INFRASTRUCTURE DESIGN,

SIGNALLING AND SECURITY

IN RAILWAY
Edited by
Xavier Perpinya

INFRASTRUCTURE DESIGN,
SIGNALLING AND SECURITY
IN RAILWAY
Edited by Xavier Perpinya

Infrastructure Design, Signalling and Security in Railway

Edited by Xavier Perpinya

Published by InTech
Janeza Trdine 9, 51000 Rijeka, Croatia
Copyright 2012 InTech
All chapters are Open Access distributed under the Creative Commons Attribution 3.0
license, which allows users to download, copy and build upon published articles even for
commercial purposes, as long as the author and publisher are properly credited, which
ensures maximum dissemination and a wider impact of our publications. After this work
has been published by InTech, authors have the right to republish it, in whole or part, in
any publication of which they are the author, and to make other personal use of the
work. Any republication, referencing or personal use of the work must explicitly identify
the original source.
As for readers, this license allows users to download, copy and build upon published
chapters even for commercial purposes, as long as the author and publisher are properly
credited, which ensures maximum dissemination and a wider impact of our publications.
Notice
Statements and opinions expressed in the chapters are these of the individual contributors
and not necessarily those of the editors or publisher. No responsibility is accepted for the
accuracy of information contained in the published chapters. The publisher assumes no
responsibility for any damage or injury to persons or property arising out of the use of any
materials, instructions, methods or ideas contained in the book.
Publishing Process Manager Sasa Leporic
Technical Editor Teodora Smiljanic
Cover Designer InTech Design Team
First published March, 2012
Printed in Croatia
A free online edition of this book is available at www.intechopen.com
Additional hard copies can be obtained from [email protected]

Infrastructure Design, Signalling and Security in Railway, Edited by Xavier Perpinya

p. cm.
ISBN 978-953-51-0448-3

Contents
Part 1

Railway Systems in the World 1

Chapter 1

The Role of Light Railway in

Sugarcane Transport in Egypt 3
Hassan A. Abdel-Mawla

Chapter 2

Topological Analysis of Tokyo

Metropolitan Railway System 25
Takeshi Ozeki

Chapter 3

Privatization Versus Public Funding on

the Atacama Desert Railway An Interpretation 51
Jose Antonio Gonzalez-Pizarro

Chapter 4

Competitiveness and Sustainability of Railways 69

Dave van der Meulen and Fienie Mller

Chapter 5

Structural and Kinematic Analysis of EMS Maglev Trains

Zhao Zhisu

Chapter 6

Maglev 123
Hamid Yaghoubi, Nariman Barazi and Mohammad Reza Aoliaei

Part 2

Chapter 7

95

Modelling for Railway Infrastructure Design and

Characterization 177
Power System Modelling for
Urban Massive Transportation Systems
Mario A. Ros and Gustavo Ramos

179

Chapter 8

Optimized Model Updating of a Railway Bridge for

Increased Accuracy in Moving Load Simulations 203
Johan Wiberg, Raid Karoumi and Costin Pacoste

Chapter 9

Controlling and Simulation of Stray Currents in DC Railway

by Considering the Effects of Collection Mats 225
Mohammad Ali Sandidzadeh and Amin Shafipour

VI

Contents

Chapter 10

Cellular Automaton Modeling of

Passenger Transport Systems 255
Akiyasu Tomoeda

Chapter 11

Gaming Simulations for Railways:

Lessons Learned from Modeling Six Games
for the Dutch Infrastructure Management 275
Sebastiaan Meijer

Chapter 12

Application of 3D Simulation Methods to

the Process of Induction Heating of Rail Turnouts 295
Elbieta Szychta, Leszek Szychta,
Mirosaw Luft and Kamil Kiraga

Chapter 13

EMC Analysis of Railway Power

Substation Modeling and Measurements Aspects
S. Baranowski, H. Ouaddi, L. Kone and N. Idir

Part 3

333

Signalling, Security and

Infrastructure Construction in Railway 353

Chapter 14

Criteria for Improving the Embankment-Structure

Transition Design in Railway Lines 355
Inmculada Gallego, Santos Snchez-Cambronero and Ana Rivas

Chapter 15

Influence of the Phreatic Level on

the Stability of Earth Embankments 375
Shodolapo Oluyemi Franklin and Gbenga Matthew Ayininuola

Chapter 16

Evolutionary Algorithms in Embedded Intelligent Devices

Using Satellite Navigation for Railway Transport 395
Anatoly Levchenkov,
Mikhail Gorobetz and Andrew Mor-Yaroslavtsev

Chapter 17

Study and Design of an Electro

Technical Device for Safety on Railway Network 421
Clavel Edith, Meunier Grard, Bellon Marc and Frugier Didier

Chapter 18

General Principles Regarding

the Rehabilitation of Existing Railway Bridges
Petzek Edward and Radu Bncil

447

Chapter 19

Special Tunnel Blasting Techniques for Railway Projects 479

More Ramulu

Chapter 20

Susceptibility of the GSM-R Transmissions to

the Railway Electromagnetic Environment 503
Stephen Dudoyer, Virginie Deniau,
Nedim Ben Slimen and Ricardo Adriano

Part 1
Railway Systems in the World

1
The Role of Light Railway in
Sugarcane Transport in Egypt
Hassan A. Abdel-Mawla

Department of Ag. Engineering, Al-Azhar University, Assiut,

Egypt
1. Introduction
The first section of the Egyptian standard railway for public transport service started at
1854. Fifteen years later, the first light railway network established to serve sugar industry
southern Egypt. A light railway network initiated through the area considered for sugarcane
production whenever a modern sugar mill established. The light railway represented the
mechanism that continuously convey and feed each sugar factory with raw material of
sugarcane produced in wide farm areas around the mill.
As a principle transport system, the light railway networks started transport service
simultaneously with the beginning operation of each sugar mill. Whenever a modern sugar
mill constructed, a light railway net established for its own cane transport service. The first
light railway network started service at the west bank of Nile at 1869 when the first modern
sugar mill started operation at Armant (Ar. 691 km south Cairo). At 1896 the second oldest
light railway was initiates at the west bank of Nile to serve cane transport to Nagaa-Hamadi
factory (N. H. 553 km south Cairo). At the early stage of the 20th century, two light railway
networks started cane transport service in Abo-Qurkas (AQ. 267 km south Cairo) in 1904 and
in Kom-Ombo (KO. 834 km south Cairo) in 1912 when two sugar factories begin operation at
these two locations. Other four light railway networks were established within the period
from 1963 to 1987 in Edfo (Ed. 776 km south Cairo), Quse (Qu. 573 km south Cairo), Dishna,
(Di. 573 km south Cairo) and Gerga (Ge. 502 km south Cairo) when the sugar mills started
there (Afifi 1988).
Based on the data of the annual report of the Sugar Counsel 2010 and former reports,
continuous change of the role of narrow railway system has been recorded over the last two
decades. Figure 1 shows the development of the light railway system contribution to the
transport of vegetative cane delivered as row material to sugar industry. Road transport
strongly competes as cane transport mean due to constant improvement of infield roads and
the availability of road vehicles. On the other hand, the decline of the narrow railway
system contribution may partially refer to the expansion of cane plantations outside the light
railway net. The chapter discusses the existing conditions and the expected future of the role
of light railway initiated for cane transport in Egypt. Alternative road transport vehicles
may replace the narrow railway because of availability in addition to transport cost. It seems
like the conditions of narrow railway system of cane transport in Egypt has some similar

Infrastructure Design, Signalling and Security in Railway

aspects of that of South Africa as reported by Abdel-Mawla (2001). Malelane (2000)

concluded that the economics of each cane transport system establish the optimum mix of
transport mode in South Africa. The availability of road transport given the limitations of
fixed rail siding placement and infield haulage distances.

Fig. 1. Development of the role of light railway system for feeding row materials to sugar
industry.

2. Light railways line expansion

The narrow railway network and whole stalk wagons represented the principle cane
delivery system especially for the old constructed sugar industry. The regions at which
the narrow railway expanded for sugarcane transport occupy continuous areas along both
sides of the Nile. Sugar factories located at the both Nile banks where narrow railway and
whole stalk wagons receive the cane transported cross Nile by the help of a crane at
certain ports. The railway lines started at the back and side gates of the sugar mill and
branched along the infield roads through the cane production area. The main narrow
railway lines near the mill gates include several grand unions and large number of
switches.
Over 2200 km of the narrow gauge railways expanded to maintain feeding sugar industry
with the raw materials that represented in sugarcane produced from the adjacent areas on
both sides of the Nile as shown on the map Figure (2).

The Role of Light Railway in Sugarcane Transport in Egypt

Fig. 2. Light railway expansion areas in the Nile Valley.

Infield roads on which the narrow railway lines constructed may be expanded on a side of an
irrigation or drainage channel may cross several bridges and may cross the main railway line
of Upper Egypt. Double light railway lines may be expanded on the main roads to maintain
easy motion of cane trains travel to or coming from several infield lines connected to the main
lines by unions. The sub branches of the narrow railways may be double lines that include a
main rail line on which the loaded train move and an auxiliary line for the travel of empty
train coming from the mill. This arraignment of auxiliary rail line for the travel of empty train
may be limited to certain locations to maintain smooth motion on the light railway lines.
Infield railway lines are single lines on which a train moves either empty or loaded.
Figure 3 shows a map of the second oldest narrow railway network (1896) that established
to feed Naga-Hammady mill with row cane. The 115 years old cane transport narrow
railway network of 420 km long still efficiently working by the help of seasonal
maintenance. In this particular region, the contribution of narrow railway transport system
may currently exceed 60% of the daily mill capacity.

Infrastructure Design, Signalling and Security in Railway

Fig. 3. A map of light railway network of NH. sugar factory established 1896 (Courtsy,
Sugar & Int. Idustry Company)

The Role of Light Railway in Sugarcane Transport in Egypt

3. Light railway system transport elements

3.1 Light railway lines
The narrow railway lines established for cane transport initiated with similar gauge of 2 feet
(61 cm) that represent the inside width between the rails (Figure 4). The narrow track
sleepers are fabricated from cold formed steel plates of 2 m width. The ballast-less narrow
track constructed by arranging the steel sleepers 0.75 to 1 m apart directly on the road soil
(Figure 5). The two feet spaced rails are fixed to the sleepers with bolts and clamps.

Fig. 4. Size (gauge) of the Egyptian light railway for cane transport

Fig. 5. A balastless narrow railway expanded on a bank of an irrigation channel

Infrastructure Design, Signalling and Security in Railway

Fishplates are used to connect the ends of rails along the track. A short space is left between
the ends of the rails for thermal expansion. Since this sort of rail lines are ballast-less expanded
on dirt roads with considerably wide interval between sleepers, the alignment of the rail ends
at the point of fishplate connection is not always secured. To overcome the probable vertical
misalignment at the expansion gap, a short single bolt rail plate is used. Figure 6 show the
single bolt alignment short rail piece. Whenever the train is coming from any direction, the
near end of the plate is aligned to the end of the rail, carrying the train wheel and turn around
the pin to be aligned to the front rail. This simple arrangement largely reduces hard sudden
impact, reduces rapid wear and breakdowns of the rail wagons undercarriage.

Fig. 6. Rail ends connection

3.2 Light railway locomotives
Variable sizes of locomotive are available to pull the light railway sugarcane train.
Locomotives of variable types have been imported mainly from Germany, Romania, Japan,
and Slovakia. Based on the statistics, old and new German and Romanian types represent
the major numbers of locomotives belong to the sugarcane transport system. The sizes and
function of locomotives of the narrow railway cane transport system may be:
-

Locomotives of 250 hp and more have been used to work on the main narrow railway
lines. Most of these locomotives are of 350 hp operated to pull the empty wagons to the
field and pull back the loaded train to the mill. Experienced operators have been
employed to drive such locomotives to ensure the train travel safety. The locomotive
driver should be memorizing the location of large number of switches and be sure each
is switched to the proper direction on his way either to the field or back to the mill. The
driver should also be aware about the location of infield roads which the train crosses.
A person is assigned to help the driver during the trip. Figure 7 shows one of the
narrow gauge railway locomotives of 350 hp that used to pull the sugarcane train.

The Role of Light Railway in Sugarcane Transport in Egypt

Locomotives of power from range from 150 to 250 hp are used to pull the loaded rail
wagons inside the mill yard. Such locomotives are used for pulling the wagons for
weighing and for unloading. Intensive maneuvering operations may be required inside
the mill yard to move the loaded wagons toward the unloading line. The small
locomotives also used to clear the discharged wagons from the yard to the departure
lines to save more room for the trains coming from the fields.
Locomotives of power less than 150 hp are used to move the unloaded wagons away
from the unloading line. These types of locomotives perform a lot of maneuvering
operations inside the mill yard to collect the empty wagons and to move the empty
train to the departure line.

Fig. 7. A narrow gauge locomotive on the way to the field

3.3 Light railway whole-stalk cane wagons
Since all the sugar factories followed one company, the light railway wagons fabricated for
cane transport size variation is very limited. The wagons designed to be whole stalk loaded
parallel to the longitudinal axel of the wagon. Unlike the Australian cane bins described by
Lynn (2008) show large variation of wagons size that carry chopped cane.
The wagon has two bogies each of four steel wheels on which a rectangular steel flat surface
is fixed. Steel columns are bolted vertically to the outer side of the rectangular flat surface
that form a basket that hold cane parallel to the longitudinal axle of the wagon. The ground
clearance to the bottom surface of the wagon around 60 cm. The wheel diameter may be 32
cm from the flange side and 24 cm from the wheel trade side. The light railway wagon flat
load surface may be 6 to 7 m in length and 1.5 to 1.8 m in width and the side columns are 1.4
to 1.6 m in height. Wheel base from the center of the rear wheel of the rear bogie to the
centre of front wheel of the front bogie ranged from 5 to 5.7 m.

10

Infrastructure Design, Signalling and Security in Railway

The loading volume inside the wagon may be ranged from 14 to 18 m3. The cane is loaded
parallel to the longitudinal axle of the wagon. The load may be expanded up to 1 m over the
wagon side columns to permit higher capacity of the wagon.
Transverse steel channels welded to the loading surface of the wagon to permit passing the
chains under the load while unloading the wagon in the mill. Figures (8) and (9) shows
isometric and projection drawings of the light railway cane transport wagon.

Fig. 8. Isometric of the cane transport light rail-wagon

Fig. 9. Common dimensions of the cane transport light railway wagon

The Role of Light Railway in Sugarcane Transport in Egypt

11

3.4 Light railways system operation schedule

The principle objectives of railway wagons operation schedule may include:
1.
2.
3.
4.

To secure uniform diurnal arrival of the current of railway wagons to the mill.
To reduce the probability of loaded wagons delivery delay.
To face the overload transport due to accidental conditions.
To secure overnight operation of the mill.

Figures 10 and 11 show the trains while transporting sugarcane. The operation of the light
railway system for cane supply to the mill has to be performed according to a pre-defined
schedule. The mill seasonal operation period should be approximately estimated based on
the daily capacity of the mill, cane production area and average production of the unit area.
The average data of the recent juicing seasons would be helpful in that concern.
The size of the railway wagons fleet required for a sugar mill may be determined according
to variable conditions. The mill daily capacity represents the total mass of raw materials has
to be supplied to the mill around 24 hours. Row cane delivery Schedule plan should
determine the quantities of sugarcane to be transported by road vehicles. General estimation
of the average rail wagon capacity should be estimated based on the past season data. Cycle
time of the rail wagon transport trip should also be clear and specified. In addition to
several other factors related to harvesting, infield transport and loading, the rate of the rail
wagons breakdowns occurred during the season should be considered.
The rate of row materials delivered by the light railway wagons around the day should be
managed by the mill administration to reduce the waiting time at the unloading queue. The
mill administration may have to consider the following steps to estimate the numbers of the
rail wagons, pull locomotives and operation team around the day:
-

The labor operation is arranged into three shifts which are; morning shift that last from
7 am to 3 pm, evening shift from 3 pm to 11 pm and night shift from 11 pm to 7 am.
Road transport is limited to the diurnal period and vehicles may continue arrive to the
unloading queue till the evening. Therefore the supply of road transport may be limited
to the morning and evening shifts.
Supply of sugarcane row materials to the mill during the night shift depend mainly on
the light railway system.
Diurnal operation of the light railway wagons should be considered to secure the
shortage of road transport supply to maintain continuous operation of the mill.
The operation of the light railway wagons is arranged as diurnal and night fleets. The
number of railway wagons required for diurnal operation and those required for
overnight operation should be estimated. Wagon/s with certain card number/s
assigned to transport the cane of certain farmer. A locomotive pulls the empty train to
certain region and then pulls the loaded wagons back at specific time.
Specific time duration is determined for mill yard departure and arrival of each of the
diurnal operated trains and the overnight operated trains.

Androw and Ian (2005) reported that several mill regions within the Australian sugar
industry are currently exploring long-term scenarios to reduce costs in the harvesting and
rail transport of sugarcane. These efficiencies can be achieved through extending the time
window of harvesting, reducing the number of harvesters, and investing in new or

12

Infrastructure Design, Signalling and Security in Railway

upgraded infrastructures. As part of a series of integrated models to conduct the analysis,

we developed a capacity planning model for transport to estimate the (1) number of
locomotives and shifts required; (2) the number of bins required; and (3) the delays to
harvesting operations resulting from harvesters waiting for bin deliveries. The schedule
developed to operate the Egyptian system may have similar objectives (Abdel-Mawla 2011).
For example, the second oldest sugar mill (N. H.) started operation in 1896, the light railway
system used to transport almost 100% of the cane delivered to the mill. At present, the light
railway wagons deliver only 50% of the mill daily capacity. The mill holds the most long
light railway network (410 km) expanded through the cane fields. The mill also has 1700
light railway wagons ready for operation. Large amount of field data concerning crop, field,
environment and labors required for the proper design of the light railway operation
schedule. Concerning the determination of the rail wagon numbers, the basic data presented
in Table 1 may be necessary.
Item

Value

Mill capacity

= 1.7 million ton/season

Estimated season duration

= 140 days

Daily supply

= 12000 tons/day, approximately

Required hourly supply

= 500 tons/h

Average rail wagon load

= 9 tons

Table 1. Basic data required to estimate the number of light rail wagons.
Table 2 presents estimation of the narrow railway wagons fleet size required to secure
adequate supply of the mill daily capacity of cane row materials.
Mill
Light
Departure Return
yard
railway
Required
time
time
Required
Shift
waiting
cane supply contribution
Shift
wagons
duration
ton
Fro
To
h
%
ton
From To
m
7 am
4000
50
2000
223
Morning
15 pm
7
16
12 19
6-10
Diurnal
am pm am pm
15 pm
4000
10
400
45
Evening
23 pm
19
00
23 6
23 pm
10
4000
90
3600
400
Night
pm am pm am
7 am
Table 2. Estimation of the railway wagon fleet size
The efficiency of the narrow railway cane transport system may be largely improved by
reducing transport cycle time as follow:
-

Reducing the time of the loaded wagon waiting in the mill yard.
Mechanize cane loading operation.
Improve the rail line management related to switches and signalling system.

The Role of Light Railway in Sugarcane Transport in Egypt

Fig. 10. A narrow rail train is loaded with cane and ready for pull

Fig. 11. Train loaded with on the way back to the mill

13

14

Infrastructure Design, Signalling and Security in Railway

4. Light railway wagons loading and unloading

4.1 Loading
The cane transport administration of the mill distributes the empty light railway wagons
according to the schedule. The driver of the locomotive leaves the wagons in the transloading site scheduled for cane delivery. Farmers bring the cane from inside fields to the
location at which the wagons loaded. The common activity is to start loading the wagons in
the morning. Loading may be done manually or mechanically according to the availability
of mechanical loaders.
4.2 Manual loading
The light railway of loading surface 60 to 70 cm high from the ground surface may be
loaded manually (Figure 12). Two labors start carrying cane bundles, climb a ladder and
place them inside the wagon. Even though the manual loading is considered adverse
operation, it may permit some important advantages to obtain a higher density load such as:
-

The labor loaders may fit the cane bundles tightly to ensure efficient use the whole
volume of the wagon.
The labor loading may permit employing a knifeman who is working over the wagon to
cut the curved parts of the cane Figure 12. After the labor place the cane bundle in the
loading area, the knife man cut the uneven parts of the cane stalks to facilitate higher
density load. This activity may be important specially if the cane is taken from a lodged
field.
The labor loading may also permit a better chance to expand the load by force fit
vertical columns of cane stalks when the load level become over the steel side columns
of the wagon.

Fig. 12. Labor loading of rail-wagons with sugarcane

The Role of Light Railway in Sugarcane Transport in Egypt

15

4.3 Mechanical loading

Few mechanical cane loaders were available till the Aswan Mechanization Company
established at 1980. At that time large number of Bell type cane loaders imported and
operated. Even though, the company stops purchasing new loaders and the majority of their
loaders become old, the farmers bought those old loaders, rebuild them and bring them to
operation again (Abdel-Mawla 2010). Recently, other tractor mounted loaders may be
locally developed and operated for cane loading. Figure (13) shows mechanical loading of
the light rail-wagons using a tractor mounted loader developed by the author 2011.
Light railway system also designed to handle the cross Nile transported cane. The system
depends on the similarity in design and size of the cane holding bins fixed on the ship to
that of the light railway wagons. Actually, light rail wagon frames fixed on the ship each of
them have certain code number. Farmers load their cane each in certain frames on the ship.
After the ship load complete, it travels across Nile to the unloading crane. A light railway
line passes opposite to the crane. The crane lift the load conserving its dimension and
structure and place it into a wagon (taking the same code number) waiting on the rail line.
As soon as the rail wagon receives the load it pulled away waiting for pull to the mill.
Another light rail wagon pulled to the crane loading area as indicated in Figure (14).
The mechanism of unloading the light rail-wagons to the mill conveyor may vary from mill
to another. A crane that carry the loaded wagon up then inverse the wagon to discharge the
load over the conveyor may be found in Kom-Ombo mill. The empty wagon then returned
back to the rail line and pulled away to give the chance to another wagon to be unloaded.
The other common unloading mechanism may include a crane that left the wagons load
with help of chains and place it over the conveyor. The unloaded wagon then moved and
another one advanced toward the crane. Figure 15 show the chain un-loader which
commonly used in sugar mills.

Fig. 13. Mechanical loading of light railway wagons using a tractor mounted loader
(developed by the author).

16

Infrastructure Design, Signalling and Security in Railway

Fig. 14. Light railway system handle cane transported cross Nile

Fig. 15. Unloading light rail wagons.

The Role of Light Railway in Sugarcane Transport in Egypt

17

5. Light railway problems

5.1 Problems related to rail track wear out
According to Abdel-Mawla (2000), the narrow railway network faces breakdown
problems due to the wear of long parts of the rail track. Currently, the light railway
transport around 40% of the total cane delivered to sugar mills as general average for the
eight sugar mills.
As previously explained some of the light railway systems started about 140 years ago.
The old narrow railway expanded on the infield roads have been facing problems of steel
components worn out. In spite of continuous seaseonal maintenance, the railway network
have several corroded parts. Some of the narrow railway tracks constructed on the clay
soil of the infield roads which is in the same level of the neighbor fields. The sleepers,
bolts, fishplats and other parts of the rail track gradually covered by the road dirt.
Moisture of underground water as well as moisture infeltrated from irrigation water may
reach the rail track. The clay soil preservs moisture around the buried track causing
intensive rust of th steel parts.
In the routin maintenance, the labors uncover the rail and change the wear-out parts that
are easily to descover. Figure 16 show the rusted steel sleepers of the narrow railroad
track.
Some parts of the old light railway network may become out of service because of the
intensive breakdowns due to wear out. In most cases the track should be completely
replaced otherwice several accedents expected due to loaded wagons turn a side or track
climb where intensive losses may be occurred . Whenever such accedents repeated, the
farmers abstain from transporting by the light railway and go for road transport even
though it is more costly.

Fig. 16. Balastless narrow rail track showing intensive ruste of sleepers buried in the clay soil

18

Infrastructure Design, Signalling and Security in Railway

5.2 Problems related to system operation

The light railway system employed for cane transport may be considered a slow system where
the loaded vehicle wait for long time to be pulled back to the mill. The empty rail wagons
distributed to several fields by a distribution locomotive. After these wagons been loaded with
cane, the distribution locomotive move them to certain location where the stuff responsible for
the train operation attach the loaded rail wagons together. The train loaded with can attached
to the pull locomotive and start move back to the mill. Therefore it may last for long time
before the train reach the mill. Actually, the train has to travel at limited speed (10-15 km/h) to
avoid the accedents may occure at the intersections of the railroad and infield roads. Also train
has to stop at the railroad switches where the locomotive driver or his helper has to swich it
himself. The railroad swiches may be abused by young farmers, so that the locomotive driver
himself should be sure about its position before cross.
The longer duration from the time of loading to the time of weighing the wagon load in the
mill is critical for the farmer. The moisture losses from the vegitative load may be of high
rate specially in such hot dry weather. Science the mony value of the load will be
determined according to its weight, farmers may prefer to go for faster transport system to
avoid vehicle load weight losses.
5.3 Problems related to farmers behaviour and road conditions
Some other railroad tracks may be constructed on the irrigation channel banks. In such
cases, water pipes passes under the railroad track to convey irrigation water from the
channel to the field. Intensive soil erosion may occurred under the rail track because of the
repeated activities while opening and closing the irrigation pipes as shown in Figure17.
Some other farmers may park their animals on the railroad whenever they are out of the
season which may be a reason of soil erosion under the railroad and/or the loosen of the
track and sleepers. In several cases, the narrow railroad trak expanded on the same infield
road on which farmers, animals and equipment move. Therefore, some parts of the track
may be covered with dirt Figure 18. Also, some equipment drivers do not maintain the
safety of the narrow railroad track while moving.

Fig. 17. Soil Erosion under the railroad.

The Role of Light Railway in Sugarcane Transport in Egypt

19

The narrow railroad has to be doublicated at several locations. The main track is for the loaded
train travel from the field to the mill. The auxilary track established at certain locations for the
travel of the empty train coming from the factory to the field. The additional track also
maintain the manuver of the locomotives while collecting the loaded wagons together and the
manuver of the pull locomotive to turn in front of the loaded train before pulling it back to the
mill. It has been observed that intensive herbs may grow on the auxiliary patrs of the railroad
Figure 19. Intinsive herbs may cause wagon wheels climb off the track.

Fig. 18. The narrow railroad constructed on the middle of an infield road with parts covered
with dirt

Fig. 19. Herbs intensively grow and harm the auxiliary railroad

20

Infrastructure Design, Signalling and Security in Railway

6. Light railways transport system maintenance

6.1 Equipment maintenance
Routine maintenance of Locomotives has been continuously done during the operation season.
After the operation season end (in June), seasonal inspection of the locomotives started at the
mill workshop. Important repair should be accomplished to make the total locomotive power
ready before the next operation season start at the end of December. Some locomotives
purchased during 1960s still working by the help of continuous maintenance and repair. The
rail wagons maintenance also take place at the end of the season. Replacing old were up or
broken bearings, gracing, replacing the twisted columns, and welding broken parts may be the
major activities done to rail wagons. Replacing wear out wheels, broken springs and repair
damaged bogies are also common activities of the rail wagons maintenance. Some old wagons
may become out of service, the staff may decide to consider them salvage and forward a report
to replace them. The new rail wagons for cane transport fabricated in the heavy equipment
assembly factory belongs to the sugar company in Cairo to replace the salvage wagons.
6.2 Rail track maintenance
Maintenance of the rail track start after the operation season end in June and should be
finished at December before the new season start. Technicians walk over the rail track
inspecting the type and location of the breakdowns (Figure 20). After localizing
breakdowns, technicians uncover the wear out parts of the track to perform maintenance
and repair activities. The operation of railway network maintenance may include clear dirt
or weeds that cover the track, tightening loose bolts and nuts and replace wear parts.
Replace wear up sleepers may be the most common activity during the maintenance season
Figure 21. The rails parallelism and rail gage should be also inspected and adjusted. The
final step of the narrow railroad maintenance is to test and adjust the rail level Figure 22. A
monthly report has to be forward to the narrow railway engineering administration
showing the completed job.

Fig. 20. Two technicians inspect the probable breakdowns of the rail track

The Role of Light Railway in Sugarcane Transport in Egypt

Fig. 21. Replacing the corroded steel sleepers of the rail track

Fig. 22. Balancing the level of the rail track

21

22

Infrastructure Design, Signalling and Security in Railway

7. Light railways future

As previously discussed, each narrow railway network constructed and started operation
simultaneously with the sugar factory initiation. The light railway networks belong to the
old sugar factories initiated during the 19th century and those initiated at the early period
of the 20th century used to supply 100% of the mill daily capacity. The narrow railway
network expansion has been very limited compared to the expansion of sugar cane
production area. According to Soltan and Mohammed (2008), the area of sugarcane has
been increased from less than 200,000 acres at 1980s to about 350,000 acres at 2008.
Therefore the light railway of sugarcane transport stay constant and the cane area
expanded more than 40 % outside the network. Since the role of the narrow railway
sugarcane transport system declined from about 90% to about 40%. Considering the 40%
decline because of cane area expansion outside the network, therefore declined of the light
railway system transport may only be about 10%. Actually the percent contribution of the
cane transported may be decreased but the total tonnage transported by the narrow
railway system may be increased because the average unit area production increased and
the mills now working at their full capacities.
The change of some farms to road vehicle may be because of the availability of their own
vehicles or the advantages offered by road transport. The most important advantage offered
by road transport is the short duration of transport cycle that save the excessive moisture
losses that reduces the total weight and money value of the wagon load. In contrast,
applications have been forward from several farmer groups to expand the light railway
sugarcane transport network to their plantations. The light railway network of sugarcane
transport may grow parallel to the cane production area whenever narrow rail tracks
expanded according to the applications forward to the sugar company from farmers.
The sugar company has been developing experiences of light railway track maintenance,
wagon fabrication and locomotive repair to maintain long life and efficient operation of the
system. Constant efforts have been exerted by the company to replace locomotives and rail
wagons which become out of service. The sugar mills may have hundreds of locomotives
most of them compatible to the 2 feet rail gauge and more than 10,000 railway wagon for
whole stalk loading. The company has been improving the level of locomotive maintenance
and the design of the railway wagons to facilitate better role of the system.
The light railway sugarcane transport system was always able to transport cane with lower
cost as indicated in Figure 23. Finally it may be concluded that the role of the light railway
sugarcane transport system did not actually declined but remain constant while the mill
capacity and the cane production increased. Since the alternative transport represented in
road transport operated diurnal and it is difficult to use the road vehicles as storage bin, a
minimum contribution of the narrow railway transport have to be conserved. The minimum
role of the light railway system transport may be equivalent to the percent of daily capacity
of the mill required for night shift. Reference to Figure 1 it could be observed that the role of
railway transport system is not expected to show more decline. The sugar company
organized special administration for narrow railway engineering that construct the rail
track, fabricate wagons and been responsible for the system maintenance.
Australia may be considered as one of the countries achieved the most important
development in the field of light railway transport of sugarcane. In his comment to the

The Role of Light Railway in Sugarcane Transport in Egypt

23

future of the sugarcane light railway of Australia, John Browning (2007) stated that Cane
railways will continue to surprise and to interest, and they will remain "special" to the men
who operate them, to the many visitors to the areas in which they run, and to those who
simply love railways. It has been recommended that, some of the modern techniques
developed in countries such as Australia to control the light railway sugarcane transport
cycle time should be considered.
Finally, the light railway for sugarcane transport represents the backbone of the raw
material feeding system for sugar industry in Egypt. The system has several advantages
compared to road transport such as lower transport cost, higher reliability, higher
stability and minimum accidents occurred. Application of the advanced techniques for
minimizing transport cycle duration expected to help for regaining the pioneer role of the
light railway transport system. Practical ideas to increase wagons capacity and to improve
mill yard management have been currently developed to speed up the system. Light
railway transport system will continue being the familiar lovely transport system for
sugarcane farmers.

Fig. 23. Cost of light railway transport compared to road transport

8. Acknowledgements
The author wishes to announce that part of the data was collected through a project
financed by the Egyptian Science and Technology Development Fund. The help of the
members of the Sugar and Integrated Industry Company is also acknowledged.

24

Infrastructure Design, Signalling and Security in Railway

9. References
Abdel-Mawla (2011) Expert system for selecting cane transport system. Egyptian Sugar
Journal. Vol. 4, June 2011: 161-178
Abdel-Mawla (2010) Efficiency of mechanical cane loading in Egypt. Sugar Tech. 2010, vol.
12, no2, pp. 108-114 [7 page(s) (article)]
Abdel-Mawla H A. (2000) Analysis of cane delay of traditional delivery systems: Paper
presented to the MSAE, Menofia Univ.:25-26 October 2000.
Abdel-Mawla H A. (2001) Alternative cane to mill delivery systems. MJAE 18 (3): 647-662.
Affifi, F. (1988) ) Sugar production in Egypt. Central Council for Sugar Crops. Ministry of
Agriculture and Land Reclamation.
Andrew H. and Ian D. (2005) A simulation model for capacity planning in sugarcane
transport. Computers and Electronics in Agriculture. Elsevier Science Publishers B.
V. Amsterdam, The Netherlands Volume 47 Issue 2, May, 2005
John Browning (2007) Queensland sugar cane railways today. Light Railway Research
Society of Australia. http://www.lrrsa.org.au/LRR_SGRb.htm
Malelane, M. (2000) Evaluation of Cane Transport Modes From Loading Zone to Mill to
Minimize Transport Costs. ISSCT Agricultural Engineering Workshop. South
Africa 23-28 July, 2000. http://issct.intnet.mu/past-workshops/agriabs3.html#i
Lynn Z. (2008): An Introduction to Modeling Queenslands Sugar Cane Railways . 1
www.zelmeroz.com/canesig
Sugar Crops Council (1990-2010) Annual reports: The percent cane transported by light rail
wagons compared road transport: 64-74.
Soltan F. H. and Mohammed I. N. (2008) Sugar industry in Egypt. Sugar Tech. 10 (3): 204-209

2
Topological Analysis of Tokyo
Metropolitan Railway System
Takeshi Ozeki

Faculty of Science and Technology, Sophia University

Japan
1. Introduction
1.1 Railway system reflects the real world
Leading concept of the topological analysis of railway network systems is based on the fact
that the topology of railway networks reflects the real world. It is believed because strong
mutual interactions between railway systems and real worlds continue through longer
periods of their growth: An eventual growth in a regional economy due to opening such a
new shopping plaza may require extension of a railway system, verves, a scheduled
extension of a railway may result in a growth in regional economy due to rapid increase in
town population, for instance. In this way, the growth of railway system and regional
activity affects their growth mutually. In context, the railway system topology reflects the
real world: In other words, they entangle each other.
This leading concept agrees with that of Brin and Page, co-founders of Google: they
reported, in their first paper on Google(Page and et al, 1990), that it was a great surprise
the PageRank is obtained purely mechanically from the topology of Web page links. Their
surprise is the discovery of the fact that the network is entangled with real world. The
Google approximates a Web surfer as a random walker in Markov process and combines
the dominant eigenvector of Markov process with a list of coincidence for a inquiry as the
PageRank (Langville-Mayer, 2006)
This leading concept grows up as a mathematical platform using multimodal non-linear
Markov process approximation so that it is applied to analyse Tokyo Metropolitan Railway
System.
It is no doubt that there have been established platforms to analyse the dynamics of railway
network systems based on growing supercomputer power. On contrary, our platform can be
said as providing abstractive viewpoint based only on network topology so that it is
expected to illustrate different new worlds for the railway system engineers.
1.2 Family network approximation: Rosary network
Network topologies have been discussed as scale free networks mainly in a field of complex
systems from the end of the previous century. The scale free network science is expected to
provide potential methods to analyse various network characteristics of complex systems.

26

Infrastructure Design, Signalling and Security in Railway

However, there is no network model suitable for analysing railway systems. Then, the
rosary network in series of family the network was proposed as suitable one for railway
system networks as shown in Fig.1.1 (Ozeki, 2006).

Fig. 1.1. Family network Series including Rosary Networks

Historical flows of complex systems are very interesting competitions between abstraction
and computation: Origin of complex systems was introduced by Prigogine based on
coupled nonlinear differential equations and sophisticated chemical experiments
(Prigogine, 1981). It was followed by distributed agent model supported by rapidly
growing computational power. However, for analysis of huge network systems the
distributed agent model was suffered by computational complexity explosion in 1990.
Then, abstractive approaches such as scale free networks become to share exploring
complex network systems. Topological analysis of railway network is backed by these
historical flows.

Topological Analysis of Tokyo Metropolitan Railway System

27

The Watts-Strogatzs small world evolves from regular lattice networks to the Erdos-Renyis
random networks(Erdos, 1960) by random rewiring links with a given probability (Watts,
1998). The Watts-Strogatzs small world having fixed number of nodes is discussed as a
static network. On the other hand, the scale-free network of Barabasi-Albert (BA model)
introduces the concept of growing networks with preferential attachment (Barabashi, 1999).
One of characterizations of networks is given by the connectivity distribution of P (k), which
is the probability that a node has k degrees (or, number of links). In the scale free networks
based on BA model, the connectivity distribution follows the power law, in which P (k) is
approximated to k , having the exponent =3. The real world complex networks are
analysed to find various scale free networks having various exponents, which are covered in
references (Newman, 2006). For an example, it is well known that social infrastructure
networks, such as power grids, as egalitarian networks, follow the power law with exponent
4 (Barabasi, 2002). There were many trials reported to generate models with larger
exponents for fitting these real-world networks (Newman, 2006): Dorogovtsev et al
(Dorogovtsev, 2000) modified the preferential attachment probability and derived the exact
asymptotic solution of the connectivity distribution showing the wide range of exponents
a 2 , where a is the attractiveness. However, there was no network generation model
suitable for analysing railway systems.

In context, the evolutional family networks generated by a group entry growth

mechanism with the preferential attachment was proposed in ICCS2006 (Ozeki, 2006):
growth mechanism employed is group entry having constituent family connected in fullmesh, line and loop. This is suitable to simulate the railway system: as shown in Fig.1.1, a
graph in the bottom looks like a railway system; We call it Rosary network approximation
that will be discussed in the case of Tokyo metropolitan railway system in section 2. Various
characteristics will be analysed based on the Multi-modal Markov transition approximation
in section 3.
1.3 Birds with a feather flock together

We point out that nonlinear effects are inevitable in the passenger flow analysis. Since the
Google is an infrastructure in daily life same as railway system, we refer the Google: the
Google is characterized by a single dominant mode: In linear Markov transition, the
asymptotic state is always the dominant mode. However, a Japanese adage: people wish to
get together to the place where people get together or Birds with a feather flock together
is important in real world to determine such PageRanking. The Google assumes such
tendency is reflected in the page link network. Here, we point out it is not always sufficient,
and demonstrate a Markov engine with the third-order nonlinear interaction reflecting such
tendency to retrieve a real world, correctly.
We demonstrated the new engine to retrieve the largest three stations in respect of number of
passengers in Tokyo Metropolitan Railway Network, in section 4.
1.4 TSUBO: Impulse response of network

We discuss key stations of railway network dynamics by analogy with Tsubo in

Shiatsu.

28

Infrastructure Design, Signalling and Security in Railway

In Japan, Shiatsu is a popular therapy by pressing shiatsu point to enhance the bodys
natural healing ability and prevent the progression of disease. Shiatsu points are called
Tsubo, in Japanese. Their locations and effects are based on understanding of modern
anatomy and physiology. The concept of Tsubo has been used as a strategy in reactivation of an old city, such as Padova, Italy (Horiike, 2000). He calls it the Point
Stimulus. The Point Stimulus Response corresponds to the impulse response of the
network system, that is, the temporal state variation in the Markov transition to the deltafunction with negative sign of initial state. We can evaluate the node activity by its response
to the point stimulus.
We will discuss Tsubo of Tokyo metropolitan railway system in session 5.

2. Scale free characteristics of railway network

We show here a large railway system, such as Tokyo metropolitan railway system, that
indicates characteristics of scale free networks: station corresponds to node, and track
to link. This section is based on our paper presented in ICCS 2006. (Ozeki 2006)
2.1 Growth mechanism of Rosary

A growth step of a railway network is modelled as illustrated in Fig.2.1 (a): a rosary that
consists of M stations connected in a shape like a rosary is added to an old railway network.
There are two cases of its constituent: one is like a rosary having two jointing links as shown
in Fig.2.1 (a) left, the other is like a snake having one jointing link as shown in Fig.2-1right.
Fig.2.1 (b) is a rosary network generated this growth mechanism: assuming the fraction of
snakes in constituent groups to be 10% and growth step 11 for convenience to grapes its
perspective.
This
topology
is
drawn
by
a
free-software:
Cytoscape
(http://www.cytoscape.org/download.html). The initial constituent is a group #0~#8 and
the total number of stations is 65. The degree distribution is illustrated in Fig.2.1(c) (the
degree denotes the number of links of a node). The degree distribution follows the power
law with exponent of 4 as shown in Fig.2.1 (c).
2.2 Multimodal analysis of Rosary network

Before analysing Tokyo Metropolitan Railway System, it seems better to analyse this small
rosary network. We assume a passenger in the rosary railway network as a random
walker, that is equivalent to multimodal Markov transition approximation (refer Appendix
1). The dominant mode of the multimodal Markov transition corresponds to the stationary
state of passenger distribution that is illustrated in Fig.2.2 (c). The eigenvector of dominant
mode has a peak at station #2, and mountains in the dominant eigenvector are illustrated in
Fig.4.3 (a): the original station group #0~#8 corresponds to the first mountain in the figure,
and the followings are illustrated in blue rosaries. The eigenvalue of the rosary network is
shown in Fig.2.2 (a): The #64 eigenvalue of 2.773 corresponds to the dominant mode. The 2nd
mode has negative largest eigenvalue. The mode competition among these modes in
nonlinear multimodal Markov transition is discussed in section 4.
This rosary network has no real world so that it is difficult to show the substructure
analysis. Next we discuss a actual rosary network.

29

Topological Analysis of Tokyo Metropolitan Railway System

(a) Constituents of Rosary network

(b) A small rosary network generated.

tsubomap

(c) Power law

Fig. 2.1. Rosary network model suitable for analyzing railway systems.

30

Infrastructure Design, Signalling and Security in Railway

Fig. 2.2. Mode Structure of Rosary Network

3. Analysis of Tokyo metropolitan railway system

Tokyo metropolitan railway system is illustrated in Fig.3.1: (a) denotes the Map of
contemporary Tokyo metropolitan railway system (Rail Map of Tokyo Area, 2004) and
(b) denotes the map of Edo in 18th century. The central part of Tokyo metropolitan
railway is truncated to have the number of total stations of 736. The total number of links
is 1762. The number of links is counted topologically: for instance, we count the number
of links between Tokyo and Kanda as 1, even though there are three double railways
between them. Fig.3.2 (a) depicts degree distribution of a central part of Tokyo
Metropolitan Railway System. The excellent fit in degree distribution suggests that the
growth mechanism of Tokyo railway system is coincident with the growth mechanism of
rosary network. The exponent measured to be 4, which is coincident with those of the
small rosary network shown in Fig.2.1 (c) and the power grids of North America
(Barabasi, 1999). It is surprising to find that the number of nodes in constituent rosary
networks is M=3, which is reasonable in the central part of Tokyo with respect to its
complexity. A real world railway network is well approximated by our rosary network
model.
3.1 Substructures of Tokyo

The main issue is the extraction of an authentic centre (Tokyo, Shinbashi, Shinagawa) and a
new metropolitan centre (Shinjuku, Ikebukuro, Shibuya). The later corresponds to the centre
and the outskirts of Edo as shown Fig.3.1 (b).

