Dual Mode, “Crossover” Type Tunnel Boring Machines: A Unique

Solution for Mixed Ground in the Middle East

Tyler D. Sandell
The Robbins Company, USA, [email protected]

Jacek Stypulkowski
CDM Smith, Doha, Qatar, [email protected]

ABSTRACT:
While both Hard Rock Tunnel Boring Machines (TBMs) and Earth Pressure Balance (EPB)
machines have been in existence for 50 years or more, the prevalence of mixed ground tunnels
can make their use problematic. In many tunnels with both sections of hard rock and softer EPB
type ground, the only historical solution was to use multiple machines or sacrifice efficiency by
using just one machine type. Today, Dual Mode, “Crossover” type machines are edging TBMs into
new territory by employing design elements from both EPB and Hard Rock Single Shield Machines.
Where multiple machine types might have once been used, a Crossover Rock/EPB machine can
excavate an entire tunnel in vastly different conditions. The machine type is particularly useful in
fractured and faulted weak rock where clay inseams and sections of soft ground may be present.
New designs are making this versatile take on tunnelling more efficient, even at larger diameters
of 12 meters or more. This paper will explore modern trends in mixed ground TBM tunnelling,
including Crossover EPB/Rock Designs that could be applied to the weak/soft rock so often
encountered in Middle East tunnelling. It will also look at other Crossover machines being
introduced into the industry, including Crossover EPB/Slurry TBMs for tunnelling in high pressure
conditions.

1 INTRODUCTION

As cities and the infrastructure needed to power and run them continue to grow
and evolve, so does the demand to excavate increasingly difficult and varied
ground. In the broadest of terms, cities are generally built on (or near) rivers or
coasts. As such the underground construction industry has become quite expert
at excavating the soft clays, sands, gravels and alluvial soils that dominate the
places where we build our lives. However, as our cities expand in all directions
(especially downwards) including sea reclamation, the landscape above and
below the surface changes; therefore, the tools needed to cope with it safely must
change too.
For soft ground tunneling in the aforementioned geology, the sophisticated
designs of modern Earth Pressure Balance (EPB) TBMs have enabled ever-
increasing advance rates. The story of the Earth Pressure Balance machine’s
development, however, is a long one. More than 50 years ago, Richard Robbins
developed one of the first compressed air, full face tunnelling machines for the
Paris RER metro (see Images 1 and 2).
The successful design became the blueprint for future EPB and Slurry shields,
which would be further developed by Japanese engineers to rapidly build rail and
road tunnels as their cities experienced massive growth during the post-war
economic boom that lasted into the 1990s. Before the Japanese economy started
to wane, European manufacturers began to develop their own EPB technology
and dominate the market as Japanese manufacturers scaled back EPB
production and, for the most part, quit pursuing international projects.

Image 1: Launch of the Robbins Paris Image 2: Design of the Paris RER Metro TBM.
RER Metro machine.

In most parts of the world, non-pressurized face, hard rock tunneling is

generally associated with more rural projects. More than a decade prior to the
Paris Metro EPB, James S. Robbins engineered and manufactured the first
modern hard rock TBM for the Oahe Dam project in remote South Dakota, USA.
By 1956, the rolling disc cutter was born and spurred the growth of hard rock TBM
technology. As hard rock TBMs gained acceptance as the fastest and least
expensive way to make long tunnels, new projects were now technologically and
economically possible.
Unfortunately hard rock TBMs and EPB shields evolved as mostly separate
technologies and most of the early efforts to combine them resulted in
compromised designs biased toward either hard rock or soft ground. Machines
of this nature could perform acceptably in one type of ground, but advance rates
suffered dramatically when conditions changed.
Today, a new generation of tunneling equipment has blurred the lines between
traditional hard rock and soft ground TBMs. These machines are better able to
tackle changing ground conditions and excavate more efficiently in a variety of
geologies. These hybrid tunnelling machines “crossed over” boundaries set by
traditional TBMs and offer creative engineers around the world new opportunities
to grow.

