Dr.-Eng. E.h.

Martin Herrenknecht
Microtunneling with Herrenknecht MicroMachines
Friday, March 28, 2003, Colorado School of Mines

Microtunneling with Herrenknecht MicroMachines

1. Introduction
Infrastructural measures are the base for a proper functioning of todays life and
performance standards taking in account the private and economical aspects and
expectations.
Rising demands, further developments and requirements in reconstruction of existing
infrastructure are one of the todays major challenges in keeping high level standards.
The technology of installing underground infrastructural systems has been improved
over the last decades. There is a basic devision to trench (conventional / open) method
and trenchless construction methods.
Microtunneling is characterised by:
Trenchless construction
Pipe Jacking
Remotely controlled execution
Most cost efficient method of pipe installation taking in account the direct and
indirect cost
Apart from start and reception shafts no further environmental, economical and
social disturbances (surface, traffic, noise, vibration, etc.)
Minimized excavated material = minimized settlement and disposal
Very accurate installations ( 1 inch = 25mm and better)
No requirement of dewatering (e.g. ground water level)
For further discussions the entire underground infrastructure has to be divided into
specific segments. The base for a sensitive splitting could be to divide the underground
infrastructure into service and traffic lines. The pictures below are showing the major
fields of application, where Microtunneling technology is applicable.

Picture 1: Microtunneling Range of Application / Utility

The following items are the decision criterions for the execution of those kinds of
infrastructure:
Development of new infrastructures,
Extension of existing lines,
Refurbishment of existing systems,
Replacement of destroyed constructions.

Page 1 of 13

Dr.-Eng. E.h. Martin Herrenknecht

Microtunneling with Herrenknecht MicroMachines
Friday, March 28, 2003, Colorado School of Mines

2. Herrenknecht AVN Technology

2.1 Introduction
AVN stands for:
Automatischer = automatic the machine is remote controlled by a steering container
Vortrieb = driving tunneling
Na = wet material conveyance via flushing (slurry) circuit
These machines are designed as full face tunneling machines. The cutting wheel can
be rotated in both directions. This enables the rolling effect to be corrected easily.
1. cutting wheel
2. extraction tool
3. crusher space
4. nozzles
5. main bearing
6. rotation drive
7. shield articulation seal
8. steering cylinder
9. conveyor pipe
10. supply pipe
11. ELS target
12. laser beam
13. bypass
14. valve block

AVN 250-700
Picture 2: General Layout AVN 250 - 700

The soil is mixed with the flushing agent and subsequently transported to the surface
through the conveyor pipe by the discharge pump. On the AVN 250-700 machines the
flushing agent is conveyed through the centre of the machine by the drive shaft (hollow
shaft). Regarding the AVN 800-1200, a suction pipe for removing the flushing agent is
installed directly behind the cone crusher.
By quickly and simply installing an extension shell all machines can be extended by one
stage. The basic design of this machine enables deployment in soils from silt, through

1. cutting wheel
2. hard metal tools
3. crusher space
4. cutting head nozzles
5. main bearing
6. rotation drive
7. articulation seal
8. steering cylinder
9. conveyor pipe
10. ELS target
11. laser beam
12. bypass
13. hydraulic block

AVN 800 - 1200

Picture 3: General Layout AVN 250 - 700

cohesive soils, to rock. A machine version with a rock cutterhead, however, is only
possible from DN 400 onwards. A high pressure nozzle system can be deployed for
operation in cohesive soils. Recognition of the position and location are enabled by the
ELS measuring system. Fuzzy logic control enables automatic steering.

