1.

INTRODUCTION
Prof. Feng Zi Liang said that the optimisation is an
eternal subject of the human being. In a broad view,
it is true. During six major time periods of human
civilization, whenever in agriculture period around
1000 B.C., or recent civilization in the 20th century,
all fruitful achieves were from optimisation devotion
of human beings. In a narrow view, as a tunnel engi-
neer, I thought that the developments of tunnelling
technologies are the progress of optimisation of our
field. One apparent example is the mechanical opt i-
misation design of tunnel lining structure and anchor
support system. The continuous optimisation of an-
chor support system and the development of NATM
lining support design theory are almost of synon-
ymy. Until now, most of the optimisations of tunnel-
ling technologies are focus on structural bearing ca-
pacity, and shield tunnelling technology is not an
exception. However, some other aspects beyond
structural part are also in need of optimisation. One
typical example is determination of tunnel segment
width. Based on the information I gathered, the
range of segment width is in between 1m to 2m. To
a specific condition, there is a best value for segment
width. It will make the lowest cost of the tunnelling
and mean time the shortest period of construction.
From a mathematical point of view, it is a problem
of multi-objective optimisation. They are the prob-
lems in which contractors are very interested, but
unfortunately few research publishes were seen in
this field. Therefore, this paper will discuss this sub-
ject to gain some direct social benefit and economic
solutions.



2. TREND OF SHIELD TUNNELLING TECH-
NOLOGY

The trend of shield tunnelling technology in the new
Century can be summarised in four words, that is:
deep, big, long, quick.

Deep. With the further development of the un-
derground space, there is a trend that the tunnels are
being dug deeper. Some sewage tunnels have
reached the depth of 50m and the overburden of Alp
Transit Project has over 2300m.The overburden of
the planned project --- West line of water diversion
project from south to north of China will be about
1500m. In deep tunnels, how to reduce the tempera-
ture during construction period has became a new
challenge to tunnel engineers. The cost for this
treatment will be a significant part of the total cost.

Big. The maximum diameter of shield tunnel-
ling until today is 14.20, the planned Chung Min
tunnel in Shanghai will challenge new size of diame-
ter.

Long. The single water tunnel with a length of
47km has been built in China. The length of the
planned project --- West line of water diversion pro-
ject from south to north of China will be over
100km. With the development of the long tunnel
building technology, it will be possible to connect all
continents with tunnels, therefore the function of
tunnels will be enlarged.

Quick. Shorter periods of tunnel construction
means a reduction of construction cost and less in-
fluence to other human activities. The fastest driving
speed in double shielded TBM has reached
113.21m/day in China project. To achieve continu-
Optimisation method in shield tunnel construction

Bai Yun
Shanghai Urban Construction Group
ABSTRACT: Optimisation in shield tunnel engineering has been discussed in this paper. As an application
example, Lagrange multiplier method is used to determine the best number and location of the rail switches of
single rail system for locomotive transportation during shield driving period. Meanwhile the optimum model
of double rail system is also proposed. The comparison between double rail system and single rail system has
been made. The results deduced in this paper can be used for technical proposal of EPB shield tunnelling pro-
jects.

ous driving with shield as with double shielded
TBM. Tunnel specialists in the world have made
great efforts. Although it was realised in the Nether-
lands with Herrenknecht Machine, the wide range of
use with this type of machine still needs more effort.
Another effort to increase shield driving speed is to
improve the logistic system, e.g., transportation
muck and segment in a continuous way, optimise the
number and location of the rail switch for railed
transportation method in construction period.

Deep, big, long are quantities to de-
scribe the geometric size of the tunnel. They are de-
termined by the function of the tunnel. Quick is
a time related physical quantity to describe the pe-
riod of shield construction. Time is a quantity, which
can be changed through technical measures, so we
will set time as an objective function when we apply
optimisation method.

3. OPTIMISATION PROBLEMS FOR SHIELD
TUNNELLING

The optimisation problems can be seen in all stages
of shield tunnel engineering. I will describe as fol-
lows:

3.1 Optimisation Problem in Project Purchase Pe-
riod

Different project purchase methods will influence
the construction procedures and results. As market
economy is always inclined to the customer, the pro-
ject purchase method is determined by the owner.
The owner will select one of the limited purchase
methods based on their own capacity and require-
ments. As the direct benefit of the owner may not
be the same as the overall benefits of human being,
the purchase method adopted by the owner may not
be the best. Project purchase is a problem which is in
need of optimisation.

