AFTES

GUIDELINES ON

CONTRACT PRACTICE IN TUNNEL CONSTRUCTION

CONTRACT FOR THE SUPPLY
OF TUNNELLING MACHINES
AFTES welcomes comments on this article

Text submitted by
L. REYNAUD, Chairman,Working Group 17
With contributions from
MM. BARTHES, AFTES - BEJUI, AFTES - CECCALDI, ENGINEERING TUNNEL EQUIPMENTS -
CHEREL, SYSTRA - CHILLOU, SPIE BATIGNOLLES - CONSTANTIN, CETU - GESTA, AFTES -
GRIMALDI, NEYRPIC FRAMATOME MECANIQUE - GUILLAUME, RAZEL Frères - HARLE, AFTES -
HUART, SIAAP - LONGCHAMP, BOUYGUES - MIGNONAT, F.C.B. - PETER, EDF

CONTENTS

Pages Pages
1 - GENERAL.................................................................... 200 4 - TRANSPORT AND DELIVERY OF THE TUNNEL-
LING MACHINE .............................................................. 205
2 - TUNNELLING MACHINE DESIGN ........................ 200
2.1 - Geological and hydrogeological data ................................ 200 5 - FIELD ERECTION OF TUNNELLING MACHINE 205
2.2 - Contract finalisation ............................................................ 200
2.3 - Obligations of Civil Works Contractor during design 6 - SITE TESTS AND ACCEPTANCE PROCEDURE .. 205
period ............................................................................................ 204
2.4 - Obligations of Supplier during design period .................... 204 7 - SUPPLIER'S GUARANTEES AND
2.5 - Back-up ................................................................................ 204 RESPONSIBILITIES ........................................................ 205
7.1 - Guarantee against tunnelling machine defects ................ 206
3. MANUFACTURE OF THE TUNNELLING 7.2 - Guarantee on tunnelling machine operational availability
MACHINE ........................................................................ 204 7.3 - Guarantee on minimum performance ................................ 206
3.1 - Manufacture ........................................................................ 204
3.2 - Supervision by Civil Works Contractor .............................. 8 - CONCLUSIONS ........................................................ 206
204
3.3 - Assembly – Testing – Works Acceptance .............................. 204

I
n response to repeated requests to AFTES, the Working Group has addressed the question of the most effective and fairest way of establi-
shing the relationship between the tunnelling contractor and the tunnelling machine manufacturer.There must be a contract between the par-
ties for the supply of the tunnelling machine such that the interests, responsibilities and duties of both institute what becomes a true partne-
ring relationship.This approach is necessary, considering that
• The Civil Works Contractor chooses the tunnel construction method and therefore takes responsibility for the construction work, using the plant,
machinery and equipment supplied under the tunnelling machine Supply Contract
• The manufacturer of the tunnelling machine plays an important part because successful project completion is dependent on the tunnelling
machine supplied being compatible with the tunnel construction method and subsequent tunnel performance.

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 Contract practice in tunnel construction contract
for the supply of tunnelling machines

