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Application of roadbed cooling methods in the Qinghai-Tibet railway

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Cold Regions Science and Technology 53 (2008) 241 – 258

www.elsevier.com/locate/coldregions

Application of the roadbed cooling approach

in Qinghai–Tibet railway engineering
Guodong Cheng ⁎, Zhizhong Sun, Fujun Niu
State Key Laboratory of Frozen Soil Engineering, and Cold & Arid Regions Environmental & Engineering Research Institute,
Chinese Academy of Sciences, Lanzhou, Gansu 730000, China
Received 29 September 2006; accepted 6 February 2007

Abstract

The Qinghai–Tibet Railway goes through 550 km of permafrost, half of which is classified as “warm” permafrost with a mean
annual ground temperature ranging from 0 to −1 °C. The Qinghai–Tibet Railway is a long-term plan. In order to maintain its
normal operation, climatic changes over the next 50 to 100 years need to be considered. The passive method of simply increasing
the thermal resistance by raising embankment height and using insulating materials has proven ineffective on “warm” permafrost
and therefore cannot be used in the construction of Qinghai–Tibet Railway in “warm” and ice-rich permafrost area. To deal with
the “warm” nature of the plateau permafrost and global warming, a series of proactive roadbed-cooling methods were employed,
which include solar radiation control using shading boards, heat convection control using air ducts, thermosyphons, and air-cooled
embankments, and finally heat conduction control using “thermal semi-conductor” materials. A proper combination of these
measures can enhance the cooling effect. All these methods can be used to lower the ground temperature and to help stabilize the
Qinghai–Tibet Railway. Especially, the air-cooled embankments have the advantages of high efficiency, ease of installation,
environmental friendliness, and relative low cost.
© 2007 Published by Elsevier B.V.

Keywords: Qinghai–Tibet Railway; “Warm”; Permafrost; Climatic warming; Cooled roadbed

1. Introduction permafrost (mean annual ground temperature between 0

The Golmud–Lhasa section of the Qinghai–Tibet
Railway is 1142 km in distance, of which 550 km is over
permafrost. It has been more than a century since the first
railroad was built over permafrost, but the frost damage
rate is still at about 30% by length (Cheng, 2005a;
Kondratyev and Pozin, 2000). This indicates that
building roads over permafrost is difficult. The Qin-
ghai–Tibet Railway goes through 275 km of “warm”
⁎ Corresponding author.
E-mail address: gdcheng@lzb.ac.cn (G. Cheng).
0165-232X/$ - see front matter © 2007 Published by Elsevier B.V.
doi:10.1016/j.coldregions.2007.02.006
and − 1 °C) and 221 km of ice-rich permafrost (ice
content N 20% by volume). The section that is underlain
by “warm” and ice-rich permafrost is 134 km (Wu et al.,
2002). This is the worst combination for any permafrost-
engineering project. Thus, building roads on the
Qinghai–Tibet Plateau permafrost areas becomes even
more challenging. The Qinghai–Tibet Railway is a 100-
year grand plan for generations to come and possible
changes in climate over the next 50 to 100 years need to
be considered to ensure its normal operation. According
to recent predictions, the mean annual air temperature on
the plateau will rise by 2.2 to 2.6 °C by the year 2050
242 G. Cheng et al. / Cold Regions Science and Technology 53 (2008) 241–258
(Qin, 2002). Therefore, road construction on the plateau,
under such a climatic warming scenario, is one of the
most difficult tasks and presents an ultimate test for
permafrost engineers and scientists. The key to the
success of the Qinghai–Tibet Railway lies in the
roadbed; the key to the stability of the roadbed lies in
permafrost; the key to the stability of permafrost lies in
the thaw settlement. Past experience with the Qinghai–
Tibet Highway indicates that after the road surface was
paved with asphalt, talik under paved surface developed
in 60% of the paved sections, due to increased thawing.
All that happened in “warm” permafrost areas (Wang and
Mi, 1993). Approximately 85% of the damage to
highway embankments has been caused by thaw
settlement (Wu et al., 2002). To properly design the
Qinghai–Tibet Railway in an environment where
permafrost is “warm” and ice-rich and climate is
experiencing a warming trend, a new and proactive
roadbed cooling approach was proposed and used to
lower ground temperature and to ensure embankment
stability (Cheng, 2003, 2005a,b). This approach is in
great contrast with the traditional insulating method by
simply increasing thermal resistance. Based upon an
analysis on the impact of local factors on permafrost
occurrence, we realized that a number of measures could
be used to cool down the roadbed. For example, we can
adjust and control solar radiation, heat convection, and
heat conduction by using different embankment config-
urations and fill materials (Cheng, 2004). The construc-
tion of the Qinghai–Tibet Railway has applied the
“roadbed cooling” design principle. Different measures
have been explored to cool down the roadbed and some
have been adopted in the Qinghai–Tibet Railway
engineering. This paper summarizes the experience
gained from exploring and using the roadbed cooling
approach for the Qinghai–Tibet Railway design and
construction.
2. Controlling solar radiation
The combination of low latitude and high altitude
makes solar radiation on Qinghai–Tibet Plateau one of
the strongest in the world. Shading the surface from
solar radiation can effectively lower ground tempera-
ture. Kondratyev (1996) proposes that awning which
serves as a shelter over roadbed to be used to cool down
permafrost below embankments. The Northwest Re-
search Institute of the Chinese Academy of Railway
Sciences carried out an experiment on awning. The
conclusion was that awning is not suitable on the plateau
due to strong wind. As a consequence, the State Key
Laboratory of Frozen Soil Engineering of the Chinese
Academy of Sciences conducted a laboratory model
experiment on shading board, which serves as a shelter
over roadbed slope (Feng, 2002; Yu, 2006). At the same
time, boards were installed at the Beiluhe site and
observations have been taken (Fig. 1). Results show
that, 1 year after installation of shading boards, ground
temperatures at depth of 2.5 m below embankment
surface in south-facing slope with shading boards were
3 to 5 °C lower than those without shading boards. In
December, an unfrozen layer still remained in the non-
shaded embankment while the embankment with
shading boards was completely frozen (Fig. 2). This
demonstrates an effective cooling effect of shading
boards (Feng and Ma, 2006).
Embankment fill becomes loose and weak after
undergoing repeated freeze–thaw cycles and this kind of
cycles are reduced by shading boards. Shading boards
also protect the embankment from the impact of wind
action and erosion caused by the rain.
3. Altering convection patterns
Crushed rocks, ventilation ducts, and thermal tubes
have been used in the Qinghai–Tibet Railway engi-
neering to adjust and control convection patterns within
the embankment.
3.1. Crushed rocks
The Skovorodino Permafrost Station of the former
All-Union Railway Institute, former Soviet Union,
based upon field observations between 1969 and
1970, points out that the temperature of coarse-rock
embankments is lower than that of other soil types
Fig. 1. Shading boards installed on an embankment at Beiluhe,
Qinghai–Tibet Plateau.
 G. Cheng et al. / Cold Regions Science and Technology 53 (2008) 241–258 243

