A numerical analysis of lining behaviour during shield tunnelling

L. Medina University of La Corua, Spain M. Melis University of La Corua, Spain General Director of Infrastructures, Regional Government of Madrid, Spain President, Metro de Madrid

ABSTRACT: A three-dimensional numerical model simulating the excavation process was developed during the tunnelling works corresponding to the last Madrid Metro Extension Project (1995-1999). Su ccessful estimation of soil movements before the passage of the shield was obtained through the use of this model. However, insufficient care was taken when modelling the lining behaviour. The aim of this work is a more correct simulation of the lining rings. Field data from total pressure cells will be employed to qualify and validate the developed lining model.

1 INTRODUCTION The Madrid Metro Extension Project (1995-1999) has put into service 37 km of new lines and 36 stations, all under heavily populated areas. In the v icinity of the tunnelling some 5400 monitoring devices were installed in order to record ground movements during and after the excavation process, as well as to measure the stresses and strains of the lining rings. A three-dimensional numerical model simulating the excavation process was d eveloped during the tunnelling works. The model takes into account the most important processes affecting soil movements: soil chamber pressure on the tunnel face, over-excavation (void space between shield and tunnel), injected grout filling the void space between the outer side of the lining and the soil, self weight of the rings, etc. Successful estimation of soil movements before the passage of the shield was made through the use of this model (Medina 1999, 2000). Besides, it has allowed further study of the behaviour of the Madrid soils upon completion of the Project. However, insufficient care was taken when modelling the lining behaviour. It was intended to behave as a continuum cylindrical shield. This hypothesis is believed not to have important repercussions on soil movement predictions but significant disagreements may happen if an accurate response of the rings is required. In this work an improved simulation of the lining rings behaviour has been carried out. Thrust forces from the

hydraulic jacks, left out in the former work, have also been taken into account. Furthermore a simpler 2D model has been developed in order to compare the results with those from the 3D approach and decide on the necessity of this complex model to undertake the analysed problem. Field data from total pressure cells, gathered du ring the tunnelling works, will be employed to qualify and validate the developed lining models. 2 CHARACTERISTICS OF MATERIALS According to the present theories and knowledge about the geological history of M adrid 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 give values in some cases higher than 1, and as high as 1.6. In this work, K0 values are obtained from the Alpan expression (1967):
K 0 = K 0 NC OCR
ff

(1)

where K0NC is the coefficient of earth pressure at rest for normally consolidated soils; OCR is the

Over Consolidation Ratio; and ff is a parameter depending on the soil. Two different constitutive models have been chosen for analysis: The linear elastic model. The Mohr-Coulomb elasto-plastic model. The main properties corresponding to the Madrid soils, as required by these constitutive models, have been obtained from several thousand soil tests in the recent Madrid Metro Extension and are summarised in Table 1.
Table 1. Classification and soils. Fine Material content (%) Antropic fills Arena de miga (Loamy sand) Arena tosquiza (Clayey sand) Tosco arenoso (Sandy clay) Tosco (Brown clay) Peuela (Blue clay) 15-80 0-25 25-40 40-60 60-85 85-95 geotechnical properties of Madrid Cohe- Friction sion angle (kPa) () 5 20 35 50 60 70 24 38 33 31 31 29 Elastic modulus (MPa) 10 80 120 130 140 350

3.2 Adopted lining system During the last Madrid Metro Extension a segmental lining was used. It is formed by rings (named universal rings) and these are composed by segments made of precast reinforced concrete. The universal ring consists of six segments plus one keystone, which varies in position in each ring in order to get the desired tunnel alignment. By turning the set of segments forming the un iversal ring, with respect to the preceding one, its geometrical design allows one to obtain the d esired alignments in plan and elevation with only one kind of ring. By means of steel bolts the segments belonging to the same ring are restrained and each ring is linked to the next along the tunnel axis. Links between segments within to the same ring cannot be in line with those of the preceding ring: joints should be used instead of + joints (not allowed in the last Madrid Metro Extension) in order to reduce seepage through the lining into the tunnel. During the analysis of the mechanical behaviour of the segments not only the soil pressures in the tunnel were considered but also other actions such as those due to manipulation, storage, stress concentration on the co rners and near the bolts, jack thrusts, etc. 4 MODELS DESCRIPTION 4.1 3D Model The numerical simulation of EPB tunnel excavation was carried out with the FLAC3D finite difference code (Itasca 1997) in order to account for the deformations at the tunnel face and the effect of the shield. The full excavation sequence was reproduced, including the simulation of the overexcavation (the void between the ground and the shield), the gap (the tailpiece void between soil and liner), the soil chamber pressures (top, centre and bottom), the EPB parameters and the grouting process through the pipes in the shield tail. The lining was modelled by means of a continuum cylindrical shell. At that moment the interest wasnt focussed on the effects on the lining but on the ground movements. In the present work a segmental tunnel lining is considered. Beam elements are used to simulate steel bolts. Interface elements are employed to re-

