CHAPTER 10

ADVANCES IN THE STEERING OF TUNNEL BORING MACHINES

Abstract
Mechanized tunneling is increasingly becoming a knowledge-driven industry
based on highly advanced IT and automation techniques. Compared to the
situation at the end of the last century, present-day tunnel boring machines
(TBMs) are more like computers connected to sensor-networks and
embedded into a larger on-site communication infrastructure. Hence, the
available data had reached a level of quality that makes it feasible for
automatic computerized processing. Against the background of an
increasing demand for the reduction of ground-related risks, problems and
costs. The use of an automated steering assistance system is absolute
essential.
This contribution introduces a software system which is intended to aid the
crew of a shield machine in operating their machine with respect to the
minimization of surface deformations. At this, the system uses data from
various sources connected to the machine in interaction with design
parameters to calculate the optimal control parameter setting in real time
Hera to system in an expert system that uses fuzzy logic algorithms to
detect derivations from predefined target parameters. Thereby, the
particular focus is set on the allowable tread on settlement development. In
a future stage, this rool will enable autonomous steering of the settlementrelevant control parameters of a shield machine, which in its envision
development step could be described as an anti-settlement-autopilar

10.1 INTRODUCTION:
The increase in traffic and growth of major conurbations in the future will
promote the use on underground space for infrastructure projects when
thinking about urban development.
over the last three decades tunnel boring machines (TBM) have been
established as the leading technology for building tunnels especially in
urban environments and in particular in soft ground condition. The operation
of such a shield machine in the underground of urban areas is a very
complex process and the ground is the most inhomogeneous of all
construction materials, mostly just fragmentarily explored. hence when
planning subterranean infrastructure an important argument that has to be
considered is the effects on the surface caused by tunneling works - in
particular subsidence - with negative consequences for building
development and existing underground infrastructure.

10.1.1 MOTIVATION:

Especially clients and insurers strongly demand a reduction of groundrelated risks, problems and costs. One of the guiding principles hereby is the
minimization of subsidence and settlements. especially in urban
environments, to avoid costly additional measures for stabilizing existing
urban environments, to avoid costly additional measures for stabilizing
existing urban infrastructure which may be located within the theoretical
settlement trough of a tunnel. For the general public, subsidence-related
risks belong to the most discussed issues ever since the early days of
tunneling. Recent occurrence and related negative news coverage put this
topic in the spotlight.

10.1.2 SOLUTION CONCEPT:

In order to take these reservations into account the subsidence-which also in
future will not be fully unavoidable-will have to be kept to a minimum. To
this purpose new steering software was developed which monitors tunnel
driving with respect to subsidence in real time and reacts to any deviations.
Different data from design, machine control and surface monitoring are
coupled and evaluated in real time on basis of a fuzzy logic expert system.
Thus the steering system generates TBM control parameters which can be
used by the TBM operator to adapt the machine optimally on the prevailing
boundary conditions. In case any regularly occurs, an incident management
system included in the steering software will support TBM operator by the
diagnostics of any unforeseen event during operation of TBM and will
provide guideline for appropriate reaction of the irregularity occurred.

10.2 ANALYSIS OF RELEVANT STEERING PARAMETERS:

The operation of a shield machine in the underground of urban areas is a
sophisticated and complex process which has to fulfill the prerequisite of
minimal settlements. A multitude of parameters has to be controlled by the
tunneling crew. Characteristic parameters are support and grouting-

pressures along with support medium rheology and guidance parameters.

The parameters are mostly interdependent in a complex manner and each
parameters may be relevant for the development of the settlement trough.
Against this background, the first step in the development of an advanced
steering system must be the deep analysis of all relevant parameters
affecting the TBM driving process. The understanding of the complex
interactions among all involved controlling quantities is basic requirement
for the development of a real-time steering control system.

10.2.1 TBM CONTROL AND MONITORING SYSTEMS STATE OF

THE ART
Modern tunnel boring machines are equipped with a number of sensor and
data loggers the capture information about the TBM position, the installed
system and the boring process itself (i.e. jack forces, excavation speed, face
support pressure and many others). In addition, data base systems are
installed on morden job-sites to record the surface settlements and ground
movement monitoring data.
Even though computers and network technology are available and used on a
modern job-site, the installed monitoring system are in most cases
independent of one another. Due to the large amount of data and the fact
the some measured values have to be entered by band (e.g. survey data), a
data evaluation in real-time is not possible or reasonable. Evaluation of the
measured data with regard to correlations between subsidence and machine
data usually takes place after a delay of hours up to days. Therefore, the
existing data is generally used for post-analysis of what has happened. The
results of these analysis also depend on the individual expert and his or her
experience (Jonker, Maidl, and Hintz 2003).
Before going into details of the analysis on the relevant steering
parameters, the next subchapter gives a short introduction into the
monitoring systems installed on a modern tunnel boring machine.

