Automation in Construction 20 (2011) 1087–1095

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Automation in Construction
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Determination of the cutterhead torque for EPB shield tunneling machine

Hu Shi, Huayong Yang, Guofang Gong ⁎, Lintao Wang
State Key Laboratory of Fluid Power Transmission and Control, Zhejiang University, Hangzhou 310027, China

a r t i c l e i n f o a b s t r a c t

Article history: Cutterhead torque is an important parameter for the design and operation of earth pressure balance (EPB)
Accepted 5 April 2011 shields. Based on the analysis of several completed project cases from job sites, the conventional torque
Available online 11 May 2011 determination model based on experimentation proves rough enough to be improved. Composition and
corresponding calculation method of cutterhead torque are presented, taking into account of cutterhead
Keywords:
structure, cutting principle and the interaction between cutterhead and soil. Considering a Φ1.8 m EPB test
EPB tunneling
Cutterhead torque
machine in the lab, theoretical calculation following the improved model and test are carried out with three
Calculation typical types of soils. Calculation and test results indicate that the cutterhead torque varies with geological
Opening ratio conditions apparently, and the opening ratio of the cutterhead as well as earth pressure turns out to be the
Earth pressure two most important factors in determining the cutterhead torque. The test results also show that the torque
calculation formula for EPB shield tunneling can reasonably predict the excavation torque required by the
cutterhead in clay soil tunneling, but for cohesionless tunneling, soil conditioning reduces the amount of
torque necessary.
© 2011 Elsevier B.V. All rights reserved.

1. Introduction homogeneous layer while the latter varies with the different
geological conditions. The torque capacity of cutterhead has to be
Rapid economic development and urban population growth have considered in the design stage, taking into account a range of soils
been increasing the necessity for underground space exploration and faced by the machine.
utilization due to the need of upgrading and expanding the existing This paper gives a review on the empirical formula for calculating
infrastructures. Tunneling plays a very important role in the the cutterhead torque, then analyzes the factors resulting in the load
underground engineering, providing a premium solution for those torque and creates the mathematical models. Based on the theoretical
needs with minimum surface impacts [1]. Of all tunneling methods, modeling, the experiments are carried out on a tunneling test rig to
EPB tunneling performed by EPB shield tunneling machines has verify the torque determination method for cutterhead drive of EPB
attained the most extensive application due to its ability to adapt to a shield tunneling machine.
variety of geological conditions and discharge control. So EPB shield
tunneling machine is of great importance to the tunnel construction 2. Conventional model
for subway, highway, etc.
The two important tasks of the EPB machine are the cutting of At present, the torque equipped for cutterhead is empirically
frontal soils and face support with excavated soil by the cutterhead determined in terms of the diameter of shield machine [4]. The
[2]. Because of this special task, it consumes a vast amount of energy formula widely adopted by many designers is described as follows.
accounting for more than half of the total required power of the
3
machine. Therefore, when designing an EPB tunneling machine, more T = αD ð1Þ
attention should be paid to the cutterhead drive and associated soils
to determine the necessary power requirements. It is essential for where T is the provisional cutterhead torque (ton-m), D is the shield
engineers not only to estimate the loads, but also to know which machine diameter (m), α is an empirical coefficient. For the EPB shield,
factors may affect the loads [3]. it requires an α of 1–2.5. To clearly illustrate the relations between
Rotational speed and torque are two critical parameters of the torque and diameter, the above equation is also shown in Fig. 1.
cutterhead drive, and they are directly related to drive power. The From Fig. 1, it can be concluded that the empirical equation just
former one is to be controlled as a constant during tunneling in a gives a quite rough estimate of the torque, as a reference for system
design. In other words, the torque value may vary within the hatched
area shown in Fig. 1, following variables α and D in design. Take the
⁎ Corresponding author. widely used Φ 6m EPB shield in metro tunnel construction as an
E-mail address: [email protected] (G. Gong). example, its cutterhead torque can have an indeterminate value

0926-5805/$ – see front matter © 2011 Elsevier B.V. All rights reserved.
doi:10.1016/j.autcon.2011.04.010
1088 H. Shi et al. / Automation in Construction 20 (2011) 1087–1095

Fig. 2. Relation between torque and product of speed and earth pressure.
Fig. 1. Torque/diameter characteristics of EPB shield.