0.35 0.30 0.28 0.30 0.30 0.28

3 DESIGN AND DESCRIPTION OF THE LINING 3.1 Introduction Before the appearance of computers, several an alytical and empirical methods were developed in order to determine soil pressures on tunnel lining (Sagaseta 1973, Lombardi 1973, Muir Wood 1975). All of them proposed very simplified strain and stress solutions and were unable to reproduce the complexity of the real problem. Furthermore most of them didnt take into account the soil-lining interaction effects. Numerical methods allow more realistic and accurate analysis of the whole problem taking into account all the variables involved in it. Hoek & Brown (1982) studied the soil-structure behaviour by means of numerical tools and proposed a systematic system for lining d esign. More recent and remarkable studies dealing with the design and construction of tunnel linings have been carried out by Duddeck (1985) and Curtis (1991).

produce the contact between all the segments forming the lining. During the advancement of the sh ield the large shoving loads from the hydraulic jacks (total = 80 MN) are taken by the segments in the longitud inal direction. These longitudinal thrusts are taken into account in the present model. The adopted mesh and construction processes are represented in Figure 1. A detail of the named elements forming the lining (segments, interfaces and bolts) is also shown. The EPB frustum conic shape has been modelled and the large strain option has been adopted. For each excavation step the following sequence of operations is applied (Figure 1): Removal of face elements. Interface generation on the new soil surfaces created in order to avoid penetration of soil into the EPB mesh and allow contact forces to be applied between them where and when they contact each other. Shield displacement for a length equal to the removed soil cylinder length. Grout pressure application, after EPBM passage, on tunnel surfaces. In order to reduce the

volume loss, VS (ratio of the volume of the surface settlement trough per meter run to the excavated area, usually expressed as a percentage) and the surface settlement, the gap between soil and lining is filled with grout. A hydrostatic pressure distribution is believed by the authors to be the most realistic approach to model the effect of the grout on the ground. Generation of grouted elements. Grouting material is designed to harden twelve hours after applied. Generation of lining ring elements. The linear elastic model has been used to model the mechanical behaviour of both the lining and the grouted elements. Application of the hydraulic jack thrusts on the front face of the new lining ring. A total load of 80 MN has been considered. Soil chamber pressure application on the tunnel face. Madrid EPBs have been working normally with 60 to a maximum of 100 kPa pressure at the upper cell in the soil chamber, and as high as 270 to 300 kPa at the bottom cells. Finally, the weight of the back up is applied on the corresponding lining rings.

Figure 1. Adopted 3D mesh, construction process and segmental tunnel lining model.

Technical parameters referring to EPBs, lining rings and injection grout are as follows: a) EPBM parameters - EPB shield external diameter = 9.330 m - Total length = 10.800 m. - Thickness = 80 mm - Conicity = 0.01 m/m - Weight = 9750 kN - Back-up length = 115 m - Back-up weight = 5050 kN b) Lining ring parameters - Universal ring - Inner diameter = 8.43 m - Thickness = 0.32 m - Length = 1.5 m - Concrete: fck = 40 MPa Elastic modulus: Ec = 28 GPa - Steel: fyk = 510 MPa c) Injection grout parameters - Pressure at the shield tail, end of grouting pipes: 200-600 kPa

- Youngs modulus (when hardened) = 2.57 GPa - Poissons ratio (when hardened) = 0.286 Ground pressures acting on the lining are obtained from unbalanced forces at soil grid points after d eleting the lining and grout elements (Figures 2a and 2b).