2 CROSSOVER TYPE (DUAL MODE) TBMS

Hybrid or crossover TBMs provide the flexibility to switch from one mode to
another based on the ground conditions to be encountered. While a small subset
of this category operates primarily in closed mode, the fundamental design
feature of most crossover machines is their ability to operate in either open or
closed mode. Open mode applies to hard rock or low permeability soils (clay and
silt); closed mode applies to high permeability soft ground conditions generally
with hydrostatic pressure.
There are many types of crossover TBMs but most fall into one of several
categories. The first is a Hard Rock/EPB designed to excavate in open or closed
mode, in hard rock or soft ground. This type of machine has a screw conveyor for
closed mode operation. Hereinafter we will refer to these machines using the
initials XRE.
Another example of a crossover tunneling machine is the Slurry/EPB. This type
of TBM has a screw conveyor but is also equipped with a slurry system for
operation when it’s not possible or cost effective to create a “plug” in the screw.
For ease of reference in this paper, we’ll call these machines XSE.
Other types of Crossover machines are in development, and would involve
hard rock designs with slurry systems, known as XRS (Crossover between Rock
and Slurry) machines.
3 CROSSOVER TBM – XRE

The XRE machines are typically proposed for mixed face conditions that include
sections of soft ground and hard rock, such that neither a standard hard rock nor
EPBM could efficiently excavate the entire tunnel length (see Image 3).

Image 3 Example of Typical Mixed Ground Ideal for XRE TBMs

3.1.1 XRE Muck removal and Control

An XRE will be optimized towards the geology anticipated for the majority of
the drive. For example, if the tunnel is 20% soft ground and 80% hard rock, the
overall machine design will be optimized towards hard rock. When ground types
are not divided into long sections, or when the geology is 50% rock and 50% soft
ground, the TBM design becomes more complex. Machines in these conditions
might be optimized towards faster conversions between modes. Either way, all
machines in this class have a screw conveyor for operation in closed mode. Some
machines in this category will also be fitted with a belt conveyor for better open
mode performance in hard rock. In larger diameter machines both conveyor types
can be installed concurrently; in smaller sizes the conveyors usually need to be
exchanged. This conversion process of course requires some amount of
downtime but it can be justified if there are long stretches of a particular geology
that are more suited to that mode (see Images 4 and 5).

Image 4: 13.77m XRE - Hard Rock Mode Image 5: 13.77m XRE - Soft Ground Mode

3.1.2 XRE Cutterhead

Regardless of the way muck is handled, cutterhead design is key to a
successful TBM project. XREs generally have mixed ground cutterheads with the
ability to install a full dress of either disc cutters, soft ground tools or a combination
thereof (see Image 6). Another feature that can greatly improve performance is
the use of a variable speed cutterhead drive in concert with multi-speed
gearboxes that can provide high torque at slow speeds for soft ground, as well as
high RPM for better performance in hard rock. If there are long stretches of hard
rock great gains in efficiency can be made by utilizing a cutterhead that can be
converted to/from bidirectional to single direction mucking. The conversion would
generally be done while the belt conveyor is being installed in lieu of the screw.
The Sleemanabad Carrier Tunnel in India and the Grosvenor Coal Mine Decline
in Australia are both good examples of Hybrid TBM projects with significant hard
rock stretches.

Bidirectional (Soft Ground) Single Direction (Hard Rock)

Image 6: Convertible Cutterhead for Hard Rock or Soft Ground
3.1.3 XRE Case Study – Grosvenor Coal Mine Decline
The unique XRE TBM used in Anglo American’s Grosvenor coal decline was
designed to bore in conditions including sand, sandy clay, clay and conglomerate,
as well as mixed face/rock portions consisting of siltstone, coal, sandstone and
basalt with little groundwater expected. Rock hardness was determined to range
from 20 to 120 MPa with an average of 90 MPa UCS in hard rock. Methane gas
was considered a risk throughout both 1,000 m long decline tunnel drives. To
tackle the challenges, the XRE machine was optimized towards hard rock (Single
Shield) excavation, as much of the mixed ground was determined to be rock (see
Image 7).