Page 2 of 13

Dr.-Eng. E.h. Martin Herrenknecht

Microtunneling with Herrenknecht MicroMachines
Friday, March 28, 2003, Colorado School of Mines

The Herrenknecht Microtunnelling Machine Department has developed slurry shields of

the
T series (T = Tr Access Hatch)
D series ( D = Druckluft Hydroshields)
and successfully deployed them throughout the world.
With slurry machines the extraction chamber is filled with the support and conveyance
medium. The conveyance medium is only introduced to the extraction chamber via the
cutting head or the ring chamber nozzles. The conveyance takes place via the conveyor
conduit which begins at the conveyor case which is connected in the lower area of the
pressure chamber. The support of the working face is achieved by the combination of
the conveyor and feed pumps. It is, therefore, unnecessary to use compressed air
regulating equipment. When the machine is deployed as a hydroshield compressed air
regulating equipment is used. The pressure compensation between the extraction
chamber and the pressure chamber is implemented via the communicating pipes.
2.2 T - series slurry shields
The free centre drive of this machine type allows it to be entered through a door to the
working face. This allows obstacles, e.g.sheet piles, steel girders, boulders, etc. to be
removed. Tunnelling in rock can be extended to previously unimaginable retention
lengths of over 500 m due to the fact that it is possible to replace worn out roller bits.
This makes it possible to reduce the number of intermediate shafts which results in a
considerable reduction of the construction costs. An extremely high moment of torsion,
at 260,000 Nm, enables safe tunnelling, even in noncohesive rough gravel. In ground
which runs through ground water it is possible to pressurize the machine and the tunnel
with compressed air in order to change tools or remove an obstruction. For rock
tunnelling, an optional telescope station can be integrated in themachine. This allows
the machine impact to be precisely controlled.
1. cutting wheel
2. extraction chamber
3. crusher space
4. main bearing
5. gear unit
6. drive motor
7. conveyor conduit
8. pressure wall door
9. supply conduit
10. articulated shield seal
11. steering cylinder
12. target
13. telescope cylinder
14. bypass
15. gripper
16. gripper cylinder
17. pressure wall lock
18. lock
19. lock seat
20. lock door

Picture 4: General Layout T-Series

Page 3 of 13

Dr.-Eng. E.h. Martin Herrenknecht

Microtunneling with Herrenknecht MicroMachines
Friday, March 28, 2003, Colorado School of Mines

2.3 D - series slurry shield

Hydroshields are more flexible in their geological areas of deployment than slurry
shields as they can be deployed better in variable soils. The most significant design
characteristic of a hydroshield is the extraction chamber which is divided into two areas
by a submerged wall. A compressed air bubble in the rear chamber regulates the
supporting pressure at the liquid supported working face. The most important advantage
of this is that the control of the supporting pressure and the amount of throughflow in the
conveyor circuit are separated from one another.
The liquid from the rear chamber forms a type of buffer volume which compensates for
a sudden loss of the supporting liquid without a loss of supporting pressure at the
working face, e.g. when advancing in interference zones. Changes in the volume of
liquid can also be made without influencing the supporting pressure. The machine can
be easily switched over to slurry mode (also underground).
1. extraction equipment
2. extraction chamber
3. crusher space
4. submerged wall
5. main bearing
6. compressed air cushion
7. drive motor
8. bentonite filling
9. level of bentonite liquid
10. entrance hole
11. conveyor conduit
12. pressure wall
13. steering cylinder
14. bypass
15. drive pump
16. oil tank
17. lock wall
18. man lock
19. compressed air regulating equipment

Picture 5: General Layout D-Series

Page 4 of 13

Dr.-Eng. E.h. Martin Herrenknecht

Microtunneling with Herrenknecht MicroMachines
Friday, March 28, 2003, Colorado School of Mines

2.4 Water circuit

The water circuit transports the soil during pipe jacking. It consists of the following
components:

sedimentation tank, flushing pond or separation

plant
supply and conveyor pumps
tunnel conduits
hydraulically controlled bypass
flow measurement devices
water distribution in cutting head