1 - GENERAL Owner of the Works. It is refined during the of documents forming the basis for unders-
negotiations between the successful Supplier tanding the design and operation of the tun-
Relations between the Civil Wor ks and Civil Works Contractor to finalise the nelling machine must be included in the
Contractor and the Supplier of the tunnelling terms of the Supply Contract. contract documents. The purpose of these
machine are embodied in a tunnelling documents is to inform the Supplier of the
machine Supply Contract setting for th, in purchaser's needs as regards the basic dra-
addition to the usual price, terms of payment,
2.1 – Geological and
Hydrogeological Data wings of the machine. The list should include
penalty, disputes and similar clauses the undermentioned documents which are
◗ A description of the Works in a list of des- The Civil Works Contractor's invitation to bid
the normal documentary basis for a proper
criptive documents, understanding of the tunnelling machine by
must be accompanied by all available data for
◗ A description of the tunnelling machine in the purchaser and Supplier.
prospective tunnelling machine Suppliers to
the Detailed Specifications, determine the most appropriate machine for
2.2.1 – General arrangement dra-
◗ If applicable, requirements concerning the building the Works and state the objectives to
wings
quality assurance organisation applicable to be achieved, viewed from the operational
the Contract, perspective, on which the Supplier is to be • GA drawings, shield side
selected.
◗ A bar chart showing the times allowed for • GA drawings, back-up side
manufacturing the various parts of the tunnel- The geological and hydrogeological informa-
tion needed to design a tunnelling machine • Drawings of shield-side subassemblies bro-
ling machine,
capable of achieving maximum penetration ken down into par ts. For example: cutter
◗ Clauses setting forth the duties and respon- speeds is limited.There must be a summary of head, front body, tail seal, articulation, erector,
sibilities of both parties, especially as concerns this data in the tender documents to avoid etc.
• Design of the tunnelling machine accompa- divergent interpretations by bidders of the • Drawings of back-up side subassemblies of
nied by manufacturing, assembly and works ground in which the tunnel is to be driven. each towed item
testing schedules and field erection and tes- This digest which AFTES considers highly
ting schedules, desirable to be included in all Employers' ten- • Drawings of points of contact between
der documents for the use of Civil Works shield and back-up
• Supplier's obligations,
Contractors might be presented in one or • Drawings of points of contact between
• Acceptance procedures at various stages in another of the forms shown below which towed items
tunnelling machine manufacture and delivery, must of course be considered no more than • Drawings of access, passages and control
• Methods of checking tunnelling machine typical examples.
cab assemblies overlaid on GA drawings
performance,
2.1.1 – Digest form used for Lyon • Drawings of staging subassemblies and spe-
• Guaranteed availability and performance,
metro, line D, Vaise - Gorges du cial access items (e.g. for bolting lining seg-
• Technical assistance services to be rendered Loup section (See two Forms overleaf) ments)
by the Supplier for the duration of the Works,
• Drawings of handling equipment
• Industrial property, transfer of ownership 2.1.2 – Summary form used for • Drawings of control panels
and risks attendant thereto. first VAL line, Rennes
In order for the relationship between Civil (See third Form overleaf) • Line drawings of electrical and hydraulic sys-
Works Contractor and tunnelling machine tems
Summaries of geological data to be included
Supplier to tend towards a true partnering in the eventual contract must accompany the • Design assumptions and results of analyses
relationship (which is the only guarantee of tender documents for the tunnelling machine of the main parts of the machine: body, cutter
successful completion of the Works), the Supply contract. In all cases, all documents in head, bearings.
members of the AFTES Working Group the Civil Works Contractor's possession must
(representatives of Civil Works Contractors, be available at the time of the detailed des- 2.2.2 – Software users manual
tunnelling machine Manufacturer s and cription of the tunnelling machine well before
Employers among others) have together the time of contract negotiation. 2.2.3 – General operating and
sought to identify the points that should be
embodied or at least, that it would be desi- During this design stage, the tunnelling maintenance manuals for standard
rable to see considered, in the drafting of the machine Supplier is to some extent at liberty items incorporated into the tunnel-
contract documents listed above. to adapt the architecture of the tunnelling ling machine
machine to suit his own experience, his indus-
trial capacity and his own standards provided 2.2.4 – Compliance certificates for
the outcome can be justified to the Civil machinery and equipment from
2 - TUNNELLING MACHINE Works Contractor. Supplier and subcontractors
DESIGN
2.2 - Contract finalisation Note 1. The head of the tunnelling machine is
The basic design or at least the choice of the
always shown pointing to the left.
main functions of the tunnelling machine is
usually determined for tendering purposes in At the time of finalising the Supply contract Note 2. Maintenance manuals in the official
response to an Invitation to Tender for the between the Civil Works Contractor and the contract language are drafted according to the
Civil Works advertised by the Employer or successful tunnelling machine Supplier, the list Supplier's usual practice.

