
EpidoteEpidote 1 0.05–0.10
1 0.05–0.10
0.05–0.10

Figure Figure
Figure 5 5illustrates
illustrates
5 illustrates the the the
mass mass
loss
mass loss
rate,
loss rate, longitudinal
longitudinal
rate, longitudinal wave wave
wavevelocity, velocity,
velocity, and and bearing
andbearing
bearing strength
strength
strength of of
biotite biotite
quartz quartz
schist. schist.
The The
impact impact
of of groundwater
groundwater
of biotite quartz schist. The impact of groundwater immersion on the physical immersion immersion
on the on the physical
physical and me-
and mechanical
and mechanical
chanical characteristics
characteristics
characteristics within
within within
the the
tunnel thecollapse
tunnel tunnel
collapsecollapse
zone
zone zone
is is is evident.
evident.
evident. The
The The bonding
bonding
bonding material in
material in biotite
material in biotite
biotite quartz schistquartz
quartz schist
is highlyschist
is is highly
highly
prone prone prone
to to hydrolysis
hydrolysis
to hydrolysis reactions,
reactions, reactions,
and and
the the and the water-rock
water-rock
water-rock degradation
degradation
degradation effect intensifies
effect intensifies the deformation
the deformation and instability
and instability of the of the surrounding
surrounding rock rock
effect intensifies the deformation and instability of the surrounding rock mass [17]. The
massThe
mass [17]. [17]. Theloss
mass mass loss
rate rate escalates
escalates with increasing
with increasing permeating
permeating water pressure,
water pressure, with with
mass loss rate escalates with increasing permeating water pressure, with the most substan-
thesubstantial
the most most substantial
increase increase
observed observed
when the when the pressure
pressure rises fromrises8from
MPa8toMPa to 10 MPa.
10 MPa.
tial increase observed when the pressure rises from 8 MPa to 10 MPa. This indicates that
This indicates
This indicates that the that the intensified
intensified permeating
permeating water pressure
water pressure accelerates
accelerates the chemical
the chemical re- re-
the intensified permeating water pressure accelerates the chemical reaction rate of biotite,
action action
rate of rate of biotite,
biotite, increasingincreasing the extent
the extent of the erosion
of the erosion of poreofwallporesurfaces.
wall surfaces. The longi-
The longi-
increasing the extent of the erosion of pore wall surfaces. The longitudinal wave velocity
tudinaltudinal wave velocity
wave velocity gradually gradually
increasesincreases with higher
with higher permeating
permeating water pressure.
water pressure. This This
gradually increases with higher permeating water pressure. This reduction is attributed to
reduction
reduction is attributed
is attributed to the to the enhanced
enhanced water erosion
water erosion capacitycapacity
under under permeating
permeating water water
the
pressure,
enhanced
pressure, watertoerosion
leadingleading
to increased increased capacity under
pore volume
pore volume
permeating water
and a consequent
and a consequent
pressure,
accelerated
accelerated
leading to increased
attenuation
attenuation of of
pore volume
acoustic and
energy. a consequent
Furthermore, accelerated
biotite quartz attenuation
schist exhibits of acoustic
pronounced
acoustic energy. Furthermore, biotite quartz schist exhibits pronounced sensitivity to wa- energy. Furthermore,
sensitivity to wa-
biotite
ter damage. quartz
ter damage. schist
The
The uniaxial exhibits
uniaxial pronounced
compressive
compressive strength sensitivity
strength tonoticeably
waternoticeably
deteriorates
deteriorates damage. The uniaxial
with
with increasing increasingcom-
pressive
permeating
Buildings 2024, 14, x FOR PEER permeating
REVIEW strength
water pressure. deteriorates
water pressure.As theAs noticeably
the permeating
permeating with increasing
water pressure
water pressure permeating
increasesincreases water
from 0from pressure.
MPa 0toMPa6 to 6 As 7 of 19
the permeating
MPa,
MPa, the the average
average water pressure
compressive
compressive strength increases
strength
decreases from
decreases 0 MPa to
by 63.60%.
by 63.60%. 6 MPa, the average compressive
strength decreases by 63.60%.

Figure5.5.Mass
Figure Massloss
loss rate,
rate, longitudinal
longitudinal wave
wave velocity
velocity and bearing
and bearing strength
strength ofquartz
of biotite biotiteschist.
quartz schist.

In Figure 6, the surrounding rock’s bearing strength is depicted at positions A, B,

In Figure 6, the surrounding rock’s bearing strength is depicted at positions A, B, and
and C in the K6 + 831 m to K6 + 840 m section, with the collapse zone situated at section
C in
K6 the m.
+ 843 K6 The
+ 831average
m to K6 + 840 mcompressive
saturated section, with the collapse
strength zone situated
of the tested at section
rock samples is K6 +
843 m. The average saturated compressive strength of the tested rock samples is 24.80
MPa, which is less than 30 MPa, categorizing them as soft rock. It can be observed tha
there is a certain level of variability in the strength of the surrounding rock affected by
water-rock erosion. As the sampling locations approach the collapse zone, the strength o
the tunnel surrounding rocks reduces gradually and logarithmically. This indicates tha
 Figure 5. Mass loss rate, longitudinal wave velocity and bearing strength of biotite quartz schist.

Buildings 2024, 14, 625 In Figure 6, the surrounding rock’s bearing strength is depicted at positions A, B, and
7 of 18
C in the K6 + 831 m to K6 + 840 m section, with the collapse zone situated at section K6 +
843 m. The average saturated compressive strength of the tested rock samples is 24.80
MPa,
24.80which is less isthan
MPa, which less 30
thanMPa, categorizing
30 MPa, themthem
categorizing as soft rock.
as soft It can
rock. be be
It can observed
observed that
there
that there is a certain level of variability in the strength of the surrounding rock affected by by
is a certain level of variability in the strength of the surrounding rock affected
water-rock
water-rockerosion.
erosion.As As the
the sampling locationsapproach
sampling locations approachthethecollapse
collapse zone,
zone, thethe strength
strength of of
the
thetunnel
tunnelsurrounding
surrounding rocks reduces gradually
rocks reduces graduallyand
andlogarithmically.
logarithmically. This
This indicates
indicates thatthat
rock
rockmasses
massescloser
closertoto the
the collapse zonehave
collapse zone havelower
lowerbearing
bearingstrengths.
strengths.

