Structure and Infrastructure Engineering

Maintenance, Management, Life-Cycle Design and Performance

ISSN: 1573-2479 (Print) 1744-8980 (Online) Journal homepage: https://www.tandfonline.com/loi/nsie20

Damage management and safety evaluation

for operating highway tunnels: a case study of
Liupanshan tunnel

Fei Ye, Xin Han, Nan Qin, Aohui Ouyang, Xing Liang & Changxin Xu

To cite this article: Fei Ye, Xin Han, Nan Qin, Aohui Ouyang, Xing Liang & Changxin
Xu (2020): Damage management and safety evaluation for operating highway tunnels:
a case study of Liupanshan tunnel, Structure and Infrastructure Engineering, DOI:
10.1080/15732479.2020.1713165

To link to this article: https://doi.org/10.1080/15732479.2020.1713165

Published online: 11 Mar 2020.

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STRUCTURE AND INFRASTRUCTURE ENGINEERING
https://doi.org/10.1080/15732479.2020.1713165

Damage management and safety evaluation for operating highway tunnels:

a case study of Liupanshan tunnel
Fei Ye, Xin Han, Nan Qin, Aohui Ouyang, Xing Liang and Changxin Xu
School of Highway Engineering, Chang’an University, Xi’an, Shaanxi, China

ABSTRACT ARTICLE HISTORY

Under the combined impacts of the operation time, design concept, and construction technology, Received 20 October 2018
extensive damage has occurred in tunnels built in China during the early stages of rapid development. Revised 30 November 2019
Therefore, relevant research on tunnel damage is of urgent importance. This study takes the Accepted 3 December 2019
Liupanshan Highway Tunnel on G312 in Guyuan City as a case study, and uses field investigations,
KEYWORDS
radar scans, and other methods to investigate the occurrence of a series of defects in the tunnel, Tunnel engineering; tunnel
including lining splitting, water leakage, and tunnel bottom damage, to analyze the damage character- damages; bearing capacity
istics and occurrence mechanism in detail based on both external causes and internal causes. From degradation; tunnel
the results, by combing relevant materials both in China and abroad with the engineering characteris- reinforcement; management
tics, a comprehensive management method for reinforcing and strengthening damaged tunnels with method; safety checks
a reinforced concrete umbrella arch is proposed. At the same time, considering the degradation in the
bearing capacity of the existing lining structure and utilization degree of the bearing capacity of newly
increased reinforced concrete umbrella arch, this study performs a theoretical analysis of the calcula-
tion for the safety factor of the reinforced damaged tunnel. The calculation results show that the rein-
forced Liupanshan Tunnel is in a secure state, which can provide references for similar projects in
the future.

1. Introduction
With the rapid development of the Chinese economy, China
has become the country with the largest number of tunnels
and the fastest construction speed in the world. However,
numerous defects have occurred in the tunnels constructed
during the early stages of development owing to the com-
bined impacts of the operation time, design concept, con-
struction technology, and geological factors (Chiu, Lee, &
Wang, 2017; Lai, Wang, & Xie, 2016; Yu, Chen, Bobet, &
Yuan, 2016; Yu, Zhang et al., 2018). Tunnel construction in
China is now gradually transitioning from mass construc-
tion to maintenance and management stages.
To date, there have been a number of studies related to
tunnel damage both in China and abroad (Yu, Cai, Bobet,
Zhao, & Yuan, 2019). In terms of damage classification and
causes, Shi and Li (2015) summarized and analyzed the
types of classic tunnel defects and their major causes based
on an investigation of tunnels located in soft soils in
Eastern China, and established a framework and process for
the analysis of tunnel defects. Zhang, Jiang, and Sugimoto
(2018) used Tawarayama Tunnel as a case study to analyze
the major types and main impact factors for earthquake dis-
asters as well as the mechanism for the deformation and
failure of the lining structure. Zhu and Luo (2012) carried
out a field investigation of the damage occurring in a tunnel
portal on a secondary highway in Guizhou Province and
used the collected data to analyze the occurrence
mechanism for various defects. Xiao et al. (2014) took shal-
low tunnels with loose surrounding rock in an expressway
as a case study and used numerical simulation methods to
analyze the crack formation mechanism of the secondary
lining, revealing that stress concentration was the major
cause of crack formation.
In terms of damage hazards, Zhang, Ma, Zhang, Hicher,
and Juang (2015) used finite element analysis methods to
investigate water leakage during field monitoring of a metro
shield tunnel in Shanghai. The results indicate that water
leakage may cause settling of the ground and tunnel, leading
to significant threats to the safety of the surrounding envir-
onment; when leakage occurs only on one side, the harm
may be even more severe. Yoo (2017)used finite element
software to analyze the impact of water leakage in a subsea
tunnel on the performance of the lining structure. The
results indicate that water leakage may cause a significant
increase in the axial force and bending moment of the lin-
ing structure, and this increase may become more distinct
when the leakage is more severe. Wang, Huang, Xie, and
Bobet (2014) employed plastic and elastic finite elements to
analyze the impact of voids with different dimensions, loca-
tions, and depths on the mechanical properties of lining
structures. The results showed that voids behind the lining
cause changes in the distribution of internal forces in the
surrounding rock and the lining, and may even change the
bending direction of the lining, thus causing cracking failure

