Tunnelling and

Underground Space
Technology
incorporating Trenchless
Technology Research
Tunnelling and Underground Space Technology 20 (2005) 73–80
www.elsevier.com/locate/tust

Damage identification of a tunnel liner based on deformation data

a,*
Jun S. Lee , Il-Yoon Choi a, Hee-Up Lee a, Hee-Hyun Lee b

a
Department of Civil Engineering, Korea Railroad Research Institute, Smart Structure Research Group,
374-1 Wolam-Dong, Euiwang-Si, Kyunggi Province 437050, Republic of Korea
b
CTC Engineering, Republic of Korea

Received 20 March 2003; received in revised form 10 March 2004; accepted 30 May 2004
Available online 23 July 2004

Abstract

A new system identification approach based on tunnel deformation data is proposed to find the damage in the tunnel liner. For
this, an inverse problem in which deformation data and dead load of concrete lining are known a priori is introduced to estimate the
degree and location of the damage. Models based on uniform reduction of stiffness and smeared crack concept are both employed
and the efficiency and relative advantage are compared with each other. Numerical analyses are performed on the idealized tunnel
structure and the effect of white noise, common in most measurement data, is also investigated to better understand the suitability of
the proposed models. As a result, model 1 based on uniform stiffness reduction method is shown to be relatively insensitive to the
noise, while model 2 with the smeared crack concept is proven to be easily applied to the field situation since the effect of stiffness
reduction is rather small. Finally, real deformation data of a rail tunnel in which health monitoring system is in operation are in-
troduced to find the possible damage and it is shown that the prediction shows quite satisfactory result.

2004 Elsevier Ltd. All rights reserved.

Keywords: System identification; Damage detection; Lining; Smeared crack

1. Introduction example, is also possible by interpreting convergence

Health monitoring system, which is usually installed
in a problematic or special area of the tunnel, gives im-
portant information on tunnel maintenance and repair
work. Deformation of the inner lining, stress variations
of the shotcrete and groundwater level, among others,
can be monitored either in real time or in a periodic in-
terval (Lee et al., 2001). In most cases, the deformation
data are periodically compared with the prescribed
safety criteria so that, when the deformation is exceed-
ing a certain level, alarm signal is automatically sent
to the maintenance engineer. So far, the deformation
data have been mostly used to check the emergency con-
dition, but damage detection of a tunnel lining, for
*
Corresponding author. Tel.: +82-31-460-5342; fax: +82-31-460-
5359.
E-mail address: jslee@krri.re.kr (J.S. Lee).
data and this study will, therefore, be concentrated on
the system identification of the lining structure installed
in a conventional drilling and blasted tunnel with rock
bolt and shotcrete.
The system identification or damage detection has
been applied to the bridge structures in most cases and
can be classified into two categories according to the
data characteristics: Firstly, dynamic approach is a very
powerful tool from the theoretical viewpoint and it can
be divided into frequency and time domain analysis
again. Various studies have been carried out on the
damage assessment techniques using natural frequency
(Fabrizio and Danilo, 2000; Lee et al., 2004), but the
variation of natural frequencies is intrinsically not sensi-
tive to the damage in a bridge (Choi, 2002). In this re-
gard, Stubbs and Kim (1996) and Khaled (2000)
developed the damage assessment methods using mode
shapes which are relatively sensitive to the damage.

0886-7798/$ - see front matter
2004 Elsevier Ltd. All rights reserved.
doi:10.1016/j.tust.2004.05.005
74 J.S. Lee et al. / Tunnelling and Underground Space Technology 20 (2005) 73–80

