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A Research on Design, Construction, and Environmental Impacts of Tunnel Excavations

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A Research on Design, Construction, and Environmental Impacts of Tunnel Excavations

Tunnel excavations are an essential component of modern geotechnical engineering, as

they allow us to access underground spaces and resources that would otherwise be impossible to

reach. Tunnels are used for various purposes, from transportation and communication networks

to water supply and energy distribution systems. They are a critical part of the infrastructure of

many cities and regions worldwide.

The tunnel excavation process involves removing soil or rock from underground to create

a passage or cavity. The excavation methods utilized are contingent upon the geological

characteristics of the surrounding soil or rock, the tunnel's depth, and the tunnel's proposed

purpose. In some cases, hand excavation may be used, while in others, heavy machinery and

explosives are required. One of the most significant challenges in tunnel excavation is ensuring

the stability and safety of the tunnel and the surrounding geology (Aygar & Gokceoglu, 2020).

Factors such as soil or rock movement, water ingress, and ground settlement can all pose risks to

tunnel stability and must be carefully managed to ensure the safety of workers and the public.

As such, tunnel excavation requires a high level of expertise in geotechnical engineering,

with engineers and geologists working together to assess ground conditions, design excavation

techniques, and monitor tunnel stability during construction. Advances in technology, such as

computer modeling and real-time monitoring systems, have made it possible to improve the

accuracy and safety of tunnel excavation and reduce the risks associated with this process.

Overall, tunnel excavation is a complex and challenging aspect of geotechnical

engineering that requires a deep understanding of the surrounding geology and a commitment to

safety and environmental responsibility. With careful planning, innovative technology, and

expert management, tunnels can be constructed to provide safe and efficient access to
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underground spaces and resources, supporting a wide range of critical infrastructure projects

worldwide.

Brief Tunnel Excavation

Tunnel excavation is the process of creating a passageway or cavity beneath the ground's

surface. This process is essential in geotechnical engineering as it allows us to access

underground spaces and resources that would otherwise be inaccessible. The depth, geology of

the surrounding soil or rock, and the intended use of the tunnel all play a significant role in

selecting excavation techniques.

Tunnel Excavation Methods

There are several tunnel excavation methods. Here are a few examples:

Drill and Blast Method: The drill and blast method involve drilling holes into the rock

or soil and then blasting the material to create a tunnel. The blast design and calculations involve

mathematical formulas considering the explosive type and quantity, rock properties, and blast

pattern (Gu et al., 2022).

Tunnel Boring Machines (TBMs): TBMs are giant machines that dig tunnels by

manually breaking and removing soil or rock. The mathematical calculations for TBMs involve

determining the optimal TBM size, speed, and power requirements based on the geological

conditions and tunnel specifications. The mathematical principles include torque and power

calculations, soil mechanics, and the machine's efficiency.

Cut and Cover Method: The cut and cover method involve digging a trench,

constructing the tunnel, and then backfilling the trench. The mathematical principles behind this
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method include calculating the trench dimensions, the amount of soil required for backfilling,

and the design of the tunnel support system.

New Austrian Tunneling Method (NATM): The NATM involves the excavation of the

tunnel in small sections, using a combination of shotcrete, rock bolts, and wire mesh to provide

support. The mathematical principles involved in this method include the calculation of the

appropriate dimensions for each section, the design of the shotcrete mix and thickness, and the

spacing and design of the rock bolts and wire mesh.

Sequential Excavation Method (SEM): The SEM involves the excavation of the tunnel

in small steps, with each stage supporting the previous one. The mathematical principles

involved in this method include calculating the optimal step size, the design of the support

system, and the determination of the stability of the excavation face.

Tunnel excavation methods involve various mathematical principles, including blast

design, soil mechanics, machine efficiency, support system design, and stability calculations.

Using these mathematical principles, geotechnical engineers can select and optimize the

excavation method to ensure safe and efficient construction. However, the tunnel excavation

process presents various challenges, the most significant of which is ensuring the stability and

safety of the tunnel and the surrounding geology (Lv et al., 2020). The tunnel excavation process

often involves cutting into the ground, which can cause the surrounding soil or rock to move,

leading to instability and risks to the tunnel's stability. Additionally, water ingress into the tunnel

can significantly threaten the structure's stability and construction personnel's safety.

To address these challenges, engineers and geologists work together to assess ground

conditions and design excavation techniques that are safe and environmentally responsible. One
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approach to addressing these challenges is using rock reinforcement techniques, such as rock

bolts, mesh, and shotcrete. These techniques can improve the stability of the surrounding rock

mass and reduce the risk of rock falls.

