Proceedings of the World Tunnel Congress 2014 – Tunnels for a better Life. Foz do Iguaçu, Brazil.

PLANNING, CONTROL AND OPTIMIZATION OF EPB TBM

TUNNELING OPERATIONS IN URBAN AREAS.
A. Mignini
Amberg Engineering, Zurich, Switzerland.

ABSTRACT: This paper provides an overview on planning, control and optimization of EPB TBM
tunnelling operations in urban areas in diverse soil conditions. The extensive experience of the author
in dealing with diverse project conditions and environment around the world, are used as the basis to
provide basic guidelines to specialist contractors and consultants involved with detailed planning and
monitoring of metro projects worldwide. A dedicated TBM Integrated Program approach together
with a thorough Excavation Working Procedure, Monitoring Plan and Back-Analysis are the key
tools to successfully plan and perform TBM operations and ground deformation control.

1 INTRODUCTION The entire process usually happens as the

Much has been written on EPB tunnelling
operations in urban areas, however this is an
opportunity for the author to expose and share
some interesting observations and conclusions
matured over his past and current experiences in
this growing and challenging discipline of
underground civil engineering.
The aim of this paper is to recap on some key
aspects related with the implementation of
complex EPB tunnelling operations in urban
areas, with the aim to provide additional value
to established international best practices.
1.1 The International Practice
Nowadays the successful implementation of
mechanized tunnelling operations are very much
dependent on many factors such as contractor
experience and organization, tender and contract
framework, design approach and standard,
country infrastructures (transportation network,
telecommunications, information technology,
energy grid), local culture and market practice,
working and site conditions, geology and other
social and environmental factors.
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result of different international practices and
experiences, bringing together an heterogeneous
temporary association of local and international
organizations, competencies and talents with
different backgrounds and objectives.
Experience tells how difficult it is to find a
balance and a proper path through which make
all parties involved progress in a coordinated,
efficient and safe manner.
The result is usually frequent reviews of
program and budget forecast, with design
changes and recovery or acceleration measures
pushing people and organizations up to their
limits and sometimes beyond.
1.2 The Network Logic
The process described in the previous
paragraph creates over the life of a project, from
its inception to completion, a sort of network
made of links at many levels, that keeps
growing with the project till its saturation.
This is the moment when, after a significant
period of small adjustments, a major and
irreversible change of the network status takes
place (Network Theory).
 Proceedings of the World Tunnel Congress 2014 – Tunnels for a better Life. Foz do Iguaçu, Brazil.

In standard international practice (see Figure (activities on the CP have 0 float). A project can
1) the project is organized into areas of work, have several, parallel, near critical paths.
phases and activities according to a hierarchical When it comes to TBM tunnelling,
and incremental decomposition of its main scheduling is apparently more intuitive and easy
components that form a sort of tree structure to understand as usual practice is to have a
named Work Breakdown Structure (WBS). Linear Time-Chainage Schedule (see Figure 4).
Input Process Output
WBS Codes: ‐ Early Start ‐ Bar Chart (Gantt)
‐ Engineering ‐ Est'd Duration ‐ CPM (Pertt‐AoA)
‐ Procurement ‐ Logical Links ‐ S‐Curve
‐ Construction ‐ Constraints
Work/Phase/Task Network Diagram Baseline Program
Figure 1. Scheduling Technique by WBS Network CPM.

According to standard project management

scheduling technique it s possible to use links
and constraints to create and visualize a network
of activities in form of bar chart project
Figure 4. Example of Linear Diagram for Delhi Metro
schedule (Gantt Chart, see Figure 2). Ph.II Tender Program BC-16 (A.Mignini, 2007).

What is usually difficult to measure in this

Figure 2. Example of WBS-Gantt Chart (Wikipedia).
The shortest sequence represents the so called
Critical Path (CP) and the technique to identify
it is called Critical Path Method (CPM) (see
type of diagram is the critical path of the overall
Network, which is made of other project
networks and critical paths such as TBM
procurement & commissioning, construction of
preliminary and preparatory works, interfacing
underground structures such as stations and
shafts, energy and water supply, etc.
Following are illustrated the main planning
and control activities and tools to make best use
of the Project Network resources, technology
and links available in order to minimize the
impact of tunnelling operations into the project
and affected environment.
2 TBM INTEGRATED PROGRAM - TIP

A dedicated TBM Integrated Program (TIP)

for construction is proposed in this paper as a
combination of:
• CPM Scheduling
• Linear Timeline
• Contract Key Dates
• Production S-Curve
The preparation of TIP is as illustrated in the
following sections.
Figure 3).
2.1 Linear Timeline
Figure 3. Example of AoN Pert Diagram (Wikipedia).
The Timeline shall show a linear
Any delay of an activity on the CP directly representation of the line to build including the
impacts the planned project completion date following information:
X-Axis indicating:
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 Proceedings of the World Tunnel Congress 2014 – Tunnels for a better Life. Foz do Iguaçu, Brazil.

