Rock Breakage

Session 5
Rock Excavation by Tunnel Boring Machines

Jian Zhao

Rock Excavation by TBM

Session Contents

• TBM Types and

Classifications
• TBM Cutterhead and
Cutters © Robbins

• TBM Rock Excavation

and Models
• TBM Rock Excavation
Challenges

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 TBM Types and Classification

TBM excavation

Drill-and-blast excavation

TBM Types and Classification

TBM Working Principle

Full face excavation and continuous construction

process:
(a) Excavation – cutting by cutters mounted on
cutterhead, pressed and rotating;
(b) Mucking – removing by screw conveyer or pipe;
(c) Support – installing support elements or lining,
temporally protection by shield and face
pressure.

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 TBM Types and Classification

Tunnel Boring Machine (TBM) Main Types

Category TBM Type Main Ground Condition Cutting Tool

Hard or competent
Non-Shield Gripper TBM Disc cutters
rocks
Open/mechanic Firm and generally
Teeth cutters
supported face stable soils
Shield
EPB shield Clayey soil Teeth cutters

Slurry shield Sandy soil Teeth cutters

Mixed, varying, soil and Disc cutters and

Mix-shield
rock teeth cutters
Hybrid Shield
Disc cutters and
Double shield Varying, rock and soil
teeth cutters

TBM Types and Classification

Tunnel Boring Machine (TBM) Used in Rocks

TBM Type Suitable Ground Cutting Tools

Gripper TBM Competent and hard rocks Disc cutters

Open/mechanic Soft rocks, mixed ground of Disc cutters and

supported face shield rock and stable soils teeth cutters

Varying and mixed ground of Disc cutters and

EPB mix shield
rock and clayey soil teeth cutters

Varying and mixed ground of Disc cutters and

Slurry mix shield
rock and sandy soil teeth cutters

Varying ground of rock and Disc cutters and

Double shield
stable soil teeth cutters

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 TBM Types and Classification

Gripper TBM

• Competent strong rocks

• No protective shield
• Grippers to hold machine
© AlpTransit Gotthard

© AlpTransit Gotthard

TBM Types and Classification

Shield TBM

• Poor, weak, unstable and

caving-in grounds
• Shield to protect ground
around
• Support lining installed © Robbins

inside the shield

© Herrenknecht
10 m 50 m

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 TBM Types and Classification

Shield with Mechanic Face Support

• Face partially protected by mechanical elements

• Soils stable at excavation face

© Lovat

TBM Types and Classification

EPB (Earth Pressure Balance) Shield

• Face supported by pressurizing soil in cutterhead

chamber
• Excavated soil removed by screw conveyor

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 TBM Types and Classification

Slurry Shield

• face supported by pressurizing bentonite in

cutterhead chamber
• Muck removed with bentonite circulation

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TBM Types and Classification

Double Shield

• Two shields, back shield with grippers

• Function as single shield by close two shields
• Function as gripper TBM, excavation and lining
installation simultaneously
Gripper

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 TBM Cutterhead and Cutters

TBM Cutterhead

Rock TBM cutterhead is mounted with roller disc

cutters.
Discs are positioned to have
a linear cutting spacing of
typical 80-100 mm,
depending on rock strength.
Cutterhead is pushed to
rock and rotate, to penetrate
and excavate.

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TBM Cutterhead and Cutters

Roller Disc Cutters

Single discs are generally

used. Double discs are
installed typically in the
centre.
Disc size is in the range of
400-500 mm (15-20 inches). Cutter Size Progress
Cutter ring uses high-alloy 1950s: 280 mm
tool steel for hard rocks. 1970s: 356 mm
1980s: 483 mm
1990s: 500 mm
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 TBM Cutterhead and Cutters

Cutter Load and Loading

Rate

Maximum cutterhead rotation

speed is up to 50 RPM.
Maximum cutter force is up to
400 kN/cutter.
Cutter load on rock is quasi-
static to dynamic, with © crecg.com

loading rate up to 104 kN/s or “Caucasus”, world largest shield hard

rock TBM, 15.08 m diameter, 182 m
105 MPa/s. length, 22,600 t thrust, 9,900 kW power.

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TBM Cutterhead and Cutters

Rock Cutting by Roller Disc Cutters

By pushing and rotating cutterhead on rock, roller

disc cutters penetrate rock, break and cut away
rock.

Rock face excavated by

TBM, with concentric
circle lines marked by
the indentation roller
disc cutters

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 TBM Rock Excavation and Models

Rock Breaking by Roller Disc Cutters

Rock excavation is by indentation, fracturing, and

chipping under the spaced rollers cutters.
Rock fracturing is primarily governed by the
interaction between cutter force, cutter spacing,
and rock mechanics parameters.

Cutter Spacing

Rock fracturing
and chipping
by disc cutters
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TBM Rock Excavation and Models

TBM Penetration Rate and Rock Parameters

Prediction Model Rock Material Parameter Reference
Ozdemir et al (1977),
CSM model UCS, UTS
Rostami (1997);
Brittleness, hardness,
NTNU model Bruland (1999)
abrasivity, porosity
Gong and Zhao
RMC model UCS, brittleness, RQD
(2009)
Hassanpour, Rostami
FPI model UCS, RQD
and Zhao (2011)

QTBM model Q-value Barton (2000)

Gehring (1995);
Alpine model UCS, BTS, RQD
Wilfing (2016)

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 TBM Rock Excavation and Models