From my point of view, the adoption of project pur-
chase method should consider more aspects as Engi-
neering features, project functions and influence to
outside environment instead of owners benefit only.

3.2 Optimisation Problem in Engineering investiga-
tion Period

The knowledge and methods used in engineering in-
vestigation are wide. In principal, optimisation
method can be used in investigation design and
evaluation of the test results. The optimisation
method has applied in evaluation of sand liquefac-
tion.




3.3 Optimisation Problem in Project Design Stage

The optimisation method is well developed in this
field. Under the long-term effort of professionals,
designers can easily find different software to solve
optimisation problems in the structural design stage.
However, there is still some room which needs to be
developed. For example: optimisation problems of
shield selection, determination of segment width,
type and material of connectors, tunnel ventilation
system, etc.

3.4 Optimisation Problem in Construction Stage

The construction methods are normally determined
based on contractor experience and local practice.
There is little theoretical research to optimise the
construction method. However, optimisation prob-
lems of shield construction cover the whole stage
construction stage.

3.5 Summary

From experience, the above three mentioned optimi-
sation types have the following characteristics:

1). Some problems share common points and are
complicated in view of mathematics. Theoretical
models are therefore needed to be set up. For exam-
ple, the optimisation problem of segment width and
the design of rail switch.

2). Some problems share less common points or are
simple in view of mathematics. Theoretical models
therefore do not have to be set up. For example, the
soil strengthening method outside the soft eye of
shield working shaft can be got through separate
calculation of different soil improvement method
and then comparing the results. DAT (Decision Aids
For Tunnelling) developed by H.H.Einstein can be
utilised for calculation of the tunnel construction pe-
riod, resources needed and cost.

4. THEORETICAL MODELLING FOR RAIL
DESIGN

In middle or large sized tunnels, transportation of
muck and segments are normally through rail.
When shield drives, transportation, segment erection
and shield driving are interrelated factors. When the
tunnel length is relatively long, horizontal transpor-
tation will be the neck of the whole system. To in-
crease the efficiency of the horizontal transportation,
we can arrange switch along the rail or adopt double
switch system. So-called optimisations here is to
achieve the fastest transportation speed when select
rail type or arrange the switch(es). In this paper, op-
timisation analysis will be made for the design of
single rail with switch(es) or comparison of double
rail system and single rail with switch(es) system.

4.1 Analysis Procedure

The analysis procedure can be presented by Figure
1.

4.2 Optimisation Analysis for Single Rail with
Switches

1). Basic Assumptions
A. There are number m Switch Switch in the
Shaft is not included. As switch is not movable, the
distances between all switches are the same. Under
the optimum situation, all locomotives need not wait
for each other and leave switch only locomotive ar-
rives at the same switch. This assumption ensures no
risk of locomotive collision.
B. The numbers of locomotives is m+2.

2). Basic Calculation Parameter and Element
Analysis
B Segment Widthm
T
v
Time for one vertical transportation of muck
and segment
L Shield driving length
t
1
Time for one meter drivemin/m
V
1
Shield driving speedm/min
t
2
Time for per ring segment erection
min/ring
t
3
Time of horizontal transportation for one
ring segment and muckminute
m number of switches in integer
m+2number of locomotivesin integer;
L
2
, Length of Switchm;
L
3
, Distance between switch, m;
V
3
Locomotive speed, m/min;
V
2
Locomotive speed in switch aream/min;

Element Analysis
Suppose: for one ring drive, need n times loco-
motive transportation, then we can use figure 2 to
present element analysis:

3). Optimum Modeling
The arrangement of switches is as in Figure 3.

Suppose objective function is one cycle time of lo-
comotive, then we can get:

---- (1)

Constraint function:

In formula (1)L
3
m and

l are variable, of which

m is integer, so formula (1) is non-linear mixed in-
teger programming problem.
Branch and bound procedure will be adopted
here:
In accordance with Lagrange Multiplier Method,
first add slack variables to inequalities in constraint
function so as to change inequalities to equalities:



Induce Lagrange function:


The necessary conditions for optimisation solutions
are:

2 2 3
2
1 3
3 2
2 3
2
1 2
1
3
3
2
3 3
1
3
3 2 1
2
2
3
3
) (
0 2
0 2
0
2
0
2
0 ) ( 2
1
2
X
B l l
X L L
L L m L L
X
X
G
X
X
G
V
m
V
m
L
G
V L
G
L L
V
l
V
l
m
G
+

