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journal homepage: www.elsevier.com/locate/ijmst

sequence on existing tunnels

Beyabanaki Amir Reza a,, Gall Vojtech b

a

McMillen Jacobs Associates, San Francisco, CA 94105, USA

b

Gall Zeidler Consultants, Ashburn, VA 20147, USA

a r t i c l e i n f o a b s t r a c t

Article history: The development of open-pit mines can adversely affect and even damage existing access tunnels. To

Available online 10 April 2017 ensure the safety and serviceability of them, it is essential to know potential adverse effects of the mining

sequence on existing tunnels such as displacements of the lining and additional loads on the lining. In this

Keywords: paper, three-dimensional numerical parametric study is performed to explore this complex interaction.

Three-dimensional This study investigates the effects of different parameters that may affect the tunnel response. These

Numerical parametric study parameters are: excavation sequence method, horizontal/vertical stress ratio, slope angle, and tunnel

Existing tunnel

diameter. This study shows that the mining sequence affects the stability of the tunnels. The open-pit

Open-pit mining sequence

Modeling

mining activities lead to both higher axial forces in rock bolts and normal forces and bending moments

in the lining. The results of the analysis also demonstrate that the mining sequence causes tunnel heave

and significant tensile forces in the lining. Based on the study in this paper a better understanding of the

interaction between open-pit mining sequence and tunnels will be obtained.

2017 Published by Elsevier B.V. on behalf of China University of Mining & Technology. This is an open

access article under the CC BY-NC-ND license (http://creativecommons.org/licenses/by-nc-nd/4.0/).

information worldwide. Liu et al. investigated effects of tunneling

Access tunnels are considered to be one of the main under- on existing support systems in the Sydney region [2,3]. Geotechni-

ground structures in mines and widely used for transportation, cal influence on existing subway tunnels induced by multiline tun-

drainage, exploration, etc. The development of mines and mining neling in Shanghai soft soil in China was investigated by Zhang and

operations affect the stability of the existing access tunnels. They Huang [4]. Li et al. studied the effect of new shield tunneling on an

cause stress changes in the ground leading to rock movements existing underlying large-diameter tunnel [5]. A realistic field

which may cause potential damages to the tunnels. Due to the crit- monitoring application to evaluate close proximity tunneling

ical role access tunnels play, instability of them jeopardies the effects of a new tunnel on an existing railroad tunnel in Korea

economy and safety of mines. Thus, it is essential for designers was presented by Yun et al. [6]. Standing focused on how existing

and engineers to assess excavation induced movement and tensile tunnels lined with cast iron segments responded to new tunnels

forces in existing tunnels so that the tunnels can continue to oper- construction beneath them [7]. For this purpose, they studied the

ate safely during the mining activities. Crossrail project, currently underway in London, involving tunnel-

There are several studies on the effects of tunneling on existing ing beneath numerous existing tunnels and examined how the

tunnels. stresses develop within a cast iron segmental lining as it deforms.

Cooper et al. developed a new empirical method for estimating Do, Dias, Oreste investigated the influence of a new tunnel con-

the settlement trough caused by the second of twin tunnels and struction on an already existing one [8]. Recently, effect of twin

proposed it for use as a preliminary predictive tool [1]. For this pur- tunnels construction beneath existing shield-driven twin tunnels

pose, they used the data from three 9 m-diameter parallel tunnels in Beijing, China was studied by Fang et al. [9].

constructed crossing below twin existing tunnels at London Hea- Moreover, the effects of open excavation on existing tunnels

throw Central Terminal Area station for the Heathrow Express pro- have been investigated by several researchers. The effect of a deep

ject at Heathrow Airport in the United Kingdom as well as a open excavation for an office block on the underlying tunnel com-

plex in the center of Prague in Czech Republic was investigated by

Dolezalova [10]. Zheng and Wei studied the response of existing

Corresponding author. tunnel due to overlying excavation using 2D FEM [11]. Liu et al.

E-mail address: a.beyabanaki@gmail.com (A.R. Beyabanaki).

http://dx.doi.org/10.1016/j.ijmst.2017.03.018

2095-2686/ 2017 Published by Elsevier B.V. on behalf of China University of Mining & Technology.