ranging from 2160 kNm to 5400 kNm, which makes design work cutting in hard soil consumes much higher torque than in loose
blind to some extent. Therefore, it is unreasonable to conclude that α sand. Furthermore, even in the same cutting sectional face, the
and D are the only vital ingredients to determine the equipped torque cutting torque may change randomly resulting from uneven
of EPB shield cutterhead. distribution of soil characteristics [8].
In fact, from a number of finished construction projects as shown 2) Cutterhead shape and size. The opening ratio is a very important
in Table 1, it can be seen that not only the diameter but other factors parameter which means the area ratio of opening to full face.
such as overburden depth and opening of cutterhead influence the Shield cutterhead may have small or large ratio with correspond-
torque [5,6]. Moreover, α is variable even with the same diameter and ing soil layers [9], as shown in Fig. 3. Different opening ratios
in the same soil layer, calculated through the empirical equations. The decide different acting areas applied on the cutterhead by soil,
empirical coefficient α in different sites turns out to be varying resulting in different friction torques. The cutterhead diameter is
between 0.48 and 3.69 according to the given projects listed in also directly decisive of the cutting torque.
Table 1, far beyond the recommended rage. Thus the range of 1–2.5 for 3) Overburden depth. The earth pressures acting on the cutterhead
α is unnecessarily effective to all kinds of projects. face and in the working chamber are proportional to the soil depth
In addition, to investigate other tunneling parameters which may above the EPB shield, which cause the cutting resistance.
affect the cutterhead torque, a set of in situ data obtained from a 4) Additives. Adding additives can make the soil plasticized thereby
metro construction site is processed and analyzed [7]. As shown in facilitate the cutting process and reduce the friction [10,11].
Fig. 2, take the working pressure of cutterhead hydraulic system
Fig. 4 shows a typical structure of cutterhead of EPB shield. Based
which is proportional to the cutterhead torque and the product of
on the interaction between cutterhead and soil, the torque model is
cutterhead speed and earth pressure in the chamber as ordinate and
built as follows.
abscissa respectively, the relations between them is obviously
revealed. It seems as if there exists linearity. Fitting those data with
3.1. Friction torque on frontal surface
a straight line, an equation is derived with a relatively satisfactory
goodness of fit shown in Fig. 2.
When EPB shield is advancing, the frontal face of the cutterhead
The above data fitting shows good linearity, it provides another
resists the earth pressure from the soils against it. This applied
right reason for questioning the empirical formula. It is necessary to
pressure expressed in Eq. (2) causes the friction torque as the
analyze the specific elements making up of the total cutterhead torque.
cutterhead is rotating.

3. Composition of torque
p = K0 γH ð2Þ

It is estimated that several factors are responsible for the

where γ is the volume weight, H is the overburden depth, and K0 is the
resistance torque applied on the cutterhead during tunneling,
coefficient of lateral earth pressure concerned with the property of
including soils, cutter frame, overburden depth, additives and other
soil. Fig. 5 gives the diagram of acting forces on cutterhead. Based on
aspects.
the diagram, the torque calculation is carried out.
1) Geological conditions. The EPB shield tunneling usually encounters Suppose that the frontal face of cuttterhead is normal to horizon,
complicated strata. Properties of different soils lead to various and neglect the extra load on the ground. Consider an acting point on
acting loads during cutting. For instance, it is well known that the frontal face, note the angle of the point with respect to central

Table 1
Comparisons of α in different construction projects.

Projects Soil classification Depth (m) Diameter (m)/opening (%) α (T/D3) Torque (104 kNm)

Line 4 of Shanghai, China Silty clay 9.0 6.34/40 0.70 177.4

A tunnel in Shanghai, China Silty clay 9.72 7.65/60 0.91 232
Line l4 of Shanghai, China Silty clay 14.24 6.34/40 1.22 310.4
Line 6 of Shanghai, China Silty clay 14.38 6.34/30 0.48 121.2
Line M8 of Shanghai, China Silty clay 14.948 6.34/40 0.50 128.6
Extended section of Line 2, Shanghai, China Clay, silty clay 17.487 6.34/30 1.07 271.9
Line 12 of Tokyo metro, Japan Gravel 14–24 8.66/43 0.92–1.69 600–1100
Section I of Sendai electric power tunnel, Japan Sandy gravel – 2.83/34 0.49–3.69 11.0–83.7
 H. Shi et al. / Automation in Construction 20 (2011) 1087–1095 1089

(a) Small ratio

opening

Fig. 5. Diagram of forces acting on the cutterhead.

where f is the coefficient of dynamic friction. Practically, considering

(b) Large ratio the influence by the opening of cutterhead, the above equation is
modified as:

πD3
T1 = K f γH ð1−ηÞ ð4Þ
12 0

where η is the opening ratio of cutterhead. Here, the viscous friction is

omitted given that the speed of cutterhead is very low. At the speed
usually less than 2 r/min, the viscous friction is trivial compared with
opening the Coulomb friction.