Topological Analysis of Tokyo Metropolitan Railway System

(a) Map of Tokyo Metropolitan Railway System

31

(b) Map of Edo in Tokugawa Era of 18th

Century

(http://onjweb.com/netbakumaz/edomap/edomap.html)

Fig. 3.1. Tokyo Metropolitan Railway Network System

A distorted hexagonal in Fig.3.1 (a) is Yamanote Circular Line which includes several
well-known stations such as Tokyo, Shinbashi, Shinagawa, Shibuya, Shinjuku and
Ikebukuro etc.
Fig.3.2 summarizes the mode structures of the network. In a list of eigenvalues illustrated in
the right, we focus on the following two modes; the dominant mode #733 with eigenvalue
+4.738 has larger probability at Shinagawa (station number #8), Shinbashi (#11) and Tokyo
(#13) as shown in middle left panel of Fig.3.2. The constituent stations of the dominant
mode are illustrated in Fig.3.1 (a) on the Yamanote circular Line.
The second mode #735, having negative largest eigenvalue of -4.271, has larger probability
at Shinjuku (#0), Shibuya (#3) and Ikebukuro (#25) as illustrated in middle right panel of
Fig.3.2. The constituent stations of mode #735 are also illustrated by italic character on the
Yamanote circular line, in Fig.3.1 (a).
3.2 Orthogonal features of substructures

It is interesting that the dominant mode #733 extracts the central structure of business and
government of Metropolitan Tokyo. This area also corresponds to the main structure in Edo
metropolitan area. (Tokyo was called Edo in 18th century.)

32

Infrastructure Design, Signalling and Security in Railway

Left: Degree distribution, Middle left: dominant mode; Shinagawa (8), Shinbashi (11), Tokyo (13);
Middle right: second mode: Shinjuku (0), Shibuya (3),Ikebukuro(25) Right: List of eigenvalues

Fig. 3.2. Multimodal Analysis of Tokyo Metropolitan Railway System

The bridge of Nihonbashi is the original point of national roads including the Tokaido
(presently root 1) in Edo era as shown in Fig.3.1 (b). The main business was blooming along
the Tokaido, and the political organization was concentrated between the Edo castle and the
root 1. It can be said that the central structure of contemporary Tokyo succeeds the main
structure of the Edo metropolitan of which population was exceed one million in 18th
century.
On the other hand, the second mode #735 is successor of the Edo outskirt villages located in
the lower part of Fig.3.1 (b). The eigenmode effectively extracts orthogonal substructures in
variety of viewpoints: The dominant mode retrieves the dominant political and business
area of present Tokyo metropolitan. The second mode retrieves its most growing area that
was the outskirt of Edo.
It is suggestive that the probability amplitude of the second mode, illustrated in the
middle right panel of Fig.3.2, is positive at Shinjuku (station number #0) and negative at
Shibuya (#3) and Ikebukuro (#25). Historically, Shinjuku, as the fourth hosting station of
Edo, leads the others in this outskirt area. It is interesting because this mode profile has
strong relations with mode competition in nonlinear Markov transition, as will be
discussed in section4.
The further interpretation of probability amplitude remains in being unexplored. The data
mining technology may be useful to reveal it.
3.3 An interesting eigenmode extracts the Kohoku new town project

The study of the Kohoku Newtown project is an old graduation thesis of our laboratory,
when a different definition of transition matrix was used in Markov transition (Ozeki, 2009).
Fig.3.3 (a) denotes the eigenvector of the 200th eigenmode of Tokyo Metropolitan Railway
system. It consists of three station groups, named Azamino / Nagtsuda group (Denentoshi
line), Shin-yokohama group (Yokohama line) and Kikuna / Ohkurayama group (Toyokyu line).
Those are excited coherently and simultaneously in the same phase, as shown in Fig.3.3 (a)
A speculation suggests that a zone, encircled by three lines, might be successfully developed
as a triangle business park. It is our great surprise to find that the Kouhoku Newtown
project was promoted from 1965 to 1996, exactly in this zone. Fig.3.3 (b) denotes the

Topological Analysis of Tokyo Metropolitan Railway System

33

railway network map of the project, which shows Az for Azamino and Sy for Shinyokohama.
Nagatusuda marked by Na was not recognized as key stations of the Newtown, but presently
Yokohama city plans includes it as the Yokohama Silicon valley: It is well known that
Nagatsuda includes the campus of Tokyo Institute of Technology. This network analysing
engine points out the importance of Nagatsuda to provide TIT as Stanford University of
Silicon valley.
Unfortunately, the network graph, used hitherto, does not include the Blueline subway that
is one of the main constructions in the Kouhoku Newtown project. In next, we will discuss
the evaluation of Blueline project.

(a) The eigenvector #200 coherently excited (b) Kohoku Newtown Project:Kohoku Newtown encircled
by the #200 eigenmode:Sy=Shin-Yokohama, Ok=Ohkura yam, Az=Azamino
(http://www.yk.rim.or.jp/~harujun/ntown/ntftr.html.)

Fig. 3.3. Eigenvector of Kohoku Newtown.

3.4 Evaluation of a new subway project

Here we would like to introduce an interesting application of our network analysis

platform: it is a blind evaluation method of network modification project. As introduced in
the previous subsection, we try to evaluate the project of Blueline. The method is the
variation of node entropy before and after Blueline inauguration, as illustrated in Fig.3.4 (a).
The station group with increasing in their node entropy includes Totsuka (#94),
Sakuragicho(#84) and Kannai (#85). On the contrary, the station group with decreasing node
entropy includes Hodogaya(#104) and Kita-Kamakura(#106).
We can show a supporting data for this evaluation in Fig.3.4 (b). The number of annual
passengers of Hodogaya station shows abrupt drop in 1999 when the Blueline service was
started. This blind-evaluation method presently only provides the variation of passenger
flow of modified network, but it seems a powerful tool for network system design in
future.

34

Infrastructure Design, Signalling and Security in Railway

4. Nonlinear phenomena in passenger flow in Tokyo metropolitan railway

system
Here we would like to point out that nonlinear phenomena are important in passenger flow
analysis. First of all, it should be noted that there are two types of nonlinear phenomena in
the third order nonlinear interaction (Agrawal, 1989): one is SFM (Self Phase Modulation)
that is equivalent to Like Button in Facebook, that is, transition probability to a node
having the same opinion increases. (Please refer Appendix to find details including
notations.)
This nonlinear Markov transition process is expressed mathematically by the following;
(qi )n 1 Ai , j (q j )n (1 (qi )n (q j )n )

(1)

In this expression, the nonlinear term (qi )n ( q j )n might be recognized as like button: in
case of the state (qi )n of node #i having the same sign with (qi )n , the transition probability

from node j to i increases when the nonlinear coefficient is positive. In other words, like
button is a tool to express our personal opinion that controls routing of information in
Facebook. It might be reasonable that nonlinear phenomenon in rush hours is recognized as
SPM because most of passengers in rush hours have more sharp intention to reach their
destinations.
The other is called XPM (Cross Phase Modulation) that is equivalent to curious
bystanders, that is, the transition probability to a node having many curious bystanders
increases. It is shown mathematically as following:

Fig. 3.4. Eigenvector Variation due to the Blueline.:(a) Node Entropy Change due to
Blueline. (d) Evolution of Hodogaya Traffic Customers. Operation of Blueline was 1999.

35

Topological Analysis of Tokyo Metropolitan Railway System

(qi )n 1 Ai , j (q j )n (1 Ai , k Ai , m ( q k )n ( qm )n )
In this expression, the nonlinear term

(2)

k ,m

Ai , k Ai ,m (qk )n (qm )n

might be recognized as effect of

k ,m

curious bystander because the transition probability from node j to i increases when
(q k )n (qm )n is positive. In other words, XPM expresses Birds with a feather flock together.
To make our intention of introduction of SPM and XPM clear, we show their import
differences in network dynamics:
Final target is discussion of mode competition between the authentic centre and the new
growing metropolitan centre. And the third-order non-linear interaction is inevitable to
show that the largest three stations are those in the new growing metropolitan region in
Metropolitan Tokyo.
4.1 Emergence of instability

It seems better to introduce Emergence in the small rosary network discussed in session 2,
before we discuss more complicated Metropolitan Tokyo railway system. Fig.4.1 illustrates the
temporal variation of mode probability (the squared mode amplitude) of the nonlinear Markov
transition based on Eq.4.1 applied to the small rosary network shown in Fig.2.2. The initial
condition is a random distribution of node probability amplitude. SPM with medium 0.1
leads to the dominant mode as the stationary state of the rosary network. It should be noted that
the right panel illustrates the temporal variation of the mode amplitudes: The 2nd and 3rd order
modes have negative eigenvalues so that the mode amplitudes change their sign at each
Markov transition. The dominant mode having positive eigenvalue does not oscillate.

Left diagram indicates mode probability (squared mode amplitudes) and the right diagram denotes the
temporal variation of mode amplitudes.

Fig. 4.1. Temporal variation of modes in SPM nonlinear Markov transition from random
mode amplitude distribution as initial condition.

36

Infrastructure Design, Signalling and Security in Railway

The light panel denotes the temporal variation of mode amplitudes. The middle panel denotes the
temporal variation of mode probabilities. The right panel denotes two phase of probability
amplitude.(the red race inverted in sign for clearness.)

Fig. 4.2. XPM Markov transition of the Rosary network:

On the other hand, Fig.4.2 illustrates the temporal variation of mode amplitudes in the case of
XPM nonlinear Markov transition based on Eq.4.2. In this case the rosary network shows
emergence of a kind of instability: The temporal variation of mode amplitude oscillates as
shown in left panel of Fig.4.2. At stationary state, two phases are shown in the right panel of
Fig.4.2. Atin-phasedenoted by red, the passengers gather on node #2 and #4 . In out-ofphasedenoted by blue, the passengers shift to node #1,#3,#9,#22 and #39 coloured by
yellow in the map of Fig.4.3 left. Those nodes can be reached from node #2 or #4 within one
step. The oscillation is recognized to be sustainable transition between two groups of nodes.
This kind of oscillation has not been reported in real world, yet. One of convenient
interpretation is that average of two states is assumed to be observable; that is, we assume
the average state corresponds to observable phenomenon in the real world. Fig.4.4 (b)
illustrates the average state corresponds to the instability in the XPM Markov transition.
Markov transition approximation of a large-scale network has a limitation due to delay time
to obtain information of nodes connected to a node, at each transition, so that it might be
reasonable to take average of oscillating states, just mentioned above.

Fig. 4.3. (a) Sustainable oscillation between two groups of nodes (b) Average probability
distribution

Topological Analysis of Tokyo Metropolitan Railway System

37

However, it should be noted that there are many intuitive samples of oscillations in the real
world. This oscillation has strong relation with the network controllability and stability .
These issues are discussed in Appendix C.
Since available data of the passenger flow analysis in Tokyo railway system are dairy data
average over a year, it is reasonable to use the average of probability distribution of Markov
transition approximation.
4.2 The largest three stations of Tokyo metropolitan railway

One of the targets is to extract outstanding patterns from huge network system: In linear
systems, the dominant mode corresponds to such an outstanding pattern. This
understanding coincides with that of the basic Google in which one assumes that passengers
in Tokyo railway system can be approximated as random walkers in the linear Markov
process. Its stationary state is the dominant mode.
The real world data, however, tell us that the largest three stations, in respect of passenger
number, are Shinjuku, Ikebukuro and Shibuya: Shinjuku had 3.2 millions per a day as its
number of passengers, Ikebukuro 2.6 millions, and Shibuya 2.3 millions, in 2006. This pattern
does not coincide with the dominant mode.
We should overcome this discrepancy
First we introduce SPM Markov transition of Eq.4.1 to analyse the passenger distribution
pattern. The initial condition of probability amplitude is a uniformly random distribution
normalized by Euclidean norm. Fig.4.5 (a) depicts temporal variation of mode probability to
reach dominant mode. The passenger distribution obtained is shown in Fig.4-5 (b), that
corresponds to the authentic (political and business) centre of Tokyo: Shinbashi, Shinagawa
and Tokyo are the dominant stations.

a) Temporal variation of mode amplitude

(b) The stationary state corresponds to the

dominant mode.

Fig. 4.5. SPM Markov Transition of Tokyo Metropolitan Railway System.

38

Infrastructure Design, Signalling and Security in Railway

Secondary, we introduce XPM Markov transition of Eq.4.2 to analyse the passenger

distribution pattern. Fig.4.6 (a) depicts temporal variation of mode probability obtained for
XPM. Mode #735 (N-1) having negative eigenvalue of 4.271 oscillates continuously and
Mode #732 (N-4) having positive eigenvalue of +4.423 reaches to stationary state of 0.612.
This instability corresponds to sustainable commuting of random walkers between the two
phases as shown in the middle panel of Fig.4.6.

Left: Temporal variation of mode amplitude, Middle: Two phase of oscillation. Right: Average
Probability Distribution.

Fig. 4.6. XPM Markov transition of Tokyo Metropolitan Railway System

According to the discussion on the rosary network in subsection 4.1, the average observable
state corresponds to three largest stations of Tokyo Metropolitan Railway system, as shown
in the right panel of Fig.4.6. This pattern of passenger distribution might be recognized as a
central zone of entertainments or young peoples activity, comparing to the authentic centre
of Tokyo discussed in SPM Markov transition.
These analyses suggest the importance of nonlinear interaction in passenger distribution of
railway network systems. This non-linearity of passenger flow reflects a human nature such
as Birds with a feather flog together.
4.3 Network dynamics and Markov process

The most basic assumption of the nonlinear Markov transition is the synchronous transition
among all of the nodes in the network. The probability amplitude of higher-order mode
varies in sign at nodes so that the superposition in transition causes complicated
interferences among various routes of transition.
These multiple path interference may cause oscillation and dominates dynamics of network
system. The multiple path interference may have relation with chromatic number in local
structure.
The possibility of sustainable oscillations, including relation of chromatic number, was
reported in the ICCS (International Conference of Complex System) in Boston, July 2011.
However, no experimental evidence is reported yet. (Ozeki, 2011)

Topological Analysis of Tokyo Metropolitan Railway System

39

5. Tsubo of network system

Tsubo therapy inspired us to study Impulse response in network dynamics: The
impulse response in electrical circuit theory provides frequency response function,
through the Fourier Transform, that makes it possible to analyse various dynamics of the
circuit system. We named an impulse applied at a node as point stimulus, after
professor H. Horiike, architect: winner of Grand Prix of the Dedalo-Minosse International
Award02, Italy. (Horiike, 2000); The point stimulus is expressed as the initial condition
(i , p ) of the Markov transition, where (..) is the kronecker delta, and p denotes the node
where the impulse is applied. So far, this study is at dawn and a lot of unexplored remains.
This section is based on our paper presented at KDIR2010 (International conference on
Knowledge Discovery and Information Retrieval 2010).
5.1 Point stimulus response of Tokyo metropolitan railway system

Here we would like to show examples of point stimulus responses in Tokyo

Metropolitan Railway System as illustrared in Fig.5.1: the upper row denotes those of
Shinjuku, Harajuku and Shibuya. These point stimulus responses are dumping
oscillations having fairly large amplitude of #735 mode. As discussed in subsection 4.2,
since Shinjuku and Shibuya are the two of largest stations in Tokyo Metropolitan Railway
System, and their degrees are sufficiently large, it is reasonable that they have larger
point stimulus responses. On the contrary, Harajuku shows fairly large point stimulus
response, but is a small station from viewpoint of its degree. The degree of Harajuku is
only two compared to 11 of Shinjuku. In real world, Harajuku is a small station, but a
famous down of youths and fashions. It can be said that the larger point stimulus
response of Harajiku suggests that the point stimulus response is a reasonable tool to
evaluate station activity.
The lower row denotes point stimulus responses of Shinagawa,Yurakucho and Tokyo.
As discussed in subsection 4.2, those stations belong to the group of authentic centre of
Metropolitan Tokyo. The dumping oscillations occur in eigenmode #734 that is the mode
having negative second largest eigenvalue of -3.947. Shinagawa and Tokyo are fairly
large station but the point stimulus responses are not so large that may reflect declining of
those areas in 2006. Recently it can be said there are many successful projects to refresh these
areas, such as Shinagawa intercity project. On the contrary, Yurakucho shows a relatively
larger point stimulus response compared to small degree of 4. It can be said that the point
stimulus response well reflects the town activity of Yurakucho.
Fig.5.2 denotes the cases that point stimulus responses reflect the miscellaneous station
activities. The cases of Akihabara with degree of 7, Megro with degree of 4 and Otsuka
with degree of 2 are illustrated.: The point stimulus response well reflects the declining
activity of Akihabara in spite of various projects for actiovation. Meguro and Otsuka
seem to have larger point stimulus responses than their actual activities. It requires further
studies whether these discrepancies suggest the chance of investments for town activation
or not. We demonstrate the point stimulus response as one of interesting tool of checking
the activity of node. It is expected that the point stimulus response is a clue to find the real
affects of networking on a node.

40

Infrastructure Design, Signalling and Security in Railway

Fig. 5.1. Reasonable correlations of point stimulus responses with station activities.

Topological Analysis of Tokyo Metropolitan Railway System

41

Fig. 5.2. Miscellaneous point stimulus response

6. Conclusion
We demonstrate a new network analysis based only on network topology of Tokyo
Metropolitan Railway System. It is in highly abstractive and seems like a metaphor without
any rigorous physical approval. However, many of analysis seem to illustrate the truth of
railway system from abstractive viewpoint.
Rene Descartes wished all of the world could be described mathematically, then, as his first
step, the analytical geometry was innovated. Prigogine, the originator complex systems,
declared a new alliance between natural sciences and human sciences to solve global
issues of human beings.
Here, we report a tiny effort of topological analysis of railway systems in this context. It is
our wish to explore the horizon of our new mathematical platform as a tool for supporting
intuitive power of railway system designers.
The multimodal analysis based non-linear Markov transition approximation is still in its
dawn. There are the vast amounts of works unexplored for the future.

7. Appendix1 Mathematical platform

This section is based on our paper presented in ICCS (International Conference on Complex
Systems) 2011.
7.1 A new rule introduced in mathematical platform

After the complex systems was originated by Ilya Prigogine from various foundations
including irreversibility and self-organization in nonlinear dynamics (Prigogine, 1996),
Barabasi introduced scale free networks for describing interaction between structures or
constituents of complex network systems (Barabasi2002). On the other hand, Brin and Page
simulated a web surfer by Markov transition through network linking web pages (Brin,
1998). Then they found with their surprise, in spite of personal inherence of the Page Rank,
that the web-network graph can rank the page importance mechanically by its dominant
eigenvector (Brin, 1998, Langville 2006). We were inspired from theses historical flows to
construct a multi-modal platform of Markov transition with nonlinear interaction for
analysing complex networks.

42

Infrastructure Design, Signalling and Security in Railway

A new rule of Euclidian norm, introduced in normalization in Markov transition

approximation, provides us a new multi-modal description of complex systems: The
Markov transition approximation of Page-Ranking in Google uses only the dominant mode,
because their elements of the eigenvector are positive semi-definitive, and so, can be
recognized as the probability finding a web surfer on a web page.
However, the elements of the eigenvectors of higher order modes are not positive semidefinitive, so that a new rule is necessary for defining the probability to find the web
surfer on the page in higher order mode. It is well known that, in the power method for
analysing eigenmode of such an adjacency matrix, the state vector at each transition is
normalized by its Euclidian norm to prevent divergence. Since the sum of squared
elements of the state vector is normalized to unity, the squared elements of the state
vector can be recognized as the probability finding the web surfer on each node, just
analogous to the quantum physics. In this way, we can describe the multi-modal
behaviours of complex network systems employing the nonlinear Markov transition
approximation (Ozeki, 2009).
7.2 Topology dependent characteristics of various networks

For analysing topology dependent characteristics, it is necessary to generate scale free

networks having different topological characteristics, as references. Here we employ the
Granvetters family network series [Ozeki2006:]. Using family network series, various
topology dependent characteristics of scale free networks can be reviewed, in terms of
chromatic number, degree correlation, clustering coefficient, and network entropy.
Among these reviews, we report a sustainable oscillation caused by the unique
eigenmode structure of BA-network. This topology dependent instability, which arises
from mode competition in a special mode structure, named skew degenerate modes, is
observed in the most popular BA networks (Barabasi, 2002). The skew mode is discussed
more in A.3.
7.3 A mathematical platform of network multimodal analysis

Now we summarize a mathematical platform for network analysis in multi-modal scheme.

The platform is based on the Markov transition to approximate the variation of network
state: A symmetric adjacency matrix, providing an orthogonal eigenvector set, is suitable for
multi-modal analysis of a network system. However, divergence in the Markov transition
using the adjacency matrix as the transition matrix is a serious problem. Here, we apply a
mathematical procedure, being used in the power method (Langville, 2006), for
preventing the divergence: In Markov process approximation, the variation of network state
given by

q n 1 A q n

(A1)

is described explicitly in the power method by

q n 1 A q n /|| A q n ||

(A2),

Topological Analysis of Tokyo Metropolitan Railway System

43

where q n is the state vector at the nth transition step. The state vector is nomalized with
respect to the Euclidean norm|| A q n || after each transition step. This mathmatical idea
used in the power method assures the stablity and also assures the linear properties of the
Markov transition.
Furthermore, this idea lead us to read the state vector (qi )n as a probability amplitude. The
probability is defined by ( pi )n |( qi )n |2 for finding a random walker at the node i , because
the sum of probability ( pi )n over all nodes is normalized to unity as shown in Eq.A2.
The eigen-equation is A i( m ) m i( m ) where m is the eigenvalue of mode m , and

i( m ) is its eigenvector. The eigenvectors can be coincident with the asymptotic solution of
Eq.A2 in the power method.
7.4 Markov transition with weak non-linearity

It is essential for the network analysis platform to be capable to analyse nonlinear

phenomena. We introduce a non-linear Markov transition as follows: the nonlinear
interaction in Markov transition means that transition from node j to node i is affected by
the probability amplitude (q k )n at node k linked to the node i , that is
(qi )n 1 Ai , j (q j )n A j ,i Ak , i (q j )n (q k )n
j

j ,k

(A3)

where is a measure of nonlinear interaction. Eq.A.3 includes implicitly the normalization

process as shown in EqA.2. This expression agrees with the definition of the Markov
process, that is, the transition is determined only by the states at the present step n. The 3rd
order nonlinear Markov transition is introduced in section 4.

8. Appendix 2 Variety of topological parameters in family networks

The family network series, visualized in Table A1, provides variety of topological
parameters of networks, such as degree correlations, clustering coefficients, and network
entropies. These parameters are plotted in Fig.A.1 to understand details. The red line in
the figure denotes a typical variation of the degree Pearson correlations depending on
the constituent family size M of family network series. A typical variation means that
the degree correlations shown in Fig.A.1 is the mean value of those calculated for 10
samples of networks, having about 100 total nodes, for each. The BA network is known
as a disassortative network, that is, nodes with low degrees are more likely to be
connected to the nodes with high degrees, and vice versa. The family networks with
larger size M of constituent family become to be assortative, that is, nodes with a given
degree are more likely to have links with nodes of similar degree. These
Pearson coefficients of degree correlation (Soramaki, 2007) are illustrated in Fig.A.1 as a
red line.

44

Infrastructure Design, Signalling and Security in Railway

p
BA Network (M=1)

gy

Pair Network (M=2)

Trio Network(M=3)

Quartet Net (M=4)

Family Network
Topology
(ref. ICCS2006,id405)

Temporal Response
(Non-linear Markov)

Chromatic Number

Entropy

1.0

Degree Correlation
Clustering Coefficient
Asymptotic Exponent

2 or 3

-0.30
0
3

More than 3

1.9

2.0

-0.10
0
4

0.11
0.24
5

Morethan4
2.0
0.15
0.37
6

Table A.1. Topology Dependent Network Dynamics

A clustering coefficient of a node is defined by the ratio of the actual number of links among
neighbours of the node over the number of potential links among them. The clustering
coefficient of the network is the mean clustering coefficient over all of nodes. The blue line
in Fig.A.1 denotes the clustering coefficients of family networks. The family network with
larger M has higher clustering coefficient.
Three kinds of entropy can be defined in multimodal description:
The first one is the node entropy NEi that is defined by the sum of Shannon entropies over
all of modes, that is,
NEi pi( m ) ln pi( m ) .

(A4)

The second is the mode entropy MEm that is defined by the sum of Shannon entropies over
all of nodes, that is,
MEm pi( m ) ln pi( m ) .

(A5)

The third is the network entropy that is defined by the sum of node (or mode) entropies
over all of nodes (or modes), that is,

NetE NEi MEm .

i

(A6)

The network entropy is plotted by black line with diamonds in Fig.A.1, corresponding the
family network shown in Table A1.

Topological Analysis of Tokyo Metropolitan Railway System

45

The variety of topological parameters of the family network provides a possibility of better
approximation for a given network topology: We can approximate a network topology
generated by the family network growth mechanism, with selecting the size M of
constituent family randomly at the entry to meet its statistics, such as size of household
(Ozeki, 2009).

Red line denotes the degree correlation using Pearsons formula and Blue dotted line denotes the
clustering coefficient. Black line with diamonds denotes the network entropy with the right-hand scale.

Fig. A.1.1. Topological parameter variation of family network series

9. Appendix 3 Skew degeneracy

In Table A1, family network series are illustrated with the smallest number of colours: the
chromatic number of a graph, in the third row in Table A1, is the smallest number of colours
such
that
no
two
adjacent
nodes
share
the
same
colour
(http://mathworld.wolfram.com/chromaticNumber.html). This chromatic number is
strongly related to the symmetry of the graph.
The BA network has the same chromatic number as the coupled harmonic oscillators, which
consist of a long chain of masses and springs. Dyson analysed the coupled oscillators in 1953
to find mode pairs having the same eigenvalue in absolute value but different in sign
(Dyson, 1953).
Degeneracy generally refers to objects having the same eigenvalue but different in eigenvectors,
whereas the skew degeneracy, we named, refers to objects having different eigenvalues with
respect to the sign of the eigenvalue but having the same probability distribution, that is the
square of the eigenvectors normalized with respect to the Euclidean norm.
For an example, Fig.A.3.1 (1) shows the eigenvalue of the adjacency matrix of the BA
network M=1 illustrated in Table A1, that includes two pairs of skew degeneracy modes.
Fig.A.3.1 (2) illustrates the eigenvectors corresponding to a skew degenerate mode pair: Blue
line denotes the dominant mode #8 having eigenvalue of +2.853, and Red line with circles
denotes the mode amplitude of mode #9 having eigenvalue of 2.853. Fig.A.3.1. (3) denotes
their probability distributions of mode #8 and #9 that coincides with each other.

46

Infrastructure Design, Signalling and Security in Railway

(1)

(2)

(3)

(1)Eigenvalue (2) Mode amplitudes: Blue line denotes the dominant mode (#8) having eigenvalue of
2.853 Red line with circles denotes the mode amplitude of mode #9 having eigenvalue of 2.853
(3)Probability Distribution :Both of skew modes coincide.

Fig. A.3.1. Skew Degenerate Mode Pair of BA network (M=1)

The family network with M=2 has a possibility having mode pairs of skew degeneracy.
However, the other family networks with larger M than 3 do not show the skew degeneracy.
9.1 Temporal response of skew degenerate modes in nonlinear Markov transition

The nonlinear Markov transition of Eq.A.3 can be converted to the description of the
nonlinear interaction of mode amplitudes for getting clearer image, as the following:
( am )n 1 m ( am )n

m m im im im ( am )n ( am )n

(A7),

i , m , m

where the modes are defined by the linear adjacency matrix. It should be noted that the
equivalency of Eq.A.3 and Eq.A.4 is limited only for the case of very weak non-linearity
considered.
The transient response of the network having the skew degeneracy shows the sustainable
oscillation in the nonlinear Markov transition as shown in the second row of Table A.1. The
initial conditions are the modes with the negative largest eigenvalue. The skew mode pair
survives in mode competition so that the random walker continues to commutate between
two states that are the superposed states of the skew degenerate modes with in-phase and
out-of-phase, respectively. The two states correspond to the group of the black and the red
nodes in the BA network, so that the random walker commutes between the node groups
of red and black.
Fig.A.3.2 illustrates these situations clearly; the probability amplitude distribution is given
by (qi )n ( am )n i( m ) , that corresponds to the superposition of two competing modes #8
m

and #9 illustrated in Fig.A.3.2 (2): The mode amplitude ( a9 )n in red of Fig.A.3.2 (1) continues
to oscillate between 1 / 2 and 1 / 2 whereas ( a8 )n in blue grows up to 1 / 2 so that
the superposition of two competing modes corresponds to red line of in-phase and blue line
of out-of-phase as shown in Fig.A.3.2 (2).

Topological Analysis of Tokyo Metropolitan Railway System

47

The node patterns illustrated by red and blue lines coincide with the chromatic groups
shown in the first row of Table A.1.
On the other hand, the family networks with M 3 show quicker transition to the stationary
state corresponding to the dominant mode, as shown in the second row of Table A.1.
It is shown the following; the topology dependent instability dominates the temporal
response in controlling the network system so that the network topology determines the
dependability of the system, in a sense.

10. Appendix 4 Family network series as reference

10.1 Network growth mechanism of family network

The session 2 of reference(Ozeki, 2006) should be read as follows: The asymptotic

connectivity distributions of the full-mesh family networks are derived by the method
reported by Dorogovtsev et al. At initial time t=1, the number of constituent family is one so
that the number of nodes is M. We assume the node attractiveness is given by A+M-1 where
the number of links is M-1, so that the total attractiveness is M(A+M-1). At time t=t, the total
attractiveness of the network is M(A+M-1)t+M(t-1), where the last term M(t-1) is the
contribution of the weak ties. By replacing these in equations p( k , s , t 1) , then the
connectivity distribution p(k) is given by
p( k )

1 (2 M 2 A 1)
( k A)
( M A)
( k M 2 A 1)
2

(A10)

We obtain the asymptotic exponent M 1 A .

10.2 Network stabilization by topological improvement

The network dynamics such as stability of the network system depends on the topology of
the network system. Family network series gives us typical dynamics variations, as shown
in TableA.1, as a reference. These understanding seem helpful to design network such as
railway system.
So far there is no experimental evidence showing these transient behaviours of networks
yet, but we can imagine several examples intuitively as follow:
a BA network with 100 nodes is illustrated in Fig.A.4.1 (1). The node # 0, and #1 and #2 are
larger hubs. We might assume it as an ancestry of a family struggle, or an organization map
just after consolidation of three small consanguineous companies. This topology consists of
26 pairs of skew degenerate modes and shows sustainable oscillation from an initial
condition of random probability amplitude distribution as shown in Fig.A.4.1 (2). This
might correspond to longer periods of struggles or troubles in this network system.
An intuitive method to prevent these troubles is to span a new link between two hubs, node
#1 and #2 as shown in Fig.A.4.1 (3). This method is confirmed to be effective to convert the
sustainable oscillation to quicker transition to stable state, by the non-linear Markov
transition simulation, as shown in Fig.A.4.1 (4).

48

Infrastructure Design, Signalling and Security in Railway

(1)

(2)

(1) mode amplitude ( a9 )n in red and ( a 8 ) n in blue, (2) the state amplitude of superposition.

Fig. A.3.3. In-Phase and Out-of-Phase Superposition of Skew Degenerate Mode Pair

49

Topological Analysis of Tokyo Metropolitan Railway System

(1)

(2)

Mode amplitude

family1c+1

0.5
a n 98

a n 99
0.5

20

40

n
steps

(3)

(4)

(1) BA network with 100 nodes, (2) Sustainable oscillation of skew degenerate mode pair, (3)
Topological improvement by connecting #1 and #2, (4) The topological improvement can convert the
sustainable oscillation to quicker transition to stable state.

Fig. A.4.1. Topological Improvement of Network System Stability

50

Infrastructure Design, Signalling and Security in Railway

11. References
Agrawal ,G.P,(1989)Nonlinear Fiber Optics, Academic Press, San Diego.
Barabasi,A. L.,Albert, R. and Jeong, H.(1999) Mean field theory of scale free random
networks, Physica A.272,173.
Barabasi, A. L, and Albert, R. (2002) Emeregence of scaling in random networks,
Science286, 509.
Barabasi, A. L, (2002)Linked, Penguin Group, New York
Buchanan, M. (2002) Nexus, W.W. Norton & Company Ltd., New York.
Brin, S. and Page, L. (1998) The anatomy of a large-scale hypertextual Web search
engine,Computer Networks and ISDN Systems,33:107-17,1998
Erdos, P. and Renyi, A.(1960) Publ.Math. Inst.Acad.Sci.5, 17.
Dorogovtsev, S. N, Mendes J F and Samukhin, A. N. (2000) Structure of growing networks
with preferential linking. Phys. Rev. Lett. 85, 4633-4636 (2000).
Dyson, F.J.(1953)The Dynamics of a Disordered Linear Chain., Phys.Rev.Vol.92,No.6,
1331.
Haken, H. (1978) Synergetics, An Introduction. Nonequilibrium Phase Transitions and SelfOrganization in Physics, Chemistry and Biology, Springer, Berlin.
Horiike, H.(2000), private communication.
Granovetter, M.(1973) The strength of weak ties., American Journal of Sociology, 78,13601380.
Langville, A and Mayer, C, (2006) Googles PageRank and Beyond. Princeton University
Press, Princeton and Oxford.
Newman, M., Barabasi, A.L. and Watts, J. (2006)The structure and Dynamics of Networks
Princeton Univ.Press.
Ozeki,T.,and Kudo,T.,(2009) Invited paper,IEICE Technical Report,A Proposal of Network
Evaluation Method and Its Applications vol.109 , no.220 , IN2009 -65, PN200924,pp13-21.
Ozeki,T.(2006) http://necsi.org/events/iccs6/viewpaper.php?id=405 We found a mistake
in session 2 of our Evolutional family networks generated by group-entry growth
mechanism with preferential attachment and their features., The International
Conference on Complex Systems, id 405,Boston. The asymptotic exponent should
be read as M+A+1
Ozeki,T.(2010), Multimodal Analysis of Complex Network-Point stimulus response
depending on its location in the network- Knowledge Discovery and Information
Retrieval 2010, Valencia, Spain,2010.
Prigogine,I .(1996) The end of certainty, The Free Press, London
Soramaki, K, Bech, M L, Arnold, J, Glass, R J and Beyeler, W E, (2007)The topology of
interbank payment flows, Physica A: Statistical Mechanics and its Applications Vol
379, Issue 1, June 2007, pp 317-333.
Tsujii,S.(1983), Transmission Circuits, Colona Publication Inc. Tokyo.
Watts, D. J. and Strogatz, S. H.(1998),Collective dynamics of small-world Networks,
Nature 393,440-442.

3
Privatization Versus Public Funding on the
Atacama Desert Railway An Interpretation
Jose Antonio Gonzalez-Pizarro

Universidad Catlica del Norte, Antofagasta,

Chile
1. Introduction1
Before the arrival of railways at the Atacama desert, there were only paths and tracks
inherited by caravans exchanging products the complimentarity of John Murras
ecological ground between the Cordillera puna and the Pacific coast. The cart roads of
mining prospectors from the time of the manure and copper cycles corresponding to the
republican beginnings in the plateau would be added to this pre-Hispanic sequence. But,
with the discovery of potassium and silver nitrate in the middle plateau during the 1860s1870s, the multi-ethnic population settlement of Europeans and Latin Americans could be
possible, the Chilean one being the most numerous. Human settlement started on the coast;
Tocopilla and Mejillones in the 1840s, preceded by Cobija in 1825; then, Antofagasta in 1866.
These were seaports prepared for merchandise shipping and traffic to Bolivia. Further
south, that is, from parallel 24, settlement occurred in Taltal in 1858 and Paposo small port
in 1865. It was the need of connectivity among the productive mining sites of the desert and
communication with Potosi from the coast what made it possible to visualize a more
modern and efficient means of transport in terms of capacity, speed, and safety: the railway.
As any history of techniques and means of transport, railways fall within a space and time
framework connected to the well-known history of the desert geography: a process marked
by landmarks, opportunities, and a long-lasting process, to use French historian Fernand
Braudels categories (Braudel, 1970). In this historic context, the Atacama desert railway is
the reflection of various aspects of the social, economic, political, and natural resource
history of this territory. But, at the same time, the railway together with the telegraph
symbolized the keen desire for progress, science potencial, and Comtes positivistic
philosophy for contemporary people, as expressed by engineer Matias Rojas-Delgado, the
first Antofagasta Mayor in 1872, that is, that science should lead to the rationality of mining
work and railways would open the frontiers of the unknown. Order and Progress was a
motto that triggered private ventures and set the basis for organizing a new society in this
place (Gonzalez-Pizarro, 2002). This changed the image that had been inherited from
Spanish chroniclers and the first republican travellers. Science and technology that poured
on the desert owing to the changes made to the nitrate leaching system thought of in
1This paper is part of Fondecyt Project 1100074 and Nucleo Milenio Ciencia Regional y Polticas Pblicas,
2011.

52

Infrastructure Design, Signalling and Security in Railway

England by James Shanks and introduced by Santiago Humberstone in the sodium nitrate
industry, along with the demand for locomotives and wagons made in Europe, opened a
new positivistic reading of the desert (Gonzalez-Pizarro, 2009).
Geography and scientific knowledge influenced the design of railway communication. We
must remember that this geographic knowledge, including its maps, has its landmark in the
explorations of Rodolfo A. Philippi, a German scientist hired by the Chilean government to
travel in the desert from 1853 to 1854. His conclusions contained a certain geographic
determinism: it is extremely difficult, not to say impossible, to build railways or electric
telegraphs in the desert the many ravines, 150 to 200 m deep, that constantly cut through
the current road these ravines would be avoided by a line located further west, but no
water would be found in it (Philippi, 2008: 132). Philippi added that important findings
related to mining wealth could change his assumptions. This geographic conditioning of the
desert considered the worlds most arid remained as a barrier that would demand more
accurate topographic studies since it would be affected by the presence of phenomena
resulting from the climate, such as camanchaca, the optical illusion that made man be lost in
this huge space. The Chilean government sponsored other studies of the desert, in both the
middle plateau, as entrusted to the French geographer Pedro A. Pissis, and along the coast
to its Navy Captain, Francisco Vidal-Gormaz in the 1870s, before the war. The increase of
geographic knowledge became outstanding in Alejandro Bertrands (Bertrand, 1885) and
Francisco San Romns work in the Atacama Desert Exploration Commission (San Romn,
1896). The physical description, mapping, mining potentiality studies, and fundamental
toponymy of the desert were Bertrands and San Romans main contributions.
Thanks to San Romans effort, scientific work could show that the Atacama desert
nomenclature had narrowed regarding the colonial territory. In his work Desierto y
Cordilleras de Atacama (1896), he established a close relation between what was
understood as the Atacama desert and what was known from the towns and industries
established in the plateau:
The long stretch of Chilean territory running from the wild valley of Huayco to the nitrate
pampas where the Loa river runs, encompassing between both extreme borders in all
Chiles width, which extends from the Pacific coast to the Andes crest, is what was properly
taken as the Atacama Desert until the beginning of this century. This denomination has been
more and more restricted to the north as general progress and mining findings were
populated or made exploration in this territory accesible, founding towns and creating
industries in them. However, as a mere geographic title and, above all, as significant of an
arid zone and production exclusively due to the mineral kingdom, traditions and customs
still keep that denomination for all the territory that includes two Chilean provinces today,
Atacama and Antofagasta (San Romn, 1896: III-IV).
The geographic knowledge and naming of ravines, mountains, and other territory accidents
made it possible to conquer the land. Lets say that the Antofagasta-Bolivia Railway
Company (A.B.R.C or F.C.A.B, for its acronym in Spanish) was a reference for Santiago
Astronomy Observatory until 1910 to localize parallels 23 and 24 south latitude in the
Antofagasta province hinterland.
The expansion of the Atacama desert railways shows that they were connected to nitrate
findings in 1866 and silver in 1870, when the territory was divided in terms of sovereigneity.

Privatization Versus Public Funding on the Atacama Desert Railway An Interpretation

53

The Ceasefire Agreement between Chile and Bolivia in 1866 and 1874 moved the border to
parallel 24 S latitude: Chile owned the land to the south and Bolivia to the north, as long as
we are interested in noting, without putting emphasis on articles regarding customs rights
or the absence of taxes to Chilean nitrate activity during 25 years. This situation would
change as a result of the Pacific War, 1879-1883, in which Chile took over the territory in
dispute (Lagos-Carmona, 1981; Gonzalez-Pizarro, 2005).
The geographic sector for the main railway activity was the one connecting MejillonesAntofagasta axis to the hinterland, where the main nitrate mines are located (the central or
Bolivian canton) with a northeast orientation, that is, the interconnection among Carmen
Alto nitrate mine, Salinas station, Caracoles mine currently located in Sierra Gorda county
- and the extension to Calama, where the network was expanded to connect with Bolivia.
The beginning of the railway in this area mixes unsuccesful projects, proposals accepted but
not implemented, and outlines that became real. In 1872, the French explorer Andr Bresson
(Bresson, 1997: 180) stated that the railway would change a five-day long and deadly
journey from the coast to Potosi by a comfortable five-hour one. Exactly so, the Atacama
desert, in being dominated by mining techniques and the introduction of the railway
became, from a naturalistic-deterministic nature under a colonial perspective, a nature
viewed from a pragmatic-utilitarian optics (Gonzalez-Pizarro, 2008).
The exploitation of Mejillones manure and Cobija commercial activity stimulated Bolivia to
do a public bid to build a railway connecting Cobija and Calama during Jorge Cordobas
administration in 1856. This, along with other projects such as Gibbsons and Arrietas in
September 1863 to build a railway to Mejillones, or Roberto Browns in August 1868 to build
a railway from Cobija to Potosi, were projects discussed in La Paz government, but did not
turn out successful. It is important to highlight Avelino Aramayos project presented in
1861: Connection of the Pacific Ocean and some point in Bolivia with Mejillones railway,
which would be supported by the government in 1863. Aramayo would get a loan in
London by being a partner of Mr. Samuel Morton-Petto-Barnett and Mr. Edward LadolBetts, based on a study of the German engineer Hugo Reck, giving Mejillones manure
companies as a guarantee. Avelino Aramayos partners broke in 1871, the Bolivian
government keeping its interest in the route starting in Mejillones. So, they made a bid for
this purpose in the same year. Twenty-seven projects were put forward, but none of them
was successful, including Gustavo Bordess and partners and that of Jos Manuel Brown,
Marcial Martinez, and Enrique Meiggs (Bravo, 2000:53-58). According to Gomez-Zubiela,
another Aramayos project had been passed by the government through a resolution passed
on May 22, 1872. This fact would be the obstacle for the famous railway constructors
appearing during Melgarejos government, Milbourne Clark and Carlos Watson, among
them. The suspension of the railway construction in 1874 affected the whole mining and
commercial area (Gomez-Zubiela, 1999; Perez, 1997). It was the time of the great Caracoles
silver ore deposit discovery in 1870, so that Mejillones railway could connect this small port
to this small place and its mines. However, Aramayos project sponsored by La Paz
government became an obstacle for other projects such as the concession requested by
Milbourne Clark & Co. on January 14, 1873, for a Mejillones-Caracoles railway, or by Felipe
Iturriche to connect Cobija and Calama in March 1873 (Gonzalez-Pizarro, 2010: 919).
The big British investments in the nitrate industry, along with the Chilean ones, would
influence the de facto orientation of railway policies. Milbourne Clark & Co., created on
March 19, 1869, was funded by Chilean capitals - Jose Santos Ossa, Francisco Puelma,

54

Infrastructure Design, Signalling and Security in Railway

Agustin Edwards - and British investments - Milbourne Clark, George Laborer, and Casa
Gibbs from Valparaso. The official negation to Milbourne Clark & Co. did not prevent it
from continuing with its railway project, changing its beginning from Antofagasta to its
hinterland. Under the name Nitrate Company and Antofagasta Railway established in
October 1872, its railway arrives at Salar del Carmen on December 1, 1873; Salinas in 1877;
Pampa Central in 1881; and Pampa Alta in 1883. At this time, it was estimated that the
railway construction from Antofagasta, the establishment of the big nitrate treatment plant
in this port, and manure exhaustion would result in the abandonment of the Mejillones
railway (Mandiola & Castillo, 1894: 3vta). The consequences of the Mejillones-Caracoles
railway failure affected its workers negatively due to the high transport costs resulting from
operations with the Antofagasta railway company (Bravo, 2000). For Bowman, the future of
the Antofagasta port was determined by the railway construction (Bowman, 1924: 81).