CONTACT Changxin Xu 2016121106@chd.edu.cn

ß 2020 Informa UK Limited, trading as Taylor & Francis Group
2 F. YE ET AL.
of the lining. Shin, Lee, and Joo (2014) used numerical
simulation methods to analyze the negative effects on tun-
nels of the deterioration of drainage systems. It was found
that blockage of the drainage system causes asymmetric
development of pore water pressure, which has an adverse
impact on the secondary lining. Yu et al. (2017) conducted
a 40-m long test to estimate the seismic performance of the
tunnel of the Hong Kong–Zhuhai–Macau Bridge project
under non-uniform earthquake loadings.
For damage detection, Yin and Zhang (2016) developed
the rotated staggered grid (RSG) algorithm aimed at the
analysis of geological radar images for typical tunnel defects,
which achieves a balance between computational efficiency
and stability. Hence, even with larger time steps, calculation
results can still be obtained with high precision. Huang and
Li (2017) adopted deep learning methods to propose a novel
recognition algorithm for images of water leakage damage
in shield tunnels based on a full convolution network, and
carried out a comparative analysis with traditional image
recognition methods including Otsu’s method, the regional
growing method, and the water shed method based on the
image recognition results, fallout ratio, and operation hours.
Zhang, Zhang, Qi, and Liu (2014) proposed an automatic
detection and classification method based on a morphology
processing technique and threshold operation, which is
applicable for the detection of cracks in shield tunnels.
Tan, Smith, Li, Currell, and Wu (2018) considered the
uneven hydraulic conductivity and other hydraulic coeffi-
cients of the lining and proposed a model that can be used
to estimate the water pressure and crack formation at the
lining surface based on the measured water inflow and inner
surface cracking with higher precision than models based
on a constant water conductivity. Ding, Huang, Zhu, Hu,
and Liu (2017) established a fault tree for damage in the
Shanghai Metro and used data obtained during metro main-
tenance to calculate the occurrence probability of basic
events in the fault tree, demonstrating the applicability of
quantitative computation and analysis for tunnel defects. In
addition, a mining algorithm for the association rules of
tunnel defects was also proposed, which is instructive for
the detection and prevention of tunnel damage.
For damage evaluation, Gao, Sun, Wang, and Chen
(2017) applied fracture mechanics theory to analyze the
propagation law and characteristics of cracks with different
locations and scales under the action of varying symmetric
pressure. The results were combined with existing crack
safety evaluation criterion to propose a crack safety evalu-
ation criterion for secondary lining based on the crack
depth which is applicable to conditions of asymmetric pres-
sure. Wu, Jiang, Masaya, Taniguchi, and Yamato (2017)
studied the correlation between the vibration characteristics
and fracture index of a tunnel lining and proposed a
method to evaluate the general health of tunnel lining struc-
tures based on the vibration characteristics of the tunnel lin-
ing. In contrast to traditional visual observation, the
proposed method considers the impact of voids and invis-
ible cracks on the global stability of tunnels. Lai, Qiu, et al.
(2017) established a comprehensive evaluation system for
the health of lining structures and used Shitiguo Tunnel as
an engineering case study to analyze the damage distribu-
tion characteristics, release rule, and damage level.
Zhiqiang and Mansoor (2013) performed a laboratory
study to investigate the mechanical properties of lining
structures under a corrosive environment, and considered
the adhesive strength and crack performance of the lining
structure to establish an evaluation method for lining
strength under corrosive environments. Du et al. (2018) car-
ried out a 1:10 scale tunnel fire model test to investigate the
characteristics of the lining structure after a fire hazard. The
results indicate that the damage degree of the lining has a
certain correlation with the lining color after the fire event.
A low-cost and damage-free evaluation technology was pro-
posed based on the change in the lining color. With respect
to the evaluation, existing publications mainly focus on the
tunnel evaluation before the treatment of the disease, and
the research results on the safety evaluation of the tunnel
after treatment are few. If the tunnel is still in an unsafe
state after reinforcement, it is easy to repeat construction,
which wastes financial and human resources. Therefore, it is
of great significance to carry out researches on the safety
assessment after disease reinforcement.
In terms of damage treatment methods, Xu and Wang
(2015) targeted tunnel lining cracks and pavement cracks
and proposed reinforcement technologies consisting of a
new carbon fiber steel stripe and grouting with the founda-
tion duct plus crack grouting, respectively. Changjun
(2013)explored water leakage damage in the shallowly
buried section of a tunnel in Gansu Province to propose
corresponding treatment measures targeting punctiform and
linear water leakage. Lai, Wang et al. (2017) analyzed the
advantages and disadvantages of conventional control meth-
ods for tunnel freezing damage, and proposed a thermal
insulation optimization design method to treat tunnel freez-
ing hazards with the use of geothermal energy. Jung, Han,
Chung, Chun, and Lee (2013) carried out laboratory tests to
investigate the blockage of drain holes in operating tunnels,
and comparatively analyzed the applicability of descaling
effects based on applied quantum mechanics theory and a
magnetizing assembly. The results showed that descaling
methods based on applied quantum mechanics theory were
more effective.
Jiang et al. (2017) used direct shear tests and bending
tests in the laboratory to comparatively analyze the mechan-
ical properties of fiberglass-reinforced concrete with differ-
ent levels. Based on the results, application conditions for
reinforcing damaged tunnels with fiberglass-reinforced con-
crete and methods for evaluating the reinforcement effect
were proposed. Using the Bijiashan Tunnel as a prototype,
He, Tang, Wang, Wang, and She (2009) carried out 1:25
scale laboratory tests to investigate the impact of the stiff-
ness of reinforced materials for different internal surfaces
on the ultimate bearing capacity of the structure. Liu,
Wang, and He (2015) used destructive model tests to study
the deformation characteristics, mechanical response,
reinforcement effect, and failure mode of the reinforcement