3.2. Friction torque on circular surface

The friction torque on circular surface is induced by the earth

pressure composed of two parts: vertical component p1 and lateral
component p2, as shown in Fig. 7. They are represented by the
Fig. 3. Cutterhead of different opening ratios.
following equations:

horizontal as θ, the radial distance between the point and the

cutterhead center as r. By means of integration, the friction torque on

D
the frontal face is obtained as: p1 = γ H− sin θ ð5Þ
2
2π D
2
T1 = ∫ ∫ K0 f γðH−r sinθÞr drdθ
2
0 0
ð3Þ

πD3 D
= K f γH p2 = γK0 H− sin θ : ð6Þ
12 0 2

Fig. 4. Structure of cutterhead of EPB shield.

1090 H. Shi et al. / Automation in Construction 20 (2011) 1087–1095

Accordingly, the friction torques generated due to vertical pressure where Fci is the resistance force applied on the cutter i, Li is the
and lateral pressure can be derived with integral calculation distance between the cutter i and the center of cutterhead, m is the
respectively as: number of the cutter fixed on cutterhead. Suppose that v is the thrust
speed of EPB shield and n is the rotational speed of cutterhead, then
2
2π D 2 the cutting depth per revolution for cutterhead is:
T21 = ∫ f Wp1 sin θdθ ð7Þ
0 4
v
D
2 t= ð12Þ
T22 = ∫
2π 2
fp W cos θdθ ð8Þ n
0 4 2
and the cutting depth of one cutter can be:
where W is the width of cutterhead. The total friction torque applied
on the circular surface will be:
β
δt = ·t ð13Þ
πD 2 360
T2 = T21 + T22 = ð1 + K0 Þf γHW: ð9Þ
4
where β is the angle between two adjacent cutters in the circular
direction. The shear area of a cutter during cutting is:
3.3. Friction torque on back surface
β v
A = wδt tan α = w tan α ð14Þ
Similar to T1 in calculation, the friction torque applied on the back 360 n
surface of the cutterhead is dependent on the earth pressure in the
EPB chamber. The earth pressures in and out of the chamber should be where w is the width of cutter, α is the front rake. As can be seen from
balanced, as much as possible. In fact, to make sure that the soils cut Fig. 7, the earth pressure applied on the cutter i can be written as:
down can enter into the chamber easily then be transported out, the
inner pressure is slightly lower than the outer. Opening ratio is a vital σi = K0 γðH−Li sin θi Þ ð15Þ
factor influencing the setting of inner earth pressure, because it
where θi is the angle of cutter i with respect to the horizontal plane.
decides the contact area of soils in chamber and soils being cut.
The shear strength of the soil around cutter i is:
Apparently, the large opening makes earth pressure in the chamber
closer to that of the cutting face. The friction torque on back surface 
can be described as: c + σi tgφ when soil is cohensive;
τi = ð16Þ
σi tgφ when soil is cohensionless
3
πD
T3 = K f γH ð1−ηÞfΔp ð10Þ
12 0 where c is the cohesion of soil. Thus the resistance force applied on the
cutter i can be derived as:
where fΔp is the coefficient related to the difference between inner
and outer pressures, it can be approximately seen as 1 in good earth
Fci = τi · A: ð17Þ
pressure balance condition.