This is an open access article under the CC BY-NC-ND license (http://creativecommons.org/licenses/by-nc-nd/4.0/).

460 A.R. Beyabanaki, V. Gall / International Journal of Mining Science and Technology 27 (2017) 459466

conducted a case study of protecting existing tunnels during the of excavation and construction activities on existing adjacent tun-

construction of a new cut and cover tunnel above in Nanjing, China nels. Moreover, a lot of studies have been conducted on the open-

[12]. Three-dimensional numerical parametric analyses were car- pit slope stability [2426]. However, until now, no research has

ried out to investigate the effects of a basement excavation on an been reported for investigating the effects of open-pit mining

existing tunnel by Ng et al. [13]. Huang et al. performed a finite ele- sequence on existing tunnels. In this paper, three-dimensional

ment parametric study of existing tunnel behavior caused by numerical parametric analyses are conducted to investigate the

nearby deep excavation in Shanghai, China [14]. The soil unloading interaction between open-pit mining sequence and existing tun-

effects in foundation pit excavation on existing tunnels were inves- nels. Effects of excavation sequence method, horizontal/vertical

tigated by Zhang et al. [15]. Recently, Shi et al. conducted a three- stress ratio, slope angle, and tunnel diameter are explored and

dimensional numerical parametric study of the influence of base- their influence is quantified.

ment excavation on existing tunnel and Tan investigated the

effects of an oversized pit excavation on an existing metro line in

stiff clay in Suzhou in China [16,17]. 2. Three-dimensional numerical analysis

Finally, several authors have studied the effects of other con-

struction activities on existing tunnels. Schroeder et al. assessed Three-dimensional numerical analyses were conducted to

the influence of pile group loading on existing tunnels using the investigate the mining sequence-tunnel interaction. For this pur-

Finite Element Method (FEM) with the aim of improving the cur- pose, the effects of excavation sequence method, horizontal/verti-

rent restrictive guidelines [18]. For this purpose, the response of cal stress ratio, slope angle, and tunnel diameter were examined.

the existing Victoria line tunnel in London to loading of piles

located on both sides of the tunnel was studied. The results of

2.1. Numerical analysis program

these analyses were used to formulate design guidelines relating

the clear distance between the pile rows and the tunnel to maxi-

All the numerical analyses have been performed using the com-

mum allowable tunnel deformations both in terms of tunnel dis-

mercial software MIDAS GTS (Geotechnical and Tunnel Analysis

tortions and global movements. Yoo conducted a 3D numerical

System) NX 2015 which is a simulation program developed for

investigation on the effect of bridge construction on existing tun-

the evaluation of ground-structure interaction based on the finite

nel [19]. The results of this study showed that the effect of pile-

element method.

supported bridge construction on a tunnel may be ignored when

the clearance between the pile tip and the tunnel lining exceeds

1.0D and 0.5D for centrally and eccentrically loaded tunnels, 2.2. Finite element mesh and model parameters

respectively. Shin et al. investigated the effect of blast-induced

vibration on existing tunnels [20]. They adopted a numerical Fig. 1 shows the three-dimensional finite element mesh used to

method for the dynamic modeling of a tunnel in soft rock and eval- model the open-pit mine. The domain analyzed is

uated a two-dimensional blast load by modifying the detonation 200 m 158 m 440 m. The height and width of the benches

pressure formula based on the results of field tests. Tunnel behav- are assumed to be 15 and 10 m, respectively. In this study, different

ior due to the blast-induced vibration was investigated in terms of bench angels (70, 60, and 50) and tunnel heights (7.5, 6, and

particle velocity, displacement and stress of the linings, and a 5 m) are considered. The rock mass is modelled by solid elements

guideline for the blast protection zone was proposed based on a while existing tunnel lining is simulated by shell elements. The

parametric study on blast location, tunnel depth, and the amount truss elements are embedded into the solid elements to model

of explosives. Liang et al. studied the effect of blast-induced vibra- the interaction between the rock bolts and the surrounding rock

tion from a new railway tunnel on existing adjacent railway tunnel mass. During modelling, several locations are monitored to quan-

in Xinjiang, China by using laboratory tests, in situ monitoring and tify the effects of mining sequence on the existing support system

numerical simulations [21]. Based on the results from in situ mon- as shown in Fig. 1b and c.

