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Tunnelling and Underground Space Technology 35 (2013) 178188

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Tunnelling and Underground Space Technology

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Design of sequential excavation method for large span urban tunnels

in soft ground Niayesh tunnel
Mostafa Sharifzadeh a,, Farshad Kolivand b, Masoud Ghorbani a,c, Shahaboddin Yasrobi d
a

Department of Mining and Metallurgy Engineering, Amirkabir University of Technology, Tehran, Iran
Department of Mining Engineering, Sahand University of Technology, Tabriz, Iran
c
P.O.R Consulting Co., Tehran, Iran
d
Department of Civil and Environmental Engineering, University of Tarbiat Modarres, Tehran, Iran
b

a r t i c l e

i n f o

Article history:
Received 31 July 2012
Received in revised form 21 December 2012
Accepted 4 January 2013

Keywords:
Soft ground
Sequential excavation methods
Surface settlement
Large span tunnels
Sequencing schemes
Trailing distance

a b s t r a c t
Modern tunnel design and construction requires appropriate techniques and technologies during all
phases of a tunnel project. Selecting a suitable excavation procedure for large span urban tunnel projects
in soft ground is a key factor for successful construction of the project. The costs and time for tunnel construction are strongly inuenced by the choice of the excavation procedure. This research focuses on the
selection of excavation method, excavation sequence and optimum trailing distance between different
excavation stages in soft ground urban tunnelling. Considering soft ground condition and the big cross
section of the Niayesh urban road tunnel project, sequential excavation method (SEM) was selected for
tunnel construction. In this phase, Central Diaphragm (CD) and Side wall Drift (SD) methods were proposed for tunnel construction and appropriate method was selected based on its potential to limit surface
settlements. Then, different excavation sequences considering side wall drift method were planned and
modelled using three dimensional nite element method and optimal excavation sequence was selected.
Finally, the trailing distance between different excavation stages were analysed numerically and the optimal distance with minimum surface settlement was determined.
2013 Elsevier Ltd. All rights reserved.

1. Introduction
With rapid development of cities, the accelerated urbanisation
has made the development and utilisation of underground spaces
become the very important factor affecting the sustainable development of urban society. When a large span tunnel or underground
space is excavated, it inevitably disturbs the in situ stress eld
which causes ground movements leading to surface settlement,
which may cause serious damage to adjacent structures.
Tunnel design and construction requires the use of appropriate
techniques and technologies during all phases of a tunnel project.
Selecting an appropriate excavation procedure for large span urban
tunnel projects in soft ground is a key factor for successful completion of the project. The costs and time of tunnels construction are
strongly inuenced by the excavation procedure. During the selection of excavation procedure, it needs to take into account many
considerations such as operational, economic, and environmental
issues in tunnelling eld. The ground surface settlement induced

Corresponding author. Address: Department of Mining and Metallurgy Engineering, Amirkabir University of Technology (Tehran Polytechnic), 424 Hafez Ave.,
Tehran 15657-4413, Iran. Tel.: +98 21 64542952, +98 912 516 0311 (Cell); fax: +98
21 640 5846.
E-mail address: [email protected] (M. Sharifzadeh).
0886-7798/$ - see front matter 2013 Elsevier Ltd. All rights reserved.
http://dx.doi.org/10.1016/j.tust.2013.01.002

by tunnelling varies according to different construction approaches

used for different tunnel cross sections. Even in the same cross section, different construction approaches lead to different settlements. It implies that the construction approaches have a
signicant effect on the ground surface settlements.
Decision-making about appropriate excavation techniques often is faced a dilemma. In the last decades, attempts have been
made to design excavation methods for urban tunnelling. There
are some technical and economical constraints. Jethwa (2001) describes a variety of excavation methods as a function of unconned
compressive strength (UCS) of ground material. Comparative study
of the available techniques for tunnelling in relation to some of the
important parameters such as cost, advance rate of tunnelling,
nancial management, and geometric requirements of a tunnel
are compiled by Jethwa (2001). While executing a tunnelling project in urban areas, tunnel face is partitioned to have temporary
drifts in order to promote the face stability and to reduce surface
deformations and settlements, that it is called sequential excavation method (SEM) (U.S. DTFHA, 2009). The sequencing schemes
in these methods are inuenced signicantly by tunnelling performance. Selection of excavation method and sequencing schemes
for an urban tunnel should be typically based on complicated interactions occurring between several factors such as safety, cost and
schedule considerations (Hoek, 2001).

