TUNNEL BORING MACHINES

PROCEEDINGS OF THE INTERNATIONAL LECTURE SERIES TBM TUNNELLING TRENDS

HAGENBERGI AUSTRIA I 14-15 DECEMBER 1995

Tunnel Boring Machines

Trends in Design &

Construction of Mechanized Tunnelling
Edited by
HARALD WAGNER & ALFRED SCHULTER
D2 Consult, Linz, Austria

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 CONFERENCE SPONSORED BY

Government of Upper Austria, Linz

Federal Ministry of Economics, Vienna

International Tunnelling Association (ITA), France

American Society of Civil Engineering (ASCE), USA

CONFERENCE COORDINATED BY

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*
...

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Central Austrian Training in Technologies

Relay Centre Austria of the EU

Regio nal Office Linz

HARALD WAGNER

Civil Engineer, born in 1941, Graduated from Technical University of Graz (M.Se. 1970). Geotechnological
Education at Soil mechanic Laboratory Hamburg, Germany (1972). Theodor-Kbrner - Award for Science,
Vienna and Graduation for Doctor Technical Science (Ph.D.) at Technical University of Graz, Austria
(1974). Licensed Professional Engineer of Austria (P.E., 1980). Authorized manager for Engineering and
Technology of Tunnelling Contractor Beton- und Monierbau - Innsbruck (1984).
Partner and Managing Director of D2 Consult Ine., Engineering and Consulting Company for Tunnelling
and Geotechnology with emphasiS on innovative developments, based in Linz, Austria and Rockville,
Maryland / USA (1985). Founder and Board Member of Geomechatronic Center Linz (GCL) in Softwarepark
Hagenberg, a non-profit organization, composed of Research Institutes from Universities and Tunnelling
Industry, to serve the Tunnelling Community with better concepts (1992).
Promoter for Tunnelling Technology of new, synergetic concept, combining the geomechanic philosophy
of the New Austrian Tunnelling Method (NATM) with cyclic - incremental construction elements and
parallel continuous operations of Tunnel-Boring-Machine (TBM) Technology and precast reinforced
concrete Tunnel Lining Segments.

ALFRED SCHULTER

Civil Engineer, born in 1949. Graduated from Technical High School of Graz (B.Se., 1968), and from
Technical University of Graz (M.Sc., 1976). Collaboration with Harald Wagner since 1977 in Tunnel
Design and Preparation Activities in NATM and Shield Driven Tunnelling Technology for Contractor
Beton- und Monierbau, Innsbruck (1980). Licensed Professional Engineer of Austria (P.E., 1985).
Experiences as acting Site- and Project Manager of Tunnel Projects on behalf of several Construction
Joint Ventures in Austria, Germany and Greece (1986).
Graduation for Doctor of Technical Science (PhD.) at Technical University of Graz (1993).
Partner and Managing Director of D2 Consult Inc. Developed numerous innovative concepts several
of which have been international patented in Subway, Railway, Highway and Water Tunnel projects
throughout Europe, USA and Asia. Active in international publishing of scientific papers.

VII

ORGANIZATION

HONORARY CHAIRMAN

Sebastiano Pelizza ITA - International Tunnelling Association, Bron Cedex, France

Prof. Dr. Ing. Polytechnical University of Turin, Italy

EXECUTIVE CHAIRMAN

Harald Wagner D2 Consult Ltd., Linz, Austria

Dipl.-Ing. Dr.techn. GCL - Geomechatronic Center Linz, Austria

SESSION CHAIRMEN

Pascal Guedon Simecsol Ltd. , Le Plessis Robinson, France

Ing.

Peter Kogler Alpine Westfalia Ltd., Zeltweg, Austria

Dipl.-Ing.

Rick P. Lovat Lovat Tunnel Equipment Inc. , Etobicoke, Canada

Ing.

Harald uuffer Porr AG, Vienna, Austria

Dipl.-Ing. Dr.

ORGANIZERS

D2 CONSULT LTD., LINZ

GCL-GEOMECHATRONlC CENTER LINZ

SCIENTIFIC COMMITTEE

Bruno Buchberger RISC - Research Institute for Symbolic Computation,

Prof. DDr. Kepler University Linz, Austria

Gunther Swoboda GCL Geomechatronic Center Linz, Austria

Prof. Dr. Ing. Technical University Innsbruck, Austria

Alfred Schulter D2 Consult Ltd., Linz, Austria

Dipl.-Ing. Dr. techn.

Manish D. Kothari ASCE, American Society of Civil Engineers

M. Se. D2 Consult Ltd. , Rockville, USA

IX

CONFERENCE SECRETARY

Andreas Beil D2 Consult Ltd. , Linz, Austria

Dipl.-Ing.

Christa Fried! Assistant Conference secretary

cand. Mag.

TECHNICAL SECRETARIAT

Hubert Maier D2 Consult Ltd., Linz, Austria

Ing.

HorstWoger D2 Consult Ltd., Linz, Austria

Ing.

CONFERENCE ADMINISTRATION

Carolin Strohhausl-Stross D2 Consult Ltd., Linz, Austria

DDipl.-Ing.

Margarete Prend! D2 Consult Ltd., Linz, Austria

Ursula Steingruber D2 Consult Ltd., Linz, Austria

Regina Brandstiitter GCL - Geomechatronic Center Linz, Austria

ASSISTANCE AT THE ORGANIZATION:

Adolf R. Hemedinger Hemedinger Public Relations, Linz, Austria

Doris Hemedinger

Dr.

Alfred Wolf Grafik Design, Linz, Austria

Attendees of the conference at the court yard of SchlojS Hagenberg

AIGNER Peter, ARISTAGHES Pierre, AUTUORI Philippe, BABENDERERDE Lars, BABENDERERDE Siegmund,
BARGMANN Paul, BAZ Mahmoud, BElL Andreas, BIBES Jean-Paul, BIELECKI Rolf, BLINDOW Friedrich,
BOULANGER Jean Louis, BOUSSOULAS Nikos, BOUYGUES Olivier, BRANDSTETTER Regina , BRAUN Willi,
BROCKWAY Jack, BROSCH Franz-Josef, BUCHBERGER Bruno, BURGER Werner, CELADA Benjamin, CERESOLA
Aldo, CHOMA Stefan, CUFER Suzana, DALLERJosef, DELlS Theodore, DESREUMAUX Stephane, DIENER Andreas,
DINGA Peter, DOPPER Hans, EBERLEIN Herbert, EINSTEIN Herbert, EKREM Osman, ENZENHOFER Wilfried,
ERDEM Yucel, ERTEN Atila, ERTEN Hakan, ERTL Jan, FERRARI Robert, FRANKOVSKY Miloslav, FRIEDL Christa,
FUCHSBERGER Martin, GARGIULO Sabato, GEHRING Kari Heinz, GHAREHKHANI Ali, GLANG Siegfried, GOBL
Peter, GOLD Heimo, GOLSER Johann, GRABE We rner, GRADENEGGER He lmut, GUEDES DE MELO Pedro,
GUEDON Pascal, GUNARATNAM Daniel, HAACK Alfred, HANAMURA Tetsuya, HASER Felix, HElLEGGER Rudolf,
HElM Norbert, HERWEGH Marco, HERWEGH Norbert, HINTERPLATTNER Bernhard, HLADIK Ivo HUTTER
Stefan, ISLER ]lirg, lAGER Manfre d , JANOSKE Boris, JANZON Hans, JODL Hans Georg, KAIPHAS Albert,
KASPAREK Ulryk, KAUER Georg, KIENREICH Rainer, KLEPSATEL Frantisek, KLOSE Christian, KNABE Michael ,
KOGLER Peter, KONTOPIDOU Evdoxia, KOSC Anton, KOUKOUTAS Stelios, KRCIK Marian, KREUZER Ernst,
KRIEGL Gunter, LANGWIESER Josef, LAUFFER Harald, LAZZARINO Maurizio, LEBERBAUER Peter, LEE Cheng­
An, LEITL Christoph, LETTNER Gerald, LIN Sho u-I, LlNDTNER Wolfgang, LlNIGER Wolfgang, LOVAT Rick, MAlER
Hubert, MANSOUR Mona , MARIK Libo r, MARTAK Lothar, MESANOVIC Damir, MOSLER Jiri, MOYSON Dirk,
MUELLER Siegfried, PANAGOPOULOS George, PAPACHLIMINTZOS Panagiotis, PELlZZA Sebastiano, PETERSDORFF
Albrecht, PICKLJosef, PRAZAK Milan, PRENDL Margarete, QUONIAM Alain, RACLAVSKY Jaroslav, RATKOVSKY
Jr., RATKOVSKY Koloman, REA Giovanni, REDER Klaus, REMMER Franz, SADGORSKI Wellin, SAMETZ Ludwig ,
SCHMIDT Harald, SCHONWALDER Markus, SCHREYER Jorg, SCHULTER Alfred, SIFFERLINGER Nikolaus,
SIMONSEN Knut Ivar, SNUPAREK Richard, SOVCIK Stefan, SRB Martin , STAMOS Costas, STEHLIK Ermin,
STEINGRUBER Ursula, STEMPKOWSKl Rainer, STERNATH Rupert, STIFTER Sabine, STIX Gerhard, STROHHAUSL­
STROSS Carolin, STROHHAUSL Siegfried, SUKPRAPRUTI Buncha, SUKPRAPRUTI Buntoon , SWOBODA Gunte r,
TENNE Ola, TESAR Jiri , TROJER Karl , VAFIDOU Katerina, VIGL Alois, WACHTER Robert , WAGNER Harald,
WALLIS Shani, WENNMOHS Karl-Heinz, WINTER Peter, WOGER Horst, WOLETZ Daniela, WOLFF Wilfried,
YANG Quiang, YOU Kwangho, ZEMAN Vladimir, ZENKER Edmund

XI

TABLE OF CONTENTS

B. Buchberger
Welcome address 1

C. Leid
Welcome address of the Government of Upper Austria 3

BLOCK A • TBM DRIVE· TECHNOLOGY

H. Wagner
TBM tunnelling based on Geomechatronic
Key note lecture 7

H. Einstein
Decisions aids for tunnelling 13

G. Swoboda / M. Mansour
Three-Dimensional numerical modelling of slurry shield tunnelling 27

K.H. Gehring
Design Criteria for TBM's with respect to real rock pressure 43
M. Herrenknecht
Latest developments in mechanised tunnelling technology 55
S. Strohhausl
TBM tunnelling under high overburden with yielding segmental linings
(Eureka Project EU 1079 - "Contun") 61

H. G. Jodl / R. Stempkowski
Operations research aspects of TBM drives - Case study of Wienerwald-Tunnel 69

BLOCK B • TBM AUTOMATION, SIMULATION AND QUALITY CONTROL

S. Stifter
Chances for cooperation between industry and university ­
Synergies for TBM tunnelling 83

A. Schulter
The importance of geometry for computer controlled segment erection 89

R. Bielecki / J. Schreyer
Suitability test for the segmental lining for the Elbetunnel 4th tube, Hamburg 99

XIII

w. Sadgorski
European geotechnical engineering norm ENV 1997-1
and ist meaning for tunnelling 107

H. Erten / G. Kriegl
TBM-Simulator - Interface model between machinery and lining 115

DINNER SPEECH

S.Pelizza
Dinner Banquet at SchloiS Weinberg 123

BLOCK C - IBM CHALLENGES

S. Babendererde / L. Babendererde
Experiences in mechanized tunnelling 127

o. Bouygues
Geotechnical investigation during TBM drive at EOLE-Project, Paris 139

D. Gunaratnam
Technology for tunnel construction with special applications for
Wanjiazhai Water Transfer Project 147

H.A.Janzon
High speed tunnelling in Sydney's Blue Mountains 153

R. Sternath
Construction of the railway tunnel under the Great Belt - Risk and chances 161

A. Haack
Comparison between conventional tunnel driving method and TBM drives.
Worldwide demand of tunnel constructions 179

J. Golser
Case study of an alpine transit freight tunnel concept.
Influences of geology on tunnel technology 191

T. Hanamura
State of the art of the Japanese TBM technology. New developments 199

XIV

BLOCK D - TBM TUNNEL LINING / SEGMENT MANUFACTURING

R. Heilegger / A. Beil
Full automated tunnel segment production system. A case study 215

W.Uniger
Quality control on computer controlled tunnel segment manufacturing plant 223

N. Herwegh
Requirements for sealing gaskets in yielding joints of TBM tunnelling 231

W.Grabe
Design of gasktes for deformable tunnel lining joint configuration.
New developments 239

E. Zenker
Joint connectors for tunnell linings 243

D.Moyson
Precast tunnel segment reinforced with steel wire fibre reinforced
concrete (SFRC) - Astate of the art 247

CLOSING LECTURE

H. Wagner
ClOSing lecture 257

Author Index 263

xv

WELCOME ADDRESS
Since our ftrst contacts with the 02 Consult
company ten years ago, our institute became
interested and, with the growing intensity
of our cooperation, fascinated by the new
technologies in tunnel construction. Our
own background is computer mathematics
and software, in particular "symbolic me­
thods" and part of our research is quite
abstract. I remember that, at the beginning,
it took me some effort to convince my
young co-workers to engage in mathernatics­
based design and implementation of software
for simulation and control of tunnel planning
and tunnel construction. Meanwhile we
went through a couple of quite successful
projects in this area in a long-lasting and
fulfilling cooperation with 02 Consult. Some
of the researchers at our institute became
deeply involved in the challenging mathe­
matical and software-technological problems
of tunnel engineering.
I also felt quite happy when, following
an inspiration which we had at a cool beer
after a nice lunch, the chairmen of 02
Consult, Dr. H. Wagner and Dr. A. Schulter,
decided to build up the "Geomechatronic
Consortium" and to settle this institution
in the frame of our "Software Park" in
Hagenberg. Under the chairmanship of
Prof.Or. G. Svoboda, the Geomechatronic
Consortium brought together various Au­
strian companies and institutions with
expertise in all areas of tunnel engineering
induding the aspects of automation and
software. The consortium was able to
produce considerable momentum in a
technology, which has a particularly active
tradition in a country like Austria.
Now, today, we have the pleasure to host
1
ProfDrDr.h.c., Chairman of the Research Institute for Symbolic Computation, Hagenberg, Austria
1
B. Buchberger 1
the International Conference "Tunnelling
Trends" in Hagenberg. This is surely a
further important impulse for our growing
Consortium and its research and develop­
ment activities and I would like to thank
all participants for having followed the
invitation of the organizers. I would be
particularly happy, if you found also some
time during the conference for a short visit
of the various institutions here in the
Software Park Hagenberg and I do hope
that some new cooperations and projects
will evolve from your being together at
this place.
Tunnel engineering seems to become one
of the most important technologies for the
future. Tunnel technologies will be able
to make a signiftcant contribution to solVing
pressing problems of mankind as, for
example, the destructive effects of growing
traffic, the dramatic growth of urbanized
areas, and the urge for save storage of
hazardous material. Tunnel engineering
also seems to have one of the highest
economic growth potentials. Ten years
age, in my vision I have seen this institute,
when the castle still has been a ruin, and
the people though, that this vision is a
joke. Today I have an other vision and
you should feel free to think it is another
joke, and in this vision I see the next
conference to take place ftve years from
now, in the underground of Hagenberg.
I wish that this conference, by the talks,
the discussions, and the personal contacts
between experts, will create ideas for
further technological improvements, and
increase in the level of automation, new
applications and new business chances.
WELCOME ADDRESS OF THE GOVERNMENT
OF UPPER AUSTRIA
On behalf of the Government of Upper
Austria I would like to welcome the
honourable Attendees of the TBM
Tunnelling Trends Conference here in
Hagenberg, the beautiful village of Upper
Austria surrounded by the scenic
Muhlviertel. My special welcome is
addressed to Prof. Sebastiano Pelizza,
President of the International Tunnelling
Association, co-sponsoring this conference,
and to prof. Bruno Buchberger, heading
the Research Institute for Symbolic
Computation, in short RISC, who is hosting
this conference. I also have the pleasure
to mention, that the American Society for
Civil Engineers in New York is co­
sponsoring this conference and represented
by Prof. Herbert Einstein from
Massachusetts Institute of Technology and
Mr. Manish Kothari. In addition I would
like to mention the members of the
organizing institutions with Prof. Gunter
Swoboda from the Geomechatronic Center
Linz and the team of D2 Consult, Dr.
Wagner and Dr. Schulter, Linz.
Approximately only five years ago, I as a
member of the Government of Upper
Austria have been approached to support
the idea for establishing an institution,
dedicated to the Geomechatronic idea.
This idea has been reinforced by impressing
facts and figures in regard to the
international development of underground
structures. I have been born into the
construction industry, and having been
grown up with the rapid development of
1
Dr., Government of Upper Austria
3
C. Leitl 1
technology. I quickly became familiar and
fascinated by the presented concept, which
did combine most advanced information
technology with sophisticated mechanical
and electronical equipment. The
government of Upper Austria continuously
has supported and still supports the
development of advanced technologies in
the underground construction industry,
especially when combined with Universities
like in the case of Geomechatronic Center
Linz. With this policy in science and
technology, Upper Austria has achieved
one of the lowest unemployment rates in
the Alpine-Adriatic region.
Our world is getting closer with increasing
world population, and global networking
is becoming even more decisive for the
quality and stability of our life.
Infrastructures like tunnels, are guararIteeing
our present living standard and the living
standard in developing countries.
Worldwide competition is featuring free
markets and forcing the ingenuity of our
engineers. To the best of my knowledge,
visions for the underground industry, born
in Linz and here in Hagenberg, have proven
their compatibility with other countries
underground construction traditions. We
are proud also to mention, that from a
number of countries, e.g. the United States,
Italy, France and Germany, the technology
of "Linzer-Tunnelbau-Methode" with precast
concrete segmental linings for tunnels has
been successfully applied. And the
technology as such could contribute to the
improvement of quality of life and to the
employment of the construction industry
both at home and in those countries.

The beginning has been giving hope and

this conference is a clear indication for the
optimism which became a key element
for the work in the past. I want to draw
your attention to the dinner banquet at
SchloB Weinberg, hoping that you will fmd
this a pleasant relieve from intensive
conference activity.

The government of Upper Austria wishes

the esteemed attendees at this international
lecture series a very successful venue.

4
 BLOCK A

TBM DRIVE· TECHNOLOGY

TBM TUNNELLING BASED ON GEOMECHATRONIC
Keynote Lecture
ABSTRACT
In civil engineering, tunnel construction
has always been based on observations
far more than any other construction.
Reason for this phenomenon can be seen
in the fact, that there is no other condition
as decisive as the changing ground condi­
tions in underground construction. Obser­
vational methods by their nature are subject
of experience, especially when using pre­
dominantly manual methods for construc­
tion. Experience can be explained as kind
of data base of an individual. With the
development of information technology it
became feasible for almost everybody to
collect data, and to work on data base. In
addition to this, mechanization started to
become an increasing part of underground
construction. It was only a question of
time when the marriage between informa­
tion technology and mechanization was
to be celebrated.
Parallel hereto, tunnelling became more
and more subject of engineering and thus
also subject of design. The designers started
to develop models, and to develop simu­
lations to model nature in their design
office, and to prepare documents for pro­
jects on competitive basis. This was the
time, when Geomechatronics became the
logic consequence of mechanization and
the capability, to combine mechanization
with information technology. With steadily
increasing requirements in regard to quality,
safety and economy, the bell of automation
1
Dipl.-Ing. Dr. techn., D2 Consult Linz, Austria
7
1
H. Wagner
and robotic systems is ringing. In accor­
dance with the complex nature of the
network consisting of mechanical and civil
engineering, civil engineers and especially
geotechnical engineers are challenged to
develop innovative solutions. Geomecha­
tronics will help to track along this route
of interfusion successfully between civil
engineers and mechanical engineers, bet­
ween lining and rock and between indivi­
dual lining segments.
INTRODUCING GEOMECHATRONICS
In recent years one of the leading European
car manufacturers has expressed the wil­
lingness, to employ all of the graduates of
the mechatronic faculty of Linz University.
This shows the excellent reputation which
this faculty could gain in the past. Inspired
by this success, and oriented at the same
industrial needs, an institute has been
created in association with the Universities
of Linz and Innsbruck and in close coope­
ration with the Industry, dedicated to the
mechatronic idea. This institute has been
named Geomechatronic Center Linz, (GCL).
The market of underground engineering
and construction is growing and to some
extent related to the growth of world
population. There are developments of
people escaping from the country side to
the urban areas mostly in the coastal regi­
ons, creating transportation needs. Solutions
can only be found by going underground
using concepts and systems on a compe­
titive basis. With geomechatronics in TBM­
tunnelling, the potential of improvements
in regard to cost and quality has a real
chance to grow.
Geomechatronic is using the diSciplines
of mechanics, electronics and robotics in
the field of geotechnology. Geotechnology
means all geotechnic technologies induding
especially TBM-technology. By the nature
of this new discipline, there are stronger
roots and relations in mechanized tunnel­
ling, especially when entering into full face
tunnel boring concepts with precast con­
crete segmental Jinings, than in conventional
tunnelling with incremental support. Howe­
ver, in spite of some differences in the
lining concept, conventional tunnelling is
considered to be included in geomecha­
tronics as well. The basics of the geome­
chanical understanding of the interaction
between excavation and geomechanical
response are considered to be identical,
as it all depends on the ground.
Geomechatronic thus acts as a connecting
member between geotechnology and me­
chatronics. It has to be based on structural
assumptions allowing for the development
of advanced mechatronic approach. Struc­
tural details and even construction proce­
dures have to be developed in order to
be compatible with the mechatronic ap­
proach. The use of standard features even
if mixed with one or the other mechatro­
nical suitable detail, e.g. of the lining joints,
may end up in results, which do not signi­
ficant differ from standard solutions.
ENGINEERING AND DESIGN
Engineering is in general a human endea­
vor. It is integrated into our culture and
intellectual tradition. The ideas of enginee­
ring are in fact in our bones, and historically
became part of our human nature. Funda­
mental understanding and appreciation of
8
engineers and engineering can be achieved
without any engineering training or any
other technical education.
Design has to be understood in context
with engineering, also when applying
geomechatronics. Design is creating some­
thing, which has not existed before. Design
is essential to engineering, and is virtually
synonymous for any technical development.
Structural design is most commonly asso­
ciated with mechanical and civil engineering
and with the SUitability for automation.
The concept of failure in mechanical and
structural engineering is essential of all
engineering understanding including the
geomechatronic approach. Engineering
design has its first and for most objective
in failure observation and subsequently
prevention. Disasters that do occur are
ultimately failures either of design or con­
struction. The lessons learned from disasters
can do more to advance engineering know­
ledge than all successful machines and
structures in the world together.
Failures appear to be inevitable in the
wake of prolonged success, which encou­
rages lower margins of safety. Failures in
turn lead to greater safety margins and
new periods of success . To understand
what engineering is, and what engineers
do , is to understand how failures can
happen, and how they can contribute more
than successes to advance the underground
technology. With this understanding in the
future, less cases will be created and the
mutual understanding of all parties involved
in underground construction will be im­
proved to the benefit of our industry and
of global society.
CREATING EUREKA PROJECT
Thanks to Eureka project EU 360, remar­
kable developments in tunnelling techno­
logy will make it easier and cheaper to
build tunnels. An Austrian-German-Italian ground. This will be achieved with seg­
team has come up with a way of cutting ments of wedge shaped configurations.
costs and time consumption in tunnelling.
A robot controlled precision lining system
has been developed under the aegis of
the project, making it possible to excavate
and line a tunnel at the same time also in
soft ground using shield mould. Non stop
tunnelling will open the way to pierce the
Alps clear from one side to the other, or
make a tunnel between Europe and Africa.

Austrians have good cause to be interested

in tunnelling. The Brenner Pass strategically
located on a direct line between two of
the power houses of the European econo­ Figure 1. Saint Clair River Railway Tunnel, Canada
- Finished Structure of conventionally bolted and
my - Munich and Milan - is the obvious
gasketed one-pass precast-concrete segmental lining
route for 2 mio. trucks and 20 mio. holiday (1994)
makers each year. Continuous excavation
will be achieved by using innovative links
between tunnel lining segments. Segments Conventional segmental lining methods
have to be locked precisely one another among others use a special key stone to
both radially and longitudinally in a position close each ring of segments in the roof
determined mathematically and controlled area. Examples for this lining method can
by sensors. The precision approach will be found presently all over the world.
also minimize damage to the lining seg­ These systems are used as one-pass lining
ments. systems, e.g. for the Saint Clair River Railway
The project employs sophisticated tech­ Tunnel, and for the Yan' an Dong Lu River
niques to optimize the design of compon­ Tunnel in Shanghai, China.
ents: 3-D animation to plan lining installa­
tion, and finite element structural analysis
to determine the stresses and strains caused
during jacking. A real-time computer system
will allow the site manager in his surface
cabin to monitor and control the robot
fitting of the rings underground.
The project has developed a robotics
application based on an innovative com­
bination of principles for tunnel lining
segments. The kinematic principle must
allow segments to be locked precisely one
another both radially and longitudinally in
a position determined mathematically and
Figure 2. Yan'an Dong Lu River Highway Tunnel,
controlled by sensors. The geometric prin­
Second Tube, Shanghai, China - Thrusters keeping
ciple must allow simultaneous installation conventional bolted and gasketed one-pass segments
of the segments and excavation of the in place during erection (1995)

9
Other systems are related to expansion
gaps arranged in the roof area and widely
used in the United States, where it is known
as the Los Angeles Tunnelling Method
(LATM). Mostly this system is used as a
primary lining, later followed by the instal­
lation of water proofing membranes in
between the primary lining and the cast­
in-place final concrete lining. An example
is given for this system with the TBM­
driven section of contract section E4 of
the Washington Metro.
Figure 3. Washington Metro Green Line Section E4,
USA - Precast Concrete Primary Segmental Lining
without any mechanical connectors in the joints ex­
panded towards the underground (1995)
Another interesting development has been
used for water supply tunnels combining
two trapezoidal segments on their longer
side to hexagonal shaped segments, known
as so called Honeycomb Segments. This
type of segment, originally developed in
Italy, is gaining popularity. It additionally
combines the technology of continuous
excavation and installation with advantages
of force flow in the segments, temporary
during construction and in the final con­
struction stage. Using this type of segments
together with fast locking joint configura­
tions seems to offer state of the art segments
for straight tunnels. Such segments have
been used among others for the Evinos
Project in Greece, and is under construction
10
for the Wanjiazhai Yellow River Diversion
Project (WYRDP) in Northern Shanxi, China.
Figure 4. Yellow River Diversion Tunnel No. 8 on
General Trunk Line - Precast concrete one-pass lining
segment installation. double-trapezoidal honeycomb­
type segment, with hydraulic erector and timber dowel
connector in Circumferential joint (1995)
FOCUSING THE FUTURE
There are only a few reasons for the de­
velopment of geomechatronics in TBM­
tunnelling, one is cost reduction and the
other one is quality improvement. Geome­
chatronics is aiming to be acknowledged
as to facilitate , coordinate and integrate
research for the design and construction
of the underground industry. It proVides
to the underground industry perspectives
for future construction related research
and development.
Cooperative research efforts by involVing
the industry, public authorities and univer­
sities have been undertaken with the target
to practically approach and to improve the
business performance of the underground
industry.
Development of innovative solutions to
the underground engineering challenges
are coming from collections of worldwide
underground experiences. In coordinating
research efforts geomechatronic helped
the underground construction industry
including machine manufacturers and de­
signers to develop high performance con­
struction systems and construction proce­
dures.
Geomechatronics outlines vital and viable
means to develop and deploy underground
construction needs for the 21st century
underground infrastructure in order to
remain competitive in the next decades.
Geomechatronics success over its first five
years promises for even greater opportu­
nities for contributions to the underground
construction industry. There are no limits
to the impact geomechatronics can make.
The underground construction community
is challenged to contribute all its experience
and resources for further development of
the underground world.

REFERENCES

[l} Petroski, Henry. To engineer is human

- the role offailure in successful design .
Vintage Books, a division ofRandom House
Inc ., New York 1992

[2} EUREKA-Project EU 360 Eurotunnel.

Diggingfor victory overpolution. Published
by Eureka-Secretariat, Brussels-Vienna,
1995

11
DECISION AIDS FOR TUNNELLING
H. H. Einstein 1

ABSTRACT • Decision making under uncertainty inclu­

ding risk analysis. Planners, designers
The Decision Aids for Tunnelling (DAT)
and contractors have to make decisions
are a computer based interactive tool with
in which they have to explicitly consider
which tunnel construction cost, time and
the uncertainty in cost, time and resource
resource requirements can be estimated.
requirements; (Fig. la)
It is possible to include uncertainties if
desired and thus have results in form of
distributions which are needed in modern
decision making. The paper briefly reviews
the basic structure of the DAT and then
discusses applications such as cost, time
and resource estimation for transalpine
tunnels. Following this, and most important
in the context of this lecture series, are
applications of the DAT to compare diffe­
rent tunnelling technologies. Figure la. Cost Distribution for Different Alignment
Alternatives

INTRODUCTION
The Decision Aids for Tunnelling (DAn • Detailed design and construction decisi­
have been developed during the last five ons. Designers and contractors have to
years at MIT and Ecole Polytechnique compare a large number of different
Federale based on preceding work at MIT tunnel geometries, excavation procedures
in the area of tunnel construction modelling and other construction details; (Fig. 1b)
and representation of geologic uncertainty
(e.g. Einstein et al., 1996; Einstein et al
1978). Recent applications for the Swiss
Alp Transit project and other tunnels in
Europe and elsewhere (e.g. Einstein et al.
1991, 1992; Descoeudres and Dudt, 1993,
1994), for the design of a continuous tunnel
boring machine (Nelson et al., 1992) and
for the assessment of a tube transportation
system in cities (Sinfield and Einstein, 1995)
indicate why the DAT are needed in plan­
Figure lb. Time Distance Diagram for Different Con­
ning, design and construction of under­ struction Procedures
ground facilities:
1
Professor of Civil Engineering, Massachusetts Institute of Technology,
Cambridge, Massachusetts USA

13
• Technology assessment. Designers, con­
tractors and equipment- and material
suppliers need to assess the effect of
different technologies on cost, time and
environmental consequences. (Fig. 1c)
Figure 1c. Comparison of Advance Rates for different
tunnel technologies
The DAT which allow one to model any
geology, any construction procedure and
any technology while simultaneously consi­
dering uncertainties, if desired, satisfy this
requirement. This paper will, after brief
description of the DAT-structure present
applications of the DAT which illustrate
their capabilities. Given the topic of this
lecture series, emphasis will be placed on
the technology assessment.
STRUCTURE OF THE DAT
Only the most essential characteristics will
be mentioned here since the DAT have
been described in detail elsewhere (Einstein
et al., 1992, Halabe, 1995). The DAT are
an interactive computerized tool based on
C++/ C, MOTIF and the XWINDOW system.
They consist of five components (modules):
• Description of Geology (Geology Module)
This module transforms user input on
geologic and geotechnical conditions
into probabilistic geologic/ geotechnical
profiles through which the construction
of the tunnel(s) is simulated by the
"Construction Simulator". The geolo­
gic/ geotechnical descriptions can be in
any form, such as the ground classifica­
tion systems used in the NATM, or using
basic physical properties. Included in
this description can be the expression
14
of uncertainty about geologic conditions
or, for that matter, certain information
at specific locations such as in boreholes.
• Geologic Updating
This allows one to use observed geologic
conditions as the tunnel is excavated to
modify the geologic description of the
as yet unexcavated part of the tunnel.
• Tunnel Analysis and Design
These modules are mainly intended for
educational use. One can interactively
design a tunnel cross-section and perform
simple analyses of the liner stresses and
displacements.
• Construction Simulation ("Construction
Simulator")
This module simulates the tunnel con­
struction process through the ground
class profiles created by the geology
module. This involves relating geologiC
conditions (ground classes) to construc­
tion classes. Construction classes define
tunnel cross sections, initial and perma­
nent support, as well as excavation
methods which are best suited for a
particular ground class. The Construction
Simulator then calculates cost, time and
resources (material, manpower, equip­
ment). It is also possible to simulate the
construction of a system of tunnels or
other underground openings which de­
pend on each other such as the construc­
tion of an access shaft from which tunnels
are driven.
A very important characteristic of the
Construction Simulator is to include so
called construction uncertainties reflecting
the fact that construction performance
varies even under constant geolo­
gic!geotechnical conditions and that
there are unexpected and/or irregularly
occurring events such as equipment
failure an accidents.
 The DAT user describes construction,
including the consideration of uncer­
tainties through activity networks such
as those in Figures 2a and 2b. A network
represents all activities occurring in a
round or cycle of tunnel construction
and the Construction Simulator applies
the appropriate networks(s) round after
round (cycle after cycle) to "build" the
tunnel. The networks appear on the
Figure 2b. Decision Aids for Tunnelling (DAY) Con­
struction Network for Drill and Blast, Heading and
Benching Construction
Figure 3. Estimated Homogeneous Geologic Zones Gottbard Base Tunnel and Possible Combination ofShafts and Tunnels
15
screen as shown in Figures 2a and b
and the user can interactively create and
modify them.
• Project and Construction Management
Decisions during construction such as
changing from heading and bench exca­
vation to full face excavation have to be
made based on estimates of the expected
conditions. This module allows one to
compare the consequences of different
decisions on a probabilistic basis.
The applications of the DAT, which will
now be discussed, make use of the Geology
Module and the Construction Simulator.
The examples will make it possible to
illustrate further details about these modules
and the DAT overall.
DETERMINING CONSTRUCTION COST
AND TIME
Several extensive studies have been done
with the DAT, amongst others for AlpTransit
(Einstein et al., 1991, 1992; Descoeudres
and Dudt, 1993, 1994), and some of the
work done regarding the Gotthard Base
Tunnel will be presented here. The geology
was first subdivided in homogeneous zones
(Figure 3) and typical geologic!geotechnical

parameters were defined and associated The geologic/ geotechnical characterization

with ground classes (Table 1). is then associated with design and con­
struction consequences. Specifically the
Table 1
Gotthard Base Tunnel
typical support requirements as illustrated
Parameter State - Ground Class . Association in Figure 5 can be related to construction
Lltholn,! Fa.ll i n. O.,erburden Grund Cl ...
activities and input in detailed networks
Gnllu-'Granita' not faulted dOO. D1 WI
Gneiu·'Granlte' not bulled 1000·15DQ m MI and associated cost and time equations as
Gnel .. ·'Granlte' not flulled >150Q In HI
Cn,iu·'Grlnite' hulled dOOO la W3 shown in Figure 2a. In the case of the
M3
Gn 1.·'Granlte'
Gnelss·IGranlte'
hulled
hulted
1001-1500 m
::.1500 11'1 H3 Gotthard Base Tunnel, a simpler procedure
Schist
Schist
not
not
faulted
faulted
dOOO
1000-1500
m
m
W.
M.
was used, in that each of the groundclasses
Schist not fulle d >1!OO m H'
(Table 1) was associated with costs per
Schlu faulted <I m W3
Schist
Schist
faulted
hulted
1000·1500 m
>1500 m
M3
H3
linear meter and advance rates (the latter
Ph lIite not faulled <1000 In W3 corresponds to the simple network of
Ph IIiCe not faulted 1000-1 00 M3
Figure 2b). Each groundclass not only has
m
Ph IIlte not faulted ::.1500 m H3
Ph Jllce
Ph lllte
halted
hulled
<1000 m
1000· 15011 m
W3
M3
its particular unit cost and advance rate
H3
Phylllle faulud (::01508 m)
but we also considered the construction
The length of the homogeneous zones and uncertainty as illustrated in Figure 6 for
the association of the parameters and the advance rate.
parameter states, and thus of the ground­
classes with homogeneous zones, are
uncertain. Assessing the homogeneous
zones, the parameters, the groundclasses
and the uncertainties was done in a formal
questioning procedure. Whichever way
this information is obtained, including the
possibility that a single engineer or geologist
simply wants to try different possibilities,
it is then interactively entered into the DAT Figure 5. Gotthard Base Tunnel. Selected Construction
(see e.g. Figure 4). Classes for Single Track Tunnel.

Figure 6. Gotthard Base Tunnel. Typical Distribution

of Advance Rates for a Particular Construction Class.
This expresses the p erformance uncertainly under
Figure 4. DAT-Parameter Identification for Zone 1 constant geologic conditions. Normally the advance
Gotthard Base Tunnel rates will be different for different geologic conditions.

16
Figure 7a. Gotthard Base Tunnel - Three Possible
Tunnel Systems
Francs.)
Figure 7b. Gotthard Base Tunnel - Three Tunnel Systems
with Individual Tunnel/Shaft Drives
In our initial study for the Gotthard Base
Tunnel, we were asked to determine the
cost and time for the three tunnel systems
shown in Figure 7a. As Figure 7b shows,
this required consideration of different
points of attack, access shafts and tunnels
and ended up with an interconnected
system of between 23 and 31 tunnels.
Again, all this can be interactively specified
with the OAT.
The results of this cost-time study can be
in form of cost-time scattergrams, such as
the one shown in Figure 8. Such distribu­
tions are the basis for decision making and
risk analysis. Another form of output is,
for instance, a time-distance diagram with
scatter (Figure 9) with which one can study
the sensitivity of construction time to a
variety of influences such as the number
of shafts in this case .
17
Figure 8. Gotthard Base Tunnel. Time-cost Scattergram
of the Three Systems (Time in working days and years:
months; 1 year=300 working days. Cost in million Swiss
Figure 9. Gotthard Base Tunnel. Shaft Concept 1 - Two
Shafts Sedrun Time-Distance Diagram with Scatter
ASSESSING RESOURCE
REQUIREMENTS
Resources in tunnel construction are per­
sonnel, equipment and material. Material
resources are both used (e.g. concrete)
and produces (e.g . muck, wastewater).
The newest developments of the OAT
include a comprehensive treatment of
resources (Halabe, 1995) but some appli­
cations have already been made earlier
(Oudt et al., 1993).
One of these earlier applications was again
for the Gotthard Base Tunnel in the he
context of a materials management study.
It is expected that the Swiss Alp Transit
tunnels will produce in the order of 24

million cubic meters of muck. Disposal

and transportation of such a quantity of

material poses severe environmental pro­

blems. To reduce these problems as much

of the muck as possible should be reused.

Reuse for concrete and shotcrete aggregate

as well as for embankments is possible.

The characteristics of the muck depend

on the geologic conditions and on the

excavation method; 1BM's produce smaller

muck grain sizes than drilling and blasting.

Four muck categories were identified:

MC1:

Muck reuseable for concrete, coming from

Drilling and Blasting operations

MC2:

Muck reuseable for shotcrete aggregate,

coming from IBM operations

MC3:

Muck reuseable for embankments and

other fills

Figure 10. Gottbard Base Tunnel. Muck Production and

MC4:
Concrete Aggregate Consumption at Sbaft - Sedrun II
Muck not reuseable for construction pur­

poses.

The type of muck produced at a particular

location is subject to two categories of

• The fact that once the tunnel section in
uncertainty, the geologic uncertainty dis­
the south is completed, muck can be
cussed earlier and an additional uncertainty
transported to the South portal rather
as to the type of muck produced by a
than through shaft Faido.
particular combination of geology and

excavation method. The DAT can determine

• Transportation of muck through the long
the quantities of different types of muck
shafts at Sedrun would be facilitated by
including these uncertainties. The results
mixing different muck types. This parti­
can be presented in a variety of ways. A
cularly interesting study showed, howe­
particularly useful one is in form of time­
ver, that such a mixing would lead to a
volume plots at shaft or portal locations
loss of 50% of the reuseable muck.
as shown in Figure 10 for shaft Sedrun 11.

In this plot also the demand for concrete

• The materials management study not
aggregate Cl and shotcrete aggregate C2
only considered muck and concrete
are shown.
aggregate but other supplies. Figure 11
A number of other factors were examined
shows the demand for different steel
in the context of this material management
categories with uncertainties caused by
study:
the geologic conditions.

18
 involves all resource types, namely person­
nel, equipment and material. However, in
this paper only aspects related to equip­
ment, namely, the concrete mixer, the
truck(s) and the shotcrete pump are dis­
cussed. The four cases which we studied
are listed in Figure 12; they involve different
numbers of trucks , different distances
between the concrete plant and the tunnel
and the possible inclusion of truck mainte­
nance. Results can again be in form of cost
and time. An equally significant result
which may affect decisions is the idle- or
utilization- time of the equipment. Table
2 shows the results for the four cases; they

Table 2

Summary of Results for Different Cases of cbe

'Concrete Plant SupplyinJ a Tunnel'

Case 1 2 3 4

No. of Trucks 1 Truck 2 Trucks 1 Truck 1 Truck

Delays No. Delay No. Delay No. Dclay Maintcnancc

Dis11nce 55,000 n. 5.5 ,000 ft. 5,000 n. 5.5 ,000 ft.

of COJlC. Plc.

Unh
Total Time Days 8.94 1. 14 1.10 10.71
Toe&! Cost SI.ooo 298.40 311.08 291.94 313. 16
Shotcretc Pump Days 1.85 0.06 0.06 3.43
Idle Time
Concre1e: Mixcr Days 4.03 0.00 1..56 .5.16
Idlc Timc
Figure 11 . Gotthard Base Tunnel. Consumption of
Different Steel Types at Shaft - Sedrun 11
CODcrc1c Mixer
Utilization
Truck Utiliza1ion
'"
%
54.90

100.00
100.00

97.00
18.00

100.00
46.00
84.00

The other example of assessing resource
requirements makes it possible to also
demonstrate some of the possibilities of
studying construction details with the OAT.
Figure 12 shows a concrete plant supplying
a tunnel via truck transport. The example
are in deterministic form but could also
be in form of distributions. While case '1'
with one truck has the smallest cost, case
'2' with two trucks, although more expen­
sive, has the much better utilization of the
concrete mixer. Other construction- or
design details can be investigated in a
similar manner allowing the decision maker
to compare alternatives.

TECHNOLOGY ASSESSMENT

Two examples from recent research and

Figure 12. Con crete Plant Supplying a Tunnel
development at MIT will be discussed her:
The development of a continuous tunnel
boring machine, CTBM, and the effect of
technology on construction cost and time
of underground freight networks in cities.

19
Continuous Tunnel Boring Machine ­
CTBM
In a joint project of the departments of
Mechanical Engineering and Civil Enginee­
ring at MIT, the University of Texas at
Austin, the University of California at
Berkeley, at the University of Missouri at
Rolla (Nelson et al., 1992; Peterson and
Einstein, 1993) the concept and details of
a continuous tunnel boring machine were
developed. While the principle of using a
slipformed, continuous concrete liner be­
hind a tunnel boring machine is nothing
new and has been applied in practice, the
concept of using the pumped concrete as
a means to push the machine forward
(Figure 13) is new. What is equally im­
research, does his or her work while con­
tinuously receiving input from the other
researchers. Otherwise expressed, the
boundary conditions affecting one compo­
nent are continuously updated reflecting
development of other components. The
research and development on the CTBM
was assigned to: MIT Mechanical Enginee­
ring - TBM drive and conveyor systems,
MIT Civil Engineering-Ground Structure
Interaction, Concrete Technology, DAT, U
of Texas - factors affecting present day
TBM performance, U of California and U
of Missouri-cutter performance.
The balancing of the system development
and the concurrent work were made pos­
sible by the DAT. For example, the major
system components "boring", "liner place­
ment", and "muck transport" have to be
kept in balance. Concrete aggregate and
muck transport in turn can be handled by
different means as shown in Figure 14.

Figure 13 . CIBM-Principle: Machine is moved jotWard

by pumping concrete into continously extruded liner.

portant and innovative is that we wanted

Figure 14. CIBM-Possibilities for Material Handling Systems
to develop a balanced system. This means
that major components such as the liner
placement, cutting tools, and transportation
have to have similar performance and
reliability. In other words, developing
extremely effective cutting tools does not
make sense if the transportation system
cannot keep up with the pace. Also, very
innovative is the way in which the research
and development was performed; namely,
using the so called "concurrent" approach.
This approach is beginning to be used in
industry with Japan leading; but is has not
been used in university research. What it
involves is that each contributor to the Figure 15. Networkfora Continuous TBM Using Trains
jor Material Handling

20
The DAT were used to compare the per­
formance of these system components and
to identify which component(s) were (was)
lagging behind the other(s). This, in turn,
provides the basis for subsequent develop­
ment cycle. The activity network introduced
earlier can be used for this purpose as
shown in Figure 15. Note that the "delays"
in this activity network do include mainte­
nance, cutter changes, or breakdowns.
Applying the DAT, simulation then produces
results such as those summarized in Figure
16. Figure 16 contains a comparison of
muck transport can use any of several
different transportation systems (train, truck,
conveyor belt, muck pump). Also in figure
16 is an analogous comparison for tunnel
boring machines, with prefabricated (seg­
mented) liners, called conventional TBM's.
Not surprisingly, liner placement is critical
for conventional TBM's. The advance rates
for the different CTBM and conventional
TBM systems are listed in Table 3. The
advance rates for the CfBM are Significantly
higher than for the conventional TBM.
Table 3

Adv ance Rates in Meters/Hollrs for Continuous and Conventional T.B.M.'.

Diameter
3 meters 6 metcn 12 meters
T.B.M Muck Hlndlinl Lenl lb Length Lcnl t b
System
I km 10 km I km 10 km I km 10 km

IM.;" C."",.,
Muck Pump 5.29 .5.29 3.93 3.93 1.34 1.34

Continuous .5.32 .5.32 4.27 4.21 2.27 2.27

Tuanel
Borin, Train. S.30 S.30 4.28 4.28 2.30 2.30
Macbine
Truc ks S.30 4.68 4.27 2.54 2.29 1.36

CO llve nt ionai Tunnel Sorio, 2.27 2.27 2.29 2.29 1.57 1.57
M.chln

Tube transportation systems

The increasing traffic congestion in cities

Figure 16. Comparison of Critical Activities for Conti­
n ous and Conventional TBM's
tunnels of three different diameters built
by the CfBM. In this comparison the critical
components ("critical activity") are boring,
concrete aggregate transport, liner place­
ment and muck transport; aggregate and
requires that not only passenger transpor­
tation systems be removed from the surface
but that something similar needs to be
done about freight transportation. So called
tube transportation systems have existed
for nearly 200 years (Vance and Mills,
1994), using air pressure to propel contai­
ners. Such systems still exist but in limited
environments since the throughput and
flexibility is limited . Howeve r, recent ad­
vances in electric propulsion and in using
electronic technology for switching have
made tube transportation a viable option.
The US Federal Highway Administration
asked MIT to conduct a feasibility study
both regarding propulsion and switching
and regarding tunnelling. In this feasibility
study, we considered three possible sizes
of the commodity/vehicle: Standard con­
tainers of 8 x 8 ft. cross section, palettes

21
4 x 4 ft. and packages roughly 2 x 2 ft. • Downtown Boston representing a small
This translates into excavated diameters of and medium dense commercial area.
the corresponding tunnels of 14 ft (-4.2m)
called "large", in the following, 8 feet (2.4m) • Cambridge representing a medium size,
called "medium" and 4 ft (1.2m) called medium density mixed commercial and
"small", respectively. These assumptions residential area.
provided the basis for the propulsi­
on/switching- and the tunnelling studies;
only the latter will be discussed here,
however.

The tube tunnelling study consisted of the

following parts:

• Survey costs for tunnel construction,

shaft construction and utility relocation
in US cities.

• Determine the cost of constructing un­

derground tube networks in US cities.

• Study the effect of new technology on

tube network cost and time.

In the cost survey, we contacted numerous

owners, contractors and equipment manu­
facturers. The costs were normalized with
regard to year of construction and location.
The resulting costs were not only used for
calculating the tube network costs but also
to calibrate the DAT before using them to
examine the effect of new technology. The
Figure 1 7. Tube Networks in Midtown Manhattan
cost survey is by itself interesting and can
be found in Sinfield and Einstein, (995).
Figure 17 shows the three different net­
Doing a realistic feasibility study requires works for Midtown Manhattan. As can be
that one puts the tube network into an seen, the aforementioned tube diameters
actual city environment. We, therefore, and the network densities are logically
investigated tube networks of different related to each other (e.g. dense networks
densities in different cities: with small diameter tubes). The network
density not only affects the total tunnel
• Midtown Manhattan representing a dense length but also the number of access shafts
mixed commercial and residential area. for operating the system and so called
"start pits" for tunnel construction. The
• Downtown Manhattan representing a unit costs for the tunnels come from the
large and dense commercial area. above mentioned survey. Clearly, for the

22
smaller tunnel diameters, these represent ing rate, alignment accuracy, crew size,

technologies such as pipe jacking and energy use, and shift configuration

micro tunnelling, while the costs for the

larger tunnels represent shield or TBM Micro tunnelling ­

construction and for the medium diameter Same as for pipe jacking except for mucking

tunnels there is a mix of all methods. Total rate which does not play a role in this case

project costs for the Midtown Manhattan since it is directly related to penetration

networks range from 875 (large diameter), rate.

to 770 (medium) to 620 (small) million

dollars. Full Face TBM ­

These same networks were then used to Liner placement time, penetration rate,

study the effect of technological improve­ cutter change time and cutter life

ments on the three construction methods:

pipe jacking, micro tunnelling, and large
diameter full face TBM's (Figure 18).

Figure 19. Activity Networkfor PipeJacking Construction

Method

The DAT were used for this study with

activity networks such as the one shown
in Figure 19 for pipejacking. First we used
present technology and associated cost
and time to calibrate against the survey
data. Then each of the technological im­
provements was applied separately. An
example is shown in Figure 20 regarding
penetration rate. More interesting and more
Figure 18. Technology Assessment with the DAT realistic is an improvement of all techono­
logical aspects. This was done by assuming
Technological improvements investigated
different degrees of improvement and then
were:
estimating the effect on building the diffe­
rent tube networks discussed earlier. The
Pipe jacking ­
resulting costs are shown in Figure 21. The
Maximum drive distance, penetration rate,
moderate advances represent improvements
pipe length, pipe connection times, muck­
which can be qUickly implemented, while

23
Figure 20. Assessment of Technological Advances - 8' Diameter Pipe Jacking and Micro Tunnelling Effect of
Penetration Rate. (Base case represents present technology.)

optimistic improvements are beyond pre­

sent routine applications. In the case of
pipe jacking and full face TBM, we also
investigated the effect of performing several
activities simultaneously (e.g. simultaneous
advance and liner placement for the TBM).
Present ideal conditions represent cases
in which every component works at its
highest present performance and no delays
occur. As can be seen cost reduction of
between 10 to 25% can be achieved with
improved technology. A similar investigation
of total construction time indicates that
improvements of 50 to 75%, i.e. reducing
construction time to 1/z or 1/ 4 of the present
are possible. This time reduction is im­
portant not only because of the monetary
value of time but because of the reduced
interference problem when building in Figure 21. Effects of Technological Advancement on
cities. Network Costs

24
While these results are very interesting,
the main reason for showing them is to
demonstrate the use of the DAT in techno­
logy assessment. It is quite important to
examine the effect of such improvements
before embarking on major developments.
Technology assessment can involve also
uncertainties and, hence provide the basis
for risk analysis related to technologic
developments.
CONCLUSIONS
The description of the Decision Aids for
Tunnelling and the example applications
have shown that DAT are very useful when
estimating cost, time and resource require­
ments in tunnelling. This can be in the
planning and early design stages or it can
be for detailed design and assessment of
construction procedures. It is also easily
possible to investigate the effect of different
technologies including innovative techno­
logy. Very important in all this is the
possibility to include various uncertainties
be they related to geology or construction
performance. Modern decision making in
design and construction requires risk as­
sessment and risk assessment must be
based on a formal consideration of uncer­
tainties.
The DAT are an interactive computer tool.
Although convenient to use, they require
familiarization. Once this is done, they can
be easily incorporated in the daily design
or construction activities and they make it
possible to quickly check alternatives before
implementing them.
ACKNOWLEDGEMENTS
The work on the DAT goes back many
years. Work reported here has been spon­
sored by the Swiss Office of Transportation,
the Swiss Federal Railroads, the U.S. De­
partment of Transportation, and the US
25
National Science Foundation.
Several colleagues and students were in­
volved, notably, Dr. V. Halabe and Mr. J.
Sinfield at MIT, Professor F. Descoeudres,
Mr. J.-P. Dudt and Dr. C. Indermitte at
EPFL.
REFERENCES
Descoeudres, FP; Dudt, j.-P (1993) .
"Instruments a l'aide de la decision pour
la construction de tunnels '; Publications
de la Societe Suisse de Mecanique des
Sols et des Roches, No . 128.
Descoeudres, FP; Dudt, I-P (1994). Tun­
nel de Base du Ldtschberg - Galerie Sondage
Nord Rapport R276, Ecole Polytechnique
Federale de Lausanne, Dept. de genie civil.
Dudt, I-P , Einstein, HH; Ha la be, V
(1993). Untersuchung der Materialbewirt­
schaftung mit den EHT, Bericht z.H Inge­
nieurgemeinschaft Gotthard-Basistunnel.
Einstein, HH; Descoeudres, FP; Dudt, I­
P; Halabe, V(1991). "Entscheidungshilfen
fur den Tunnellbau ", Schlussbericht uber
die im Auflrag des Bundesamts fur Verkehr
ausgefuhrten Arbeiten.
Einstein, HH; Dudt, I-P; Halabe, VB .;
Descoeudres, F (1992) "Decision Aids in
Tunnelling; Principle and Practical
Application '; Monograph, prepared for the
Swiss Federal Office of Transportation.
Einstein, HH; Halabe, VB.; Dudt, I-P;
Descoeudres, FP (1996) "Geologic uncer­
tainties in Tunnels", paper submitted to
"Uncertainty in the Geologic Environment:
From Tbeory to Practice. "
Einstein, HH; Labreche, D.A .; Markow,
Mj. Baecher, GB. (1978). Decision analysis

applied to rock tunnel exploration, Eng.

Geology. 12, 143-161.

Halabe, VBH. (1995). ''Resource Modeling

for DAT", M.I.T PhD. Thesis.

Nelson, PP; Einstein, H.H.; Peterson, C.R.;

Hood, M. (1992). ''Manufacturing
Underground Space '; Towards New Worlds
in Tunnelling, Balkema.

Peterson, G.R.; Einstein, H.H. (1993)

''Manufacturing Underground Space",
Proc. NSF Design and Manufacturing Sy­
stems Grantees Conference.

Sinfield, ]. V; Einstein; H.H. (1995). Tube

Tunnel Construction Cost and Time, Report
to Federal Highway Administration.

Vance, L.; Mills, M.K. (1994). "Tube Freight

Transportation ", Public Roads, u.s. Dept.
of Transportation, Federal Highway Admi­
nistration.

26
THREE-DIMENSIONAL NUMERICAL
MODELLING OF SLURRY SHIELD
TUNNELlNG
1 2
G. Swoboda ,M. Mansour
ABSTRACT
Prediction of settlements above shield­
driven tunnels is one of the major designer
questions, predominantly in urban tunne­
ling. The scope of this paper is to deal
with this subject using numerical model
simulating the process of shield tunneling
and its interaction with the surrounding
ground. In details, modelling of construction
process under different loading conditions
such as soil pressure, excavation loads,
grout pressure, slurry pressure and ground­
water pressure is discussed. Parametric
study based on 3-D models to evaluate
the influence of the most important para­
meters, slurry pressure and grouting pres­
sure, is carried out.
INTRODUCTION
The recent development of tunneling tech­
nology permits driving of many tunnels
under difficult conditions such as;
- Driving of shallow tunnels in urban areas
- Tunneling in soft ground
- Tunneling underground water table
In such special conditions, the major criteria
for design and construction of tunnels are
the ground deformations which may se­
riously affect the safety of the existing
buildings and services. Driving of tunnels
using shielded TBMs with pressurized fluids
~ Prof. Dipl.-Ing. Dr. techn., University of Innsbruck, Austria
M. Sc., Geomechatrionic Center Linz, Austria
27
has achieved a substantial degree of success
for a wide variety of soil conditions. The
principle of these hydroshields is to support
the soil at the excavation boundaries. The
shield followed by permanent lining and
grouting system, restricts radial soil defor­
mations except at the shield tail where a
gap between the soil and the lining exists.
The soil in this region is supported by
pressurized grout injected in the gap.
Generally, the stability of the tunnel face
is achieved by applying bentonite slurry
under pressure.
Numerical model that allows simulation of
shield tunneling process is essential to
study the effect of different parameters on
the behaviour of surrounding soil. Both
field studies and theoretical analysis [121,
[131, [17] have shown that stress changes
and the consequent soil deformations
resulting from the advance of shield tun­
neling, represent a real three-dimensional
problem. This fact has recently motivated
a few researchers such as [141, [12] and
[20] towards the development of three­
dimensional numerical models, which are
essential to predict ground deformations
caused by tunneling.
Based on this fact, the present work aims
to develop a three-dimensional theoretically
based model to simulate shield tunneling
method including material and loading
modelling. The Finite Element Method is
well applicable in this modelling because
all important parameters can be included
in the model and their influences can be
studied. This type of modelling requires:
• Finite Element modelling of each item
in the system.
• Selection of constitutive relations for
different materials.
• Simulation of different loading conditions
existing before and resulting during
the construction process.
As an illustration, the model is then applied
to a circular tunnel driven into soft ground.
Construction process is divided into several
loading steps to allow alteration of the
system geometry due to continuous exca­
vation of soil elements and erection of
lining segments. This method of stepped
analysis provides more realistic stress baths
followed by different elements in the system
and results in more accurate behaviour.
Parametric study to show the effect of both
grouting pressure and slurry pressure on
the ground deformations is also done.
Figure I, Sluny Tunnel Boring Machine System (schematic)
28
TUNNELlNG METHOD
The actual procedure of tunneling using
slurry TBM will be described here to de­
monstrate the whole system including the
acting forces, Fig. 1. The follOWing steps
are generally followed [15]:
• The ground at the tunnel face is com­
pletely broken up by the cutter wheel
which rotates in the bentonite and is
mixed with the latter.
• The bentonite is admitted to the excava­
tion chamber with a pressure which
corresponds to the existing earth and
water pressures and thus prevents un­
controlled inftltration of soil or a decrease
in stability at the tunnel face.
• The excavated soil that has been mixed
with the bentonite is pumped to the
surface of the job site to be separated
into solid and liquid parts. The resulting
bentonite is returned back to the slurry
circuit to be recycled.
• The lining system which is usually con­
crete segments, is erected under the
protection of the shield. The annular
gap between the outer side of the con­
crete segments and the ground is conti­
nually grouted or back-fIlled with mortar
through injection holes in the tailskin.
• The advance of the machine is achieved
by thrust jacks applying the moving
forces to the segmental lining.

