CONGRESS OF THE ITALIAN TUNNELLING SOCIETY

TUNNELLING AND UNDERGROUND SPACE IN EUROPE DEVELOPMENT

Bologna, 17, 18, 19 October 2013

European Project NeTTUN Making it happen

(1)

(2)

T. Camus , G. Manacorda
(1)

R&D Dept., NFM Technologies, Lyon, France

(2)

Georadar Division, IDS, Pisa, Italy

ABSTRACT: A consortium of 21 research entities, industrial companies, and SMEs from 9 European countries have joined
forces to develop the New Technologies for Tunnelling and Underground Works NeTTUN project. NeTTUN is funded by
the European Commission Seventh Framework Programme for Research, Technological Development and Demonstration
under Grant Agreement 280712. NeTTUN targets 6 groundbreaking research themes and key issues in the tunnelling
industry. 3 for Tunnel Boring Machines: ground prediction ahead of TBMs, reduction of risks through robotised maintenance
operations, increased lifetime of cutter tools; 3 on the life cycle of tunnels: modelling of global risks in tunnel projects,
controlling the impact of tunnelling on surrounding structures, decision support system for tunnel maintenance. As an
example of preparation for collaborative projects, we review our successful approach, i.e. analysis of the EC Call, definition
of the project scope of work, selection of the consortium partners, EC selection process and negotiations phase. We give an
overview of the NeTTUN project and describe how this project will benefit the tunnelling sector. With a special focus on IDS,
the Italian radar and georadar manufacturer, we discuss the motivation of partners for participating in collaborative R&D
st
projects including sectors outside their core know-how and business. The NeTTUN project, launched on 1 September
2012, will extend over 4.5 years and is jointly managed by NFM Technologies (Scientific and Technical Management) and
Ecole Centrale de Lyon (Project Coordination).

Introduction

Innovation is key to success in todays business as it is the only way future revenues can be achieved. It is also
contributes in improving our daily life and perspective, with more efficient health care, better quality products
and technologies, and products and services that are less harmful to the people and environment.
However innovation is a continuous process and a resource consuming one. Overall it may be seen as a costly
activity. Supporting innovation for a better life today and in the future is a key strategy of the European Union.
Through its subsequent Framework Programmes, the European Commission (EC) has funded thousands of
R&D projects benefiting the European economy, education level, and knowledge.
Although underground construction can probably be seen by non-professionals as a Low Tech sector, it has
undergone very fast and remarkable changes with the introduction of innovations such as Tunnel Boring
Machines (TBM), first for hard rock and more recently for soft ground, using pressurised machines. Tunnelling
with TBMs has become an essential approach and construction companies have gained confidence through
time. As a consequence, tunnel projects are getting more and more challenging, because of deeper excavation
and higher pressure, larger diameters, longer tubes, and because of their situation in densely built and
populated areas in large cities. Mastering these challenges i.e. building more and more tunnels in fully safe
conditions for the workers, for the population, for the existing buildings and infrastructure, and for the users of
these tunnels is a necessity for the coming years in order to meet the expectations for better transportation
systems, better clean water distribution and sewage systems.
Through the funding of previous projects related to underground construction the latest one being
TUNCONSTRUCT (2005-2009), the EC has shown a high and sustained interest in reducing the risks associated
with tunnelling activities while improving the productivity of efficiency of the works.

2
2.1

Answering EC Calls
EC Calls under FP7

On 20 July 2010, the European Commission issued a set of 8 calls as part of the Framework Programme 7
Theme 4 NMP - Nanosciences, Nanotechnologies, Materials and new Production Technologies LARGE
2011. These 8 calls covered a wide variety of subjects ranging from nanotechnologies (multifunctional
packaging concepts; targeted therapy; large-scale synthesis of nanoparticles and nanostructures; nano-scale
detection and control techniques) to superconducting materials, management of industrial water, processing of
materials for mechanical or electro-technical applications and finally mining and tunnelling.
Altogether the indicative budget was 118 million Euros for the 8 calls. The expected projects were to be funded
under the Large-scale integrating collaborative projects scheme, i.e. in particular request an EC contribution of
4 million Euros minimum.
2.2

EC Calls concerning tunnelling

EC Call ref. NMP.2011.4.0-2 Advanced underground technologies for intelligent mining and for inspection,
maintenance and excavation was issued in the activity Integration of technologies for industrial applications.
This call sets a high priority concerning the productivity (The productivity in this field is very low compared to
other industrial sectors), the risks related to the environment and the people (the underground activities [...] are
thus highly damaging for the environment, as they become at the same time more dirty, difficult and dangerous
for the workers). The objectives are clearly those of applied research, with a strong focus on industrial
applications (Developing new advanced tools, methods and processes, and then transferring the technologies
to industry is the final goal.) and calls for a corresponding balance between partners from the Research and
Industrial sectors (In order to ensure the industrial relevance and impact of the research effort, the active
participation of industrial partners and industrially-oriented decision making represent an added value).
The Call can be summarised by the following tables 1 and 2.
Table 1. Research themes addressed by the Call
nr.