itoring and numerical simulations, the original blasting design and In this study, the behavior of the rock mass is modelled by an

corresponding parameters were adjusted to reduce the maximum elasto-plastic constitutive relationship based on the Mohr-

blasting vibration velocity. The authors also studied the effect of Coulomb criterion, with a non-associated flow rule. The main phys-

both the static stress before blasting vibrations and the dynamic icalmechanical parameters of the rock mass are a Youngs modu-

stress induced by blasting on the total stresses in the existing tun- lus E = 3 GPa, a Poissons ratio t = 0.25, a cohesion C = 800 kPa, a

nel lining. Yu evaluated the influence of the vibrations generated friction angle u = 30, and a mass density of 2500 kg/m3, which

by blasting construction on existing tunnels in soft soils [22]. For are common in mining applications. Moreover, it is assumed that

this purpose, a 3D numerical model of an existing road tunnel in the rock mass is homogenous and considered as a continuum med-

the city of Shanghai was established by a finite element software. ium. Different horizontal/vertical stress ratios (K0 = 0.5, 1, and 2)

The sequential characteristics of vibration velocities and accelera- are considered in this study. The tunnel lining is assumed to be a

tions of the tunnel structure were obtained from the field blasting composite liner consisting of shotcrete with the thickness of

tests and the numerical simulation results were confirmed by field 20 cm and W6 25 steel sets with 0.5 m spacing. Also, 2 m long

monitoring data. This study presented a thorough understanding of rock bolts on 1.5 m 1.5 m grid spacing are considered at the

the safety criterion of the blasting vibrations for an existing tunnel crown of the tunnel as shown in Fig. 1c.

in soft soils. Recently, Zhao conducted an experimental and numer- The behavior of the lining is assumed to be governed by a

ical investigation on the effect of blast-induced vibration from linear-elastic relationship using shell elements. Youngs modulus

adjacent tunnel on existing tunnel in China [23]. They studied axial and Poissons ratios of the shotcrete and steel ribs are assumed

and radial blasting vibration velocity distributions of the existing to be Ec = 30 GPa, tc = 0.25, Es = 200 GPa, and ts = 0.3, respectively.

tunnel under the effect of blast-induced vibration from adjacent The behavior of the rock bolts is also assumed to be linear elastic

tunnel. This study showed that numerical simulation and field with a Youngs modulus E = 200 GPa and a Poisson ratio t = 0.3.

monitoring experiment can optimize blasting excavation program The external vertical boundaries of the finite element model

and provide a reference for other similar projects. permit only vertical displacements. The bottom boundary is fixed

In summary, the literature reviewed above indicates that an in both vertical and horizontal directions. All of the degrees of free-

extensive amount of research has been carried out on the effects dom at the top surface are free, i.e. the top surface is unrestrained.

A.R. Beyabanaki, V. Gall / International Journal of Mining Science and Technology 27 (2017) 459466 461

2.3. Numerical modeling procedure Due to vertical stress relief above the tunnel, heave is induced in

the tunnel along its longitudinal direction, as expected.

The procedures of numerical analyses are summarized as The maximum tunnel heave occurs at the same distance from

below: the left boundary of the model at all stages shown in Fig. 2. The

tunnel heave decreases with an increase in distance from the loca-

(1) Establish the initial boundary and stress conditions of rock tion with maximum deformation. Accordingly, only the maximum

mass at gravitational acceleration with the assumed coeffi- tunnel heave at the crown is presented in following parametric

cients of at-rest earth pressure of rock (K0). study. The calculated results for the lining and rock bolts also are

(2) Excavate the tunnels and install the support. presented for a cross section at the location of maximum deforma-

(3) Excavate the open pit based on the mining sequences shown tion based on the marked points shown in Fig. 1b and c.

in Fig. 2. Fig. 4 shows the total displacements calculated for different

mining sequences at different stages. As can be seen, the displace-

ments are almost the same for Sequences 1 and 2 at the first and

3. Effects of excavation sequence method last stages. However, the calculated displacements for Sequence

1 are greater at stages 2 4 and, greater displacements are obtained

In order to obtain a better understanding of the influence of for Sequence 2 at stages 58. The maximum difference between

mining sequence method on tunnel responses, two common the computed displacements for Sequences 1 and 2 occurs at stage

open-pit mining sequences shown in Fig. 2 were considered [27]. 6 (20% change).

