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shield tunnelling in the Madrid Metro extension

Manuel Melis, Luis Medina, and Jos Ma Rodrguez

Abstract: The development of tunnelling projects under heavily populated cities has been rapidly increasing around the

world during the last decades. Since tunnel construction can have disastrous effects on buildings, structures, and utilities near the excavation, construction methods have necessarily to provide maximum safety inside and outside the tunnel. To predict and correct dangerous ground movements due to the tunnelling works, the authors developed a

numerical model to simulate the earth pressure balance (EPB) excavation procedure and injection to complement some

deficiencies found in previous analytical or empirical subsidence estimating procedures. This model takes into account

the full excavation sequence and has been validated by a large amount of monitoring data from the previous Madrid

Metro extension. In the present paper, several predictive methods are used to predict the ground movements generated

during a new Madrid Metro extension project consisting of 48 km of tunnel (19992003). At the end of the works the

results will be compared with data from monitored sections placed in all five cities linked by the extension. Conclusions about the applicability and accuracy of the methods will be established with the aim of helping researchers and

engineers in their future projects.

Key words: ground movements, monitoring, numerical modelling and analysis, settlement, tunnels.

Rsum : Le dveloppement de projets de creusage de tunnels sous des villes densment peuples sest accru rapidement dans le monde au cours des dernires dizaines dannes. Mais la construction de tunnels peut avoir des effets dsastreux sur les btiments, structures et quipements prs des excavations, et en consquence, les mthodes de

construction ont ncessairement progress pour fournir un maximum de scurit lintrieur et lextrieur du tunnel.

Afin de prdire et corriger les mouvements dangereux de terrain dus aux travaux de creusage de tunnel, les auteurs ont

dvelopp un modle numrique pour simuler la procdure EPB dexcavation et dinjection pour compenser certains

dfauts trouvs dans les procdures antrieures dvaluation analytique ou empirique de laffaissement. Ce modle

prend en compte la pleine squence de construction et a t valide par une norme quantit de donnes de mesures

provenant de la prolongation antrieure du mtro de Madrid. Dans le prsent article, plusieurs mthodes de prdiction

ont t utilises pour prdire les mouvements de terrain gnrs au cours du projet de prolongation du mtro de Madrid sur 48 km de tunnel (19992003). la fin des travaux, les rsultats vont tre compars avec les donnes de sections instrumentes places dans les cinq sites relis par la prolongation. On propose des conclusions sur lapplicabilit

et la prcision des mthodes dans le but daider les chercheurs et les ingnieurs dans leurs projets futurs.

Mots cls : mouvements de terrain, mesures, modlisation et analyse numriques, tassement, tunnels.

[Traduit par la Rdaction]

Melis et al.

1287

Introduction

A vast amount of tunnelling work that has taken place

around the world in recent decades is related to mass transportation projects in overpopulated cities. Los Angeles, New York,

Boston, London, Paris, Madrid, Rome, Amsterdam, Cairo, Singapore, Hong Kong, Beijing, Tianjin, Algiers, Sao Paulo, Buenos Aires, Mexico City, Caracas, and many others are just a

small sample of the cities that are extending or creating their

underground transportation network. This trend is very recent,

and it is foreseeable that in the next decades underground

transportation projects will increase to levels still unknown.

increasing around the world. The success of the first line, TokyoOsaka in Japan in 1964, even with its relatively low

speed of 200 km/h, brought the ParisLyon TGV, leading to

the construction of the European high speed network, which

includes countries such as France, England, Spain, Belgium,

Holland, Germany, and Italy. The layouts of these new 300

350 km/h railways, with their low longitudinal slopes (1.5%)

and enormous radii (79 km), necessitates the construction of

long base tunnels in order to cross the mountains or the sea

(e.g., the recent tunnels of La Manche (50 km) between England and France; the Guadarrama near Madrid (30 km); the

Received 11 May 2001. Accepted 15 May 2002. Published on the NRC Research Press Web site at http://cgj.nrc.ca on

6 November 2002.

M. Melis1 and L. Medina. Department of Geotechnical Engineering, University of La Corua, La Corua, Spain.

J.Ma. Rodrguez. Department of Geotechnical Engineering, Madrid Polytechnical University, Madrid, Spain.

1

DOI: 10.1139/T02-073

1274

to France; the new St. Gotthard in Switzerland (57 km); or

the new Loetschberg also in Switzerland (42 km)). In summary, the authors believe that tunnelling projects will have an

ever-increasing importance in the near future. Pollution-free

mass transportation and the reduction of surface traffic, as

well as new sewage and water supply projects, are forcing

city administrations to use more of these solution types. However, designing and building tunnels, especially in soils and

soft rocks, is one of the most difficult geotechnical projects to

undertake. Tunnels are usually located under densely populated zones, and their construction can have disastrous effects

on the buildings above. There are many recent examples of

collapses and accidents due to the construction of tunnelling

projects, and the last report of the Health and Safety Executive of England (HSE 2000) summarized 154 collapses, with

a high number of human lives lost.