2. The appearance of the Atacama desert railway giant: The Antofagasta and
Bolivia Railway Company Ltd.
The thriving nitrate activity in the Antofagasta province was slowed down at the south of
parallel 24 after the war because of the government tax legislation that favored Tarapaca
and affected the economic activities of the zone (Gonzalez-Pizarro, 2009a). At that time, the
ideology of political liberalism prevailed in Chile, thus being reflected in economic policies,
which would influence concessions to foreign companies.
At the beginning of the 1870s, Huanchaca Company had been established in Bolivia with the
participation of Chilean investors, Melchor Concha y Toro, among others and Bolivians such
as Aniceto Arce, all of them interested in the exploitation of silver from Pulacayo and
Huanchaca. The ceasefire between Chile and Bolivia in 1884 again brought under discussion
the mining production export from Huanchaca via Calama to Antofagasta port. Economic
interests, mainly in mining, became powerful in outlining new railways.
Blakemore suggests that at the beginning of 1887, the Nitrate Co. and Antofagasta Railway
had sold its railway and other rights to Huanchaca Company (Blakemore, 1996: 49).
Nevertheless, the first Antofagasta Railway Co. Report shows 1886 as the exact date and
gives details about the contribution to the merger between Nitrate Co. and Huanchaca Co.,
more particularly regarding the amount corresponding to the railway: 2,600,000 pesos
distributed in: Permanent Rails: 1,600,000 pesos; Rolling Stock: 740,000 pesos, Antofagasta
Machine Shop: 150,000 pesos; Dock: 50,000 pesos; and Antofagasta Real Estate: 60,000 pesos,
according to Gomez-Zubiela.
The merger between Antofagasta Nitrate Co. and Huanchaca Co. gave rise to the most
important and trascendental railway company of the Atacama desert on November 28, 1888:
The Antofagasta and Bolivia Railway Company Ltd. (A.B.R.C), legalized by the Chilean government
on April 2, 1889 and the Bolivian Congress on December 8, 1888. The demands of the preandean
topography made engineering work essential in order to overcome natural barriers. This was
done by the English engineer Josiah Harding who, between 1883 and 1887, lay the rails from
Pampa Alta to Ascotan lake, the bridge reaching 3,956 m.a.s.l. It was November 1883. The
famous Conchi duct was in operation until 1918, when a similar one was built (Greve, 1944:
507). The newly established town of Uyuni in Bolivia received the first engine from the brand
new company on October 30, 1889. The railway extension from Antofagasta to Oruro on May
15, 1892, under Arces government, also stimulated the modernizing boom process of the

Privatization Versus Public Funding on the Atacama Desert Railway An Interpretation

55

Bolivian city, together with tin exploitation. It was even stated that civilization was measured in
railway kilometers (Mendieta-Parada, 2006: 211). Liberalism years in Bolivia had led to a huge
influence of British capitals on the railway network and the connection of the railway with the
Pacific Ocean, where Playa Blanca Metallurgical Installations was located, connected to
Huanchaca Co. built between 1888 and 1892 and in operation until 1902 (Ahumada, 1999; Mitre,
1981; Calderon, 2003). The disappearance of Huanchaca Co. let Antofagasta-Oruro railway
under the administration of only the A.B.R.C. in 1903. It is important to note that the arrival of
the railway at Calama influenced work usually done by mule packs and alfalfa pasture grounds
dedicated to cart transport in the nitrate pampa (Nuez, 1992).
The prowess of extending the railway from Antofagasta to Bolivia is also shown in the
various railway stations that had to be built along its way:
Km from
Antofagasta
0
4
14
21
29

Altitude

35

561

48
59
70
83
96
109
117
120
122

573
682
783
893
1,014
1,164
1,231
1,279
1,285

128

1,341

133
136

1,369
1,383

144

1,414

148
154
162
170
179
205
238
269
299
312
340
360
387
412
435

1,431
1,470
1,534
1,623
1,727
2,142
2,265
2,641
3,015
3,223
3,772
3,955
3,729
3,692
3,696

34
60
295
408
554

RailwayBranches
Stations
Antofagasta
Playa Blanca
Sgto.Aldea
La NegraArranque hacia cantn A. Blancas
Portezuelo
OHigginsOf.Savona,Pissis y
Domeyko Arranque hacia Boquete.
Uribe
Prat
Latorre
Cuevitas
BaquedanoOf.Ercilla,Astoreca,J.F.Vergara
Cerrillos
El BuitreOf.Sgto.Aldea.
Santa Rosa
Carmen Alto Of.F.Puelma,Condell, Celia
Salinas Of.Lastenia,Aurelia,Carmela
Blanco Encalada.
PeinetaOf.Ausonia, Cecilia
CentralOf.A.Edwards.
UninOf.Anita,Candelaria,Luisis
Angamos, Araucana.
PlacillaOf.Mara, Curic
SolitarioOf.Filomena, Perseverancia
La NoriaOf.Aconcagua
Sierra Gorda Arranque para Caracoles
Cochrane
Cerritos Bayos
CalamaA Chuquicamata y El Abra
Cere
Conchi
San Pedro
Polapi
Ascotn
Cebollar
San Martn
OllageA Collahuasi

56

Infrastructure Design, Signalling and Security in Railway

Altitudes referring to railway stations close to the Chile-Bolivia border demanded hiring
qualified manpower that attracted Bolivian immigration (Gonzalez-Pizarro, 2008a).
The railway hired many technical and non-technical workers and was not far from the
problems between capital and work, proper of political liberalism and the so-called local
social matter. As Blakemore states, A.B.R.C. hired manpower, clearly distinguishing the
laborer segment (heads of gang, boatmen, port loaders, firemen, trackwalkers, and service
personnel) from employees, who enjoyed a higher social status (railway station chiefs,
foremen, inspectors and office personnel) (Blakemore, 1996: 155).
Some specific facts hurt the companys reputation in the regional community. Indeed, there
was criticism regarding its operations because wagons used to run off the rails and put
workers safety in risk due to lack of personnel or victimization affecting men who built
Pampa Alta railway station telegraph line, as dennounced by the local newspaper La Maana
on October 1, 1902. Although the railway company contributed to the city with the creation of
a Fire Department, Bomba Ferrocarril, in September 1902, its expansion in the province, such
as the petition of land in Mejillones at the end of 1903, was criticized in the National Congress.
However, when the government asked engineer Emilio de Vidts to study Mejillones opening
in 1905, A.B.R.C. started its greatest investment: The construction of Mejillones machine shop,
considered South Americas greatest one, with a 300-house camp (Panades, 1990)
The most complex social situation affecting The Antofagasta and Bolivia Railway Co. Ltd was the
rejection to the petitionary on January 29, 1906, through which the so-called Mancomunal
Obrera de Antofagasta representing the laborers of the main companies in the city, including
the railway, requested one hour and a half for lunch. This request was accepted by all
companies, except the English A.B.C.R. administration. The boatmen and Orchard Industry
and Smelter workers supported the railway laborers. The strike committee called for a meeting
on Febrary 6; while the government sent naval forces and the A.B.R.C administration provided
foreigners with guns. Bishop Luis Silva-Lezaetas eclesiastic mediation was not accepted by
the company. The strike ended in a laborers massacre in Colon Square on February 6, 1906.
Two days after, under the pressure of the news, the National Congress passed the first social
law: the law of housing for laborers (Gonzalez-Pizarro, 2009b)
The importance of A.B.R.C. in the zone was enormous, particularly when the Peace and
Friendship Treaty between Bolivia and Chile was signed in 1904. On the one hand, the
treaty stated that the Atacama desert, which was part of the Antofagasta province, would
belong to Chile and, on the other hand, Chile would have to build a railway to connect Arica
and La Paz, along with allowing free transport from the altiplanic country to Pacific ports.
The Antofagasta-Oruro railway perfectly met the requirements stated in the treaty. If, for
Bolivia, The Antofagasta and Bolivia Railway Co. Ltd. was so important due to railway policy
control, obtaining advantages for mineral exports and mechandise imports (Aramayo, 1959;
Gmez Zubiela, 1999, Informe, 1959), what was observed in Antofagasta regional economy
was as important. Three issues were controversial for Antofagasta and Calama City Halls
and mining companies: water supply and its cost for consumers, real estate valuation, and
the price for transporting cargo and passengers.
Water supply in the desert was essential for productive activities and also for the feasibility of
the railway company since it used steam engines. The problem was the monopoly concerning
water rights and its distribution to the urban cities and insdustries in the nitrate pampa.

Privatization Versus Public Funding on the Atacama Desert Railway An Interpretation

57

Huanchaca Co. had purchased the water rights owned by Enrique Villegas, an entrepreneur
and regional politician, in 1887. For this reason, when Huanchaca Co. transferred its rights to
The Antofagasta and Bolivia Railway Co. Ltd., it was not only connected to railway materials, but
also to its water rights. In addition, a law passed on January 21, 1888, allowed Huanchaca Co. to
provide the city of Antofagasta and other territories that can be supplied by the Loa River with
tap water (Anguita, 1912: 64-65). Also, Huanchaca could extend the time to do the necessary
work for supplying Antofagasta with water. By a law passed on September 23, 1890, the
deadline was extended until October 1, 1892. But it was not known that Huanchaca had become
The Antofagasta and Bolivia Railway Co. Ltd in 1889. In this way, a situation similar to Tarapaca,
concerning John T. Norths activities, arose during Balmacedas government, that is, the direct
or indirect monopoly of natural resources, nitrate and water, railway control, or what historian
Hernan Ramrez-Necochea would call, the danger of northification (Ramirez, 2007: 81). When
travelling to Antofagasta in March 1889, Balmaceda visited some railway stations of the central
network and promised the expropriation of all private railways in the whole Republic
(Sagredo, 2001: 144), something probably expressed at the warmth of welcome in every
northern City Hall, but these ideas, as many others, did not come true (Blakemore, 1991).
A.B.R.C. tap water supply included industries, nitrate mines at special prices, and the cities of
Antofagasta and Calama, among others. The water price and mainly free supply to public
services were the focus of a permanent struggle between the company and the Antofagasta
City Hall. By a decree on July 30, 1904, the company could use and enjoy Palpana waters and
then obtained the concession of Ujuna Grande, Puquios , and Siloli waters (Arce: 1930: 263).
In addition, it established a policy to fight for free water resources in favor of Antofagasta
public services and City Hall (Blakemore, 1996: 104). Antofagasta water supply was criticized
because of the tariff charged for houses and the government negation for allowing the
company to increase tariffs (Recabarren, 2002). This was a recurrent issue until the late 1960s.
The basic issue for Calama City Hall was the discrepancy between real estate and the
valuation established by A.B.R.C and the amount of tax to pay, an issue analyzed from 1915
to 1936 since it strongly affected the City Hall budget ( Mondaca, Segovia & Sanchez, 2011).
For mining activity, the basic issues were the railway breach with the liabilities agreed on
with nitrate companies, particularly Antofagasta Nitrate Co., the most important Chilean
company in this line of business until 1907. Among complaints detailed by Isaac Arce,
Pampa Alta administrator, in 1906 are: the towing machine service because its itinerary
affected work; the negation to transport workers; the demand for loading wagons in the
least possible time; the prohibition to use own cars in the railway; the transport of rails and
crossbeams by the nitrate company; placing switches and habilitating by-ways; storage and
wagon charges for transporting forage; and excess charges for transporting merchandise,
materials, coal, and gunpowder (Archivo, 1906).
The placement of nitrate company rails in the central canton, which finally reached the
railway, was hindered by the broad concession given to Milbourne Clark. Nevertheless,
since 1887 attempts had been made to build railways independent of A.B.R.C , such as the
one between Pampa Alta and San Pedro de Atacama in December 1887. In October 1893,
Carlos A. Watters is allowed to build a railway, taking kilometer 20 of the current A.B.R.C.
as a starting point. In August 1899, Enrique Barra made a request to build a steam engine
railway from Chuquicamata copper mine to Antofagasta-Bolivia railway, being approved in
December (Gonzalez-Pizarro, 2008).

58

Infrastructure Design, Signalling and Security in Railway

In general, the nitrate companies of the central canton had to operate with A.B.R.C. to export
their production through Antofagasta port. Nitrate companies usually had private trains
inside their premises, between nitrate concessions and supply yards, using locomotives and
wagons. One of the most important companies, the Antofagasta Nitrate Co., was equipped
with 41 80-250 h.p. steam engines; 8 90-150 h.p. electric engines; 250 6m3 nitrate wagons; and
540 1-2 m3 nitrate wagons, apart form 470 other wagons, all of which shows a panorama of
the thriving activity in the desert (Gonzalez-Pizarro, 2003: 135).
The expansion of American capital, mainly Guggenheim Brothers, not only in Chuquicamata connected to Huanchaca Co. from 1899 until its shut-down -, but also in the powerful nitrate
industry, when purchasing Anglo-Chilean Nitrate Company and Lautaro Nitrate Company in the
1920s and 1930s, led to a better planning between A.B.R.C. and the railway stations in the
pampa and nitrate mines. Schedules allowed identifying railway stations and the type of
railway machinery in use. In 1929, A.B.R.C. took charge of all the nitrate railways, committing
to the conservation and repair of the existing ones. The railways became A.B.R.C. property and
nitrate companies agreed on a monthly pay for each crossing and meters run.
A.B.R:C. and Chile North Railway established a new train service in 1929 (Thompson, 2003).
Two mixed trains weekly covered the distance between Baquedano and El Toco and viceversa
so as to give better service to nitrate mine inhabitants. The trains stopped in Baquedano to
make connections with passenger trains travelling between Mejillones and Calama. In this
way, passengers could arrive at Antofagasta at 3 p.m. In addition, passengers travelling to
Baquedano sorroundings could make different combinations to move throughout the pampa
and railway stations until arriving at Calama since a direct train to this city was available.
In the mid-1931, A.B.R.C changed the train schedule to Calama, affecting the itinerary of the
train running downward, which was scheduled for Wednesday, Thursday, and Saturday.
This made Lautaro Nitrate organize its own transport service for mail and workers transport.
To have an impression of the railway service and how it connected different places in the
nitrate pampa, lets take a look at the schedule in 1929:
DOWNWARD
TRIP

UPWARD TRIP
Railway stations

Antofagasta
Baquedano
La Rioja
Deseada

Railway
Train 84
Stations
Monday & Friday
Arrival
Departure

Train 83
Sunday & Thursday
Arrival
Departure
---9:35
---13:45
15:01
15:05
16:01
16:20

Los Dones

16:43

17:00

Lynch
B. Astoreca y
Los Dones
Miraje
Chacance
Toco

17:18

17:32

Toco
Chacance
Miraje
B. Astoreca y
Los Dones
Lynch

---8:02
8:26

7:00
8:07
8:31

18:02

18:05

Los Dones

9:48

9:56

18:29
18:57
20:12

18:40
19:10
---

Deseada
La Rioja
Baquedano
Antofagasta

10:15
11:10
12:05
15:04

10:20

8:59

9:01

9:35

9:36

-------

Privatization Versus Public Funding on the Atacama Desert Railway An Interpretation

59

Changes made in May 1931 did not greatly affect schedules in the nitrate mines, but they
highlighted the importance of Salinas railway station for mixed trains, both regular and
special, and also the internacional train.
So, on Monday, the regular mixed train went up to Salinas at 1:15 p.m. and down to the
same railway station at 11:15 a.m., following the usual itinerary; on Tuesday, the regular
mixed train did not go up, but went down to the station at 11: 15 a.m.; while the
international train went up at 1: 15 a.m., making connections between Salinas and Union
stations; on Wednesday, the regular mixed train went up at 1:15 p.m. and did not go
down, following the usual itinerary; the mixed train from Calama went down on this day
and the international train went down, arriving at 6:20 p.m., making the connection
above. On Thursday, there were no trains going up and down. On Friday, the regular
mixed train did not go up, but 11:15-a.m. train went down, following the usual itinerary;
the international train made a stop at Salinas at 11:15 a.m., making the usual connection.
On Saturday, the regular mixed train went up at 1:15 p.m. and did not go down; the
international train passed by Salinas at 6:20 p.m. On Sunday, only the regular mixed train
ran, making a stop at Salinas at 1:15 p.m., when going up, and at 11:15 a.m., when going
down (Archivo Historico, 1929).
International train trips from Antofagasta to Bolivia underwent difficulties when making a
stop at Salinas station. Complaints included passengers delay and change of second-class
wagons from the mixed train arriving from Calama to add them to the international train.
An service of auto-gondolas (small old buses) with a capacity of about 25 passengers from
Mara Elena and Chacabuco nitrate mines was the only means for arriving at Salinas
station.
The American administrators of Chuquicamata copper ore deposit signed an agreement
with A.B.R.C. to use the railway for exporting the metal resource to international markets.
The Chuquicamata train inaugurated in 1914 was connected to the main A.B.R.C. branch.
The so-called Chuquicamata branch started from San Salvador station located to the north of
Calama and arrived at Punta de Rieles, in a 10-km trip. In addition, A.B.R.C. built Conchi
Viejo- El Abra branch in 1906 with a 19-km length to give service to the copper and silver
exploitations existing to the north of Calama (Thomson-Angerstein, 1997; Castro 1984). The
company profits depended on production levels which, in turn, depended on the copper
pound quotation in the London stockmarket. However, Chile Exploration Company, the
American company exploiting Chuquicamata mine, established The Chile Exploration Co.
Railway to connect Chuquicamata and San Salvador, providing electricity in 1925. The first
Chuquicamata general manager, Fred Hellman, built a railway inside the mine to transport
materials and workers. It remained active until the appearance of big trucks in the early
1950s ( Monterrey, 2009).
In the 1970s, The Antofagasta and Bolivia Railway Co.Ltd. was involved in the difficulties
affecting the Chilean politics and economics, until purchased by the Chilean
entrepreneur with Croatian ancestors, Andronico Luksic, at the end of 1979 (Blakemore,
1996). In the 1980s, the frequency of the international train was once a week. At present,
its acivities focus on commerce to and from Bolivia, along with CODELCO copper
shipping.

60

Infrastructure Design, Signalling and Security in Railway

3. Nitrate railways of El Toco, Aguas Blancas, and Taltal cantons: Private

interests
El Toco canton was located between parallels 21 and 23 and meridians 70 and 69 ,
including 14 nitrate mines. It was the only canton using Shanks and Guggenheim systems
since Pedro de Valdivia and Mara Elena nitrate mines were located in it, the latter
being the last nitrate mine in operation.
Aguas Blancas canton was located between parallels 23 and 24 and meridians 70 and 69,
including 22 nitrate mines.
Taltal canton, below parallel 25 and between meridians 70 and 69, included 26 nitrate
mines.
In the mid-1833, the English man, Edward Squire, built a railway in El Toco canton to
connect El Toco nitrate mines with a port between Loa river and Cobija, as established by
a law passed on January 23, 1888, which legalized this branch. The railway purchased by
Anglo-Chilian Nitrate and Railway Co. Ltd. was inaugurated in 1890. Anglo-Chilian
connected Jose Francisco Vergara nitrate mine in 1910. In 1927, this company was
purchased by Guggenheim who could build branches to Pedro de Valdivia and Mara
Elena nitrate mines. This led to the appearance of other stations between Maria Elena
and Tocopilla: Tupiza, Cerrillos, Colupito, Central, Barriles, and Tigres. The Central
station railway branched off to provide service to nitrate mines located to the SE: Maria
Elena, J.F. Vergara, Coya up to Miraje station, and also to the NE to arrive at Ojeda,
Puntillas, and El Toco stations, where it branched off again to include other nitrate
mines.
Steam engines operated until 1958, being replaced by diesel engines. Their itinerary in the
1950s was scheduled on a weekly basis for passengers and cargo. This itinerary has the
most curves and gradients, operating until today and owned by the Chile Chemical and
Mining Society which, established in 1968 as a mixed company and then belonging to the
State, is now in private hands.
The history of Taltal canton nitrate railway is related to the government decision in 1878 to
make prospections for a railway connecting nitrate productive activity with the port. In
1880, the proposal presented by Alfredo Quaet- Faslem was accepted. He transferred his
rights to Jorge Stevenson, who established Taltal Railway Company Ltd.,. Supported by John
Meiggs, Stevenson could build the railway to Refresco in a short time. Between 1887 and
1928, the network enlarged, its shareholders making big profits. Canchas station railway
branched off to the NW, in the direction of Santa Luisa and Alemania stations up to
Lautaro. To the E, there was a group of five nitrate mines, Flor de Chile being the most
notable, whose branch located in Ovalo station branched off again to the NW to connect
Caupolican and Bascunan nitrate mines. After the 1930-1931 crisis, the company determined
the destiny of the Shanks system nitrate mines, getting rid of, as Ian Thomson states, rolling
stock in 1940, Taltal Railway Company Ltd. being sold to the Chilean company Rumie &
Sons in 1960. This company provided service to the last three nitrate mines. Alemania
nitrate mine ended operations and the nitrate train was dismantled between 1977 and 1979
(Thomson, 2003).

Privatization Versus Public Funding on the Atacama Desert Railway An Interpretation

61

Coloso-Aguas Blancas railway history is one of the most intricate of the type. Since 1880,
nitrate people had been asking the government the construction of a railway for Aguas
Blancas nitrate mines and were fighting for an extension of what had been accepted for
Juan Besterrica, Juan Vera, and Francisco Mirada to build the rails for a steam train
between Antofagasta and Aguas Blancas (Rojas, 1883). In January 1884, the Congress
discussed a railway from Antofagasta to Aguas Blancas since the previous one had been
rejected. In 1896, Rafael Barazarte was given permission to build a railway between
Paposo and Desierto ore deposit. In 1886, Arturo Prat Mining Co. and Taltal Railway Co.
received the approval to build a railway between the port and the companys mining
installations. On the next year, they were allowed to extend the railway to Cachinal.
This issue was again dealt with in August 1889 by J. Phillips in order to build a steam
railway between these two places. On September 1, 1897, approval was given to Jose
Antonio Moreno to build and exploit a railway between Paposo and Desierto ore deposit
(Gonzalez-Pizarro, 2008: 37-38). But the most relevant railway connecting Aguas Blancas
nitrate mines was the one requested on November 28, 1898 by the firm Granja &
Domnguez, which would build a railway between Antofagasta and Aguas Blancas.
Permission was given a month later, the construction beginning in March 1899. Work
done in 1900 showed that the firm was not using Antofagasta piers, but the habilitation
of a site to the south of Antofagasta, a fact that revealed the firm strategy to avoid the
opposition of the City Hall, boatmen unions, and A.B.R.C. On January 1, 1902, Coloso
was ranked as a minor port. In March 1902, the railway connected Pepita nitrate mine
with Coloso. Carrizo, La Negra, and Varillas stations were built between Coloso and
Pepita. At Barazarte station, the branch to the east led to Yungay station with two
branches including 90% of the canton nitrate mines. To the SE, it led to Rosario nitrate
mine. The railway was open to the public for passenger transport. When Baltazar
Dominguez died in 1902, his heirs sold the railway and nitrate belongings to Matias
Granja. When this one died, Coloso-Aguas Blancas railway became involved in one of
the most commented scandals of the time, mixing business and politics, which in turn
involved the government at that time - 1907. This is what some authors have called the
famous affair of Granja house (Recabarren, Obilinovic, Panades, 1989: 61-67). Finally,
the transfer of the railway from Granja to W.R. Grace in 1908 ended in the railway being
in the hands of The Antofagasta (Chili) and Bolivia Railway Company Ltd. It was 1909. In this
way, all the private railways in the province were in the hands of English A.B.R.C.
capitals. The train continued operations as long as nitrate mines working with the
Shanks system could be profitable. In 1932, some branches were dismantled and it
definitely disappeared in 1961.
In the nitrate pampa, the mines operating with private trains ruled railway jobs. Each nitrate
mine had a Traffic Chief in charge of keeping the rails in good state and do necessary
repairs. He was the direct boss of the engine driver, whose main job was to keep the boiler
water at the right level and check the good state of all the engine keys and valves; firemen,
dedicated to keep the engine throroughly clean, manage fire, and burn the coal or oil; and
lastly, brakemen, in charge of taking care of the brakes of the train in motion. Railroad
workers worked in the rails. There were also the so-called engine starters in charge of the
lamps of trains in motion and lighting the engine fire at dawn. ( Macuer, 1930: 170-172;
Gonzalez-Pizarro, 2003:312-314).

62

Infrastructure Design, Signalling and Security in Railway

4. The Noth longitudinal railway: The state intervention

The construction of the North Longitudinal Railway started when the government decided
to extend the fiscal railway from Pueblo Hundido, in Copiapo province, to Pintados, in
Tarapaca. Reasons of national safety and territory integration lay behind this venture. A
public bid, after some failures, was awarded to Chilian Northern Railway Co. Ltd in 1910.
The well-known North Longitudinal, the famous Longino, was finally inaugurated on
January 10, 1919 (Thomson, 2003), although the definite exploitation of de journey between
Iquique and Calera started on March 19, 1930 (En Viaje, 1960: N 325).
The North Longitudinal was connected to Santiago and Valparaso trains. It included
several stations, starting in Pueblo Hundido, followed by Altamira, Catalina, Balmaceda,
Los Vientos, Lacalle, Agua Buena, Aguas Blancas, Oriente, Palestina, Desierto, Baquedano,
(to Antofagasta and Calama), Rioja, Deseada, Los Dones, Lynch, Miraje, Chacabuco, El Toco,
Santa Fe, and Quillagua. In 1966, the trip from Calera to Iquique was scheduled for Sunday
(with a connection to and from Antofagasta) using first-class, second-class, and buffet
wagons, the latter being the most complete; on Thursday, there was a trip from Baquedano
to Calama, with second-class and buffet wagons; on Saturday, the train arrived at
Antofagasta, with the same wagons as on Thursday; on Tuesday, there was a train with
second-class and buffet wagons arriving at El Toco. The trip from Iquique to Calera was
scheduled for Monday and Thursday; the trip from Antofagasta to El Toco, Tuesday and
Saturday (En Viaje, 1966: N 388)
Unlike what happened to A.B.R.C., which would later add Chuquicamata copper mining
production to its load transported to Antofagasta, the North Longitudinal had to overcome
economic difficulties in time. Ian Thomson, the English railway specialist, only slightly states
the adverse picture of the Longitudinal crossing the desert: A longitudinal railway to travel
along one of the worlds most arid zones had been built; (i) where agricultural production is
practically none; (ii) where population is non-existing, except for a very limited number of
small cities; (iii) where mining production is also scarce, and; (iv) which would have very
limited expectations to make long journeys to and from the countrys central and south zones
(Thomson, 2003:48). In the 1950s, its material had not been replaced and maintainance costs
were high. The accelerated disappearance of Shanks system nitrate mines involved passenger
and cargo loss. Only in the mid-1950s, the State Railway Co. considered connecting appealing
desert locations to its tourist agenda. It was the beginning of a tourist massification boom in
the Chilean north, supported by the railway as a non-elitist popular means of transport, as
experimented in the U.S.A. (Sheffer, 2001). This happening helped discovering the northern
geography as a tourist landscape, together with a State policy to support northern cities. In
1934, the State Railway Co. started publishing a Tourist Guide which did not strongly
stimulated visits to northern tourist attractions, but those in the south. Nevertheless, another
State Railway Co. publication, En Viaje, included places located in the preandean locations and
the city of Antofagasta in its pages in the late 1940s. Paradoxically, the North Logitudinal did
not arrive at these places (except the city of Antofagasta, where A.B.R.C. had built a railway
branch between Baquedano and the port, based on an agreement with The Chilian Northern in
1921). In this way, the main cities could be known and a leisure and winter tourism could
be institutionalized in the northern zone, where the railway and roads made recreation
possible (Gonzalez-Pizarro, Ms).

Privatization Versus Public Funding on the Atacama Desert Railway An Interpretation

63

The North Longitudinal Railway administration was transferred to A.B.R.C. in 1919 under
the name Chilian Northern, a situation that remained until October 1957, when the
government decided to transfer Chilian Northern to the State Railway Co., authorizing
A.B.R.C. to administrate it until May 1961. The most popular Atacama dersert train operated
until June 9, 1975.
The northern novelist Hernan Rivera-Letelier would strongly evoque the famous Longino in
his work Trains go to Purgatory.

5. The Antofagasta-salta railway: From citizen initiative to bi-state concretion

One of the railways having the greatest support by citizens, after Antofagasta-Salinas and
Caracoles, was the Antofagasta-Salta railway.
In November 1966, En Viaje magazine director, Manuel Jofre, wrote that this venture had
started in Argentina, by naming a study commission, but it soon found opposition on
both sides because some sectors considered that it was against the interest of farmers in
the south of both Chile and Argentina. For this reason, the project was delayed (Jofre,
1966:17).
It was precisely the A.B.R.C. The Antofagasta and Bolivia Railway Co. Ltd which made the
first studies in 1888 to connect the Argentinian northeast with the Chilean north, through a
group of engineers. One of them, Luis Abd- El Kader, with Italian-Arab ancestors, was
greatly influencial in the urban planning of Antofagasta, where, as Thomson & Angerstein
state, a connection with Argentina Grand Central Railway would be looked for with a design
starting from Sierra Gorda station, going through Caracoles mine, San Pedro de Atacama,
and Aguas Calientes and then arriving at the Argentinian territory through Huaytiquina.
These authors conclude that this study had great advantages, a steady income from local
transport because the railway crossed an area very rich in minerals, among others
(Thomson- Angerstein, 1997: 172-173). The project did not succeed probably owing to the
territory dispute, solved in 1899, of the Atacama puna between Chile and Argentina.
A new impulse to this venture came from the coincidence between Mejillones re-foundation
efforts made by the government and A.B.R.C. request for land to install its machine shop
bewteen 1904 and 1906, on the one hand, and the Argentinian renewed effort made by
engineer Manuel Sola who, in 1905, called the government attention to the huge advantages
Mejillones offered to export the agricultural and cattle production from Salta and the new
Andes territory through its port. According to Sola, All the input for men and animal
survival easily find a market in this province. Cattle is imported from Salta (Argentinian
Republic) and the south of Chile; flower, from California; rice, sugar, and fruits, from Peru;
tobacco, from La Habana and Bolivia; wine, beer, cereals, beans, vegetables, barley, dry
grass, and another hundred products from the south of Chile (Sol, 1906:19). Solas ideas
were supported by other Argentinian reports such as Dr. Arturo S. Torinos in 1906 and
exposed to the Argentinian Congress by the Minister of Foreign Affairs at that time,
Estanislao Zeballos. On the following year, July 1907, Horacio Fabres, Manuel Maira, and
Santiago Zanelli requested the government authorization to build a transandean railway to
connect Mejillones and Salta. After putting it off several times, the railway was inaugurated
in June 1911(Sociedad Nacional de Agricultura, 1922: 5-6).

64

Infrastructure Design, Signalling and Security in Railway

But there was also another issue in this connectivity: the Chilean government authorization
for the construction of a new Antofagasta port based on Law N 2390, passed on September
7, 1910, which was fruitful in 1913 when the Port Commission reported the connectivity
Antofagasta natural attraction zone - of the Mejillones-Salta projected railway, which should
take advantage of the new installations in the future (Gonzalez-Pizarro, 2010).
This proposal was supported by citizens - laborers unions, political parties, and commercial
and industrial associations ; disseminated in Open City Hall Meetings; and also supported
by the establishment of the Salta Pro-Railway Executive Commission. Since April 5, 1920,
multitudinal meetings in the form of Open City Hall Meetings were organized in favor of the
proposal. For mayor Maximiliano Poblete-Cortes, the railway was of national conveniente
because it will help in the development of one of the countrys most important regions; it will
attract a big part of Argentinian commerce to the Pacific; and, therefore, there will be an
increase in freight and cargo for our merchant marine; some of our industries, such as the
nitrate one, will increase their production to fertilize land producing sugar cane, cotton, etc.
Other industries such as shoe-making, canned food, and maybe other ones will have a safe
market. Concerning regional coexistence, we believe no one can deny it. At present, the life
and progress of Antofagasta and the whole region are closely related to the development and
prosperity of nitrate and copper industries (Gonzalez-Pizarro, 1994, 1995, 1999, 2002).
The same response was given by Argentina, where a Pro-Pacific Railway Commission was
established in 1921, its director being Luis de los Rios. This commission organized various
acts that gave prestige and widely disseminated Salta populations mood. The railway
construction also lead to a geopolitical mistrust view from the military prism, while in
Antofagasta, civilians reaffirmed their conviction of the integration with the Argentinian
northeast (Benedeti, 2005).
Government actions from both sides led to the investment budget agenda agreed on by the
Chilean Minister of Foreign Affairs, Ernesto Barros Jarpa, and the Argentinian Envoy
Extraordinary and Minister Plenipotentiary in Chile, Carlos M. Noel, on April 25, 1922. The
project, however, could only be improved in 1928. In 1930, Argentina had already built the
railway from Salta to San Antonio de los Cobres. Finally, the railway was constructed in
Augusta Victoria station sector in 1937, after recovering from the 1930-1932 world crisis
(Thomson, 2003, 2006).
During the early 1940s, the government increased its contribution to speed up the railway
construction. Curiously enough, as stated by Alejandro Benedetti, the railway that had been
thought of by Argentina to improve the Andes Territory would arrive late, when the
territory had disappeared in 1943 to favor Salta, Jujuy, and Tucuman provinces. This was a
bad sign. The Chilean north still cherished hopes for the railway, months before being
inaugurated because, apart from the work of many people, the cost of living in the
northern provinces will be cheaper it will avoid the current supply difficulties and
complications due to the scarcity of cargo ships The railway does not only have an
economic mission, but it also takes the torch of progress, culture, mutual knowledge and,
therefore, peoples physical and spiritual welfare everywhere (Szigethy, 1948: 67-68).
On February 20, 1948, the President of Argentina, Juan D. Peron, inaugurated the railway in
the Argentinian sector, with the presence of Antofagasta Mayor, Juan de Dios Carmona.

Privatization Versus Public Funding on the Atacama Desert Railway An Interpretation

65

In 1949, the Antofagasta-Salta railway was scheduled on a weekly basis, the journey taking
two days: the train included regular and buffet wagons. It started from Antofagasta on
Sunday and arrived at Salta on Tuesday.
Nevertheless, high transport costs, exceeded by truck competente in time, did not meet the
expectations of both regions. A.B.R.C. operated the railway, as contrated with the government
in the 1920s, and as stated by Ian Thomson, assigned old engines left over from other
operations to cargo trains (and) in the mid-1950s, assigned relatively modern steam engines for
passengers service (Thomson, 2006: 145) until 1964. In the 1960s, the State Railway Co.
started operations on the rails. At the end of 1970, passengers trips were cancelled. In 1990, it
was transferred to Ferronor S.A., a Production-Fostering Corporation (CORFO, for its acronym
in Spanish) company, privatized in 1996. At present, the railway operates only sporadically.

6. References
Ahumada, Mara T. 1999. El Establecimiento Industrial de Playa Blanca en Antofagasta.
Antofagasta: Ediciones Santos Ossa.
Anguita, Ricardo. 1912. Leyes promulgadas en Chile desde 1810 hasta el 1 de junio de 1913.
Santiago de Chile: Imprenta, Litografa i Encuadernacin Barcelona, Tomo III.
Aramayo, Cesreo. 1959. Ferrocarriles bolivianos. Pasado, presente y futuro. La Paz:
Imprenta Nacional.
Arce, Isaac. 1930. Narraciones Histricas de Antofagasta. Antofagasta: Imprenta Moderna.
Archivo Escuela de Derecho, Universidad Catlica del Norte. 1906. Archivo de Isaac Arce.
Carpeta varia Personal y Salitrera.
Archivo historico, Universidad Catlica del Norte. 1929. Archivo Salitrero Oficina Chacabuco:
Caja Medios de Transporte. Aos 1920-1939.Transporte y Comunicaciones. Circular
de la Administracin del F.C.A.B, Antofagasta, 29 de mayo de 1929.
Benedetti, Alejandro. 2005. El ferrocarril Huaytiquina, entre el progreso y el fracaso.
Aproximaciones desde la geografa histrica del territorio de los Andes, Revista
Escuela de Historia, Salta, enero-diciembre, N 4, 123-165. Disponible en
http://wwwscielo.org.ar/scielo.php?script=sci_arttext&pid=S166990412005000100007&ing=es&nrm=iso. Consulta el 14 de agosto de 2011.
Bertrand, Alejandro. 1885. Memoria sobre las cordilleras del desierto de Atacama i rejiones
limtrofes. Santiago de Chile: Imprenta Nacional.
Blakemore, Harold. 1991. Nacionalismo frustrado? Chile y el salitre, 1870-1895 en Harold
Blakemore, Dos estudios sobre salitre y poltica en Chile (1870-1895). Editado por
Luis Ortega. Santiago de Chile. Departamento de Historia. Universidad de
Santiago de Chile.
Blakemore, Harold.1996. Historia del Ferrocarril de Antofagasta a Bolivia 1888-1988.
Traduccin de Juan Ricardo Couyoumdjian y Beatrz Kase. Santiago de Chile:
Impresos Universitarios S.A.
Bowman, Isaiah. 1924. Desert Trails of Atacama. New York: American Geographical Society.
Braudel, Fernando, 1970. La historia y las ciencias sociales. Madrid: Alianza Editorial.
Bravo Quezada, Carmen G. 2000. La Flor del Desierto. El mineral de Caracoles y su impacto
en la economa chilena. Santiago de Chile: Dibam, Lom Ediciones, Centro de
Investigaciones Diego Barros Arana.
Bresson, Andr. 1997 [1886]. Una visin francesa del Litoral Boliviano (1886). La Paz:
Stampa Grafica Digital.

66

Infrastructure Design, Signalling and Security in Railway

Caldern G. Fernando, Coordinador. 2003. Formacin y evolucin del espacio nacional. La

Paz: Ed.Ceres.
Castro, Marina T. 1984. F.C.A.B. Una ruta de Nostalgias. Antofagasta: s.p.i.
En Viaje, 1960. Ferrocarriles vencedores del desierto y la montaa. Santiago: noviembre,
Nmero 325
En Viaje, 1966. Valores de pasajes sencillos en trenes expresos, ordinarios y mixtos, entre
las principales estaciones de Santiago a Calera, Iquique y ramales. Santiago:
febrero, Nmero 388.
Jofr N. Manuel. 1966. Antofagasta: terminal FF.CC. Internacionales, Revista En Viaje,
noviembre, Nmero 397.
Gmez Zubiela, Luis R. 1999. Ferrocarriles en Bolivia. Del anhelo a la frustracin 1860-1925.
Tesis de Licenciatura en Historia. Universidad Mayor de San Andrs, La Paz. Una
versin en Polticas de Transporte Ferroviario en Bolivia 1860-1940. Disponible en
www.boliviaenlared.gm/.../politica-transporte-ferroviario-bolivia.pdf. Consulta 19
de agosto 2011.
Gonzalez Pizarro, Jos A. 1994. El FF.CC. de Antofagasta a Salta: Regionalizacin e
Integracin, Actas del II Seminario Internacional de Integracin Subregional,
Universidad Nacional de Jujuy-Universidad Catlica de Salta.
Gonzalez Pizarro, Jos A. 1995. La expresin regionalista en Antofagasta: base social,
demanda comercial y canalizacin poltica. El FF.CC. de Antofagasta a Salta en
1920-1930 Primer Encuentro de Historia Econmica y Social, Universidad de
Santiago de Chile.
Gonzalez Pizarro, Jos A. 1999. El ferrocarril que dio vida a la regin y El desarrollo de la
complementacin econmica en Noa-Norte Grande. Crnica de dos regiones
integradas. Buenos Aires: Embajada de Chile en Argentina, pp. 87-93- 150-154.
Gonzalez Pizarro, Jos A. 2002. Espacio y poltica en Antofagasta en el ciclo salitrero. La
percepcin del desierto y el sentimiento regionalista, 1880-1930 en Viviana ContiMarcelo Lagos, Compiladores, Una Tierra y tres naciones. El litoral salitrero entre
1830 y 1930. Jujuy: Universidad Nacional. Unidad de Investigacin en Historia
Regional, pp. 251-290.
Gonzalez Pizarro, Jos A. 2003. La pampa salitrera en Antofagasta. La vida cotidiana
durante los ciclos Shanks y Guggenheim en el desierto de Atacama. Antofagasta:
Corporacin Pro Antofagasta.
Gonzalez Pizarro, Jos A. 2005. Chile y Bolivia (1810-2000) en LACOSTE, P. (Compilador)
Argentina Chile y sus vecinos. Mendoza: Editorial Caviar Bleu. Coleccin Cono
Sur, Tomo I, pp. 335-392.
Gonzalez Pizarro, Jos A. 2008. Conquering a natural boundary. Mentalities and
technologies in the communication paths of the Atacama desert, Revista de
Geografa Norte Grande, Pontificia Universidad Catlica de Chile, Nmero 40,
septiembre, pp. 23-46.
Gonzalez Pizarro, Jos A. 2008. La emigracin boliviana en la precordillera de la regin de
Antofagasta: 1910-1930. Redes sociales y estudio de casos, Revista de Ciencias
Sociales, Iquique, Nmero 21, pp. 61-85.
Gonzalez Pizarro, Jos A. 2009. Contrasting Imaginaries: The Atacama Desert perceived
from the Region and Observed from the Nation, Revista de Dialectologa y
Tradiciones Populares. Antropologa. Etnografa. Folklore. Madrid, Vol. LXIV, N
2, Julio-diciembre, pp. 91-116.

Privatization Versus Public Funding on the Atacama Desert Railway An Interpretation

67

Gonzalez Pizarro, Jos A. 2009a. The province of Antofagasta. Creation and consolidation
of a new territory in Chile: 1888-1933, Revista de Indias. Madrid, Vol. LXX, N 249,
mayo-agosto, pp. 345-380.
Gonzalez Pizarro, Jos A. 2009b. La huelga/masacre de la Plaza Coln: 6 de febrero de 1906
en Antofagasta. Las lecciones para la historia en Pablo Artaza, Sergio Gonzlez
Miranda, Susana Jiles Castillo (Editores), A cien aos de la masacre de Santa Mara
de Iquique. Santiago: Lom Ediciones, pp. 211-239.
Gonzalez Pizarro, Jos A. 2010. La influencia de la legislacin municipal boliviana en
Antofagasta, 1879- 1888. Un captulo desconocido en la historia del derecho pblico
chileno, en Estudios en Honor de Bernardino Bravo Lira, Premio Nacional de
Historia. 2010. Revista Chilena de Historia del Derecho, Facultad de Derecho de la
Universidad de Chile, Nmero 22, Tomo II, 913-937.
Gonzalez Pizarro, Jos A. 2010. El Puerto Fiscal y la ciudad de Antofagasta en Liliana
Cordero Vitaglic, Coordinacin y Edicin, Historia Grfica del Puerto de
Antofagasta. Abril 1919-Agosto 1929. Antofagasta: Universidad Catlica del NorteGobierno de Chile, Gobierno Regional de Antofagasta- Consejo Regional- Consejo
Nacional de la Cultura y las Artes, Impresin Graficandes, pp. 9-27
Gonzalez Pizarro, Jos A. Ms. Geografa del desierto y turismo de la naturaleza. La revista
En Viaje y la mirada sobre el paisaje nortino: 1945-1966. En Revista de Geografa
Norte Grande, Pontificia Universidad Catlica de Chile, aceptado y a publicarse en
el nmero 52, septiembre de 2012.
Greve, Ernesto. 1944. Historia de la Ingeniera en Chile. Santiago de Chile: Imprenta
Universitaria, Tomo III.
Informe Econmico Ferrocarril de Antofagasta a Bolivia. 1959. The Bolivia Railway
Company. Anexo. Un comentario del Dr. Humberto Fossati. Oruro: Universidad
Tcnica de Oruro. Departamento de Extensin Cultural.
Lagos C. Guillermo, 1981. Historia de la frontera de Chile. Los tratados de lmites con
Bolivia. Santiago de Chile: Editorial Andrs Bello.
Macuer Llaa, Horacio. 1930. Manual Prctico de los trabajos en la Pampa Salitrera.
Valparaso: Talleres Grficos Salesianos.
Mandiola, Juan-Castillo, Pedro. 1894. Gua de Antofagasta. Antofagasta: Imprenta El
Industrial.
Mendieta Parada, Pilar. 2006. Oruro: ciudad moderna y cosmopolita 1892-1930 en Ximena
Medinacelli, Coordinacin, Ensayos Histricos sobre Oruro. La Paz: Sierpe
Publicaciones.
Mitre, Antonio. 1981. Los Patriarcas de la Plata. Estructura socioeconmica de la minera
boliviana en el siglo XIX. Lima: Instituto de Estudios Peruanos.
Mondaca R. Carlos- Segovia B. Wilson-Snchez G. Elizabeth. 2011. Historia y Sociedad del
Departamento del Loa. Calama, una mirada desde los archivos. El municipio y la
construccin social del espacio 1879-1950. Calama: Orizonta Producciones Digitales.
Monterrey C. Nancy. 2009. Chuquicamata. Otras voces te recuerdan. Antofagasta: Sergraf Ltda.
Nuez Atencio, Lautaro.1992. Cultura y conflicto en los oasis de San Pedro de Atacama.
Santiago de Chile: Editorial Universitaria.
Panades, Juan. 1990. La maestranza del Ferrocarril Antofagasta a Bolivia en Mejillones.
Anexo I. En Julio Pinto Vallejos- Luis Ortega Martnez, Expansin minera y
desarrollo industrial: un caso de crecimiento asociado (Chile 1850-1914). Santiago
de Chile: Universidad de Santiago de Chile, pp. 113-136.
Prez, Alexis. 1997. El intercambio comercial Bolivia-Chile y el tratado de lmites de 1874
en Rossana Barragn, Dora Cajas, Seemin Qayam, Compiladoras, El Siglo XIX.

