Tunelesengranito Porto

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Project and construction of Underground stations and tunnels (TBM and

NATM) in heterogeneous masses for Metro do Porto
Research · February 2016

DOI: 10.13140/RG.2.1.1839.8486
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Jornada Técnica: Túneles en Granito
Barcelona, 29 de Abril de 2010
PROJECT AND CONSTRUCTION OF UNDERGROUND

STATIONS AND TUNNELS (TBM AND NATM) IN
HETEROGENEOUS MASSES FOR METRO DO PORTO
Antonio VIANA DA FONSECA

Antonio TOPA GOMES
University of Porto, Faculdade de Engenharia
ABSTRACT: The development of an important project of the new Metro of Porto urban area
has mobilized a significant effort in order to have a good characterization of the involved
ground features, which were used for the derivation of the design parameters. The highly
variable nature of the deeply weathered Porto granite posed significant challenges in the
driving of the two tunnels of 6.5km constituting the main lines under the historical centre.
Two 8.7 m diameter EPB TBMs were used to excavate these tunnels, but the nature of the
rock mass made it extremely difficult to differentiate between the qualities of the mass and
apply an open or a closed mode operation of the TBM accordingly. The early problems due
to over excavation and face collapse were resolved successfully with the introduction of an
Active Support System, which involves the injection of pressurized bentonite slurry to
compensate for deficiencies in the face support pressure when driving in mixed face
conditions. The other high sensitivity works, such as tunnels (constructed under NATM),
underground caverns or deep open excavations for the stations, relied mainly on classical
“discrete” logging for ground investigation, some quite distanced, determining a great and
imaginative effort for modeling the real profiles by geology experts, who have had significant
difficulty in controlling the variability of rock mass classes identified at the boreholes. This
variability has also great influence in the geotechnical solutions and construction procedures.
The presentation will illustrate some of these variations and the way they imply in modeling
and on final solutions.
1 INTRODUCTION
From 1998 to 2004 the city of Porto has assisted to a “revolutionary” renew of the
transportation infrastructures, by upgrading its existing railway network to an integrated
metropolitan transport system with 70 km of track and 66 stations. Seven kilometers of this
track and 10 stations were constructed in the very first phase under the historical and
densely populated city, an UNESCO world heritage site. A map of the surface and
underground routes is presented in Figure 1 (Babendererde et al., 2004). The company that
80 Project and construction of underground stations and tunnels (TBM and NATM)
in heterogeneous masses for metro do Porto
Antonio Viana da Fonseca & Antonio Topa Gomes
rules all the planning, construction process and the exploration of the new lines is Metro do
Porto SA, a public company. The design, construction and operation concession of the first
phase were awarded to Normetro, a joint venture. The civil works design and construction
was awarded to Transmetro, a joint venture of Soares da Costa, Somague and Impregilo.
Figure 1: Map of Metro do Porto routes. Underground tunnels are Line C from Campanhã to Trindade
and Line S from Salgueiros to São Bento (Babendererde et al., 2004).
The underground tunnels were driven by two Earth Pressure Balance (EPB) TBMs, with an
internal diameter of 7.8 m and 8.0 m to accommodate two tracks with trains. Line C develops
in tunnel for 2,350 m from Campanhã to Trindade and has four underground stations, a
maximum cover of 32 m and a minimum of 3m before reaching Trindade station. Line S is
3,950m long and runs from Salgueiros to São Bento with 7 stations and a maximum
overburden of 21 m.
Figure 2: Accident on 12 January 2001; the collapse resulted in the death of an old lady in a house
overlying the tunnel; A sink hole was induced after 30m of the passing of the face.
As described by Babendererde et al. (2004), tunnel driving started in August 2000, driving
from Campanhã to Trindade, and was originally planned that the EPB TBM would run with a
Jornada Técnica sobre Túneles en Granito 81
Barcelona, 29 de abril de 2010
partially full, unpressurized working chamber in the better quality granite in order to take
advantage of the higher rates of advance in this mode as compared with operating with a
fully pressurized working chamber. The highly variable nature of the rock mass, as described
in what follows, made it extremely difficult to differentiate between the better quality rock
masses in which the working chamber could be operated safely with no pressure and the
weathered material in which a positive support pressure was required on the face
(Babendererde et al., 2004). There were indications of over-excavation and two collapses
reached the surface. The second occurred on 12 January 2001, almost a month after the
passage of the TBM on 16 to 18 December 2000. This collapse resulted in the death of a
citizen in a house overlying the tunnel (Figure 2).
After this accident the administration of Metro do Porto invited a Panel of Experts, Dr.
Siegmund Babendererde, from Germany, Dr. Evert Hoek, from Canada, Prof. Paul Marinos,
from the National Technical University of Athens, in Greece, and Prof. António Silva
Cardoso, from the University of Porto, in order to provide advice to Metro do Porto.
2 INTERFACE GEOMATERIALS OR HARD SOILS – SOFT ROCKS AND

RESIDUAL SOILS
Interface geomaterials (IGM) or “Hard Soil - Soft Rock” (HSSR) are materials that lie on the
boundary between soils and rocks. Terzaghi and Peck (1967) defined hard soils as those
with an unconfined compressive strength in excess of 400 kPa. As defined by Clayton et al.
(1998), soil is an aggregate of mineral grains that can be separated by such gentle
mechanical means as agitation in water”, while rock was described as “a natural aggregate
of minerals connected by strong and permanent cohesive forces”. Current practices define
the strength of the strongest soils and the weakest rocks using a variety of terms and simple
hand and laboratory tests, but there is usually a gap in these definitions between the weakest
rocks and the strongest soils (Clayton et al., 1998).
While in British Standard (BS5930:1981) the strongest soils are termed “very stiff or hard”
and are recognised by an undrained strength > 150 kPa, approximately equivalent to an
uniaxial unconfined compressive (or simply compression) strength, qu (or UCS), of about 0.3
MPa, the weakest rocks are termed “very weak”, and have a uniaxial compressive strength
of less than 1.25 MPa. In the USA (ASTM D2488-90) this term “hard” is equivalent to the
British term “very stiff”.
Table 1: Geotechnical parameters (Babendererde et al., 2004).
UCS (qu) cǯ Ǽd
MPa (MPa) (GPa)
Rock 2 - 300 > 0,1 >400

Soil <2 < 0,1 < 300
UCS (qu)- uniaxial compression strength; c’ – effective cohesion intercept; Ed – Young Modulus
There is a very “fluid” difference or similarity in the concept of Intermediate Geomaterials
(IGM) and residual soils, a natural product of extreme weathering of rock masses. As stated
by Cruz (2010), beyond the first three weathering degrees of ISRM classification (W1 to W3),
chemical weathering is extended to the whole massif, and so the mechanical evolution is
mainly governed by increasing material porosity, the weakening of mineral grains and the
reducing bonding between grains, with the rock massif becoming more and more friable and
chemically weakened. Weathering degrees W4 and W5 represent transition behaviour where

micro and macro fabrics have similar influence, towards a residual soil-mass where the relict
macro-fabric is no longer present. This process is followed by a mechanical degradation that
leads to substantial reduction of strength and stiffness. Table 1 illustrates orders of
magnitude typically associated to rock and soil-masses of some reference parameters.
When macrofabric is no longer represented, then a general cohesive-frictional behaviour of
soil takes place, with the overall mechanical behaviour governed by a wide range of factors
such as micro-structure, stiffness non-linearity, small and large strain anisotropy, weathering
and de-structuration, consolidation characteristics and flow rate dependencies (Schnaid,
2005). The author emphasized that IGM or residual soils satisfy at least one of the following
criteria:
Classical constitutive models do not offer a close approximation of its true nature.
It is difficult to sample or to be reproduced in laboratory.
Very little systematic experience has been gathered or reported.
Values of geomechanical parameters are outside the range that would be expected for
more common sands and clays.
The soil state is variable due to complex geological conditions.
3 THE COMPLEX GEOLOGY OF PORTO
3.1 Introduction
The underground portion of the line passes through the granite batholith which was intruded
into the Porto-Tomar regional fault in the late Hercinian period (Figure 3). The Porto Granite,
a medium grained two mica granite, is characterized by deep weathering and the tunnel
passes unevenly through six grades of weathering and alteration ranging from fresh granite
to residual soil. The granite is crossed randomly by aplitic/pegmatitic dykes which display
much less weathering, following tectonically determined tension joints.
The north region of Portugal is largely dominated by residual soils from different nature,
namely the weathering profiles of granite rocks are well known by the presence of very
sound rock blocks (“boulders”) involved into highly-weathered material. Weathering profiles
of Porto granitic masses are very complex. They are mostly, but not always, characterized by
its gradation from upper weathered levels to lower sound rock, improving its mechanical
behaviour with depth. Meanwhile, the weathered granite zones present a wide irregularity,
with common blocks of sound or partly weathered granite, with various dimensions involved
in high to extremely high weathered masses.
The presence of those granite blocks is related to geological structures such as fractures,
foliation or faults, where water can easily flow into and through, accelerating chemical
weathering processes. They can be reasonable determined when a careful and rigorous
geological-geotechnical site investigation campaign involving the all excavated volume (both
in area and depth), is carried out into the boreholes net, in order to construct a reliable
geological-geotechnical model. During the Porto Metro construction this methodology has
conducted to very good results, but when applied to the prediction of rock blocks or the
position of boundaries between different rock weathering classes, in areas located outside
the borehole net, several problems occur.
Do uro
r
Rive
PTS
Z
CIZ
OMZ
1 2 3 4 5 6
CIZ – Central Iberian Zone; MZ – Ossa-Morena Zone; PTSZ – Porto-Tomar Shear Zone;
(1) Cenozoic cover deposits; (2) Cambrian – CIZ (Schist and Graywacke Complex); (3) Precambrian
metassediments – OMZ; (4) Madalena granite (late orogenic); (5) Ermesinde granite (hybrid sin-
tectonic); (6) Porto granite (peraluminous sin-tectonic)
Figure 3: Distribution of granite in the City of Oporto (Begonha & Sequeira Braga, 2002).
3.2 Characterization of weathering