The first tunnelling shield machine with full face protection, i.e., a slurry machine, is believed to have been designed

by John Bartlett, from Mott-Hay-Anderson of England in

March 1965 and used in a water supply tunnel project under

the Thames. Further developments of this idea were made in

Germany, where Wayss-Freytag developed the so-called

Hydroshield system, which was used successfully in Hamburg, Berlin, and Amberes. Earth pressure balance (EPB)

machines first appeared in Japan in the late 1970s and were

introduced to the geotechnical community by Abe et al.

(1978) and Endo and Miyoshi (1978). In the last 30 years

the concept of tunnelling design and construction has

changed drastically, and today most of the tunnelling projects, either in hard rock, in soft rock, or in soils, are being

designed and built using this new type of shield, with either

the slurry or EPB technologies.

In some sectors of the geotechnical community there is

still, however, a fierce resistance to the use of shields in tunnelling projects. The supporters of methods such as the New

Austrian Tunnelling Method (NATM), the precutting

method, or others, such as the ADECO method (acronym of

the Italian for analysis controlled deformation in rocks and

soils), are still insistent on their safety, low cost, and speed.

The Regional Government of Madrid successfully designed and built 38 km of 9.4 m diameter tunnels in soft

ground and 38 stations for the Madrid Metro extension in

just 40 months, between September 1995 and February

1999, at a cost of 44 million $US per km without any accident or collapse. This was achieved using EPB machines because the NATM or other open face tunnelling methods were

absolutely prohibited.

This absolute prohibition, perhaps the first case ever, was

specified by the senior writer responsible for the technical

and economical aspects of the project. During the same period, other cities using the open face methods of tunnelling

for similar projects spent in excess of 44 million $US

per km, needed more than 10 years for the design and construction of tunnel lengths less than 20 km, and some of

them reported a heavy record of collapses and accidents. In

November 1999 the World Bank described this project as

having an evidently superb manner of procurement and implementation.

After the 19951999 extension, the Madrid Metro network had reached a total length of 176 km with 197 stations.

1999 by the Regional Government (Comunidad de Madrid),

consisting of a further 48 km with a 9.4 m diameter tunnel

connecting five cities southwest of Madrid. The design of

these tunnels, also located under heavily populated urban areas, necessitates the prediction of the subsidence that will

occur during construction, so that the stability of the buildings and other construction located above the tunnels can be

properly studied, analyzed, and guaranteed.

This work consists of two parts. The first part deals with

the prediction of the soil movements caused by the tunnelling works of the 19992003 Madrid Metro extension (this

paper). The second part, to be published after the tunnelling

works are finished, hopefully in 2003, will compare measured soil movements with those predicted in this paper.

METROSUR was designed as a new underground circular

line some 40.5 km in length (Fig. 1) that will connect five

cities located southwest of Madrid (Alcorcn, Mstoles,

Fuenlabrada, Getafe, and Legans). The tunnel will pass under urban areas, where 27 new stations are being built, so

that the system will be used as local underground transport

in each city.

The ring established by METROSUR is 40.5 km in length

and will be linked with the present Madrid Metro network

through the extension of Line 10 up to Alcorcn, where the

connection between both lines will be placed. In each city

the new circular line connects through interchange stations

with the regional railway network of commuter trains. Thus,

other cities, like Parla or Pinto, may join the METROSUR

system. The location of the stations takes into account not

only the service of the most populated areas but also the position of the university zones, hospitals, and shopping centres. It is foreseen that 140 000 passengers per day will use

the system during the first year of service.

It is difficult to use most subsidence estimation methods

for prediction purposes. In fact, they employ several parameters that are not always easy to estimate before the start of

tunnelling works

(1) (radial strain), (a parameter), and (relative

ovality) in Sagasetas and Verruijts methods;

(2) (an empirical parameter) and (a parameter) in

Oteos method;

(3) g (undrained gap parameter) in Loganathans method;

(4) VS (volume loss) and i (position of the point of inflection in the normal distribution curve) in Pecks method; and

(5) K0 (coefficient of earth pressure at rest) and the soil

chamber pressure on the tunnel face in the Romo (Romo

1997) and Medina-Melis methods.

When a lot of field data is available (VS values for example), an important part of this is either contradictory or does

not allow for easy extraction of accurate values. Furthermore, in most cases they were obtained from very diverse

construction techniques, geotechnical conditions, tunnel geometries, etc. (and are also different from those corresponding to the analyzed problem). As a consequence, a wide

2002 NRC Canada

Melis et al.

1275

from each method.

The settlement estimation corresponding to this paper will

be made with the following methods.