Fig. 2. Roadbed thermal regime measured on October 7, 2004 at Beiluhe. (a) The traditional embankment, and (b) The embankment installed with
shading boards.

(Mikhailov, 1971). In 1973, the former Lanzhou

Institute of Glaciology and Geocryology, Chinese
Academy of Sciences, built a 2.7-m high experimental
embankment of coarse rocks (0.3 m in diameter) over an
ice-rich permafrost section at the Reshui Coal Mine in
the Province of Qinghai, China (Fig. 3). A clear cooling
effect was observed in this embankment (Cheng and
Tong, 1978; Cheng et al., 1981). In 1992 the Department
of Mechanical Engineering of the University of Alaska
at Fairbanks completed a series of computer simulations
on heat convection within porous coarse layers. In 1993
an experimental embankment was built at the Browns
Hill Quarry near Fairbanks. Observations on the
performance of the embankment have yielded some Fig. 3. An experimental crushed-rock embankment, built in 1973, at
satisfactory results, so satisfactory in fact that the Alaska Reshui Coal Mine in the Province of Qinghai. Rocks are 0.3 m in
Department of Transportation named it the “air-cooled diameter and embankment is 2.7 m in height.
244 G. Cheng et al. / Cold Regions Science and Technology 53 (2008) 241–258

could have existed for at least several thousands of

years. In other words, a periglacial environment has
existed there for at least the same period (Gude et al.,
2003). Harris and Pedersen (1998) proposed four
mechanisms to account for this phenomenon: the
Balch effect, the chimney effect, summer time evapo-
ration/sublimation of water, and continuous air ex-
change with the atmosphere. They conclude that the
continuous exchange of air between the block field and
the atmosphere is the primary cause of intense cooling
of the block field in the fall, and that evaporation cooling
is almost certainly involved (Harris and Pedersen,
1998).
Studies indicate that, in a closed system, the physics
behind the abnormal occurrence of permafrost below
blocky materials is the Raleigh–Bènard convection
(Cheng, 2005a,b). The problem states that when a body
of fluid is confined in a container with two parallel
plates and if the lower plate is heated, the bottom fluid
expands. As a result, density gradients appear in the
fluid. When the gradient is sufficiently strong, the hot
fluid, due to its lower density and associated buoyancy,
will begin to rise while the high-density fluid in the top
portion starts to sink, forming clockwise and counter

Fig. 4. The cooling mechanism of crushed rocks in a closed system.