Several researchers have been studying igneous rock weathering profiles all over the world.
The works by Little (1969), Vargas (1971), Deere & Patton (1971), Martin & Hencher (1986)
and also the technical committees from IAEG and ISRM assumed very important roles in the
process. In Portugal Begonha (1997) and Viana da Fonseca (1996) have developed some
comprehensive works on the weathering profiles of regional igneous rocks.
In Porto region, the depth of weathering is of the order of few tens of meters as weathering
was assisted by the stress relief regime due to the deepening of Douro valley. Depths of
weathering of 30m are reported by Viana da Fonseca, 1996, Begonha, 1997, Begonha and
Sequeira Braga, 2002. Hence, the ground behaviour varies from a strong rock mass to a low
cohesion or even cohesionless granular soil. The granularity and frictional behaviour is
retained, as the kaolinitisation of feldspaths is not complete and the clay part not important.
Furthermore, the spatial development of the weathered rock is completely irregular and
erratic (Babendererde et al., 2004).
These weathering profiles are usually characterized by a decrease in weathering degrees
from upper levels to deeper sound rock, with inherent improvement of its geomechanical
properties with depth. Weathered granite zones are commonly very irregular in extension
and intensity of weathering. It is also common to occur sound or slight weathered rock blocks
involved by soil or high weathered masses. According to Begonha (1997) and Marques et al.
(2000), the occurrence of erratic weathering grades is common in the Porto Granite masses,
varying from sound rock, with no sign of weathering (W1, on ISRM’s classification), up to
residual soil (W5). Further information on Oporto granite geology can be found in Viana da
Fonseca (2002) and Viana da Fonseca et al. (2003). It is possible to move abruptly from a
good granitic mass to a very weathered soil like mass. The thickness of the weathered parts
varies very quickly from several meters to zero. Blocks of sound rock, “bolas”, of various
dimensions can “float” inside completely decomposed granite. Weathered material, either
transported or in situ, also occurs in discontinuities.
The change from one weathered zone to another is neither progressive nor transitional. A
particularly striking feature is that, due to the erratic weathering of the granite, weathered
zones of considerable size well beyond the size of typical “bolas” can be found under zones
of sound granite (see Figure 4).
While this phenomenon is an exception rather than the rule and it was expected to disappear
with depth, it could not be ignored in the zone intersected by the construction of the metro
works. A typical case of such setting is in Heroísmo station where weathered granite with
floating cores of granite occurs under a superficial part of a sound granitic rock mass (Figure
5).
a)
b)
c)
Figure 4: Profiles of highly weathered to sound granitic masses: a) different degrees of weathering in
granite in a core recovered from a borehole on the tunnel alignment (weathered granite in the left box
is at a depth of about 24m under the sound granite of the right box - boulder or core); b) Trindade
station: inverse weathering in depth, rock cheminees and cut with upper level in rock masses
overlaying highly weathered kaolinized horizons. c) new FCP stadium -fracturing of the rock mass and
heterogeneity in weathering is obvious.
Weathering grades (W1 to W6, as established in the engineering geological classification
according to the scheme proposed by the Geological Society of London, 1995, and the
recommendations of ISRM) were adopted by several designers following the geomechanical
unities identified and used in the geological-geotechnical modelling, in order to represent
materials with similar geomechanical characteristics: W5, W5-W4, W4-W5, W4, W4-W3, W4-
W3, W3-W4, W3, W3-W2, W2-W3 and W2.
Figure 5: Predicted geology for the Heroísmo mined station (Assessment by Transmetro, documents
of Metro do Porto). Heterogeneity in weathering and its erratic geometry is evident.
Viana da Fonseca et al. (2003) have presented detailed description of these materials, which
is not the scope of this paper. In order to characterize the rock materials that would be
encountered in excavated masses, several discontinuities parameters were described, even
where only qualitative data was available: orientation, aperture, persistence, permeability,
joint roughness and the presence and type of filling material. The paper from Viana da
Fonseca et al. (2003) presents the average characteristics for each of these parameters,
taken as subclasses of the main ones for ISRM patterns. In this paper, only qualitative data
will be indicated.
a)
b)
Figure 6: Geological-geotechnical profiles: a) East and West side of Aliados Station; b) Centre-
longitudinal axis in Trindade Station; c) East side of Trindade Station, with the indexation to particular
features observed in the cuttings.
Figure 6: (cont) Geological-geotechnical profiles: a) East and West side of Aliados Station; b) Centre-
longitudinal axis in Trindade Station; c) East side of Trindade Station, with the indexation to particular
features observed in the cuttings.
3.3 Geological and geotechnical profiles

In order to construct the geological-geotechnical 3D model of the excavated masses of
stations and other subsidiary underground works, a large number of profiles were built. Viana
da Fonseca et al, 2003 and Marques et al., 2004 present some of these from Trindade e
Aliados stations that are shown in Figure 6.
Others designers of the different geotechnical projects involved in the construction, as
described by Babendererde et al. (2004), when analyzing the associated geomechanical
properties from laboratory tests, made a re-classification of the degree of weathering aiming
to better define the characteristic values of each class and to reduce the overlap between
classes (Figure 7, Russo et al., 2001).
Figure 7: Weathering classes over the uniaxial compressive strength range (clear bars indicate
classification based only on qualitative evaluation, shaded bars indicate re-classification after
statistical analysis, from Russo et al., 2001).
3.4 Main characteristics of rock weathering grades W4-5 - W2

Geomechanical characterization was based, as said before, on semi-empirical
geomechanical classification proposed by Bieniawsky (1976, and updated in 1989). The
summary of uniaxial compressive strength (UCS = qu), from several characterization
campaigns, allowed an estimative for each weathering grade, is presented on Table 2. For
W5 class, UCS = qu, varied between 30 and 140 kPa; but if W5-W4 class are considered, a
range between 2 and 5 MPa is obtained. These values were used to estimate geotechnical
parameters that were considered in design (Table 2). The unfavourable orientation of
discontinuities was considered on these parameters.
Table 2: RMR and UCS = qu values by rock mass classes.
W2 W2-W3 W3 W3-W4 W4
W3-W2 W4-W3
UCS = qu 55 MPa 35 MPa 20 MPa 15 MPa
RMR 55 45 25 20 13
3.5 Hydrogeological conditions

Water level was defined on each borehole of the several campaigns, being always detected
close to surface. Water level variation during the year is low (2m in average) and can be
explained by the high water recharge due to the presence of regional aquifers.
The permeability of the rock mass is dependent upon the weathering grade and the
associated fractures. In the less weathered rock the flow is related primarily to the fracture
system while, in the more heavily weathered material, the ground behaves more like a
porous medium. Porosity in the latter case may have been increased from leaching and this
together with the highly variable permeability of the rock mass, has resulted in a very
complex groundwater regime. The overall permeability is rather low; of the order of 10-6m/s
or lower. However higher permeabilities were measured in pumping tests. We consider that
preferential drainage paths exist within the granite mass. The very weathered material,
having little or no cohesion may be erodible under high hydraulic gradients.
A great number of 5 stage Lugeon tests were done in order to evaluate hydrogeological
conditions of rocky layers varying between W3-W2 to W4 to W5 classes.
Lefranc tests were carried out on the most weathered horizons (W5-W4 and W5). All results
were treated in order to estimate the permeability to be used on percolation model they are
presented on Table 3. These values that are obtained for hydraulic conductivity show the
most weathered horizons, W5 class, particularly rich in kaolin present moderate to low
permeability values (close to 10-7 m/s2 for short periods of time and close to 10-8 m/s2 for
longer ones), while less weathered masses but very fractured (W3, W2 with fracturing F4 to
F5) are quite permeable (with values up to 10-5 m/s2), being this controlled by discontinuities.
This characterization of hydraulic conductivity was mainly done by analytical interpretation of
the results obtained in pumping tests using radial piezometer control. All these permeability
values are relatively low giving rise to a flow of underground water that can be drained by
conventional drainage systems. Only on restricted zones the flow may be concentrated and
demandable of specific measures to avoid any leakage.
Table 3: Values of hydraulic conductivity for each Oporto Granite weathering class.
Weathering classes(Wi - ISRM, 1981) Permeability, k (m/s)