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Since the urban tunnelling is characterised by shallow depth,

weak ground, passing through a populated area and presence of
sensitive surface and subsurface structures, limiting the surface
settlements through the appropriate tunnelling procedure becomes the major concern in all aspects of design and construction
methods. Although there are some technical and economical issues
available, so far any coherent methodologies have not been developed to detect the appropriate construction procedure yet.
In the current study, a coherent methodology was used to address the followings: (i) a suitable excavation method for large
span urban tunnels in soft ground; (ii) an appropriate excavation
sequence; and (iii) a proper trailing distance between different
excavation stages. This study focuses on shallow urban tunnels in
soft grounds so that squeezing ground condition was not
considered.

2. Geological and geotechnical investigation

Niayesh road tunnel project is a mouth shaped twin tunnel
(North and South tunnels) which is under construction in urban
area between Niayesh and Sadr highways in Tehran, Iran (Fig. 1).
This project is the biggest tunnelling project in urban areas in
the Middle East for its length, big cross sections and step of
the route. The height and width of 3.5 lane cross section of the
tunnel are 10.9 m and 18 m respectively with net excavation
area of 186 m2. The tunnel cover depth to equivalent diameter
ratio is equal to 1, representing a shallow tunnel in an urban
setting. A plan of Niayesh road tunnel project is illustrated in
Fig. 1.
General geology of the project region basically represents the
distribution of the Pliocene and Quaternary alluvial and glacial
deposits in Tehran plain (Fig. 2). From the geological point of view,
the tunnels are located in Tehran Alluvium which is divided into
four formations based on geological characteristics: A (Hezardarreh formation), B (Kahrizak formation), C (Tehran Alluvial formation) and D (Recent Alluvium). The Tehran Alluvium formation
characteristics such as; grain size, compaction and thickness were
given in Table 1.
According to geology and geotechnical investigations and results of 20 boreholes with 2545 m depth and 24 test pits with
1030 m depth which were excavated to examine subsurface layer

Fig. 2. Stratigraphy of Tehran Alluviums formations.

Table 1
Summary of geological characteristics of Tehran Alluvium formations.
Formation
name

Grain size

A Hezardarreh

Sandy gravel
sand, dipped
Sandy gravel
boulders
Sandy gravel

B Kahrizak
C Tehran
alluvial
D Recent
alluvium

to gravelly
bedding
to gravelly sand,
to gravelly sand

Sandy gravel to gravelly sand

Compaction

Thickness
(m)

High
cemented
Medium
cemented
Medium
cemented
Uncemented

>1000
60
60
<10

conditions along the Niayesh tunnels routes, The tunnel will pass
through A and B formations (P.O.R. Consulting Co., 2008).

Fig. 1. A plan of Niayesh road tunnel project in urban area in Tehran, Iran.

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The soil layers are composed of dense sandy gravels and also
sand, both contain silt and clay material. These materials contain
550% ne-grained soils. Moreover, silty and clayey interlayer
has been observed. The ground considered consists of a 15 m thick
mixed ll material including sand, gravel, and silty clay. Underlying the ll layer is an alluvial deposit extending below the tunnel
invert (P.O.R. Consulting Co., 2008).
3. Finite element simulation
3.1. The numerical method
Usually the excavation process is simulated step by step with
FEM modelling. Numerical analysis encompasses 1D, 2D and 3D
analysis. Based on the nature of stress and displacement distribution requires selection of 2D or 3D analysis. The use of 3D modelling is almost mandatory if one wants to correctly study the effects
of the tunnel excavation process, so that 3D models are under continuous development, and are being applied to increasingly complex problems. The use of 3D models can be useful to analyses
the real sequence of soil excavation, face reinforcing and tunnel
lining. In this research, 3D nite element models with the capability of simulating the sequential excavation processes were adopted
in order to simulate tunnelling process.