(1) The Sagaseta method

This method is based on the analytical solution of the subsidence given by Sagaseta (1987) and later extended by

Sagaseta (1988) and Uriel and Sagaseta (1989). The surface

settlements are given by the following expressions:

[1]

z (x) =

VS

H

x2 + H2

[2]

z (y) =

VS

2H

1 +

plane to the tunnel axis, x is the distance to the centre line,

z (y) is the vertical soil movement in the longitudinal plane,

and y is the distance to the tunnel face. Finally, VS is the volume loss (ratio of the volume of the surface settlement

trough per metre run to the excavated area, usually expressed as a percentage), and H is the tunnel axis depth.

Later improvements to the method were proposed by

Gonzlez and Sagaseta (2001)

[3]

y 2 + H 2

y

R

z (x) = 2 R

H

2 1

1

1 x2

+

1

(1 + x 2 )

1 + x2

the relative distance to the tunnel axis (x/H), is a parameter, and is the relative ovality

2002 NRC Canada

Composite Default screen

1276

[4]

[8]

soil and the excavation process. When and are equal to 1,

this expression converts into eq. [1].

The soil movement distribution is defined by three parameters (, , ). To obtain them from the surface settlement

profile we should make an adjustment at three points.

Sagaseta proposes that = 1 in clayey soils and values of

this parameter depend on the tunnel axis depth in granular

soils ( = 2 when H < 2D and = 1 when H > 4D).

The value of ranges between 0 and 1 and may be greater

than 1 if grouting is used to fill the gap.

As a first approach, (in %) can be obtained from VS as

follows:

[5]

The Verruijt-Booker method (Verruijt and Booker 1996) is

a generalization of Sagasetas solution for compressible soils

(arbitrary values of Poissons ratio); it includes the effect of

ovality

z (x) = 4 R2 (1 )

H

H( x 2 H 2 )

2 R2 2

2

x +H

(x + H 2 ) 2

2

= 0.5, and eq. [6] converts into eq. [1].

The total area (A) of the settlement trough is found by integrating eq. [6] from to +. The result is

[7]

A = 4(1 ) R2

Thus

A

VS

=

2

4(1 ) R

4(1 )

This method is based on the famous work by Professor

Peck (1969), with later corrections such as those of Atkinson

and Potts (1977) and Clough and Schmidt (1981). It is based

on the former observed data and does not include consideration of the effects associated with the recent development

of shield techniques. As a result, the ground deformation

predicted by this method is larger than the measurement data

observed in recent shield excavations.

VS

V

S

i 2 2.5i

[9]

z,max =

[10]

2

2

V

z (x) = S e 2 i = z,maxe 2 i

i 2

x 2

V

= S

2

to the ground loss at the tunnel, V0).

[6]

x 2

and i is the position of the point of inflection in the normal

distribution curve.

Peck provided graphical empirical correlations between

VS and the stability number, N, where the stability number is

defined as(after Broms and Bennermark 1967)

[11]

N =

v T

cu

T is the internal support pressure, and cu is the undrained

shear strength of the soil. Because of the difficulty in estimating these parameters and the vagueness of the graphical

correlations, VS values have been obtained from monitoring

data corresponding to the last Madrid Metro extension, as

explained later.

It was also difficult to estimate the position of the point of

inflection, i. Graphical correlations between i and H (like that

from Peck, for example) are imprecise and the ranges of pos 2002 NRC Canada

I:\cgj\Cgj39\Cgj-06\T02-073.vp

Wednesday, November 27, 2002 8:14:44 AM

Melis et al.

1277

Fig. 3. Finite difference mesh, global co-ordinate system, and construction process.

Fig. 4. Mesh dimensions and position of the section for soil movement control.

x 2

sible values are too wide. In the present study eq. [13] has

been used to determine the i values needed by Pecks method.

[12]

This semiempirical method is based on Oteos works over

the last 30 years (Oteo and Moya 1979; Sagaseta et al. 1980).

where and are Poissons ratio and the total unit weight of

the soil, respectively; D is the tunnel diameter; is an empirical parameter to be obtained from monitoring data analy-

2

D2

z =

(0.85 ) e 2 i

E

Composite Default screen

1278

Elastic and Mohr-Coulomb models

Fines

content (%)

Material

Man-made fills

Arena de miga

(loamy sand)

Arena tosquiza

(clayey sand)

Tosco arenoso

(sandy clay)

Tosco (brown

clay)

Peuela (blue,

plastic clay)

1580

025

Cohesion

(kPa)

5

10

2540

Friction

angle ()

28

35

Compression elastic

modulus (MPa)

10

80

0.35

0.30

0.11

0.08

0.02

0.01

1.11

1.42

2.16

1.92

15

33

100

0.28

0.10

0.02

1.33

2.11

4060

25

32

130

0.30

0.11

0.03

1.29

2.20

6085

40

30

170

0.30

0.14

0.05

1.20

2.39

8595

60

28

220

0.28

0.21

0.07

1.11

3.00

the point of inflection, i, corresponding to the surface subsidence profile is obtained from Sagaseta et al. (1980)

[13]

i

H

= 1. 05 0. 42

R

D

This method (De la Fuente and Oteo 1996) is based on the

finite element analysis. The model allows an easy and quick

estimation of the longitudinal subsidence curve (Fig. 2). Soil

surface settlements that start at a distance of 0.85H ahead of

the tunnel face are in the order of max over the tunnel face

and stabilize at D metres behind it. The point of inflection

is proposed to be at a distance of D behind the tunnel face.