As the analysed ring is far away from the EPB the longitudinal hydraulic jack thrusts have not been considered in this model. For soil movement prediction purposes the three dimensional analysis should be employed because the final displacements depend on the whole excavation process and the effect of the tunnel heading. However, the lining behaviour only depends on the stress and strain states of the soil when the lining starts working. The same mesh as is used for the 3D model has been adopted again, but with only one element in thickness. The construction process consists of the following operations: Excavation phase: the removal of elements co rresponding to the excavation, interface generation on the new soil surfaces created and EPB generation. Non-hardened grout phase: grout pressure application on tunnel surfaces, with a hydrostatic distribution in depth. Lining phase: the generation of both grouted and lining ring elements, with the corresponding bolts and interfaces between the segments as explained in the 3D model. The technical parameters referring to EPBs, lining rings and injection are the same as those used in the 3D analysis. Soil pressures acting on the lining are obtained as in the 3D model (Figures 2a and 2b). 5 RESULTS Three monitored sections corresponding to the Madrid Metro Extension have been chosen for analysis (Figure 3). Geotechnical profiles corresponding to the analysed sections are represented in Figures 4, 5 and 6, respectively. Results are presented in three sections: a) Final ground pressures on the lining, far away from the shield tail, where plane strain conditions may be supposed. b) Ground pressures evolution, from the installation of the cells until the plane strain state is achieved. c) Analysis of the stress state of the lining at the end of the excavation process.

Figure 2a. Grout and segmental lining under balanced forces state.

Figure 2b. Unbalanced forces acting on the lining rings after deleting grout and lining elements.

4.2 2D Model Close to the shield tail, the grout still hasnt hardened and soil pressures cant be sustained by the lining. The grout hardening happens far away from the tunnel face (20-30 m, depending on the EPB speed) so that the possibility of a 2D approach may be considered when studying the lining behaviour.

Figure 3. Madrid Metro Extension. Analysed sections.

679

674.5 671.5

674

665.5

668 667 664.7 ANTROPIC FILLS LOAMY SAND 659 CLAYEY SAND SANDY CLAY 636.5

649.5

LOAMY SAND CLAYEY SAND SANDY CLAY

Figure 4. Geotechnical profile. Section I (Line 7-3. Chainage 4+479).

Figure 5. Geotechnical profile. Section I (Line 7-4. Chainage 1+040).

692.0 691.0

pressure distribution are only detected in the results from the segmented 2D model. These peaks coincide in position to the links between the segments within the same ring. Results corresponding to Section III are represented in Figure 9. Data from three pressure cells have correctly been reproduced though an important error, in the order of 27%, has been obtained in the cell placed at 157. Once more, all the different approaches used for soil pressure prediction give very similar results, in shape and magnitude, as occurs in the rest of the studied sections. The most remarkable difference between them is the existence of corners or peaks in the pressure distribution corresponding to the segmented 2D model.
0

681.0 679.0 677.0

672.0

ANTROPIC FILLS BROWN CLAY CLAYEY SAND BLUE CLAY

Figure 6. Geotechnical profile. Section III (Line 9. Chainage 1+790).

5.1 Final soil pressures Predictions of final soil pressures acting on the continuum and segmented linings obtained from 2D and 3D models are shown in Figures 7, 8 and 9, corresponding to Sections I, II and III, respectively. Numerical results are compared with data from total pressure cells. A good approach to field data has been obtained for five pressure cells located in Section I. Ho wever, an important difference, in the order of 40%, may be noticed for the cell placed at 168. Results from the four different simulations used are very close, although peaks on the pressure distributions corresponding to the segment links are o bserved when using the non-continuum 2D model (segmented lining). No significant peaks are noticed in the pressure distribution from the non-continuum 3D model, probably due to the links existing between successive rings along the tunnel axis. These links provide an additional stiffness to the radial joints (those between the segments belonging to the same ring). Few differences in time consumption are observed between continuum and segmented approaches (in both 2D and 3D models). However computation times are widely different when comparing 2D and 3D simulations: 4 minutes and 24 hours are needed, respectively, when using a Pentium II (750 MHz and 256 MB RAM). Figure 8 shows a good agreement between predicted and measured pressures in Section II in spite of significant important discrepancy, in the order of 50%, on the cell located at 191. Results from all predictive models are quite similar as happened in the previous section. Peaks in the
345 330 315 300 285 15 30 45 60 75

270 0 255 240 225 210 195 180

90 50 100 150 200 250 300 Soil pressure (kPa) 105 120 135 150 165
KE Y

2D Continuum lining 2D Segmented lining 3D Continuum lining 3D Segmented lining Field data

Figure 7. Final soil pressure distribution. Section I (Line 7 -3. Chainage 4+479).