Whereas natural frequencies, mode shapes and fre- proaches on the damage modeling are introduced and
quency response functions are needed to identify dam- the accompanying detection algorithm is fully explained
ages of the systems in the frequency domain, these in the following.
modal properties are not easy to acquire in the civil
structures such as bridges because of the difficulty in ex- 2.1. Damage detection based on stiffness reduction method
citation. Meanwhile, Yun and Shinozuka (1980) and
Wang (1995), among others, investigated the damage To detect the damage within concrete lining, the fol-
identification in time domain. Secondly, static analysis lowing equilibrium equation is introduced, Fig. 1:
is a convenient tool if the measured data are accurate Ku ¼ F; ð1Þ
and the detection algorithm is stable. In this regard,
an approach using both eigenmodes and static displace- where K, u and F are the stiffness matrix, deformation
ments is pertinent to the field condition (Hajela and vector and load vector, respectively, and the mass ma-
Soeiro, 1989). When the eigenmodes are used alone for trix is assumed to be the same before and after the dam-
identification procedure, location and extent of the dam- age is occurred in the lining. The stiffness and
age predicted are dependent on the number of modes deformation relationship after the damage will be
used in the damage assessment procedure. As a solution Kd ¼ K0
DK ¼ ð1
aÞK0 ¼ bK0 ; ð2Þ
to this problem, the use of static displacements obtained
by a loading that simulates higher modes was suggested. ud ¼ u0 þ Du; ð3Þ
Hjelmstad and Shin (1997) proposed a damage detection
where subscripts Ô0Õ and ÔdÕ denote the initial and de-
and assessment algorithm based on parameter estima-
formed stage, respectively, while a and b represent the
tion with an adaptive parameter-grouping scheme. Choi
damage index and effective stiffness ratio, respectively.
and Cho (2003) proposed a damage identification
The equilibrium equation after the damage becomes
technique using elastic damage load theorem (EDLT)
derived from the relationship between damage and
displacement. In this case, no loading test or data Kd
Ko
manipulation is usually required. In our study, it will
i-1 i+1
be assumed that the measurement data are obtained
from the convergence sensors installed in the inner space i
of the concrete lining and only the static deformation
data will be used throughout this study.
Conventional methods to detect the damage or the
voids in the tunnel lining have been performed mostly
by acoustic or impact echo technique and the detection
algorithm based on deformation or convergence data is
rarely tried. In the following, a static damage detection sensor
algorithm is introduced and a new method to account
for the effect of concrete cracks is also investigated. A nl
1
few numerical examples as well as convergence data of
a real tunnel are next considered to evaluate the pro- (a)
posed methods and future work will be briefly Kd
mentioned. i
i-1 i+1

Ko
2. Damage detection based on tunnel convergence data

Use of static convergence data can be a convenient

way to detect the damage if the accuracy of the measure-
ment data is assured. In this study, development of a de-
tection algorithm based on static convergence data is
carried out using the following assumptions: (1) mass sensor
of the lining structure is the same even if damage is oc-
curred; (2) external force acting on the liner is confined 1 nl
to the dead weight of the liner and earth pressure, for ex-
ample, is not accounted for. The second assumption can (b)
be justified if NATM is used and if groundwater is com- Fig. 1. Modeling of tunnel liner: (a) uniform reduction of stiffness and
pletely drained. Based on these assumptions, two ap- (b) homogenized crack model.
 J.S. Lee et al. / Tunnelling and Underground Space Technology 20 (2005) 73–80 75

Kd ud ¼ F; ð4Þ the solid element involving cracks inside can be ex-

and from Eq. (2) pressed as:

ð1
aÞ K0 ud ¼ F: ð5Þ Deq
i ¼ Di þ dDi ¼ Di S1i ; ð11Þ

Since the overall stiffness matrix is composed of elemen- where S1i is a structural matrix of the ith element and
tary stiffness matrices, Eq. (5) can be rewritten as fol- Eq. (11) can be rewritten as
lows: X
nl X
nl
Deq ¼ Di þ Di S2i ; ð12Þ
X
nl
i¼1 i¼1
F¼ ð1
ai Þ k i ud ; ð6Þ
i¼1 where
i
where nl and k represent total number of elements and S2i ¼ S1i
I; ð13Þ
elementary stiffness matrix of ith element, respectively.
and I is a unit matrix having dimension of 6 · 6. S1i in
Upon using Eq. (2), Eq. (6) can be written as
Eq. (13) is a function of the crack ratio as well as the
Rb ¼ F; ð7Þ crack stiffness where the crack ratio denotes the cracked
where area over the element volume. Similar results can be