• Chainage, length, slope and method of • TBM Assembly/Launching Shaft Detailed

tunnelling of each section Design
• Stations and Shafts (chainage, length and • Industrial Area Detailed Design and
method of construction) Technical Specifications
• Geological profile and water table • Precast Lining Detailed Design and
• Location and soil strata of relevant Technical Specifications
geological boreholes • Precast Factory Technical Specifications
• Location and code of relevant • Contract Documents for:
instrumented monitoring sections o Providers
• Construction risks/hazards o Sub-contractors
• Sensitive buildings and structures o Personnel
Y-Axis downward Timeline indicating:
Preliminary Works 2.3 Procurement
• TBM Assembly Key dates for the following activities may be
• TBM T&C shown separately:
• TBM Entry Shaft Civil Works
• Industrial Area Civil Works & • TBM Fabrication & Delivery
• TBM Transportation
Installations
• TBM Personnel (T&C, O&M)
• Operations:
o Launching
o Excavation 2.4 S-Curve
o Maintenance Stoppages
Weekly TBM S-Curve (Y-Axis = cumulative
o Crossings through Stations/Shafts
meters/rings of tunnel; X-Axis = cumulative
o Dismantling and Retrieval
week) can be also shown with indicated the
Interfering Preparatory and Underground planned stoppages for maintenance and
Works such as: intervention to the TBM and its back-up tunnel
• Utilities and Traffic installations.
• Stations Once completed, the TIP will look something
• Shafts like the example one below (see Figure 5).
• Cross Passages
• Trackwork
Project Baseline Milestones and Key Dates
such as:
• Interfacing Stations and Shafts Basic
Structure Completion
• System Wide Contractors Access and
Delivery Dates
• Trackwork Access and Delivery Dates
• Testing & Commissioning
Critical activities in red colour that lie on the
Baseline Program Critical Path. Figure 5. Example of TIP - Metro Delhi Ph.II BC-16
Tender Program (A.Mignini, Torno Int., 2007).
2.2 Engineering
3 TBM WORKING PROCEDURE - TWP
Key dates for the following activities may be
shown separately: Before start of TBM operations, it is
• TBM Manufacturer Specifications paramount to have an approved TBM Working
(Shield, Back-up cars and trains) Procedure (TWP) for each section of the tunnels
• TBM Consumption Analysis (Tools, to be excavated, covering the following topics:
Spares, Energy, Lubs) • Alignment Geometry
• TBM Delivery Route/Transport Plan • Geological Appraisal
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 Proceedings of the World Tunnel Congress 2014 – Tunnels for a better Life. Foz do Iguaçu, Brazil.