345 330 315 300 285

15 30 45 60 75

from the 3D model within a reasonable period of time simulations cannot represent time periods greater than 12-14 days. Thus comparisons between predicted pressure evolutions and monitoring data have only been made for a short period of days just after the passage of the shield. Figure 10 shows the soil pressure evolution co rresponding to five pressure cells placed in Se ction I. An acceptable estimation of real data has b e e n obtained by numerical simulation. The greatest discrepancy occurs in the cell at 170 as commented on in section 4.1 (Figure 7). Results in Section II are presented in Figure 11. Data from five pressure cells have again been analysed. Predictions from the 3D model rather disagree with field data within the represented p eriod of time. However, as seen in section 4.1, final pressures are acceptably reproduced. Finally, the soil pressure evolutions in Section III are reproduced in Figure 12. In this case four total pressure cells have been stu died. A reasonable prediction has been made by the numerical model.
300

270 0 255 240 225 210 195 180

90 50 100 150 200 250 Soil pressure (kPa) 105 120 135 150 165 KEY 2D Continuum lining 2D Segmented lining 3D Continuum lining 3D Segmented lining Field data

Figure 8. Final soil pressure distribution. Section II (Line 7-4. Chainage 1+040).
345 330 315 300 285 0 15 30 45 60

250

75
Soil Pr essure (kPa)
200
KEY 3 2 - P red icte d 3 2 - M ea su red 8 5 - P red icte d 8 5 - M ea su red 17 0 - P red icte d 17 0 - M ea su red 22 5 - P red icte d 22 5 - M ea su red 28 3 - P red icte d 28 3 - M ea su red

270 0 255 240 225 210 195 180 165 150 135

90 50 100 150 200 250 300 Soil pressure (kPa) 105 120

150 100 50

0 0 2

KEY 2D Continuum lining 2D Segmented lining 3D Continuum lining 3D Segmented lining Field data

4 6 Time ( days)

10

Figure 10. Soil pressure evolution on the lining. Section I (Line 7-3. Chai nage 4+479).

Figure 9. Final soil pressure distribution. Section III (Line 9. Chainage 1+790).

250

200

Soil Pressure (kPa)

5.2 Soil pressures evolution From the 3D model it is also possible to obtain the soil pressure evolution at the points where pressure cells are placed. Numerical predictions and monitoring data corresponding to Sections I, II and III are represented in Figures 10, 11 and 12, respectively. Although available field data extends for more than one hundred days, it stabilises a long time before that. Moreover in order to obtain results

KEY 150
76 - Predicted 76 - Measured 133 - Predicted 133 - Measured 188 - Predicted 188 - Measured 299 - Predicted 299 - Measured 354 - Predicted 354 - Measured

100

50

0 0 2 4 6 8 Time (days) 10 12 14

Figure 11. Soil pressure evolution on the lining. Section II (Line 7-4. Chainage 1+040).

300 250

Figure 13. Minimum principal stresses. Section I (Line 7-3. Chainage 4+479).
KEY
42 - Predicted 42 - Measured 97 - Predicted 97 - Measured 157 - Predicted 157 - Measured 261 - Predicted 261 - Measured

Soil Pressure (kPa)

200 150 100 50 0 0 10 Time (days) 20 30

Figure 12. Soil pressure evolution on the lining. Section III (Line 9. Chainage 1+790). Figure 14. Maximum principal stresses. Section I (Line 7-3. Chai nage 4+479).

5.3 Stress state of the lining The state of stresses throughout the lining due to both the soil loads and the hydraulic jack pressures should be analysed in order to check whether they can be withstood by the concrete of the segments. The distributions of the minimum and maximum principal stresses acting on the lining correspon ding to Section I are shown in Figures 13 and 14, respectively. They represent the state of stresses obtained from the continuum 3D model. Very similar results have been achieved from the segmented 3D model, probably due to the strong influence of the grout on the loads that reach the lining. The grout filling the gap between the soil and the lining is stiff enough to smooth the effect of the links between the segments on the distribution of soil pressures. The presence of bolts between both segments and consecutive rings should also play an important role in this behaviour, making the segmented model work almost as a continuum one. In order to avoid the effect of the boundary condition (y = 0) on the results, the part of the mesh between y = 0 and y = 6 has been deleted in Figures 13 and 14.

