Mastering Risks During Mechanized Excavation In Urban

Centers With Highly Complex Ground Conditions

Dr.-Ing. E.h. Martin Herrenknecht1, K. Bäppler2

1
Herrenknecht AG, Germany

ABSTRACT

For cities, federal states and nations, future readiness is closely linked with the creation of modern
and efficient infrastructure that needs to be put underground more and more often due to the lack of
space. Road, subway, supply and disposal tunnel systems need to be installed underground right
where they are actually required. This involves innovative solutions for tunneling projects with a high
level of difficulty in terms of construction, e.g. the feasibility of large inner-city tunnels in
heterogeneous grounds with high water pressures. Repeatedly mechanized excavation moves into new
dimensions regarding size, length, complexity of the ground conditions and depth of underground
constructions. Here the feasibility of conventional tunneling is limited. How limits can be overcome
with state-of-the-art tunneling technology is clearly illustrated by a large number of international
tunneling projects that have already been completed or that are currently being carried out. The focus
of this presentation is on mastering risks regarding diameter-size records as well as innovative
security and logistics solutions.

1. CHALLENGES FACED WHEN USING A TUNNELLING MACHINE - THE hallandsas

RAILWAY TUNNEL AS AN EXAMPLE

1.1 General information

Over the next few years the extension of the high-speed train route from Göteborg to Malmö will
involve the construction of the Hallandsas rail tunnel. The project covers the planning and
construction of a twin tube tunnel, each with a length of 5.6 km, an inside diameter of 9.04 m and
cross-links between the tunnels every 500 m.
The tunnels will be excavated with a special TBM. This particular case will involve the use of a
dual mode shielded hard rock machine (« 10.53 m), which can be converted to a mix shield with a
liquid-supported tunnel face up to 15 bars in the event of high groundwater inflows and/or face
instabilities .
A gipper type tunneling machine was first used in 1992 for this project for the construction of
two sections, each extending over around 8,600 m. Tunneling was abandoned in May 1995 after
modifications to the machine design failed. In January 1996 Skanska was commissioned with
finishing the tunnel with drill & blast methods. However, advancement of the tunnel was hampered
considerably by the large flows of water. The volume of the flowing water exceeded the maximum
permitted values. Various injection materials and methods were tested in an attempt to minimize the
flow and to seal the tunnel against the water. However, negative environmental impact was detected
and the project was initially shelved. At the time 34 % of the tunnel - 1200 m from the north and 1700
m from the south - as well as around 45 m and 25 m of the access gallery had been completed.
The tunnel is built at a depth of 60 to 155 m, so that water pressure of up to 15 bar must be
expected.

1
 Conventional tunnel construction methods were taken to their feasibility limits during this
project, as the above described difficulties show. Therefore the success of the project depended on the
use of safe tunneling equipment which is suitable for the geologically challenging conditions.

1.2 Geological conditions

The ground along the tunnel route is mainly made up of gneiss, amphibolite and dolerite with a wide
range of different fracture and disturbance zones. The Möllebacke zone is regarded as the most
critical disturbance zone, especially with regard to the expected water flow and the high permeability.
It is therefore stabilized in advance over a length of around 300 meters with freezing techniques.