Research Theme

Ground prediction ahead of the excavation front

Reduction of risks (on health, safety and the

environment), through the automation of tasks

Assessment of risks on surrounding structures, through

modelling and simulation; costs and risks models;
monitoring of tunnel and/or surrounding structures

Inspection and maintenance of underground structures

Table 2. Objectives (impact expected from the selected projects) of the Call
nr.

2.3

Research Theme

Productivity increase by 20% minimum

ii

Underground operations with zero impact on surroundings

iii

Safe underground working and operating environments

iv

Strengthened competitiveness of European industry

Increased sustainable access to underground resources

Available documents

Thousands of pages have been written by the EC describing the overall strategy for funding R&D projects, the
expected contents of proposals, the evaluation process, the rules for financing and reporting, and many more.
The submission of proposals is made through the Participant Portal, the operation of which is fully described in
user manual and supported by a very efficient Help Desk.
Standard model documents such as the Grant Agreement are available online, giving a complete view of the
execution phase of the project.

The drawback of such an extensive literature is that one can easily be drowned under the information.
Numerous guides have been published aiming at providing a usable summary of the key points, the main issues
to avoid and giving advice on writing the best possible proposal (Morron 2010, and subsequent issues of the
book).
2.4

The selection process

The Large projects are submitted to a 2-phase selection process.

The first phase concerns a reduced proposal of 12 pages maximum and is evaluated against S/T quality and
Impact. After evaluation, the EC sends a short report (ESR) with the marks obtained for each criterion and
comments. The proposals meeting the selection criteria are then invited to prepare a fully detailed (second
phase) proposal. These proposals are evaluated anew as shown on Table 3.
Table 3. Evaluation criteria and selection thresholds
Criteria

Minimum thresholds
Stage 1

Stage 2

4/5

4/5

Implementation

--

3/5

Impact

3/5

4/5

Overall threshold required

8/10

12/15

S/T quality

Subsequently to the Stage 2 evaluation, the EC sends an ESR. The successful proposals are invited to the
Negotiation phase, through a letter setting the improvements to be made to the project, if any. Together with
the Phase 2 ESR this gives very accurate information on how to meet the final requirements of the European
Commission and get the approval for project funding.
3
3.1

Putting NeTTUN together

Defining the scope of work

The entry point to this task is a careful reading of the Call. In our case both the research topics and the
expected impact were listed (refer to tables 1 and 2 above). From this it was clear that part of the Call definitely
referred to mining (e.g. topics 1 and 2, objective iv), while another part was related to tunnels and/or to both
mines and tunnels.
Within our R&D strategy as a TBM manufacturer we at NFM had initiated preliminary research on Themes 1
and 2 that are recurring concerns for tunnel builders and not only for the mining sector. We therefore decided
that these subjects should be included in the proposal and decided to cover all 4 research themes.
Simultaneously we started developing a web-like diagram showing how the research themes and their
corresponding results would meet the objectives as drawn by the EC (see figure 1).

Theme 1

Theme 2

Ground prediction ahead of

the excavation front

Reduction of risks

Implement
reliable ground
prediction
system

Extend
lifetime of
cutter
tools

Reduce
geotechnical risks

Reduce frequency
of maintenance
operations

Improve
efficiency
of cutter
tools

Automate
maintenance
operations

Avoid excavation
stoppages

Reduce/Limit
human presence in
dangerous areas

Productivity
increase by 20%

Safe
underground
working and
operating
environments

Figure 1. Developing a web diagram for NeTTUN (here showing only themes 1 and 2)

This work was then completed during our discussions with the partners, as a collaborative work. All extensions
and modifications to the scope of work were made with this simple idea in mind that the project should show a
high consistency and maximise the interactions between research topics lacking a high level of integration is
in effect a well-known flaw of large collaborative projects.
3.2