+ +

,
_

From above eight equations, we can get eight un-
known numbers. Let us make analysis:

From 0
1 2
X 0
2 3
X , we know that there are
only eleven situations (see Table 1).
1
1
]
1

+ + +

,
_

+
2 2
2 min
1 3 2
2
3
3 v
T
nV
B
V
L
V
L
V
L
m f

2 3
3
3 2
B L L
L L
mL mL L L
x
x

+ +
( )
2
1 2
2
3
3
2
2
1 3 1
) (
X
nV
B
V
L
V
L
x g
X L L x g x
+

,
_

+
+
1
1
]
1

,
_

+ + + +
+ +
1
1
]
1

+ + +

,
_

+
2
2
1 2
2
3
3
3
2
1
3 2
3 2
1
1 3 2
2
3
3
3 2 1
) (
) (
2 2
2 ) , , , (min
X
nV
B
V
L
V
L
X L L
mL mL L L
T
nV
B
V
L
V
L
V
L
m f G
v

2
2
1 2
2
3
3
2
1 3
3 2
2 3
2
1 2
1
3
3
2
3 3
1
3
3 2 1
2
2
3
3
) (
0 2
0 2
0
2
0
2
0 ) ( 2
1
2
X
nV
B
V
L
V
L
X L L
L L m L L
X
X
G
X
X
G
V
m
V
m
L
G
V L
G
L L
V
L
V
L
m
G
+

+ +

,
_

After calculation, we see that only situation 8 has so-
lution, therefore the optimum solution of situation 8 is
also the optimum solution of the problem.


L=(m+1)L
3
+mL
2
--- (2)

formula (2) is the only one solution of for-
mula(1)let us discuss to formula (2):
A. If m=0, we can get the optimum length of tunnel
without switch:






It is easy to find that:

Increase the power of locomotive will reduce n
value, it means increase maximum tunnel length
without adding switch

Increase B value will increase maximum tunnel
length without adding switch

Take Shanghai metro project as an example, we
know that n =6, B 1m, V
1
=0.03m/min,
V
2
=50m/min, V
3
=160m/min, therefore maximum
tunnel length without switch729m

B. Due to the special structure of the solution for-
mula which is caused by the fixation of L
3
, If we get
L
3
value, we need to suppose m value, then we can
get L value, this causes the exemption of branch and
bound procedure.

CThe relationship between tunnel length and the
number of switch is linear.

4). Calculation of One Ring Drive Time
The consumption time of one ring drive by shield
can be got based one the optimisation modeling es-
tablished earlier.

Let us first suppose:
T: Time for one ring drive by shield;
n: number of transportation circles needed for one
ring drive;
T
1
: one cycle time of each locomotive(that is: Objec-
tive function).
T
2
: Time for one section transportation between two
switches for each locomotive.
Then we get:

T=T
1
+(n-1)T
2
--- (3)

Substitute (1) and (2) into (3), we get:


Take Shanghai Metro Project as an example, we can
suppose: n=6, B=1m, V
1
=0.03m/min, V
2
=50m/min,
V
3
=160m/min, L
2
=50m, L
3
=729m and T
v
is negli-
gible if compare with T, then we know that under
the condition of L=779m+729 (dimension is meter),
T=70.228+11.112m (dimension is minute). ---(4)
From above solution, we know that with the increase
of m value(it implies increase of tunnel length), T
is increased with a fixed value.

4.4 Optimisation Analysis for double Rail without
Switch

1). Basic Assumptions
Suppose that two rails are fixed for two direction
transportation and there are at least two locomotives
that will be used. The Y type movable switch is used
for connecting shield and rails. To be so called op-
timisation, the number of locomotives will be
enough to ensure no additional stopping of shield
drive due to waiting locomotive.

2). Optimum Modeling
It is obviously that the optimum modeling for dou-
ble rail system is much easier than single rail with
switch(es) system. It can be expressed as follows:


---(5)
In above formula, M stands for the number of lo-
comotives and other symbols are as same as earlier
formulae.