Substituting Eqs. (14)–(17) into Eq. (11), there will be:

3.4. Cutting torque
8 m
> β v
EPB shield is widely used in soft ground tunneling, so the cutting >
> ∑ ½c + KγðH−Li sin θi Þtgφ · w · · · tgα · Li
>
> 360 n
process of soft ground is dealt with here. Usually, there are many >
> i=1
>
>
>
< if soil is cohensive;
cutters orderly distributed on the cutterhead. The total cutting torque
is composed of the torque applied on every cutter. Fig. 6 shows the T4 = ð18Þ
>
> m β v
>
> ∑ ½KγðH−Li sin θi Þtgφ · w · · · tgα · Li ;
cutting process in sectional view. >
> i=1
>
> 360 n
When the EPB shield is advancing, the cutters installed on the >
>
:
rotating cutterhead apply cutting forces in both axial and radial if soil is cohensionless:
directions on the soils. The cutters will suffer from resistance forces
from the soil stratum in reverse. Neglect the friction on the side of the
cutter, the cutting torque will be: 3.5. Shearing torque on opening
m
T4 = ∑ Fci Li ð11Þ When the excavated soils fall into the working chamber through
i=1 the opening of cutterhead, the rotating cutterhead makes the slot
shear the soils, thereby the shearing resistance is generated. This force
is directly dependent on the opening ratio of cutterhead in inverse
rotation tangent
soil cutter

advance penetration δ W
direction H cutter p2

Li p1
σi β
front rake α θi θ
D
soil advance
direction
cutter

Fig. 6. Schematic of cutting process. Fig. 7. Diagram of forces acting on cutters.

 H. Shi et al. / Automation in Construction 20 (2011) 1087–1095 1091

proportion. Consider an infinitesimal acting area of shear dA, the shear several sealing rings are installed usually. The drive torque consumed
force acting on the slot can be expressed as: on overcoming the friction caused by sealing is:

Fq = τ · dA ð19Þ 2
T8 = 2πRs · Fs · ns · μs ð23Þ

where τ is shear modulus of soil. Taking into account of the opening where Fs is the positive pressure applied on the sealing rings, Rs is the
ratio, the shearing torque will be obtained by integration as: radius of the sealing ring, ns is the number of the sealing rings, and μs is
the frictional coefficient between sealing material and steel.
1 3
T5 = η∫Fq = πD · kq · η · τ ð20Þ
12 4. Improved model

where kq is a reduced coefficient related to shear area. In order to investigate the components of total torque and how
much proportion they account for, eight parts discussed above need to
3.6. Agitating torque be distinguished between those of crucial importance and those that
are not. Calculation and model test will be carried out by the aid of a
The agitating bars mounted on the back of cutterhead and driven simulator test rig as shown in Fig. 10. The cutterhead to be considered
by the rotating cutterhead are used to stir the earth in the working is given in Fig. 9, its diameter is 1.8 m and width is 0.3 m. Four
chamber to prevent formation of clotty earth. It is assumed that the detachable parts and four stationary parts are positioned on the cutter
force acting on the bars is induced by earth pressure in the working disk. By installation and removal of stationary parts, the opening of
chamber, as shown in Fig. 8. cutterhead can attain a changing range from 30% to 70%. The
Suppose that the number of the bars is nb, then the agitating torque maximum number of cutters on the disk is 80, and the cutter is
is: 7 cm wide while the front rake is 30°. The four agitating bars, with a
diameter of 200 mm, are 320 mm long and at a distance of 700 mm
nb
apart from the cutterhead center.
T6 = ∑ γ · ðH−Rb sinθi Þ · Db · Lb · fc · nb · Rb ð21Þ
i=1 Because there are three types of soils involved in the lab test,
torque calculation is also conducted based on these soils. Their
where Rb is the distance between the bar and the centerline of shield, properties are provided in Table 2. Substituting the mechanical
θi is the angle of the plane through the axes of the bar and the shield structure parameters and the soil properties in Table 2 into the torque
with respect to the horizontal plane, Db is the diameter of the bar, Lb is calculation equations, the above assumed eight parts T1 to T8 in three
the length of the bar, fc is the friction factor between the improved typical types of soils are derived as shown in Tables 3, 4 and 5. Results
earth and the steel bar. of two different opening ratios are given.
From the above calculation results and by comparisons, it can be
3.7. Torque of rotational bearing seen that:
1) T1, T2, T3, T5 and T6 are the main constituent parts of cutterhead
There is a large bearing in the EPB shield to support the heavy torque. The sum of the other three parts accounts for about 1% of
cutterhead to rotate. The bearing bears both axial force because of total amount in all soils involved in this work. Occupying nearly
thrust and radial force resulting from the cutterhead weight. half of the total torque in proportion, T2 turns out to consume the
most power of the cutterhead drive. It is more pronounced in the
T7 = F · μ · Rt + G · Rr · μ ð22Þ cases with larger opening ratio.
2) Opening ratio is an influential factor. Because the larger opening
where F is the thrust force of EPB shield, which can be also taken as the can reduce the friction surface between earth and steel, the
resistance force normal to the cutterhead approximately, Rt is the cutterhead torque will be smaller. As shown in the tables, there is a
distance from the thrust acting point to the centerline of shield, μ is reduction by about 10%.
the coefficient of rolling resistance, G is the weight of cutterhead, and 3) The kind of soil makes a great difference in cutterhead torque.
Rr is the radius of radial roller bearing. Excavating in clay, sandy soil and sandy gravel, the cutterhead
torque increases by degrees.
3.8. Torque of sealing