Selecting partners

Selecting the project partners was based on the need to fill the boxes in the web diagram, and was guided by
internally set rules, as follows: only select the best partners; keep a good balance between Research and
Industry, and between large industrial partners and SMEs; invite partners from both large countries and smaller
ones and/or recent entrants;
This task was led for one part by networking, starting with partners we already worked with, either for internally
funded R&D projects (ECL-LTDS, OHL, XLIM/CISTEME) or through work groups such as AFTES (BG, Systra,
Sial.Tec, ENTPE) or ones we had contacted previously (IDS, TU Delft). Pulling the threads brought in new
partners (EPFL, University of Roma Tor Vergata, Metro C, NTUA, University of Leeds, Razel, MI Partners).
For the remaining activities that needed to be addressed, we searched for a panel of partners on the Internet,
e.g. through their publications, contacted them, and then made a selection by discussing with other parties that
had already joined the group. From this search we invited TU Tallinn, DFKI, and SNCF.
At this stage partners were asked to enter a Non Disclosure Agreement that contained an exclusivity clause.
Simultaneously we set up an Advisory Committee, i.e. an external panel of experts from the research sector and
end-users. The role of the Committee is to provide independent guidance and advice throughout the NeTTUN
project on both scientific and Tunnelling industry issues.
The final consortium characteristics are represented in Figures 2 and 3.

10
9
8
7
6
5
4
3
2
1
0

Figure 2. Number of NeTTUN partners per country

SME

Large industrial

3
8
10

Research

Figure 3. Organisation types within the NeTTUN consortium

3.3

Motivation of partners to participate in NeTTUN

In recent years, the pan-European situation of economy has had a negative impact on the amount of funding
available for R&D activities and projects; in fact, there are clear evidences of such reduced availability of funds,
e.g. reduction in R&D staff levels and a more critical appraisal of cost and benefits in companies across the
whole Europe.
In this framework, companies welcome the possibility of entering collaborative researches, eventually funded
by the European Union, as large (and breakthrough) projects cannot be taken on by individual companies,
because of cost, because of risk, or because there are benefits to be gained from developing systems that can
be applied more universally.
Thus, there were many potential motivators for industrial partners to board NeTTUN, independently by their size
and presence in the market sector potentially addressed by this project; on this respect, NeTTUN offers an
excellent opportunity for accessing knowledge and expertise by enabling one partner to work with universities
and research providers, as well as with other industry partners.
In fact, a company can decide entering a project like NeTTUN to bring innovation to their existing products or to
develop new products. It offers an opportunity to improve its competitiveness by increasing sales and turnover
and growing the business; but, this opportunity can also lead to access new customers or new markets or, even,
to deepen the knowledge and know-how in the particular field addressed by NeTTUN, maybe in areas beyond
companys internal scope.
This can be the case for IDS Ingegneria dei Sistemi SpA that is one of the worldwide leading manufacturers of
Ground Penetrating Radar equipment; when deciding if being involved in NeTTUN, IDS has also evaluated the
importance of entering a new market (i.e. tunnel construction) where IDS can potentially exploit other
technologies beyond the ones related to Ground Prediction Radar. For instance, the use of the Ground Based
Radar Interferometry (that is another product manufactured by IDS) can be proposed in the framework of
NeTTUN to measure in real time vibration and sub-millimetric movement of buildings due to the tunnelling

activity. This would be a new market for this technology that is currently employed for monitoring landslides and
excavation fronts in open-pit mines.
Finally, entering project like NeTTUN that involves 20+ partners from several European countries, is valuable in
term of the prestige associated with being part of an important transnational project, but can also help in
establishing lasting cooperation at European level.
3.4

Writing the proposal

This is a truly collaborative work, in which each partner has to provide sections of the proposal. It is a project in
itself and in order to be successful requires that it be handled by a Proposal Project Manager (PPM). The PPM
sets the general scope of work, distributes the work to each partner, ensures that all practical aspects such as
partner registration etc. are covered, arbitrates in case of conflicts, handles the numerous constraints (e.g.
available space in a limited size document, delivery dates), organises reviews of the proposal, compiles the
budget and project planning elements in order to build the Project budget and planning, and overall ensures the
best possible consistency of the proposal, from the project concepts down to the language and grammar.
Being a PPM is an excellent training to being the manager of a collaborative R&D project, and offers highly
rewarding actions such as submitting a properly finalised proposal in time on the EC portal.
3.5

Results of the EC selection process

The evaluation process concerning Call NMP.2011.4.0-2 is shown in figure 4. NeTTUN passed the first and
second selection steps and for the Tunnelling sector was the only project to be funded.
Another project related to mining was also selected for funding (IMINE) and is also currently under way.
04/11/2010