68

Infrastructure Design, Signalling and Security in Railway

Bolivia y Amrica Latina. La Paz: IFEA-Embajada de Francia- Coordinadora de

Historia, Muela del Diablo Editores.
Philippi, Rodulfo .A. 2008 [1860]. Viaje al desierto de Atacama. Estudio Preliminar de Augusto
Bruna-Andrea Larroucau. Santiago de Chile: Biblioteca Fundamentos de la
Construccin de Chile (Facultad de Historia, Geografa y Ciencia Poltica, Pontificia
Universidad Catlica de Chile-Fundacin RA Philippi de Estudios NaturalesBiblioteca Nacional de Chile- Cmara Chilena de la Construccin), Tomo 39.
Ramirez N. Hernn. 2007. Balmaceda y la contrarrevolucin de 1891. En Hernn Ramrez
Necochea, Obras Escogidas. Seleccin, edicin y estudio preliminar Julio Pinto.
Santiago de Chile: Lom Ediciones- Consejo Nacional de la Cultura y las Artes.
Recabarren R. Floreal. 2002. Episodios de la vida regional. Antofagasta: Corporacin Pro
Antofagasta- Universidad Catlica del Norte.
Recabarren R. Floreal-Obilinovic A. Antonio-Panades V. Juan. 1989 [ 1983 1 Ed).Coloso.
Una aventura histrica. Antofagasta: Imprenta Atelier.
Rojas D. Matas. 1883. El Desierto de Atacama i el Territorio Reivindicado. Antofagasta:
Imprenta de El Industrial.
Sagredo Baeza, Rafael. 2001. La gira del presidente Balmaceda al norte. El inicio del crudo y
riguroso invierno de su quinquenio, (verano de 1889). Santiago de Chile: Lom
Ediciones-Universidad Arturo Prat- Centro de Investigaciones Diego Barros Arana.
San Roman, Francisco. J. 1896. Desierto y Cordilleras de Atacama. Santiago de Chile:
Imprenta Nacional. 2 tomos.
Sheffer, M. 2001. See America First. Tourism and National Identity, 1880-1940. Washington:
Laborersonian Institute Press.
Sociedad Nacional De Agricultura, 1922. Ferrocarril trasandino de Antofagasta a Salta.
Santiago de Chile: s.p.i.
Sol, Manuel. 1906. Ferrocarril Trasandino de Salta a Mejillones o Antofagasta. Salta:
Imprenta y Tipografa El Cvico.
Szigethy, Teodoro de. 1948. El Ferrocarril de Salta a Antofagasta y su importancia, Revista
En Viaje, febrero, Nmero 172, pp. 66-68.
Thompson, Ian. 2003. Red Norte: La historia de los ferrocarriles del norte chileno. Santiago de
Chile: Publicacin patrocinada por el Instituto de Ingenieros de Chile, Imprenta Silva.
Thomson, Ian Thomson. 2006. Los ferrocarriles del Capricornio Andino, en Angel
Cabezas, Mara Isabel Hernndez, Lautaro Nez, Mario Vsquez, Comit Editor,
Las Rutas del Capricornio Andino. Huellas milenarias de Antofagasta, San Pedro
de Atacama, Jujuy y Salta. Santiago de Chile: Consejo de Monumentos Nacionales,
Santiago de Chile, pp. 137-149.
Thomson, Ian- Angerstein, Dietrich. 1997. Historia del ferrocarril en Chile. Santiago: DibamCentro de Investigaciones Diego Barros Arana.

4
Competitiveness and Sustainability of Railways
Dave van der Meulen and Fienie Mller
Railway Corporate Strategy CC
South Africa

1. Introduction
1.1 Failure and success: Competitiveness and sustainability
The worlds railway population spans many outcome variations between failure and success.
The study of differences is of course the foundation of scientific research: The ability to
understand what drives such differences facilitates cognitive positioning of railways for
success, or more specifically, competitiveness and sustainability. The authors have pioneered
research that contributed some understanding, on a journey that commenced with research to
describe the global railway setting, and ultimately applied multivariate statistical analysis to
discover how railways adapted to their particular settings. The findings were published
piecemeal as they emerged (e.g. International Heavy Haul Association 1997, 2007, and 2009;
Railway Gazette International, 2006; Transport Research Arena 2012; and World Congress on
Railway Research, 2003, 2006, and 2008), and have been integrated for the first time in this
chapter to present a global overview of the railway industry. As put forward here, the research
foundation is still evident, but only sufficient detail to support the storyline has been retained.
The present objective is to emphasize interpretation and significance of the findings for future
railway positioning, within the available page limit. Reference will of course be made to the
underlying research where appropriate.
1.2 Building a foundation for research into railway positioning
The research stream originated in a need to redress South Africas colonial railway heritage
of narrow track gauge, light axle load, low speed, small vehicle profile, steep gradients, and
monolithic state ownership, which attributes posed many challenges. Some were amenable
to technological solutionfor example it developed successful heavy haul operationsbut
others remained endemic. Solutions to similar challenges emerged around the world during
railway renaissance and ensuing railway reform. However, the need to control for many
differences among such solutions and their settings deterred research to understand which
interventions work and which do not. It will become evident, for example, that debating the
merits of vertical integration and vertical separation can miss the point that either can work
if a railway is inherently competitive, while neither will work if it is inherently
uncompetitive. Unlike other more or less homogeneous modes such as airlines, which are
challenged to differentiate their offerings, rails attributes are so heterogeneous that their
variance boggles the unaided human mind. Gradually awareness dawned that only highlevel numerate research would make progress.

70

Infrastructure Design, Signalling and Security in Railway

The field of corporate strategy is a well established major in business administration and
business leadership. It addresses the total enterprise and how various functions interact to
achieve objectives. Thus while all enterprises encompass several common functions, e.g.
human capital, information technology, and so on, they must also manage their distinct core
business, whether that be banking, mining, whatever, or in the case of railways, moving
goods and people to support their logistics and mobility needs. However, googling railway
corporate strategy returned items dominated by the authors enterprise and their publications.
The unique contribution of the present research stream is therefore a grounded
understanding of corporate strategy with respect to the core business of railways.

2. Railway positioning
2.1 Competitiveness fundamentals
To comprehend railway positioning, it is helpful to examine railway competitiveness vis-vis that of other transport modes by considering their degrees-of-freedom-of-movability.
Three degrees-of-freedom-of-movability (e.g. aerial- and submarine transport) offer high,
spatial movability, but at relatively high cost. Next, two degrees-of-freedom-of-movability
(e.g. unguided surface transport) offer lower, surface movability at lower cost. Last, one
degree-of-freedomof-movability (e.g. guided surface transport) offers only limited, linear
movability, back and forth on its guideway. To the extent that limited movability reduces
the value of their offering, guided surface transport modes such as railways must offer
compensating advantages to compete effectively against other modes that offer higher
movability, including door-to-door transport.
Axiomatically, such compensating advantages should inhere in technologies that
differentiate guided surface transport from other transport modes. A vehicle-guideway pair
ensures precise application of vertical loads, and safe application of lateral loads: Wheel-rail
contact mechanics develop vertical- and lateral force components, technologies named
Supporting and Guiding by Vuchic (2007: 449), which can sustain respectively heavy axle
load and high speed. One may leverage Supporting and Guiding by combining two or many
vehicles, to scale capacity as required, a technology the authors named Coupling.
Supporting, Guiding, and Coupling are the three genetic technologies that distinguish guided
surface transport from all other transport modes: Inherent competitiveness is defined here, and
is measurable as, the extent to which such modes exploit their genetic technologies.
Note that the preceding two paragraphs have been generalized to guided surface transport,
of which railways is a subset. Other guided surface transport modes also exist, which do not
use steel-wheel-on-steel rail. We shall return to them in the context of urban guided transit
in 3.3 and 3.5. Until then, this chapter addresses railways.
Cross-breaking Bearing and Guiding, in Figure 1, yields four railway market spaces. For this
purpose, speed in tens of km/h is low speed, speed in hundreds of km/h is high speed; axle
load above 25 tonnes is heavy. Three market spaces feature high competitiveness, by
exploiting two or more of rails genetic technologiesnamely Heavy Haul (Supporting and
Coupling), High-speed Intercity (Guiding and Coupling), and Heavy Intermodal1 or Double
1Heavy intermodal traffic has heavy axle load: It is distinct from light traffic that simply transfers from
one mode to another.

Competitiveness and Sustainability of Railways

71

Stack (Supporting, Guiding, and Coupling). All three have demonstrated robust
sustainability in competition with other transport modes.

Fig. 1. Railway market spaces by Axle Load and Speed

The fourth market space is potentially weaklight axle load combined with low speed
exploits neither Supporting nor Guiding genetic technology. Failure to exploit the remaining
genetic technology, Coupling, in general freight- and classic long-distance passenger rail
applications exacerbates their weakness, hence competitors erode their markets. Depending
on whether economic-, political-, or social objectives determine their destiny, such railways
are respectively eliminated, protected, or subsidized.
2.2 The special case of urban rail
Human passengers as payload do not achieve high axle load by railway standards, even in
double deck vehicles. Furthermore, the comfort criteria and physical laws pertaining to
acceleration, coasting, retardation, and station dwell time, maximize the capacity function at
around 80km/h. Therefore urban rail cannot maximally exploit either the Supporting- or the
Guiding genetic technology: It is confined to a potentially weak market space, in which it
can exploit only the Coupling genetic technology. By forming vehicles into trains, it can
achieve shorter mean headways than would be attainable by the same number of
autonomous vehicles, thereby maximizing passenger capacity per direction per unit time.
However, where urban rail does not exploit that one and only genetic technology to realize
its capacity potential, it is vulnerable to competition from the rubber-tyred modes
Automated Guided Transit, Bus Rapid Transit, and Monorail. The maximum speed of all
urban guided transit modes is similar, so winners must leverage headway to maximize
capacity. With no pretence at high axle load, rubber tyred modes exploit their consistent
high adhesion to encroach on rails eminent domain.
2.3 The railway renaissance
From bleak prospects in the first decade after World War II, railways in many countries
have learned to exploit the competitive strengths that inhere in rails genetic technologies.
The following events mark the course of their learning:
In 1964, Japan introduced the worlds first commercial high-speed intercity trains (Japanese
Railway, 1964); they exploited the Guiding genetic technology to reach speeds of 210km/h,
and leveraged high capacity by exploiting the Coupling genetic technology. Today, high-

72

Infrastructure Design, Signalling and Security in Railway

speed trains attain average speeds in excess of 300km/h, and move 20 000 passengers per
hour per direction.
In 1972, a landmark article (Tracks to, 1972) recognized heavy haul as a distinct market
space. By then, Supporting and Coupling technologies and equipment to Association of
American Railroads specifications had spread abroad to dedicated railways conveying bulkcommodities. Today, heavy haul lines can move 400 million tonnes per year in trains of 300
cars or more.
In 1980, the United States Staggers Act deregulated its railways: The ensuing wave of
innovation among other triggered introduction of double stack container trains (Levinson,
2006). They enhanced inherent competitiveness through increasing axle load despite
conveying low-density high-value freight in containers, and leveraged it further with the
Guiding and Coupling genetic technologies.
In 1989, the fall of the Berlin Wall tipped the balance of power across the world toward
those advocating democratic, consensual, free-market-oriented governance (Friedman,
2006), an ongoing process that stimulated economic globalization. In the railway supply
industry, the resultant increased competition and trade rationalized many nationallyfragmented system integrators into fewer strong global brands. Concurrently, accelerating
agglomeration in developing economies has expanded the urban rail market. The number of
cities has proliferated by some seventy in the last decade.
Economic globalization has of course been transforming all four abovementioned railway
market spaces: As examples, the Global Rail Freight Conference 2007 in New Delhi reflected
that transformation in its title, and World Congress on Railway Research 2008 reflected it in
its theme Towards a global railway.
The foregoing four events revitalized railways in those countries that appreciated the
imperative to enter as many of rails inherently competitive market spaces as applied to
them. Their accumulation across all railway countries has become known as the railway
renaissance. It has precipitated a substantial body of data, able to support research into the
modalities. However, even as the railway mode enters its third century as a strong
competitor, many railways still have not integrated seamlessly into global logistics and
intelligent mobility; they look different from one another, and even from many other global
service industries. So how does one undertake research that will lead to some
understanding of the differences among them?

3. Railway adaptation: A research paradigm

3.1 Background
When informally comparing railways, which had not joined the renaissance, to those that
had, the latter seemed to have acquired a modicum of consistent identity, or corporate
citizenship. The latter concerns an enterprises profitability and sustainability; balancing
stakeholder expectations, including those of customers, suppliers, and communities in
which it operates; maintaining sustainable partnerships with all levels of government; and
accepting its role in developing countries (World Economic, n.d.). Railways attain this
standing when their corporate citizenship resembles that of other global service industries,

Competitiveness and Sustainability of Railways

73

such as airlines and logistics service providers. Corporate citizenship therefore provided a
sensible perspective on which to found the research reported here. It supports a social
sciences behavioural approach, because human behaviour drives enterprises.
3.2 Research in a dynamic, global setting
Railway countries have adapted themselves for competitiveness and sustainability to
varying degrees in a globalized industry. Hence, in addition to rails genetic technologies,
which address their inherent competitiveness, it is necessary to control for setting variables,
which influence their positioning. The research design must seamlessly compare railways in
command economies with those in free economies, open access with vertical integration,
heavy haul with transnational operators, and so on. It must also compare monolithic
national railways, which may publish comprehensive statistics, with entities whose data are
consolidated at a higher level, and with small operators whose data are confidential.
Corporate citizenship is by definition an ongoing process that requires observations over
time. Behaviour implicitly includes a time scalesnapshot data cannot observe it. A
behavioural approach can naturally support the foregoing requirements. One of the authors
developed a methodology for longitudinal railway corporate strategy research using large
samples in a doctoral dissertation (Van der Meulen, 1994), which methodology underlies the
research reported here.
Fortuitously, the global population of cities and countries with railways is sufficiently small
to avoid sampling, yet, using longitudinal research, at the same time sufficiently large to
support multivariate statistical analysis. It has been mentioned that line haul- and urban rail
are positioned differently, i.e. in respectively inherently competitive- and inherently weak
market spaces. They were therefore researched separately, first line haul and thereafter
urban rail. The necessary methodological distinctions start immediately below, and have
been maintained throughout the rest of this chapter as appropriate.
3.3 The research questions
The authors formulated their research questions within the context of an enterprises corporate
citizenship, as represented by its Contribution to Society, Core Business, Social Investment,
and Engagement in Public Policy, as well as resources deployed to set about its task. In respect
of the three market spaces that demarcate line-haul railways, they hypothesized the existence
of some number of underlying longitudinal, or time-dependent, relations among variables
associated with positioning line haul railways. The research question was therefore: Can one
identify archetypal railway corporate citizenships within the global setting?
In respect of urban rail, the market space is somewhat different. A subsidy is generally
present, so the responsible authority tends to deal directly with public policy aspects.
Furthermore, multiple guided transit modes in a city are not unusual, so urban transit
solutions tend to be more complex. The authors therefore hypothesized that positioning the
various urban guided transit modes in particular cities reflected attributes of their ever
changing economic- and social setting vis--vis attributes of the various transit modes. Their
research question was therefore Which country- and city green- and socio-economic attributes and
relations fit guided transit solutions to particular cities?

74

Infrastructure Design, Signalling and Security in Railway

The two different research questions reflect the essential difference between positioning line
haul rail in market spaces where rail can be inherently competitive, versus positioning
urban rail in a market space where it may be inherently uncompetitive. Nevertheless, the
research design was set up to examine positioning, the action, and fit, the outcome, over
time in both situations.
3.4 Line haul railways
3.4.1 Variables and their definitions
For the purpose of this chapter, line haul railways transport goods or persons over long
distances or between cities. The authors measured the interaction between them and their
settings by the following variables that reflected rails corporate citizenship as well as its
genetic technologies and their naturally competitive market spaces. Pending the outcome of
statistical analysis, they were placed in the following groups for convenience:
Business Group represents the way in which railways deal with their task (Variables
Infrastructure Operator Diversity, Train Operator Diversity, Information Technology
Leverage, Total Road Network-, Motorways- and Paved Roads Percentage).
Competitiveness Group represents the way in which railways position themselves to
compete in their chosen or allotted market spaces (Variables Research & Development
Level, Relative Maximum Axle Load, Relative Maximum Speed, Distributed Power
Presence, Heavy Haul Presence, High-speed Intercity Presence, Heavy Intermodal Presence,
Motive Power Type, and Attitude to Competition).
Contribution Group describes the railways contribution to their society (Variables Network
Coverage, Transport TaskFreight- and Passenger Traffic Volume, Employment Created,
and Initiative Source).
Networkability Group describes the extent and gauge of track, and the contiguous network
beyond a countrys borders (Variables Narrow-, Standard-, and Broad Gauge; Networkability;
and Strategic Horizon).
Ownership Group describes industry structure (Infrastructure-operations Separation,
Infrastructure- and Rolling Stock Ownership Locus, and Infrastructure- and Rolling Stock
Commitment Horizon).
Society Group describes the railway setting (Variables Country (Name), Economic Freedom,
Population, Gross National Income, Physical Size, Determinism, and Climate-change
Position).
Sustainability Group describes adaptation and fit (Variables Infrastructure- and Rolling
Stock Investment Capacity, Stakeholder Satisfaction Level, Service Reputation, Safety
Reputation, Subsidy Influence).
Time Group represents passage of time, a prerequisite for longitudinal research (Variable
Calendar Year).
The operational definitions of the foregoing forty-four variables, plus their measurement
scales, exceed the space available in this chapter: Full details may be found at

Competitiveness and Sustainability of Railways

75

www.railcorpstrat.com/Downloads/feb2008/WCR2008%20Line%20Haul%20Operational%
20Definitions.pdf.
3.4.2 Identification and selection of cases
Whatever the detail institutional arrangements, national governments typically either own
railways, or regulate to varying degrees railways that they do not own, within their
jurisdictions. Exceptions do of course exist where railway operations crisscross national
boundaries by agreement or directive, as in the North American Free Trade Agreement and
the European Union respectively. The authors therefore elected to examine railways by
country.
Some railway attributes are independent of track gauge, but the latter does drive inherent
competitiveness. There is no evidence that railways on track gauge of less than
yard/meter/3-6 are sustainable: The authors therefore excluded data for narrower track
gauges, irrespective of the gauge mix in a country. They used the Railways/Train Operators
section of Railway Directory to define the set of line haul railways. The above criteria
yielded 113 countries. Some of them included suburban and regional passenger operations,
which are strictly not line-haul. However, the complementary set of global railway data is
the City Railways section of Railway Directory, which the authors used for urban railways:
Together these two sections represent the entire global population of railways. On that scale,
they were disinclined to niggle about classification of boundary cases.
3.4.3 Construction of a database
Observations were predicated on the natural affinity between corporate citizenship and
public domain data. Metric data was extracted from Railway Directory (2002-2007), Janes
World Railways (2005-2006, 2007-2008), or the Internet, and non-metric data was extracted
by content analysis from International Railway Journal and Railway Gazette International.
The detail measurement methodology has been reported by Van der Meulen & Mller (2006,
2008b). The Internet was used liberally to verify data to ensure internal consistency. The
longitudinal database, containing one hundred and thirteen line-haul railways by country,
populated with data for the six years 2002-2007, for each railway, gave a population (and
sample) size of 113 x 6 = 678 cases, and is available at www.railcorpstrat.com/Downloads/
WCRR2008%20Line%20Haul%20Database.xls.
3.4.4 Statistical analysis
The authors applied multivariate statistical analysis to the database to examine
simultaneously relations among multiple variables, and multiple cases. They selected Factor
Analysis, to analyze relations among a large number of variables and then to explain them
in terms of a smaller number of latent variables, and Cluster Analysis, to reduce a large
number of cases to a smaller number of clusters. Statgraphics Centurion XV was used to
analyze the data. They culled variables with low communalities that contributed noise
rather than insight (i.e. those that appeared in the Operational Definitions file, but which are
absent from Table 1), after which the data set arrayed thirty-seven variables and 678 cases,
for a total of 25 086 observations. Statistical analysis stops at the Factor Loading Matrix in
Table 1, and at the Icicle Plot available at www.railcorpstrat.com/Downloads/WCRR2008%

76

Infrastructure Design, Signalling and Security in Railway

20Line%20Haul%20Icicle%20plot.xls . Deeper discussion on the statistical intervention is

available in Van der Meulen & Mller (2008b). Latent variable- and cluster names, and the
following discussion, reflect the authors interpretation of their knowledge of the variables
in the research setting.
3.5 Urban guided transit
3.5.1 Enlarging the scope
The authors next applied broadly the same research methodology to urban rail. Although a
previous paper (Van der Meulen & Mller, 2008a) passed peer review and revealed a
constructive distinction between positioning urban rail in cities in developed countries and
in developing countries, they were less than satisfied with its overall predictive validity.
Importantly, the research did not address and therefore could not explain the ascent of the
rubber-tyred competitors Automated Guided Transit (Vuchic, 2007, p.455), Bus Rapid
Transit, and Monorail, against which heavy- and light rail must compete for investment
funding. The authors therefore enlarged the scope of their research in the light-axle-load,
low-speed market space from urban rail to urban guided transit, by including the modes
mentioned below (Van der Meulen & Mller, 2012):
Heavy Metro maximally exploits rails genetic technologies in urban settings. Included are
the rubber-tyred systems found on some Paris Mtro lines, and similar systems elsewhere:
Despite rubber-tyred Supporting and Guiding, their gleaming running rails and wheel
flanges indicate that these steel components are not redundant.
Light Rail and trams were merged, as neither attains fully controlled right of way. By
definition, at 10-11 tonnes/axle, exploitation of rails Supporting genetic technology is weak.
Likewise the built environment constrains Guiding, and typically only a small number of
vehicles are coupled: Technically, their inherent competitiveness is marginal.
Light Metro takes Light Rail to the next level with fully segregated right-of-way. Light axle
load minimizes the cost of elevated structures, while small vehicle profiles minimize the cost
of underground works. Driverless operation offers consistent performance and operational
flexibility free from the labour issues that disturb manned systems.
Automated Guided Transit e.g. VAL and similar, offers consistently higher acceleration and
higher retardation than steel-on-steel, although rubber tyres constrain axle load. As for
automated Light Metro, light axle load and small vehicle profile minimize the cost of civil
works. Automated operation offers consistent, precise high performance.
Monorail excels where pre-existing built environment admits only elevated structures with
small physical footprint. Transit-grade monorails have converged on rubber-tyred straddle
systems. Capacity and performance is comparable to Automated Guided Transit: Once
again, automated operation offers consistent, precise high performance.
Bus Rapid Transit reputedly rolls out faster at lower cost than comparable rail systems. Its
inclusion in guided transit is justified by its narrow concrete runway to support relatively
heavy 12-13 tonne axle load, plus emerging virtual guidance by lane tracking systems. Biarticulated buses even emulate rails Coupling genetic technology.

77

Competitiveness and Sustainability of Railways

Variable

Factor 1

Factor 2

Factor 3

Factor 4

Factor 5

Factor 6

Factor 7

No factor

Factor 8

Relative Maximum Speed

Gross National Income
Motorways
Information Technology Leverage
High-speed Intercity Presence
Country Economic Freedom
Paved Roads
Research and Development Level
Electric Traction

0.78
0.76
0.76
0.70
0.66
0.64
0.63
0.56
0.47

0.34
0.03
0.10
0.18
0.28
-0.22
0.13
0.46
0.42

-0.02
0.22
0.14
0.24
0.03
0.31
-0.17
0.37
-0.19

0.26
0.22
0.15
0.07
-0.02
-0.15
0.42
-0.08
0.33

0.13
0.36
0.12
0.24
0.08
0.30
-0.04
0.11
0.24

-0.01
-0.01
0.01
-0.01
-0.10
-0.11
-0.02
-0.01
0.03

0.02
0.15
0.01
0.20
0.04
0.18
-0.01
0.06
-0.02

-0.03
-0.01
-0.26
0.06
-0.14
0.21
0.14
-0.08
0.27

0.21
0.03
0.11
0.10
0.35
-0.12
0.01
0.32
-0.04

Network Coverage
Country Population
Employee Count
Total Road Network
Passenger Traffic Volume
Country Physical Size
Freight Traffic Volume

0.23
-0.05
0.31
0.21
0.60
-0.35
0.39

0.85
0.84
0.81
0.80
0.69
0.62
0.62

0.27
0.12
-0.02
0.32
0.00
0.40
0.35

0.03
-0.31
0.28
-0.13
0.05
-0.32
0.27

0.20
-0.10
-0.02
0.19
0.16
-0.01
0.16

0.02
0.00
0.04
0.04
-0.03
0.01
0.01

0.02
0.04
-0.02
0.06
0.04
-0.01
0.02

0.08
-0.14
0.18
0.04
0.15
0.03
0.24

0.11
0.03
0.08
0.02
0.07
0.12
0.15

0.03
0.04
0.03
0.04
0.15
0.22

0.09
0.25
0.36
0.05
0.09
0.05

0.82
0.76
0.73
0.67
0.65
0.62

0.08
-0.01
-0.03
-0.29
0.47
0.12

-0.02
0.00
-0.04
0.31
0.13
-0.11

0.09
0.04
0.12
-0.13
0.01
0.01

0.06
0.05
0.03
-0.03
-0.17
0.03

-0.09
0.04
0.07
0.01
0.22
-0.23

0.08
0.16
0.22
-0.16
0.18
-0.13

-0.09
0.29
0.33

0.20
0.04
0.30

-0.04
0.00
0.24

-0.84
0.76
0.49

0.05
0.22
0.27

-0.04
0.04
0.01

0.00
0.00
-0.01

-0.12
-0.07
-0.47

0.01
-0.03
0.08

Infrastructure-operations Separation
Train Operator Diversity
Rolling Stock Ownership Locus

0.29
0.31
0.17

0.12
0.12
0.09

-0.11
-0.05
0.47

0.18
0.16
-0.16

0.81
0.80
0.68

-0.05
-0.04
-0.16

0.07
0.12
0.12

0.04
-0.01
-0.06

0.18
0.16
-0.03

Rolling Stock Commitment Horizon

Infrastructure Commitment Horizon

0.00
-0.07

0.00
0.03

0.09
0.03

0.01
0.06

-0.08
-0.05

0.90
0.90

-0.01
0.01

0.02
0.06

-0.02
-0.05

Calendar Year
Climate-change Position
Rolling Stock Investment Capacity
Infrastructure Investment Capacity

-0.03
0.26
0.18
0.15

-0.04
-0.04
0.41
0.41

-0.02
-0.03
0.17
0.14

-0.01
-0.20
0.21
0.12

0.07
0.17
-0.01
0.05

0.05
0.03
-0.04
-0.18

0.81
0.59
0.48
0.46

-0.03
0.23
-0.21
-0.02

0.05
-0.08
0.20
0.01

Broad Gauge

-0.02

0.23

0.00

0.13

0.02

0.09

0.04

0.88

0.04

0.16
0.17

0.13
0.07

0.05
0.14

0.13
-0.12

0.07
0.13

-0.17
0.08

0.14
-0.06

0.03
0.00

0.72
0.67

Heavy Intermodal Presence

Distributed Power Presence
Heavy Haul Presence
Infrastructure Ownership Locus
Relative Maximum Axle Load
Infrastructure Operator Diversity
Narrow Gauge
Networkability
Standard Gauge

Attitude to Competition
Subsidy Influence

Table 1. The line haul factor loading matrix

3.5.2 Variables and their definitions
For the purpose of this chapter, urban guided transit offers mobility to persons within cities.
The authors measured the fit between guided transit modes and their settings by the
following variables that reflected their corporate citizenship. Pending the outcome of
statistical analysis, they were placed in the following groups for convenience:
Business Group represents the amount of competition or support that urban guided transit
faces in performing its task (variables Bus-, Car-, and Motorcycle Populations; Fuel Price;
Motorways, Highways; and Secondary plus Other Roads Distance).
City Group describes the close urban setting (variables City Name; Surface Area;
Metropolitan Population; Population Growth Rate; World Cities Score; Green Cities Score;
and Smart Card Application).
Contribution Group describes guided transits contribution to its society (variables Inaugural
Year, Number of Operators, Status of Project, Network Coverage, Rolling Stock Fleet,
Passenger Journeys, Number of Routes, Number of Stations, and Employee Count). They were
measured separately for each of the urban guided transit modes, namely Heavy Metro, Light
Rail and Trams, Light Metro, Automated Guided Transit, Monorail, and Bus Rapid Transit.

78

Infrastructure Design, Signalling and Security in Railway

Country group describes the broad national setting (variables Country Name; Agricultural
Land; Agriculture, Value Added; Alternative and Nuclear Energy; CO2 Emissions; Electric
Power Consumption; Energy Use; Exports of Goods and Services; Foreign Direct Investment;
Forest Area; GDP; GNI per Capita; Gross Capital Formation; High-technology Exports; Imports
of Goods and Services; Improved Sanitation Facilities, Urban; Improved Water Source, Urban;
Industry, Value Added; Inflation, GDP Deflator; Internet Users; Life Expectancy at Birth;
Merchandise Trade; Mobile Cellular Subscriptions; Out-of-pocket Health Expenditure;
Population Growth; Population, Total; Public Spending on Education; Services, Value Added;
and Surface Area). These variables were selected from World Bank Development Indicators:
Themes identified by content analysis of Time magazine for the period July 2009 to June 2010
suggested the twenty-eight indicators actually used out of 298 available.
Society Group describes governance and societal attributes of the setting (variables
Economic Freedom Index and Income Inequality).
Time Group represents passage of time, a prerequisite for longitudinal research (variable
Calendar Year).
Operational definitions, measurement scales, and source references, either documentary or
uniform resource locator, for each of the abovementioned variables, are available at
www.railcorpstrat.com/Downloads/Sep2011/TRA%202012%20Operational%20Definitions.
pdf.
To emphasize the difference between the line-haul rail and urban guided transit datasets,
note that the latter does not include the Competitiveness-, Networkability-, and Ownership
groups of the former. Urban guided transit was researched separately because it occupies a
potentially low competitiveness market space; it does not naturally network with other
railways and frequently cannot; and it is generally vertically integrated under a public
authority, so ownership aspects recede into the background. Furthermore, urban rail
responds to authority initiative rather than market initiative as more generally applies to
line haul rail: Subsidies are generally present so sustainability is inherently secure. It was
therefore not considered necessary to describe and measure subsidy and sustainability.
3.5.3 Identification and selection of cases
The research included the entire population of cities for which sufficient data could be
found to populate the database in respect of the transit modes that served them. The City
Railways section of Railway Directory (2009-2011) defined a minimum set of urban
railways. Cities with one or more of automated guided transit, bus rapid transit, and
monorail were added from websites listed under the applicable operational definitions at
www.railcorpstrat.com/Downloads/Sep2011/TRA%202012%20Operational%20Definitions.
pdf.
The longitudinal research design captured the adaptation dynamics of the global urban
transit industry for the three consecutive years 2009-2011. To add a fourth, projected year,
2012, greenfields- and brownfields projects were also included, their various stages of
progress measured on a five-point scale (Proposed 1, Feasibility Study 2, In Design 3, Under
Construction 4, and Operational 5). The latter value of course also applied to all existing
systems for the years 2009-2011.

Competitiveness and Sustainability of Railways

79

Where necessary, raw data for agglomerations with more than one guided transit system
were adjusted to match them to the population and area that they served. Details of the
affected agglomerations accompany the applicable operational definitions.
3.5.4 Construction of a database
The authors constructed a new, dedicated, urban guided transit database using the variables
and cases mentioned above. The Microsoft Excel file comprises two complementary data
subsets, namely Countries and Cities, and is available at www.railcorpstrat.com/
Downloads/Sep2011/TRA%202012%20Database%20and%20Factor%20Loading%20Matrice
s.xls. It gathered 330 cities with guided transit in sixty-eight countries, each with four years
data for the period 2009-2012, for a total of 1320 cases. The database thus contains (1320
cases) x (98 variables) = 129 360 observations.
3.5.5 Statistical analysis
In previous research, Van der Meulen & Mller (2008a) had used factor analysis to reduce the
initial variables to a smaller set of latent variables. However, the many variables required to
describe country settings in sufficient detail tended to unduly dominate some of the latent
variables. Therefore, reflecting the research question, exploratory factor analysis was first
undertaken separately for Country- and for City descriptive variables, using Statgraphics
Centurion XV software. From the initial 36 country variables, it found seven latent variables,
namely Country Stature, Economic Development Level, Energy Demand Level and alter ego
Alternative Energy Acceptance, Services Contribution to GDP; Trade Contribution to GDP, and
Societal Development Level. From the initial 60 city variables, it also found seven latent variables,
namely Heavy Metro Position, Automated Guided Transit Position, Monorail Position, Light Metro
Position, Light Rail Position, and Green City Impediments. The authors named the latent variables
in the light of the variables that loaded onto them, within the context of the urban rail industry
setting: The separate factor loading matrices are available at www.railcorpstrat.com/
Downloads/Sep2011/TRA%202012%20Database%20and%20Factor%20Loading%20Matrices.
xls, while a diagram showing which variables by name loaded onto each Country- and City
latent variable is available at www.railcorpstrat.com/Downloads/Sep2011/TRA%202012%
20Latent%20Variables%20Diagram.pdf. Thereafter, structural equation modeling using EQS
6.1 software found relations among these latent variables. The path diagram in Figure 2 shows
the significant standardized regression coefficients as arrows pointing to the dependent latent
variables. Positive correlations indicate support, negative correlations indicate opposition.
Interpretation follows in 4.2.1. A detailed report on the structural equation modeling
intervention is available on the authors website at www.railcorpstrat.com/Downloads/
Sep2011/TRA%202012%20SEM% 20Report.pdf .

4. Findings
4.1 Line haul railways
4.1.1 The factor loading matrix
Exploratory factor analysis extracted seven latent variables plus one single variable, shown
in boldface italics in Table 1: They represent activities by which railways position their

80

Infrastructure Design, Signalling and Security in Railway

corporate citizenship in respect of their core business. Interpretation of the latent variables
follows, with a reminder that 4.1 does not address urban rail: The latter will be addressed
in 4.2.
4.1.2 Positioning passenger rail
The variables Relative Maximum Speed, Gross National Income, Motorways Percentage,
Information Technology Leverage, High-speed Intercity Presence, Economic Freedom,
Paved Roads Percentage, R&D Level, and Electric Traction, all loaded positively onto the
latent variable Positioning Passenger Rail. Their effects are therefore mutually supportive.
Relative Maximum Speed anchors Positioning Passenger Rail. Based on rails Guiding
genetic technology, it enabled the railway renaissance to meet passengers high-speed
expectations on dedicated high speed lines. It even created new markets, such as Chinas
high-speed overnight electric multiple unit services, which extend their reach beyond the
constraints of a working day. Such innovations facilitate rails contribution beyond peak oil,
when high fuel prices could curb air travel.
Significantly, high national income and economic freedom associate concurrently with
motorways and paved roads, and with high-technology passenger railway attributes, i.e.
high relative maximum speed, information technology leverage, high-speed intercity
presence, electric traction, and high R&D level. Evidently road competition stimulates highspeed railways, which require high technology to remain competitive. It is therefore
noteworthy that the R&D function has migrated from railway operators to industry:
Emerging brand- and model competition among system integrators is comparable to that
between Airbus and Boeing in the aircraft industry.
4.1.3 Exploiting opportunities
The variables Network Coverage, Country Population, Employment Creation, Total Road
Network, Passenger Traffic Volume, Country Physical Size, and Freight Traffic Volume all
loaded positively onto the latent variable Exploiting Opportunities. It suggested competitive
and cooperative symbiotic relations among a countrys transport infrastructure (Network
Coverage and Total Road Network), its stature (Population and Physical Size), and rails
contribution to the economy (Employment Created, Passenger Traffic Volume, and Freight
Traffic Volume). It demarcated the space in which Enlightened-, Progressive-, and Assertive
Railways actualize their corporate citizenship as discussed in 4.1.10.
Large countries, or smaller countries with large contiguous networks beyond their borders,
are prime railway locations. Notwithstanding that, the inherently competitive applications
Heavy Haul, High-speed Intercity, and Heavy Intermodal, do not load on this latent
variable: Positioning Passenger Rail, Exploiting Opportunities, and Positioning Freight Rail,
therefore present mutually exclusive corporate citizenship positioning opportunities for
railways.
Real world examples reflect both actualization and absence thereof. Large developing
countries with high rail traffic volumes, such as Brazil, China, India and Russia are
substantially redeveloping their railways to increase their contributions to their respective
national transport tasks. Europes high-speed railways, and North Americas heavy freight

Competitiveness and Sustainability of Railways

81

railways, illustrate strong performance in particular market spaces. Chinas Freight- and
Passenger Dedicated Lines, as well as Indias Freight Dedicated Corridors and its emerging
interest in high speed, illustrate ability to position railways in separate market spaces where
opportunities are sufficient. By contrast, Europe has the population, area, and traffic to
support substantial rail freight presence, yet substantial freight volume continues to move
by road, for reasons that will become clear in the next section.
4.1.4 Positioning freight rail
The variables Heavy Intermodal Presence, Distributed Power Presence, Heavy Haul
Presence, Infrastructure Ownership Locus, Relative Maximum Axle Load, and
Infrastructure Operator Diversity all loaded positively onto the latent variable Positioning
Freight Rail. It suggested that competitive freight railways, manifested by heavy
intermodal-, heavy haul-, and distributed power presence, associated with high relative
maximum axle load, privately owned infrastructure, and competing infrastructure
operators. Examples are preservation of competition among railways in the North American
Free Trade Agreement (Canada, Mexico, and the United States), and competition among
parallel iron ore railways in Australias Pilbara and Qubecs North Shore.
Highly competitive and sustainable positioning of freight railways is evident in the
member countries of the International Heavy Haul Association (Australia, Brazil, Canada,
China, India, Russia, South Africa, Sweden-Norway, and the United States); the double
stack container trains of the North American Free Trade Agreement and Australia, China,
India, and Saudi Arabia; and the emerging dedicated rail freight corridors in China and
India (Dedicated Freight, 2010). By contrast, the constituents of Positioning Freight Rail are
absent in Europe: Indeed the notion of a rail freight dedicated network has already been
rejected (European Freight, 2008). It is therefore unsurprising that European rail freight
struggles to compete with road freight (Heydenreich & Lehrmann, 2010), and it will be
interesting to observe whether the evolving rail freight network (Jackson, 2011a) will turn
the tide.
Interestingly, while both freight- and passenger railways use information technology, the
latent variable Information Technology Leverage loaded only onto Positioning Passenger Rail,
but is absent from Positioning Freight Rail. This suggested that freight rails ideal corporate
citizenship is that of competent carrier, and that logistics management belongs elsewhere.
It supports the assertion that few railways have had the management capability to
integrate acquired logistics companies efficiently and effectively (Reinhold & Gasparic,
2009).
4.1.5 Exploring horizons
The variables Narrow Gauge (negative), Networkability, and Standard Gauge loaded onto
Exploring Horizons. The signs indicated that Narrow Gauge opposed networkability, while
Standard Gauge reinforced it. Standard gauge track allows network- and train operators to
explore ever-wider horizons. This is evident in several initiatives to connect the standard
gauge networks of China, Europe and the Middle East. Note from Table 1 that Broad Gauge
did not load onto any latent variable: From a networkability perspective it is an independent
variable, like the real world examples.

82

Infrastructure Design, Signalling and Security in Railway

By contrast, many narrow gauge railways must forego participation in long-haul business.
While they have achieved modest success in heavy haul, arguably the only viable postrenaissance narrow gauge application, heavy haul railways are usually short, and do not
naturally network with one another. Queenslands are interestingapproximately parallel
systems from multiple coalmines to several ports. South Africas are on opposite sides of the
continent. Brazils Estrada de Ferro Vitria a Minas is essentially a single purpose operation.
None of them establish a basis for continental scale networkability.
4.1.6 Pursuing competition
The variables Infrastructure-operations Separation, Train Operator Diversity, and Rolling Stock
Ownership Locus all loaded positively onto the latent variable Pursuing Competition. Vertical
separation, multiple train operators, and private rolling stock ownership constitute the basis of
liberal on-rail competition with open access to infrastructure, which has emerged notably in the
European Union and Australia. Latent variables are mutually exclusive: Pursuing Competition
introduces competition in the market in settings that are physically unable or politically
unwilling to support competition for the market among multiple infrastructure operators as in
Positioning Freight Rail. Whether vertical separation benefits the railway industry and its
stakeholders has been debated since Sweden first implemented it in 1987: There are many
arguments for and against (Jackson, 2011b). However, Pursuing Competition is only one of a suite
of applicable corporate citizenship latent variables. It is evident that in instances where vertical
separation has not worked as expected, that inherent competitiveness has also fallen short.
Consider, for example, that open access has met EU expectations for passenger operators, but
missed them for freight, while the freight-oriented Australian Rail Track Corporation network
has met expectations: In Europe, passenger rail positioning is inherently competitive, but not so
freight, while in Australia freight rail positioning is inherently competitive.
4.1.7 Aligning assets
The variables Rolling Stock Commitment Horizon and Infrastructure Commitment Horizon both
loaded positively onto the latent variable Aligning Assets. It suggested aligning infrastructure and rolling stock investment for appropriate periods, to avoid competitiveness
being eroded by obsolescence. Without competition to demand ever-increasing
performance, railways are not incentivized to replace existing assets with higher performing
assets. If they do not routinely raise the bar of their genetic technologies by increasing axle
load, speed, and/or train length, it becomes difficult to justify new- or upgraded assets.
Railways then contemplate refurbishment and rehabilitation, often leading indicators of
unsustainability. Sometimes they deploy new rolling stock on existing infrastructurea
palliative that may fail to realize the new trains full performance potential. The
countervailing value of private ownership emerged in Positioning Freight Rail and Pursuing
Competition. Sustainable private enterprise works assets hard or works them out.
4.1.8 Greening the image
The variables Calendar Year, Climate-change Position, Rolling Stock Investment Capacity, and
Infrastructure Investment Capacity all loaded positively onto the latent variable Greening the
Image. The anchor roles of Calendar Year and Climate-change Position suggested that actors
outside rather than inside the railway industry were actually setting the pace of greening.