The maximum settlement, max, may be obtained from

eq. [12]. Values for , , and are given in Fig. 2.

(6) The Loganathan-Poulos analytical prediction method

In this method (Loganathan and Poulos 1998)

1. 38x 2

2

H

2

( H + R)

z (x) = (1 ) 2

(

4

gR

+

g

)

e

2

x +H

[15]

This is a numerical method based on the FLAC3D finite

difference code (Medina 2000). This model takes into account the full excavation sequence as described below.

Numerical simulation

soil.

[14]

g = Gp + U3D +

clearance between the outer skin of the shield and the lining

(if grouting is employed to fill the physical gap, the value of

Gp is assumed to be in the order of 0.070.1 times its original value); U3D is the equivalent three-dimensional (3D)

elastoplastic deformation at the tunnel face; and takes into

account the quality of the workmanship.

When using EPB machines elastoplastic 3D strains at the

tunnel face may be neglected with relation to Gp. Besides, if

good quality construction conditions are considered 0; thus

the gap parameter is equal to the physical gap (i.e., g Gp).

Introduction

The numerical simulation of EPB tunnel excavation in

Madrid has been carried out with the FLAC3D finite difference code (Itasca 1997) to account for deformations ahead

of the face and the effect of the shield. The full excavation

sequence, as detailed later, has been simulated, including the

overexcavation (the void between the ground and the shield),

the gap (the tailpiece void between soil and liner), and the

grouting process behind the shield tail. The buildings placed

near the tunnel axis have not been included in the model.

According to the authors experience with more than 37

kilometres of big diameter tunnels, displacements due to

shield excavations depend mainly on construction sequences

and EPB parameters. In the present study, special care has

been taken of the following aspects (Medina 2000): (i) soil

chamber pressures (top, centre, and bottom) on the tunnel

face; (ii) void space between soil and shield (overexcavation);

(iii) tailpiece void between soil and lining (gap parameter);

(iv) injection grout pressure; and (v) lining behaviour.

A 3D model allows a more accurate analysis of the construction effects on the soil and the repercussions of some

key parameters, such as the injection grout and chamber

pressures. In order to take into account the 3D effects in the

vicinity of the tunnel face, 2D models should make hypotheses about stress release or inward soil movements along the

perimeter of the tunnel as the successive excavation stages

are taking place (Lee et al. 1992; Hashimoto et al. 1999;

Benmebarek and Kastner 2000).

Geometrical and mechanical model

The adopted mesh and global coordinate system x, y, z,

are represented in Fig. 3. The mesh dimensions have been

obtained from sensitivity analyses (Fig. 4). All movements

in the model are measured at one diameter distance from the

origin of the mesh to avoid boundary effects caused by the

plane y = 0 m.

2002 NRC Canada

I:\cgj\Cgj39\Cgj-06\T02-073.vp

Wednesday, November 27, 2002 8:17:46 AM

Melis et al.

1279

(19951999).

are well known in the case of Madrid soils.

(3) The modified Cam clay model. It offers the following

advantages with respect to the preceding models:

(a) The elastic parameters, K and G, are obtained from the

following expressions:

[19]

[20]

geological history of Madrid soils, they have experienced an

important overconsolidation process. The past maximum elevation of Madrid ground surface is believed to have been in

the order of 725 m and today varies between 600 and 700 m.

Measurements of the coefficient of earth pressure at rest, K0,

done during the last decades in Madrid soils provided K0

values in some cases higher than 1, and as high as 1.6. The

authors are currently undertaking a new series of measurements to ascertain the value of this parameter. In this work,

K0 values were obtained from Alpan (1967)

[16]

K=

p

3 (1 2)

G =

2(1 + )

the slope of the swelling lines.

As the equations for the normal consolidation line and

swelling lines are different, different values for K and G are

employed to calculate elastic deformations along these paths.

(b) Furthermore, these parameters are not constant along

the normal consolidation line and the swelling lines, but they

depend on the current strain state in each element (p).

(c) Soil overconsolidation is considered by the model not

only as an initial stress state but also as a factor determining

the pre-failure and post-failure mechanical soil behaviour.

When working with the preceding models, the original stress

state may be introduced by means of initial conditions, but

these do not reflect the stress history, and the overconsolidation effects on the soil response are not taken into

account.

