Automation in Construction 139 (2022) 104293

Contents lists available at ScienceDirect

Automation in Construction
journal homepage: www.elsevier.com/locate/autcon

Subway tunnel damage detection based on in-service train dynamic

response, variational mode decomposition, convolutional neural networks
and long short-term memory
Yonglai Zhang a, b, Xiongyao Xie a, b, *, Hongqiao Li a, b, Biao Zhou a, b, Qiang Wang a, c,
Isam Shahrour a, d
a
School of Civil Engineering, Tongji University, Shanghai 200092, China
b
Key Laboratory of Geotechnical and Underground Engineering of Ministry of Education, Tongji University, Shanghai 200092, China
c
Zhejiang Scientific Research Institute of Transport, Hangzhou 311305, China
d
Laboratoire de Génie Civil et géo-Environnement, Lille University, 59000 Lille, France

A R T I C L E I N F O A B S T R A C T

Keywords: This study describes a method for detecting tunnel damage by using vertical acceleration of an in-service subway
In-service train dynamic response train and a multi-step strategy based on variational mode decomposition, convolutional neural networks and
Subway tunnel long short-term memory. In contrast to conventional methods, the strategy is based on multiple classifiers and
Damage detection
can extract the damage information using a step-by-step approach at low cost and high efficiency. Laboratory
VMD-CNN-LSTM
Multi-step strategy
tests were conducted to verify the performance of the proposed method on tunnel damages such as lining
Laboratory test concrete spalling, surface overload, and voids behind the tunnel segment. Results show that the proposed
strategy can accurately identify the location, type, and degree of the damage with an accuracy of 95%, 95%, and
91% and Kappa coefficients of 0.94, 0.93, and 0.88, respectively. Compared to CNN, CNN-LSTM, and WPD used
in the identification of tunnel damages, the proposed method exhibited higher performance in terms of accurate
classification.

1. Introduction
This study proposes an innovative solution using the in-service train
dynamic response for detecting damages in subway tunnels. Tunnel
managers are primarily concerned with the early detection of damages
to avoid severe consequences of service interruption, accidents, and
additional expenses [1,2]. Therefore, the proposed method makes a
significant contribution to the increasing demand of tunnel managers for
reliable damage detection methods that can be easily implemented in
subway tunnels.
Traditional tunnel damage detection methods rely mainly on defor­
mation monitoring [3–5] and vibration monitoring [6–8]. Owing to cost
constraints, fixed sensors are usually employed in sensitive areas to
monitor structural vibration signals, making it difficult to monitor the
totality of subway tunnels in real-time. Non-monitored areas are usually
surveyed by manual workers after the train service; however, they
exhibit limited accuracy, low efficiency, and subjectivity. In recent
years, machine learning (ML) techniques have been used to analyze
damage data in tunnels [1,9,10] using methods such as radar [11,12],
3D-laser scanning [13,14] and image recognition [15,16]. Zeng et al.
proposed a method based on XGBoost to detect voids behind the seg­
ments using radar data [12]. Huang et al. designed an image acquisition
system of subway tunnels based on a Charge-coupled device (CCD) line-
scan camera [17], and proposed a new algorithm based on local image
grid features to identify the cracks. However, these methods are limited
by the inspection time (about 3 h per day) and high costs.
Therefore, researchers installed sensors in vehicles to record the
dynamic response of passing vehicles to inspect the tracks and bridges,
which reduced the cost and improved damage detection efficiency
[18,19]. Yang et al. used the dynamic response of moving vehicles to
assess the health conditions of bridges [20]. Recently, researchers
summarized the application of this technology on highway bridges and
railway tracks [21]. Using moving vehicles to determine track irregu­
larities and defects has also been investigated [22–24]. Li and Xie et al.
[25] proposed a method to identify tunnel damages using the dynamic
response of subway trains in service, which was further verified through

* Corresponding author at: School of Civil Engineering, Tongji University, Shanghai 200092, China.
E-mail address: xiexiongyao@tongji.edu.cn (X. Xie).