References (1) Experimental
results (2)
Soil without relict structures (W6) Low |10–7
Completely weathered rock – saprolitic (residual) soil (W5) Medium 10–6 -10–5 (3)
Very weathered rock (W4) and fractured (F4-F5) High to medium 10–5 – 10-4 (3)
Moderately weathered rock (W3) and fractured (F3-F4) Medium to high 10–5 – 10-6
Slightly weathered rock (W2) Medium 10–6 – 10-7
Qualitative tendencies: Deere & Patton (1971), Dearman (1976), Costa-Filho & Vargas Jr (1985)
Values obtained from pumping tests with radial piezometer control
Soil matrixes richer in kaolin present permeability one order lower in logarithmic scale
The frequent occurrence of old wells connected by drainage galleries was a hazard for
tunneling. Opinion was expressed that long term exploitation of these wells had led to the
washing out of fines increasing permeability and formation of an unstable soil structure
(Grasso et al., 2003)
3.6 An example of an adjustment to model due to unpredictable problems

Viana da Fonseca et al. (2003) and Marques et al (2004) describe a case where the strong
inhomogeneity of Porto Granite weathering profiles has proved to be a key feature on
geotechnical modelling. This is what was found during the excavation of Aliados Metro
Station. Differences in the geotechnical modelling were caused by wrong geological
identification and insufficient survey.
The geological model of Aliados station is very complex, as can be seen on Figure 6a.
Before the last site investigation campaign, which preceded the excavation and the execution
of the retention structures, the geological-geotechnical modeling for the masses developing
on the extreme west showed the presence of a very thick W3 layer occurring close to
surface, which allowed the adoption of a structural solution based on a passive retention
system composed by a net of rock bolting eventually complemented by an active solution
(Munich type wall with anchors).
The purpose of a new borehole (SAL11) was to investigate a zone where no previous
boreholes have been executed and where geologists and civil engineers have some doubt in
the interpretation. This caused a redefinition of the geotechnical model, indicating an
apparently clear weathered rock mass mainly composed by W4, W5-W4 and W3-W4 units
instead of the thick W3 mass previously interpreted. The former (vs 1) and the new model
can be visualized in Figure 8.
Figure 8: Geological-geotechnical model for profile AA’, extreme western longitudinal boarder of
Aliados Station after revision with data from a new borehole (SAL11), marked by an ellipse.
This new model, which construction was based on a very detailed description of rock
materials, was then used to determine the “final version” of the retaining system designed to
stabilize this part of the station (“secant piles with multilevel anchorage”). The paradox reality
verified during excavation revealed a geological-geotechnical model close to the first one
(constructed without SAL11 data), in particular throughout the zone described above, where
moderately weathered zones should occur in the revised model. The former model for this
zone, mainly based on data from SCS3A/BHS4 boreholes, already predicted this W3 layer.
But the final version, based on the integration of new data on the complementary campaign,
has caused modifications to this model. Nevertheless this was not at all verified during
excavation. In fact, borehole SAL11 was executed along specific discontinuity (probably a
faulty zone), and conducted the designers (engineers and geologists) to an erroneous
solution.
Seismic tests could have been used to solve this problem but this option was not accepted at
that time, by time pressure. The engineering solution adopted to stabilize the excavation
walls was to execute the bore piles until the base of a moderately weathered rock layer
where a double level of anchorages was installed. Figure 9 shows an illustration of this final
transition. The excavation was concluded by this time (drilling for nailing system on the
moderately weathered rock mass is seen).
Figure 9: Overall view of the West wall and low weathered rock zone located at South part of this side.
The example that has been presented of the geological-geotechnical model, constructed to
Porto Metro, has pointed out some important measures to be taken when working in areas
dominated by weathering profiles from (eruptive) rocks these are:
The site investigation campaign must encompass the excavation area inside the
borehole net;
Spacing between boreholes should not be bigger than 20m;
A comprehensive knowledge of local hydrogeological model;
Use of seismic logging between boreholes, or other, in order to confirm geological-
geotechnical interpretation from boreholes data must be considered;
Detailed description of core samples, including identification of transitional materials is
needed (W3-W2, W4-W5, etc.).
3.7 Characterization of granitic rock masses for tunneling

The definition of rock mass properties for use in the face stability analyses and the machine
selection, in the design of stations and the settlement- risk analysis, was based on a
geotechnical characterization of the granitic mass in various groups (Babendererde et al.,
2004). The approach applied in the design is illustrated in Table 4 and the values of the
geotechnical parameters after statistical analysis are shown in Table 5 (Russo et al., 2001,
Quelhas et al., 2004). Groups g5, g6 and g7 refer to material with soil-like behaviour. Thus it
was generally possible to apply principles of soil mechanics to define the geotechnical
parameters and the design values of the soil mass were based on sample properties, taking
into account the results of the available in situ tests (SPT, etc). Deformations modulus for
groups g2 and g3 was derived from empirical correlations and the results of the 136 Menard
tests conducted in the boreholes. It is worth noting that the values of the pressuremeter
modulus showed significant variability when only associated with the weathering class. On
the other hand, when the structure of the mass was considered, variability and discrepancies
were significantly reduced (Russo et al., 2001). Babendererde et al. (2004) represent a
typical distribution of weathered granite in the face of the EPB driven tunnel (Figure 10).
Table 4: Conceptual procedure for the geotechnical characterization of the granitic rock mass and for
design (from Russo et al., 2001).
Table 5: Geotechnical parameters (Babendererde et al., 2004).

Hoek-Brown criterion
Geotechnical Ȗ Ed
ıci 3
parameters
groups (KN/m ) (GPa)
mb s
g1 90-150 25-27 7.45 (1.15) 6.9E-2 (3.2E-2) 35 (10)
g2 30-90 25-27 3.2 (0.5) 7.5E-3 (3.4E-3) 10.7 (3.0)
g3 10-35 23-25 0.98 (0.07) 7.5E-4 (1.7E-4) 1.0 (0.5)
g4 1-15 22-24 0.67 (0.12) 0 0.4 (0.2)
Geotechnical c’ Iǯ Ǽd
NSPT 3 0
groups (KN/m ) (MPa) () (GPa)
g5 >50 19-21 0.01-0.05 32-36 0.05-0.20

g6 <50 18-20 0-0.02 30-34 0.02-0.07
g7 Var. 18-20 0 27-29 <0.05
Figure 10: A typical distribution of weathered granite in the face of the EPB driven Tunnel.
It is clear that this characterization cannot be integrated in the design for the selection of
parameters, without taking into account the spatial development and variation of
geotechnical groups along the alignment or in the area around the stations. The significance
of this comment was shown dramatically soon after boring with the EPB TBM has started.
Thus, for the needs of this specific mechanized excavation, such characterization was
meaningless and the mode of operation of the TBM had to be selected in such a way that the
worst anticipated conditions could be dealt with at any time.
The large variability of hydraulic conductivity, already referred inducing in the very weathered
material, with little or no cohesion, risk of to be erodible under high hydraulic gradients and
the frequent occurrence of old wells connected by drainage galleries was a hazard for
tunneling (Babendererde et al. 2004). Opinion was expressed that long term exploitation of
these wells had led to the washing out of fines increasing permeability and formation of an
unstable soil structure (Grasso et al., 2003).
4 TUNNELING WITH A BORING MACHINE – GEOLOGIC CRITERIA FOR TBM

SELECTION
The 7.8 m and 8.0 m i.d. tunnels are both lined with a 1.4m long, 300mm thick, tapered
universal ring, consisting of 6+1 pre-cast, reinforced concrete segments. Rings allow a
minimum radius of 200m.
Figure 11: Details of the lining for the EPB tunnel.