Image 7: Grosvenor Coal Decline – Geotechnical Long Section

A two-stage, center mounted screw conveyor worked for both hard and mixed
ground conditions, and the adaptable cutterhead could be outfitted with back-
loading cutters in hard rock mode, or with knife bits and scrapers in EPB mode
(see Image 7, Table 1, and placement of screw conveyor and cutterhead setup
in Image 8). Another unique design feature of this particular XRE was based on
the requirement to swiftly build two blind tunnels while maintaining full ground
support (a regulation in Australia). Thus, the machine was engineered for quick
assembly and disassembly within the 7 m i.d. tunnels so that it could be re-
launched on a second tunnel. The XRE TBM was picked over the traditionally-
used roadheader method for several reasons, including excavation speed and
tunnel maintenance. The choice proved prescient with the machine excavating at
a rate approximately ten to fourteen times faster than a roadheader—about 70 m
per week for the TBM vs. 5 m per week for a road header. A prime example of
crossover technology creating new opportunities for TBMs, this was the first time
a TBM had been used in an Australian coal mine. It completed its second tunnel
in February 2015.
 Image 7: Cutaway of Grosvenor Coal Decline XRE

Table 1: Grosvenor XRE Specifications

Grosvenor XRE TBM

Specifications
Design Parameters Curve radius (vert. and 400 m
horiz.)
Gradient 1:6 and 1:8
UCS Average 90 MPa
Hydrostatic Pressure 3 bar
Segmental lining Number of segments 5+1 key +1 flat invert
Segment width 1,400 mm
Segment thickness 350 mm
Segment Backfill Bi-component grout
Diameter Bore Diameter 8.0 m
Cutterhead Style Cutterhead Mixed ground, convertible
Cutters 17” disc cutters, back-
loading
Cutterhead Drive Cutterhead Power 12 x 330 kW = 3,960 kW
Cutterhead Speed 0-6.4 RPM
Breakout Torque 17,344 kNm
Maximum Thrust 22,619 kN
TBM Conveyor Screw Conveyor Type Double, shafted, hydraulic
drive
Exploration / Ground Probe Drill/Grout 18 peripheral ports; 1 drill
support
Protection Methane Monitors 6 locations
Explosion-Proof EPB 10 locations
Sensors
Weights and Total length 135 m
Dimensions
TBM weight 994 tonne
TBM core weight 399 tonne
Back-up system weight 552 tonne
 VFD Torque Curve
XRE Ø8.0m
18000 Full Load

Cutterhead Torque T(kNm)

16000
Motor Heat
14000
Preserve Index
12000
10000
8000
6000
4000
2000
0
0 2 4 6 8
Cutterhead Speed N(rpm)

Image 8: Grosvenor XRE Torque Curve

3.1.4 XRE Case Study – Sleemanabad Carrier Tunnel

The Sleemanabad Carrier Canal, located in Madhya Pradesh, India, is part of
the Bargi Diversion Project, which consists of almost 200 km of canal networks.
The subsurface section is a 12 km long, 9.2m internal diameter segmental lined
tunnel. The geology consists of mixed conditions ranging from fresh marble -
dolomite limestone to sand and soils with approximately 50% rock and 50%
sand/soil. The UCS of the rock is up to 180 MPa.
The challenging conditions of this project play to the advantages of an XRE’s
ability to bore efficiently in open or closed mode and in hard rock. This machine
can operate as a traditional EPB or single shield hard rock TBM. When boring
through soils the machine is operated in closed (pressurized) EPB mode using a
screw conveyor. When short sections of rock are encountered the machine can
be operated in open (non-pressurized) EPB mode. However, in long sections of
rock the screw conveyor can be removed and replaced with a traditional hard
rock TBM belt conveyor.
The configuration of the cutterhead can be optimized in a number of ways to
suit the ground conditions. In the sand and soil section a full dress of soft ground
tools can be installed. In the mixed ground sections it can be fitted with a
combination of soft ground tools and disc cutters. The biggest efficiency gains
come when the cutterhead is configured for hard rock with a full complement of
20-inch Heavy Duty (HD) disc cutters and it is converted from bidirectional to
single direction mucking (see Table 2). The machine is also capable of
excavating with high torque at low RPM to get through difficult ground (see Image
9).
 Table 2: Sleemanabad XRE Specifications

General TBM Specifications

Excavation With Disc Cutters 10,000 mm
Diameter
With Soft Ground Tools 9,980 mm
Cutterhead Type Bidirectional, Mixed Face
Opening Ratio 25%
Cutterhead Drive Electric motors with VFD
Cutterhead Power 3960 kW (12 X 330 kW)
Cutterhead Speed 0 ~ 5.4 rpm
Torque Cutterhead Working 17,615 kNm
Torque
Maximum Starting Torque 21,700 kNm
Thrust Trust Jack Stroke 2,302.4 mm
Maximum Thrust 23731 kN
Electrical Primary Voltage 33,000 V, 50 Hz
Protection IP55
Conveyors Screw Conveyor Diameter 1200 mm

