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Advances in Tunnel Excavation and Underground Construction

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A special issue of Applied Sciences (ISSN 2076-3417). This special issue belongs to the section "Civil Engineering".

Deadline for manuscript submissions: 30 September 2026 | Viewed by 4844

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Special Issue Editors

Dr. Wangping Qian

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Guest Editor

School of Mechanics & Civil Engineering, China University of Mining and Technology, Xuzhou 221116, China
Interests: intelligent construction and operation of tunnels; design and construction of mountain tunnel; safety and environmental control of subway construction

Dr. Zeen Wan

E-Mail Website
Guest Editor

School of Mechanics & Civil Engineering, China University of Mining and Technology, Xuzhou 221116, China
Interests: intelligent construction of TBM/shield tunnel; new technology for tunnel excavation; innovative materials for tunnel construction

Dr. Richeng Liu

E-Mail Website
Guest Editor

State Key Laboratory for Geomechanics and Deep Underground Engineering, China University of Mining and Technology, Xuzhou 221116, China
Interests: fluid flow; Fractal; nonlinear flow; rock fracture networks
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Special Issue Information

Dear Colleagues,

Driven by rapid urbanization and the escalating demand for sustainable infrastructure, tunnel excavation and underground construction are encountering unprecedented opportunities and challenges. Efficient, safe, and intelligent techniques for tunneling and underground structure development are pivotal to advancing modern transportation networks, building resilient cities, and optimizing land use.

This Special Issue seeks to collate cutting-edge research and practical advancements in the field of tunnel and underground engineering.

We cordially invite contributions from experts worldwide with a focus on the following (but not limited to) topics: mechanized tunneling (TBM/shield), optimization and innovation in drilling and blasting, excavation stability control under complex geological conditions, rock/soil–structure interaction mechanisms, advanced monitoring and non-destructive testing, numerical simulation and intelligent prediction methods, seismic performance and long-term behavior of underground structures, green construction technologies and sustainability assessment, innovative technology and materials for tunnel construction, and construction safety and risk management.

This collection will showcase groundbreaking technologies, innovative methodologies, and best practices that are pushing the boundaries of tunnel engineering. It aims to provide invaluable insights and solutions for engineers, researchers, and policymakers tackling the intricate challenges of future underground space development.

We therefore invite investigators to contribute to this Special Issue with original research papers. High-quality case studies and critical literature reviews are also welcome.

Dr. Wangping Qian
Dr. Zeen Wan
Dr. Richeng Liu
Guest Editors

Manuscript Submission Information

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Submitted manuscripts should not have been published previously, nor be under consideration for publication elsewhere (except conference proceedings papers). All manuscripts are thoroughly refereed through a single-blind peer-review process. A guide for authors and other relevant information for submission of manuscripts is available on the Instructions for Authors page. Applied Sciences is an international peer-reviewed open access semimonthly journal published by MDPI.

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Keywords

tunnel excavation
underground construction
mechanized tunneling
ground stability
support systems
artificial intelligence applications, numerical modeling
construction safety
construction monitoring
risk management
sustainability

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Published Papers (6 papers)

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Research

19 pages, 5473 KB

Open AccessArticle

A Multivariate Time Series Prediction Model for TBM Excavation Parameters Using a Convolution–GRU–Attention Neural Network

by Changrui Yao, Xiangxun Kong, Liang Tang, Xianzhang Ling and Wenchong Tang

Appl. Sci. 2026, 16(6), 2964; https://doi.org/10.3390/app16062964 - 19 Mar 2026

Viewed by 358

Abstract

Operating data from tunnel boring machines (TBMs) capture the state of both the machine and the ground, and accurate forecasting of their evolving operating variables is essential for assessing rock-mass stability and improving construction efficiency. However, it is difficult for the current methods to predict multivariate TBM driving parameters accurately. Therefore, a novel multivariable time series prediction method was proposed based on Convolution–GRU–Attention (CGA) neural networks. Initially, data preprocessing such as effective data extraction, segmentation, status judgment, and correlation analysis is applied to raw TBM excavation data to construct a parameter database encompassing 5987 TBM excavation cycles. Subsequently, the forecasting model is trained, incorporating techniques such as cross-validation, to ensure accurate predictions of excavation parameter trends. With the average coefficient of determination (

R^{2}

) for total cutterhead thrust prediction reaching 0.883, and for cutterhead torque prediction achieving 0.923, the evaluation performance of the CGA model with a filter is better than GRU and BPNN. The results demonstrate that the proposed CGA model provides reliable predictions of key TBM operational parameters and offers useful insights into the evolution of TBM excavation behavior. Full article

(This article belongs to the Special Issue Advances in Tunnel Excavation and Underground Construction)

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23 pages, 9651 KB

Open AccessArticle

Numerical Study on the Mechanical Behavior of Composite Segments Cut by a Shield Cutterhead in Metro Connected Aisles

by Yueqiang Duan, Jinghe Wang, Hui Wu, Maolei Wang, Fa Chang, Boyuan Zhang, Yuxiang Guo and Weiyu Sun