Figure 1. Entrance of Liupanshan tunnel.
components of an umbrella arch with diverse damage states
under the effect of loose loading.
The research on tunnel disease treatment mainly focuses
on laboratory tests. There are few on-site engineering cases,
and most of them aim at a certain type of disease. However,
a tunnel often coexists with multiple diseases, and the com-
prehensive treatment technology for tunnel diseases is miss-
ing. In summary, studies targeting tunnel damage have
produced a great quantity of results. However, these results
are mostly focused on tunnel damage detection and hazards.
Studies involving damage treatment are less common, and
the treatment of damage mainly targets defects of a certain
type. Thus, synchronous studies on multiple defects are
even rarer. This study takes a tunnel in the Liupanshan
Highway of G312 in Guyuan City in the Ningxia Hui
Autonomous Region as a case study to investigate a series
of defects such as lining splitting, water leakage, and tunnel
bottom damage.
Moreover, this study analyzes damage characteristics and
occurrence mechanisms in detail, and proposes a compre-
hensive treatment technology for damaged tunnels rein-
forced with an umbrella arch of reinforced concrete.
Theoretical analysis is combined with numerical simulations
to perform a safety check of the reinforced tunnel. This
study provides an efficient reference for the treatment of
subsequent similar tunnel defects.
2. Overview of damage and analysis of causes
Liupanshan Tunnel in the Ningxia Hui Autonomous Region
is a two-lane tunnel located on a secondary highway.
Construction began in 1992 and it was opened to traffic in
1997 (as shown in Figure 1). The total length of the tunnel
is 2385 m with a net width of 10.5 m and net height of
5.0 m, and the design speed is 40 km/h. The lining is a C20
plain concrete structure. The tunnel has a complex geo-
logical structure, and passes through multiple fault and fold
zones. The surrounding rock is mainly composed of silty
mudstone and argillaceous siltstone. During the construc-
tion period, there were 210 occurrences of collapse in the
tunnel, including eight instances of large-scale collapse with
a mean height of 5 m of the collapse cavity. The maximum
STRUCTURE AND INFRASTRUCTURE ENGINEERING 3
Figure 2. Temporary steel frame support for lining surface in 2014.
height was 45 m, and problems such as water and mud
bursts also occurred with the collapse.
During the operation period, severe lining chipping, lin-
ing cracking, and other defects have successively occurred in
the tunnel. Thus, steel ribbing was applied as a temporary
reinforcement measure in 2012 and 2014 (see Figure 2).
Although the reinforcement achieved a certain effect, the
tunnel damage has not been thoroughly solved and contin-
ues to deteriorate with increasing operation time. Thus, a
comprehensive and detailed investigation of the damage to
the Liupanshan Tunnel was carried out in 2016.
2.1. Overview of damage
Defects in the Liupanshan Highway Tunnel include lining
splitting, water leakage, and tunnel bottom damage, of
which both the lining splitting and lining degradation
defects in tunnels deteriorate over time. The details are
summarized in Tables 1 and 2.
According to Technical Specifications of Maintenance for
Highway Tunnel (Ministry of Transport of People’s Republic
of China, 2015) and the inspection results, when the total
JGCI is less than 40, it should be classified to Class Five,
based on the form above, the technical condition of
Liupanshan Tunnel ultimately is classified into Class Five
(tunnel is in a dangerous state, under severe damage, dam-
age develops rapidly, and harms the safety of pedestrians
and traffic). It is recommended to close the tunnel immedi-
ately and treat the damage. In special circumstances, the
tunnel will be reconstructed locally or totally.
2.2. Analysis of major damage
2.2.1. Lining splitting
2.2.1.1. Lining cracks. The tunnel was built during the early
years of rapid development, and the construction technology
was also primitive. A small template was adopted for con-
struction, and maintenance was not performed in place.
Furthermore, blasting during construction was not strictly
controlled, and no timely or efficient treatment was per-
formed for back breakage. The uneven lining thickness and
4 F. YE ET AL.