TUNNELS ET OUVRAGES SOUTERRAINS – HORS-SERIE N° 1 – 2005

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 i.d. Gradient 30 Jan 91
o.d.
min radius
Digest Bore dia. > 6,20
Total drive

TBM STARTS TBM CROSSES STATION TBM ENDS

Vaise station Valmy station

Distance from start

Surface occupancy Station Station Street Building Building Building Street Street Street Street Building Building Building Building Building Street Street Building Building Building Street Building Building Building Building Building Building Street

Ground cover % crown

2.1.1. - Digest form used for Lyon metro, line D, Vaise - Gorges du Loup section

Cut & cover /

Tunnel type Twin bores Station

Radii of curvature
for the supply of tunnelling machines
Contract practice in tunnel construction contract

Geology

Alignment 68% under poor quality buildings with Ground type Cover ranging from
little ground cover to
43% curves, radius 220m
Lm or Sim at roof Ground 68% of alignment with less than 1.50
Foundation types? Piles on alignment?
 Contract practice in tunnel construction contract
for the supply of tunnelling machines
2.1.1. - Digest form used for Lyon metro, line D, Vaise - Gorges du Loup section

in powers of ten
Water head on

Rough estimate
DIGEST 2/2

Permeability –

Grain size -
% < 100µ
invert
 Made Ground Alluvium
min max min max min max min max min max min max min max min max

CLASSIFICATION

passing
passing
passing
2.1.2 - Summary form used for first VAL line, Rennes

passing

DEFORMABILITY

Pressuremeter

Dilatometer
Plate bearing
test
Uniaxial compression
FAILURE
for the supply of tunnelling machines
Contract practice in tunnel construction contract

Hardness

Pressuremeter

Refusal (R) ignored

Schist
Sandstone
Tableau de synthèse des essais - Valeurs moyennes pour schistes et grès
 Contract practice in tunnel construction contract
for the supply of tunnelling machines