Proposal
Stage 1

21/12/2010

Eval.
Stage 1

28/04/2011

Proposal
Stage 2

4 proposals selected
for Stage 2
10 proposals
received by the EC

28/06/2011

Eval.
Stage 2

26/07/2011

10/05/2012

Negotiations

01/09/2012

28/02/2017

NeTTUN
Project
Execution

1 proposal related to
tunnelling (NeTTUN)
selected for funding

Figure 4. NeTTUN selection process

Overview of NeTTUN

The project is structured in 12 work packages (WP) as shown on figure 5, which only displays the main
interactions between WPs. The NeTTUN tasks and objectives interact more extensively as per the web diagram
(see figure 1) in achieving the NMP 2011.4.0-2 impacts expected by the European Commission.

Project administrative and financial management

Scientific and Technical Project Management

Dissemination and exploitation of project results

WP1

WP12

WP2

WP3-4-5

Ground
prediction
system

WP6

WP7

WP8

WP9

WP10

Robotics

Wear resistant
drag bits

DAT system for

global risk
management

Control of
impact on
surrounding
structures

Decision
support for
tunnel
maintenance
management

TBM integration and tests

WP 11 - Evaluation of NeTTUN developed TBM systems

Figure 5. NeTTUN Work packages architecture and dependencies

4.1

Advanced ground prediction system for TBM (WP3-4-5)

Currently the construction of tunnels is heavily reliant on time and cost expensive experts, brought in outside of
the awarded contractors team, to analyse data provided by existing ground prediction systems. These outputs
are insufficient and result in tunnelling projects working in practically continuous moderate risk warning
scenarios that operators tend to ignore after a number of weeks of apparently safe progress, resulting in
relatively frequent geotechnical accidents. Most existing ground prediction methods require stopping the
excavation for several hours, which relegate them to a once per week activity and at best performed during
planned maintenance operations. Many of these systems are also applicable to hard rock tunnels only and
cannot be used in soft ground tunnels with segmental lining.
Through an innovative approach including specific sensing techniques and data processing algorithms, the
ground prediction system under development will cover a wide range of situations from hard rock to EPB and
Slurry TBMs in soft ground. The system is expected to provide:

Measurements concurrent with the TBM operation processes, i.e. no time overrun.

Spatial resolution accurate enough to reconstruct the 3D structure of the ground.

Identification of large obstacles (cavities, boulders, foundations, etc.), as well as soil changes.

Detection of targets down to a few centimetres large as well as small fractures filled with conductive
materials (e.g. water), depending on ground characteristics.

Detection range longer than 2 metres in the worst situations (it varies with the ground
characteristics) and up to 40-50 metres in normal conditions.

Highly automated data processing, i.e. interpreting the information requires less skill and less time,
offering operational results in quasi real time.
4.2

Robotics for TBM maintenance (WP6)

The objective is to develop tools in order to automate the maintenance of the TBM cutter head. The end product
is a robust robotic maintenance system that enables in particular the automation of routine tasks, like the
inspection and exchange of drag bits and disc cutters. This will improve the productivity of the TBM (by reducing
idle time related to maintenance) and reduce the health risk to operators (by largely eliminating the need for
human presence in a pressurised environment). In addition to the fully automated operation for routine tasks,
operators will be able to perform complex inspection and maintenance operations through remote control of the
system. An advanced human-machine interface will be developed for this purpose, including haptic feedback
and virtual immersion.

Overall the system:

eliminates 80% of the human interventions in the cutter head, i.e. reduces the number of related
worker accidents by a factor of 5;

allows a much more efficient, less expensive and safer operation of the TBM.
4.3

Increased cutter tools lifetime (WP7)

The main objective of this work is to develop cutter tools (drag bits) with an extended lifetime, in order to reduce
the frequency of maintenance operations on the TBM cutter head, hence reducing the operator risks. This
approach is led in parallel with the robotics subproject and ensures that the remaining human interventions
(which the robot cannot execute) are reduced to the minimum.
The final goal is to contribute to the reduction of human interventions by 20%, and subsequent related reduction
of casualties and fatalities.
The chosen approach combines knowledge obtained from jobsites (analysis of worn drag bits), numerical
modelling, material development, and testing.
4.4

Expert system for the modelling of global risks on tunnel projects (WP8)