Figure 2. IPQS element

THREE-DIMENSIONAL FINITE
ELEMENT MODELLING
The plastic behaviour of soils is defined
by:
Finite Element modelling concerns chOOSing
suitable finite elements which are capable
of simulating geometry and behaviour of • a yield criterion indicating the stress
level at which plastiC deformations com­
each component in the system with rea­
mence,
sonable accuracy. Elements based on iso­
parametric formulation [22] will be used
herein because they have the ability of • a relationship between stress and strain
for post-yield behaviour.
simulating curved boundaries, which re­
present an important task in tunnel analysis.
This type of element can be coupled with
For isoparametric elements, the shape
different constitutive laws for the soil.
functions defining geometry and displace­
Based on the theoretical layout of [21] the
ments within the element (in terms of
follOWing laws are implemented:
nodal coordinates and nodal displacements
respectively) are the same. Constitutive
relations and material parameters defining - Mohr-Coulomb
the behaviour of different materials, are - Critical State Model
also included in the FE modelling. - Lade-Duncan
- Desai's Modified Cap Model
- CDM Continuum Damage Mechanics
Modelling of the soil
This general library offers the possibility
Soil is modeled as an isoparametric Qua­ to select the best law for each type of soil,
dratic Solid element (IPQS) with 20 nodes such as sand, clay or mar!' They are im­
[4] Fig. 2. The elastic behaviour of soil is plemented in the program-system FINAL
defined by elastic parameters such as [18] employed in this analysis.
elasticity modulus E and Poisson's ratio v
for assumed isotropic material and by Special attention must be paid when soil
elasticity matrix for anisotropic material. parameters for moist or submerged soil

29

are chosen. Geological formations of soil
can be considered in the model by using
different soil parameters for each layer.
Modelling of the lining system
The tunnel lining is simulated using an
Isoparametric Sandwich Shell Quadratic
element (ISSQ) [16] shown in Fig. 3. The
ISSQ element which has a quadratic shape
function, is based on Ahmed's concept for
degenerated isoparametric elements [1].
Figure 3. ISSQ element jar simulation oj segmental
lining
It is a multilayer element that allows an
appropriate integration through the thick­
ness of the element and a reasonable
number of points where the constitutive
laws satisfy the requirement of nonlinear
analysis.
The shell is built up from a series of layers,
a mid-point rule integration scheme is
adopted for each layer. Layers are numbe­
red sequentially, starting at the bottom
surface of the shell. The stiffness matrix
of the multilayer shell element is thus
found as follows:
[I<J = EL L
I ']'
-1
1
[BJT [DJ' [BJ ft I J I ded'ld(.
where the matrix [D]k is the stress-strain
relationship of the individual layer. The
integration is performed over the thickness
of one layer tk and is subsequently added
for all layers, where I is the number of
element layers.
The material parameters for concrete, either
elastic or plastic, are used to simulate the
behaviour of segmental concrete lining.
Modelling of the gap
The annular gap between the concrete
lining and the excavation perimeter is
either left to be closed by soil deformations
or continually grouted under pressure. The
function of this grouting process is the
control of excessive deformations which
occur in this unsupported region and also,
to ensure good interaction between the
soil and the lining. Figure 4 shows the soil­
lining system and the modelling of this
interaction problem.
Figure 4. Modelling ojsoil-lining interaction system
To simulate the gap, a special three­
dimensional friction interface element [19]
is used. The element is based on the
research of Katona [10] where the nodal
contact-friction interface element is suc­
cessfully generalizing a three-dimensional
situation. In order to simulate the sophisti­
cated configurations, the 16-node isopara­
(1)
metric element is employed (COJ03­
COonstraind Joint 3D) Fig. 5.
30
By using the virtual displacement principle where
and combining the geometric and static
constraint conditions, the equivalent ele­ a r = N!::J.a' (3)
ment stiffness-constrain matrix can be
obtained. It can be assembled into the O'r = NO' (4)
finite element program system by standard
assembly technique. The problem is studied
in the global Cartesian coordinate system The incremental nodal relative displacement
x, y, z. At the contact friction interface, vector in the local system due to decoupling
however, the local curvilinear coordinate or slip da' is given by:
system n, s, t is adopted.

!:::.a'= Ca (5)

The interpolation function matrix N

N =[
NI
0 NI
0 0
0 • • •
Ns
0
0
Ns
0
0
1 (6)
o 0 NI 0 0 Ns

is defined in the mapped local coordinate

Figure 5. system ~ - 11 . Only eight nodes on the
COj03 element; local and global coordinate systems
interfaces are used to defme element shape.

The layout of the 3-D curved contact friction The shape function used is:
element is shown in Fig.5. Using the virtual
displacement principle, we have:
Ni i(l Ho)(l +'10)(~0+'10 -1) = 1,2,3,4
Ni I(l - '1')(1 + ~o) = 5,7 (!)
Ni .(1 - e)(l + '10) = 6,8

8aT F = k(8a;)O'r df (2)

where ~o = ~i~, 110 = 11i11

in which
The transformation matrix C is:
a: Incremental nodal displacement vector
-L, o L,
in the global coordinate system. -L, L,

F: Global incremental equivalent nodal c= (8)

force vector. -L. 0 L.
a,: Incremental relative displacement bet­
ween top and bottom layer of the ele­
ment in the local system. Inx Inv In.]
with Li =[ I,x I,v I..
O'r: Incremental
contact stress vector in the I,x I,v I,. i
(9)
local system. i = 1, 2" . ',8

31
where lnx is the direction cosine from or nodal contact stress vector.
global x-axis to local n-axis. R: is a diagonal matrix.

By substituting equations (3), (4) and (S) -L~ o Ll

-L~ L'2

into equation (2), it results Cl =

(13)
-L~ 0 L'8
CTSa = F (10)

where
R, o
S = kNTN dr (11) R,
R= (14)
According to the constraint conditions on
o Ra
contact surface, the contact conditions can

be classified into the following cases:

In order to obtain the stiffness matrix of

Fixed condition:
the curved interface element, equations
Gap remains closed and no movement can
(10) and (12) can be combined as
occur between the double-nodes.

Slip condition:

Gap remains closed and slip occurs in both

[~l C;S]{;} = { :. } (15)
directions sand t.

Free condition:
The new element can be treated at the
Gap remains open.
element level by forming an unsymmetrical
Mixed condition:
stiffness matrix Kc and load vector fe as
Gap remains closed and slip occurs in one
follows
direction, namely either s or t, but with no

Kc= [Cl0 CTS]

slip in the other direction.

R (16)
Displacements and stresses must satisfy

different equilibrium equations and conti­

fc={~.} (17)
nuity conditions for different contact cons­

traints as indicated above. The geometric

and static constraint conditions on the

Equations (16) and (17) are called the
contact surface of each double node ele­
equivalent element stiffness matrix and
ment can be unified as
equivalent load vector. They can be assem­
bled like any stiffness matrix and element
{Cl R}{:}=a* (12) load vector.

where In some cases, where it is recommended

to control soil movements by means of
Cl: is coordinate transformation matrix. immediate grouting under pressure, the
a*: is the initial nodal relative displacement gap will not to be closed and so, it can be

32

simulated using thin IPQS elements. The
gap region can be subdivided in a liquid
zone behind the shield and a hard grout
region behind the tail of the TBM.
The stiffness of the grout material is varying
according to its age. The fresh grout that
is injected just behind the shield tail is
considered as a material with very low
stiffness but with an internal pressure,
while the old grout which has been har­
dened can be considered as stiff as concrete.
This hard grout can be simulated using
thin IPQS elements. The elastic modulus
E of the grout can be introduced in the
model with different values according to
its age.
Modelling of TBM
shield to obtain the resulting deformati­
ons.
• The structure components are replaced
by IPQS elements with certain stiffness
parameters, and the resulting model is
also analyzed under the action of the
same uniform load to obtain the new
deformations.
• The previous step is repeated using
different stiffness parameters. The equi­
valent stiffness is the one corresponding
to the model which undergoes the same
deformations as the actual structure.
Figure 6. illustrates the finite element
modelling of the hole tunneling system
induding element types used to simulate
different items.

The Shielded Tunnel Boring Machine con­

sists of two main parts, the first is the
excavation system, induding the cutting
head, and the second is a steel shield
which supports the ground in the newly
excavated part and protects the excavation
system. The shield skin is simulated in the
model using SHELL elements and the ex­
cavation system of the machine is modeled
using IPQS elements having an equivalent
stiffness.

The material parameters of the shield,

considering elastic behaviour, are the elastic
modulus E and Poisson's ratio for steel.
The excavation system of the machine is
Figure 6. Finite Element modelling for shield tunnel
modeled using IPQS elements having an
excavation.
equivalent stiffness. This equivalent stiffness
can be obtained using the follOWing steps:
LOADING CONDITIONS
• A structural system consisting of the
main parts of the machine, each with its
actual geometry and stiffness, is built. During construction stages of the mecha­
nized tunnels, different loading conditions
• The structure is then analyzed under the influence the behaviour of the tunneling
action of a uniform load applied on the system. The loadings that have a considera­

33
ble effect on the system should be included considered to account for the uplift forces.
in the numerical model. These loadings hence, the submerged unit weight of soil
and their simulation in the model, are y ' is used:
specified as follows.
y'= y - yw (a))

Primary state of stress where

The primary state of stress is the initial Yw is the unit weight of water.
stress field in the ground under undisturbed
conditions, i.e. before the tunnel excavation. Then, components of the effective stress
The initial stress field a 0 has three com­ under groundwater level are given by:
ponents, vertical component a y due to
overburden and two horizontal components a 'y = y'h (21)
ax an az due to lateral earth pressure. For
zone a in Fig. 7, where the soil exists above and
groundwater table components of the initial
stress are given by: a 'X = a 'z = ko a 'y (22)

ay = yh (18)
and Excavation load

ax = a z = ko ay (19) In the present 3-D numerical model, exca­

vation process is simulated according to
where Ghaboussi and Pecknold [8], as follows:

Y bulk unit weight of the soil. Ca) The eqUilibrium equations of the whole
ko coefficient of lateral earth pressure at finite element model are written in the
rest. following partitioned form:

If the soil exists under groundwater table,

k~r ] { ::ar }= { F: ~Fr F;}
k.. k"
zone b in Fig. 7, the effective stresses [ kse k: s + k~" (23)
between the soil grains a' 0' should be o k" krr

where
e nodes in the excavated region.
r nodes in the remaining region.
s nodes on the excavation surface.

The superscripts e and r are contributions

of excavated and remaining regions, re­
spectively.

Cb) The elements which are included in

Figure 7. Primary state of stress in the ground the excavation region are simply softened.

34

This can be achieved by reducing their • The second component F D.L reflects the
elastic modulus to zero, in other words, change in the dead load due to excava­
eliminating their contribution to the stiffness tion process. It is simply obtained by
matrix, Fig. 8ea). applying the self-weight of the excavated
elements in the opposite direction accor­
ding to the following equation [22):
E,
{(F'o·FD•L )}.

E=O
FD .L
E
=L
e=l
1
Vol
NTb .dV (25)

where

N shape function of the used element.

(a) Softening of the region (b) Applying the excava·
to be excavated tion load on the excavati·
on boundary
Figure 8. Simulation of excavation process
(c) At the same time, the excavation load
vector is assembled from two main com­
ponents:
• The first component Fao results from
eliminating the initial stresses ao present
in the excavated elements by integration
over those elements. This integration is
performed according to [22) as follows:
b body forces which are equal to the
weight per unit volume of soil.
T hen, the excavation load vector Fexc is
calculated from the above two components
as follows, Fig. 8(b):
Fexc = Fao - FD .L (26)
Since only the excavated elements contri­
bute to the load vector, both Fi and Fr in
equations (23) are eliminated as follows:

[ k;s ksr ] { :: } = { ~:
t J BTao .dV kTs kTT } (ll)
Fao = (24)
e=l Vol

From equations (27), it is noted that the

where load vector is assembled only from nodal
loads on the excavation surface. Conse­
B is the nodal strain-displacement quently, the excavation load vector Fexc
matrix. has to be divided into two parts, one
related to the interior nodes e, which,
however are not to be considered, and the
The summation in equation (24) is over other related to the surface nodes s as
the elements n involved in the excavation follows:
region. It has to be noted that the element
- FD.L)e }
nodal forces obtained from the above
equation are equilibrium loads.
Fexc = { (Fao
(Fao - FD .L ).
(28)

35
Substituting in equation (27), the total
equations to be applied at the excavation
stage are obtained as:
[ k;s ksr] { as } = { (Fuo - FV.L)s} (29)
krs krr ar 0
Face support pressure
The objective of face support techniques
used in shield tunnels is to prevent any
excessive deformations at the tunnel face
and to control groundwater, if it exists. In
dry soils, mechanized shield systems MDS,
having closed cutting wheels, are used to
support the face with activated support
plates [2]. Whereas, in cases of excavation
under ground water table, compressed air,
earth pressure balance shields, or bentonite
slurry shields are used.
Although compressed air method has been
practiced since the sixteenth century, re­
strictions on its application have recently
been imposed for health and safety con­
cerns, beside its high labor costs. After
some improvements, compressed air is
sometimes used in combination with slurry
method. It is applied as an alternative face
support in the machine stops Fig 9 (b).
In earth pressure balanced EPB method,
the excavated soil itself is used to support
the tunnel face. A rigid support is provided
to the face by regulating the amount of
excavation. The rate of advance of the
shield is related to the volume of transpor­
ted muck through a controlled screw con­
veyor from a closed spoil retaining area.
Mud making agent is added to the soil in
the retaining area in order to proVide the
excavated soil with fluidity and impermea­
bility, and to improve the uniformity of
the support pressure.
36
Slurry method of face support, which is
the topic of this paper, consists of providing
.GWT
S, :Applied sluroy pressure 'Cake' layer
S,:Hydrostatic sluroy pressure
re
P.. :Horizontal earthpressure
p. :Water pressure
P, p. S, s, :
(a) Slurry pressure during excavation
.GWT
'Cake" layer
"
P, p. A
(b) Compressed air during stops
Figure 9. Probable face pressure distributions for slurry
shield tunnels
bentonite slurry under pressure to the
excavation face. In order to fulfill its function
as a counterbalance to earth and water
pressure, slurry pressure has to be built
up over a layer of finite thickness [6]. This
layer, called "the cake", is formed as the
bentonite slurry infiltrates into the soil and
settle on the excavation surface [5]. It is a
mixture of slurry and soil particles and it
has improved shear strength properties
and low permeability.
Up to now, little research has been carried
out to estimate the pressure required to
maintain the stability of the tunnel face [6]
[11] [3]. A reasonably correct degree of
such pressure ensures safety against both
collapse and blow-out. The slurry pressure
consists of two parts, Fig 9 (a):
• The first part is developed by compressed
air applied to the slurry chamber through
an air cushion.
• The second part is due to the hydrostatic
pressure of the slurry.
ConSidering the membrane-model [3) that
assumes the perfectly impervious "cake"
layer, the slurry pressure can be simulated
as a linearly distributed load which has a
trapezoidal shape.
Grout pressure
The grout is injected in the gap, under
pressure, to control the soil deformations
at the tail and the subsequent surface
settlements. Fig 10. An ideal value of grout
pressure would be equal to the overburden
ground pressure, provided that the soil
displacement is absolutely elastic [7).
Figure 10. Simulation ofgrout pressure
Actually, a higher value is always needed
to compensate for the excessive amount
of tail displacement. This value should not
be so high that it may cause heave at the
ground surface. On the other hand, low
grout pressure may be attributed to tech­
nical difficulties beside the high undesirable
37
tail deformations. Therefore, an optimum
value of the grout pressure has to be
estimated to ensure efficient support of
the soil in this region. The numerical model
suggested herein can be used to predict
this optimum value by studying the effect
of grout pressure on the soil deformations.
In this model, the grout pressure is applied
as a uniform load on both sides of the gap
element, the soil and the lining, during
tunnel advance, the shield tail leaves the
preceding grouted zone to the new one,
and consequently, the grout pressure dis­
appears in this preceding zone. At the
same time, this grout changes from its
initial liquid or suspension state to a solid
state having strength according to its rheo­
logical behaviour. This process is simulated
by applying the grout pressure on the
opposite direction and increase the stiffness
of the grout to a value corresponding to
its strength. The numerical analysis of this
process results in a negligible deformation
in the grout which does not affect the soil
behaviour to any extent. Therefore, this
phenomena will not be considered in the
present model.
CONTROL OF GROUND SEn'LEMENTS WITH
SWRRY AND GROUTING PRESSURES
For TBM tunnel excavation, one of the
key points is the control of settlements.
This can be done with the slurry pressure
and the grouting pressure. To show the
impact of both parameters, a numerical
test was performed on a circular single
tunnel excavated in a linearly elastic soil.
The following geometry and soil properties
have been adopted in the analysis:
- Diameter of tunnel CD) = 9.6 m
- Depth from ground surface to tunnel
centerline CH) = 16.0 m
- Unit weight of soil (r) = 20.0 K N 1m2 Figure 11 shows the Finite Element mesh
used in the analysis. This mesh has been
- Modulus of elasticity
of soil (E) = 60.0 Mpa

- Poisson's ratio (v) = 0.3

- Coefficient of earth
pressure at rest (Ko) = 0.6

It has to be noted that the chosen geometry

with the ratio WD of 1.67, indicates shallow
tunnel with relatively large diameter.

The excavation process is divided into 19

loading steps to allow for simulation of
stress path followed by the soil during the
advance of the boring machine. Parametric
study to evaluate the influence of slurry
pressure and grouting pressure has been
carried out. Figure 11. Three-Dimensional Finite Element mesh

Figure 12. Vertical deformations along crown for different values of average slurry pressure

38
selected after consideration of the results
from a number of analyses performed for
different mesh arrangements. The lateral
boundaries were located such that they
would not significantly influence the results.
The FE mesh consists of 1464 brick ele­
ments (IPQS element) and 333 SHELL
elements which resulted in a total of 7006
nodes and 23240 equilibrium equations.
This system is not feasible using the con­
ventional frontal solution method because
it takes too much CPU time. Therefore,
the Preconditioned Conjugate Gradient
Method [9] which is implemented in the
Finite Element Code, FINAL [18], was em­
ployed in the analysis. The CPU time is
reduced to almost a tenth of that required
time for frontal solution which enabled us
to carry out this parametric study on such
a 3-D mesh using small excavation steps.
Figure 13. Horizontal deformations at the tunnel face for different values of average slurry pressure.
39
From the diagrams of the slurry pressure,
Fig 12 and Fig 13, it can be seen that this
pressure has no impact on the final displa­
cement at all. With a high slurry pressure
the displacement in front of the TBM can
be controlled perfectly/exactly. But much
more important is the impact on the hori­
zontal displacements of the tunnel face.
This displacement has a direct relation with
the failure of the tunnel face. With an
average pressure of 2 bar, the slurry pressure
compensates the horizontal displacement.
For an average slurry pressure of 2 bar a
variation of the grouting pressure was done.
The results show the great importance of
a perfect grouting system to the final settle­
ments, Fig 14. The maximum displacement
along crown can vary in this example
between 8.5 mm and 16 mm. A non-linear
calculation will even show a greater diffe­
rence in the final settlement.
Figure 14. Vertical deformations along crown for different values ofgrout pressure
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kiewicz. Analysis of thick and thin
structures by curved finite elements.
International Journal for Numerical
Methods in Engineering, 2:419-451,
1970.
[2J Alpine Westjalia. A comprehensive
program for shield tunnelling and pipe
jacking.
[3J G. Anagnostou and K Kovari. The
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tunnels. Tunnelling and Underground
[7J Z. Eisenstein and O. Ezzeldine. The
Space Technology, 9(2): 165-174, 1994.
[4J L.E. Aparicio and I Con nor. Isopara­
metric Finite Element displacement
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70-39. MIT
[5J S. Babendererde. Tunnelling in soft
ground: a comparison of Slurry and
EPB shield systems. Tunnelling and
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positive ground control. Tunnelling
and Ground Conditions, Cairo, 1994,
pages 557-571. (Abdel Salam, editor),
Palkema, Rotterdam.
effect of tunnelling technology on
ground control. Tunnelling and Un­
derground Space Technology,
7(3):273-2779, 1992.
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[8J J. Ghaboussi and DA. Pecknold. Incre­
mental finite element analysis ofgeo­
metrically altered structures. Interna­
tional journal for Numerical Methods
in Engineering, 20:2051-2064, 1984.
[9J I. Haldik, M.B. Reed, and G.Swoboda.
Robust preconditioners for linear ela­
sticity FEM analysis. International
journal for Numerical Methods in En­
gineering. (to be published).
[10J M.G. Katona. A simple contact-jriction
interface element with applications to
buried culverts. Internationaljournal
for Numerical and Analytical Methods
in Geomechanics, 8:371-384, 1983.
[llJ E. Leca and L. Dormieux. Upper and
lower bound solutions for the face
stability of shallow circular tunnels in
frictional material. Geotechnique,
40(4):581-606, 1990.
[12J KM. Lee and R.K Rowe. Finite element
modelling of the three-dimensional
ground deformations due to tunnelling
in soft cohesive soils: Part 1 - Method
of analysis. Computers and Geotech­
nics, 10:87-109, 1990.
[13J KM. Lee and R.K.Rowe. Finite element
modelling of the three-dimensional
ground deformations due to tunnelling
in soft cohesive soils: Part 2 - Results.
Computers and Geotechnics, 10: 111­
138,1990.
[14J KM. Lee and R.KRowe. An analysis
of three-dimensional ground move­
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dian Geotechnicaljournal, 28:25-41,
1991.
[15J Egyptian National Authoroty for Tun­
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No.2, project documents.
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[16J A.Schmid. Beitrag zur Berechnung
geschichteter Schalentragwerke mittels
der Methode der Finiten Elemente. PhD
Thesis, Innsbruck University, 1988.
[17J G.Swoboda. Numerical modelling of
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stituive Modelling in Geomechanics,
(311).277-318. Udine, Eds. c.s. Desai
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1990.
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edition, 1989.
DESIGN CRITERIA FOR TBM'S WITH
RESPECT TO REAL ROCK PRESSURE
K. H. Gehring 1
ABSTRACT
The paper deals with the major impacts
of rock under increased stress conditions
on the use of TBM's, shielded as well as
unshielded.
The most important interactions between
rock and TBM are discussed with emphasis
to rock excavation, cutterhead rotation,
TBM advance and tunnel lining as integra­
ted process (e.g. segmental lining).
Main mechanisms of the different interac­
tions are discussed as well some attempts
to check the potential value of the effects.
Corresponding to these mechanisms con­
ceptual and design features are shown to
cope with TBM-tunnelling under high rock
stress.
INITIAL REMARKS
A lot of papers have been published about
the nature and origin of rock pressure and
the definition of "real" rock pressure.
From the aspect of design of TBM's capable
to pass through pressurized ground - and
there is no ground without pressure ­
predominantly the effects caused by this
rock pressure and the possibility to coun­
teract by appropriate design are of primary
interest.
Within the scope of this paper only general
mechanisms will be delt with to highlight
important impacts on the discussed subject.
1
Dip!. Ing. Dr.mont., Head of Geotechnical Department,
ALPINE WESTFALIA Berg- und Tunneltechnik GmbH & Co., Zeltweg, Austria
43
SOURCES OF ROCK PRESSURE
There are on the one hand the sources of
"primary rock pressure" which is under­
stood as the summary of stresses inherent
in the rock mass before "influencing" it by
driving a tunnel. The primary rock pressure
and the rock mass behaviour define the
environment of the future tunnelling ope­
ration.
As "secondary ground pressure" basically
the alterated primary stress field as a
consequence of the tunnelling process can
be understood.
While the primary stress field at a certain
position can be assumed to remain unchan­
ged the secondary stress field shows consi­
derable alterations within the observated
period of the tunnelling process with regard
to time and location.
It must be the aim of all measures of the
tunnelling process to reachieve an equili­
brial state of stress and to avoid any inter­
mediate conditions, which endanger the
tunnel and the people and equipment
working there.
In practice the stress itself does not form
the critical factor, but the reactions which
are caused by it.
Different to the definition of KASTNER
(971) who understood "real rock pressure"
only evidenced, if the secondary state of
stress results in fracture resp. deformation,
here also the effect of the changing stress
field in an otherwise stable tunnel shall be
considered.
Consequently the following manifestations
of rock pressure - pressure in its physical
understanding - can take place (Table 1).
• The stress field is relocated resulting
in elastic deformation of face and vault
only, but without fracture
• Stress release occurs by sudden rock
failure - rock bursts, spalling
• Fracture and consecutive deformation
of rock in tunnel face and vault in a
rock mass with originally elastic or
quasi-elastic behaviour
• Deformation and consecutive failures
in rock mass with originally plastic
viscous behaviour - the main mecha­
nism of "real" rock pressure
Table 1. Effects 0/ rock pressure
What type of reaction can actually be found
in practice, depends as well on the original
state of stress and the rock mass characte­
ristics, but is also highly influenced by the
mode of excavation and size and shape
of the tunnel.
The time dependenc of all the above
mentioned reactions of the rock mass
surrounding the tunnel must no be expres­
sed additionally.
With regard to the operation of a TBM it
can be stated here, that the location of the
machine in the area immediate behind the
face and in a zone, where the main pro­
cesses of generation of secondary rock
pressure are initiated highlights the im­
portance of all these factors and all of the
measures to cope with them just in this
area.
44
INTERACTION ROCK MASS - TBM
Survey
According to experience the follOWing
main functions of a TBM-system will be
influenced by rock pressure - or - as
mentioned above - by the consequences
resulting therefrom (Table 2).
• Excavatability of rock mass
• Rotation of cutting wheel
• Advance of TBM
• Rock support, lining
Table 2. Functions a/IBM-tunnelling mainly influenced
by rock pressure
What effects can contribute to the a.m.
items and when respectively under what
conditions they have to be expected, shall
now be discussed. Together with the effects
also possible countermeasures - potential
or already proven in practice - will be
presented for the a.m. fields of problems.
Excavatability
Whereas all other indicated potential pro­
blems are more or less a consequence of
rock conditions which are not able to
withstand the acting rock stress without
failure or critical deformation such condi­
tions will only show minor impact an
excavatability.
A discussion of the field "excavatability ­
rock pressure" will have to be done on
the stage of high rock strength and only
low short lasting deformation effects.
What are the implicated parameters and
their relation to the problem ?

With increasing strength of rock also the

efforts to disintegrate it will also have to
be increased. An approximative emperical
correlation can indicate this significantly

(Fig. 1).

Figure 2. Effect of confining pressure an "excavation

resistance", shown in a Mohr's diagram

By rising the acting "confining" pressure

Figure 1, Penetration rate of a mM in relation to
unconftned compressive strength of rock and available
thrust force FN
With existing cutting tools in this case with
of confining pressure (Fig. 3),
disk cutters a max. average thrust force of
crI from 0 (uniaxial state of stress) to diffe­
rent values of confining pressure crI; (with
crf representing the respective value for
actual compressive stress in the failure
plane) it gets visible, that these values are
not only highly influenced by the amount

200 kN to 300 kN cutter can be applied

continuously. It gets evident there from,

that performance of a TBM is still highly

restricted by the level of rock strength.

The a.m. correlation is principally based

on the uniaxial compressive strength of

rock. So it can be valid with sufficient

accuracy only for such conditions, where

the actual state of stress in the face is not

to far from uniaxial stress distribution (with

Figure 3, Development of "excavation resistance (Jf'

regard to operation of a single cutter). And
in relation to <p and for different values of confining
for tunnels with shallow overburden this
pressure (J 1
correlation was found to provide a sufficient

reproduction of actual rock behaviour.

Wether these conditions actually apply

but also by the behaviour of the rock mass,
depends on the actual state of stress in the
indicated by the value of <po It is evident,
face respectively the transition face - vault.
that in sound and hard rock (high <p) the
The reason is, that the penetration is highly
effective value for crf is also considerabely
influenced by the actual state of stress in
higher.
the rock underneath a cutter.

Simplified in a Mohr's diagram (Fig. 2) this

A cutter edge penetrating the rock has to
effect can be demonstrated.
overcome the actual compressive strength

45

to achieve rock failure as a consequence.
This consideration can only give an idea
about the scale of the effect of higher
"effective" strength, but indicates its evi­
dence. Model tests, e.g. by GUENOT (1987)
and by EWY and COOK (1990) found
effective rock strength in the tunnel wall
in a range of 2 to 4-times the uniaxial
compressive strength for conditions of
deep tunnels.
Zones with stress configurations markabely
different from uniaxial state of stress will
be predominantly found in the transition
zone face - vault for here the potential of
stress release is reduced by geometrical
constraints.
Diagrams showing the frequency of cutter
exchange on different positions of a cut­
terhead are able to evidence this fact (Fig.
4).
Figure 4. Comparision of spec. cutter wear at shallow
and high overburden
Even for a well designed cutter array and
"neutralizing" all other effects - predomi­
nantly the increasing of the individual
cutter path length towards the periphery
of the tunnel - the specific wear of cutter
shows a slight, but distinct increase from
the center towards the gauge area and this
under quite shallow overburden of 50 ­
150 m.
46
A comparative evaluation for an operation
at a depth of max. 800 m indicates a quite
different shape with a much stronger increa­
se of pick wear towards the gauge. Both
diagrams result from boring through rock
with certainly comparable behaviour - one
from granite, one from massive granitic
gneiss.
Neglecting the center cutter and looking
at the outermost 7 cutters, which represent
the gauge area, their average specific wear
is for slight overburden only 39 % above
the average whereas for the example with
high overburden this value is 71 % higher.
A slightly different design and cutter array
in the gauge area might contribute to this
result, but there is a strong evidence, that
a higher effort is required to bore the
gauge area at greater depth.
The following consequences can be drawn
therefrom:
• Distribution of thrust force over the
cutterhead changes with increasing rock
pressure - for penetration must stay equal
over the entire head, only higher contact
pressure can cause the increased wear.
At the same penetration this contact
pressure increases with increasing effec­
tive strength (Fig. 3).
• Transfer of the required increased thrust
force in the gauge area must be provided
by
- appropriate cutter array to provide
sufficient interaction of the cutters
under the prevailing stress regime.
- increased stiffness of cutterhead to
avoid deflections resulting in unsuf­
ficient transfer of the higher thrust
force in the gauge area.
• For increased stress in gauge area requires
higher thrust force, which itself results
in higher contact pressure, quality of

 cutterrings and bearing capacity of cutter
must be increased to withstand the loads
without excess reduction of lifetime and
consequently higher exchange rates.
Here developments with new materials
and multiple-step heat treatment showed
encouraging results (GEHRING, 1994).
Cutter wheel rotation
Principally the cutter wheel torque of a
TBM is dimensioned to overcome the sum
of rolling forces of the individual cutters
on the cutterhead.
The rolling force of a cutter is governed
by its depth of penetration and under
normal operational conditions no problems
will occur. Also increased friction between
cutterhead and face, for instance by coarse
muck, are not able to stall a cutterhead
with sufficient torque.
But what's about the cumbersome stories
about cutterheads actually stucked ?
Some of these events are caused by running
into fault zones with loose, soil-like material
and shall not be discussed further.
For the subject discussed here, stalling
events caused by rock pressure are the
question. In this case stucking is a result
of deformation of rock mass. Although the
immediate area at - or shortly behind - the
face is less effected by the rearray of the
stress field, for the face provides a
"stiffening" member for the stressed area,
deformations occur. As long as the TBM
advances or even over shorter standstill
periods the deformation rate will not cause
critical conditions, but longer standstills
may result in overcritical deformations as
well in the face as also in the transition
zone between face and tunnel vault - the
gauge area of the cutterhead.
To get an idea about the amount of the
problem, an approximation may help.
An example for the torque demand of a
47
TBM in relation to penetration rate indicates,
that torque shows an overproportional
increase (Fig. 5).
Figure 5. Torque demand of a mM for different values
ofpenetration (Boring diameter approx. 5 m)
Having the wheel stalled and no possibility
to retract the cutterhead will result in a
deformation of the face towards the cut­
terhead with effects comparable to a cut­
terhead penetrating the face.
Starting from a plain face - cutterhead
rotation has been stopped at a value of
zero penetration - will demand an average
deformation of the face in excess of approx.
14 mm to exceed the stalling torque cha­
racteristical for a TBM of this diameter.
This case can also apply, if the cutterhead
is on purpose kept in close contact with
the face to assist face stability.
In case of sudden stop of rotation - by
whatever reasons - the admissible defor­
mation of the face is much lower for the
cutters are not in postion of zero penetra­
tion. Assuming the example of a rock with
U.c.s. of 100 MPa, such deformations of
several mm can occur quite quick at high
stress conditions.
Such conditions do not cause major pro­
blems in most cases, accidential stoppages
of the cutterhead do not cause stalling; for

• retracting of the cutterhead is possible,
• backloading cutters can be disassembled
- mainly in the face area - to turn the
cutterhead free.
While these are more or less common
attributes of a TBM, some new develop­
ments can help to make such situations
even less critical, mainly if high deformation
rates have to be expected:
• the use of special pole-changing motors,
which allow - when equipped with a
switch gear - maintaining of the full
power also at the lower speed level and
accordingly rising the torque. The latest
ALPINE ruNNEL BORER ATB 35-S deli­
vered to Korea is equipped with four
160 kW-motors and can be operated
with 10 rpm and 5 rpm alternatively.
With a max. break-away torque of 1200
kNm also adverse conditions can be
overcome (Fig. 6).
Figure 6. ATB 35-5, cutter motor assembly
• the use of frequency-controlled cutter­
motors can fulfill the same purpose
within a certain range of speed control.
One future development - not only, but
also for this task - can be the application
of a front gripping unit, which can be
pressurized during standstill periods to
48
form an "active" front abutment of the
longitudinal ground arch in order to reduce
the abutment stress acting on the face and
keep consecutively deformations at a low
level.
That this measure assists face stability, is
another important aspect.
Advance of TBM
General
While the points up to now are primarely
- but not only - attributable to open TBM's,
shield tunnelling under rock pressure
conditions is inevitabely married with the
problem of impeded shield advance.
Rock pressure resp. the deformation caused
by it leads to high loads on the shield's
surface, the installed thrust force is defmitely
not able to advance the shield any more.
While for an open TBM the conditions for
standard tunnelling apply, the mechanisms
in shield tunnelling are somewhat different.
Of greatest importance is not so much the
defmite stress, which then forms the bearing
load of the support, but the potential stress
occuring in the area of the shield skin.
Due to the known stress relocation and
deformation rates a continuous advance
of a shield - without interruption - will be
pOSSible in any case, but cannot be main­
tained in practice.
There are as well
• operational interruptions of advance
(e.g. for cutter change) as also
• unpredictable interruptions (e.g. break­
downs, unexpected adverse geological
conditions) to be considered. For the
actual prevailing conditions - as far as
known - a "worst-case-scenario" must
be the base for shield layout, but can
also lead to the decision, that the risk
of TBM-application will be too high.

Thrust force demand of a shield RockIsoUIype J1R J1A

resp. shield type

For shielded TBM's operated above the rock. pavel 0.4·4.45 0.25·0.30
dry 10 wet
ground water level the highest influence
on thrust force results - as above mentioned sand. sill 0.45·0.50 0.35·0.40
(Iiuleclay)
- from the friction between shield skin and
ground - and this portion of the thrust clay, clayey silt 0.55 0.30·035

force is directly influenced by rock pressure.

rock and soil 0.20· 0.25 0.15

highly permeable

(with use ofbentoo.itc)

It can be approximated as follows:

rock and soil, 0.15·0.20 0.10

linle permeable.

Fvf = [2 (av + ah) . L. D + W] . Jl (1) (with use of bentonite)

with Table 3. Friction coefficients shield skin - ground for

different ground and operational onditions
(/lR = at rest, /lA = moving shield)
Fvf = frictional resistance on shield skin (kN)

0v = vertical pressure on shield skin (kN/m2)

Oh = horizontal pressure on shield skin (kN/ m2)

L = Length of shield (m)

o = Shield diameter (m)

It must be assumed, that in soil after longer
W = Weight of shield (kN)
standstill periods the full values of av and
/.l = Friction coefficient shield - ground
~ will act on the shield skin. Fig. 7 shows
an example of thrust force requirement
Shield tunnelling in soil due to frictional resistance under the stated
conditions.
For soil the a.m. equation can be adapted
by using:

av = H red . Yn (2)

with

Hred = reduced acting height of overburden

acc. to TERZAGHI (m)

Yn = natural density of soil (kN/m 3 ) Figure 7. Example for development of required thrust
force with increasing height of overburden (soil)

and
It gets evident, that the thrust force will
an = av .K (3) approach a certain limiting value assym­
ptotically. Assuming the laws of soil me­
with chanics a sufficient definition of required
thrust force is possible only by considering
K ranging from Ka to Ko ace. to relevant the external loads. A certain restricted
conditions (normally Ko is used) influence of shield stiffness, which defmitely
acts as the "load-sharing" factor, can be
Values for Jl be are shown in Table 3. neglected in the stage of system layout.

49

Shield tunnelling in rock tion and/or by disaggregation, both features

Even if fully elastic and stable behaviour
of the rock mass is anticipated, at full
contact between shield and admitting no
radial deformation Conly for theoretical
assumptions) theoretically the radial stress
will at quite shallow depth exceed the
thrust force capacity of a shield (Fig. 8).
contributing to the load exerted on the
shield. The following situations can occur
until the shield has passed by:
• Rock deformation less than overprofile,
vault remains stable - no problems.
• Rock deformation generally less than
overprofile, but partly dissagregation,
mainly of the roof rock - the potential
additional weight will have to be consi­
dered.

• Rock achieves contact with shield, the

load to be overcome depends on time
and type of reaction. This is the actual
field of TBM-tunnelling under real rock
pressure.
Figure 8. Contact pressure shield-rock under elastic
conditions
Values of pressure and deformation will
not be discussed here, for they will highly
depend on the geotechnical, operational
It gets evident, that with sufficient appro­
and geometrical conditions.
ximation for a given radius the value for
The only precondition for the following
radial stress between shield and rock is
considerations shall be: A shielded TBM
only governed by the Poisson-ratio in this.
of normal design and with powering ace.
But when this stress will occur?
to standard demands cannot cope any
It is well known, that all relocation of the
more with the increased pressure and is
stress field around a tunnel is a time de­
endangered to get stuck.
pendend process and Fig. 8 evidences the
Some solutions, already proven or to be
conditions of the definitely reachieved
still experienced shall demonstrate the
equilibrium.
range of facilities.
For conditions of TBM-tunnelling this state
For the shield length contributes direct
can only be understood as the ultimate
proportional to thrust force requirement,
worst case. At a preset "support resistance"
solutions with highly reduced shield length
provided by the stiffness of the shield skin
or even without shield skin can help, if
and at a time before reachieving equilibrium
the expected range of pressure will not
also the stresses will be considerabely
exceed the bearing capacity of the shield
lower.
and of the lining placed shortly behind
In practice TBM-tunnelling in rock will not
the face.
be done without a certain overcut, which
One example, a tunnelling system without
has to provide for steerability, but also
shield skin, but the ability to place segments
allows a certain stress release, before the
immediately at the face, has been under
contact rock - shield skin is reachieved.
operation for the freshwater tunnel in
During this period the surrounding rock
Cassino in Italy (Fig. 9).
will react due to ist behaviour by deforma­

50

Figure 9 . Tunnelling machine without shield, Project
Cassino, Italy
In the heavily sheared formation of the
"argille scagliose", (this formation forms a
nightmare to Italian tunnellers), which in
addition showed (WALLIS, 1991) high
horizontal tectonic stress, this system was
able to drive more than 1000 m and fmalize
the project with an average advance rate
of approx. 5 m/day.
The same principle, but incorporating a
short shield skin propelled by telescopic
thrust jacks is now under negotiation for
driving tunnels in a Canadian uranium
mine (Fig. 10).
Figure 10. IBM with special short shield skin
Here highly altered graphitic metapelites
form the hard rock of the deposit. At a
depth of approx. 450 m a system of de­
velopment galleries will have to be driven
using this system. The diameters will be
3,9 m respectively 5,1 m. Again compara­
bely high horizontal stress aggravates the
conditions.
51
To reduce the necessary thrust force resp.
to split it - is the philosophy of the blade
shield. Here the shield skin is divided into
blades, which can be advanced separately,
while transferring the reactive forces to
the neighbouring blades, which themselves
are under frictional contact with the sur­
rounding rock. One example shall demon­
strate the facilities of this system:
For driving 1,8 km of pilot tunnel for the
Freudenstein railway tunnel in Germany
formations of the "Leached Gipskeuper"
with a high swelling potential had to be
tackled. Here a blade shield with cutterhead
has been used (NN, 1985). To avoid excess
pressure on the blades the plates are
equipped with spreading jacks, which
allow active application of radial pressure
as well as consecutive pressure release of
the entire blade ring (Fig. 11).
Figure 11 . Blade shield with spreadable plates, Project
Freudensteintunnel, Germany
The shield was used in combination with
an in-situ-concrete shell placed behind a
relocable segmented shuttering. For no
thrust force is induced into the concrete
shell, the shuttered length can be kept
short in this case.
This blade shield incorporates one feature,
which can also be seen as a possible
solution for an undivided shield skin.
Assuming, that the design of the shield
skin resp. its rigidity is able to withstand
the occuring rock pressure, even a com­

parabely little radial relaxation results in
a stress release, which will admit advance
of the shield, although if the original value
of "contact" pressure was too high to be
overcome by the installed thrust force .
By inserting a spreading link into the shield
skin, such stress release can be effected
(Fig. 12).
Figure 12. Relaxable shield skin, system drawing
Due to design demands this spreading link
shall be installed only into the main shield
body, the shield tail will be equipped with
a narrow gap to avoid obstacles for placing
of the segmental lining.
Interaction TBM-lining
All considerations up to now delt mainly
with the interaction TBM respectively its
shield and the surrounding pressurized
rock. But all these considerations have
definitely to be seen under the aspects of
a finished tunnel.
Application of TBM's in rock mainly toge­
ther with segmental lining are assisted by
a number of advantages:
• retarded start of stress location and
consequent deformation process due to
smooth excavation process,
52
• clear defmed length of open span, ranging
from the face to the foremost segment
in full contact with the surrounding
ground,
• high advance rates, which open the
chance to "overhaul" the deformation
process and operate the TBM in less
endangered conditions.
But it is evident, that the problem is not
the TBM advancing ace. to schedule.
The main problems under high rock pres­
sure are originated by two principal and
quite similar facts:
Both the shield of the TBM and the lining
- if segmental lining or in-situ concrete are
applied - form very stiff and rigid structures,
which will attract high contact pressures.
Now comes the difference:
The TBM is not a "final support", so the
factors time and controlled deformability
will - if properly adopted - allow a solving
of the resisting problems.
Under high rock pressure the design of
the lining will have to govern the solutions.
Segmental lining can be dominating due
to ist high potential of mechanization - but
definitely the following counts for any
lining behind a TBM in pressurized rock:
The equilibrium, which proVides a safe
and long lasting tunnel, must be provided
by the lining - and so consequently behind
the TBM.
How and to what extent the design of the
TBM of the future is influenced by this
fact, depends definitely on the demands
put on it by the individual solutions to
cope with the lining problem in pressurized
rock.
CONCLUSIONS
It was the aim of this paper to deal with
main aspects of interaction between a TBM
and rock under significant pressure.

The most important features of interaction
between TBM and pressurized rock mass
have been discussed and some solutions
on the items excavation, cutterhead and
shield skin have been presented.
As a TBM manufacturer we are used to
start thinking at the face - here also the
TBM begins - but to built a machine which
can cope with conditions of high rock
pressure - we also need the imput resulting
from the interaction between lining and
rock mass even far behind the face and
sometimes after a couple of month. Here
we have to ask for the necessary inputs
from the specialists in this field and for
the TBM must proVide the capability to
match with the demands set up by a lining
method able to cope with the expected
pressure conditions.
LITERATURE
Egger, P : Einflufl des Post Failure­
Verhaltens von Fels auf den Tunnelbau
Ver6ffentlichung des Inst. fur Bodenmecha­
nik und Felsmechanik der Universitat Karls­
ruhe Hejt 57, Karlsruhe 1973
Ewy, R.T Cook, NG. W: Deformation and
fracture around cylindrical openings in
rock, I. Observations and Analysis ofdefor­
mations Int.]. Rock Mech. Min . Sci 27,
(990) pp. 387 - 407
Gehring, K.: Leistungs- und verschleijSprog­
nosen im maschinellen Tunnelbau, Paper
presented at Geomechanik-Kol!oquium
Salzburg, 1995 (to be published)
Gehring, K.: Experience with TBM­
application under extreme rock conditions
in a South-African project leads to develop­
53
ment ofhigh performance disc cutters Proc.
7th Int. Cong. Int. Ass. Eng. Geol. Lisbon
1994, Vo!. 6, pp. 4243 - 4253
Guenot, A.: Spannungs- und Bruchbedin­
gungen um Erdolbohrungen Proc. 6th Int.
Congr. ofRock Mechanics, Montreal 1987,
Vol. 1, pp. 109 - 118
Kastner, H: Statik des Stollen- und Tunn­
elbaus, 2. Aujlage Springer- Verlag Berlin,
Heidelberg, New York, 1971
Muller, 1.: Der Felsbau, Dritter Band Tun­
nelbau Verlag Enke, Stuttgart, 1978
Seeber, G.: Bemessungsverjahren fur Siche­
rungsmaflnahmen und die Auskleidung
bei Anwendung der neuen osterreichischen
Tunnelbauweise
Straflenforschung, Hejt 133, Wien 1980
Terzaghi, K.: Theoretical soil mechanics,
5th ed. Chapman & Hall, London 1948
Wallis, 5.: Non-Shielded IBM holds squee­
zing clay in check, Tunnels and Tunnelling
1991 0), pp. 50 - 52
NN:
Freudenstein- Tunnel, Erkundungsstollen,
Los 2
Information edited by Hochtif!f AG, Essen,
1985.

LATEST DEVELOPMENTS IN MECHANISED
TUNNELLING TECHNOLOGY
Martin Herrenknecht 1
ABSTRACT
The company Herrenknecht GmbH has
been designing, building and carrying out
research and development programmes
for tunnelling machines since 1977. The
first machines were excavators and road­
headers and these were followed by micro­
tunnelling machines, Mixshields and TBM's
which are now being used all over the
world.
The presentation will focus on the latest
developments in the field of mechanised
tunnelling. Mention will be made of sur­
veying and guidance systems in the field
of microtunnelling, vacuum erector, stone
crusher, injection through the tailskin, seal,
drive unit, semi-automatic operation for
Mixshields , etc. Since the success on the
jobsite Grauholz in Switzerland, the demand
for data-recording systems has greatly
increased for man-sized tunnels, too.
The future belongs to the semi- or fully
automatic tunnelling machines. However,
economical aspects will always have to be
considered. In any case development will
make work more humane.
INTRODUCTION
To make it easier for you to follow the
general development of the techniques, I
would like to divide up my expose into
the following sections:
1
Dipl.-Ing. (Mech. Eng.), Herrenknecht GmbH, Schwanau, Germany
55
a) Microtunnelling machines
b) Mixshields
c) TBM's
d) Data-processing systems
e) Future developments
a) Mechanical development of
microtunneUing
The development and use of non-accessible
pipelines began in Germany in 1978. This
was due mainly to private enterprise,
subsidised by state and local institutions.
The Ministry for Research and Technology
finances research programmes for the
development of steerable tunnelling systems
which I will mention in the course of my
expose.
In 1983 Herrenknecht GmbH started to
work on a research and development
programme entailing the design of a ma­
chine system, which should be ready for
use and meet the following requirements:
- Remote controlled driving of diameters
between 300 and 1.000 mm.
- Steerable tunnelling (that means easy
handling).
- As far as possible unlimited lengths of
tunnelling.
- Tunnelling methods which do not depend
on the type of soil or on ground-water
levels.
- Smallest possible dimensions for the
launch and reception shaft.
- Vertical precision of +/- 30 mm.
- Horizontal precision of +/- 50 mm.
- Hydraulic transport of material.
- Can be used in ground-water conditions.
- The addition of a stone-crusher should
be possible.
Demands made on a microtunnelling
system
When carrying out underground tunnelling
operations, there are many requirements
and side constraints which must be taken
into consideration when deciding on the
type of machine to be used.
There requirements depend on the type
of work to be carried out, the underground
conditions and geometric dimensions of
the tunnel to be built. The following indi­
vidual requirements can be in complete
contradiction to one another and, therefore,
it is necessary to decide which are the
most relevant in each individual case.
Demands made on the excavating
equipment
- The necessity of excavating the ground
and any other obstacles - without lo­
wering the ground water level.
- The possibility of cutting larger diameters
(with the same machine).
- The necessity of breaking down the
material to a size which can pass through
the cutterhead and be transported out
of the machine.
- The possibility of cleaning the tunnelface.
- The possibility of driving on complete
stretch without the need of maintenance.
56
Surveying and steering
The surveying and guidance system should
fulfil the following requirement:
Suroeying
- Exact spatial attitude measurement of the
foremost part of the machine (shield or
machine-can) in view of possible devia­
tions from the desired axis (longitudinal
or lateral inclination).
- Resistance to external influences such as
humidity, vibrations, heat, etc.
- The possibility to carry out the survey
even when there are deviations from the
route traced, extreme rolling of the ma­
chine or long stretches to be driven (that
is greater than 200 m).
- Trouble-free recording and transmission
of the measuring data.
- Uninterrupted recording of the values
and indication of these at the control
console.
- The position of the machine should be
simple and easy to understand.
Steering
- Good directional stability and accuracy.
- Possibility of driving curves.
- Precise execution of control commands
and the possibility of precise correction
of these commands.
Possibilities of use
Possible uses of microtunnelling techniques
Nowadays remote-controlled tunnelling is
used in all fields of pipe-jacking

Where - sewers
- stormwater drains
- mixwater sewers
are concerned, the pipe which is jacked
is usually the product pipe itself.
Where - long distance energy
- gas
- water
- electricity
- telephone lines
- target and probe drilling in big
tunnels
are concerned, the pipe which is jacked
is usually a protection pipe.
Special uses of microtunnelling techniques
a) USA Atlanta
The driving 0 twin tunnels under a
highway with very little soil cover 0.2
m). For these tunnels an AVN micro­
machine was used for pipejacking the
pipe arch supports.
b) Fahrlach tunnel
Precise driving of 2 roadway tunnels,
with a length of 180 m each, under the
main railway station in Mannheim in
groundwater. The target drillings were
made with a retractable AVN 300 and
used as ground freezing pipes.
c) Drinking water tunnel in the USA
Drinking water tunnel in an inland lake
with no reception shaft. 13 m deep
using and AVN 600 rock cutterhead.
d) Europipe - pipejacking record
Was driven at Europipe with the
company Statoil
Tunnel length: 2.600 m from 1 shaft
57
Summary
With today's machines, it is possible to
achieve tunnelling performances of up to
40 m per hour. The average performance
is 12 to 25 m per 10 hours.
The use of compressed air is no longer
necessary in groundwater and this has
made tunnelling operations considerably
easier.
It is no longer unusual to build tunnels
with a length of 150 m by the pipejacking
method, but most are between 60 and
120m.
In the near future the possibility of driving
curves over distances of more than 200 m
and dimensions of more than 1.000 mm
will no doubt increase substantially. We
have already made practical experience
on jobsites in Berlin, the Netherlands, Italy
and Germany.
Very recently a certain number of service
containers have been mounted on trailers.
This optimal mobility, the minimal instal­
lation time and the independence from
the public electricity supply or other sources
of energy by installing a diesel aggregate
to produce electricity is an economical
alternative for short-distance operations in
comparison to open-trench operations.
Manufacturer of tunnelling machines know
that the positive development of this branch
is only possible if we work hand in hand
with the contractors, the clients, research
centres and universities.
b) Mixshields
Until 1983 mainly hydroshields were used.
They were constructed on the basis of the

Wayss & Freytag patent with air-cushion
and bentonite-supported tunnelface. Due
to the difficult types of geology and the
widely varying types of soils encountered
in tunnelling operations, we worked toge­
ther with Wayss & Freytag in order to find
a solution to solve these problems. This
was how the Mixshield was born.
Requirements:
1. It must be possible to use a machine as
- a bentonite shield
- an earth-pressure shield
- compressed air shield
- slurryshield and TBM.
2. The change from one to the other must:
- take place in the tunnel
- take little time
- be economical.
3. The machine must be made up of one shell
- less risk of the machine weighing
down.
4. The machine must be safe to operate.
5. It must have a high performance.
In my opinion, there are too many discus­
sions about what type of shield should be
used. As an engineer I find it is enough
to study the geological data and let the
facts talk for themselves.
Experience in Taiwan, China and Japan
shows that the EPB-machines are being
used with great success. Taipei in particular
has proved that the principle of plastifying
the ground in the excavating chamber is
a good solution. It has been sufficient to
add less than 1 % water to plastify the
small-graine soil.
58
Unfortunately, attempts have been made
to use EPB-shield in Europe in operations
where it made no sense. Therefore, the
failure of these projects was easy to foresee.
In order to give you an idea of our range
of mixshields, I would like to quote some
examples:
1. Mixshield HAMBURG-HERA, Germany
(0 6.0m, tunnel length 7.3 km, maximum
tunnelling performance 24 m / day)
2. Mixshield SEVERES-ACHERES PARIS,
France
3. Mixshield METRO DE LILLE, France
4. Mixshield TRAMWAY DE STRASBOURG,
France
5. Mixshield CLICHY-LA-BRICHE PARIS,
France
6. Mixshield METRO DE LYON, France
7. Mixshield in MULHEIM, Germany
8. Mixshield GRAUHOLZ, Switzerland
9. Mixshield ESSEN, Germany
10. Mixshield DUISBURG, Germany
11. Mixshield VALENCIA, Spain (EPB shield
with foam injection)
12. Mixshield CAIRO, Egypt
13. Mixshield SYDNEY, Australia
Cutterwheels
in France: - closed cutterwheel
in Germany: - closed star-shaped
cutterwheel
- stone crusher
- microtunnelling machine
in the centre
- tunnelface support
Novelties: - Vacuum erector 70 to 150 data can be recorded and printed
- Stone crusher every 2 seconds. This has greatly improved
- Injection through tailskin the general knowledge of geology, opera­
- Seal ting and automation of the machines.
- Drive Unit
- Semi-automatic operation
- Seismic surveying ahead of e) Future developments
the cutterwheel
On big jobsites such as the Channel Tunnel,
c) TBM's Railway 2000 and the projects for the de­
Enormous progress is being made at the velopment of the environment concerning
present time in the field of TBM's. Tunnel­ the use of sewers, underground railways,
ling machines are being developed and e.g., the entirely mechanised tunnelling has
built that can deal with a wide variety of undergone substantial changes.
successive soil types.
There are important projects in Europe, in
For the moment, I would like to concentrate Asia, in the United States and in Australia.
on one machine, the TBM that is being In order to carry them out successfully,
used in Switzerland and which we partly the construction industry requires sturdy
built in co-operation with Robbins. and reliable machines equipped with an
electronic and an automised system.
Joint Venture Bbzbergtunnel
outer diameter 0 11 .87 m The future belongs to the semi- or fully
automatic tunnelling machines. It is already
Joint Venture Mont Russelin
outer diameter 0 11.80 m possible to control a tunnelling machine
from a jobsite office - this has already been
Joint Venture Sachseln proved in Strasbourg.
outer diameter 0 11.70 m
Joint Venture Les Vignes Full automation is continuing to develop.
outer diameter 0 11.77 m We are already working on jobsites with
Joint Venture Adlertunnel automatic steering of the slurry circuit and
outer diameter 0 12.53 m trace-dependent steering. In the same way
we are now working on the automatic
Joint Venture Pomy
outer diameter 0 11.66 m positioning of water-tight concrete seg­
ments. Seismic-surveying is in use.
Arrissoules
outer diameter 010.90 m I am convinced that in co-operation with
the contractors and the Joint Ventures
world-wide, we will have made further
d) Data recording substantial technical progress by the be­
Since the success on the jobsite Grauholz ginning of the 21st century.
in Switzerland, the demand for data­
recording systems has greatly increased. This will also make the work in itself more
What has long been in routine use in pleasant and contribute to making a good
microtunnelling has now been adopted working atmosphere. We will achieve this
for man-sized tunnels, too. ApproXimately together. Thank you for your attention.