1.3 Tunneling machine design

A machine design was developed on the basis of the geological forecasts which permits operation of
the machine in both open and closed modes.
A submerged wall and bulkhead as well as a submerged wall gate valve are features of the
excavation chamber of the convertible shield. The submerged wall and bulkhead accommodate all the
equipment required for both modes of operation. The corresponding components are active depending
on the respective tunneling modes. Switching from one operating mode to the other is therefore fast
and reliable.
In open mode the submerged wall gate valve is closed. The tunneling machine is run as a hard
rock machine without supporting pressure; the submerged wall serves as a dust plate.
In open hard rock mode the excavated material is routed through a muck ring directly from the
cutting head center to a conveyor belt and is transported away. The TBM is designed for a maximum
tunneling speed of 80 mm/min.
The shield design also permits operation in closed mode where the TBM is then run as a slurry
mix shield with an operating pressure of up to 13 bar. The excavation chamber is formed by the
submerged wall and bulkhead. The excavated material is drawn off through the conveying pipe after it
has passed through a stone crusher. The transport capacity of the liquid circuit is 1,700 m3/h at a
maximum tunneling speed of 50 mm/min.
The cutting head with mixed tooling (17 inch cutter disks and cutting teeth) is mainly designed
for excavation of compact rock and one direction of rotation. The tools are backloading type. In the
event of exceeding the permissible quantity of groundwater inflow and/ or instabilities of the tunnel
face the TBM will be driven in closed mode.
To this purpose the TBM conveyor and the muck hopper are hydraulically retractable. In closed
mode under high pressure conditions a shuttle above ground which docks with the TBM ensures safe
access for maintenance and repair work under pressure and saturation (saturation diving).

Figure 1. Overground shuttle ensures access for maintenance and repair work under pressure and
saturation (Hallandsas mix shield).

2
 If the water flow volume which can be handled during tunneling operation is exceeded, it is
possible to drill holes in the tunnel face and peripheral areas with fixed drilling equipment and reduce
the flow of water to manageable dimensions with advance injections. These drilling and injection
procedures can be performed in both open mode, i.e., with a non-pressurized excavation chamber, and
also in closed mode, or against the prevailing ground water pressure.
It is characteristic of the machine type used that it can be switched over from hard rock mode to
mix shield mode in the event of ground water pressure. To this purpose the structure and all sealing
systems are designed for a static water pressure of 15 bar.
The single shell, watertight tunnel lining is installed under the protection of the shield skin. It is
designed for a static water pressure of 15 bar.
There are two options for filling the annular gap which occurs between the earth or rock and the
tunnel cavity in open tunneling mode. With option 1 crushed material is filled through openings in the
lining ring into the annular gap. This is performed by a bridge construction of the back-up which is
located behind the drilling equipment. The bottom segment is surrounded by a bed of mortar. Option 2
involves filling of the annular gap with injection pipes in the tailskin. The complete lining ring is then
bedded in mortar.
In closed tunneling mode the annular injection is performed with mortar in accordance with
option 2 in open tunneling mode, and the mortar is injected through injection pipes in the tailskin. The
lining ring is also bedded in mortar in this case.
In addition to integration of the drilling equipment, a decisive main criterion during design of the
tunneling machine with its total length of 220 m was being faced with the necessity of excavating the
tunnel under the influence of large flows of water and high water pressures.

2. CHALLENGES FACED DURING THE USE OF THE LARGEST soft ground tunnel boring
MACHINES IN SPAIN AND china

The current tunnel projects for traffic tunnel construction tend towards larger diameters to permit
selective channeling of high traffic volume, especially in cities and development areas. The
combination of a large tunnel diameter and complexity of the overall project means that mechanized
tunneling methods are definitely the first choice with regard to risk management in urban tunnel
construction and tunneling below rivers at considerable depths.
The two projects "M30 Madrid road tunnel" in Spain and the "Chongming highway tunnel" in China
are the backdrop for the world’s currently largest machines for soft ground tunneling.

2.1 Challenges faced during the design of the world’s largest earth pressure shield for the M30
Madrid road tunnel project.

2.1.1General information

The world’s currently largest earth pressure shield is in use for the construction of a road tunnel in a
densely populated area of Madrid. The tunnel is under construction as part of the M30 project. The
shield runs below three metro lines and railway tracks with minimum space; at the most critical point
the tunnel crown is only 6.5 m from the surface.
Cohesive ground conditions, especially clay and plaster of a stiff to hard consistency, are
characteristic for the geological conditions on the level of the tunnel.
The tunnel has an inside diameter of 13.37 m. A tunnel ring comprises 9+1 reinforced concrete
segments, each with a length of 2 m.