Screw Conveyor Type Shaft style with replaceable wear

protection
Speed 1.0 ~ 18 rpm
Torque 300 kNm
Back-Up Conveyor Belt 1372 mm
Width
Weights TBM Weight (Approx.) 1,250 tonnes

Back-Up Weight (Approx.) 490 tonnes

 VFD Torque Curves
XRE Ø10m
30000 Full Load
Cutterhead Torque T(kNm)
25000
Motor Heat
20000 Preserve Index

15000

10000

5000

0
0 1 2 3 4 5 6
Cutterhead Speed N(rpm)

Image 9: Sleemanabad XRE Torque Curve

4 CROSSOVER TBM – XSE

The second type of crossover we will discuss is the hybrid EPB/Slurry or XSE.
These TBMs almost always operate in closed mode and can cope with a wide
variety of high and low permeability soils, sands, clays, gravels and rock. They
are especially useful in urban environments and other places where settlement
must be controlled. They have the capability to successfully excavate difficult
mixed ground by accurately controlling high or low hydrostatic pressures. This
minimizes risks of blowouts from high face pressure or surface subsidence due
to face pressure loss.

4.1.1 XSE Muck removal and Control

In low permeability soils without high hydrostatic pressures, the XSE can
advance quickly and efficiently in EPB mode without the expense and
complication of slurry-based muck handling. In high permeability soils and areas
with high hydrostatic pressures, the XRE can run in slurry mode thereby
eliminating the problems of inaccurate volume monitoring and pressure control
that EPBs can encounter in these conditions. A key benefit of the ability to run in
EPB mode is that the slurry treatment plant (STP) can be simplified and more
economical since it doesn’t need to process soils in EPB conditions (see Image
10).
 Image 10: XSE Baku Metro Cutaway

4.1.2 XSE Cutterhead

The XSE is usually equipped with a standard bidirectional EPB-type mixed
ground cutterhead with the ability to install disc cutters and/or soft ground tools
for maximum versatility. Large openings allow significant cobbles and boulders
into the mixing chamber. In EPB mode boulders that can fit through the
cutterhead openings are passed through the screw conveyor. In slurry mode,
boulders not capable of passing through the slurry pipes are broken up using a
crushing mechanism. This can be either a jaw type crusher in the mixing chamber
and/or a rotary style crusher mounted on the free-air side of the bulkhead.

4.1.3 XSE Case Study - Baku Metro

Contractor Evrascon Joint Stock Company has chosen a crossover machine
to tackle the difficult ground conditions they will encounter while excavating an
extension of the metro system in Azerbaijan’s capital city, Baku. A new 6.26 m
diameter XSE TBM will excavate through 5.7 km of mixed ground including silt,
clay, sandstone, and limestone with hydrostatic pressures up to 5 bar. This
crossover TBM will break through and cross into three stations along the
alignment. The new tunnel is part of a metro expansion which will connect older
lines built during the Soviet era (see Table 3). Similar to other Crossover
machines, the XSE is also capable of excavating at high torque and low RPM
(see Image 11).
 Table 3: Baku Meto XSE Specifications

General TBM Specifications

Excavation With Disc Cutters 6,260 mm
Diameter
With Soft Ground Tools 6,260 mm
Cutterhead Type Bidirectional, Hybrid Slurry/EPB
Opening Ratio EPB Mode 33%
Opening Ratio Slurry 23%
Mode
Cutterhead Drive Electric motors with VFD
Cutterhead Power 8000 kW (5 X 160 kW)
Cutterhead Speed 0 ~ 13.5 rpm
Torque Cutterhead Working 5,830 kNm
Torque
Maximum Starting Torque 8,162 kNm
Thrust Trust Jack Stroke 1,450 mm
Maximum Thrust 9,806 kN
Electrical Primary Voltage 11,000 V, 50 Hz
Protection IP55
Conveyors Screw Conveyor Diameter 900 mm

Screw Conveyor Type Shaft style with replaceable wear

protection
Speed 0 ~ 25 rpm
Torque 100 kNm
Back-Up Conveyor Belt 914 mm
Width
Slurry System Feed Pipe Diameter 200mm TBM, 250mm Tunnel
Return Pipe Diameter 300mm TBM, 200mm Tunnel
Rated Throughput 450m^3/hr
Crusher Type Rotary
Max Face Pressure 6 bar
Weights TBM Weight (Approx.) 382 tonnes