 found in Lee et al. (2004) where the smeared crack
R ¼ k 1 ud ; k 2 ud ; . . . ; k nl ud ; ð8Þ model has been applied to the frequency domain and,
therefore, an additional degree of freedom, i.e., eigen-
b ¼ ½ð1
a1 Þ; ð1
a2 Þ; . . . ; ð1
anl Þ: ð9Þ vector, was added up to detect the damage location.
Therefore, if dead weight of lining F, initial stiffness ma- For a beam element, Eq. (13) can be simplified as
2 3
trix ki and deformation ud in Eq. (7) are known a priori, 0 0 0 0 0 0
the degree and location of damage in tunnel lining can 6 7
6 0 KD2211 0 0 0 07
be identified. Solution of Eq. (7) requires inverse matrix 6 7
60 0 0 0 0 07
of R and a singular value decomposition technique 6 7
S2i ¼
li 6 7 ¼
li S3i : ð14Þ
(Press et al., 1994) is found to be stable in most of the 6 0 0 0 KD4422 0 0 7
6 7
calculation process. It is noted that the damage 6 D 7
4 0 0 0 0 K 5533 0 5
calculated from Eq. (7) represents uniform reduction
of the stiffness within a lining element. In fact, model 0 0 0 0 0 0
1 employing uniform stiffness reduction scheme is not In Eq. (14), K11, K22 and K33 are the crack stiffness in the
new and easy to implement. However, this model is normal and shear direction, respectively, and the shear
not realistic in terms of damage and we will introduce stiffness K22 and K33 can be simplified into Ks as in rock
a more reliable model in the next. joint. S3i in Eq. (14) can be further simplified such that
in case of three-dimensional beam element
2.2. Damage detection based on smeared crack model 2 3
Cc
6 Cc 7
So far, the stiffness of a lining element has been uni- 6 7
6 7
formly reduced to model the damage. However, a dam- 6 Cc ½0 7
6 7
age pattern within tunnel lining is normally a 6 Cd 7
6 7
longitudinal or transverse crack and a smeared crack 6 7
6 Cc 7
concept can, therefore, be employed to model the major 6 7
6 Cc 7
crack, i.e., damage in a broad sense. In this case, damage 6 7
S4i ¼ 6 7;
detection will be to find the location and depth of a 6 Cc 7
6 7
crack within lining, and the formulation of the smeared 6 Cc 7
6 7
crack model used in the liner is derived in the following. 6 7
6 Cc 7
It is assumed that the tunnel liner is made up of cast- 6 7
6 ½0 Cd 7
in-place concrete arch without reinforcement bar. For- 6 7
6 7
mulation of the smeared crack model in the arch element 4 Cc 5
can be derived from the equation for three-dimensional Cc
solid element. As shown in Fig. 1(b), the stress–strain re-
ð15Þ
lationship of the solid element can be written as
where
r_ ¼ D_e; ð10Þ

where D is a constitutive relationship between stress and Eu Gu

Cc ¼ u ; Cd ¼ u ; ð16Þ
strain rate. Furthermore, stress–strain relationship of lE þ K N lG þ K S
76 J.S. Lee et al. / Tunnelling and Underground Space Technology 20 (2005) 73–80

and, if lEu > KN, lGu > KS, Eq. (16) can be simplified 1.0
Model 1
as 0.9
Model 2
0.8
Eu Gu Actual damage
Cc ¼ ; Cd ¼ : ð17Þ 0.7
KN KS

Damage factor
0.6
In Eq. (16), Eu and Gu represent the undamaged 0.5
YoungÕs modulus and shear modulus, respectively. In 0.4
short, the stiffness matrix of a damaged lining can be 0.3
written as 0.2
k id i i i
¼ k þ dk ¼ k
li k S4i i
ð18Þ 0.1
0.0
or
1 2 3 4
X
nl (a) Element number
dK ¼
li k i S4i ; ð19Þ
i¼1
1.0
Model 1
0.9
where the crack stiffness is a specific value according to 0.8
Model 2
the material under consideration and li is the ratio of 0.7
Actual damage
the cracked area over the element volume. In case of