loading, soil shows a decreasing stiffness and simultaneously irreversible plastic strains develop. In the special case of a drained triaxial test, the observed relationship between the axial strain and
the deviatoric stress can be well approximated by a hyperbola.
Such a relationship was rst formulated by Kondner (1963) and later used in the well known hyperbolic model (Duncan and Chang,
1970). The Hardening-Soil model, however, supersedes the hyperbolic model by far; rstly by using the theory of plasticity rather
than the theory of elasticity, secondly by including soil dilatancy
and thirdly by introducing a yield cap.
As for the MohrCoulomb model, limiting states of stress are
described by means of the friction angle, u, the cohesion, c, and
the dilatancy angle, w. However, soil stiffness is described much
more accurately by using three different input stiffnesses: the triaxial loading stiffness, E50, the triaxial unloading stiffness, Eur, and
the oedometer loading stiffness, Eoed. As average values for various
soil types, we have Eur  3 E50 and Eoed  E50, but both very soft and
very stiff soils tend to give other ratios of Eoed/E50 (Users Manuals
of Plaxis 3D Tunnel 1.2, 2001). The shotcrete lining was assumed to
behave in a linear elastic manner. Table 2 summarises the geotechnical properties used in the analyses (P.O.R. Consulting Co., 2008).
The shotcrete lining properties which were used in modelling are
presented in Table 3.
3.3. Verication of the numerical model

3.2. Finite element model

Simulation of the SEM tunnelling process of Niayesh 3.5 lanes
cross section tunnels using plaxis 3D tunnel software was started
with the selection of the model geometry in three dimensions.
According to three dimensional stress distribution at tunnel face,
the 3D strain analysis were used to simulate the real tunnelling sequences, but for verication and calibration of the numerical model
2D and plane strain were used. Due to the asymmetry of the excavation sequences in the Central Diaphragm (CD) and Side wall Drift
(SD) excavation methods, the entire domain was considered in the
model. The total number of 30,000 three dimensional wedge isoparametric elements with 15 nodes were modelled (Fig. 3). Outer
boundaries of the were considered far from the tunnel so that they
were not inuenced by the analysis. The numerical model geometry
has 160 m (10.7 Tunnel Diameter (TD)) width, 75 m (5 TD) height,
and 150 m (10 TD) length. The model was xed in the horizontal
direction on each side, which means that vertical movement was allowed, and the bottom part of the boundary was pinned, so vertical
and horizontal movements were xed. As shown in Fig. 3, the top
surface of the model was free in both directions.
Considering the constitutive modelling, the soil layers were
modelled as hardening soil material. The Hardening-Soil model is
a model for simulating the behaviour of different types of soil, both
soft soils and stiff soils. When subjected to primary deviatoric

Prior to the main analysis, numerical models were developed

and veried based on measured data from Niayesh road tunnel
project. In Niayesh tunnel monitoring system were designed and
implemented to grasp the ground behaviour and support system
behaviour shown typical section in Fig. 4 and as follows:
(a) Tunnel under construction:
 Tunnel deformation were monitored by electronic total
stations using prismatic and geodetic reectors).
 Stress in the concrete lining were measured by strain
gauge and pressure cell.
(b) Ground around the tunnel under construction:
 Ground deformation at different depths measured by
extensometer.
 Surface settlement were monitored by settlement point
using leveling instruments.
Fig. 4 shows the schematic monitoring section of the Niayesh
tunnel route. The distance between monitoring sectionsare varies
from 5 m to 25 m based on the geotechnical condition. The number
of surface settlement points was dictated by surface conditions and
in most areas especially in urban areas, measuring the complete
surface settlement were impossible. The measured data which
were used for verication of numerical model were related to the
tunnel route in a green eld area where the tunnel was excavated
at a depth of about 15 m (1 Tunnel equivalent Diameter). Fig. 5
shows the verication results of the settlement trough estimated
by FEM results and measured data.
Fig. 5 shows good compliance between the numerical results
and eld measurement data. Therefore, it could be concluded that
the numerical model is veried and simulations could be carried
out on the developed model.
4. Conventional tunnel excavation methods in urban area