(a) (b)

(c)
Figure
Figure6.6.Bearing
Bearingstrength of surrounding
strength of surroundingrock
rocknear
nearthethe collapse
collapse zone:
zone: (a) Location
(a) Location A;Location
A; (b) (b) Location
B;
B;and
and(c)
(c)Location
LocationC.
C.

3.3.Characteristics
3.3. CharacteristicsofofJointed
Jointed Rock
Rock Mass
Mass Inside
Insidethe
theCollapse
CollapseCavity
Cavity
Fieldinvestigations
Field investigationsindicate
indicatethat
thatthe
thesurrounding
surroundingrock’s
rock’sjoint
jointsurfaces
surfacescontrol
controlthe
thecol-
collapse
lapse cavity’s
cavity’s internal
internal contour.
contour. TheThe rock
rock massbehind
mass behindthe
thecollapse
collapse cavity’s
cavity’s boundary
boundary is
is relatively stable and intact. The surrounding rock in the collapse zone features well-
developed joint fissures, and due to structural compression, the rock layers are significantly
folded between them. As shown in Figure 7, a considerable amount of rust and chlorination
is observed on the fracture surfaces, with mud films adhering to the layer surfaces. The
rock mass within the collapse cavity displays a fragmented structure. The cutting action of
the cutterhead and the impact of vibrations cause the loosening and dislocation of layers
along the joint and fracture surfaces of the sericite schist and biotite quartz schist, ultimately
resulting in extensive instability and collapse. Upon clearing the collapsed debris within
the cavity, it was discovered that the joint surfaces of the surrounding rock dictate the
internal contour of the collapse cavity. The main joint surfaces that constitute the collapse
cavity structure include 122◦ ∠71.20◦ , 108◦ ∠81.20◦ , and 117◦ ∠42.50◦ . After clearing the
collapsed debris, a stable internal cavity space can be formed.
 layers along the joint and fracture surfaces of the sericite schist and biotite quartz schist,
ultimately resulting in extensive instability and collapse. Upon clearing the collapsed de-
bris within the cavity, it was discovered that the joint surfaces of the surrounding rock
dictate the internal contour of the collapse cavity. The main joint surfaces that constitute
Buildings 2024, 14, 625 8 of 18
the collapse cavity structure include 122°∠71.20°, 108°∠81.20°, and 117°∠42.50°. After
clearing the collapsed debris, a stable internal cavity space can be formed.

(a) (b)
Figure
Figure 7. The
7. The stable
stable collapse
collapse cavity:
cavity: (a)(a) exposure
exposure of of surrounding
surrounding rock
rock and
and (b)(b) equatorial
equatorial horizon
horizon
projection
projection of joint.
of joint.

4. 4.
Collapse
CollapseSection
Section Treatment
TreatmentScheme and
Scheme Feasibility
and Verification
Feasibility Verification
4.1.4.1.
Collapse Section Treatment Scheme
Collapse Section Treatment Scheme
Based on on
Based the the
stability characteristics
stability of theofcollapse
characteristics cavity cavity
the collapse after manual debris removal,
after manual debris re-
a preliminary reinforcement scheme has been proposed, including
moval, a preliminary reinforcement scheme has been proposed, including early reinforcement,
early reinforce-
Buildings 2024, 14, x FOR PEER REVIEW a protective arch, and the backfilling of the collapse. The site photos of the 9 of 19
establishing
ment, establishing a protective arch, and the backfilling of the collapse. The site photos of
collapse cavitycavity
the collapse repair repair
scheme are shown
scheme in Figure
are shown 8.
in Figure 8.
Firstly, it is necessary to undertake a preliminary reinforcement of the loose rock
mass. The continuous expansion of the collapse zone on the tunnel crown necessitates
caution, as the advancing TBM could disturb the surrounding rock, hastening the collapse
process. To ensure the safety of personnel and equipment and prevent further expansion
of the collapse, the TBM is currently unsuitable for excavation.
After reinforcing the loose rock mass, the TBM will proceed with excavation. The
initial step involves spraying concrete on the section where the collapsed height is less
than 2 m within the range of K6 + 838 m to K6 + 840 m, effectively reinforcing the loose
rock mass. Enhanced support will be implemented based on the initial support of Class III
1b surrounding rock. HW150 steel arches will be densely placed 6 m behind the shield, with
a center-to-center(a) distance of 45 cm (designed spacing
(b)of 1.80 m). The arches will be con-
nected using welded 12-channel steel, arranged in a 360° ring at a 1-m spacing, and fully
welded at the junctions with H-beams. For areas beyond the reach of the arch installation
equipment, arches will be manually erected, followed by the injection of C30 concrete with
a reinforcement thickness of 20 cm upon forming the ring. The enhanced arch support sys-
tem anchor bolts will be promptly installed without causing collapse or sliding.

(c) (d)
Figure 8.Figure
Photos8.of
Photos of collapse
collapse cavityscheme:
cavity repair repair scheme: (a) concrete
(a) concrete reinforcement;
reinforcement; (b) initial(b) initial
steel archsteel arch
support;support; (c) concrete
(c) concrete sprayingspraying
platformplatform
for cavityfor cavity backfilling;
backfilling; and (d)
and (d) bend bend covering
covering area andareaarchand arch
protection zone.
protection zone.

