A Review of Vertical Shaft Technology and Application in Soft Soil for Urban Underground Space
Source abstract
Abstract
With the ongoing urbanization and densification of cities worldwide, the planning and utilization of urban underground space (UUS) have become crucial for developing urban underground infrastructure. Given the limited construction space within dense urban areas and the influence of declining groundwater levels, technologies such as open caissons and various vertical shaft methods have been introduced for UUS development. However, the dissemination of these technologies remains fragmented across different domains, lacking systematic summarization. A comprehensive, up-to-date overview of open caisson and vertical shaft technologies is essential for their effective application. In the manuscript, a systematic analysis of vertical shaft technologies, specifically focusing on their use in soft ground conditions, is conducted. The analysis is based on an extensive literature review and case study evaluation. It addresses the unique challenges posed by high compressibility, low bearing capacity, and groundwater sensitivity. Conventional shaft technologies and mechanized systems, including open caissons, drilled shafts, and the novel pressed-in ultra-deep assembled shafts (PIAUS), are evaluated systematically. Key aspects such as design principles, construction techniques, and stability in soft soils are discussed. The limitations of conventional methods in soft UUS are highlighted, while the advantages of advanced mechanized systems—such as rapid construction, reduced environmental impact, and improved safety—are emphasized. A detailed comparison of case studies demonstrates that PIAUS construction technology is particularly efficient in urban areas with confined spaces, dense building conditions, and ground conditions up to 200 MPa, with shaft diameters up to 12.8 m and depths of 115.2 m. Additionally, its suitability for rapid construction in soft and medium ground conditions is supported by undrained excavation with parallel excavation and liner sinking techniques. The PIAUS technology shows considerable potential for future projects, including shield construction shafts, ventilation shafts for tunnels, underground parking garages, and stormwater storage wells. This manuscript also highlights emerging mechanized methods in underground space development, their advantages, limitations, and areas for future research and improvement.
Source: crossref · Quality: baseline
Research context
OpenAlex topics: Geotechnical Engineering and Underground Structures · Geotechnical Engineering and Soil Stabilization · Grouting, Rheology, and Soil Mechanics
SciVX discovery tags are terminology-based. OpenAlex topics are source-provided classifications.
Affiliations
College of Civil Engineering, Tongji University, Shanghai 200092, China
Key Laboratory of Geotechnical and Underground Engineering of Ministry of Education, Tongji University, Shanghai 200092, China
Shanghai Tunnel Engineering Co., Ltd., Shanghai 200072, China
Funding
Shanghai Municipal Science and Technology Project · Shanghai Tunnel Engineering Co., Ltd. · Guangzhou Metro Design and Research Institute Co., Ltd. · Research Project of Shanghai Housing and Urban Rural Development Management Committee · Shanghai Shallow Geothermal Energy Engineering Technology Research Center · Ministry of Housing and Urban–Rural Development of Research and Development Program of the People’s Republic of China · Shanghai Institute of Geological Survey · Key Laboratory of Land Subsidence Monitoring and Prevention, Ministry of Natural Resources of the People’s Republic of China · Suzhou Rail Transit Line 1 Co., Ltd. · China Railway 15 Bureau Group Co., Ltd.
References (100+)
Show source-provided references
1. Urban expansion: Theory, evidence and practice10.5334/bc.348 ↗
2. Engineering management: Global engineering research frontiers10.1007/s42524-020-0094-4 ↗
3. (2025, March 10). Underground Construction Equipment Market to Reach $31.3 Billion, Globally, by 2031 at 4.7% CAGR: Allied Market Research. Available online: https://www.prnewswire.com/news-releases/underground-construction-equipment-market-to-reach-31-3-billion-globally-by-2031-at-4-7-cagr-allied-market-research-301794240.html.
4. Puhakka, T. (1997). Underground Drilling and Loading Handbook, Tamrock; Tamrock.
5. Howard, J. (2021). Introductory Mining Engineering, Academic Press.10.3828/dap.2021.1 ↗
6. Vincenza, F., Enrico, F., Giordano, R., and Astore, G. (2012, January 24–26). Three case-histories deal with design and construction of large shafts. Proceedings of the 3rd International Conference on Shaft Design and Construction, London, UK.