K0 = K0NC OCRff

normally consolidated soils; OCR is the overconsolidation

ratio; and ff is a parameter depending on the soil. The values

for these parameters may be inferred from the following

equations:

PI

281

[17]

ff = 0.54 10

[18]

K0NC = 1 sin

(Alpan 1967)

(Jaky 1948)

(Table 1). The OCR value corresponding to each element is

obtained from its current depth and elevation.

Three different soil constitutive models have been selected

for analysis as follows:

(1) The linear elastic model. Here K (tangential bulk

modulus) and G (shear modulus) are supposed to be constant. This is a very simplified hypothesis, but its predictions

are acceptable in many cases because Madrid soils are very

stiff, and plasticity effects are not very important for the purpose of predicting subsidence (Medina 2000).

(2) The Mohr-Coulomb elastoplastic model. The main advantage with respect to the elastic model is that plastic deformations are taken into account. Construction difficulties

such as steering and alignment problems can cause overexcavation and remolding of adjacent soils. Usually during

tunnelling, a significant disturbed zone is induced around the

tunnel. Therefore, it is expected that the use of a linear elastic model coupled with modelling overexcavation process

does not reliably represent the soil behaviour in the problem

A discontinuous advance of the shield has been studied:

soil cylinders, whose length is equal to the lining ring

length, are instantaneously excavated. After each cylinder

excavation, stress balance is allowed. The FLAC3D large

strain option has been adopted (the deformed mesh geometry is taken into account). The EPB frustum conic shape has

also been modelled. For each excavation step the following

sequence of operations is applied (Fig. 3):

(1) Removal of face elements.

(2) Interface generation on the new soil surfaces created.

Shield and soil meshes are independent and may deform independently. This interface, with the appropriate mechanical

properties, avoids penetration of the soil into the EPB mesh

and allows contact forces to be applied between them where

and when they contact each other.

(3) Shield displacement for a length equal to the removed

soil cylinder length. The linear elastic constitutive model

was used for the EPB elements. Their unit weight is the ratio

between the total shield weight and its apparent volume. Because of the overexcavation (the difference between shield

and tunnel diameters), small steel plates are welded to the

lower half of the EPB to maintain the alignment of the tunnel and the machine axis. These plates were modelled with

the same mechanical properties as the EPB.

(4) Grout pressure application, after EPB passage, on tunnel surfaces. To reduce the volume loss, VS, and the surface

settlement, the gap between the soil and the lining is filled

with grout. Close to the shield tail, the grout has still not

hardened; thus, soil pressure cannot be applied to the lining.

2002 NRC Canada

1.3

1.3

1.3

1.3

1.3

0.18

0.13

0.08

0.25

0.09

0.30

0.31

0.29

0.29

0.30

0.012

0.012

0.012

0.012

0.012

0.30

0.31

0.29

0.29

0.30

0.23

0.17

0.10

0.33

0.12

1.3

1.3

1.3

1.3

1.3

0.18

0.13

0.08

0.25

0.09

0.30

0.31

0.29

0.29

0.30

467

420

374

600

551

0.3

0.3

0.3

0.7

0.3

6.3

7.5

9.5

4.5

4.5

20.2

20.1

20.4

20.2

20.3

1.13

1.07

1.13

1.30

1.24

E (kPa)

i (m)

(kN/m3)

VS (%)

0.50

0.35

0.23

0.70

0.25

6.3

7.5

9.5

4.5

4.5

I

II

III

IV

V

Section

Section

Section

Section

Section

Sagaseta

(%)

g (m)

Loganathan-Poulos

(%)

(%)

i (m)

Verruijt-Booker

Oteo

Peck

1

1

1

1

1

(%)

1280

to be the most realistic approach to model the effect of the

grout on the ground. Grouting pumps in Madrid EPBs can

give up to 6000 kPa pressure, and pressure at the end of the

lines has been kept normally as high as 250 kPa.

(5) Generation of grouted elements. Injection hardens

12 m away from the shield tail because the grouting material

is designed to harden 12 h after it is applied, and the mean

shield speed is 1 m/h (Melis 1997). The linear elastic model

is employed to simulate these elements.

(6) Generation of lining ring elements. After the grout

hardening, soil pressures may be sustained by the lining, so

ring elements are also created 12 m away from the shield

tail. The linear elastic model has been used to model lining

mechanical behaviour. Behind the shield, lining rings settle

into the fluid grout injection. However, they do not reach the

bottom of the excavation because of the 140 mm separation

due to the shield wall plus the guidance steel profiles and the

bolts linking them with both the ring inside the shield and

the preceding rings surrounded by hardened grout.

(7) Soil chamber pressure application on the tunnel face.

In most cases, the EPB shield is operated so that the rate of

excavation is less than the rate of the machine advance, forcing the soil away from its face causing small initial heave.