Firstly, itDuring the collapse

is necessary backfilling
to undertake phase, the
a preliminary restoration of
reinforcement process unfolds
the loose in a specific
rock mass.
sequence.
The continuous Firstly, square
expansion of the timbers
collapsemeasuring
zone on the20tunnel
× 20 ×crown
300 cm are laid oncaution,
necessitates the TBM steel
shield to establish
as the advancing TBM could a concrete
disturb spraying platform.
the surrounding Subsequently,
rock, I16collapse
hastening the I-beamsprocess.
are positioned
To ensureabove
the the square
safety timbers with
of personnel anda equipment
circumferential
and spacing
preventof 30 cm,expansion
further connected ofusing
the welded
collapse,12-channel
the TBM issteel. Atop unsuitable
currently the steel frame, a 0.50 mm steel plate is placed, featuring construc-
for excavation.
tionreinforcing
After holes measuring
the loose1 × rock
1 m, forming
mass, thea TBM
closedwill
concrete backfilling
proceed surface. This
with excavation. Theconfigu-
ration
initial step acts asspraying
involves a protective layer on the
concrete the TBM shield,
section wheremitigating the risk
the collapsed of sporadic
height is less falling
debris causing damage. Within the collapse cavity height range of 2 m (from K6 + 838 m
to K6 + 840 m), additional arch supports will be added along the intrados. These arch
supports will be closely adhered to the rock surface, with their lower ends firmly welded
to the I16 I-beams, forming a stable supporting structure. To prevent the influx of fine
sand or cement slurry into the cutter-head area, emergency concrete spraying equipment
Buildings 2024, 14, 625 9 of 18

than 2 m within the range of K6 + 838 m to K6 + 840 m, effectively reinforcing the loose
rock mass. Enhanced support will be implemented based on the initial support of Class III
1b surrounding rock. HW150 steel arches will be densely placed 6 m behind the shield,
with a center-to-center distance of 45 cm (designed spacing of 1.80 m). The arches will be
connected using welded 12-channel steel, arranged in a 360◦ ring at a 1-m spacing, and fully
welded at the junctions with H-beams. For areas beyond the reach of the arch installation
equipment, arches will be manually erected, followed by the injection of C30 concrete with
a reinforcement thickness of 20 cm upon forming the ring. The enhanced arch support
system anchor bolts will be promptly installed without causing collapse or sliding.
During the collapse backfilling phase, the restoration process unfolds in a specific
sequence. Firstly, square timbers measuring 20 × 20 × 300 cm are laid on the TBM steel
shield to establish a concrete spraying platform. Subsequently, I16 I-beams are positioned
above the square timbers with a circumferential spacing of 30 cm, connected using welded
12-channel steel. Atop the steel frame, a 0.50 mm steel plate is placed, featuring construction
holes measuring 1 × 1 m, forming a closed concrete backfilling surface. This configuration
acts as a protective layer on the TBM shield, mitigating the risk of sporadic falling debris
causing damage. Within the collapse cavity height range of 2 m (from K6 + 838 m to
K6 + 840 m), additional arch supports will be added along the intrados. These arch supports
will be closely adhered to the rock surface, with their lower ends firmly welded to the I16
I-beams, forming a stable supporting structure. To prevent the influx of fine sand or cement
slurry into the cutter-head area, emergency concrete spraying equipment is employed to
spray fine sand within the front 1-m range of the cutterhead. The remaining area is then
meticulously filled with C30 concrete, continuing until the fine sand forms a protective
buffer layer covering the top of the cutterhead by 10–20 cm.
Moving forward in the restoration sequence, the dense filling process for the collapse
cavity between K6 + 840 m and K6 + 850 m begins. C30 concrete is systematically sprayed
onto the rock mass, with the effective spray thickness controlled above 10 cm. Above
the square timbers, C30 concrete is sprayed with a thickness of 200 cm, ensuring a robust
restoration. For every 20 cm thickness of concrete sprayed, a steel mesh (48@200 × 200 mm)
is laid. As the concrete thickness reaches 50 cm, I16 I-beams with a longitudinal spacing of
50 cm are set horizontally, reinforcing the structural integrity. Anchoring rods with a diameter
of φ425 mm and a length of 2.50 m will be critically installed in the surrounding rock and
welded to the I-beams to form a protective arch above the arch supports. Simultaneously,
concrete is sprayed within a range of 4 m above the protective arch, extending 7 m towards
Buildings 2024, 14, x FOR PEER
the REVIEW direction. This establishes a stable support system for the loose rock mass
cutterhead 10 of
above the tunnel face. The entire restoration process is visually represented in Figure 9.

(a) (b)
Figure 9. Schematic
Figure 9. Schematic diagram
diagram of of the collapse
the collapse cavity restoration
cavity restoration scheme:
scheme: (a) cutaway-view
(a) cutaway-view andand (b) fro
view.
(b) front view.

For backfilling of the collapse cavity, C30 concrete will be pumped into the collap
cavity through the reserved manhole pumping pipe, utilizing a concrete delivery pum
The backfilling process will maintain a height above the arch crown, ensuring it does n
exceed 1 m at a time until the entire cavity is filled. To alleviate the load on initial an
secondary supports, lightweight material with a density of less than 1.5 t/m3 will be i
 Buildings 2024, 14, 625 10 of 18

For backfilling of the collapse cavity, C30 concrete will be pumped into the collapse
cavity through the reserved manhole pumping pipe, utilizing a concrete delivery pump.
The backfilling process will maintain a height above the arch crown, ensuring it does
not exceed 1 m at a time until the entire cavity is filled. To alleviate the load on initial
and secondary supports, lightweight material with a density of less than 1.5 t/m3 will be
injected into the cavity through the reserved pumping pipe once the backfilling reaches
2 m. Following the filling process, cement mortar will be poured into the gaps to ensure a
compact and solid filling.