https://doi.org/10.1016/j.autcon.2022.104293
Received 2 January 2022; Received in revised form 26 March 2022; Accepted 24 April 2022
Available online 2 May 2022
0926-5805/© 2022 Elsevier B.V. All rights reserved.
Y. Zhang et al.
Vibration data of in- Variational mode
serviced train decomposition
Fig. 1. The proposed tunnel damage detection method.
numerical simulations and model tests. Zhang et al. [26] conducted a
model test using the wavelet packet relative energy entropy (WPERE)
and the acceleration of passing vehicles to analyze the damage in sub­
way tunnels. Compared to traditional methods, methods based on the
response of passing vehicles were found to be more efficient and
required lesser monitoring costs.
Because tunnel vibration responses are characterized by both low-
frequency and low energy, traditional signal processing methods
encounter difficulties in identifying tunnel damage owing to the low
signal-to-noise ratio (SNR). In contrast, the subway train monitoring
collects massive amounts of data owing to the high intensity of the
subway traffic. Therefore, this study proposes an innovative and reliable
method to deal with massive amounts of data with low SNR to address
the above-mentioned challenges.
Deep learning (DL) methods have received significant attention in
the last decade owing to their big data feature extraction and classifi­
cation capacity. They have been widely used in fields like civil engi­
neering, medicine, and aerospace. Convolutional neural networks
(CNN) became a standard for various computer vision and machine
learning operations [27]. The one-dimensional convolutional neural
network (1D CNN) exhibited high performances in time series, such as
automatic speech recognition [28], electrocardiogram (ECG) detection
[29,30], and detection of vibration-based structural damage in civil
infrastructures [27,31–34]. In addition, Cha et al. proposed an unsu­
pervised damage detection model based on vibration acceleration that
achieved high levels of accuracy in identifying damage in steel bridge
and structure experiments [35,36]. Meanwhile, the recurrent neural
network (RNN) and long short-term memory (LSTM) methods exhibited
high capacity in extracting features that can keep causal or logical
Fig. 2. Dynamic model of the metro train-track-tunnel system.
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Automation in Construction 139 (2022) 104293
Multi-step tunnel Damage
damage identification information
relationships in time series. However, the RNN method exhibits the
phenomenon of gradient explosion and gradient disappearance, which
reduces the generalization ability of the model. This problem can be
overcome by using the LSTM method, which is a special RNN method
with long and short-term memory. Moreover, many researchers used
signal processing methods to preprocess the input data of machine
learning techniques to enhance data characteristics, such as ensemble
empirical mode decomposition (EEMD), wavelet packet decomposition
(WPD), and variational mode decomposition (VMD). Lahmiri [37] and
Dragomiretskiy et al. [38] demonstrated that the VMD method was more
robust compared to the EEMD and WPD methods. Therefore, VMD can
be used to enhance the training data by signal decomposition.
This study proposes a tunnel damage identification method based on
VMD-CNN-LSTM to address the challenges pertaining to low SNR and
the time-space effect of the dynamic response of an in-service train. The
proposed method improves the efficiency of damage detection in tunnels
and reduces the monitoring cost. First, the study introduces the
approach of using the dynamic response of an in-service train to identify
damages in subway tunnels. Additionally, a novel multi-step tunnel
damage identification strategy based on VMD-CNN-LSTM has been
presented. The VMD method is used to extract the intrinsic character­
istics of the data, and the CNN-LSTM method is used for feature
extraction and classification. Moreover, a laboratory model experiment
was designed to verify the proposed method. an experiment was con­
ducted by designing three types of tunnel damages, including lining
concrete spalling, surface overload, and the void behind the segment.
Wireless sensors were placed in the vehicle to collect over 14,000 ac­
celeration signals of the moving vehicle. Lastly, the effectiveness of the
proposed algorithm was illustrated using the experiment data to train
Y. Zhang et al. Automation in Construction 139 (2022) 104293

Training series classifiers by

Data preprocessing
using training dataset

Original Acceleration of moving train Input

Variational Mode Decomposition CNN

LSTM
IMF 1 IMF 2 IMF 3 ····· Residual

Output

Input

Classifier-A Lining Spalling Classifier-C1

Surface Overload Classifier-C2

Yes
Damage position Classifier-B

·····
Voids behind wall

Other type Classifier-Cn

Damage position Damage type Damage degree

Ouput all damage information

Multi-step tunnel damage identification strategy

Fig. 3. Framework of the proposed multi-step damage identification strategy.

and test the algorithm and comparing the results with the results of other
methods.
The remainder of this paper is arranged as follows. Section 2 in­
troduces the primary method of tunnel damage identification. Section 3
introduces the automated model test system. Section 4 presents the
implementation of the method and the results. Section 5 discusses the
analysis of the results and the comparison between different methods.
Eventually, Section 5 presents the conclusion of this study.
2. Damage identification method
In this section, the methodology and scientific background of the
proposed detection method have been presented. This method is based
on the analysis of the vibration of the coupled in-service train system,
which includes the in-service train, rail, tunnel, and soil. Damage in any
of these components can change the tunnel and vehicle dynamic
response, and the damage information can be extracted from the dy­
namic response of the vehicle. However, considering this response ex­
hibits common features such as huge data volume and low signal-to-
noise ratio (SNR), traditional methods were inadequate for damage
detection. Therefore, to overcome these difficulties, this study proposes
a new multi-step strategy based on VMD-CNN-LSTM to identify tunnels
damages. Moreover, the proposed strategy was verified by model tests.
Fig. 1 shows the diagram and overall flowchart of the proposed
tunnel damage detection method. This method comprises three stages:
data measurement, signal decomposition, and multi-step damage iden­
tification. The sensor is placed in three sections on the train: inside the
carriage, on the bogie, and in the wheelset, to collect the dynamic
responses when the in-service train is running normally for the entire
day. The following section presents the mathematical model of the
coupled system and the proposed algorithm for damage identification.
2.1. Train-tunnel coupling system
According to the principle of multibody dynamics, the dynamic
model of the train-track-tunnel system can be simplified, as shown in
Fig. 2 [39,40].
The carriage, bogie, primary and secondary spring/damping system,
rails, track slabs, fasteners, and tunnel were considered in this model.
The system was further divided into the train subsystem and the sub­
structure. According to D'Alembert theory, the coupled vibration equa­
tion of the system can be expressed as:
Mvv Ẍ v + Cvv Ẋ v + Kvv Xv = Fv (1)
where Mvv, Cvv, Kvv are the total mass matrix, the total damping matrix,
and the total stiffness matrix of the train-track-tunnel-soil coupling
system, respectively. Fv is the vector of the wheel-rail contact forces and
connection forces. Xv, Ẋv , Ẍv are the displacement, velocity, acceleration
vector of the system, respectively. And more details on theories and
methods can be found in the literature [25].
The system vibrations originate from the train movement in the
tunnel. When the train crosses a damaged section, the vibration mode of
the system changes, which impacts the train response. The damage of
the tunnel structure can be set as given in Eq. (1). Once the equations are
solved using the modal superposition method, the tunnel damage can be