This initial heave will reduce the amount of final settlement,

especially in hollow tunnels or when soft soils are excavated

(sometimes it can even be removed). As in the numerical

model the rates of excavation and machine advance are the

same, this effect may be taken into account by varying the

soil chamber pressure. The values of this parameter are

available from the files recorded from the shields during the

excavation of the tunnels. Madrid EPBs work under normal

circumstances with 60 to a maximum of 100 kPa pressure at

the upper cell in the soil chamber and as high as 270

300 kPa at the bottom cells.

(8) Finally, the weight of the back-up is applied on the

corresponding lining rings.

Technical parameters referring to EPBs, lining rings, and

injection grout are as follows:

(1) EPB parameters. (a) EPB shield external diameter is

9.33 m in the Mitsubishi machines. The cutting wheel diameter, as related to the peripherical bits is 9.38 m. Thus, the

overexcavation is normally equal to 25 mm excluding the

curves, where the copy-cutters increase slightly the horizontal diameter, thus providing an elliptical cross-section in the

excavation in order for the shield to be able to build the

curve. (b) The total length is 10 800 mm. An intermediate articulation allows up to 2.5 relative tilt between the front and

the tail part of the shield. The thickness is 80 mm with a

conicity of 0.01 m/m. (c) The weight is 9750 kN. (d) The

back-up length is 115 m. (e) The back-up weight is 5050 kN.

(2) Lining ring parameters. (a) A universal ring was selected for the 9.38 m diameter machines, although excellent

results were also obtained with the right-left ring in the

7.4 m diameter EPB from LOVAT. (b) The inner diameter is

8.43 m. (c) The thickness is 0.32 m. Several analysis were

carried out to determine the appropriate value for this parameter. Different load hypotheses were considered: storage

and transport of dowels and ground pressures on the lining

when varying the tunnel axis depth (Melis 1997). (d) The

length is 1.5 m.

2002 NRC Canada

Melis et al.

1281

method (elastic, Mohr-Coulomb, and Cam clay models). Section

I (Fuenlabrada, chainage 0+305).

Fig. 8. Predicted transversal settlement profile by different methods. Section I (Fuenlabrada, chainage 0+305).

methods. Section I (Fuenlabrada, chainage 0+305).

tail, end of grouting pipes is 200600 kPa. (b) Youngs

modulus (when hardened) is 2.57 GPa. (c) Poissons ratio

(when hardened) is 0.286.

Results

In OctoberNovember 2000, six EPBs had started tunnelling in the areas where the predictions of this paper have

been made. It is foreseen that by the end of year 2002 all

tunnels will have been constructed.

Five sections have been analyzed in this work by means

of each of the seven estimation methods detailed herein.

These sections cover a wide range of both geotechnical profiles and tunnel depths.

All sections analyzed have been fully instrumented. The

geotechnical instrumentation of each control section consists

of (a) seven leveling points, (b) three sliding micrometers,

(c) one trivec, and (d) one inclinometer.

2002 NRC Canada

1282

method (elastic, Mohr-Coulomb, and Cam clay models). Section

II (Fuenlabrada, chainage 1+114).

methods. Section II (Fuenlabrada, chainage 1+114).

the predicted and measured surface movements will be published. In the present work the results of the soil movement

methods. Section II (Fuenlabrada, chainage 1+114).

settlement at the surface above the tunnel axis; (b) point of

inflection of the subsidence curve; (c) volume loss in the

section; (d) the shape of the transversal subsidence curve;

and (e) the shape of the longitudinal subsidence curve.

The adopted values, in the numerical method, for the parameters of the EPB tunnelling machine are as follows: (a) earth

pressure in the face chamber (hydrostatic distribution in depth):

50 and 200 kPa on the upper and lower cells, respectively; and

(b) grouting pressure at the shield tail: 100 and 220 kPa on the

top and the bottom of the tunnel, respectively.

The main properties corresponding to the Madrid soils, as

required by the numerical method, are summarized in Table 1. Elastic and Mohr-Coulomb parameters have been obtained from several hundred soil tests from the last Madrid

Metro extension (Medina 2000), while Cam clay parameters

have been inferred from the following empirical correlations

(Wood 1990):

[21]

PI s

0. 006 PI

100 000 ln(100)

2002 NRC Canada

Melis et al.

1283

methods. Section III (Getafe, chainage 7+385).

6 sin

3 sin

[22]

M =

[23]

=1+

s

(LL + 0.3 PI)

100 000

ln p plane, PI is the plasticity index, s is the density of

the soil particles, expressed in kg/m3, M is the shape factor

for the Cam clay ellipseslope of the critical state line, LL is

the liquid limit, and is the value of the specific volume on

the critical state line at a mean effective stress p = 1 kPa.

This later expression can be combined with the following

one obtained from 178 soil samples (Medina 2000):

[24]

LL = 1.422 PI + 9.581

[25]

N = + ( ) ln 2

methods. Section III (Getafe, chainage 7+385).