4.2. Optimization of TBM Excavation Parameters

TBM tunneling is highly complex engineering that requires a dynamic adjustment of
excavation parameters based on the surrounding rock conditions. This is especially crucial
for collapsed tunnels, as an improper control of the excavation parameters can lead to TBM
jamming [24] or even cutterhead damage [25,26]. In this section, we primarily focus on
optimizing TBM excavation parameters, considering the collapse section treatment scheme
and the characteristics of water-rock dissolution strata. The parameters to be optimized
include the total thrust force of the TBM (FN ), the total torque of the cutterhead (FR ), and
the frictional mechanical model between the established TBM and the surrounding rock, as
illustrated in Figure 10. In the diagram, F1 represents the thrust force of the cutterhead’s
front cutters; F2 represents the friction between the shield structure and the soil layers
during forward movement; F3 represents the friction between the trailing equipment and
the inverted structure during traction; Fg represents the thrust force of an individual cutter;
Fw represents the pressure exerted by the surrounding rock on the shield; P0 represents the
Buildings 2024, 14, x FOR PEER REVIEW
pressure of the surrounding rock; W1 is the self-weight of the TBM main body; W2 is the 11 of 1
self-weight of the trailing equipment; and S represents the TBM steel shield’s contact area
and surrounding rock.

Figure 10.Simple
Figure10. Simplemechanical
mechanicalmodel of friction
model between
of friction TBM and
between TBMsurrounding rock.
and surrounding rock.

It can be inferred that the total thrust force during TBM excavation is primarily
It can be inferred that the total thrust force during TBM excavation is primarily com
composed of the thrust force of the cutterhead’s front cutters F1 , the friction between the
posed of the thrust force of the cutterhead’s front cutters F1, the friction between the shield
shield structure and the soil layers during forward movement F2 , and the friction between
structure
the trailingand the soiland
equipment layers during
the invert forward
structure movement
during tractionFF2,3 .and
The the
totalfriction between the
thrust force
trailing
of equipment
the shield and the
must exceed the invert structure
frictional during
forces for traction
the TBM F3. The
to avoid total thrust
jamming. Based force
on of the
shield must exceed the frictional forces for the TBM to avoid jamming.
the Hoek-Brown theory [27] and the relationship between TBM cutterhead and uniaxial Based on the Hoek
Brown theory
compressive [27] and
strength thethrust
σc , the relationship between
force of an TBM
individual cutterhead
cutter Fg can be and uniaxial
expressed as: compres
sive strength σc, the thrust force of an individual cutter Fg can be expressed as:
Fg = 1.50σc − 1.095 (1)
Fg  1.50 c  1.095 (1
The friction distribution between the shield and surrounding rock is a critical parame-
ter influencing excavation
The friction efficiency.
distribution It is also
between theashield
significant
and factor causing additional
surrounding stress param
rock is a critical
changes in the surrounding
eter influencing rockefficiency.
excavation of the diversion
It istunnel
also aduring shield tunneling.
significant Based on
factor causing additiona
stress changes in the surrounding rock of the diversion tunnel during shield tunneling
Based on the mechanical relationships shown in Figure 10, the frictional force exerted by
the shield against the surrounding rock F2 can be expressed as follows:
Buildings 2024, 14, 625 11 of 18

the mechanical relationships shown in Figure 10, the frictional force exerted by the shield
against the surrounding rock F2 can be expressed as follows:

F2 = µ1 (W1 + Fw ) cos α, (2)

Fw = S( P0 − N ), (3)
16P0 mσc + m2 σc2 + 16Sσc2
N= , (4)
8(8 − mσc )
where µ1 is the coefficient of friction between the steel shield and the rock mass; W 1 is the
self-weight of the TBM main body; α is the angle between the tunnel axis and the horizontal
line; Fw is the pressure exerted by the surrounding rock on the shield; S represents the
contact area between the TBM steel shield and the surrounding rock; P0 is the pressure of
the surrounding rock; N is the reduction in support pressure; and m and s are constants
associated with the softness, hardness, and integrity of the rock mass.
If the coefficient of friction between the trailing equipment and the support structure
is represented as µ2 , and the self-weight of the trailing equipment is denoted as W 2 , then
the frictional force exerted by the trailing equipment F3 can be expressed as follows:

F3 = µ2 W2 cos α, (5)

Su [28] conducted a study revealing that, for water diversion tunnels, the measured
actual torque during TBM construction closely aligns with the calculated results obtained
from the Rostami prediction formula [29]. If the TBM cutting coefficient and the cutter-rock
interface angle are represented as C and φ, respectively, the total rolling torque FR of the
TBM cutter can be expressed as follows:

FN (1 − cos ϕ)
FR = FN C = (6)
ϕ − sin ϕ cos ϕ

In this water diversion tunnel project, the TBM cutterhead is equipped with 56 cutters
of the 19-inch type. The main TBM machine and the subsequent supporting equipment
have self-weights of 7154 kN and 7546 kN, respectively. The tunnel axis is approximately
parallel to the horizontal plane. Utilizing the frictional mechanical model between the TBM
and the surrounding rock, along with the aforementioned calculation formulas, the total
thrust force of the cutterhead F1 is determined as 2022 kN, the TBM supporting equipment
frictional force F3 is 2461 kN, and the total thrust force FN is 14,011 kN. The cutter-rock
interface angle φ of the TBM cutterhead is approximately 15◦ , leading to a calculated total
torque FR of 1378 kN·m. According to the actual TBM operating conditions, the values
of m and s in Equation (4) are taken as 1.213 and 0.00293, respectively. Consequently, the
reduction in support pressure N is 1639 kPa.
Based on in-site measurements, the surrounding rock pressure on the tunnel lining
P0 is approximately 1932 kPa, while the pressure exerted by the surrounding rock on the
shield body Fw is roughly 16,217 kN. This implies that the frictional force on the shield body
F2 is 9348 kN. Therefore, combining the TBM excavation optimization parameters obtained
from Sections 4.1 and 4.2, the total thrust force and the total torque of the cutterhead are
determined to be 14,011 kN and 1378 kN·m, respectively. By integrating the measured data
and numerical analysis methods, the following evaluation of the re-excavation construction
effect and the feasibility verification of disposal measures are conducted.

4.3. Evaluation of Re-Excavation Construction Effect

Re-excavation construction in the collapsed section utilized the initial excavation
parameters of the preset TBM, with dynamic adjustments based on on-site rock conditions
ensuring safe construction. Figure 11 compares actual total thrust, total torque during TBM
excavation in the collapsed section, and optimized parameters.