Damage factor
0.6
concrete lining, experimental data show that KN is about
0.5
1300 GPa/m (Gopalaratnam and Shah, 1985).
0.4
0.3
0.2
3. Numerical examples
0.1

The models introduced in the previous section will be 0.0

compared with each other through numerical experi-
ments and a special emphasis will be placed on the prac-
tical application of the measurement data in the
evaluation process. Two groups of measurement data,
i.e., the ideal case without noise and the data including
white noise, will be used in the examples. Furthermore,
total number of sensors and their locations are also con-
sidered in the numerical experiment and their signifi-
cance will be evaluated as well. Table 1 shows the
material and geometrical properties of the tunnel liner
where the convergence measurement sensors are in-
stalled. In fact, the tunnel is located in the Korea High-
speed Rail (HSR) route and currently health monitoring
system is in operation as well. It is also noted that the
tunnel is composed of three different radii to construct
an excavation area of 107 m2, but overall radius is intro-
duced for simplicity.
3.1. Effect of total number of sensors
Consider a concrete lining structure shown in Fig.
1(a) and divide the lining into four elements with equal
length. In this case, a total three convergence sensors are
Table 1
Material and geometrical properties of the tunnel liner
Overall radius, R
Thickness, t
YoungÕs modulus, E
Unit weight, c
1 2 3 4
(b) Element number
Fig. 2. Damage detection having four uniform elements: (a) 10%
damage and (b) 50% damage.
assumed to be installed at the nodal points along the lin-
ing and both ends of the lining are fixed to the ground.
For our convenience, the stiffness reduction method is
called model 1 while smeared crack approach is named
as model 2 in the following. Throughout numerical ex-
amples, model 1 is simulated by reducing the stiffness
of an element uniformly. Meanwhile, ratio of the
cracked area over the element volume, unit of 1/length,
is needed in model 2 and shear stiffness of the crack is
ignored since only the in-plane dead load is considered
in this study. The normal stiffness KN of the crack can
be estimated according to the experiment and, in our
case, slope of the load vs. crack mouth opening displace-
ment (CMOD) in Gopalaratnam and Shah (1985) is
used to calculate KN.
Fig. 2 shows the result of the damage detection when
the damage is located at element 3. As can be seen in the
figure, the proposed damage detection algorithm gives
satisfactory result whether the damage is severe or not.
However, as the number of sensors are increased and
as the degree of damage is getting worse, the predicted
6.6 m result of model 1 gives erroneous value although the
0.3 m damage location is still predictable, Fig. 3. Meanwhile,
2.1 · 106 tf/m2
the prediction made by model 2 still gives satisfactory
2.3 tf/m3
result in terms of location and degree. The error shown
 J.S. Lee et al. / Tunnelling and Underground Space Technology 20 (2005) 73–80 77

0.20 1.0
Model 1
0.18 0.9 Model 1
Model 2
0.16 0.8
Actual damage Actual damage
Damage factor

0.14 0.7

Damage factor
0.12 0.6

0.10 0.5

0.08 0.4

0.06 0.3

0.04 0.2

0.02 0.1

0.00 0.0
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 1 2 3 4
(a) Element number
(a) Element number
0.5
1.0 Model 1
Model 1 0.4
0.9
Model 2 0.3 Actual damage
0.8
Actual damage 0.2
Damage factor

0.7

Damage factor
0.6 0.1

0.5 0.0

0.4 -0.1

0.3 -0.2

0.2 -0.3
0.1 -0.4
0.0 -0.5
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 1 2 3 4
(b) Element number (b) Element number

Fig. 3. Damage detection having 25 uniform elements: (a) 10% Fig. 4. Damage detection having 50% damage: (a) 0.01 mm noise and
damage and (b) 50% damage. (b) 0.05 mm noise.