(a) Rayleigh–Bènard convection, (b) Horton–Rogers–Lapwood
convection, (c) Bènard–Marangoni convection, and (d) The chimney
effect.

embankment” (Georing, 2003; Georing and Kumar,

1996).

3.1.1. Cooling mechanism

Permafrost occurrence beneath blocky and coarse
materials under conditions with air temperature above
0 °C has been reported from many parts of the world
(Cheng, 2004; Delaloye et al., 2003; Gorbunov and
Seversky, 2001; Gude et al., 2003; Herz et al., 2003;
Sawada, 2003). The coarse materials include block-
fields, scree, kurums, talus, and coarse debris. Cool-
living stenotherm invertebrates have been discovered in Fig. 5. A laboratory experiment on the cooling mechanism of crushed
rocks in a closed system. (a) Cross-section of the experiment container,
this unique habitat and genetic DNA analysis indicates 1.9 m × 1.22 m × 1.7 m in dimension, (b) Ambient temperature
that some populations are faunal relicts from the last (T) fluctuates with time (t) with this relationship: T = 0.5 + 15 sin
glaciation period. These species beneath blocky debris [2π(t − 96) / 192]. Temperature reached −1.4 °C after 6th cycle.
 G. Cheng et al. / Cold Regions Science and Technology 53 (2008) 241–258 245

Lai et al. (2006a) carried out a laboratory model

experiment on the cooling mechanism of crushed rocks
of 22 cm in diameter (Fig. 5a). During the experiment,
temperature fluctuates with time based upon the
following relationship:

T ¼ 0:5 þ 15sin½2pðt  96Þ=192 ð1Þ

where T is ambient temperature and t is time.

Fig. 6. Periodic fluctuation of air temperature and the “thermal-
conductor effect” of crushed rocks.
clockwise convection rolls side by side. This results in
cold and hot plumes of fluid adjacent to each other and
moving in opposite directions (Fig. 4a) (see Narasim-
han, 1999). If the fluid is replaced by a porous medium,
the mechanism would evolve into the Horton–Rogers–
Lapwood problem (Fig. 4b). If there is no upper plate
and thus the fluid upper surface is open, it becomes
Bènard–Marangoni convection (Fig. 4c) (Nield and
Bejan, 1999). If two plates are inclined, it produces
chimney effect (Fig. 4d).
The experiment shows that the temperature at the
bottom of the rock layer decreased with fluctuating
ambient temperature and reached − 1.4 °C during the 6th
cycle. This illustrates the cooling effect of crushed
rocks.
Under natural conditions where air temperature
undergoes seasonal fluctuations, crushed rocks act as
“thermal semi-conductors” (Fig. 6). In winter, perma-
frost temperature is higher than air temperature. Similar
to the bottom hot fluid in the Rayleigh–Bènard con-
vection as shown in Fig. 4a, heat exchange intensifies
due to convection. As a result, permafrost loses its heat
to the air. In summer, the opposite happens. Permafrost
is colder than the air, which simulates the bottom cold
and top hot situation. Since the cold air is heavier, no
heat convection takes place. Under such circumstances,
heat exchange is mainly in the form of heat conduction.
Because of the small contact areas between crushed
rocks and the low value of thermal conductivity of the