59
TBM TUNNELLING UNDER HIGH OVERBURDEN
WITH YIELDING SEGMENTAL LININGS
EUREKA PROJECT EU 1079· "CONTUN"
S. Strohhaus/ 1
ABSTRACT
Tunnel excavation with a tunnel boring
machine (TBM) in conjunction with a
watertight onepass lining consisting of
reinforced precast concrete elements has
proven to be an effective and economic
tunnelling technique for long tunnels in
shallow overburden. Within the last decade
this method has been applied in the biggest
tunnel projects such as the Channel Tunnel,
the Boston Outfall Tunnel or the Great
Belt Tunnel. Shielded tunnel boring ma­
chines have been used under soft ground
conditions as well as under hard rock and
mixed ground conditions.
For the application of this successful tun­
nelling technique under high overburden,
e.g. for construction of transalpine tunnels,
enormous rock stresses and water pressure
have to be considered. By deformations
the initial stress conditions are changed
and arching effects are produced around
the opening. Because of this so called "self
bearing capacity of the rock mass", the
excavated cavity can be stabilised by the
tunnel support. Since conventional seg­
mental linings are stiff structures, which
already allow almost no deformations, new
developments must be performed to gua­
rantee sufficient deformability and the
stabilisation of the tunnel. Similar to the
segmental lining, the tunnel boring machine
has to be deformable to prevent from
getting stuck. Waterproofing gaskets also
1
Dipl.-Ing. , D2 Consult, Linz, Austria
61
have to be adopted to the changed condi­
tions to proVide a dry tunnel.
The international EUREKA project "CON­
TUN" aims at the development of such
deformable TBM's and linings together
with a suitable sealing system. Austrian
consulting company, D2-Consult is respon­
sible for the co-ordination and the develop­
ment of the deformable lining system,
German TBM supplier Herrenknecht works
for solutions for deformable tunnel boring
machines, while German company Phoenix
and Swiss company Datwyler deal with
development of new gasket types.
INTRODUCTION
Shield tunnelling originates from inner-city
tunnel construction and river crossing
tunnels and has been already used for
more than 100 years. First shield construc­
tions were open face hand mined shields
which were later equipped with excavator
machines and finally with cutter wheels
with the same diameter as the tunnel
diameter. Excavation work and lining in­
stallation is performed in the shield. The
shield is pressed against the tunnel face
with hydraulic jacks installed in the shield
in a longitudinal direction and pushing out
the tunnel lining. Parallel to shield tunnel­
ling for hard rock conditions tunnel boring
machines (TBM) with cutter heads equip­
ped with role chisels were developed.
These machines were predominately used

for water tunnels of hydropower stations
or pilot drifts for investigation reasons. The
force against the tunnel face, which is
necessary for excavation procedure, is
made by bracing of plates against the rock
perpendicular to the tunnel axis. Tunnels
excavated by a TBM are usually supported
according to the principles of the New
Austrian Tunnelling Method (NATM) with
shotcrete, bolts and steel arches or by a
steel support. To increase the practicablen­
ess and the safety shields and tunnel boring
machines were combined. Such shielded
tunnel boring machines can cope with
very different underground conditions from
hard rock to soft soil.
After decades of using shielded tunnel
boring machines (TBM) with segmental
linings especially the last years have brought
many new developments for higher usabi­
lity, quality, effectiveness and safety of this
tunnelling technique. By the invention of
Slurry Shields and Earth Pressure Balance
Shields even water-saturated, loose soil
can be handled. Cutterheads can be equip­
ped with tools for rock or soil or both. By
the use of gap grouting immediately behind
the shield tail underground deformations
can be controlled. Modern precast element
technologies keep segment tolerances
lower than 1 mm. Precise segment produc­
tion together with modern gaskets and
accurate installation guarantee watertight
tunnel lining with a high durability and
low maintenance costs.
Due to its low deformability, until now
TBM tunnelling with segmental lining could
be only used for tunnels in low overburden.
In the course of the EUREKA project Contun
EU 1079 deformable shields with a variable
cutter head diameter will be developed
together with deformable monopass linings
and suitable gaskets to apply this tunnelling
method with its advantages like high safety,
62
high progress rate, high quality and low
construction and maintenance costs also
for tunnels in high overburden. These new
developments will be for the benefit of
the construction of transalpine tunnels as
well as for other big tunnelling projects
under mountains and in high overburden.
PROJECT STRUCTURE
The concrete project is divided into two
phases. A theoretical phase to define the
targets of the actual development which
is the content of the second phase.
Phase 1 of this project contains the prepa­
ration of rock mechanical principles for
rock masses under high overburden taking
time dependent stiffness and deformation
behaviour into consideration. This part of
the project is based on the evaluation of
a collection of data from TBM driven
tunnels (Tunnel Boring Machine) under
rock conditions. The results are used as
input for a Finite Element AnalYSis of the
behaviour of TBM driven tunnels supported
by a monopass segmental lining in high
overburden . These investigations shall
result in the mechanical stress of rock
masses and lining and its deformation, and
take into consideration the mechanical
properties of the rock masses (rock class),
the overburden, the TBM concept, and the
properties of the monopass lining.
The results of this analysis will be used
for Phase 2 of the project, which contains
3 different parts, each of which need to
be developed further for mechanised tunnel
construction with a monopass lining in
high overburden conditions, with high
rock and water pressure, changing rock
conditions and high deformations. These
3 fields are dealing with the TBM, the
monopass lining System, and the Sealing
Structures for the lining and the TBM.

 PREPARATION OF BASES FOR

ROCK MASSES IN HIGH OVERBURDEN

COLLECTION OF TUNNEL DATA

FE • ANALYSES CONSIDERING

GEOMECHANICAL AND TUNNELlNG

PARAMETERS

STRESSES AND DEFORMATIONS

AS BASIS FOR DEVELOPMENT

MACHINE LINING SEALING

DEVELOPMENT OF TBM'S WITH

DEVELOPMENT OF DEFORMABLE
DEVELOPMENT OF GASKETS FOR

VARIABLE CUITING DIAMETERS

ELEMENTS FOR LONGITUDINAL JOINTS
DEFORMABLE SEGMENTAL LININGS

DEVELOPMENT OF SHIELDS
DEVELOPMENT OF DEFORMABLE
INTEGRATION IN

FOR HIGH DEFORMATION

GAP GROUTING MATERIAL
PRECAST ELEMENTS

MOOIFICATION OF CUITER HEAD

MODlACATION OF BOLTS,

FOR THREE-DIMENSIONAL
DOWELS AND RODS FOR

HIGH PRESSURE CONDITIONS

SEGMENTAL LINING JOINTS

SEALING SHIELD - LINING

DEVELOPMENT OF

DEFORMABLE ANCHORING

Figure 1 . CON7VN -project structure

63
The lining System is based on a precast
element, circular tunnel lining system,
developed by D2-Consult, which consists
of precast concrete segments with rhom­
pOidal and trapezoidal shape. The lining
for tunnelling under high overburden must
have the ability to undergo deformations
without loss of integrity. These deformations
result in a reduction of the rock pressure
by help of the self bearing capacity of the
rock masses. The deformability will be
achieved by using elastic paddings of steel
or rubber profiles in the longitudinal joints
and deformable grouting materials for
shield tail grouting.
TBM's have to be developed which are
able to change the bore diameter and to
allow deformations of the rock without
getting stuck. These machines must be
capable of operating in a closed mode that
prevents an uncontrolled inflow of water
and mud from the face into the tunnel.
The third part deals with the development
of Sealing Structures which are able to
seal tunnels from uncontrolled infiltration
of water at very high pressure. These
gaskets must be capable to allow deforma­
tions of the tunnel lining.
THEORETICAL BASIS
The material Rock is a medium which
normally consists of strata or faults. This
inhomogenious structure is the reason for
the unisotropicity of the material properties.
Rock shows an elasto-plastic stress-strain
behaviour. Formulation of suitable methe­
matical models to describe rock masses is
difficult. The "Hoek & Brown" failure
criteria is well-known and often used for
description and estimation of the strength
of rock. This failure criteria is an important
formula for the estimation of the principle
stresses.
64
SI =S3+~VmxSc+SxS~
SI...principle stress
S3.. .principle stress perpendicular to
m, s ...semi-empiric material constants
SC"" . unaxial compressive strength
On the basis of former experiences gained
in tunnel projects under high overburden
for the first approach a hydrostatic stressed
distribution according to the weight of the
overburden is taken for the initial state.
The unaxial compressive strength of rock
is a material property which can be easily
achieved from drill probes and is known
for different geologic formations from
former tunnel projects. The empirical ma­
terial constants m and s are estimated
according to Hoek & Brown in dependence
of the rock quality class and the material
constants. For estimation of the border
conditions and for the calibration of the
results are data of tunnels excavated by
TBMs and under high overburden of in­
terest. Under these conditions in Middle
Europe mainly tunnels for hydropower­
stations were constructed. With this nume­
rical consideration and modelling of tunnel
drives under high overburden, a basis for
future designs with the new support system
shall be created and the prognosis of
problems shall become easier. Specific
parameters for the tunnel drive can be
optimised during the design phase of the
project. These parameters are
- Gap between tunnel lining and
excavationline
- Properties of the gap grout material
- Recommended excavation rate to
minimise the risk for the TBM of getting
stuck
- Recommended relation between
excavation rate and duration to install
the support

- Description of the deformation behaviour - Mechanical rock behaviour

- Safety of the tunnel lining - Time for ring installation
- Grouting pressure
The preparation of the tunnelling model - Plastic zones
is done taking the following border condi­ - Deformations
tions into consideration: - Tunnelling speed

- Excavation method
- Change of stress distribution in
dependence of time
- Mechanical behaviour of fissured rock
- Plasticity of the rock
- Rheological model for the rock
LINING
To allow deformations of a tunnel suppor­
ted by stiff precast concrete elements two
possibilities are taken into consideration,
which can be used together or alone.

- Simulation of the underground

- Simulation of the gap between lining and
excavation line
- Grouting material considering time
dependent setting behaviour
- Simulation of the function of the TBM

For the lining, shotcrete shells as well as

precast concrete element lining with diffe­
rent deformability potential are investigated
to compare conventional (NATM tunnelling)
and mechanised (TBM tunnelling) tunnel­
ling with segmental lining.

In a 3-D finite element analysis the follo­

wing load cases are investigated:

- Initial stress
- Stress reduction
Figure 2. Deformable segmental tunnel lining,
- Influence of gripper plates for detail see Fig. 4 and Fig. 7

- Grouting pressure
- Weight
- Jacks The first approach is the development of
deformable elements, which are installed
in the longitudinal joints of the lining. One
In numerical investigations the following possibility are closed plastic bodies with
data in dependence of the rock quality cavaties. These elements are made from
and diameter are calculated: the same material as the waterstop gaskets

65
and can be easily combined with gasket
frames as they are normally used in com­
bination with segmental linings. The me­
chanical properties of these deformable
elements can be stirred by the percentage
of cavaties in comparison with the element
cross section and by compressible fill
materials. For fill material Polyurethane or
light-weight concrete can be used.

Figure 3. Longitudinal joint with deformable rubber

element

Figure 4. Deformable rubber elements for laboratory Figure 5. Light-weight concrete is filled into rubber
tests specimen

Figure 6. Test arrangement - rubber element between concrete specimen

66
Another possibility for these deformable
elements is the application of steel pipes
in the longitudinal joints. These steel pipes
also work as guiding rods during the ring
installation. This solution is considered for
tunnels where the tightness of the lining
against water inflow does not play a big
role. Significant for this type of deformation
elements is the elastic behaviour and the
occurence of hinges at higher stress levels.
By these hinges on the side walls of the
pipes their circle stiffness decreases. The
stress deformation behaviour can be chan­
ged by the use of fill materials in the pipe.
Besides the stress-deformation behaviour
of these pipes can be influenced by the
shape of the longitudinal joints.
Figure 7. Longitudinal joint with steel pipe
By the use of compressible joint elements,
the amount of deformation shows the
actual stress conditions and the safety of
the tunnel lining.
The second possibility to obtain a deforma­
ble lining is the use of compressible gap
grouting materials. Besides a high deforma­
bility, these materials have to show all
properties of usual gap grouting materials,
like easy processing, pumpability and a
high stability of the material. For these
67
reasons and for economic reasons, light
weight concrete is considered. Its deforma­
bility depends on the content of cavaties.
Fundamental tests have shown that the
desired material properties can be achieved
with the usual concrete additives and
machinery. Concrete strength and deforma­
bility can be stirred with the content of
the additives during the preparation of the
fresh material. Therefore, it is possible to
react on changing rock conditions by
changing only the content of the additive.
Other components need not to be changed.
Also, the deformations during the design
phase and the water pressure have to be
considered. High water pressures, as they
may occur in high overburden, cannot be
supported by normal tunnel linings. The
water pressure the monopass lining is
designed for has to be limited to a value,
which depends on the failure load of the
lining and the chosen safety. For higher
water pressure, construction for reduction
of the pressure must be installed as it is
done in conventional (NATM) tunnels. In
analyses of the allowable limits for the
ground water pressure according to the
common safety standards for tunnelling,
the influence of the tunnel diameter, the
concrete strength, and the segment thick­
ness was considered.
Plastic dowels developed by D2-Consult
in co-operation with Poloplast Company
are used for guided ring installation. After
installation, these dowels take tensile and
shear forces and have an adjusting function
regarding different deformations of the
rings. Initial projects using the dowels have
shown the suitability and the benefits of
these dowels which can be used for de­
formable lining systems as well. Because
of the higher deformation rates of these
deformable systems these dowels have to
be modified to obtain a changed shear
behaviour.

Under difficult rock conditions, anchors REFERENCES

are of a very high importance for conven­
tional (NATM) tunnels. Also for mechanised
(TBM) tunnel drives with onepass lining
under high overburden the use of anchors
in weak and disturbed zones is considered.
Some deformable anchor types, which are
actually used, are investigated for their
suitability. An important sign of this CD
(controlled deformation) is the deformability
between the anchor plate and the rod to
prevent the break of the anchor head or
the failure of the grout material in the
anchor hole.
Wagner H (981): Grundlagen der Ent­
wicklung eines neuen Tubbin!!systems fur
Tunnel, Stollen und Schachte. Osterreichi­
sche Ingenieur-Zeitschrift.
Wagner H (994): New Technologies for
Underground Space Development - Towards
New Realities with NATM and IBM Tech­
nology. Civil Engineering for Urban De­
velopment and Renewal. Proceedings of
]SCE (Japanese Society for Civil Enginee­
ring), Yokohama.

SEALING Wagner H, Schulter A., Strohhausl S.

(995): Gleitsegmentefur jlache und tiefe
For the development of the sealing, the Tunnels. Proceedings of S7VVA Tagung­
load capacity and the deformability of the Stuttgart, pp 257-266.
ring must be considered. The limit of the
water pressure has to be dependent on
the load limit of the tunnel lining. This
limit pressure depends on the diameter,
the concrete strength and the segment
thickness and is shown in Fig. 8 for concrete
B45 and 1,0 axial force safety. As a result
of these considerations for short-term tests,
water pressure of about 20 bar are sufficient.
Higher pressures around the tunnel have
to be decreased by filter pipes or other
constructions.

Figure 8. Water pressure limit for concrete B45 and 1,0 axial force safety

68

OPERATIONS RESEARCH ASPECTS OF
TBM DRIVES - CASE STUDY OF THE
WIENERWALD TUNNEL
Hans Georg fodl l , Rainer Stempkowski
ABSTRACT
The design of the new high speed railway
Wien - St.P6lten has to go through the
environmental impact assessment. With
the hand-over of the environmental decla­
ration only one design has to be worked
out without any alternatives of the track
layout or construction method. The Wie­
nerwald Tunnel with the overall length of
12,9 km is one of the major sites of the
whole project because it is on the critical
path in terms of construction time and
costs.
Drivage of the tunnel can start at several
locations simultaneously. The methods
used are either the NATM or TBM or a
combination of both. Particularly the alter­
native M2A, the drivage with NATM and
TBM's, will be presented in detail.
Nature of the task is the determination
of the performance for the mechanised
drivage with TBM's. It is tried to get as
realistic values for the performance as
possible taking into account results and
calculation procedures published in various
articles and worked out in a thesis by
Stempkowski. Performance relevant para­
meters of the ground, machinery, and
labour are put into relation. The parameters
and relations should be simple and com­
prehensible. As result the net driving per­
formance is extended with the operating
1
O. Univ.Prof. Dipl.-Ing. Dr. techn. Hans Georg Jodl - Institute for Construction Operations and
Construction Management - University of Technology Vienna, Vienna/ Austria
2
Univ. Ass. Dipl.-Ing. Rainer Stempkowski (same institute)
69
2
rate of the TBM what finally provides the
construction time determining gross per­
formance.
INTRODUCTION
The term "operations research" is usually
taken for providing basic information under
the implementation of mathematical models
during the stage of the preparation of
decisions. In civil engineering it is mainly
the optimisation of the links of various
sections with the whole system.
For the given case a recommendation for
the environmental impact assessment con­
cerning construction method and construc­
tion operation should be worked out. The
estimation of costs in combination with
the comparison of alternatives is the basis
of the advise for the best construction
method, bearing in mind environmental
aspects and the economic point of view.
The final decision has to be made by the
client.
DESCRIPTION OF THE PROJECT
From a range of alternatives a choice using
NATM with cyclic drivage and a mixed
drivage using NATM and TBM from various
starting points was made. These two TBM
drives of the alternative M2A are the main
interests of this paper.

In general there are two possibilities of
driving this tunnel. One way is with the
intermediate start at Taglesberg and depo­
siting one part of the excavation at the
Taglesberg tip. Another way which is not
looked at in detail is without the interme­
diate face at Taglesberg and therefore
without the Taglesberg tip.
The Wienerwald Tunnel connects to the
Lainzer Tunnel at km 0,0 in Hadersdorf­
Weidlingau near the outskirts of Vienna.
The overall length is 13.125 m. The West­
Portal is close to the village of Chorherrn
at the border of the Tullner Feld. The
longitudinal gradient is constant with 0,28%
which gives an difference in altitude of
37,3 m.
The regular cross section of the conventio­
nal method has a clear width of 11,4 m
and a height of 8 m over the top of the
rail which gives a cross section area of
78,1 m 2 • The temporary lining is made of
shotcrete, wire mesh, girders and anchors
and has a depth between 15 and 40 cm.
The final lining has a minimum depth of
30 cm and is separated from the primary
lining with a waterproof membrane to
avoid leakage. The invert consists of shot­
crete and a watertight concrete arch accor­
ding to the geological requirements.
Taking these measures into consideration
the full section has about 120 m 2 . By
including the niches and over-excavation,
which is all together about 100/0 of the full
section, the excavation without loosening
gives 132 m 3/ m.
The single line tunnel has a circular cross
section and can therefore easily be driven
with a TBM. For a TBM driven tunnel the
following linings are possible:
• Dual lining with the clear width of 8,70
m and a height of 6,90 m above the top
of the rail, which gives a cross section area
of 50,7 m 2 above the track. The two layers
70
of the lining are separated with a waterproof
membrane. The primary shotcrete lining
has a thickness between 10 and 30 cm,
the final lining is concrete with a thickness
of 30 cm. This lining will not be realised.
• One layer lining with a clear width of
4,50 m and a height of 6,90 m above the
top of the rail which gives 50 m 2 . The
excavation diameter is 9,5 m . Watertight
precast concrete segments with a thickness
of 30 cm are built in all around. The
reduced thickness of the lining compared
to the dual lining system also reduces the
excavation to 72 m 3/ m.
Sealing stripes are used to make the joints
watertight. The gap between the segments
is 20 cm deep and has the function of a
drainage. The durability is improved by
filling the gaps with porous concrete. For
the areas of high rock or ground pressure
the gaps can be used to increase the
strength of the system.
To avoid high water pressure outside the
lining the crown has a valve system imple­
mented. In case of a water pressure bet­
ween 3 and 5 bar the valves open and the
water can escape through pressure pipes.
A lining without this valve system is not
taken into consideration because of the
expected pressures of 25 bar and more.
The technical and economic risks would
be too high.
The main site facilities are at Taglesberg
where the depositing area for the excavation
is located as well. From there the drivage
is carried out in two directions. To access
the main tunnel a 1240 m long access
tunnel with an excavation of 53 m 3/ m has
to be built. The access tunnel will later be
used for maintenance and as safety exit.
For mucking a separate mucking gallery
from the main tunnel to the dip with a
cross section area of about 14 m 2 has to
be built. The tunnel has a length of 350
m and an inclination of 30°. A belt conveyor
is the favourable solution for mucking
under this conditions.
GEOLOGICAL SITUATION
The basis for the determination of the
construction time and costs is the assign­
ment of the three main rock types to the
rock classification system according to
ONORM B 2203 from October 1994. A
geological prediction was prepared by
Prof. WeiB.
Undisturbed Flysh is classified as friable
(BI) or heavily friable (B2). In disturbed
areas like overlying rock boundaries and
imbricated structure boundaries flysh is
categorised as under pressure (C2) or when
dispersed as loose (B3).
The tectonical stressed Fracture Zone is
classified as heavily friable (B2) or squee­
zing (C2). The overthrust zone is classified
as loose (B3).
If the cover of the weathered Molasse has
a thickness of 50 m or more it can be
classified as heavily friable (B2) or loose
(B3), in case the cover is between 30 and
50 m it is loose (B3). When the cover is
less than 30 m it is categorised as yielding
(C4) because it needs ground improvement
to be able to drive a tunnel.
The geological forecast names three zones
along the 12,950 m of tunnel:
• hard rock - mainly bulky, hard sandstone,
boulders - four areas with an overall length
of 3,4 km (28,5%)
• disturbed rock - sandstone, marlstone,
marl, clayey marl, lumpy to heavily distur­
bed - five areas with an overall length of
7,3 km (54,1%)
• Molasse - one area with the length of
2,25 km (17,4%)
71
THOUGHTS FOR THE USE OF A TBM
The geological situation of the Wienerwald
Tunnel leaves the expectation of disturbed
zones not only in the unstable Molasse
and the fracture zones but also in the area
of the competent flysh zone. With the
available information no detailed statement
about condition and thickness of the di­
sturbed areas can be made. Therefore the
use of an open IBM cannot be recommen­
ded. From the present stage of information
a closed TBM with double shield would
be the best solution.
With a closed TBM two ways of driving
are possible. The gripper method uses side
brackets to push itself forward. In this case
it is necessary that the rock is continuously
hard enough to take the forces. For distur­
bed or irregular zones it is easily possible
to change to the ring method, where the
TBM always uses the last built in ring to
push itself forward.
This paper is related to the variation M2A
which represents one of several possibilities.
Variation M2A combines conventional
cyclic NATM tunnel drive with continuous
TBM drive in selected areas with proper
ground conditions.
 from km to km Length m Construction sequence
0,00 0,70 700 Double track tunnel, elastic bedded invert, cyclic drivage
0,70 1,65 950 Double track tunnel, cyclic drivage
1,65 2,07 420 Widening of the double track tunnel
2,07 7,90 5.830 Two parallel single track tunnels, TBM-drivage (total 12.080 m)
7,90 8,32 420 Widening of the double track tunnel, cyclic drivage
8,32 12,95 4.630 Double track tunnel, cyclic drivage
12,95 13,125 175 Double track tunnel, cyclic drivage

total -
13.125

-~-

Table 1. Constrnction sequences of Wienen.vald- Tunnel variation M2A

INFLUENCE PARAMETERS FOR should also have no influence on the

THE TBM feeding capacity.

Due to the limited knowledge of existing Support resistance of the rock

rock pressures and rock strengths all ope­
rational investigations have to be seen as
estimation. According to recommondations
made on request by Alpine-Westfalial
Dr.Gehring the following parameters have
to be determined:
Dimensional analysis of the shield skin
maximal overburden pressure, horizontal
stresses, additional pressures from the rock
deformation
Calculation of the feeding forces
maximal and average rock strength
Rock pressure
For the area of maximal overburden a
vertical and horizontal pressure at the
breakout of 750 kN/m 2 can be determined.
For the bad ground conditions the vertical
pressure from the overburden is taken
equal to that before, the horizontal pressure
is reduced because of the increasing cohe­
sion.
Additional pressures
It is supposed that with the calculated 750
kN/m 2 all pressures resulting from defor­
mation and swelling are included. Swelling
formation
With the use of the usual 17 inch discs
and the forward pressure of 200 kN per
disc a penetration of 12 mm per revolution
can be reached by a maximum axial rock
pressure of 100 MPa. The determination
of the penetration is stated below.
Feeding forces
After initial considerations a feeding force
of 90000 kN would be necessary. This
results in overcoming of the friction (74400
kN) and excavation (13000 kN).
Torque of the cutter head
The necessary torque for the cutter head
is estimated with 5400 kNm. Taking 5 rpm
gives an installed power of 2700 kW.
Tail and equipment
For the estimation of the costs concerning
the tail and equipment it is referred to
already used shields with similar diameters.
ANALYSIS OF THE PARAMETERS
INFLUENCING THE PERFORMANCE
For the determination of the driving per­
formance the considerable parameters are

72
investigated and put into mathematical
relations (operations research). A distinction
of the influence of the parameters of the
TBM, the rock structure and the boundary
conditions is made. The relations shown
below are only simplified and selected
representations of the field of the machine
related factors.
Rotational speed of the cutter head
The bearing and the sealing of the discs
allow for a speed of the cutter head that
conesponds to a disc speed of 150 m/min.
The rotational speed is in inverse proportion
to the diameter of the cutter head.

[QCncraI twmeI<iata I Unit I VAR. M2A I

--_ .. _ -­

twmelling length to drill by TBM m 12.080

part of depreciation cost through driving % 75
total calculated twmelling length by TBM m 16.107
construction time - driving time by TBM Mo 39
calculated commissioning time of the TBM Mo 52
total construction time of variation M2A Mo 58
rock classification I driving cla"ification distribution
mucking method track haulage
rate offeed m 1,50
installed power of cutterhead kW 2.700 Figure 2. rpm of cutterhead dependant on the tunnel
total installed power system kW 4.600 diameter

Table 2. Basic data ofTBM drive Wienerwald-Tunnel

for variation M2A
With a chosen rotational speed factor
fn=47,5 in a bandwidth of fn=45-50 and
with the diameter of the cutter head of
d=9,5 m the maximum revolutions can be
Number and shape of the disc calculated with:

In general the number of the single plate n = fn/d [rpm) [2)

disks N is by given boundary conditions
of the surrounding rock directly proportio­ n = 47,5/9,5 = 5,0 [rpm)
nal to the diameter of the cutting head d.
The function under consideration of the n max = 0,8 x n [rpm) [3)
bandwidth of 10 % is:
nmax = 0,8 x 5,0 = 4,0 [rpm)
N = 7,0 x d [pes) [1)
The drivage is usually not done with the
maximum possible revolutions. Therefore
the average revolutions have to be figured
out with 80 % of the maximum.

Torque of the cutter head

The torque of the cutter head can be

calculated using the sum of the rolling
Figure 1. Number of discs dependent on cutterhead resistants of the discs. A characteristical
diameter value is the factor for rolling resistance,

73
the relation of rolling force and feeding
force which is usually dependent on the
diameter of the discs and the penetration.
For the performance of the drivage the
torque of the cutter head can be approxi­
mated with:
during one revolution of the cutting head.
It is dependent on the drilling pressure of
the TBM, the geology and the rocks. The
net-penetration can approximately calcu­
lated as:
F .. .. ...... drilling force [kN]
Fcrit ..... critical drilling force [kN]
p ........... penetration rate [mm/ rJ

Md = fd x d 2 [kNm] [4]

The torque factor is chosen with

fd = 60 which comes to
p=(~)b
F . ent
F'X]r [5]

Md = 60 x 9,5 2 = 5,415 [kNm] The stratification of the rock structure is

taken into consideration by the rock mass
factor fg which is the basis for the calcula­
tion of Fcrit.

Figure 3. Cutterhead torque dependent on cutterhead

diameter

Drilling pressure, distance of the

cutting lines Figure 4. Rock mass factor.fg dependent on ground
structure
The drilling pressure of the TBM results
from the maximum feeding force of the
discs. The maximum value for a 17 inch
disc is chosen with 200 kN. The distance
of the cutting lines is approximated with
65 mm.

Penetration

An important factor for the calculation of

the performance of a TBM is the penetra­
tion. The net penetration p is defined as
the penetration of the discs into the rock Figure 5. Drilling pressure }"rnt-O dependent on factor .fg

74
Taking into account the rock type and the section length sandstone mar! mineral content quartz

mineral content to improve the calculation

from km '0km inm in% in% minin% maxin%
1.600 2.600 1.000 500,4 50% 15% 65%
for the performance of the TBM leads to 2.600 4.040 1.440 67% 33% 75% 900/0
4.040 7.050 3.010 67% 33% 30'10 600/0
the average Drilling Rate Index DRI. 7.050 7.150 100 67% 33% 30'10 60'10
7.150 7,900 750 100010 0'10 75% 90%
single drive M2A 6.300
average rock proportion 68% 32%
type of rock sandstone marl average mineral content quanz 43% 71%
rock related DRI
Unit max I min max I min
52 70
average ORI for calculation 58
axial compressive strength MPa 185 I 100 90 I 20
drilling rate index DRI 65 I 46 80 I 60
average rock strength MPa 145 45 Table 4. Partial mineral content of sandstone
average drilling rate index DRI 52 70
and marl
Table 3. Estimation of the calculation bases for the
Drilling Rate Index The kind of rock is brought into the calcu­
lation with the factor fORI, the influences
of the distance of the cutting lines s with
The used values are averages and must be multipliers, which are not explained in
verified by geological exploration. The detail. Therefore the critical drilling Force
minimum and maximum values for the Ferit can be calculated as:
rock strengths for sandstone and mar!
comes out of literature. Ferit. = Ferit.-O x fDRI (6)

Fig. 6: Drilling Rate Index for sandstone and marl

dependent on the axial compressive strength
Figure 7. Roc/ifactor fDRI dependent on Drilling Rate
IndexDRI

The further calculation is based on the

average drilling rate index which results
from the average rock strengths as a
function of the axial compressive strength
of sandstone and marl.
The frame shows the expected bandwidth
of the values on example Wienerwald­
Tunnel.
For the calculation of the advance rate an
estimation of a calculative DRI has to be
worked out dependent on an average
Figure 8. Penetration coefficient b dependent on the
mineral content. drilling pressure

75
The coefficient of penetration b is depen­
dent on the critical drilling force Fcrit, the
cutting line distance s and the diameter of
the discs.
The penetration p can now be calculated
including rock formation factor, rock factor,
and drilling factors. The strength of the
rock is taken into consideration in the
Drilling Rate Index. The estimation has the
assumed data basis as follows:

cutting run distance Figure 9. Penetration p dependent on the rock factor

s = 65 mm

max. cutterhead speed

n = fn/ d = 47,5/9,5 = 5,0 rpm

calculated cutterhead speed

n = 0,8*nmax = 4,0 rpm

Figure 10. Net advance rates J dependent on various

penetration p

rock classification Unit B1 B2 B3 C2

rock mass factor fg at a dip of 60 0 1,20 1,55 3.90 2,50
drilling pressure Fkrit-O kN 101 86 50 65
rock factor fDRI with DRI=58 0,925
critical drilling pressure Fkrit=Fkrit-o*fDRI kN 101 80 46 60
max. drilling pressure Fmax kN 200
penetration coefficient b 2,17 1,99 1,58 1,75
penetration p=(FmaxlFkriJ" mmlr 5,21 6,29 10,08 8,21
net rate of advance I=p*n*60/1000 _.
mIh 1,25 1,51 2,42 1,97 I
Table 5. Calculation of the net rate of advance

With the calculated penetration p depen­ Estimation of the measure of

dent on different main rock type the net utilization
rate of advance I can be determined as:
The measure of utilization descibes the
real advance rate of the TBM. It can be
60 distinguished between three different kinds
1=p x nx - [mj h] [7]
1000 of utilization factors,

76

• Utilization factor 1 corresponds to the cause of geological problems are taken

relation between drilling time to total
working time and is in general between
40 and 70 %.
• Utilization factor 2 corresponds to the
relation between drilling time to comission
time without installation and is in general
between 30 and 50%. In this factor all times
for repairs of the machine and stops be­
into consideration.
• Utilization factor 3 corresponds to the
relation between drilling time to total
commission time and is in general between
20 and 35%. In this factor beside all stops
of factor 1 and 2 also the time for installation
and transport is taken into consideration.

project data unit I BI- B2 1 vanation M2A

twmellength m 4.520 6.3001
percent of tunnel length 71,75%
calculation data

~ ~
net penetration p mm1r
net operating speed I
working hours in % of commissioning time
mIh 1,38
%

~
%
drilling time hIkrn 725 45,4 659 39,5
relocation time (20 min) hlkm 222 13,9 222 13,3
standstills hIkrn 300 18,8 345 20,7
total working time (incl. overlapping) hlkm 1247 78,1 1227 73,6
Irepair time 1 h7kni-l 1 1501 9,4 1801 10,8 1
Idown time hlkm 2001 12,5 2611 15,7 1
Icommission time without installation hIkrn 15971 100,01 16681 100,01
linstallation time (assembly, dismatling) hIkrn 3461 21,7 1 4831 29,0 1
Icommission time in total hIkrn 19441 121,71 21511 129,01
lutilization factor UF I"') % I 58,11 I 53,81
lutilization factor UF2"'''') % I 45,41 I 40,41
lutilization factor UF3"''''''') % I 37,31 1 34,21
Itotal rate of advance"""""") mlmo 11 457,01
Itotal rate of advance """"''''''') mlwd 11 15,01
Itotal construction time 1 mo 11 9,91

Table 6. Calculation of the rate of advance, representive of one typical rock classification B1-B2 for the 1. tube
in variation M2A compared with the average values ofM2A in total

*) utilization factor 1 = drilling time/working hours

**) utilization factor 2 = drilling time/commission time without installation
***) utilization factor 3 = drilling time/ commission time in total
****) total rate of advance per month = UF2*C30d/m*24h/ d)*I net
*****) total rate of advance per working day = UF2*24h1d*Inet

77
The total advance rate is between 200 and
500 meters per month respectively 7 and
16 meters per working day. The base is
30 working days per month. Stops caused
in the working hours and shift system are
taken into consideration in the utilization
factor 1.

Figure 12. Utilization factor 3 Commissioning time

Based on the supposed rock classification

utilization factor UFI h/km %
the average advance rate for the variation
drilling time 659 53,8
relocation time 222 18,1
M2A of the Wienerwald-Tunnel are estima­
standstills in working time 345 28,1 !
ted:
total 1.226

first tube 440 meter/ month

Table 7. Utilization factor 1
second tube 500 meter/ month

rocktype advance rate ofTBM with UF 2

I tube 2 tube
m/day m1month m/day mlmonth
BI-B2 15,0 457 16,7 508
C2 14,3 436 t6,5 502
B2-B3 It,S 348 13,3 405
utilization factor UF3 h/km % B3 8,9 271 10,7 324
C4 6,9 211 8,4 256
drilling time 659 30,7

relocation time 222 10,3

Table 9. Advance rates of TBM according to different
standstills in working time
repair time
downtime
installation, general repair
total
Table 8. Utilization factor 3
Figure 11. Utilization factor 1 Working time
345 16,0 rock types with utilization factor UF2
180 8,4
261 12,1
483 22,5
-- - - -
2.150
-- - -
100,0 SENSITIVITY ANALYSES
The base for the calculation of the advance
rates are special boundery conditions. To
relativate possible changes in these boun­
dery conditions, a sensitivity analyses of
the calculation of the advance rate has to
be made. Therefore the basic influences
of the advance rate calculation - the ma­
chine, the rock and the rock formation ­
have to be taken into consideration. One
the one hand the TBMs probably will be
developed to stronger machines in future .
For this reason a machine concerning a
15 % higher drilling pressure is incorpora­
ted. Effects to the penetration rate and the
netto-advance rate are investigated.

78

Figure 13. Sensitivity analysis - net advance rate
dependent on various compressive strength
Figure 14. Sensitivity analysis - net advance rate
dependent on various machine performance
On the other hand the big question is the
geology of the rock. Different variations
of the axial compressive strength of the
rock generates different drilling rate index,
Differences in the rock formation are
considered with a variation of the rock
factor fg and the drilling pressure Fcrit.
Drilling rate index and drilling pressure
influence the penetration rate and the net
advance rate.
79
The aim of these analyses of possible
szenaries, which are based on mathematical
models and other case studies is to work
out the estimation of costs, advance rates
and construction time as realistic as possible,
REFERENCES
Stempkowski Rainer: Kosten- und Leistungs­
analyse im maschinellen Tunnelbau, Dis­
senation, unpublished in progress (1995)
Uni Trondheim: Hard Rock Tunnel Repon,
Projekt Repon 1.88, Trondheim, 1988
Hamburger Hermann, Weber WaIter: Tun­
nelvonrieb mit Vollschnitt- und Erweite­
rungsmaschinen fur grofle Durchmesser
im Felsgestein, Taschenbuch fur den Tun­
nelbau 1993, Verlag GluckaufGmbH, Essen
Beckmann Uwe: Einfluflgr6flen fur den
Einsatz von Tunnelbohrmaschinen, Disser­
tation, 1V-Braunschweig, 1982
Beckmann Uwe: Tunnelbohrmaschinen
und ihr Einsatz im Festgestein, Taschen­
buch fur den Tunnelbau 1985, Verlag
Gluckauf GmbH, Essen
Kovari K., Fechting R., Amstad Ch.: Erfah­
rungen mit Vonriebsmaschinen groflen
Durchmessers in der Schweiz, Forschung
und Praxis 34, Alba Fachverlag GmbH,
Dusseldorf, 1992

 BLOCK B

TBM AUTOMATION, SIMULATION AND QUALITY CONTROL

CHANCES FOR COOPERATION BETWEEN
INDUSTRY AND UNIVERSITY·SYNERGIES
FOR TBM TUNNELlNG
S. Stifter 1
ABSTRACT
In this paper we present some tasks within
the simulation, supervision, and control of
tunneling and the respective mathematical,
especially algebraic and geometric, solution
methods. On the one hand, this is challen­
ging for mathematical research since it
illustrates that mathematically involved
problems appear in this important practical
area. On the other hand, it shows the
engineer that mathematics and software
technology have quite a few tools at hand
or under development that improve current
engineering technologies. Not surprisingly,
by the abstraction to mathematical pro­
blems, techniques from other areas become
applicable (by generalizations or adaptati­
ons) to the specific needs in tunneling.
Vice versa, new results obtained within
the project stimulate research and develop­
ment in theory as well as in other applica­
tion domains.
INTRODUCTION
In the frame of the cooperation between
D2 Consult and RISC, we developed a
simulation and control system for tunnel
constructions. The tunneling strategy consi­
dered can be sketched as follows: A TBM
is digging in the rock. The lining of the
tunnel is by concrete ring elements, which
are installed by means of an erector Ca
kind of robot with 6 degrees of freedom).
The pressure onto the digging machine is
Doz
Doz. Dr., RISe, Johannes Kepler University, Linz, Austria.
83
established by hydraulic presses that are
mounted on the back side of the digging
machine and are supported on the already
built in ring elements.
On the one hand, the system is based on
traditional methods used for controlling
mechanisms of this complexity. On the
other hand, for the specific problems that
arise in tunneling, new strategies have
been developed. For some of the new
strategies, algebraic and geometric concepts
and methods, have been used for compu­
ting explicit formulae for the inverse kine­
matics of the erector and for the inner
conicity of the ring elements used for lining
the tunnel, a new graph theoretical method
has been developed for controling the
erector fast and collision free. We argue
why the respective algebraic methods have
been prefered to other methods.
At the first glance, the project of a control
system for tunneling might look like a
problem that is far away from being intere­
sting from a mathematical point of view.
However, the three mechanisms that are
involved in building a tunnel are highly
advanced machines of which control needs
geometrical information and technological
knowledge . Furthermore, the rings and
ring elements that are used for lining the
tunnel have basically simple, but accurate
shapes. The control of the mechanisms
has to be in accordance with the shape of
the rings and ring elements. The know
how and the experience of the engineer
has to be reflected in the system and
supported by geometric and technological
models. The better and the more precise
the strategies, heuristics, and control se­
quences of the engineer are reflected in
the system, the more will an engineer be
willing to work with the software module
and the better will the "cooperation" bet­
ween engineer and automation be. Even
a highly sophisticated system will not be
accepted if it tries to follow completely
different strategies and behaves "unpredic­
table" for the engineer.
The following is a list of the most challen­
ging mathematical and software technolo­
gical subproblems (it does not necessarily
coincide with the most challenging pro­
blems from an engineering point of view,
although all subproblems are quite relevant
for an automated control system):
• modelling of rings and ring elements,
especially taking bevelled edges into
account,
• computation of the inner conicity of the
ring elements,
• automatic generation of the construction
plans for the ring elements,
• approximation of the ideal course of the
tunnel by a buildable course,
• inverse kinematics for the erector,
• inverse and forward kinematics for the
digging machine,
• planning of collision free, fast motions
for the erector,
• control of the presses taking logistic and
technological conditions into account,
• coordination of the single controls and
data flows.
84
We cannot go into details of all these items,
so we rather pick out some of them in the
subsequent discussions.
THE SOFTWARE SYSTEM
Before going into details of three of the
mathematically most interesting topics, we
give an overview on the simulation and
control system developed. From an appli­
cation point of view the system serves the
following purposes:
• generation of construction plans for the
ring elements,
• illustration of the course of the tunnel,
• simulation the current situation,
• automatic or semi-automatic control of
the machines involved,
• protocolation and documentation.
The generation of the construction plans
for the ring elements is a standalone module
realized in the CAD package AUTOCAD.
This module generates, guided by the
specific needs of the user, the different
views of the ring elements needed for the
construction. By the embedding of the
moudle into AUTOCAD, the user has the
possibility to edit the drawings and to add,
delete, or combine drawings and text.
Importation and exportation of different
file formats supported by AUTOCAD give
additional support. Details can be found
in Neuwirth (1990).
The illustration of the course of the tunnel
is especially important for marketing pur­
poses. It illustrates the flexibility in designing
the course of the tunnel which is due to
the specific shapes of the ring elements.
An interactive component allows the user

to input the position of a ring relative to
the previous one by the relative rotation
angle between the two rings or by an
absolute rotation angle relative to the zero­
position of a ring. Different views showing
the relative positions of the rings and ring
elements in 2D and 3D are available.
The simulation of the current situation is
used for two purposes: It can be used for
demonstrations of the possibilities to pos­
sible customers, using data on a file from
previously built tunnels or from survey
data. Second, it is an important part of the
control system and supports the engineer
in the tunnel or the consulting company
in its office with online information about
the present building situation. It is important
that this component is available with and
without the control component. Since there
are many interesting views an engineer is
interested, the simulation provides different
"pictures" the engineer may choose depen­
ding on the specific needs in a specific
situation:
• Overview of the situation in the tunnel
shows all components involved,
• Overview of presses and ring elements
gives a look into the tunnel along ist
axis, so especially the presses and the
situation of the currently installed ring
is seen,
• Status of the presses and ring elements
depicts the last three rings built and the
ring being built at the moment together
with the presses.
• Course of the tunnel depicts the lining
stations as a sequence of line segments.
The ideal course and the actual course
are drawn together with the tolerancing
area.
The simulation component is described in
more detail in Stifter (1993).
85
The automatic or semiautomatic control
of the machines involved is the most
involved part of the whole system. From
sensor data and surveying data and the
current situation, the next situation to
approach is determined and the respective
control instructions are generated. The
control component lifes from accurate and
efficient models of the Single mechanisms
involved. The interfaces to this component
are, on the one hand, the connection to
sensors and the surveying unit, the model
component representing the knowledge
about the mechanisms, ring elements, the
course of the tunnel, and smaller items
involved, and, on the other hand, the
control units of the mechanisms. These
control units on the mechanisms receive
the high level control instruction determined
by this control component and convert
them into real movement of the machines.
Sending these control instructions also to
the simulation component results in a pre­
simulation "should happen" and a compa­
rison between intended and actual motions.
The control instructions, the data from
sensors and surveying unit, the master
engineer, ring station, installation time etc.
are protocolled as a documentation and
also as a basis for later analysis of the
process. It serves as an important source
for reporting.
MODELlNG OF RINGS AND RING
ELEMENTS
The shapes of the rings are obtained as a
wedge-shaped part of a cylinder, by cutting
a cylinder by two (non-parallel) planes.
The shapes of the ring elements are obtai­
ned by cutting the ring again by two non­
parallel planes into segments.
Modelling the rings and ring elements, in
principal, can be done in many ways.
Especially, one can set up (overdetermined)
systems of equations in different ways. A
complete and unambigous mathematical
model is preferable: it describes rings and
ring elements in a compact form, can be
converted into other geometric models if
necessary (e.g. for visualization, determi­
nation of certain parameters like inner
conicity, generation of construction plans),
makes the results in the literature available
for the specific application. Due to the fact
that the shape are heavily needed for fine
motion planning during the assembly pro­
cess, the decision has been for a parame­
terized representation based on the three
directions "axis of the cylinder", "distance
from the axis of the cylinder", and "location
on the circumference of the cylinder". Thus
any point of a ring element is described
by a single vector equation
p(u,v,w) = (X(u,v,w), Y(u,v,w), Z(u,v,w»
0)
where the three parameters u, v, ware
restricted to defining intervals.
This results in a solid deSCription, i.e. any
point in the ring element is represented
not only its boundary. The equation is
invertible, i.e. u, v, w can be expressed in
terms of the coordinates x, y, z of p:
(u,v,w) = (U(x,y,z), V(x,y,z), W(x,y,z»
(2)
This parameterized representation has the
advantage that, by computer algebraic
methods, conversion between a point on
a ring element and a point in space is
stable and efficient. Moreover, bevelled
edges can be handled by restricting the
parameter intervals. For more details, we
refer to Stifter (991).
86
INNER CONICITY OF RING
ELEMENTS
The inner conicity of ring elements, i.e.
the angle between the planes by which
the ring elements are obtained from the
rings, has to be computed so that each
second ring element can be installed bet­
ween two already installed ones in such
a way that only one third of its length is
outside the already built part of the ring
when it is moved to the correct distance
from the axis, i.e. when the presses take
over the installation. This is due to a good
balance between the pressure needed in
the presses to finally install it and the
stability of the ring. This inner conicity has
so far been obtained by trial and error and
some heuristics what are good choices.
We set up a system of algebraic equations
that describe the general situation, i.e. the
ring parameters are contained as variables.
For this system the Groebner basis, a tool
for various problems -- among it triangu­
lation of algebraic systems of equations ­
- in algorithmic ideal theory, see Buchberger
(985), has been computed which yields
an explicit solution for the inner conicity
t as
t 4 + a 2 t 2 + ao = 0 (3)
where a 2 and ao are polynomial terms that
contain the other parameters of the ring
elements.
Although the preViously iterative determi­
nation is now replaced by an explicit
formula, this is not really a drastical impro­
vement for the engineer. However, it is
impressive from themathematical point of
view. Groebner bases are a powerful tool
in algorithmic ideal theory and there is an
increasing number of references in the

literature treating the subject and various
improvements in the efficiency of the
algorithms to compute Groebner bases.
While within many areas algebraic systems
of equations are used to formulate specific
problems and relations between parameters,
there are only a very few examples where
Groebner bases have been applied suc­
cessfully, although quite applicable in
principal. This is due to the complexity of
computing Groebner bases. To our know­
ledge, the determination of the inner coni­
city is the only Groebner bases applied in
an industrial system.
COLLISION FREE SHORTEST PATHS
FOR THE ERECTOR
In the literature, there are quite a few
papers that treat the path planning problem
for robot manipulators. All these papers
assume that the links of the robot can be
controlled in asynchronized way. I.e. the
motion of the gripper is predictable from
the motions of the links of the robot.
However, this is not true for classes of
heavy load robots, like the erector. In the
frame of the project a new method has
been developed that is based on compu­
tations in configuration space. In configu­
ration space, a collision free path for a
non-synchronized mechanism is a sequence
of boxes with axes parallel to the coordinate
axes; since any monotonous motion in
such a box is collision free. Two neigh­
bouring boxes are connected by a synchro­
nization point, i.e. a position in which all
motions of the robot are stopped and
started again in order to guarantee that
this synchronization point is really met. So
the problem is reduced to a graph search
problem in a weighted graph. However,
weights correspond to length of motion
and number of synchronization points, so
the final weight of an edge can be compu­
ted only during the graph search. This
87
dynamic computation of weights makes
the algorithm interesting also from a graph
theoretical point of view.
REFERENCES
Euchberger, E., (1985): Groebner bases:
an algorithmic method in polynomial ideal
theory. Multidimensional Systems Theory,
N.K. Eose (ed.), D. Reidel Publ. Comp., pp.
184-232.
Neuwirth, S., Stifter, S., (1991): GET a
workpackage for tunnel geometries. Proc.
lASTED Int. Symp. Applied Informatics,
Innsbruck, Feb. 1991, Acta Press, pp. 280­
283.
Stifter, S., (1991): A parametric represen­
tation of the ring elements taking bevelled
edges into account. Internal Report, RISC­
Linz series no. 91-44, johannes Kepler
University, A-4040 Linz, Austria.
Stifter, 5., (1993): Shortest nonsynchronized
motions: parallel versions for shared me­
mory CREW models. Proceedings of the
2nd International Conference of the Au­
strian Center for Parallel Computation
(ACPC), October 1993, Gmunden, Austria,
Springer LNCS 734, pp. 87-104, j. Volkert
(ed.).
Stifter, S., (1993a): A simulation and de­
monstration package for tunnel construc­
tion. Technical Report, RISC-Linz series no.
93-11,johannes Kepler University, A-4040
Linz, Austria.
THE IMPORTANCE OF GEOMETRY FOR COMPUTER
CONTROLLED SEGMENT ERECTION
ABSTRACT
Robotic control of tunnel lining installation
is an actual need in view of an increasing
number of mega tunnel projects worldwide.
SW-controlled assembling needs require­
ments on machine configuration, on inter­
face between TBM and tunnel lining, and
finally requirements on the geometry of
the precast lining segments together with
its joint connectors. Reduction of installation
motions to a minimum and proper coordi­
nated interface design offers practicable
SW-structures and algorithms to match the
tough environmental conditions in the
tunnel. This paper is focused how to design
geometry of tunnel lining segments, for
successful application of SW-aided instal­
lation, aiming to improve lining quality
and tunnel excavation progress rates.
The interaction between machine, thruster
configuration and geometry of the seg­
ments, influencing the kinematics of erector
and segments are discussed. Recent expe­
riences with proposed lining geometries
are described, confirming this approach.
INTRODUCTION
SW-controlled precast segment tunnel lining
installation needs harmonizing between
segment geometry and machine configu­
ration. Already existing lining systems need
particularly adaptations in order to make
them work for automation, and at the same
time to be economical. The targets of an
to Dipl.-Ing. Dr. techn. , D2 Consult, Linz, Austria
89
A . Schulter 1
automated segment installation are increase
of quality of lining by high precision kine­
matic, higher safety during operation, and
quicker installation for savings in construc­
tion time. High precision mechanical con­
nectors have been used to provide self
guiding behaviour of segments. This con­
cept has been published and is known in
the industry as Litum (Linz Tunnelling
Method). In the final stage, it will be used
to achieve construction compatible condi­
tions for automated installation.
Geometry must fulfill requirements of
segment production as well as manufactu­
ring of formwork. The main load defining
reinforcement comes normally from the
thrusters due to pushing the lBM, especially
at shields used in soft ground conditions.
To optimize the segment geometry, both
operationalloadings as well as geotechnical
loadings must be investigated. The interface
between lining and TBM many times can
not be changed, and lining geometry must
be prepared for conditions proViding SW­
controlled segment installation.
SW·CONTROLLED SEGMENT
ERECTION REQUIREMENTS
• Unified ring for universal use within
given alignment,
• Ring erector for placing segments in
radial direction (Pict. 1),
• Pushing home segments into final posi­
tion by thrusters,
• Self guiding ability of the segments by
- guiding devices in radial joints and
- dowels or mechanical connectors in
the circumferential joints (Pict. 2),
• Avoiding bolted connections,
• Interface requirements between thrusters
and segment geometry do depend on
- continuous operation, or
- stop and go operation.
Picture 1. Ringerector, TBM - Alpine Wesifalia

SW FOR CONTROLLED SEGMENT

ERECTION

The purpose of the SW development is

coordination of operations of each indivi­
dual motion, by automatic erector opera­
tion, thus reducing personnel, eliminating
human errors, and reducing damage risk.
Using a recording, warn and alarm system
will result in higher advance rates and
lower running cost. Principles are structured
in moduli to build up the operational
program, which could also be handled
manually (Fig. 1). Picture 2. Sliding segment with plastic dowels, EOLE ­
Paris

Figure 1. SW control system, basic structure

90

RING GEOMETRY
Unification of the segmented ring is the
latest state of the art of one-pass-lining
systems. Even if there are different types
of rings being able to follow the alignments
precisely, rings for left and right curves,
up and down, and straight lines are not
commonly used anymore. Experiences
with one-pass-linings and only one type
of ring geometry show attractive results in
quality, together with economic success.
For straight tunnel alignments simple and
parallel rings can be used. Only one type
of segment will be designed with symme­
trical shaped joints (Fig. 2a). Figure 2b and
2c show two different types of tapered
rings. The symmetrical ring (Fig. 2b) halfens
the number of the segments with an even
number of segments, and symmetrical
shaped joints.
Figure 2. Ring geometries
91
Reduction of different types of segments
results in transportation advantages, storage
and organization on site, as well as manu­
facturing of moulds. In general more than
one set of moulds is needed, mould ma­
nufacturing advantages are declining.
RING ROTATION
To follow 3-dimensional alignments, full
rotation of tapered rings is to be provided.
The incremental rotation is related to the
equidistantly arranged connectors between
the rings. Two, three or maximum four
connectors at the circumferential joint of
each segment are possible and meaningful.
The bigger the partition of the dowel
distribution at the circumferential joint the
more precisely the lining can be installed
and a minimum deviation to the theoretical
tunnel axis can be achieved. Using only
one unified ring, each ring can be rotated,
that the direction vector of the ring axis
will intersect the theoretical axis, which
includes the optimal correction and adap­
tation to a minimized deviation (Fig. 3).
Independing rotation means the keystone
can be located everywhere around the
circumference, even in the invert (Pict. 3),
requiring specifications of the connection
materials, avoiding cumulation of deforma­
tions caused by flexibilities of the connec­
Picture 3. Honeycomb segment, Wanjiazhai - China
Figure 3. Ringrotation

tors, and ovalisation behaviour during ring

installation. This can be achieved using
connectors with high shear capacity and
the ability to compensate tolerances in the
range of 3 to 5 millimeters (Fig. 4). Having
only one uni ring, no pre-calculation is
anymore necessary for the optimization of
the combination between different tapered
rings by comparison between the theoretical
and actual status. Figure 5. Segment insertion direction

The installation progress follows after taking

the segment from the transfer table of the
conveyor belt, the optirnized precalculation
~
track near to the fInal position. Then guiding
rods (Fig.6) in the radial joint and connec­
tors in the circumferential joints are catching
Figure 4 . Dowel connector with high shear capacity and guiding the segments while pushing
home by thrusters. Erector hydraulic system
KINEMATIC OF SEGMENT must be released at the erector head ac­
INSTALLATION tuators to avoid constraints and providing
stress free installation.
The thrusters have only one moving direc­ Figure 6. Typ. Radial joint configuration
tion which is parallel to the tunnel axis.
Placing the segments parallel to the tunnel
axis and considering the need of the mo­
vement to be also parallel to the insertion
direction of the mechanical connectors,
inclined radial joints are required (Fig. 5).
This is one of the main design function
for computer controlled segment placing.

92

After completion of one ring, all thrusters Machine

should be released in order to utilize the
self regulating behaviour of the ring, getting
constraint free segments. This is only
possible when thrusters are not being used
for face stabilization.
KEYSTONE CONDITIONS
The geometry of the segments is defined
by the interface between the TBM tail
configuration and ring parameters.
Following parameters are interacting
(Fig. 7)
Thruster configuration
Length of shield tail
Accuracy of erector hydraulic
L Length of thruster stroke
t Safety distance
A Overlapping distance
Due to the relation between the cord at
the inside surface of the ring and the cord
of the outside surface of the keystone (Si
to S0 (Fig. 8) radial joints must be inclined,
forming a wedged trapezoidal shape. Co­
nicity (K) and distance (A), as a result of
the chosen machine configuration, are
interacting each other and are to be opti­
mized. Conicity (K) is limited due to the
acute angle corner creating some structural
disadvantages. An alternative solution to
reduce conicity (K) is to incline the radial
joint in longitudinal direction. Eccentric
load transfer in circumferential direction
is jeopardizing the joints and requires
additional reinforcements (Fig.9).
Figure 8 . Keystone installa­

tion kinematic

(Mayreder patented

joints)

Figure 7. Keystone conditions

Ring geometry
Figure 9.