Buildings 2024, 14, 625
TBM total torque 10 3 (kNm)
4.3. Evaluation of Re‐Excavation Construction Effect
Re-excavation construction in the collapsed section utilized the initial excavation pa-
rameters of the preset TBM, with dynamic adjustments based on on-site rock conditions
ensuring safe construction. Figure 11 compares actual total thrust, total torque 12 of during
18
TBM excavation in the collapsed section, and optimized parameters.
1.7 16.0
15.5

TBM total thrust 10 3 (kN)

1.6
15.0
1.5
14.5
1.4 14.0
13.5
1.3
13.0
1.2 Measured value Measured value
12.5
Optimized value Optimized value
1.1 12.0
K6+ 846 850 854 858 862 866 K6+ 846 850 854 858 862 866
Mileage (m) Mileage (m)
(a) (b)
Figure 11.11.
Figure Re-excavation after
Re-excavation repairing
after repairingthe
thecollapse
collapsecavity:
cavity:(a)
(a)TBM
TBMtotal
total thrust
thrust and (b) TBM
and (b) TBM total
torque.
total torque.

It isIt crucial
is crucialtotoemphasize
emphasize that that the
the theoretical
theoreticalmodel
model assumes
assumes isotropic and and
isotropic uniformly
uniformly
distributed surrounding rock conditions. However, practical engineering
distributed surrounding rock conditions. However, practical engineering scenarios in- scenarios involve
variations in rock properties within the rock mass. Therefore, real-time adjustments of
volve variations in rock properties within the rock mass. Therefore, real-time adjustments
TBM excavation parameters are imperative during the construction process, guided by the
of TBM excavation parameters are imperative during the construction process, guided by
optimized parameters.
the optimized parameters.
The observation reveals that the adjustment range for TBM excavation thrust and
Buildings 2024, 14, x FOR PEER REVIEWThe observation
torque stays within 20% reveals
of thethat the adjustment
calculated range forfavorable
values, showcasing TBM excavation thrust
predictive 13 of 19 and
perfor-
torque
mance staysandwithin 20%
effective of the calculated
construction guidance.values,
Field showcasing favorable
monitoring further predictive
indicates perfor-
that the
maximum
mance deformation
and effective of the surrounding
construction guidance. rockField
stabilizes at approximately
monitoring 3.58 mm after
further indicates that the
the
the collapsed
maximum section of
section
deformation of the
ofthe water
thewater diversionrock
diversion
surrounding tunnel.
tunnel. Upon
Upon
stabilizes implementing
implementing thethe
at approximately enhanced
enhanced
3.58 mm re- after
reinforcement
inforcement scheme, scheme,the themonthly
monthlyexcavation
excavationadvance
advancerate rate begins
begins toto recover, as depicted
depicted
in
in Figure 12. As Asofofthe
thepresent
presentconstruction
construction stage,
stage, allall control
control indicators
indicators remain
remain within
within the
the safety range, attesting to the positive re-excavation construction effect
safety range, attesting to the positive re-excavation construction effect and further validat- and further
validating the reliability
ing the reliability of the optimized
of the optimized parameters.
parameters.

800
Excavated footage
700
Excavated footage (m)

600
500
400
300
200
100
0
May Jun Jul Aug Sept Oct Nov Dec
Construction month
Figure 12.
Figure 12. Efficiency
Efficiency ofof re-excavation
re-excavation after
after repairing
repairing the
thecollapse
collapsecavity.
cavity.

4.4.
4.4. Feasibility
Feasibility Verification
Verification of
of Treatment
TreatmentMeasures
Measures
With
With a significant volume of tunnel collapse
a significant volume of tunnel collapse and
and high
high construction
constructionrisks,
risks,itit is
is essential
essential
to
to validate further the feasibility of the cavity remediation measures within the context
validate further the feasibility of the cavity remediation measures within the context of
of
large-scale
large-scalecavity
cavitycollapse
collapsein in
thethe
gripper TBM
gripper tunnel.
TBM To understand
tunnel. the rock
To understand thedeformation,
rock defor-
shield
mation,pressures, and structural
shield pressures, loading of loading
and structural the steelofarch,
theasteel
numerical
arch, amodel was constructed
numerical model was
using
constructed using MIDAS GTS NX analysis software taking into account the actual The
MIDAS GTS NX analysis software taking into account the actual site conditions. site
diversion
conditions.tunnel is located tunnel
The diversion at a depth of 87.90atma below
is located depth the ground
of 87.90 surfacethe
m below and is considered
ground surface
and is considered a deep-buried tunnel. Disregarding local undulations of the shallow
cover soil layer, the established numerical model dimensions are 118 × 70 × 127 m. The
outer diameter of the water diversion tunnel is 7.83 m, while the inner diameter is 7 m.
The dimensions of the cavity in the water diversion tunnel are 12 × 10 × 13.30 m, as shown
in Figure 13.
 With a significant volume of tunnel collapse and high construction risks, it is essential
to validate further the feasibility of the cavity remediation measures within the context of
large-scale cavity collapse in the gripper TBM tunnel. To understand the rock defor-
mation, shield pressures, and structural loading of the steel arch, a numerical model was
Buildings 2024, 14, 625 constructed using MIDAS GTS NX analysis software taking into account the actual site
13 of 18
conditions. The diversion tunnel is located at a depth of 87.90 m below the ground surface
and is considered a deep-buried tunnel. Disregarding local undulations of the shallow
cover soil layer,tunnel.
a deep-buried the established numerical
Disregarding model dimensions
local undulations are 118cover
of the shallow × 70 soil
× 127 m. The
layer, the
established
outer numerical
diameter modeldiversion
of the water dimensions are 118
tunnel × 70m,
is 7.83 × while
127 m.theThe outerdiameter
inner diameterisof7 the
m.
water
The diversion of
dimensions tunnel is 7.83inm,
the cavity thewhile
waterthe inner diameter
diversion is 712m.× 10
tunnel are The dimensions
× 13.30 of the
m, as shown
cavity
in 13. water diversion tunnel are 12 × 10 × 13.30 m, as shown in Figure 13.
in the
Figure

Figure 13.
Figure Geometry of
13. Geometry of the
the FEA
FEA model.
model.