7. Challenges and uncertainties relating to open caissons10.1179/dfi.2012.002 ↗
8. Design of Inclined Shafts and Vertical Shafts of Super long Highway Tunnels
9. Ong, D.E.L., Barla, M., Cheng, J.W.C., Choo, C.S., Sun, M., and Peerun, M.I. (2022). Deep Shaft Excavation: Design, Construction, and Their Challenges, in Sustainable Pipe Jacking Technology In The Urban Environment: Recent Advances and Innovations, Springer.10.1007/978-981-16-9372-4 ↗
10. Wharmby, N., Perry, B., and Waikato, H. (2010, January 7–9). Development of Secant Pile Retaining Wall Construction in Urban New Zealand. Proceedings of the New Zealand Concrete Industry Conference, Wellington, New Zealand.
11. Schmaeh, P. (2015). Installation of Shore Approaches and Sea-Lines Using Trenchless Methods: Technologies and Case Studies. Recent Progress in Desalination, Environmental and Marine Outfall Systems, Springer.10.1007/978-3-319-19123-2_6 ↗
12. Investigation and analysis on the setting of cross passage and auxiliary passage in extra-long highway tunnel10.1016/j.proeng.2017.12.061 ↗
13. Mechanization of underground mining: A quick look backward and forward10.1016/S1365-1609(99)00116-1 ↗
14. A review of lashing methods used in shaft sinking10.17159/2411-9717/2018/v118n3a12 ↗
15. Optimization of mucking and hoisting operation in conventional shaft sinking
16. Zhao, D., Tu, H., He, Q., and Li, H. (2023). Research on the Design and Construction of Inclined Shafts for Long Mountain Tunnels: A Review. Sustainability, 15.10.3390/su15139963 ↗
17. Present situation and problems of inclined shaft construction in China
18. Process for improving open caisson, SS caisson process; Open keson no kairyo kohoSS keson koho
19. Tanimura, D., Ueda, J., and Tani, Y. (2025, March 10). Large-scale vertical shaft excavation using super-open caisson system. Construction of Tamasato vertical shaft (Ishioka vertical shaft No.5); Jidoka open caisson koho ni yoru daikibo tatekui no kussaku. Tamasato tateko (Ishioka dai5 tateko) shinsetsu koji, Available online: https://www.osti.gov/etdeweb/biblio/309449.
20. Investigation on the stratigraphic response and plugging effect induced by press-in open caisson in mucky soil10.1007/s12205-023-0294-7 ↗
21. Study on the characteristics of friction resistance and the mechanism of sudden sinking in the middle and late sinking stages of super large caisson foundation
22. Zhang, F. (2009). Design, Construction and Cases of Open Caisson and Pneumatic Caisson, China Architecture & Building Press.
23. Tani, Y., Nakano, M., Okoshi, M., Maeda, S., and Isa, H. (1996, January 11–13). Research and Development of Automatic System for Open Caisson Method. Proceedings of the 13th International Symposium on Automation and Robotics in Construction, Tokyo, Japan.10.22260/ISARC1996/0040 ↗
24. Study on assembling technique of main machine for mine shaft boring machine
25. Discussion on Prefabricated Support Scheme of Subway Construction Shaft
26. (2025, March 10). Herrenknecht. Vertical Shaft Sinking Machine. Available online: https://www.herrenknecht.com/en/products/productdetail/vertical-shaft-sinking-machine-vsm/.
27. Frey, S., and Schmaeh, P. (2019). The role of mechanized shaft sinking in international tunnelling projects. Tunnels and Underground Cities. Engineering and Innovation Meet Archaeology, Architecture and Art, CRC Press.10.1201/9780429424441-224 ↗
28. Rahimi, M., Rajmohan, A., Spasojevic, A., Scheele, J., Cabot, E., Ho, K.S., and Ball, S. (2022, January 2–5). Geotechnical Considerations of Deep Mine Shaft, Sinking by Combined VSM and Drill & Blast Construction Methodology. Proceedings of the GeoCalgary 2022, Calgary, AB, Canada.
29. Zhou, J., Liu, C., Xu, J., Zhang, Z., and Li, Z. (2023). Deformation Mechanism and Control of In-Situ Assembling Caisson Technology in Soft Soil Area under Field Measurement and Numerical Simulation. Materials, 16.10.3390/ma16031125 ↗
30. Yi, K., Tong, S., and Chen, Y. (2022, January 2–8). The first circular shaft in asia with the use of vertical shaft sinking machine. Proceedings of the World Tunnel Congress 2022, Copenhagen, Denmark.
31. Shaft boring systems for mechanical excavation of deep shafts
32. 3D analysis on surrounding soil stability of shaft boring machine based on plastic limit equilibrium theory10.1007/s12205-021-0458-2 ↗
33. Development path and key technology analysis of shaft and tunnel construction in deep stratum with high temperature
34. An analytical model to predict the radial deformation of surrounding rock during shaft construction via shaft boring Machine10.1016/j.tust.2023.105321 ↗
35. Mechanized shaft sinking system
36. Goodell, T.M. (1991). Shaft boring machine: A method of mechanized vertical shaft excavation. High Level Radioactive Waste Management, American Society of Civil Engineers.