Competitiveness and Sustainability of Railways

83

Greening the Image reinforces Positioning Passenger Rail and Positioning Freight Rail, but the
benefits of a greener but uncompetitive mode are insignificant: The real challenge is to
increase rails competitiveness and thereby shift traffic to a greener mode by ecological
adaptation. Rails green credentials are undisputed: High speed railways accept steeper
gradients that minimize environmental impact; heavy axle load attracts traffic from road to
rail. State-of-the-art high-speed trains, and hybrid diesel locomotives with intelligent
driving aids, reduce energy consumption per passenger journey and per ton-km. However,
high speed and heavy axle load are uncomfortable bedfellows: Hence, in principle and to
the extent that it is viable, physically separate dedicated freight- and passenger
infrastructure promotes greening.
Passenger trains tend to be lighter and more frequent, so recovery of their regenerated
braking energy poses the lesser challenge. However, Positioning Freight Rail promotes longer
and heavier trains, so recovery of their regenerated braking energy poses the greater
challenge. In particular, many heavy haul railways descend from mine to port, and several
are potentially net energy generators over the empty-loaded round trip (Van der Meulen,
2010). Maximum regenerative braking should be the point of departure. However, while onboard battery storage on hybrid diesel locomotives might be worthwhile, such systems
cannot deal with a net surplus. Furthermore, regenerating all instantaneously surplus
energy requires locomotives to control the same load on downgrades that they haul on
upgrades. While this requires symmetrical up- and downgrades, many heavy haul routes
have asymmetrical grades that oblige loaded trains to dissipate potential energy through
dynamic or friction braking on descending grades, which reduces sustainability. Even if
gradients supported full regenerative braking, matching a three phase supply grid to single
phase overhead traction supply is the next challenge. This introduces the concept of smart
grids and open systems, which one hears about, but not yet in railway traction.
4.1.9 Constraining downside
The variables Attitude to Competition and Subsidy Influence both loaded positively onto the
latent variable Constraining Downside. It suggested that encouraging competition, while
applying subsidy to influence the beneficiary, could constrain downside in adverse
situations. A countrys railway industry is only as competitive as government will allow or
encourage. Where appropriate, governments traditionally subsidized railways directly, but
their role is changing. Instead of simply assuming responsibility for runaway expenses, they
now tend to recognize railways as worthy corporate citizens that they influence through
instruments such as investing to raise competitiveness, public-private partnerships, tax
incentives, and so on. Two examples are the United States Passenger Rail Improvement and
Investment Act of 2008 and its American Recovery and Reinvestment Act of 2009, which
provided seed investment for high speed rail, to be matched by state funding for operational
support (Boardman, 2010).
4.1.10 Cluster analysis
Whereas factor analysis finds relations among the variables in a database, the multivariate
procedure cluster analysis finds relations among the cases in a database, countries in this
instance. Applying cluster analysis, to the 2007 data only, reduced the 113 countries in the

84

Infrastructure Design, Signalling and Security in Railway

population to five clusters, which the authors named Fortuitous Railways, Insecure
Railways, Enlightened Railways, Progressive Railways, and the quasi-cluster Assertive
Railways. The procedure maximizes within-cluster homogeneity and maximizes betweencluster heterogeneity. Mentioning cluster members by name is restricted here, because some
ups and downs have occurred over time. Full details are nevertheless available in Van der
Meulen & Mller (2008a), while discussion of key issues follows.
Fortuitous Railways clustered twenty medium-sized countries. Their Relative Maximum Axle
Load was the only high attribute, the rest rating either moderate or low. They were standardor broad gauge state railways, redeemed by axle load that happened to be sufficiently heavy
to support basic competitiveness. The authors named them Fortuitous Railways because they
lacked attributes with which to project a distinctive corporate citizenship. Demonstrating
that railway renaissance is advancing, several Middle Eastern countries, which are making
substantial railway investment, have probably moved from the Fortuitous cluster to one of
the Enlightened-, Progressive-, or Assertive clusters.
Insecure Railways clustered fifty-four medium-sized countries. It had no high attributes,
had generally moderate attributes, and had low competitiveness, i.e. low maximum axle
load and -speed; no distributed power-, heavy haul-, or heavy intermodal presence;
predominantly narrow track gauge and low networkability. The authors named them
Insecure Railways because they failed to exploit any of rails strengths, and hence could be
vulnerable to external threats or withdrawal of political support. Many have colonial
origins, which possibly denied them wherewithal to actualize the positioning latent
variables detailed in 4.1.2 to 4.1.9: In countries where line haul railways are justified at all,
rebalancing of global power from developed- to developing countries could well redress
this legacy, one way or another.
New Zealand, which returned full circle during the present research, characterizes the
Insecure Railways cluster. Privatized in 1995, it soon fell short of expectations, running
down assets along the way (New Zealand, 2008). The government repurchased the
infrastructure in 2004, and the operations in 2008, thereby re-nationalizing railways. The
events are unsurprising: Narrow track gauge on an island, and other handicaps, precluded
it from Positioning Passenger Rail, Exploiting Opportunities, Positioning Freight Rail, or Exploring
Horizons, not to mention the other positioning latent variables. Governments skepticism
regarding the role of rail (KiwiRail debates, 2009) appeared justified.
Enlightened Railways clustered twenty small countries, mainly European Union members,
-candidates, or -applicants, plus South Korea. They rated high on relative maximum axle
load and -maximum speed, electric traction, networkability, information technology
leverage; paved roads, economic freedom, and gross national income. All other variables
were moderate, while freight technology was lowno distributed power-, heavy haul-, or
heavy intermodal presence. The name reflected their enlightened approach to rail reform by
encouraging competitive railway positioning per the latent variable Pursuing Competition.
Progressive Railways clustered France, Italy, Spain, Japan, Germany, and the United
Kingdom. They rated high on R&D level, relative maximum speed, high-speed intercity
presence, electric traction, attitude to competition, standard gauge, train operator diversity,
information technology leverage, total road network, motorways, network coverage, freight
traffic volume, passenger traffic volume, employee count, economic freedom, population,

Competitiveness and Sustainability of Railways

85

gross national income, infrastructure investment capacity, and rolling stock investment
capacity. These attributes supported competitive high-speed passenger services in
developed economies, while freight technology rated lowdistributed power, heavy haul,
and heavy intermodal were absent. All other attributes rated moderate. However, state
involvement was still present, and infrastructure operator diversity was essentially absent,
hence actualization of the full spectrum of positioning latent variables was circumscribed.
The name speaks for itself.
The Enlightened- and Progressive clusters needed to position their rail freight for
competitiveness. Setting aside Japan and South Korea, where respectively geography and
present politics constrain networkability, this reduces to a European matter. The uncertain
outlook of Europes rail freight (Reinhold & Gasparic, 2009) is not unexpected. The latent
variables Positioning Passenger Rail and Positioning Freight Rail indicate that positioning
freight- and passenger rail are distinct corporate citizenship activities: To date, these clusters
have hardly actualized Positioning Freight Rail. The prospect of heavy freight that will
predominantly run on a dedicated Trans-European Freight Network (European Rail, 2007)
is therefore encouraging. If successful, the notion of general freight transport increasingly
being undertaken by relatively light containerized trains that resemble passenger trains in
terms of loads exerted on the infrastructure, average speed, reliability and performance,
should be expected to rearrange the latent variable Positioning Freight Rail, and possibly
other latent variables too.
Assertive Railways formed a quasi-cluster, i.e. statistically independent railways that are
icicle plot neighbours but did not actually cluster. They are not insignificant railways, as the
following two selected above-the-median examples illustrate.
The United States rated high on research and development level, relative maximum axle load
and -speed; distributed power-, high-speed intercity-, and heavy intermodal presence;
attitude to competition; standard gauge; infrastructure operator diversity; information
technology leverage; total road network; infrastructure- and rolling stock ownership locus;
network coverage; freight traffic volume; economic freedom; gross national income; physical
size; infrastructure investment capacity; and subsidy influence. The US competitive private
enterprise and technology leadership have established a formidable freight railway
corporate citizenship. Trucking is both a tough competitor and a symbiotic supporter,
mainly in the intermodal market space. However, its comparatively high rail freight market
share, one of the highest in the world, has moved shippers to seek increased competition
and strengthened federal oversight (Kimes, 2011). Comparing European and US outcomes
to freight and passenger separation challenges in terms of Positioning Passenger Rail and
Positioning Freight Rail, note that Europes is generally a minus freight outcome; the US is
generally a minus passenger outcome. Both actively seek to introduce the missing positioning
latent variable. However, as mentioned under Progressive Railways above, Europes rail
freight still needs to demonstrate turnaround. Noting that the US is the only country with
strong underpinning for the latent variable Constraining Downside, its recent modest
stimulus funding (High speed, 2009) was on cue, but the quantum seemed unlikely to create
dedicated passenger corridors, while admission of 145km/h intercity trains on conventional
mixed-traffic routes might have diluted its potential impact. Subsequent progress has been
ambivalent (Six-year high, 2011; Governor halts, 2011), with only California committing to
commence construction of a 350km/h system in 2012 (California High, 2011). Evidently the

86

Infrastructure Design, Signalling and Security in Railway

latent variables Positioning Passenger Rail and Positioning Freight Rail are so robustly rooted in
rails genetic technologies that they do not readily yield to political expediency.
China rated high on R&D level, relative maximum speed; distributed power-, high-speed
intercity-, and heavy intermodal presence; electric traction; attitude to competition;
motorways; paved roads; freight traffic volume; employee count; population; physical size;
and infrastructure- and rolling stock investment capacity. Its rapid network growth and
technological development, and its immense railway corporate citizenship, have drawn
global admiration. Initially, it mixed high-speed passenger and freight on an upgraded,
network: For a country eagerly actualizing the latent variable Exploiting Opportunities, that
outcome aligned uneasily with the latent variables Positioning Passenger Rail and Positioning
Freight Rail. However, in recent times it has vindicated the research findings by rapid
expansion actualizing Positioning Passenger Rail through the emerging Passenger Dedicated
Line (PDL) network (Li-ren & Li, 2010), and Positioning Freight Rail through a second heavy
haul line to augment the 400 million-tonnes-per-year Daqin line (Second heavy, 2009) with
an ultimate objective of a 10000km heavy haul network. Heavy axle load is absent from the
variables listed above, but is set to increase to 30 tonnes on heavy haul lines (Seizing the,
2009). Chinas actualization of Positioning Passenger Rail and Positioning Freight Rail has
positioned it as worlds busiest heavy haul railway, and operates the first trains in the world
timetabled to run at an average of over 300km/h (Chinas star, 2010).
To do justice to members of the Assertive Railways cluster requires more space than the
page limit of this chapter. Because they are a quasi-cluster and not a true cluster, it is not
possible to discuss them in generic terms as has been done for the Fortuitous-, Insecure-,
Enlightened-, and Progressive Railways clusters. Instead each one requires discussion of its
individual attributes. Further examples may be therefore be found in Van der Meulen &
Mller (2008b).
4.2 Urban guided transit
4.2.1 The path diagram
Section 4.1 has interpreted the statistical findings of rails three inherently competitive
market spaces. Next, in urban transit language, 4.2.2 to 4.2.10 will interpret the path
diagram in Fig. 2 with respect to rails inherently weak market space. More detail is
available in Van der Meulen & Mller (2012).
4.2.2 Green city impediments
The latent variable Green City Impediments mediated between the country setting and urban
rail solutions in particular cities. Noting carefully the relative directions of their signs, and
that double negative is positive, the latent variables Societal Development Level (-0.389),
Alternative Energy Acceptance (-0.256), Economic Development Level (-0.150), and Services
Contribution to GDP (-0.149), opposed it, while Country Stature (0.075) supported it. From the
perspective of populous, large countries that feature urban guided transit, larger is
evidently not greener: Rather, positive societal development, minus alternative energy
acceptance, minus economic development, and minus services contribution, associate with
green cities.

Competitiveness and Sustainability of Railways

87

Fig. 2. Path Diagram showing standardized regression coefficients as arrows pointing to

dependent latent variables
4.2.3 Positioning heavy metro
Green City Impediments (0.545) supported the latent variable Heavy Metro Positioning; Country
Stature (-0.090) opposed it. The authors interpreted these relations to mean that the variables
that impede green cities, namely Area, Population, and Population Growth, also drive the
Heavy Metro mode, rather than that Heavy Metro is not green. The road network- and
vehicle population variables loaded onto Country Stature: Its negative sign thus suggests that
countries that enjoy advanced development might ultimately come to oppose Heavy Metro.
Alternatively, one could interpret the relation to mean that large cities with large
populations and high population growth might find Heavy Metro out of reach, and opt for
Bus Rapid Transit instead. To emphasize its pre-eminence among other urban guided transit
modes, note that Heavy Metro Position attracted loading by the variables World Cities Score
and Smart Card Application. It appears that, until the present, leading cities considered
Heavy Metro to be a must have feature.

88

Infrastructure Design, Signalling and Security in Railway

4.2.4 Positioning automated guided transit

Economic Development Level (0.234) and Services Contribution to GDP (0.113)
supported the latent variable Automated Guided Transit Positioning; Trade Contribution
to GDP (-0.143) and Energy Demand Level (-0.141) opposed it. The authors interpreted
this to mean that Automated Guided Transit fitted into developed, service economies,
together with Monorail and Light Metro. See also 4.2.9 and 4.2.10 for additional
interpretation.
4.2.5 Positioning monorail
Green City Impediments (0.225), Economic Development Level (0.165), and Services
Contribution to GDP (0.156) supported the latent variable Monorail Positioning; Trade
Contribution to GDP (-0.132) and Alternative Energy Acceptance (-0.044) opposed it. As for
the Heavy Metro mode, the variables that impede green cities also drive the Monorail mode.
Like Automated Guided Transit and Light Metro, Monorail fitted into developed, service
economies. See also 4.2.9 and 4.2.10 for additional interpretation.
4.2.6 Positioning bus rapid transit
Green City Impediments (0.359), Country Stature (0.157), and Trade Contribution to GDP (0.079)
supported the latent variable Bus Rapid Transit Positioning; Energy Demand Level (-0.120)
opposed it. As for the Heavy Metro- and Monorail modes, the variables that impede green
cities also drive Bus Rapid Transit. However, noting that Country Stature supports Bus
Rapid Transit, one would naturally expect to find Bus Rapid Transit in large, rapidly
growing cities, such as Jinan in China. See also 4.2.9 and 4.2.10 for additional
interpretation.
4.2.7 Positioning light metro
Services Contribution to GDP (0.128) and Economic Development Level (0.112) supported
the latent variable Light Metro Positioning; Trade Contribution to GDP (-0.090), Country
Stature (-0.088), and Societal Development Level (-0.083) opposed it. Like Automated
Guided Transit and Monorail, the Light Metro mode fits into developed, service economies,
although not yet assertively due to its comparatively recent emergence. Opposition by
Country Stature suggested that it fits well into smallish, more intimate cities. Opposition by
Societal Developmental Level appeared counter intuitive, but it might indicate that highcapacity public transport is unwanted in such cities. See also 4.2.10 for additional
interpretation.
4.2.8 Positioning light rail
Societal Development Level (0.138), Trade Contribution to GDP (0.137), Energy Demand
Level (0.116), Country Stature (0.099), and Alternative Energy Acceptance (0.075) supported
the latent variable Light Rail Positioning; Green City Impediments (-0.389) opposed it. The
double negative (minus impediments) indicated that Light Rail actually supported green
cities: It was the only urban guided transit mode for which all correlation coefficients that
pointed to it were found to mutually reinforce its fit in a city.

Competitiveness and Sustainability of Railways

89

4.2.9 Energy awareness

Either Energy Demand Level or Alternative Energy Acceptance opposed each of the three
rubber-tyred modes, Automated Guided Transit, Monorail, and Bus Rapid Transit. They
have higher rolling resistance than steel tyred modes, and all things being equal, also
higher energy consumption. Evidently, countries that already had high energy demand,
and those that accepted alternative energy, were sensitive to unduly increasing their
energy demand. By contrast, Energy Demand Level and Alternative Energy Acceptance both
supported Light Rail: Its greenness therefore offsets its marginal inherent
competitiveness.
4.2.10 Trade awareness
The latent variable Trade Contribution to GDP opposed the higher technology automated
modes, i.e. Automated Guided Transit, Monorail, and Light Metro; whereas it supported
the lower-technology Bus Rapid Transit and Light Rail. Evidently there was an inverse
relationship between technology and trade, which would manifest itself as the
conservative tactic of initially deploying advanced technology close to its origin or
support base.

5. Discussion
5.1 Positioning passenger rail
The latent variable Positioning Passenger Rail has become a prominent function of railway
corporate citizenship. High speed rail has established itself as a formidable competitor
against airlines in most developed countries. It is also considered to stimulate developing
countries, and has become an aspirational objective in newly industrialized countries.
Countries such as Brazil, India, Iran, Morocco, Russia, Thailand, and Turkey, already
have, or are committed to acquiring high speed rail systems. China sees it as an
environmentally responsible mode for journeys up to six hours. Dedicated passenger
corridors have become the norm. Chinas 2010 High Speed Rail Conference sealed high
speed as the way to do long-haul passenger rail for the future. Positioning Passenger Rail is
a useful indicator of which variables should be within the high speed rail frame of
reference.
5.2 Positioning freight rail
The latent variable Positioning Freight Rail has also become a prominent function of railway
corporate citizenship. Heavy Haul is the prime solution for moving high volumes of bulk
commodities, as is Heavy Intermodal for moving high volumes of containers long distances
overland. Dedicated freight corridors have emerged in countries such as China and India,
which have the traffic volumes to justify them. Aside from the essential technical attributes
of heavy freight railways, the latent variable has highlighted the fundamental role of
competition in freight transport, getting right down to private infrastructure ownership and
then pitting competing railways against each other. Freight transport is generally a ruthless,
low margin, and very competitive market, not well suited to a government player. It is

90

Infrastructure Design, Signalling and Security in Railway

therefore difficult to see why some governments continue to see freight transport as a core
government function (Amos, 2006). Looking ahead to 5.4, it is evident that not all rail
reforms have faced this issue.
5.3 Positioning urban rail
The findings on urban rail positioning have provided interesting insights into ecological
adaptation in the light-axle-load low-speed market space. While Heavy Metro remains
unchallenged at the highest capacity level, it appears that rubber-tyred guided transit modes
have breached rails pre-eminent status. One would therefore expect Light Rail, and by
extension Light Metro, to be more vulnerable to competition from rubber-tyred systems by
virtue of their low axle load. Notwithstanding that potential weakness, their good green
credentials are attractive to smaller cities that value inherent environmental friendliness
over the expediency of simply moving people under the weight of popular demand.
Automated Guided Transit, Monorail, and Bus Rapid Transit do however seem well
positioned to drive a wedge between the heavy- and light poles of urban rail. From there,
one should expect them to win in medium cities such as Automated Guided Transit in Lille
in France, and Bus Rapid Transit in Jinan in China.
5.4 The role of rail reform
This chapter commenced with observing differences among railways. In the context of
this Section, variables in the Ownership Group and the Society Group were particularly
relevant. Having researched and explained the modalities of railway positioning, and
finding that renaissance is an achievable aspiration, it is now apposite to return to the
original differences. Why do the Fortuitous and Insecure clusters still exist? Note that
countries that have advanced have in many instances liberalized their institutional
arrangements, or are in process of doing so. There are of course exceptions, such as
China and India, but the weight of evidence from the Fortuitous and Insecure clusters,
the majority of whose members are state-owned, suggests that unless state ownership
results in operational efficiency and capital investment that positions railways for
competitiveness and sustainability, it is an impediment rather than a facilitator.
Vertical integration versus vertical separation and open access has been another persistent
reform issue. It is helpful to benchmark positions against the United States industry model.
Interoperability is near seamless, and continental-scale haul distances transcend
geographically-defined railroad franchises. Extensive leasing separates rolling stock
ownership from liveries and reporting marks. Symbiotic trackage rights give access to
infrastructure of others. Unrestricted interchange of 32.4 tonne-per-axle vehicles give the lie
to assertions that heavy haul and vertical separation cannot co-exist. All told, US railroads
are effectively infrastructure managers, not unlike those in Europe, and for purpose of this
argument its actual vertical integration is less than what the name suggests. Note
nevertheless critical differences regarding private infrastructure ownership, and extensive
though not ubiquitous competition between parallel railroads. While shippers will attest
that it is not a perfect market, it does suggest that anything less free is more constraining
than it need be.

Competitiveness and Sustainability of Railways

91

Note that this Section applies to line haul railways only. Urban rail is generally a local
government responsibility, which institutional arrangements are appropriate.

6. Future research
The research journey has revealed complex relations that underlie railway positioning.
As the renaissance progresses, railways migrate to clusters that exhibit more advanced
corporate citizenship. However, the adaptation process has fragmented the industry into
more competing entities, whose data become less accessible due to commercial
sensitivities, in many instances providing no more than minimum legal requirements.
The present research was fortunately conducted in a window of opportunity that has all
but closed in countries whose line-haul railways have advanced the furthest. Due to the
public nature of urban rail, that has not yet happened to its data. It would therefore be
difficult to replicate the line haul research with current data. It might even be pointless
because, having identified the Fortuitous and Insecure clusters and the determinants of
their position, there is arguably no more insight to extract. It would be more productive
to learn from the Enlightened, Progressive, and Assertive railways. However, that would
reduce the population size by 65%, which would require a new research design.

7. Conclusions
The research stream described in this chapter has developed a statistical research approach
to global railway positioning, both line haul- and urban, from a corporate citizenship
perspective.
In supporting the hypothesized existence of some number of underlying longitudinal, or
time-dependent, relations among variables associated with positioning line haul
railways, the research has found the eight latent variables Positioning Passenger Rail,
Exploiting Opportunities, Positioning Freight Rail, Exploring Horizons, Pursuing Competition,
Aligning Assets, Greening the Image, and Constraining Downside. These latent variables
represent actualization of a railways corporate citizenship with respect to its core
business.
In supporting the hypothesis that positioning the various urban guided transit modes in
particular cities reflected attributes of their ever changing socio-economic setting vis--vis
attributes of the various transit modes, the research found the seven country-related latent
variables Country Stature, Economic Development Level, Energy Demand Level, Services
Contribution to GDP; Trade Contribution to GDP, Societal Development Level, and Alternative
Energy Acceptance, and the seven city-related latent variables Heavy Metro Position, Automated
Guided Transit Position, Monorail Position, Light Metro Position, Light Rail Position, and Green
City Impediments. The relations found between country- and city latent variables were
presented in a path diagram that shows regression coefficients from the socio-economic
setting to particular guided transit solutions. It represents the positioning of those solutions
with respect to their country and city settings.
The foregoing outcome has developed grounded understanding of railway positioning in
all four of rails market spaces, the three in which it is inherently competitive, namely

92

Infrastructure Design, Signalling and Security in Railway

Heavy Haul, High-speed Intercity, and Heavy Intermodal, as well as the market space in
which it is potentially weak, namely Urban Rail. This has made it possible to understand
and to predict with reasonable certainty what will be the outcome of a particular railway
positioning intervention, or to analyse a situation and design appropriate remedial
intervention.
Like the top-down research design, its application is primarily top down. As examples, the
authors have used it as a framework for national rail development strategy, national railway
economic regulation, national railway policy, rails contribution to national transport
planning, national passenger commuter rail technology, development of strategic rail plans
at provincial- and regional levels, high level positioning of major rail corridors, and
conceptual design of a regional rail corridor. In short, it provides high-level insight with
which to assess the viability of policy options.

8. Acknowledgements
The authors express their appreciation for constructive comments to peer reviewers at many
conferences, colleagues in the global railway industry, and colleagues in the South African
railway industry. The work reported here is much richer for it.

9. References
Amos, P. (2006). Railway reform: Vertical integration and separation, World Bank, Accessed
2011-10-16, Available from:
www.euromedtransport.org/En/image.php?id=1129
Boardman, J. (2010). Fast-tracking the future, Railway Gazette International, Vol.166, No.7,
pp.44-47
California High-speed Rail Authority (2011). Chairman issues statement, Accessed 2011-10-16,
Available from: www.cahighspeedrail.ca.gov/10102011-leg.aspx
Dedicated Freight Corridor loan (2010). Railway Gazette International, Vol.166, No.9, p.7
European Freight and Logistics Leaders Forum (2008). NEWOPERA The rail freight
dedicated lines concept final report, Author, ISBN 978-3-00-0275700-1, Brussels,
Belgium, p.157
European Rail Research Advisory Council (2007). Strategic Rail Research Agenda 2020,
Brussels, Belgium, p.13
Friedman, T.L. (2006). The world is flat, Penguin, ISBN 978-0-141-03489-8, London,
England
Governor halts Florida high speed project (2011). Railway Gazette International, Vol.167, No.3,
p.10
Heydenreich, T. & Lehrmann, M. (2010). How to save wagonload freight, Railway Gazette
International, Vol.166, No.9. pp.126, 128, 130
High speed scramble (2009). Railway Gazette International, Vol.165, No.8, p.19
Jackson, C. (2010). Chinas star blazes a high speed trail, Railway Gazette International,
Vol.166, No.2, p.3
Jackson, C. (2011a), Rail freight network starts to evolve, Railway Gazette International,
Vol.167, No.3, pp.48-52

Competitiveness and Sustainability of Railways

93

Jackson, C. (2011b). Does separation really work? Railway Gazette International, Vol.167, No.6,
p.3
Janes World Railways (2005-2006, 2007-2008). Englewood, Colorado, United States of
America, IHS
Japanese Railway Engineering (1964). Special IssueNew Tokaido Line, Vol.5, No.4, pp.156
Kimes, M (2011). Showdown on the railroad, Fortune, Vol.164, No. 5. pp.81-88
KiwiRail debates the way forward (2009). Railway Gazette International, Vol.165, No.11, pp3942
Levinson, M. (2006). The box, pp. 261-262, Princeton University, ISBN 978-0-691-12324-0,
Princeton, New Jersey, United States of America
Li-ren, D. & Li, D. (2010). Planning the worlds biggest high speed network, Railway Gazette
International, Vol.166, No.12, pp.41-46
New Zealand nationalizes (2008). Railway Gazette International, Vol.164, No.6, p.344
Railway Directory (2002-2007, 2009-2012). Hamburg, Germany, DVV Media Group
Reinhold, T. & Gasparic, C. (2009). Facing the moment of truth, Railway Gazette International,
Vol.165, No.12, pp. 24-27
Second heavy haul line gears up to handle more coal (2009). Railway Gazette International,
Vol.165, No.9, p.40
Seizing the opportunity (2009). Railway Gazette International, Vol.165, No.9, pp.31-36
Six-year high speed plan announced (2011). Railway Gazette International, Vol.167, No.3,
p.10
Tracks to carry the big mineral hauls (1972). Railway Gazette International, Vol.128, No.2,
pp.49-53
Van der Meulen, R.D. (1994). Some relations of corporate strategy content to organizational
environment by comparing a capital-intensive service industry across selected
societies, Doctoral dissertation, University of Pretoria, Dissertation Abstracts
International, Vol.55, No.5, p.1336-A.
Van der Meulen, R.D. (2010). Heavy haul railway electrificationexperiences and prospects,
Proceedings of the Joint Rail Conference, JRC2010-36151 [CD-ROM]. Urbana, Illinois,
United States of America, ASME, IEEE, ASCE, TRB, AREMA, and University of
Illinois.
Van der Meulen, R.D. & Mller, L.C. (2006). Railway globalization: Leveraging insight from
developed- into developing regions. Proceedings of the 7th World Congress on Railway
Research [CD-ROM], Montral, Qubec, Canada
Van der Meulen, R.D. & Mller, L.C. (2008a). Strategies for sustainable mobility: Urban
railways as global corporate citizens, Proceedings of the 8th World Congress on Railway
Research, G.2.2.2.1 [CD-ROM], Seoul, Korea
Van der Meulen, R.D. & Mller, L.C. (2008b). Ultimate interoperability: Line-haul railways
as global corporate citizens, Proceedings of the 8th World Congress on Railway Research,
PN.1.2 [CD-ROM], Seoul, Korea
Van der Meulen, R.D. & Mller, L.C. (2012). European- and global urban guided transit:
Green- and socio-economic fit, Transport Research Arena, Athens, Greece

94

Infrastructure Design, Signalling and Security in Railway

Vuchic, V.R. (2007). Urban transit systems and technology, Wiley, ISBN 978-0-471-75823-5,
Hoboken, New Jersey, United States of America
World Economic Forum (n.d). Corporate global citizenship, Accessed 2011-10-05, Available
from: www.weforum.org/issues/corporate-global-citizenship

5
Structural and Kinematic Analysis of
EMS Maglev Trains
Zhao Zhisu

National University of Defense Technology

China
1. Introduction
Maglev train is a new means of transport and an integration of the latest high-techs in the
field of track-bound transportation system. Over the past half century, the research on
vehicle structure has been always a very active area. The researchers realized there is
great difference between the movements of the maglev train with that of the conventional
rail vehicles. For designing maglev vehicle, creation of a new mechanism is necessary, and
then the mechanism is converted to a specific machine to compose vehicles. In this
process, machine and mechanism kinematics analysis are indispensable prerequisites.
Study of kinematics analysis method and theoretical is the forefront of researching for the
structure of maglev train. This chapter aims to introduce authors the latest research
outcome.

2. Structure of maglev trains

EMS maglev trains have two basic structures which are represented by German Transrapid
and Japanese HSST. Chinese and Korean mid-low speed maglev trains are in these two basic
structures now.
2.1 Outline of structure development of ems maglev trains
The structure of EMS maglev trains has changed through a rigid aircraft - flexible coupling modularization structure process. Based on the vehicles levitation running in the air,
naturally a structure type of rigid spacecraft has been designed by researchers, namely the
whole vehicle in rigid structure. It takes Japanese HSST-01(Yoshio Hikasa & Yutaka
Takeuchi, 1980) (Fig.1) and German Transrapid 02(J.L.He et al., 1992) (Fig. 2) as the
representatives of this vehicle.
The vehicle shakes violently when they are experimentally running at a high speed. Both
kinds of vehicles are non-manned and the researchers design a new kind of maglev vehicle
structure for solving the manned riding comfort. This structure separates the car body and
running gear first and a secondary suspension system is sets up with buffer spring between
them. It takes Japanese HSST-02(Yoshio Hikasa & Yutaka Takeuchi, 1980) (Fig.3) as the
representative.

96

Infrastructure Design, Signalling and Security in Railway

1.Electricity box, 2.Instument panel, 3.Automate control unit, 4.Thyrist chopper, 5.Battery, 6.Gas sensor,
7.Levitation magnet, 8.Power collector, 9.Linear induction motor, 10.Hydraulic brake, 11.Saving skid,
12.Reaction plate, 13.Brakage, 14.Anchor rail, 15.Power rail

Fig. 1. HSST-01 Maglev Vehicle

Fig. 2. Transrapid-02

1. Secondary suspend, 2.Anchor rail, 3.Levitation magnet, 4.Power rail, 5.Power collector,
6.Hyraulic brake, 7.Reaction plate, 8.Linear induction motor.

Fig. 3. HSST-02
However, Vibration problem is still unresolved by use of this structure when the train are
running at a high speed, because the gap size between magnetic track and suspension
electromagnet is acquired by gap sensors which are generally laid for four. The four points
should be controlled independently and may not in the same plane (for example, track error,
vehicle passing transition curve, asynchronous dynamic adjustment of all points, etc.), but for
the rigid or elastic support system in which the bogies are still rigid, the four sensors are
installed in a comparatively rigid plane, so this is a conflict. After a long period of experiments
and researches, a new kind of modularized vehicle structure (TEJIMA Yuichi, et al., 2004; Seki &
Tomohiro, 1995; Maglev Technical Committee, 2007) Fig.4, 5is invented. The car body and
running gear are separated and jointed by the secondary suspension system in which the four
control points of bogies are decoupled, so the vibration problem of vehicles are solved perfectly.

Structural and Kinematic Analysis of EMS Maglev Trains

97

1. Guidance magnet, 2.Overlap magnet, 3.Brake magnet, 4.Levitation magnet, 5.Car body, 6.Maglev
bogie, 7.Secondary suspension system, 8.Levitation frame

Fig. 4. Transrapid 08

1. Maglev bogie, 2.Secondary Suspend system, 3.Car body.

Fig. 5. HSST-100
2.2 Characteristics of EMS maglev train structure
The structure of maglev trains has several extraordinary characteristics: 1) as light as
possible; 2) enough degrees of freedom; 3) special mechanically-braking mode; 4) unique
lateral load way 5) vehicles fall on rail to slide under emergency. The vehicles are composed
of three parts as shown in Fig.4: car body at the top, secondary suspension at the middle and
running gear at the bottom. The wheel rail vehicles have only two bogies through wheel
pair contact with rail, but bogies of the maglev trains distributed along the entire length of
vehicles, so they are strikingly different in structure.
The two wheel pair of wheel rail vehicles is installed on a rigid frame in the same plane. The
four points in the frame of maglev bogies, the detection points of gap sensors, should move
independently. The bogies have two typical structures: the bogie with torsion longeron is
shown as Fig.6 (Maglev Technical Committee, 2007), Fig.8 (Z.S. ZHAO & L.M. YING, 2007).
Two levitation frame units 8 are connected by torsion longeron 7 to form The maglev bogies.
In vertical direction, the bogies realize the independent motion of four points by reversed
longeron (the bogies hereinafter referred as T-type bogies); and the bogie is assembled by
connection tow module 8 with anti-rolling beam 1, as shown in Fig.7.

98

Infrastructure Design, Signalling and Security in Railway

1. Support arm, 2.Levitation magnet, 3. Crossbeam, 4.Air spring & Pendulum arm, 5.Guidance magnet,
6.Support skid, 7.Torsional longeron, 8.Levitation frame unit, 9. Gap sensor

Fig. 6. A bogie of high-speed maglev vehicle

The bogies realize the independent motion of four points by relative torsion of two antirolling beams 1 (the bogies hereinafter referred as A-type bogies).

1. Anti-rolling beam, 2.Air spring, 3.Linear induction motor, 4.Linear rolling table, 5.Drive staff,
6.Forced steering mechanism, 7.transverse rod, 8.Module, 9.Lvitation magnet, 10.Gap sensor, 11.thrust
rod, 12.Rocker.

Fig. 7. A bogie of middle-low speed maglev vehicle

Generally speaking, the running gear of maglev trains is composed of several bogies. The
maglev trains and wheel rail trains also differ in the connection among bogies and between
bogies and carriages. As shown in Fig.6, bogies are connected by overlap electromagnet 2
and spring hinges to form the maglev running gear (Fig.4), and joints with car body by the
tilting suspension system 7. As shown in Fig.7, 9, 10, bogies are grouped in pairs by forced
steering mechanisms 6 to make up the running gear, which is connected with the carriages
by hinges AC1~C4 and rolling table 4. The linear rolling table is equipped at the end of
bogie modules 8 which can rotate around the shaft C in a small angle. The forced steering
mechanism 6 is composed of wire ropes and T-type rod. As it turns, the modules deflect to

Structural and Kinematic Analysis of EMS Maglev Trains

99

drive the air spring transverse rod 7, then the force is transmitted to thrust rod 8 whose
motion drives the T-type rod to rotate, the rotation is passed to another T-type rod by
linkage wire ropes, then thrust rod and transverse rod of next bogie drive its modules to
deflect and so far the steering action is completed.
The secondary suspension system transmits three forces in different directions between car
body and bogies and the transmission course is as follows: the vertical load transmits in
maglev track electromagnet modules diaphragm air spring rolling
table car body.
The transverse load transmits in car body T-type rod wire rope, transverse link
lower rolling table air spring tie rod modules electromagnet track.
It can be seen that plenty of bogies distributed along the length of car body contribute to the
relative complex joint of car body and bogies. If the tilting suspension system is adopted, the
maglev bogie 4 has sixteen pendulum binding mechanisms; if the rolling table is adopted,
there are ten point of junction for the steering mechanism.

3. Kinematic characteristics of EMS maglev trains

Although EMS maglev trains fly at a zero height, it still needs exercise along maglev
guideway necessary. The position vectors can be divided along guideway (longitudinal),
perpendicular guideway surface (vertical), perpendicular guideway side(lateral) three
components.
The vertical motion is controlled by the system composed of gap sensor, levitation controller
and levitation electromagnet with limitation. The transversal motion is restricted by
transversal electromagnetic force and the longitudinal motion is related to the transversal
motion and the constraint between all parts of vehicles. According to last paragraph, the
vehicle is composed of running gear, secondary suspension system and car body and its
kinematic analysis includes the analysis on the spatial positions of all parts and the relative
positions of all parts.

Fig. 8. Bogie Decoupling by torsion beam

100

Infrastructure Design, Signalling and Security in Railway

1. Module, 2.anti-rolling beam, 3.pedulum rod, 4. Sphere joint.

Fig. 9. Bogie decoupling by anti-rolling beam

The maglev bogies are the basic components of running gears and their displacements are
crucial for the determination of vehicle motion. Their kinematic characteristic is that A, B, C
and D pointsFig.8, 9should move independently (uncoupling). Four straight lines can
be drawn by the four points. When the maglev bogies are running along curved path, the
four rectilinear motion space surfaces is the Coons surface. When the maglev bogies are
passing the transition curve, the four points are not in the same plane. Both A-type bogies
and T-type bogies can realize this motion. T-type bogies realize the motion by torsion beams
and A-type bogies by the torsion of two anti-rolling beams. However, A-type bogies and Ttype bogies have big differences in their transversal motions. The bogie as shown in Fig.6
can only make lateral movement as a whole. In addition, because its secondary suspension
system is pendulous and there will produce a big transverse component of gravity force
acting on the bogie by pendulum suspension system when the vehicle is passing the curve,
the bogie has a bad ability to follow the guideway transversally and can not pass the curve
with a small curvature radius and need an active guidance force provided by guidance
electromagnet 5 as shown in Fig.6.
Two modules 8 of the bogies as shown in Fig.7 should move independently. Each module
has three translational (X, Y, Z) and two rotational (Y, Z) degrees of freedom. It can pass the
curves with a small curvature radius and there is hardly any limit in its lateral motion in a
small range, so by adopting levitation electromagnet 9 as shown in Fig.6 it can provide a
passive guidance force which is a component of levitation force and only exists when the
electromagnet is deviating from the guideway and thus it is called as passive guidance
force. By now it seems that the motion problem of vehicles has been solved. The track curve
can determine the instantaneous position of the bogie, then the relative positions between
bogies, bogie and second suspension system and car bodies by connection relationship and
the absolute spatial positions of all parts, all of which only involve the deduction of
geometric relationships.

Structural and Kinematic Analysis of EMS Maglev Trains

101

1. Railway, 2.Carbody, 3. Forced steering mechanism, 4.Module, 5.Linear bearing.

Fig. 10. Connection between Secondary suspend system, car body & running gear, and two
bogies is connected by forced steering mechanism
But the problem is far from simple. For example, the relative position of car body and
running gear of vehicle as shown in Fig.4 must be calculated based on the sixteen pendulum
suspension mechanisms for the joint of car body and bogie. If the relative position of car
body and bogie in the curve changes, the rocker deflects and the weight W of car body
transmitted by the sixteen suspenders to the bogie is decomposed into two component
forces Wi, Wj, so the transversal relative position of car body and bogie involves the balance
of sixteen transversal forces Wi but not a simple calculation of geometric relationships.
For the vehicle as shown in Fig.5, the constraint of electromagnetic restoring force in the
relative position of bogies and track is described in the preceding paragraph. It is easy to
calculate the relative position of single bogie and guideway, namely the instantaneous position
or locus, then the relative positions or topological relations among all components can be
deduced by electromagnetic balance. However, owing to the complexity of connection
relationships between several bogies and car body (Fig.10), this calculation method can not be
extended to the vehicle. A typical case is when a bogie enters into the transition curve and the
following bogie is still in the straight-line guideway, the front bogie rotates around the points
C1, C2 and the following bogie is droved to rotate around the points C3, C4 owing to the effect
of forced steering mechanism 3, so the following bogie doesnt move along a straight line. The
reason lies in that there is a balance relationship of restraining force between the lateral
electromagnetic restoring force and components and it should not considered simply that the
bogies are pulled to the track by electromagnetic restoring forces. Therefore, different from the
wheel rail vehicles, the passive guidance EMS maglev trains may not run in the track curve.
The vehicle electromagnetic restoring force, constraint among all components and track
geometry curve must be considered comprehensively to deduce the instantaneous position or
trace of a bogie in absolute coordinate by the force balance relation and geometrical relation of
vehicle in any position, then the relative positions between the rigid bodies or topological
relations of all components are deduced by connection relations. However, it brings big
difficulties in solving this problem.

4. Kinematic modeling and analysis of maglev trains (Z.S. Zhao and C. Ren,
2009)
The kinematic characteristics of EMS maglev trains illustrated in the preceding paragraph
show that the motion of maglev trains can not be deduced simply by geometrical relations.
Based on the passive EMS maglev trains, the following kinematic analysis includes

102

Infrastructure Design, Signalling and Security in Railway

kinematic modelling and analysis. The vertical position of vehicle is controlled by the
levitation gap between electromagnet and guideway. Because the gap is constant, the
vertical position of vehicle can be determined by the track curve and the determination of
lateral instantaneous position is the key of kinematic research on vehicles.
The research on instantaneous position adopts two methods based on track fitting: strict
fitting track (two endpoints of the bogie on the track) (ZHAO Z.S. & YING L.M., 2000; MEI
Z. & LI J., 2007; JIANG H.B., et al., 2007) and balanced lateral electromagnetic restoring force
of single bogie (ZENG Y.W. & WANG S.H. 2003; ZHANG K. & LI J., 2005; ZHAO C.F & ZAI
W.M., 2005). The former is obviously an unproved hypothesis and the later doesnt consider
the influence of constraint among all components in the motion.

1.Anti-rolling beam, 2.Linear rolling table, 3.forced steering mechanism, 4.T type rod, 5.Wire rope,
6.Levitation magnet, 7.module.

Fig. 11. Running gear sketch of the passiveness guidance EMS maglev train
4.1 Kinematic modelling of EMS mid-low speed maglev trains
To simplify the problem without loss of generality, in this article derivations is made based
on the following conditions: 1) because the Z-directional motion of vehicle has a little
influence on its lateral motion, its mathematical deduction is based on X-Y plane; 2) the
model is established for the vehicle with four bogies; 3) the axis C1-C4 are combined into two
axis P4, P11 (Fig.12); 4) the kinematic modelling is only based on the central line of track; 5)
the carriages and bogies are rigid bodies with the lengths of LCL respectively.
4.1.1 Kinematic modeling of maglev trains based on geometrical relations
In the instantaneous position sketch of maglev trains as shown in Fig. 12, Pixi,
yirepresent bogies end point and intersection point of bogies and track curve Y(x). If Pi is
definite, the instantaneous position or motion locus of vehicle and the relative positions
(topological relations) among the components of vehicle and between vehicle and track may
be determined. The section aims to establish the equations with the unknown quantities xi, yi

Structural and Kinematic Analysis of EMS Maglev Trains

103

accordingly based on geometrical relations. Pi is in the straight line representing bogies

respectively and should satisfy the following relations:

Fig. 12. Instantaneous Position of the maglev vehicle with four bogies
( yi yi 2 ) ( yi 1 yi 2 )

0
( x i x i 2 ) ( x i 1 xi 2 )

( yi 3 yi 1 ) ( yi 2 yi 1 )

0
( xi 3 xi 1 ) ( xi 2 xi 1 )

( xi xi 3 )2 ( yi yi 3 )2 L2

(4-1)

There i=1, 4,8,11. The geometrical relation between carriage and bogie is:

( x 4 x11 )2 ( y 4 y11 )2 0.5Lc

(4-2)

The intersection relation of curve and straight line is:

y i Y ( xi 2 ) Y ( xi 1 ) Y ( xi 2 )

0
x i xi 2
xi 1 xi 2

y i 3 Y ( xi 1 ) Y ( xi 2 ) Y ( xi 1 )

xi x i 1
xi 2 xi 1

(4-3)

In the above equation, i=1, 4,8,11. The straight line representing the centre line of carriage is:
y 4 y 11
y 4 y11

x y
x4 y 4 0
x 4 x11
x4 x11

104

Infrastructure Design, Signalling and Security in Railway

The offset distance from the bogie endpoints to the car body obtained by the distance from
( y 4 y11 )( xi x 4 ) ( x 4 x11 )( yi y 4 )
point to line: i
, in which i=1,7,8,1. Follow equation
0.5L c
(ZHAO Z.S. et al., 2000) is given by the structural symmetry and the constraint of forced
steering mechanism,
1 14

7 8

(4-4)

there are twenty-two equations with twenty-eight unknown quantities Pi(xiyi) in the
above (4-1)-(4-4), it is obvious that the kinematic problem of vehicle can not be solved only
by geometrical relations and other equations should be founded by the balance relations of
lateral forces.
4.1.2 Kinematic modeling of maglev trains based on the constraint of lateral
electromagnetic restoring force and mechanism constrain

The passive guidance EMS maglev train keeps a lateral position from electromagnetic
restoring force. To seek balance of lateral force, it should be considered that the calculation
of electromagnetic resilience generated by the linear bogie units fitting the curved track; the
influence of constraint such as the binding force produced among the bogies owing to
interconnection of the forced steering mechanisms and carriages an bogies. In this section,
other equations shall be sought for by the balance of lateral forces, the calculation formula of
lateral forces (Sinha P. K., 1987) is:
u
Fu K mLw tan 1

in which K m

0 N 2 I 2
A
Lw
, Lw is length of magnetic pole0, N, A, I represents
Wm
4

vacuum permeability and turnseffective area of magnetic polecoil current respectively,

other parameters can refer to Fig.13. Taking the first bogie for example, the electromagnetic
restoring force of any infinitesimal curve unit ds in the track is:
u
dFu 1 K m tan 1 1 dLw

u1 represents the distance from a point q(xy) in the curve to the line:
( y y 4 )x ( x1 x4 )Y ( x ) x1 y 4 x 4 y1
seeing to (Fig. 13), dLw cos( s 1 )ds ,
u1 1
L
y y4
ds cos s dx , ks tan s , k1 tan 1 1
, dFu1 can be written as
x1 x 4

dFu1

1 ks k1
1

k12

u
K m tan 1 1 dx

105

Structural and Kinematic Analysis of EMS Maglev Trains

Fig. 13. Magnet lateral reversion force of the bogie module

In the same way, the calculation formula of the electro magnetic restoring force differential
unit of other bogies can be deduced:
Fui

xi 2

xi 1

1.