• Ground Improvement • Existing Underground Structures

• Affected buildings, structures and services (See Figure 6).
• Wells & Boreholes
• Cross and Back-Analysis results
• TBM Advance Parameters
• TBM Work Schedule
• TBM Working Parameters
• Risk Analysis
• Monitoring
• Preventative and Contingency Measures
The document shall be completed by the
following attachments:
• Tunnel Alignment (Horizontal and Vertical)
• Train Gabarit (TBM Tolerances)
• Longitudinal Profile (Buildings, Geology, Figure 6. Example of Tunnel Profile - Sabadell Metro
Geometry, Main Parameters and other PP.KK.11+300-700 (Amberg Infraestructuras, 2011).
relevant info)
• Area of influence of affected Buildings,
Structures, Services 3.2 Face Stability and Pressure
• Inventory of Boreholes and Wells to be In order to guarantee adequate face stability
sealed off and ground deformation control due to volume
• TBM Daily Work Schedule loss during excavation, it is paramount to carry
• Exit/Entry Shaft/Station Procedure/Method out a thorough assessment of geotechnical
• Ground Treatment parameters along the alignment to be adopted in
• Cutterhead Intervention Procedure the analytical and numerical calculations
(Hyperbaric and Atmospheric) according to experience and good practice (See
• Face Stability and Recommended Working figure 7).
Pressure Calculations
• Monitoring Instrumentation Plan and
Procedure (Ground, Surface, Buildings,
Structures and Services)
• Contingency Plan
• Emergency & Evacuation Plan
• Excavated Material and Traffic Management
Plan (Handling and Disposal off Site)
Once excavation started, special attention
shall be given to the following: Figure 7. Example of Geotechnical Parameters
Assessment - Metro São Paulo Line 5 Extension Lot 3
3.1 Tunnel Profile (Amberg Engineering, 2013).
It is worth mentioning that pressure
In order to properly monitor a TBM advance calculation can depend very much on geological
it is necessary to have a complete and clear parameters as well as on water table readings in
representation of the tunnel drive and the case of ground permeability at tunnel face.
surrounding geological and affected urban It is therefore highly recommended to install
environment both on plan and longitudinal adequate number of piezometers at key
vertical profile showing the following: locations and take regular readings in order to
• Geological Strata and Water Table duly review the reference pressure before
• Boreholes Location starting TBM excavation in closed mode.
• Tunnel Chainage, Overburden and Ring Below (see Figure 8) is an example of face
Numbering stability analysis and pressure calculations
• Affected Buildings (Location, Dimension, carried out according to the silo theory Limit
Tipology and Sensitivity Colour Coding) State Equilibrium (Anagnostu and Kovari,
• Viability 1996).
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 Proceedings of the World Tunnel Congress 2014 – Tunnels for a better Life. Foz do Iguaçu, Brazil.

3.3 TBM Pilot Instruction Sheet (PIS)

For each homogenous section of tunnel to be
excavated (in terms of geology and face
pressure), it is paramount to define reference,
warning and alert values for the TBM advance
main parameters such as:
• Recommended Earth Pressure Sensor 1 (P1)
• Expected Material Density in the Excavation
Chamber
• Collapse Pressure in Shield Sensors (If
installed)
• Recommended Grout Injection Pressure
• Theoretical Grout Volume to be injected to
fill the Annular Gap
• Soil Conditioning: FIR (incl.% of foam
agent), FER
• Penetration Rate and Revolutions of
Cutterhead per Minute
• Theoretical Weight of Material to be
Extracted
Below is an example of Pilot Instruction
Sheet (PIS) (see Figure 9).
Figure 8. Face Stability & Pressure Calculation – Sabadell
Metro (Amberg Infraestructuras, 2013).