2.3 – Obligations of Civil During the tunnelling machine design period, ment, hydraulic and pneumatic devices, etc.,
Works Contractor during the Supplier shall provide the Civil Works and all standard items shall be tested by the
Contractor with all relevant information and suppliers thereof and the Supplier shall pro-
design period
justifications to allow him to ensure that the vide the Civil Works Contractor with the cor-
Supplier has given due weight in the design of responding compliance cer tificates on
The contract between the Civil Wor ks the tunnelling machine to all the stipulations demand.
Contractor and the Supplier must state that, and specifications forming par t of the
during the period of tunnelling machine contract documents.
design (for which the Supplier is responsible), 3.2 - Supervision by Civil
the Civil Works Contractor 2.5 - Back-up Works Contractor
• takes part in all important design decisions The Civil Works Contractor shall describe in During manufacture of the tunnelling machine,
• shall furnish to the Supplier within the times the contract the required back-up and asso- the Civil Works Contractor may with prior
shown on a bar chart agreed by both parties ciated logistics, not only in functional, ergono- notice visit the Supplier's works to ensure
with the information which only the Civil mic and safety terms, but also as regards vital compliance with the contract specifications
Works Contractor can command and which ancillary information: full list of items to be and deadlines. He may at such times make
is needed for the design of the tunnelling brought to the jobsite, access, and detailed such remarks and suggestions on the choice of
machine.The Table below lists this information characteristics of the service train. technology and compliance with the manufac-
and the times at which it should be made turing schedule as do not touch on the obliga-
available. tions and responsibilities of the parties under
In this Table,
3 - MANUFACTURE OF THE the contract; such remarks and suggestions
T0 is the date the Supply Contract enters TUNNELLING MACHINE may not be of a compulsory nature.
into force During this manufacturing phase, the Civil
T1 is T0 + t1 (t1 to be agreed)
3.1 - Manufacture Works Contractor may station a full-time
representative at the Supplier's works to over-
T2 is T0 + t2 (to be agreed with t2 > t1). Manufacturing operations shall adhere to the see compliance of the work with the contract
It is to be understood that the information rules laid down in the contract manufacturing specifications but he shall have no powers to
furnished by the Civil Works Contractor must and testing and inspection schedule and the speak on behalf of the Civil Works Contractor.
have been discussed between the parties so Supplier's quality assurance plan. The presence of this representative shall not
that the Supplier can meet the deadlines. Formal records shall be kept of all testing and relieve the Supplier of any of his duties and
inspection operations on major parts of the responsibilities under the Supply contract. In
During the tunnelling machine design period,
tunnelling machine and the Civil Works all cases, the Civil Works Contractor must
the Supplier shall provide the Civil Works
Contractor shall have access to them at all always be aware of the consequences of his
Contractor with all relevant information and
reasonable times. Any flaws, faults, defects and suggestions and the Supplier must assess the
justifications to allow him to ensure that the
the like shall be made good by the Supplier at benefits of such suggestions in performing the
Supplier has given due weight in the design of
his own cost and he will have no claim for works he is responsible for.
the tunnelling machine to all the stipulations
and specifications forming par t of the time extensions therefor except by special
contract documents. agreement between the parties. 3.3 - Assembly – Testing –
Commercially available parts entering into the Works Acceptance
2.4 – Obligations of Supplier composition of the tunnelling machine such
during design period as pumps and pump motors, electrical equip- The Supplier shall pre-assemble in his works
the items necessary for providing the princi-
pal functions of the tunnelling machine in the
Information to be furnished at time T1 Information to be furnished at time T2 manner set out in the contract specifications,
Tunnelling machine: .Entry shaft in order to
.bearing life .Segment gaskets • check that all parts are available
.breakdown for delivery .Segment grippers
.back grouting .Segment installation • check the main interfaces
.tunnel alignment for designing articulations .Erector degrees of freedom • check installation of the hydraulic and elec-
.power voltage .Guidance and steering system trical systems.
.Tracks
General shape of segment ring: .Service train The dummy assembly also enables the
.universal rings .Composition of trains Supplier to perform his own preliminar y
.special rings Service train kinematics adjustments and tests to check that the tun-
.radial key segment .Dimensions of towed items nelling machine is capable of performing the
.longitudinal key segment .Mortar grouting functions required under the contract.
.Injection of bentonite mud
Number of segments and feed system .Additional items The Supplier then proceeds with works tes-
.Reserved emplacements on service train ting of the principal functions of the tunnelling
Reaction point of thrust cylinder pads .Service lines in tunnel machine with and without load, and checking
.Electricity the principal technical characteristics and per-
.Emergency supplies formance, all as laid down in the contract spe-
.Topside: access and equipment provided for the cifications.These tests and checks address the
Supplier
following points:

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 Contract practice in tunnel construction contract
for the supply of tunnelling machines