Picture 6: Separation Plant

Picture 7: Flushing Circuit

The soil is mixed with the flushing water (water or water bentonite suspension) and then
transported by the conveyor pump(s) through the tunnel conduits to the surface. The
speed of the pumps regulates the amount of discharge and, thereby, the speed of the
flow. They have to be adapted to the advancing retention length and depth of the shaft
in order to overcome the increasing hydraulic losses and to prevent the material being
transported from settling.
2.5 High pressure nozzles
The high pressure nozzles are designed for operation in cohesive soil, such as loam or
clay. In these soils pipe jacking with flushing creates
problems. When a crusher is used the extraction material
has to be conveyed through grain sized extraction
openings. If these openings are blocked the material
compacts in the crusher space and forms a rotating
material cone which cannot be dissolved by the normal
flushing system. As a result, the amount of material
conveyed is reduced producing a negative effect on
Picture 8: High Pressure System
tunnelling performance.
To counteract this, Herrenknecht installed the nozzles
in the crusher cone. By injecting high pressure water
via these nozzles the material cone build-up can be cut
up and removed via the liquid conveyance system.
This technical advance has increased the tunnelling
performance in cohesive soils by a factor of 2 or 3.
Picture 9: High Pressure Nozzles
Page 5 of 13

Dr.-Eng. E.h. Martin Herrenknecht

Microtunneling with Herrenknecht MicroMachines
Friday, March 28, 2003, Colorado School of Mines

2.6 The Cone Crusher

In principle, all AVN tunnelling machines can be equipped with a crusher so that the
stones and blocks in the pipe route can be broken
down to a transportable size.
The installation of the crusher in the immediate
area of the cutting head of the tunnelling machine
significantly expanded the areas of deployment
for pipe jacking in loose rock with grain sizes
exceeding 50 mm. Depending on the type of
machine being used, the upper limit of the stones
which can be handled extends to a grain diameter
of up to 40% of the diameter of the cutting head.
Picture 10: Cone Crusher

The crusher works like a cone crusher according to the principle of a "coffee grinder".
Inside the machine there is an internal cone with crusher bars. The crusher arms on the
back of the cutting wheel form the counterpart to it. The material is broken up between
the stationary crusher bars of the internal cone and the rotating crusher arms of the
cutting wheel.

Page 6 of 13

Dr.-Eng. E.h. Martin Herrenknecht

Microtunneling with Herrenknecht MicroMachines
Friday, March 28, 2003, Colorado School of Mines

3. EPB Technology
In Microtunneling EPB technology is distinguished by the muck conveyance system.
Tehe excavated material is transported by muck skip (car conveyance) or by muck
pump (thick matter conveyance).
3.1 EPB with car conveyance
The excavated material from the removal screw conveyor is deposited on a loading belt
which generally runs to the loading position of the conveyor system. In a trackless
system a conveyor bucket with a winch system takes over the soil transport. The
conveyor bucket travels directly over the tunnel lining. A conveyor bucket with winch
system is deployed for short tunnels, as it is extremely simple and economical. For
longer tunnels rail systems with locomotives are preferred. In general, for shaft
operation at the end of the tunnel, additional material handling is necessary for dry
transport out of the shaft to the intermediate depot above ground.
1. cutting wheel
2. extraction chamber
3. drive shaft
4. epicycloidal gear
5. electrical drive motor
6. screw conveyor
7. screw drive
8. steering cylinder
9. shield articulation seal
10. hydraulic tank
11. electric motor
12. main electricity supply
13. ELS target
14. telescope cylinder
15. discharge slide gate
16. discharge pipe
17. cable winch
18. thick matter conveyor

Picture 11: General Layout EPB Car Conveyance

3.2 EPB with Thick Matter Conveyance

The extracted material is transferred to a thick matter pump behind the extraction
chamber. The thick matter pump is a fully hydraulic two cylinder piston pump. The
material is suctioned out of the tranfer container into the conveyor cylinders. In the final
position, a pipe shunt connects the conveyor cylinder to the conveyor conduit. The
material is pressed into the conveyor conduit by the lifting movement and transported
out of the tunnel. Conditioning of the extracted material, as well as the deployment of
ring nozzles for lubrication in the conveyor circuit, also enables long distance tunnelling.
The closed connections between the the screw conveyor and the pump allow safe
operation, even with high ground pressure and a high proportion of water.
1. cutting wheel
2. extraction chamber
3. drive shaft
4. epicycloidal gear
5. articulated shield seal
6. drive motor
7. screw conveyor
8. discharge slide gate
9. thick matter pump
10. conveyor circuit
11. thick matter pump drive motor
12. hydraulic tank for thick matter pump
13. hydraulic tank for machine
14. hydraulic pump for machine
15. pressure wall door