The ground conditions are resumed by Gaj et al. (2003) having in an overburden thickness
ranges from 10m to 30m, with a minimum value of 3m-4m in two sections of the city’s
historical centre where the TBM has been driven underneath sensitive buildings, with a
densely populated urban environment (more than 2000 buildings in the influence zone,
including important and historical buildings such as the Town Hall). A specific risk
assessment was performed for input into the design of preventive measures. A GIS-based
monitoring system controlled the effects induced by tunneling and to activate the counter-
measures (Valdemarin et al., 2002).
“Granito do Porto” formation dominates, with some alluvial basins associated to the presence
of several water courses, most of which are covered due to the intense urbanization of the
area. The high variability of these formations, their metastability with high collapse potential,
due to high porosity and reduced cohesive strength, gives rise to an elastic-brittle-plastic
behaviour, that may lead to sudden, unforeseeable failures at the surface with practically no
warning, if the tunnel face is not properly supported or if uncontrolled over-excavation is
allowed. The authors emphasize also the fact that water table is located 10m-25m above the
tunnel, and roughly follows the shape of the surface topography. A large number of old wells
and “minas” (old and small handmade water tunnels) are present in the area, with no
historical information available. The vast number of these features have modified the hydro-
geological characteristics of the ground, so that the groundwater moves not only in the
porous medium and fractures, but also along the preferential channels represented by the
“minas”, which strongly influence the underground water circulation. These hydro-geologic
conditions have obvious implications in the Criteria for Selection of TBM (Table 6).
Table 6: Criteria for Selection of TBM.
ROCK SOIL
WATER INGRESS ROCK STRENGTH
Volume Conseq. on Unilat Cohesion
per 30m3 compr. Cu Face
Shield Lining install.
2 Support
l/s MPa KN/m
unlimited pump capac. >250 - - - -
unlimited pump capac. 250-100 - - - behind TBM
>20 pump capac. 100-50 - - - behind TBM
>10 face supp. 50-25 - - recom. behind TBM
>5 face supp. 25-5 - - recom. -
>2 method. 5-1 - recom. required under shield
>2 method. <1 >30 - required under shield
>2 method. - 30-10 recom. required under shield
>2 method. - 10-5 recom. required under shield immed. grout
>2 method. - 5-1 required required under shield immed. grout
>2 method. - 0 required required under shield immed. grout
ROCK STRUCTURE
Jointing Grain size
RQD Distance <0.02mm Face support Shield Lining install.
<0.06mm
% m %
100-90 >2m - - - - -
90-75 2.0-0.6 - - - - behind TBM
75-50 0.6-0.2 - - - posible behind TBM
50-25 0.2-0.06 - - possibly mech. recom. in TBM area
<25 <0.06 - - mech. required under shield
<25 <0.06 - - mech. possibly EPB/slurry required under shield
<25 <0.06 vary - mech. possibly EPB/slurry required under shield
- - >30 - mech. possibly EPB/slurry required under shield
under shield
- - >20 <50 EPB/slurry required
immed. grout.
under shield
- - >10 <30 EPB/slurry required
immed. grout.
under shield
- - >10 <20 EPB/slurry
immed. grout.
Due to the extreme variability and unpredictability of the geological conditions and surface
constraints, the EPBs should be only been operated in closed mode. When excavating with
an EPB in urban environment, the main concern was to reduce, as much as possible, the
face and volume loss ahead, above and behind the TBM; so that settlements are maintained
within acceptable limits. The design should therefore address the definition of the correct
TBM working parameters to minimize face and volume loss; estimate of the extent and
shape of the settlement trough; evaluation of the acceptable deformation limits of the
buildings; definition of both preventive and remedial measures. As referred by Gaj et al.
(2003), to deal with all these subjects in detail, the design package PAT (Plan for Advance of
TBM) was related to short tunnel sections ranging from 200m to 1km, and included the
following separate documents: report on the geological investigation and its interpretation;
report on building risk assessment; report and drawings about the monitoring of underground
structures and surface buildings; report on the evaluation of the TBM working parameters;
geotechnical profile with indication of the TBM working parameters; summary report on the
Plan for Advance of TBM.
In an emergency situation
Unpredictable situation occurs The responsible engineer is called
The instructions are implemented O.K.?
The excavation proceeds

Meanwhile:
The foreman is called The supervisor and manager

are advised
Emergency Procedure Emergency Procedure
Figure 12: Injection Tunnel team organization chart, where the contractor and designer
representatives are inserted in elliptic and rectangular frames, respectively; reaction procedures (Gaj
et al., 2003).
Towards the end of each section, the experience gained was summarized in specific back-
analysis documents that helped optimizing each section. Thus, a process of continuous
enhancement was implemented, with emphasis on the following (Guglielmetti et al.2003; Gaj
et al., 2003):
in addition to “traditional” design information, such as geological evaluations and
structural calculations, a specific set of TBM working parameters was delivered.
in particular, the “report on the evaluation of the TBM working parameters” contained
the definition of the reference value and the relevant operational range for: face support
pressure; apparent density of the muck in the chamber; weight to be extracted at each
ring; longitudinal grouting pressure and volume; additional bentonite slurry injection
volume and pressure.
the TBM working parameters were summarized from the PAT and delivered to the TBM
crew in a simple form, called “Excavation Sheet”.
following the real-time and back-analysis activity, the Excavation Sheets were
continuously updated, so that the PAT could be regarded as a “live document”.
The implementation of the PAT and its continuous update has proved to be a very effective
tool, as the geological conditions and the design parameters for the TBM are given in
advance together with the instrumentation and the monitoring requirements (scheme in
Figure 12).
4.1 EPB TBM characteristics

The complex geological and hydrogeological conditions described above resulted in a
decision by Transmetro to utilize an 8.7 m diameter Herrenknecht EPB TBM (see Fruguglietti
et al. 1999, and 2001, Guglielmetti et al. 2003). Initially, only one machine was to be used to
drive both lines but following start-up problems, a second machine was added in order to
make it possible to complete the tunnel drives on schedule. The TBMs are equipped with a
soil conditioning system capable of injecting foam, polymer or bentonite slurry into the
working chamber (Figure 13).
Figure 13: Injection of conditioning additives into tool gap and pressurized slurry.
Muck is removed by continuous belt conveyor from the TBM back-up to the portal and then
by truck to the muck disposal areas. Tunnel lining is formed from 30 cm thick, 1.4 m wide
pre-cast concrete segments. The lining comprises six segments and a key and dowel
connectors are used in the radial joints while guidance rods are used in the longitudinal
joints. The features of the EPB TBM are illustrated in Figure 14a. In a review paper by N.
Della Valle (Tunnels and Tunneling, 2002) details are presented. Gugliementi et al. (2004), in
a recent paper, offer a full presentation of the control of ground response and face stability
during excavation (system in Figure 14b). In those papers issues proposed by the authors of
paper are described and discussed.
4.2 Characterization of geological conditions in terms of the TBM operation

The geological conditions discussed above can be translated to the following geological
models in front, at the face and immediately above the TBM:
Granitic mass of sound or slightly weathered rock, no weathered material in the
discontinuities;
Granitic mass of sound or slightly weathered rock but with very weathered material
(filled or in situ) in substantial fractures; these fractures may communicate with
overlaying parts of completely weathered granite;
Very weathered or completely weathered granite, W5 (granular soil with little or no
cohesion);
Very weathered or completely weathered granite with blocks of the rock core;
Mixed conditions with both sound mass and completely weathered granite appearing in
the face.
In all cases the water table is above the tunnel crown.
Figure 14: Herrenknecht EPB TBM used in Porto (Babendererde et al., 2004): a) general
characteristics; b) of the monitoring of the EPB machine with control of excavated material (weight).
Only the first of these geological models can be excavated using an EPB TBM operating in
an open mode. However, because of the unpredictable changes in the geological conditions
described above, the panel of experts considered that the risk of operating in an open mode
was unacceptable unless there was unambiguous evidence that this condition persisted for a
considerable length of tunnel drive. This was not the case in this tunnel and the pannel
recommended that the entire drive should be carried out with the TBM operating in a closed
mode.
Indeed in all other models, uncontrolled over-excavation could occur unless the chamber of
the machine was full of appropriately conditioned excavated material with the necessary
support pressure and control of the evacuation of the muck through the screw conveyor.
Lack of adequate face support could result in piping of the weathered material in the
fractures that could, in turn, induce collapse of the overlying weathered granite. The mixed
face conditions described in item 5 above were considered to be particularly difficult because
of the uneven pressure distribution on the face induced by the different stiffness of the rock
and soil masses. The successfully handling of this problem is discussed in a following
section.
A significant number of wells and old galleries exist in the area and, while most were located
on old city maps and by inspection of existing properties, there remained the possibility that
some unpredicted wells and galleries could be encountered. The wells usually end above the
tunnel but some were deep enough to interfere with the construction. The crossing of such
features clearly involved some risk but this was substantially lower when operating the TBM
in a fully closed and pressurized mode than in an open or partially open mode.
4.3 Face support pressure