2.1.2 Design of the world’s largest earth pressure shield with «15.2 m

3
A very high cutting wheel torque is required for earth pressure shields with large diameters. For this
reason the M30 cutting wheel of Herrenknecht AG with a tunneling diameter of 15.2 m comprises two
concentrically arranged cutting wheels. The outer cutting wheel is ring-shaped; its inner
circumference is supported by a number of arms on a flange which is connected to the outer drive.
The inner cutting wheel is fitted in the free center of the outer cutting wheel and designed as a
flat disk. It is preferably located on the working level of the outer cutting wheel. In contrast to the
outer cutting wheel it can be moved in a lengthways direction.
The drives of both cutting wheels are completely independent of one another and have different
speeds (outer cutting wheel: 0-1.5 revolutions per minute, inner cutting wheel: 0-3 revolutions per
minute). Both cutting wheels can be turned both clockwise and anti-clockwise and are therefore
equipped with cutting teeth and disks for both directions.

2.1.3 Material transport

The material is removed from the excavation chamber by two conveying screws installed at the base.
The height of the screws is offset to prevent a "slipstream" effect. There is also another discharge
screw located in the lower third of the center area. This serves to relieve the center. The lower main
screws are therefore mainly assigned to the outer cutting wheel, and the center screw to the inner
cutting wheel. The throughput approximately corresponds to the assigned surface area of the inner
and outer cutting wheel.
This arrangement of the respective discharge screws minimizes the necessity for radial flow of
material in the mixing chamber area, i.e. from the area near the center outwards.
Due to kinematic conditions it can be expected that the material in the chamber is moved at
approximately half the cutting wheel speed and is therefore mixed in the process. A radial direction of
movement only occurs due to gravity (with a filled EPB chamber hardly effective ) or also due to a
pressure gradient.
Prevention of high radial flow rates should therefore have a positive effect on the pressure
distribution in the excavation chamber.

Figure 2. M30 Madrid, largest earth pressure shield in the world with a diameter of 15.20 m

2.1.4 Mixing effect

The mixing chamber can be divided into two zones, which can be viewed differently with regard to
material discharge and the kneading or mixing effect.
The inner and outer chambers are directly linked; exchange of material between the areas (radial
material flow) is possible but not necessary.

4
 Due to the individual treatment of the outer and inner mixing chamber areas, it is possible to
achieve a homogeneous consistency of the material in the chamber. The difference in the
circumferential speeds (mixing arms) between the peripheral and center areas can be partially
compensated by different rotation speeds.
The cutting wheel features conditioning holes, also for the injection of foam and polymers. A
foam system installed on the back-up is designed so that 36 % of the total foam volume is injected at
the tunnel face through 8 separate injection nozzles of the center cutting wheel. The remaining 64 %
are injected in the outer cutting wheel area by 14 foam lances which are also independent of one
another.
The currently largest earth pressure shield is started as follows: While the inner cutting wheel
starts to turn, the ground is conditioned at the same time with foam to lower the friction in the inner
area. The foam is supplied through the rotating channel. It is linked with the center cutting wheel and
by the stators in the center area behind the cutting wheel. The displacement cylinders are started
slowly in order to increase the mixing effect in the center area. It can be assumed that the ground is
well conditioned up to a diameter of around 9 m, which would result in a considerable reduction of
the start-up torque of the outer cutting wheel. As soon as the center area is conditioned, the outer
cutting wheel starts to turn. Due to the rotation of the cutting wheel and parallel supply of foam the
entire excavation area is conditioned and tunneling can begin.

2.1.5 System for volume monitoring

The tunneling system for the Madrid M-30 project is equipped with a comprehensive range of
equipment for volume monitoring. To ensure maximum accuracy as well as operational reliability and
safety, two belt scales and a laser scanner are employed.
The principle of operation is based on the comparison of the calculated set bulk flow with the actual
excavated quantity. This set bulk flow is determined with the known excavated volume flow (cross-
sectional area multiplied by the tunneling press stroke) and the in-situ density of the soil.
Programming of a loosening factor is necessary on the laser scanner. This scanner registers the
discharged volume of material transported on the conveying belt.
All collated data are evaluated online and continuously visualized on the steering panel. The shield
operator is provided with all relevant data in real time. Additional warnings can be defined with the
option of entering parameters for the set bulk flow or set volume flow, which alert the operator when
the actual values deviate from the set values. A second programmed value can also automatically stop
tunneling.