From Figure 13 it can be noticed that the minimum principal stresses (compression stresses) acting on the lining are in the order of 10,000 kPa. They are far away from the compression strength of the concrete: fck = 40,000 kPa. It is interesting to point out that these minimum stresses are very similar to the pressures applied by the hydraulic jacks, in the order of 9100 kPa. Thus, thrust forces become the most important action on the rings. Stresses due to bending moments from the ground loads are not important if compared with those caused by the former. All mechanical analyses of linings rejecting the jack thrusts are far from being realistic and accurate. Figure 14 shows the distribution of maximum principal stresses (tensile stresses) acting on the lining corresponding to Section I. Most of the lining is under compression stresses and the maximum tensile stresses are over 50 kPa, very far from the tensile strength of the concrete, that may be obtained from the following expression:
2 f ct ,k = 0 .213 f ck = 2.46 N/mm2 = 2460 kPa

Where fck is the compression strength of the concrete, expressed in N/mm2. 6 CONCLUSIONS Results from the proposed numerical prediction models have been compared with soil pressures acting on the lining rings. Both the final values and the pressure evolutions in time have been analysed. A good agreement between them has

been obtained although discrepancies have been observed in some pressure cells. The grout hardening happens far away from the tunnel face so that the lining starts working when the plane strain conditions have almost been achieved. Thus similar ground pressure distributions have been obtained when using either the two-dimensional or three-dimensional developed models. However, large differences in comput ation time (4 minutes against 24 hours, respectively) have been noticed. Nor has a relevant difference been noticed b etween the predictions from the continuum and segmental lining simulation approaches, and the computation times are quite similar (in both 2D and 3D cases). Some peaks on the pressure distributions are o bserved when using the non continuum 2D model (segmented lining). These peaks coincide in position to the links between the segments. No significant peaks are detected in the pressure distributions from the noncontinuum 3D model, probably due to the links existing between successive rings along the tunnel axis. These links provide an additional stiffnes s to the radial joints. The similarity between pressure distributions from all the proposed models should also be caused by the strong influence of the grout on the loads that reach the lining. The grout filling the gap between the soil and the lining is stiff enough to smooth the effect of the links between the segments on the distribution of soil pressures. The presence of bolts between both segments and consecutive rings should also play an important role in this behaviour, making the segmented model work almost as a continuum one. In order to study the development of the ground pressures on the lining a three-dimensional approach is needed. If only final pressures acting on the ring were required a two-dimensional model would have given a reliable and accurate response. Finally, the state of stresses throughout the lining due to both the soil loads and the hydraulic jack pressures have been analysed in order to check whether they can be withstood by the concrete of the segments. The minimum principal stresses are very similar to the pressures applied by the hydraulic jacks, thus, thrust forces become the most important a ction on the rings. Stresses due to bending mo-

ments from the ground loads are not important if compared with those caused by the former. All mechanical analyses of linings rejecting the jack thrusts are far from being realistic and accurate. Both compression and tensile stresses acting within the lining, under these load conditions, have been shown to be far from the strength characteristics of the concrete forming the lining. REFERENCES - Curtis, D.J. 1991. The Channel Tunnel: design, fabrication and erection of precast concrete lining . London: Elsevier Applied Science. - Duddeck, A. 1985. Analysis of lining for shielddriven tu nnels. Rotterdam: Balkema. - Hoek, E. & Brown, E.T. 1982. Underground excavations in rock . London: The Institution of Mining and Metallurgy. - Lombardi, G. 1973. Dimensioning of tunnel linings with regard to constructional procedure. Tunnels and Tunnelling 5: 340-351. - Medina, L. 1999. Three-dimensional numerical analysis of the deformations induced by the excavation of the Madrid Metro. Geotechnical modelling in geomechanics; Proc. 1 st intern. symp., Minnepolis, 1999. Rotterdam: Balkema. - Medina, L. 2000. Estudio de los movimientos originados por la excavacin de tneles con escudos de presin de tierras en los suelos tosquizos de Madrid. PhD Thesis. University of La Corua (Spain). - Muir Wood, A.M. 1975. The circular tunnel in elastic ground. Gotechnique 25(1): 115-127. - Sagaseta, C. 1973. Estado tenso-deformacional alrededor de un tnel excavado en un medio elasto-plstico, con especial consideracin de la influencia del proceso constructivo. PhD Thesis. Polytechnical University of M adrid.