The face support pressure of EPB - TBMs was controlled by measuring the pressure at the
bulkhead with pressure cells, approximately 1.5 m from the face, as shown in Figure 15. In
closed mode operation, the working chamber is completely filled with conditioned excavated
material, the earth paste. The earth paste is pressurized by the advancing forces induced by
the advance jacks via the bulkhead. The pressure level is controlled by the effectiveness of
the excavating cutter head in relation to the discharging screw conveyor (Figure 15).
To verify complete filling of the working chamber, the density of the earth paste in the
working chamber was controlled by pressure cells on the bulkhead at different levels. This
method satisfies the demand of preventing a sudden instability of the face caused by a
partially empty working chamber but it does not guarantee a reliable face support pressure.
Pressure measurement at the bulkhead, 1.5 m behind the face, provides only partial
information about the support pressure at the face. The support medium, the earth paste
created from excavated ground, conditioned by a suspension with different additives, must
have the physical properties of a viscous liquid. However, the shear resistance in that
viscous liquid reduces the support forces which can be transferred onto the face. The shear
resistance of the earth paste depends on the excavated ground and the conditioning, with
shear resistance of the support medium often varied considerably.
Therefore, the fluctuation of the face support pressure could exceed 0.5 bars. This fluctuation
may be acceptable in homogeneous geology but in mixed ground, as found in the Oporto
granite, the variable support pressure entailed the danger of significant over excavation.
Figure 15: Measurement devices for face support pressure (Babendererde et al., 2004).
One of the processes which can cause a drop in the face support pressure is illustrated in
Figure 16 which shows a situation in which the lower part of the face is in unweathered
granite while the upper part of the face is in residual soil. A major part of the thrust of the
machine is consumed by the cutter forces required to excavate the unweathered granite and
there is a deficiency in the forces available to generate the pressure in the earth paste in the
upper part of the working chamber. This results is an imbalance between the soil and water
pressure in the unweathered granite and the support pressure in the upper part of the
working chamber. If this deficiency is too large, the face will collapse inwards into the working
chamber and this will result in progressive over excavation ahead and above the face. The
deficiency of face support pressure can be compensated by the addition of an Active Support
System, proposed by Dr Siegmund Babendererde (Figure 16).
Figure 16: Face support pressures in mixed face conditions in Oporto granite. An Active Support
System for overcoming the support pressure deficiency is also illustrated.
This system is positioned on the back-up train and consists of a container filled with
pressurized bentonite slurry linked to a regulated compressed air reservoir. The Bentonite
slurry container is connected with the crown area of the working chamber of the EPB TBM. If
the support pressure in the working chamber drops below a predetermined level, the Active
Support System automatically injects pressurized slurry until the pressure level loss in the
working chamber is compensated. The addition of this Active Support System to the EPB
TMB results in an operation similar to that of a Slurry TBM. This automatic pressure control
system reduces the range of fluctuations of the face support pressure to about 0.2 bar.
In the case of an open and potentially collapsible structure in the weathered granite
surrounding the wells, resulting from leaching of the fines, we considered that stable face
conditions can be maintained by the correct operation of the TBM in fully closed EPB mode
with supplementary fluid pressure application. However, care was required in the formulation
and preparation of the pressurizing fluid in order to ensure that an impermeable filter cake
was formed at the face. This was necessary in order to prevent fluid loss into the open
structure of the leached granite mass.
The application of the Active Support System in the Metro do Porto project was the first time
that this system had been used. There was initial concern that the addition of the bentonite
slurry would alter the characteristics of the muck to the point where it could no longer be
contained on the conveyor system and that an additional slurry muck handling facility may be
required. This concern proved to be unfounded since the volume of bentonite slurry injected
proved to be very small and there was no discernable change on the characteristics of the
muck.
The predetermined support pressure was determined from calculations using the method
published by Anagnostou and Kovari (1996) which proved to be reliable for these conditions.
The Active Support System was extremely effective in maintaining the predetermined
support pressure and no serious face instability or over excavation problems were
encountered after it was introduced. In fact, the system permitted the 8.7 m diameter tunnel
to pass under old houses with a cover of 3 m to the foundations, without any pre-treatment of
the ground. Surface settlements of less than 5 mm were measured in this case. The boring
of the section under this shallow cover is described in a paper of Diez and Williams (2003).
The Active Support System was also connected to the steering gap abound the shield and
the filling of this gap with bentonite slurry provided a reliable means of maintaining a
predetermined pressure in this gap.
So, resuming these were the modifications that were made to the machine configuration,
leading to a higher degree of safety and better overall performance: (i) set up of an active
Secondary Face Support System (SFSS); (ii) an automatic system that pumps bentonite
slurry into the excavation chamber whenever the pressure drops below a preset level; (iii)
installation of an Emergency Double Piston Pump (EDDP) after the screw conveyor, in order
to deal with the liquid muck and uncontrollable support pressure oscillations; (iv) installation
of a second belt scale, in order to cross-check the results of the first scale. In addition to the
above, a certain number of significant adjustments have been made to settings of the
software used to drive the TBM. In particular, the following three automatic alarm systems
have been set up: one alarm for exceeding the extracted weight upper limit, which
automatically stops the advance; one alarm for exceeding the face support pressure lower
limit, which automatically switches on the SFSS; and one alarm for exceeding the lower limit
of the apparent density of the muck.
4.4 TBM performance

One of the key-factors for the successful completion of the project was the recourse to
continuous analysis of TBM performance (real-time and back-analysis) as an important
working tool. The Porto Metro Project represented, eventually, the first example of its
application on a large-scale tunneling project. As described by Gaj et al. (2003), the choice of
this procedure was based on two factors:
the assumption that the TBM advance was the potential cause of disturbance to the
surrounding environment, and the settlements were the ultimate effect of the TBM
advance, both the contractor and the designer agreed to integrate the conventional
monitoring system - focused “only” on the effects of the tunneling, i.e. ground and
building movements - with a new system, which would analyze the causes of such
movements.
based on the different type of ground (soil-like or rock-like) and the overburden, the
delay between the passage of the TBM (cause) and the occurrence of the settlements
(effect) could vary from a few hours to several days or even weeks.
By analyzing the TBM data, it was in many cases possible to know in advance the potential
of induced settlements before they could reach the surface (or even before being recorded
by the monitoring system). As an important consequence, Gaj et al. (2003) describe that it
was possible to apply counter-measures in a timely manner. In fact, with the main scope of
anticipating the potentially negative impact of tunneling at the surface (settlements or even
collapses), the TBM engineer was fully dedicated to the analysis of the TBM behavior, under
distinct levels.
Real-time analysis: verification of incorrect operation of the TBM and consistency with
those foreseen; evaluation of TBM operation; checking the main parameters that can
influence the surrounding ground and the surface (i.e. extracted weights, face support
pressures, backfill grouting volumes, etc.), addressing risk and advise on necessary
counter-measures;
Back-analysis: summary of the vast volume of data collected in each section of tunnel
and, based on the global analysis, advice on any optimization for the following section.
In the end, one of the main challenges on the project was to manage the advance through
mixed face conditions, accomplishing two different goals: excavating very hard and abrasive
granite with satisfactory advance rates; and supporting very weak and loose material
resulting from the weathering of the granite. Being these two objectives almost contradictory,
the analysis of the TBM operation needed to include a wide range of parameters, some of
which related to the control of face and void stability, and others to the excavation process
itself (schemes in Figure 17).
Suspension
Container
Pressure Control
Figure 17: The solution for Metro do Porto TBM – EPBM. Secondary Face Support System (SFSS).
Earth Pressure Balance TBM with support pressure applied by means of conditioned excavated muck,
extracted in a controlled manner by a screw conveyor. Detail of tool gap and working chamber with
pressure cell.
For each TBM parameter, the PAT defined an operational range and counter-measures to be
applied if the attention/alarm limits were exceeded and was done the verification that
fundamental TBM parameters complied with the specifications defined in the PAT (Gaj et al.,
2003). At the second stage, as a natural evolution, other operational parameters were
included in the study, including: penetration (advance) rate; total thrust and cutterhead thrust;
cutterhead torque; cutting tools wear rate; conditioning agents (foam & polymer)
consumption. For these parameters no limits were imposed in the design, but their trends
were carefully analyzed, as they could give useful information about the ground conditions
and correct operation of the machine itself.
4.5 Control of the extracted muck weight

The TBM incorporated a conveyor belt system for the removal of excavated material; hence
the measurement of the extracted muck weight was carried out by using two belt scales. As
described by Gaj et al (2003), thanks to the ability to cross-check the figures recorded on the
scales, the system has proved to be generally reliable, with an accuracy of 3-4%.
In order to adjust the reference value and the operational range as much as possible, to fit
the actual geological conditions, it was necessary to execute frequent face mapping and
estimate the ground in-situ density, at least every 15m. The figures recorded on the scales
had to be considered as gross weights and before comparing them with the reference value
it was necessary to subtract the weight of the conditioning agents added during the
excavation (average 20-30m3 of water with polymer – Figure 18). Some fluctuations around
the reference value are unavoidable, as the extracted muck weights vary according to the
compaction grade of the material inside the excavation chamber, which in turn is highly
variable at each ring. The tunnel alignment included some very tight curves (R=200m); in
these curves, due to the misalignment of the backup gantries and the bending of the
conveyor belt itself, the balances were not correctly loaded and the recorded weight figures
less accurate (Gaj et al, 2003).
4.6 Management of face support pressure

The management of face support pressure is determinant for guaranteeing the successful
operation of an EPB machine (Gaj et al., 2003). The design approach requires the
application of a minimum effective pressure. In simple terms, it is required that the support
pressure be transferred from the bulkhead to the face via solid particles and not only through
the pore pressure or compressed air (Figure 18). The operational consequence is that the
chamber must always be full of solid matter with an adequate density, defined at
approximately 14kN/m3 (Gaj et al, 2003).
As a safety measure, the reference support pressure was defined and measured at the top of
the bulkhead (1m below the tunnel crown) so that the other pressures were higher (Gaj et al.,
2003). The density of the muck was evaluated by measuring pressures at different bulkhead
heights and dividing the difference in pressure by the corresponding difference in height. As
described by the referred authors, due to the heterogeneity of the material in the chamber,
and the dynamic effect caused by both the rotation of the cutterhead and the compression of
the bulkhead, the instantaneous density figures fluctuated significantly. Therefore, the
density had to be considered “apparent”.
Figure 19 presents some illustrations of the management of face support pressure.
In the granite of Porto, both polymer and foam proved to work successfully as soil
conditioning agents. The polymers were more reliable, even in delicate conditions, but they
cannot help to reduce the very high tool-wear rate, due to the high abrasivity of the granite,
which was one of the main problems. The use of foam has instead helped to greatly reduce
the wear rate, however, required more complex settings and smoother operation of the screw
conveyor (Figure 20).
Figure 18:Conditioning: injection of additives, foam generator, natural ground (clay as support
medium) and Earth Paste Conditioned with Foam (Proper Conditioning and Earth Paste when
airdiffused after TBM stop).
4.7 Control of primary and secondary grouting

Backfilling around the segmental lining was carried out using a longitudinal grouting system
composed of six injection lines, evenly distributed around the tail skin (Gaj et al. 2003). To
check the efficiency of the primary grouting, as a standard practice, grout cores were
extracted every ten rings and, if necessary, secondary radial injections were carried out at
pressures of up to 4 bar. In very critical areas, i.e., under sensitive buildings with low cover,
the conical void around the machine was filled with bentonite slurry, continuously injected
through ports located along the shield. This provided additional help to further reduce volume
loss due to the TBMs’ passage (Gaj et al. 2003).
Figure 19: Management of face support pressure: measuring pressures at different bulkhead heights
(dividing difference in pressure by the height between monitoring points) and earth pressures sensors.
Figure 20: Cutterhead maintenance under hyperbaric conditions.