Picture 12: General Layout EPB Thick Matter Conveyance

Page 7 of 13

Dr.-Eng. E.h. Martin Herrenknecht

Microtunneling with Herrenknecht MicroMachines
Friday, March 28, 2003, Colorado School of Mines

4. Long Distance Features

4.1 Excavation tools
There are open mode wheels with hard facing which can be equipped with hard metal
picks, ripper chisels or spade type cutting teeth, depending on the soil conditions.
A rock cutting head is fitted with cutter discs for pipe jacking in rock.

Picture 13: Rock Cutterhead

Picture 14: Soil Cutterhead

4.2 Access to the Extraction Space

Access to the face for replacing worn tools is particularly important for long distance tunnelling.

Tunnelling machines from Herrenknecht AG provide access to the face for nominal
diameters of 1200 mm (AVN 1200) or greater.

On microtunnelling machines with central hydraulic or electric main drives

the door is located directly over the drive unit. This arrangement can be
implemented from AVN 1600 onwards.

For microtunnelling machines with peripheral main drives the door is located
in the centre. Due to their robust support these machines were originally
constructed for rock tunnelling This construction can be implemented from
AVN 1200 onwards.

Picture 15: Access hatch

Picture 16: Tool Replacement

Page 8 of 13

Dr.-Eng. E.h. Martin Herrenknecht

Microtunneling with Herrenknecht MicroMachines
Friday, March 28, 2003, Colorado School of Mines

Inspection of the tools can be carried out quickly and simply through the opening to the
face. It is even possible to remove small obstacles.
The replacement of worn excavation equipment on the cutting wheel is made possible
by means of a special backloading system. Tools can be replaced easily underground
from the back of the cutting head without having to pull back the machine
Even when the equipment is submerged in groundwater, it can be replaced easily with
the assistance of the transfer canal system.
4.3 The Compressed Air Lock
In intact rock, as long as the flow of water along the joints is slight and can pumped out,
access to the face generally takes place under atmospheric pressure. If the tunnel is
located under groundwater, access to the face is made possible with a built-in lock
system. The air pressure is adjusted via a regulating unit in accordance with the
groundwater pressure.
When working under compressed air the applicable rules and regulations have to be
adhered to. For example, a minimum height of one and a half meters is prescribed for
locks. The smallest machine with an integrated lock is, therefore, an AVN 1400. For
smaller machines a shaft lock can be deployed.
In order to use lock technology it has to be ensured that the loss of air via the face
corresponds to the readjustment range of the air
pressure regulating unit. This protects the
operating personnel in the excavation chamber
from falling material and the sudden penetration of
water. In order to ensure good sealing of the face,
bentonite suspension which has been adapted to
the geological conditions is introduced to the
ground soil. The air pressure in the crusher space
is set to a value dependent on the geological
conditions and held constant by the compressed
air regulating unit. Subsequently, the bentonite
suspension is pumped off until it is possible to
enter the face.
Picture 17: Air Lock
The inward transfer of the operating personnel is
carried out by a trained lock operator. All of the operating and display elements required
by the lock operator are mounted on the outside of the personnel lock.
The maximum permissible operating pressure of the lock corresponds to the
requirements of the construction site (as a rule up to 3.6 bar, in exception also up to 5
bar). The entire lock equipment is inspected and approved by the responsible approval
authority. The air locks conform to the TBG regulations for working in compressed air
and the draft standard EN 12110 "Tunnelling Machines - Compressed Air Locks".