Fig. 7. Simulated ground thermal regime of an embankment (1.25 m in height). Crushed rocks are 20 cm in diameter. a) Temperature distribution in
winter (k); two warm plumes clearly shown. b) Airflow velocity distribution in winter (m/s); airflow is faster in winter than in summer; multiple
counter clockwise and clockwise rolls can be seen. c) Temperature distribution in summer (k); isotherms are horizontal and there is no convection. d)
Airflow velocity distribution in summer; airflow velocity is small and the velocity field is dominated by clockwise rolls.
246 G. Cheng et al. / Cold Regions Science and Technology 53 (2008) 241–258
Fig. 8. Various embankment configurations.
air (0.025 W/m·K), it is difficult for heat to be trans-
ferred into permafrost. Therefore, crushed rocks act as
“thermal semi-conductor” materials for underlying
ground. The imbalance of increased heat losses in
winter and reduced heat gains in summer produces a net
heat loss over a year and thus lowered ground
temperature. Numerical simulations have also indicated
the “thermal semi-conductor” effect of crushed rocks
under natural conditions (Fig. 7) (Jiang et al., 2004). A
numerical modeling conducted by Li et al. (2006b) also
shows a cooling effect of rocks during the night under
diurnal fluctuation conditions.
3.1.2. Engineering applications
3.1.2.1. Embankment configurations. The use of
crushed rocks in embankment engineering for the
Qinghai–Tibet Railway takes several different forms
and configurations: rock-based embankments, embank-
ments with rock revetments, U-shaped rock embank-
Fig. 9. A rock-based embankment.
ments, and embankments protected by rocks in the
lower portion of slopes (Fig. 8).
3.1.2.1.1. Rock-based embankments. The railway
design standard requires that the soil layer beneath the
railroad tracks be at least 2.5 m thick. A rock layer is often
placed at the base of embankments (Fig. 9). Some
observations have been made for a rock-based embank-
ment near Qingshuihe where the mean annual air
temperature is − 6.2 °C and annual mean ground
temperature is −0.9 °C. The embankment is 6.3 m in
height. Crushed rocks used are 20 to 40 cm in diameter; the
rock layer is 1.5 m thick. The rocks are placed directly on
the natural or original ground surface to form the base of
the embankment. Embankment strike is in an east–west
direction. The mean wind velocity in the area is 4.5 m/s.
This experimental embankment was built between
November and December of 2001. Data taken prior to
January of 2004 are presented in Table 1. The result shows
that the temperature at the original surface beneath the
rock-based embankment is clearly cooler than that beneath
the traditional embankment. The cooling effect would
have been much greater if the embankment were
completely made of crushed rocks (Li et al., 2005a).
For rock-based embankemnt, the thickness of the
overlying sand and gravel directly affects the cooling
effect of crushed rocks at the base. Numerical modeling
indicates that when the overlying sand and gravel is
Table 1
Temperature highs and lows taken from the original ground surface
beneath rock-based and traditional embankments, Qingshuihe,
Qinghai–Tibet Plateau (Temperature in °C)
Temperature at original Left shoulder Right shoulder
surface
High Low High Low
Rock-based embankment 0.72 − 1.6 0.80 − 3.25
Traditional embankment 1.59 − 0.3 0 − 0.75
 G. Cheng et al. / Cold Regions Science and Technology 53 (2008) 241–258
Fig. 10. Crushed-rock revetment at Beiluhe. Coarse rocks are 40–
50 cm in diameter and smaller rocks are 5–8 cm in diameter; the
thickness of the revetment is 80 cm.
6.5 m thick, the airflow velocity within the rock layer in
the central part of the embankment becomes very weak
throughout the year. This means that the rock layer has
lost its cooling effect. Calculations show that the thicker
the overlying sand and gravel, the weaker is the cooling
Fig. 11. Slope surface temperatures measured from an embankment with crushed-rock revetments and a traditional embankment at Beiluhe. a) South-
facing slope, b) Norh-facing slope.
247
effect of the underlying rock layer. When the thickness
of the overlying layer is greater than 5.5 m, parts of the
crushed rocks begin to relinquish its cooling effect
(Wang et al., 2005).
3.1.2.1.2. Crushed rock revetments. Numerical
simulations indicate that natural heat convection within
an embankment starts at the slope surface and then
expands, with the increasing Rayleigh number, towards
the centre. Heat convection at the slope surface is always
greater than that of the centre (Sun et al., 2006). This
provides a theoretical support for the use of crushed-
rock revetments on embankments.
A comparison is made between embankments with
and without crushed rocks revetments at Beiluhe on the
Tibet Plateau. At this site, the mean annual air
temperature is − 5.2 °C and the mean annual ground
temperature is between − 1.4 °C and − 1.6 °C. Two
different rock sizes are used as the revetment (Fig. 10).
The slopes of one section of the embankment are
covered with rocks of 5–8 cm in diameter. The cover is
80 cm in thickness and this section is 4.1 m in height. A
neighboring section is covered with rocks of 40–50 cm
in diameter. The cover is also 80 cm in thickness; this
248 G. Cheng et al. / Cold Regions Science and Technology 53 (2008) 241–258
Fig. 12. Temeratures taken from a borehole drilled at the centre of
an embankment with rock revetments and a traditional embank-
ment. a) the traditional embankment, b) the embankment with
revetments.
section is 4.8 m in height. The height of the traditional
embankment (without a revetment) is 4.5 m.
Temperature readings were taken from the 10 cm depth
under the slope surface. Fig. 11 shows that summer
temperature in revetment slopes, regardless of their aspect,
is lower than that of the unprotected counterpart, due to the
insulating action of crushed rocks. In winter, the opposite
is true, indicating the occurrence of air convection.
Temperature measurements (Fig. 12) from boreholes
drilled at the centre of traditional and crushed rock
revetment embankments indicate that the magnitude of
temperature decrease in the revetment embankment is
greater than that in the traditional embankment. The
temperature within 2 m of the surface still decreases
under the crushed rock revetment embankment, dis-
playing a stronger cooling effect.
Three years after the completion of the above
embankments, permafrost table has risen slightly into
the unprotected embankment. By contrast, more per-
mafrost table has moved into the embankment fill for the
section covered with crushed rocks. Overall temperature
in the crushed rock revetment embankment is lower than
that in the traditional embankment (Fig. 13). This
demonstrates the cooling effect of crushed rock
revetments (Sun, 2006).
3.1.2.1.3. U-shaped crushed-rock embankments.
As the cooling effect of crushed rocks is reduced due to
the overlying layer of sand and gravel, U-shaped
crushed rock embankments have been built to increase
the thermal stability of the embankment.
Zhang (2005a) completed a numerical simulation on
three different embankments: the traditional embankment
with ballasts, the rock-based embankment, and the U-
shaped crushed rock embankment. The objective was to
evaluate the impact of future climatic warming on the
embankment thermal regime. The model assumes an
increase of 2.6 °C in mean annual air temperature over the
next 50 years. The initial mean annual air temperature
used in the model is −4.0 °C. The embankment height is
5.0 m; crushed rocks are 10 cm in size; the base rock layer
is 1.5 m thick; overlying sand and gravel is 3.5 m thick;
the rock revetment is 1.6 m wide. The model results show
that in 50 years from now, permafrost table under the
traditional embankment will be lowered to a depth of
7.4 m, reducing the stability of the embankment.
Permafrost table under the rock-based embankment will
be very close to the natural ground surface, but overall
temperature is warm and close to 0 °C. For the U-shaped
crushed rock embankment, permafrost table will be above
the natural ground surface and in the bottom layers of
crushed rocks. Its overall temperature is 0.25–0.3 °C
lower than the rock-based embankment, with a better
thermal stability (Fig. 14).
3.1.2.2. Size of crushed rocks. The cooling ability of
crushed rocks is closely related to their size. Yu et al.
(2003) conducted a model experiment to study the
cooling effect of rocks of different sizes in an open
system and concluded that rocks with an average
diameter of 7 cm have a better cooling effect than the
 G. Cheng et al. / Cold Regions Science and Technology 53 (2008) 241–258 249