CSM (Colorado School of Mines) Model

CSM model is based on statistical analysis of

laboratory full scale linear cutting tests of roller
disc cutters on
various rocks.
Rock parameters
in the model are
UCS and UTS. Variation of normal force as a
function of penetration for various
spacing values (Rostami 2008)

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TBM Rock Excavation and Models

CSM (Colorado School of Mines) Model

Ft = Total forces acting on the disc

! σ#" σ! S
F! = C T R ϕ C = Constant equal 2.12
ϕ TR T = Disc cutter tip width
R = Disc cutter radius
R−p 𝜙 = Angle of the contact area
ϕ = cos $% 𝜎c = Rock uniaxial compressive
R strength
Ozdemir et al. (1977),
𝜎t = Rock tensile strength of rock
Rostami (1997) S = Disc cutter spacing
p = Cutter penetration per
revolution
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 TBM Rock Excavation and Models

NTNU (Norway Univ M!"# %

p=
of S&T) Model M$

NTNU model uses

multivariable regression
(Bruland 1999)
and charts to determine
relevant parameters. M!"# %
p=
M$
The penetration curve is
based on rock mass and
TBM parameters.
(Bruland 1999)

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TBM Rock Excavation and Models

NTNU (Norway Univ of S&T) Model

) Mekv: Equivalent cutter thrust
M&'( M1 and b are
p= selected by force (kN)
M% kekv charts
M1: Critical cutter thrust force
(necessary thrust to achieve
k &'( = k +$!,! k -./ k 0,1
1 mm/rev)
) b: penetration coefficient
k"#$%$ = % k"& − 0.36 (n − 1) kekv: Equivalent rock fracturing
&'( factor
ksi: Fracturing factor for no. i
Ks-tot: Total rock fracturing factor
fracture sets kDRI: Correction factor for rock
n: Number of fracture sets DRI
(Bruland 1999) kpor: Correction factor for rock
porosity 22

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 TBM Rock Excavation and Models

RMC (Nanyang Technological Univ) Model

RMC (Rock Mass Characteristics) model is based

on data of TBM field tests and laboratory disc cutter
cutting tests.

(Gong and Zhao 2009)

(Gong and Zhao 2009)

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TBM Rock Excavation and Models

RMC (Nanyang Technological Univ) Model

BI = BI(%) p$" (Gong and Zhao 2009)

BI(%) = 37.06 σ4.#6

" B7$4.% 0.84 e$4.489( + e$4.4: +7;;<=4
BI: rock mass boreability index
BI(1): Specific BI, defined as a BI at the p at 1mm/rev
p: TBM penetration rate
c: power exponent, ≈0.75
𝜎c = Rock uniaxial compressive strength
Bi: Rock brittleness index
Jv: Joint volumetric count
𝛼: Angle between the tunnel axis and joint plane
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 TBM Rock Excavation and Models

FPI (Field Penetration Index) Model

FPI model is an
empirical model
based TBM rock
excavation
projects.
(Hassanpour, Rostami, Zhao, 2011)

Field Penetration
Index (FPI) is
governed by rock
UCS and rock
mass RQD.
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TBM Rock Excavation and Models

FPI (Field Penetration Index) Model

60 RPM Fn FPI = exp(0.008 𝛔c + 0.015 RQD + 1.384)

ROP =
1000 FPI Field Penetration Index
Prediction Chart

ROP (TBM penetration rate): FPI (kN/mm/rev)

meter/hour
RPM (TBM rotation speed):
rev/min cu
lty
ffi
di
Fn (average load on cutter): rin
g
ab
ili
ty
Bo st
(kN/cutter) ou
nd
Gr
FPI (Field Penetration Index):
kN/mm/rev

(Hassanpour, Rostami, Zhao 2011)

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 TBM Rock Excavation and Models

Rock Parameters for TBM Rock Cutting Rate

Rock material:
Rock strength is the most important parameters.
Uniaxial compressive strength are used commonly.
Tensile strength are used often.

Rock mass:
In situ rock mass fracture intensity are important,
expressed by RQD or Jv. Rock mass quality Q or
RMR can be used.

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TBM Rock Excavation and Models

TBM Advance Rate and Performance

TBM overall advance rate or performance, e.g.,

daily, weekly or monthly, depends not only on cutter
penetration rate, but also on TBM utilization
including cutting tool wearing.

Average TBM utilization before and after modification for T05

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 TBM Rock Excavation Challenges

Hard and Abrasive Rocks

Extremely hard and abrasive rock will cause

excessive cutting tool wear and damage. Hence
lead to more repair and replacement, higher costs
and more down-time.
Tungsten carbide button bits may
add to roller disc cutter.
Microwave may be use to weaken
the rock before TBM cutting.

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TBM Rock Excavation Challenges

Mixed and Changing Grounds

When TBM in rock-soil, bouldery and frequent

changing grounds, cutting tools may suffer high
damage and unstable face pressure.
Better control of TBM operation, e.g., lower RPM.
Longer screw conveyors for EPB control.

In this case, 2/3

of downtime is
associated
with cutters

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 TBM Rock Excavation Challenges

Fractured and Blocky Rocks

Fractured and blocky rocks have uneven excavation

face, lead to wear and damage of cutting tools and
cutterhead front.
Reduce dynamic impact on cutters
by better control of TBM forces
and speed.
Add protective measure to the
cutterhead to protect cutters, e.g.,
welding steel protectors on the
cutterhead front.
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Rock Excavation by TBM

Session Summary

• TBM Types, Classifications and Functions

• TBM Cutterhead and Roller Disc Cutters
• TBM Cutting Rate and Prediction Models
• TBM Rock Cutting Challenges and Solutions

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