- B Width of ring Declined radial joint

- E View of radial joint

- K Inner conicity
- Ri Radius
- D Diameter
- d Segment thickness
- a Keystone angular
Radial joint chamfer design

93
SLIDING SEGMENTS
Three types of sliding segments with incli­
ned radial joints can be applied either
individually or in combination (Fig. 10).
Figure 10. Types of sliding segment
Trapezoidal and rhomboidal segments have
acute angle corners. With regard to load
transfer through segments, corners are
critical, jeopardizing damages. Additional
reinforcement could be needed to tighten
up the stress free corners back to the main
body of the segments (Fig. 11). The acute
angle is also limited in designing corners
of gaskets, regarding manufacturing of
forms.
Figure 11. Load tramJer principals
94
Precision installation of segments with self
adjusting connectors and guiding rods for
joint connection results in optimized circu­
larity and stability immediately after instal­
lation. These qualities combined with
continuous grouting through the shield tail
provide optimal integration of the lining
within the surrounding soil, thus presenting
perfect geometrical conditions for the
following ring.
Using different types of segments, follOwing
principles in lining design can be shown.
With an even number of thrust groups as
applied at Boston Outfall tunnel (Fig. 12)
three different trapezoidal segments are
needed in case of tapered ring geometry.
There is a special case of a bi-symmetrical
ring when the joints are also symmetrical
(Fig. 13), thus primary segments can be
used as secondary segments by turning
them with 180°. In case of parallel rings,
only one type of a sliding segment is
needed. Distance (A) between just erected
ring and thrusters in home position was
provided with 50 cm.
Figure 12. Even number of thrusters hi-symmetrical tapered
ring, Boston - Outfall tunnel (Mayreder patented system)

 In case of uneven thrust group arrangement

as applied in Milano (Fig. 15) rhomboidal
segments beside one trapezoidal and one
keystone were necessary. With rhomboidal
segments, possible incremental rotations
are limited influencing the accuracy of
alignment deviations.

Figure 13. Mirror shaped circumferencial joint

(Mayreder patented connectors)

Any not favourable X-joints can be avoided

with trapezoidal types of segments even
when radial joints are consequently follo­
wing each other.

In Paris at EOLE project (Fig. 14) the length

of the stroke was given with 1,95 m, the
distance (A) was limited with 32 cm. Based
on the keystone was conditions a smaller
keystone used, with rhomboidal segments
in between.

Figure 14. Even number o/thruster groups - Tapered

ring geometry, EOLE - Paris

Figure 15. Un-even number 0/ thruster groups tapered

ring geometry, Passante - Milano

Honeycomb segments (Fig. 16) are used

basically for straight tunnel sections. Key­
stone conditions are based on half length
of the segments, allowing a reduced length
of the thrusters stroke, together with fa­
vourable configurations at shield tail and
thruster arrangement. Deviations of the
machine during tunnel drive are not active
compensable. Lining flexibility allows
curves in the range of approx. 700 meters.
No restrictions are given for honeycomb
segments in regard to the geometry of the
waterproofing system with gaskets. A com­
bination between honeycomb system and
tapered trapezoidal or rhomboidal segment
rings is feasible.

95
 of the segment geometry and deflection
capabilities of the mechanical connectors.

Carefully chamfer design at the joints shall

provide defined stress distribution to avoid
any direct contact concrete to concrete in
that areas. Chamfer design shall also control
operational load transfer by such contact
areas between the precast concrete seg­
ments. Considering experience on chamfer
design (Fig. 18) and an offset free ring and
segment installation guarantees highest
lining quality with best economical result.
The level of tolerances for manufacturing
the segments, and for moulds, for SW
controlled installation is the same than for
manually installed systems.

Figure 16. Honeycomb segments

Wanjiazhai diversions tunnel, China

TOLERANCES; SEGMENT DESIGN

Basically plugged connected segments by

connectors need free space around shield
tail for constraint of free segment installa­
tion. Newly erected rings follows cantile­
verlike (Fig. 17) assembling of each indi­ Figure 18. Segment chamfer layout
vidually segment. High shear capacity of
Design taking into consideration all kine­
the connectors provides high precision in
matic conditions in addition to structural
circularity, avoiding ovalisation. The requi­
conditions will achieve economic impro­
rement is first of all the fully embedded
vements in construction and quality of
condition of the previous already installed
lining.
rings, avoiding cumulation of imperfections

Figure 17. Seifsupported installation ofprimary segments

INTERFACE REQUIREMENTS BET·

WEEN LINING AND TBM

• Hydraulic ring type erector to provide

actuation of all six degrees of freedom
of segments. State of the art gripping
device is subject to contractor's decision,
to be considered already at design stage.

96

• Movement in direction of shield axis to

be actuated by directional control valves
and to be floating on hold position, to
allow for smoothly following segment
motion, while it is being pushed home
by the thrusters.

• Rotation around and lifting perpendicular

to shield axis to be actuated by propor­
tional valves or servo valves to provide
for continuously controlled motion when
positioning segments.
Figure 19. Guiding device to define radial position of
• Articulation cylinders, used to change the segment (Mayreder patented dowels)
the pitch, yaw and slew angles, to be
actuated by directional control valves
and to be floating on hold position, to
allow for segment to adjust its orientation • Possibility to activate corresponding
according to guiding elements while thrust cylinders, that are used to install
being pushed home by the thrusters. one segment, in a synchronized manner,
to avoid danger of segments turning and
• Mechanical, flexible guiding devices being damaged on edges while being
mounted on erector arm to display cor­ pushed home.
rect positioning in radial direction. (Fig.
19)

• Thrust cylinders to be actuated indivi­

dually by directional control valves with
further pressure limit and pressure re­
duction valves. Corresponding thrust
cylinders should be taken for support
after installation of segments for additio­
nal safety purposes. For this reason, the
possibility must exist to reduce cylinder
pressure level to achieve stiff-non-active
support conditions.
CONTINUOUSLY TUNNEL OPERATION
The progress of a tunnel drive depends
on the relation between the excavation
time and the ring erection time. The lining
system should provide the possibility to
erect the segment during ongoing excava­
tion process (Fig. 20).

Figure 20. Simultaneously ring assembling - Necessary length of thruster strokes

97
 Figure 21 shows the corresponding thruster
length to the lining system. The length of
the shield tail is for a Simultaneously
operation two times of the width of the
ring. In case of a greater excavation time
than ring erection time the shield tail could
be reduced to L = 2B - LtA. Honeycomb
segments require a length of a thruster
stroke only the half of the segment width.
Individually actuating thrusters or thruster
groups shall be applied, controlled by
sensors and computer supported programs,
for optimization the ring erection time.
The tunnel drives could be faster without
increase of machine power or change of
machine concept, used so far in the market
in comparison with stop and go procedure.
Only double shielded hardrock TBMs
provide simultaneously working conditions
not necessarily requiring special geometry
on lining segments.

REFERENCES
[1} H. Wagner. Grundlagen der Entwicklung
eines neuen Tubbingsystemes fur Tunnel,
Stollen und Schachte. Osterreichische Inge­
nieur-Zeitschrift, Wien 1981
[2} H. Wagner / A. Schulter. Tunnel Lining
Segments. Handbuch fur EntwurJ und Aus­
fuhrung von Stahlbetonfertigteilen, Eigenver­
lag der VerJasser, Linz 1993
[3} H. Wagner. Dowelled Segments for Tunnel
Linigngs. Optionsfor Tunnelling 1993, Intern.
Congress Amsterdam
[4} H. Wagner. New Technologies for Under­
ground Space Development - Towards New
Realities with NATM and TBM Technology.
Civil Engineeringfor Urban Development and
Renewal. Proceedings of ]SCE, Yokohama
1994 .
[5} H. Wagner / A . Schulter / S. Strohhausl.
Sliding Segments for Shallow and Deep Tun­
nels / Gleitsegmente fur flache und tiife Tun­
Figure 21. Progress consideration - Relation between nels. Forschung + Praxis Nr. 36, World Tunnel
TRandTE Congress/STUVA-Tagung 1995

98

SUITABILITY TEST FOR THE
SEGMENTAL LINING FOR THE
ELBETUNNNEL 4th TUBE, HAMBURG
R. Bielecki 1 Schreyer 2 J ].
SUMMARY
The Hamburg Elbe Tunnel is to be exten­
ded by a fourth tunnel tube. The segmental
lining is to be optimised by means of
various aptitude tests. These include shea­
ring and flaking tests as well as trials
relating to torsional rigidity and load trans­
ference and a large-scale 1: 1 test with
original segments. The planning for the
test series has been concluded and the test
facilities are being set up. The tests are
scheduled to be carried out in 1996 und
1997.
GENERAL
Since the opening of the three-tube Elbe
Tunnel as part of the E45 European high­
way (Federal Autobahn A7) in 1975, the
traffic volume and in turn, the traffic load
for the Elbe Tunnel has constantly grown.
Today, the peak loads amount to more
than 130000 vehicles per day, the average
load amounts to around 100000 vehicles
per day.
The present traffic volume frequently leads
to tailbacks in the Elbe Tunnel, often in
fact, to traffic coming to a complete stand­
still. This results in the entire motorway
traffic between the Autobahn intersections
Hamburg-north-west and Hamburg-south­
1
Leitender Baudirektor Dipl.-Ing., Construction Authority Hamburg, Division for Foundation
Engineering, Rapid Transit Systems and Major Tunnel Projects, Germany
2
Dr.-Ing., Studiengesellschaft fur unterirdische Verkehrsanlagen e.v. - STINA -, Cologne , Germany
99
west being conSiderably affected. In order
to alleviate this bottle-neck, it is intended
to construct a fourth tube for the Elbe
Tunnel. The new tunnel tube is some 3
km long and is located to the west of the
existing Elbe Tunnel.
The tunnel lining for the 4th tube of the
Elbe Tunnel is scheduled to bring a number
of novel developments as far as the current
level of planning is concerned. These
above all, relate to the size of the tunnel
diameter. So far, in Germany, there have
been no mechanical tunnel drives with an
external diameter exceeding 14 m. Approa­
ches in this direction have only been
undertaken in Japan.
Against this background, it is essential to
carry out a series of aptitude tests in order
to prove the suitability of the segmental
lining expecially taking into consideration
the numerous joints involved. The series
of tests are to be carried out at STUVA,
Cologne.
The objective of the tests is among other
things to determine the supporting limit
of the joint design and the relevant break
mechanism as well as the deformations
for the tunnel rings. The trials have to
register the effects of dimensional and
assembly tolerances on the supporting
behaviour, the influence of the tunnelling
forces and the actual annular stresses
derived from flexural moments and longi­

tudinal forces as well as to provide an
answer to the question whether one or
two joint seals per segment should be
selected.
TESTS ON PLANE SEGMENTS
1) General
The aim of this series of tests is to optimise
the design of the segmental joints with
respect to their supporting capacity and
coupling properties and to prove the sui­
tability of the selected joint design. In this
connection, shearing and flaking tests as
well as tests to determine the torsional
rigidity and load transference are to be
carried out. The results of these tests are
designed to ensure that the original seg­
ments are designed as optimally as possible.
The test stand are modularly constructed
and can also be made use of for other
examinations.
2) Shearing tests
In order to examine the shearing behaviour
of the annular joint, two outer reinforced
steel samples (length x width x thickness
= 120 cm x 100 cm x 70 cm) and a central
sample (length x width x thickness = 100
cm x 100 cm x 70 cm) are required (Fig.
1). In this connection, the two outer samples
possess a groove in the joint flank and the
central sample has a tongue formation at
both contact joints. These three samples
are coupled together at the groove-tongue
sides (annular joint) at the beginning of
the test and tensioned against one another
by means of hollow piston jacks. The force
in the jacks is kept constant during the
entire duration of the test series.
100
Figure 1. Principle ofshearing stress groove and tongue
(annular joint) with presentation of the measuring
unit
The actual test load (earth pressure) is
carried out by means of four differential
jacks with integrated force and path mea­
surement, merely affecting the central
sample. The two outer samples, on the
other hand, are irrevocably held in place.
As a result of the test load, the groove and
tongue combination (annular joint) is sub­
ject to stress to determine shearing.
The objective of the series of test is among
other things:
• to determine the maximum supporting
behaviours in the annular joints,
• to optimise the reinforcement in the
groove-tongue sector and
• to obtain assessment criteria for the
functioning of the joint sealing profile.
In the test, given the pre-determined hori­
zontal tensioning of the samples, deforma­
tions in the joints and on the concrete
surface in keeping with the load (vertical
jack load) are measured.
3) Flaking tests
During the test to determine the flaking
behaviour in the annular joint, two rein­
forced concrete samples (length x width
x thickness = 100 cm x 100 cm x 70 cm)
provided with groove and tongue at one
side are put in place (Fig. 2). After the two
samples have been set at different heights,
the groove and tongue edges (annular
joint) are tensioned by means of the piston
jacks. The force in the piston jacks is
increased during the test in individual load
stages until the groove and tongue edges
are damaged (annular joint).
Figure 2. Principle of the displacement ofgroove and
tonue (flaking test) with presenation of the measuring
unit
The aim of the test series is among other
things:
• to determine permissible installation
tolerances for the segmental lining,
• to come up with assessment criteria for
installation faults that might occur and
• to test the position of the joint sealing
profile.
Various pre-determined joint materials are
made use of for the tests and the deforma­
tions in the joints measured on the surface
of the concrete in relationship with the
load (horizontal tensioning).
4) Test to determine the torsional
rigidity of the longitudinal joint
For carrying out the tests to determine the
torsional rigidity of the longitudinal joint,
101
two reinforced concrete samples (length
x width x thickness = 115 cm x 100 cm x
70 cm) are required per test. In the vicinity
of the longitudinal joint, both samples
possess a flat edge. The tensioning of the
samples is carried out by means of piston
jacks. The force of the jacks remains con­
stant during the period of the test. The
tensioned samples are set externally on
two linear bearings (gab 2 m) and are
gradually subject to load during the test
in the vicinity of the longitudinal joint
through four differential jacks. This brings
about a torsional strain on the samples to
the extent of the previously mentioned
supporting lines.
Figure 3. Principle of the moment stress in the longitu­
dinal joint (torsional rigidity) with a presentation of
the measuring unit
The aim of this series of tests is among
other things, to obtain:
• findings pertaining to the angles of
torsion that can be accepted in the
longitudinal joints without damage oc­
curing and
• to establish assessment criteria for the
functioning of the joint seal profiles.
In the tests, the joint deformation is esta­
blished depending on the vertical load
given pre-deterrnined horizontal tensioning.
5) Test to determine the load transfe­
rence in the annular joints
During the tests to determine the load
transference in the annular joints, two
plane samples (length x width x thickness
= 510 cm x 200 cm x 70 cm) are coupled
on their narrow side (longitudinal joint)
(Fig. 4). In the longitudinal joint zone, both
sample front sides possess a flat edge
(please see Fig. 3).
Figure 4. Principle offorce transference in annular
joints with presentation of the measuring unit
Each of the two samples is connected
sidewise via a groove and tongue combi­
nation (annular joint) with a plane narrower
sample (length x width x thickness = 510
cm x 100 cm x 70 cm). The 2 m wide
samples are tensioned in their longitudinal
direction with four hollow piston jacks
and all four samples in a lateral direction
by means of five pressure jacks. The force
in the hollow piston jacks and the pressure
jacks is kept constant throughout the entire
duration of the test. The simulation of the
102
earth-pressure load is executed with the
help of four differential jacks, which are
set up directly alongside the longitudinal
joint. The resultant deformation of the two
large samples is hampered (ring coupling)
by the two adjoining small samples through
the groove and tongue connection (annular
joint).
The aim of this series of tests is among
other things:
• to verify the static formulations for the
ring coupling and
• to determine the limit value for the
moment transference between neighbou­
ring support rings.
Depending on the vertical load and given
pre-determined horizontal tensioning of
the samples in a longitudinal and lateral
direction, the bending, the joint deforma­
tions of longitudinal and annular joints,
the joint displacement at the annular joints
as well as the defomation of the concrete
surface at selected points are measured.
MAJOR TEST WITH ORIGINAL
SEGMENTS
1) General
The fourth tube of the Elbe Tunnel is to
be driven protected by a shield and will
be lined by reinforced concrete segments.
The segments are subject to load and
deform owing to the load of the soil caused
by the water present and additionally,
through the thrusting forces during tunnel­
ling. It is expected that the segmental
toothing (groove and tongue system) in
the annular joints in particular will be
subject to pronounced stresses. As a con­
sequence, the tongue and spring system
is to be thoroughly tested in a major test
at the STUVA in Cologne with respect to
the deformability of the tunnel tube. The
aim of this major test is among other things:
a) To determine the supporting behaviour
of a closed lining ring with actual segments
taking the force transference in the annular
and longitudinal joints into account.
b) The critical limit deformations given
imminent crack formation at the outer or
inner segmental surface or imminent flaking
are to be ascertained.
c) The safety values are to be derived by
comparing the overall deformations, deter­
mined to be critical during the test (e.g.
roof-base deformations) with the deforma­
tions, which actually occur during construc­
tion.
d) The force and deformation parameters
are to be compared theoretically with
certain deformations of the lining as exe­
cuted during the test.
tube of the Elbe Tunnel have been devised
in such a way that the test facilities can
also be used for other future tunnel projects
at home and abroad. For instance, the test
unit could also be used for testing the state
of the new Alpine tunnels in Austria and
Switzerland.
2) Test set-up
For the major test on a 1:1 scale, the test
set-up shown in Figs. 5 to 8 was selected.
The vertically arranged 4 m high tunnel
tube comprises three segmental rings,
divided up into two peripheral rings with
half the width and a central ring with the
full width (Fig. 5). The tunnel tube rests
on the floor of the hall. Low-friction sliding
bearings are set between the lower edge
of the tunnel tube and the floor, in order
to ensure that deformations of the tunnel
lining occurring during the test are not
hampered (please see Fig. 8). A reinforced
concrete abutment ring is positioned within
the tunnel tube (Fig. 6).

e) The supporting behaviour of the seg­

mental lining given different stresses as a
result of various construction states as well
as different bedding conditions in opera­
tional state is to be ascertained.

f) Examination of the effect of the laying

tolerances during the formation of the ring.

g) Testing the positional safety of the joint

sealing system given various deformation Figure 5. Arrangement of the segments in the load test
states.

h) If need be, correction of the general

segmental reinforcement structure on the
basis of possibly determined imminent
damage images.

The planning for the major test within the

scope of the aptitude tests for the fourth

103
 measured with the aid of suitable pressure
gauges.
The deformation of the tunnel tube is
measured in each case by two transducers
in the vicinity of the force introduction
points so that not only radial but also
tangential movements of the tunnel tube
in load state can be ascertained. Altogether,
192 transducers are required for this pur­
pose, which are attached to 24 reference
columns and the surface of the tunnel
tube. The load-free reference columns are
set up externally around the tunnel tube
and provide genuine deformation measu­
rements for the tunnel tube (Fig. 7).

Figure 6. Test facility with hollow piston jacks located

inside to simulate the ground load Ball socket joint

Upper load
distributor support

Pressure jack

Load distribution plate

Upper segment

Tension rod

Central segment

Figure 7. Arrangement of the reference columns and

transducers on tge segmental ring (topView)
Lower segment

A total of 96 hollow piston jacks are arran­

Lower load
ged within the abutment ring in order to distributor support
simulate the earth pressure load.
Packer
The hollow piston jacks are split up evenly
over the circumference of the tunnel tube
in 24 groups (Fig. 6). Each group of jacks SDdlng bearings
thus comprises four stacked hydraulic jacks.
Figure 8. Load device to simulate the driving force
The tensile forces of the hollow piston
(cross-section). Altogether, 48 of these load deVices are
jacks (approx. 2 MN per jack) are transferred needed to simulate the driVing force in keeping with
to the tunnel tube via tension bars and practise

104
The stacked segmental rings are additionally
connected with one another via tension
rods and jacks in order to simulate the
longitudinal forces of the tunnel (e.g. shield
driving forces). Altogether, 48 pressure
jacks (approx. 2 MN per jack) are required
for this purpose (Figs. 5 and 8).
For the deformation measurement of the
concrete surface of the segmental ring, a
total of some 150 inductive transducers
are applied at selected points but no ex­
pansion measurement strips (EMS). The
advantage of applying transducers is that
the measurements can be continued with
even in the event of cracks and they are
re-utilisable quite apart from being easier
to apply. In addition, expansions and
compressions as well as joint displacements
are measured using a total of around 100
potentiometric transducers.
3) Planned execution of the test
At the start of the test, the tunnel longitu­
dinal force will be exerted with the help
of the 48 vertically acting pressure jacks.
The tunnel longitudinal force totalling a
maximum of 96 MN stays constant over
the entire duration of the test.
In order to simulate the earth-pressure
load, hollow piston jacks arranged inside
the abutment ring are controlled with the
aid of a computer in accordance with pre­
determined load stages. In this connection,
the following modes of control are possible:
• force regulation (active jacks),
• path regulation (active jacks),
• regulation according to a spring
characteristic.
As far as the force regulation or path
regulation is concerned, the measured
force or the measured path (actual value)
is constantly compared with the intended
105
value. Given a load speed between 2
kN/ min and 20 kN/ min or with a deforma­
tion speed between 0.1 mm/ min and 1
mm/ min, the hydraulic jack is activated to
reach the given intended value. Once the
intended value is reached, this is kept
constant through continuously comparing
the intended-actual values.
With the help of the hollow piston jacks,
different ground supporting forces (e.g. in
the side-wall zone) can be simulated. For
this purpose, the jacks are position regulated
dependent on force in accordance with
pre-determined force-deformation charac­
teristics (spring characteristics). This Signifies
that given an increase in load in the side­
wall jacks, caused through a roof conver­
gence, these jacks lengthen the tension
rods in a controlled manner depending on
the given spring characteristic. In this way,
the tunnel lining in the side-wall zones
can yield outwards depending on the
increase in the selected spring characteristic.
For examples, the jacks first allow an
enlargement in the side-wall zone given
relatively high tensile forces, which act on
the tensile rods from the tunnel lining
given solid ground. In the case of soft
ground, greater deformations are present
in the side-wall zone given even slight
loads.
The division into active and passive jacks
can be undertaken as desired. The load
or deformation of the tunnel tube is exerted
gradually and in stages so that the test can
be carried out in a controlled form. Up to
1000 load or deformation stages are possible
per test. The given data for a load stage is
first activated through a start command
after the complete input of the relevant
data (e.g. intended value, alarm values).
Once the intended values of a load or
deformation stage have been attained, the
load state or the deformation state is kept
constant so that the tunnel tube can be
inspected e.g. for cracks. Subsequently,

the test is continued by activating the next

load or deformation stage. Corrections can
be undertaken e.g. in order to arrive at
the symmetry of the load or the deforma­
tion.

CONCLUSION

The planned shearing and flaking tests

together with the torsional rigidity test and
load transference will start in mid-1996
and the large-scale test in 1997. The tests
will be supervised by the Construction
Authority of the Free and Hanseatic City
of Hamburg, financed by the client - the
Federal Ministry of Transport, Bonn - and
carried out by the Consortium 4th Elbe
Tunnel Tube, Hamburg in conjunction with
STUVA.

106
EUROPEAN FINAL DRAn FOR A GEOTECHNICAL
ENGINEERING NORM ENV 1997·1
AND ITS MEANING FOR TUNNELLING
w. Sadgorski 1
ABSTRACT
After a preparatory period of more than
10 years an european prenorm (prestan­
dard) ENV 1997-1 for geotechnical design
was approved by the CEN for the use in
its 18 member countries as an alternative
to existing national regulations. After a
period of 3 years of provisional application,
it will be decided on a final introduction
of the document replacing relevant national
norms. This document is harmonized with
the further structural EUROCODES (EC),
all using the partial factors method for
safety verification and dimensioning.
The design philosophy as well as the most
important points of the documents content
are reported together with a statement of
its operationability. Special attention is
given to the importance of the norm for
tunnel deSign, both with opened and mined
tunnelling methods. Finally, some indication
is given on the necessity of maintaining
existing or introduction of further, more
detailed recommendations in order to keep
or even improve the quality of geotechnical
design.
THE EUROCODE SYSTEM FOR CIVIL
ENGINEERING
Following its intention to realize a common
market for the construction industry to
realize a common market for the construc­
tion industry within all member countries,
1
Dr. rer. nat., Bavarian Water Resource Authority Munich, Germany
107
the commission of the European Commu­
nity EC (at that time EEC) saw clearly, that
this could only be realized, if the relevant
regulations of the countries became har­
monized. Therefore it was decided to
elaborate common regulations for the
design and execution of buildings and civil
engineering works, called EUROCODES.
The programme for the so-called Structural
Structural Eurocodes, each consisting of a number of parts
EN 1991 Eurocode 1 Bosis of design and actions on structures
EN 1992 Eurocode 2 Design of concrete structures
EN 1993 Eurocode 3 Design of steel structures
EN 1994 Eurocode 4 Design of composite steel and concrete structures
EN 1995
EN 1996
Eurocode 5 Design of timber structures
Eurocode 6 Desig" of masonry structures
EN 1997 Eurocode 7 Geotechnicol design
EN 1998 Eurocode 8 Design of structures For earthquake resistance
EN 1999 Eurocode 9 Design of aluminium olloy structures
Figure 1. Eurocode Program
Eurocoded contains at its present stage 9
EUROCODES, each consisting of several
parts. Figure 1 shows the titles of the
EUROCODES main parts. For that purpose,
eventually existing regulation documents
by international profeSSional organizations,
such as Comite Europeen de Beton CEB,
should be used by a transformation in a
"model code". After the general parts of
most EUROCODES were completed as
drafts, the further work for approving by
the National Standard Organisations was
transfered into the auspices of the CEN -
Comite Europeen de Normalisation for a
treatment as European Norms.
The Hrst stage to be passed is the introduc­
tion as an european prenorm ENV after
formal voting with participation of all 18
member countries of CEN.
European prenorms shall be published
simultaneously in all 3 official languages
of CEN and be translated in further langua­
ges in order to be used experimentally, as
alternatives to existing national regulations.
The general parts of ENV 1992 for Concrete
Structures and ENV 1993 for Steel Structures
are going towards the end of the experi­
mental period. After an enquiry and com­
ments of the member countries, that have
to be considered in a defined period of
time by the responsible sub-committee
(SC) of CEN/TC 250, a Hnal version of a
EN can be introduced officially.
DEVELOPMENT AND TREATMENT OF
EC 7/ENV 1997-1 FOR
GEOTECHNICS
For geotechnical engineering no overall
document existed at the beginning of the
drafting in 1981. Therefore, by some ideal
support by ISSMFE an ad hoc committee
was created, consisting of representatives
of the Geotechnical Societies of the EC­
countries with the scope, to create a model
code for geotechnical design. This model
code was completed in 1987 and distributed
among the geotechnical societies of the
EC-countries but not published for public
use.
Then, a small group, called project team,
appointed by the chairman Prof. N. Krebs
Ovesen of Denmark adapted the model
code to the format of the other EUROCO­
DES, mainly defined by EC 1 - Basis of
design and actions on structures - whilst
some simplifications and reduction of
details were made. The product of this
work was presented as a European Norm
Draft to the CEN member countries for
attention and criticism of the profession.
108
After dealing the national comments in the
Subcommittee 7 of the responsible TC 250
of CEN, the draft was accepted by 1st of
November 1994 as an european prenorm
ENV 1997-1. The national versions however,
will be published virtually at the beginning
of 1996, so that the use of this prenorm
did not yet begin. In each member country
the ENV is accompanied by a National
Application Document NAD.
The first official probing period of 3 years
will end on the 1st of November 1997.
Then will be decided, if the prenorm will
be transfered into a definite EN after some
changes or a further period of 3 years of
testing will be necessary, before a final
decision is made. The actual development
in the most member countries indicates
that, according to procedural delay in
introducing the prenorm, a further 3-years
testing period will be necessary.
HEADLINES AND STRUCTURE OF
EC 7/ENV 1997-1
The EC 7 is subdivided into 9 chapters,
titled as indicated in Fig. 2 and supplemen­
ted by 7 annexes with an informative
character. Concerning the importance of
the statements, the text is subdivided, as
usual for all EUROCODES, into principles,
which must be fulfilled, and rules of appli­
cation indicating possibilities, how the
principles could be fulfilled but other
solutions are not excluded. The values of
partial factors for actions and resistances,
specific to geotechnics are offered in ENV
1997-1 as so called "boxed values" for
orientation. Official values for each member
state shall be given in the relevant NAD.
A comparison of EC 7 with other published
structural EUROCODES, such as EC 2 and
EC 3 results, that the degree of detailing
in treatment possible cases is considerably
lower as for that documents and therefore
EC 7 is less operational. In some countries
 ENV 1997-1
Eurocode 7 Geotechnical Design, Part 1 General Rules
GENERAL
2 BASIS OF GEOTECHNICAL DESIGN
GEOTECHNICAL DATA
4 SUPERVISION OF CONSTRUcnON, MONITORING AND MAINTENANCE
5 FILL, DEWATERING, GROUND IMPROVEMENT
SPREAD FOUNDATIONS
PILE FOUNDATIONS
9 EMBANKMENT AND SLOPES
ANNEXES
itself and its elements, the ground and
Figure 2. Contents of EUROCODE 7
it will be used by assistance of some further
norms, which follow the principles of the
ENV 1997-1, but offer much more details
at the level of application rules and give
the numbers for partial factors, valid for
that country.
MAIN FEATURES AND PECULARITIES
OF EC 7/ENV 1997·1
The ENV 1997-1 contains several important
fundamentals, that distinguish it from pre­
sent practice in the most countries, such
as:
• Geotechnical Categories,
• Clearly defined limit states and Cases A,
Band C,
• Characteristic Values for actions and
material resistances,
• Well specified limit modes to be checked
for every type of geotechnical structures,
• Use of constant partial factors to be
applied to characteristic values in order
to obtain design values of actions and
resistances,
• Introduction of the Observational Method
as an accepted design method for the
109
most geotechnical problems.
Geotechnical Categories
Three Geotechnical Categories (GC) were
introduced in order to establish adequate
requirements for the extent and quality of
geotechnical investigations, calculations
and construction control checks. A classi­
fication of a structure in a given site in a
GC shall take into account to the structure
groundwater conditions as well as to the
environmental conditions and regional
seismicity.
Category 1 applies only to simple structures
in simple and well known conditions.
Category 2 includes conventional types of
structures with normal risks, whereas more
complicated cases belong to GC 3. All
tunnels and underground structures will
be treated within this Geotechnical Cate­
gory, which requires the involvement of
geotechnical specialists, experienced in
tunnelling and non-conventional design
methods, when necessary.
Limit States
In all structural EUROCODES a clear di­
stinction is made between Ultimate and
Serviceablity Limit States (ULS and SLS),
whose prevention can be assured by one
of the following ways:
- use of calculation models,
- adoption of prescriptive measures,
- experimental models and load tests,
and/ or
- application of the observational method.
Following the provisions of the ENV 1991
"Basic of design", the ENV 1997-1 distin­
guishes 3 cases for occurence of a ULS ­
A,B and C. Case A applies only, where no
strength of material is involved, for ex. in wall (Fig. 4), then a partial factor for actions
byoancy problems. Case B is applicable, = 1,35 will be applied to the characteristic
where a failure mechanism occurs in a value of E, which is calculated with the
superstructure, a road or installation after characteristic ground parameters.
considerable deformation in the ground,
but without a failure mechanism in itself.
Case C shall be considered, when a failure
mechanism occurs in the ground.

Figure 3. Generalized load/deformation kuroe and

ranges of limit states

Figure 4. Bending moments in a sheet-pile wall with

Fig. 3 demonstrates the range of the ULS
cases Band C on a generalized stress­
strain curve for a ground together with the
SLS range. In practice however, it might
be difficult to decide, after which of both
cases a problem should be dealed.
For the use of calculation models desing
values are needed, which shall be normally
obtained by application of partial factors
to the characteristic values of actions and
resistances. Within the normal interaction
between ground and-structure however,
in some cases it is difficult to separate
ground actions from ground resistance.
Passive earth pressure for example shall
be dealt as a resistance when assessing
the necessary length of a sheet-pile or cut­
off wall (case C) by application of partial
factors on the shear strength parameters
of the ground. But the passive earth pres­
sure shall be considered as an action, when
calculating the bending moments of the
total (air) and partial factors (neu)
a) supported by 2 prop levels
b) supported by 1 prop and embedment in ground
Characteristic Values
The ENV 1997-1 defines the characteristic
values of ground parameters a as a con­
servative best estimate of the value affecting
the occurence of the limit state under
consideration. The extent of the zone in
the ground is rather large for the most
types of failure and in such cases a cautious
estimate of the mean value of the parameter
over this zone is the governing parameter.
Overall Treatment
The ENV 1997-1 specifies in its special

110
chapters 6 to 9 for every type of structure
the possible or credible limit situations,
that could lead to a limit state. The safety
of a geotechnical structure is considered
as verified, if it can be assured, that for all
possible limit situations, an adequate safety
margin is available. In these verifications
adequate procedures shall be applied for
each design situation - either calculation
models or prescriptive measures, in some
cases in combination with the observational
method.
Partial Factors
The perhaps most important feature of the
Eurocode System is the partial factors
method as a part of the probabilistic phi­
losophy in safety assessment. The develop­
ment of this method in geotechnical engi­
neering was summarized for ex. by
Meyerhof (1993). It was however clear,
that the set of values for partial factors to
be used in practice should be kept as small
as possible for both actions and material
resistances. It was intended, that the nu­
merical values of the partial factors should
be evaluated on a statistical or semi­
statistical way.
The ENV 1991-1 offers as an indication so
called "boxed" values for safety factors of
actions and combination factors, that are
generally common for all types of structures.
Further parts of this ENV which are pre­
sently under preparation, will contain
values of actions for different situations to
be introduced in calculations for all types
of structures, including geotechnical struc­
tures.
In Denmark, the partial factors method is
used in geotechnics for a long time. The­
refore, for the sets of partial factors for
ground parameters the system and the
numerical values of the Danish Code of
111
Practice were accepted as "boxed" values
in ENV 1997-1. For the assessement of
values of partial factors for geotechnical
design, in some european countries a large
amount of calibration calculations was
carried out. The results indicated the need
of much more sophisticated sets of partial
factors, if in future geotechnical structures
should be as safe and economical as pre­
sently.
For example in Germany in an EC 7­
harmonized norm DIN 1054-100, which is
introduced as an annex to the NAD, a
detailed set of values of partial factors for
actions and ground parameters for geo­
technical design on the basis of the cali­
bration calculations is offered. Instead of
the use of combination coefficients, this
DIN-supplementum follows the traditional
distinction between 3 loading cases. In
other CEN member countries parallel de­
velopments took place.
Observational Method
This method's application in geotechnics
was primarily defmed by Arthur Casagrande
and became usual in complicated situations.
Sub-chapter 2.7 of ENV 1997-1 states, that
"Because prediction of geotechnical beha­
viour is offen difficult, it is sometimes in
which design is reviewed during construc­
tion". Then, a set of requirements shall be
met before construction is started, which
include:
- establishing the limits of acceptable
behaviour,
- assessing the range of possible behaviour,
- devising a plan of monitoring, and
- devising a plan of contingency actions,
which may be adopted, if monitoring
reveals behaviour outside acceptable
limits.
APPLICATION IN TUNNELLING level of the EUROCODES but under some
DESIGN circumstances they could be interpreted
as extended GC 3 approach. Among the
ENV 1997-1 puts with a good reason prac­ publications on this topic the report by
tically all underground structures into the Nelson, Petersen, Einstein and Hood (1992)
GC 3. The provisions of the prenorm are shall be noted.
in any case valid for such cases as orien­ In mined tunnelling the observational
tation lines, but further methods and pro­ method reaches perhaps its most profitable
cedures are mostly necessary to fulfill the field of application in the concept of the
fundamental requirements for such struc­ New Austrian Tunnelling Method CNATM),
tures. proposed in its whole philosophy by La­
For tunnels to be constructed by opened dislaus von Rabcewicz and Leopold Muller
methods, the most important chapter of CRabcewicz 1965 etc.). In some sense
the prenorm is Ch. 8 Retaining Structures. therefore this method can be considered
This applies specially with cut-and-cover as a road-maker of the observational me­
construction scheme for design, that may thod in whole geotechnics, that is now
involve in the most general case all 3 cases­ legalized by the ENV 1997-1.
A, Band C. The design earth pessures,
that include in the context of ENV 1997­
1 water pressures, shall be determined for
OPERATIONABILITY OF THE
the cases Band C by different ways of
EUROCODES AND FURTHER
application of partial factors, as indicated
DEVELOPMENT
above. At least during the period of provi­
sional application it is indispensable, that
The published general parts of the EURO­
every design must satisfy both cases in all
CODES / ENV's 1992, 1993 and 1997, which
their respects, as formulated for ex. by
relate to tunnelling do not suffice as regu­
Simpson (1993) in order to assure adequate
lations, which enable engineers to produce
design level.
structures, that are in the same time as safe
During execution supervision with follo­
as necessary and as economical as possible.
wing assessment of behaviour shall be
An evaluation of operationability of the
carried out according to Chapter 4. of ENV
mentioned EUROCODES was recently ma­
1997-1. For sites with ground water level
de by the reporter CSadgorski 1995). Further
above excavation bottom the continuous
parts of this norms are under preparation,
measuring of ground water level is normally
for geotechnical design these are the parts
the most important point to be involved.
2 and 3 of ENV 1997, dealing with essential
Further measurements may include anchor
requirements for laboratory and field testing
and prop forces, displacements etc.
and their interpretation.
The application of the limit state method
It is considered in many countries, that for
in the design of mined and especially TBM­
a long period of time supplementary do­
driven tunnels can be considered as rela­
cuments on national or multilateral basis
tively new field. An example was reported
will be necessary to assure adequate quality
by Sato, Watanabe & Koyama (1993) with
of civil engineering design . This valids
a trial tunnel segment design. More sophi­
especially for geotechnical engineering,
sticated probabilistic approaches seem to
where very different ground and ground­
be very useful on this field; they however
water conditions lead to different methods
normally surpass the costant partial factor
of ground investigation and design and

112
also to adapted tunnelling methods. Optimal Sato, Y. , Watanabe, T , Koyama, Y. (1993):
design in civil engineering however can Trial design of a tunnel segment by limit
not be guaranteed only by norms even if state method., Internat. Symposium Copen­
they are well detailed and by good expe­ hagen 26-28 May 1993, p. 373 -378.
rience of the designer. AB a supplementary
"line of defence" in some european coun­ Simpson, B. (1993): Partialloadfactor.s in
tries, almost every design is legally required Eurocode 1 and Eurocode 7. Internat.
to be checked and approved by a specially SympOSium Copenhaben 26-28 May 1993.
chartered very experienced and neutral
engineer. This helps to establish a optimal
quality of design. Hopefully this system
will be introduced by more and more
countries for the benfit of the people in
our countries.

REFERENCES

CEN Comite Europeen de Normalisation

(1994): ENV 1997-1 Eurocode 7· Geotech­

nical Design - Part 1: General Rules, English

Ver.sion, Versions in French and German

availahle.

Meyerhof, G.G. (1993): Development of

Geotechnical Limit State Design. Internat.

SympOSium on Limit state design in geo­

technical engineering. Copenhagen 26-28

May 1993, p. 1-12.

Nelson, PP , Peter.sen, CR., Einstein, H.H.

and Hood, M. (1992): ManufactUring un­

derground space. Proceedings of the inter­

nat. congress Towards New Worlds in Tun­

nelling, Acapulco 16-20 May 1992, p . 29­

3 6.

Rabcewicz, L. von and Sattler, K. (1965):

Die Neue Osterreichische Tunnelbauweise.
Der Bauingenieur 4 (1965), S. 289-301.

Sadgorski, W (1995): Die Europaische

Vornorm ENV 1997-1 - grober allgemeiner
Rahmen oder Zeitbomhe? GEOTECHNIK
18 (1995), H. 3, S. 131-13 7.

113
TBM-SIMULATOR - INTERFACE MODEL
BETWEEN MACHINERY AND LINING
H. Erten 1 G. Kriegl 2

ABSTRACT this project, savings in excess of additional

investment have been obtained for tunnel
Full or partial automation of TBM conceals
lengths greater than appr. 2 km. These and
great potential for advance rate improve­
related potential benefits have stimulated
ment and reduction of risks. State of the
efforts towards automation of TBM.
art machines have reached a standard, that
enables this step to be taken easily, in Project Est Quest Liason Express - Paris.

Tunnellntergare

conjunction with a suitable segmental lining Location Paris. France

and fitted automation system. The TBM­ Owner SNCF

Contractors DG Construction (France)

Simulator described here has been designed Desquenne et Giral (France)

Lodil'liani S.D.A. (Italy)

and built parallel to the development of Machine manufacturer Alpine Westfalia Austria)

such an automation system. Having fulfilled Length 2 x 1700 m

Diameter 7,4m

its first purpose, to support this project, it

is available for presentations, training and Table 1. EOLE Main Project Data

new development programs, to make a

contribution to the further development
of tunnelling technology.

INTRODUCTION
To assess potential benefits of full automa­
tion of segmental lining installation behind
TBM's, case studies have been conducted
by D2-Consult. For the one presented
below, data have been taken from EOLE­
Paris Tunnel Intergare Project, 1st stage
(Tab. 1). Considering the estimated duration
of each elementary operation in the process
network for automated segment installation
(Fig. 1), time savings of approx. 35% of
average manual ring installation time have
been calculated. Extrapolating from the
actual length of the tunnel to different
lengths, the ratio of savings to additional
investment for the automation system have
been computed (Fig. 2). For the data of
Figure 1. Principal Steps fo r Automated Segment Installation

1
Oipl.-Ing., 02 Consult, Linz, Austria

2
Ing. , 02 Consult, Linz, Austria

115

Figure 2. Profitability of Automation
Some of the general (deSigned) features
of the overall automation system are :
• Application on state of the art TBM with
minor adaptations of design of machine .
• Higher advance ·rates with better quality
of finished tunnel compared with manual
operation.
• At least same reliability, availability and
durability as with manual operation.

ERECTOR-AUTOMATION • Financial benefits for clients when tunnel

length exceeds a (project dependent)
One of the main conditions for the suc­ critical value.
cessful implementation of an automated The usual control circuit (Fig. 3) is closed
segment installation system is a suitable by the human operator, who, despite assi­
lining design. Therefore, an optimally suited stance by the low-level sensory, has to
unified ring design consisting of sliding rely to a great extent on his senses and
segments with integrated guiding elements judgement. The automation system does
and joint connectors has had to be de­ not change the main control circuit of the
veloped as the first step towards erector machine. It generates the input (Fig. 4),
automation. This system has in the mean depending on the present state as measured
time been established, in a variety of by the high-level sensory, that would
derivatives, as a reliable , high quality usually be done by the human operator,
segmental lining design installed so far by who in this case acts as supervisor.
operators. The valuable experiences that That precision, reliability and ruggedness
have been collected thus have systematically
and thoroughly been integrated into the
subsequently described automation system
of D2-Consult.
In a second step, the state of the art of
TBM-technology, of relevant actuators and
sensory have been investigated, the latter
especially concerning reliability under
similar circumstances as would be met in
a TBM-driven tunnel. Principal geometric
Figure 3. Control Circuit with Human Operator
relationships for the mentioned segmental
lining design have been implemented,
enabling full, on-line computer-generation
of rings and segments.
During the last three years, the actual
automation components including custom
built sensory and hardware, algorithms
and software have been developed, tested
and partially implemented, in consecutive
steps. Figure 4. Control Circuit for Automation

116
are not mutually exclusive in sensory,
contrary to common conception, has been
demonstrated with the SEES (Sensory
Equipment for Erection of Segments) line
of products. The same control algorithm
that is designed to operate the (aux.) thrusts
of TBM during segment insertion, for long
has been integrated in D2-Consult's fully
computerised quality control unit for me­
chanical (500 kN capacity) testing of seg­
ment joint connectors, as is commonly
required by clients.
Since TBM's are custom built machines, a
parametrisation of relevant data has been
implemented, in order to meet the requi­
rements of a number of variants (Fig. 5).
The overall system has been divided into
modules which can be used separately, so
that individual components of a Tunnel
Boring Machine can be operated automa­
tically and complexity of the whole system
is reduced (Fig. 6).
Figure 5. Parametrisation
Figure 6. System Modules
117
The automation system can cover all pro­
cesses, from delivery of segments to deter­
mination of optimal ring rotations. This
latter feature is available with the advance­
control module, for which the knowledge
of the accurate TBM-position is a base
condition. This information must be deli­
vered by an external surveying module.
Based on the comparison between actual
machine-position and target alignment,
drive-capabilities of the TBM and geometric
relationships regarding segmental lining,
an optimised advance-path is determined,
which is the base for subsequent machine
instructions for the involved thrusts. These
partial tasks are co-ordinated by a higher­
level control unit and instructions are sent
to each low-level control module.
In accordance with the automated advance,
the computer-system controls the installa­
tion of segments. The position of individual
rings and segments are generated in real­
time to follow the given drive-path. Instal­
lation of segments is assisted by custom
built sensory to guarantee correct final
position for stress-free installation.
TBM-SIMULATOR
As a permanent guide to the development
of the automation system, a TBM-simulator
has been designed and built. This process
simulator has fulfilled its first purpose, that
of supporting this project and is available
for use for presentations, general training
purposes and further development efforts.
Due to intended multipurpose use of the
simulator, apparently contradicting requi­
rements have had to be balanced during
the deSign, like full functionality in a limited
space, feedback of all important process
information, precision, full transportability,
transparency of all functions, modification
of configurations etc.
Main technical data of the
TBM-Simulator are:
• Shield diameter 40 cm and total length
160 cm
• Fully transportable
• Aluminium-steel construction with high
stiffness with transparent-plastic shield
• Boring head driven by up-to three fre­
quency controlled motors
• Boring head advance by three position­
or-force-controlled thrusts in all three
directions
• Telescoping shield driven by four cylin­
ders with four grippers in X-configuration
• Main shield driven by twelve symmetri­
cally arranged position-or-force-controlled
thrusts and two grippers in y-confi­
guration
• Segment ring erector with six degrees
of freedom and exchangeable gripping
mechanism
• Segment delivery system for six segments
with transfer table and delivery stacker
• Five complete rings of thirty segments
• A total of seventy-eight sensors for
process feedback
• High-performance PLC-unit with PC
interface
• Electronics for control circuits
• 1l0V 1 220V, 50160 HZ, 600 W power
supply
• Personal computer with automation
software, multi-screen process monitoring
and process animation
• Manual control board for semi-automatic
and manual operation
118
Possible modes of operation and con­
figurations are :
SHIELDED-TBM WITH GRIPPERS
Shield advance:
a. With auxiliary thrusts
b. With telescoping cylinders
Boring-head advance:
a. With position-control and force monito­
ring
b. With force-control and position monito­
ring
SHIELD WITHOUT GRIPPERS
Shield advance
a. With position-control and force monito­
ring
b. With force-control and position monito­
ring
INSTALLATION
Erector with six degrees of freedom and
exchangeable gripping mechanisms
a. One cylinder for lifting of segments
b . Two individually actuated cylinders for
lifting of segments
Segment delivery from
a. Crown
b. Invert
Some possible simulation programs with
the TBM-Simulator are:
• Torque-break coupling with boring head
and cross-section resistance with varying
stiffness
• Advance-excavationlinstallation co­
ordination
• Comparison of erector configurations
• Comparison of gripping mechanisms
• Installation-segment delivery co­
ordination
• Different segment installation strategies
• Automatics vs. manual operation
• Error simulation and handling
Some possible training programs are:
• Co-ordination of advance, installation
and logistics (for continuous operation)
• Optimised segment installation strategies
• Operator-machine interaction
• Time-dependant and time critical opera­
tions
• Optimal logistics analysis
• Process automation; test and optimisation
of algorithms
Optimisation with TBM-Simulator
• Of machine control mechanisms
• Of co-ordination between excavation
and installation
• Of co-ordination between installation
and segment delivery
• Of segment installation strategies
• Of segment and ring design
• Of automation algorithms
• Of all other logistics
Possible applications ofTBM-Simulator
within R&D projects are :
• Adaptation of national tunnelling pro­
grams to mechanised and automated
TBM-concepts
119
• Torque-resistance relationships for geo­
logic variation and evaluation of FEM­
calculation
• Machine control-resistance interaction
with varying cross-section stiffness
• Optimisation of machine control circuits
with spring-damper systems
• Erector kinematics analysis
• Optimal segment installation strategies
• Logistics analysis
• Process automation
• Operator-machine interaction
The control software for the automation
system has been adapted and implemented
for the TBM-Simulator. In this implemen­
tation a separation between high-level­
control (Le. synchronisation of the erector
with the advance system) and low-level­
control (i.e. segment-gripping with the
erector) was performed, which guarantees
proper communication and operation for
time-critical tasks, thereby improving overall
reliability (Fig. 7). Care was taken that the
high-level-control-system has access to all
relevant sensory data, so that Le. process
monitoring and adaptation of control
algorithms can easily be performed. A
state-of-the-art user-interface was realised
(Pic. 1-5).
User·lnlerface
IPC Parameler Selup
High-Level Conirol
Control Command
TBM State Infonnatio
AcIuaI SonsC<)' Value
Low· Level ConllOl
PLC Tim&-Crltlcal Operations
Actuator Set Values
Adual Sense<y Values
TBM-Slmulator
Sensors
Actuator
Figure 7. Hardware Architecture
Picture 1. User-Interface Overview Picture 4. Sensory-Parameters

Picture 2. Erector Control Picture 5. Advance Information

Picture 3. Ring-Parameters

120
DINNER SPEECH

DINNER SPEECH
S. Pelizza
Ladies and gentlemen and dear friends of
the tunnelling community, I don't want to
disturb your conversations but I would
like to say a few words, even though it
isn't easy for me to speak after the sparkling
aperitif and this delicious meal. I don't
want to compete either with the main
actors of tonight.
This evening, in a romantic and splendid
castle, has been very pleasent for me and,
as I can hear from the conversations around
me, for you too.
The work meetings today were long and
exhausting but very interesting as those of
tomorrow will be. Our chief, Mr. Wagner
is a hard taskmaster! He wants us to work,
work and work more. But, we are here to
work!
On behalf of the International Tunnelling
Association and on my personal behalf, I
would like to express our very warmest
compliments to the organizers of this
International Lecture Series on mechanical
tunnelling for the success of the public
and the quality of the presentations. The
International Tunnelling Association is
completely satisfied to have sponsored this
meeting.
Why did International Tunnelling Associa­
tion sponsor this meeting?
There are many reasons, due to the pur­
poses of ITA.
First of all we feel that in order to diffuse
and improve the use of underground space
it is necessary to increase the knowledge
and the serious and qualified preparation,
in an international contest, of the operators
is Prof., President of the International Tunnelling Association, Bron Cedex, France
123
1
in the field of undergound construction:
this meeting is a concrete example. Secon­
dly, we have realized that owners have
participated in this meeting: this is an
important and praisworthy fact that cha­
racterizes Austria. There are two represen­
tatives of the Owners here present: the
governor of Upper Austria and the muni­
cipality of the City of Linz, who I wish to
warmly thank for having participated and
for giving their support.
The Owners promote and fmance the most
important public services works, among
which, the use of the underground. If one
considers that underground works are
traditionally penalized by risks of a various
nature, the Owners have two fundamental
needs for the future :
1. That underground constructions should
cost as a little as possible.
2. That the costs and construction times
forseen during the planning are guaran­
teed.
How can we satisfy these needs? The
International Tunnelling Association, amon­
gst other things, is following two roads,
thanks to the activities of the Working
Group.
First of all it is increasingly more necessary
to improve the preventive knowledge of
the rock mass, during the planning stage.
This is an obvious statement but also very
difficult to put into practise.
Secondly, but no less important, is the
technological improvement. In this sense, Simulator behind me is an interesting

the fullface excavation is, today, being machine to illustrate the interface between

deeply developed. This however presents machinery and the tunnel lining.

great problems. It is really necessary to Unfortunately in the recent past several

build the "universal machine" that is able collapses of tunnels under construction

to get over all kinds of heterogenities and have occured throughout the world, both

geological difficulties? Or would it be with conventional and TBM methods. These

better to use a less complex and less facts are of the worst propaganda for the

costly machine while running some risks? diffusion of the use of the underground.

But what risks? Again a good preventive All of us are interested in avoiding these

knowledge of the geological situations facts, which don't usually depend on the

proves to be extreemly important. technology. We must convince the Owners

However, the improvement of the geolo­ to spend more money on the studies and

gical knowledge costs in terms of time the preliminary geological and geotechnical

and money. investigations, showing them that this

The decision is influenced by many and money will then be greatly saved during

varied factors. It can't be a deterministic the construction. We must also improve

decision; it can only be a decision in the relationship between the Contractor

probabilistic terms, in a field of uncertainty. and the Engineer in such a way that the

Professor H. Einstein today showed us a first does not run excessive risks and the

numerical instrument for the probabilistic second is more ready to recognize dange­

evaluation of the risks of an underground rous situations and to furnish the instru­

construction, in terms of times and cost, ments to overcome them.

the OAT - Decision Aids for Tunnelling I'll stop here. I've already been too long!

- instrument. Other speakers have infor­ I hope you enjoy the rest of the dinner,

med us of different types of machines, of have a good night and a good day tomor­

linings, of site organizations in such a row.

way as to improve the perfectioning of Thank you all for having kindly listened

the choice of a machine. This TBM- to me.

Landesrat Franz Hiesl convrys thanks and appreciation on behalf of the Upper Austrian Government to Professor
Pelizza in the dinner hall of 5chloft Weinberg.

124
 BLOCK C

YBM CHALLENGES
EXPERIENCES IN MECHANIZED
TUNNELLING
1 2
S. Babendererde L. Babendererde
J

INTRODUCTION spread out before the permanent lining

can bear the spent forces. Otherwise the
The desire to banish the unpleasant side lining will be destroyed in a slow, but
effects of our highly developed life style inexorable process.
from our field of view, as well as the need
to travel even faster, leads to more subter­
ranean transport routes and boosts tunnel
construction, as did the period of rail
construction in the previous century.
However social progress demands more
humane working conditions, which can
only be achieved by the intensive use of
machines.
We therefore find ourselves at the moment
in a hectic period in the development of
machine tunnelling.

MECHANICAL TUNNELLING IN
HARD ROCK
However machine tunnelling must also
cope with the varied geological conditions.
He who confronts the forces of nature
must be sure of his own strength.
It is usually wiser to avoid this battle of
strength and to seek a way to utilize the
forces of nature.

Squeezng Rock-Yacambu Tunnel

On the Yacambu tunnel in Venezuela this
insight was lacking. The rock strength
surrounding the 27 km long water supply
tunnel is too low for the overburden. The
load bearing perimeter zones of the driven
tunnel have first to increase by deforming. Figure 2. Structure of a rock support ring Freudenstein
The loads from the overburden must first machine

1
Dr.-lng., lngenieursozietat Babendererde, Lubeck-Travemunde, Germany
2
Dipl.-lng., lngenieursozietat Babendererde, Ltibeck-Travemunde, Germany

127
There is a tunnel boring machine for even several factors which are typical for me­
these extreme geological conditions, a chanical tunnelling:
TBM with an expandable blade shield and • The use of industrial working practice
a retractable lining. It was designed for results particularly in tunnel construction
the Yacambu tunnel, but first tested years to surprisingly high production and thus
later on the Freudenstein tunnel in Baden­ to considerably lower costs.
Wtirtemberg, because on the Yacambu • High drive rates are not reduced by
tunnel it was not understood that unusual increasing drive length, provided the
rock conditions also demand unusual transport system is of sufficient capacity.
construction systems. • Constant high production can only be
And so it is that today, after 20 years of attained after an initial adoption and
construction only half of the tunnel has learning phase.
been driven. Initially the attempt was made • The learning and modification phase
with conventional TBMs on the basis of lasts about a year. Thus it is that short
tunnels do not emerge from the learning
the geological report which promised stable phase.
rock. Subsequently conventional drill and
blast and later road headers were used.
But also TBMs with rigid shields will not
be able to complete the tunnel in rock
with a convergence of up to 20 cm in 20
minutes.
The Yacambu affair is a good example, on
the one hand of the high state of mechanical
tunnelling development and on the other,
a symbol of the limited awareness of many
tunnellers, hide bound by tradition, who
cannot draw any conclusions from such a
situation.

Industrial Tunnel Construction ­

Channel Tunnel
Figure 3 . Cumulative production chart
The channel tunnel can serve as an opposite
example. With 11 tunnelling machines,
the three tunnels were driven in a record
period by the consequent application of
industrial working processes.
However, in passing, why was the service
tunnel not designed with the same diameter
as the running tunnels? The additional
costs would have been fractional, but there
would have been a permanent alternative
line in the case of maintenance work during
rail operation.
From cumulative production charts of the Figure 4. Tunnel drive in diffiCUlt rock; IBM in
11 channel tunnel machines, we can deduce squeezing rock

128
Selection of tunnelling method ­
Spectrum of machine tunnelling
The tunnelling machine must be designed
for the predominant geological conditions.
This presupposes realistic assessment of
the geological conditions. This information
must be competently and in detail incor­
porated into the machine and production
design. This is an involved, complex and
expensive process, which however deter­
mines the success or failure of the project.
The mechanical solution must, to a certain
degree, also tolerate a deterioration of the
geological conditions, while maintaining
the production.
However extensive geological faults can
not be the criteria for the choice of tunnel­
ling system. They are, depending upon
their nature, always a challenge for tunnel
construction, whether conventional or
mechanical.
Rio Chixoy Tunnel
On the 27km long supply tunnel for the
Rio Chixoy power station in Guatemala, a
hard rock machine was buried under an
erosion cavity. The 29m wide fault which
followed with high water influx at 19 bar
were conventionally driven.
It took 13 months.
On the same project, from the Quixal
portal, the bore holes closed up in the soft
rock before they could be charged. After
1800m the drill jumbo was replaced with
a road header. After a further 1800m it
was clear that this method was not econo­
mical in the soft rock with high water
influx. The hard rock TBM subsequently
used exceeded all expectations from the
start and achieved advance rates several
times higher than those previously attained
with the same water influx.
Direction of development for bard rock TBMs
The opinion that in difficult geological
conditions a conventional drive is to be
129
preferred to a machine drive does not take
account of the state of the technical de­
velopment.
Shield
Even in hard rock, TBMs are increasingly
used in a shield. The water supply project
in Lesotho can serve as an example. Of
the tunnelling machines used there in
broken rock, the one operating in a shield
with one pass tubbing lining was the most
successful. The tunnel section concerned
was 19km long.
Cutter head
Future hard rock TBMs should not only
be mounted in a shield, but must be able
to drive with an unstable face.
With a face that is not absolutely stable,
the excavated material must pass through
the front surface of the cutter head and
not visa scoops at the periphery. The vital
area of the crown must , as far as possible,
be continually supported.
In broken, fissured rock, many TBMs have
had the peripheral scoops covered with a
grill to avoid advance overbreak.
It is indisputable that in sound rock, protru­
ding cutter tools, a wide tool gap in front
of the cutter head and large scoops at the
periphery can clear the cut material easily,
quickly and with a minimum of wear. But
on which drive does one have continuous
sound rock?
The cutter heads of the Swiss TBMs, first
that of the Gubrist tunnel with perimeter
scoops and later that of the B6zberg tunnel
with slits in the front face of the cutter
head, show the design consequences of
this insight.
 it remains effective in fissured rock. Poly­
mers will permit a large step in the de­
velopment here as well.