It is important to note that the water diversion tunnel’s biotite quartz schist rock mass
is simulated using solid elements, applying the Hoek-Brown criterion as the failure criterion
for the model. The TBM steel shield and the initial support shotcrete layer are simulated
using plate elements, while the steel arch support is simulated using beam elements. The
3D finite element model has a total mesh count of 335,001, with 11,699 mesh elements in the
collapsed cavity region and 50,330 mesh elements in the tunnel zone. The model’s lateral
boundaries are assigned horizontal constraints, the bottom is constrained both vertically
and horizontally, and the upper surface is free. Before conducting calculations, an initial
stress equilibrium analysis is performed, offering initial stresses to the rock mass and
support structures. This establishes a stress field in its natural state with internal forces
but no displacement. Subsequently, the stress-strain states of the rock mass and support
structures during the TBM excavation process are calculated. Through the integration of on-
site surveys, borehole test data, and the proposed cavity treatment plan, the categorization
of the surrounding rock has been determined as Grade IV [30]. The physical and mechanical
parameters of the numerical model for the water diversion tunnel are presented in Table 2,
where γ represents self-unit weight, E is the elastic modulus, ν is the Poisson’s ratio, c is
the cohesion, and φ is the internal friction angle.

Table 2. Material parameters of 3D finite model.

Material Types γ (kN/m3 ) E (GPa) ν c (kPa) φ (◦ )

Surrounding rock (IV) 23 27 0.35 0.7 40
Lightweight concrete backfill 13 25.50 0.30 - -
Shotcrete (C30) 25 29 0.30 - -
Steel structure 75 206 0.20 - -
Steel arch support zone 60 107 0.25 - -

According to the three-step treatment scheme called “Reinforcement-Backfill-Re-

excavation”, the FEA model of tunnel excavation simulation was established, as shown in
 Shotcrete (C30) 25 29 0.30 - -
Steel structure 75 206 0.20 - -
Steel arch support zone 60 107 0.25 - -
Buildings 2024, 14, 625 14 of 18
According to the three-step treatment scheme called “Reinforcement-Backfill-Re-ex-
cavation”, the FEA model of tunnel excavation simulation was established, as shown in
Figure 14a–c. TheFigure
flowchart
14a–c.of theflowchart
The repair tunnel cavitytunnel
of the repair sequence was
cavity shownwas
sequence in Figure
shown 14d,
in Figure 14d,
aligning with thealigning
operation
withprocedure in Section
the operation procedure4.1.
in Section 4.1.

Figure 14. Sequence of repairment:

Figure 14. Sequence(a) of reinforcement support; (b) backfill
repairment: (a) reinforcement support;of(b)collapse cavity
backfill of with
collapse cavity with
multiple steps; (c) multiple
re-excavation of re-excavation
steps; (c) TBM; and (d)ofrlow
TBM;chart of repair
and (d) sequence.
rlow chart of repair sequence.

Figure 15 showsFigure 15 shows the displacement

the displacement distribution distribution
of surrounding of surrounding
rock in therock in the collapse
collapse
during TBM tunneling. It is evident that upon the completion of the steel arch reinforcement
during TBM tunneling. It is evident that upon the completion of the steel arch reinforce-
Buildings 2024, 14, x FOR PEER REVIEWand initial support shotcrete within the rear 6 m range of the TBM steel shield, a unified 15 of 19
ment and initialsupport
supportsystem
shotcrete within
is formed the rear
between the 6TBM
m range of theand
steel shield TBM steel shield,
the initial supportastructure.
unified support During
systemthe is reinforcement
formed between stage,the
theTBM steel displacement
maximum shield and the initial
of the support
collapsed rock mass is
structure. During the reinforcement stage, the maximum displacement of the collapsed
3.58 mm, representing the highest value throughout the entire construction process of the
initial
rock mass is 3.58 mm,support,
treatment plan,the
as backfilling
representing shown of the
theinhighest
Figure collapsed
value
15a. cavity
throughout
Following effectively mitigates
the entireofconstruction
the completion the deformation
the initial support, the
of the collapsed
backfillingplan,
process of the treatment rock mass,
of theascollapsed
shown in resulting
cavity in a maximum
effectively
Figure deformation
mitigates the
15a. Following displacement
the deformation
completion of ofthe of 3.15 mm.
thecollapsed
This represents
rock a reduction
mass, resulting of 12.01%
in a maximum compared
deformation to the reinforcement
displacement of 3.15 mm. This stage. As depicted
represents
in Figure 15c,ofwith
a reduction 12.01%thecompared
backfilling of the
to the collapsedstage.
reinforcement cavityAsand the ongoing
depicted in Figuretunnel excava-
15c, with
the backfilling of the collapsed cavity and the ongoing tunnel excavation,
tion, the distribution of rock mass deformation displacement in the surrounding area the distribution
of rocka mass
reaches deformation
relatively stable displacement
state, displayingin theconsistent
surrounding area reaches
trends a relativelyof
in the evolution stable
displace-
ment distribution clouds. In comparison to the backfilling stage, the maximumIndefor-
state, displaying consistent trends in the evolution of displacement distribution clouds.
comparison to the backfilling stage, the maximum deformation displacement during the
mation displacement during the re-excavation stage is 3.10 mm, representing a marginal
re-excavation stage is 3.10 mm, representing a marginal reduction of 1.59%. It is evident
reduction of 1.59%. It is evident that the displacement of the collapsed rock mass gradu-
that the displacement of the collapsed rock mass gradually converges during the TBM
allyexcavation
converges duringThe
process. thereinforcement
TBM excavation process.
of the collapsed The reinforcement
rock mass and theofbackfilling
the collapsed
rock mass and
measures thethe
within backfilling measures
collapsed cavity within control
significantly the collapsed
rock masscavity significantly
deformation, ensuringcontrol
rockthemass deformation,
safe construction ensuring
of the TBM. the safe construction of the TBM.