Fig. 3. Finite element model of Niayesh 3.5 lanes cross section tunnels.

Construction of tunnel in soft ground urban area encounter

many difculties such as face stability, ground surface settlement
and tunnelling-induced building damage. One of the popular
methods for tunnel design and construction in urban areas is the

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Table 2
Geotechnical properties of soil layers.
Depth
(m)

015
>15
a

Unsaturated
density cunsat
(kN/m3)

Saturated
density csat
(kN/m3)

Elasticity modulus

16
18

17
19

2.423  105
2.827  105

unloading, Eref
ur
(kN/m2)

K0 Value based on Jakys formula for various layers of soil: (K0 = 1

Elasticity
modulus secant,

Elasticity modulus

2
Eref
50 (kN/m )

edometer, Eref
Oed
(kN/m2)

8.077  104
9.423  104

8.077  104
9.423  104

Cohesion,
C (kN/m2)

Unloading/
reloading Poisson
ratio, tur

Internal
friction
angle, u
()

a
K nc
0

30
40

0.2
0.2

34
36

0.44
0.41

sin u).

Table 3
Shotcrete lining properties used in modelling.
Lining type

Poisson ratio

Weight, W (kN/m/m)

Equivalent thickness, d (m)

Element

Flexural rigidity, EI (kNm2/m)

Normal stiffness, EA (kN/m)

Temporary lining
Permanent lining

0.2
0.2

5.35
7.5

0.25
0.35

Elastic
Elastic

2.73  104
7.5  104

5.25  106
7.35  106

Fig. 4. A typical instrumentation array for tunnel cross section.

Fig. 5. Surface settlement trough obtained from analysis and eld measuring in Niayesh trafc tunnel.

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New Austrian Tunnelling Method (NATM). This method is a well

suited for tunnelling in difcult, complex and rapidly changing
geological formations.
In many countries, sequential excavation method (SEM) is currently applied to indicate soft ground tunnelling without a tunnel
boring machine (Romero, 2002). A great variety of excavation techniques have been developed (Geisler et al., 1985; Pottler, 1992),
which apply different methods of excavation and support. It is
therefore important to investigate and compare the effect of these
methods on the ground disturbance and surface settlements.
Considering the low strength of the ground and the large span
of the Niayesh tunnels, a full face excavation was not possible.
Therefore, the sequential excavation method was selected for this
project.

4.1. Selection of tunnel excavation method

Tunnel design and construction requires the use of appropriate
techniques and technologies during all phases of a tunnel project.
There are no distinct rule to facilitate decision making about
adequate selection of excavation method. This decision is mostly
inuenced by engineering experiences rather than theoretical calculations. Excavation method and sequencing schemes for a tunnel
that are located in the urban areas should be typically based on
complicated interactions occurring between several factors such
as safety, cost and schedule considerations (Hoek, 2001). Effective
factors in selection of excavation method are surrounding material
properties including geotechnical characteristics, size and shape of
tunnel section, underground hydrology, in situ and induced stresses, regional geology, structural geology and weak zone characteristics (Yu and Chern, 2007). Subdividing the excavation area is
necessary for large span tunnels in order to minimise the ground
disturbance zone and surface settlement. The structural integrity
of the tunnel surrounding material can thus be largely maintained.
Excavation of the large span tunnel often is performed as a top
heading, bench and invert operation. Initial support is installed
as early as required to stabilize and prevent the ground from excessive deformation, depending on the conditions on the ground
encountered.
Yu and Chern (2007) have proposed a diagram for selection of
tunnel excavation methods based on span size and the ratio of tunnel conning ground uniaxial compressive strength to vertical
stress (Fig. 6). After plotting the Niayesh tunnel data on the proposed diagram in Fig. 6, Side wall Drift (SD) and Central Diaphragm
(CD) methods were proved to be the most suitable excavation
methods. Hence, these excavation methods were analysed using