2.2 Challenges faced during the design of the two largest mix shields for tunneling below the Yangtze
river near Chongming

2.2.1General information

The Yangtze is China’s largest river. Its annual flow of 951.3 thousand million cubic meters amounts
to around 52 % of the entire water flowing annually through all Chinese rivers.
Implementation of the gigantic "Shanghai Chongming Under River Tunnel" project serves for
further development of the region in and around the Yangtze delta near Shanghai. In the near future
two tunnels, each with a length of around 8,950 m, and a bridge will link the mainland Pudong to the
island of Chongming. With its length of 80 km and width of 20 km, Chongming is the third largest
island in China.
The greatest challenge of the project is linking both river banks (Pudong with the island of
Chongming) with a highway tunnel. The two parallel tunnels will run below the largest river in China
with the currently largest Slurry Shields in the world. Each of the tunnels contain two road levels,
with each level accommodating three lanes.

5
 The planned construction time of the Chongming Yangtze River Crossing Tunnel near Shanghai
is four years. Tunneling work is scheduled to commence at the end of 2006.

Figure 3. Crossing below the Yangtze river with the largest tunneling machines in the world.

2.2.2 Project data

Both tunnel pipes will be excavated in mechanized shield tunneling mode between KM 0+430 and
KM 7+600 with two mix shields with a diameter of 15.44 m. The tunnels with a gradient of – 2.9 %
have a total length of around 7,170 m.

2.2.3 Geological and hydrological conditions

The entire tunnel is routed through very soft clay soils below the ground water level.
Characteristic features of the geology of the area are localized layers of silt and sand and also shell
residues.
Due to overhead ground water of up to 47 meters from the tunnel floor, the machine is designed
for a maximum operating pressure of 6 bar.
The tunnel support is made of prefabricated reinforced concrete rings and has an inner diameter
of 13.7 m. A lining ring with a length of 2 m is made up of 9+1 segments.

2.2.4 Machine data of the mix shield

The mix shields have a diameter of 15.44 m. They are designed to suit the local conditions, i.e. the
clay formations and the very high ground water pressures.
The characteristic features of the cutting wheel design are six main segments which are sealed
against the water pressure. To prevent adhesion on the cutting wheel the center area is equipped with
a separate slurry circuit. Large openings in the cutting wheel optimize the material flow and reduce
possible accumulation of material in the center.
In order to obtain reliable information on the condition of the cutting teeth and buckets,
especially in the outer area of the cutting wheel which is subjected to the highest load, some
excavation tools are equipped with a wear detection system. This prevents seizure of the machine or
subsequent damage to the steel construction of the cutting wheel.
The condition of the excavation tools can be checked under atmospheric conditions. This
information was previously only obtainable by sending personnel into the excavation chamber. The
wear detection system is an electronic system for tool monitoring which supplies online data on the
condition of the cutting teeth and the buckets, and signals warnings in the event of on excessive tool
stress. For the "Shanghai Chongming Under River Tunnel" project a total of 10 tools (two buckets and
eight cutting teeth) will be equipped with such a system. The system works as follows: The tool
holder is equipped with an integrated transmitter electronic system. It has permanent inductive
connection with the chisel and "feels" in the installed sensor whether the wear limit has been reached.
The transmitter is electrically connected to a DC voltage source. If the sensor is intact a certain
current constantly flows. If the sensor is damaged by the wear on the tool, this is detected by the
transmitter which has inductive connection to the receiver and the tool sensor through a narrow air