Appl. Sci. 2026, 16(6), 2828; https://doi.org/10.3390/app16062828 - 16 Mar 2026

Viewed by 335

Abstract

The mechanical method has become a new construction method for connected aisles in metro tunnels due to its advantages of fast construction speed, high safety, and minimal ground disturbance. During the tunneling process, the interaction mechanism between the composite segment and the shield cutterhead is complex. Taking Shenzhen Metro Line 8 No. 1 Connected Aisle as the research object, a 3D refined model of the shield cutterhead, composite segments and bolt system were built with Abaqus to investigate their dynamic response under cutting. The Drucker–Prager damage model and contact algorithm were introduced to describe the nonlinear behavior of the cutting process. The reliability of the numerical model was verified by concrete cutting tests and on-site Fiber Bragg Grating monitoring, and good agreements were observed. Results show cutterhead cutting first induces circumferential squeezing, then extends longitudinally with a notable time lag, and longitudinal dynamic response is much stronger than transverse. Affected by cutterhead thrust–rotation coupling, cuttable segments have larger displacement with maximum 0.07 mm, forming an asymmetric deformation zone. Ring joint opening follows “a distal attenuation of the opening amount” rule with maximum 0.018 mm, while bolt stress and displacement show “near-end concentration with gradient attenuation”, with longitudinal bolts being more responsive. Mechanical disturbance from small-shield cutting is minimal, with tunnel segment deformation, joint openings, and bolt stress all remaining well below code-specified allowable values. Numerical results show good agreement with field monitoring data of ring joint openings obtained using Fiber Bragg Grating (FBG) sensors, confirming the reliability of the simulation. The results can provide references for structural design and construction parameter optimization of composite segments in a connected aisle. Full article

(This article belongs to the Special Issue Advances in Tunnel Excavation and Underground Construction)

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24 pages, 7880 KB

Open AccessArticle

3D Printing Experimental Investigation and DEM Simulation on the Failure Processes of Double Tunnels Containing Fissures

by Huaijian Li, Hao Yu, Lanjing Xing, Xiangyu Deng, Xuewen Xiao, Junyang Wang, Linyun Sun, Baoming Wang, Liang Ma and Wangping Qian

Appl. Sci. 2026, 16(4), 2097; https://doi.org/10.3390/app16042097 - 21 Feb 2026

Viewed by 372

Abstract

To address the current research gap where studies on the failure mechanisms of fissured tunnels mainly focus on single tunnels with insufficient research on double tunnels, and to provide a scientific basis for disaster prevention and control of the Jinan Tunnel on Jinan Ring Expressway, this study investigates the mechanical behavior and failure characteristics of tunnel structures containing fissure–hole composite systems using experimental tests and numerical simulations. The crack initiation, propagation, and coalescence mechanisms are systematically analyzed to provide engineering references for tunnel design and stability assessment. Sand-based 3D printing technology was used to fabricate double-tunnel models with prefabricated fissures of different inclination angles α. Uniaxial compression tests were conducted, and crack evolution was monitored using DIC technology. Meanwhile, numerical simulation verification was performed based on the parallel bond (PB) model of the Discrete Element Method (PFC). The results show that the mechanical response of sand-based 3D-printed models conforms to the brittle characteristics of engineering rock masses. For models without fissures, cracks are preferentially initiated at the top and bottom of the tunnels. For models with fissures, the peak strength is the highest when α = 30° and 60°, and the lowest when α = 45° and 90°. As the fissure inclination angle increases, the tensile stress concentration shifts from the top and bottom of the tunnels and the middle of the fissure to the two ends of the fissure. The numerical simulation results are consistent with the experimental results and can accurately reproduce crack evolution. This study verifies the effectiveness of combining sand-based 3D printing with discrete element simulation, providing a reference for fissure prevention and control as well as operation and maintenance optimization of similar double-tunnel projects. Full article

(This article belongs to the Special Issue Advances in Tunnel Excavation and Underground Construction)

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29 pages, 8063 KB

Open AccessArticle

Deformation Characteristics of Joints in Ultra-Shallow Precast Prefabricated Underground Tunnels Under Dynamic Loads

by Zhiyi Jin, Yongxu Jia, Tong Han and Ning Xu

Appl. Sci. 2025, 15(24), 13253; https://doi.org/10.3390/app152413253 - 18 Dec 2025