In this paper, if the bending moment tends to put the side of the Calculated axial forces in rock bolts are shown in Fig. 5. As can

shotcrete lining facing towards the tunnel opening into tension be seen, so close values are obtained for Sequences 1 and 2. The

and the side facing the rock mass into compression, it is regarded results indicate that in Sequences 1 and 2, the axial forces in the

as positive. Otherwise, it is negative. Positive and negative values rock bolts increase from stages 1 to 9 and the maximum increase

of axial force refer to tension and compression, respectively. occurs at the crown (116% change).

Fig. 3 shows the computed heaves at the crown of the tunnel Fig. 6 shows the calculated normal forces in the tunnel lining.

along its longitudinal direction for different mining sequences. The calculated forces for Sequences 1 and 2 are almost the same

at the last stage. However, mining sequence has a significant

impact on the results so that increases the normal forces from

703 to +2310 kN (429% change) at the lateral springlines in

Sequences 1 and 2. Therefore, open-pit mining sequence causes

significant tensile forces in the tunnel lining at the lateral springli-

nes so that the existing lining at the sides is placed in tension and

in compression at the crown and invert.

The calculated bending moment in the lining for mining

sequences 1, and 2 at different stages are shown in Fig. 7. As can

be seen in Fig. 7a, almost the same results are obtained for

Fig. 2. Different excavation sequences (adapted from He et al. [27]). Sequences 1 and 2. However, the mining sequence affects the

462 A.R. Beyabanaki, V. Gall / International Journal of Mining Science and Technology 27 (2017) 459466

on the existing tunnel is studied. For this purpose, different values

of K0 (0.5, 1, and 2) are considered and the open pit mine shown in

Fig. 1 with bench height of 15 m, bench width of 10 m, bench slope

angle of 70, and tunnel height of 7.5 m is modeled.

Fig. 8 shows the maximum calculated total displacement at the

crown of the tunnel. As can be seen, the tunnel heave increased

during the mining sequence and the maximum one occurs at the

last stage. The maximum displacement is obtained when K0 is 2.

In this case, the tunnel heave at stage 1 increases from 4.95 to

Fig. 4. Total displacements for different stages and excavation sequences.

32.2 mm at stage 9 (551% change).

Axial forces in the rock bolts are shown in Fig. 9. As expected,

bending moment in the lining. The maximum change occurs at increasing K0 increases the axial forces at the tunnel sides. The

points 4 and 6 so that it changes from 2.5 at stage 1 to 13.8 kNm maximum increase occurs at the springlines (points 1 and 9). At

at stage 9 (652% change) which is significant. Hence, while design- the last stage, the axial forces at the springlines for K = 0.5, 1.0,

ing the tunnels in open pit mines, the designer should consider this

change and strengthen the support so that the increased forces and

moments are within the lining capacity. The results presented in

this section show that open-pit mining sequence significantly

affects the forces and bending moments in the tunnel support.

similar effects on the existing tunnel. Therefore, in the following

sections, the effects of mining sequence 1 are studied. Fig. 8. Total displacements for different K0.

A.R. Beyabanaki, V. Gall / International Journal of Mining Science and Technology 27 (2017) 459466 463

and 2.0 are 10.3, 16.3, and 33.5 kN, respectively. Therefore, increas- and 2, respectively. Therefore, the bending moments in the lining

ing K0 from 0.5 to 1.0 and 0.5 to 2.0, increases the axial forces 58% change 246%, 296%, and 671% for K = 0.5, 1, and 2, respectively. It

and 225%, respectively. Also, as can be seen in Fig. 9bd, mining means increasing K0, increases the effect of mining sequence on

sequence significantly increases the axial forces at the crown. At bending moments in the existing tunnel lining.