Another key aspect is to carry out a

numerical modelling of the ground in the critical
areas where even limited ground deformation
can hinder the integrity or serviceability of
existing sensitive buildings, structures and
services.
In this regard it is highly recommended to
calibre the model especially in terms of
deformation modulus of the ground, in order to
simulate as close as possible the real ground
behaviour through a numerical iterative
calculation.
In order to do so it is paramount to install,
possibly in the very first section of tunnel and
within a non-sensitive area, as many monitoring
sections as necessary fully instrumented with
ground instrumentation and surface levelling Figure 9. Example of PIS - Sabadell Metro
points. (Amberg Infraestructuras, 2011).
These sections will allow to carry out a cross
and back-analysis between EPB mode
excavation parameters and ground behaviour 4 RISK ASSESSMENT
and as a consequence to review and optimize
the numerical model and recommended advance A duly compiled Risk Register can be an
parameters, particularly the face pressure so to effective tool to identify, analyse, assess and
achieve an optimum control of excavation (see monitor risk according to its nature, likelihood
paragraph 6). of occurrence and impact onto the project.
In EPB Tunnelling operations in urban areas,
risk is typically related with the effects of the
excavation onto the surrounding environment,
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 Proceedings of the World Tunnel Congress 2014 – Tunnels for a better Life. Foz do Iguaçu, Brazil.
particularly where the tunnel bore is close to
sensitive buildings, structures and vital services
to the day to day life of the city.
Where the nature and extent of information
available is not adequate to carry out a
quantitative assessment of the likelihood and
effects of the excavation it is highly
recommended to adopt a qualitative and statistic
approach according to local and international
experience and best practice.
In this regard a significant turning point and
contribution to this approach was provided by
the Oporto Metro experience as thoroughly
illustrated in recent scientific literature
(Guglielmetti et al., 2007) (see Figure 10).
Nowadays Risk Assessment is part of
international tunnelling practice and
recommendations and guidelines in this regard
can be easily sourced from both scientific
literature and associations such as the ITA.
Figure 10. Example of Risk Register – Level 1 & 2
(Guglielmetti et al., 2007).
However, adequate preventative and
contingency measures such as excavation real
time monitoring (see par. 5) and eventually
ground improvement or special treatments and
interventions to existing structures, shall be put
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in place in order to mitigate potential risk and
hazards as part of a successful Risk
Management.
5 MONITORING
This is a key activity to succeed in the control
of EPB TBM Tunnelling operations in sensitive
urban areas.
Though TBM excavation parameters can be
available and graphed on screen in real time
with a refresh of every 10 sec, the effects of the
excavation onto the surrounding environment
are subjected to the uploading and interpretation
of ground and surface instrumentation readings
at intervals of a few hours.
This evident and excessive time gap between
a real time TBM excavation and the ground and
surface monitoring system readings requires
additional care particularly in the control of face
stability, tail gap filling and material extraction.
This is why it is so important to have a duly
compiled TIP supported by accurate face and
grout injection pressure calculations as well as
soil conditioning laboratory testing and
extracted material control through duly
calibrated scales installed onto the conveyor
belt.
The author accumulated significant
experience in this regard particularly in difficult
soft soil conditions in highly populated areas,
such as the Airport Link section of Metro
Barcelona Line 9 (A. Mignini, 2008).
In this project it was possible to install 4
control sections in the very first 500m tunnel
drive, which gave the opportunity to monitor
and relate settlements induced by a 9.4m diam.
HK EPBM tunnelling through the submersed
fine silty sands (Ql2) and clayey silts (Ql3) of
recent deltaic deposit of Llobregat River.
Geo-mechanical parameters where duly
assessed and so it was the face pressure
calculation.
However, it resulted very important to
improve upon soil conditioning and face
pressure control due to high water content in the
excavated material.
Moreover settlement control required a very
tight control of grout injection through the tail
void and the extensive use of bentonite injection
through the shield to reduce volume loss related
with the shield conicity (see Figure 11).
 Proceedings of the World Tunnel Congress 2014 – Tunnels for a better Life. Foz do Iguaçu, Brazil.

Figure 11. Tail Void Grout and Bentonite Injection –

Metro Line 9 Barcelona (A.Mignini et al., 2008).

Figure 14. TBM Shield Induced Settlement Profile –

All this measures resulted into ground Metro Line 9 Barcelona (A.Mignini et al., 2008).
settlement reduction below acceptable values
and an outstanding advance performance of first
and eventually second TBM, with a sequence of
world record productions of up to 1026m in
straight 30 days, including am unexcavated
station box crossing (see Figures 11 and 12).

Figure 15. TBM Shield Induced Settlement Trough –

Metro Line 9 Barcelona (A.Mignini et al., 2008).

Figure 12. Face Pressure vs TBM Advance –

Metro Line 9 Barcelona (A.Mignini et al., 2008).

Figure 13. Ring Production Cycle – Metro Line 9

Barcelona (A.Mignini et al., 2008).

With regard to settlement control the above

measures resulted in a substantial reduction of
volume loss within acceptable limit as detected Figure 16. Volume Loss Reduction – Metro Line 9
by the instrumented control sections before, Barcelona (A.Mignini et al., 2008).
during and after TBM Shield passed by (see
Figures 14, 15 and 16).
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 Proceedings of the World Tunnel Congress 2014 – Tunnels for a better Life. Foz do Iguaçu, Brazil.