Fig. 13. Ground thermal regime of a traditional embankment and an embankment with rock revetments when the depth of thaw reached its maximum
(September 29, 2004). a) the embankment with rock revetments, b) the traditional embankment.

rocks with an average size of 20 cm. Quan et al. (2005)
carried out a numerical simulation on the cooling effect
of crushed rocks in a closed system. The result suggests
that rocks of 9 cm in size have the most efficient cooling
effect. Sun et al. (2004) performed a model experiment
in a closed system to investigate the impact of rock size
on natural convection and cooling effect. The study
found that, other condition remaining the same, nat-
ural convection increases with increasing rock size.
However, after taking other factors into consideration,
they recommended rock sizes of 6–8 cm for use in
engineering.
Several in situ experiments on the Tibet Plateau
indicate that crushed rocks of greater than 20 cm in size
have a better cooling effect than those of 2–20 cm in
size. Crushed rocks of two different sizes (5–8 cm and
40–50 cm) are used for embankment revetments at
Beiluhe. The width of the revetment is 80 cm.
Temperature readings show that in summer temperature
is lower beneath smaller rocks. In winter, the opposite is
true. Data suggests that temperature beneath these rocks
is still decreasing, but the mean annual ground
temperature beneath coarser rocks is lower than that in
finer rocks and the difference is increasing. This
indicates that a better cooling effect can be achieved
using coarser rocks over finer ones (Table 2). Sun (2006)
also observed similar results from the experimental
embankment at Wudaoliang.
Heat exchange in revetment rocks is greatly
influenced by wind. On the windy Tibet Plateau, the
airflow in crushed-rocks is mainly in the form of forced
convection. Larger rocks have greater openings; air
flows through them more freely. Thus, wind-forced
convection has a greater impact on heat exchanges in
large rocks. As a result, temperature variation is greater
than smaller rocks. Stronger wind is more frequent on
the plateau in winter than in summer; wind impact is
greater in winter than in summer. Consequently, the
mean annual ground temperature in larger rocks is lower
than in smaller rocks, indicating a stronger cooling
effect for larger rocks.
3.1.2.3. Thickness of crushed rocks. Sun et al. (2005)
conducted a numerical experiment on an embankment
revetment composed of crushed-rocks (6–8 cm in size)
and reported that the Nusselt number can be used to
250 G. Cheng et al. / Cold Regions Science and Technology 53 (2008) 241–258

Fig. 14. Ground thermal regime of embankments of various configurations when the depth of thaw reaches the maximum. Temperatures were
simulated assuming a 2.6 °C increase in air temperature over the next 50 years. a) A traditional embankment with ballasts, b) A crushed-rock based
embankment, and c) A U-shaped rock embankment.