Another approach is to install monitoring systems that provide real-time data on ground

movement, water ingress, and other factors that may affect the tunnel's stability. This data can be

used to modify excavation techniques and other tunnel design features to ensure the safety and

integrity of the structure. Tunnel excavation is a complex process that requires expertise and a

deep understanding of the surrounding geology. Using appropriate excavation techniques, rock

reinforcement techniques, and monitoring systems, geotechnical engineers can reduce the risks

associated with tunnel excavation and ensure safe and efficient access to underground spaces and

resources.

Objectives

The objectives covered in this study of tunnel excavations include the following:

1. To determine the stability of the tunnel during and after construction:

Comprehending the geology of the tunnel site is crucial since the geological features of

the surrounding rock and soil are critical factors.

2. Managing the risk of ground movement and water ingress: Ground movement, water

ingress, and other factors can pose significant risks to the stability of the tunnel. In this

research, another objective is to identify and manage these risks through monitoring

systems, rock reinforcement techniques, and appropriate excavation methods.

3. Ensuring environmental responsibility: Tunnel excavation can significantly impact the

environment, and engineers must design and construct tunnels to minimize these impacts.
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4. Maintaining the safety of construction personnel and the public: Tunnel construction

presents numerous risks to workers and the public. Safety measures must be put in place

to ensure the safe construction and operation of the tunnel.

By understanding the site's geology, selecting the appropriate excavation method,

developing a tunnel support system, managing risks, and ensuring safety and environmental

responsibility, engineers can achieve these objectives and create tunnels that are critical

components of modern infrastructure.

Motivation

This research is motivated by safety and compelling transportation systems concerns in

most mining firms and underground resources access. Tunnels are critical to modern

infrastructure, providing safe and efficient transportation for people, goods, and resources.

Tunnels also play a vital role in mining and other industries, providing access to underground

resources and developing new technologies.

Geotechnical engineers are responsible for designing and constructing safe, stable, and

environmentally sustainable tunnels. This process requires a deep understanding of the geology

of the surrounding rock and soil, as well as the appropriate excavation methods and support

systems necessary to ensure the stability of the tunnel.

Studying tunnel excavations in geotechnical engineering also involves managing risks

associated with ground movement, water ingress, and other factors that can pose a significant

threat to the tunnel's stability. Engineers must implement monitoring systems and rock

reinforcement techniques to manage these risks effectively and ensure the safety of construction

personnel and the public (Rehman et al., 2020). Additionally, studying tunnel excavations in
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geotechnical engineering involves environmental responsibility. Tunnel construction can have a

significant impact on the environment, and engineers must design and construct tunnels in a way

that minimizes these impacts.

The primary motivation behind studying tunnel excavations in geotechnical engineering

is to create safe and efficient transportation systems, access underground resources, manage

risks, and ensure environmental responsibility. Engineers can contribute to the development of

modern infrastructure and the growth of industries while minimizing the impact on the

environment and ensuring the safety of workers and the public.

Literature Review

Gu et al. (2021) explored the effect of tunnel excavation on adjacent pile foundations by

conducting a random finite difference analysis that considers the spatial variations of soil

properties. The analysis varies several factors, including the distance of the pile away from the

tunnel centerline, the pile length and diameter, the tunnel depth, and the anisotropic ratio

between the horizontal and vertical scales of fluctuation (Sun et al., 2022). The authors easily

represented results to provide guidelines for tunnel excavation in complex constructed

environments. In their study, Gu et al. (2021) utilize the Markov autocorrelation function to

model the spatial variability of soil properties in random field modeling. The seepage continuity

equation is given by:

∂ (θρ )
+∇ · ( q ρ ) =S
∂t

Where θ is the porosity of the soil, ρ is the density of water, t is time, q is the Darcy flux

density vector, and S is the volumetric source term. This equation is a fundamental tool in
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hydrogeology and soil mechanics, allowing engineers to model and predict the movement of

groundwater and the associated seepage through porous media.

By applying Darcy's law, the equation for the seepage continuity can get rewritten as:

Q=−kA ( dhdL )
Where Q is the seepage discharge, k is the hydraulic conductivity of the soil, A is the

dh
cross-sectional area perpendicular to the flow direction, is the hydraulic gradient, and the
dL

negative sign indicates the flow direction from higher to lower hydraulic potential.