Table 1. Major damage in the Liupanshan Tunnel.

Damage type Description Images of the damage
Lining split Surface defects Cracks: 704 cracks in total; the longest is 58 m, and the widest is
25mm.
Slab staggering: severe deformation and slab staggering appear
at K1861 þ 858– K1861 þ 930 in the tunnel.
Degradation: 100 degradation locations; in the most severe
sections, concrete has peeled off and the rebar and surrounding
rocks are visible.

Structural defects Insufficient strength and thickness: there is an obviously

insufficient thickness of the lining, and the minimum lining
thickness is only 10 cm; the acceptability of lining strength is
55.6%, and the minimum strength is 6.3 MPa.
Carbonization and corrosion: the carbonization depth mainly
occurs from 10 – 30 mm, and the maximum carbonization depth
reaches 50 mm; the corrosion depth mainly occurs from 5 –
20 cm, and the maximum corrosion depth reaches 123 cm.
Back cavity: back cavities in the lining are quite common and
the maximum cavity depth reaches 220 cm.
Clearance-intrusion: lining intrusion into the building boundary
reaches a maximum of 64.9 cm.

Water leakage 40 locations of dry stain and 30 locations of wet stains from water
leakage to the tunnel are observed. The leakage area reaches
13.5 m2, and dripping leakage and hanging ice exist locally.

Temporary reinforcement steel arch Steel arches were temporarily increased in 2012 and 2014. Severe
deformation, distortion, and radius off-set of the joints has
occurred in a total of 16 places. The steel arch splits from the
lining surface locally.

(continued)
 STRUCTURE AND INFRASTRUCTURE ENGINEERING 5

Table 1. Continued.
Damage type Description Images of the damage
Tunnel bottom damage Pavement: There are many cracks in the tunnel pavement, and
phenomena such as upheaval and slab staggering exist in many
locations. The maximum slab staggering distance reaches
3.5 cm.
Inverted arch: The thickness of the inverted arch fails to meet
the design requirements, mainly having a thickness of
16–35 cm. The embedded depth of the inverted arch is
insufficient locally, and is 1–17 cm less than the design
embedded depth.

Mechanical and electrical facilities The ventilation system, fire alarm system, and monitoring and
communication systems all fail. The lighting system and power
supply and distribution system operate with difficulty.