MACHINE DRIVE IN LOOSE GROUNDS

Support of the face
For hard rock TBMs, excavation is the
critical activity, while on soft ground TBMs,
support of the usually unstable face is vital.

Open Shields
On earlier shield drives an unstable face
lead to problems because of the difficulty
of controlling the excavation, even when
the face was supported by a natural ramp.
Figure 5. Gubrist TBM
Platforms, which subdivided the shield
cross-section, or hydraulically operated
support plates to intermittently support
the face could do little to reduce the
settlements at the surface. In soft ground
the cover is usually fairly small.
Even compressed air could help in only a
few cases. Generally the compressed air
support depended upon the permeability
of the ground at the time.
In 1970 in Hamburg, as a result of the Elbe
tunnel drive, the subsidence in an exclusive
residential area reached 20cm. From this
moment the first phase of the tunnel con­
struction in soft ground, the shield drive,
was finished.
Bentonite TBM
Only four years later, 1974, the Hamburg
waste water authority displayed considera­
ble courage and awarded a tunnel contract
to a consortium under the leadership of
Wayss & Freytag. The tunnel was to be
driven using a TBM which supported the
Figure 6. B6zberg TBM
unstable face with a bentonite suspension
under pressure.
Fluid support In the subsequent 20 years a very suc­
cessful, because very reliable, tunnelling
In future, an unstable face in hard rock system has been developed. However, as
will also be supported by a fluid. The is often the case in life, one's origins cast
support fluid will be highly viscous so that long shadow.

130

Figure 7. Hydro-shield system
And so it was that the original developers
of the Hydro-shield did not, for a long
time, completely trust their bentonite sup­
port; for they tilted the face by 10 degrees,
in spite of all the mechanical problems
this involved.
Also the concept of operating the cutter
head within the shield is based on the long
experience of the developers with shield
drives in compressed air, where it was
necessary to drive the shield blade as far
as possible into the ground so as to reduce
air loss.
It was only the difficulties with hard rock
strata, which could neither be cut by an
advance shield blade nor by puny over­
cut tools; or the high wear of the spoked
heads due to gravel particles in the gap
between the shield and the spoked head
which forced reflection and finally, if
heSitatingly, the installation of a perimeter
rim to the cutting head rotating in front of
the shield blade.
On TBMs with fluid support, the crown
remains the critical support area. During
the operating mode, when the fluid support
is effective, the crown is supported, even
in the area of the rotating rim, because the
suspension penetrates around the blade
into the steerage gap and there maintains
a predetermined pressure.
131
However in the operating mode under
compressed air, when the working chamber
has to be manned to replace tools, it is
necessary to determine whether the com­
pressed air can support the ground present.
Without a continuous rim, stones in the
crown can not be supported by compressed
air alone. A spoked cutter head in front
of the shield without a rim in loose ground
is a risk. The slides show a TBM as it
started and on break through. The learning
process is apparent.
Although TBMs in which the face is sup­
ported by a bentonite suspension have
been developed a long way, there remain
several problems which must be solved.
To date there is no reliable method of
measuring the actual volume of excavated
material which is extracted by a centrifugal
pump from the working chamber of a TBM
with bentonite support. One can not
measure the excavated volume and com­
pare it with the theoretical amount to assess
whether overbreak has occurred. On a
metro drive, it was only after a house
above the drive showed cracks that it was
realised that 70m3 excess ground had been
excavated.
The only system as yet involves radioactive
substances which can only be used under
almost insurmountable official hurdles.
Earth pressure TBM
This problematic volume control is easier
to achieve on a TBM which supports an
unstable face with the excavated material
itself. These earth pressure TBMs were
developed in Japan where the volcanic
soil is generally finer and more homoge­
neous than our sedimentary strata, which
is often strongly influenced by glacial
activity. A similarly soft plastic excavated
material, with which one can support an
unstable face as with a viscous fluid is
seldom to be found here. We often have
to modify our soil in the working chamber
of the TBM, so that it can serve as a support
medium for an unstable face in an earth
pressure TBM. This demands intensive
and competent preparations, for the variety
of soils possess a variety of mechanical
properties.
Figure 9.
Polymers for preparing the earth slurry
Special polymers, often in the form of
foam, which reduce the friction between
individual soil particles and thus fluidise
the ground are particularly useful. The
132
soil fluidisation not only ensures that the
required support pressure can actually be
transferred to the face, it also reduces the
frictional force which the drive has to
overcome when the cutting head is rotated
in the support medium. The power requi­
rement for an earth pressure TBM without
the frictional reduction is about as twice
as high as that for a bentonite machine.
Earth pressure TBMs with a polymer foam
modification have been used outside Japan
in Lille, Milan and now also in Lisbon and
DUisburg. In Lisbon a 9,70m TBM is being
used by a Brazilian consortium to drive a
metro contract, where a mixture of polymer
foam and water has proved successful.
In Milan an earth pressure TBM was chosen
instead of a bentonite TBM because it was
feared that the bentonite suspension would
flow away in the coarse Milan gravel and
thus only support the face to limited extent.
For the same reason the tubbings were
not grouted with a low viscosity cement
grout, but bedded in extruded concrete.
Maintaining the support pressure
On an earth pressure TBM, the excavated
material which is under pressure is usually
extracted from the working chamber with
screw conveyors.
If the required support pressure is not very
high, and the consistency of the soil slurry
does not vary much during transport, it
suffices to control the extraction with a
gate valve at the end of the screw conveyor.
However the operation of the valve is left
to the intuition and experience of the
machine operator.
On the drive below the Anacosta River in
Washington in 1985 this was lacking. A
sudden uncontrolled influx of 27m3 of
sand lead to a dramatic situation.
If the required support pressure exceeds
1,5 bar, two screw conveyor with different
diameters and rotation are coupled, one
behind another. In a section without a
screw between the two conveyors, a plug
should continuously form which maintains
the pressure differential between the wor­
king chamber and the atmospheric pressure
in the tunnel.
Here too, the consistency of the excavated
material should not continuously vary and
the support pressure should not exceed
2,5 bar.
At higher pressures or varying earth slurry
consistencies it is necessary that a reliable
cut off system controls the exit from the
screw conveyor. Double piston pumps
were subsequently mounted on 2 TBMs
in the Great belt. And on different sites Figure 10.
in Japan double piston pumps supplied
by Putzmeister have been used.
With a double piston pump the actual 1985/ 86 in Shanghai on the drive beneath
volume of material can be measured if the the Huang Po a lOm diameter blind shield
pump strokes are counted. This is a consi­ was used by the Chinese. They forced the
derable advantage, when assessing risks, soft plastic clay through square openings
which the earth pressure TBM has over in the face of the shield, which could be
the bentonite TBM. closed by hydraulically operated shutters.
When bridges formed over the openings,
Valve EPB TBMs because of the shear strength of the clay
There are also TBM on offer as earth was too high, they cut through the bridge
pressure TBMs where the excavated mate­ formation with a high pressure water jet.
rial is pressed out of the working chamber This mUltiple valve method was not easy
through valve like openings. Supporters to control. The river could be successfully
of this system do not take into account the passed, but in the region of the bank there
internal friction of the ground. For at an occurred settlements at the surface of 30cm.
angle <p greater than 10°, the soil forms a
bridge over the exit openings as a result Main bearing seals
of the shear strength. This bridge prevents
the soil flowing out. It stops the machine. Damage to the main bearing is the night­
The valve has to be fully opened and mare of the tunnel engineer. It costs a lot
sometimes water added. If unstable ground of time and money. The large modern
is encountered, then one really has a TBMs with high torque and thrust forces
problem. One can no longer talk of a require a more careful construction of the
controlled support pressure. cutter head bearing and its seals.
It is surprising that the machines which
achieve remarkable rates of progress in
stable ground, yet in weak ground can not
support the unstable face, are still used on
many unsuitable projects. The reason for
failure is seldom objectively analysed.

133


Figure 11 .
Figure 12.
The seals should seal the gap between the
drive shaft of the rotating cutter wheel and
the stationary steel construction of the
TBM, so that no dirt can penetrate into the
sensitive drive and baring casings. The
seal profile must be resistant to wear and
should compensate for variations in the
depth of the seal gap due to elastic defor­
mation.
134
Materials used to date can compensate for
deformations of up to 2,5mm. Their ma­
terial properties do not change if they are
not heated over lOO°e. The temperature
in the working chamber of a TBM, parti­
cularly when driven in earth pressure
mode, is often more than 40°e. The heat
radiation from the motors can quickly heat
up the bearing area by a further 30°C so
that the frictional heat of the seal lip can
rapidly exceed the tolerance range.
Therefore several rows of seals, arranged
one behind another, form ring shaped
chambers into which oil or grease can be
injected to control the seal, lubricate the
running surface, measure the temperature
and possibly cool the seals.
A reliable and effective control and moni­
toring of the state of the seal chambers is
a prerequisite for an undisturbed TBM
operation.
Sometimes during the design of a TBM the
relatively small deformation of the steel
construction which occurs under operating
forces is ignored, but which can be too
large for the seals.
In one case the thin cutting edge of a
shield deformed past the tolerance range
of the seals, which were supposed to seal
the gap between the rotating cutter head
and the shield body. Excavated material
penetrated into the gap between the drum
shaped cutter head and the shield body
and, due to the pumping effect of the
rotating cutter head, destroyed the main
bearing seal. 1% years of delay and consi­
derable expense were the result.
In another case the support forces from
the cutter head were transferred excentricly
to the main bearing. Parts of the cutter
wheel construction were too weak. They
deformed past the tolerance limit of the
seal profile and destroyed it. In this case
the time lost was only 7 months with
resulting costs.
Erection of the tunnel lining
Tubbing
On machine drives in loose ground, that
is in nonstable ground, the tunnel lining
must be erected within the protection of
the tunnel tail. Because the TBM is thrust
forward against the previously erected
lining, the lining generally consists today
of precast concrete units, the tubbing.
The thrust forces which are transferred to
the relatively thin tunnel lining are often
very large. In Lisbon on the 9,70m earth
pressure machine they were a maximum
of 8000t.
In order to avoid local excess stress in the
concrete, the tubbing has to be carefully
designed, precisely manufactured and
accurately positioned. The permitted ma­
nufacturing tolerances are under Imm.
How the thrust forces are transferred to
the tubbings, and how reliable the tubbings
are grouted determines the quality and
durability of the tunnel lining. On one
project the basic rule that the thrust forces
have to be transferred to the centre of the
tubbing section and not over the edge
zone was ignored. The contact surfaces
were designed with a tongue and groove,
between which there was a gap of 2mm.
Thus the forces could only be transferred
at the edge. In addition the tubbings were
erected with the groove facing in the
direction of advance so that the thrust jacks
could only act on the edge zone. Consi­
derable spalling and leaks were the result.
Opinions varies on the placing of the
tubbing.The ring joints are formed in dif­
ferent ways. Usually a tongue and groove
arrangement on the contact surface should
facilitate the positioning and transfer shear
forces from one ring to another before the
grout has hardened.
Tubbings are certainly sometimes inaccu­
rately placed, or displaced by the back-up
gantries or by uncontrolled grouting. If
the tongue/ groove shoulders come too
135
dose, the edges of the tubbing are sheared
off. The seals loose their support and the
tunnel leaks. The repair of such damage
is very time consuming and expensive.
The shear transfer by the tongue and
groove concept is also dubious . The
contact forces between the tubbing rings
are transferred by friction across the face
surface under the high thrust forces. The
thrust force is frozen in by the hardening
back grouting.
Recently the tongue and groove system
has been abandoned and replaced by a
spigot and hole concept. Here too, the
tubbings should be forced into position
by the concrete edge of the spigot and
hole. It is likely that this system also does
not provide the required assistance for
erection. Damage of the seals is however
generally avoided by the spigot/hole sy­
stem.
Figure 13. Conex tUbbings
A newer tubbing concept, called Conex,
fulfils all the requirements of an industria­
lised tunnel lining and avoids the disad­
vantages of the tongue and groove concept.
The trapezoidal tubbings are joined together
to form conical rings with the help of
plastic guide rails. By rotating the conical
rings the required tunnel axis is followed
by a polygonal. Plastic dowels in the
contact surfaces ensure the exact posi­
tioning.

Grouting the Shield tail gap

The track of the shield tail, a gap of at

least 9-18cm, must immediately be filled
with grout as the TBM advances, so that
no voids can form, which would affect the
bedding of the tunnel lining, as well as
causing settlements at the surface.
The shield tail gap filling must be installed
at a pressure somewhat above that of the
surrounding ground and groundwater.
Figure 14.
The necessary front seal of the shield tail
joint, the shield tail seal, is the object of
many experiments.
The rubber seal generally used in Germany
has the disadvantage, that it leaks over
inaccurately placed tubbings, because of
its stiffness. The low viscosity grout, under
a predetermined pressure, flows through
the gap between the badly placed tubbings
and the seal proftie. A well graded concrete
instead of a cement grout avoids this
disadvantage.
The Japanese brush seal which is generally
used abroad consist of several rows of
steel brushes. Grease is pumped in bet­
ween the brushes to prevent grout pene­
trating the brushes and thus removing the
required elasticity when the grout hardens.
Figure 15.
In practice a lot of grease is pumped into
the shield tail joint, particularly because
the grease injection is seldom coupled with The situation is completely different if the
the shield tail grouting. It is therefore an shield tail joint is increased to 20cm and
illusion to expect controlled grouting of injected with extrud-concrete. An elastically
the shield tail joint at a constant pressure supported stop end, through which the
with a dearly defined material. concrete is pumped into the ring shaped
shield tail gap, ensures the required con­
crete pressure, which balances the pressure
from the ground and ground water.
In Milan from 1992 till 1994 on the "Passante
Ferroviaro", systems were used which
represent the most modern and advanced

136
state of the art of tunnelling for machine
drives in soft ground. Behind an earth
pressure TBM, using polymer foam to
modify the gravel soil, Conex tubbings
were installed and back grouted with extru­
concrete. All elements which represent
the preconditions for industrialised tunnel­
ling.
A further element is certainly automated
tubbing erection system as is used on the
drive beneath Tokyo bay. The simple
Conex tubbings would be far more appro­
priate than the complicated Japanese tub­
bings.
DISCUSSION
Question: Rick P. Lovat, Lovat Tunnel
Equipmemt Inc., Etobicoke/Canada
When, in your opmlOn, would be the
decision or criteria to go from an EPB
machine to a slurry machine. Whey are
they primerous?
As the separation plan for a slurry system
is lot more expensive than for an earth
pressure balance shield. But a slurry shield
is easier to handle and to have the reliable
support as a face. Therefore as my Japanese
collegues always, or some of them, answe­
red if low settlements are required they
trust more in the slurry technology, because
it is very difficult to mix up the muck in
the working chamber to a reliable consi­
stancy. If you have very different soil you
have to drive slow and than you have
always a variation of the material which
comes in, and you have to add your addi­
tives according to the properties of the
excavated soil. And so you may imagine
that it has to be always in change in the
mix and to adjust it to the actual ground.
I think it is very difficult, and it needs a
lot of experience and additional technology,
which is up to now, I think here in our
area not available. Maybe in Japan, because
with all of these technologies we have
seen right now, I think you have also this
techology available. Thank you.

Answer:

I think it is a very difficult question and it

needs an answer for some hours, but I
want to make it shorter. There are several
factors. First of all, the ground you can
use slurry shield or EPB shield. The same
ground we have used in Essen, for example,
one lot with a slurry shield and one lot
with an earth pressure balance shield. It's
an economy question I think, because it
depends on the possibility for the deposit,
how you are able to deposit the muck
later on. With the slurry shield you have
10 % solits in the transportation line and
90 % liquid in a pisten pump system with
an earth pressure balance shield. You have
more or less 70 % solits and 30 % liqUid.

137
GEOTECHNICAL INVESTIGATION DURING
TBM DRIVE AT EO LE PROJECT, PARIS
Olivier Bouygues 1
ABSTRACT
The mastery of tunnel boring in heteroge­
neous terrains, especially when using totally
mechanised digging methods, is a delicate
operation because the machine's perfor­
mance can be ruined by unexpected terrain.
Preliminary reconnaissance can help to
distinguish existing geotechnical conditions
and plan adapted construction methods.
However, due to the linear nature of tunnel
projects, it is usually not possible to have
a detailed vision of the geology of the site.
One must use estimates obtained by inter­
polation of data. In these conditions, it is
pratically inevitable that one will encounter
geological risks.
The geological risk can be associated with
an unexpected variation of the terrain
(increase in permeability of the terrain,
varying degrees of hardness, anomalies in
the massif, presence of huge rocks, empty
spaces). Whatever its nature, a geological
risk causes technical problems which can
impede the progress of the project either
by raising costs and causing delays or by
creating safety problems and affecting the
quality of the works. In particular, unex­
pected geological conditions can cause
diversions or momentary blockages of the
machine, flooding, unstable terrain in front
of the machine and settling of the terrain
which can be harmful to existing construc­
tions on the surface. Under these conditions,
an early identification of problematic geo­
logical conditions can permit a better
1
Dipl.-Ing., DG Construction - Impregilo - Eoie, Paris, France
139
anticipation or even a preliminary treatment
of the difficult areas and contribute to a
better mastery of the works.
Information about the geologic conditions
can be obtained in part from reconnais­
sances carried out in front of the machine
during the works. In particular, the combi­
ned use of drilling and geophysic methods
can provide a better detection of the diffe­
rent types of layers to be encountered.
The methods of reconnaissance in front
of the machine must be used as a comple­
ment to preliminary reconnaissance in an
effort to obtain more precise information
about the heterogeneities and anomalies
which could cause problems in the works.
GEOLOGICAL AND HYDROGEOLOGICAL
ENVIRONMENT OF THE EOLE PROJECT
The well known heterogeneity of the
subsoil in Paris is also reflected by the
geological conditions of this project. The
tunnels will run over their first 700 m
through a sequence of clayey-silty sands.
Interbedded are layers of clay and marl
and over long distances sandstone beds
with carbonatic cementation. Unconfined
compressive strength this sandstone has
expected up to 30 MPa. This formation is
called Sables de Beauchamp.
The next part of the tunnel will have to
cope with the Marnes et Caillasses, an
irregular alternation of limestones and • Diameter 7400 mm
marls, partly dolomites. Interbedded are • Length 7400 mm
portions of gypsum, which -as well as the • Installed

limestones - are known for dissolution thrust force 57000 kN

cavities with different infill. • Stroke of thrust

jacks 1800 mm

The highly changing conditions of this part • Torque of

can be demonstrated on u.c.s. - values cutting wheel 5500 kNm at 2 rpm
ranging from 0,2 to 95 MPa. After station • Speed of

1500 the tunnels will run into a thickly cutting wheel 0- 5 rpm

bedded limestone with some marly inter­ • Stroke of

cutting wheel 500 mm

calations (Calcaire Grossier), which also

will exert up to 100 MPa u .c.s. • Operating pressure
in working chamber up to 3,5 bar
• Capacity of slurry circuit
CONSTRUCTION AND TUNNELlNG (Muck discharge) 1200 m3/ h
MACHINE

The underground structure is made of two

tubes 1700 m long with precast concrete
RECONNAISSANCE IN FRONT OF
lining. Each ring is 0,35 m thick and 1,40
THE TBM
m wide ; it is composed of five segments
and a key segment assembled with CONEX
The geological reconnaissance in front of
thrusts. the shield and treatment of empty spaces
The TBM was built by ALPINE WESTFALIA are executed through twelve peripheral
(AUSTRIA) and is operated by a Joint and two central packers.
Venture of DESQUENNE and GIRAL CON­
STRUCTION (FRENCH) and IMPREGILO
(ITALIAN).

~
a.
~
~
~
...
;:!
<2,
~
.g
-!':

a.
~
,..,
~
;:!

140
• A pipe spacer with hydraulic jack lock
to block the tube.
• A gate valve to separate the front chamber
from the rest of the machine.
• A tee for the evacuation of cuttings.
• A BOP with a rotating joint equipped
with a socket which insures watertight­
ness during drilling. Different directions
are investigated using separate equip­
ments.
allows water injection through the drilling
head. It is mounted on a slide bar and
situated on a segment erector during ope­
rations of peripheral drillings. After placing
the first drilling rod equipped with a 74
mm tricone and valve through the socket
on the BOP, the tee and the valve are
opened and a 20 to 25 meters hole is
drilled.
Axial investigation

Perepherical investigations The equipment used is a BEZ, hydraulic

drilling machine on a multidirectional
The equipment used is a BE50 TMH BON­
support (Fig. 3). In order to place a string
NE ESPERANCE (Fig. 2).
of casing in the borehole a double tubing
This is a hydraulic drilling machine which
is placed through the chamber.

Figure 2.

Figure 3.

141
Recording of drilling parameters Geological Radar Method

The recording of drilling parameters in An electromagnetic impulse is radiated

relation to the cutting analysis gives infor­ from the antenna and propagated in the
mation about geotechnical characteristics material. As it encounters a change in the
of the terrain (Fig. 4 and 5). electrical properties of the materials part

Figure 4.

This evaluation is based on the following

of the wave is reflected and part is trans­
parameters :
mitted. These changes in the dielectric
properties correspond to discontinuities in
- instant speed,
the ground or other structures. As an
- tool pressure,
example a void or the interface betwen
- boring torque,
two materials conducts reflection of part
- fluid pressure.
of the emitted energy to the reception
antenna.
This data is recorded on a numerical ac­

quisition unit in relation to the distance.

The theoretical relation which defines the
(LUTZ type WTS CL88).
behaviour of radar waves (propagation,
This investigation is combined with a search
attenuation, minimum detectable signal)
by radar.
are originated from the Maxwell and radar

142
Figure 5.
equations. The conditions of wave propa·
gation are very different according to the
media of propagation, they depend on the
frequency, but also on the permittivity (c)
resistivity (a) which characterise the mate·
rial.
The depth of investigation depends on the
attenuation characteristics of the media
and on the working frequency. The attenu­
ation is mainly dependant on the resistivity
of the material, the greater the resistivity,
the lower the attenuation.
The main features that could be detected
are:
- punctual anomalies of limited extension
which show hyperbolic diffraction pheno­
mena. These are isolated features, which
indicate the presence of pipes if they are
143
repeated in a linear alignment in the three
parallel measuring profiles, blocks or buried
objects with limited dimensions if they are
only detected in one or two of the profiles,
- sub-horizontal reflections well marked
which correspond to the different interfaces
of layers with different characteristics
(pavement, base course, etc ...),
- vertical boundaries betwen zones with
different reflection coefficients, indicating
lateral changes of lithological facies (zones
with coarser grained material or zones with
distinct moisture content).
Geological results
Drilling parameters
Data analysis is based on data taken from
17 axial drillings for a total length of 912,5
meters. Reconnaissance drilling was done
mainly in the Marnes et Caillasses area
betwen the rings 135 and 639 because this
formation contains gypsum deposits which
can dissolve and leave residual mads or
empty spaces. The Sables de Beauchamp
were investigated punctually between rings
115 and 216 and betwen rings 602 and
639.
The correlations of the cuttings and the
findings of the drilling operators with
recorded data give the precise contact
position betwen the Sables de Beauchamp
and the Marnes et Caillasses regions, asso­
ciate with gamma ray results.
Analysis of recorded parameters gives
precise information about hard and soft
terrains, permeable and partially permeable,
as for example betwen massif limestone
and mar! zones.
Systematic analysis of date gives evidence
to:
- Dissolved areas in 10 drillings for a total
length of 30 m.
- Low resistance zones on a length from
0,1 meter to 0,40 meter that were discovered
by high speed drilling.
- Very high speed zone (1000 m/ h) with
low fluid pressure, low boring torque and
low tool pressure revealed empty zones
on a total length of 3,8 meters (individual
size from 0,2 to 1,0 meter).
According to the drilling machine operator,
some very high speed zones were inter­
preted as fractures.
Axial drilling informations and tunneling
excavation problems due to a low quality
terrain were precisely related in the
following case: in the Marnes et Caillasses
144
areas a 1 meter long empty space was
found during the drilling operation 19
meters ahead of ring 525 and a loss of
several hundred cubic meters of slurry
occured at the same location.
In a general way, geological readings made
in front of the cutting wheel confirm that
the tunneling machine has really crossed
decompressed zones and cavities found
during axial drilling operations
There was no systematic relation betwen
axial drilling information and TBM excava­
tion incidents such as loss of slurry.
Due to that fact radar surveying was used
to extend the investigation zone.
Results of Radar investigation
Analysis of twelve radar acquisitions on a
total length of 577 meters and a radial
width of 5 meters around drilling gives
three kinds of information :
- low heterogeneous radar zone related to
decompressed zones or low density mar!'
- energetic localised reflection related to
presence of gypsum masses, water pockets
and/ or empty spaces.
- shining spots possibly related to fractured
zones or change of facies .
The verification of the radar data was
confirmed by slurry losses into the terrain.
These losses did not slow down the ma­
chine's performance but are surely the sign
of a more open terrain.
It is worth mentioning that correlation of
data from drilling and radar with with data
about existing geological conditions enabled
the operator to anticipate these difficult
passages by preparing slurry to fill in the
empty spaces.
Two characteristic examples show the The radar method, now well calibrated,
importance of radar reconnaissance : could give for the second Tube more
interesting information.
- at ring 281, betwen 24,5 m and 33,5 m
from the drilling head, the radar reconnais­
sance showed a decompressed heteroge­
neous zone (Fig. 4). This zone was confir­
med during the passage of the TBM by a
loss of slurry and the operator had to use
a larger quantity of grout to fill in the
empty spaces.

- at ring 394, at 6,4 m from the drilling

head, the radar detected a shining spot
associated with energetic reflection of a
zone 2,5 meters ahead (Fig. 5). This was
interpreted as a passage of fractured zones
associated with a mass of gypsum, a water
pocket or an empty space. During excava­
tion there was a great loss of slurry. It is
worth noting that the axial reconnaissance
drilling had only detected a homogeneous
mar! terrain.

These examples show the efficiency of

radar and its potential to detect terrains of
low density, but the main advantage of
this tool using the TUBEWAVE 200 antenna
is to correctly locate specific problem zones
in front of the TBM.

CONCLUSIONS

Analysis of result of geotechnical investi­

gation to TBM MARTINE poduction during
the boring of the Interstation tube V2 is
quite difficult to realise. As no large empty
space has been met in the whole section
of the tube V2, the association drilling/radar
can't show its full efficiency. But the infor­
mation that gave Radar on the quality of
next terrain had permit to anticipate the
most difficult zones as great losses of slurry.

145
TECHNOLOGY FOR TUNNEL CONSTRUCTION
WITH SPECIAL APPLICATIONS FOR
WANJIAZHAI WATER TRANSFER PROJECT
D. j. Gunaratnam
INTRODUCTION
Selection of the type of technology has
long been recognized as a very important
part for the success of implementation of
a project. The World Bank has been invol­
ved with many projects small and big
where the fundamental consideration in
implementation is to ensure the right choice
of technology. Choice of technology has
often been motivated by many factors such
as economics of construction, quality con­
trol of the works, safety of workers, required
foreign cash payments, time required to
complete the works, etc. Increasingly the
Bank has been involved in many large
dam and tunneling projects where the
economics have completely dominated the
choice of technology. Some of these issues
are discussed below for large water re­
sources projects involving underground
works.
REVIEW OF SOME LARGE PROJECTS
In this review of Bank projects particular
emphasis is placed on underground works
and especially tunnels. Most of the projects
reviewed are hydropower or multipurpose
dam projects. Most of the projects have
underground power caverns and surge
shafts and these are not discussed here
since the technology used will mainly be
drill and blast techniques and seem to be
relatively standardized. Table 1 shows a
list of projects in China over the last 15
years with substantial tunneling work.
1
Ph. D., The World Bank, New York/USA
147
1
Tunnel lengths, size and complexity
It will be noticed that most of the hydro­
power projects tackled so far have short
tunnels and despite the good geological
conditions for many of them it has been
preferred to use drill and blast (D/B)
techniques. In addition since there are
probably many transitions sections to be
constructed it is almost impossible to use
TBM for the construction. In some cases
such as the Xiaolangdi Project have large
tunnels of 14.5 diameter and very poor
geology and it makes it almost impossible
to use TBM technology. In tunnels of this
size even using D/B will require very
careful rock support arrangement to ensure
that that rock falls are minimized. It will
be noticed that the only project in Table
1 with TBM technology (see Table 1)is
the Yindaruqin project with over 58 km of
tunnels and within this project only one
of the tunnel sections was undertaken
using TBM. This tunnel section (in bold
in table 1) is a 18.33 km length consisting
of 3 tunnels of 11.65 km, 5.18 km and 1.51
km. These were the only tunnels that
contractors found feasible for TBM opera­
tion. All other tunnels for this project were
much shorter in lengths varying from 2.1
km to 4.77 km for the ICB bids and others
for LCB bids varied from 0.33 km to 1.6
km and the construction of these short
and many sections require assembling and
disassembling a TBM machines at much
greater rates and therefore the construction
costs high.
 Procur Method Year
Project Tunnel Size
No. meters
ungth
km.lb: ernent of o/Start
costs of Y5.5-6.5 million per km of con­
]Q Method Constr of
k: uction Conslr
struction ($1.57-1.85 million per km). The
ld uction TBM construction shows a value of Y5.6

:~~~j±~=

million ($1.59 million per km) Clearly the

use of TBM clearly can be very competitive
I 8 di. 0.63 ICB OIB 1984 for construction.
I 8 di. 9.38 ICB OIB 1984

~~;:~:~:Y~t==~t~t~i:f==~==~==t~F

3 12.5<10 3.0 ICB OIB 1994

3 6.5 di. 3.0 ICB OIB 1994
~:~aruqjnifriii -rr' -- :::~~- -::;~-'-:~~'-'-'f:~ ' !;: '-
I 4.8 HC 5.40 ICB OIB 1992
5 4.8 HC 4.74 LCB OIB 1990
10 4.8 HC 12.3 LCB OIB 1988
2 4.8 HC 1.36 LCB OIB 1990

\a HC represents horseshoe shaped

\b Lengths are for totals of all tunnels
\c ICB rrfers to international competitive procedures,
LCB is local competitive procedures
\d D/B refers to drill and blast
Table 1. Tunnelling Scope in Dam and Other Projects
in China (1984-1994)
Selection of technology and Unit
Costs
The selection of construction technology
depend very much on unit rates of con­
struction. For example six sets of tunnels
were constructed varying from 18.33 km
to 1.36 km. The prices of completed works
are as follows in Table 2.
Tunnel Group Nos 0/ Method 0/
almost impossible to complete a project
tunnels Construction
Figure 1. Tunnel Cost per km
Implementation Speed
Implementation varies considerably depen­
ding on the type of technology used. For
example the production rates in the Yin­
daruqin project for all the D/ B tunnels
(numbers 1 to 29) vary from about 0.63
m/day to over 4.0 m/day. For the TBM
constructed tunnels (numbers 30-31) the
overall production rates are over 16 rnIday
to 22 rnIday. These production rates include
startup time for mobilization and procure­
ment of machines. These overall rates are
about 8 times those of D/B methods. It is
Length Cost in Cost
(km) Million /km in

Yuan Mil
with long tunnels within the timeframe
Yuan
Group I 6 DIB 16.6 91.35 5.503
using D/ B methods.
Group 2 3 TBM 18.33 102.58 5.613

Group 3 1 OIB 5.40 32.88 6.089

Group 4 5 OIB 4.74 30.83 6504

Group 5 10 OIB 12.3 2854 2.320

Group 6 2 OIB 1.36 13.93 10.243

Table 2 . Yindaruqin Tunnel Groups and Costs of

Construction

It will be noticed that from table 2 and

Figure 1 that TBM tunnel costs fall almost
within the cost figures of the D/ B method.
The D/B techniques which are represented
by Groups 1,3 and 4 (similar geology) have Figure 2. Implementation Rates

148
For the TBM contracts it must however be
indicated that the actual production rates
once the machines are in place are much
higher (see Figure 3). For example the
contract was signed for the Yindaruqin
project for TBM contractor in February
1990 but the actual fmal assembly and start
of construction was in January 1991. The
actual production rates are of the order of
36 meters per day for tunnel 30 and 47
meters per day for tunnel 31. These are
extremely exceptional production rates.
In tunnel 30 they achieved rates for maxi­
mum weekly production of 309 m and
daily maximum of 65.6 m. Tunnel 31 they
had weekly production of 348 meters and
daily maximum of 75.2 m . These high
rates of monthly advances helped to com­
plete the project on time.
Figure 3. Prog ress in Tunnel30
The main quantities for the TBM operation
are:
• Tunnel excavation 400,000 m 3
• Precast lining segments 41 ,500
• Concrete for precast elements
83,000 m 3
• Reinforcing steel 4.65 million kg
• Consolidation grouting cement
6.3 million kg
• 24 expatriate workers and 400 Chinese
149
The works performance of the TBM ope­
ration is given below:
Boring 35.8%
Regripping 35.8%
Lining Erection 8.9%
Maintenance 19.5%
Survey 3.1%
Downtime 11.7%
Geology Invest. 10.00Al
Constroction Safety
Construction safety is a major issue in most
underground works in China. Some reports
indicate that about 10,000 people are killed
in underground works especially in mines
and other works. Most of underground
works presently use D/B techniques with
poor tunnel support systems have had
many collapses and this has resulted in
serious accidents especially in coal mines.
Therefore safety is very key issue in selec­
tion of technology. The use of TBM's
invariably improve safety since it tends not
to disturb the rock as much as a D/ B
operation. Hence selection of TBM tech­
nology for tunneling long lengths is clearly
desirable from the point of view of safety.
Quality Control
The quality control in lined tunnels requires
a large number of qualified technicians
which are not available in most countries.
Qualified technicians are less available in
developing countries. Even a country like
China finds it difficult to assemble teams
of technicians and engineers who are
capable of supervising tunnel construction.
Using TBMis with segment lining does
reduce the basic need to do intensive
supervision of the concreting of the lining.
Lining quality can be better controlled
through segment production factory which
has good control on concrete quality,
curing rates, steel placement etc. It is
therefore preferred in specially long tunnels
requiring lining to use TBM for construction
over D/ B techniques since there is a better
chance of maintaining quality.
WANJIAZHAI WATER TRANSFER
PROJECT
Project Objectives
The objectives of the proposed project are
to (a) help meet the desperately needed
water deficits of 1.2 billion m 3/ year for
several major northern Shanxi cities and
industries; Cb) indirectly benefit agriculture
by stemming the trend to divert local water
supplies to the major cities; (c) reduce
the secondary environmental impacts of
land subsidence due to over extraction of
groundwater; (d) promote commerciali­
zation and corporatization of major water
resources agencies such as the Yellow
River Diversion Project Corporation (YRD­
PC); (e) upgrade institutional capabilities
of the Shanxi Water Conservancy Bureau,
including those in financial management,
budgeting and accounting and to support
the setting up of a Fen River Basin Authority
for operational functions using user charges;
and (t) encourage alternative financing
strategies for large water resource develop­
ment projects.
Project Scope and Description
The project main works would start from
the Wanjiazhai Hydropower Dam on the
bend of the Yellow River from the west
and travel westward (General Main) splitting
southward to Taiyuan City (South Main),
and northward to Pingshuo and Datong
cities (North Main). The General Main
through pumping stations lifts water from
960m elevation at Wanjiazhai Reservoir to
1286m elevation at the junction of the
north and south mains. The South Main
150
lifts water from an elevation of 1286m at
the junction up to 1482m and empties the
water into the Honghe River which is
regulated by the Fen I Reservoir in the
middle of the Fen River and supplies
Taiyuan City via 101 km of pipe line and
39 km of tunnels.
The project involves three distinct water­
ways i.e. , CO the General Main (GM) of 42
km of tunnels and pumping stations; (ii)
the north main to Datong City of 170 km
of waterways of which 60 km are tunnels;
and (iii) south main to Taiyuan City of 103
km waterways of which 98 km are tunnels;
two pumping stations and connecting
works consisting of 101 km of pipeline
and 39 km of tunnel from the Fen I Reser­
voir to the treatment works for Taiyuan
City. The project has been phased into
three phases to take into account the
ongoing work. Since construction has
started on the GM tunneling work using
international and local contractors and the
quality of construction is good, it was
recommended that the Shanxi Government
will implement that portion of the construc­
tion as Phase I of the project using its own
funds . Phase II will include two highly
complex pumping stations on the General
Main, all the works of the south main and
two pumping stations on the South and
connecting works. This portion is the most
complicated and expensive portion of the
project. Phase III includes the entire North
line of 60 km of tunnels, pipelines of 110
km on the North Main leading to Datong.
Phase II will include the expansions to
water treatment plants and pipe network
rehabilitation of Taiyuan City. The Bank
Project will only cover the Phase II of the
project costing about $748 million while
Phase I costing $229 million will be imple­
mented by the Government as part of the
ongoing works. These costs exclude the
costs for improving the city water supply
networks and new treatment plant for the of cost data on the Phase I ongoing con­
Taiyuan City. struction. The Table 4 shows some average
costs for the Phase I contracts. It is fairly
Phase I of the project being implemented clear that the TBM construction is very
by the government has 11 separate tunnels competitive with D/B construction.
-- 0.07 km, 0.11 km, 0.86 km, 1.71 km,
6.26 km, 2.67 km, 12.2 km, 7.4 km, and TUIIMiN().f Melhodo/ Contract TOl4JIAregth CMt JNr km Cost in
Construction Amount (mU S) j"knt Million MiUionyuan

10.0 km. At present tunnels 6,7 and 8 6-8 TBM 36.855 21.1 1.74 12.36

9 DIB 1.920 0.34 1.92 13.63

amounting to 21.1 km of tunnels has been 10

11
DIB
DIB
13.76
13.145
7.379
10.004
1.86
Ut
13.21

9.30

contracted with CMC (Italy) who are using

a TBM for construction. Tunnels 9,10 and Table 4. Costs of Ongoing Construction
11 have been contracted to local contractors
who are using D/B techniques.
Detail cost estimates were undertaken by
D2 Consultant for the Bank project and
Tunnel Sections and Geology
the comparative costs are shown in Figure
The Bank Project includes 98 km of tunnels 4. The figure indicates that for tunnels over
in seven separate tunnel sections. The 13.0 km in length the TBM will be very
characteristics of the geology are as given economic and continues to be economic
Table 3. It will be observed that over 87% for longer tunnels. Hence the construction
of the tunnel is in good rock (Class I, 11 being discussed with the Government is
or Ill) while about 13% of the tunnels are the use of four or five TBM's. If the 5 TBM
in soil, sandstone, coal, etc. approach is used the deployment of TBMs
are one for 20.67 km tunnel (tunnels 4
Rock Class Length (hn) averburtien (m) RockStren 11 Rock~
and part of 5); second for 24.64 km tunnel
I, n,m 85.9 400 m of rock
rover
40·200 MPa Limestone.
dolomite
(tunnel 6 and part of 5); three TBMs for
IV,V 9.8 400 m of rock
cover and stres:9
1O.. 80MPa Sandstone. ShaJe,
Cool each of the three 14.2 km tunnel (one third
problenu ,..". weak
rock of tunnel 7 ). Clearly the basic economics
V.l. V.2. V.3 12.8 1Q-200m cover in low strength Soil

soil
dictates the use of TBM technology for
almost 89.0 km of the 98 km of tunnels.
Table 3. Tunnel Section Geology
This would include tunnels 4,5,6, and 7 to
be construct~d using TBMs.
Tunnel Lengths
There are seven tunnels and the longest
is 42.6 km and the smallest is 0.84 km.
The other tunnels are 1.85 km, 4.13 km,
6.9 km, 15.7 km, and 26.0 km. The diameter
is 4.85 meters OD and 4.2 meters ID.
These are some of the longest tunnels in
the world. Figure 4. Comparative Costs of DIB and TBM Use

Tunnel Costs
Implementation Timing Requirements
Detail calculations were performed by
several consultants on Bank missions to The implementation requirements for this
determine the costs of alternative methods. project is to complete the entire construction
There are however considerable amount by 1999 (within 4 years or 48 months).

151
This will never be possible if D/B tech­
niques are used unless work is started on
many faces. However if work is started
on many faces than the construction su­
pervision and coordination becomes a
enormous task. The implementation timing
using TBMs is shown below in Table 5
and maximum drive times are 34 months
and with mobilization the total time of
implementation will not exceed 48 months.
Hence using TBMs shorten the construction
period conSiderably.

Tunnel Constr. Method TlIIf1fei Length bn Drive ,-Dle DrIveTifM

Number m/monlh months
3 DIB 4.132 165 26

4 endS TBM 20.670 872 27

5 and 5 DIB 2.740 139 10

5 and 6 TBM 24.635 no 34

7(33%) TBM 14.213 73! 19

7 (330/.) TBM 14.213 735 19

7 (33%) TBM 14.213 735 19

Table 5. Implementation Times

Conclusions

It is fairly clear that almost all projects

which involve long tunnels for inter-basin
transfer of water will require the use of
the TBM. The use of the TBM basically
gives a far better economic solution for
tunnels greater than about 13.5 km, and
construction quality can be assured, and
speed of construction gives a much shorter
implementation period. In addition safety
of workers and better quality control can
be achieved.

152
HIGH SPEED TUNNELLING IN SYDNEY'S
BLUE MOUNTAINS
H. A.Janzon
ABSTRACT one generation ago - when the public was
Environmental issues today receive incre­
asing attention the world over. Apart from
proViding their citizens with fresh water,
many cities and municipalities adopt sche­
mes to collect and treat waste water and
sewage. Where possible, the collector
system is put underground in the form of
- preferable bored - tunnels.
The often great length of the collectors
and the urgency of constructing them as
fast and as cost-effectively as possible
inevitably leads to the requirement of high
speed tunnelling. Modern Tunnel Boring
Machines (TBM) themselves are capable
of high rates of advance in all but the most
disturbed, unstable rock conditions. But
the machines are only one part of a total
tunnelling system in which the logistical
provisions more often than not determine
the overall tunnelling speed.
In the Blue Mountains Sewerage Scheme
near Sydney, Australia, a continuous belt
conveyor system was used to proVide a
high capacity muck transport facility in
long, relatively small diameter, single entry
tunnels. Though it allowed the TBM to set
a new world record, the author believes
that further development of the conveyor
system will strengthen the trend towards
really high speed tunnelling,
INTRODUCTION
Tough a few early exceptions exist, it is
generally speaking not more than about
1
Sales Manager, Atlas Copeo, The Robbins Company, Kent, WA., USA
153
1
made aware of such issues and the econo­
my after World War II had recuperated
sufficiently to make money available for
more than the bare necessities of life - that
we actively started doing something to
counteract the detrimental influence the
human race has on the environment. True,
the larger capital cities in Europe have had
rudimentary sewage collection systems
since about the middle of the 17th century,
but the collected sewage was then dumped
into the nearest convenient river which
had little choice but to obediently transport
it to the next lake or the sea.
Today, we who are "lucky" enough to live
in the industrialized world, deem it logical
that even the smallest municipalities not
only collect, but also treat the sewage,
before the waste products are dispersed
into our waterways.
Even in the developing countries of Africa
and Asia the awareness of environmental
issues is growing rapidly and once the
supply of sufficient fresh water has been
secured, the population will start to query
what is done with the water after it has
served people, cattle and factories.
As the public becomes more enlightened,
the necessity to construct sewage collection
and treatment systems becomes more
urgent. Thus, speed of construction is
essential. Because most connections bet­
ween collection points and the treatment
plant - the so called collectors - for obvious
reasons are put "out of sight", i.e. under­
ground, and may stretch long distances
between urban districts or villages, this
automatically creates the requirement of
high speed tunnelling.
As they - from many aspects we here will
not further discuss - deliver a better product
and also outperform conventional methods
in advance rates obtainable in single entry
tunnelling, Tunnel Boring Machines (TBM)
see increased use for this type of excavation
project. What we thus are speaking about
are high speed TBM operations. As a typical
example of such a project, let us have a
look at a recently concluded tunnelling
scheme in Australia, the Blue Mountains
sewerage transfer scheme.
THE BLUE MOUNTAINS PROJECT
Figure 1. The Katoomba and Lawson carriers link into
the existing Hazelbrook carrier and serve Katoomba,
Leura, Wentworth Falls and Lawson
General
The two tunnels discussed here - the 13.4
km long Katoomba and the 3.5 km long
Lawson carriers, see Fig. 1 - are part of a
major sewage upgrading scheme promoted
by the New South Wales state government
for the rapidly expanding, naturally beautiful
and environmentally highly sensitive Blue
Mountains area, about 90 km west from
Sydney. The tunnels, two shorter spur
tunnels, two treatment plants and two toll
154
roads are part of a privately financed
scheme operated by the Joint Venture QV)
consisting of McConnell Dowell Construc­
tors of Australia and the Obayashi Corpo­
ration of Japan.
As soon as they are fInished, the civil works
will be sold to a pension fund investment
trust that will operate the facility and charge
the Sydney Water Board a fee for its use.
This arrangement made it all the more
interesting to complete the project as
qUickly as possible, as that would mean
an early termination of the Joint Venture's
financing costs.
The already existing 9.5 km long Hazel­
brook carrier was excavated in 1991-93
using a 3.35 m 0 Robbins TBM with a
loco and muck cars haulage system. The
rock conditions there were similar to those
for the project discussed here and consisted
of easily bored, dry and largely homoge­
neous sandstones - see below.
At best, the Hazelbrook operation achieved
an advance rate of some 1.000 mlmonth
and an average of about 580 m/ month
with the rail-bound muck transport system.
Given the length of the longest drive - the
Katoomba carrier - and the limitations of
a muck train haulage system in such a
long and small diameter (3.4 m 0) tunnel,
the ]V decided from the beginning to use
a continuous conveyor mucking system
and expected to see a 15 - 20 % increase
in the monthly advance rate compared to
the Hazelbrook drive. On paper, this would
give a conservative 700 m/month basic
advance rate and an overall TBM excavation
program of some 24 months.
The longer spur tunnel was to be excavated
by means of a roadheader and the shorter
one conventionally (by drill and blast) after
the Katoomba carrier was driven past the
respective points of intersection. The muck
from both spurs was to be added to the
muck produced by the TBM on the conti­
nuous conveyor in the main tunnel.

Geology
The geology of the Blue Mountains National
Park area is part of the Sydney Triassic
Sedimentary Basin, with sandstones and
claystones being prevalent. The Hazelbrook
to Katoomba sections lie for the most part
within the Hawkesbury sandstone and the
Banks Wall sandstone formations which
underlie the ridges in the upper parts of
the Blue Mountains.
The formations consist of medium to coarse
quartzose sandstone, typically massive and
competent. It is crossbedded in layers
ranging from 1 to 10 m in thickness.
Shale/ laminate lenses up to 3 m thick are
found interbedded in the sandstones, as
are thin ironstone zones up to 0.3 m thick.
Joint frequency at tunnel level is fairly low
and no large faults or igneous intrusions
have been found within the tunnel align­
ment. Test results from bore samples indi­
cated unconfined compressive strength
(UCS) values range from 10 to 80 MPa,
with some of the higher values being
attributed to iron stone.
The TBM was eventually found to traverse
rock with an average of 40 - 50 MPa UCS,
ranging 10 - 100 MPa. There have been
long runs with absolutely no rock support,
though the average for the Katoomba
tunnel came to just over two 1. 5 or 2 m
long resin anchored bolts per m and eight
bolts per m were placed at most. When
these had to be placed close to the face
- using hand held rock drills - they slowed
the TBM down somewhat, as did occasional
clay seams. The water sprays for dust
control on the cutterhead caused the clay
to plug the buckets and this required
removal by hand.
In the competent sandstone formations,
the tunnels within the project remain largely
unlined, with 50 - 100 mm of shotcrete
applied to seal and protect areas of poorer,
jointed or softer rock. There also is a
155
concrete invert to protect against erosion
by the fluid flowing in the tunnels. From
the start this invert was thought to be cast
in a second pass operation, using timber
sleepers for the rail track during excavation.
This approach was changed to installing
1.5 m long precast concrete invert segments
concurrently with excavation, however.
TheTBM
The Jarva type TBM selected by the]V for
the Katoomba and Lawson carriers was
the last machine sold by Atlas Copco in
competition with - i.e. before the merger
with - The Robbins Company and the first
machine manufactured incorporating tech­
nologies and engineering input from both
companies.
The Mk 12C TBM can be said to consist
of two main parts, the working and the
gripping sections. The main body, the
grippers and the front lift leg together form
the gripping section which remains statio­
nary during a boring stroke; all other parts
belong to the working section and move
forward during boring - see Fig. 2. In
addition, the electrical and the hydraulic
systems - a larger part of which is housed
on the decks 0 the Back Up Equipment ­
provide the power for operating the ma­
chine.
Figure 2. Main comp onents ofthejaroa
type Mk 12C mM
The machine'S main data are listed in
Table 1.

 in mines, and the supplier of the system

conveyorconveyorconveyorc onveyor
conveyor
used at the Blue Mountains project, Long­
Boring diameter 3.4 m Airdox, of Oak Hill in West Virginia, mainly
Cutter size 432 mm (171 serves the coal mining industry. While such
application
Cutter conveyor allowed conveyor systems have found increasing
application in boring operations in the
Number of cutters 25
USA - e.g. at the TARP Project in Chicago,
Terratec,
Terratec, 6 350 kN max continuous on the now discontinued Super Collider
Terratec,
Terratec, 1 000 kW (4 motors) project in Texas and the 9.75 km long, 3.6
Terratec,
Terratec, 763kNm m diameter Syar Tunnel in Utah - the Blue
Terratec, Mountains tunnel is the first in Australia
Terratec, 12.5
to use such a system. At the end of the
Terratec,
Terratec, 170 t (metric)
first, 13.4 km long tunnel section, this
Table 1. Main specifications Blue Mountains mM conveyor was the longest of its type ever
used behind a small diameter TBM.
The belt itself is a 600 mm wide, solid
woven PVC belt, supplied in 400 m lengths
The Back Up Equipment by Apex, a local manufacturer. Instead of
being fixed to one of the side walls of the
The back up system was designed and tunnel, as is usual, the conveyor in this
built by Terratec, an Australian company. small section tunnel is suspended from the
It is rail-bound and specifically laid out to crown. At the forward end, the so called
accommodate the continuous conveyor. tail piece of the conveyor is fixed to and
The total length of the system is approxi­ towed by the TBM Back Up. Troughing
mately 106 m. The use of a conveyor muck and return idlers are inserted at regular
transport system contributed to this rela­ intervals behind the tail piece as the TBM
tively short length, as no decks had to be advances and the muck coming off the
provided for a muck train loading station. conveyor over the Back Up is diverted
Features of particular interest are the special onto the fixed part of the continuous
conveyor erection deck, where conveyor conveyor, the frame sections of which are
frame sections and idlers are inserted into hung from chains attached to rock bolts
the system, a complete lunch room for in the crown.
twelve people and replacement of the As the tunnel advances, the conveyor is
usual bridge conveyor immediately behind extended with 400 m belt sections. Each
the TBM by the back up main conveyor new section is quickly clipped in at the
belt. combined hydraulic storage/ take up unit
at the tunnel portal. Such joints - which
The Continuous Conveyor take about 30 minutes to make - are then
vulcanized the following Sunday. This
Much of the high performance achieved takes approximately 3 hours.
on the project is attributable - in combina­
tion with the efficiency of the TBM and its The path of the belt through - and the way
very high availability - to the continuous it is tensioned in - the storage unit is
conveyor muck haulage system. illustrated in Fig. 3 above. This unit has
Continuously extended belt conveyor sy­ opposing carriages with multiple rolls (AI,
stems were originally developed for use A2, A3 + Bl , B2, B3) which provide back

156
Figure 3 . Belt storage and take up unit
and forth overlap to the belt. The amount
of belt which can be stored is proportionate
to the overall length of the storage unit.
Hydraulic cylinders at both ends move the
sets of rolls outwards via a system of travel­
multiplaying ropes and pulleys and provide
a constant belt tension. As the TBM Back
Up advances, it overcomes the pressure
setting of the hydraulic cylinders and the
belt thus is paid out from the storage unit.
The storage take/ up unit is powered by
an electrically driven hydraulic power pack
designed to proVide the higher take up
tension required during belt start up and
automatically switches to lower belt tension
is once the belt has come up to speed, to
provide a lower running tension for better
belt wear properties.
A 55 kW hydraulic conveyor drive unit
near the belt discharge end supplies the
necessary force to run the conveyor. As
the TBM advances, additional so called
booster drive units - see Fig. 4 - are installed
at about 2 km intervals.
Figure 4. Booster belt drive unit
These drives not only serve to feed more
power into the system as the belt gets
longer; they also allow decreasing the belt
tension for effectively negotiating curves.
In the first Blue Mountains tunnel driven,
157
the Katoomba carrier, there are four of
these, each with a 600 m radius. Through
the curves, the belt runs on self adjusting
load sensitive idler assemblies for proper
tracking.
To coordinate the drive units and provide
the automatic adjustment of the belt tension
at start up, the continuous conveyor system
- like the TBM itself - is governed by a
Programmable Logic Controller (PLC). The
belt master-PLC is located outside the
tunnel at the tensioning/ storage unit and
slave units are located at each of the booster
belt drives. There were a total of six of
these on the Katoomba drive.
TBM OPERATION
Site Assembly
The TBM was manufactured in Gothenburg,
Sweden in slightly under six months. It
left on a ship bound for Australia in De­
cember, 1993. Components started arriving
at the project site late in January, 1994 and
the assembly of the machine at the portal
in Lawson was completed by mid February.
The first boring stroke was made on the
last day of that month.
Machine Performance ­
Katoomba carrier
Boring operations were organized in such
a way that three 8 hr shifts were worked
for the first five days of each week plus
an additional two shifts on Saturdays. This During this run, the TBM also broke the
gave a total of 17 productive shifts per world records for small diameter tunnels
week. Each shift crew consisted of 12 set at the Oso tunnel as far back as 1966.
people and crews changed at the face .
On the Katoomba run the average advance The record figures for both projects com­
rate - defined as the daily advance divided pare as indicated in Table 2 below.
by the number of hours bored - has been
about 8 m/hr. Actual boring time represents
Project --. Oso Blue Mountains
only about 25.4 % of the total available
Performance m -linear m1 -loose m -linear m1 -loo'8
time (see below). In view of this and the 47.5 358.5
Best shift 83.0 753 .6
high monthly advance rates, very high Best day 127.7 963.8 172.4 1 565.3
Best week 580.6 4382.2 703.4 6386.3
instantaneous advance rates have been Best 30 days 2087.6 15756.5 2300.0 20882.2
achieved. The machine has on a number
of occasions bored in excess of 12 m/ hr, Table 2. Comparison of Oso and Katoomba tunnels
best performance
but these are rates that are difficult to
maintain over longer periods. The entire
boring system has, however, been able to
handle the 8 m/hr average rate comfortably. Continuation of project
Monthly performance from start-up through
the completion of the Katoomba tunnel is Breakthrough into the 60 m deep shaft at
recorded in Fig. 5. the Katoomba end of the first tunnel oc­
curred in January 1995, some nine months
earlier than the original schedule called
for. The TBM and the Back Up Equipment
were lifted out of the 3 m 0 shaft and
returned to the original portal for the 3.5
km long Lawson drive. The conveyor was
wound back out of the tunnel and cut at
each splice for storage once again in easily
handled 400 m rolls. Though run down
hill, the Lawson drive proved to be an
easy run and holed through in June 1995,
after approximately three months; average:
300 m/week. Performance also in this case
was better than expected, but no new
records were set this time.

Figure 5 . Monthly advance - Katoomba tunnel

DISCUSSION OF RESULTS

The graph shows that the average monthly
advance rate of 700 m the]V had calculated
with from the beginning was always ex­
ceeded, even for the months of September
and December 1994 when extraordinary
conditions prevailed.
Total system performance is perhaps re­
viewed best against the graph presented
below in Fig. 6. It displays the distribution
of various activities as a percentage of the
total available time - so called System
Utilization.