(a) (b) (c)

Figure
Figure15.15.Displacement
Displacementdistribution
distribution of
of surrounding rockininthe
surrounding rock thecollapse
collapseduring
during TBM
TBM tunneling: (a)
tunneling:
reinforcement stage, (b) backfill stage, and (c) re-excavation stage.
(a) reinforcement stage, (b) backfill stage, and (c) re-excavation stage.

Figure 16 illustrates the stress distribution on the steel shield during the TBM exca-
vation process. Before the collapse, the TBM steel shield served as the primary load-bear-
ing structure responsible for managing concentrated stresses in the collapsed zone. The
distribution and magnitude of compressive stress are notably influenced by the collapsed
cavity. Owing to the abrupt change in structural stiffness between the TBM steel shield
 Buildings 2024, 14, 625 15 of 18

Figure 16 illustrates the stress distribution on the steel shield during the TBM excava-
tion process. Before the collapse, the TBM steel shield served as the primary load-bearing
structure responsible for managing concentrated stresses in the collapsed zone. The dis-
tribution and magnitude of compressive stress are notably influenced by the collapsed
cavity. Owing to the abrupt change in structural stiffness between the TBM steel shield
and the densified segment of the arch, a concentrated compressive stress region forms
at the rear of the TBM shield. The stress at the top of the shield is significantly higher
than at the bottom, peaking at 6.96 MPa, as illustrated in Figure 16a. The lightweight
concrete used for cavity backfilling increases the upper load of the steel shield and support
system. The filled concrete restores the arch defect caused by the cavity collapse, creating
an arch effect within the tunnel and optimizing the stress distribution of the rock mass.
In comparison to the reinforcement stage, the stress distribution of the shield structure
during the cavity backfilling stage does not change significantly. The concentrated stress
region at the top of the shield reduces, and the maximum compressive stress decreases
from 6.96 MPa to 6.61 Mpa, as illustrated in Figure 16b. After the TBM excavates through
the collapsed section, the shield structure enters the intact rock mass, and the concentrated
stress in the collapsed zone is borne by the arch structure of the densified segment. The
stress cloud maps show that the concentration of stress at the top of the TBM steel shield
disappears, and the tensile stress significantly decreases, with the maximum compressive
stress dropping from 6.61 Mpa to 3.67 Mpa. As the tunneling progresses, the maximum
compressive stress of the shield structure shifts from the top to the bottom of the shield,
with the bottom bearing 1.38 times the stress of the top, as shown in Figure 16c. Based on
the stress characteristics of the TBM steel shield in three stages, it is evident that the peak
Buildings 2024, 14, x FOR PEER REVIEW 16 of 19
stresses in the shield structure are below the material strength. This indicates that the cavity
backfilling measures effectively control deformation, thus preventing TBM jamming.

(a) (b) (c)

Figure
Figure16.16.
Stress distribution
Stress distributionofofTBM
TBMshield
shield during
during TBM tunneling: (a)
TBM tunneling: (a) reinforcement
reinforcementstage,
stage, (b)
backfill stage,stage,
(b) backfill and (c)
andre-excavation stage.
(c) re-excavation stage.

Figure
Figure 1717 presents
presents the
the stressdistribution
stress distributioncloud
cloudmapmapofofthethedensified
densifiedsegment
segmentarch arch of the
of the
TBM. TBM.
Prior Prior to entering
to entering the collapsed
the collapsed zone, the zone, the densified
densified segment segment arch serves
arch serves as a
as a supporting
supporting structure, shouldering a fraction of the concentrated stress in that area. Stress
structure, shouldering a fraction of the concentrated stress in that area. Stress distribution
distribution within the arch varies from −1.28 MPa to −0.092 MPa (with “-” indicating
within thestress).
tensile arch varies from
Notably, −1.28stress
tensile MPa istomost
−0.092 MPa (with
prominent “-” arch’s
at the indicating
crown,tensile stress). Nota-
intensifying
bly,astensile
the arch nears the collapsed cavity. The highest compressive stress is observed at nears
stress is most prominent at the arch’s crown, intensifying as the arch the the
collapsed
crown of cavity. Thearch
the first highest
behindcompressive stress is
the TBM shield. observedcavity
Following at thebackfilling,
crown of the rock first arch be-
mass
hind the distribution
stress TBM shield.isFollowing
optimized, cavity backfilling,
leading rock mass
to a narrowed stress
stress rangedistribution
for the arch, is optimized,
now
spanning
leading to a from −0.43stress
narrowed MPa to 0.073for
range MPa.theThe
arch,peak
now tensile stressfrom
spanning in the−0.43
steelMPa
arch remains
to 0.073 MPa.
Theatpeak
the crown
tensileofstress
the first archsteel
in the behind
archthe TBM shield.
remains at the As the TBM
crown of theprogresses, distancing
first arch behind the TBM
itself from the collapsed zone, the densified segment arch takes on the
shield. As the TBM progresses, distancing itself from the collapsed zone, the densified segment primary load-
bearing role for concentrated stress in that area. The stress distribution range widens
arch takes on the primary load-bearing role for concentrated stress in that area. The stress dis-
within the collapsed zone, ranging from −2.22 MPa to −0.29 MPa, with the maximum
tribution rangestress
compressive widens within at
persisting thethe
collapsed zone,Notably,
arch’s crown. rangingthe from
peak−2.22 MPa
stress to −0.29
location MPa,
shifts to with
thethe
maximum
boundarycompressive stress
of the collapsed persisting
zone. During theat the arch’s
cavity crown.plan’s
treatment Notably, the peakphase,
construction stress loca-
tion shifts to the boundary of the collapsed zone. During the cavity treatment plan’s construc-
tion phase, rock mass displacement and deformation stabilize, with both tensile and compres-
sive stresses in the TBM steel shield and initial support steel arch staying below material
strength. Implementing the proposed treatment plan for the open-type TBM cavity collapse
ensures stable rock mass conditions and the safety of the support structure.
 leading to a narrowed stress range for the arch, now spanning from −0.43 MPa to 0.073 MPa.
The peak tensile stress in the steel arch remains at the crown of the first arch behind the TBM
shield. As the TBM progresses, distancing itself from the collapsed zone, the densified segment
arch takes on the primary load-bearing role for concentrated stress in that area. The stress dis-
Buildings 2024, 14, 625 16 ofMPa,
18 with
tribution range widens within the collapsed zone, ranging from −2.22 MPa to −0.29
the maximum compressive stress persisting at the arch’s crown. Notably, the peak stress loca-
tion shifts to the boundary of the collapsed zone. During the cavity treatment plan’s construc-
rock mass
tion displacement
phase, rock mass and deformation
displacement andstabilize, withstabilize,
deformation both tensile and tensile
with both compressive
and compres-
stressessive
in the TBM steel shield and initial support steel arch staying below material
stresses in the TBM steel shield and initial support steel arch staying below material
strength. Implementing
strength. the proposed
Implementing treatment
the proposed plan forplan
treatment the for
open-type TBM cavity
the open-type TBMcollapse
cavity collapse
ensuresensures
stable rock mass conditions and the safety of the support structure.
stable rock mass conditions and the safety of the support structure.