Fig. 6. Empirical determination of excavation method based on span size and the
ration of uniaxial compressive strength (UCS) to vertical stress on the tunnel.

the numerical nite element method, in order to select the appropriate excavation method considering ground surface settlement.
Tunnel excavation sequences which were used in numerical
simulation are shown in Fig. 7, for both Side wall Drift (SD) method
and Central Diaphragm (CD) method. According to Fig. 7, SD and
CD methods were excavated in 7 and 6 stages respectively.
Initial lining consisting shotcrete, lattice girder and mesh were
considered in numerical analysis and, it was assumed that the nal
concrete lining will be placed at long distance from the excavation
face; hence it was not considered in the numerical analysis.
The results obtained from the 3D FEM models are relative to the
completion of the excavation and initial lining. The surface settlement proles for both CD and SD excavation methods are illustrated. As shown in Fig. 8, in the SD and CD methods, the
maximum surface settlements are about 29.4 mm and 37 mm
were occurred over the tunnel centerline respectively. Based on
the modelling results, the CD method induces more surface settlement than the SD method. Therefore the SD method was preferred
over the CD method, considering its capability in limiting ground
surface settlements as well as tunnel deformations. Although partitioning the face through staged excavation typically results in reduced face advance rates, more stages of temporary support
installation, and additional underpinning and delayed closure of
the tunnel liner.
Settlement stationary conditions develop at a certain distance
behind the tunnel face. The different values have been reported
for this distance in various researches. Desari et al. (1996) stated
that stationary settlement conditions will establish at 2TD
(TD = Tunnel equivalent Diameters) behind the face, while Vermeer et al. (2002) reported 5TD. The longitudinal settlement proles for both the SD and the CD methods are demonstrated in
Fig. 9. According to Fig. 9, the settlement has been started at the
4TD distance ahead of the tunnel face, and it has been reached to
maximum deformation condition at the 2TD distance behind the
tunnel face. Modelling results are in good agreement with statements by Desari et al. (1996).
4.2. Optimum excavation sequence
In order to implement SEM in a cost effective way, it is essential
to fully understand the inuence of face advancing sequence on the
tunnelling performance. The main factor in the selection of optimal
excavation sequences, it is to limit surface settlement. Selection of
excavation sequences depends on the tunnel geometry, ground
properties, groundwater table, etc. Only a few researches have
been performed to understand the effects of different face advancing methods of tunnelling performance (Bowers, 1997; Karakus
and Fowell, 2003; Farias et al., 2004). These studies have provided
valuable information but they are limited to specic tunnelling
cases and 3D effects of various face advancing methods on the tunnelling performance have been considered in a few researches.
During construction of a tunnel project in urban areas, tunnel
face is partitioned to have temporary drifts in order to promote
the face stability and to reduce ground surface deformations and
settlements. The size of the drifts should be designed to enable safe
excavation and lining installation, considering the size of the tunnelling equipment.
As discussed more extensively by Szechy (1967), the arrangement of underground openings and their excavation sequence depend on the necessary operations to be conducted in them
(excavation method, installation and construction of temporary
and permanent support, short-term and long-term use, etc.), the
nature of the ground, and in situ stress conditions encountered.
Therefore, there is a practical need to simulate the different phases
of tunnel construction and, nd the optimal construction
procedure.

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Fig. 7. Subdividing of (a) the Side wall Drift (SD) method and (b) the Central Diaphragm (CD) method.