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Y. Zhang et al. Automation in Construction 139 (2022) 104293

Fig. 4. One-dimensional convolution neural network structure.

identified by analyzing the acceleration signal of the vehicle. However, the last step. Finally, all the prediction information of tunnel damage is
the SNR of the dynamic response signal of the in-service train was very obtained.
low owing to measurement errors, random track irregularities, and other
noise, making it difficult to identify tunnel damage by using traditional 2.2.1. Presentation of VMD algorithm
methods such as WPD and EEMD. Therefore, this study used a multi-step The VMD algorithm is a powerful non-recursive signal decomposi­
damage identification strategy to solve this problem. tion method that uses the penalty factor α and decomposition number K
to decompose a complex signal into a series of quasi-orthogonal IMF.
Each IMF has a center frequency and limited bandwidth. When the pa­
2.2. Multi-step damage identification strategy rameters are reasonable, the modal aliasing phenomenon can be effec­
tively suppressed, which can help fully explore the characteristics of
The signal data comprises three levels of damage information: the complex nonlinear signals. Compared to methods such as EMD, EEMD,
position, type, and degree of damage. Therefore, tunnel damage LMD, the VMD method is more robust with a higher decomposition
recognition is considered a multi-label classification task. The damage accuracy.
information is extracted step by step to reduce the computational cost The decomposition process of VMD is based on an optimization
and complexity of the algorithm. process for solving constrained variational problems. Therefore, to solve
Fig. 3 shows the framework of the presented multi-step tunnel the problem, the VMD algorithm introduces the penalty factor α and
damage identification strategy. Firstly, the VMD is used in data pro­ Lagrange multiplier λ, which transforms the constrained variational
cessing to decompose the raw signals into intrinsic mode functions (IMF) problem into an unconstrained variational problem as:
with simpler variation characteristics that are easier for extracting fea­
tures. The intrinsic mode functions as the input data of the machine K ⃦ {[ ]* } ⃦2 ⃦ ⃦2
∑ ⃦ ⃦ ⃦ ∑K ⃦
⃦∂t δ(t)+ j uk (t) e− jwk t ⃦ + ⃦ ⃦
learning network are expressed as IMF1, IM2, ……, IMFK, and residual. ζ({uk },{wk },λ)= α ⃦ π t ⃦ ⃦ ⃦f (t)− uk (t) ⃦
⃦
Then, the IMFs and residual are input into the classifiers based on
k=1 2 k=1 2
∑
K
CNN(1D)-LSTM to extract the damage information. The feature map +〈λ(t),f (t)− uk (t)〉
extracted by the CNN model is input to the LSTM model, and classifi­ k=1
cation is performed subsequently. The classifiers are divided into three (2)
types to separately extract three levels of damage information. After
training, Classifier-A was used to determine and locate any tunnel where α is the quadratic penalty factor and λ(t) is the Lagrange multi­
∑K ⃦ n ⃦2 ⃦ n ⃦ 2
damage in the first step. If damage is detected, the location will be plier. The convergence condition is ⃦ u n+1 − ̂
k=1 ̂ k u k ⃦2 /⃦ ̂
u k ⃦2 < ε,
marked. In the second step, the data of the damage is transmitted to where n is the number of iterations. Therefore, the selection of α and K
Classifier-B, which determines the damage type. Next, Classifier-{C1, C2, significantly influences the decomposition effect, which can be solved
…,Cn} of different damage types are used to assess the damage degree in through optimization algorithms such as GA and PSO. The specific
solving method was proposed by Dragomiretskiy et al. [38] and Shi et al.
[41].

2.2.2. 1D convolutional neural network (1D CNN)

As shown in Fig. 4, the CNN comprises the input layer, convolution
layer, pooling layer, full connected layer, and output layer. Considering
the 1D CNN method uses a one-dimensional vector (not 2D images, but
can be multi-channel) as the input data, the convolution kernel should
be adjusted to one dimension in the convolution layer.
The convolution layer is the core layer of convolutional neural net­
works, and comprises several convolution kernels that constitute the
core part of the CNN. In a convolution layer, the parameters related to
the number and size of the convolution kernel, and the step length of the
convolution operation et al., are called hyperparameters.
The Pooling technic, also known as under-sampling or down-
sampling, reduces dimensionality of the representation and creates an
Fig. 5. LSTM neuron module [45].