• Measurement with and without load of It is recommended the parties agree to remu- 6 - SITE TESTS AND
speeds and erector torque nerate these items on a cost plus fee basis
when transport costs are subject to any signi-
ACCEPTANCE PROCEDURE
• Verification of handling systems
ficant contingency factor due to the site being a) Dummy runs performed by, and under the
• Testing of segment handling time located in a remote country or one with rudi- responsibility of the Supplier to adjust his set-
• Verification of positions of cutting tools, mentary infrastructure. tings and verifications and ensure that the
including overcutter tunnelling machine as completely erected on
• Measurement of cutter head movement site is capable of effectively providing the
• Measurement of hydraulic cylinder exten- 5 - FIELD ERECTION OF functions required under the contract.
sion and retraction speeds TUNNELLING MACHINE b) Dummy runs required under the contract,
performed by, and under the responsibility of
• Measurement of movement of towed shield Site erection comprises offloading and inspec-
tail (if applicable) the Supplier even if some tests have already
tion of the tunnelling machine parts on arrival been performed in the Supplier's works.
• Verification of interlocks at the point of unloading, transport to the
point of erection, supervision during erection, c) Test drive for a distance at least equal to
• If required, erection of a complete lining the length of the tunnelling machine and if
ring. construction of temporary works, and erec-
tion proper. applicable installation of three lining rings.
The detailed programme of these works tests The successful completion of the tests descri-
and checks shall be submitted in good time by The Civil Wor ks Contractor briefs the
Supplier as to the access points to the jobsite bed in a), b) and c) above shall be recorded in
the Supplier to the Civil Works Contractor a site acceptance certificate signed by the
for comment and agreement. The Supplier from the major rail, road and inland waterway
links and all restrictions in terms of dimen- Civil Works Contractor and the Supplier and
shall notify the Civil Works Contractor of for-
sions, times of day and weights from these ownership of the tunnelling machine shall
thcoming tests and checks in advance (to be
access points. The Supplier is responsible for pass to the Civil Works Contractor at this
agreed by the parties) to allow him to attend.
checking this information. time.
The results of these tests and checks shall be
recorded in a report which the Supplier sub- The Civil Works Contractor must describe From the moment of transfer of ownership as
mits to the Civil Works Contractor for his the site organisation arrangements during the described, the Civil Works Contractor shall
approval and signature although this shall not erection and star t-up of the tunnelling be responsible for operating the tunnelling
relieve the Supplier of any of his obligations machine and if necessary the men and machi- machine with technical assistance from the
and duties under the contract. nery that he can provide the Supplier with. Supplier for a period of time stipulated in the
The Supplier shall provide the Civil Works contract.
On completion of pre-assembly and satisfac-
Contractor with the following documents
tory works tests and checks, the machine is
two months before the start of erection:
ready for preliminary acceptance as provided
for in the contract. • Erection and testing schedule 7 – SUPPLIER'S
• Electricity and water supply requirements GUARANTEES AND
• Numbers and qualifications of his erection RESPONSIBILITIES
4 – TRANSPORT AND personnel The Supplier shall take responsibility for the
DELIVERY OF THE • Name of his representative on site. performance of the tunnelling machine within
TUNNELLING MACHINE the limits of the operational objectives set by
During the erection work, the Civil Works
When preparing his bid, the Supplier, along Contractor at his own cost appoints repre- the Civil Works Contractor. Expected results
with the Carrier of his choice, must make a sentatives to oversee and supervise the per- must always be commensurate with the
preliminary study of transporting the tunnel- formance and progress of the work. His per- resources committed by the Civil Works
ling machine to site and quote a price which sonnel shall have access at all reasonable Contractor. In discharging his responsibilities,
can only be approximate at this stage. The times to the erection site and the Supplier the Supplier must give guarantees
estimate can be must be refined by the shall provide the Civil Works Contractor's • against defects in the tunnelling machine
Supplier before signing the Supply contract in representatives with every assistance and
which the cost of transport must in general • on tunnelling machine operational avai-
information they might require.The presence
be quoted as a stipulated sum. lability
of these representatives shall not relieve the
Except as otherwise provided for in the Supplier of any of his responsibilities or duties • on minimum performance.
contract, the Supplier is responsible for all under the contract. The operational objectives set out in the
aspects of transpor t of the tunnelling When the erection work is complete and the contract shall be capable of unambiguous
machine to site including formalities in the tunnelling machine is ready to operate, the measurement and must refer to the perfor-
countries of departure and arrival and if appli- Supplier shall so notify the Civil Works mance of the tunnelling machine itself, not its
cable customs formalities with due allowance Contractor in writing. The Civil Wor ks environment, which is the responsibility of the
for same in the scheduling. The Civil Works Contractor and Supplier then proceed with a Civil Works Contractor (site logistics, tunnel-
Contractor must assist the Supplier in every joint inspection to check that the erection ling machine operation and guidance, etc.).
possible way in connection with transport to work has been satisfactorily and fully carried Details of how the operational objectives are
site. out and check the control and safety func- to be achieved and measured must be clearly
tions. defined in the Supply contract.