Figure 10.2 Control room of a modern tunnel boring machine. Here, all
information related to the operationof the machine and the excavation

process is concentrated and displayed to the shield driver. His decisions

base upon the information provided by the system.

10.2.1.1 SYSTEMS FOR SUBSIDENCE MONITORING

In order to determine subsidence a geodetic survey of the surface of the
land is generally carried out in the area of the tunnel route. Individual
survey data are taken by the measurement device, e.g. a water balance or
laser theodolite, and stored on site by means of a surveying computer.
Determination of the actual surface movements (subsidence or rising) is
carried out by using evaluation software in the surveying office. Here, the
difference between the current gauged height value and the value at the
time of the reference measurement is calculated and compared against the
forecast subsidence for the current status of the advance working.
Recording of the survey data and their evaluation can be automated in line
with latest technology (e.g. Amsterdam Noord -Zuid, Nort-Sud Stadtbahn
Cologne, and Citytunnel Leipzing). Depending on the requirements of the
employer and the accessibility of the ground surface, the subsidence or the
rising in the surface. Ascertained by the monitoring system, may lie within
only a very rough measurement point grid (e.g. every 100 m in a
longitudinal direction and very 10 m in a lateral direction). Furthermore, the
density of the data depends on the reading (e.g. every 10 m of advance
working or twice a day).

10.2.1.2 MONITORING SYSTEMS FOR GEODETIC SURVEY OF

THE MACHINE POSITION AND ORIENTATION.
The operator of a tunnelling machine (shield driver) requires information
about the current position and orientation of the tunnelling machine at all
time. For the automated determination of the position of the machine,
special software is used.
In order to determine the position, a laser theodolite is permanently
attached to the lining of the tunnel and an active target chart with
inclinometer to the shield (Maidl, Herrenknecht, and Anheuser 1996). A TBM
coordinate system is created at the factory of the machine manufacturer. All
reference points in the shield and the active target chart refer to this
coordinate system.
The software for determining the machine position evaluates the measured
data of the laser theodolite and, at the same time, determines the absolute
position and direction of the tunnelling machine. All data taken over by the
steering section can also be transferred by means of an integrated modem
or a LAN (Local Area Network) connection to the construction site network.
However, apart from the thrust cylinder stroke, the software for determining
the machine position does not provide any further information for steering

machine parameters. Just as well, it does not take into account the results of
the software for subsidence determination.

10.2.1.3 STEERING SYSTEM FOR THE CONTROL PARAMETERS

OF THE TUNNELLING MACHINE.
The majority of the machine parameters are recorded and monitored by the
operating data recording system of the machine manufacturer. Depending
on the type and size of the machine, up to 400 items of process data. such
as pressures and displacements of the thrust
cylinders, supporting
pressures, grouting pressures and torque of the cutting wheel are generally
measured or calculated and stored, up to once a second.
Subsequently, mean values of these data are calculated, e.g. according to
the ring, and stored as well. Through the evaluation of the actual machine
parameters. In comparison to the originally forecast parameters for the
headway already covered, the shield machine driver is provided with
assistance for the manual setting of the machine parameters regarding the
subsequent headway.
As the individual software systems are not currently interconnected, the
software used for steering the machine does not yet take into account the
results of subsidence determination or ascertainment of the machine
position.

10.2.2 SHIELD DRIVE INDUCE SURFACE DEFORMATIONS AND

CONTROL PARAMETERS.
To define the requirements placed on modern control software, in the first
instance, the important control parameters had to be figured out. On the
one hand these parameters must make a contribution to the surface
deformations, and on the other hand be actively influenced with respect to
process control.
In the case of machine tunnelling in loose rocks, experience has shown that
subsidence can essentially occur in the following areas ((Nellessen 2005),
(Maidl and Nellessen 2003)): in front of the cutter head (1), in the area of
the shield (2), in the area of the annular gap grouting (3) and subsequent to
the hardening of the annular gap mortar (4).
The behavior of shield driver may have an effect on the advanced
subsidence on the shield itself the area of the annular gap grouting. By
contrast, active influence of the subsequent through the shield driver, i.e.
after hardening of the annular gap grouting mortar, is no longer possible.
For the control software, important parameters are those which are directly
influence able by the shield driver (Thewes and Pfeiffer 2007).
Consequently, the only appropriate subsidence-reducing measures are those
which can be carried out in advance to the hardening of the annular gap
grouting mortar. Subsidence components which are depending on TBM
characteristics such as cutter head design, plate-thickness of shield skin, tail