In order to separate the driving mechanism of cutterhead from the

muck in the working chamber to prevent abrasion even failure,

cutterhead
agitating bar
soils pe

Lb Rb n Db

detachable stationary

Fig. 8. Diagram of force acting on the agitating bar. Fig. 9. Cutterhead used in experiment.
1092 H. Shi et al. / Automation in Construction 20 (2011) 1087–1095

Table 2 Table 4
Physicomechanical properties of soils. Results of 70% opening ratio.

Items Clay Sandy soil Sandy gravel Torque (kNm) Clay Sandy soil Sandy gravel

Equivalent depth (m) 7 7 7 T1 12.13 17.7 21.9

Water content (%) 47.2 18.4 18 T2 27.56 40.22 49.79
Unit weight (kN/m3) 18.5 20.2 20.2 T3 5.82 8.49 10.52
Lateral pressure coefficient 0.6 0.6 0.6 T4 0.32 0.32 0.4
Friction angle (°) 10 30 37.8 T5 13.28 8.9 14.9
Cohesion (kN/m2) 10 0 0.1 T6 4.42 9.56 11.1
Void ratio 1.26 0.634 0.559 T7 0.28 0.28 0.28
Frictional coefficient 0.2 0.3 0.35 T8 0.27 0.27 0.27
Shear modulus (N/m2) 3.1 × 104 2.1 × 104 3 × 104 Total torque 64.08 85.9 109.36

4) Friction mostly determines the torque required to the cutterhead The cylinder body is fixed on a backrest while the piston rod is
drive. The torque caused by cutting soil is far less than that by movable to push the machine forward as shown in Fig. 10. When the
friction in the same soil. According to calculation, compared with driving distance is beyond the stroke of the cylinder, the additional
the sum of frictional torques T1, T2 and T3, cutting torque T3 is blocks are needed to be set between the machine and the hydraulic
insignificant enough to be excluded from consideration during cylinder to relay the jacking process.
design.
5.2. Test results
Based on those analyses and comparisons, the empirical formula
T = αD3 can be improved as the following expression:
In the tests, soil properties are just as those listed in Table 2,
corresponding to theoretical calculation. A lot of other main parameters
3 2
T = k1 D + k2 D + k3 ð24Þ and variables involved in the tests can be found in Ref. [5]. Moreover,
the cutterhead speed and the thrust speed are kept at 1 r/min and
π     π
where k1 = K0 1 + fΔp f γH ð1−ηÞ + kq ητ , k2 = ðK0 + 1Þ × 1.5 cm/min respectively, the test results are obtained as follows.
12 4
The cutterhead torques under 30% and 70% opening ratios in three
f γHW, k3 =γHDbLbfcRbnb, and the term D3 are embedded, in agreement
different soils are shown in Fig. 11. It is obvious that the cutterhead
with the empirical formula that T is a function of D3. Besides, other
torque varies with the soil classification, especially remarkable
factors are also taken into consideration in this improved model.
between clay and sandy soil. As a whole, the torque value in sandy
Apparently, γH dominates the whole expression, representing the earth
soil and gravel is larger than in clay, which is in good agreement with
pressure resulting from the overburden depth. When earth pressure
the calculation results in Tables 3 and 4. The experiment results also
balance is achieved, the earth pressure pe in the working chamber is
verify that the cutterhead torque required under 30% ratio is about 1.1
approximately equal to the lateral earth pressure K0γH shown in
times as much as that under 70% ratio, which coincides with the
Eq. (24) which coincides with the fitting results [12].
comparisons between the total torques in Tables 3 and 4.
Additionally, the opening ratio has considerable effect on the
5. Tests and discussions
cutterhead torque. It averages 76.68 kNm in 30% opening ratio and
62.98 kNm in 70% opening ratio, irrespective of various geological
5.1. Test system
conditions. The test results proved that larger opening ratio can
reduce the torque required by EPB shield cutterhead. Accordingly,
Fig. 10 shows the experimental system. The test rig consists of a
small opening ratio is unfavorable to soil excavation.
cylindrical soil simulator box for geoenvironment simulation, the
Compared with the calculation results, the experimental data
tunneling machine and the condition monitoring system. The soil
agreed on the whole in clay but are severely lower in other soils.
simulator box, with an inner diameter of 4 m and an axial length of
Especially in sandy gravel, the difference between prediction and test
6 m, can be filled with a variety of soils. The soils will be pressurized
reaches up to 30 kNm. The reduction is caused by additives, such as
by the bag filled with high pressure water. The water bag loading
bentonite, foam, added to condition the soils so as to decrease friction
system can provide the soils with a pressure up to 0.4 MPa so that the
applied on cutterhead [14,15]. In fact, soil conditioning is also adopted
tunneling machine will be able to go through this artificial
to make excavation easier in tunneling job site. In the former
underground condition [13].
calculation, this improvement on cutting behavior is not considered.
In the test rig, there is an EPB test shield machine for tunneling
The disagreement also indicates that soil conditioning is a quite
test, with a screw conveyor discharging the muck cut down by a
effective way to cope with the sandy tunneling practice, consistent
cutterhead with a diameter of 1800 mm. The thrust system is
with test results that suitably mixed soils with additives permit a
composed of six hydraulic cylinders of the same stroke of 1500 mm.
reduction by 25% in torque values, obtained by Ref. [16].
Fig. 12 shows the cutterhead torque and the earth pressure in the
working chamber in the opening ratio of 30%. The data are obtained in
Table 3
Results of 30% opening ratio.