3). Calculation of One Ring Drive Time
It is obviously that:

( )
( )
2 3
2
2
1 2
2
3
3
1
2 ) 3 2 ( 1
mL L m L
T
V
L
nV
B
m n
V
L
V
L
T
v
+ +
+ + +

,
_

+
1 3
1 3
1
2
2
nV
B
T
MV
L
T
nV
B
V
L
T
v
v
+
+ +
3
2
3
1 3
2
2
2
nV
B V
L
T
V
B
V
L
T
M
M

+ +

3
2
2
1
3
V
V
L
nV
B
l

,
_

3
2
2
1
3
1
max
V
V
L
nV
B
l l

,
_

---(6)
whereas,
T
3
: time for two locomotives change position be-
tween Y type movable switch behind shield working
face;
L
M=2
: the maximum tunnel driving length without
additional time consumption due to two horizontal
locomotives transportation.
Again take Shanghai Metro Project as an example,
we can suppose: n=6, B=1m, V
1
=0.03m/min,
V
3
=160m/min, and T
3
is negligible if compare with
T, then we know that under the condition of
M>/=0.00225L (M must be in integer are more
than one),
T=38.886(dimension is minute). ---(7)
From above solution, we know that with the in-
crease of tunnel length, T remains constant value if
locomotive is sufficient.

4.5 Comparative Analysis between double Rail sys-
tem and Single Rail system

Figure 4 and Figure 5 are from formula (4) and for-
mula (7).

From Figure 4, we can see that when tunnel length is
shorter than 3000m, the number of locomotive of
single rail system is more than the number of loco-
motive of double rail system; when tunnel length
longer than 3000 m, the number of locomotive of
single rail system is less than the number of locomo-
tive of double rail system.

From Figure 5, we can see that the shield drive time
for per ring of single rail system is always longer
than double rail system and its difference is in-
creased with the increase of the number of locomo-
tive.
It is obvious that when the tunnel length is shorter
than 3000 m, double rail system is better than single
rail system in view of EPB driving time and locomo-
tive cost. However when tunnel length is longer
than 3000 m, it will need further multi-objective
analysis to identify which system is better.

5. CONCLUSION

The essay has described the optimisation problems
of the whole st age of shield tunnel engineering. As
an application of optimisation method, the author
presents the whole process of solving optimisation
problem of rail switch design during EPB shield
construction period. The author has also set up the
optimum model for double rail system. The com-
parison between double rail system and single rail
system has been made. The result of this paper can
be a tool to design rail system for technical proposal
and will bring economic benefit.

6. REFERENCE

- Jie Ke Xing etc Optimisation method
Jian Jing University Press1997(Chinese)

- <<Operation Research>> working Group
Operation ResearchQing Hua University
Press1990(Chinese)

6
Figure 1: Analysis Procedure for Transportation Method Selection














If l<
l
1
min
, then




if non-switch is better


small
diameter
tunnel if double rail is better










Select Transportation Type
Decide suitable Transportation Type
Setup Models for Comparison
In-put Parameters for Comparison
Calculate switch Number
Compare with Double Rail
Consider Non-switch option
Calculate max. Optimum Length with no switch
l
1
min


Single rail without switch
Double Rail Option
Compare other Option
End
7
Figure 2: Element Analysis of Transportation during Shield Construction Period







Muck out n times








Figure 3: Arrangement of Switches
Table 1: Summary Table of Possible Solutions
situation 1 2 3 4 5 6 7 8 9 10 11
2
0 0 0 0 0 0 0 0 0 0 0
1
X 0 0 0 0 0 0 0 0 0 0 0
3
0 0 0 0 0 0 0 0 0 0 0
2
X 0 0 0 0 0 0 0 0 0 0 0

















Start drive Segment transport Shield drive
Transport grouts
Erect segment
L 2 L 3 L 3 L 2 L 3 L 2 L 3 L 2 L x L 2
8
Figure 4. The relationship between locomotive number and tunnel length under the condition of optimum.
(The calculation parameter is from Shanghai metro tunnel)



Figure 5. The relationship between locomotive number and EPB driving time under the condition of
optimum. (The calculation parameter is from Shanghai metro tunnel)

0
1 0 0 0
2 0 0 0
3 0 0 0
4 0 0 0
5 0 0 0
6 0 0 0
7 0 0 0
8 0 0 0
0 3 6 9 1 2
L o c o m o t i v e N o . ( M)
L

s i n g l e r a i l L ( m )
d o u b l e r a i l L ( m )
0
20
40
60
80
100
120
140
160
180
0 3 6 9 12
Locomot i ve No. ( M)
T

m
i
n
.

s i n g l e r a i l T ( mi n . )
d o u b l e r a i l T( mi n . )