Picture 18: Air Lock General Layout

Page 9 of 13

Airlock

Dr.-Eng. E.h. Martin Herrenknecht

Microtunneling with Herrenknecht MicroMachines
Friday, March 28, 2003, Colorado School of Mines

4.4 Intermediate jacking stations

For long tunnel advances intermediate jacking stations are necessary in order to avoid
exceeding the maximum allowable jacking force for an individual tunnel pipe. Reusable
steel interjacks, which are removed after tunnelling, are usually used for small
diameters up to DN 900.
From DN 1000, single use interjacks
made of the same material as the
product pipe are used. For these, only
the interjack jacking cylinders are
dismantled after tunnelling. The seal
between the single use interjacks and
the product pipe is made with a seal for
which the tension can be adjusted.
The interjacks are advanced with the
hydraulics from the control container or,
for longer retention lengths, with an
additional
hydraulic
power
pack
installed in the pipe conduit or in the
tunnelling machine.
Picture 19: General Layout Interjacking Units

4.5 Bentonite lubrication

During pipe jacking either the complete pipe conduit is moved or, when intermediate
jacking stations are installed, long partial sections. The
result is friction on the external side of the pipe conduit.
This frictional resistance has to be overcome during the
tunnelling.During pipe jacking the bentonite suspension
serves as a means of support and lubrication. It is
pressed outwards through injection nozzles in the backup
pipe and acts as a supplement to the product pipe by
filling the ring space which results from the difference in
diameter between the cutting diameter of the extraction
equipment and the product pipe. The liquid film around Picture 20: Lubricating Unit
the pipe reduces the friction between the pipe casing and,
as a result, also the tunnelling force. For tunnelling
in loose soil the bentonite suspension is also used
to support the working face. In order to avoid
subsidence the ring gap should always be filled.
When the pipe jacking has been completed the
lubrication media can be expelled with a mixture
based on cement and water and, possibly,
additives. Once the grout has set the lubrication
pipes can be de-coupled and the openings in the
product pipe can be sealed with blind plugs.
Picture 21: Pipe Lubrication
Working Principle

Page 10 of 13

Dr.-Eng. E.h. Martin Herrenknecht

Microtunneling with Herrenknecht MicroMachines
Friday, March 28, 2003, Colorado School of Mines

5. Operation and Guidance

5.1 Control container
The AVN machines are designed as automatic, remotecontrolled, tunnelling machines. Complete control of the
tunnelling machine takes place via the control container
which is located either above or behind the launch shaft.
The control container is divided into two sound insulated
rooms, the machine room with its electrical and hydraulical
power pack components and the operation room with all
facilities required for operation and control of the tunnelling
machine.

Picture 22: Control Container

5.1.1 Machine room

The hydraulic unit for the main jacking cylinders and the intermediate jacking
stations (interjacks)
The hydraulics for the steering cylinder and bypass
The hydraulics for the cutting wheel drive
The hydraulic oil tank with filter unit
The frequency converter for regulating the speed of
the pumps in the water circuit or the screw conveyor
Voltage transformer for the main drive and conveyor
pumps for tunnelling over long retention lengths
The frequency converter for regulating the speed of
the excavation equipment during direct electrical drive
Compressed air system for cleaning purposes
The hydraulic and electrical connections to the jacking
frames and tunnelling machine
Picture 23: Hydraulic Unit

5.1.2 Operation room

The following components are operated from the control panel:

tunnelling machine
main jacks
interjack stations
bypass water circuit (AVN)
supply water distribution (>AVN700)
speed of the supply and conveyor pumps (AVN)
direction / speed of the cutting wheel
screw conveyor (EPB/AVT)
thick matter pump(s) (EPB)
steering cylinder
bentonite lubrication equipment
Picture 24: Control Panel

Page 11 of 13

Dr.-Eng. E.h. Martin Herrenknecht

Microtunneling with Herrenknecht MicroMachines
Friday, March 28, 2003, Colorado School of Mines