Torque (kNm) Clay Sandy soil Sandy gravel Table 5

T1 21.63 31.57 35.09 Calculation results of coefficients in improved model.
T2 27.56 40.21 48.79
Soils T (kNm)
T3 10.38 15.16 18.76
T4 0.32 0.32 0.4 At 30% ratio At 70% ratio
T5 5.69 3.86 6.4
k1 k2 k3 k1 k2 k3
T6 4.31 6.13 10.53
T7 0.28 0.28 0.28 Clay 6.68 8.51 4.31 5.31 8.51 4.42
T8 0.27 0.27 0.27 Sandy soil 8.57 12.41 6.31 6.00 12.41 9.56
Total torque 70.44 97.8 120.52 Sandy gravel 11.14 15.36 10.53 8.05 15.36 11.1
 H. Shi et al. / Automation in Construction 20 (2011) 1087–1095 1093

Fig. 10. Tunneling test rig. Fig. 12. Relation between torque and earth pressure in chamber.

clay test section. As can be seen, the parameter variations trend in the As we know, the excavated face before the cutterhead, being
same way, indicating that the earth pressure in the working chamber squeezed when the shield machine is thrust forward, will generate a
influences the torque strikingly. As is known, the earth pressure in the force to counter this thrust action. That is released by the rotating
working chamber approaches that of excavated face when earth cutterhead cutting down the pressurized soils. The relationship
pressure is balanced. Following the fundamental of soil mechanics, the between the cutterhead torque and the thrust speed is shown in
earth pressure concerned in EPB shield tunneling process is directly in Fig. 15(a), indicating that the higher thrust speed requires higher
relation to the quantity γH. The results illustrated in Fig. 12 cutterhead torque. It is obvious that the increase and decrease of
correspond closely to the calculating expression in Eq. (24). thrust speed means the presence of active and passive earth
Thrust force, as another important tunneling parameter, is pressures.
dependent upon the earth pressure acting on the EPB shield as well. Defining the ratio of thrust speed to cutterhead speed as cutter
The thrust force and the torque variations in the clay tunneling section penetration, then we obtain the experiment results in Fig. 15(b).
between 80 cm and 150 cm with the opening ratio of 30% are shown Under the perfect condition, the advance distance of the shield
in Fig. 13. They mostly change synchronously, showing considerable machine should be equal to a cutter length when the cutterhead
linear relation in clay soil. This relationship can also be confirmed completes one revolution. However, the cutter penetration can not be
from the experimental data fitting result in Fig. 14. The great majority kept in that level all the time. In the experiment, the cutter is 30 mm
of measured points fall into the area formed by ±95% offset of red long. It can be seen from the figure that the penetration is mostly
straight line, showing that those parameters have good linearity. smaller than the cutter length through this tunneling section.
Actually, friction is the source of thrust force and cutterhead torque in Additionally, the rotational speed change of the cutterhead also
essence, and the frictional force is generated by earth pressure applied exerts an influence on the cutterhead torque, as shown in Fig. 15(c),
on the shield machine surface. Thus, both of them are the reflection of which is in agreement with the related results presented in the past
earth pressure, and influenced jointly. It is proved in another respect [17]. According to in-situ data analysis, the increased torque results
that γH is a critical factor for determination of cutterhead torque. from this factor is mainly consumed by stirring the pressurized earth
in the chamber, due to the stirring action shearing through the earth.
Therefore, the cutterhead speed should be as small as possible on the
5.3. Further analysis basis of meeting the requirement of cutting which is achieved by a lot
of trials in a given soil layer before construction.
In fact, tunneling is a dynamic process involving the acts of cutting, Compared with the above theoretical model, factors such as thrust
thrust, discharge and other procedures. So the cutterhead torque will speed and cutter penetration are illustrated in Fig. 15. Because
be also related to some other tunneling parameters, and the tunneling is a dynamic process related to advance speed while analysis
coordination control of cutting and thrust should be paid much
attention.