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Y. Zhang et al. Automation in Construction 139 (2022) 104293

Table 1
Similarity coefficient.
∑
l
floss = − [di ln(yi ) + (1 − di )ln(1 − yi ) ] (3)
Name Similarity equation Scaling factor (model/prototype) i=1

Length CL 1/20
where di and yi are the real and predicted values, respectively, and l is
Elastic modulus CE 1/30
Density Cρ 2/3 the dimension of the actual and predictive value vectors.
Strain Cε 1

Acceleration CE 1 2.2.3. Long short-term memory (LSTM)

Ca =
Cρ CL LSTM is a unique recurrent neural network (RNN) that uses the gate
( )0.5
Time Ct = C L
Cρ 0.224 mechanism to overcome the vanishing gradient problem of the RNN.
CE However, this method is not suitable for timing sequences with too many
Frequency Cf = Ct − 1 4.472
time steps owing to high computing costs [44]. Generally, the LSTM
layer is used after the CNN extracts and compresses the feature maps.
invariance to small shifts and distortions [42]. The LSTM neuron module is the core of the LSTM layer. Fig. 5 shows the
In a typical deep CNN design, the pooling layers are usually placed internal structure and parameters of the LSTM neuron module.
after the convolution layers. The loss function is used in supervised The LSTM neuron module comprises three types of gates: the
learning tasks to evaluate the difference between the predicted and forgetting gate ft, which decides which previous information should be
actual values of the model output. In this research, the cross-entropy cost discarded and avoids the infinite growth of the internal module state
function is used (Eq. (3)) in the classifiers [43]: value; the input gate it, which determines what new data could be input
into the neuron module; and the output gate ot, which controls the

Fig. 6. Schematic diagram of the test system.

Fig. 7. Model and test system in the laboratory.

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Table 2
Key physical parameters of the model.
Components Parameters Value

Sand Depth (m) 0.9

Density (kg ⋅ m− 3) 1510
Tunnel External diameter (m) 0.3
Length (m) 3
Depth of tunnel (m) 0.2
Ring width (m) 0.1
Lining thickness (m) 0.01
Density of photosensitive resin (kg ⋅ 1150
m− 3)
Tensile modulus (MPa) 2779
Poisson's ratio 0.42
Sandbox Length×width×height (m) 3 × 1.5 × 1
Polystyrene foam Thickness (m) 0.25
board
Vehicle Length×width×height (m) 0.3 × 0.15 ×
0.12
− 1
Speed (m ⋅ s ) 0.9
Weight (kg) 5.08
Track Length×width×height, (m) 3 × 0.004 × Fig. 8. Tunnel segments with concrete spalling damage.
0.004

vehicle speed and total mass (load and sensor) were 0.9 m/s and 5.08 kg,
update and output of the status information of the module [45]. respectively. A stepper motor and crawler pulled the vehicle running on
the track. The test system was automatically controlled by a program,
3. Moving train and tunnel model tests thereby ensuring uniform vehicle speed.

3.1. Laboratory physical modeling system

3.2. Damage setup

A laboratory model test was designed to verify the proposed strategy

The tunnel damage was caused by both structure material degrada­
capacity to identify damages in tunnels. The model comprised of
tion and the external environment. Concrete carbonization, erosion, and
assembled shield tunnels, sandbox, and vehicles. The vehicle was driven
spalling decreased the lining stiffness and caused deformation and
by the stepper motor and performed linear motion at a uniform speed
cracking of the tunnel, resulting in water leakage. Soil movement, soil
inside the tunnel. The measured vertical acceleration response of the
erosion, and surface overload induced tunnel settlement and dislocation,
vehicle was used to verify the effectiveness of the proposed strategy.
thereby resulting in tunnel damage.
The designed experiment simulates the damage conditions pertain­
3.1.1. Scale ratio
ing to segment concrete spalling, voids behind the lining, and surface
According to the similarity theory, the main physical quantities of
overload.
the prototype structure and model structure are either the same or
proportional [46,47]. Considering the laboratory space, the prototype
3.2.1. Segment concrete spalling
size (taking Jinan subway tunnel as the prototype), and other factors,
Owing to the increase in the tunnel service time, the concrete erodes
the geometric similarity coefficient was Cl = 1/20, elastic modulus co­
due to environmental factors. Consequently, the mechanical properties
efficient was CE = 1/30, and the acceleration similarity coefficient was
of the concrete degrade gradually, resulting in concrete spalling and a
Ca=1. The dimensional analysis method, length, acceleration, and
decrease in segment stiffness. The experiment produced the tunnel
elastic modulus were considered as the primary physical variables,
segments with different degrees of concrete spalling using 3D printing
whereas other similarity coefficients were calculated as summarized in
technology. Fig. 8 shows the damaged segment, which includes 3 × 3 cm
Table 1.
spalling with four depths (1, 2, 3, and 4 mm).