skin air gap etc. have to be taken into consideration during the design phase
of each project.
the machine parameters of a fluid-supported shield that are essential in low
subsidence tunnelling are supporting pressure, bentonite level in the
working chamber, flow rate of the feed pipe, flow rate of the slurry pipe,
pressure of the annular gap grouting and, finally, volume of the annular gap
grouting.

10.2.2.1 SUBSIDENCE IN
(ADVANCED SUBSIDENCE)

FRONT

OF

THE

CUTTER

HEAD

The reasons for the advanced subsidence are primarily changes to the
primary stress state of the soil in the longitudinal direction. These changes
are caused by the excavation of soil and the additional removal of ground
material induces by the relaxation of the soil into the excavation chamber.
Subsidence in front of the cutter head can be actively influenced by the
shield machine driver through adjustment of the supporting pressure. In the
event of infeasible subsidence, increasing the supporting pressure triggers a
reduction of subsidence. However, the maximum permitted supporting
pressure should be observer in order to avoid a break-up of the tunnel face
and the overburden under the pressure of the fluid.

10.2.2.2. SUBSIDENCE IN THE AREA OF THE SHIELD.

During the shield pass, there may be additional subsidence in the area of
the shield due shear stresses along the shield skin. Due to vibration during
tunnel driving, overcut of the cutter head. Soil displacement and
compression through curved heading as well as conicity or deformation of
the shield skim. These phenomena result in loosening of the surrounding soil
and, therefore, in subsidence. the corresponding amount of surface

deformation can be influenced by the shield machine driver through a

change of the supporting and grouting pressure as well as, indirectly,
through the speed of the advance working and by using very small steering
movements for course correction.

10.2.2.3 SUBSIDENCE
GROUTING.

ASSOCIATED

WITH

ANNULAR

GAP

Moreover, subsidence may also occur in the area of the annular gap
grouting. The reasons for this are tail gap and low plate-thickness of the
shield skin, inadequate annular gap grouting pressure and/or deformation of
the tunnel lining (e.g. vocalization).
In turn, subsidence associated with annular gap grouting can be directly
influenced by the shield machine driver. During advance working, the shield
machine driver has the option to influence subsidence through the value of
the grouting pressure and through the volume and the hardening time of the
incorporated annular gap grouting mortar. The maximum grouting pressure
should be taken such that the grouting mortar does not pass along the
shield skin into the excavation chamber, and that the finished tunnel tube and possibly also the shield tail - are not overloaded.

I 0.2.2.4 SUBSIDENCE AFTER HARDENING OF THE ANNULAR

GAP MORTAR (SUBSEQUENT SUBSIDENCE).
The reasons for subsequent subsidence are delayed subsidence as a result
of the shifting of stresses and loosening in the subsoil and deformation of
the tunnel lining because of long-term influences. In the longitudinal
direction of the tunnel the sphere of influence of the subsequent subsidence
can be up to 100 m (Maidl and Nellessen 2003). Across the longitudinal axis
of the tunnel, the sphere of influence of the subsidence depends on the
shield diameter, the overburden and the angle of the sliding surface
(Nellessen 2005).

10.2.3 EXPERT RULES FOR SUBSIDENCE CONTROL.

Based on the analysis of the relevant control parameters, various rules have
been formulated by tunnelling experts. These rules represent changes and
modifications that have to be applied to the related control parameters in
order or optimize the shield drive and, by that, to achieve a minimization of
the surface deformations. In total, more than 35 rules have been
implemented into the system so far. These rules cover the most essential
aspects of the TBM steering and use different input parameters, such as the
pressure in the excavation chamber, the pressure of the annual gap grouting
as well as the deformation values of the surface monitoring. Outputs of the
rules are instructions in terms of parameter changes of the actuating
variables support- pressure, grouting-pressure and grouting volume.
In the frame of this contribution, only an extract of the whole rule base is to
be outlined. The example considered here depicts only the set of rules that
make use of the surface monitoring incarnation to generate control advice
results.