in Fig. 3(b) is mainly numerical since an inverse matrix
of the multi degree-of-freedom in Eq. (7) is calculated
with abrupt changes in the stiffness matrix. It is noted
that, since the damage is modeled by different concept,
direct comparison between models 1 and 2 is not recom-
mended. It is also noted that the stiffness changes in
model 2 is rather small compared with that of model 1
when the damage is employed.
3.2. Effect of measurement noise
To better understand the detection algorithm in the
field condition, an ideal white noise is introduced and
contaminated convergence data are generated by adding
random numbers with zero mean value and with pre-
scribed noise limit. The effect of white noise is investigated
by adopting severe damage in element 3 and the results
are shown in Figs. 4 and 5. When model 1 is considered
and the maximum noise level is 0.01 mm, the prediction
in Fig. 4(a) shows good result, while Fig. 4(b) illustrates
that the predicted result is not acceptable as the maxi-
mum noise reaches 0.05 mm.
The noise effect of model 2 is shown in Fig. 5. Contrary
to model 1, the results are not satisfactory and noise
effect is noticeable in this case. This is partly because
the smearing or homogenization of crack onto neigh-
boring lining does not reduce the lining stiffness signifi-
cantly so that small amount of noise will be influencing
on the deformation pattern of the lining.
3.3. Effect of sensor spacing
As an ideal case study, consider another concrete lin-
ing structure shown in Fig. 6(a) where damage location
is known a priori and the sensors are, therefore, located
unevenly. The white noise is included in the data again
and an improved result can be obtained in Fig. 6(b)
and (c). Comparing with Fig. 5(a) and (b), the noise ef-
fect can be improved by adjusting sensor spacing if the
damage location is known in advance and if the sensors
are used to monitor the damage development at that
specific location.
Aforementioned discussion on the difference of the
models can be demonstrated by deformation shapes in
78 J.S. Lee et al. / Tunnelling and Underground Space Technology 20 (2005) 73–80

1.0 CL

0.9 Model 2 Kd
Ko
0.8
Actual damage
0.7 2
Damage factor

4
0.6 3

0.5

0.4
0.3

0.2

0.1
1 sensor 5
0.0
1 2 3 4
(a)

0.5
(a)
0.4
1.0
0.3
Model 1
0.2 0.8
Actual damage
Damage factor

0.1 0.6
0.0
Damage factor
0.4
1 2 3 4
-0.1
0.2
-0.2
0.0
-0.3 Model 2
-0.2
-0.4
Actual damage
-0.5 -0.4
(b) Element number 1 2 3 4 5
Element number
Fig. 5. Damage detection by model 2 with l = 0.5: (a) 0.005 mm noise (b)
and (b) 0.01 mm noise.
1.0
Model 1
Fig. 7 where the deformation shape of undamaged lining
is also illustrated. Quite clearly the difference between 0.8 Actual damage
undamaged and damaged deformation shape is signifi-
cant in model 1, while the gap is not noticeable in model 0.6
Damage factor

2. However, the deformation pattern in Fig. 7(a) is de-

pendent on the mesh size and, therefore, it will not be 0.4
practical unless damage information is given before sen-
sor installation. Meanwhile, the deformation shape in
Fig. 7(b) is more realistic in the field situation, but to 0.2
identify the damage within concrete lining, very sophis-
ticated measurement system is required and high-quality 0.0
analog/digital (A/D) converter is also necessary. 1 2 3 4 5
Element number
(c)
4. Field application Fig. 6. Damage detection with non-uniform sensor location: (a) sensor
location; (b) model 1 with 0.05 mm noise; and (c) model 2 with 0.01
So far, damage is assumed to be known a priori and mm noise.
various numerical experiments have been performed to
verify the proposed model, while health monitoring data lining installation are not available due to lack of time
obtained from a tunnel structure will be used to find the in the field and, therefore, numerical analysis is once
possible damage in the tunnel liner in this section. Un- again employed to calculate the initial deformation
fortunately, convergence measurement data right after due to dead weight of the liner. All the material and ge-
 J.S. Lee et al. / Tunnelling and Underground Space Technology 20 (2005) 73–80 79

0.03
4 regular elements
0.02 5 irregular elements
without damage
Deformation (cm)