(a) (b)

(c)
Figure
Figure 17. 17. distribution
Stress Stress distribution of during
of arch arch during
TBMTBM tunneling:
tunneling: (a) reinforcement
(a) reinforcement stage,
stage, (b)(b) backfill stage,
backfill
and (c) re-excavation stage.
stage, and (c) re-excavation stage.

5. Conclusions
The large-scale collapse of the gripper TBM during the excavation of the diversion
tunnel was studied. Various methods, such as TSP seismic wave detection, CFC advanced
water detection, the laboratory point load test, and the packer permeability test, were used
to analyze the causes of the large-scale collapse comprehensively. A TBM collapse disposal
technique was proposed, thus involving the construction of a protective shell inside the
cavity of the arch. The following conclusions were drawn:
(1) The TSP seismic wave detection results indicate that the surrounding rock near the
collapse cavity is characterized by joint fissures and fold development, with the rock
mass being fragmented and of lower strength. CFC advanced water detection results
show that the average dielectric constant of the surrounding rock in the collapse cavity
is 2.841, with only a tiny number of water-filled fissures present in the rock mass. Point
load test results indicate a logarithmic decrease in the uniaxial compressive strength
of the rock as the sampling location approaches the collapse area. Packer permeability
tests uncover notable water-softening characteristics in the biotite-quartz schist. The
collapse zone experiences extensive instability and collapse due to joint fissures, rock
fragmentation, weak interlayer bonding, and a limited amount of groundwater. These
factors, compounded by the cutting action of the cutterhead and vibrations, constitute
the fundamental reasons behind this issue.
(2) A three-step treatment scheme of “Reinforcement-Backfill-Re-excavation” is proposed
in view of the characteristics of forming a stable collapse cavity in the collapse zone.
The reinforcement stage adopts measures to reinforce the cavity rock and strengthen
the support structure based on numerical simulation and calculations, forming a
support system consisting of both the TBM shield and the dense steel arch. The
deformation of the surrounding rock reaches a maximum of 3.58 mm during the
Buildings 2024, 14, 625 17 of 18

implementation of the treatment scheme, which is the largest value observed during
the construction. The surrounding rock has no sudden deformation in the backfill
and re-excavation stage, and the risk of jamming is minimized. The most critical
arch position shifts from the first arch behind the TBM shield to the boundary of the
collapse zone with the implementation of the treatment scheme, and the peak stresses
in the steel arches occur at the arch crowns.
(3) The construction steps of the stable collapse repair scheme include collapse cavity
reinforcement, enhanced support, construction platform setup, coving construction for
the cutterhead, the backfilling of the collapse, an adjustment of excavation parameters,
and a gradual reinforcement of the support. After verification through calculations,
the scheme has been successfully applied to treat the collapse zone. It maximizes the
use of stable cavity space as a construction platform, reducing the treatment time
from 28 days to 13 days. This significantly enhances construction efficiency for the
cutterhead protective layer and collapse backfilling. The scheme serves as a valuable
reference for addressing collapses with a stable cavity space.

Funding: This research was funded by the Tunnel and Underground Engineering New Technology
and Application Innovation Team of Shaanxi Province Science and Technology Innovation Team
Project (No. 2020TD-005).
Data Availability Statement: All data that support the findings of this study are available from the
corresponding author upon reasonable request.
Conflicts of Interest: Author Tengtian Yang was employed by the company China Railway Construc-
tion Bridge Engineering Bureau Group Co., Ltd. The author declares that the research was conducted
in the absence of any commercial or financial relationships that could be construed as a potential
conflict of interest.

Appendix A. Tunnel Seismic Prediction (TSP) and Complex Frequency Conductivity (CFC)
Appendix A.1. Tunnel Seismic Prediction (TSP)
Tunnel Seismic Prediction (TSP) stands as a cutting-edge technique employed for
subsurface exploration. Its fundamental principle involves generating seismic waves
within underground structures and subsequently measuring and analyzing the propagation
characteristics of these waves to extract geological and structural information. By detecting
reflections and refractions at different subsurface layers, TSP provides crucial insights into
the nature of underground structures, soil properties, and potential hazards.

Appendix A.2. Complex Frequency Conductivity (CFC)

Complex Frequency Conductivity (CFC) emerges as a novel electromagnetic wave
exploration technique, abbreviated as CFC. This method relies on measuring the response of
subsurface media to electromagnetic waves and analyzing variations in complex frequency
conductivity to infer properties of the underground medium. CFC finds widespread
applications in water resource exploration and underground water level monitoring.

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