Table 7: Matrix of face conditions and TBM parameters.
Face conditions versus Average cutter-head thrust (kN)

cutterhead thrust
4000 6000 8000 10000 12000 14000
Geomechanical g6
group
g5
g4
g3
g2
4.8 Face conditions and TBM parameters

Analysis of the TBM operational parameters allows detection of the ground conditions, as
traditionally seen in oil drilling or geotechnical investigation campaigns. In particular, the
combination of cutterhead thrust, advance speed and disc wear gives a clear idea of the face
conditions, e.g. the harder the face, the higher the cutterhead thrust and disc consumption;
the harder the face, the lower the advance speed. Thanks to frequent face surveys, it was
possible to accurately calibrate the interpretation of the trend of these parameters and then,
whenever a direct survey of the face was not carried out, it was still possible to recognize the
ground conditions through which the TBM was advancing (Table 7)
4.9 TBM production and utilization rates

Even taking into account the high difficulties of these geological and geotechnical
environment, it was to achieve very good results in terms of advance rate and production.
The TBMs were normally operated on a 24hr basis, working a six-day week. Almost one shift
per day was used to execute cutterhead maintenance under hyperbaric conditions.
a)
b)
Figure 21: Final breakthrough of the TBM machines: a) on the completion of the drive from Campanhã
to Trindade (12 Oct. 2002; b) on the completion of the drive from Salgueiros to Trindade on 16 Oct.
2003.
The following main results have been achieved:
average daily production: 5 rings = 7m
best day (06/02/2002): 13 rings = 18.2m
best week (7-13 October 2002): 56 rings= 78.4m
best month (August 2003): 180 rings = 252m

The site management and level of skill of the workers is shown in the very high TBM work
rates.
Considering that the two TBMs have been operated in a very sensitive urban environment -
always in closed mode - these results can be regarded as very positive and above the usual
standard (Gaj et al. 2003).
The final breakthroughs of the TBM machines on the completion of the drive from Campanhã
to Trindade and from Salgueiros to Trindade are illustrated in Figure 21.
5 NATM TUNNELS
5.1 Introduction
The NATM method was widely used in the construction of the main caverns for the mining
station but was also used in some minor works. This was the case of the rehabilitation of
Lapa tunnel, an existent infrastructure converted to the Metro Line, Tunnel J, a restricted
tunnel connecting the two metro lines in the city. Additionally it was used enlarging the
intersection of Tunnel J with Lapa tunnel. A brief description of these infrastructures will be
done in the next sections. The NATM method was also used in some stations to construct
minor ventilations tunnels, with lengths up to 30 m and cross-section smaller than 20 m2.
5.2 Tunnel J
This tunnel aims to connect the lines C and S, the two underground lines constructed using
the EPB machines. It’s a tunnel roughly 300 m long, with a cross-section of around 30 m2.
The average cover reaches 18m and involving rock like materials, although locally
intersecting residual soils. Figure 22 presents a longitudinal geotechnical profile for tunnel J.
Geotechnical horizons crossing the tunnel correspond to g3 and g4 groups, having
associated weathering degrees W4 and W5.
Figure 22: Longitudinal geotechnical profile for Tunnel J.

The primary lining was formed by shotcrete and nailing, in the better sections, and 20 cm
thickness shotcrete with steel ribs in the sections in the poor materials. Figure 23 presents
the aspect of the front after a blasting while Figure 24 presents a picture of the tunnel after
the end of the excavation.
This tunnel had the particularity to have a final lining formed by shotcrete. As it is a service
tunnel, where the public doesn’t have access, and due to schedule constraints, the owner,
Metro do Porto, accepted this option, although a particular care was put in the concrete
compositions, in order to assure a prospective 100 years life span. This option was facilitated
by the fact the tunnel is drained and hence the water leakage through the tunnel is much
reduced.
Figure 23: Example of the face material for Figure 24: Final aspect of Tunnel J.
Tunnel J.
5.3 Lapa tunnel

Lapa tunnel was a railway tunnel, built in the beginning of the 19th century that was adapted
to the Porto light rail metro. The main concerns with this tunnel were related to the concrete
lining, constructed without reinforcement and clearly deteriorated by the smoke of the old
steam trains. Additionally, there was an important gabarit problem and hence no additional
lining could be implemented.
Figure 25: Aspect of contact injection in Lapa Figure 26: Detail of the reinforcement of Lapa
tunnel in the intersection with tunnel J. Tunnel.
The final solution, although varying from section to section, was the following:
creation of a 50 cm thickness invert in the zone passing over tunnel J;
contact injection along the entire tunnel in order to guarantee the contact between the
support and the ground;
lining recover by water under pressure and addition of a thin shotcrete membrane
reinforced with a wire mesh or total replacement of the existent lining;
watertight and drainage of the tunnel, complemented with water collection in the
leaking points.
Additionally, in the intersection with Tunnel J, the surrounding soil was reinforced with
fiberglass nails, in order to execute the enlarged sections. Figure 25 and Figure 26 present
two pictures of the works in Lapa Tunnel.
6 UNDERGROUND EXCAVATIONS
6.1 Brief introduction

As previously referred, in the city of Porto the metro runs underground and hence all the
stations involve deep excavations. Roughly, it can be said that 5 stations were mining
stations, 7 were constructed using cut & cover methodologies and there were some surface
stations. The adopted techniques were substantially distinct and these differences were, it
can be said, the direct consequence of the learning process of recent underground
constructions in Porto. The final technique is substantially different from the first one used.
In a simplified manner, it can be said that the evolution was in the sense of adopting
construction techniques able to cope with the typical heterogeneity and almost erratic
variation of the granite weathering profiles. Therefore, while the first solutions were proposed
by recurring to concrete diaphragm walls, a continuous solution, the final solutions were
based on smaller perforations, using basically bored piles (drilled-shafts).
6.2 Cut & cover stations