cavities at the back side of the lining result in concentrated
stress, and the strength and thickness of the inverted arch
were insufficient; thus, differential settlement occurred at
the base rock.
2.2.1.2. Lining degradation. The concentration of sulfate
ions is relatively high in the groundwater, causing crystalline
corrosion of the concrete. Freeze–thaw cycles of the ground-
water and carbonization of CO2 in the air result in
decreased concrete strength.
2.2.2. Water leakage
Waterproofing measures were imperfect in the design con-
cept during the construction period. Improper construction
methods caused failure of the waterproofing and drainage
measures. In addition, minerals in the groundwater have
crystalized, causing blockage and failure of parts of the
drainage system.
2.2.3. Tunnel bottom damage
As the operational duration of the tunnel increases, repeated
passage of heavy vehicles and insufficient compactness of
the pavement have caused pavement damage. The designed
structure of the inverted arch is flat without enough thick-
ness or strength, and is unfavorable for carrying the load of
the entire structure.
2.2.4. Cavities behind lining
There are three main reasons for the cavities behind the tunnel
lining: (1) the tunnel is constructed in the early period, when
the construction method was backward, the blasting control
during construction was not strict, and timely and effective
backfilling was not performed after over-excavation; (2) the
surrounding rock conditions are relatively poor, and argilla-
ceous siltstone and silty mudstone account for the most part.
Affected by folds, after excavation, the surrounding rocks tend
to soften and fall off, thus forming voids; (3) landslides
and gushing (mud) occurred during construction and a lot of
timber was used to support.
3. Treatment methods
By comprehensively considering the damage characteristics,
occurrence mechanism, and tunnel features, a comprehen-
sive treatment method is proposed for reinforcing the tun-
nel with a reinforced concrete umbrella arch. Before
application of the umbrella arch, treatment should first be
performed for the back cavities of the lining, lining degrad-
ation, lining cracks, slab staggering, water leakage, and other
damage. At the same time, effective waterproofing and
drainage systems should be installed. A flowchart and sche-
matic map of the tunnel reinforcement process are shown
Figures 3 and 4, respectively.
3.1. Locking the foot with steel pipe grouting
After application of the umbrella arch, the inner contours
will further increase. To ensure that the limit of tunnel con-
struction can meet the design requirement, the existing
pavement is lowered by 55 cm, while the embedded depth of
the inverted arch is increased. To avoid instability and
collapse of the upper structure caused by excavation of the
 6
F. YE ET AL.

Table 2. Civil construction structure technical condition assessment form.

Status level Status level
Assessment for Item Position Weigh xi Item Position Weigh xi
structural openings Entrance 0 Entrance 0
and portals Structural opening Exit 0 15 Portal Exit 0 5
Status level
Maintaining Embedded Inner
No. Mileage Lining crack Water leakage Pavement roadway Drainage facility parts decoration Logo/Lines
1 K1861 þ 702～707 The lining concrete on the left wall is partially
degraded and peeled off, and the depth is 20cm.
2 K1861 þ 747～756 Partial concrete blockage occurred at the left arch waist
3 K1861 þ 855～928 The right arch waist is longitudinally cracked,
the fault is severe, and the partial side wall
is inclined and invaded.
3 K1862 þ 780 Water seepage and
water droplets
along the
circumferential
crack
4 Local section Bump and fault in
partial road
surface
5 K1861 þ 800～900 A small amount of
damage to the
inspection panel
6 Outlet of central Blocking siltation,
drainage ditch normal drainage
7 Partial section Dirty central
marking line
maxðJGCIij Þ 4 2 2 1 2 1 1 1
Weigh xi 40 15 2 6 10 2 5
 Pn  
JGCI ¼ 100  1 14 i¼1 JGCIi 
Pwn i Class Class Five
i¼1
wi