∂ (θρ )
In extended form, it gets to: +∇ · [K ( ∇ h ) ρ]=Q
∂t

The Markov autocorrelation function is a mathematical function that characterizes the

correlation between neighboring data points in a random field, a mathematical tool used to

represent the spatial variability of a property (Wang et al., 2022). The Markov autocorrelation

function is particularly useful in modeling soil properties because it can capture the non-

stationary nature of the soil properties and account for the spatial dependence between

neighboring data points.

{ [( ) ( )] }
2 1
τh 2 τv 2
ρ ( τ h , τ v ) =exp −2 + (1)
δx δy

In this equation, ρ represents the correlation coefficient between two points in a 2-D

space, where τ_h and τ_v are the horizontal and vertical distances between the two points,

respectively. The terms δ_x and δ_y represent the horizontal and vertical scales of fluctuation,

respectively.
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The Markov autocorrelation function describes the correlation between two data points in

a random field by quantifying how the correlation coefficient decays with distance. The equation

indicates that the correlation coefficient decreases exponentially with increasing distance

between two data points, and the scales of fluctuation, δ_x, and δ_y, determine the decay rate.

Figure 1
Tunnel Depth by GU et al (2021)

The results by Gu et al. from the figure represent information for three different values of

the pile distance from the tunnel centerline (4.5 m, 5.5 m, and 7.5 m) and different values of pile

length, diameter, tunnel depth, and anisotropic ratio. The table provides the pile depth where the

maximum mean pile deflection occurs for each set of parameters.

Aygar and Gokceoglu(2020) focused on the challenges faced while excavating a railway

tunnel in Turkey. The tunnel section between Km:57K and Km:57.66K comprises various

geological units, including silty clay/clayey silt, sand, and clay units of the Gemiciköy formation.

The sand units are satisfactory to medium-grained, light brown-beige, very stiff, and locally
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poorly cemented, while the clay units are brown and greenish-gray. The excavation process

encountered several challenges, such as the squeezing and swelling of materials, groundwater

inflow, and rock falls. The study recommends various engineering measures to overcome these

challenges, such as installing steel ribs and wire mesh, using shotcrete and rock bolts, and

implementing drainage systems to control groundwater inflow. These measures will enhance the

stability of the tunnel and reduce the risk of accidents during and after construction.

Figure 2
Collapse at Tunnel by Ebu and Gokceogglu (2020)

The stability of tunnel ceilings and faces is a critical factor in excavating tunnels through

weak ground conditions, according to the findings of Ebu and Gokceoglu's (2020) study. The

authors recommend using the shotcrete method on the tunnel face to eliminate air contact after

each excavation and installing rock bolts to ensure the stability of the tunnel face. For the
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strength of the tunnel ceiling, the foreboding method should get implemented with an overlap

distance of half an umbrella length. A rigid tunnel support system must be applied in an inner-

city tunnel planned to be excavated through weak ground conditions under a shallow overburden

thickness.

The inner lining of the tunnel should be equipped with steel reinforcements to prevent

long-term deformations and resist earthquake loads. In cohesionless sandy and silty units, a self-

drilling rock bolt should get used with drilled hole diameters at least three times larger than the

bolt diameter. These measures provide a framework for safe and effective tunneling in weak

ground conditions.

Design, Soil analysis and excavation after-effects

The soil at top-down level stress analysis during excavation

Overview

To effectively execute an analysis of the top-down method, commencing from the

uppermost layers and proceeding downwards, evaluating the soil's stress and strength

possibilities is necessary. Furthermore, it is imperative to investigate the capacity of the walls to

withstand increased pressure. One may adopt the modified Mohr-Coulomb constitutive model to

describe these soil materials' behavior. A practical model basis on the assumption that the soil

materials are elastic and follow a linear stress-strain relationship up to a certain point, beyond

which they exhibit plastic deformation. The model also considers the frictional and cohesive

forces acting within the soil, which can affect its strength and stability.

It is possible to assess the stress ratings of each of the five layers of soil materials

identified in the investigation report. The stress ratings would depend on various factors, such as
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the depth of the layer, the type of soil material, and the stresses acting on it. The report may

provide specific values for parameters such as the shear strength, cohesion, and angle of internal

friction for each layer of soil, which can get used to estimate the maximum stress levels the

ground can withstand before it starts to fail.

Modelling

It is important to note that the behavior of soil materials can be complex and difficult to

predict with absolute certainty, especially in situations where the stresses acting on them are

dynamic or variable. Therefore, it is essential to continuously monitor and assess the soil

materials' stability during the tunnel's construction and operation to ensure the safety of the

workers and the infrastructure.