Fig. 8. The computed transverse surface settlement proles for CD and SD excavation methods.

Fig. 9. Longitudinal settlement proles for the CD and the SD excavation methods.

SEM Tunnelling is characterised by a sequential removal of

ground material followed by the installation of support. Improper
selection of excavation sequence could have a destabilizing effect
on the tunnel stability. Although, the sequential excavation has a
major technical and economic impact in conventional tunnelling,
no coherent procedure is available for its determination. The inuence of excavation sequences on ground settlements must be taken
into account, particularly in the case of large span urban tunnels in
shallow depth.
In this research, in order to nd optimal excavation sequences,
six excavation schemes were proposed and numerically analysed
for excavation of Niayesh tunnel based on the SD method considering tunnel geometry and properties of soil layers (Fig. 10). During
the selection of excavation sequences, main factors such as ring
closure time, number of excavation stages, subdividing area and
stage of central gallery excavation were considered.
Transverse surface settlement proles for six excavation sequences are illustrated in Fig. 11. According to Fig. 11, the minimum and maximum settlement were computed over the tunnel

centerline for (a) and (f) excavation schemes. Based on the numerical modelling results, the (a) excavation scheme had the lowest
surface settlement and it was selected as the optimal scheme for
the excavation of Niayesh urban tunnel project. Results show that
the rapid closure of the supporting ring and the excavation stage of
the central gallery (middle drift) are the most important factors in
controlling tunnel deformations and surface settlements in soft
ground tunnelling. Based on Fig. 11, the excavation of the central
gallery (middle drift) in the last stages reduces the surface
settlements.
Excavation volume of each stage has bilateral effects on surface
settlement. Small excavation volume leads to less displacement
and surface settlement. On the contrary, smaller excavation volume increase number of excavation stages and delay to support
ring closure that leads to increase the surface settlements. Closing
the support ring in soft ground must be installed in fewer steps and
delaying the ring closure results in large deformations and settlements. The rapid ring closure by adopting a larger excavation volume is more effective than adopting a smaller excavation volume

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VII

VII

VII

Fig. 10. Proposed excavation schemes for Niayesh tunnel in the Side wall Drift (SD) method.

Fig. 11. Transverse settlement proles for the proposed excavation schemes (in Fig. 10) for the Niayesh tunnel.

for limiting the tunnel crown deformations and surface settlements in soft ground tunnelling at shallow depth if the face stability is adequately maintained.
Longitudinal settlement proles for different proposed excavation sequences (in Fig. 10) are shown in Fig. 12. According to
Fig. 12, among six proposed schemes, the (a) and (b) schemes are
proper excavation schemes, based on their potential for minimising the ground surface settlements. Based on Fig. 12, ratio of the
surface settlement above the tunnel face to the nal settlement,
(i.e., Sv/Sv,max), is almost 50%. This result is in excellent agreement
with empirical relations which have been given by Attewell and
Woodman (1982).
5. Optimal trailing (lagged) distance between excavation stages
Tunnel excavation causes a disturbance of the initial state of the
stress in the ground and creates a stress regime in the form of a
bulb around the advancing tunnel face. The extent of the stress disturbance around an active heading depends mainly on ground conditions, distance between different excavation stages, the
excavation round length and etc. This disturbance begins up to
two excavation diameters ahead of the active tunnel face as shown
indicatively in Fig. 13. While a large disturbance zone will be produced during full-face excavation method, this zone can be reduced by adopting the sequential excavation method and
appropriate trailing distance between different faces and therefore
surface settlement will be limited. In order to reduce the disturbance zone around the tunnel in SEM methods, the excavation
faces must be excavated in small sections. Depending on the size