Figure 3. Flowchart for tunnel reinforcement.
Figure 4. Sketch map of tunnel reinforcement.
inverted arch, U108 mm seamless steel pipe grouting is used
to lock the foot. With a length of 3.5 m and wall thickness
of 6 mm, the steel pipe is arranged at the location of the
temporary steel arch. The space corresponds to the distance
STRUCTURE AND INFRASTRUCTURE ENGINEERING 7
with temporary steel arches. When locking the foot, the steel
frame and lining arch foot will be locked at the same time.
A schematic map of the steel pipe grouting for locking the
foot is given in Figure 5.
3.2. Treatment for the back cavity and slag at
the lining
Because the range of back cavities is large, foam concrete is
used as the grouting material to reduce additional loading
of the lining structure, reduce the impact of rockfalls from
the top of the cavity onto the lining, and ensure the safety
of the lining after grouting and filling. For the cavities in
general sections, the maximum filling height is no more
than 1 m; for the cavities in the landslip section, the filling
8 F. YE ET AL.
Figure 5. Sketch map of locking foot with steel tube grouting.
Figure 6. Sketch map for inverted arch excavation.
height is no less than 2 m. U42mm steel flower pipe grout-
ing is used for reinforcement. The length of steel flower
pipe stretching to the back of the lining is no less than 1 m.
3.3. Removal of temporary steel arches
Before removing the steel arch, various parts of the arch
should be numbered. Meanwhile, the design dimensions of
the steel arch should be the basis for fine-tuning and proc-
essing to facilitate re-assembly of the arch in the original
location at a later stage. The removed length of the arch is
subject to the lining damage of the tunnel, and shall not
exceed the length of concrete poured for the template in the
construction of the umbrella arch at each location.
3.4. Excavation of the inverted arch at the tunnel
bottom and re-installation of the inverted arch
The tunnel bottom structure is applied after the temporary
steel arch is removed and the existing lining locks are com-
pleted. Excavation by troughs is used for the inverted arch
at the bottom of the tunnel, and the distance between adja-
cent troughs is greater than twice the lining length
assembled by a formwork lining trolley. The longitudinal
removal length should be no more than 5 m, and the ori-
ginal structure, maintaining the roadway, pavement, and
other structures, should be removed at the same time.
A schematic map of the inverted arch excavation is shown
in Figure 6. After construction of the inverted arch, the central
drain and transverse drain are re-installed, and a new inverted
Figure 7. Sketch map for local replacement of lining.
arch is constructed. The embedded depth of the new inverted
arch is 130 cm below the pavement, and the foundation bolt is
pre-embedded at the joint between the inverted arch and side
wall. During the tunnel excavation construction, it is necessary
to strengthen the monitoring and measurement to observe the
settlement and apparent disease of the lining. When the settle-
ment increases or the lining is severely deformed, the con-
struction should be stopped immediately and effective
measures should be taken.
3.5. Local replacement of the lining
3.5.1. Locations of severe degradation
At locations of severe degradation, the lining is chipped
away for a distance of 50 cm outward from the degradation
location (See Figure 7). Sprayed C25 high sulfate resistant
concrete is used to replace the degraded lining. During con-
struction with the sprayed concrete, a U50 mm) aqueduct is
reserved to transport water in the lining to the tunnel drain-
age system.
3.5.2. Locations of cracking and slab staggering
For locations with severe cracks and slab staggering of
the lining, an arch of L20A steel and sprayed C25 high
sulfate resistant concrete are used for replacement. Before
chipping away the lining, ductile grouting is used for
pre-reinforcement of the lining at the arch exchange loca-
tion. The pre-reinforcement of the lining cross-section
should be no less than 3 cm beyond the replacement scope
of the lining, and removal of the lining can only be per-
formed 24 h after completing the grouting (see Figure 7).
Mechanical cutting and artificial chipping are combined for
removal of the lining. If conditions allow, static crushing
can be used, but explosive construction is prohibited.
3.6. Treatment for lining cracks
For cracks with a width of W  0.2 mm, a repairing adhesive
for concrete cracks is applied to the surface for treatment.
For cracks with a width of W > 0.2 mm, groove-chiseling
grouting is used for treatment. Epoxy materials or modified
epoxy mortar materials are used for troweling.
 STRUCTURE AND INFRASTRUCTURE ENGINEERING 9

Table 3. Nomenclature for parameter symbols.

Symbol Parameter Unit
K Safety Factor /
N Axial force of the calculated section Pa
fcc Design value for the axial compressive strength of concrete MPa
in the section under the combination of the original
lining structure and umbrella arch
a1 Reduction coefficient for the bearing capacity of /
original lining structure, obtained from Table 3
ac Utilization factor for the concrete strength of the /
umbrella arch, ac¼0.7 (Ministry of Housing &
Urban-Rural Development of the People’s
Republic of China, 2013)
as Utilization factor for the steel bar strength of the /
Figure 8. Design sketch for arch reinforced tunnel.
umbrella arch, as¼0.9 (Ministry of Housing &
Urban-Rural Development of the People’s
Republic of China, 2013)
fco Design value for the axial compressive strength of MPa
concrete in the original lining structure
fcd Design value for the axial compressive strength of MPa
concrete in the umbrella arch
h1 Thickness of the original lining structure mm
h2 Thickness of the reinforced concrete umbrella arch mm
h Total thickness of the reinforced section mm
x Height of the section in the compressive zone mm
rsi Reinforcement stress at layer i of the umbrella Mpa
arch, fsd  rsi  fsd
Asi Cross-sectional area of steel bar at layer i of the mm2
umbrella arch
Figure 9. Calculation of safety factor for plain concrete structure reinforced asi Thickness of the reinforcement cover layer at mm
with reinforced concrete umbrella arch. layer i of the umbrella arch
ecu Ultimate compressive strain of concrete /
Es Elastic modulus of reinforcements MPa
3.7. Installation of the reinforced concrete e0 Eccentricity mm
umbrella arch
Before installation of the umbrella arch, the section beyond the
limit should be chipped and rehabilitated according to the inner
contour of the tunnel. When the local chipping thickness of the Table 4. Conversion factor a1 for the bearing capacity of the original lining
structure of the tunnel.
lining is greater than 15 cm and the annulus length is greater
Assessment grade of
than 1 m, ductile grouting is used for pre-reinforcement. An tunnel status Class 5 Class 4 Class 3 Class 2 Class 1
effective drainage system should be arranged between the Plain concrete lining 0.1 0.3 0.5 0.7 1.0
umbrella arch and the existing lining, and the diameter of the Reinforced concrete lining 0.1 0.7 0.8 0.9 1.0
annular drainpipe should be increased in sections with severe
leakage. Insulation measures should be considered for the
drainage system, and a longitudinal inspection well is filled and
covered with phenolic foam for heat preservation. A buried
insulated round water outlet is adopted for the central ditch.
During construction of the umbrella arch, the temporary
reinforced steel arch that is demolished should be finely
adjusted before assembly at the original location, and is con-
nected to the inverted arch through the reserved foundation
bolt. The thickness of the reinforced concrete umbrella arch
is 35 cm, and a 4U22 mmHRB400 annular double-layer
reinforcing bar is arranged uniformly for every linear meter.
C40 high sulfate resistant cement is used as the concrete,
and the impervious grade is S8. A design sketch for the
umbrella arch reinforced tunnel is displayed in Figure 8.