37. An innovative design of mega shaft boring machine (SBM) cutterhead based on TRIZ and AD theory10.1177/16878132231153358 ↗
38. Zou, D. (2017). Mechanical Underground Excavation in Rock. Theory Technol. Rock Excav. Civ. Eng., 435–472.10.1007/978-981-10-1989-0_14 ↗
39. Development and prospect of mechanical shaft boring technology
40. Pariseau, W.G. (2006). Design Analysis in Rock Mechanics, CRC Press.10.1201/9780203968253 ↗
41. Ferreira, P.H. (2005, January 26–29). Mechanised mine development utilising rock cutting and boring through raise and blind boring techniques. Proceedings of the 3rd Southern African Conference on Base Metals, Kitwe, Zambia.
42. Key technologies of drilling process with raise boring method10.1016/j.jrmge.2014.12.006 ↗
43. Challenges of shaft drilling in broken rock masses with a large raise boring machine in confined underground space: A case study10.1016/j.tust.2024.105694 ↗
44. Oosthuizen, M. (2004). Large Diameter Vertical Raise Drilling and Shaft Boring Techniques as an alternative to Conventional Shaft Sinking Techniques. SANIRE 2004—The Miner’s Guide through the Earth’s Crust, South African National Institute of Rock Engineering.
45. Projektowanie frezujących organów ślimakowych dla zwiększenia wychodu grubych sortymentów węgla
46. Vertical Shaft Construction at the Pump Storage Plant Vianden/Luxembourg
47. Liu, Z. (2012). Drilling technology and Development of LM series raise boring machine. Rock Mechanics: Achievements and Ambitions, CRC Press.10.1201/b11438-131 ↗
48. Martin, D.G., Hunt, R., and Jones, A.P. (2012, January 24–26). New opportunities for mine planners–large diameter borehole hoisting systems. Proceedings of the Third International Conference on Shaft Design and Construction, London, UK.
49. Development of BMC200 raise-boring machine
50. Research on ZFY5. 0/600 mode large diameter raise boring machine
51. The Future is Boring
52. Evans, V., and Graham, C. (2025, March 10). Shaft Sinking from 2007 to 2020: Mechanical Excavation. Evolution of Shaft Sinking Systems in the Western World and the Improvement in Sinking Rates (Part Seven). Available online: https://magazine.cim.org/en/the-evolution-of-shaft-sinking/evolution-of-shaft-sinking-part-seven-en/.
53. Slater, D. (Mining Weekly, 2016). German company develops four machines for blind-shaft construction, enlargement, Mining Weekly.
54. Zhi, W. (Securities Times, 2024). This ACPP technology system provides a new solution for underground space construction, Securities Times.
55. Optimization of section shape and support parameters of tunnel under complicated conditions
56. Response of surrounding environment during excavating of subway shaft adjacent to building
57. Risk caused by construction of the metro shaft adjacent to building and its control measure10.1016/j.proeng.2016.11.733 ↗
58. McCracken, A., and Stacey, T. (1989, January 5–7). Geotechnical risk assessment for large-diameter raise-bored shafts. Proceedings of the Shaft Engineering Conference, Harrogate, UK.
59. Construction Techniques and Safety Analysis for a Deep Vertical Shaft and Vertical Shaft Shifting to Main Tunnel
60. A review of some aspects of shaft design
61. Zhao, X. (2018). Fundamental Theory and Development Trends of Ultra-Deep Shaft Construction. Metal Mine, 1–10.
62. Large diameter shafts for underground infrastructure10.1016/j.tust.2014.09.010 ↗
63. Muramatsu, M., and Abe, Y. (1996). Considerations in shaft excavation and peripheral ground deformation. Geotechnical Aspects of Underground Construction in Soft Ground, CRC Press.