3.1.2. Model system

3.2.2. Void behind segments
Owing to limited materials, the primary and secondary springs of the
As shown in Fig. 9, two kinds of voids (soft and hard) were created
train, the rail fasteners, and the groundwater were reduced. Figs. 6 and 7
using an FEP bag (soft) and resin-void (hard). The volume of the bag was
show the test model, which comprises the shield tunnel, vehicle, power
approximately 0.5 L and was buried in the bottom soil of the tunnel. The
traction, automatic control, and sandbox.
gas pressure was gradually decreased from 6 kPa to 0 to simulate soil
Table 2 summarizes the physical parameters of the model. The tunnel
erosion, resulting in a void. The solid void was created using photo­
structure and track slab were created using 3D printing technology with
sensitive resin of different parabolic shell sizes with 3D printing tech­
photosensitive resin. A bolt was used to assemble the lining segment,
nology, which simulated the influence of varying volume voids in the
which included one standard part-I (SPI, radian 48◦ × width 10 cm), two
bottom of the tunnel.
standard part-II (SPII, radian 96◦ × width 10 cm), and one bottom part
(BP). Therefore, various tunnel damage conditions can be simulated by
3.2.3. Surface overload
replacing the damaged segments. The track was made of two smooth
According to the operation and maintenance experience of the
metal strips, which reduced the influence of track irregularity.
Shanghai metro tunnel, external load generally includes earth backfill,
The sandbox was made of steel. A 25 cm thick polystyrene foam plate
goods, temporary buildings, and other loads on the surface. If the load
was used to cover the inner wall of sandbox to absorb vibration waves
exceeds the tunnel design load, it could cause damage to the tunnel
and prevent wave reflection that affects the vibration mode of the
structure, such as collapse and dislocation of the interface, disconnec­
structure.
tions, and cracks. Fig. 10 shows the overload considered in the experi­
The vehicle was divided into three carriages, with wireless sensors
ments by using a sand mound with four heights: 2 cm, 4 cm, 6 cm, and 8
and deadweight, respectively. In the standard working condition, the
cm.

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Fig. 9. a) FEP bag, b) 3D-printed void, and c) void size.

Fig. 10. Surface overload above the tunnel.

3.3. Test conditions

Table 3
Test conditions.
To obtain a large number of training samples, each test case
Case Segment Surface Void Void Segment comprised 500 runs in the same condition. It was noted that in standard
concrete overload (soft)/ (Hard)/ ring
conditions, the vehicle repeatedly ran at a speed of 0.9 m/s with a
spalling (depth) (height) /cm kPa cm3
/mm weight of 5.08 kg, and it took 3 s for the vehicle to run from left to right.
Table 3 summarizes the test conditions for each case. Considering the
0 – – – – –
1 1 – – – 14
difficulty in accurately marking the time range of damage in the signal,
2 2 – – – 14 the ring number of damage was directly marked as the data label. To
3 3 – – – 14 reduce the workload, the test only considered three damage locations.
4 4 – – – 14
5 2 14
3.4. Sensors setup
– – –
6 – 4 – – 14
7 – 6 – – 14
8 – 8 – – 14 As shown in Fig. 6, the three-axis wireless sensor was installed in the
9 – – 6 – 14 middle of the vehicle with a sampling frequency of 4000 Hz. The vertical
10 4 14
– – –
acceleration response was used to verify the effectiveness of the strategy.
11 – – 2 – 14
12 – – 0 – 14
13 – – – 166.4 14 4. Damage identification results using the test data
14 – – – 331.7 14
15 – – – 447 14 In this section, the data collected in the experiment were used to
16 566 14
train and test the proposed method to verify the effectiveness of the
– – –
17 3 – – – 8
18 3 – – – 20 strategy, as shown in Fig. 3. The following sections present the setup and
19 – 6 – – 8 parameters of the series of classifiers and the damage identification re­
20 – 6 – – 20 sults. Simultaneously, the results of the proposed method with that of
21 2 8
– – –
other methods were compared and visualized by t-SNE.
22 – – 2 – 20
23 – – – 447 8
24 – – – 447 20 4.1. Setup of the classifier

Fig. 11 shows an example of the network structure and parameters of

classifier-A. In the proposed strategy, each classifier exhibited a similar
structure, including the input, convolutional, pooling, LSTM, and output
layers. However, the specific hyperparameters and network structure

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Fig. 11. Structure and parameters of the classifier.

Fig. 12. Original signal of the vehicle in modeling test.

were adjusted according to the specific data sets to obtain relatively
better results.
The classifiers used IMF and Residual sequences decomposed by
VMD as the input data. Fig. 12 shows the original vertical acceleration
response signals of the vehicle in Cases 0, 1, 18, and 19 (Table 3),
wherein the size is equal to 12,000 × 1. As shown in Fig. 13, the
decomposition results based on VMD were used to train the classifiers,
where K = 4 and α = 4000. The parameter selection and solving method
were found in the study conducted by Dragomiretskiy et al. [38] and Shi
et al. [41]. Therefore, each input data had 5 dimensions with lengths of
12,000 × 1.
The first convolution layer had 20 convolution kernels with a length
of 5 × 1, while the other layers had different hyperparameters. The
activation function used the ReLU function, whereas the weight and bias
terms were initialized using Glorot-normal. The maximum pooling
method was used in the pooling layers, with sub-sampling sizes 4 and 3.
Moreover, to reduce computing costs, the reshape layer was used to
change the shape of the feature map, considering the middle layer links
the convolution network and the LSTM layer. The number of neurons in
the LSTM layer was 10. Finally, the position of the damage was provided
in the output layer of classifier-A. Meanwhile, the outputs of other
classifiers were the health conditions of the tunnel, such as the type and
degree of damage.