evaluate the cooling effect and to determine minimum rock revetment: otherwise, it is called open system rock
thickness of the revetment. If the outer ends of the revetment. The study indicates that if other conditions
crushed rock layer are blocked, it is called closed system remain the same, open rock revetments have a better
 G. Cheng et al. / Cold Regions Science and Technology 53 (2008) 241–258
cooling effect than closed ones. The greater the thick-
ness, the stronger is the cooling effect.
In order to compare the cooling effect of crushed-rock
revetments of different thickness, temperature data has
been taken from various depths of the actual railway
embankment at four different locations on the plateau:
Beiluhe, Wudaoliang, Kaixinling, and Qingshuihe. Data
shows that, regardless of the rock size, the thicker the
revetment, the lower is the ground temperature (Fig. 15).
As shown in Fig. 15, at Qingshuihe, the temperature
difference between the two thicknesses (1.2 and 0.8 m) is
greater in winter, but it is greater in summer for other three
sites (Sun, 2006). This may be due to the fact that the
revetment is composed of coarser rocks (20 cm on
average) at Qingshuihe while smaller rocks (10 cm) are
used at other three sites. Wind may also play a role. The
embankment strike at Qingshuihe is nearly from east to
west and the dominating wind direction in this area is from
northeast. The south-facing slope of the embankment is on
the lee side, which is different from all the other three sites.
Numerical experiments indicate that placing rock
revetments of different thickness on embankment slopes
of different aspects can reduce the difference in thaw
depth. This may help prevent differential thaw settle-
ment and longitudinal cracking in the embankment (Lai
et al., 2006b).
3.1.2.4. Open and closed systems. Zhang et al.
(2005b) completed a laboratory model experiment to
examine the cooling effect of open- and closed-system
embankments. The embankments used in the model are
1.3 m in height and are made up of rocks of 10–30 cm in
diameter. The experiment concludes that, if other con-
ditions remain the same, the open-system embankment
lowers the temperature faster than the closed-system
counterpart. However, in the long run, the closed system
lowers the temperature more. Therefore, both embank-
ments can be used in permafrost areas where the mean
annual air temperature is low. Closed-system embank-
ments are recommended for permafrost areas where air
temperature is close to 0 °C.
Numerical simulations were also carried out on rock-
based embankments in both open and closed systems.
The crushed rock size is 10 cm on average. The result
shows that, on the windy plateau, whether the boundary
is open plays a major role in the heat transfer pattern
within the embankment. The cooling effect of closed
rock-based embankments depends, to a large degree,
upon the internal natural convection induced by thermal
gradients. In contrast, the cooling effect of open rock-
based embankments is largely controlled by forced
convection due to external low-pressure airflow (wind).
251
Table 2
Temperatures (°C) measured at different depths beneath crushed-rock
revetments
Depth (m) 0.2 0.7
Revetment rock size (cm) 40–50 5–8 40–50 5–8
Left revetment 2003 − 1.01 − 0.31 − 1.04 −0.26
2004 − 1.44 − 0.61⁎ − 1.36 −0.19 a
Right revetment 2003 − 1.96 − 1.22 − 1.75 −1.13
2004 − 2.36 − 1.36 − 2.12 −1.23
a
No readings were taken between March 19, 2004 and August 9,
2004; this is the average value of available data.
If the rock layer at the base is thin, no significant
difference in the cooling effect can be noticed between
open and closed embankments. However, when the base
rock layer is sufficiently thick, open embankments
clearly have a stronger cooling effect than closed ones
(Zhang et al., 2006a). Approximately 75% of the strong
wind on the plateau takes place during winter; this,
although complicated by the relationship between the
wind direction and embankment strike, increases the
cooling effect of open embankments.
Laboratory model experiments indicate that heat
transfer is dominated by forced convection in windward
rock revetments; both forced and natural convection
may co-exist in leeward rock revetments (Fig. 16)
(Zhang et al., 2006b).
On the Plateau, winter is dry and windy. There is
almost no snow cover on the surface of roadbed. There-
fore, the influence of snow cover on the cooling effect of
crushed rack layers can be neglected. However, the wind
blowing sand may fill up the pore space within the
crushed rock layer, and eventually the crushed rock
layer effect may be lost. Therefore, some anti-wind
blowing sand measures, such as holding sand in situ,
sucking sand out from the pore space within the crushed
rock layer periodically are needed.
3.2. Ventilation ducts
The mean annual air temperature on the Tibet Plateau
is about 3 °C colder than the mean annual ground
surface temperature on average. Consequently, embed-
ding air ducts in embankments can effectively lower the
underlying ground temperature. Air ducts have been
placed in the actual embankment at Beiluhe (Fig. 17).
Field observations show that air ducts indeed lower
ground temperatures. Ventilation ducts buried below
and near the original ground surface have a better
cooling effect than those buried in higher portion (Niu
et al., 2003). Data shows that, for embankments with
ducts buried below and close to the original ground
surface, permafrost table, one year after construction of
252 G. Cheng et al. / Cold Regions Science and Technology 53 (2008) 241–258