4. Safety check calculations for the tunnel

reinforced with an umbrella arch
4.1. Theory for calculation of the safety factor
The basic assumptions are as follows:

1. cross-sectional strains comply with the plane sec-

tion assumption; Figure 10. Calculation model of lining structure.
10 F. YE ET AL.

Table 5. Physical and mechanical parameters.

Unit weight, Elastic modulus, Poisson’s Elastic resistance Cohesion, Frictional
Material c (kN/m3) E (GPa) ratio, l coefficient, K (MPa/m) c (MPa) angle, g
Lining 25 30.40 0.25 — — —
Surrounding rock 21 3.8 0.31 400 0.5 35

Table 6. Load calculation results.

Vertical (kN/m2) Horizontal (kN/m2)
Load Upper load, hq Structural dead weight, hg Lower load (hqþhg) Upper load, e0 Lower load, e1
131.468 64.863 196.311 32.867 49.078

Figure 11. Axial force diagram.

Figure 12. Bending moment diagram.

2. the tensile strength of concrete is ignored;

3. the compressive stress pattern of the concrete is rect- For verification, x is substituted into Equation (3). If
angular; and jrsi j  fsd , the calculation result is K, x; if jrsi j>fsd , then
4. before the reinforced tunnel reaches its ultimate bearing jrsi j ¼ fsd , which is substituted into Equations (1) and (4) to
capacity, there is no debonding damage between the obtain K and x. The meanings of the various symbols are
reinforced concrete umbrella arch and existing lin- listed in Tables 3 and 4.
ing structure.
4.2. Safety check calculation for the Liupanshan tunnel
The calculation process is shown in Figure. 9. The result- after reinforcement
ant force of the internal and external forces in the horizon-
tal direction is zero, and thus the following expression can 4.2.1. Calculation model and parameters
be obtained: The existing lining structure and umbrella arch is simplified
as a global stress structure, and ANSYS finite element soft-
KN ¼ fcc bxas ðrs1 As1 þ rs2 As2 Þ (1) ware is used for the calculation. BEAM3 is used as a beam
where: element for the simulation of the existing lining and
a1 fco h1 þ ac fcd h2 umbrella arch, and element COMBIN14 is used to simulate
fcc ¼ (2) the interaction between the lining and the surrounding
h1 þ h2
  rock. The calculation model and load distribution of the lin-
0:8h0i ing structure is shown in Figure 10. The physical and mech-
rsi ¼ 1 ecu Es (3)
x anical parameters for the support structure and surrounding
The sum of the torque applied to the combined force of the rock are selected based on existing standards (Ministry of
concrete in the compression zone is zero, and thus the fol- Transport of People’s Republic of China 2004), as summar-
lowing can be obtained: ized in Table 5. Table 6 lists the detailed load calcula-
    tion results.
h x x
KN e0  þ ¼ as rs1 As1 has1 
2 2 2
  (4) 4.2.2. Analysis of the calculation results
x
þ as rs2 As2 h1 þ as2  From Figures 11 and 12, it can be seen that the lining struc-
2
ture reinforced with the reinforced concrete umbrella arch
With Equations (1) and (4), the safety factor, K, and is all compressive. The maximum axial force of the structure
depth, x, of the compression zone can be obtained. is 565.968 kN, which occurs at the skewback, while the