of the opening and quality of the ground, a tunnel cross section

may be subdivided into multiple drifts (U.S. DTFHA, 2009). If the
different excavation faces are next together, disturbing zones
around faces will interfere together, and lead to more displacement
of tunnel crown and surface settlement. Therefore, a trailing distance must be remained between different faces, so that critical
disturbance zones will not interfere together and have least effects
on each other. During tunnelling in a soft ground condition, the
support ring closure behind the face should be executed as quickly
as possible to create a load support ring, thus requiring the trailing
distance between different faces being kept as short as possible.
In order to attain the optimal trailing distance between different faces, excavation of side drifts were simulated at distances of
6 m (0.4 TD), 10 m (0.67 TD), 15 m (1 TD), 22 m (1.47 TD) and
30 m (2 TD) in front of the central gallery face (Fig. 14). The excavation was simulated to be excavated in 1 m round length and
right and left side drifts were excavated simultaneously.
Transverse surface settlement curves for different trailing distance between central gallery and side drifts are illustrated in
Fig. 15. As shown in Fig. 15, increase the trailing distances, the disturbance zones of different stages do not interfere with each other
which tend to reduce in the surface settlements.
Longitudinal surface settlement curves for different trailing distances between side drifts and middle drift faces are illustrated in
Fig. 16. Dark zones indicate critical surface settlements considering
trailing distances less than 15 m (1 TD), and light zones indicate
the appropriate surface settlement considering tunnelling in urban
areas. Therefore trailing distance was computed to be more than
15 m. This result is in good compatibility with Yoo (2009)

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Fig. 12. Longitudinal settlement proles for the proposed excavation schemes (in Fig. 10) for the Niayesh tunnel.

Fig. 13. SEM tunnelling and excavation inuence zone (U.S. DTFHA, 2009).

Variable = 6 m (0.4 TD), 10 m (0.67 TD), 15 m (1 TD), 22 m (1.47 TD), 30 m (2 TD).

Fig. 14. Plan view, longitudinal and transverse sections with variable distance between the side drifts and middle drift faces.

statements; he reported that the best tunnelling performance can

be achieved when keeping the trailing distance greater than one
tunnel diameter.
In the Niayesh project, considering tunnelling in an urban environment, ground conditions, tunnel dimensions and thickness of
overburden in the tunnel route, the trailing distance between excavation faces were 1525 m, in order to reduce the surface settlements. Therefore, numerical analysis results for trailing distance
are reliable based on the practical results.
In order to minimise interference of the disturbance zones and
efcient control of surface settlements; it is recommended to excavate the side drifts separately. Thus, three galleries (left, right and
middle) were simulated to be excavated with trailing distance
from each other.

In this stage, the tunnel excavation procedure was simulated by

trailing distances of 6 m (0.4 TD), 10 m (0.67 TD), 15 m (1 TD), 22 m
(1.47 TD) and 30 m (2 TD) between sides drifts (Fig. 17). A minimum optimal distance of 15 m which was calculated in the previous step between sides drifts faces and middle drift face, were
applied to the models.
Transverse surface settlement curves at left and right drifts
sections for different trailing distances between lateral galleries
are illustrated in Figs. 18 and 19 respectively. As it was
expected, with increase in the trailing distance between side
drifts, surface settlements decrease. Although, variation of surface settlements is not signicant, but it conrms the decrease
of surface settlements considering the trailing distance between
side drifts.

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Fig. 15. Transverse surface settlement curves for different trailing distances between the side drifts and middle drift faces.

Without trailing distance

6 m trailing distance (0.4 TD)

10 m trailing distance (0.66 TD)

15 m trailing distance (1 TD)

22 m trailing distance (1.47 TD)

30 m trailing distance (2 TD)

(X= trailing distance, TD=Tunnel equivalent Diameter).

Fig. 16. Longitudinal surface settlement curves for different trailing distances between the side drifts and middle drift faces.

According to Figs. 18 and 19, surface settlement variations is

more while trailing distance increase from 6 m (0.4 TD) to 15 m
(1 TD), but it has gentle variation after the trailing distance greater

than 15 m (1 TD). Based on these results, the optimal trailing distance between side drifts are recommended to be more than
15 m (1 TD).