Km

1 ks ki
1

ki2

u
tan 1 i dx i=1,2,3,4.

Balance equation of lateral restoring force and moment of the vehicle:

4

Fx Fui sin i 0
i
4

Fy Fui cos i 0
i

u
tan 1 i dx 0

4 x

1
k
k
u

i2
xi 1 Km 1 ks 2 i tan 1 i dx 0
i
i

xi 2

i1

Km

(1 ks ki )ki
ki2

(4-5)

Balance equation of moment of lateral restoring force (taking P4 as the pivoting point)

i3 i2

x31

1 ks k 3
u

Km
tan 1 i ( x x4 ) 0
2
x32
1 k3

4 x

(1
k
k
)
k
u

i1
xi 2 Km 1 sk 2i i tan 1 i ( 1)i ( y 4 Y ( x ))dx
i3
i

x31

(1 ks ki )k3
1 ui
Km
tan
(Y ( x ) y 4 )dx 0
2
x32
1 k3

xi 1

Km

1 k s ki
u
tan 1 i ( 1)i ( x4 x )dx
2
1 ki

(4-6)

106

2.

Infrastructure Design, Signalling and Security in Railway

Balance of constraint force of forced steering mechanism

Fig. 14. Balance of two bogies linked by compelling guided mechanism

3.

According to Fig.14, the balance equation of constraint force of forced steering

mechanism linking the No.1,2 bogies is f11l11=f12l12and the following equation can be
obtained:
f 12 f 11

l11
f 11
l12

(4-7)

The moment arm length from the point P4 to No.1 bogies any point dFu1 on which
x x4
( x x4 ) 1 k12 , the balance relation of No.1
electromagnetic resilience is exerted is
cos 1
bogie modules moment is 0.5 f 11L cos 1

x12

x11

u
K m (1 ks k1 )( x x 4 )tan 1 1 dx , namely,

2 x12
u
K m (1 ks k1 ) 1 k12 ( x x 4 )tan 1 1 dx , similarly f12 can be obtained, and

x
11
L

substituted in7
f 11

xi 1

2 i x

i 1,2

i2

u
K m (1 ks ki ) 1 ki2 ( x 4 x )tan 1 i dx 0

(4-8)

By the above method the constraint forces balance equation of forced steering mechanisms
connecting No.3, 4 bogies can be obtained:
xi 1

i 3 x

i 3,4

i2

u
K m (1 ks ki ) 1 ki2 ( x x11 )tan 1 i dx =0

(4-9)

The upper or lower limit of integration are the coordinate x of the intersection points qi1qi2
of two straight lines perpendicular to the endpoints PiPi+3 of the No.1 bogie and the curve
Y(x). Its expression is written as (corresponding to four bogies, j=1, 4, 8, and 11):

Structural and Kinematic Analysis of EMS Maglev Trains

107

ki ( xi 1 x j ) (Y ( xi 1 ) y j ) 0

ki ( xi 2 x j 3 ) (Y ( xi 2 ) y j 3 ) 0

Substituting x11y11=Y(x11) in the above first equation, the following equation can be
obtained:
k1 ( x11 x1 ) (Y ( x11 ) y1 ) 0

(4-10)

In the above six equations in4-54-64-84-9obtained by the balance between

lateral electromagnetic resilience and structural constraint force, the equations (8), (9)
introduce a unknown quantity . Hereby the equation (4-10) is introduced and a reference
point q11x11y11to instantaneous position of vehicle is given. The equations (4-1)-(4-6)
and (4-8)-(4-10) are the non-linear equation set with twenty-nine unknown quantities,
namely twenty-nine unknown quantities Pixiyiand can be resolved. This is the
general formula for kinematic analysis on passive EMS maglev trains with four bogies
which can be used to resolve the absolute position (motion trace) of any bogie and the
relative position or topological relation of any component of the vehicle at any time. In the
same way, kinematics equations of maglev train with other number bogies can be deduced.
4.1.3 General kinematic characters of passive guidance EMS maglev trains

Following kinematic characters of vehicles can be deduced by the above general kinematic
formulas:
Character 1: kinematic the static determinacy or indeterminacy of vehicles is determined by
the forced steering mechanism, namely the topological relation between a bogie and
carriage (formula (4-4), (4-7)) must be given and if not, there will be multiple solutions of
motion trace.
Character 2: n, namely the number of intersection points of the modules (straight line) and
track (convex curve), 1n2, two geometric equations will be reduced for each reduced
crossing point and in the straight-line segment of track, the bogies are coincident with the
track.
Character 3: the motion trace of vehicle is determined together by the topological relations
between bogie and carriage and bogie and track but not only by the track.
Character 4: The steering characteristic and yawing characteristic of vehicle with transverse
interference depend on the balance relation between the lateral electromagnetic restoring
force and the constraint force of forced steering mechanism.
4.2 Solution and analysis of kinematic equations of EMS mid-low speed maglev trains

Given that N=320Wm=28 mmA=336028 mm2L=3.4 mLc=14.5 m , circular curve

radius R=100 msuperelevation is 60 mmtransition curve length l0=12 m, the
easement trace curve is the clothoid generally, the curvature of easement curve
k s Rl0 and the high-order small quantities are ignored, the projection of x-y plane of
trace curve is:

108

Infrastructure Design, Signalling and Security in Railway

x 3
y=Y(x) =
6l0 R

2
2
yc R ( x xc )

x0
0 x xe
xe x

in which q0x0y0qexeyeqcxcycrepresent the bonding points of the

straight segment and curved segment of trace curve Q(x) and transition curve and the center
ke R
ke R
xc y e
, ke Y ' ( x )|x xe ,
of bend circular curve respectively. xc x e
2
1 ke
1 ke2
qe11.99560.2397qc11.6364100.06. In the interval defined by track curve, a
series of q11(x11, y11) are valued according to the step length of 0.1m to resolve the kinematic
equations obtained in the preceding paragraph, the motion trace of vehicle and the relative
positions of all vehicle components can be derived. Some primary results obtained through
numerical calculation by MATHEMATICA are given below.
1.

Motion trace

To express the kinematic characters, the motion trace of vehicle is shown by the offset of
bogies to the track but not the coordinate figure Pi. The fig.15 gives the fitting figure of
computed results and the table 1 shows the computed results when q11 is valued as four
typical coordinate points.

Fig. 15. Curves of bogies endpoint offset relative to the track

Bogie
q11(x,y)
3.4,
0.0055
6.8,
0.0437
10.2,
0.1474
13.6,
0.3494

Frontu11

Rearu12

Frontu21

Rearu22

Frontu31

Rearu32

Frontu41

Rearu42

1.94

1.89

1.89

1.91

3.52

3.49

3.49

3.5

6.52

6.46

6.46

6.48

1.91

1.89

1.89

1.92

8.05

7.94

7.94

8.01

3.52

3.51

3.51

3.53

Table 1. uij , Amount of bogie endpoint offset relative to the track

109

Structural and Kinematic Analysis of EMS Maglev Trains

2.

Relative positions of all components of vehicle

The relationships of relative positions exist among the bogies and between bogies and
carriages. For the sake of intuition, the computed results of relative positions among bogies
are transformed into the included angles. The figure 16 gives the fitting figure of computed
results of relative positions among bogies and the Tab. 2 gives the computed results of two
position relations when q11 is valued as four typical coordinate points respectively

Fig. 16. Alteration curve of angle between No.1,2 bogies

1

1-2

2-3

3-4

Front1

Rear7

Front8

Rear14

12

23

34

3.4, 0.0055

3.24

1.05

0.84

0.84

0.034

0.02

6.8, 0.0437

13.78

4.52

1.02

1.02

0.424

0.215

Bogie P11(x,y)
q11(x,y)

10.2, 0.1474

95.75

31.81

27.24

83.92

1.072

0.556

0.039

13.6, 0.3494

157.8

52.54

48.05

146.03

1.771

1.091

0.411

Table 2. Angle ij between bogies & Bogie endpoint offset i relative to the car body
4.3 Conclusions

Based on the derivation and computational analysis of above kinematic kinematics

mathematical formulas and test results, the following conclusions on relevant kinematic
researches on passive guidance EMS maglev trains can be obtained.
1.

2.

3.

The absolute position or trace of vehicle is not equal to track curve and their relation
(offset uij) is also not constant. The change rule is: straight segment (zero) easement
curve segment (Monotone increasing) bend segment (a maximum constant)
The kinematic static determinacy or indeterminacy of vehicles depends on the forced
steering mechanism. If no forced steering mechanism, the kinematic relation of vehicles
is indefinite.
The bogie and carriage, bogie between any two are restricted geometrically and the
bogie and track is constrained by lateral electromagnetic restoring force, so the absolute

110

4.
5.
6.
7.
8.

Infrastructure Design, Signalling and Security in Railway

position uij of bogies should be determined by the electromagnetic balance of vehicle

and geometrical constraint relations of all its components. uij of different bogies is
different at the same time and position.
The parameter =3 expressing the characteristic of relative position between bogies and
carriages is applicable to all line segments.
The change law of relative positionijamong bogies is: straight segment (zero)
easement curve segment (Monotone increasing) bend segment (a maximum constant).
The absolute position of vehicle and the relative position among all its components
including the bonding points of all line segments change smoothly in the motion.
The results obtained by kinematics formulas are consistent with the past research
results in circular curve and straight-line segment
The article gives that the mathematical models can be used in the kinematic analysis of
vehicle by the transverse interference.

5. Kinematic analysis on the secondary suspension system of maglev trains

The composition and kinematic characteristics of secondary suspension system for the joint
of car body and bogies has been illustrated in the paragraph 1, 2. The distinctive midstructure of active and passive guidance maglev trains lie in pendular suspension
mechanism and forced steering mechanism respectively. In this paragraph, their kinematic
characteristics analysis and the calculation method is given and other kinematic analyses
can see the references (ZHAO Z.S. et al., 2000).
5.1 Kinematic analysis on the forced steering mechanism of passive guidance ems
maglev trains

The functions of forced steering mechanism are to connect two bogies to form the running
gear (Fig.10, 11, 14), keep a proper geometric position between the running gear and car
body (Fig.10) and transmit the transversal force between the running gear and car body.
When realizing these functions, the uncoupling of bogies can not be affected by the
mechanism. According to Fig.14, the transverse thrust rod of the forced steering mechanism
may affect the uncoupling of bogies, which can be obtained by analyzing some motions of
bogie as it goes through the curve.
The relative height and distance between the ends of two bogie modules in motion may
change. The transverse thrust rod are equipped at the end of bogies, so it is possible to add
spherical hinges at the end of links to adapt to the change of relative height between the
ends of two modules and it is hard to change the length of rigid rods. Take the vehicle with
five bogies Shown as Fig.17 for example. Setting1=2-12=2-1, h, , L represent
width of track and angle of aR2 , length of module respectively.
L
i 5i
2 Ri

i sin 1

outside track radius is R1 =R+h/2, inside track radius is R2 =R-h/2, distance between two
module endpoints of bogie in the curve ai R12 R22 2 R1 R2 cos i , there i=1,2.

Structural and Kinematic Analysis of EMS Maglev Trains

111

Fig. 17. Distance between two module endpoints of bogie in a curve

Obviously the distance between two module endpoints of bogie in a curve is enlarged
relatively to in straight. Its size can be examined by an instance.
Given that R=50mh=2.02m, L=2.24m
1=1.25811
2=1.31
The distance between two module endpoints of front bogie is:

a1 48.99 2 51.012 2 48.99 51.01 cos(0.2594) =2.03264m

The distance between two endpoints of back bogiea2=2.0205m, a1, a2 represents the
distance between endpoints of front and back bogies in a curve respectively, and the change
of distance between two module endpoints of bogie is:
Da1=a1-h=12.64mm
Da2=a2-h=0.5mm
Therefore, the change of distance between two module endpoints of front bogie is bigger
and transverse thrust rod must be able to extend 13mm at most when the vehicle is in
motion. To solve this problem, the transverse thrust rod may be arranged in a V type
(Fig.18) and the calculation of physical dimension of the forced steering mechanisms and
their mathematical models based on kinematics principle is given below.
As shown in Fig.17, Ltldf represent length of module and transverse thrust rod and
T-type arm, the horizontal distances from rotation center of module to rotation centre of Ttype rod, the offset distance between the hinge point of transverse thrust rod and the center
of air spring respectively. 1, 2 represent the oscillation angle of two modules respectively.

112

Infrastructure Design, Signalling and Security in Railway

Fig. 18. Kinematic sketch of forced steering mechanism

When the running gear is in motion, two transverse thrust rod and T-type rod rotate
around the point P1(x1,y1), P2(x2,y2) and O1 respectively and the traces of their endpoints
are three circles in the same plane with the radius of t, 1. Three circles intersect in the
point P(x, y). Thereout the following equation set is given.

x x1 2 y y1 t 2
2
x x2 2 y y2 t 2

x d 2 y 2 l 2

(5-1)

2
2L
y i ( 1)i 1 ( h f cos 4 i ) L sin 4 i ( 1)i 1 ( h f )

Ri

(5-2)

among which,
xi L cos 4 i ( 1)i f sin 4 i L 1

4L2
Ri2

In the above equation set, i=1, 2and by the third equation in (1), y l 2 ( x d )2 is
obtained.
In consideration of x1 x2 , by the first and second equations in (1), y L2 (

1
1

) is
R1 R2

obtained and is substituted into second equations in5-1

x2 t 2 [ h f L2 (

1
1
)]2 x , thus the x, y is obtained and substituted respectively
R2 R1

into third equation in (5-1):

Structural and Kinematic Analysis of EMS Maglev Trains

( t 2 [ h f L2 (

1
1
1
1 2 2
) l
)]2 L d )2 L4 (
R2 R1
R1 R2

113

(5-3)

Without considering of high-order small quantities, the equation (3) can be simplified as:
( t 2 ( h f )2 L d )2 l 2 or t 2 ( l d L )2 ( h f )2

There are two unknown quantities t and 1 in the above equation. One of them is set, the
other can be obtained. A calculation sample is given below.
Given that L=2.24m, h=2m, R=50m, f=90mm, d=1.9m and l=550mm, t1.39m can be obtained.
5.2 Kinematic analysis on tilting suspension system of maglev train
5.2.1. Mathematical description of turing characteristic of tilting suspension system
maglev train (Zhao Z.S., 2009)

The figure 18 show the motion state of high-speed maglev train with tilting suspension system
goes around the curve, in which ij, ij represent the lateral displacement and oscillation angle
of rocker respectively and wTijfij represent the car body gravity, tension and lateral force
of carriage acting on the rockers of tilting suspension system respectively. The train is
composed of carriage, bogies, suspension system. four bogies and three overlapping modules
are connected alternately to form the running gear (see the Fig. 18 left) and four set of pendular
suspension systems are configured in the interval between four bogies and carriage
respectively (see the Fig. 18 right). As the vehicle enters the curve, the bogies move along the
track curve under the effect of active electromagnetic guiding force and produce relative
displacement ij to the carriage which is driven by the oscillation of rockers of tilting
suspension system. The sixteen pendular rod of tilting suspension system will produce the
lateral force acting on the carriage and bogies. ij is determined by the balance of the forces fij
acting on the carriage, the active electromagnetic guiding force can be obtained by the force fij
acting on single bogie. Therefore the solution of the steering characteristic of maglev train with
tilting suspension system lies in resolving the displacement of rockers and the force acting on
them. From the viewpoint of design, it might as well make a hypothesis that the sixteen
rockers receive the weight of carriage equally.

Fig. 19. Force and Displacement of Tilting Suspension System & Relative Displacement
between Carriage and Bogie in the Curve

114

Infrastructure Design, Signalling and Security in Railway

The lateral balance equation of carriage in the curve is:

4

fij 0 because of the symmetry, 2 f ij 0

i 1 j 1

i 1 j 1

in the above equations, the bilateral balances are considered similarly and ij represent the
number of bogie and its ends respectively. The above equation can be written as:

w(tan 11 tan 12 tan 21 tan 22 ) 0

(5-4)

11

(5-5)

namely:

2
11

12
l

2
12

21

2
21

22
2

2
l 22

among which l represent the length of rocker. The following geometrical relationships can
be shown in Fig. 18:

11 12 L sin 6

22 21 L sin 2
Substituted into (2):
12 L sin 6
2

l ( 12 L sin 6 )

12
l

2
12

21

2
21

21 L sin 2
2

l ( 21 L sin 2 )2

(5-6)

Likewise from the geometrical relationships, the following equation can be obtained:

12 21 L sin 4

(5-7)

From trigonometric functional relations and in considering of R>>L

sin 2 2 sin cos

L
L
L
1

2R
2R
2R

2L
L
1
sin 4 4 sin cos 3

R
2R
sin 6 2(3sin 4 sin 3 )(4 cos 3 3 cos )

L
L
3
R
R

3
2 2

2L

2
2

3L
L
L
1 1

R
2
R
R

115

Structural and Kinematic Analysis of EMS Maglev Trains

From the above three equations, given that m=L2/R and substituted in (3), (4)
12 3m
l 2 ( 12 3m)2

12

2
l 2 12

21

2
l 2 21

21 0.5m

l 2 ( 21 0.5m)2

12 21 2m

(5-8)

among which L represent the length of bogie. From the equations (5),
5m 21
2

2 m 21

l (5m 21 )

l (2 m 21 )

21

221

21 0.5m
2

l ( 21 0.5m)2

Given that 21=m and substituted in the above equations:

5
2

n (5 )

2
2

n (2 )

0.5

(5-9)

n ( 0.5)2

among which n=l/m

11 (5 )m
12 (2 )m

21 m

22 (0.5 )m

(5-10)

The equations 5-45-55-95-10are the calculation formulas of steering

characteristics of maglev train with tilting suspension system.
5.2.2 Calculation of steering characteristic parameters of maglev train with tilting
suspension system

Structural parameters of vehicle is given, L=4.096m; l=0.24m; R=350m400m; gauge is

2.2m; weight of carriage W=30T; w=W16=1.875T. Valuing the convergence accuracy as
0.005, can be obtained by solution of the equation (5-9) with numerical method, then the
lateral force fij and lateral displacement ij of rocker ends derived from equations (5-4) and
(5-10), it is not hard to obtain the tension Tij of suspension rocket and the vertical
displacement of its ends. The calculation results are as follows:
When the vehicle is passing the curve of 350m, R=350mR1=351.1mR2=348.9m.
Displacement of suspensor rod tip

Item

Transverse (m)
Position

Lateral force put on car body

(KN)

Vertical (m)

11

12

21

22

Z11

Z12

Z21

Z22

f11

f12

f21

f22

Outside
track

0.154

0.0106

0.0846

0.1085

0.056

0.0002

0.015

0.026

15.69

0.83

-7.09

-9.54

Inside track

0.156

0.0108

0.0857

0.1098

0.057

0.0002

0.0156

0.027

15.86

0.84

-7.14

-9.37

Table 3. Displacement of suspensor rod tip & Lateral force put on car body

116

Infrastructure Design, Signalling and Security in Railway

From equation (5-9) it can obtain =1.777 and the above parameter table 3. The
electromagnetic guiding forces acting on the bogie 1 and 2 are 33.22K and -33.15KN
respectively, which is the reason why this kind of vehicles must adopt the active guidance
structure.

6. Research on mechanisms and kinematics of maglev bogies

In this paragraph, the mechanism analysis and kinematic calculation methods of maglev
bogies are introduced. As described in the paragraph 1 and 2, the bogies of EMS maglev
trains have two structures. T-type bogies (Fig.6, 8) are decoupled by the torsion of longerons
and A-type bogies (Fig.6, 8) are decoupled by anti-rolling beams. The vertical uncoupling of
both kinds of bogies is based on the principle of relative torsion of modules. Their
mechanism sketches are shown respectively in Fig.19 and Fig.20.

1.Car body, 2.Secongdary system spring, 3.Rocker arm, 4.Z support for car body, 5.Linkage levitation
magnet, 6.Longeron, 7.Guidance magnet, 8.Suppot arm, 9.Levitation frame unit, 10.Levitation magnet.

Fig. 20. Mechanism sketch of T-type bogie

The Levitation frame unit of T type bogies is distributed both front and back and may be
connected with a torsional elastic longeron, and the Levitation and guidance electromagnet
is installed on the bracket arms of front and back modules. It is obvious that other relative
motions of the front and back Levitation frame unit of T-type bogies are limited. The two
modules of A-type bogie have three translational degrees of freedom and two rotational
degrees of freedom. It can be seen from the sketch that the analysis on their X, Y-directional
translational degrees of freedom and Z-directional rotational degree of freedom is much
simple, and X-directional rotational degree of freedom is limited by the anti-rolling beams,
so in this section, the analysis and calculation focus on Z-directional translation and Ydirectional rotation of modules of A-type bogies.
Take the kinematic analysis on the right module in Fig. 19 for example. When the endpoint
P of right electromagnet 1 elevates D11, the corresponding points M, M to electromagnets in
the same plane with anti-rolling beams 3, 4 elevate d11d12, the angle between the magnet 1
and the horizontal plane is 1 and the module 2 rotates in the Y direction, namely twist
relatively to the left module 9. As the motion of the module 2, the front and back anti-rolling

Structural and Kinematic Analysis of EMS Maglev Trains

117

beams 3, 4 move d11d12 upward in the Z direction. Owing to the immovability of the left
module 9, as the motion of the module 2, the right and left pairs of anti-rolling beams 3-5,4-6
should stagger d11d12 in the Z direction, but the anti-rolling beams are connected by
suspenders 12 which tend to stop this motion.

1. R. levitation magnet, 2.R. module, 3.R. Front Anti-rolling beam, 4.R.rear Anti-rolling beam, 5.L. Front
Anti-rolling beam, 6.L.Rear Anti-rolling, 7.Rear axis of rotation, 8.L. levitation magnet, 9.L. module,
10.Front axis of rotation, 11. Pendular rod

Fig. 21. Module uncoupling movement of a type bogie mechanism

For the sake of further analysis, it may emphasize the analysis on the relative motion of
front two anti-rolling beams 3-5. It is obvious that the anti-rolling beam 5 can not move in
the Z direction but rotate around the shaft 10. When the module 2 is moving upward, the
anti-rolling beam 3 exerts a press force on the Pendular rod 1-1. Because there are the ball
hinges at the ends of the rod, the bearing anti-rolling beam 3 is instability and will deflect to
drive the anti-rolling 5 to move around the shaft 10. At this moment, the anti-rolling beam 3
can move upward, namely one end of the module 2 move upward and the other anti-rolling
beam moves similarly. It can be seen that the analysis on the motion of modules focuses on
the calculation of kinematic parameters of connecting two module ant-rolling beams. The
relevant computational formulas are given below.
For the convenience of analysis, the mechanism sketch Fig.21 of ant-rolling beam is given
separately. The sketch shows the position relations of motion of all points elevated by one
end of the right module. Proposed that the length of ON is L1the length of OP is t12the
length of OP is t11the length of RM is H1the length of RM is h11, lij represents the
length of four rocker respectively and the first and second subscripts represent the number
of modules and anti-rolling beams respectively.
dij

tij
Li

ij

i=1, j=1, 2
ij

Li

ij Sin1

(6-1)

118

Infrastructure Design, Signalling and Security in Railway

ij Cos 1 1

dij

lij

Sij lijSin ij lij 1 Cos 2 ij

Sij

ij Sin1 (

sij

hij
Hi

Hi

(6-2)

(6-3)

(6-4)

Sij

sij

lij

ij Sin1

In above equation (6-3) (6-4), Sij and sij represent transverse motion of end of pendular rod 1j
and 2j respectively, from the above equations

Fig. 22. Z-directional decoupling movement of anti-rolling beam mechanism & oscillation
compensation of suspender
2

tij ij
tij ij 2 Li lij

Sij lij 1 1
1

L
l
Li
tij ij
i ij

sij

hij tij ij

2lij Li

H i Li

tij ij

ij Cos 1 1

tij
Li lij

ij

119

Structural and Kinematic Analysis of EMS Maglev Trains

tij ij 2 Li lij

ij Sin1

Li

hij tij ij

ij Sin1

H i Li lij

tij ij

tij ij

2 lij Li

The above equations are the computational formulas of relevant parameters to the Ydirectional rotation and Z-directional translation of the right module. When the right
module is translating in the Z-direction, 11=12 and the calculation of connecting two pairs
of anti-rolling beams is identical. The calculation of X, Y-directional translation and Xdirectional rotation is comparatively simple and the analysis and calculation of the left
module are similar. About these it is unnecessary to go into details.
An example of calculation is given below. Given all relevant geometric
dimensionsON=L=2700OP=t11=2320
lij=200OP=t12=380RM=H1=1200RM=hij=26 and supposed that one end of module
elevates 11=8mm, calculation from the above formula, S11=52, s11=11.3, S12=21.2, s12=4.6,
11=15.1, 12=6.1, 11=2.48, 12=1.01, 11=3.24, 12=1.32.
If the anti-rolling beams and rocker are assembled as sandwich (Fig.7), the oscillation of
pendular rod may be limited, so the width between two anti-rolling beams should be
enough. Take the anti-rolling beam 11 for example (Fig.20 right) and it is not difficult to
conclude that:
w11

'
l11
2l'
S11 width between two anti-rolling beams W11 11 S11 C 11 , among which C11
l11
l11

'
is the diameter of suspender. If l11
75 mm, C11 =20mmand others are same as the above

instanceit is given that W11=59mm.

It should be pointed out that when four rockers are oscillating, connection of four endpoints
of the rocker l1jl2j can form a pair of spatial quadrangles. It has the following two
circumstances:
If the module translates in the Z direction, this pair of spatial quadrangles will be in two
planes separately and they are parallelogram.
If one end of the module elevates or rotates in the Y direction, this pair of quadrangles will
be spatial.
It can be seen that the motion of pendular rod is spatial and the above formulas based on
simplified to the plane is approximate one in the circumstance 2. However the error is small
and the results are conservative, so there is no problem to apply in the engineering design.

7. Prospects for structure and kinematic analysis on maglev trains

The research and application of maglev trains has gone for more than half century, the study
of vehicle structures, focusing on the running gears and secondary suspension system, has

120

Infrastructure Design, Signalling and Security in Railway

undergone the replacement of many generations. Great strides have also been made in the
kinematic analysis which is closely related to design. However, it is to be so regretted that
contents of this section is involved in the core of structure and competitiveness and this
kind of references are rare, so an brief introduction is given below according to the authors
work.
7.1 Prospects for research on vehicle structures

The most feature parts of maglev vehicle structure are the bogies and secondary suspension
system for the joint of bogies and car body on which the study touches upon the analysis
methods of design and innovation of mechanisms.
1.

2.

3.

The research on the mechanism of bogies focuses on the innovation of mechanism

which requires providing at most five degrees of freedom for single levitation
module. Now the mechanism and its developmental direction are focusing on the
spatial linkages mechanism. The number of kinematic pairs and component and
joints type are two mainstream research directions, for example, at the longerons
middle of T-type bogie two hinged rods are changed into one rod and more linkage
rods are set at the junction part of two modules of A-type bogies. The number of
kinematic pairs and component is closely related to degrees of freedom of bogie
levitation unit (reduced to connecting rods), and T-type bogies are equipped with
more elastic connecting pieces to add the degrees of freedom, which will produce
some additional forces and affect their structural life and motion range of component.
A-type bogies with plenty of kinematic pairs and component are much complicated
in structure and the operation and maintenance work are also increased. Therefore it
is an important direction of research on vehicle structure how to constitute the bogie
mechanisms with minimum kinematic pairs and components to realize the maximum
degrees of freedom now.
The innovation of mechanism is still the direction of research on secondary suspension
system, but the mechanism of secondary suspension system is closely related to the
bogies and is contrary to the bogies in the complexity. This is not hard to understand
because the degrees of freedom of bogies are more and the matched secondary
suspension system must satisfy its requirements but not limit its degrees of freedom.
Therefore an important direction of the research on structure lies in the analysis and
innovation of the whole mechanism formed by secondary suspension system and
bogies. Of course, the difficulties are obvious.
As the advance in the research, the design analysis method is an important branch. It
is a trend to apply the development achievements of mechanism in recent years into
the structural design of maglev trains. In a nutshell, the topological structure of
kinematic chain is represented by graph theory, namely the topological graph
represented by points and edges is further represented by matrix. The formulation
of experiences and imitation design methods may be very important to the synthesis
of bogie mechanism and secondary suspension system. The optimization of
mechanisms is another trend, including the objective functions such as scale of
motion and degree of freedom and the parameters such as length of linkage rod and
connection pair.

Structural and Kinematic Analysis of EMS Maglev Trains

121

7.2 Progress in kinematic analysis on vehicles

The kinematic analysis on vehicles includes kinematic analysis methods, modelling and
solutions of kinematics mathematical model, etc.
1.

Progress in kinematic analysis methods

At present, the simulation method is widely applied and much mature. The analytic method
is still developing and its main direction is to apply the mechanism kinematics theory into
the kinematic analysis of maglev trains, for example, in multi-rigid-body kinematical
analysis on robots, the traces and relative positions of all rigid bodies can be obtained
successively by the determination of the motion trace of input end and D-H transformation,
which is method of open chain analysis. However the problem is that the maglev trains have
no trace of input end which is conveyed in the fourth section of this chapter, so it is
Inappropriate to apply the above method into maglev trains. Another analytic method is to
found an analytic equation set of the whole kinematic chain by combining geometrical
analysis (traces, topological relations among rigid bodies) and equilibrium of internal with
external forces, then the equation set is solved to derive traces (instantaneous positions) and
topological relations of all bodies (relative positions including the relative positions with
traces), which may be called as method of closed-loop analysis. That is to say, the traces of
the whole kinematic chain and its any component are unknown and all unknown quantities
are included in a non-linear equation set. This analytic method is proper to maglev trains
and also universal. In this chapter, the analytical process on two kinds of EMS maglev trains
introduced.
The further studies include that the dynamics vector equations of vehicles can be obtained
by establishing the position vectors equations of spatial traces of all rigid bodies and
derivation of the equations on time. In addition, considering the vehicle is composed of
rigid-elastic bodies, its method of multi-body kinematic analysis is another important and
difficult task.
2.

Establishment of kinematics mathematical model

The analytic method is closely related to modelling, Transformation of areal model into
space model becomes an important branch even though its sense may be restricted in
theoretical category. If the kinematic analysis model of bogies stated in the sixth section is
established based on the theory of spatial mechanism, the motion of binding mechanism of
modules can be understood clearly and more accurate structural design may be guided if
necessary. In addition, the model in the third section can establish the model with the width
of vehicle and track by the method of offset curve.
More accurate models are also the pursuit of researchers, for example, considering the
influence of change of the module Z-directional displacement caused by the adjustment of
electromagnet and elastic elements which may change the kinematic models of maglev
trains.
3.

The solution should not differ greatly from that of mathematic and numerical
solution without much further ado. For maglev trains, their unique features are the
simplification of equations, setting of boundary conditions and precision of
calculation.

122

Infrastructure Design, Signalling and Security in Railway

8. References
Yoshio Hikasa, Yutaka Takeuchi.(1980). Detail and Experimental Results of Ferromagnetic
Levitation System of Japan Air Lines HSST-01/=02 Vehicles[C]//IEEE. IEEE
Transactions on Vehicular Technology, VOL. VT-29, No. 1, February, pp35-41.
J.L. He, D.M. Rote, and H.T. Coffey (1992). Survey of Foreign Maglev Systems[R]. Center for
Transportation Research, Energy Systems Division, Argonne National Laboratory,
9700 South Cass Avenue, Argonne, Illinois 60439, July, pp13-14
Tejima Yuichi, et al., (2004). Aichi High-speed Traffic HSST-100 Type Vehicle[J]. Vehicle
Technology, 227(3), pp86-97.
Seki, Tomohiro.(1995). The Development of HSST-100L[A]. In: Proceedings MAGLEV95 14th
International Conference on Magnetically Levitated Systems [C]. VDE-Verlag, ISBN-10
3800721554, Berlin, pp51-55.
Maglev Technical Committee.(2007). Vehicle Part I General Requirements, In: Rapid Maglev
System Design Principles [R]. White paper, 12, pp18- 19.
Z.S.Zhao, L.M.Ying.(2007) One Running Gear of Maglev Vehicle: China, ZL03130750.7[p].
24. 10.
Zhao Zhisu, Ren Chao.(2009). Modeling of Kinematics of EMS Maglev Vehicle[J]. Journal of
The China Railway Society.,Vol.31, (4), pp32-37ISSN 1001-8360.
Zhao Zhi-Su, Et al.,(2000) Motion Analysis and Design for Yawing Mechanism of Maglev
Vehicle [J].Electric Drive for Locomotive, (6), pp11-13,30, ISSN 1000-128x.
Mei Zu, Li Jie.(2007). Dynamics Simulation for Yawing Mechanism of Maglev train Based on
Virtual Prototype [J]. Journal of System Simulation, 19 (18), pp 4199-4203, ISSN 1004731x
Jiang Haibo et al.(2007). A Study on Forced Steering Mechanism of Low-speed Maglev
Train[J]. Diesel Locomotive, (4), pp15-18, ISSN 1003-1839.
Zeng You-Wen,Wang Shao-Hua.(2003). Research on geometri- cal curve nigotiating of threetruck maglev vehicle [J]. Journal of Southwest Jiaotong University, 38(3), pp282285ISSN 0258-2724.
Zhang Kun, LI Jie.(2005). CHANG Wensen. Structure de-coupling analysis of maglev train
bogie[J]. Electric Drive for Locomotive, (1), pp 22-39, ISSN1000-128x.
Zhao Chun-Fa, Zai Wan-Ming.(2005). Guidance Mode and dynamic lateral characteristic of
low-speed maglev vehicle[J]. China Railway Science, (1), pp28-32, ISSN 1001-4632.
Sinha P. K.(1987). Electromagnetic Suspension Dynamics & Control [M]. Perter Peregrinus Ltd.,
ISBN 10-0863410634, London.
Luo Kun, Yin Li-Ming, XIE Yun-de.(2004). Analysis on location parameters of line for midlow speed maglev Train Calculation and analysis of gradient[J]. Electric Drive for
Locomotive, (4), pp17-19, ISSN 1000-128x.
Zhao Zhisu.(2009). Researches On Turing Characteristic Of Tilting Suspension High-Speed
Maglev Train[J]. Electric Drive for Locomotive, (1), pp43-45, ISSN 1000-128x.

6
Maglev
Hamid Yaghoubi1,2, Nariman Barazi2 and Mohammad Reza Aoliaei3

1Iran Maglev Technology (IMT), Tehran,

Engineering Division, Department of Engineering,
Payame Noor University (PNU), Tehran,
3Civil Engineering Division, Azad University, Ramsar,
Iran

2Civil

1. Introduction
Magnetic levitation (maglev) is a highly advanced technology. It is used in the various cases,
including clean energy (small and huge wind turbines: at home, office, industry, etc.),
building facilities (fan), transportation systems (magnetically levitated train, Personal Rapid
Transit (PRT), etc.), weapon (gun, rocketry), nuclear engineering (the centrifuge of nuclear
reactor), civil engineering (elevator), advertising (levitating everything considered inside or
above various frames can be selected), toys (train, levitating spacemen over the space ship,
etc.), stationery (pen) and so on. The common point in all these applications is the lack of
contact and thus no wear and friction. This increases efficiency, reduce maintenance costs
and increase the useful life of the system. The magnetic levitation technology can be used as
a highly advanced and efficient technology in the various industrial. There are already
many countries that are attracted to maglev systems.
Among above-mentioned useful usages, the most important usage of magnetic levitation is
in operation of magnetically levitated trains. Magnetically levitated trains are undoubtedly
the most advanced vehicles currently available to railway industries. Maglev is the first
fundamental innovation in the field of railroad technology since the invention of the
railroad. Magnetically levitated train is a highly modern vehicle. Maglev vehicles use noncontact magnetic levitation, guidance and propulsion systems and have no wheels, axles
and transmission. Contrary to traditional railroad vehicles, there is no direct physical
contact between maglev vehicle and its guideway. These vehicles move along magnetic
fields that are established between the vehicle and its guideway. Conditions of no
mechanical contact and no friction provided by such technology makes it feasible to reach
higher speeds of travel attributed to such trains. Manned maglev vehicles have recorded
speed of travel equal to 581km/hr. The replacement of mechanical components by wear-free
electronics overcomes the technical restrictions of wheel-on-rail technology. Application of
magnetically levitated trains has attracted numerous transportation industries throughout
the world. Magnetically levitated trains are the most recent advancement in railway
engineering specifically in transportation industries. Maglev trains can be conveniently
considered as a solution for transportation needs of the current time as well as future needs
of the world. There is variety of designs for maglev systems and engineers keep revealing
new ideas about such systems. Many systems have been proposed in different parts of the
worlds, and a number of corridors have been selected and researched (Yaghoubi, 2008).

124

Infrastructure Design, Signalling and Security in Railway

Rapid growth of populations and the never ending demand to increase the speed of travel
has always been a dilemma for city planners. The future is already here. Rapid transit and
high-speed trains have always been thought of and are already in use. This is the way
further into the future. Trains with magnetic levitations are part of the game. Conventional
railway systems have been modified to make them travel at much higher speeds. Also,
variety of technologies including magnetic levitation systems and high-speed railway (HSR)
systems has been introduced. Rapid development of transportation industries worldwide,
including railroads and the never ending demand to shorten travel time during trade,
leisure, etc. have caused planning and implementation of high-speed railroads in many
countries. Variety of such systems including maglev has been introduced to the industry.
Maglev trains are a necessity for modern time transportation needs and vital for the future
needs of railways, worldwide. This has resulted in the development of a variety of maglev
systems that are manufactured by different countries. Maglev systems currently in use have
comparable differences. The current models are also changing and improving.
Industries have to grow in order to facilitate many aspects of modern day life. This comes
with a price to pay for by all members of socities. Industrial developments and
widespread use of machineries have also increased risks of finanicial damages and loss of
lives. Safety and needs to physically protect people against machineries may have not
been a priority in the past but they are neccessities of modern times. Experts of industries
have the task of solving safety and protection issues before implementing machineris.
This is a step with high priority for all industrial assignments. While being fast, relaible
and comfortable, maglev systems have found special places in minds of people. Running
at such high speeds, maglev sytems have to be safe and need to be renown for safety. This
puts much heavier loads on the shoulders of the corresponding experts and managers,
compared to some other means of transportation. Safety is knowingly acting with proper
functions to provide comfort and reduce dangers, as much as possdible. Risk
management techniques have a vital role in organizing and implementing proper acts
during incidents, accidents or mishaps in maglev systems operations. Effective
management has a specific place in such processes. Obviously, such plannings put
considereable finanicial load on the system. Implementation of internationally accepted
standards is a fundamental step toward uplifting track safety. It will also serve to improve
route quality, increase passenger loads and increase speed of travel. Maglev vehicle is one
of the important transportation equipment of the urban track traffic system toward the
future (Wang et al., 2007).
The overall plan for research and development and application of maglev technology
should be made at the national level. This plan shall include the development plans as to
research and development of key maglev technology, project implementing technology
research and development of maglev project, plans of building maglev passage based on
traffic demands, investment and financing system for the construction and operation of
maglev system, research on implementing plans of high-density operational organization
and maintenance of maglev route and so on.
It is very important to be vigilant about economical aspects of any major project during its
planning and construction phases. Optimal use of local resources must be all accounted for.
Technical and economical evaluation of the projects is a necessity to their success. It is
necessary to have prior knowledge for investing into a project and then implementing its
goals. Good planning makes it feasible to run the projects with reduced risks and increased
return for the investment.

Maglev

125

2. Vehicle
Maglev suspension systems are divided into two groups of ElectroMagnetic Suspension
(EMS) and ElectroDynamic Suspension (EDS). There are varieties of vehicles that are
manufactured based on these two types of systems. Vehicle path in EMS and EDS systems
are called guideway and track, respectively. Basically, there are two main elements in a
maglev system including its vehicle and the guideway. The three primary functions in
maglev technology are levitation, propulsion, and guidance. Magnetic forces perform all of
these. Magnets are used to generate such magnetic forces. For EMS systems, these magnets
are located within the vehicle while for EDS systems magnets are located in the track.
Performance of EMS system is based on attractive magnetic forces, while EDS system works
with repulsive magnetic forces. In EDS system, the vehicle is levitated about 1 to 10 cm
above the track using repulsive forces as presented in Fig. 1. In EMS system, the vehicle is
levitated about 1 to 2 cm above the guideway using attractive forces as presented in Fig. 2.
In EMS system, the electromagnets on the vehicle interact with and are attracted to
levitation rails on the guideway. Electromagnets attached to the vehicle are directed up
toward the guideway, which levitates the vehicle above the guideway and keeps the vehicle
levitated. Control of allowed air gaps between the guideway and vehicle is achieved by
using highly advanced control systems. Figs. 1, 2 show the components of the guideway and
track including levitation and guidance systems in aforementioned maglev systems.

Fig. 1. Schematic diagram of EDS maglev system

126

Infrastructure Design, Signalling and Security in Railway

Fig. 2. Schematic diagram of EMS maglev system

Germany and Japan are clearly the front runners of the maglev technology. German's
Transrapid International (TRI), a joint venture by Siemens AG and ThyssenKrupp, with
EMS system has presented ninth generation of its maglev vehicles namely TR01 to TR09.
TRI has been investigating electromagnetic levitation since 1969 and commissioned TR02 in
1971. The eighth generation vehicle, TR08 operates on 31.5 km of the guideway at Emsland
test track in northwest Germany. The contract for implementing the worlds first Transrapid
commercial line was signed in Shanghai in January 2001. Construction work of the Shanghai
Transrapid line began in March 2001. After only 22 months of construction time, the world's
first commercially operated Transrapid train made its successful maiden trip on December,
31 2002. On December, 2003, the worlds first commercial Transrapid line with a five section
train started scheduled operation in Shanghai. TR08 and TR09 vehcles are used for the
Shanghai Maglev Train (SMT) and TR09 Munich project, respectively. TR08 consists of 2 to
10 car bodies. SMT consists of 5 car bodies and travels on a 30km double-track elevated
guideway, connecting the LongYang Road station (LYR), served by Metro Line 2 situated in
the Pudong trade centre in Shanghai, to the Pudong International Airport (PIA). High-speed
signifies operation of at least at 250km/hr. SMT has reached to the record speed of 501km/hr, a
average speed (peak operating speed) of 431km/hr and average speed of 268km/hr.