Fig. 11. Torque variations with different opening ratios. Fig. 13. Variations of torque and thrust force in clay.
1094 H. Shi et al. / Automation in Construction 20 (2011) 1087–1095

Fig. 14. Relation between torque and thrust force.

on the composition of torque and improved model is based on a steady

state of tunneling, it is quite difficult to keep constant speed in view of
soil linearity. Therefore, when we design a shield cutterhead drive
system, these factors should also be considered.
It should be noted that the thrust speed and the rotational speed of
the cutterhead have some fluctuations compared with the set values.
These are caused by nonuniform compactness of the soils filled in the
box, owing to the noncontinuously distributed loading bags.

6. Conclusions

EPB tunneling requires proper cutterhead torque to obtain a

correct excavation control particularly in complex geological condi-
tions. Unfortunately, widely adopted empirical calculation methods
are shown to be experience dependent.
A calculation model of cutterhead torque for EPB shield machine is
presented based on the comparisons between various types of
tunneling projects and the analysis of working and cutting principle
of the cutterhead, taking eight main concerned components into
account. The calculation allows more accurate and suitable torque
capacity than rough estimate by empirical method, consequently,
reduces the waste of power to some extent.
Based on the improved model, theoretical calculation and
experiments are carried out. The following conclusions can be drawn:

1) The traditional method to use the empirical equation T = αD3 to

determine the torque required by the cutterhead shows inaccurate
evaluation results in various conditions, and needs to be improved.
2) Friction is the most influential one of all parts that constitute the
total cutterhead torque of EPB shield machine. Reducing friction is
very useful to soil excavation.
3) Opening ratio of cutterhead has a great influence on the torque
determination. The larger the ratio is, the smaller the torque is.
4) Earth pressure produced by overburden depth and unit weight is
decisive to determining the cutterhead torque, it directly contrib-
utes to frictions applied on the cutterhead.
5) The torque model shows satisfactory predicted results in clay Fig. 15. Effects of thrust and cutting on cutterhead torque.
tunneling. To deal with the torque calculation in cohesionless soil
tunneling, soil conditioning has to be taken into consideration to
drive parameters of the cutterhead regarding power transmission, as
acquire improved results.
well as, adapting the machine to different geological conditions.
6) Penetration is a dynamic influential factor affecting the cutterhead
torque. The coordination control between thrust speed and
cutterhead speed is an effective way to restrain the total cutter- Acknowledgments
head torque. Smaller thrust and cutting speed is helpful to reduce
the torque and save energy under the conditions of soft soil and The National Basic Research Program (973 Program) of China
relatively steady load applied on the thrust system. (Grant No. 2007CB714004) and The National High Technology
Research and Development Program (Grant No. 2007AA041806) are
These conclusions will definitely provide some positive guidelines acknowledged for their financial supports. The authors also wish to
and be helpful to design a better EPB machine, especially one that express their gratitude to Shanghai Tunneling Engineering Company
operates in clay. Our subsequent research goal will focus on other for successful cooperation on conducting experiments.
 H. Shi et al. / Automation in Construction 20 (2011) 1087–1095 1095

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