158
SYSTEM UTILIZATION
Katoomba drive
Figure 6. How time was used on the Katoomba drive
The chart first of all disclosed that - in spite
of an impressive average advance rate of
1 189 m/month, see Fig. 5 above - overall
boring time did not exceed 25.4 % This is
partly due to the fact that so many other
activities took their time, partly to the very
high instantaneous boring rate. The latter
is a well-known phenomenon and is illu­
strated by the fact that regripping amounted
to no less than 20 % of the boring time
again: the faster a TBM bores, the more
often it has to be reset!
In view of the fact that the sandstones
maybe were not hard, but extremely abra­
sive, the time spent on cutter inspection
and changes is well within acceptable
limits. So are the downtime portions for
the TBM and the Back Up Equipment.
With a view to the length of the tunnel
and the necessity to bring forward and
install numerous "services", the time spent
on those seems reasonable enough. One
might wonder whether the time spent on
support is not excessive, as no serious
problems with the rock have been reported
above - see Geology. However, rock sup­
159
port did have to be installed for parts of
the tunnel length as per the tabulation
below:
No support 15 %
Patterned bolting 45 %
Bolts and mesh 26%
Bolts, mesh and straps 13 %
Steel sets 1%
When seen in this light, 9.2 % of the
available time spent on support does not
seem to be unreasonable.
But the large slice of the total pie named
Downtime Conveyor - lifted forward in
the graph of Fig. 6 to make it stand out all
the more clearly - would seem to be a
disappointment. Looking a little closer at
the figures, we find that conveyor downtime
is as much as 95.7 % of productive boring
time. Making another comparison, we see
that conveyor downtime amounts to as
much as Back Up downtime, TBM down­
time, regripping, cutters and services toge­
ther.
We realize that this was the first time a
continuous conveyor system was used by
the ]V - or anybody else in Australia, for
that manner - and that much of the con­
veyor downtime in the beginning was
attributable to the "learning curve". Still,
the total conveyor downtime must definitely
be brought down for such a system to
have a chance of delivering on its promises
for high speed tunnelling in long, small
diameter tunnels in easily bored rock. And
even if the total Blue Mountains project
went far better than planned, we do know
that site management shares this opinion.
CONCLUSION
In spite of the excessive downtime for the
conveyor as reported above, the total
tunnelling system as employed at the Blue
Mountains project has performed beyond
expectation and the ]V was proved right
in aiming for a high speed operation by
accepting the outlay for some rather un­
conventional equipment. Of course, just
investing in a continuous conveyor did
not to the trick alone, as we have seen.
One needs a dependable TBM, capable of
high sustained boring rates, too, plus
reliable auxiliary equipment and a stream­
lined organization to fully utilize the ma­
chine's capabilities.
Provided than the bugs can be worked
out of the continuous conveyor so that is
becomes a piece of equipment with a
reliability of the same order as the best
conventional railbound means of muck
transport, the author foresees that the Blue
Mountain drives discussed in this paper
may well set a trend for small diameter
tunnelling projects, where high rates of
advance are of such overshadowing im­
portance that they warrant the substantial
initial capital outlay for the equipment.

160
CONSTRUCTION OF THE RAILWAY TUNNEL

UNDER THE GREAT BELT ­

RISK AND CHANCES
R. Sternath 1

INTRODUCTION executing the civil construction work for

the tunnel (Figure 3).
During the past few years a number of CivilCoallruaion

reports have been published (Table 1, P~Wom: M..iD. Comtrumoo PIaot

......,.....
"- -.."
um.
Figure 1) on Denmark's mega construction -.."
Dac:riptioD UM

Bond......,.

project, the 18km Fixed Link across the .D;..-

.,-,,> ::. 7.7 id.
14.124
lBM. (1.751 m)
Ro.u-xr. (mim1
N.

No

•
... ........
Cl'OaP-.,CI Dbd.1ooo. (35 t) No
Great Belt and the 8km railway tunnel . N"""" No 29 Oiacl.-iden No
.'-'" m
,..,..,...,.. No

""
under the eastern channel which I am TotaJlUIlI1d.lpoiI m' 907,000 No

.N.
GroutvohJluos m' >6,000 Railtnck (900 mm) Om

.."

22
PCCriDp(I.6Sm) N. 1,984 VClllilMion duct (l m) Om

..........
'>3
going to describe in more detail now. A PCC_p!IIIDb N. 63,000
30,000
V~(_(30kw)
Powa: c.biD(llkv)
No
Om
Pipnrurt

selection of the relevant literature is given SGIriop

N. . IOOJQ.ID.
,•,

. .......

. " .!imid 621 Om

. 7.1 mid,.. 1.1 mid 11 . 15Omm Om

in the appendix. In the following I would Sbo_

C\tt.~ ... Tuueb
m' ",,, . 200 mm.
. 300_
Om

Om
,
"
.
.,-,,> No

like to confine my remarks to the matters

-""""
.C".,.,... m' 35,100 Cut .. Covu TDub

. RciaCo~ 5,770

which personally affected me the most Earth"orU

.......
""""" ...... '00,

during the almost three years I was working

.Drcdp,
. Smd fill
. ExcavaDoD.
m'
m'
m'
207,000

1,730,000
1,460,000
"""""" I::: 1
m'
IN.

. lmpoI1oraed,cr-veI.. 91S,OOO ProJedMw.

on this project as tunnel manager. The ""'''''- p,-..... (O'-)

Submenibk pump.
C""
No
7

":1
most fascinating aspect, as with any tunnel Jd::-upJpbdorna
km
No
I
project, was the daily confrontation with Table 1. Civil Constmction
the elements, in this case not only earth
and water but - an occurrence which I
hope will continue to prove the exception
- fire as well, when a devasting fire broke
out in one of the four TBMs and we sub­
sequently had to eliminate the severe
damage it had caused to the tunnel lining,
working in unstable ground under a water
pressure of 45 metres (Figure 2).
These three elements - earth, water and
fire, - very definitely made their mark on
the driving operations for the Great Belt
project, probably as a direct result of the
unique difficulties presented by the site,
which sometimes verged on the impossible
from a technical point of view.
DYWIDAG is the sole German partner in
the joint venture constituted by the inter­

national consortium MT Group, which is Figure 1. Great Belt, Eastern Channel and Sprogo Island

1
Dipl.-Ing., DYWIDAG, Munich/Germany

161
 Figure 2 . Overoiew of the project

WATER

You have doubtless already heard that on

Figure 3. Management organisation joint venture
14th October 1991, in other words almost
exactly 4 years ago, there was an inrush
of water in the more southerly of the two
western driving sections, an inrush which
led to the flooding and destruction of both
the western driving units (Figure 4). I have

162

Figure 4. Hole in the seabed
often been asked how an incident like this
could happen when we were working
with an Earth Pressure Balance shield,
Figure 5. TBM with double screw conveyor
163
where the excavation chamber is isolated
from the rest of the tunnel by a watertight
bulkhead dimensioned to withstand a water
pressure of 8 bar. The incident occurred
during repair work inside the casing (which
has a clearance of 1.22 metres) of the
screw conveyor. Here it was necessary to
execute hard metal welding operations in
order to counteract the high abrasiveness
of the excavated material. In order to do
this it was necessary to allow the screw
conveyor to project through the open door
of the bulkhead into the excavation cham­
ber to provide access to the area where
the repairs were being performed (Figure
5). The whole procedure had of course
been discussed with the geologists before­
hand and had been considered to be
feasible. The face remained perfectly stable
for 3 days until suddenly, without warning,
seawater broke through the roughly 12­
metre overburden consisting of clay glacial
deposits (till) deriving from the Wurm
glaciation stage. The water at this point
was 6.5 metres deep. The inrush was so
rapid that there was no time to withdraw
the screw conveyor. There was also no
time to close the doors of the manlock,
which were open to permit periodic in­
spections of the face. The openings in the
bulkhead reduced the flow rate to about
3,000 litres per second, which meant that
the workforce could escape to safety in
time. The inflow of water came to a stand­
still after about 24 hours once glacial debris
had been tipped into the hole in the seabed
from above. We were able to get hold of
this material quickly as at the time of the
accident underwater excavation operations
were in progress for the foundations of
the West Bridge.
The entire electrical installations of the two
western shield TBMs with their complex
electronic controls were destroyed in the
accident and had to be replaced. The repair
work took 8 months and cost $32 million,
which was covered by the insurance. The
consequential damage caused by the
stoppage and the postponement of the
completion date were not insured. The
causes of the damage were examined in
detail by international teams of experts
drawn from the consultants, the partners
in the joint venture and independent ex­
perts.
The chief cause - in addition to possible
manmade interference brought about by
previous dredging operations with a heavy
pipejack pontoon - was found to be the
decline in the apparent cohesion of the
fine-grained slightly cohesive glacial depo­
sits which occurred as the material became
increasingly wet and softened as a result
(Figure 6).
Figure 6. Apparent cohesion
164
Armed with this knowledge we now ex­
panded the project in many important
respects and introduced comprehensive
additional measures, which proved to be
right on target. The main measures we
introduced were briefly as follows:
• From then on compressed air was always
used to support any intervention work
in the till in the excavation chamber.
• In order to permit this compressed air
support to be effective even in non­
cohesive layers of fine sand, the chosen
air pressure had to be higher than the
pore water pressure where these condi­
tions occurred (Figure 7). For construction
reasons it had proved more practical to
restrict the air pressure to a maximum
of 3 bar; this meant that the foregoing
measure could only be carried out by
systematic lowering of the groundwater
under the seabed, a measure we termed
"Project Moses". The project characteristics
can be seen from Table 2 (Figures 8 and
9).
• It was particularly important to arrive at
an accurate prediction of the length of
time the soil would remain freestanding,
taking into account the effect of the pore
water pressure, for the mining of the 29
cross-passages which connect the main
tunnels at intervals of 250 metres. An
uncontrolled inrush of water would have
Figure 7. Seepingflow
Figure 8. Moses scheme

Project "Moses" Data

PumpWe1ls:

-Number 43

-Diameter 300 mm

-Depths -35 to-liS m

- Yield 15to 120m'lhour

- Total nominal capacity 3400 m'lhour

Pumps:

-Type Gnmdfoss

-Powerl1lling 7,5 to 55kW

Barges:

-Number 6

-Sp"'" I

- Size 36 m long
Figure 9. Moses barge in operation

9 m wide

2,5 m deep

Diesel aenerator sets:

-Number 6

- Sp"'" 1

- Power I1IIing 455 kW

Piezometer Wells:
EARTH

-Number 12

-Type Well ~th piezoresistive silicon

sensor transducer. Main Tunnel

Table 2. Project ''Moses'' data Driving with a tunnel shield

The two main tunnels were driven from

constituted an extremely serious hazard
for the crews and tunnelling shield in­
stallations working concurrently lower
down, and therefore had to be avoided
at all costs.
the portals with 4 identical Earth Pressure
Balance shields with an overall diameter
of 8.752 metres. The main characteristics
of the machines can be seen in Table 3
(Figure 10).

165
 TBMDATA
I have often been asked whether it would
o.seription
"n" "".ntIIy o..cllptlon
1""'1_ not have been more suitable to use the
hydroshield system for driving the Great
Cutd..,....., m '.711

...
~
Length ofTBII
unglhOvenoI
m
m
10.1
211 • Firsl scr-(RiJbon
Belt tunnels. Even in retrospect the answer
orc.ntNata.ft,
W.lght of TBM I
-D........
1.2 is definitely no, the main reasons being
-."'"
...
.J'-22
W.lghtotS.ek-up I 1031 m
m

..... ."""

~ -ungth m 12.1
-P_r kw
· DifltCtion of robUon Revers."
-
-SPHd
• The variable geology
...

,.43
,"
. No.otpkb 111 m
• No. of discs .W.ight 70
. ft.I,...reUse
• Overburdens of glacial deposits from 4
-....
. CopyC1ltter .s.condse...-w

--
. Wetght 'CO (e.... s ...,.'

successive glaciation stages, which pre­

.....
. ROhittonSp"d 'Pm 0-2.& -lHInMlte,
1.2
· M.in b•• rinll type
. a..rinll1If.
. T~o's..ts
hours
3rowro'"
'U"
• Nolrows -.....,
-ungth

-_ht
m
kw ...
.J
,2.5
cisely in the Great Belt area intermittently

-
"""
• Driv. Motors IHydraulie' .oIkw 121'" 0-22

.......'500
'000

--
• Power
· TorqUfl:
kw
- cap.ely EPS-mode
I
dlr
70
'410 advanced and retreated, resulting in
• Highsp. .d tm
manifold shifts and interruptions, with
t.........

· Lowsp •• d tm

... ......
~

_Wl'"
TotalinstaHotd~, kw

mm_ ..
Ins~nt P...tradon Ratt:
In clostd mod.
In open mod. .
. c .paelty
..... 11.2
Z varying contents of fmes and the presence
Main thrust IWI'I 310 bar '$lle•
of overconsolidated clays_The ground

---
•R.rnstro" m 2.22 IdIuJ. (WIqbrustl)
•
.. I'·. 1:­1:­
Total!tln.ast310b.r
• Type (GlUM fedl
is very quarziferous and is therefore
~ • Numb...
.c.pactty ,
. EI.ctrie.ISupply , 10.500 abrasive, containing solid granite boulders
· Transformw
. M.lnPurnps
·Cutter....d
• Screw
.....
no/k. .

.....
21''''
'''50
41315
.cap.clty 1.., 1:­ up to 3 metres in diameter. Beneath this
Et:u1Q[(Doub.HNd,
there is a stable but extremely fissured
1:.- 1:­1:­
· Type Hydl'llulk
.c.puity
· TorqUfl
layer of chalk mar!. The groundwater
I pressure in the TBM axis can be as high
Table 3. TBM data as 75 bar.

The machines were designed to be able

to drive through all these formations without
having to be converted. Any adjustments
could simply be performed by switching
individual components on and off, such
as the second screw conveyor or the casing
rotator, or by introducing suitable additives
to render the excavated spoil suitably
plastic in consistency (Figure 11).

Figure 10. Shield assembly Fig ure 11. Startup of the shields at the east portal

166
During EPB operation the electronic control
system ensured that the advance rate was
automatically adapted to the available
torque at the cutterhead and that the rpm
achieved by the screw conveyors was
automatically adapted to maintain the
requisite support pressure.
I would have liked to have had a controlled
foam generator for the EPB machines used
in the Great Belt project in order to improve
the support and conveying characteristics
of the soil in unstable areas at high water
pressures. However this technique was
not yet available when we were ordering
in the autumn of 1988. A consultancy
agreement with Obayashi, whose design
office developed the foam technique,
unfortunately came to the conclusion in
1992 that subsequent installation of a foam
generator would lead to excessively ex­
pensive and time-consuming retrofitting
work on the backup system.
I'd now like to compare some of the
advantages and disadvantages of the EPB
and slurry techniques:
EPB:
+ No separation required.
+ No sudden loss of suspension when
meeting unknown cavities.
+ Possible to use conventional tunnel trains
for muck transport.
+ Cutting and mucking out of solid rock
and boulders simpler (no crusher).
+ No liqUid waste deposit problems.
- No filter cake at the face. In unstable
areas it is therefore necessary to provide
special "ice stations", "jetgrout garages"
etc. to permit smooth replacement of
the bits and cutters.
167
- The requisite torque rises exponentially
with the rise in the diameter of the cut­
terhead. Even if it is well conditioned
with polymers, bentonite or foams, the
supporting earth mass causes a far higher
torque resistance than the supporting
liqUid in the slurry shield. Particularly
after long interruptions to operations this
can cause the cutterhead to jam and lead
to higher energy costs for cutting. The
2,000 kW capacity of the machines used
in the Great Belt project was used to the
full in the glacial tills. The available torque
determines the cutting performance and
therefore the advance rate. [51
Slurry:
+ Precisely defmed support power through
exact control of the suspension pressure.
+ Filter cake at the face facilitates compres­
sed air intervention for replacement of
the bits and cutters.
+ Stable suspension means precisely defmed
torque resistance, even after long stoppa­
ges. Fine-grained soils necessitate com­
prehensive separation operations.
- Jamming of the cutterhead when meeting
layers of clay at the face.
- Blocking of the rake in front of the
bulkhead in sticky soils.
- Requires more sealing work on the main
bearings of the cutterhead and the disc
cutter bearings.
- Extensive liquid transport operations with
long transport routes. High wear and tear
on the pipelines and pumps, especially
in quarziferous ground.
- Waste deposit problems with slurry,
complete dewatering of the spoil with
filter presses and centrifuges is very
expensive. [4]
The current state-of-the-art would lead us
to draw the following conclusion:
Both processes have been technically
perfected and are reliable. The EPB tech­
nique is more economic where cohesive
layers of soil occur (where the proportion
of fines under 6011 > 3(010) and where the
shield diameter::; 8.0 metres; outside this
range the slurry technique is superior,
provided there is sufficient space for the
regeneration facility.
Geological transition zones
The driving of the main tunnels proved to
be particularly difficult at the interface
between the glacial deposits and tertiary
Figure 12. Seabed depressions
168
marl, especially in the eastern transition
zones.
The combination of fine-grained chalk marl
with overlying unstable glacial deposits
made the spoil so sticky that the openings
in the cutterhead immediately gummed up
completely if the support pressures were
too high.
It was impossible to intervene to clean the
cutterhead at this point because of the
unstable overlying layer of sandy glacial
depOSits, which could not be supported
with compressed air.
After numerous attempts to condition the
soil with various additives, we found the
following method to be effective: the
support pressure was reduced to about 1
bar, causing the groundwater to actively
force the glacial deposits through the
cutterhead. This prevented the cutterhead
from jamming, but at the same time, due
to the overexcavation, depressions were
caused in the seabed which had to be
backfilled afterwards from the top (Figure
12).
In areas of glacial deposits the bits and
cutters were replaced regularly every 125
metres. In the critical transition zones these
intervals were increased to 250 metres,
consciously accepting that the disc cutters
would be destroyed. In these zones it was
necessary to carry out expensive and time­
consuming ground treatment to stabilize
the face before proceeding to intervene in
the excavating chamber. Following unsuc­
cessful attempts to apply less extensive
measures , we twice used the following
method with success: a frozen umbrella
was created outside the cutterhead. This
consisted of 25 freeze lances up to 16
metres long and at angles of 15°, which
were drilled from the shield. The umbrella
was dewatered either from the front by
means of vertical wells or, as in the second
case, from the neighbouring tunnel by
means of inclined lances. By applying an
air pressure of 1.3 bar it was possible to
stabilize the face sufficiently to permit all
the 56 disc cutters and 188 bits to be
replaced in these protected zones we had
created (Figure 13).
Figure 13. Freeze umbrella
The requisite support pressure had been
worked out beforehand using 3-dimen­
sional flownet calculations on the digital
169
geological model. This model was first
designed on the basis of the probe drills
carried out for the tender, and was subse­
quently refined with every new drilling
operation and calibrated with every well
or dewatering lance.
Tunnel junction
As a result of the delay caused by the
problems encountered in the eastern tran­
sition zone which I have just described,
there was insufficient time to allow the
TBMs, which were working towards each
other, to meet in stable marl, as originally
planned; instead we had to make them
meet in the unstable soil encountered in
the eastern transition zone. We were able
to prove that a crossed double row freeze
umbrella with the lances inclined at angles
of between 15° and 20° was sufficient to
support the entire water and soil overbur­
den. We were able to save time by execu­
ting the freezing operations - with the
subsequent breakthrough of the remaining
30 cm between the cutterheads - and the
supporting of the roughly.
2.40-metre tunnel walls between the two
shield skins with shotcrete and lattice
girders at the same time as the shield was
being dismantled, which meant that these
operations did not lie on the critical path
(Figure 14).
Figure 14.junction of the main tunnel
Cross-passages
Before embarking on any of the cross­
passages we always pretreated the soil as
was appropriate to the individual cross­
passage in accordance with the results of
the special probe drills we had carried out
(Figure 15). For this we applied the follo­
wing processes:
Figure 15. Drilling work on one of the cross-passage
portals
• contact grouting with cement/bentonite,
• vacuum dewatering with lances,
• permeation grouting with the aid of
tubes-a-manchette and microfme cement,
• soil fracturing with cement/bentonite,
• fissure grouting in marl with cement/
bentonite,
• brine freezing when non-cohesive fine
sand occurred (Figure 16).
Figure 16. Brinefreezingfor cross-passage 27
170
Vacuum dewatering to reduce the pore
water pressure found the widest application,
and was performed with the aid of lances
between 8 and 12 metres long and made
of PVC or steel tubes with a diameter of
60 mm (Figure 17). For this a special drilling
technique was developed using a blowout
preventer, permitting us to drill in loose
soil against the high water pressure and
to install the filter tubes. We selected filter
tubes 6 to 8 metres long and with a slot
width of 1.0mm. Outside the filter tube
the drillhole (which had a diameter of
89mm) was backfilled with filter material
consisting of biologically degradable poly­
mer and filter sand. The filter material
could not be introduced where the soil
conditions were unstable and here the slot
width of the filter tubes was reduced to
O.5mm and a natural soil filter created by
flushing before putting the unit into ope­
ration.
Figure 1 7: Vacuum dewatering for the cross-passages
Piezometers were used to check that the
design parameters had been fulfilled.
A cross-passage was allowed to be exca­
vated once the pore water pressure did
not exceed 0.05 bar and the hydraulic
gradient between the piezometers and the
excavation boundary was no more than
20%. As an additional safety measure an
emergency sliding door made of horizontal
HEB profiles was installed at the portal of
each cross-passage. These were incorpo­
rated along the circular support beams of
the segmental lining for the main tunnels.

The excavation and stabilization of the

cross-passages was executed by conven­
tional manual mining methods in small
sections and was able to take place con­
currently with the driving of the main
tunnels as scheduled (Figure 19). Figure 19. Completion of civil construction of cross­
passage

Figure 18. Mining sequence for the cross-passages in till

Logistics

A sophisticated infrastructure was required of rolling stock with a gauge of 900mm.

to deliver the requisite workforce (Figure
20), energy and building materials to all
the worksites. The western tunnelling sites
on the island of Sprogo were supplied
from Halsskov using passenger vessels and
barges. Transporting the workforce and
supplies to the individual worksites in the
4 tunnels required the use of a large amount
In addition the dewatering of the tunnels
(Figure 21) and their ventilation with 2.0­
metre plastic ducts had to be carefully
adapted to suit the work situation in each
individual tunnel, taking into account the
length of the tunnel , the crews working
there and the diesel vehicles used.

171
Figure 20. Human resource chart

Figure 21. Pumping scheme during tunnelling

FIRE only about 100 metres separating the two

TBMs. The two machines were fighting
There was one point in June 1994, about their way slowly but surely through the
2 years after the flooded shields in Sprogo adverse soil conditions when suddenly fire
had been put into service again, when it broke out in the eastern machine on 11th

seemed as if all our problems had been June 1994.

solved. The last ring of the south tunnel The investigations carried out by the fo­

had been fitted into place on 17th May rensic experts later confirmed our original

1994 and in the north tunnel there were suspicion that a hydraulic line for one of

172
the 12 hydraulic motors used to drive the
cutterhead had blown. These had been
running at full torque for about four hours
and working at their top capacity of 2,000
KW and had already achieved 1,600mm
of the 1,650mm bored section required for
ring 1159 (driving station 1912 metres).
The fine spray of oil which was emitted
caught fire and initially produced a large
quantity of smoke as it burned. The smoke
gases contained hydrocarbons, which sput­
tered twice in quick succession after the
fire had broken out. The hydrocarbons in
the smoke interrupted the main power
supply as was scheduled to happen in
such cases because of the danger of ex­
plosion. After a short blackout the explo­
sion-protected emergency power supply
came on. It was purely thanks to the
excellent safety drill, the availability of the
automatic oxygen masks and the calm
behaviour of our experienced workforce
that the area was evacuated in a disciplined
manner, with no sign of panic or anybody
being hurt. Due to the danger of explosion
it was not possible to carry out any active
firefighting measures. The fire burned for
about 17 hours at temperatures of around
700°C and extinguished automatically due
to lack of oxygen. The fire completely
destroyed the TBM; it turned out, however,
that a more serious consequence was the
structural spalling of the concrete of the
40cm segmental lining, the spalling going
as much as 27cm deep in some places.
We did not of course know, and could not
estimate, the residual strength of the con­
crete which had been impaired by the
heat. The internal reinforcement of some
of the rings was hanging from the crown
like a hammock. Some of the rings evi­
denced structural cracking and a longitu­
dinal joint in the crown gaped open follo­
wing movements in the lining, with a step
of 75mm appearing in the ring joint with
the neighbouring ring. Cold saltwater was
173
flowing through this joint, a clear indication
that a link had opened up to the Baltic via
a settlement funnel above the crown. The
stability of the structure was obviously
questionable and we were quite honestly
at a loss as to what to do. In the night
following our first inspection of the damage
we were able to apply a layer of shotcrete
to protect the sections which had suffered
the most severe damage.
The joint venture then decided to take
emergency safety action to counter the
danger which lurked in delaying action
and to close the two eastern tunnel portals
with 3m reinforced concrete walls. Small
openings were left to allow vehicles to
pass and were rendered secure with mo­
dified emergency doors such as we had
been using for the cross-passages.
In looking for a suitable repair method we
had to make sure that the following criteria
were fulfilled:
1. The repaired lining must meet exactly
the same quality requirements (design
life of 100 years) and provide the same
quality assurance as the undamaged
areas.
2. The clearance profile must not be redu­
ced to less than the minimum of 7.20
metres internal diameter accepted by
the Danish Railways.
3. Execution of the repair operations must
observe all the safety standards without
subjecting the workforce to inadmissible
risks.
To ensure that this requirement was
fulfilled, the Danish health and safety
authority demanded the opinion of
independent experts who had so far not
been involved in the project in any way.
The two experts whose services were
used were Prof.Dr. Duddeck from
Brunswick and Dr. Haack from Cologne.
After numerous alternatives had been
examined the following method was de­
veloped and approved for execution:
1. Pressure-tight locking of cross-passages
2 - 7 between the north and south
tunnels one after another from the ea­
stern portal of the south tunnel down­
wards . After this it was possible to
resume operations in the south tunnel.
2. Construction of a 4.95 metre reinforced
concrete bulkhead in the north tunnel
below cross-passage 7, designed to
withstand a pressure of 4.5 bar, the
highest possible water pressure which
could occur if the tunnel should happen
to collapse. A man and materials lock
permitted access to the repair site (Figure
22).
Figure 22. Reinforced concrete bulkhead with man and materials lock
174
3. Application of compressed air support
of 0.75 bar in the damaged section of
tunnel with the aim of increasing the
safety factor of the damaged lining from
an assumed 1.0 to 1.5.
4. Partial dismantling of the TBM backups
around the damaged tunnel rings.
5. Installation of an internal cast iron
segmental lining reduCing the tunnel
clearance from 7.70 metres to the accep­
ted value of 7.20 metres and evidencing
the full bearing capacity of the original
concrete lining. The cast iron segments
were 21cm thick, which still permitted
mortar grouting with an average thick­
ness of 4cm (Figure 23).

Figure 23. Erector for the repair lining
Time schedule of the repair operations
The design, consultation and approval
stage lasted from June to October 1994.
The installation of the bulkhead with the
lock unit took until just before Christmas
1994, including the official inspection. The
repair operations were organized in accor­
dance with what are known as the Hazard
Operation Procedures (Hazop in short) in
such a way that in the event of flooding
the crew would have a maximum escape
route of 7 minutes. This had to be proved
through tests on the site. The damaged
tunnel lining was monitored continuously
with video cameras.
The work on the construction of the bulk­
head was of course critical, with the escape
route being defined by cross-passage 7
into the south tunnel. Working out the
details of the plan for anchoring the bulk­
head in the Single-shell tunnel lining, which
was only 40cm thick, was problematic.
Steps 4 and 5 of the repair operations were
successfully completed after a further 10
weeks, on 13th March 1995. Once this had
175
been accomplished the remaining 58 metres
were driven by the western TBM; the
extremely difficult soil conditions meant
that this took 25 working days, which
meant that the last ring was placed on 7th
April 1995.
Since then the remaining work on the
tunnel has been proceeding on schedule
at full speed, which means that there should
be no reason why the tunnel should not
be put into service for freight trains in the
autumn of 1996 and for the first scheduled
passenger trains on 1st February 1997
(Figure 24).
The repair costs for the damage caused
by the fire amount to approximately $25
million.
CONCLUSION
The work on driving the railway tunnel
under the Great Belt was marked by nu­
merous unusual setbacks. This led to higher
costs and extensions of the construction
period; to the credit of all those participating
in this construction project, it must however
be mentioned that there were no court
proceedings despite the cost of the civil
construction rising from $610 million to
about $1.1 billion (including the sliding
price scale provided for in the contract)
and insurance claims totalling $55 million,
plus serious problems initially with the 4
TBMs. In fact the joint venture saw to it
that German thoroughness was brought
to bear on the preparation of the contractual
negotiations which had to be carried out,
that the American fighting spirit and French
finesse characterised the negotiations them­
selves, while the clients reached their
decision in the cool, commonsense Scan­
dinavian fashion, arguing that it was in the
interests of all parties to share the money
 PROGRAMME / PROGRESS

Figure 24. Project time schedule

176

available for construction between those
participating in the project rather than to
let it disappear into strangers' pockets to
cover legal costs.
All the contractual questions have now
been settled amicably, and I would at this
point explicitly like to express my thanks
to our clients SBF and their consultants
Cowi-Mott, together with the representatives
of the insurance companies involved and
Howden-Wirth, the manufacturers of the
shield, for keeping cool and calm even
under what were at times very trying
circumstances.
And what are my personal recollections
after a 3-year adventure like this? Certainly
the feeling that I got to know far too little
of the beautiful country of Denmark and
its outward-looking, friendly people, the
descendents of the bold Vikings. On the
other hand I have the satisfaction of feeling
that I had the privilege of leading what
must be one of the strongest tunnel teams
of the past few years. We have every reason
to say with confidence that we found a
convincing solution to every problem,
however challenging, not only from a
technical but also from a contractual point
of view.
The members of this team are now scattered
throughout the continents of the world
and working on challenging new tunnel
projects. And again they will continue to
try to keep the upper hand in their daily
confrontation with the elements earth and
water and to earn money for their respective
employers. May they be preserved from
any further confrontation with the element
fire!
LITERATURE
[lJ Ostenfeld, KH.; Elliot, I.H.; Hartley, I.F,
Damgard Larsen, O. Bored Railway Tunnel
under the Eastern Channel of the Great
177
Belt, Denmark. ITA Congress on Tunnels
and Water, Madrid, June 1988
[2J Ostenfeld, K.H. and Curtis, Dj. The
Great Belt Link, The East Railway Tunnels.
Symposium on Large Tunnels, Madrid,
October 1992
[3J Sternath, R. Die Erddruckschilde fur
den Eisenbahntunnel unter dem Groflen
Belt. Symposium '92, Munich, October 1992
[4J Anagnostou, G.; Kovdri, K. Ein Beitrag
zur Statik der Ortsbrust beim Hydroschild­
vortrieb. Symposium '92, Munich, October
1992
[5J Chemical Shield Association, Technical
Estimate, rev.2, Tokyo 1992
[6J Biggart, A .R., Rivier, IP, Sternath, R.
Storebaelt Railway Tunnel - Construction.
International Symposium on Technology
of Bored Tunnels under Deep Waterways,
Copenhagen, November 1993
[7J Sternath, R. Geotechnische Sonderver­
fahren fur die Vortriebe des Eisenbahntun­
nels unter dem Groflen Belt. DGGT Bau­
grundtagung, Cologne, September 1994
[8J Doran, S.R.; Hartwell, Dj.; Robert, P;
Kofoed, N.; Warren, S. Storebaelt Railway
Tunnel - Denmark. Implementation of Cross
Passage Ground Treatment. 11th European
Conference on Soil Mechanics and Foun­
dation Engineering, Copenhagen, May
1995
[9J Biggart, A .R. , Sternath, R. Storebaelt
Eastern Railway Tunnel, Construction. ICE
Special Issue of Civil Engineering, London,
Sept. 1996
COMPARISON BETWEEN CONVENTIONAL
TUNNEL DRIVING METHOD AND TBM DRIVES.
WORLDWIDE DEMAND OF TUNNEL
CONSTRUCTIONS
A. Haack 1
ABSTRACT
The use of tunnelling machines is becoming
increasingly important for heading transport
tunnels underground. Unlike when the
shotcrete tunnelling method (NATM) is
applied, mechanically-driven tunnels bored
in soft ground are lined with reinforced
concrete segments. Comparing both the
shotcrete tunnelling method and the me­
chanical tunnel driving there are to be
recognised significant differences con­
cerning the construction period on one
hand and the operation face on the other
hand. While the conventional method
(NATM) offers advantages concerning the
adaptability with regard to geological and
operational conditions it is linked with
disadvantages related to safety and occupa­
tional health conditions, mechanisation,
standardisation and economical aspects as
long as longer tunnel drives are concerned.
SpecifiC design criteria with regard to the
waterproofing technique have to be consi­
dered.
Current and future construction volumes
in Germany and the neighbouring Euro­
pean countries certify tremendous efforts
aiming at a real improvement of the traffic
infrastructure. Some interesting correlations
in this field are described and explained
by some graphs taking Germany as an
example.
e.
Dr.Ing., Studiengesellschaft fur unterirdische Verkehrsanlagen e .v. - STUVA -, Cologne, Germany
179
INTRODUCTION
When contemplating how to tackle a tunnel
project, the question of the construction
method to be pursued naturally plays an
important role. Its response not only influ­
ences the economic aspects of the new
tunnel project but also ecological and
operational ones. In this connection, a
distinction must first be drawn between
cut-and-cover and trenchless construction
methods. The former is not of particular
interest in conjunction with the subject
matter examined more closely in the follo­
wing and as a result, it will not be dealt
with at any length. We are concerned with
differentiating between the various
trenchless methods. In doing so, one very
soon comes across the concepts of con­
ventional tunnelling methods on the one
hand and those undertaken with the help
of tunnel boring machines on the other.
Seen from the current viewpoint, conven­
tional tunnelling methods do not signify
historical ones, such as the English or the
Belgian underpinning method, the German
core drilling method (Fig. 1), the Italian or
the (old) Austrian construction method
from last century or the first few decades
of this one. Nor do they include the stowing
method (Fig. 2). Instead, the word conven­
tional applies to the shotcreting method
with all its many variants. This stands in
contrast to tunnelling using shield-supported
tunnel boring machines (TBMs), especially
when the tunnel lining is executed by
means of pre-cast supporting elements,
i.e. segments.
Figure 1. German core boring method
Figure 2. Stowing method
COMPARISON OF CONVENTIONAL
AND IBM DRIVES
The shotcreting methods dominated in
German tunnelling in the 1980s and early
90s. This particularly applies to long­
distance transport tunnels for rail and road.
180
Here, the proportion of tunnels completed
by cut-and-cover rather than by mining
means in the course of the last 15 years
amounted to some 15 to 20 % (Fig. lOb
and c). Drives using shield-supported TBMs
and segmental lining were only applied
on conjunction with inner-urban tunnelling
measures. Following a pronounced per­
centual drop in the 1970s, there has been
a constant increase since the beginning of
the 80s, as Fig. lOa shows.
The Deutsche Bahn AG (German Railways)
is also considering making use of TBMs
in conjunction with its preparations for a
number of tunnel projects as part of the
new high-speed lines planned for the near
future. Against this background, it seems
important to compare both methods ­
conventional shotcreting measures and
mechanical drives - with each other in
terms of constructional engineering and
operational terms. Both subject complexes
are closely connected with one another as
can be gleaned from the following table.
Shotcrete
"""
1
Assessment Criteria
Supporting agent in face zone -
Tunneling
Method
variable
TBM
safer
2 lining thickness variable constant
3 Safety of crew lower tJigher
4 Working and health protection lower flighef
5 Con- Degree of mechanisation limited high
6 stnJctlon Degree of standardisation condiUonal high
7 phase Oanger of break higher lower
8 Construction time· short tunnel shorter longer
9 Construction tJrne . k>ng tunnel longer shorter
10 Construction costs - short tunnel lower higher
11 Construction costs - long tunnel higher lower
12 Tunnel crou--seclion variable constant
13 Operational Cross-sectlon fonn as desired generally circular
14 phase Degree of utilisation of the dnve-related generally generally lower
tunnel crou-sections higher
Table 1. Comparison of major criteria for shotcrete
tunnelling methods and TBMs
As far as the various assessment criteria
listed above are concerned, the following
must be said. Whereas the shotcreting
methods offer a great amount of flexibility
with regard to the construction phase
relating to the adjustment of the supporting
material in the face zone to the given
geotechnical conditions as well as the
corresponding support thickness that has
must be determined and in this respect
are superior to mechanical drives, the
situation is reversed for various other
assessment criteria. For instance, mechanical
drives undoubtedly provide considerably
more safety for the crews as well as better
working and health protection. They faci­
litate a substantially greater degree of
mechanisation and can far readily be em­
ployed for purposes of standardisation.
Furthermore, the danger of cave-ins can
be assessed to be conSiderably smaller
than for shotcreting methods. With regard
to the construction time and construction
costs, a difference has to be made between
short and long tunnels when both tunnel­
ling methods are being compared. The
construction time and costs turn out to be
more favourable for shotcreting methods
providing that drives of less than 100 m
are concerned. The reverse is true when
the lengths driven are in the realm of
several thousand metres. In the case of
such long drives, the high degree of me­
chanisation and standardisation of a me­
chanical bore can be exploited to the hilt.
The high investment costs for the tunnel
boring machine do not have such a decisive
effect on the costs per tunnel metre. Simi­
larly, the time requirement for the manu­
facture and assembly of the tunnel boring
machine no longer plays an essential part
when it comes to major driven lengths.
As far as the operating phase following
the completion of the tunnel project is
concerned, the shotcreting construction
methods offer advantages in such cases,
where variable tunnel cross-sections and
shorter tunnel stretches are required. This
concerns, e.g., tunnel forks or expansions
in conjunction with fan sections for accesses
and exits to underground station facilities
with central platforms. As far as the cross­
sectional form is concerned, the shotcreting
methods permit a more or less infinite
range of possibilities, whereas mechanical
181
tunnelling methods are generally restricted
to a circular cross-section. This limitation
can lead to a lower degree of utilisation
for the tunnel cross-section for mechanised
driving. This is above all, disadvantageous
for road tunnels with two lanes plus a hard
shoulder or for two-track rail tunnels,
providing that the circular sections located
above or below the actual traffic zone
cannot be made use of in some other
fashion. In the case of road tunnels, gene­
rally speaking, supply and disposal lines
in the base zone as well as ventilation
ducts in the roof zone are the solution
here. In the case of two-track railway
tunnels, the overbreak cannot normally be
used for other purposes.
CROSS·SECTIONAL FORM AND
SEALING IN THE CASE OF
MECHANICAL DRIVES
In the case of fully-mechanised driving, it
can generally be assumed that - as men­
tioned - the tunnel will usually have a
circular cross-section.
In this connection, today, pre-cast reinforced
steel segments are used in most cases of
application (Fig. 3, left), which are directly
assembled to form rings behind the bore
head protected by a shield jacket. The
segments are provided with a continuous
seal comprising specially formed elastomere
profiles. When the concrete parts act against
one another, the seals secure the joints.
Figure 3. Cross.section of a mechanically-driven
tunn el (principle); Haack (Oct. 1995)
Alternatively or additionally, a tunnel com­ a) The concrete segment/seal system must
prising segments can also be provided permit such sufficient tolerances in all
with an all-round seal made of plastic joints that the sealing effect is completely
sealing membranes and protective layers assured taking into account a realistic
(Fig. 3, right). Given this solution, it is installation accuracy, which can be
essential to additionally install an inner attained in practical terms on site.
shell comprising vibrated concrete. The
external segmental shell can in this case, b) The geometrical design of the segment
take over the rock pressure, whereas the must be geared to the boring tolerances
inner shell is dimensioned to accept water of the shield machine and in this respect,
pressure. However, the permanence of the above all, to the minimal required and
segmental shell is not assured should permissible correction radius (Fig. 4).
extremely aggressive water in accordance This is considerably smaller than the
with DIN 4030 be present. All loads must projected radius of the future transport
then be accepted by the inner shell pro­ artery.
tected by the all-round seal. In this - albeit
rare case, a monocoque construction me­
thod is not needed.
Important for the perfect functioning of
the seal between the segments is the correct
choice of material and form of the sealing
gasket, something which can be controlled
and established through appropriate suita­
bility tests before construction commences.
In addition, however, the scheduled instal­
lation of the sealing gasket and the seg­
ments as well as the proper production of
the segments from watertight concrete
form the essential prerequisite for fulfilling
the demanded sealing requirements.
Figure 4. Example of executing the c orner zone
of a s eg ment; Haack (Oct. 1995)
Leaks which have become evident of late
can generally be attributed to two reasons:
Various possibilities are available for sealing
a) Damage to the seal as a result of impro­ the joints:
per installation of the seal itself or the
segment. a) The application of sufficiently thick and
wide simple sealing gaskets with ade­
b) Leaks resulting from flaking or cracks quate compression (Fig. 5a). This method
in the concrete caused by unanticipated is currently used most often.
strain on the segment.
b) The application of a simple gasket as
As a consequence, the following basic in case a), however, supplemented by
requirements must be observed for the a swelling profile to keep out water (Fig.
design and installation of segments (STINA, 5b). In the event of damage, grouting
PSP (1984»: can be carried out to a limited extent.

182
c) The application of a double gasket (Fig.
5c), whereby each gasket must be suf­ Fugendichtung
ficiently thick and wide with adequate
compression. Both gaskets are connected Joint Proofing
watertight with one another at certain
intervals in the course of the annular Sc:haum
joints so that bulkheads and chambers foam
are created. These chambers can be
used for joint grouting in the event of Ooppel-Oich­
damage. However, existing bolt or screw tungsrahmen
double gasket
ducts must be correspondingly sealed.

Figure 5 . Basic arrangement of the elastomer

sealing gasket in the case of a single-shell segmen­ Brandsehutz
tal lining; Haack (Oct. 1995)
fire proofing
Fugendichtung
Joint Proofing c) Sealing with double gasket (so far untested
proposal)
;:::c j

Schaum
foam
einfacher Fugendichtung
Dlc:htungs­
rahmen Joint Proofing
simple gasket
gasket
Ringfuge.
ring jOint

Dlchtungs­
Dlchtungs­
Dlchtungs­
a) Sealing with simple gasket; current practice

Fugendichtung
Joint Proofing
The proposals in accordance with b) and
swelling Quellgumml c) have so far not been applied in practice.
foam swelling profile As a result, these solutions have not been
tested.
Dlchtungs­
rahmen In all three cases, a foam profile is required
gasket up against the rock in order to prevent
soil or material from annular gap grouting
penetrating the joint zone.
The various possible combinations of
sealing measures for a two-shell lining for
b) Sealing with simple gasket and swelling profile high-speed traffic rail tunnels can be seen
additionally mounted to keep out water (so far
untested proposal) in Table 2 and Figs. 6a to d .

183
 Stress not very strong water
acting on concrete
Seepage water single-layer WUB 01" KOB
(water f)!eHure • 0 bar) (umbfella seal ot alJ.round)
Pressure water lwo-layer \NUB Of KOD
(water preaaure s 3 bar) (all-round)
Pressure water single.Jayer WU8 with KOB
(water preswre > 3 bar) (all-round)
very strong waler
acting on concrete
single-layer KDB
(all-round)
single-layer \NUB with
KOB 01 twI>layer KOB
(alkotnt)
single or ~yer wue
with KOB (al!-round)

Remar1t.s:
KOB: seal with plastic sealing membrane
WUB: seal with inner shell comprising watertight concrete

Table 2. Sealing combinations based on a draft for

updating the DS 853 for two-shell lining (S7VVA, PSP
(1994))

For seals comprising plastic sealing mem­

branes, generally speaking, as far as the
Deutsche Bahn AG is concerned the DS
853 (Deutsche Bahn AG (993)) is taken
as the basis. The most important regulations
are to be found there in Section 87 ff,
essential sealing details in Appendix 13
"Sealing new Railway Tunnels".

CURRENT AND FUTURE CONSTRUC·

TlON VOLUMES IN GERMANY

Since 1990, the total length of operational

Figure 6. Possible combinations for sealing systems
in the case of two-shell tunnel lining depending
on the soil and water conditions;
Haack (Oct. 1995)
transport tunnels has grown from around
850 to almost 1,100 km. This increase has
partly to do with ongoing urban rapid
transit railway construction with an annual
rate of completion corresponding to some
17 to 18 track km (Fig. 7, curve metro).
This corresponds to a length of some 12
running km and in turn, to an increase of
roughly 60 km over the observed 5 year
period. On the other hand, in the field of
railways (curve railway) around 150 km
of highly modern tunnels have opened
since 1990 in addition to the existing
network, mainly in conjunction with the
two new lines Hanover-Wurzburg and
Mannheim-Stuttgart. Finally, approx. 15
km of additional tunnels have been opened
for traffic in conjunction with federal high­
ways since 1990 (curve road).
Fig. 8 shows the award-related share for
the most important clients in transport
tunnel construction in Germany.

184
At the turn-of-the-year 1994/95, there were
roughly 96 km of transport tunnels and
approx. 75 km of supply and disposal lines
with major cross-sections under construc­
tion. Table 3 provides the individual details.
Related to the driven length, at least 56 %,
a ration of almost 3/5 is accounted for
transport tunnels and accordingly around
2/5 by supply and disposal tunnels (Fig.
9a). However, the weight of the transport
tunnels becomes far more evident if the
excavated volumes are included. Thus, if
transport tunnels on the one hand, are
compared with utility tunnels on the other,
we determine that the length-related ratio
is approx. 5/4 but the volume ratio around
55/4 (please see Table 3 and Fig. 9b).

Figure 7. Contracts awarded in traffic tunnel construction between 1980 and 1995

185
Figure 8. Contract-related and length-related data on use of traffic tunnels constructed between 1980 and 1995

Figure 9. Proportion of the various types of tunnel usefor the turn-of-the-year 1994/95 (values in brackets refer
to the previous year).

Type km 10;Sm;! For transport tunnel construction, a com­

Underground, urban and rapid transit systems (US)
Long distance railway (B)
50
9
3500
870
parison of the engineering methods that
Road (S) 37 4230 were employed is also of interest. Fig. lOa
Utility lines M 18 167
Sewerage (A) 56 425 provides the details over the years. This
Others (So) 1 33
Total 171 9225 shows that around 3/ 4s of the overall
driven length of transport tunnels were
executed by mining means and around
Table 3. Excavated length and volume of the tunnels
under construction at the turn of 1994/95 1/4 by cut-and-cover. This applies both to

186
inner-urban Underground, urban and rapid
transit system construction as well as to
transport tunnels in general. A further
aspect that springs to mind in conjunction
with Underground, urban and rapid transit
system construction is that at the turn-of­
the-year 1994/95, good 18 km, representing
a ratio of almost 2/5 of the overall driven
length, was completed using tunnelling
shields. The ratio for shotcreting methods
is also roughly 2/5.
Of particular interest, last but not least for
the construction industry is the tunnel
construction volume anticipated in the near
future (5 to 10 years). The relevant fmdings
obtained from the end-of-the-year survey
1994/95 are contained in Table 4. This
construction volume of around 340 km of
transport tunnels will largely be realised
by the year 2000 according to the latest
level of planning. Apart from 55 km of
Underground, urban and rapid transit
railway tunnels, the volume of 181 km of
long-distance rail tunnels and 104 km of
Figure 10. Data on trenchless and cut-and-cover
road tunnels is really remarkable.
construction methods in conjunction with the traffic
With respect to the road tunnels, it should tunnels under construction at the turn-of-the-year
be said that the measures currently being (length-related)
prepared in the Eastern German federal
states are still at the pre-planning stage, Planners and contractors are of course
which means they are not far enough greatly interested to know the locations of
advanced to safely be included in the the planned tunnel projects. Fig. 11 contains
statistics. The 104 km of planned road a break-down of the planned tunnelling
tunnels contained in Table 4 have at least volume according to the federal states.
reached the planning approval stage. In
addition, it appears as far as we can say
at the moment that 89 road tunnels with
an overall driven length of approx. 125 Figure 11. Classi­
km have been additionally planned. They fication accor­
have to be added to the values contained ding to federal
states for planned
in Table 4.
and registered
T~e ~ 10'm' traffic tunnel pro­
Underground. urban and rapid transit systems 55 4.260
Long distance railway 181 24.900 jects (construc­
Road 104 13.720 tion starting as
Total 340 42.880
from 1995)
Table 4. Excavated length and volume of planned
tunnels construction starting after 1995

187
EUROPEAN SITUATION CONCERNING • A recently discussed special tunnel for
THE SITUATION IN EUROPE transport of goods between South­
Germany and North Italy (Tunnel Tyrol)
Numerous rail and road tunnels are in with a total length of about 150 km.
operation (Table 5) or are being built in
various European countries. AB examples, • A tunnel undercrossing the 0resund
the following major projects are either in between Denmark and Sweden with a
operation, under construction or in the length of 4 km.
planning stage:
• A tunnel between France and Spain
undercrossing the Pyrenees along the
route between Narbonne and Barcelona
Traffic tunnels (route km) with a total length of about 12 km.
Metro Rail Road Total
Austria 15 105 210 330 • The Gibraltar Tunnel between Spain and
France 270 650 180 1100 Morocco, which will probably be about
Germany 550 380 70 1000
50 km long.
Great Britain 200 220 30 450
Italy 60 1150 600 1810
Norway 20 260 370 650 • The Mont Cenis Tunnel between France
Spain 200 750 100 1050 and Italy, again with a length of about
Switzerland 360 140 500 40 to 50 km.
Total 1315 3875 1700 6890
• A large number of tunnels within the
Table 5. Rail and road tunnel operations in various framework of the planned pan-European
West European countries (status 1990)
high-speed rail links, scheduled to be
completed by the year 2015.

• The Channel Tunnel (rail) between • Various tunnels planned in Norway

beneath straits in order to connect islands
Britain and France, which is approxima­
with one another or with the mainland;
tely 52 km long came into operation at
the overall length will be greater than
the end of 1994.
100 km. A number of these tunnels will
be more than 10 km long and will be
• The Great Belt Tunnel (rail) in Derunark,
constructed at depths of 600 m and more
between the islands of Funen and See­
below sea level.
land, which is about 7 km long.
Taking all these new construction proposal
• The Alpine transit routes for rail traffic
into account, the pan-European traffic
in Austria/Italy (the Brenner Base Tunnel)
tunnel network is likely to far exceed
and in Switzerland (where the Gotthard
10,000 km by the year 2000.
Base Tunnel and the L6tschberg Tunnel
are being contemplated), each approxi­
mately 40 to 50 km long.

• An additional Alpine transit between

Lyon (France) and Turin (Italy) with an
estimated length of 54 km.

188
BIBLIOGRAPHY

Haack, A. (May 1995): Tunnelbau in der

Bundesrepublik Deutschland: Statistik
0994/95), Anaryse und Ausblick; Tiejbau,
Ingenieurbau, StrajSenbau 37 (995) 5,
pp. 25-51 .

Haack, A. (Oct. 1995): Vergleich zwischen

der einschaligen und zweischaligen Bau­
weise mit Tubbingen bei Bahntunneln fur
den Hochgeschwindigkeitsverkehr; book
series ''Forschung Praxis, U- Verkehr und
unterirdisches Bauen''; Alba-Fachverlag,
Dusseldorj, 1995; pp. 251-256; paper pre­
sented to World Tunnel Congress, STUVA­
/ITA-Tagung '95, Stuttgart, May 1995.

DIN 4030: Beurteilung betonangreifender

Wiisser, B6den und Gase.

STUVA, Ingenieurburo Philipp, Schutz &

Partner (PSP) (994): Expertise ''Einscha­
liger/zweischaliger Ausbau mit Tubbingen
fur ein- und zweigleisige elektrifizierte
Eisenbahntunnel, die mit Geschwindigkei­
ten bis 300 kmlh befahren werden''; prepa­
redfor DB; 11 .1994.

Deutsche BahnAG (1993): Eisenbahntun­

nel planen, bauen und instandhalten;
DS 853, Ausgabe 10.1993.

189
CASE STUDY OF AN ALPINE TRANSIT
FREIGHT TUNNEL CONCEPT· INFLUENCES
OF GEOLOGY ON TUNNEL TECHNOLOGY
j. Golser 1
ABSTRACT
The Alps build a barrier for the North­
South freight transit. Most of the goods are
transported by trailers on freeways causing
environmental problems. The freight volu­
me is estimated to double during the next
20 years which would lead to a traffic
infarct on the existing roads and rail tracks.
It is the policy in Europe to transfer long
distance freight transports from road to
rail.
The mixed rail system, high speed passen­
ger traffic and freight transport is unefficient,
costly and limited in capacity.
It is proposed to construct a separate
automized freight transit line through the
Alps from Rosenheim to Verona. The ali­
gnment is underground in two single track
tunnels. The total tube length is more than
500 km.
Special TBM's are to be designed to cope
with hard rock and great deformations of
the rockmass due to high overburden.
Lining systems are to be developed which
allow considerable radial deformations.
INTRODUCTION
The global interweaving of industrial pro­
duction, the exchange of goods and the
high mobility of people have caused a
significant increase of transport volumes
during the last decades.
With the elimination of customs in the
European Union, with the political changes
1
Prof. Dipl.-Ing. Dr., Mining University, Leoben, Austria
191
in Europe and with the economical inte­
gration of the former East Block countries,
demand for the increase of transportation
capacities is steadily increaSing.
The existing traffic lines, highways, freeways
and railroads are at their capacity limit and
are not adequate for the future needs.
Truck transport causes problems for the
environment like air pollution and noise.
The existing rail transportation systems are
either at their capacity limit or not attractive
enough, so that most of the goods are
transported on road.
The Alps are a great barrier between the
mediterranean industrial zones and the
rest of Europe. Since the freight traffic
volume between Italy and Northern Europe
has doubled the last 20 years and it is
expected to double again in the next 20
to 30 years the Alpine countries agreed to
plan 6 new main transport lines through
the Alps to transport 135 Million tons of
goods per year. Austria has 3 main corridors
from Germany to the south, the Pyhrn
corridor to the Balken, the Tauern corridor
to Italy and the Balkan and - the most
important - the Brenner corridor, the con­
nection Munich - Verona.
THE PROBLEM
The connection Munich - Verona uses a
corridor through Tyrol along the Inn valley
to Innsbruck in East-West direction and
then turns to south over the Brenner pass
to Bolzano and Verona.
Tyrol has become the main transit corridor
between Germany and Italy since Switzer­
land has strict restriction on transit freight
transportation on roads.
The environmental consequences with
regard to air pollution and noise and the
traffic congestions are an unacceptable
burden for the people living there.
Today more than 30.000 cars, 4.000 trucks
and 130 trains use this corridor every day
with maxima of 6.000 trucks per day. For
the year 2010 it is estimated that these
figures will be doubled. Such a scenario
will cause an infarct on rail and road.
What is needed in Tyrol is:
• the relief of the roads from freight transit
adjustment to the different required train
velocities.
The first step should be to separate pas­
senger traffic and goods traffic in the alpine
bottle necks in the very sensitive areas like
Tyrol.
For the passenger traffic the rail net exists
already, it has been improved during the
last years. The alignment goes from Rosen­
heim via Wbrgi, Innsbruck and the Brenner
pass to Bolzano in Italy (Fig. 1). With some
additional improvements the passenger
traffic can be managed in the future, if the
existing railtracks are relieved from the
transit goods transportation. The request
for 250 km/ hour shall be reconsidered, a
minimum speed of 160 km/hour should
be acceptable in difficult alpine terrain.

• an underground alignment for the rail

freight transit

• the passenger traffic shall be on the

surface. The tourist who visit the Alps
because of the beautiful scenery shall
not be carried through long tunnels

• the environmental problems must be

solved in order to improve the quality
of life for the people living in these
alpine valleys.