Figure 3
Tunnel Excavation Layer
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The finite element model shown in the figure is a numerical representation of the soil nail

wall, which is used to simulate and analyze the behavior of the wall under different loading and

boundary conditions. The model consists of small elements, each representing a small volume of

soil in the wall. The model can be used to predict the wall's deformation, stress distribution, and

failure mechanisms by applying appropriate boundary conditions. The stress distribution can get

used to identifying areas of the wall that may be prone to failure due to high-stress

concentrations. This information can get used to optimize the design and construction of the

wall, leading to better performance and increased safety in excavation projects.

Figure 4
Displacement Distribution
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The image shows displacement distribution within the soil-nailed wall and the adjacent

structure. The different colors indicate different levels of displacement, with red indicating high

displacement and blue indicating low displacement. The displacement distribution can identify

areas of the wall and adjacent structure that may be under high stress and, therefore, more prone

to failure (Wang et al., 2022). When excavation is initiated, the ground's surface gets stressed

following the recess. This change in pressure can cause the soil to deform and settle, which can,

in turn, affect the stability of the excavation. In the figure, the color contour plots represent the

distribution of vertical stress and horizontal displacement within the soil mass at different stages

of excavation. The red and yellow colors indicate higher stress levels, while the blue and green

colors indicate lower stress levels.

The white dashed lines represent the excavation boundary, which moves deeper into the

soil as the excavation progresses. As seen in the figure, the stress distribution is not uniform, and
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the highest stress levels are concentrated near the excavation boundary. As the excavation

progresses, the stress distribution changes, decreasing stress levels as the pit moves deeper into

the soil.

When excavation is initiated, the ground's surface gets stressed following the recess. This

change in pressure can cause the soil to deform and settle, which can, in turn, affect the stability

of the excavation. The color contour plots represent the distribution of vertical stress and

horizontal displacement within the soil mass at different stages of excavation. The red and

yellow colors indicate higher stress levels, while the blue and green colors indicate lower stress

levels. The white dashed lines represent the excavation boundary, which moves deeper into the

soil as the excavation progresses. The stress distribution is not uniform, and the highest stress

levels are concentrated near the excavation boundary. As the excavation progresses, the stress

distribution changes, decreasing stress levels as the pit moves deeper into the soil.

Surface soil subsidence and settlement with excavation

Overview

When excavating a tunnel, the topsoil and surrounding soil structure can experience

significant changes, leading to various types of settlements. Depending on the soil type and

characteristics, different types of soil settlements can occur, including immediate and long-term

sediment formation. Prompt sediments arise as a result of the removal of soil, while long-term

deposits can take place over an extended period.

The degree and measure of settlements can vary significantly, depending on the tunnel's

depth, the soil's properties, and the excavation method used. Shallow tunnels tend to

substantially impact surface settlements, as the overlying soil structure is thinner and more
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vulnerable to movement (Wang et al., 2022). In contrast, deeper tunnels tend to have a lesser

impact on surface settlements, as the weight of the overlying soil helps to distribute the load and

minimize the risk of soil deposits.

It is essential to consider the type of soil structure when designing and constructing a

tunnel, as different soils have different properties and can respond differently to excavation. For

instance, cohesive soils tend to have a higher degree of immediate settlement, while non-

cohesive soils tend to have a higher degree of long-term soil deposits and sediments. Moreover,

the properties of the earth can affect the type of support and reinforcement required to maintain

stability and safety during the excavation process.

Figure 5
Ground settlements resulted from excavations (Zhang et al., 2021)

The figure above shows ground settlements resulting from the excavation. In most cases,

the topsoil is displaced due to high-pressure, and common traces can be found on road cracks or

displaced soil. It gets necessary to implement rigorous construction control measures. These

measures may include monitoring and measuring the degree of settlements, installing temporary

support structures, and adjusting the excavation method based on the properties of the soil. By
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carefully considering the soil structure and implementing appropriate control measures, it is

possible to minimize the risk of accidents and ensure the successful completion of the tunnel

excavation project.

Figure 6
Surface deformation horizontal characteristics

When subjected to the self-weight stress field, the displacement field distribution exhibits

a horizontal strip pattern that undergoes fluctuations owing to variations in the element size in

the surrounding tunnel region. The maximum vertical deformation induced by the self-weight

stress field is -25.26 mm, with the direction pointing downward, indicating subsidence. In the

horizontal direction, the displacement change takes on a "butterfly shape." After excavation, the

resulting displacement manifests as follows: the maximum vertical displacement is

approximately 38.40 mm, with the largest displacement occurring at the vault.