[26]

compression line at a mean effective stress p = 1 kPa, and

is the slope of the unloadingreloading line in the ln p

plane.

The preconsolidation pressure, pc0, is obtained in each finite difference element from

[27]

pc0 = pmax +

2

q max

M 2 pmax

v,max + 2 h,max

[28]

pmax =

[29]

and v,max and h,max are the maximum vertical and horizontal stresses, respectively, corresponding to each element.

They are obtained from the current depth and elevation of

2002 NRC Canada

1284

methods. Section IV (Alcorcn, chainage 7+505).

surface, and eq. [16].

To be able to compare the results from the different methods, the same VS values have been used with those methods

that need it (i.e., Sagaseta, Verruijt-Booker, and Peck methods). These values have been obtained from Fig. 5, which

shows data from several instrumented sections in the Madrid

Metro extension (19951999).

Most of the VS values are within the range 0.1 and 0.6%.

If we consider that VS (0.71.0)V0 (Medina 2000), and the

overexcavation (a circular ring 15 mm thick) represents

0.64% of the tunnel cross section, it is possible that most of

the ground loss, V0, is due to this overexcavation. Thus, after

the passage of the shield, grouting and lining rings avoid additional ground loss.

The values of the parameters employed in the analyzed sections for each predictive method are summarized in Table 2.

Section I

This section is located in the city of Fuenlabrada (chain-

methods. Section IV (Alcorcn, chainage 7+505).

formed, from top to bottom, by 3.5 m of man-made fills,

8 m of brown clay, and several strata of clayey sand, sandy

clay, and brown clay randomly distributed (Fig. 6).

The subsidence profiles from the numerical simulation are

shown in Fig. 7. As said before, three different constitutive

models have been used: the linear-elastic model, the MohrCoulomb elastoplastic model, and the critical state Cam clay

model.

Settlements predicted by the Mohr-Coulomb model are

slightly higher than those obtained from the elastic model. This

is a consequence of the ring of plasticized soil around the excavation. Soil movements from the Cam clay model estimation

are between those corresponding to the two other ones.

The most reliable predictions are believed to be those from

the Mohr-Coulomb model because (i) it takes into account the

plasticity phenomenon, as explained before; and (ii) its corresponding parameters are better known than those of the critical state model obtained from empirical correlations.

Results from all of the prediction methods corresponding

to the transversal and longitudinal troughs are shown in

2002 NRC Canada

Melis et al.

1285

methods. Section V (Alcorcn, chainage 8+770).

reasons, the represented numerical prediction (Medina-Melis

method) corresponds to the Mohr-Coulomb model results

shown in Fig. 7.

The maximum settlement, over the tunnel axis, ranges between 6.2 (Oteos method) and 32.3 mm (Pecks method).

With respect to the longitudinal subsidence profile, similar

results have been obtained with the Medina-Melis and De la

Fuente methods. In this case, the Sagaseta model predicts a

final maximum movement greater than the others.

Section II

This section is also located in the city of Fuenlabrada

(chainage 1+114, overburden 10.3 m). The stratigraphic profile is formed, from top to bottom, by 4.5 m of man-made

fills and several strata of clayey sand, sandy clay, brown

clay, and loamy sand randomly distributed (Fig. 10).

The subsidence profiles from the numerical simulation

(Medina-Melis method) are shown in Fig. 11.

methods. Section V (Alcorcn, chainage 8+770).

Mohr-Coulomb model are a bit higher than those obtained

from the elastic model. In this case, the Cam clay model estimates greater movements than the other two models and

they are very close to the elastoplastic prediction.

As explained before, the most reliable predictions are

those from the Mohr-Coulomb model. Because of the similarity between the estimations from the different constitutive

models, only the Mohr-Coulomb results have been presented

in the next two figures.

Results from all of the prediction methods corresponding

to the transversal and longitudinal troughs are shown in

Figs. 12 and 13, respectively.

The maximum settlement, over the tunnel axis, oscillates

between 6.8 (Oteos method) and 22.1 mm (Pecks method).

With respect to the longitudinal subsidence profile, similar

results have been obtained with the Sagaseta and De la

Fuente methods. In this case, the Medina-Melis model predicts a final maximum movement much greater than the

other methods.

2002 NRC Canada

1286

Table 3. Estimated values for max , i, and VS corresponding to the analyzed sections.