the first stage, the calculated forces for K = 0.5, 1.0, and 2 are

27.6, 25.6, and 19 kN, respectively and at the last stage, those

increase to 51.9, 50.1, and 43.9 kN, respectively. Therefore, the 5. Effects of slope angle

axial force increases are 88%, 96%, and 131% for K0 = 0.5, 1.0, and

2.0, respectively. It means that increasing K0 increases the effect In this section, the effects of different values of bench slope

of mining sequence on axial forces in rock bolts. angles of 70, 60, and 50 are investigated. The tunnel height, K0,

Fig. 10 shows the obtained normal forces in the lining. As can be bench height and width are assumed to be 7.5, 1, and 15, and

seen, increasing K0 increases compressive forces at the crown and 10 m, respectively.

invert and increases tensile forces at the tunnel springlines. The The maximum calculated displacements at the crown are

maximum change occurs at the tunnel invert (point 5) so that shown in Fig. 12. As can be seen mining sequence increases the

the normal forces increases from 326 kN for K = 0.5 to 607 kN tunnel heave. At the first stage, the calculated displacements for

for K = 2 ( 286% change) at the last stage. At the first stage, the bench angles of 70, 60, and 50 are 4.08, 4.06, and 4.05 mm,

forces at points 3 and 7 for K = 0.5, 1, and 2 are 862, 784, and respectively. At the last stage, the obtained tunnel heaves are

704 kN, respectively, and at the last stage, those are 2060, 31.2, 29, and 26.8 mm for bench angles of 70, 60, and 50, respec-

2260, 2320 kN, respectively. Therefore, the tensile force increases tively. Therefore, the tunnel heaves increase due to the open-pit

at the tunnel sides due to the open-pit mining sequence are mining sequence for bench angles of 70, 60, and 50 are 665%,

339%, 388%, and 430% for K = 0.5, 1.0, and 2.0, respectively. It can 614%, and 562%, respectively. It means that mining sequence effect

be concluded that increasing K0 significantly increases the effect on existing tunnels increases with increasing the bench slope

of increasing tensile forces in the lining due to the mining angle.

sequence. Fig. 13 shows axial forces obtained in the rock bolts for different

The calculated bending moment in the lining are shown in slope angles. As can be seen, with increasing the bench angles, the

Fig. 11. As shown in Fig. 11, the maximum changes in bending axial forces decrease at the tunnel sides and increase at the tunnel

moments at the tunnel knees (points 4 and 6). The bending crown. The axial forces at the crown for bench angles of 70, 60,

moments at the tunnel knees are 2.8, 2.6, and 2.4 kNm at the first and 50 are 50.1, 40, and 33 kN, respectively, at the last stage.

stage, and 4.1, 5.1, and 13.7 kNm at the last stage for K0 = 0.5, 1, Therefore, increasing the bench angle from 50 to 60 and 50 to

464 A.R. Beyabanaki, V. Gall / International Journal of Mining Science and Technology 27 (2017) 459466

(430% increase), from 708 to 2140 kN (402% increase), and

759 to 1900 kN (350% increase), for bench angles of 70, 60,

and 50, respectively.

As shown in Fig. 15, increasing the bench angles increases the

bending moments in the lining at the knee (points 4 and 6). The

values at the last stages are 13.2, 8.2, and 5.1 kNm for bench

angles of 70, 60, and 50, respectively. Therefore, increasing the

slope angle from 50 to 60, and 50 to 70 causes 61% and 159%

Fig. 12. Total displacements for different slope angles. increase in the bending moments, respectively. However, as can

be seen in Fig. 15bd, due to the mining sequence, the maximum

change occurs at the tunnel crown (point 5). In this case, the bend-

70, increases the axial forces 21% and 52%, respectively. The ing moment changes from 7.6 to 5.3 kNm (170% change), from

effects of mining sequence on the axial forces are shown in 6.4 to 5.7 kNm (189% change), and from 6.3 to 8.4 kNm

Fig. 13bd. As can be seen, the maximum increase occurs at the (233% change) for bench angles of 70, 60, and 50, respectively.

crown. At the first stage, the calculated forces for bench angles of

70, 60, and 50 are 25.6, 20.7, and 17.7 kN, respectively and at

the last stage, those increase to 50.1, 40, and 33 kN, respectively. 6. Effects of tunnel size

Therefore, the axial force increases are 96%, 93%, and 86% for bench

angles of 70, 60, and 50, respectively. It can be concluded that In order to investigate the effects of tunnel size, different

increasing bench angles increases the effects of mining sequence heights of 7.5, 6, and 5 m are studied in this section. In this study,

on axial forces in rock bolts. K0, bench angle, height and width are assumed to be 1, 70, 15 and

The calculated normal forces in the lining are shown in Fig. 14. 10 m, respectively.