Each rule compares the actual values that are available with the respective
target specifications. Figure 10.4 shows the target specification of the rules
that handle subsidence progression. The subsidence line is described by five
sampling points (kt to k.) while the progression of the curve must be
calibrated during operations. The permitted progression of the subsidence at
the points k (to k^ is defined on basis of experience or, where appropriate,
on sophisticated geotechnical calculations. The actual subsidence is gauged
at the subsidence measurement point of the surface monitoring system.
For each measurement point located within the sphere of influence of the
subsidence a permitted level of subsidence and a permitted increase in
subsidence (i.e. the gradient of actual subsidence development in relation to
the TBM advance) must not be exceeded.
Figure 10.5 shows the rules identified for the subsidence progression. The
value of the measured settlement at each point is subdivided into sections
that range from Acceptable to Dangerously High. For each section, rules
have been formulated that express the actions and measures required in
order to reduce the subsidence at

The related measurement point. These rules, formulated in common

language, have been transformed into a machine-readable form and have
been implemented into the expert evaluation component of the Steering
Software System. The approach identification-formulation-transformation
outlined in this example has been used for all relevant relations that have
been identified in advance before the software development process.

10.3. STEERING SYSTEM.

Obviously, the prime aim of the steering software system is the permanent
monitoring of real-time shield data and settlement surveying data against
relevant target parameters from design calculations. To this end, the heart
of the tool is built of a fuzzy logic based algorithms which, in real-time,
detects any deviations from the target parameters. With a particular focus
on the allowable trend of settlement development.

10.3.1. REQUIREMENTS.
Besides the non-technical requirements formulated in the preceding
subchapter, a real time software system used in a real-world scenario has to
meet further technical requirements: It must be a save, reliable and robust.
Due to the large number of different sensor systems installed on a TBM and
the wide variety of data formats and sources (Table 10.1), the aspect of
flexibility plays a major role in the conceptual planning of the steering
software. Hence, such a software system must be capable of acquiring data
from different data sources and different data formats.
During the planning and development phase of the Basic Steering Software,
the data formats where mainly unknown or not exactly specified. By
contrast, the requirement of flexibility includes the necessity of easy
adaptation to different formats during the installation of the software. Due
to the fact that the formats are widely unknown, an on-site adaptation has
to be conducted before the main software installation.
Furthermore, the system must be able to incorporate new emerging data
sources and use the provided data within the data evaluation. This demand
requires two technical steps: First, the system must be flexible enough to
integrate new data-sources in the existing system, collect the data and
make it accessible to other components of the system. Second, the layout of
the expert system must be designed in such a way that changes and
modifications are possible and new datatypes can be included in the data
evaluation. The requirement for extensibility indirectly leads to the need for
a loosely coupled system where individual components act and behave
independently; one Component has no information about other components
or its individual role within the whole system.
Solution concept and system architecture.
The solution concept used for the implementation of the basic steering
software meets the afore mentioned requirements. Also, all the associated
requirements for data consistency, safety, usability and portability are
fulfilled. Based upon the principles of Component Based Software

Engineering (CBSE) and Service-oriented architectures (SO A), the entire

components of the software system have as little overlapping functionalities

As possible. Each component (e.g. TBM data acquisition, logging,

visualization etc.) has its own main functional focus and the communication
with other components of the system applies defined interfaces. All
components are embedded in a higher level simulation framework that
supervises the execution and controls the time management as well as data
consistency. The data exchange between the registered components of the
framework is based on a common object model. Then, the execution of the
framework is carried out in terms of an event driven simulation; for each
incoming set of data, the process (Fig. 10.6) of collecting, evaluation, storing
and visualization of data and results is repeated.
As a consequence, each component, including the client application, can be
installed on a separate computer system. The approach taken makes the
system highly flexible and scalable. In particular, the computational

capabilities of the software system can distributed to different computers in

a network.
Key component of the steering software system is the expert system for
data evaluation. This component is based on a fuzzy logic backward
chaining rule engine (Jess 2008) that performs the core data evaluation and
generates the main output of the system. The expert system concatenates
various data sources and control parameters to create the final steering
advice for each incoming set of input parameters. Among other things, the
main advantage of the expert system implemented is its ability to perform
reasoning under uncertainty. This is possible because of the linkage of a rule
engine and a fuzzy logic engine.

10.3.3. FUZZY LOGIC EXPERT SYSTEM AND REASONING.

The expert system performs the evaluation of all incoming data streams for
a given time-step. Hereby, the underlying knowledge base of the expert
system applies different rules for all aspects relevant to TBM control. As
mentioned previously, the expert system has two components that are
responsible for the data evaluation: The expert rules and the fuzzy logic
engine.