5.2 ELS (Electronic Laser System)

Control system for pipe jacking
In order to recognise the position of the Tunnel Boring Machine
(TBM) (horizontal and vertical deviations, the pitch and roll
tendency of the machine, the yaw angle) suitable sensor
technology is necessary to guide a TBM. ELS is an intelligent
sensor unit with a sturdy metal case. The device is roughly the
size of a shoebox and is watertight up to 5 metres submersion. It
is dry-filled with an inert gas under slight pressure. The ELS is
installed on the back of the tunnelling machine so that the
guidance laser makes contact with the target. The device is
connected via a cable which supplies the power and transmits
the measurement results.

Picture 25: Laser Target

The measurement data are transmitted to a computer via a special receiver device ELSPCA. Software in the form of a TurboPascal Unit is
runs on the computer. This processes the
measurement data and passes it on to the user
program. The ELS system consists of the following
components:
the ELS device
the ELS-PCA receiver component
the ELS-TPU TurboPascal Unit
Picture 26: Laser and Target

5.3 SLS-RV for Long and Curved Pipe Jacking

The major difficulty during pipe jacking is that the entire tunnel is constantly in motion
and it is, therefore, not possible to mark stationary points in sections of the pipe conduit
which have already been advanced in order to refer to them at a later point in time.
As a result, classical measurement would have to begin for every measurement at
"zero" in the launch shaft. As the length of the tunnel grows the amount of effort
increases, especially as classical measurement can only be carried out when the
tunnelling is not in process.
Therefore, it is only possible to
ascertain whether the machine
has drifted away from the desired
axis after a period of time has
passed
and
counteractive
measures can only be introduced
with a correspondingly delay.
The beam of the laser is in
constant contact with the active
surface of the laser target. This
enables continual determination of
Picture 27: SLS-RV Guidance System - Components
the position of the tunnelling
machine during the tunnelling. At prescribed intervals of time or distance the system
automatically orients itself in relation to the backwards connection target and
immediately afterwards determines the position of the reference pipe with the
assistance of the support point prism, as well as the actual position of the machine. In
this way deviations from the excavation route are determined and taken into account.
Page 12 of 13

Dr.-Eng. E.h. Martin Herrenknecht

Microtunneling with Herrenknecht MicroMachines
Friday, March 28, 2003, Colorado School of Mines

5.4 Gyro Tunnelling System GTS

In contrast to the procedure which has already been described, in this procedure a
target is not used. The direction seeker is not located in the pipe conduit, but directly in
the machine pipe.
The direction seeker works in the same way as it does with the NELS System and
determines the position of the
orientation module with the aid
of the gyro compass and the
inclination measuring device.
The measurement of the
absolute height takes place
according to the hydrostatic
principle. A water container is
mounted a certain distance
from a sensor which is
installed in the machine. The
hydrostatic pressure up to the
sensor is determined and this
is used to calculate the
Picture 28: GTS Guidance System - Components
absolute height.
This measurement procedure has the significant advantage that the installation of a
laser and target are no longer necessary and the gyro compass is installed directly in
the machine and not separately in the pipe conduit. This makes the system more
economical and efficient in comparison to other curve measurement systems.
5.5 Fuzzy Control
Automatic control via a fuzzy control unit, which uses the ELS target as a sensor, was
developed to assist the operator and to avoid control errors which result from a lack of
experience and carelessness.
Fuzzy control is a process which, in a relatively simple manner, provides complex
continuous
performance
characteristic control. The
behaviour of the control unit
is input in the form of rules
because these allow human
decision strategies to be
modelled. The necessary
rules have been collected
by questioning experienced
operators, investigating a
kinematic
model
of
tunnelling machines in the
ground and analysis of Picture 29: Fuzzy Control - Components
tunnelling data.
The user has the choice between manual control and automatic. During manual control
the fuzzy control unit only functions in an advisory function, i.e. it suggests the position
of the control cylinders without automatically implementing the machine control. It is
possible to switch between manual and automatic control at all times.

Page 13 of 13