6.2.1 24 de Agosto Station
24 de Agosto Station was the first station to be constructed and the original solution was
based on diaphragm walls, solution that was generally adopted in the tender phase. In any
case, due to the heterogeneity of the granite distinct weathered zones transitions, the
solution had to be completely adapted during the construction. Figure 27, extracted from
Conceição et al. (2006), presents a final plan of the station. From that picture it becomes
evident the different type of solutions that had to be adopted. These differences refer not only
to the retaining wall itself but also to the external supporting systems. In the South side the
wall was restrained by anchors while in the Northern part of the excavation steel struts were
used.
In what refers to the diaphragm wall, as the available equipment was not a hydrofraise, it was
virtually impossible to reach the design depths, since relatively competent granite horizons
(W3) were found close to surface. Hence, only in certain zones the initial design diaphragm
wall was totally materialized. In other zones the top diaphragm was reinforced by
underpinning and in other zones, where the rocky horizons were closer to the surface, Berlin
type walls were adopted. Figure 28 (Conceição et al., 2006) presents a detail of the
underpinning of the diaphragm walls while Figure 29 (Conceição et al., 2006) presents a
global view of the station when reaching the bottom of the excavation. In this picture the high
diversity of the solutions is well visible.
Figure 27: Final plan of 24 de Agosto Station (Conceição et al., 2006).
Figure 28: Detail of diaphragm wall underpinned. Figure 29: Aerial view of 24 Agosto station.
The difficulties with the solution where directly related to the difficulty of foreseeing the
sudden changes in the granite profiles and with the difficulty in using construction
methodologies well adapted to residual soils and rock type material with consecutive very
distinct weathering degrees. This scenario obliged to a continuous adaptation of the design,
having negative implications in the cost and schedule of the construction.
Moreover, the continuous adjustment in the solutions and, somehow, the position of the
contractor in forcing the use of diaphragm walls in relatively resistant materials, resulted in
important vibrations which were one of the main causes of induced settlements in the
surrounding buildings, some founded on residual soils. Actually, in 24 de Agosto Station the
movements in the surrounding buildings were very relevant and frequently the movements
occurred not during the excavation but during the installation of the support.
The total settlement in some buildings adjacent to the excavation reached almost 70 mm
although the lateral displacements in the excavation were relatively small, no more than
approximately 10 mm. To reach reduced lateral movements, the use of prestressed struts
was fundamental.
As a consequence of the emerged difficulties in 24 de Agosto Station, the retaining
structures were totally rethought, considering the peculiarity of construction in such a high
heterogeneous granitic weathering profiles, largely dominated by deep residual soils
horizons and dispersed water flow nets and stationary levels.
6.2.2 Solutions with piles
After the difficulties with the construction of diaphragm walls, the retaining structures tended
to be based on bored piles, with distances between axes larger than the pile diameter. Piles’
execution is clearly more flexible, since, due to their smaller dimension, it is possible to cross
frequently dispersed boulders of less weathered granite. Nowadays, high capacity hydraulic
equipments can easily drill through W4,, and even W3, granitic horizons, although with low
advancing rates.
Moreover, Portuguese market, although relatively small but recently highly developed due to
infrastructural investments, has a great offer when referring to piles’ equipments, for what
these solution was well adapted to the local facilities. The solution was adopted in several cut
& cover stations, with minor variations, to be known: Casa da Música, S. Bento, Aliados and
Trindade. Additionally this solution was adopted in access shafts to several mining stations,
such as Bolhão, Heroísmo and Lima. Figures 28 to 33 present some examples of
excavations where the retaining structure was formed by piles.
Figure 30: Support formed by piles at S. Bento Figure 31: Support formed by piles at Casa da
station. Música station.
Figure 32: Support formed by piles at Aliados Figure 33: Support formed by piles at Trindade
station (see additional details in Figure 9). station.
Figure 34: Support formed by piles at Bolhão Figure 35: Support formed by piles at Lima
station. station.
The first solutions with piles tended to implement watertight walls in order to reduce the water
income to the excavation, by one side, and to reduce settlements due to water table
lowering, having in mind the experience from 24 Agosto station. This premise was achieved
by using piles with poor concrete in between the structural piles or Jet Grouting. These two
solutions presented similar costs and execution times. Nevertheless, the construction of the
poor concrete piles or Jet Grouting was a very important cost of the retaining structure.
The experience with the first constructions showed that the reduction in the water income
was not very effective as the bottom of the excavation was completely open, by one side,
and that the settlements due to water table lowering weren’t very significant, because most of
the infrastructures or the buildings were founded in compact residual soils or weathered
granites. Hence the solutions with piles have changed to permeable solutions, even in the
walls, and the structural piles were the only element in the support. This was the most
common solution adopted in Porto Metro and was used in the most emblematic excavations
as is the case of Aliados Station (Viana da Fonseca et al., 2003, and Viana da Fonseca &
Quintela, 2010).
6.2.3 Sequential Excavation Method in the Vertical Direction
The solutions with piles accompanied by a total water table lowering proved to be efficient
and this late aspect didn’t turned to be a major concern. In fact, settlements produced by the
water table lowering were somehow compensated by the improvement in the soil stiffness
and strength. CJC, a Brazilian designer proposed the construction of one shaft, at Marquês,
using the Sequential Excavation Method in the vertical direction. The solution, very
innovative, had several advantages but the most decisive one, in this station, was the
possibility of doing the excavation without destroying several centenary trees (Platanus),
question that was arising several political and social movements. The solution is based in the
Sequential Excavation Method, used usually in the tunnel construction, but applied to the
vertical direction. Figure 36 presents an aerial view of Marquês station where the main shaft
has an elliptical shape with 48 m for the major diameter and 38 m for the minor diameter.
The excavation depth reached 27m (Franco et al., 2004).
Figure 36: Aerial view of Marquês station (picture from Francisco Piqueiro, Foto Engenho ®).
The excavation is performed excavating rings with heights minor than 2 m and applying
immediately shotcrete to support the sequential phased excavation. Thicknesses for the
support are reduced, varying in the case of Marquês Station, from 0.30 m to 0.60 m. Figure
37 presents in a schematic manner the several steps for the excavation of a circular shaft.
The solution proved to be very effective, even having in mind the difficulties of the local and
the fact that the station crossed a fault zone, creating clearly different geotechnical conditions
in distinct sides of the shaft. The economic gain of the solution was around 30% in respect to
a classical solution, formed by piles, and the advantage in the schedule was of the same
order of magnitude. The maximum settlements around the excavation reached roughly
40 mm, a significant value in any case when architectural and structural integrity is to be
preserved. Nevertheless, as the construction was in the middle of a square and adjacent
buildings were more than 30 m away from the limits of the excavation, no damage occurred
and the excavation was completed with success.
As a consequence of the success for the excavation of Marquês station, the solution was
adopted in several other stations. In Salgueiros, the excavation was performed intersecting
two ellipses, being the Sequential Excavation Method in the vertical direction the adopted
construction methodology. Figure 38 presents a picture of Salgueiros Station when the
excavation reached the final depth and Figure 39 represents a plan view and a longitudinal
section of the station, with reference to the main dimensions. A detailed description of this
station may be found in Topa Gomes et al. (2008) and Topa Gomes (2009). It must be
referred that the excavation was performed lowering previously the water table, which
created a decisive non saturated condition, increasing significantly both the stiffness and
strength of the residual soils involved by the excavation.
Phase 0 Phase 1 Phase 2
2,0m
2,0m
Phase 0
Surface preparation, water
table lowering and cap beam
construction
NF
Phase 1
Partial or total excavation of
the first ring
Phase 2
Phase 3 Phase 4
Shotcrete of the first ring
2,0m
Phase 3 till Final Phase

Sucesive excavation of aring
ollowed by immediate
shotcreting until reaching the
bottom of the excavation
Last but one Phase Final Phase

Raio
H=20m
Figure 37: Several phases for the excavation of a shaft using the Sequential Excavation Method.
Figure 38: Salgueiros station in the final phase of the excavation.

79.95
WP 15 WP 16 WP 2 WP 3
WP 14
WP 1
WP 4
0.60
R1
.65
WP 5
1.60
38.27
25.40
Primary lining Final lining

WP 13 WP 6
Well Points
WP 7
WP 12
WP 11 WP 10 WP 9 WP 8
0.30
6.60
2.00
0.45
3.60
28.09
0.60 0.60
12.02
2.45
Figure 39: Geometry of Salgueiros station with reference to the main dimensions.
6.3 Mining stations

6.3.1 Introduction
Due to the lack of surface space, 5 of the underground stations were constructed using
mining techniques. These solutions were designed taking advantage of several access
shafts and then constructing the main cavern and, in certain cases, secondary transversal
caverns, whose function was to allocate the technical support facilities. These stations were
Heroísmo, Bolhão, Faria Guimarães Marquês and Lima.
Bolhão Station Marquês Station
Faria de Guimarães Station Heroísmo Station
Figure 40: 3D schematic view of the mining stations.