10.3.3.1. RULES.
As described in section 10.2.3, the rules formulated by tunnelling experts
have to be translated into a machine readable form. This step relates more
to the task of choosing an adequate rule-inference engine than to map the
rules in a programming language.
Modern rule based systems like the one used for the Steering Software (jess
2008) understand rules which are already formulated in a subject-specific
language. This fact is a big advantage in the developing of engineering
applications. The transition of information from the engineer ro the software
developer is simplified and less error prone.
For example, the rule IF support pressure is high THEN reduce support
pressure quick would be expressed in jess as:
Example of a rule implemented in the jess Rule Engine. If the right
part of the rule is satisfied {support pressure is HIGH), the rule fires
(executes the left part). Here, a new advice is generated and put into
working memory.
Listing 10.1

To avoid errors and invalid results, in addition several rules for error
handling, data validation and consistency testing have been established. For
each incoming data-set, the expert system evaluates all rules and
incorporates the individual result of each rule into one single result set.

10.3.3.2. FUZZY LOGIC DATA EVALUATION.

All measured data exhibit a certain amount of uncertainty. This is due to
inaccurate working sensors used for data monitoring or, in case of design
data calculated in the forefront of the construction, due to differences
between the expected values and the measured in-situ parameters. To
handle such uncertainties, the corresponding rules and the values have
been formulated by using fuzzy logic. For each variable (e.g. support
pressure, pressure change, etc.), the possible range of values has been
expressed in terms of fuzzy sets. The range has been split into different
categories like low, medium or high (linguistic expressions), whereas a
mathematical function (membership function) defines each input value as a
degree of membership to one (or more) of the defined categories. Applying
such linguistic expressions the formulation of rules can be accomplished via
a common language, rather than using complex mathematical or
programming functions. This helps the tunnelling experts involved to
express their knowledge in a natural fashion.
For the evaluation of incoming data and fuzzy reasoning, the respective
input values (crisp-values) have to be fuzzy-fied. This fuzzyfication
transforms the measured sharp input values into fuzzy values by using the
defined fuzzy sets. This is accomplished for all variables occurring on the left
side (if-part) of each rule. Subsequently, the rule gets evaluated and the
right side of each rule (then-part) is executed (fired).
To illustrate the process of fuzzyfication, knowledge representation and
expert system reasoning, the implementation of support pressure evaluation
is exemplified (see Fig. 10.7). For fuzzyfication, the value range of the
support pressure has been divided into five sections ranging from VERY
LOW to VERY HIGH. Also, the support pressure change has been divided
into parts, now ranging from SLOW to QUICK. The bounds of each sector
represent critical values determined online during the evaluation.
Accordingly, the expert system, in particular the Fuzzy-Jess engine,
evaluates the rules implemented. If a rule fires, that means that the
premises or antecedent part of the rule (if-part) matches a given condition,
the right hand side assigns the correspondent support pressure change.
Then, the conclusion part of the rule results in a new fuzzy value used as
input for a subsequent defuzzyfication process.
In the example above, the input value for the support pressure belongs for
20% to the linguistic value MEDIUM, and for 80% to the linguistic value
HIGH. Using the embedded, the expert system fuzzy evaluation leads to a
reduction of the support pressure of QUICK (80%) and NORMAL (20%).
By that, the absolute amount of the reduction is determined by the
membership of the input values. The total amount of the support pressure
change is determined by means of the defuzzyfication process.

For defuzzyfication of the result fuzzy set, different mathematical methods

exist. One possible solution is to calculate the center of gravity from the
resulting areas of the support pressure change and to take the
corresponding x-value as the final amount of support pressure change. The
resulting value is gained through the superposition of the different linguistic
values with regard to the individual

Value of membership. This process is carried out for all rules in the expert
system automatically navigated by the rule-engine.
Following the data evaluation, the final results are sent to the GUiapplication and shown to the supervising engineer. Then, it up to the
engineer to follow the advice of the expert system and to adapt the machine
control parameters.

I 0.3.4 SOFTWARE SYSTEM DEVELOPED.

From the users point of view, the client application is the interface to the
basic steering software developed. The client application has been
established with respect to the needs of the TBM engineer in charge as well
as the design engineer in the office. Numerous perspectives have been
implemented that give a practitioner separate views on the data measured
and the system state in general.