Back-Up Weight (Approx.) 480 tonnes

 VFD Torque Curve
XSE Ø6.260m
9000 Full Load
Cutterhead Torque T(kNm)

8000
7000 Motor Heat
6000 Preserve Index
5000
4000
3000
2000
1000
0
0 0.5 1 1.5 2 2.5 3
Cutterhead Speed N(rpm)

Image 11: Baku Metro XSE Torque Curve

5 APPLICABILITY OF CROSSOVER TECHNOLOGY TO MIDDLE

EASTERN CONDITIONS

Hybrid TBM technology is certainly applicable and will find its way into the Gulf
Region. Geologically, the Middle East is a part of the Arabian Gulf Basin. It forms
a part of the Arabian shelf between the Arabian shield and Iranian mobile belt.
Basement rocks in the area under consideration are overlain by differently aged
sandstones, salts, limestones and shales. For example, cemented sand Sabkha
deposits in Dubai have been is often interbedded with cemented as well as
uncemented sands. Many of the areas are karstic with carbonate-based rocks
susceptible of dissolution. Uniaxial Compressive Strength Test Results as
reported previously in Stypulkowski, 2015 varies between 0.04 and 65.3 MPa.
Brittleness (UCS/BTS) varies between 5.3 and 20.1. Shear wave velocity and
associated elastic modulus measurements vary between 292 and 9667 MPa. The
point load strength index, IS(50) varies between .02 and 4.91 MPa. The slake-
durability test results vary between 37 and 98. Cerchar Abrasiveness Index (CAI)
values vary between .01 and 0.7. According to the “Recommendations for
selecting TBMs”, revised in October 2010 (in German) for the set of parameters
listed above, it is clear that Crossover-type TBMs would satisfy a wider range of
ground conditions than single-type machines. If tunneling risks are not
acceptable, the EPB, with its much faster advance in good ground conditions,
can be combined with slurry shields. The EPB/Slurry (XSE) would have finer
control of the face and the ability to maintain higher ground pressures, particularly
under mixed face conditions or when tunneling through weak rock.
6 CONCLUSION – THE FUTURE OF THE CROSSOVER DESIGN

TBMs that can cross over between modes will continue to gain popularity as the
world’s cities grow outward and downward. Crossover machine design is
becoming more innovative with increasing demand, and includes a Rock/Slurry
design (XRS TBM) currently in development that would optimally bore in
permeable ground under water pressure as well as rock. Further refinements
and innovations can be expected for all types of Crossover machine.

The subsurface landscape is getting very congested in many places so we are

forced to tunnel under existing infrastructure. Of course as we dig deeper, we
cross over from the surficial soils into hard rock. Since it’s not always possible to
keep the alignment in hard rock as we navigate to the next subway station,
sanitary sewer, drinking water reservoir or highway interchange, we will be forced
to switch between modes more often. The future is bright for Crossover TBMs
because of these factors. Due to their ability to excavate in a wide variety of
difficult conditions, contractors and project owners will be seeing the light at the
end of the tunnel a lot sooner than previously possible. The versatility of these
machines makes them ideal for the weak rock and mixed face conditions often
found in Middle East tunneling.

REFERENCES

Harada et. al. (2015). The Evolution of Tunnel Boring Machine Requirements
over the Course of a Project.
Proceedings of NASTT No Dig Conference, Boulder, Colorado, USA.
Grothen & Clark (2012). Hybrid TBM Design and Selection. Proceedings of the
ITA-AITES World Tunnel
Congress, Bangkok, Thailand.
Scherwey (2011). The History of Earth Pressure Balance TBMs. Proceedings of
ITA SEE, Dubrovnik, Croatia.
Jordan (2013). The Next Generation of Large Diameter, Mixed Ground Tunnel
Boring Machines. Proceedings of the ITA-AITES World Tunnel Congress,
Geneva, Switzerland.
Scialpi (2015). Unique Hybrid EPB Design for use in Coal Mine Drifts.
Proceedings of the ITA-AITES World Tunnel Congress, Dubrovnik, Croatia.
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Recommendations for selecting Tunnel Boring Machines (German only), revised
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