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Fig. 13. Signal after variational mode decomposing of case 0 in Fig. 12.

four categories for Classifier-A, which included the health structure, and
Table 4 the structural damage on the 8th, 14th, and 20th ring, respectively.
Setup of a series of classifiers. Table 5 summarizes the one-hot code and other parameters.
Classifiers Task goal Case of input sample Output The input data of the vehicle's acceleration was randomly divided
sets (shown in into training and test sets. The test set was determined by randomly
Table 3)
selecting 200 samples from each sample type. After the test set was
Classifier- Whether there is any tunnel All Damage isolated, the sample capacity of the training set was quadrupled by
A damage and where the position filtering and flipping (multiplying by − 1) on the x-axis. The remaining
damage is
Classifier- Identify the damage type All Damage
samples were divided into training and validation data sets in the ratio
B types 4:1.
Classifier- Assess the damage degree of 1, 2, 3, 4 Damage The algorithm was implemented using Python3.9 and TensorFlow
C1 lining spalling degree 2.5, and trained on a computer with NVIDIA GTX 1060(GPU) and Intel
Classifier- Assess the damage degree of 5, 6, 7, 8 Damage
i7-7700K(CPU). Adam optimizer and categorical cross-entropy were
C2 surface overload degree
Classifier- Assess the damage degree of 9, 10, 11, 12 Damage used as the optimizer and loss function, respectively. Every epoch of
C3 voids behind the wall (soft) degree training took approximately 29.3 s. After optimizing the hyper­
Classifier- Assess the damage degree of 13, 14, 15, 16 Damage parameters and training the classifier, the two curves converged quickly
C4 voids behind the wall (hard) degree after the 80th epoch (Fig. 14). The accuracy Po was 95.9%, and a loss
was less than 0.05.

Table 5
Parameters of Classifier-A. 4.3. Tunnel damage recognition results
One-hot Case Number of Number of training Label
code testing sets and validation sets 4.3.1. Performance metrices
Two methods were used to evaluate the proposed method: (i) The
1 (1, 0, 0, 0) 0 200 5760, 1440 Healthy
structure confusion matrix and accuracy and (ii) the Kappa coefficient.
2 (0, 1, 0, 0) 17, 19, 200 5760, 1440 Damage on
21, 23 ring 8th 4.3.1.1. Confusion matrix and accuracy. Confusion matrix C, also
3 (0, 0, 1, 0) 1–16 200 6240, 1560 Damage on
known as error matrix, is expressed in n rows and n columns, where n is
ring 14th
4 (0, 0, 0, 1) 18, 20, 200 5760, 1440 Damage on the number of classifications. Fig. 15 shows the confusion matrix results
22, 24 ring 20th of all classifiers using the test set. Considering the confusion matrix of
Classifier-A for example, each column and row represent the prediction
category and actual category, respectively. In the first row, C11 indicates
4.2. Training the classifiers that 214 healthy samples were predicted to be healthy, whereas C12, C13,
and C14 indicate that no healthy samples were predicted to be damaged
Table 4 summarizes the six classifiers used in this study. In partic­ at the 8th, 14th, and 20th ring. Therefore, the recognition quality of the
ular, the healthy working conditions (Case 0) were repeated 2000 times classifiers can be displayed intuitively. Other confusion matrixes display
to balance the number of training samples in each category. Moreover, the prediction results of other classifiers. Some wrong predictions were
500 samples were collected for each other test case. The target outputs observed owing to the limitation of the scale model and the influence of

9
Y. Zhang et al. Automation in Construction 139 (2022) 104293

Fig. 14. (a) Recognition accuracy rate of the training set and validation set and (b) Training and validation set loss function curve.