Viewed by 410

Abstract

Ultra-shallow prefabricated underpass tunnel technology has been widely adopted in urban transportation construction owing to its advantages of rapid construction and minimal environmental impact. However, the deformation behavior of tunnel joints under long-term vehicular dynamic loads remains unclear, which constrains the reliability and durability of this technology. To address this, this study focuses on a large cross-section tunnel with five bidirectional lanes. A combined methodology of “refined numerical simulation + long-term cyclic loading model tests” was employed to systematically investigate the dynamic response and cumulative deformation patterns of tunnel joints under different burial depths (3 m, 5 m, and 8 m) and prestress levels (0–0.5 MPa). First, based on the analysis of structural bending moment distribution, various division principles such as zero-moment points and maximum-moment points were compared, leading to the determination of a joint layout scheme primarily adopting a two-segment division. On this basis, a refined numerical model integrating pavement excitation and vehicle dynamic coupling was established, supplemented by a model test with 2 million loading cycles, to reveal the deformation mechanism of joints under both moving vehicle loads and long-term loading. The results indicate the following: (1) burial depth is the decisive factor controlling overall joint deformation—increasing the depth from 3 m to 8 m can reduce the maximum joint opening and slip by approximately 60%; (2) prestress serves as a key measure for restraining joint opening and ensuring waterproofing performance, with its effect being particularly pronounced under shallow burial conditions; (3) based on the dynamic attenuation coefficient, the concept of “sensitive burial depth” (approximately 3.7 m) is proposed, providing a quantitative criterion for identifying tunnels susceptible to surface traffic loads; (4) the recommended two-segment structural division scheme effectively controls deformation while considering construction convenience and waterproofing reliability. The methodological framework of “numerical simulation + model testing” established in this study can provide theoretical support and engineering reference for the long-term performance design and assessment of ultra-shallow prefabricated tunnels. Full article

(This article belongs to the Special Issue Advances in Tunnel Excavation and Underground Construction)

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26 pages, 6616 KB

Open AccessArticle

Numerical Analysis of Seismic Vulnerability and Dynamic Response of Underground Interchange Structures Under Traveling Wave Effects

by Zhiwei Wang, Haibing Cai, Yonggang Zhang, Shi Hu, Gaoyang Hong, Jinfeng Xu, Zhihong Yu and Zhonghe Sun

Appl. Sci. 2025, 15(22), 12264; https://doi.org/10.3390/app152212264 - 19 Nov 2025

Cited by 1 | Viewed by 678

Abstract

The underground interchange structure is a crucial component of urban underground construction facilities. Its seismic performance in soft ground under the influence of traveling-wave effects has not yet been studied. If not addressed in a timely manner, it will pose serious construction safety risks. This study develops a two-dimensional finite element model of a representative underground interchange, employing the multi-linear kinematic–dynamic interaction model to capture nonlinear material behavior. Incremental dynamic analysis is integrated with probabilistic fragility assessment to examine damage evolution, deformation, internal forces, and stress responses under both uniform and non-uniform seismic inputs. Results indicate that the overall seismic performance is satisfactory, with a low probability of exceeding moderate damage. Plastic damage is concentrated in the central frame and the base of the right-hand wall. Compared with traveling-wave excitations, uniform inputs generally produce larger displacements, particularly in the lower structure. Although axial and shear forces show limited sensitivity to wave type or propagation velocity, they increase significantly under non-uniform input, with axial forces reaching up to 16.9 times those under uniform excitation. Non-uniform input also doubles stress extremes and intensifies stress concentrations at frame nodes. These findings underscore the need to incorporate traveling-wave effects into seismic evaluation and offer methodological insights for the design and reinforcement of underground interchanges in weak soils. Full article

(This article belongs to the Special Issue Advances in Tunnel Excavation and Underground Construction)

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30 pages, 3814 KB

Open AccessArticle

Resilience Assessment of Safety System in EPB Construction Based on Analytic Network Process and Extension Cloud Model

by Jinliang Bai, Xuewei Li, Xinqing Hao, Dapeng Zhu and Yangkun Zhou

Appl. Sci. 2025, 15(17), 9802; https://doi.org/10.3390/app15179802 - 6 Sep 2025

Cited by 1 | Viewed by 1591

Abstract

In urban underground construction, Earth Pressure Balance (EPB) tunneling faces complex geological uncertainties and dynamic operational risks. Traditional safety management approaches often struggle under such conditions. This paper proposes an integrated safety resilience assessment framework for EPB tunneling that combines an entropy-weighted TOPSIS method, the Analytic Network Process (ANP), and an extension cloud model to capture interdependencies and uncertainties. A hierarchical indicator system with four primary dimensions (stability, redundancy, efficiency, and fitness) is constructed. The entropy-TOPSIS algorithm provides objective initial weights and scenario ranking, while ANP models the feedback relationships among criteria. The extension cloud model quantifies fuzziness in expert judgments and converts qualitative assessments into probabilistic resilience ratings. The methodology is applied to a case study of the EPB shield tunnel section of Jinan Metro Line 6 (China). The section’s resilience is classified as a medium level, which agrees with expert evaluation. The results demonstrate that the proposed approach yields accurate and robust safety resilience evaluations, supporting data-driven decision-making. This framework offers a quantitative tool for resilience-based safety management of shield tunneling projects, providing guidance for shifting from traditional risk control toward a resilience-enhancement strategy. Full article

(This article belongs to the Special Issue Advances in Tunnel Excavation and Underground Construction)

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