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187

Fig. 17. Plan view, longitudinal and transverse sections with variable distance between the face of side drifts.

Fig. 18. Transverse surface settlement curves at left gallery section for different trailing distances between the side drifts.

Fig. 19. Transverse surface settlement curves at right gallery section for different trailing distances between the side drifts.

6. Discussion and conclusion

The costs and time for tunnel construction are strongly inuenced by the choice of the excavation procedure. In this study, a series of 3D nite element analyses were conducted for selection of
excavation method, optimal excavation sequences and trailing distance between different excavations faces. The numerical modelling
results were in good agreement with measured data of the Niayesh
road tunnel project. The main results of this study are as follows:
1. Excavation of the Niayesh urban tunnel with large span using
the Side Drift (SD) method effectively control surface settlement and therefore low damage to surface and subsurface
structures.
2. Based on longitudinal settlement proles for both the CD and
SD methods (Fig. 9), the settlement was started at a 4 TD
distance ahead of the tunnel face, and reaches to its maximum
at 2 TD distance behind the tunnel face. This result was in good
agreement with statements by Desari et al. (1996).
3. Adopting different methods for advancing the tunnel face lead
to different settlement proles. Suitable sequencing is one of
the most important factors in design of SEM tunnelling. In order

to nd optimal excavation sequences, six excavation schemes

were proposed and numerically analysed for excavation of the
Niayesh tunnel based on the SD method considering the tunnel
geometry and properties of soil layers (Fig. 10). Finally, the (a)
excavation sequence was selected for the Niayesh project
excavation.
4. The factors affecting the tunnelling performance were identied for different sequential schemes, including ring closure
time, number of excavation stages, subdividing area, and excavation step of the central gallery. Among these factors, the rapid
closure of the supporting ring and excavation step of the central
gallery (drift) are the most important factors in controlling tunnel deformations and surface settlements in soft ground tunnelling. The central gallery (middle drift) has an important role in
maintaining the tunnel crown and reducing the displacements
and surface settlement, and it must be excavated at the nal
stages.
5. Results of the analysis showed that the excavation volume of
each stage has bilateral effects. Small excavation volume leads
to less displacement and surface settlement. On the contrary,
smaller excavation volume and therefore increase the number
of excavation stages and delay in support ring closure time.

Author's personal copy

188

6.

7.

8.

9.

M. Sharifzadeh et al. / Tunnelling and Underground Space Technology 35 (2013) 178188

Closing the support ring in soft ground must be performed in

fewer steps and delaying the ring closure results in large deformations and settlements. The rapid ring closure by adopting a
larger excavation volume is more effective than adopting a
smaller excavation volume for limiting the tunnel crown and
surface settlements in soft ground tunnelling at shallow depth
where the face stability is adequately maintained.
The existence of the trailing (lagged) distance that remains
between different faces in the side wall drift method prevents
interference of the disturbance zones together and it cause to
decrease the ground movement and surface settlements. When
tunnelling in a soft ground condition, the support ring closure
behind the face should be executed as quickly as possible to create a load support ring, thus requiring the trailing distance
between different faces must be kept as short as possible.
For the tunnel condition considered in this study, optimal trailing distance should be not less than 15 m (1 TD). This result is in
excellent compatibility with Yoo (2009) statements.
The increase in the trailing distance has bilateral effects on the
induced-tunnelling settlements. It leads to limiting the surface
settlements and less destructive effects on surface buildings,
whereas it, leads to delay in the closing time of the support ring
that has an unfavorable effect on surface settlement curves.
In the Niayesh project, considering tunnelling in an urban environment, ground conditions, tunnel dimensions and thickness
of overburden in the tunnel route, the trailing distance between
excavation faces were 1525 m, in order to reduce the surface
settlements. Therefore, numerical analysis results for trailing
distance are reliable based on the practical results.

Acknowledgements
The authors would like to express the appreciation and thanks
to the managers and personnel of P.O.R and D2 consult joint venture for their contribution to this research.

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