From a technical point of view, the client application has been developed as
a rich-client application based on the eclipse-rcp-framework (Eclipse 2009).
The Eclipse Rich-Client-Platform (eclipse-rcp) is a framework for building
desktop applications for various operating systems. The rcp-framework
offers functions and classes to enhance the development of rich client
desktop applications. Background of the framework builds an
implementation of the OSGi Alliance Specification (OSGi Alliance 2009).
By way of example, two perspectives have been implemented to visualize
the data evaluated: An extended visualization perspective and a basic
perspective.
Both perspectives contain gauges to visualize the machine data and to
indicate the results of the expert system in terms of changes of the machine
control parameters. All visualized information is updated in real-time as the
machine advances.

The extended visualization perspective contains a 3D-interactive model of

the environment and the settlement pit. Besides the visualization of the
model elements, i.e. the monitoring fields and the alignment, the 3D view
displays all parameter values related to the excavation progress and the
surface deformation. An important part of this perspective is the

visualization of the settlement profile. The perspective contains a view that

shows the longitudinal section at the current machine position.
The main purpose of the basic visualization perspective is to assist the
responsible shield driver. Therefore, the corresponding perspective contains
only a condensed part of the data. Also, the visualization capabilities are
reduced to what is absolutely necessary. In particular, the perspective
supports a fast identification of the current machine state and necessary
control parameter changes. This is achieved by using a semi-static view
representing the machine-ground situation.

10.3.5. VERIFICATION AND VALIDATION

Aspects of verification and validation play a dominant role during the entire
development process. To validate the implemented expert system and, in
particular, the rule base, a separate test application has been developed at
an early stage of development (Fig. 10.11). The test application enables the
tunnelling experts to validate the results of the expert system in a wellposed test environment. The application distinguishes the expert
functionalities from the system. Also, it offers functions for the manipulation
of the input variables and provides a detailed look on the results and the
output of the underlying expert system.

Figure 10.11 shows the main screen of the test application for an opened
test case. A test case is a single object of execution that defines input
parameters and internal variables describing the test case. For re-use and
the reproduction of tests, the test case can be stored and loaded at a later
point in time. Validation is performed by the tunnelling expert who uses the
test application. The expert defines test cases with parameter settings that
cover all possible states or the machine and its related systems. After the
test execution, the expert has to evaluate the results with respect to his
knowledge and experience.
The final evaluation is to be conducted at a real world construction site. To
this end, it is scheduled to install the basic steering software on a specific
TBM and to conduct a final validation while the system operates on real-life
data generated by the machine.

10.4. INCIDENT MANAGEMENT SYSTEM.

A further component, an incident management system is incorporated in the
steering software as well. This incident management system supports the
personnel in charge by the diagnostics of unforeseen events happening
potentially during the operation of the TBM. A checklist will provide
guidelines for appropriate reaction to possible irregularities.

10.4.1. GENERAL.
Disruptions to machine tunnel boring and their troubleshooting generally
result in an interruption of the construction process. These interference are
associated with high

Two examples of possible incidents that can occur during

operation of the TBM. Left: wear of a cutting disc. Right: water inflow into
the tunnel. At this, the left picture is an example for a planed interruption of
the excavation process (more precisely: the change of the tools as a
consequence of wear) whereas the right picture represents an unforseen
event.
Figure 10.12

Images:

Hochtief Construction AG.

Costs and prolongation of the construction time. The possible causes of

disruptions to shield tunnelling are varied, particularly due to the fact that
knowledge of the underground is only based on random samples and the
machine technology is extremely complex. When an incident occurs it is
extremely important to take the correct decision quickly in order to avoid or
minimize the extent of the damage. Nowadays, an incident management
system exists only in the experience of the TBM driver or in quality
assurance manuals which are stored in the office.
The result of the decision taken often depends on the experience of the
shield driver involved and the specific working instructions. The time
required to solve the problem, therefore, can also vary to a large extent. In
order to be able to take the correct decision in the future quicker and more
independently of the shield drivers experience - and thereby to minimize
the downtime and costs - support should be given to the shield driver in the
case of an incident in terms of a software system.
Therefore in the first step, the incidents concerning TBM-operation have
been analyzed and the causes for these incidents have been defined. Based
on these analyses the relevant TBM operation parameters to reduce the
extent of damage have been identified and the specifications of the incident
management system have been established (STUVA e.V. 2008).

I 0.4.2 CAUSES FOR INCIDENTS.