Figure 13. Distribution of safety factors in the Liupanshan tunnel.
minimum is 241.000 kN and occurs at the vault. The bend-
ing moments at the vault and hance of the lining structure
reinforced with the reinforced concrete umbrella arch are
larger, with values of 149.579 kNm and 146.428 kNm,
respectively.
4.2.3. Calculation of the safety factor
The unit No. 14 hance element is taken as an example, and
its safety factor is calculated. The bending moment of unit
No. 14 is 146.428 kNm, while the axial force is 419.300 kN.
From the known conditions and relevant design information
the following can be obtained: h1 ¼ 450 mm, h2 ¼ 350 mm,
as1 ¼ as2 ¼ 60 mm, As1 ¼ As2 ¼ 1520 mm2, fco ¼ 15:5 MPa,
fcd ¼ 29:5 MPa, fsd ¼ 330 MPa, ac ¼ 0:7, as ¼ 0:9, ecu ¼
0:0033, and Es ¼ 2:0  105 MPa.
The technical status of the Liupanshan Tunnel is eval-
uated as Class 5. According to Table 1, a1 ¼ 0:1, which can
be substituted into Equation (2) to obtain the following cal-
culation result:
a1 fco h1 þ ac fcd h2
fcc ¼ ¼ 9:906MPa
h1 þ h2
Substituting the above-mentioned condition into Equation
(1) and (4) yields the following results (taking the real root):
K ¼ 6:804, x ¼ 359:373
Substituting x into Equation (3) yields rs1 ¼ 427:226
MPa and rs2 ¼ 89:035 MPa.
Thus,rs1 fails to meet the condition fsd  rsi  fsd :
Substituting rs1 ¼ fsd ¼ 330 MPa and the above-mentioned
condition into Equations (1) and (4) again yields the follow-
ing results (taking the real root):
K ¼ 6:471, x ¼ 338:270
Substituting x into Equation (3) again gives a result of rs2 ¼
136:050 MPa, which satisfies the condition fsd  rsi  fsd :
Finally, the safety factor of unit No.14 is obtained, K ¼ 6.471.
The calculation method for the safety factor of the other
units is the same as for unit No. 14 given above. The safety
factors for the tunnel are shown in Figure 13. The min-
imum safety factor is 5.69, which satisfies the requirement
STRUCTURE AND INFRASTRUCTURE ENGINEERING 11
that the safety factor for concrete structures in the design
specification must be greater than 2.4 (Ministry of
Transport of People’s Republic of China 2004). Thus, the
Liupanshan Tunnel after reinforcement is in a safe state.
5. Conclusions
The following conclusions can be derived from this study:
1. Damage in the Liupanshan Highway Tunnel mainly
includes lining splitting, lining deformation and invad-
ing the limit, water leakage, and tunnel bottom damage.
The technical status of the tunnel is evaluated into five
classes. After detection and evaluation of the damage,
the tunnel is closed immediately.
2. After comprehensively considering the characteristics of
the tunnel damage, the occurrence mechanisms, and the
features of the tunnel, a reinforced concrete umbrella
arch is used to reinforce the Liupanshan Tunnel. To
ensure that the architectural boundaries of the tunnel can
meet the design requirements, the existing pavement and
inverted arch are lowered as a precaution.
3. When the cavity at the back of the lining is large, foam
concrete can be used as the grouting filling material, which
can both reduce additional load on the tunnel lining and
be used as a buffer layer to effectively reduce the impact of
stones falling from the top of the cavity onto the lining.
4. By simultaneously considering the reduction factor for
the bearing capacity of the existing lining structure and
the utilization factor for the bearing capacity of the new
reinforced concrete umbrella arch, a calculation formula
for the safety factor of the damaged tunnel reinforced
with a reinforced concrete umbrella arch is established.
The calculation results show that the minimum value
for the safety factor of the lining structure after treat-
ment is 5.69, indicating the tunnel is in a safe state.
5. The study mainly investigates the causes and the treat-
(5) ment methods for tunnel diseases, and take Liupanshan
Tunnel as a case study to analyze the application for
umbrella arch method. In a following study, many other
successful comprehensive management methods for rein-
(6) forcing and strengthening damaged tunnels need to be
carried out.
Disclosure statement
No potential conflict of interest was reported by the authors.
Funding
(7)
This study was supported by the National Natural Science Foundation
for Surface Project of China (Grant No. 51478044, 51678062
and 51878060).
ORCID
Changxin Xu http://orcid.org/0000-0001-8468-2165
12 F. YE ET AL.
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