PROBLEM SOLUTION

The transportation of persons and the

transportation of goods have entirely dif­
ferent requirements.
Passenger rail traffic should be high speed
with trains in short intervals and with
alignments at the surface.
Goods traffic must guarantee delivery "just
in time", high speed has no priority.
The target must be to establish separate
high priority rail nets for passenger traffic
and for transportation of goods with the
Figure 1. Route comparison between separate traffic and
mixed traffic
Goods shall be transported underground
on rail on a separate alignment. IPG,
International Planning Group, has proposed
an entire underground solution crossing

192
the Alps from Rosenheim to Verona with
connections to the existing rail net in
Rosenheim, Worgl, Bolzano and Verona.
The total length of this alignment is approx.
350 km with 83 % in tunnels.
The existing improved alignment for pre­
dominantly passenger traffic is approx. 424
km long with 5 % in tunnels.
The proposed freight tunnels solution is
compatible with the existing rail and rolling
stock system of the European railways,
which means, that every freight train can
be taken through these tunnels in addition
to the freight shuttle services between
Rosenheim and Verona.
Every freight, like cars, containers, trucks,
trailers and semi trailers can be transported
through this system.
Special emphasis is to be given to:
• economy
• reliability and safety
• underground alignments
• environment
• punctuality and guarantee of transporta­
tion time.
Cost increasing characteristics, like high
speed, are not relevant for transportation
of most of the goods.
The system solution for the cross-alpine
freight transit is a fully automized under­
ground rail system in two tunnel tubes
with conventional traction, using a loco­
motive each at the front and at the rear
end of the train.
• The protection of people and environment.
• The short construction time.
• Reliability because of the simplicity of
the system using proven components.
• Compatibility with the existing rail system.
• Landscape protection because of under­
ground alignment.
• Environmental protection by transfer of
transports from road to underground rail
and by eliminating the necessity to widen
the existing freeway.
• Low running costs through automation.
• Lower investment costs because of au­
tomized low speed operation and exclu­
sion of passenger transportation. This
reduces substantially investment and
maintainance costs for safety installations
and ventilation.
• Lower investment costs caused by the
reduced cross sectional area for freight
transport.
TUNNEL CONSTRUCTION
The alignment follows the shortest possible
route from Rosenheim to Bozen and Verona.
The project includes two single track tubes
with 5.55 m internal tunnel diameter, con­
necting tunnels every 1.500 m for safety
and maintainance purposes and crossovers
at approx. 15 km distance (Fig. 2)

The arguments for the separate automized

freight transit system are:

• To master the increasing freight volume

in an economical way. Figure 2. Route Municb- Verona- Tunnel profile

193
The longitudinal section and the alignment
are chosen with longitudinal grades bet­
ween 0,2 and 1,5 % in order to consider
the hydrogeological situation and to have
enough headings to minimise construction
time. The longest heading will be approx.
25 km, the other headings are all between
15 and 20 km long (Fig. 3). Most headings
shall be driven uphill to reduce problems
caused by water inflows.
Geology
The alignment crosses the central East Alps
in North-South direction and meets all the
tectonical series from the Penninicum to
the lower, middle and upper east Alpine
as well as the South Alpine. Fig. 4 shows
only the longitudinal section from Raubling
to the Puster Valley.
The Penninicum from the Katschberg to
the Brenner fault is also called the "Tau­
ernfenster" and is the tectonical lowest
serie of the Alps. The Penninicum contains
the central Gneisses, the Zillertaler Gneisses,
as well as the lower and upper schist cover
which enclose the Gneiss domes like onion
shells.
The Lower East Alpine is represented by
the Innsbrucker Quartz phyllites.
The Upper East Alpine contains the Nort­
hern Limestone Alps and the northern
Greywake Zone.
The South Alpine; south of the Puster­

Figure 3. Longitudinal section and construction time schedule Rosenheim-Bozen

194

Figure 4. Geological Section Bozen-Rosenbeim

Valley, is composed of Quartzphyllites, Innsbruck Quartzphyllites:

Quartzporphyr, and tertiary sediments, quartzphyllites, green schists, porphydro­
predominately carbonates. ides, marl, quartzite

From North to South we have the following Permomesozoikum:

lithological units: breccia, pyhllites, flint schists, thin layered
carbonates
Flysch Zone:

Sandstones and chalky marls Upper schist:

calcareous mica schist, prasinites, marls,

Northern Limestone Alps: quartzites
limestones, dolomites, some chalky marls,
greywakes, clayey schists and sandstones Central Gneisses:
granitic gneisses, migmatic gneisses and
Werfener layers: onatexites
clayey schists, sandstones
Old Crystalline:
Greywakes: paragneisses, mica schists, marls amphibo­
phyllites, diabase, dolomite lites

195
Brixen Granites:
biotitgranite
Brixen Quartzphyllites:
quartzphyllites, graphitic quartzites, mica
schists, gneisses, porphyroids
Verrucano:
basalt, breccia, conglomerates from the
palazzoic quartzphyllites
Bozen Quartzporphyry:
porphyry and tuff
Southalpine Mesozoikum:
dolomite, Jura limestones, Oolith limestones
Brixen Quartzphyllites:
quartzphyllites partially chloritic, quartzites,
gneisses, partially dyke rocks
Southalpine Permotrias:
Sandstones, dolomites, limestones, locally
siltstones, marl
Main Dolomite:
dolomite in thick layers with layers of clay
schist
Southalpine Mesozoikum and Tertiary:
limestones, dolomite, marls
Rock mass classification
So far only a very rough classification could
be made based on general information
about strength and deformation parameters
of these rock types and on experience
with underground constructions in these
formations.
Special attention must be paid to the high
maximum overburdens, 1.200 m in the
northern and southern limestone alps and
2.400 m in the central alps, causing high
primary stresses.
196
The classification system as we use it in
Austria is based on rock mass behaviour
during tunnelling and the main rock classes
are estimated to be:
Stable to slightly friable:
2 to 5 %; The rock mass behaves elastic,
minor local support is required.
Friable:
approx. 70 %; failure phenomena reach
shallow into the rock, equilibrium is reached
after short time.
Pressure exerting under low cover:
approx. 10 %; this category includes qua­
ternary valley fills and soft rocks with
failure mechanisms which may reach deep
into the rock.
Pressure exerting rock under high cover:
10 to 15 %; this category includes greywakes
and phyllites in the Kitzbuhler Alps, mica
schists and possibly gneisses under the
highest overburden.
Tunnel Excavation and Support
The economy of the project depends mainly
on short construction time. The proposed
alignment allows the excavation of more
than 30 tunnel headings from 15 portals,
the longest heading being approx. 25 km
long.
With this lengths conventional drilling and
blasting is too slow. Consequently the
project foresees two single track tubes for
TBM excavation. The excavation diameter
will be approx. 6.5 m.
It is suggest, that a continuos TBM exca­
vation with continuos support application
guarantees an average progress rate of 700
m per month. With this performance a
construction time of 5 years would be
possible. The short construction time con­
tributes to lower the investment costs.
The TBM must fulfil certain requirements Probe drilling and drilling of dewatering
to cope with high deformations. Radial holes parallel to the continuos excavation
deformation due to high primary stresses process is one additional requirement and
are expected to be in the range of 10 to challenge for the TBM developers.
20 cm, in extreme situation they may be For mucking the use of conveyer belts
30 cm and more. may provide advantages compared to
With shielded TBM's precast element sup­ conventional mucking trains.
ports can be installed. Continuos excavation
with simultaneous installation of a final
single shell prefabricated lining promises CONCLUSION
the highest advance rates.
Due to the expected deformation the TBM The project idea is based on a concept
shall be able to cut variable diameters with which separates passenger traffic from the
a variability of say 30 to 40 cm in diameter. rail transport of goods. Underground freight
The shield should be variable in diameter transportation on rail has great advantages
so that it cannot be blocked by the squee­ compared to the mixed traffic such as
zing rock. A short gripper shield construc­ environmental protection, higher capacity,
tion could be a solution. It gives the pos­ greater reliability and lower cost.
sibility to install precast elements and Great effort is required to improve and
reduces the risk to be blocked in squeezing develop further TBM technology to cope
ground. with the extraordinary challenge of hard
The precast element support allows radial rock in combination with high primary
rock deformations in the range of 5 cm stresses and great deformations.
depending on the joint details and the The concept of "Low Cost Transit Systems"
backfill grouting of the gap between exca­ offers chances for the European traffic
vated rock and precast ring. Radial defor­ policy, for the benefit of economical pro­
mations more than that will require special sperity and for the quality of life in a highly
yielding elements in the longitudinal joints. industrialised Continent.
Since more than 20 TBM's will be in ope­
ration simultaneously in very different
geotechnical situations it seems not advi­
sable to stick to one excavation and support
system for the total length of 500 km tunnel
tubes.
For tunnel sections with a considerable
percentage of highly squeezing ground an
open TBM seems practical because this
TBM is not so vulnerable to be squeezed
or blocked by the rock. With an open TBM
a single shell shotcrete lining with high
strength shotcrete in combination with
systematic bolting seems a good solution.
To cope with high deformations special
deformable elements may be used in lon­
gitudinal deformation slits in the shotcrete
shell.

197
STATE OF THE ART OF THE JAPANESE TBM
TECHNOLOGY • NEW DEVELOPMENTS
ABSTRACT
The construction investment in and inter
cities is still vital need in Japan and the
high rate of investment is forecasted to
keep in thefollowing 20 years. In this
situation the tunnelling technologies keep
toplay important roles. Among them a TBM
technology will play a major role in the
highly mechatronized construction techno­
logies to pursue the high efficiency of
excavation and to attain the cost reduction.
Japan has greatly contributed in the shield
TBM technology and the new technology
developments are spouting out. The TBM
for rock tunnels is obtaining the important
position in the rock tunnelling in Japan.
In this paper extensive developments which
are being carried out in Japan will be
discussed and introduced.
CONSTRUCTION INVESTMENT IN AND
INTER CITIES AND TECHNOLOGY
PROGRESS 1)
The 20th century can be called a century
of industrial society with mass production
and high efficiency as its goals. Japan has
experienced and succeeded in achieving
the mass-production capacity of an indu­
strial society, and now faces an information
and globalization society. However, Japa­
nese citizens encounter difficulties and
strains in and inter cities such as: skyroc­
keting land prices, traffic congestion and
the lack of traffic infrastructure for roads,
railways, harbors and airports, the lack of
green and open space in cities, the lack
11, General Manager, Technology Development Dept. 11, Taisei Corporation, Tokyo, Japan.
199
1
T. Hanamura
of urban infrastructure for sewage and
garbage disposal facilities, earthquake
vulnerability, etc. These are some of the
issues that Japan have faced as a result of
urban congestion problems.
The construction investment in and inter
cities is still vital need in Japan. The amount
of Japan's investment in construction is
large enough and exceeds that of USA or
major European countries. The high growth
rate of investment is forecasted to keep in
the following 20 years. It predicts that the
development and redevelopment in and
inter cities continue to be big in Japan.
Most of the large cities of Japan are located
in the estuary part of the river, where
geological conditions are mostly soft and
weak by the alluvial soils near the surface.
Since the land available for industrial use
was limited, the most of those structures
have been built in the estuary and coastal
zones including reclaimed lands. However
the large quantity of the lands is covered
by mountains in Japan. Inter cities traffic
connections have to cross mountainous
areas. Roads and railways have to excavate
tunnels in the mountain and build bridges
over the valley.
Japanese tunnel engineers have encoun­
tered the difficulty in geological conditions
from soft soils to hard rocks . Engineers
had to fight with the soft soil problems in
urban areas, and have developed techno­
logies of land fill , land improvement,
foundation engineering including pile
foundation, slurry walls and shield tunnels.
New technologies have also been introdu­
ced for the mountains. Tunnels have to
be excavated sometimes in the extremely
hard or soft rocks such as volcanic rocks
in order to keep the traffic priority of the
planned route of railway and roads. Engi­
neers had to fight with the difficulty of
geology from weak soils to hard rocks.
Just after the world war 11 Japanese con­
struction industries were greatly influenced
by the technology of the United States.
Introduction of heavy equipment to dam
projects for hydroelectric power station
was called revolution to the Japanese
construction technology. Japanese construc­
tion industries had noticed the importance
of new equipment and technologies. Con­
struction industries were eager to import
new technologies from developed countries
in 1960's and 70's. Construction industries
imported both technical know-how and
equipment. The drill-and-blast method for
rock excavation and the shield tunnel
method for soil excavation were those
typical ones. Japanese engineers absorbed
and digested the imported technology, and
revised and developed to the new techno­
logy of their own.
NATM was introduced in Japan in 1970's,
and almost at the same time the mobility
system in the tunnel construction had been
gradually changed from rail system to the
rubber tire system. NATM was introduced
to cope with swelling rocks at first in Japan.
However gradually NATM had been adop­
ted in many mountain tunnels and became
the standard rock tunnel method in Japan.
Though TBM had once been introduced
for some rock excavations in Japan at that
time, TBM could not function well for the
susceptive rock, specially weak rocks in
Japan. Since then, most of Japanese tunnel
engineers had not much interested in TBM
for long time. Only small numbers of
engineers have noticed the importance
and have tried to use TBM occasionally
with the strong understandings of owners.
However recently Japanese engineers have
200
concerned much with TBM and eager to
apply into Japanese rocks since Japanese
engineers have been enlightened by the
recent remarkable achievements of TBM
technologies attained in US and in European
countries. Japanese engineers have been
stimulated by the extensive use of TBM in
varieties of rocks and the efficiency of high
speed excavation and low cost construction.
Japanese tunnel engineers have classified
into two main schools of excavation me­
thods as: the rock excavation school with
drill-and-blast or mechanical means and
the shield tunnel excavation school for
soils. Shield tunnelling school engineers
come from the experience of soil excavation
including cut and cover methods for city
infrastructures. Rock tunnelling school
engineers come from the experience of
rock excavation mainly in railway tunnels
at the beginning, afterward road tunnels
involved, with know-how and highly me­
chanized equipment such as hydraulic
drilling machines, mechanized excavators,
mobile systems with the rubber tire.
Recently the new big waves are surfing
among Japanese tunnel engineers. The
first set of waves is changes in the integra­
tion of rock and soil engineering as a
continuum media engineering. Though
design standards are completely different
in two schools in Japan at this moment,
two school engineers have begun to col­
laborate one another to introduce more
economical and fast way of excavation
and to integrate both systems in the desi­
gning. Euro Channel Tunnel project gives
them a strong impact on the use of the
shield tunneling method with the segmental
lining into the rock tunnels. There are
some tunnel construction cases where one
shield machine is used continuously both
in rocks and soils in one project. The effort
to conform two design methods has been
contrived and some measures were achie­
ved in some projects. The NATM has been
gradually introduced in the excavation of
soils instead of using shield method in
urban area of the city. NA1M had not been
applied for long time in urban areas of
Japan, since Japanese engineers had been
afraid of ground settlements by the lowering
of ground water table during and after
excavation. Because the mountain tunnel­
ling method induding NATM allows the
draining of water into the tunnel, NATM
had not obtained the reliability in regard
to the ground settlement. Therefore most
of Japanese engineers have placed much
confidence in the dosed type of shield
tunnel methods which does not allow
water drain into the tunnel at all, specially
for the settlement suceptible soils in the
alluvial soft ground.
The second set of waves is the extensive
use of TBM into more rock tunnels in
Japan. High speed and low cost are key
words in tunneling construction in Japan
nowadays. Japanese engineers have noticed
the efficiency of TBM from the achieve­
ments attained in US and in European
countries. Engineers have more interests
in TBM and have begun to use TBMs more
for both temporary and permanent exca­
vations in the rock tunnels. Japanese ma­
chine makers are also eager to enlarge
their capabilities of machine productions
not only for soft soils but also for hard
rocks since they have suceeded in supp­
lying TBMs for the Euro channel project
with know-how of shield tunnel machines.
TTRENDS OF TECHNOLOGY
INNOVATION
General Trends in Tunnelling
Technology inJapan
The construction of large diameter tunnels
is one of major trends in tunnelling con­
struction in the world. The area of tunnel
cross-section is becoming large. Road
201
tunnels need the large sectional area for
multiple lane use. The road tunnel with
three or more lanes need the span of more
than 20m. Though the railway tunnel itself
is not becoming large, the some of the
cross-sectional area needs the large span
of the tunnel for the enlarged part of
multiple train lines or the station. Since
the deep underground construction is
getting popular in urban areas of Japan,
even the subway station itself is constructed
by the tunnel method, not by the cut-and­
cover method. Therefore large areas are
excavated by some special tunnelling me­
thods. At the same time, the excavation of
large diameter tunnels generally contributes
the lowering of costs.
A deep excavation is a vital need in urban
areas of Japan. Depth that has been utilized
in tunnels in the urban areas is up to
around 40 m at this moment. Some of the
structure has exceeded more than 40 m in
depth. They are vertical shafts and shield
tunnels for underground river for flood
water reservoir, sewage lines and pump
stations, underground high voltage power
lines and power substations, ete. In future,
it will be used up to around 100 m below
the surface. In deep underground, high
earth pressure and water pressure will act
on structures. High earth pressure acts
when excavation takes place as the stress
in the ground is liberated. High water
pressure acts on the lining systems of the
structures. High pressures require the
supplemental support for the ground and
the thick linings though it raises the cost
of construction.
The span of 20 m in diameter and the
depth of more than 50 m is a present target
of the tunnel technology in urban areas of
Japan.
Development of Modern Shield Tunnel
Technology
Japan has contributed two major advance­
ments in a modem shield tunnel technology
for soft soil excavation. One advancement
is the development and promotion of the
closed face mechanical shields (closed type
shield) tunnel technology which have been
used extensively throughout Japan since
1960. The slurry shield method of the
closed type has been developed tunnels
of wider diameters and attained the dia­
meter of 14 meters. Another advancement
is the invention of earth pressure balance
(EPB) shield. The earth pressure balanced
shield has a unique system that the chamber
between the ground face and the bulkhead
is always filled with excavated soil with
some admixture which helps to prevent
water inflow and retains the tunnel opening.
As a transformation of EPB, a rheological
foam shield tunneling method was de­
veloped. By adding foam in the face and
the chamber, the face pressure has stabilized
and face retainability has increased. By
adding foam-removable admixture into the
excavated soil, the soil becomes normal
state from slurry state and is able to dump
into the normal disposal area in Japan.
Diversification of Modern Shield
Technology
The modem shield tunnel technology has
a big trend of diversification such as: a
large diameter excavation, a deep excava­
tion, a free shape excavation, a multiple
face excavation, a sharp edged curving
tunnel or a rotating shield tunnel from
vertical to horizontal or vise versa, a me­
chanical underground docking of two
tunnels, further systemization of full auto­
mation for excavation and logistics, etc.
202
Extensive Use ofTBM in Rock Tunnels
in Japan
In US, there is a conference called the
Rapid Excavation and Tunneling Confe­
rence (RETC) with the history of over the
25 years. Tunneling industries in US have
made the great effort to attain the rapid
excavation and to reduce costs. One of
the most important trend is the use of
TBM. TBM technologies in US have pro­
gressed successfully with technical innova­
tions. Same is in European countries.
The use of TBM for the mountain rocks in
Japan had been somewhat behind among
the developed countries in the tunnel
constructions. However recently TBM has
been used for the construction of penstocks
and headraces in hydroelectric power
stations. For a construction of the inclined
penstock shaft, a TBM is used for drilling
the center pilot tunnel upward and a
reaming TBM is used for the widening of
the pilot tunnel into the penstock tunnel
downward. For the road construction, a
TBM is used for the pilot tunnel and then
the whole tunnel is widened out to use
multiple lanes tunnel. In this way TBMs
have begun to be used in many purposes
in Japan. The TBM technology has been
greatly paid attention as the rapid excava­
tion method.
NEW DEVELOPMENTS IN SHIELD
TUNNELLING TECHNOLOGY
Shield Tunnel of 14 meters Diameter
in Trans-Tokyo Bay Highway 2) 3) 4) 5)
The Trans-Tokyo Bay Highway is a 15.1
km long highway which consists of under­
sea shield tunnels, two man-made islands
and bridges crossing Tokyo Bay. Kawasaki
Man-made Island was constructed at the
midpoint of the undersea tunnel where
the water depth is 28m. Kawasaki Man­
made Island is a cylindrical concrete struc­
ture of 98 m outside diameter which is
surrounded by the annular steel jacket.
The total length of the tunnel between
Kawasaki side to the Kisarazu Man-made
Island which connects to the bridge part,
is about 10 km. Two tunnels are constructed
in parallel. Two tunnels starts from Kawa­
saki side and Kisarazu Man-made Island.
Four tunnels starts from Kawasaki Man­
made Island in which each two tunnels
starts in parallel to the Kawasaki side and
two to the Kisarazu Man-made Island. Each
two tunnels meet in the underground of
undersea and are jointed in between three
points of Kawasaki side, Kawasaki Man­
made Island and Kisarazu Man-made Island.
Features of the shield tunnels are described
as follows;
1) Type of shield machine:
Slurry type
2) Outside diameter of shield tunnel:
13.9 m (machine diameter: 14.14 m)
3) Length of each shield machine drive:
2.5 km approximately
4) Cover of the ground in undersea part:
10 to 18 m
5) Hydrostatic pressure:
6 kgflcm2
Figure 1. Courtesy of Trans- Tokyo Bay Highway Corporation and Japan Tunnelling Association
203
6) Geological condition of surrounding
ground:
Extremely weak alluvial soil
7) Seismic condition:
Need to be considered
8) Estimated time of tunnel completion:
1997
The special features of these shield tunnels
are that the tunnel is the world largest class
of diameter with the shallow cover depth
of very soft ground in the undersea part
and that each tunnel facing one another
will meet in undersea part and will be
jointed in the ground. The construction of
tunnels now receives the peak time and
it will continue in the next year.
Shield Tunnel with Continuous Multi­
ple Circular Sections
Japan has developed two types of systems
with continuous multiple circular sections.
One is a system called the Double-O-Tube
(DOn which is an earth pressure balance
type shield having multiple circular cross
sections in the same vertical plane. Another
system is called the Multi-Circular Face
(MF) Shield which is the closed type shield
and can use both slurry and earth pressure
balance type. Each of both systems occupies
the smaller projected area on the surface
compared with the area projected by plural
tunnels. This benefits the easier planning
of the route of tunnel lines in the congested
urban area and reduces the cost for land
acquisition and construction.

a. Double-O-Tube (DOT)
Shield Tunnel 2) 6)

The DOT tunnelling method is a unique

system of simply mechanized EPB shield
and can excavate multiple circular cross
sections at one time. Each circular face has
a set of radial cutter arms. Multiple sets of
arms rotate simultaneously with synchro­
nized control of arm revolution so that
each set of arms does not touch and collide
with each other. One example is the con­
struction of subway called the Rijoh Shield
Construction Project for the new transpor­
tation system in Hiroshima. Figure 2. Courtesy ofMinistry of Construction and
Taisei C01poration
1) Machine size:
10.69 m (5.345 x 2) wide x 0 6.09 m high
x 10.7 m long Osaka which will be used for a subway
2) Length of tunnel: station. This tunnel technology construct
850 m the whole station with the platform and
two train lines at one time. The center
3) Soil condition:
circular face produces a large spacious
Unstable alluvial viscous soil and
area for the platform and concourse.
solid sand
4) Construction period: 1) Machine size:
1989 - 1992 7.8 m high x 17.3 m wide x 9.7 m long
2) Length of shield tunnel:
107 m

b. Multi-Circular Face Shield 3) Depth of tunnel bottom:

Tunnel 3)7) -35 m from the surface
4) Cover thickness:
A Multi Circular Face Shield is composed 27m
of two or more circular cutter faces in
5) Soil condition of tunnel part:
continuous two or more vertical planes
Mix layers of sand (N > 50)
which overlap each other. Each face has
and clay (N = 8 - 25)
an independent circular cutter and can be
changed in size. One example is the Triple 6) Construction period:
Circular Face Shield Tunnel constructed in 1991 - 1996

204
 1) Vertical shaft:
OD. 0 5.7 m x 38 m deep
2) Horizontal tunnel:
00.02.75 m x 433 m long
3) Depth of horizontal tunnel:
(Average approx.) 34 m
4) Machine size:
(Vertical shield) 0 5.82 m x 9.71m long
(Horizontal shield) 0 2.89 m x 5.16 m long
5) Soil condition:
Dilluvial sand (N > 26),
clay (N = 7 - 29) and alluvial clay (N < 9)
6) Construction period:
1993 - 1995
Figure 3. Courtesy of Osaka Municipal Transportation
Bureau and Kajima Corporation b. The Horizontal Sharp Edged
Curving Tunnel
Rotating SWeld Technology 3) 8)
The horizontal sharp edged curving tunnel
is another application of the rotating shield
The rotating shield has a spherical head
technology which is applied into the hori­
which rotates and a new small shield
zontal plane. Since the sharp edged curving
machine starts to excavate out of a spherical
tunnel is in the horizontal plain as a whole
head. The examples of using this techno­
with some differences of depth included,
logy are a Vertical-Horizontal Continuous
this tunnel can use the earth pressure
Tunnel and a Horizontal Sharp Edged
balance shield system. One of the example
Curving Tunnel.
is the horizontally rectangular curving
tunnel constructed in Kawasaki which is
a. The Vertical-Horizontal
used for the connecting water line between
Continuous Tunnel
a rain water reservoir and a pump station.
The vertical-horizontal continuous tunnel
1) Inner diameter and length of tunnel:
system consists of a main shield machine
(Main tunnel) 0 4.5 m x 260 m
for vertical excavation with an incorporated
(Sub-tunnel) 0 2.8 m x 65 m
sphere that houses a built-in sub-shield
machine for horizontal excavation. When 2) Machine size:
the main vertical shield reaches the specified (Main shield) 0 5.53 m x 7.3 m
depth to turn, the sphere rotates 90 degrees (Sub-shield) 0 3.68 m x 4.635 m
and the sub-shield starts continuously from 3) Depth:
the vertical tunnel to excavate a horizontal (Average) 11.5 m
tunnel. The slurry shield and the reverse
circulation systems are used for vertical 4) Soil condition:
excavation and the slurry shield system is Silt (N = 2 - 4)
used for horizontal tunnel excavation. One 5) Construction period:
example is the sewage works in Tokyo. 1992 - 1994

205
Figure 4. Courtesy of Taisei Corporation

Double Tube Shield Technology

(provisional naming)

This is a newly developed shield technology 3) Main shield machine:

and may be called the Double Tube Shield 014.18 m x 10.695 m long
Technology. The main shield machine 4) Sub-shield machine:
houses an incorporated sub-shield machine.
09.7 m x 10.675 m long
The main shield machine will excavate
first a larger diameter tunnel and later a 5) Cover depth:
smaller diameter shield machine will start 15 m
from the main shield machine. 6) Soil condition:
This technology adapts first to the subway Mudstone
construction in Tokyo. Though this subway
7) Construction period:
line has normally two train lines, some
1995 - 1998
special part of three train lines is constructed
for an emergency pull-out line plus normal
two train lines. The construction has just Figure 5. Courtesy of Sato Kogyo Co. , Ltd.
started.

1) Tunnel length of emergency pull-out

area:
370 m (triple train lines)
2) Tunnel length of normal train lines:
700 m (double train lines)

206
Non-circular Section Shield Tunnelling
Method

There have been developed several types

of the non-circular section shield. As typical
examples of developments, two method
will be discussed. One is the flexible section
shield tunnelling method. Another is the
elliptical excavation face shield method.

a. Flexible Section Shield Tunnelling

Method 9)

The flexible section shield tunnelling me­

thod can excavate various cross sectional
configurations. The excavation system is
composed of a main cutter and more than
one auxiliary cutters called planet cutters.
The planet cutters are fitted to the swing
arms and swing arms themselves are atta­
ched to the main cutter. Swing arms rotate
while revolving with the rotation of the
main cutter and the stroke of swing arms
is computer-controlled by the hydraulic
jacks. This tunnelling method was applied
to the construction of the sewage line in
Tokyo.

1) Tunnel length:
564.95 m Figure 6. Courtesy of Tokyo Metropolitan Government
and Taisei Corporation
2) Tunnel method:
EPB b. Elliptical Excavation Face Shield
Method 10) 11)
3) Shield machine outer diameters:
3.16 m (vertical) x 4.66 m (horizontal) The system is combined with a circular
disc cutter and supplemental excavating
4) Minimum radius of tunnel curve: equipment called swing cutters and slide
20m
cutters which make full face excavation
5) Depth: possible. The elliptical excavation face
13 - 20 m shield method will be used in the multi­
purpose conduits in Nagoya area.
6) Soil condition:
Dilluvial sand and clay 1) Tunnel length:
540 m
7) Construction period:
2) Tunnel method:
1992 - 1993
EPB

207
3) Tunnel dimension:
7.45 m (vertical) x 5.0 m (horizontal)
4) Shield machine outer diameters:
7.95 m (vertical) x 5.4 m (horizontal)
5) Cover depth:
llm

6) Soil condition:
Gravel include boulder of 0 0.3 m
7) Construction start:
1995

NEW DEVELOPMENTS IN ROCK TBM

TBM use for Pilot Tunnels

TBM was used for the excavation of pilot

tunnels in the road tunnel project in Kobe.
The main tunnel was excavated by the
TBM for pilot tunnels at first and then Figure 7. Courtesy ofHonshu-Shikoku Bridge Authority,

Japan Tunnelling Association and Okumura Corpora­

widened out by the slot drilling method.

Two pilot tunnels were driven first by
using TBMs and then other part of the
tunnel cross-section was enlarged by the
slot drilling and by the conventional enlar­
gement methods such as controlled blasting
in blocks, use of large breakers or large
hydraulic wedges.
1) Tunnel size:
8.964 m high x 15.736 m wide
2) Area of the tunnel cross section:
77.0 m 2
3) TBM diameter and length:
o 5.0 m x (583 m x 2 + 576 m x 2) long
4) Geological condition:
Granite (unconfined compressive
strength: 250 Mpa)
5) Construction period:
1991 - 1992
tion
TBM FOR INCLINED PENSTOCK
TUNNEL
TBM has been used for the excavation of
steep inclined penstock tunnel for the
pumped storage hydroelectric power stati­
on. A special set of TBM is used for the
inclined penstock tunnel near the Tokyo
area. First a smaller TBM for center pilot
tunnel is used to excavate upward from
the bottom part of the horizontal penstock
tunnel, and then the pilot tunnel is widened
out by the reaming TBM to excavate down­
ward from the top. In order to prevent the
backsliding of TBM during the excavation
of the pilot tunnel, the backsliding preven­
tion reaction members and ring structures
are equipped in the tunnel. TBM moves
upward by the shield jacks with bearing
the thrust on to the reaction members and
ring structures. In every 40 m, anchored

208
backsliding prevention segments are equip­ REAMING TBM FOR ENLARGEMENT
ped and the thrust is born by these seg­ OF EXISTED TUNNEL
ments. (RENEWAL TBM)

1) Diameter of penstock tunnel:
07.0m
2) Length of penstock tunnel:
771 m x 2 tunnels in parallel
3) Angle of inclination of penstock tunnel:
52.5 0
4) Diameter of pilot TBM:
02.7 m
The rearning TBM has been used to enlarge
and renew the existed tunnel. Following
is an example of the enlargement of existed
headrace tunnel for the renewal of the
existed power station installation by using
the reaming TBM in Kyushu island.
1) Diameter of tunnel excavation:
04.31 m

5) Diameter of reaming TBM: 2) Length of tunnel:

07.0m No. 1 tunnel: 1509 m
No. 2 tunnel: 4319 m
6) Geological condition:
Sandstone and mudstone 3) Geological condition:
Slate, sand stone and conglomerate
7) Construction period:
1994 - 1997 4) Construction period:
1993 - 1995

Figure 8 . Courtesy of The Tokyo Electric Power Co., Inc. and Okumura Corporation

209
Figure 9. Courtesy of Okumura Corporation
Combined TBM for Two Phase Geology
(TBM for Both Rock and Soil)
Combined TBM for two phase geology
has been used in many place in the world.
Following is an example of using this
combined TBM system for the sewage
tunnel construction in Hiroshima prefecture.
The rock part of tunnel is excavated first
by the equipped rock cutter-face, and then
the cutter face is changed into the one for
soil at the geological boundary point bet­
ween rock and soil. After the rock part is
he soil part is excavated by the EPB shield
method. The boundary area of changing
the cutter head was geological improved
by injection before TBM arrives at the area.
Thrust force had been born by the shield
jacks and steel segments all through the
tunnel.
1) Diameter of tunnel excavation:
02.13 m
2) Length of tunnel:
873 m
3) Geological condition:
Rock part: Granodiorite
(UCS = 500-700 kgf/cm2)
Soil part: Sand
4) Construction period:
1995 - 1995
210
Mobile Tunneller
The machine has been developed as the
mobile hard rock tunneller for a variety of
tunnel cross sections which is based on
the TBM called Mobile Miner. This mobile
tunneller incorporates both the hard rock
TBM and the mobility of the roadheader.
The horseshoe-shaped tunnels can be
driven without using drill-and-blast methods
with its capacity for cutting 8.1m high. The
mobile tunneller is suitable for the tunnel
excavation in urban areas of high environ­
mental sensitivities without making blasting
vibrations and noise. The mobile tunneller
has advantages to produce smooth walls,
roof, and floor, and minimize adjacent rock
loosening and damage generated by exca­
vation.
The excavation capabilities of the mobile
tunneller are descried as follows .
1) Area:
50 - 80 m 2
2) Dimensions:
Height: 6.1 - 8.1m, Width: 9 - 12 m
3) Shape:
Variable cross section
4) Rock strength:
UCS = 50 -250 MPa
The mobile tunneller is applied to the road REFERENCES
tunnel in Kobe. Some of facts are described
as follows.
1) Hanamura, T(1995): Innovative Tech­
1) Cross sectional area: nology and Recent Developments in Japan,
Upper half: 70.4 m 2 (Height: 7.4 m) Technical Seminar of IFAWPCA 95 Bali
Lower half: 19.1 m 2 (Height: 1.5 m) (27th Convention)
2) Dimensions:
2) Japan Tunnelling Association (1990):
Height: approx. 10 m, Width: 11.154 m
Tunnelling Activities inJapan 1990
3) Shape:
Horseshoe-shape 3) Japan Tunnelling Association (1992):
Tunnelling Activities in Japan 1992
4) Rock strength:
UCS = 100 - 220 MPa 4) Japan Tunnelling Association (1994):
5) Project period (include other tunnels): Tunnelling Activities in Japan 1994
1994 - 1998
5) Okumura, H., Wasa, Y, Abe, K, Kanai,
M., Inoue, H, Yoshida, K and Watanahe,
H (1992): Design and Engineering ofLarge
Diameter Tunnel Lining System for Trans­
Tokyo Bay Highway, Towards New Worlds
in Tunnelling, Vieitez-Utesa & Montanez­
Cartaxo (eds), Balkema, Rotterdam, pp.
269-276

6) Ishikawa, S. and Kiyoshi, M.(1992):

Selection of the Shield Tunnelling Method
for the New Transportation System in Hiro­
Area: 50 ~ 80 m2
shima, Towards New Worlds in Tunnelling,
Dimensions: Height: 6.1 - 8.1 m
Vieitez-Utesa & Montanez-Cartaxo (eds),
Width: 9 ~ 12 m
Balkema, Rotterdam, pp. 45-52
Shape: Variable cross-section

7) Kuzuno, T, Ina, S., Ikematsu, T and

Nishida, S.(1995): Subway Station Con­
struction by Slurry Type Triple Circular
Face Shield Machine in Artesian Water­
bearing Sand beneath a Building, Paper
in 21st ITA Conference.

8) /toh, H, Kainuma., N., Fukawa, Y and

Kaneko, K (994): Development of Vertical­
Horizontal Shield Machine, Tunnelling
and Ground Conditions, Abdel Salam (ed.),
Balkema, Rotterdam, pp. 355-362
Figure 10. Courtesy of Taisei Corporation

211
9) Kanabe, Y, Ishikawa, A. and Chiba,
S.(1992): Development and Verification
Tests of Flexible Section Shield Tunnelling,
Towards New Worlds in Tunnelling, Vieitez­
Utesa & Montanez-Cartaxo (eds), Balkema,
Rotterdam, pp. 203-212

10) Inokuma, A., Ishimura, T , Asakura,

H , Fujii, Y , Asakami, Hand Nakamura,
M.(1992): The Design of the Primary Lining
for an Elliptical Shield Tunnel, Towards
New Worlds in Tunnelling, Vieitez-Utesa &
Montanez-Cartaxo (eds), Balkema, Rotter­
dam, pp. 213-220

11) Inokuma, A ., Asakura, H, Kiyoshi, M.,

Kaneko, K., Matsumoto, T and Nakajima,
Y(J992): The Design for a Shield Machine
with an Elliptical Excavation Face, Towards
New Worlds in Tunnelling, Vieitez-Utesa &
Montanez-Cartaxo (eds), Balkema, Rotter­
dam, pp. 221-228

212
 BLOCK D

TBM TUNNEL LINING / SEGMENT MANUFACTURING

FULL AUTOMATED TUNNEL SEGMENT
PRODUCTION SYSTEM. A CASE STUDY.
R. Heilegger I,
ABSTRACT
Automation of tunnel boring machines
(TBM's) results in higher daily progress
rates which requires also a higher demand
on segments at the same time. This paper
deals with a research program with the
aim to develop a full automated tunnel
segment production system. For improving
the technologies of the production using
of high precision moulds, automation of
the production sequences, quality assurance
during process, quality control of the final
product as well as a logistic transport
system are investigated. To reach highest
quality, mould design becomes important.
Theoretical requirements on mould con­
struction and actual practical experiences
are discussed.
INTRODUCTION
The manufacturing of the precast concrete
segments for tunnel lining represents a
considerable and often decisive cost factor.
In particular, the construction of large-scale
tunnel projects with automated tunnel
boring machines and then the lining with
segments does not only call for the further
development of the mechanical technology
but also makes new demands on the pro­
duction of the concrete segments.
The further development of the tunnel
boring machines results, in the fIrst instance,
1
Ing., General Manager of the Euroform Ltd., Cavenago di Brianza/ltaly
2
Dipl.-Ing., D2 Consult, Linz, Austria
215
A. Beil 2
in an increase in the daily progress rates
and therefore calls for a higher production
speed in the production of the segments
and makes new demands on the quality
and, in particular, on the tolerances of the
concrete segments.
In the case of the world's currently largest
tunnel project, the "Yellow River Diversion
Project" in China, where a tunnel system
with an overall length of 200 km is being
built to supply water to several million
people, daily progress rates of max. 60
mJday are being achieved in the fIrst section
amounting to approx. 12 km in length with
an excavated diameter of approx. 4 m.
This means that with a ring division of 4
segments and a ring width of 1,6 m, there
is a maximum daily requirement of 150
segments. Assuming that in the case of
such large-scale projects such as transit
tunnels crossing the Alps, several tunnel
boring machines operations are proceeding
at the same time, the even larger piece
numbers per day and production plant
would be realistic.
In China, and with other large tunnel
projects (e.g. Eurotunnel) the production
of the segments gas until now, always been
commenced with a relatively large lead so
as to have a sufficient supply of segments
at the start of tunnelling and in view of
the relatively low productivity of the seg­
ment production. As a result, segment
stores amounting to several thousand square
meters (Fig. 1) had to be set up, a factor
which leads to considerable increases in
costs and to acceptance problems and is
hardly possible in inter-city areas.
Figure 1. Segment storage (Boston-Out/all Tunnel,
MAlUSA)
In order to increase the productivity of the
pre-fabricated parts works to an exert that
would correspond with the tunnelling
requirements and so reduce manufacturing
costs, a factor which today positively influ­
ences the ability to execute many tunnelling
projects, in the coming years new technical
and technological concepts will be required
for segment production plants.
The increased demands made on the geo­
metrical accuracy parameters particularly
make vast demands on the design of the
molds as regards rigidity, simple and safe
operation and the frequency of use. In
addition to this, considerations must be
made as regards an economically and
technologically purposeful use of automated
or semi-automated machinery and plants
and an economically and technically con­
vertible quality assurance and control of
the continuous production process as well
as the finished product. Here, in the search
for new solutions one has to proceed
from the actual project and the associated
demands made on tunnel lining. Further­
more, the qualifications, the local features
and the experience of the productions
companies have to be taken into conside­
ration.
216
SOME REQUIREMENTS ON THE PRO­
DUCTION OF CONCRETE SEGMENTS
With the present relation, we would like
to give you more information about the
property concrete segments and show you
the possible and different ways to produce
them.
The choice of systems especially depends
on the follOWing elements:
• Segment type
In this case we should make a distinction
between accuracy concrete segments for
the final lining of the tunnel or pre-lining
segments having only the structural
function .
Production systems is also determinated
by particular features of the segment Le.
holes, blockouts, parallel or tapered rings
and so on.
• Overall and daily production of the single
segments or whole rings
First of all, both the production depends
on the scheduled feed of the TBM, on
the possibility of storage both in the
factory or in the building yard, and it
depends also on the necessary concrete
resistance that allows the use of segments
with TBM in the tunnel.
• Availability
of an area to create a new factory or to
use existing sheds, concreting plant,
cranes, specialized man power. The
production of segments could be awar­
ded to a local manufacturer considering
also that in the center of the town there
isn't usually any available area.
On the other hand, for example, the
Adler Tunnel plant in Basel had been
installed directly at the job site with the
advantage of reducing the transport costs
of segments and to regulate in a easier
 way the production output, according
to the necessity of TBM.
• Possibility
of using one or more shifts a day. It is
normally more advantageous to use more
shifts and to employ steam curing than
to use more moulds.
PRODUCTION METHODS
After taking into consideration the above
mentioned elements, we produce to the
choice of production system.
We can use four different methods:
1 - Fixed single moulds
2 - Carousel plants
3 - Batteries
4 - Longline moulds.
Considering of the motion, those four
systems are divided into two classes:
a) Fixed formwork (i.e. production place)
with all the other motion operations
such as concrete transport, segments
transport, reinforcement transport, etc.
point 1, 3 and 4 are included in this
class.
b) Moving formwork
with all operations in fixed place within
a limited area. In this class are included
carousel plants with steam curing.
ADVANTAGES AND DISADVANTAGES
OF DIFFERENT MOULD TYPES
Before deciding on a final choice, we
would like you to consider and disadvan­
tages of the decribed methods listed below.
The advantages and disadvantages of the
single mould system are summarized as
follows:
217
Fixed moulds
This system is usually used for a lower
production and also in case that steam
curing is not employed.
The advantage of this type of mould is an
casy action on the single mould in order
to make repairs or changes without over­
drawing on the production's cycle.
Another advantage consists of the possibility
of inserts deshuttering according to the
concrete resistance (for example after 2
hours). If a steam curing is not used, a
considerable energetic saving expense is
possible.
The last advantage is that the steam curing
cycle (precuring, main-curing, and post
curing) can be easily respected.
Figure 2. Elevation and transversal section of a fiXed
mould
Disadvantages are: more labour incidence,
more energetic expense if steam curing
used and more required production area,
too. A vibration system expense is as high
as the formwork's number.
Concerning the use of batteries with vertical
casting, we must stress that this system
requires less space than single mould.
However it is limited to special concrete
segments that do not have tolerances and
do not include an high inserts number.
The longline moulds manufacturing is used
for concrete segment that by the point of
accuracy are not demanding and also for
concrete segment with few or no inserts.
Moving moulds (carousel plants)
The advantage of this system is represented
by a considerable productivity i.e. less
required labour and less times as segment
mould transport, concrete transport, rein­
forcement transport and placing and seg­
ment deshuttering.
As it is a production line that works with
fixed cycle time, it is easier to guarantee
a steady production both by the point of
quality and quantity. Infact, the crew always
perform the same operations.
Figure 3. Example for a concrete segment plant - 3 line
system
Another advantage is that the moulds neces­
sary to obtain the same quantity of concrete
segments production are less i.e. the num­
ber of single moulds reuses is higher. The
costs of the plant is normally less than the
higher number of required fixed moulds
in order to obtain the same production.
If construction of sheds and covered storage
areas is required, carousel plants need less
area i.e. less investment costs.
Concerning the vibration, the number of
vibrators is less due to the vibration that
takes place in a suitable vibration station.
218
PRIMARY FEATURES OF CONCRETE
SEGMENT MOULDS
For a better understanding of the im­
portance of the moulds, we enumerate
their primary features:
• Ruggedness and structures
in order to guarantee maintenance of
initial dimensions after 1000 castings,
too.
• Mechanical manufacturing and refmishing
surfaces
in order to assure the flatness of the
segment contact surface.
• Construction conception of the elements
to be removed
so that during the shuttering phase it
will be possible to execute any other
fittings with the purpose of letting the
tolerances unchanged.
• Exact choice of application points of
vibrators
as to obtain the best result, concrete
features of the segment mould facades
permitting.
In particular, as concern formworks with
horizontal casting, we have the follOWing
primary components:
Bottom Mould
Bottom mould is composed by 2 side
panels in bended sheet, reinforced on the
whole surface. The sheet thickness takes
into account the number of reuses without
making heavy the formwork. In order to
guarantee the highest precision, the bottom
mould is assembled and welded in a special
template.
The structure of the bottom mould is duly
stiffened to assure resistance to torsion. In
the vibrators area (under or on the sides)
special supporting are put on with the
purpose to avoid breaking of material and
secure the best effect vibration.
Front-shutters
Front-shutters are composed of sheets of
great thickness with reinforced stiffenings
and are thermically trended before manu­
facturing on digital control machines.
Front-shutters can be either fixed or hinged.
Side panels
and technologically purposeful use of
automated and semi-automated machinery
and plants. The use of such machinery
and plants is, in the first instance, naturally
dependent on the magnitude of the project
Le. dependent on the overall costs, whereby
today the following innovations are being
increasingly used:
• full electronic control of segment mould
moving

Side panels are manufactured in sheets of • automated steel bar cutting plants
great thickness with strong stiffenings that
resist torsion. The side panels are thermi­ • automated bending and welding units
cally treated before manufacturing on digital to manufacture reinforcement cages
control machines. (Fig. 4)
The side panels include a profile to get
the place for the gasket and normally one • fully electronic dosing and concrete
male/female type in order to assure an mixing plants
easier assembly of segment of the tunnel.
Brackets for side panels • fully electronic transport and additive
facilities for the concrete
Brackets for side panels are equipped with
a regulation system that allows for putting • fully electronic control mechanism for
the same along the axes X-Y-Z. All this to the final quality control of the segments
obtain the possibility to make further
regulations during segment production.
The locking system with a special bolt
secures the maintenance of the side panels
position during the vibration and guarantees
at the same time a good transmission of
the vibration.
Cover panel
The cover panel is hinged directly to the
bottom mould in order to avoid damage
of front-shutters. The locking takes place
with a bolt that has qUickes locking.
Figure 4. Welding robot for segment reiriforcement
cages

AUTOMATION TENDENCIES IN PRO·

DUCTION
When considering the use of such facilities,
In the automation of segment production, the geographical situation and the resulting
it is largely a question of the economically specific conditions (e.g . the qualification

219
of manpower, wages, technical standard)
of the country in question play a role.
D2 Consult, together with the Institute of
Prefabrication Technology and Construction
OFF) in Weimar, Germany and the Austrian
company Uni Software Plus are developing,
in the form of a research and development
project, specifications for a master control
stand, with the aid of which the entire
production process can be monitored and
controlled to enable large-scale construction
projects with large piece numbers to be
tackled. As the shortening of production
times in the manufacturing of pre-fabricated
concrete segments is restricted by the speed
of the physical and chemical processes
during the hardening of concrete, the
intercoordination of the individual produc­
tion stages is increasing in significance.
However, there is also the possibility of
jointly controlling the tunnel rock drill as
well as the segment production from the
superposed master control stand (Fig. 5)
so as to establish a dependency between
the transport of the segments to the instal­
lation site and the tunnelling speed (just
in time production).
Figure 5. System structure for a project supervision
THE USE OF NEW MATERIALS
As the use of steel fibre shotcrete is beco­
ming more frequent in tunnel construction,
for some time now the use of steel fibre
concrete has also been tested in the pro­
duction of segments. For example, steel
220
fibre segments were used in the construc­
tion of four water supply tunnels in Italy
and in the construction of the underground
railway in Neapel. The practical use is also
being tested in Germany.
In addition to decentralizing the production
process by doing away with the manufac­
turing of reinforcement cages and their
placing into the mould, even shorter pro­
duction times are being achieved in these
construction projects. The formwork for a
segment with a thickness of 20 cm was
able to be removed 2,5 hours after steam
treatment. In addition to this, the use of
steel fibres which often occurs at the edges
during the erection of the segments can
be reduced.
QUALITY ASSURANCE AND CONTROL
The automation of tunnelling means that
high demands are made on the segment
manufacturing process and in their erection.
This results in a series of aspects arising
as regards quality assurance and control,
in particular for the segment manufacturing
process.
Here, in addition to the quality parameters
of the material and rigidity properties,
the geometrical accuracy parameters are
increasingly playing a significant role. I. e.
a high degree of precision is called for
which already exceeds that of the standard
manufacturing and control procedures.
Consequently, what is required, on the
one hand, are production-associated quality
assurance and quality management systems
which guarantee the adherence to precision
parameters during production and, on the
other hand, measuring procedures which
perform a repeat check after production.
The testing procedures, out of necessity,
extend beyond the finished segment pro­
duct even to the moulds. Here it is largely
a question of the cyclic examination and
the realignment of the moulds as well as
the automatic discarding of defective or
inaccurate moulds.
In the case of associated quality assurance,
it is largely a question of reducing the
production of defective segments in advan­
ce and, if possible, completely excluding
such. In the case of such off-line quality
assurance, the production stages which
have a specific influence on material and
geometric parameters are monitored. These
include, amongst other things:
• handling the moulds,
• the concrete prescription and the concrete
production,
• concrete vibration,
• the installation of the reinforcement
cages and the components to be installed,
• the hardening of the concrete by heat
or steam treatment.
In the afore-mentioned research and de­
velopment project, D2 Consult, IFF and
Uni Software Plus are preparing the concept
for quality control and a quality manage­
ment which can be adapted for different
types of segment production plants.
The project can be subdivided into three
major tasks (Fig. 6):
Figure 6. Structure oJ the R&D Project "FLEX-CIM"
221
Task I: Optimization software program
for segment production:
Based on the input of project specific
parameters, it enables evaluation of several
possible alternatives for segment produc­
tion. Further, upon defining values for
certain technological production parameters
it calculates the best possible alternative
for segment production.
Task H: Development of a Quality Con­
trol Hand Book for segment production
(Quality Diagnosis):
The goal of this task is to develop a Quality
Control Hand Book, which could be utilized
for different tunnel segment lining produc­
tion. This handbook could be utilized for
numerous international production scena­
rios, as it would take into account the
applicable international codes and stan­
dards.
Task Ill: Development of an off-line
Quality Management Mechanism:
The purpose of this task is to develop a
concept for off-line Quality Management
Mechanism, which can be integrated into
the computer to conduct, Quality Prognosis.
CONCLUSION
Further to the manufacturing and the pre­
paration of the single elements, the assem­
bling of all these components is very
important because decides the mould's
tolerances.
This operation must be made in our work­
shop with an highly qualified staff and
with suitable instruments of measurement
(micrometrical rods, location templates
manufactured at digital control).
Concerning the possibility to plan and to
use a full automatic plant we have to
consider the following point:

• In the production of concrete segments

some people must be directly involved.
For example during the opening of the
mould, the placing of the lifting device,
cleaning, oiling, the closing of the mould
and the placing of the reinforcement
cages (Fig. 7). This operations could be
automatic but with very high costs. All
the movings of the mould in a carousel
plant are automatic.

Figure 7. Placing of a reinforcement cage

These are the considerations that should

be done before starting with the concrete
segment manufacturing. Overall it should
be a good cooperation between designers
of concrete segments, calculator of the
segment structure, TBM manufacturer, the
sealing suppliers and the segment produ­
cers.

222
QUALITY CONTROL ON COMPUTER CONTROLLED
TUNNEL SEGMENT MANUFACTURING PLANT

W. Liniger 1

ABSTRACT of rated values is made possible through

on-line data acquisition of relevant process
New methods of computer-aided produc­
data. The quality diagnosis mostly results
tion control and total quality management
only in a "good"- or "bad"- decision on
are necessary to produce concrete precast
the usability of the produced concrete
elements effectively according to the market
element. Changes of production conditions
requirements and quality assurance de­
which are necessary to eliminate the found
mands.
quality deficiencies are only possible in
The production of precast tunnel elements
off-line mode.
makes especially high demands on the
The quality prognosis, however, aims at
product quality, in particular concerning
finding trend changes in the production
the compliance with geometrical parame­
process by current on-line data acquisition
ters. These quality demands effectively
and analysis, detecting and correcting this
may be fullfilled only by means of process
way creeping parameter deviations in early
control systems and coupled with them
stages, so that the concrete element repre­
quality assurance and quality management
senting the final product may be produced
systems. There are described concepts
in stable quality. Trend changes in the
which represent different developement
production process are not only due to
stages of a complex process control system
failures and defects, wear on wearing parts
with quality diagnostic and quality progno­
is not avoidable. Therefore a quality pro­
stic components.
gnostic system has to give orders to carry
As basis of the automation system are
out the prophylactic maintenance and if
taken the object-Orientated process control
necessary to displace wearing parts. Ne­
system PROVBE which had been developed
cessary corrections in the production pro­
by the Institute IITB Karlsruhe - member
cess to a certain state are possible in on­
of the Fraunhofer Society Germany (FhG)
line mode. The prophylactic maintenance
- as process visualization and control system
ensures the functioning of machinery and
PROVIS and adapted in co-operation of
plants, so that the flawless production may
the FhG - IITP Karlsruhe and the Institute
be formulated as the goal of the application
of Prefabrication Technology and Construc­
of quality prognostic systems.
tion Weimar Reg. Ass. (IFF) as system
PROVBE to the requirements of application
in precasting works.
The quality diagnosis is based on the
INTRODUCTION
principle, that the supervision of process
parameters and parameters of the finished In connection with the introduction of
concrete element with regard to assurance certificated products European and Inter-
in
Prof. Dr.-Ing. habil. Wolfgang Liniger, Institute of Prefabrication Technology and Construction
Weimar, Germany

223
national standards demand the application
of quality management systems, for instance
according to ISO 9000 ff, which not neces­
sarily are to be computer-aided, but may
also be realized by documentations and
instructions given from the company's
management in connection with the ap­
propriate supervision measures. But the
manufacturing of concrete tunnel segments
requires such a high quality that it hardly
makes sense to assure it without computer­
aided control. The production of segments
for tunnel projects makes especially high
demands on the assurance of exactly defi­
ned quality parameters, in particular regar­
ding the geometrical dimensions of concrete
elements, for which tolerances have to be
guaranteed within the range of ± 1 mm.
Therefore computer-aided quality assurance
and quality management systems are ur­
gently needed, they shouldn't however act
seperately, but should be linked with
existing or planned machinery and plant
control systems, production and process
control systems as well as with operating
data aquisition systems as they are operating
based on a great variety of process data.
informations.
Below will be described an approach to
achieve this goal. It is based on experience
which had be gained in the field of pro­
duction of small-sized concrete elements
as well as wall and structural panel elements
and it is applicable to the production of
tunnel segments.
AUTOMATION AND QUALITY
CONTROL - ACTUAL SITUATION IN
THE CONCRETE PRECASTlNG PLANT
In the last years automation engineering
and technologies have gained increasing
significance in concrete and precast pro­
duction facilities.
224
The main goals of automation can be
formulated as:
• reduction of costs of production,
• guarantee of realibility of the entire
production process,
• guarantee of quality characteristics which
are uniform and reproducible,
• faster and better production capacity
utilization.
Examples from the metal working and
chemical industry show, that there are
made extremely high efforts to realize
these tasks. Partly there are used seperate,
working at the same time independently
from each other systems for production
control, process optimization and quality
control.
Quality assurance systems are defined by
the regulations of the ISO 9000 ff. A typical
structure which demonstrates the connec­
tions between company and process ma­
nagement is shown in Fig. 1. From the
ISO 9000 may be taken generally formula­
ted specifications for manufacturing pro­
cesses. Fig. 2 shows the derived from this
principles for general runs in a precasting
plant which are also typical for the pro­
duction process of tunnel segments.
But on the whole all systems are operating
on the same process data, which are only
differently analyzed. In addition these
systems are partly linked in different ways
with higher level computer systems for
production planning and control as well
as for company management.
Because of the costs it's not conceivable
to introduce seperate systems for a concrete
precasting work. A comparison with com­
panies of the chemical and metal working
industries concerning the degree of auto­
mation shows immediately that the auto­
mation in concrete precasting works is still
on a relatively low level.
Figure 1. Quality Management System with regard to ISO 9000 (source: WEIG4 Fachverlag Augsburg/Germany 1995)

As example there are given typical auto­ that means a modular system with adaptable
mation tasks and their realization according interfaces is in demand which thanks to
to Fig. 3. the adaptability allows to avoid time­
consuming and fraught with errors basic
The realization of automation tasks in a code changes and achieve a fast adaptation
precasting plant has to be payable. In spite to the basic control systems of various
of the high quality demands this also producers.
applies to the production of tunnel seg­
ments. This problem can be only solved
by extending a process automation system
based as far as possible on generally availa­
ble personal computer hardware by means
of quality assurance components.
To make the adaptation to special produc­
tion lines and their machinery and plants
easier it has to be demanded a small extent
of engineering and re-engineering work,

225
Figure 2. Aspects of tbe implementation of ISO 9000 in tbe prefabrication ofprecast elements

Ta. k Stucbrd T ....d

interest to the production of tunnel ele­

basic machinery controls PLC PC ba.ed

ments. Instead of well-founded knowledge

process vizualization PLC based

PC ba.sed PC ba.ed experience and e mpirical methods are

data base oriented

process controls rllStstep.s used. Raw material differences due to the

process optimization
deposit may already cause quality deficien­

automated sto rage control

cies.

automated
agement
quality man·
Quality Oing.nosis But the above mentioned possibility to

PCbasc:d
determine correlations is of decisive signi­

Figure 3. Typical tasks of automation and comparison ficance for solving the two follOWing kinds

with the actual state in the precasting plant of problems:

• calculation or estimation of expected

Being based on common process data the
quality assurance and automation of the
production process are closly connected.
One of the problems which are not suf­
ficiently solved yet in the precasting industry
is the unreliability in relating specific values
of input parameters in the production of
precast elements with the resulting output
values of finished products, for instance
gross density, strength values, resistance
to outwashing etc., which are of special
output parameters based on the known
input parameter constellations,
• calculation of the necessary input para­
meter constellations in dependence on
the demanded output parameters.
In spite of some trials of mathematical
modelling there havn't been achieved
satisfactory results in this matter. The
production of precast elements is a com­

226
plicated non-linear physico-chemical pro­
cess which probably may not be simulated
by deterministic models. Therefore it's
necessary to use other correlation methods,
for instance the method of computer con­
trolled teaching, non-linear classification,
use of neural networks or fuzzy­
technologies. At present applications in
this field are on trial.
The mentioned above correlation possibi­
lities are of special interest in connection
with the application of quality assurance
systems, especially for the quality diagnositc
and prognostic.
QUALITY DIAGNOSTIC SYSTEMS
On principle quality diagnostic systems
find out errors in production runs, but only
when the error already happened. These
systems diagnose shortcomings in the
production process and analyse the reasons
for a decrease in productivity. They require
a developed information system and pro­
vide unlimited technical possibilities.
We distinguish the following kinds of
quality diagnostic systems:
Error-orientated diagnostic systems:
They are an integrated part of PLC systems
and show the kind of error, the location
of error as well as possible reasons for
errors and give recommandations for eli­
mination.
These systems get status informations from
the PLC, are PC-orientated and more and
more prOVided with auxiliary devices for
troubleshooting, components of multimedia
systems (CAD, computer animations, video
recording explaining the replacement of
parts and functional groups) are possible,
also explanations in kind of symbols and
clear text which support the application
in developing countries.
227
Statistically orientated diagnostic systems:
These systems are generally placed into a
level above the basic controls. Process,
machinery, order and personnel related
informations are gathered and analyzed
which represent data of the past and, in
general, may not be processed on-line.
An efficient quality diagnostic system ac­
tually requires to combine both kinds of
systems - the statistically orientated com­
ponents allow to analyze the knowledge
of the past, whereas the error-orientated
components allow to take into consideration
actual status informations.
The fact, that error analysis means analysis
of happened errors, is an unsolved problem.
Therefore quality diagnostic systems which
however are necessary and have to be an
integrated part of complex process auto­
mation systems are not capable to assure
a flawless manufacturing. For this purpose
quality prognostic systems are necessary,
their development and application in the
precasting industry are actual demands.
QUALITY PROGNOSTIC SYSTEMS
In the end quality prognosis means that it
may be predicted if the finished product
will meet the quality demands or not. If
it's foreseeable that quality determining
problems will happen at a special stage of
the production process it has to be tried
to avoid this problems by interventions
into the process control system. In case it
shouldn't succed a correction the concerned
concrete element could be taken out of
the production excluding thus further
money wasting working steps. But exactly
this case should be avoided by quality
prognosis, because this results represents
the classical case of the quality diagnosis
with the yes/ no-decision.
The use of quality prognostic systems
requires that the futur finished product
parameters may be concluded from the
actual process parameters. As already
mentioned above a mathematical modelling
did not bring positive results due to the
complex character of tunnel segment ma­
nufacturing. Therefore another approach
has to be founded.
In priciple the production process of precast
elements may be described by correlations
between the input and output parameters.
The basic relationship between input and
output parameters is illustrated in Fig. 4.
Figure 4. Input and output relations in the production
of concrete elements
At present we are working on the applica­
tion of the above mentioned methods to
get correlations between input and output
parameters within the framework of quality
prognostic systems. After integration of
this methods we will get a quality progno­
stic system the basic structure of which is
shown in Fig. 5. The quality control function
unit realizes both the tasks of the quality
diagnosis and the tasks of the quality
prognosis. The possible feedbacks to the
production process can avoid quality de­
ficiencies as far as it makes sense to take
contermeasures in case of recognized
deviations.
228
Figure 5. Basic structure of a quality prognostic system
SCOPE OF REALIZABLE FUNCTIONS
The function of the process control system
and of the quality assurance and quality
management system (quality diagnosis and
quality prognosis) are closely connected
because of the access to the same process
data and as far as the hardware is concerned
may be realized at reasonable costs in kind
of personal computer systems. The software
may be realized by the real-time operating
system OS/2, WINDOWS NT and WIN­
DOWS 95.
The production process itselfs is overlayed
with a first level containing programmable
logic control units which is however not
necessary for all phases of production. The
higher-level process control system PROV­
BE forms the interface to other possible
functions.
A graphic process visualization is appro­
priate to the state of art. The data processing
by means of a data base system creates
the base for further analyses.
Fig. 6 shows additional components of the
entire automation system.
Figure 6. Survey structur of the automation system
NEW DATA PROCESSING POSSIBILI·
TIES AND MEANS FOR QUALITY MA·
NAGEMENT
High quality demands are made on precast
elements. Up to now it didn't succeed in
putting unambigeous, durable and forgery­
proof marks concerning
• the completion date,
• testing results,
• afterwards realized modifications or
repairs
directly on the precast element without
conSidering its assembly conditions. There
are used several marking methods, whereby
optical marks of code or non-code type
are applied, either in clear text manner or
in bar codes. After handling the precast
element these marks are no more readable.
The institute IFF Weimar took the initiative
to create in a research co-operation a line
for designing information storage media
to be integrated in precast elements which
brought feasible results.
229
This development work resulted in an
information system which allows to place
an information chip directly into the con­
crete element, where it is readable and
may be written on without direct electric
contact. Subjects of this information system
are:
• A family of semi-conductor chips, on
which the information is written before
placing it into the concrete element (read
only chips) or where the existing pro­
duction and testing informations may
be currently specified during the produc­
tion process (eeprom chips with write­
read-characteristics).
The characteristics of this chip family
depend on the operating mode, on the
necessary storage capacity and life-time.
The scope ranges from battery driven
chips which at present are readable at
distances up to approx. 9 m, to passive
chips with a virtually unlimited life-time,
because an individual energy supply is
not needed for them, but their informa­
 tions are readable only at utmost di­ REFERENCES
stances within the range of centimetres
(approx. 50 - 80 cm). But this means Friichtenicht, H W, Liniger, W und Wern­
already a lot. stedt, j. (1994): ProzejSautomatisierung
Tunnelbau, Projektstudie IFF Weimar
The integration into the concrete element e. V/Germany
requires that the chip stands up to the
acceleration during the compaction. jaschke, H-]. and Kummetsteiner, W
Several series of experiments clearly (1995): Diagnostic Sytems for Acceptance
proved that these chips stand up to and Superoision of Production Machinery
acceleration peaks up to 350 g (l) without and Systems, Concrete Precasting Plant
problems. and Technology, Issue 411995 pp 68 -81

• A generation of recording and reading Leist, R. und Scharnagl, A. (Hrsg.) (1993):

devices with the following characteristics: Qualitatsmanagement - Methoden und
Werkzeuge zur Planung und Sicherung
- mobile operation mode, that means der Qualitat (nach DIN ISO 9000if)
reading devices with a mini-display Augsburg, WEKA Fachverlagfiir technische
which allow to get immediately infor­ Fiihrungskrafte
mations on the actual concrete element
and at the same time to store the infor­ Wagner, H, Schulter, A. and Strohhausl,
mation in a personal computer for a S. (1991): CONEX Tunnel Systems with
later access, Future, Part 1: Dowel Connections
MAYREDER Linz/Austria 3/1991
- stationary operation mode, that means
writing/reading devices wich are directly Wagner, H, Schulter, A . and Strohhausl,
coupled with the machinery and plants S. (1992): CONEX Tunnel Systems with
and are permanently linked with their Future, Part 2: Experiences in Realisation
control devices. MAYREDER Linz/Austria 8/1992

Special controllers which enable the com­

munication with PLC and PC control sy­
stems had been developed for both kinds.

concrete clement v.ith writing/reading device serial PC station

implemented infonnation with controller, interface
chip memory and display

Figure 7. System configuration for the application of

an information chip implemented in the concrete
element

230
SEALING GASKETS FOR YIELDING ONE PASS
TUNNEL SEGMENTS
1
N. Herwegh

ABSTRACT ved loading of the concrete, i.e. approx.