Fig. 15. Temperature variation with time. The readings were taken from under the shoulders on south-facing side of embankments installed with
revetments of rocks of different thicknesses. a) Wudaoliang, b) Beiluhe, c) Kaixinling, and d) Qingshuihe.

the embankment, moved up to where the original
ground surface used to be. The − 1 °C isotherm
continued to rise after that (Fig. 18). Fig. 19 presents
temperature data taken 2 m below the original ground
surface from three different embankments: (1) the tra-
ditional embankment, (2) an embankment with ducts
embedded in the middle portion, and (3) an embank-
ment with ducts embedded in the lower portion. The
embankment with air ducts in the lower portion (0.7 m
above the original ground surface) is clearly colder than
other embankments. This indicates that the position at
which the ventilation ducts are embedded does matter
and the best position seems to be the lower portion of the
embankment (Niu et al., 2006). Li et al. (2005b)

Fig. 16. Temperature field and airflow directions measured from both windward and leeward slopes of an embankment with rock revetments.
a) Under highest ambient temperature conditions, and b) under lowest ambient temperature conditions.
 G. Cheng et al. / Cold Regions Science and Technology 53 (2008) 241–258 253

Air ducts increase the heat loss of underlying soil

Fig. 17. A ventilated embankment at Beiluhe.
developed a systematic numerical model by taking into
consideration of air duct diameter, distance between
ducts, embedded position, duct deformation and
strength, and embankment stability parameters. Based
upon their model, they proposed some design principles
for ventilated roadbeds.
during winter; they also increase the heat absorbed by
underlying soil in summer. To enhance the cooling ef-
fect of air ducts, an actual embankment was used for an
experiment on automated temperature controlled venti-
lation system (Fig. 20). One or both ends of air ducts are
installed with shutters that, controlled by temperature,
open and close automatically. The shutter has a temper-
ature sensor and a control unit. It closes when the
ambient air temperature is higher than a pre-set value.
Observations indicate that shutters greatly improve the
cooling effect of ventilation ducts (Liu and Lai, 2005a;
Yu et al., 2004). Ducts with shutters on both ends have a
greater cooling effect than those with shutters just at one
end (Li et al., 2006a).
To further enhance the cooling effect, an experiment
was carried out at Beiluhe on an embankment ventilated
by perforated air ducts (Fig. 21). Because of the holes in
the duct wall, heat exchange between the air inside the
duct and surrounding soil is greatly increased and the
cooling effect is improved (Hu et al., 2004). It has been

Fig. 18. Temperature changes in an embankment over a two-year period. Ventilation ducts are embedded in the lower position (0.7 m above original
ground surface) of the embankment. Installation of ducts were completed by January 2002.
254 G. Cheng et al. / Cold Regions Science and Technology 53 (2008) 241–258

Fig. 19. Temperature variation with time. Temperatures were taken from 2 m below the original ground surface. CP section is from a usual
embankment; MDC400 section is from an embankment with air ducts embedded in the middle portion; BTC400 section is from an embankment with
air ducts embedded in the lower portion (0.7 m above the original ground surface).

proposed that insulating material be buried on top of
ventilation ducts, but according to a numerical simula-
tion by Liu and Lai (2005b), the insulating material
would not make a noticeable difference.
3.3. Thermosyphon
Thermosyphon can be used to lower the ground tem-
perature due to their effective heat-transfer ability. They
have been installed on the shoulders of the actual roadbed at
Qingshuihe (Fig. 22). Temperature monitoring shows that
thermosyphons can effectively lower the ground temper-
ature beneath the embankment (Table 3). As the “radius of
influence” of a thermosyphon is about 1.8 m, the suggested
distance between tubes is 3 m (Pan et al., 2003).
Numerical modeling suggests that, assuming a
temperature increase of 1 °C over the next 50 years,
installed thermosyphons will be able to prevent
permafrost under roadbeds from degradation where the
mean annual air temperature is presently − 3.5 °C
(Sheng, et al., 2006). A layer of insulating material has
been proposed to place at the base of embankments
installed with thermosyphons to improve the cooling
effect. Results from numerical simulations indicate that,
if the temperature rise over the next 50 years is 2 °C,
permafrost under embankments with thermosyphons
would undergo thawing and that, with the insulating
material at the base, permafrost table would rise instead
(Wen et al., 2005).
Thermosyphons are currently placed on roadbed
shoulders, away from the centre. This affects the cooling
effect on the whole roadbed. The configuration and
placement of the thermosyphons need to be further
studied so that the whole roadbed can be cooled.
4. Altering heat conduction
When water frozen, its thermal conductivity changes
from 0.45 to 2.2 W/m·K, four times as great as its
original value. This characteristic of water can be used
to manufacture a material with much greater thermal
conductivity in a frozen state than in a thawed state. This
material, similar to a “thermal semi-conductor”, will
lower the ground temperature by increasing heat loss in