Figure 7
Axial Force Variation Curve
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The axial force variation curve for the first layer of concrete of props ZL 1∼ZL 5

concerning time is depicted. The axial force exhibited a relatively uniform development trend,

and the fluctuations tended to stabilize after reaching a maximum value about two weeks after

the concrete was poured. Among the monitored props, ZL 3, situated at the corner of the

foundation pit, showed the largest axial force, indicating that it bore the primary external load

caused by excavation (Mei et al., 2022). On the other hand, ZL 1, located at the corner of the

foundation pit, exhibited the smallest axial force, which gently changed. This observation

suggests that the spatial effect of the structure was obvious, and it corresponds to the deep

horizontal displacement of the wall.

As the excavation progressed, the first strut displayed an upward trend with the depth of

the excavation, indicating that the active earth pressure increased. Consequently, the force shared

by the two struts gradually increased, which is consistent with the increasing trend of the struts.

Upon the installation of the second prop, it shared the pressure of the pit-side soil, resulting in a

decrease in the axial force of the first prop. In addition, during the support removal process, the
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removal of each strut had a significant impact on the axial force of the adjacent strut. Therefore,

the design should concentrate fully on the mutation impact on the prop.

Conclusion

The study further reveals that excavating the foundation pit causes deformation of the

diaphragm wall, and the maximum axial force of the lining tends to increase. After considering

the effect of pore water pressure, the location and distribution of the maximum deformation of

the underground diaphragm wall changed significantly, taking on a "dumbbell shape"

distribution. The study has led to significant conclusions, including the finding that the combined

use of pipe sheds and advanced small pipe grouting measures results in low levels of surface

settlement caused by tunnels, thus satisfying safety requirements. Furthermore, for constructing

ultra-close proximity tunnels beneath highways, the reinforcement measures of pipe sheds and

advanced small pipe grouting prove highly effective in controlling surface settlement.

It is clear that by implementing advanced small pipe reinforcement measures, the

maximum surface settlement value decreased by approximately 25% compared to cases without

reinforcement measures. Moreover, after adopting the combined reinforcement measures of the

large pipe shed and advanced small pipe grouting, the maximum surface settlement value

decreased by roughly 60% compared to cases without reinforcement measures. Notably, adding a

large pipe shed resulted in a more significant reinforcing effect than advanced small pipe

grouting measures alone. We can summarize the conclusions below:

1. The surface settlement resulting from the excavation of ring soil represents a significant

proportion of the total settlement value, with estimates ranging from 50% to 60%. In
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comparison, the surface settlement caused by the excavation of core soil and lower bench

accounts for a comparatively smaller percentage, ranging from 23% to 35% and 15% to

20% of the total settlement value, respectively.

2. With reinforcement measures, the final surface settlement reduces by 18.5 mm compared

to the absence of reinforcement measures. Specifically, after the excavation of annular

soil, the application of these combined reinforcement measures resulted in a reduction of

surface settlement by 12.7mm compared to cases without any reinforcement measures.

3. Within soft soil foundations subject to seepage conditions, it has been observed that the

preponderance of the maximum vertical displacement of the ground surface is

concentrated near the diaphragm wall at each stage of excavation. A noteworthy trend has

emerged, whereby a gradual decrease follows an initial increase in the maximum vertical

displacement of the ground surface as excavation depth increases and the directionality of

displacement moves away from the excavation face.

The diaphragm wall is a pivotal structural element used in foundation pit construction,

serving to withstand the forces of earth pressure and providing a crucial defense against seepage.

Monitoring the behavior of the diaphragm wall and its interactions with the surrounding

environment is paramount to ensure safe construction practices. To this end, close attention

should get to the water levels surrounding the foundation pit changes. These changes can be a

harbinger of reduced support capacity within the retaining structure. Monitoring foundation pit

settlements can help identify any potential issues related to these changes in water level, thereby

enabling timely remediation and the maintenance of safe working conditions.

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References

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excavation in squeezing and swelling materials and possible engineering measures: A case

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https://doi.org/10.3390/su12031166.

Gu, X. et al. (2022) “Numerical investigation of pile responses induced by adjacent tunnel

excavation in spatially variable clays,” Underground Space, 7(5), pp. 911–927. Available

at: https://doi.org/10.1016/j.undsp.2021.09.003.

Lv, Y. et al. (2020) “A review of the effects of tunnel excavation on the hydrology, ecology, and

environment in karst areas: Current status, Challenges, and perspectives,” Journal of

Hydrology, 586, p. 124891. Available at: https://doi.org/10.1016/j.jhydrol.2020.124891.

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