In general, incidents during TBM-operation are defined as interruptions of
the excavation process. These interruptions can be divided into planned and
into unforeseen ones. For example, interruptions for maintenance, cleaning
or repair due to wear are planed and their management is usually well

organized. The unforeseen ones can be subdivided into those which can be
influenced by the shield driver and those which can not. For the
development of the incident management system only the unforeseen
incidents are considered which can be influenced by the shield-driver. This
chapter gives a brief overview over the typical origins of incidents.

I 0.4.2.1 GEOLOGY AND HYDROLOGY.

The geology and hydrology in the area of a construction site of a Tunnel is
more or less unknown. Hence, the degree of the inaccuracy depends on the
distance of the exploration drills. Especially in inner-city tunnel projects the
accessibility to these drillings can be restricted. Nevertheless, an
uncontrolled subsidence and damages of buildings must be avoided. Main
cause of incidents during TBM operation with respect to geology and
hydrology are higher ground water level than expected, cavities and coarse
gravel layer as well as obstacles like erratic blocks.

10.4.2.2. SHIELD MACHINE.

The TBM itself also can cause incidents. One possible incident is a
breakdown of the main bearing of the cutting wheel. Sometimes, the change
of the main bearing is only possible by help of a special recovery shaft from
the surface. The construction of such a shaft is exceptionally time lasting
and very expensive, not only because of the construction costs but also of
the long heading interruption period. An unforeseen wear of the cutting
tools also causes heading interruptions because of their change. In most
cases it is necessary to enter the excavation chamber under air pressure to
change the cutting tools.

10.4.2.3. OPERATION ERRORS.

Operation errors of the shield-driver are also a possible reason for incidents
during tunnelling. The shield-driver has to control and regulate many
operational parameters. The most important ones are supporting pressure,
grouting pressure and volume and parameters related to the steering
process itself.
If the supporting pressure, adjusted by the shield-driver, is too small, the
heading face can become instable. This can cause a larger subsidence or a
cave to the surface. A larger supporting pressure than necessary can cause
a dangerous suspension blowout to the surface. If the grouting pressure and
the grouting volume are too large, then a heave of the ground surface may
occur. Furthermore, it is possible in this case that the grouting mortar flows
forward through the annular gap into the working chamber. Too small
grouting pressure and volume can be even more dangerous, because this
can lead to subsidence on the surface. In order to reduce subsidence, overcutting should be as small as possible.

10.4.4. DEVELOPMENT OF THE INCIDENT CATALOGUE.

For the development of a software-supported incident management system,

the existing working and behavioral instructions in the case of disruptions to
machine tunneling have been initially analyzed (Hochtief Construction AG
20(b)(ST{JVA e.V. 2008)(STUVA e.V. and IMM 2001). From this, a total of 18
significant incidents have been selected which occur more frequently in
practice. Further types of incident, e.g. those specifically associated with the
tunnel boring machine applied and the type of shield selected have initially
been ignored (Lehmann and Bappler 2003)(Schweizerischer Ingenieur- und
Architelaenverein 2000), although they can be added depending on the
tunnel construction project by adapting the software to the specific project.
For the identified types of incidents the associated causes which can lead to
their occurrence have been collated.
The frequencies of the causes have been derived on the basis of experience
from previous tunneling projects. The querying of possible causes of an
incident is performed in accordance with the respective probability of its
occurrence, so that the most frequent causes are stated first and less
common causes only later. This makes it possible to troubleshoot the
problem more quickly in the case of an incident, resulting in reduced
immobilization times for the TBM.
For the use on a construction site, the incident catalogue (extract in Table
10.2) has to be adapted to the respective tunneling process. The tunneling
machine in use and the composition of the ground (e.g. hard rock TBM,
shield tunneling machine with liquid-supported working face, earth pressure
shield).
The incident catalogue is not a fixed and static structure: it is expandable.
During ongoing projects, the catalogue can be continuously modified with
information about incidents and their causes, warning messages as well as
measured values and expert

Considerations. Hence, an adapted incident catalogue is available for the

remaining construction period or for subsequent projects.

10.4.4. DESCRIPTION
SYSTEM.

OF

THE

INCIDENT

MANAGEMENT

Upon the occurrence of an incident, the shield driver is to be supported by

the incident management system in his decision for solving an incident in a
fashion that is as independent as possible of his specific training and
experience, as well as his performance on the day in question. To this
purpose, the diagnosis of the respective incident is systematized. For each
type of incident, a lookup table has been implemented in the software
system that contains possible causes for the particular incident arranged
according to the frequency of their occurrence.
Moreover, the diagnostic software also provides important indications on
how to rectify each incident. The proposed measures are displayed to the
machine operator in parallel to the disruption to support him in his efforts in
troubleshooting the problem.