As can be seen, increasing the bench angles increases the tensile The calculated displacements at the tunnel crown are shown in

forces so that it increases from 351 to 452 kN (229% change) at Fig. 16. As can be seen, tunnel heave increases during the mining

the crown and from 1900 to 2260 (19% change) at the tunnel sequence. The tunnel heaves at the first stage are 3.95, 3.9, and

springlines when the bench angle increases from 50 to 70. As 3.89 mm and at the last stage are 31.2, 29.9, and 29.4 mm for

shown in Fig. 14bd, due to the open-pit mining sequence, the D = 7.5, 6, and 5 m, respectively. Therefore, the mining sequence

A.R. Beyabanaki, V. Gall / International Journal of Mining Science and Technology 27 (2017) 459466 465

and 257% for D = 5, 6, and 7.5, respectively. It means that increasing

tunnel size increases the effect of mining sequence on axial forces

in rock bolts.

The calculated normal forces in the tunnel lining are shown in

Fig. 18. As can be seen, increasing the tunnel size from D = 5 to

D = 7.5 m increases the normal forces at the tunnel crown from

132 to 452 kN (442%) at the last stage, respectively. As shown

in Fig. 18bd, the mining sequence significantly increases the ten-

sile forces in the lining at the tunnel sides (points 3 and 7). At the

Fig. 16. Total displacements for different tunnel diameters.

first stage, the forces at the tunnel sides for D = 5, 6, and 7.5 are

increases the tunnel heaves 690%, 667%, and 656% for D = 7.5, 6, 641, 657, and 704 kN, respectively, and at the last stage, those

and 5 m, respectively. are 1610, 1920, 2260 kN, respectively. Therefore, the tensile force

To be consistent with the previous sections, spacing of the rock increases at the tunnel sides due to the open-pit mining sequence

bolts (i.e., 1.5 m 1.5 m) does not change when the tunnel size are 351%, 392%, and 421% for D = 5, 6, and 7.5, respectively. It

changes, so changing the tunnel size changes number of the rock means increasing tunnel size significantly increases the effect of

bolts. Therefore, the results are shown for the rock bolts located increasing tensile forces in the lining due to the mining sequence.

at 1: right springline, 2: right shoulder, 3: crown, 4: left shoulder Fig. 19 shows the results obtained for the bending moments in

and 5: left springline. The calculated axial forces in the rock bolts the existing tunnel lining. As can be seen, increasing tunnel size

are presented in Fig. 17. As can be seen, the maximum change in changes the bending moments. Due to the mining sequence, the

the axial forces occurs at points 2 and 4 (right and left shoulders) maximum increase occurs at the tunnel invert (point 5) from 5.1

so that increasing the tunnel size from D = 5 to D = 7.5 m increases to 12.1 kNm (137% change) and the maximum decrease occurs

the forces from 39.5 to 49.7 kN (26% increase). Also, as can be seen at the tunnel knees (points 4 and 6) from 8.4 to 23.8 kNm

in Fig. 17bd, mining sequence significantly increases the axial (183% change). The bending moments at the tunnel invert are

forces at point 3 (tunnel crown). At the first stage, the calculated 6.36, 4.92, and 4.84 kNm at the first stage, and 8.41, 17.4,

forces for D = 5, 6, and 7.5 are 14.4, 13.4, and 11.8 kN, respectively and 23.8 kNm at the last stage for D = 5, 6, and 7.5, respectively.

and at the last stage, those increase to 44.7, 43.9, and 42.1 kN, Therefore, the bending moments in the lining change 232%, 454%,

466 A.R. Beyabanaki, V. Gall / International Journal of Mining Science and Technology 27 (2017) 459466

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