Medina-Melis

Peck

Oteo

Loganathan

Verruijt

Sagaseta

max (mm)

i (m)

VS (%)

max (mm)

i (m)

VS (%)

max (mm)

i (m)

VS (%)

max (mm)

i (m)

VS (%)

max (mm)

i (m)

VS (%)

max (mm)

i (m)

VS (%)

Section I

Section II

Section III

Section IV

Section V

7.7

6.0

0.12

32.3

6.2

0.50

6.2

6.2

0.10

11.0

7.5

0.23

15.0

7.0

0.34

12.8

7.0

0.25

9.9

9.5

0.26

11.1

8.3

0.23

7.9

8.3

0.16

9.0

7.0

0.23

5.5

6.5

0.16

4.6

6.5

0.12

17.2

7.4

0.32

22.1

6.3

0.35

6.8

6.3

0.11

10.4

9.0

0.22

10.0

8.5

0.24

8.6

8.0

0.18

16.4

3.5

0.18

56.6

4.9

0.69

11.5

4.9

0.14

14.5

5.0

0.24

26.8

4.5

0.48

22.7

4.3

0.35

6.6

10.0

0.26

9.5

10.5

0.25

5.3

10.5

0.14

7.9

10.5

0.22

5.3

8.0

0.17

4.5

7.5

0.13

Section III

This section is located in the city of Getafe (chainage

7+385, overburden 12.8 m). The stratigraphic profile is

formed by 2.4 m of man-made fills and several strata of

sandy clay and high plasticity clays (Fig. 14).

Results from all the prediction methods corresponding to

the transversal and longitudinal troughs are shown in

Figs. 15 and 16, respectively. The numerical prediction corresponds to the Mohr-Coulomb model.

The final settlement over the tunnel axis ranges between

4.6 (Sagasetas method) and 11.1 mm (Pecks method).

Similar shapes for the longitudinal subsidence profile

have been obtained by means of the employed methods, although each of them predicts a different final settlement.

Section IV

This section is located in the city of Alcorcn (chainage

7+505, overburden 6.3 m). The stratigraphic profile is

formed by several alternate strata of loamy sand, sandy clay,

and clayey sand, as shown in Fig. 17.

Results for transversal and longitudinal troughs are represented in Figs. 18 and 19, respectively. The numerical prediction corresponds to the Cam clay model. In hollow

tunnels (H < 1.5 D) this model seems to fit field data better

than the others (Medina 2000).

The maximum settlement ranges between 11.5 and

56.5 mm, as predicted by Oteo and Peck, respectively.

Similar shapes for the longitudinal subsidence profile

have been obtained using the employed methods, although

final movements are quite different.

Section V

This section is located in the city of Alcorcn (chainage

8+770, overburden 15.2 m). The stratigraphic profile is

formed, from top to bottom, by 3 m of man-made fills,

4.5 m of loamy sand, 3 m of clayey sand, and several alternated strata of sandy clay, loamy sand, and brown clay as

shown in Fig. 20.

Results for transversal and longitudinal profiles are represented in Figs. 21 and 22, respectively. The numerical prediction corresponds to the Mohr-Coulomb model.

The maximum settlement ranges between 4.5 and 9.5 mm,

as predicted by Sagaseta and Peck, respectively.

Similar shapes for the longitudinal subsidence profile

have been obtained using the employed methods, although

each of them predicts a different final settlement; in this

case, the Medina-Melis method gives an estimation higher

than the others.

As a final summation of this point, results from the five

analyzed sections are gathered in Table 3. It refers to the

maximum settlement, max, the position of the point of inflection, i, and the volume loss, VS.

The positions of the point of inflection given by Pecks

method are smaller to the positions from the other methods.

Nevertheless, in most cases the maximum settlements are

predicted by Pecks method. Thus, the volume loss values

from this method are similar to the values from the others.

In general, the minimum vertical movements are obtained

from Sagasetas method.

Conclusions

Although a few methods have been proposed to predict

the deformations in numerical, statistical, and empirical

ways, it is difficult to say whether these methods can be

used in confidence.

To convert analytical methods into a practical predictive

tool, it would be of great interest to establish easy ways to

estimate their parameters. Much help could be found in all

of the available data from the Madrid Metro extensions.

Empirical methods are very useful and easy to handle tools

for estimating ground settlements. However, tunnelling engineers would be grateful for them if they provided more specific

values to be used for their parameters in each kind of problem.

Numerical methods are very flexible and may be adopted

to solve a specific problem taking into account geometrical

2002 NRC Canada

Melis et al.

They provide much more information than analytical or empirical methods. However, the incorrect choice of the constitutive model, the inaccuracy in the values of the parameters

employed, the improper understanding of the construction

process, etc., may lead to wrong results. Numerical models

should be verified and validated with the help of analytical

and empirical models and field data.

After the completion of the tunnelling works corresponding to the METROSUR Extension Project, a comparison between the predicted settlements presented in this paper and

the monitoring data will be made. The accuracy of each predictive method will be assessed with reference to the soil

movements measured at the five analyzed sections.

An improved fitting of the variables involved in the presented methods and a further knowledge about their applicability to specific situations will be inferred from this future study.

Acknowledgements

The authors wish to thank Professor Jimnez Salas, sadly

no longer with us, for his invaluable contribution to the

world of geotechnical engineering and in particular to that in

Spain.

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