Maglev

127

In 2005, China built its own maglev train. This train reached to the test speed of 150km/hr
over a track length of 204m. In February 2006, Chinese government announced that they
decided to extend Shanghai maglev to Hangzhou city the capital of Zhejiang province. It
would create the worlds first intercity maglev line. The project will be managed by a
German consortium leaded by Siemens Company. This route is of 170 to 175 km in length.
The Ministry of Railways chief planner said in March 2010 that China had agreed to build a
maglev line between Shanghai and Hangzhou. The line will start construction this year,
Xinhua news agency reported. The new link will be 199.5 kilometers, about 24 kilometers
longer than that included in the 2006 plan. The top speed of the maglev will be 450
kilometers per hour. It will take about half an hour to travel from Shanghai to Hangzhou, a
trip which usually takes one and an half hours on the current service. The new line will also
contain a downtown section of about 34 kilometers which is expected to connect the city's
two international airports, Pudong and Hongqiao.
Maglev transport system features its potential development in a region with fast
growing demand of intercity travel, such as the Shanghai maglev transport system (Yau,
2009). Growth of maglev technologies originated from humans pursuit of travel speed.
Since the past 80 years, a number of scientists have made several researches on the
feasibility of applying this transport technology. Eventually, they have realized
commercial operation in Shanghai, China. Since China has a large population, the
demand of applying this technology not only comes into being in the intercity longdistance transport but also in the city traffic field, which is mainly materialized in the
low-speed technology and light vehicles (Siu, 2007). The Shanghai maglev line solved
many important problems concerning the practical use of maglev transportation system.
It has proved that the maglev technology is mature and can be put into practical
application with good safety and reliability (Luguang, 2005). The construction data and
operational experience of Shanghai maglev route create quite advantaged conditions for
the application of maglev technology in China. It is also a blessed advantaged condition
for research and development of maglev technology of China. Therefore, to share and
make full use of the experiences and technical data of this operational route at national
level may promote the research and development progress of maglev technology in
China (Baohua et al., 2008).
In field of low-speed maglev systems, the National Defense University and the South
South-West Jiaotong University worked for a long time for the development of the system
similar to Japanese HSST. The Beijing Enterprises Holdings Maglev Technology
Development Co. together with the National Defense University built a CMS-03 test
vehicle and a 204m long test line with minimum radius of 100m and maximum climbing
of 4% in 2001 in Changsha. Up to now, the vehicle traveled over 7000 km with over
20,000-test run and 40,000 times start and stop operations, its safety and reliability are
proved. Recently, based on the test results a new engineering prototype vehicle has been
constructed. It is planned to build a 2 km test and operation line in Kunming, after all
necessary testing is finished. The whole system can be accepted for real urban application
in 3-5 years (Luguang, 2005).
Technical specifications of high-speed and low-speed maglev trains are presented in Table 1
and 2, respectively (Yaghoubi & Sadat Hoseini, 2010).

128

Country

German

Japan

Infrastructure Design, Signalling and Security in Railway

System

TRI

Railway
Technical
Research
Institute
(RTRI)
and
JR
(Japan
Railways)
Central

Suspension Performance Levitation

EMS

EDS

Attractive
force

Repulsive
force

Vehicle

Table 1. Characteristics of high-speed maglev trains

Year

TR06

392

1987

TR07

450

1993

TR08

500

1999
(German)

SMT

501

2003
(Shanghai)

TR09

350

2008

ML-500R

517

1979

MLU001

405

1980-1982

MLU001

352

1980-1982

MLU002

394

1987

MLX01

550

1997

MLX01

552

1999

MLX01

581

2003

At low
speed and
even at
TR08
standstill

At speeds
higher
than
100km/hr

CarSpeed
body

129

Maglev
Country

U.S

System/
Project

Magne
Motion

Vehicle

M3

Suspension
Max. Operation
Speed (km/hr)
Max. Initial
Acceleration
(m/s2)
Capacity
(pphpdf)

EMS

Passenger
Capacity
(One Car)
Air gap
(mm)
Service Brake
Max.
Deceleration
(m/s2)
Emergency
Brake Max.
Deceleration
(m/s2)
Car-body
Number of
Bogies in each
Car body
Number of
Magnets in each
Bogie
length of each
car body (m)
Car width (m)
Car height (m)
Vehicle weight
(ton)

U.S
GA
(General
Atomics)

U.S
CDOTa

U.S

U.S

Korea

Indonesia

Japan

/
ODUc

M2000

MOCIEd

Jakarta

HSSTe

AMTb

HSST100L

EDS

HSST-200
Colorado
200
EMS

EMS

EDS

EMS

EMS

EMS

160

80

200

64

110

110

100

1.6

1.6

1.1

12000

12000

6000

100

100

Seated:
103

Standin:
100

Seated:
50-100

100

Seated: 33
Standing:
67
Total:100

20

25

10

100

10

1.6

1.6 (standing)
2.5 (seated)

1.25

1.1

3.6

3.1

1.25

1.1

13

24.3

13.5

20- 30

13.5

13.5

15

2.6

3.2

3.3

28.5

28.5

3.65

3
Empty:
19.5-27
75%
Loaded:
23.5- 36

3.5

3.53

28.5

Empty: 21
75%
Loaded:
27.5

Empty: 12
75% Loaded:
17.6

44

Empty:
11.5

(a) Colorado Department of Transportation

(b) American Maglev Technology
(c) Old Dominion University
(d) Ministry of Commerce, Industry and Energy
(e) High Speed Surface Transport
(f) pphpd: passengers/hr/direction

Table 2. Characteristics of low-speed maglev trains

130

Infrastructure Design, Signalling and Security in Railway

3. Guideway
The guideway is the structure that maglev vehicles move over it and are supported and guided
by it. Its main roles are: to direct the movement of the vehicle, to support the vehicle load, and
to transfer the load to the ground. It is the function of the guideway structure to endure applied
loads from the vehicle and transfer them to the foundations. It is the main element in maglev
system and holds big share of costs for the system. It is vital for maglev trains. The cost of the
guideway structure is expected to be 60-80 percent of the overall initial capital investment cost
(Zicha, 1986; Uher, 1989; Cai et al., 1994; FTA, 2004; Ren et al., 2009). Maglev train levitates over
single or double track guideway. Guideway can be mounted either at-grade or elevated on
columns and consists of individual steel or concrete beams. Elevated guideways occupy the
least amount of land on the ground. Moreover, with such systems there is guarantee of meeting
no obstacle while along the route. To guarantee safety for maglev trains necessitates guarantee
that there will be no intersection between guideway and other forms of traffic routes. To serve
the purpose, general proposition is to have elevated guideways.
Guideway provides guidance for the movement of the vehicle, to support the vehicle load, and
to transfer the load to the ground. In maglev guideways contrary to traditional railroad tracks,
there is no need to ballast, sleeper, rail pad and rail fastenings to stabilize the rail gauge. A
guideway consists of a beam (girder) and two levitation (guidance) rails. Guideways can be
constructed at grade (ground-level) or elevated including columns with concrete, steel or
hybrid beams. Maglev elevated guideways minimize land occupation and prevent collision
with other forms of traffic at-grade intersections. Guideways are designed and constructed as
single or double tracks. Guideways can be U-shaped, I-shaped, T-shaped, Box, Truss and etc.
Majority of cross-sections of guideway girders are also U-shaped. The rail gauges (track
gauges) and spans are mostly 2.8 m and 24.8 m (Type I), respectively.
During the past three decades, different guideways have been developed, constructed and
tested. Technical specifications of guideways for Federal Transit Administration (FTA) in U.
S. Department of Transportation and TRI in Germany are presented in Table 3 (FTA, 2004,
2005a) and Table 4 (Schwindt, 2006), respectively. The guideway for the Transrapid in the
Shanghai project was realized as a double-track guideway in 2001 and 2002. This Hybrid
guideway is generation H2, type I as single-span (24.8 m) and two-span (2 x 24.8 m) girders.
The Shanghai guideway I-shaped hybrid girder is 24.8m long, 2.8 wide, 2.2m high with a
reinforced concrete girder (Schwindt, 2006; Dai, 2005).
Guideway consists of superstructures and substructures. Fig. 3 shows components of
guideways superstructures including beam and levitation (guidance) rails in an EMS
maglev system where L is span length in meters and H is girder height in meters.
Depending on height of the guideway, it is separated in:
-

At-grade guideway: 1.45 h 3.50

Elevated guideway: h > 3.50

Where h is guideway gradient height in meters.

The standard guideways are (Figs. 4, 5):
-

Type I: L= 24.768 and H 2.50

Type II: L= 12.384 and H 1.60
Type III: L= 6.192 and plate construction, construction height 0.40

131

Maglev
System

Guideway

Girder

Column

Span

Length of
Span (m)

Crosssection

Width of
Girder (m)

Height of
Girder (m)

Magne
Motion

Elevated

Concrete

Concrete

Twospan

36

Box

1.6

ODU (a)

Elevated

ConcreteConcrete Single-span
Steel

25-27.5

Inverted-T

Colorado

Elevated

Concrete

25

U-shaped

Concrete Single-span

20 to 30

Box

2.972

3.66
(at midspan)
5.49
(at the
supports)

Concrete Single-span

30

Truss

Single/Two
span

36

Box

1.7

1.98, 1.22

ConcreteSingle/Two
Concrete
Steel
span

Colorado

Elevated

Colorado

Elevated

Steel

GA (b)

Elevated/
at-grade

Hybrid

Concrete

(a) Old Dominion University

(b) General Atomics

Table 3. Technical specifications of guideways for FTA

No.

Guideway

Girder

1
2
3
4
5
6
7

Elevated
Elevated
Elevated
Elevated
Elevated
Elevated
Elevated
Ground-level
(at-grade)
Ground-level
(at-grade)
Elevated
Ground-level
(at-grade)
Ground-level
(at-grade)
Elevated
Elevated
Elevated
Ground-level
(at-grade)
Ground-level
(at-grade)
Ground-level
(at-grade)

Concrete
Steel
Concrete
Steel
Steel
Concrete
Steel

8
9
10
11
12
13
14
15
16
17
18

Column
Length of
Year of
(elevated)/
Generation Type
Span
Span (m) Installation
Support (at-grade)
Concrete
C1
I
Single-span
24.8
1981-83
Concrete
S1
I
Single-span
24.8
1981-83
Concrete
C2
I
Single-span
24.8
1984-86
Concrete
S2
I
Single-span
24.8
1984-86
Concrete
S4
I
Two-span
24.8
1995
Concrete
C4
I
Single-span
24.8
1995
Concrete
S4
II
Two-span
12.4
1997

Steel

Concrete

S4

II

Two-span

12.4

1997

Steel

Concrete

S4

III

Two-span

6.2

1997

Concrete

Concrete

Single-span

24.8

Concrete

Concrete

Two-span

Concrete

Concrete

C4

III

Two-span

6.2

1998

Hybrid
Hybrid
Hybrid

Concrete
Concrete
Concrete

H1
H2
H2

I
I
I

Two-span
Two-span
Single-span

31
24.8
24.8

1999
2001
2002

Concrete

Concrete

C5

II

Single-span

9.3

2005

Concrete

Concrete

C8

III

Two-span

6.1

2006-2007

Hybrid

Concrete

H3

II

Single-span

12.4

2006

Table 4. Technical specifications of guideways for TRI

132

Infrastructure Design, Signalling and Security in Railway

Fig. 3. Components of guideway in an EMS maglev system

Fig. 4. Standard guideway types

Fig. 5. Standard guideway types

133

Maglev

The guideway height varies smoothly between 1.45 m and about 20 m. For greater
guideway heights or span lengths larger than 40 m primary structures are needed in the
form of conventional bridges. For substructures such as columns or foundations, reinforced
concrete is proposed. The substructures for the guideway girders consist of several
components. These are, depending on guideway type and gradient height, the column
heads with bearing supports, the columns, tie beams and intermediate beams and the
foundation slabs. They are built onto the natural soil, soil with soil improvement and/or on
piles. The dimensions of the reinforced concrete substructures result from the high demands
on the permissible deformations of the substructures (Grossert, 2006).
Different types of existing maglev magnetic suspension systems and technical specifications
of existing guideways are presented in Table 5. As seen in this table, the majority of the
maglev suspension systems are of electromagnetic suspension type. This table shows the
most commonly used guideway structures and suspension systems. As indicated in the
table, majority of guideway are elevated, double-track and U-shaped. The track gauges and
spans are also mostly 2.8 m and 24.8 m, respectively.
Maglev systems

Suspension

Section
Track (rail) gauge
Guideway
Span length (elevated)
Maximum number
of tracks in a route
(guideway structure)
Maximum percent
of tunnel in a route

Shanghai
China

Transrapid
Germany

HSST
Japan

JR
Japan

U.S

Korea

Different
types
EMS
EMS
EMS
EMS
EDS
(mostly
EMS)
Different
U-shaped U-shaped
I-shaped Types (mostly U-shaped Inverted TBox
U-shaped
U-shaped)
shaped
Truss
2.8 m
2.8 m
1.7 m
2.8 m
1-2.972 m
2.8 m
Elevated
Elevated
GroundElevated Elevated
Elevated Ground-level Elevated
level
(at grade)
(at grade)
24.8 m mostly 24.8 m
30 m
mostly 25 m 25-30 m
Double
track

Double
track

Double
track

Double
track

Double
track

Double
track

22%

15%

87%

Table 5. Guideway structures and suspension systems

In recent years, different designs of guideways have been developed, constructed and
tested among which U-girder guideways happens to be the most popular. In Korea, since
1980, prestressed concrete U-girder guideway for straight route applications has been
proposed (Jin et al., 2007). In Germany, during 1981-1983, a U-girder guideway was built
at the Transrapid Test Facility (TVE) by TRI and was used in the TR07 project (Lever,
1998). This guideway was further optimized and improved during 1984-1986 (Schwindt et
al., 2007). An elevated concrete U-girder guideway was installed in TVE in 1995
(Schwindt, 2006). One of the three kinds of girders considered for Colorado Maglev
Project (CMP) in the Colorado Department of Transportation (CDOT) is a concrete Ugirder (FTA, 2004).

134

Infrastructure Design, Signalling and Security in Railway

Frequent studies on the technical characteristics of beams shows that the following are
among the reasons for frequent use of U-shaped cross-sections in majority of projects
(Yaghoubi & Ziari, 2010):
-

In general, in beams with closed cross-sections like box or U-shaped with continuous
deck, the torsion is reduced. Also, structural continuity in cross-section reduces
deflections due to vertical loads and possibly allow for higher speeds.
The U-shaped beams have less deflection compared to other types of cross-sections.
Cost of design, construction, installation and operation of U-shaped concrete beams
compared to welded steel box girders and tubular steel space truss guideways is lower.
Welding in steel box girders will cause a cost hike. Truss guideways also require many
full penetration welds to insure the truss integrity under loadings, and this in turn
would cause another cost hike.
The continuity of the girder and the deck and the lack of need for installation of
horizontal shear connectors between the concrete girder and the deck, in contrast to the
railroad bridges.
The U-shaped cross-sections are ideal as far as structural and strength (ultimate
strength) are concerned.
More centroidal moment of inertia and the section modulus of U-shaped cross-sections
among cross-sections of equal sectional-area, including the I-shaped.
Lower torsion of U-shaped cross-sections (as a closed cross-section) relative to other
cross-sections including the I-shaped (as an open cross-section).
Lower weight and volume (concrete used and lower dead load) of U-shaped crosssections relative to other sections including the I-shaped.
And generally, the U-shaped cross-sections are technically, operationally, economically,
more satisfying.

It is geometrically simpler to design railway tracks without horizontal or vertical curves and
without longitudinal or lateral inclinations. Practically, this does not happen very often.
When tracks have to be laid in mountain ranges, engineers have to design horizontal and
vertical curves and axial and lateral slops. While passing through horizontal curves
centrifugal forces are added to other forces already present. Centrifugal forces are generated
due to curves and tend to push the vehicle further away from the centre of the curve. The
centrifugal forces also transmit efforts to the track pillars. In fact these forces are generated
in the track and the main components to resist them are the track pillars. If the track or part
of it is located in a horizontal curve, the effect of centrifugal forces needs to be included for
the calculation proposes. These forces act horizontally and in a direction perpendicular to
the tangent to horizontal axis of the track. Normally, track superelevation is added to the
guideway to compensate these centrifugal forces. Regarding the structure, presence of
centrifugal forces on the horizontal curves disturbs the balance of magnetic forces acting on
the guideway. Therefore, it is necessary to make allowance for such effects when analyzing
and designing for guideways on the curves. An important effect of introducing centrifugal
forces on the horizontal curves is the unsymmetrical distribution of vertical loads on the
guideway. This causes different calculation procedures for guideways on the curves
compared to the straight routes.
The maglev can easily handle tight curves and steep grades of up to 10 %, resulting in fewer
tunnels and other encroachment on the terrain (Siemens AG, 2006). The main task of route

Maglev

135

alignment is to stipulate the geometry of the guideway's function planes in such a way that
the passenger enjoys maximum travel comfort when a vehicle travels on the guideway.
Apart from acceleration, however, a consideration of changes in acceleration is also an
important aspect of comfort. An exception to this is the track changing equipment, where,
on the basis of the beam theory, the transition curve of the turnout position is also in the
form of a clothoid in the horizontal plane. When route alignment, including determination
of the spatial curve, is carried out, these or other aspects are taken into account, as well as
the system's characteristics (Schwindt, 2006).
It is well known that torsion has particular significance on the curved bridges. A box section
has a special advantage for a curved guideway because of its high torsion rigidity. A curved
steel box girder guideway can provide longer curved spans with fewer supports than would
be required for I girders, thereby creating greater cost savings in the substructure. For a
given design speed and superelevation, the minimum radius of the circular portion of the
horizontal curve may be determined based on either the passenger comfort criteria (lateral
acceleration) or the vehicle stability criteria, depending on which criterion results on the
smallest curve radius.
In the Colorado system, the passenger comfort criterion is based on the American Society of
Civil Engineers (ASCE) People Mover standards. These standards provide a maximum
recommended lateral acceleration on the passenger. The lateral acceleration is a function of
the velocity and the radius of curvature. In addition to passenger comfort, the stability of the
vehicle itself needs to be considered in the relationship between allowable curve radius and
superelevation. Fabrication of the curved guideway sections is not widely discussed in
maglev system literature. However, it is a central element of the guideway construction
technique and can become a major consideration in the guideway cost (FTA, 2004).
When the vehicle travels on a straight piece of route, gravity is the most influential load
acting on it. If the vehicle has geometrical symmetry and is loaded symmetrically, the
gravity load passes through guideway axis of symmetry. When the vehicle travels on the
curves, the centrifugal force will also be added to this effect.
Ideally, if there is adjustment for superelevation on the curve, loads exerted from vehicle to
the guideway are symmetric and loading pattern will not be different from that of a straight
route. However, on the curves with insufficient superelevation loading pattern will be
different. While the principals of calculating the guideway loading on the curves and the
straight routes are basically the same the main differences arise due to insufficient
superelevation on the curves. This results in different amount of loads being applied to the
guideway for both cases. Eccentricity caused by such effects, makes load on internal and
external levitation rails different. It is clear that as a result of eccentricity due to insufficient
superelevation the portion of load transmitted from vehicle to each one of the internal and
external levitation rails will not be equal. It is vital for the guideway loading calculations to
depict a proper pattern for its loading.
3.1 Loading
The most important part in the analysis and design of guideway is structural loading. The
loading of the maglev vehicle is an important parameter in the practical application. It is
related to the magnetic forces (He et al., 2009). The guideway must carry a dead load due to

136

Infrastructure Design, Signalling and Security in Railway

its own weight, and live loads including the vehicle loads. To incorporate the dynamic
interaction between the guideway and the vehicle, the live load is multiplied by a dynamic
amplification factor. Lateral and longitudinal loads including wind and earthquake loads
may also need to be considered. The guideway loadings are modeled as dynamic and
uniformly distributed magnetic forces to account for the dynamic coupling between the
vehicle and the guideway. As maglev vehicle speeds increase to 300-500 km/h, the dynamic
interactions between vehicle and guideway become an important problem and will play a
dominant role in establishing vehicle suspension requirements. Magnetic forces are
generated by the maglev vehicle and cause structural loading that transmits to the
guideway. This can happen whilst such a vehicle is stationary or in motion. In order to
prevent contact between the vehicle and the guideway and maintain the required gap
between them, the system is continuously under Operation Control System (OCS)
command.
Some decisive factors for the design of maglev guideways are listed as being constructible,
durable, adaptable, reliable, readily maintained, being slim in accordance with urban
environment and being light to be constructed more efficiently (Jin et al., 2007; Sandberg et
al., 1996a, b). In this regard, one of the main challenges to guideway designers is to produce
a structure that will be easily maintainable to the narrow tolerances and precise alignment
required for practical high-speed maglev operation, to achieve a structure which is
economically and financially justifiable and attractive (Plotkin at al., 1996a ,b). Besides
satisfying the above conditions, important parameters in the design of guideway include
vertical live loads and its pursuant dynamic amplification factors (DAF), plus deflection due
to this load. These parameters constantly govern the design process, and they play a major
determining role in the structural optimization of the guideway girder systems.
Vehicle/guideway interaction of the maglev system is an important and complicated
problem. It is influenced by the levitation system, guideway structure, vehicle mechanical
structure, running speed, etc. So the investigation of it should be launched out in many
aspects (Wang et al., 2007). Among the various parameters which affect on design of maglev
guideway, dead and live loads, dynamic amplification factor and deflection have major
importance. Assessment of deflections due to the vertical loads for guideway beam during
operation of maglev vehicle is very important. It is the most influential parameter in design
of guideway (Lee et al., 2009).
While there are routine processes for the calculation of the guideway dead loading, there is a
need for special treatment in the calculation of its live loads. Live load intensity and its
distribution patterns are highly dependent on the structural behavior. According to AREMA
(American Railway Engineering and Maintenance-of-Way Association) and UIC
(International Union of Railways) regulations live load models for conventional railway
track are based on a combination of concentrated and distributed loads. This is compatible
with the use of wheels and the behavior of locomotives in conventional trains. In the case of
trains with magnetic levitation with no wheels and added complexity of lifting magnetic
forces due to support magnets, the analysis is much more complicated.
The forces are of attractive magnetic forces and can be categorized as lifting magnetic forces
and lateral magnetic forces. The lateral magnetic forces include the restoring magnetic
forces, the impact forces, etc. on the straight route and the restoring magnetic forces, the

Maglev

137

wind forces, the earthquake forces, the centrifugal forces, the impact forces, etc. on the
curved route. Lateral magnetic forces due to interaction of the guideway and the guidance
magnets ensure the lateral stability of the vehicle. Lateral guidance is provided by the
configuration of the vehicle-guideway interface and by the levitation electromagnets. The
horseshoe configurations of the electromagnet and levitation rails provide strong lateral
restoring forces when perturbed from equilibrium (FTA, 2004). Guidance magnets are
located on both sides along the entire length of the vehicle to keep the vehicle laterally stable
during travel on the guideway. Electronic control systems assure the preset clearance.
The mechanical load at a specific point of the structure depends on its location within the
car body, but not on the overall length of the vehicles or the position of the car body within
the vehicle set. The interaction forces are the magnetic forces that can be derived from
magnetic suspension models. Fig. 6 schematically presents locations for interactions
between the vehicle and guideway. In this figure, (a) presents location for interaction
between support magnets of the vehicle and the guideway levitation rail; (b) presents
location for interaction between guidance magnets of the vehicle and guideway levitation
rail.

Fig. 6. Schematic of Interacting Maglev Vehicle and Guideway

Static (dead) load on the guideway generally consists of structural weight. It is important to
remember that same type of guideway beams are selected for the straight and the curved
routes. Even though, they may be selected with different types and shapes for the two types
of routes (Jin et al., 2007).
3.1.1 Lifting magnetic forces (vertical loads)
Vertical loads imposed on maglev guideway can be categorized as dead loads due to the
weight of the guideway divided by the length of the span, and live loads due to the
interaction between guideway and the vehicle. Table 6 presents dead loads on guideways
for some different maglev systems. Also, presented in this table, is the calculated dead loads
on a railroad bridge.

138

Infrastructure Design, Signalling and Security in Railway

Items

Urban Maglev Program, Korea

(Jin et al., 2007)

Linimo, Japan (Jin et al., 2007)

AGT, Korea (Jin et al., 2007)
Transrapid, Germany (Jin et al.,
2007)
KIMM, Korea (Jin et al., 2007)
Expo Park Korea, Korea (Jin et al.,
2007)
(Dai, 2005)
(Cai, et al., 1996)
Railroad Bridge (c)

Span Length
(m)
25
25
25
30
25
30
25
30
25
30
30
30

Girder Height
(m)
1.51
1.99
1.402
1.625
1.515
1.837
1.794
2.183
1.991
2.320
2.5
1.92

Dead load
(ton/m)
2.948
3.460
2.68
3.10
2.95
3.28
3.16
3.63
3.46
4.05
7.733
5.531

25

2.20

5.732

25

2.06

3.544

25

1.90

4.256

30
18

1.45

1.5(a), 3.5(b)
1.82
14.8

(a) single-car maglev

(b) three-car maglev
(c) Consisting of four precast prestressed concrete girders of type 3 AASHTO.

Table 6. Dead loads on some typical maglev guideways

The magnetic force between the guideway and the supporting magnets causes the vehicle to
levitate. The maglev guideway live loads consist of both static and dynamic loads. The static
live load is the load due to the weight of the vehicle. In this case, the vehicle rests directly on
the guideway. When the vehicle rises, an air gap appears between the vehicle and the
guideway. The interaction force between the guideway and the i-th bogie in each car body is
equal to 1/nb of the total vehicle weight, including the car body (wagon), bogies, magnets
and passengers. nb is the number of bogies in each car body.
The movement of the vehicle over the guideway amplifies the static loads. Dynamic
amplification factor (DAF) is a non-dimensional ratio of dynamic magnetic force to the static
magnetic force. Incorporating a dynamic amplification factor, the dynamic lifting magnetic
force between the guideway and the i-th bogie in each car body. DAF is the most influential
parameter in design of guideway. The DAF of the guideway girder caused by the maglev
vehicle is generally not severe compared with that caused by a traditional railway load, and
is not significantly affected by vehicle speed. The effects of the deflection ratio and span
continuity on the DAF of the guideway are negligible (Lee et al., 2009). DAF for variety of
maglev systems is presented in Table 7. The DAF defined as the ratio of the maximum
dynamic to the maximum static response of the guideway under the same load plus one, are
used to evaluate the dynamic response of the guideway due to the moving vehicular loads.

139

Maglev

In general, DAF is not a deterministic value and must be estimated through probabilistic
methods. The amount of DAF depends on several parameters including the geometry of the
guideway such as length of span, type of span (single-span or multi-span), etc.
Span Length, L
(m)
24.82

Maximum Speed
(Km/h)
500

Maximum
DAF
1.4 (a)

24.82

500

1.56

27

500

1.4
1.2

27

500

1.36(b)

30

500

1.37

100

1+15/(40+L)

25

110

Linimo, Japan (Yeo et al., 2008)

100

AASHTO LRFD
Bridge Design Specifications
(Dai, 2005)

1.33(c)

5
10
15
20
25
30
36

1=1.35 2=1.53
1=1.2 2=1.31
1=1.14 2=1.21
1=1.10 2=1.16
1=1.08 2=1.125
1=1.06 2=1.09
1.5

Items
Bechtel (Lever, 1998)
TR07, Transrapid,
Germany (Lever, 1998)
Maglev Transit (Lever, 1998)
Grumman (Lever, 1998)
New (corrected)
Grumman (Lever, 1998)
(Dai, 2005)
UTM01, Korea
(Yeo et al., 2008; Lee et al., 2009)
Urban Maglev, Korea (Yeo et
al., 2008)

Conventional Railroad Bridge (d)

General Atomics (FTA, 2005 a, b)

200

Steel girder: 1.15

Concrete girder: 1.1
Steel girder: 1.15
Concrete girder: 1.1

(a) The Bechtel report indicates that this is a conservative value is used to design the girder (Lever,
1998).
(b) Calculated using diagrams of static vehicular loading and dynamic vehicular passage over
guideway (Lever, 1998).
(c) In AASHTO LRFD Bridge Deign Specifications, the dynamic allowance (IM) for highway bridge
design is 0.33 (the corresponding dynamic amplification factor is 1.33) (Dai, 2005).
(d) With track maintenance to accurate standards and criteria. 1: For Shear Force and 2: For Bending
Moment.

Table 7. Dynamic Amplification Factor (DAF) for some typical maglev guideways
The interaction force (dynamic lifting magnetic force) between the i-th bogie in each car
body and the guideway is transferred to two levitation rails. Due to the uniform distribution
of the load on the levitation rails, the loading pattern on the guideway spans can be
considered as a uniform distributed load.
The amount of live load of some different maglev systems are presented in Table 8.

140

Infrastructure Design, Signalling and Security in Railway

Span Length
(m)
25
25

Live Load
(ton/m)
2.3
2.3

Deflection Regulation
(m)
L/2000
L/4000

25

2.6

L/2000

30

1.78

Linimo, Japan (Yeo et al., 2008)

2.3

UTM01, Korea (Yeo et al., 2008)

AGT, Korea (Jin et al., 2007)
Transrapid, Germany (Jin et al.,
2007)
KIMM, Korea (Jin et al., 2007)
Expo Park, Korea (Jin et al.,
2007)
CHSST, Japan (FTA, 2004)
Colorado, U.S. (FTA, 2004)
TR08, Transrapid, Germany
(Schach et al., 2007)

30

2.2
-

L/1500
20<L 25m : L/1500
25<L : (L/25)1/2L/1500
L/4000
L/1000

25

2.4

L/4000

25

1.86

L/4000

25

2.5

L/3000

30
30

2.3
2.3

2.2

Items
Urban Maglev Program, Korea
(Jin et al., 2007)
Urban Maglev Program, Korea
(Yeo et al., 2008)
Linimo, Japan (Jin et al., 2007)

Table 8. Live loads on some typical maglev guideways

In the static position or while maglev vehicle is resting on its guideway, the thickness of the
air gap between vehicle and guideway is nil. Therefore, the total load of the vehicle weight
will be transmitted to the guideway. As a result, the interaction force (total static lifting
magnetic force of each car body) between each car body and the guideway is the static
weight of the vehicle. Each car body is equipped with nb bogies. Thus, the total interaction
force between each car body and the guideway is the summation of interaction forces (static
lifting magnetic forces) between the i-th bogie in each car body and the guideway. Maglev
trains achieve a weight reduction in reaching the design speed (FTA, 2004).
As presented in Fig. 3, each guideway includes one beam (girder) and two levitation rails.
Therefore, the total interaction force between each car body and each of the levitation rails,
is equal to one-half of the total interaction force between each car body and the guideway. In
other words, the interaction force between the i-th bogie in each car body and each of the
levitation rails, is equal to one-half of the interaction force between the i-th bogie in each car
body and the guideway. Dynamic magnetic lifting forces are the forces generated while the
vehicle moves. The interaction force (total dynamic lifting magnetic force of each car body)
between each car body and the guideway, is the sum of the interaction forces (dynamic
lifting magnetic forces) between the i-th bogie in each car body and the guideway. Also,
considering the fact that each guideway consists of two levitation rails, the interaction force
between the i-th bogie in each car body and each of the levitation rails, is equal to one-half of
the interaction force between the i-th bogie in each car body and the guideway. Interaction
force between each bogie in each car body and the guideway is a uniformly distributed live
load. Load uniformity comes from the absence of the wheels and presence of lifting
magnetic forces with uniform intensity that is generated by support magnets. Interaction

Maglev

141

force between each bogie in each car body and each of the levitation rails is also uniformly
distributed. If bogie lengths in each car body are the same, as normally is the case, then the
total interaction force intensity between each car body and the guideway is equal to the
interaction force intensity between the i-th bogie in each car body and the guideway over
the length of bogie. Also, in such case, the total interaction force intensity between each car
body and each of the levitation rails over the length of each car body is equal to the
interaction force intensity between the i-th bogie in each car body and each of the levitation
rails over the length of each bogie. Each maglev vehicle involves some (one to ten) car
bodies with different lengths. Hence, maximum interaction force intensity between car
bodies and the guideway can be considered as maglev live load. In general, maglev live
loading is evenly and uniformly distributed. The amount of maglev live load is generally
less than the dead load of its guideway. Also, the uniformly distributed live load of maglev
applied to each levitation rail over the length of live loading.
3.1.2 Lateral magnetic forces (lateral loads)
In the static case, lateral (guidance) magnetic forces do not exist. However, during vehicle
movements and while it moves to the sides, interaction of guidance magnets and levitation
rails brings the vehicle back to its central stable position. This causes lateral magnetic forces.
These lateral forces act in lateral and normal directions to the levitation rails and transmit to
the guideway. When the vehicle deviates to the right, guidance magnets on the right side of
horseshoe shaped section of the vehicle and levitation rail on the right side of guideway
attract each other while guidance magnets on the left side of horseshoe shaped section of the
vehicle and levitation rail on the left side of guideway repulse each other. This brings the
vehicle back to its stable position. At the location of interaction between guidance magnets
and levitation rails, forces in the left and right zones are of the same size and act on the same
direction to the guideway.
One of the main advantages of the elevated transportation systems such as maglev is the
high resistance of their tracks in dealing with the earthquake forces. Earthquake forces are
included in the guideway design for Shanghai in China (Dai, 2005) and in Japan. There is no
report of major earthquake in central Europe. Therefore, German Transrapid TR07 has
ignored such effects, all together (Lever, 1998). Earthquake lateral forces imposed on maglev
guideway are less than that of the railroad bridges.
Irregular earth movements generate such forces that can be capable of damaging the man
made structures. The size of such forces depends on the nature of the earthquake, the
natural period for the bridge structural vibrations and the natural period for vibrations of
the soil under the foundation. For the design of the exceptional bridges with very large
spans or for the bridges that are near the earths fault lines, calculations for the earthquake
forces depend on some detailed studies. One may use the static analysis for the design of
small to medium size bridges. Dynamic bridge analysis however, needs huge number of
calculations that are economically formidable and sometimes turn to be impossible. On the
other hand, the quasi static approach uses a load (or an impact) factor that converts the
dynamic loads into the static loads. Therefore, such method assumes static equilibrium
when determining the structural behavior. The load (or the impact factor) comes from the
experiences, engineering judgment and from mathematical models.

142

Infrastructure Design, Signalling and Security in Railway

Guideways must endure the earthquake lateral forces in two perpendicular directions. They
need to also transfer the lateral forces to the guideway foundations in both directions. These
two directions normally include the guideway longitudinal axis and the direction
perpendicular to it. The guideway columns must endure the earthquake forces caused by
the guideway weight in addition to enduring the earthquake forces that are related to the
columns weight. The later force comes from multiplying the earthquake factor by the weight
of the columns. The earthquake factor is the same factor that is also used for the calculation
of the earthquake force. For the calculation of the earthquake lateral force, if the size of the
live load is less than half of the size of the deal load, the live load will be ignored. Otherwise,
two third of the summation of the dead and live loads on the guideway needs to be
accounted for. While calculating the earthquake lateral force for urban maglev guideways,
at least half of the live load must be included.
Generally, the wind effect depends on the geographical position of the district, its altitude
from the sea level, the local topography and to some geometrical characteristics. For the
guideway static calculations, regardless from the number of the tracks the wind force affects
only one maglev vehicle.
The interaction force (dynamic lateral magnetic force) between the i-th bogie in each car
body and each of the levitation rails is defined by the summation of the interaction forces
(dynamic lifting magnetic force) between the i-th bogie in each car body and each of the
levitation rails and the wind or the earthquake lateral force, whichever that turns to be
bigger. The earthquake lateral force also includes a DAF.
Lateral forces on the maglev guideway can be caused by the vehicle sliding, particularly on
curves. Lateral guidance is provided by guidance magnets. The dynamic lateral magnetic
force imposed on the guideway can be considered as a uniformly distributed load.
Centrifugal forces, in equal speed and curve radius, are less in maglev due to lower weight
of the vehicle than in rail tracks.
3.1.3 Longitudinal loads
In recent years, with increasing traveling speed of the rail systems, aerodynamic load
problems became very important. From the system point of view, aerodynamical topics
which affect and define the interface between rolling stock, infrastructure and operation are
of paramount importance and the corresponding loads increase with the vehicle speed. If
maglev vehicles pass in close proximity to each other or move close to fixed objects such as
barriers or buildings, the aerodynamic interactions can produce significant loads on the
vehicle or the fixed object. The magnitude and duration of the load depends on the velocity
and geometry of the vehicles and also on the ambient wind speed and direction. For highspeed railroads several studies have examined the loads produced by passing trains and
their potential for causing an accident. The results of these studies show an important
pressure load acting on the object which can have serious consequences. The experiments
were carried out on conventional railroad vehicles but from the system point of view, in
principle, the aerodynamics of a maglev and a high-speed railroad system do not differ.
Although the safety aspect does not concern the maglev vehicle as strongly as it concerns
conventional railroads, because maglev is guided by magnets on both sides and cannot
derail, many aspects are similar. In both cases, the interaction of vehicles and infrastructure

Maglev

143

implies aerodynamic system issues, e.g. that of train induced aerodynamic loads leading to
structural vibrations and a decrease of ride comfort. The pressure load caused by passing
maglev vehicles has an important aerodynamic effect on the sidewall motion and therefore
on the ride comfort (Tielkes, 2006). While two vehicles are passing each other at high
relative speed, the quasi-static pressure distribution along each vehicle presents a dynamic
load on the other vehicle. The dynamic pressure load strongly depends on the velocity of
the oncoming vehicle, the geometry of the bow-part of the oncoming vehicle and the
distance between the two tracks. The time behavior is given by the relative velocity between
the two vehicles. The mechanical load on the car body depends mainly on:
i.

ii.

the amplitude of the pressure wave, given by

the velocity of the oncoming vehicle
the bow-shape of the oncoming vehicle
the distance between the two tracks
the relation between the propagation speed of the structural Eigenmode with the
corresponding wavelength and the relative velocity between the two vehicles
iii. the load at a specific point of the structure depends on its location within the car body,
but not on the overall length of the vehicles or the position of the carriage body within
the vehicle set.
In general, the aerodynamic forces play an important role in affecting the interaction
response of maglev-vehicle/guideway system due to their velocity-dependent
characteristics, especially for the higher speeds over 600km/h (Yau, 2009). Further
development of the ground transport calls for solution variety of problems among which
aerodynamic problems are very important. The up-date state of high-speed ground
transport problem shows that the use of aerodynamic effects will make it possible to
optimize the technical and economic performances of vehicles.
Longitudinal force can be applied to the guideway through braking and acceleration of the
vehicle, vehicle weight when the guideway has a longitudinal slope, and air pressure
(aerodynamics). Since maglev vehicles have no wheels, axles and transmission, they weigh
less then a conventional railroad train. The lack of wheels also means that there is no friction
between the vehicle and the guideway. These factors result in a reduction in energy
consumption. Therefore, the vehicle requires a lesser force for braking and stopping it. For
example, the attractive force due to braking in the Colorado maglev vehicle equals to 4.2-4.5
ton, which amounts to about 10% of its loaded vehicle mass of 44 ton (FTA, 2004). In
conventional rail tracks, brake force is usually equal to 1/7 of the weight of the part of the
train which is located on the bridge.
3.2 Analysis
During the past four decades, many maglev models have been proposed. In 1974, Katz
proposed two simplified one dimensional maglev vehicle and suspension models. A simple
two degree-of-freedom (DOF) vehicle system with one car body was used in his study (Katz
et al., 1974). In 1993, Cai studied a multi-car vehicle model traversing on a guideway.
Concentrated loads and distributed loads were compared. The coupled effects of vehicle
and guideway interactions over a wide range of vehicle speeds with various vehicle and
guideway parameters were investigated. Only vertical vehicle motion is considered in their

144

Infrastructure Design, Signalling and Security in Railway

study. A beam model with a uniform-cross-section was used. They found that a distributed
load vehicle model was better than a concentrated load vehicle model which might result in
vehicle accelerations in simulations. They concluded that multi-car vehicles had less car
body acceleration than a single-car vehicle, because of the inter-car vertical constraints.
However, a magnetic suspension model is not included in their study. The interface
between the vehicle and the beam was modeled with an elastic spring and dashpot, which is
not the case in a real maglev system (Cai et al., 1996). In 1995, Nagurka and Wang
developed a dynamic maglev model which includes a five DOF vehicle model. The effects of
the vehicle speed on the system performance were studied (Nagurka et al., 1997). In 2005,
Huiguang Dai influenced by German TR08 maglev, defined a vehicle model, a magnetic
suspension model and a beam roughness model. He studied dynamics of a single-car
vehicle model with 4 bogies and a three-car vehicle model with 12 bogies. He used an
elevated guideway with multiple concentrated moving loads. A total number of 500
simulations were performed to study the dynamic behavior of maglev vehicle and
guideway beam (Dai, 2005).
Although extensive simulations and analyses have been performed, the development of
design criteria for maglev guideways will require additional studies. Aerodynamic forces
must be considered. Effects of horizontal curves should be considered. Maglev trains may
be extended to 4 or more cars (Dai, 2005). Maglev vehicle/guideway interaction problem
bothers the investigators and engineers for years. No well-accepted interpretation has been
reported, yet. Vehicle/guideway interaction of the maglev system is an important and
complicated problem. It is influenced by the levitation system, guideway structure, vehicle
mechanical structure, running speed, etc. So the investigation of it should be launched out in
many aspects (Wang et al., 2007).
During the past four decades, research and development have been performed in the areas
of magnetic levitation, interaction of vehicle with guideway, and optimization of vehicle
suspensions. The results of these efforts are useful in providing appropriate criteria for the
design of maglev systems. The dynamic response of magnetically levitated vehicles is
important because of safety, ride quality and system cost. As maglev vehicle speeds increase
to 300-500km/h the dynamic interactions between vehicle and guideway become an
important problem and will play a dominant role in establishing vehicle suspension
requirements. Different dynamic responses of coupled vehicle/guideway systems may be
observed, including periodic oscillation, random vibration, dynamic instability, chaotic
motion, parametric resonance, combination resonance, and transient response. To design a
proper vehicle model that provides acceptable ride quality, the dynamic interaction of
vehicles and guideways must be understood. The coupled vehicle/guideway dynamics are
the link between the guideway and the other maglev components. Thus, reliable analytical
and simulation techniques are needed in the design of vehicle/guideway systems.
Furthermore, a coupled vehicle/guideway dynamic model with multiple cars must be
developed to meet system design requirements.
For a dynamic analysis of vehicle/guideway interactions, an understanding of the effects of
distributed loads is essential. The maglev vehicle is the source of magnetic forces and
loading starts from this vehicle. These forces transfer to the guideway while the vehicle is
stopped or when it moves. Each car body model can be considered as a uniform rigid mass.
It is supported by two to eight springs and two to eight dashpots that form the secondary

Maglev

145

suspension for maglev vehicle. The primary suspension consists of two to eight
magnetically supported bogies. Maglev vehicle can be single-car or multiple-car.
Magnetic levitation is caused by magnetic forces that transmit to guideway by maglev
vehicle. In fact, these forces are the consequence of interactions between vehicle and
guideway caused by magnets. For EMS systems, these magnets are installed within the
vehicle. The forces are of attractive magnetic forces. Lifting magnetic forces due to
interaction of guideway and support magnets cause the levitation of the vehicle. Support
magnets are located on both sides along the entire length of the vehicle. The attractive force
produces inherently unstable vehicle support because the attractive force increases as the
vehicle/guideway gap decreases.
The interaction forces are the magnetic forces that can be derived from magnetic suspension
models. Static load on guideway generally consists of the vehcile weight. In either case, the
dead load is uniformly distributed along the full length of the beam. Calculations of live
load need more attention. Dynamic lifting forces are derived from static lifting forces.
Therefore, accuracy of these models is vital to the accuracy of live load models. Combination
of these models plus the live load models leads to the analysis and design of guideway. In
static position or while maglev vehicle is resting on its guideway, thickness of the air gap
between vehicle and guideway is nil. Therefore, total load of vehicle weight will be
transmitted to the guideway. As a result, the interaction force (total static lifting magnetic
force of each car body) between each car body and the guideway is the static weight of the
vehicle. Each car body is equipped with nb bogies. Thus, the total interaction force is
summation of interaction forces (static lifting magnetic forces) between the i-th bogie in each
car body and the guideway. Interaction force (dynamic lifting magnetic force) between each
bogie in each car body and the guideway is a uniformly distributed live load. Load
uniformity comes from absence of the wheels and presence of lifting magnetic forces with
uniform intensity that is generated by support magnets. Maglev live loading is evenly and
uniformly distributed. Amount of maglev live load is generally less than dead load of its
guideway.
These forces transfer to the guideway while the vehicle is stopped or when it moves. Each
car body model can be considered as a uniform rigid mass. It is supported by two to eight
springs and two to eight dashpots that form the secondary suspension for maglev vehicle.
The primary suspension consists of two to eight magnetically supported bogies. The
electromagnets are mounted on the rigid bogies and generate attractive magnetic forces
while interacting with ferromagnetic stator packs. Connections between magnets and bogies
are assumed to be rigid. Two dimensional motions of the vehicle include heave motion and
rotational motion. Maglev vehicle can be single-car or multiple-car. For example, a singlecar vehicle with four bogies has 6 DOF including one translational and one rotational
displacement at the center of mass of the car body, and one translational displacement for
each of the four bogies. By the same token, a three-car vehicle with four bogies in each car
body has 18 DOF. A dynamic simulation for maglev vehicle/guideway interaction is
essential to optimize the vehicle design.
A variety of these parameters are presented in Table 9 for different types of maglev
systems.