64. Bruce, D.A., Chan, P.H., and Tamaro, G.J. (1992). Design, Construction and Performance of a Deep Circular Diaphragm Hall, ASTM International.10.1520/STP19747S ↗
65. Discussion on value of coefficient o in structural design of circular diaphragm wall
66. Marten, S., and Bourgeois, E. (2005, January 15–17). Three-dimensional behaviour of a circular excavation in Nantes, France. in Geotechnical aspects of underground construction in soft ground. Proceedings of the 5th International Conference of TC 28 of the ISSMGE, Amsterdam, The Netherlands.10.1201/NOE0415391245.ch120 ↗
67. Furlani, G., Guiducci, G., Lucarelli, A., Carrettucci, A., and Sorge, R. (2011, January 15–19). 3-D finite element modeling and construction aspects for vertical shafts in Metro C Rome. Proceedings of the International Symposium on Geotechnical Aspects of Underground Construction in Soft Ground, Rome, Italy.
68. Zhao, D., Li, H., and Tu, H. (2022). Research status and prospect of design and construction technology of ultra-deep shaft tunnel. Railw. Investig. Surv., 48.
69. Example of the application of jet grouting to the neutralisation of geotechnical hazard in shaft structures10.1515/sgem-2015-0037 ↗
70. Zhang, X. (2007). Application of Bolt-Sprayed Concrete Technology in Mine Shaft Engineering. Coal Technol., 89–91.
71. Application and development direction of radial horizontal well technology
72. Determination of critical criterion of tensile-shear failure in Brazilian disc based on theoretical analysis and meso-macro numerical simulation10.1016/j.compgeo.2021.104096 ↗
73. Hard rock miner’s handbook, edition 5
74. Challenges in the mining and utilization of deep mineral resources10.1016/J.ENG.2017.04.027 ↗
75. Vertical shaft excavation shaping and surrounding rock control technology under the coupling action of high ground stress and fracture formation10.1061/(ASCE)CF.1943-5509.0001524 ↗
76. Application of Deep Foundation Pit Support Construction Technology in Construction Engineering
77. Influence of concrete strength and steel fibre geometry on the fibre/matrix interface10.1016/j.compositesb.2017.04.010 ↗
78. Monitoring of impact of hooked ends on mechanical behavior of steel fiber in concrete10.1016/j.conbuildmat.2016.03.142 ↗
79. Research on superimposed monolithic prefabricated assembly technology for underground engineering
80. Three-dimensional numerical simulation of a caisson prefabricated structural shell-joint model
81. Sensor monitoring of a newly designed foundation pit supporting structure10.1007/s11771-013-1585-9 ↗
82. Rapid excavation with a newly developed retaining system: Spiral assembly steel structure10.1007/s11771-015-2802-5 ↗
83. Study on the stress law of VSM caisson during the sinking process of borehole
84. Monitoring the construction of a large-diameter caisson in sand10.1680/jgeen.19.00266 ↗
85. Guo, M., Dong, X., and Yang, Z. (2023). Settlement analysis of the giant open caisson during the construction of the Changtai Yangtze River Bridge. Front. Earth Sci., 10.10.3389/feart.2022.1056695 ↗
86. Experimental study on the migration regularity of sand outside a large, deep-water, open caisson during sinking10.1016/j.oceaneng.2019.106601 ↗
87. Centrifugal model test study of caisson sinking resistance
88. Cutting shoe design for open caissons in sand: Influence on vertical bearing capacity10.1680/jgeen.20.00218 ↗
89. Examples of open caisson sinking in Scotland10.1680/geng.2009.162.1.59 ↗
90. Jamuna river 230 kV crossing, Bangladesh. Part 2: Construction
91. Safiullah, A. (2005, January 10). Geotechnical problems of bridge construction in Bangladesh. Proceedings of the Japan-Bangladesh Joint Seminar on Advances in Bridge Engineering, Dhaka, Bangladesh.
92. Overview of underpinning and caisson shaft-sinking techniques10.1680/geng.13.00117 ↗
93. Field study on deformation and stress characteristics of large open caisson during excavation in deep marine soft clay10.1155/2021/7656068 ↗
94. Sinking a jacked caisson within the London Basin geological sequence for the Thames Water Ring Main extension10.1144/1470-9236/09-055 ↗
95. Construction technology of open caisson for oversize surge shaft in drift gravel stratum
96. Remote-control technology performance for excavation with pneumatic caisson in soft ground10.1016/j.autcon.2019.102834 ↗
97. Farr, E.J. (Trenchless Technology, 2012). New Shaft Construction Method Successfully Introduced in the United States, Trenchless Technology.
98. Vertical shaft machines. State of the art and vision
99. Thomas, T. (2025, March 10). World’s Largest Diameter Vertical Shaft Boring Machine Launched. Available online: https://tunnellingjournal.com/worlds-largest-diameter-vertical-shaft-boring-machine-launched/.
100. Research and application of design and construction technology of assembled shaft: A case study of a sinking shaft underground parking garage in Nanjing, China