the systematic error, measurement error, and random track irregularity. 5. Discussions
Additionally, accuracy was used to evaluate the classification tasks
by measuring the proportion of the correct samples to the total number 5.1. Time-frequency analysis
of samples for a given data. Through the confusion matrix, the accuracy
Po was calculated using Eq. (5). For example, the accuracy Po of As shown in Fig. 17, the normalized energy distribution map is ob­
Classifier-A was 95%, tained using wavelet packet decomposition (WPD), and the frequency
band above 750 Hz is filtered. The x-axis in the figure represents the
4.3.1.2. Kappa coefficient. Kappa coefficient (Kkc) is used for consis­ time, and the time window length is 0.25 s, indicating that the time
tency verification and classification accuracy evaluation. It is deter­ resolution is 0.25 s. The y-axis represents the frequency with a frequency
mined by the following equations: resolution of 7.8 Hz. Each point in the figure represents the ratio of the
energy of this frequency band to the sum of the energy of all frequency
Po − Pe
Kkc = (4) bands in this time period. The energy of the vertical acceleration signal
1 − Pe
of the train is primarily concentrated in the two frequency ranges of
∑
n 35.16–144.5 Hz and 261.7–425.8 Hz. Comparing the images of Cases 0,
Cii 3, 7, 11, and 16, certain subtle differences are observed in the red box in
Po = i=1 (5) the time period of 1– 1.5 s and frequency range of 35.16–144.5 Hz,
N
indicating potential damage in this area. Comparing the graphs of Cases
∑
n ∑
n ∑
n ∑
n ∑
n ∑
n 0 and 20, the differences are found to be primarily concentrated in the
C1j × Ci1 + C2j × Ci2 + … + Cnj × Cin
time period of 0.5–1 s, indicating that the location of the damage has
(6)
j=1 i=1 j=1 i=1 j=1 i=1
Pe = changed. However, it is difficult to distinguish the damage type and
N×N
degree through the time-frequency graphs. In addition, the significant
where Po is the sum of the correct predictions for each classification randomness in the high frequency section (261.7–425.8 Hz) interferes
divided by the total number of samples, which indicates that the clas­ with the identification of damage, indicating that proposed methods are
sification accuracy Pe designates the sum of the products of the actual more effective than the conventional methods.
and predicted numbers corresponding to all categories, divided by the
square of the total number of samples. Cij is the element of the confusion
5.2. Different machine learning methods
matrix representing the number of samples that are actually in the i
category but predicted to be the j category. N is the total number of
Experimental results show that the proposed method can successfully
samples.
classify the tunnel damage step by step, improve efficiency, and reduce
The Kapa coefficient varies in the interval [0,1]. High values indicate
monitoring costs. This section compares the proposed strategy to other
high classification accuracy. For example, the kappa coefficient of
methods such as WPD-CNN-LSTM, CNN-LSTM, VMD-CNN, CNN, and
Classifier-A was 0.9366, indicating that the predicted results of
WPERE for damage identification [26].
Classifier-A were almost consistent with actual results.
(1) Table 6 shows the average accuracy of the test set for these
methods. The method proposed (the VMD-CNN-LSTM method) exhibi­
4.3.2. Recognition results
ted higher average testing accuracy compared to other methods.
The methodology used to train and optimize Classifier-A was applied
First, the results of using different data preprocessing methods were
to other classifiers. Figs. 15 and 16 show the confusion matrix and the
compared, including VMD, WPD, and non-decomposing methods. The
results obtained for the recognition accuracy and Kappa coefficient of
overall accuracy of method VMD-CNN-LSTM reached 0.9112 consid­
the all classifiers using test set, respectively. The overall accuracy was
ering the VMD algorithm effectively separates the main modes of the
higher than 0.9112, whereas the Kappa coefficient was higher than
signal and enhances the features of the input data, which exhibits a
0.8816. These results verify the good performance of the proposed al­
better performance compared to the WPD and non-decomposing
gorithm. Conversely, the accuracy of C1 was the lowest, indicating that
methods.
the recognition effect of the damage degree related to the lining spalling
By comparing the average accuracy of methods VMD-CNN-LSTM and
was not good. In contrast, the recognition effect of the damage position
VMD-CNN, CNN-LSTM and CNN, the high performance of the LSTM
was the best, which was as high as 0.9525.
layer in the classification of time-series data was confirmed, considering

10
Y. Zhang et al.
Fig. 15. Confusion matrix of classifiers using the test set.
the accuracy of Classifier-A improved from 0.9225 to 0.9525, and from
0.8550 to 0.8775.
WPERE is the conventional damage identification method that uses
relative energy entropy after wavelet packet decomposition (WPD) [26].
The classification accuracy of the WPERE method was equal to 0.7313,
which was considered insufficient in engineering practices. Results show
that the deep learning method based on CNN-LSTM could effectively
extract damaged features and classify them compared to the WPERE
11
Automation in Construction 139 (2022) 104293
method.
(2) The average accuracy using only one classifier based on the VMD-
CNN-LSTM method to classify all damage information in one step was
found to be 0.865, which is lower than that obtained using the proposed
multi-steps strategy. The proposed multi-step strategy with high per­
formance considers the connection among different damage information
levels, thereby effectively reducing the network complexity and
improving the modeling accuracy. Therefore, the proposed strategy is
Y. Zhang et al. Automation in Construction 139 (2022) 104293

considered promising and provides competitive classification accuracy.

(3) To visualize features and better compare the evaluated methods,
the t-SNE algorithm was used to map high-dimensional features into 2D
space [48]. Considering classifier-A as an example, Fig. 18 shows the
results obtained using different methods, including the VMD-CNN-
LSTM, VMD-CNN, CNN-LSTM, and CNN methods. Each point repre­
sents the data in the test set, whereas the different colors represent their
real category. The classifier divides test set data into several clusters,
whose coordinates have no physical meaning. Therefore, the healthy
tunnel class is completely separated from the damaged tunnel class. The
distribution of each class in (a) is more concentrated than (b), (c), and
(d). In (c) and (d), the boundary among clusters is not very clear, indi­
cating that the classification effect does not meet the expectation. By
integrating VMD with CNN-LSTM classification, this multi-step strategy
utilizes the strong ability of VMD, CNN, and LSTM completely. There­
fore, the proposed method is more effective than others in the classifi­
cation task.

5.3. Limitations

The model test was conducted to verify the feasibility of the tunnel
Fig. 16. Recognition accuracy and Kappa coefficient for the six classifiers. damage detection method based on the vibration response of the in-
service train. Moreover, it was expected to verify the effectiveness of

Fig. 17. Time-frequency diagrams of signals in different test cases

Table 6
Average testing accuracy of different strategies and methods.
Data decomposition methods in preprocessing Machine learning methods Classifiers

A B C1 C2 C3 C4

VMD CNN-LSTM 0.9525 0.9450 0.9112 0.9415 0.9275 0.9363

WPD CNN-LSTM 0.9075 0.8825 0.8563 0.8638 0.8213 0.8738
– CNN-LSTM 0.8775 0.8538 0.8375 0.8413 0.8338 0.8613
VMD CNN 0.9225 0.9075 0.8588 0.8938 0.8762 0.8813
– CNN 0.8550 0.8263 0.8075 0.8225 0.8363 0.8163
WPERE – 0.7313 – 0.6488 0.6913 0.685 0.7038