In the case of an incident, the incident management gives the following

support to the shield-driver:
1. Selection of incidents by the shield driver from a project-specific
catalogue of incidents.
2. Statement of possible causes of the occurred incident.
3. Determination of the cause of the problem by the incident
management system in terms of targeted queries similar to a
checklist.
4. Suggestion for rectifying the problem.
The incident catalogue and the checklists for determining their cause form
the basis of the incident management system.

10.4.5 SHOWCASE EXAMPLE IN DETAIL.

By means of a detail-example, the principle of the incident management
system which supports the personnel in charge by the diagnostics of any
unforeseen event during TBM operation is described in the following.
Exemplary the case loss of support fluid is shown.
A loss of support fluid is detected by falling of the bentonite level in the
working chamber during ring the erection or in the bentonite reservoir
during boring cycle, respectively. Several causes can be responsible for
suspension loss. To find out the right reason and to take proper corrective
actions, in a first step, the loss ratio must be detected. A moderate ratio
indicates some irregularities either with the suspension properties or with
the permeability of the surrounding soil. However, a high loss ratio indicates
that a cavity, e.g. an old borehole or something similar, has been
encountered or that, due to high support pressure, a fracturing of the face
has occurred, in case the supporting pressure is correct appearance of
uncommon sound in the return line or uncommon material (e.g. bricks) at
the separation plant indicates that an old sewage structure has been
encountered.
Then, corrective measures must be taken in parallel to investigate the
particular cause of the incident. These measures are primarily to secure the
situation at the surface, to drive up the cutter head for mechanical face
support, to applique specific

Additives to the suspension in the excavation chamber which raise viscosity

and yield point and seals with the effusing suspension the cavities.
The above explained scenario is only one example of scenarios incorporated
in the incident management system to assist the acting people finding the
reason for an incident and taking correct counter measures (Fig. 10.13).

10.4.6. AUTOMATED DETECTION OF INCIDENTS.

The concept and the design of the incident catalog and the software system
developed also allows the automatic detection as well as the automatic
evaluation of incidents. Through the full integration of the incident
management system into the steering software, the incident management
system has access to all parameters and values that are captured by the
steering software. This step is the consistent further development of the
incident catalog.
For this, the measured values of the sensors of the TBM have to be
evaluated. The actual values of the sensors have to be compared with the
permitted values of the machine manufacturer. Furthermore, grounddependent material consumption values (e.g. supporting liquid) have to be
recorded and balanced with the expected values. The target values then
have to be incorporated into the diagnostic software. In principle, expansion
through integration of the incident management system into the control
software has already been taken into account. For example, in Table 10.3
some machine parameters have been used as indicators of possible causes
of disruption.

10.5. CONCLUSION.
Subsidence control during tunnel drives based on shield machines is of
highest priority to both clients and especially the residents living close to an

area undergoing tunnelling activities. In the present paper, the first decisive
developments towards an automated settlement-avoidance steering system
are presented.
When excavating with shield machines, enormous amounts of data are
recorded, which so far, to a large extent have simply been archived. The
systematic analysis and evaluation of these data in parallel to the drive, the
incorporation of external

measurement systems, e.g. settlement monitoring, and the real-time

comparison of data against relevant target parameters from design
calculations provides for a considerable optimization potential to register,
correct and avoid unscheduled operating stares. In case any irregularity
occurs, an incident management system included in the steering software
supports the shield-driver by diagnostics of any unforeseen event during
operation of the TBM, and a checklist will provide a guideline for appropriate
reaction.
The software development presented in this paper addresses the application
of fuzzy logic and represents an important contribution for tunnelling. It is
aiming at a systematic evaluation of the complex interrelationships between
varying data sources in association with expert knowledge making use of
fuzzy decision criteria with respect to subsidence.
The prototype of software has been developed with support of the European
Commission within the research project TUNCONSTRUCT (Tunconstruct
2005). It is scheduled to site-test the steering software on U4 HafenCity
Metro-Project in Hamburg, Germany in summer 2009. In case it will prove
successful in practice this software tool will, in a future stage, enable
autonomous steering of the settlement- relevant control parameters of
shield machines. In its final envision development step the steering software
can be seen, hopefully, as an anti-settlement-autopilot.

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