Within the framework of the EUREKA
Research Project No. 1079 "CONTUN"
entitled "Mechanized Tunnelling Under
High Overburden", a development project
is carried out to investigate sealing pro­
blems, especially in the region of the
deformable elements which can be inserted
in longitudinal joints as and when required,
under the management of D2-CONSULT
and with the firms Herrenknecht (manu­
facturer of tunnel boring machines),
Phoenix AG and Datwyler Gummiwerke
AG (manufacturers of seals), and STUVA
as the scientific consultant and test institute.
The solution presented in the paper con­
stitutes a sealing system that combines the
deformable element and the lining seal,
both made from synthetic rubber (EPR:
ethylene-propylene rubber), wherein the
main difficulty is to absorb the cross­
sectional compressive strain generated by
a designed deformation path of 30 mm
per element in such a way that the sealing
function is not impaired.
1000 T/m.
• Highest possible initial load without
deformation.
• Absorption of forces from ring gap
grouting up to 2 bars without deforma­
tion, i.e. approx. 200 T/m.
• Water pressure to be absorbed 10 bars.
Higher water pressures to be prevented
or reduced by specific measures.
• Joint gap widths: ring joints 0 - 5 mm,
joint displacement-ring joint +1- 2 mm,
longitudinal joint +1- 1 mm.
• Sealing system to function for duration
of the expected tunnel service life of
100 years.
These inputs were supplemented during
development in so far as to create a modular
system which allows deformable elements
to be placed in existing concrete formwork,
if reqUired; also 2 per concrete segment
as and when needed.

SPECIFICATION
The specification drafted by the project
group includes the following requirements:
• Deformation to be absorbed per deforma­
ble element 30 mm.
• Force to be transferred to equal at least
the maximum normal force at the appro­
Figure 1. Possible deformable rubber element arrangements

30 Chartered Engineer, Datwyler AG, Altdorf, Switzerland

231
Depending on the rock mass, a deforma­
tion-free design is permitted, or, if all
possibilities are utilised, e.g. ring division
into eight, up to 48 cm of deformation, in
relation to the circumference of the lining.
DEFORMABLE ELEMENT
According to the specification the deforma­
ble element shall:
• transfer 1000 T/ m of normal force,
• allow deformation of 30 mm,
• seal against 10 bars of water pressure in
all joint and connection regions,
• be insertable in the lining formwork,
• combine with the actual lining sealing
frame to make a deformable sealing unit.
The almost inevitable result was a cross
section-tailored rectangular body of the
same dimensions as the cross section of
the concrete segments. In order to absorb
the deformation path of 30 mm, a defor­
mation element with an total height of 60
mm was selected.
The inserted element is joined with the
lining by and during the concreting process,
constituting a single unit with the lining
after formwork removal.
The only parent substance conceivable for
this task is a permanently elastic one which
allows deformation of 30 mm from the
original height. Moreover, a porous design
is required with an air volume of 50% in
its non deformed state and a solid body
ratio of almost 100% on attaining full
absorptive capacity, eliminating any further
deformation.
The viability of incompressible building
elements comprising elastomers is long
232
Figure 2. Deformable rubber element in longitudinal
joint
known. In this case, it is only the designed
deformation path and the total height of
the element in its fmal state that are unusual.
The geometry of the pure elastomer body
was studied using the R&D calculations in
order to achieve an optimum cross section.
The study showed, however, that the ma­
terial volume was decisive not the cross
sectional geometry. A lattice-grid structure
that closed on one side was selected be­
cause of its ease of manufacture and its
uniform conditions across the total cross
section of the element.
The endeavour to employ high quality
elastomers most economically finally led
to the consideration to use this latticed
cross section as a formwork and to fill the
cavities in such a way that they yield under
external strain.
Basically, two groups of materials can be
used to fill the cavities:
• plastic deformable elastomers or elasto­
mer reclaims in an uncured state which
under high pressure behave like liquids
and can be squeezed out into the tunnel
interior via openings.
• aerated, concrete-like building materials
with a precisely specified pore volume.

The first solution is notably efficient if

yielding is to be controlled selectively
across short sections, but it was not follo­
wed up, since to control a large structure
like the one in questions proves too costly
and the ejected material quantity of 12
litres per metre is too high.

In contrast, the use of concrete with a high

ratio of pores to fill the cavities is simpler,
ecologically friendlier, a familiar technology,
and the exposed concrete surface facing
the lining element aids connection work.

For preliminary tests, a single grid element

was cut from the lattice and a test specimen
made from EPR.

Figure 3. Sections of deformable rubber element consi­

sting of single chambers

This element was filled with aerated con­

crete of varying strength and pore ratio,
and placed in a steel form to prevent any
lateral yield under an applied load. After
hardening, the absorption behaviour of
the concrete was studied in a press.

233


Figure 4. Test arrangement for a single chamber
The measuring results confirm the assump­
tion that the absorption behaviour of the
rubber aerated concrete element can be
influenced in the desired direction by
altering the pore ratio and strength. D2­
Consult was mainly responsible for selecting
suitable materials and it carried out the
pressure tests in its own tunnel laboratory.
After the preliminary tests, an almost full­
scale grid element was assembled, with
all practical details, for a lining thickness
of 40 cm, reduced to a theoretical ring
width of 30 cm, thereby cutting testing
costs, although all the sealing elements
used in further tests were original parts.
Figure 5. Longitudinal joint with deformable rubber
element, gUiding rod and gasket.
234
Elements can be placed side-by-side as
and when needed, even for large-scale
tests with ring widths of 60, 90, 120, 150
or 180 cm. This facilitates full-scale tests
on conventional concrete segments with
existing formwork, eliminating the high
conversion costs.
THE ACTUAL SEALING FRAME
In accord with the modular principle, the
sealing frame shall:
• function with normal concrete segments
without any deformable elements, as
well as with elements with one or two
deformable elements.
For greater safety, the cross section was
designed so that joint gap widths of 0
- 10 mm and a joint displacement of +/
10 mm can be sealed safely.
• withstand short-term loads in the labo­
ratory two or three times greater than
operating pressures, i.e. 20 to 30 bars.
The most difficult task was to guarantee
the sealing function in the region of the
deformable element where the seal is
compressed by 30 mm to a height of 60
mm. This requires:
• a deeper groove in the concrete and
deformable element than in conventional
concrete segment seals to guarantee a
more reliable longitudinal displacement
of the seal and a good seat.
• reliable functioning of the groove in the
deformable element under compressive
strain.
• a seal cross section geometry that resists
compressive strain so that the actual
sealing regions do not ripple under such
strain.
• distribution of compressive strain over
a larger section as and when required.

• guaranteed sealing or sufficient sealing
pressure for the entire service life of the
tunnel.
The cross section to meet these require­
ments differs quite considerably from the
embodiments known today.
Figure 6. Joint cross section
The cross section comprises:
• a bottom absorption body which can be
anchored in the groove,
• a top sealing region,
• a cavity in the sealing region to receive
a longitudinal reinforcement, if required.
235
Thanks to a special elastic formwork profile
deSigned for these seals which yields when
the formwork is removed without damaging
the concrete, the laterally ribbed section
is anchored mechanically in the joint in
order to retain it securely with the concrete
segment without the need for a bonding
agent. This opens up fully new possibilities
for the adhesive itself:
• for example, use of a highly plastic
adhesive or primer coating to facilitate
the displacement of the section in the
groove, aiding the distribution of com­
pressive strain over a larger section. The
adhesive can be designed in such a way
that it fills transitions between deformable
elements and the concrete, and compen­
sates for any unevenness caused by
deformations.
• on the other hand, the selection of a
more rigid adhesive that absorbs the
shearing force can eliminate the "keystone
effect", i.e. the displacement of the seal
profile within the groove.
The aim here is only to show the possibi­
lities proVided by this type of groove
design. We are fully aware that a tunnel
site may not be used as a laboratory for
adhesives and we therefore endeavour to
prefabricate the seals for multiple functions
in such a way that only one adhesive is
required for mounting the sealing frames
onto the concrete segments.
To eliminate lateral yield, a round steel
bar is placed into the cavities of the sealing
body in the region subject to compressive
strain before the corner is made. The bar
and the enclosed rubber section produce
a compressive strain body which largely
resists longitudinal deformation, ensuring
the required longitudinal displacement of
the seal within the groove.

 Region of corn­ SYSTEM TESTING

'pressive strain
Seal

Deformatian- I .
Seal comer The functional characteristics of the system
Opening
element had to be tested under the interaction of
Steel insert
all influencing variables:

• compression of the deformable element

under pressure.

• all joint types and corner designs, such

as ring joints, longitudinal and bearing
Figure 7. Gasket arrangement at segment corner joints, sealing corners on concrete and
sealing frame corners on deformable
elements, under varying deformation
Sealing sections of the type described are conditions.
extruded endlessly. To produce frames
that enclose the concrete element, they • joint tolerances in the direction of the
are cut to length and placed in an angular joint gap width and joint displacements,
mould. The actual corner region is injected from minimum to maximum.
at high pressure using fresh uncured rubber
• water pressure.
and is vulcanised with the aid of heat. The
ends of the sections are affixed to the fresh Mini concrete segments tailored to the
rubber. In the mould, cross sections can deformable element were made from rein­
be altered as the mould is similar to the forced concrete for a ring width of 30 cm
formwork which defines the exterior di­ and an element thickness of 40 cm.
mensions. Before the section is placed in
the mould, the round bars can be inserted
into the open section ends, as and when
required. The modular principle is adhered
to in that the same devices are used to
produce both reinforced and non-reinforced
corners.
At the same time, the mould is used to
connect the two large cavities in the seal
cross section outwards, i.e. upstream. The Figure 8. Concrete test specimen
water pressure penetrates the cavities
through the openings where it generates
a high permanent sealing pressure, decisi­
vely assisting the long-term function of the
seal. The pressure adapts as conditions
change and is independent of the pressure
that the sealing section itself creates and
the respective joint gap opening.

Figure 9. Concrete specimen with deformable rubber

element, gasket. gUiding rod in original scale

236
The bottom element is joined to the de­ The water chamber is closed from above
formable element and has a closed sealing by a pressure element which takes on the
frame, whereas the top sealing element function of a top seal and, aided by hy­
receives only one sealing frame. The com­ draulic presses, can transfer pressure to
bination of these two elements provides the concrete segments to achieve the desi­
all the details of a longitudinal joint with red deformations.
a deformable element as well as one half
of the ring joint, producing together with
the two corners aT-joint. The adjacent
element, which constitutes the other half
of the ring joint, is replaced by a steel plate
with a groove to receive the seal.
The two steel plates are joined at an angle
at which the differing joint gap widths can
be achieved by means of a compressible
joint disposed in the rear wall and the floor
plate. The result is a water chamber dam­
med backwards, i.e. upstream, in which
water pressure can build up.

Figure 11. Test arrangement for deformation test and

water pressure

Both the joint gap of the ring joint as well

as the pressure in the water chamber can
be altered by means of clamps and the
deformation pressure created by the com­
pression of the element can be absorbed.
Further 90° clamping elements prevent the
concrete segments from being pressed out
by the high water pressure. Simultaneously,
the clamps can be used to adjust the joint
displacement.

TEST RESULTS AND EVALUATION

With specific selection of the concrete

Figure 10. Steelframefordeformation tests and water strength and pore ratio, the desired com­
pressure pressive strength can be achieved in the

237
finished state and the intended absorption
path for the deformable element attained.
The latest research shows, however, that
additional pressure elements must be in­
serted into the deformable element during
production to delay the start of absorption.
Watertightness without the deformable
element was tested up to 20 bars.

Water pressure tests with the deformable

element have not be carried yet because
the varying joint width within the test
device cannot be controlled sufficiently. It
was therefore decided to start with an
infinite adjustment of the width of the ring
joint region and to design the joint variably
by means of replaceable metal inserts in
so far as that joint widths of 0,5 and 10
mm can be set.
The remaining tests are to be completed
during the coming weeks.
We believe that the concrete sealing system,
together with the selectively integrable
deformable element, is a promising building
element as it easy to handle and flexible
and can facilitate the application of the
concrete segment construction method,
even in tunnel projects with large rock
overburdens.

238
DESIGN OF GASKETS FOR DEFORMABLE
TUNNEL LINING JOINT CONFIGURATION.
NEW DEVELOPMENTS.
1
W. Grabe

ABSTRACT EXISTING SOLUTIONS

Elastomeric compression gaskets, compres­ Since the Channel tunnel PHOENIX has
sed between segments of the tunnel lining, fitted out several tunnels around the world
guarantee the watertightness of the tunnel with new developments. This was reported
at once and for the whole lifetime. Since by Grabe and Glang (1993, 1995). The
the most impressive tunnel project, the requirements, which had to be fulfilled,
Channel tunnel, PHOENIX has developed were
new gasket designs, which can accept • to reduce the rubber volume,
greater gaps by using less rubber volume • to accept greater gaps, and
and which need lower closure forces. • to reduce the closure forces.
Deformable tunnel linings, which are used To reduce the rubber volume by reducing
in tunneling with high overburden and the width of the groove is very important
waterpressure, require new developments. for transalpine tunnels, because the thick­
These new gasket profiles have to be ness of the concrete segments must not
watertight at high waterpressures and very be greater than 400 mm.
large gaps between segments. Later they The St.Clair gasket profile (Fig. 2) needs
have to follow the gap reduction to 0 mm only 33 mm groove width compared to 50
at the end of tunnel diameter reduction. mm of the Channel gasket profile (Fig. 1).
At the same time the St.Clair profile (@ in
INTRODUCTION
Fig. 3 and 4) offers a watertightness of 10
Elastomeric compression gaskets for seg­ bar up to gaps of 14 mm compared to
mental tunnel liners are used since more only 5 mm gap with the Channel gasket
than 25 years for one pass constructed profile (® in Fig. 3 and 4).
tunnels. For the Channel tunnel (Fig. 1) a
special profile geometry has been de­
veloped to fulfill extraordinary requirements
on permanent waterpressure of 10 bar in
combination of 2,5 mm gaps and 15 mm
offset between segments. For tunnels at
the base of very high mountains, for ex­
ample the Alps, the tunnel lining can only
be economically constructed, if it is de­
formable and thus reducing the outer
earth pressures. Calculations lead to perma­
nent waterpressures of max. 10 bar in
combination of initially 30 mm gap, later
reduced to 0 mm gap. Figure 1. Gasketprofile for Channel tunnel
1
Dept. Manager R&D AE Profile, Phoenix AG, Hamburg, Germany

239

Fig ure 2 . Gasket profile for St. Clair train tunnel
Figure 3. Load-deflection curves for different gasket
profiles
Figure 4. Watertightness curvesfor different gasket profiles
240
Even the smaller brother of the St.Clair
gasket profile, the so called Tokyo Route
12 profile (Fig. 5)' needing only 26 mm
groove width, offers a watertightness of
10 bar up to 6 mm gap.
This type of gasket profiles, which has
been patented worldwide by PHOENIX,
has a very good relationsship between
watertightness efficiency, small groove
dimensions and low closure forces.
Therefore it is now proposed for the qua­
lification tests for the 4th tube of the tunnel
under the Elbe river in Hamburg. The
requirements are already very high, because
they are expecting offsets of 20 mm con­
nected with an opening of the gaps up to
13 or 15 mm due to ovalisations which
might be caused by tidal effects on the
tube. The test pressure is 10 bar. FEM­
analyses and laboratory tests showed that
a groove width of 46 mm, a groove depth
of 19 mm and a gasket profile hight of 32
mm might fulfill the requirements tested
on real concrete segments.
Parallely another development has shown
to be very efficient. It is the combination
of a specially shaped compression seal
and a swellable material which is clipsed
into a small groove in the top of the
compression seal. This PHOENIX develop­
ment is now used with very good results
on Cachan-Charenton and Clichy-Labriche
sewer projects in Paris and on BEWAG
electric supply tunnel in Berlin.
Parallely another development has been
already tested. Compression seals with
anchors (Fig. 5), that are cast in during the
production of concrete segments, have
shown to have better watertightness than
the gaskets which are glued into the groove
of the concrete segments. This is due to
a prolongation of the leakage path under­
neath of the gaskets by the anchors (Haack
and Schreyer, 1993).
NEW DEVELOPMENTS FOR TRANS
ALP TUNNELS

Tunneling with high overburden and water

pressure has been discussed in the euro­
pean working group Eureka EU 1079
"Contun". It took a lot of meetings to
discuss the function of deformable tunnel
linings and to fix the technical requirements
that are needed for the design of elastomeric
compression gaskets:

• water pressure max. 10 bar, test pressure

max. 20 bar
• longitudinal joint gap between concrete
segments initially 30 mm, during defor­
mation of tube finally reduced to 0 mm
• transverse joint gap between segment
rings max. 5 mm
• offset in longitudinal joints max. 4 mm
• offset between segment rings due to
CONEX-dowels max. 2 mm
• closure load (gap 0 mm) max 100 kN/ m
• temperature 50°C. Figure 5. Phases of production of concrete segments
with anchored seals
For these requirements FEM-analyses and
first laboratory tests were done to check
the feasability. First it was decided to use
different dimensions of the same geometry
type in one gasket, the large one in the
longitudinal joint, the small one in the
transverse joint. Second it was decided to
use a rubber compound with very low
stress relaxation under 50°C tunnel tempe­
rature.
The large profile with the St.Clair type
geometrie needs a groove width of 100
mm, a groove depth of 50 mm and a gasket
profile hight of 75 mm. The small profile
will be the St.Clair profile (Fig. 6 to 8).
Load deflection tests and stress-relaxation
tests on the large proftlcs are already done. Figure 6. Glued in gasket profiles in the longitudinal
Watertightness tests will be done in 1996. joint

241
 REFERENCES

Grabe, Wand Glang, S. (1989): Gaskets

for segmental tunnel liners. World Tunne­
ling

Grabe, Wand Glang, S. (1993): Gaskets

for segmental tunnel liners, VIII Australian
Tunneling Conference, Sydney

Grabe, Wand Glang, S. (1995): Tunnel­

dichtungssysteme, VDI Conference, Braun­
schweig, Blastomere im Bauwesen, VDI­
Verlag

Haack, A. and Schreyer, j. (1993): Bericht

aber Wasserdichtheitstests an Phoenix­
Tunneldichtungsrahmen. Not published
Figure 7. Anchored gasket profile in the longitudinal
joint
report of STUVA, Cologne

Figure 8. Gasket corner for diformable tunnel lining

242
JOINT CONNECTORS FOR TUNNEL LININGS
ABSTRACT
For software controlled tunnel lining instal­
lation mechanical connectors are necessary
both to guide the segments during the
installation process and to take over the
pull out forces caused by gaskets. This
paper describes a product which is able
to provide all of that requirements. A
special production method allows to pro­
duce a plastic material with high thickness,
without any internal stress distribution and
homogenous property. Based on this ca­
sting technology, called "POLO-RIM", the
requirements for a mechanical connector
could be reached. Successfully applications
on projects in Milan/Italy, and in Paris/
France, confirm the high quality.
The starting point for this contribution goes
back to a publication of Dr.Wagner in 1981,
where he describes the idea of "Basics of
a new lining system for tunnels". The main
item of this idea and the resulting coope­
ration between Dr.Wagner and Dr.Schulter
on one hand and Poloplast on the other
has been formulated and pointed out in a
development - project, which has been
started concretely in 1988 - the objective
has been the realization of a connecting­
element in plastic instead of conventional
steel-screws with the following profile:
1
Dipl.-Ing. Dr., Poloplast Kunststoffwerk Ltd., Leonding, Austria
243
E. Zenker l
• first of all, the connecting element should
enable an automatically tunnel-lining to
save time and to reduce manpower,
• quality improvement based on flexibility
and elasticity,
• symmetrical design,
• small tolerances to guarantee function,
• a reproducable large-scale production
with economically costs,
• high pull out force of concrete,
• a shaping of the connectors, which
should ensure, that the concrete holes
would be simple to produce,
• the connector or "dowel" should be
suitable for the installation of concrete
segments with weights up to 45 KN,
• an elongation of the dowel, caused
through the pressure of segment-gaskets,
should be minimized.
Roughly this has been the profile for the
product which had to be developed.
The evaluation of the necessary design
had to consider fit, form and function and
resulted - step by step - after a lot of
reflections, calculations and trials in a
dowel, which is radially symmetrical and
is devided into three stages in each of the
anchoring areas with the segments. Each
diameter area contains a tapered ring. The
purpose of the graduated shape is to
minimize the insertion forces while main­
taining a precisely determined insertion
path.
The graduated form ensures that the dowel
is guided along all contact surfaces at the
same time, reducing the critical loads on
the dowel during the erection of segments
as well as the stress-peaks resulting from
secondary bending forces due to the tole­
rance of entry and the guiding function .
The tapered rings are a key to the holding
power of the dowel (Fig. 1 and 2).
Figure 1 Figure 2
Figure 1. View and section ofplastic dowel
Figure 2. View ofplastic dowel
For the realization and production in plastics
this meant the selection of suitable materials
and applicable technologies.
Based on theoretical calculations it was
evident that we would need two different
types of polymers to reach all the high
standards and demands for the designed
dowel - on one side a "body" for the pick
up and transfer of forces with an adjustable
Young's modulus and on the other side a
sufficient elastic material for the tapered
rings, which can be compressed and com­
pacted during the insertion. After that
insertion a part of this elastic material is
pressed into the concrete pores. The resul­
ting compression bond between the con­
crete wall of the groove and the high
strength body ensures a good application
244
of force. A shape and force transferring
anchoring is thus created, which is subject
to only a slight deformation by the recovery
force of the elastomer seal. The fastener
just described is based on simple frictional
engagement and requires no further inser­
tion parts or concrete undercuts (Fig. 3).
Figure 3. Radial joint with plastic dowel
The significant and mostly specific problem
in this point of development has been the
fixing of the best production technology
- in a comparison between all the conven­
tional plastic-technologies, may be for
duroplastic or for thermoplastic polymers,
there are a lot of limits to pay attention to.
We started our efforts with the well-known
injection-moulding, but in this technology
it is unpossible to choose any thickness.
We tried to create the dowel in the way
of two half-pipes with ribs inside and to
weld them together - because of the limiting
material-thickness in injection-moulding
of e.g. 4mm the Young's-modulus had to
be extremely high to reach the desired
tenacity for the dowel-body and the mate­
rials available are to expensive for a com­
mercial use.
Also the welding of the half-pipes has

shown out to be unsure.

So we decided ourselves for an absolutely

new way in the realization - which is called

"Monomer-casting".

Therefore a liquid mixture of Caprolactam,

a copolymer and a catalyst are cast in a

mould, where these monomers react on

the basis of a polymerisation to the ready­

made product.

The advantages of this technology have

been clear very soon:

Figure 4. Insertion Curoe-Diagram

• The polymer, which is built in the mould,

is on the basis of Polyamide and the
stiffness, tenacity and modulus are adju­
stable with the different concentration
of the used monomers in the liquid
mixture.
• It is the only method to produce parts
with high thickness without shrinkage­
holes.
• In fact of the casting of monomers the
final product has no orientation, is the­
refore nearly free of any stress and is
absolutely homogenuos in all room­
directions.
Figure 5 . Pull out Curoe-Diagram

Only with this casting-technology we really

could meet all the requirements for an
auto-connector, which are described in the
introduction:
• high tenacity and high modulus,
• minimal elongation,
• perfect elasticity for insertion,
• reproducable small tolerances,
• high chemical resistance against unorga­ Figure 6. Shear Curve-Diagram
nic and organic solvents, acids and lyes
in between pH 3-12.
A large number of practical tests during
In combination with the elastic tapered and after the developement and in the
rings the dowel leads to properties, which meantime the application of the described
are shown in Fig. 4, 5 and 6. dowels or jointconnectors in tunnels which

245

have been built in Milano, in Paris, (Fig.

7 and 8) in Lille and now in Korea have
shown the evidence of

• technological advantages and

• a further step in automatically tunnel
linings.

Figure 7. Concrete segment with plastic dowels and

gUiding rod (Project Eole, Paris/France)

Figure 8. Installation of Keystone segment with plastic

dowel

246
PRECAST TUNNEL SEGMENTS REINFORCED
WITH STEEL WIRE FIBRE REINFORCED
CONCRETE (SFRC) • A STATE OF THE ART
D. Moyson 1

INTRODUCTION viour. The use of steel wire fibres provides

Precast tunnel linings have been in use for
many years in tunnel construction. Since
their introduction, precast tunnel segments
have undergone some important develop­
ments. One of the major developments
a solution to the corrosion problem. It is
clear therefore that steel wire fibre as
reinforcement for tunnel segments, will
play an important role in future projects.
LOADS ACTING ON TUNNEL

has been the increase in unit sizes. SEGMENTS

To allow a faster progress, dimensions of

the segments have increased substantially
over the last 20 years. Today tunnel rings
are wider and each ring contains less
segments. In the seventies a tunnel ring
consisted of 10 to 15 segments each 0,6
to 0,8 m in width. The elements were made
of plain concrete with no reinforcement.
Today, one tunnel ring consists on average
of 6 to 8 segments each 1 to 1,5 m wide.
To cope with the growing handling stresses,
and the ever increasing jacking forces of
todays more powerful tunnel boring ma­
chine elements now require reinforcement.
A typical rebar quantity is about 60 to 100
kg/m3.
The use of conventional rebar for tunnel
segments, has however one major handicap
in its limited durability. In aggressive
environments mainly corrosion problems
with conventional rebar have and still are
being reported. Due to these problems
and the ever increasing design lives, requi­
red for new tunnels, the future trend in
segmental lining will put greater emphasis
on durability.
One of the major adavantages of SFRC,
when compared to conventional reinforced
concrete, is its excellent durability beha­
Figure 1. Different load conditions
Tunnel segments are subjected to a wide
range of load conditions. The different
load cases are represented in figure 1.
In general, elements are demoulded 12­
24 hours after casting. A high early strength
and a good cohesion of the concrete is of
prime importance to prevent damage to
the edges and corners when removing
elements from the mould. Also during
demoulding, the element is subjected to
bending forces as they are during stacking
and transportation.
When erecting the elements, the segments
are subjected to impact. During the forward
motion of the tunnel boring machine, the
jacking shoes push on the previously
installed ring. The compression load applied

1
Ing. , N.N. Bekaert S.A., Zwevegem, Belgium

247
on one jack can be as high as 600 tons.
These jacking loads are very dangerous
since they cause tensile stresses in the
elements perpendicular to the tunnel axis.
The tensile stress concentrations in a tunnel
element subjected to a concentrated jack
load is represented in figure 2.
Figure 2. Tensile stress concentrations in a tunnel
element subjected to a concentrated load
Two zones with high stress concentrations
can be identified. The first stress zone
appears at the surface, the second more
centrally. Since these stresses are very high,
the jacking forces are generally the deter­
mining load case for design.
Once the elements are installed, they form
the tunnel lining and resist ground loads.
In humid or aggressive environments or
in case where a severe design life is requi­
red, a good watertight and a highly durable
concrete lining is indispensable.
CONVENTIONALLY REINFORCED
SEGMENTS
A conventional reinforcement cage consists
of rebars fabricated into top and bottom
mats, separated by stirrups welded to the
mats. In general the amount of reinforce­
ment varies between 60 and 100 kg/m3,
depending on the size of elements and
load conditions.
The main function of the top and bottom
mats is to resist the bending forces related
to demoulding, stacking, transportation
and ground conditions. The edges of the
248
cages, consisting of stirrups and longitudinal
bars parallel to the segment border, resist
the jacking forces of the tunnel boring
machine. The reinforcement should also
resist the tensile stresses acting perpendi­
cular to the tunnel axis.
Figure 3, A conventional reinforcement cage
In practice, the reinforcement cage proves
very often to be insufficient. Damage at
edges and corners occurs (figure 4 and 5).
Due to the minimum cover requirement
needed for protection against corrosion,
and the shape of the edges, the concrete
is unreinforced over the outside 5 - 8 cm
allowing high stress concentrations at the
edges to break the unreinforced concrete
layer. Since the concrete is brittle it will
spall until it reaches the reinforcement.
The joint will also be removed. The water­
tightness of the tunnel lining can no longer
be guaranteed and waterseapage becomes
unavoidable. Steel bars exposed to the
atmosphere will start to corrode. The
corroding bar will expand and spall into
other parts of the concrete. Hence, more
reinforcement will be exposed and start
to corrode. The corrosion process goes on
until the complete deterioration of the
tunnel segments.

Figure 4. Spalling of a joint in a particularly vulnerable
profile
Figure 5. Cracking and spalling of the concrete in the
cover zone at the joint of a segment
STEEL WIRE FIBRE REINFORCED
CONCRETE TUNNEL SEGMENTS
Technical advantages
The spalling problems encountered using
conventional reinforcement can be avoided
by the use of steel wire fibres. Compared
to convential reinforcement, steel wire
fibres proVide a better resistance against
249
spalling due to the homogeneous distribu­
tion of the fibres and their excellent dura­
bility. The steel fibres are randomly distri­
buted in the concrete so providing an
excellent reinforcement. Steel wire fibres
close to the surface, ensure a correct
reinforcement at the joint segments by
removing the unreinforced cover zone.
The other major advantage of SFRC is its
excellent durability. SFRC, unlike structural
reinforced concrete, will not support the
classic galvanic corrosion cells. The fibres,
being non-continuous and discrete proVide
no mechanism for propagation of corrosion
activity. Moreover, the risk of spalling is
totally excluded as the increase in volume
due to corroded fibres is not sufficient to
split the concrete. Hence, it is clear that,
compared to conventional reinforcement,
the spalling of concrete due to concentrated
loads and corrosion, is Significantly reduced
by the addition of steel wire fibres.
In addition to the above benefits, steel
wire fibres have other advantages.
Steel wire fibres form a multidirectonal
reinforcement providing a resistance to
stresses in all directions. This is an important
advantage since tunnel segments are sub­
jected to stresses working in all three
dimensions. Hence, each fibre is fully
utilized.
Another advantage of SFRC is its improved
impact resistance. Tests performed on
blocks have shown that the impact resi­
stance of SFRC at normal dosages is about
20 times higher than for unreinforced
concrete.
A further benefit of using steel wire fibres
is extremely good crack resistance. The
high quantity of steel wire fibres, homoge­
neously distributed in the concrete, provides
very effective crack control. Tests performed
in this regard, have shown that with the
addition of 20 kg/m3 of fibres, the width
of shrinkage cracks are reduced from 1
mm to less than 0,2 mm.

Economic advantages The tests were carried out with plain

concrete and concrete reinforced with 30
The production costs of SFRC tunnel seg­
and 50 kg/m 3 of Dramix® ZC 601.80. The
ments compare favourably with those for
first crack and ultimate load were measured.
segments reinforced with rebar cages.
The crack development was studied. The
Although the cost of rebar is less than steel
joints had a convex!convex configuration.
wire fibres, there are significant savings to
The nominal dimensions of the panels
be made by the elimination of manufactu­
were 500 mm x 500 mm x 150 mm. A
ring, handling and storage of reinforcement
representation of the test set-up is shown
cages. Time savings obtained by the elimi­
in figure 6.
nation of the positioning of the reinforce­
ment cages, the use of automatic dosing
equipment and the increased strength of
SFRC at early age , result in increases in
productivity. The use of steel wire fibres
for the reinforcement of tunnel segments
on the Fanaco hydraulic project in Italy
allowed an increase in the number of
production cycles from 2 to 3 a day. The
use of steel wire fibres minimizes damage
to segments during handling, transportation,
Figure 6. Test set-up
ring building or pushing and thus reduces f or the pan el tests
repair costs. For the Heathrow baggage
tunnel, a damage level of less than 0,3 %
has been achieved during production and
tunnel works.

Test results
The measured 28 day first crack and ulti­
The use of steel wire fibres as reinforcement
mate load values are shown in table 1 and
for tunnel segments has been the subject
figure 7.
of many test programmes. Up to now,
more than 10 different test programmes
Dosage ofDranWx® zc 601.80 (kgIm')
have been carried out on SFRC tunnel 30 50

.."
Load .. first crack (\eN) 863 1139 1257
elements. All the different programmes
show the suitability of steel wire fibres for
Per~ntage InawJ.w (from

Ultimate Load (kN)

0 kg)
""
J458
J1'!'
1993 2220

this application. The bending, shear, spalling

Perc:entoge_~~_if!om~kg)
"" 37" 52%

and bursting behaviour of SFRC segments Table 1. Test results f or the panel tests

have been investigated and compared to

that of conventional reinforced and plain
concrete segments. In what follows , only
a few test results will be discussed. However
full details of all of the tests are given in
the references.

a) Heathrow baggage tunnel

Pairs of concrete test panels were tested
to determine the behaviour of radial joints. Figure 7. Results of the pan el tests

250
The results showed that the load at first The tests showed that when compared to
crack was 32 % greater with 30 kg/ m3 of conventional reinforcement, the load at a
steel wire fibres than for plain concrete. crack width of 0,2mm was 22 % lower for
When the steel wire fibre content was 40 kg/ m3 and equal for 60 kg/ m3. The
increased to 50 kg/m3 this increased to 46 ultimate load was 23 % lower for 40 kg/m3
% . The ultimate values at the corresponding and 7 % the lower for 60 kg/ m3. These
fibre contents were found to increase by tests are important, since they show that
37 % and 52 % respectively. From crack 60 kg/m3 Dramix® ZC 50/.60 give virtually
width measurements taken on the panels, the same resistance as 80 kg/ m3 of con­
it was clear that the addition of fibres ventional reinforcement.
reduces crack widths considerably. When
compared with plain concrete panels, at c) Dipenta
a load of 1350 kN, the crack width is For the construction of several hydraulic
reduced by 5 1/2 times with a fibre dosage tunnels in Italy, SFRC have been used to
of 30 kg/ m3 and by 11 1/2 times at a manufacture the precast elements. Prior to
dosage of 50 kg/m3. the construction of these tunnels a large
test program on SFRC tunnel segments
b) Bilfinger & Berger
was carried out by the contractor Dipenta.
In cooperation with Bilfinger & Berger
The behaviour of SFRC tunnel linings under
splitting tests have been performed on
the combined effect of bending moments
SFRC and conventionally reinforced seg­
and normal forces were investigated.
ments. The SFRC segments contained 40
Conventional reinforcement, plain concrete
kg/ m3 and 60 kg/ m3 Dramix® ZC 50/.60.
and 50 kg/ m3 Dramix® ZC 60/. 60 rein­
The tradional segments contained 80 kg/m3
forced tunnel segments were considered.
if rebar. The test set-up is represented in
The amount of conventional reinforcement
figure 8, and the test results in table 2.
was 75 kg/ m3. The test results are repre­
sented in figure 9.

Figure 8. Splitting test set-up Figure 9. Results of combined bending test

Reinforurnent Load 11 O.2nvn aw:lt tntimlleLoad

The figure shows the excellent behaviour
..........
wKllh(kN) (kN)

Rebatat SOkglm' 3370 3922

of SFRC tunnel segments in sustaining

40 kWm' DrwnixCI 501.60 ..........
PUf.WJklgeJItCI"tlJ3e
""
2640
""
3007
combined bending moments. The ultimate
-21" ·23><

P~lrtCl"t4'ile
load for the SFRC tunnel segments are 8 %
-'­
60 kglm' Drvnix® 501.60 M<an ..... 3360 3630

·m and 47 % higher than for the conventional

""
Table 2. Results of splitting test reinforced and plain concrete segments.

251
In addition to the test programmes discus­ CONCLUSION
sed above, other tests have been carried
out for the Lestho Highlands Water Project, When compared to conventionally rein­
Lotschberg tunnel (Switzerland), Jubilee forced concrete, the use of steel wire fibres
Line (London), Meteor (Paris) and St Clair as reinforcement for tunnel segments offer
River Tunnel (Canada). technical and economic advantages. The
two major technical advantages are impro­
References ved durability and spalling resisistance.
Since the introduction of the SFRC tunnel Significant cost savings can be made by
segments, 40 km of Dramix® SFRC tunnel the elimination of the manufacturing, hand­
segments have been constructed. ling and storing of reinforcement cages.
Different tunnel references are given in A large number of test programmes have
tables 3, 4 and 5. The tunnels are divided been carried out on SFRC tunnel segments.
in three categories: subway, hydraulic and These all show that steel wire fibres are
others. perfectly suitable as reinforcement for
tunnel segments.

-
SFRC tunnel segments have been succes­
fully used on a number of tunnel projects.
~lll:W,IU: TUNNEL/i
pn>j... I """"" (m)
ioIunaI
......."
(an)
. .....

(=)

""""",,Nopdo 'laIy 2600 '.1 3.

"-
....
F""", 3 riop 7.' •• REFERENCES
"••
F""", 2_ 6.'

""'"
Jubilee "'"""'"
Uoilod " " - '
'00
2000
7.3

'.' 3.
Branshaug T, Ramakrishnan V, Coyle W
Table 3. Riference table for subway tunnels
V and Shrader E.K., '~ comparative eva­
luation of concrete reinforced with straight
steelfibres and collatedfibres with deformed
ends'~ South Dakota School of Mines and

p­
~BA)[I.s~ DJNNELS

""""'" ......
(m)
inIcm. diamab::r
(<D) """"""
(an)
Technology, 1978.

Grzybowski M. and Shah S.P., "Shrinkage

""""""" ....y .200
",.
3)
"2.
Cracking of Fiber Reinforced Concrete'~

--
F...." 'I>Iy 3.5
2.

...... NSF Center for Science and Technology qf

'laIy 9000
,...,.
M~

4820 2.
IIaIy 7000 2. Advanced Cement-based Materials.
PetnJia 3000 2.
,...,.
'laIy
Termini '904 2.
UIWP Sc.IIh-Africa '40 4,6 2~ Worters P.H., 'Preproduction Testing for
Steel Fibre Reinforced Precast Concrete
Table 4. Reference table for hydraulic tunnels
Tunnel Lining Segments for Heathrow Bag­
gage Tunnel", Pemberwell Sevices, June
1994.

Wallis 5., ''Heathrow Baggage'~ World Tun­

0T1lXR TtJNNJ:LS nelling, pp. 319-321, October 1994.

u~,,~_
project QJWdry Iqth iarcm. diameter 1hidmcu

-(m) (m) (cm)

H_ '400 '.' '.' O!iver A ., ''Fly Drive'~ New Civil Engineer,

Table 5. Reference table for other tunnels pp. 18-19, September 1994.

252
''Performance Evaluation ofDramix Fibre­
Reinforced Concrete Tunnel Segments",
Trow Consulting Engineers Ltd., 1995.
Viljoen E.G., Neumann Mj.E. , Kubish F.,
"Steel Fibre Reinforced Concrete for Precast
Tunnel Segments - Mix Design and Full
Scale Testing': Stuva-Tagung '95, Stuttgart.
Moyson D., "The Construction of a Steel
Fibre Reinforced Concrete Segmental Lining
in London': Stuva-Tagung '95, Stuttgart.
"Voussoirs en Beton Arme de Fibres Metal­
liques: Rapport d'Essai': Bonnard & Gardel,
Bern, 1994.
Casanova P , Rossi P , Renwez S, Belloc A .,
''Fabrication de Voussoirs en Beton de Fibres
- Etude du Materiau': Bulletin liasion 196
du Laboratoire des Ponts et Chaussees, pp.
97-99, Mars-Avril 1995.
Moyson D ., ''Dramix Steel Fibre Reinforced
Segments for Tunnel Linings': Bekam Bro­
chure, 1995.
''DBV-Merkblatter Faserbeton - Merkblatt
Technologie des Stahlfaserbetons und Stahl­
faserspritzbetons - Merkblatt Bemessungs­
grundlagen fur Stahlfaserbeton im Tunnel­
bau': Deutscher Beton-Verein E. v., August
1992.
''Durchfuhrung von Versuchen an Tiibbings
mit Stabstahl- und Stahlfaserbewehrung':
Materialpriifungsamt fur das Bauwesen
der Technischen Universitat Munchen,
1994.
253
DISCUSSION
Question: Dipl.-Ing. Dr. Alois Figl, Vorarl­
berger Illwerke AG, SchrunslOster.reich:
Isn't it a disadvantage of steel fibres that
they cannot be concentrated where stress
concentrations appear? And isn't that also
a cost factor?
Answer:
It is indeed a disadvantage that the steel
fibres cannot be concentrated at certain
places. Up to now I don't know of any
realization where the steel fibres have been
concentrated at certain places. Indeed it
is a disadvantage, but on the other hand,
when we look to tunnel segments we have
to see that in fact these tunnel segments
are subjected to stresses working in all
directions. We have stresses working in
the plan of the segments, to the bending
stresses of the ground, but we have also
stresses working in the two other directions.
The stresses they are working due to the
checking forces . So we have here in fact
stresses that are working in three directions,
and from that point of view we can say
that the fibres here in this case are optimally
used, utilized. Because the fibres are there
in all directions. So it is somewhere a
disadvantage, but on the other hand, seen
the fact that the segment is subjected to
stresses work in all directions, the fibres
are fully utilized.

CLOSING LECTURE

CLOSING LECTURE
Harald Wagner
Summarizing a total of 26 lectures during
the past two days and thus picking in short,
the most important findings is an
undertaking which will not get aids from
the geomechatronic idea, having been
presented by the author as a key note
lecture in the morning of the first day.
After having received the welcome address
by Dr. Christoph Leitl on behalf of the
Government of Upper Austria, and of
Professor Buchberger, to whom we are
deeply grateful for having offered the
possibility to hold this conference in the
beautiful surrounding of SchloB Hagenberg,
we got a glimpse of his intuitive capacity
when he told us and taught us how to
realize visions within a limited period of
time.
Block A, as the first session has been
focusing on TBM drive technology, and
has been chaired by Mr. Guedon from
France. Decision aids for tunnelling on a
computer basis have been presented by
Professor Einstein, who could incorporate
probabilistic models as an interactive tool
to estimate tunnel construction cost, time
and resource requirements. It was also
impressive to look into Professor Swoboda's
and Mrs. Mansour's kyber space of three
dimensional numerical modelling, where
new observational methods are needed to
enable an x-ray look into walking surface
and below surface displacements as well
as listening to cracking concrete structures.
Dr. Gehring explained the impact of rock
under increased stress conditions when
using different types of TBM's. He showed
1
Dipl.-Ing. Dr. rechn., Executive Chairman of the Conference, Linz, Austria
257
~~
1 , " t~~\.;.JIII
" ''' ..
us how to cope with TBM's under high
rock stresses. Mr. Burger presented the
paper of Mr. Herrenknecht, mentioning
the importance of surveying and guidance
systems and other new developments like
vacuum erector, stone crusher injection
through the tail-skin, and different types
of seals, concluding by explaining the
demand for data recording systems.
Or. Grabe, being a partner in the Eureka
research project 1079 Contun, explained
on the design of gaskets for deformable
tunnel lining configurations, giving us the
impression, that elastomeric compression
gaskets will remain for the next future
state-of-the-art of sealing, segmental linings
for the whole life time of a tunnel. Finally
Professor Jodl together with his assistant
Mr. Stempkowski presented the case study
of the Wienerwald Tunnel and operation
research aspects when comparing either
NATM or TBM or a combination of both,
which seems to be the most realistic
concept for realization of this project.
Block B, subsequently follOWing, was
chaired by Mr. Kogler from Austria, fOCUSing
on TBM automation, simulation and quality
control. Dr. Stifter explained her view of
synergies and chances in cooperating
between university and industry in regard
to TBM tunnelling. The challenge of
mathematical research has been outlined,
shOWing the engineer mathemetical tools
to improve current tunnel engineering
technologies. In a case study for an alpine
transit freight tunnel concept, Professor
Golser explained both, influences of
geology on tunnel technology and how to
cope with the current policy in Europe to
transfer long distance freight transport from
road to rail by application of separation
traffic systems.
Dr. Schreyer has prepared a paper together
with Mr. Bielecki for the suitability test for
the segmental linings of the fourth tube
crossing the River Elbe in Hamburg. These
tests will be carried out during 1996 and
1997 and we will hear on the results
subsequently.
European geotechnical engineering norms
have been explained by Dr. Sadgorski from
Germany, who made us all aware of the
fact and of the importance of the norm for
tunnel design both for open and mined
tunnelling methods and to follow Eurocodes
in Europe in the future .
With the lecture on TBM simulator, and
interface model between machinery and
lining was explained by Mr. Erten and Mr.
Kriegl from Austria, focusing on the great
potential for advanced rate, quality and
economy improvement in conjunction with
suitable lining segments and fitted
automation systems.
During his dinner speech, Professor
Sebastiano Pelizza, acting as honorary
chairman of this conference, explained the
view of the International Tunnelling
Association in regard to further
development of TBM tunnelling. The rock
mass is considered to remain an important
topic in tunnel engineering. However, it
was understood that at this moment the
development is seen as a trade off between
very expensive universal tunnel boring
machines with lower level of risk versus
more simple designed machines which are
cheaper but may have a higher level of
construction risk . It was especially
remarkable to hear the underlining of the
importance of the role of clients in the
professional field, and well-received by
the members of the authorities present
258
during this evening. At the end of his
speech, Landesrat Franz Hiesl representing
the Governme nt of Upper Austria,
honoured Prof. Pelizza by awarding to him
a certificate of appreciation.
Block C on the second day has been
chaired by Mr. Lovat from Canada, dealing
with TBM challenges. The construction of
the railway tunnel under the Great Belt
was presented by Mr. Sternath from
Germany, explaining how to manage risks
in regard to water, fire and earth, and how
to take chances for a successful completion
of this interesting project.
Mechanized tunnelling was explained by
Dr. Babendererde and Mr. Babendererde,
and the rich experiences presented have
been divided into those experiences, which
had been made on the real construction
site from the more civil and geotechnical
related aspects , - as we all know, it all
depends on the ground -, to aspects more
closely related to highly sophisticated
mechanical features of TBM tunnelling.
The Eole project in Paris is another project
using state-of-the-art technologies from the
point of view of TBM technology and
segmental lining. The project was presented
by Mr. Bouygues from France, fOCUSing
on geotechnical investigation carried out
in front of the machine during the works
by combining drilling and geophysic
methods to detect different types of ground
layers.
The role of technology for tunnel
construction and for realization of the
Wanjiazhai Water Transfer project was
explained with internationally trained
presentation dynamics by Dr. Gunaratnam
from The World Bank in the United States
It is considered to be very important for
the success of the implementation of a
project.
High speed tunnelling, or should we better
say tunnel racing, with TBM's in the blue
mountains of Sydney in Austrialia has been
presented by Mr. Janzon from U.S .A
continuous belt conveyor system was used
to provide a high capacity muck transport
facility, to achieve a new world record.
Dr. Haack from Germany presented a new
comparison between conventional tunnel
driving methods and TBM drives. He is
recognizing significant differences
concerning the construction period on one
hand and the operation face on the other
hand.
The interaction between TBM thruster
configuration and geometry of lining
segments, was presented by Dr. Schulter
from Austria, highlighting the importance
for computer controlled segment erection.
In his presentation Dr. Hanamura from
Japan gave us an overview of state-of-the­
art Japanese TBM technology. It was
fascinating to hear about their new
developments and to even see into the
future of underground space developments
in Japan.
Block 0 contains TBM tunnelling and
segment manufacturing and was chaired
by Or. Lauffer from Austria. Mr. Heilegger
from Italy and Mr. Beil from Austria
presented a case study on fully automated
tunnel segment production system. They
investigated improving the technologies
of segment production, high precision
moulds, automation of production
sequences, quality assurance and control,
as well as a logistic transportation system.
Professor Liniger from Germany focused
his paper on quality control on computer
controlled tunnel segment manufacturing
plants resulting in profilactic maintainance
to ensure functioning of machinery and
plants.
Eureka project EU 1079, by the name of
Contun has been started and will be
finalized very soon. In his presentation Mr.
Strohhausl from Austria focused on
structural aspects of TBM tunnelling under
high overburden with yielding segmental
259
linings, presenting interesting aspects for
realization of trans-alpin base tunnels. In
the same context of the targets of this
Eureka research project, the requirements
for sealing gaskets in yielding joints of
TBM tunnelling was outlined in the paper
of Mr. Herwegh from Switzerland.
For controlled tunnel lining installation,
mechanical joint connectors have been
developed. Or. Zenker from Austria
described in his paper the production of
such connectors made of plastic materials
with massive dimensions and without any
internal stressed distributions.
Mr. Moyson of Belgium presented a state­
of-the-art paper on precast tunnel lining
segments, with steel fibre reinforced
concrete. Based on his experience on a
number of projects in the past and currently
under construction, he concludes that steel
wire fibre as reinforcement for tunnel
segments will play an increasing important
role in future projects.
Distinguished members of this conference,
esteemed colleagues and dear friends, let
me express sincere thanks
• to the honorary conference chairman
Professor Pelizza,
• to the session chairmen, Mr. Guedon,
Mr. Kogler, Mr. Lovat and Mr. Lauffer,
• to the scientific committee, Prof.
Buchberger, Prof. Swoboda, Dr. Schulter
and Mr. Kothari, and
• to the organizers of this conference,
Geomechatronic Center Linz and 02
Consult,
It was a real pleasure to work with you
during this two days on new frontiers of
the underground construction industry.
Also, I would like to express a special
thanks to the conference secretary, Mr.
Andreas Beil, who has done an outstanding
job during the past couple of months. In
a team consisting of assistant secretary
Christa Friedl, heading the conference
administration team with Carolin Strohhausl­
StroB, Margarete Prendl, Ursula Steingruber
and Regina Brandstetter, and having been
supported by the technical secretariate
with Hubert Maier, who was been backed
up by Horst Wager.
We hope, that the memory of these days
will remain vital, and that it will bring us
together again in the future. We wish all
of you a safe trip back home, a merry
Christmas and a happy, healthy and
successful year 1996.

260
AUTHOR INDEX

AUTHOR INDEX

Babendererde, L.
127 Kriegl, G. 115
Babendererde, S.
127
Beil, A.
215 Leitl, C. 3
Bielecki, R.
99 Liniger, W. 223
Bouygues, O.
139
Buchberger, B.
1 Mansour, M. 27
Moyson, D. 247
Einstein, H. 13
Erten, H. 115 Pelizza, S. 123

Gehring, K. H. 43 Sadgorski, W. 107

Golser, J. 191 Schreyer, J. 99
Grabe, W. 239 Schulter, A. 89
Gunaratnam, D. 147 Stempkowski, R. 69
Sternath, R. 161
Haack, A. 179 Stifter, S. 83
Hanamura, T. 199 Strohhausl, S. 61
Heilegger, R. 215 Swoboda, G . 27
Herrenknecht, M. 55
Herwegh, N. 231 Wagner, H. 7, 257

]anzon, H. A. 153 Zenker, E. 243

]odl, H. G. 69

263