12
Y. Zhang et al.
Fig. 18. Visualization of the results using t-SNE for different methods: (a) VMD-CNN-LSTM (proposed method), (b) VMD-CNN, (c) CNN-LSTM, and (d) CNN.
the proposed multi-step strategy in processing monitoring data. Due to
the limited experimental conditions, the model was simplified signifi­
cantly. In the experiment, sand was used to simulate the soil around the
tunnel. Although it cannot accurately represent the complex geotech­
nical environment surrounding tunnels, the sand made it easy to control
boundary conditions due to its the high repeatability. The damage
designed in the experiment was also relatively simple, and the shape was
regular. Moreover, in standard conditions, the vehicle repeatedly ran at
a speed of 0.9 m/s with a weight of 5.08 kg. To be precise, the experi­
ment did not consider changes in train condition, such as train mass,
speed, and noise of electromechanical equipment. These simplifications
facilitated feasibility and repeatability of the experiment.
However, a considerable gap remains between model tests and
practical applications. In practice, the geological environment is com­
plex, and the damage shape and size are highly irregular. At the same
time, the mass of the subway train also changes with the passengers
embarking and alighting. These random factors will adversely affect the
recognition accuracy of the strategy. Therefore, not only is more data
required to train the neural network, but the network structure must also
be adjusted based on the field data. Prior to practical application, it is
also necessary to determine the most suitable sensor installation loca­
tions, such as carriages, axles, bogie frame, etc.
In practical application, the structure and hyperparameters of
13
Automation in Construction 139 (2022) 104293
classifiers in the proposed strategy should also be adjusted and opti­
mized according to the field data. Moreover, the model must be estab­
lished and trained separately for each tunnel, instead of using only one
model as a general example. Otherwise, the recognition accuracy will be
lower and networks will be more complex. As a supervised learning
model, the proposed strategy has a higher identification accuracy and
can obtain more comprehensive damage information. However, it needs
a considerable amount of data on different tunnel damaged scenarios,
which is difficult to obtain at first. Conversely, the unsupervised model
requires only the normal data from structurally intact states that are
sufficient for training. However, it is difficult to identify the damage type
and degree and identification accuracy is marginally lower than that of
the supervised methods. The supervised and unsupervised models have
exclusive advantages and disadvantages. Thus, they can complement
each other to improve the efficiency and accuracy of damage identifi­
cation. For instance, even Classifier-A can be replaced by an unsuper­
vised model in practical application.
In summary, the test results could only provide qualitative scientific
results instead of direct quantitative ones for practical engineering ap­
plications due to the scale effect of the small model. Future work should
continue to monitor both healthy and damaged scenarios for more data,
and focus on more refined deep learning models based on field tests in
the future.
Y. Zhang et al.
6. Conclusions
This study proposed a novel method based on the in-service train
dynamic response and a multi-step strategy incorporating VMD-CNN-
LSTM to identify damages in tunnels. The performance of the method
was investigated by conducting laboratory tests and verified by
comparing the results to that of other methods. The following results
were obtained:
(1) The proposed method obtained the train vibration response data
using a vehicle-mounted accelerometer. After VDM, the IMFs and re­
sidual were used as input data to train and test series classifiers based on
CNN-LSTM. All information on tunnel damage was extracted step by
step. Therefore, the proposed method offers advantages in terms of low
cost and high efficiency, which can be used as an alternative to tradi­
tional static monitoring for detecting tunnel damage.
(2) An automatic control experimental system was designed and over
14,000 sequences were collected to verify the effectiveness of the pro­
posed strategy. Results show that the experimental system can simulate
different kinds of tunnel damage, including voids, surface overload, and
lining spalling.
(3) A multi-step strategy was developed and verified using the ac­
celeration of the moving vehicle. The overall accuracy of the algorithm
was higher than 0.9112, whereas the Kappa coefficient exceeded
0.8816. The method was able to reasonably extract the type, position,
and degree of damage, including the surface overload, lining concrete
peeling, and voids behind the wall.
(4) The proposed method based on VMD-CNN-LSTM was compared
with other methods. By integrating VMD with CNN-LSTM classification,
this multi-step strategy utilized the strong ability of VMD in feature
extraction, excellent performance of CNN on pattern recognition, and
the advantages of LSTM classification in dealing with detection of tunnel
damages. Results show that the proposed strategy exhibited a better
performance in damage classification accuracy, both visually and sta­
tistically, compared to other methods.
In future studies, the characteristics and influencing factors of the in-
service subway train will be analyzed in field tests, such as passenger
capacity and train condition, on the dynamic response. In addition, more
vibration data in the tunnel health and damage scenarios will be
continuously measured, while more refined unsupervised learning
strategies will also be studied based on field data, such as anomaly
detection methods.
Declaration of Competing Interest
The authors declare that they have no known competing financial
interests or personal relationships that could have appeared to influence
the work reported in this paper.
Acknowledgments
This work was supported by the National Key R&D Program of China
under grant 2019YFC0605100 and 2019YFC0605103, National Natural
Science Foundation of China under grant 51778476 and 52038008, and
Shanghai Science and Technology Development Funds under grant
20DZ1202004. The authors gratefully acknowledge their financial
support.
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