6 BACK-ANALYSIS At the time of tender design, deformation

Once tunnelling operations are under way
and a section of tunnel bore is complete, which
is representative of part or whole of the geology
yet to be encountered, it is highly recommended
to recompile and graph all major TBM
operating parameters, as well as carry out a
thorough back-analysis of ground behaviour
through 2D or 3D numerical modelling.
This activity can usually be carried out
during shafts or stations crossings and allows to
consolidate the experience and learning curve
gained during and upon completion of a tunnel
bore, by review of pressure calculations and
tunnel excavation procedure for the section(s)
yet to be excavated.
The author gained substantial experience in
this regard through several metro projects,
where EPB tunnelling operations learning curve
highly benefited from back-analysis.
In this regard Sabadell Metro can be taken as
a very good example of learning curve, where a
6.85m HK EPB recently terminated its final
drive for the second twin tunnel after hitting an
outstanding production of aprox. 830m in a
straight month and with record low ground
settlement.
Geology in this project is characterized by a
very competent and low permeable Quaternary
formation (Middle-Late Pleistocenium) formed
by a well cemented compound of breccia into a
silty-sandy matrix, overlaying a softer stratum
of Miocene Neogenic sandy compound with a
lower grade of compaction. Water can be
encountered through the contact between upper
Quaternary and lower Miocene strata (see
Figure 17).
modulus of both strata was underestimated in
the numerical model adopted, whereas
permeability was overestimated, thus resulting
into TBM specifications which requested more
thrust than torque, whereas the machine
eventually resulted short of the latter.
The above resulted into a difficult first
section as shown in the summary graph below,
representing average TBM advance and
operational parameters for Sabadell Metro first
drive (see Figure 18).
Figure 18. Summary TBM Av. Parameters Sec.1 –
Sabadell Metro (Amberg Infraestructuras, 2010).
A back-analysis was eventually carried out in
a critical point of this first section (PK 13+506),
that allowed to calibre the 3D FLAC numerical
model by adapting the theoretical Gaussian
distribution best-fit to the monitored settlement
trough (Peck, 1969) by increasing the
deformation modulus E up to 15 times the one
assumed at design stage.
However, the resulting trough was still far
from approximating the monitored empirical
trough (see Figure 19).

Figure 19. 3D FLAC Best-Fit – Sabadell Metro PK

13+506 (Amberg Infraestructuras, 2010).
Figure 17. Geology Back-Analysis Section – Sabadell
Metro PK 13+506 (Amberg Infraestructuras, 2010).

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 Proceedings of the World Tunnel Congress 2014 – Tunnels for a better Life. Foz do Iguaçu, Brazil.
Eventually a 2D Plaxis model was adopted,
which gave a very close best-fit with a modulus
37 times higher than assumed at design stage
(see Figure 20).
Figure 20. FLAC - PLAXIS Best-Fit – Sabadell Metro
PK 13+506 (Amberg Infraestructuras, 2010).
The result of the back-analysis allowed to
prove feasibility of atmospheric intervention in
specific locations along the second tunnel yet to
be excavated, through a duly calibrated 3D
FLAC numerical model.
Following are the results of the calculations
carried out by Amberg (see Figure 21).
Figure 21. 3D FLAC PK 11+550 – Sabadell Metro PK
13+506 (Amberg Infraestructuras, 2008).
Back-analysis and a better soil conditioning
allowed to substantially reduce the operating
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face pressure with great benefit to TBM
excavation performance (see Figure 22).
Figure 22. TBM Excavation Performance Summary –
Sabadell Tunnel 1(Amberg Infraestructuras, 2011).
7 CONCLUSION
Planning, control and optimization of EPB
tunnelling operations in urban areas require
specialist experience and competence together
with a holistic and coordinated technical and
managerial approach in order to successfully
carry out and complete each phase of the
process.
ACKNOWLEDGEMENTS
I would like to thank all those colleagues and
professionals I met during many years of
exciting projects around the world, who gave
me the opportunity to learn , share and improve
upon my work experience and understanding of
mechanized tunnelling operations.
REFERENCES
Anagnostou; Kovári, 1996. Face stability in slurry and
EPB shield tunnelling, Balkema, Rotterdam.
Guglielmetti, V.; Grasso, P.; Mahtab, A.; Xu, S. 2007.
Mechanized Tunnelling in Urban Areas. T. & F.
Mignini, A 2008. Surface Settlement Minimization in Soft
Soil when Excavating with an EPB Shield. Barcelona
Metro Line 9, Mas Blau – San Cosme. EPB Tunnels.
UPC, Barcelona.
Mignini, A 2013. EPB Tunnelling Operations in Soft &
Hard Soil in Urban Areas. Tunnel & Mining
International Conference Lima, Perú.
Peck, R.B. 1969. Deep excavations and tunnelling in soft
ground. Proc. 7th Int. Conf. Soil Mechanics and
Foundation Engineering, Mexico City, State of the Art
Volume, 225-290.