6
gap. A considerably higher fault current then flows. The machine operator is informed of the wear by
an LED indicator. This automated analysis procedure for chisel breakage prevents unnecessary
servicing procedures.
Innovative SAFETY AND LOGISTICS SOLUTIONS - THE Socatop ROAD TUNNEL NEAR
Paris (FRANCE)
In order to cope with the high traffic volume in the French capital of Paris, a two-tier automobile
tunnel is currently under construction as part of the completion of the circular highway A86 around
Paris. On both levels of the "Socatop" tunnel two lanes are routed without oncoming traffic. This
ensures safe traffic control.
The automobile tunnel with a total length of 10.5 km is excavated with a convertible mix shield
(«11.56 m) through heterogeneous soil formations, most of which are below the ground water level.
With the selected machine type it is possible to change the shield within a very short time in the
tunnel from open or closed earth pressure shield mode to slurry mode with a liquid-supported face. As
a result a high machine availability is achieved in extremely heterogeneous soil, which is also due to
the clear interface definition between the logistics of the tunneling system and the logistics of material
transport.
The tunneling machine started in December 2000 in open mode on the first section of the tunnel,
which extends over 4.5 km, and was converted twice over this route due to the varying soil conditions.
Conversion from open mode without compressed air support to closed earth pressure mode and finally
to operation with liquid supported face did not pose a problem in the tunnel. In the autumn of 2003
the mix shield safely reached its destination.
Tunneling work for the Tunnel Est of the A86 (Rueil-Malmaison and Vélizy) was, however,
shadowed by an event on the 5 March 2002, when a fire broke out in the front engine of the tunnel
supply train during tunneling work. The fire spread to the mobile wooden casing close behind the
TBM back-up, the conveyor belt and the duct (ventilation) and engulfed the entire tunnel pipes and
the tunneling machine in smoke.
Considerable damage resulted near the fire in the form of soot deposits on all surfaces and
concrete edge fractures on the lining rings, and around the crown with some exposed steel
reinforcement.
A positive aspect of this occurrence was the safety solution suggested by the machine
manufacturer in the form of a water curtain between back-ups 8 and 9 of the tunneling machine. It is
an element of the fire protection equipment on the TBM and on 5 March 2002 prevented spreading of
the soot deposits towards the front system section. Therefore the 19 workers on the tunnel shift were
able to escape onto the TBM. They found safety in the personnel locks which are equipped with
oxygen supplies (cylinders) and compressed air for working on the tunnel face. The locks served as
"escape containers" for the workers and therefore prevented life-threatening injury.

Figure 4. Safety solution for fires - water curtain installed between back-up 8 and 9 of the tunneling
machine (Soctop, Paris).

The entire fire safety installations for the convertible mix shield for the Socatop project complied
with the regulations of the APSAD („Association Plénière des Sociétés d’Assurance Dommage", the
association of French fire insurers).
The mobile tunnel factory weighing 2000 tones with a length of 190 m will soon start work on
the remaining 5.5 km of tunnel for highway A86 (section VL2) from the south between the junction of
Pont Colbert and the A13.

7
3. CONCLUSION

During the major projects for road tunnels today the large-scale machines employed must meet high
demands with regard to the conformity of risky geological formations and hydrological and peripheral
conditions, and also minimal overhead depths and high mountain pressure conditions.
The use of high-tech machinery for tunnel construction now permits greater scope for projects
which would have reached their limits of feasibility with conventional methods in the past.
An important requirement for the tremendous technological developments in the tunnel
construction field is the continuous and pioneering drive to find solutions to the problems and
challenges faced. The human factor should also not be ignored in this respect, meaning the specialists
and experts who make and operate the tunneling systems. They are a decisive element in successful
realization of ambitious tunnel construction projects with high geotechnical difficulties, ensuring safe,
efficient and ecological solutions. Tunnel construction is one of the most innovative specialized areas
in the international construction sector.
The described projects were chosen to underline the scope of technical development in
mechanized tunnel construction, such as the increasing diameter of road tunnels, the depth and length
of the tunnels and the safety concept in the event of fire, all of which demand absolutely reliable and
tested technical concepts.