In order to improve cost effectiveness in the field of tunnelling, it is vital to manage the uncertainties linked to
ground conditions and construction method. Cost and programme overruns can sometimes be spectacular, and
are often caused by a lack of geological investigation and/or an inappropriate construction method. It is also
accepted that attempting to cut costs on initial ground investigation can prove very costly in the end.
The Laboratory for Mechanics of Rock (LMR) of the Swiss Federal Institute of Technology in Lausanne (EPFL)
has co-developed a methodology and a software package called Decision Aids for Tunnelling (DAT), which
allows the risks associated with geology and construction method to be quantified, and the cost and
construction time uncertainties to be induced.
The analysis is conducted by simulating in a probabilistic manner and round- or cycle-wise the construction of
the whole tunnel network, including shafts, adits, etc. In that this tool is unique.
The objectives of the NeTTUN project are to implement significant improvements to DAT in order to achieve:

A high reliability by basing the input on the findings of actual tunnel construction,

A method used both in design stages AND during tunnel construction.

The improvement of DAT, in reliability and extension of its use at the construction phase will constitute a major
advance for the industry considering the importance of the issues associated to geological risks during tunnel
construction (safety, functionality, cost, deadline; etc.).
The tool may be used at all steps of the project to guide decision makers and designers towards the best
strategies for surveys and towards risk-optimised construction methods. It will allow comparison of companies'
variants in terms of risk and to adjust in "real time" project work in relation to the results of geological surveys
and analyses.
4.5

Controlling the impact of tunnelling on surrounding structures (WP9)

NeTTUN will expand the understanding of mechanised tunnelling impacts on existing structures in a soft ground
context, and will develop applicable risk control methods. The laboratory, numerical, and theoretical
developments will be tested against the monitoring results collected on the site of contract T3 of the Roma
Metro C line extension works. The project represents a unique opportunity to gather, select and disseminate
data on the behaviour of works of technical and economical importance, in an urban area of great
archaeological, historical and artistic value.
The problem will be addressed with several complementary approaches, using a combination of theoretical
developments, laboratory-scale experiments and in situ data to assess the risk involved with underground
works, which can readily be applied to other situations in Europe where underground works have to be
constructed in historical cities.
The main objectives on this Work Package are to:
a) Enhance the performance of physical and numerical modelling of ground movements due to
mechanised tunnelling in soft grounds;
b) Study the impact of EPB tunnel excavation on different types of structures;

c) Extend the monitoring capabilities in the vicinity of a tunnel work site;

d) Develop a method to provide early detection of over-excavations in TBM tunnelling;
e) Evaluate effectiveness and provide a rational basis for the design and implementation of mitigation
measures.
These five objectives interact logically in forming a complete project.
4.6

Decision Support system for tunnel maintenance management (WP10)

The objective is to build a decision support system that will facilitate the decision-making process concerning
tunnel diagnosis, assisting maintenance experts in defining the appropriate strategy in terms of inspections and
maintenance operations. A diagnosis can be defined as the judgement drawn, for a tunnel, after an analysis
combining all the different investigations realised in situ (inspections, monitoring) and an underlying theoretical
understanding of tunnel condition evolution, which has been gained from physical principles and experts
experience.
The system will allow an implementation of the maintenance strategy, guiding the choice of action needed
(inspections, works, supervision...), organising priorities and achieving a better distribution of the allocated
budget. It will implement a systematic approach for tunnel maintenance, based on tools with objective criteria
(the same for each tunnel).
Furthermore, the new decision support system will implement a sustainable expert knowledge management
process, creating conditions for a more effective and efficient training of new experts, providing a rationalised
method of data assessment. In this way knowledge transmission to a next expert generation will be more
robust, reliable and more objective.
4.7

NeTTUN key figures

st

The project extends for 4.5 years (54 months) from 1 September 2012. It involves a total of 21 entities and 5
experts for the Advisory Committee.
The project represents a total effort of 1413 person.months that is distributed as shown in figure 6. More than
90% of the effort concerns Scientific and Technical tasks (RTD+DEMO).
94

79
47

1 194

DEMO

MGT

OTHER

RTD

Figure 6. NeTTUN effort repartition in Activities (in person.months)

The project budget reaches 14.8 M that is split approximately 50/50 between the research and industrial
sectors as shown in figure 7.

1 660 872
6 223 968

Large
Research
SME
6 871 028

Figure 7. NeTTUN budget repartition (in Euros)

The corresponding EC contribution is 9.98 M.

5

Acknowledgements

NeTTUN is funded by the European Commission Seventh Framework Programme for Research, Technological
Development and Demonstration under Grant Agreement 280712.
6

References

Myer W. Morron, The European Unions Framework Program 7 (with an emphasis on ICT), Version 2.9, EFPC Ltd