0.01

-0.01

-0.02

-0.03
-1 -0.5 0 0.5 1
(a) Normalized distance

0.03
4 regular elements
0.02 5 irregular elements
without damage
Deformation (cm)

0.01

-0.01

-0.02

-0.03
-1 -0.5 0 0.5 1
(b) Normalized distance

Fig. 7. Deformation shape according to models: (a) model 1 and (b)

model 2.

ometrical properties used in the numerical analysis are

the same as in Table 1. One of the tunnel sections, where
Fig. 8. Deformation shapes of a liner: (a) due to dead weight; (b)
five sensors are installed along the perimeter of the liner, measurement data set A; and (c) measurement data set B (scale
has been selected to verify the proposed model and two factor = 1000).
sets of deformation data are chosen to find the possible
damage. To make the analysis accurate, two data sets
have the same measurement time at 10 A.M. and time 2.0
Data set A
difference between two sets is 12 days.
Fig. 8 shows the deformation shapes of the liner right Data set B
1.5
after construction. It is noted that the convergence
Damage factor

measurement sensor can only detect vertical deforma-

tion and, therefore, the horizontal deformations and
1.0
slope angles along the perimeter have to be assumed.
In our case, the same values calculated from dead weight
of the liner are used in the horizontal deformations and 0.5
slope angles of the sensors. It is also noted that the spe-
cial sensors under consideration can measure the abso-
lute deformations, while commercial sensors such as 0.0
1 2 3 4 5 6
LVDT together with slope indicator can measure the
Element number
relative deformation and slope angle at the same time.
Fig. 9 shows the result of system identification using Fig. 9. Damage detection with health monitoring data.
health monitoring data and the result is not significant
in terms of damage level. It is partly because the initial deformation. However, it is also noted that the tunnel
deformation has been calculated rather than measured has been in service since 2001 and no apparent damage
and partly because the horizontal deformation as well is reported so far. It is obvious that the crown area of a
as slope angle data are assumed to be the same as initital tunnel is prone to damage for various reasons and the
80 J.S. Lee et al. / Tunnelling and Underground Space Technology 20 (2005) 73–80
same tendency can be found in Fig. 9 where the crown
area is located between elements 3 and 4. In all, damage
detection with measured data are not satisfactory in
terms of damage level and further study is needed to
gain information of the long term behavior of the tunnel
liner.
5. Conclusions
A damage identification method using static conver-
gence data is proposed to locate the damage within tun-
nel lining. The sensor location along the tunnel lining is
assumed to be the same as the nodal point in the numer-
ical model and two approaches are proposed to check
the sensitivity and applicability of the method: model
1 is based on the uniform reduction of the lining stiffness
within an element and model 2 employs the smeared
crack concept.
Through the numerical experiments, the following
conclusions are made:
 Model 1 with uniform reduction of lining stiffness is
comparatively insensitive to the measurement noise,
but is sensitive to the lining deformation and needs
special sensor spacing to locate the damage within
tunnel lining.
 Model 2 using smeared crack concept is insensitive to
the deformation of the tunnel because the stiffness re-
duction of the lining is not significant. However, this
model is prone to the external noise and, therefore,
high quality hardware is essential to perform damage
detection.
So far, a preliminary study has been made to modify
the measurement data so that not only the tunnel behav-
iour is monitored periodically, but also the damage de-
tection is possible without much effort. For this, an
inverse problem in which the measured data and dead
weight of the lining are known a priori is introduced
to find the degree and location of the damage.
Future work will be concentrated on the inclusion of
the additional deformation due to outer loading such as
water pressure, non-uniform overburden. Until now, the
measurement data from health monitoring system in-
stalled in the rail tunnel are not significantly different
from the initial data set and the analysis result with real
data shows no significant damage within tunnel liner. In
addition, the convergence data used in the numerical
analysis are assumed to include the flexural deformation
as well as rotation (Bassett et al., 1999), but one can ne-
glect the rotational degree of freedom if a static conden-
sation technique (Koh et al., 1995) or approximation
techniques such as spline function is used. Details of
the damage identification using static condensation
method will be discussed in the forthcoming study.
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