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 Contract practice in tunnel construction contract
for the supply of tunnelling machines

7.1 - Guarantee against takes to authorise verifications of the data by rating the tunnelling machine and its perfor-
tunnelling machine defects the Supplier. mance capabilities can only be demonstrated
The coefficient of availability as defined shall with the Civil Works Contractor's total com-
be greater than 85. Provisions may be written mitment to achieving the required perfor-
The guarantee period against defective
into the contract for the result to give rise to mance.
design, materials, manufacture and operation
is usually twelve (12) months from provisional the payment of penalties or bonuses. Performance results may give rise to penalty
acceptance. It is limited in time, reckoned or bonus payments if so provided for in the
from an event controllable by the Supplier 7.3 - Guarantee on contract.
(for example, eighteen (18) months from minimum performance
completion of the works tests).
The guarantee period covers repair or repla- The tunnelling machine Supplier cannot nor- 8 - CONCLUSIONS
cement of defective or unsuitable parts and mally offer guarantees on overall tunnelling
systems. The guarantee does not cover performance for the project as a whole These recommendations are an attempt to
damage caused by incorrect use, lack of pro- because it is contingent on many conditions focus attention on ways at arriving at (i) a bet-
per maintenance or negligence on the part of beyond his control. He can only guarantee ter definition of the tunnelling machine and
the Civil Works Contractor's personnel instantaneous performance such as (ii) a better understanding between the Civil
during construction of the tunnel. Works Contractor and the Supplier of the
• time for driving a length equivalent to one tunnelling machine. They stress a number of
Parts and systems repaired or replaced under segmental lining ring or other distance to be technical details but more importantly, the
the contract are themselves guaranteed for stated in the contract need for describing as accurately as possible
twelve (12) months from the date of repair • time for installing a lining ring if applicable the geology in question and explaining the
or replacement as applicable. choices and compromises the Civil Works
• one or more consecutive cycle times (e.g. 3)
to excavate and install a lining ring. Contractor has been forced to make (espe-
7.2 - Guarantee on tunnel- cially in a context of contrasting geology),
These data refer to a specified geology, repre-
ling machine operational from which stem the tunnelling machine
sentative of the conditions described by the design assumptions and the conditions under
availability Civil Works Contractor in the contract. which tunnelling machine performance is to
For a period to be agreed between the par- Performance capabilities are generally be gauged. The recommendations also make
ties (for example, the period following full- demonstrated in the start-up period although frequent mention of responsibility in the tech-
scale operation of the tunnelling machine) some performance factor s can only be nical decisions, from design to operation of a
corresponding to the driving of x metres of demonstrated once the tunnelling machine tunnelling machine. On this topic, attention
has reached the particular geology for which must again be drawn to the importance of
tunnel, the Supplier guarantees a mean tun-
it was designed. the geological and hydrogeological digest in
nelling machine per cent availability coefficient
calculated as The contract should as far as possible state the choices to be made, because this digest,
whether the demonstration of contract per- which the Group believes should as far as
D = 100 (T – P)/T possible be drafted by the Employer, is the
formance requirements in the trial period can
in which T is total time worked and P is tun- be considered as final proof of the tunnelling basis for specifying the conditions in which
nelling machine breakdown time. machine's ultimate capacities. If the required the tunnelling machine must operate.
The coefficient of availability shall be measu- performance is not obtained during the trials, Although the Employer is not a signatory to
red, over the stipulated period, from T and P the contract may provide for a period of x the contract between the successful Civil
data recorded daily by the machine operators days to be accorded for the Supplier to make Wor ks Contractor and the tunnelling
in the tunnelling machine log book kept by the necessary modifications before underta- machine Supplier, the Group considers it desi-
the Civil Works Contractor.The Supplier shall king new trials. rable, once this contract has been signed, for
have access to the log book at all reasonable During this verification period, the Supplier the Employer to be involved in the technical
times and the Civil Works Contractor under- shall assist the Civil Works Contractor in ope- phases described in these Guidelines.

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