Figure 40 shows 3D schematic views of the 5 mining stations constructed during the first
phase of Porto Light Rail Metro. From what can be observed the shape of the station is very
much dependent on the access conditions and the possibility of constructing access shafts.
For example in Marquês, there was plenty of space to construct a large access shaft and
hence the mining construction was just the extension of the cavern for the platform, reaching
around 15 m for each side of the main shaft. In what refers to Faria Guimarães, constructed
in a dense area, the access shafts had diameters of around 10 m, approximately the total
width of the street, and consequently it was necessary to construct 3 shafts, being almost all
the construction underground. These were the extreme situations, being the other 3 stations
an intermediate condition.
6.3.2 Construction methodologies and design assumptions
As referred in section 5, the experience in Metro do Porto proved thatlowering the water table
during the excavation could be done with no damages. This observation was very important
in the design of the mining stations as the construction process becomes much easier,
avoiding the presence of significant of volume of water inflowing. This advantage was
emphasized by the fact that the created non saturated condition increases substantially the
strength and stiffness of Granite Residual Soils, as proved by Topa Gomes (2009).
Facing the aforementioned arguments, the design of all mining stations imposed a prior
lowering of the water table. This process was already partially achieved as tunnelling TBM
construction contributed to a partial lowering of the water table. In any case, additional sub-
horizontal drains were designed to be installed from the TBM tunnel and, when excavating
the main caverns, drains were instaled from the face and in the radial direction.
The excavation was performed according to the Sequential Excavation Method (commonly
designated as NATM), depending on the geometry, the number of phases and the type of
support, among other aspects. In any case it can be referred that the main factors are the
geological/geotechnical conditions, the dimension and shape of the cross-section and, to a
certain degree, the options of the designer.
Figure 41: Excavation of Faria Guimarães station in Figure 42: Excavation of Bolhão station station
a soil like material. in a rock like material.
In what refers to geological aspects, all the excavations were in granite, with weathering
degrees varying essentially from W3 to W5. Figure 41 presents the excavation of the main
cavern of Faria Guimarães station, almost completely performed in a granite residual soil
while Figure 42 presents the excavation of Bolhão station, where rock-like materials
prevailed.
Naturally the support and the number of excavation phases were very much dependent on
the geological/geotechnical conditions. The examples of the two precedent pictures refer to
the main caverns of the station, with a total cross section reaching almost 200 m2.
For example, at Bolhão station the excavation was performed without provisional inverts and
the primary lining was formed by a shotcrete membrane with wiremesh. In order to sustain
bigger blocks, nailing was implemented, with an average length of 6 m and 1.5 m spacing
(Pistone et at., 2004). This spacing was indexed to an advance span that was also 1.5 m in
the main cavern.
In Faria Guimarães station the situation was much more complex as there was reduced
surface space, the excavation was completely performed in soil like materials and there was
a very sensitive and engineering demanding intersection of the two main caverns, with cross
sections larger than 200 m2. These conditions imposed a larger number of excavation
phases and a stiffer primary lining. In fact, in what refers to the main caverns, all the
excavations were performed constructing prior to the advance a Jet Grouting umbrella
reinforced with fiberglass nails in the front. Figure 43 presents a detail of the execution of the
Jet Grouting umbrella while Figure 44 presents an aspect of the fiberglass nails after
excavation.
The primary lining was formed by a shotcrete membrane that in certain zones reached 60 cm
thickness and was reinforced with lattice girder ribs. Figure 45 presents a detail of these
lattice girders executed in place. For the tunnels with smaller cross-sections the support was
constituted by shotcrete reinforced with wiremesh. Figure 46 presents a detail of one of
these sections during shotcrete projection.
The final lining was formed by cast-in-place concrete, varying the thicknesses considerably
from case to case. Figure 47 and Figure 48 present two details of this phase in Bolhão and
Faria Guimarães stations.
In what refers to the final lining the tunnels were designed to be “serviceability watertight”.
This concept means that the final lining was designed to support the overall water pressures;
therefore, a PVC membrane was applied all around the tunnel periphery. In any case, due to
construction difficulties, it was admitted the possibility of occurring some leakage through the
support. Hence, collection tubes were designed in order to conduct the water to pumping
wells. Figure 49 presents the application of the PVC membrane at the base of one inclined
tunnel, in Faria Guimarães station, while Figure 50 presents the full section of the transversal
gallery, in Heroísmo station, with the PVC membrane partially constructed.
6.3.3 Design calculations
For the design of underground stations classical limit state methods were used, but
simulations recurring to Finite Element Method codes, using commercial software, were the
main frames for design the solutions. In all tunnels, 2D cross sections were analyzed but in
the most complex intersections, as in the case of Faria Guimarães and Bolhão stations, 3D
numerical models were developed to validate the design assumptions. For example, Figure
51 and Figure 52 present some 2D numerical model for Bolhão station, in order to evaluate
the influence of a fault zone previously identified during the elaboration of the
geolocical/geotechnical model and confirmed by the first steps of excavation.
Figure 43: Umbrella jet grouting execution for Figure 44: Detail of the fiberglass nails after
excavation protection. excavation.
Figure 45: Primary lining lattice girder support. Figure 46: Detail of the primary lining formed
by shotcrete and wiremesh.
Figure 47: Detail of the final lining for the intersection Figure 48: Casting the final lining at Faria
of the main caverns at Bolhão station. Guimarães station.
Figure 49: PVC membrane at one of the inclined Figure 50: Full round PVC membrane at
tunnels at Faria Guimarães. Heroísmo station.
Figure 51: Detail of the final lining for the Figure 52: Casting the final lining at Faria
intersection of the main caverns at Bolhão station Guimarães station (Pistone et al., 2004).
(Pistone et al., 2004).
Faria Guimarães, which was most probably the excavation performed in more difficult
conditions, required a 3D numerical model. Besides the reduced surface space, the
excavation was almost totally performed in residual soils, with the main caverns crossing and
having cross sections larger than 200 m2. Figure 53 presents the 3D Finite Element Mesh
used for the numerical model of Faria Guimarães (Kuwajima et al., 2004).
Figure 53: 3D Finite Element mesh for Faria Guimarães station (Kuwajima et al., 2004).
In certain situations the numerical calculations were repeated during the execution of the
excavation, using the information from the monitoring results, in a direct application of the
observational method. This was the case of Faria Guimarães, where the results were slightly
worse than the first predictions and very close to what was considered acceptable for the
surrounding buildings.
6.3.4 Some relevant results
An important aspect to refer is related to the construction rates achieved. Naturally these are
parameters with a great variation because the cross section of the tunnels varied from
around 20 m2 to more than 200 m2 superposed by geological/geotechnical conditions
substantially different.
In what refers to the advance rates, the excavated volumes per working day varied from
70 m3 to 160 m3, the advance varied from 0.7m/day to 1.5 m/day and the number of cycles
per day ranged from 0.7 to 1.1 (Mota et al., 2004).
Regarding the volume loss for the main caverns, with cross sections around 200 m2, the
values reached a maximum value of 0.49%, at Marquês and Faria Guimarães, which were
the caverns excavated in more complex and worse geological/geotechnical conditions. At
Bolhão and Lima where the excavation was performed in rock like materials these values
were below 0.15%. This volume loss produced surfaced settlements always below 50 mm,
reached only locally.
7 CONCLUSIONS
The highly variable characteristics of the weathered granite in Oporto and their sudden
changes imposed substantial risks on the driving of the C and S lines by means of EPB
TBMs. The impossibility of accurately predicting and maintaining the correct face support
pressure resulted in significant over-excavation and two collapses to surface during the first
400 m of the C line drive. Characterization in different geotechnical groups for the selection
of the mode of operation of the EPB was almost meaningless and the mode of operation of
the TBM had to be selected in such a way that the worst anticipated conditions could be
dealt with at any time.
The introduction of the Active Support System (Babendererde et al. 2004), which involves
the injection of pressurized bentonite slurry to compensate for deficiencies in the face
support pressure when driving in mixed face conditions, proved to be a very effective
solution. The remaining C and S line drives have now been completed without further
difficulty although the rate of progress was less than that originally developed when the
project was planned.
For the excavation of the stations, the construction methodologies changed in the sense of
being able to cope with the heterogeneity and sudden changes of weathering levels of
granite formations, including residual soils. Retaining structures formed by piles were
preferable to diaphragm walls. Additionally the Sequential Excavation Method in the vertical
direction was implemented with notable success. Several mining station were excavated
using the NATM.
In what refers to the stations it must be emphasized that the excavations were constructed
with great success, in a very restrained schedule, what may be considered as a relevant
case study.
ACKNOWLEDGEMENTS
The authors wish to acknowledge the permission of Metro do Porto to publish the details
contained in this paper. The cooperation of Transmetro during the construction is also
acknowledged. Part of this paper was adapted from two papers that have thoroughly
described the tunneling construction with TBM (Gaj et al., 2003 and Babendererde et al.,
2004), with some transcription of descriptions and figures, for which the authors wish also to
make specific recognition to the responsible for those comprehensive papers.
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Project and construction of Underground stations and tunnels (TBM and

Research · February 2016

António Viana Da Fonseca António M. Topa Gomes

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PROJECT AND CONSTRUCTION OF UNDERGROUND

Antonio VIANA DA FONSECA

2 INTERFACE GEOMATERIALS OR HARD SOILS – SOFT ROCKS AND

Rock 2 - 300 > 0,1 >400

chemically weakened. Weathering degrees W4 and W5 represent transition behaviour where

3 THE COMPLEX GEOLOGY OF PORTO

3.2 Characterization of weathering

3.3 Geological and geotechnical profiles

3.4 Main characteristics of rock weathering grades W4-5 - W2

3.5 Hydrogeological conditions

Weathering classes(Wi - ISRM, 1981) Permeability, k (m/s)

3.6 An example of an adjustment to model due to unpredictable problems

3.7 Characterization of granitic rock masses for tunneling

Table 5: Geotechnical parameters (Babendererde et al., 2004).

g5 >50 19-21 0.01-0.05 32-36 0.05-0.20

4 TUNNELING WITH A BORING MACHINE – GEOLOGIC CRITERIA FOR TBM

Figure 11: Details of the lining for the EPB tunnel.

Table 6: Criteria for Selection of TBM.

Unpredictable situation occurs The responsible engineer is called

The instructions are implemented O.K.?

The excavation proceeds

The foreman is called The supervisor and manager

Emergency Procedure Emergency Procedure

4.1 EPB TBM characteristics

4.2 Characterization of geological conditions in terms of the TBM operation

4.3 Face support pressure

4.4 TBM performance

4.5 Control of the extracted muck weight

4.6 Management of face support pressure

4.7 Control of primary and secondary grouting

Figure 20: Cutterhead maintenance under hyperbaric conditions.

Face conditions versus Average cutter-head thrust (kN)

4.8 Face conditions and TBM parameters

4.9 TBM production and utilization rates

 best month (August 2003): 180 rings = 252m

Figure 22: Longitudinal geotechnical profile for Tunnel J.

5.3 Lapa tunnel

6.1 Brief introduction

6.2 Cut & cover stations

Figure 27: Final plan of 24 de Agosto Station (Conceição et al., 2006).

Phase 3 till Final Phase

Last but one Phase Final Phase

Figure 38: Salgueiros station in the final phase of the excavation.

Primary lining Final lining

6.3 Mining stations

Bolhão Station Marquês Station

Faria de Guimarães Station Heroísmo Station

Figure 40: 3D schematic view of the mining stations.

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best month (August 2003): 180 rings = 252m