Fig. 20. A ventilated embankment at Beiluhe. The air ducts here are installed with temperature-controlled shutters that open and close automatically
with temperature changes.
 G. Cheng et al. / Cold Regions Science and Technology 53 (2008) 241–258 255

numerical simulation on the dry bridge at Qingshuihe

shows that the bridge has a cooling effect because the
mean annual permafrost temperature under the bridge is
lower than that without the bridge (Xiao et al., 2004).
Dry bridges can also provide a migration route for wild
animals on the plateau.

5.2. Combining shading boards and crushed-rock

revetments

Li et al. (2005c) propose that shading boards and

Fig. 21. Short pieces of perforated ventilation ducts. crushed-rock revetments should be combined into a new
type of embankment. It can shade the embankment from
winter and decreasing heat gain in summer. Yu (2006) the sun in summer and prevent warm air getting into the
completed a laboratory experiment by placing layers of crushed-rock revetment. A numerical model was
a water-absorbing material, separated by layers of air, in developed to calculate the optimum thickness of rock
a sealed container. Some water was added to the revetment, embankment height, and the size of crushed
container. The result indicates the thermal conductivity rocks. Li et al. (2005c) also recommended an improved
of the material changed from 0.11 W/m·K to 1.2 W/m·K design methodology for such embankment.
when it froze, an increase of almost 10 times.
6. Conclusions
5. Combined control measures
(1) Under the global warming scenario, the “cooled
Several measures (e.g., adjusting radiation, adjusting roadbed” approach must be used for road design
convection, and adjusting conduction) can be combined and construction in “warm” and ice-rich perma-
in engineering practices to improve the cooling effect. frost. This approach changes the design philoso-
phy from using passive insulation to proactive
5.1. Dry bridges cooling.
(2) The use of crushed rock layer as “thermal semi-
Dry bridges can be built to lower the ground conductors” in the construction of the Qinghai–
temperature as it can shade the ground from the sun Tibet Railway has proven successful. This cooling
and air can freely flow under it. They possess good measure is highly recommended for various
mechanical stability and can support heavy loads. They
are effective means of ensuring the stability of roadbeds
in “warm” and ice-rich permafrost (Fig. 23). A Table 3
Temperatures taken from various depths of an embankment installed
with thermosyphons at Qingshuihe, Qinghai–Tibet Plateau
Hole position Left Centre Right
shoulder shoulder
D T D T D T
A (DK1024 + 425) 3.2 − 0.39 3.4 0.86 3.1 − 0.83
4.4 − 0.69 4.6 − 0.26 4.3 − 0.90
5.7 − 1.13 5.9 − 0.67 5.6 − 1.42
7.0 − 1.79 7.0 − 1.16 7.0 − 2.05
8.0 − 2.10 8.0 − 1.52 8.0 − 2.21
B (DK 1035 + 087.5) 3.2 0.41 2.9 − 0.32 3.0 − 0.23
4.3 0.08 4.0 − 0.06 4.1 − 0.01
5.5 − 0.26 5.15 − 0.04 5.3 − 0.17
7.0 − 0.68 7.0 − 0.88 7.0 − 0.58
8.0 − 1.06 8.0 − 1.28 8.0 − 0.88
Values are monthly average of February and September readings taken
from boreholes in 2004. A — the embankment with thermosyphons
installed, and B — the traditional embankment. (D — depth in m and
Fig. 22. An embankment installed with thermal tubes at Qingshuihe. T — temperature in °C).
256 G. Cheng et al. / Cold Regions Science and Technology 53 (2008) 241–258
Fig. 23. A dry bridge on the Qinghai–Tibet Railway route.
engineering endeavours aimed at maintaining a
perennially frozen subgrade, because it is effi-
cient, easy to deploy, cost effective, and environ-
mentally friendly.
(3) Combining radiation control, convection control,
and heat conduction control can achieve a better
cooling effect on the roadbed. Shading boards,
crushed rocks, ventilation ducts, thermosyphons,
and dry bridges have all been used in the
Qinghai–Tibet Railway engineering and have
proved to be successful in lowering ground tem-
peratures and ensuring roadbed stability.
(4) Further studies are necessary to quantify and
optimize various measures employed in the
Qinghai–Tibet Railway engineering.
Acknowledgements
The authors sincerely thank Dr. Baolai Wang for
editing the English version of this article. This work was
supported by a grant of the Knowledge Innovation
Program of the Chinese Academy of Sciences (No.
KZCX1-SW-04). The comments of two anonymous
reviewers are appreciated.
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