146

Maglev
System/
Model

Infrastructure Design, Signalling and Security in Railway

Old
General
Dominion
TR08,
HSSTAtomics
Shanghai,
Uni.
(Wang
German
100L,
(GA),
(Cai et
China
(Dai,
(ODU), et al.,
(Schach
Japan
U.S.
al., 1996)
(Guangwei 2005)
U.S.
1997)
et al.,
(FTA,
(FTA,
et al., 2007)
(FTA,
2007)
2005b)
2005a, b)
2005)

CHSST, Colorado,
Japan
U.S.
(FTA,
(FTA,
2002,
2002,
2004)
2004)

Number of
car body in
the vehicle

Length of
each car
body,
in meters

13

13.7

18

25

24.8

24.8

24

15

24.38

24.38

Number of
bogies in
each car
body

Table 9. Parameters of some maglev vehicles

3.3 Design
Guideways are designed and constructed with concrete or steel girders. Concrete guideway
girders can be as reinforced or prestressed. Guideway girder is evaluated for different load
cases. As example, the Shanghai guideway girder was evaluated with respect to as many as
14,000 load cases by consideration of the deflection, dynamic strength and thermal
expansion. The guideway girder for Urban Maglev Program in Korea was also evaluated for
five load cases that are combinations of the dead load, live load and the prestressing forces
of the tendon (Jin et al., 2007).
Guideways are usually made as single-span or two-span elevated or at-grade. But for larger
spans the use of continuous two span supports is recommended. This can reduce deflection
and the effect of temperature variations (FTA, 2004). Guideways are modeled as a single or
multi span beam with uniformly distributed dead and live loads. Analyses are aimed at
obtaining maximum stresses and deflections in guideway spans. The design criteria have
deflection regulation on live load and concrete strength condition on top and bottom ends of
the girder. The design criteria of the maglev guideway can be summarized as the deflection
regulations due to live load in the sense of serviceability and the stresses limits of the girder
due to the combination of the dead load and live load. Any classical beam analysis or finite
element methods can be adapted in order to obtain maximum stresses and deflections of the
beams. Design methods of guideway beam should satisfy the design criteria regarding
loading conditions (live load and dead load) and deflection conditions due to live load. The
stresses are controlled according to regulations such as AREMA or AASHTO specifications.
As example (Jin et al., 2007), the allowable stresses for prestressed concrete compressive
strength fck are described in Table 10.

147

Maglev

Parameter
Compressive strength at initial prestressing
Compressive strength just after prestressing
Tensile strength just after prestressing
Compressive strength under design load
Tensile strength under design load

Description
0.8fck
0.55fci
0.75fci
0.4fci
1.50fci

Unit
MPa
MPa
MPa
MPa
MPa

Table 10. Allowable stresses of concrete guideway girder

Till now, variety of design methods has already been used. The Allowable Stress Method
was used for design of GA maglev system foundations in U.S (FTA, 2005b) and the Urban
Maglev Program in Korea (Jin et al., 2007). The AASHTO Standard Specifications for
Highway Bridges were used for design of the Colorado maglev system in U.S (FTA, 2004),
the maglev system of GA in U.S (FTA, 2005b) and Transrapid TR08 maglev system in
German (Dai, 2005). The AREMA Standard Specifications were used for design of the tensile
stress in prestressed concrete for the maglev systems of Colorado in U.S and CHSST in
Japan (FTA, 2004). The Service Load Design Method was used for preliminary design of the
Colorado special guideway to obtain a reasonable proportioning of members and for
estimating material quantities (FTA, 2004).
The maximum allowable total deformation of the guideway can come from the settlements
caused by consolidation or creep, by dead load, by cyclic loads from the vehicles or by
dynamic loads during operation. Due to the importance of the geometry deviation in the
serviceability and safety of the maglev guideway, tighter control over the deflection due to
live load is required. In other words, there should be very strict limit adopted for the
deflection in order to provide the required serviceability and safe parathion. Main
contributors to guideway beam deflection is its live load. Deflection due to dead load of
guideway beam is usually very small and time-dependant. The maglev systems of CHSST
and Colorado are no exceptions (FTA, 2002, 2004).
Lower deflection in guideway brings the possibility of reaching at higher speeds of travel.
Structural continuity, reduction in span length, reductions in live load and DAF, load
combinations, much concrete characteristics compressive strength, use of prestressed
concrete, section modulus and etc. are among effective factors in the reduction of the
deflection due to the live load. In general, utilization of prestressed concrete, increase of
required concrete compressive strength and modules of elasticity reduces guideway beam
deflection.
Structural continuity reduces live load and dead load deflections and possibly allow for
higher speeds. Deformations due to creep and joint bearing costs also reduce with the use of
structural continuity. Over time, precast girders get considerable variation in cambers and
early creeps, but very little time deflection after continuity and composite behavior is
achieved. The design with AREMA specifications results in the relatively high live load to
total load ratio combined in comparison to other load combinations (because of the high
effect of this type of load). It should be noted that this loading combination in comparison
to other regulations consist of the highest load factors (LF), and at the same time the current
regulation scheme with the use of the allowed tensile stresses applies a more accurate
control over the deflection due to live load (FTA, 2004).

148

Infrastructure Design, Signalling and Security in Railway

Up till now, different proposed regulations for deflection ratios due to live load such as
L/500, L/1000, L/1500, L/1750, L/2000, L/2500, L/3000, and L/4000 have been proposed.
In the Transrapid maglev systems generally beams are designed for the deflection ratios due
to live load of L/4000 which is the optimum in design terms and in terms of economic
efficiency (Jin et al., 2007; Lever, 1998; Schwindt, 2006). The allowable deflection ratios due
to live load of some different maglev systems, a high-speed railway and conventional
railroad bridges are presented in Table 11 where L is the span length.
Items

Korea(a)
(Jin et al., 2007)

Proposed Girders(b)
(Jin et al., 2007)
A Proposed Girder(c) (Yeo et al., 2008)
Linimo, Japan (Jin et al., 2007)
Linimo, Japan (Yeo et al., 2008)
AGT, Korea (Jin et al., 2007)
Transrapid, Germany (Jin et al., 2007)
KIMM, Korea (Jin et al., 2007)
Expo Park, Korea (Jin et al., 2007)
UTM01, Korea (Yeo et al., 2008)
TGV(d) -Atlantique (Lever, 1998)
TR07 (Lever, 1998)
Bechtel (Lever, 1998)
Foster-Miller (Lever, 1998)
Grumman (Lever, 1998)
Magneplane (Lever, 1998)
Colorado, U.S. (FTA, 2004)
CHSST, Japan (FTA, 2004)
(Dai, 2005)
Railroad Bridge

Span Length (m)

25
30
25
30
25
30
25
30
25
25
25
30
30
25
25
25
25
25
27
27
9.1
30
30
30
-

Dynamic Deflection
Regulation (m)
L/1500
L/1500
L/2000
L/2000
L/3000
L/3000
L/4000
L/4000
L/2000
L/4000
L/2000
L/1500
20<L 25m : L/1500
25<L : (L/25)1/2L/1500
L/1000
L/4000
L/4000
L/3000
L/4000
L/4000
L/4000
L/2500
L/2300
L/2500
L/2000
L/1750
L/1750
L/4000
L/800

(a) Structural optimization results of Korea guideway girder systems

(b) Two types of proposed U-type girder systems for Urban Maglev Program in Korea (Jin et al., 2007)
(c) A proposed U-type girder system for Urban Maglev Program in Korea (Yeo et al., 2008).
(d) The French Train a Grand Vitesse (a high-speed railway train)

Table 11. Allowable deflection due to live load for some typical maglev systems

Maglev

149

4. Station
Stations have emerged as a new central place in metropolitan cities and have become hub of
networks due to their high accessibility by different modes of transport in high scale level.
Furthermore, they produce movements which offer sufficient opportunity for the
development of commercial land use. Railway stations entered a new age again in the late
20th century after the introduction of high-speed trains. Stations play a very important and
influential role in the maglev transport system. The efficacy of the maglev system over the
national and regional development depends on the stations. The development hub of
maglev system mainly formed around stations.
Transportation facilities are both collectors and distributors. The overall goal of these transit
stations is to collect and distribute as many passengers as possible with a minimum amount
of confusion and inconvenience. Stations should have the capacity to accommodate large
concentrations of passengers at various times throughout the day. The stations activities
consist of everything from passenger service to the maintenance of the building. It is
important to provide the traveler with a pleasant experience and atmosphere that will
hopefully lead to repeat business in the future. The station should be able to provide for all
of the modern conveniences to better serve the employees as well as the weary travelers.
The important idea is to be able to get the people to their next destination as quickly as
possible, and if a wait happens to occur then the station should be equipped to
accommodate the passengers needs (Stone, 1994).
Maglev stations are key regional transportation facilities designed to provide access for high
volumes of passengers. The Maglev stations will provide regional and local intermodal
connections, as well as national and international connections to passenger facilities. The
aesthetic features of the stations are intended to reflect the intrinsic values of the Maglev
system: advanced technology, movement, and speed. The conceptual design calls for openair stations with natural light and ventilation.
Fundamentally, a maglev station is equivalent in planning, design, and operation to an
inter-city or commuter railroad station. There is only one technical aspect of maglev that
constrains station design: unlike railroad tracks, the maglev guideway cannot be crossed by
passengers and vehicles at grade. As a result, maglev station designs must provide gradeseparated passenger access to the station platforms. This form of access requires vertical
circulation (stairs, elevators, escalators) to connect the platforms with tunnels under or
bridges over the tracks. Stations should provide the proper functions of typical transit
stations, including platforms, Shelter, Vertical and Horizontal circulation, Amenities and
Services, Climate controlled waiting room, Public restrooms, Snack service, Public
telephones, Changeable message display, Safety. All the station designs are planned to be
consistent with the character of the buildings in the area of operation or predicated on the
community standards of the local area where each station is located. The station must
support the safe movement of passengers at specified flow rates and must also support
particular levels of vehicle traffic. Based on the patron markets the following elements,
features, and design standards should be common to all maglev system stations, regardless
of location or patronage volumes. The expression of these standards will vary and
additional features may be added, depending on station location.

150

Fig. 7. Maglev station equipment

Infrastructure Design, Signalling and Security in Railway

Maglev

151

Platforms will be elevated, allowing direct access through train doors without steps or
ramps. No free passenger access to the guideway will be permitted, for safety reasons. This
is mandatory due to the speed and low noise profile of maglev systems. The use of docks
and in-station transfer switches means that passing trains, while not necessarily in close
proximity to platforms, could injure anyone who strayed into the active main guideway. For
vertical circulation all maglev system stations will provide escalators and elevators as the
primary elements and stairs as the backup.
The station services, including public rest rooms, snack service, newsstand, staffed ticketing
and information center, and public telephones should be provided. Stations should also
provide facilities (shops, changing rooms, luggage storage, etc.), access to traveler services
such as station cars, and advertising displays. All stations would feature public art
appropriate to their locations. Public art is an excellent adjunct to station design and a
popular feature. Train and station operations require the station personnel and security.
Station managers and ticket agents control the station activities, providing passenger
assistance and information as well as inspecting train sets when in station. Armed security
personnel are provided at every station. Large stations have multiple security personnel,
and parking garages are policed (FTA, 2004).

5. Operation
5.1 Performance
The most important task or essential aim when designing the alignment is to specify the
geometry of the guideways functional planes so that the passenger traveling in the vehicle
on the guideway experiences optimum comfort during the journey. The geometry defines
the limit values for accelerations in the three spatial directions (X, Y, and Z direction).
However, apart from the acceleration, the consideration of the change in acceleration (jerk)
is also an important aspect for comfort. Therefore, various mathematical formulae were
discussed for the transition curves and lengths, with the result,

the horizontal transition curves are designed as sinusoidal curves and

the vertical transition curves are designed as clothoids.

An exception are the track switching devices which, based on beam theory, are also
designed using clothoids for the horizontal transition curves in the turn-out position. The
alignment is designed and the space curve established taking into consideration the aspects
given above as well as the system characteristics, e.g.

climbing capability up to 10% and

cant (superelevation) in curves up to 12%.

The space curve data are used in the next design phase as the design criteria for

specifying the substructures,

height of the columns,
geometry of each individual beam,
location of the track switching devices and for the
precise location of the functional components on the beam (Schwindt et al., 2004).

152

Infrastructure Design, Signalling and Security in Railway

The reductions in speed in the track course result from slopes, where the residual
acceleration abilities do not maintain a high speed. Based on faster acceleration, the
operation speed of the maglev can be smaller than that of the ICE3 in order to achieve the
same running time. The primary energy demand that is relevant for the comparison
between different means of transport averages under the examination of the current power
mix as 2.5 times the secondary needs (Witt et al., 2004).
5.2 Propulsion system
Electronic control systems control the clearance (nominally 10 mm). The levitation system
uses on-board batteries that are independent of the propulsion system. The vehicle is
capable of hovering up to one hour without external energy. While traveling, the on-board
batteries are recharged by linear generators integrated into the support magnets.
A synchronous, long stator linear motor is used in the Transrapid maglev system both for
propulsion and braking. It functions like a rotating electric motor whose stator is cut open and
stretched along under the guideway. Inside the motor windings, alternating current is
generating a magnetic traveling field that moves the vehicle without contact. The support
magnets in the vehicle function as the excitation portion (rotor). The speed can be continuously
regulated by varying the frequency of the alternating current. If the direction of the traveling
field is reversed, the motor becomes a generator which brakes the vehicle without any contact.
In accordance with Lenzs Law, the interaction of the levitation field with the current in the
slots of the rail results in propulsion or braking force. During the motion of the magnet
along the rail, the linear generator winding of the main pole is coupled with a non-constant
flux, which induces a voltage and reloads the on-board batteries. The generation process
begins in the range of 15 km/h and equals the losses of the magnetic suspension systems at
90 km/h. The whole energy losses of the vehicle are compensated at a velocity of 110 km/h
and the batteries are reloaded. Thus the levitation magnet integrates three tasks: levitation,
propulsion and transfer of energy to the vehicle (Dai, 2005).
The superhigh-speed Transrapid magnetic levitation system is powered by a synchronous,
ironcored long stator linear motor which in contrast to the classic railroad is not installed
on board the vehicle but in the guideway along the route. The special features of the long
stator linear propulsion system enable its dimensions to be individually adapted to the
running requirements of the route as well as to specific operating concepts.
The structure of the propulsion system developed for revenue service comprises a number
of components, which are located along the guideway. These drive components are
temporarily switched together to form the propulsion units necessary to permit maglev
operation over the guideway. A propulsion unit remains in the switched configuration for
as long as a vehicle is operating within the corresponding control range (drive control zone).
It is capable of driving, accelerating and retarding one maglev train. A prolusion unit
comprises the line section itself and, depending on the type of power supply selected, one or
two propulsion blocks. The propulsion blocks are housed in substations, the latter being
situated beside the guideway and spaced at a maximum distance of 50 kilometers. A
substation for a single guideway contains one or two propulsion blocks, the necessary
power supply and the decentralized operations control equipment (Fig. 8). A substation for
a dual guideway simply is composed of two single-guideway substations.

Maglev

153

Fig. 8. Structure of the propulsion system

A guideway section consists of two long stators, each comprising the necessary stator sections
and switching stations to cover a distance of up to 50 km, the feeder cable systems (two or
three according to the selected mode of stator section switching) and the trackside switchgear.
A propulsion block is made up of the converter units as well as the motor section control,
diagnostics, and components of the data transfer system. In turn, one converter unit comprises
a converter power section, rectifier- and output transformers, a closed-loop/open-loop
converter control system, a converter cooling system and converter switchgear.
In a double-end feeding configuration, power is supplied to both ends of a guideway section
from the two propulsion blocks of adjacent substations. If each substation has only one
propulsion block per guideway, there must be at least one clear drive control zone between
two maglev vehicles running in the same direction. However, if each substation has two
propulsion blocks per guideway, the second maglev vehicle may enter a zone just cleared by
the first. Data exchange between the components of a drive control zone as well as between
adjacent control zones and external subsystems is made possible by a powerful data transfer
system (Henning et al., 2004).
Propulsion in the maglev system is achieved by a linear synchronous motor (LSM). The
linear synchronous motor comprises three-phase stator windings mounted on the underside
of the guideway and producing a traveling magnetic field BS (its velocity being proportional
to the frequency of the input signal) along the guideway. The second component of the LSM
is the onboard excitation system. The excitation system made of the levitation
electromagnets produces an excitation magnetic field BR. Propulsion is achieved when the
excitation magnetic field BR synchronizes and locks to the travelling magnetic field BS. As a
consequence, the speed of the vehicle is proportional to the input frequency of the threephase stator windings.

154

Infrastructure Design, Signalling and Security in Railway

The task of the power supply system is to supply all components of the Transrapid system
with the demanded power. The main consumer naturally is the propulsion system; others
are the power rail supply for the on-board supply of the vehicle, the auxiliary power supply
for the propulsion control system as well as the operation control system, the guideway
switches and the reactive power compensation.
The components of the Power supply system (PS) are installed in substations where the
main components of the propulsion system and the decentralized operation control system
are installed, too and in transformer stations, which are both located along the guideway.
The distance between the substations and transformer stations mainly depends on the
characteristic data of the operating program and system layout, such as speedtimediagramm, minimum interval between maglev vehicles, stations, and auxiliary stopping
areas. Furthermore, the availability of the power supply system is a very important
stipulation for the power supply system layout.
The propulsion system and power supply for Shanghai Maglev Transrapid Project is based
on the structures described above and is designed according to the requirements of the
transportation system. The main requirements for a transportation system are:

track length
passenger capacity
travel time to destination
maximum waiting time for passengers at the stations

Therefore the main design parameters for a transportation system are:

alignment
comfort criteria
speed profiles
operation concept including headway times
availability, reliability

In relation to these parameters and the necessary input data

number of vehicles and number of sections per vehicle

vehicle data, e.g. aerodynamic resistance
comfort criterias, e.g. max acceleration, max. jerk
restrictions regarding size or location of power supply or propulsion equipment the
propulsion system and power supply was designed (Hellinger et al., 2002).

5.3 Optimal design speed

The optimal design speed of transportation project relates not only to the national integrated
transportation system structure, but also to the energy consumption structure of national
economy and the traveling quality of passengers. Starting from the analysis to technical and
economical characteristics of the maglev system, this paper tries to find the optimal design
speed of high-speed maglev transportation system in different aspects such as the speed
structure of integrated transportation system and the project benefit. As a result, it gives
reference to the planning of high-speed maglev transportation project.

Maglev

155

The determination of the design speed is a strategic decision-making for a transportation

model. It relates to the compatibility with social economic development. The design speed of
a transportation model has remarkable influence on its construction and operation cost, the
ability of its competition in transportation system, then its survivability further. The design
speed of high-speed transportation system is a basic precondition for its line-planning,
developing and manufacturing of vehicles and other equipments, forecast of the market
demand, the assessment of economical and social benefit. It is the most important parameter
to develop a high-speed transportation system.
The maximum operating speed the train may be raised step by step along with the market
demand and the technical development. Therefore, the optimal design speed of mobile
equipment of a project should be considered according to the conditions in the near and far
future.
The commercial service speed refers to actual operating speed of the train under synthetic
consideration of the market demand and economic benefit of the project. It can be
determined according to many factors such as the function of a project in the whole
transportation system, the competitive ability, the operating cost, the ticket price, the paying
ability and the payment wish of passenger and so on. To adapt the market demand and
obtain the best economic benefit, including national economic benefit and social benefit, is
the principle to determinate the commercial service speed. Along with the development of
economy and society, the best commercial service speed will therefore change. Therefore, in
different period there is different optimal commercial service speed.
The optimal design speed of infrastructure will be affected by the natural conditions; The
optimal commercial service speed will be affected by the social and economic environment;
The optimal design speed of mobile equipments will be affected by the related industry
technical level.
The following points should be taken into account:
1.
2.
3.
4.

The technologically suitable speed range of high-speed maglev system;

The best speed to improve the speed structure of integrated transportation system;
The requirement on travel speed of passenger;
The influence to the optimal design speed for a certain project situation, such as the line
length or travel distance, the local economic development level and the natural
conditions (Wanming et al., 2006).

5.4 Transrapid propulsion system

The propulsion system structure meets all the requirements for commercial operation in
Shanghai, such as a modular design, high reliability, high availability as well as low
maintenance expenditure. The outstanding advantage of the modular structure introduced
is that individual components can be replaced in accordance with project requirements
without affecting the rest of the system. For example, three different converter power
sections are being used in the Shanghai project in order to adapt the converter output to the
route's particular requirements regarding acceleration and speed. The double-track route is
30 km long. Consequently, at a maximum operating speed of 430 km/h, the travel time is
only 7.5 minutes. Three 5-section maglev vehicles operate in round-trip mode at intervals of

156

Infrastructure Design, Signalling and Security in Railway

10 minutes. The propulsion and power supply system has been specially configured for this
service frequency. Although SMT is only 30km long, the test results show it has excellent
characteristics of power-energy consumption/speed and it is the best tool for long distance
transportation.

6. Safety and risk assesment

6.1 Safety concept
Despite high speeds, passengers are safer in maglev vehicles than in other transportation
systems. The electromagnetically suspended vehicle is wrapped around the guideway and
therefore virtually impossible to derail. Elevated guideways ensure that no obstacles can be
in the way (Dai, 2005). Maglev systems are required by law to guarantee construction and
operation of a system that meets proper safety standards. The responsibility of maglev
systems are schematically shown in Fig. 9.

Fig. 9. Maglev systems responsibility

The requirements resulting from safety concepts have effects on all system components and
on the whole planning and approval process. Certain internal and external dangers, which
affect a maglev system installation, may only be limited regarding their risk potential
through constructional measures.
6.2 Rescue concept
An essential component of the safety concept is the rescue concept. The maglev vehicle
operator has to explain in this concept with which measures self and external rescue shall be
guaranteed. Depending on conception self and/or external rescue measures require
different sizes of escape routes, places for emergency stops and accessibilities. Therefore, the

Maglev

157

rescue concept influences the extent of the required properties so that the effects on the
planning approval procedure are given immediately. The examples of protection against
going off and rescue concept clearly show how safety concept and planning approval are
connected with each other. This means that the development of a safety concept must be at
the beginning of the planning process of a maglev system. However, changes of the route
course may occur because of others than for safety reasons, so that corresponding
customizations of the safety concept can become necessary at a later date.
The factors affecting transportation safety and security are various, among which, the
physical structure and guideway security patrols play significant roles. Elevated guideways
can be operated safety and efficiently (Liu & Deng, 2003). A means will be required to
transfer passengers from the emergency walkway to the ground unless rescue vehicles are
used to remove passengers from the walkway. The proposed method of egress from the
emergency walkway is a pair of hinged stairways located within one guideway span where
the walkway beam would be discontinuous. The stairways would be hinged at the end of
the walkway beam and would be attached to dampers that would control the lowering of
the stair. The passengers would need to activate a manual release mechanism and then the
stair would lower by gravity, slowed by the dampers. The stairways would need to be
located at intervals that are a reasonable walking distance. An interval of 0.40 kilometers has
been assumed for cost estimating purposes. Signs would be mounted on the emergency
walkway that direct passengers to the stairways and indicate the distance from their present
location. Figs. 10 to 13 and Fig. 14 show required facilities while emergency situations for
Colorado maglev project in the Colorado Department of Transportation (CDOT), U.S. and
MOCIE maglev project in the Ministry of Commerce, Industry & Energy of Korean
Government (MOCIE), respectively (FTA, 2004, 2005a).

Fig. 10. Double-track guideway

158

Infrastructure Design, Signalling and Security in Railway

Fig. 11. Separated walkway beam

Fig. 12. Metal grate panels

Fig. 13. Stairs from emergency walkway to ground

Maglev

159

Fig. 14. Emergency door and ladder

6.3 Operation control system (OCS)
The OCS comprises all technical facilities for planning, monitoring and safeguarding of
vehicle operation which means a combination of automatic vehicle operation (ATO) and
automatic vehicle protection (ATP) functions like e.g. providing a safe vehicle travel path in
order to avoid collisions and the monitoring of vehicle travel speed range in order to assure
stopping only at predefined stopping points. The OCS consists of central, wayside and
mobile components with interactions to other sub-systems respectively operational and
maintenance staff (Fig. 15).

Fig. 15. Structure of the OCS

The system is involved in the assessment of the sub-systems Operation Control System,
maglev vehicle and guideway switches are responsible for the overall system safety
assessment for the safety concept, rules and regulations for operation and maintenance during
commissioning and commercial operation and effectiveness of staff training. The Guideline
M8004 (the traditional German signaling guide-lines for main lines) distinguishes safety
relevant (vital) and not safety relevant (non-vital) requirements (Sawilla & Otto, 2006).

160

Infrastructure Design, Signalling and Security in Railway

Operation control system (OCS) is the part of an overall maglev system that integrates all
subsystems like operation control center, guideway elements, stations, maintenance areas,
propulsion and power supply, and vehicles. An OCS contains all components and functions to
control and monitor the safe maglev operation. OCS allows control of the vehicle movements
and guideway elements both manually and automatically. On the base level, OCS provides all
the safety functions generally known in railway signaling, e.g. vehicle locating, guideway
switch control, route protection (interlocking), and automatic vehicle control including speed
profile monitoring. There are some crucial differences between OCS and most existing railway
signaling systems. All vehicle control and vehicle detection (vehicle locating) functions are
purely communication-based, using a highly available radio system. Only the safe vehicle
brake is used by OCS for emergency braking if the service brake is failed. Emergency systems
are mechanical. They act simultaneously if there is an emergency. Each system is controlled by
separate component of on-board computer. Emergency systems are independent on each
bogie. Each component in the system checks the others. Each component controls at least one
of the braking systems. The interior has been designed to concentrate upon the urban
commuters convenience and safety. Whole interior fittings such as panel, floor and seats are
made of non-combustible material comply with international fire and safety standards, (Fig.
16) (FTA, 2005a). There are also some innovative safety functions like minimum speed profile
monitoring which guarantees the availability of designated stopping points in the event of
power shut-offs, transmission failures or hardware faults.

Fig. 16. Emergency landing and guidance wheel

The OCS functions comprise of:
-

- Ensure safe movement of vehicles

- Ensure safe route
- Ensure safe separation of vehicles
- Ensure safe speed
- Authorize vehicle movement
- Ensure detection and management of emergency situations
- Handle emergency situation

(Kron Hans, 2006a).

Maglev

161

The operation control system (OCS) monitors and controls the various subsystems,
integrating them to form a safe, automated overall system. (Kron Hans, 2006b).
6.4 Safety life-cycle
The risk analysis pertaining to the safety concept for maglev vehicles, which is a key
document, is an important criterion in the implementation process for the entire project in
accordance with the DIN EN 50 126 life-cycle model, (Fig. 17). The European railway lifecycle standard DIN EN 50126 defines a process, based on the system life-cycle including
RAMS management. It is applicable to modifications of existing systems in operation prior
to the creation of the standard, although it is not generally applicable to other aspects of the
existing system (Steiner & Steinert, 2006).

Fig. 17. Life-cycle model

An OCS may only be approved by the safety authority and accepted by the maglev
transport authority if both the generic subsystem and the corresponding application data
have successfully passed the safety life-cycle, including (Kron Hans, 2006b):
1.
2.
3.

Verification - to determine by analysis and test that the output of each life-cycle phase
meets the requirements of the previous phase
Validation - to demonstrate by analysis and test that the system meets in all respects its
specified requirements
Safety assessment

7. Technical comparison of maglev and HSR

The need for rapid transit systems has become vital in both urban and intercity travels.
There are two technologies for these systems, high-speed rail (HSR) and magnetic levitation
(maglev). They are dramatically different in lots of terms. This section focuses only on the
technical comparison of these technologies. For a comprehensive comparison, many

162

Infrastructure Design, Signalling and Security in Railway

criterions are included. In fact, this part surveys technical advantages of the maglev systems
over the HSR systems.
Mobility and transportation infrastructure is a primary need for the population. They
guarantee a high grade of freedom and quality for the citizens, for their work and leisure
time. Infrastructure is an important location factor in the regional and global sense. It
strongly influences the development of the society and the growth of the national
economies. The mobility of individuals is impossible without an equivalent volume of traffic
and transportation infrastructure. Against the background of increasing energy
requirement, limited fossil resources and ever-growing CO2-loads, the road traffic may not
be the adequate answer for the challenges of the future developments. It is necessary to
establish integrated and sustainable traffic systems for the effectively and environmentally
acceptable handling of traffic (Naumann et al., 2006). Cities developments lead to a
considerable increase of the road, a capacity overloads of road traffic network, and an
increase of stresses for people and environment. The transport policy must be faced up to
this challenge and take appropriate measures in time. A major vision is the development
and implementation of rapid transit systems, which can relocate certain parts of road and air
traffic to these systems and to enhance growth of congested urban areas and coalescence of
the area (Schach & Naumann, 2007).
The congestion in transportation modes associated with increased travel has caused many
problems. These problems include the public concern, among which are prolonging travel
time, growing accident rates, worsening environmental pollution, and accelerating energy
consumption. On the contrary, high-speed ground transportation, characterized by high
speed, operating reliability, passenger ride comfort, and excellent safety record, is
considered one of the most promising solutions to alleviate the congestion. There are two
distinguished technologies, HSR and maglev. Both provide higher operating speed.
However, they have dramatically different technical specifications. Various organizations
in the world are facing difficult decisions, when choosing or settling on a specific
technology, in a particular corridor. Due to the complexities of HSR and maglev
technology, it is not an easy task to select the most efficient technology in any given
corridor.
A new rapid transit system influences the society, the industry and the ecology in various
manners. A HSR or maglev system must prove its advantages. Therefore, extensive and
detailed studies must be carried out. It must be examined in an intense planning process,
with feasibility studies. The criterions for the decision must be evaluated in a multi-criteria
procedure. This process delivers a master plan for new construction of the transportation
network. The plan for the research and development of a rapid transit technology should be
made at the national level. The study focuses only on the technical comparison of these
technologies. For a comprehensive comparison, a lot of criterions are included. It leads to a
wider consideration and the development of the technical comparison. It comprehensively
compares the characteristics of HSR and maglev in detail in different aspects. These aspects
include geometrical requirements, speed, acceleration, RAMS, environmental impacts,
energy consumption, noise emission, vibration level, land use, loading, etc. The obtained
results clearly indicate that the maglev generally possesses better technical advantages over
HSR.

Maglev

163

Rapid transit system is a definition that covers both HSR and maglev. It is defined as an
intercity passenger transit system that is time-competitive with air and/or auto on a doorto-door basis. This is a market-based, not a speed-based, definition: it recognizes that the
opportunities and requirements for high-speed transportation differ markedly among
different pairs of cities (Liu & Deng, 2004). The fundamental reason for considering the
implementation of rapid transit systems is higher speed, which can easily equate to shorter
travel time. Therefore, there is a need to look at the technical specifications of each
technology. This examines the potential improvement of each technology in terms of speed,
travel time and other advantages.
HSR trains represent wheel-on-rail passenger systems. These trains currently operate at
maximum speeds of about 350 km/h in China, and have been tested at 574 km/h in France.
Examples of HSR trains include the French Train Grand Vitesse (TGV), the Japanese
Shinkansen, the German Intercity Express (ICE), the Spanish AVE, etc. Maglev is an
innovative transportation technology. It is the first fundamental innovation in the field of
railway transportation technology.
HSR and maglev systems are each developed for specific purposes. Selection of the
appropriate technology will depend primarily on acceptable funding levels, transportation
objectives, and implementation schedule (Najafi & Nassar, 1996). Rapid transit systems
must fulfill the major elements of the transport politics. The main aims consist in the
increase of speed in the transportation corridors, flexibility, environmental acceptance, ride
comfort, stresses (noise, pollutions, and vibrancies), etc. The two existing rapid transit
systems must be evaluated and compared against the background of these requirements
and the traffic demands.
HSR and maglev are guided ground transportation modes with very large capacity, and
both use electric power from the utility grid for propulsion. They also exhibit some
fundamental differences that distinguish them as very separable transportation modes.
Maglev systems offer the unique combination of technical attributes. These include light
weight vehicles, centralized and fully automated control of propulsion systems, nonreliance on adhesion for vehicle acceleration and braking forces, and the ability to operate
with consists of as little as single cars. These cars carry fifty to one hundred passengers
without the need for highly-skilled operators. The ability to use single or double-car allows
even relatively small markets to be given high frequency, reliable service. This together with
frequent, highly reliable service, are required to attract new ridership and divert passengers
away from their cars. The maglev technology attracts a significantly greater ridership and
provides more benefits than HSR systems.
Fig. 18 shows a classification to compare the different parameters for the rapid transit
systems in this research. The paper focuses only on the technical comparison of the maglev
and HSR systems. For a comprehensive comparison, a lot of criterions are included. It leads
to a wider consideration and the development of the technical comparison. The purpose of
this research is not to recommend one technology over the other. Actually, both
technologies are highly advanced and have some advantages. However, this research
surveys technical advantages of the high-speed maglev systems over the HSR systems
(Yaghoubi, 2011; Yaghoubi et al., 2011).

164

Infrastructure Design, Signalling and Security in Railway

Fig. 18. Classification to compare different parameters

In general, there are many good reasons to turn to magnetically levitated trains. By lower
levels of consuming energy, pollution, less noise emission and vibration level, maglev
vehicles cause fewer disturbances to the nature and have increased compatibility with
environmental issues. Possibility of traveling on elevated guideways means less land
occupation. In addition, maglev guideway has lower dead loading. These vehicles can travel
at steeper gradients and are capable of traveling at higher speeds with increased
accelerations and higher braking, more effective use of regenerative as opposed to dynamic
electrical braking, and lower staff and maintenance costs. Maglev vehicles have lower static
and dynamic loading, higher passenger capacity and increased passenger comfort and
convenience. Such vehicles can travel along routes with lower curve radiuses. They are
reliable, reasonably safe, and convenient. Other benefits of maglev systems include travel
time, health, flexibility, frequency, operational and schedule reliability (weather and
equipment delays), accessibility, safety and security, system availability (origin and
destination). Amongst the most important aspects of using maglev vehicles is the possibility
of traveling at 10% grades while for high-speed trains such as German ICE this grade angle
reduces to 4%. This important aspect considerably reduces the total length of the routes for
maglev vehicles. As a further bonus, the cost of constructing and establishing maglev routes
at grades and hilly areas considerably reduces. Maglev is obviously the most attractive and
powerful transportation system. On the other hand, it is particularly suitable for longdistance transportation of passengers. Maglev is very competitive with air transportation at

Maglev

165

long distances and against passenger cars at distances starting of 100 kilometers. In contrast
to maglev, HSR is only conditionally able to compete with passenger road and air traffic at
shorter distances between approx. 150 and 350 kilometers (Naumann et al., 2006).
7.1 Geometrical requirements
Although the guideway has the different procedure with the manufacturing and
examination, its geometrical requirements and criteria can be compared with railway tracks.
The engineering rules of guideway geometry specification define the requests at the
function planes of the guideway and their permissible deviations from the nominal values.
These tolerances are valid for a guideway girder, finished equipping and under load of dead
weight of the girder. The geometrical examination occurs to the outfit of the girders with the
functional components in the manufacturing plant. Based on the defined space curve
geometry, the deviations to that can be represented graphically. A comparable criterion of
the wheel-on-rail system is the internal, shortwave geometry. This is with 2 mm related to 5
m length indicated in each case for layout (y-direction) and height (z-direction).
Standardized onto a consideration length of 1 meter the comparative value turns out 1.5
mm/m at the maglev and 0.4 mm/m at the wheel-on-rail-system. It results from that this
tolerance request is significantly higher at the wheel-on-rail system. The tolerance requests
at the geometry are approximately identical with both systems. The comparison of the
geometrical requests between the maglev and wheel-on-rail shows that similar tolerance
requests are made. During the change of the inclination at the wheel-on-rail, track system is
approximately 4-times higher as the maglev guideway (Suding & Jeschull, 2006).
7.2 Performance
Based on little wear and tear, the maintenance of the maglev system is less than that of the
HSR systems. Due to high operating speed and acceleration, abilities and the low
maintenance expenses maglev can reach very high operation performances (Kncke, 2002).
Maglev generally has an advantage over HSR in terms of travel speed. The operating speed
of maglev is about 45% higher than that of the HSR trains (Liu & Deng, 2004). The limited
speed of HSR is always the main concern of railway professionals. Resistance increases as
the speed increases, which limits the increase of speed of HSR. On the contrary, high-speed
potential is an inherent characteristic of the maglev technology.
If the speed of each mode plays a key role in the travel time comparison, acceleration and
deceleration rate is an even more important factor in terms of safety spacing and average
travel speed over certain distances. The maglev vehicle accelerates quickly to higher speeds.
Acceleration and braking capabilities of the maglev system result in minimal loss of time for
station stops. The vehicles reach high operating speeds in a quarter of the time and less than
one quarter of the distance of HSR systems (AMG, 2002).
A maglev vehicle with acceleration/deceleration rate of 1 m/s2 can obtain the maximum
speed in much less time and space than HSR trains. For example, the distance required for
the maglev vehicle to accelerate to 300 km/h from a standing start is just about 4-5
kilometers, while HSR trains require about 20-23 kilometers and over twice the time to reach
the same speed. Therefore, this advantage of the maglev system results in much less loss of
the time for the station stops. The German TR08 maglev vehicle takes 265 s and 19.3 km for

166

Infrastructure Design, Signalling and Security in Railway

the acceleration to achieve the speed of 500 km/h, which are less and shorter than the
corresponding values 370 s and 20.9 km for ICE03 train to achieve 300 km/h. The
deceleration time and distance via maglev are both shorter so it can maintain ideal speed
much longer. The eventual travel time via HSR doubles that of maglev even though the
analysis only presented about 50% difference (Liu & Deng, 2004; Witt & Herzberg, 2004;
Baohua et al., 2008).
The maglev vehicles can easily overcome uphill gradients and slopes with inclinations up to
10 % comparing to a maximum 3.5 % - 4 % for the HSR trains. In general, the maglev vehicle
can climb grades from 2.5 to 8 times steeper than HSR trains with no loss of speed.
Embankments and incisions are necessary for the compensation of the small ability of
climbing and the constructive design of the guideway. This can lead to a considerable land
use. The maglev vehicles can negotiate 50-percent tighter curves (horizontal and vertical) at
the same speeds as HSR trains. They can travel through a curve of the same radius at much
higher speeds than HSR trains. For example, the maglev vehicle can cant up to 16. The
minimum curve radius of the maglev guideway under the speed of 300 km/h is also 1590
2360 m, which is smaller than 3350 m of HSR tracks (AMG, 2002; Liu & Deng, 2004; Dai,
2005; Jehle et al., 2006; Stephan & Fritz, 2006; Baohua et al., 2008).
Resulting from the greater propulsion performance, the maglev systems offer not only a
higher travel speed but also a higher acceleration and deceleration level. The maglev
accelerates very well and almost constantly with 0.9 m/s. Its maximum speed of 450 km/h
is reached within 3 min. The ICE train requires nearly 5 min until it reaches its maximum
speed of 300 km/h. Moreover, the maglev vehicle may run approaches to the stop stations
in urban surrounding with a speed of 250 km/h due to its low noise emissions and
vibrations. The pure running time difference of both systems regarding a line length of
approximately 300 km from Berlin to Prague amounts of 29 minutes (50 % more) (Stephan &
Fritz, 2006).
Table 12 shows the results of comparison between a maglev train and a HSR train from
operational viewpoint (Schach & Naumann, 2007; Liu & Deng, 2004; Witt & Herzberg, 2004;
Kncke, 2002; Baohua et al. 2008).
7.3 Reliability, availability, maintainability and safety
An important issue in the proper operation of rapid transit systems is the reliability,
availability, maintainability and safety (RAMS). RAMS is the item that needs to be
considered in any new rapid transit system establishment. This item is the factor that affects
the passengers mode choice decisions and is important for project evaluation. Safety is
amongst most important factors for ensuring operational of integrity high-speed trains.
Maglev is one of the safest means of transportation in the world. The concept of maglev has
essentially eliminated the safety risks associated with the operation of HSR systems. The use
of a dedicated and separated guideway without intersections with other transportation
modes such as roads and highways ensures no safety conflicts and allows uninterrupted
maglev operations. The maglev technology has essentially eliminated the safety risks
associated with the operation of rapid transit systems. Compared to the operating
experiences of HSR, the maglev technology has a scarce record. On the other hand, the
German Transrapid Test Track in Elmsland has been operating for more than 20 years and

167

Maglev

Parameter

Operational
maximum speed
Sections per vehicle
Seats (on average)
Length (total)
Capacity
Maximum engine
performance
Power Requirement at
Constant Speed of
200
300
400
500
Net weight vehicle
Weight / Seat
Maximum
longitudinal gradient
Acceleration
Acceleration
0- 100
0- 200
0- 300
0- 400
0- 500

Unit

InterCityExpress (ICE) 3
ICE-03
the type series 403

Transrapid
Shanghai Maglev
TR-08
SMT
the type series TR 08

km/h

until 300

until 450

8
415
200
8: 850

5 (from 2 to 10 possible)
446
128.3
10: 1192

8.000

approx. 25.000

kW
MW
km/h
km/h
km/h
km/h
ton
kg

409
Approx. 930

Train Sections
6
2.2
5.0
10.3
18.7
247
Approx. 550

3.5

10

m/s2
m/s2
km/h
km/h
km/h
km/h
km/h

maximum 1,0
Distance (m)
Time (s)

constant 1,5

Train Configuration
Train Size
Section Length
Section Width
Section Height
Payload / Section
Seats / Section
Floor Space / Section
Weight / Seat
Number of Sections
Seats (high density)
Seats (low density)
Passengers
Curve Radii
Minimum
200
250
300
350
400
450
500

2
0.9
2.2
4.4
8.2

m
m
m
ton
m
kg

ton
m
km/h
km/h
km/h
km/h
km/h
km/h
km/h
km/h

4400
20900

Driving
Trailer/
End Car
2
25.68
2.95
3.84

140
370

Distance (m)
424
1700
4200
9100
22700

Time (s)
31
61
97
148
256

Trailer
Car

End Section

Middle Section

6
24.78
2.95
3.84

Approx. 920 to 1000

8
408 to 418
300
1400
2250
3200
-

10
3.6
7.9
16.1
-

2
26.99
3.70
4.16
10.3
62-92
70
500 700
2
184
124
20.6

4
436
292
48.4

0-8
24.77
3.70
4.16
13.9
84-126
77
400 600
6
8
688
940
460
628
76.2
104
350
705
1100
1590
2160
2825
3580
4415

Table 12. Comparison between two German trains of ICE-03 HSR and TR-08 maglev

10
1192
796
131.8

168

Infrastructure Design, Signalling and Security in Railway

close to a million passengers have ridden around the 40-kilometer closed loop. The maglev
vehicle wraps around the guideway beam so it is virtually impossible to derail.
Redundancies achieved through the duplication of components as well as the automated
radio-controlled system ensure that operational safety will not be jeopardized. The principle
of synchronized propulsion on the guideway makes collisions between vehicles virtually
impossible. In general, no other obstacles can be in the way. If two or more vehicles were
ever placed simultaneously in the same guideway segment, they would be forced by the
motor in the guideway to travel at the same speed in the same direction. The vehicles are
also designed to withstand collisions with small objects on the guideway. Energizing only
the section of the guideway on which the train is traveling enhances operational safety and
efficiency. The maglev vehicle is absolutely weatherproof and masters wind and adverse
weather easily. Regarding the aspect of fire protection the maglev vehicle meets the highest
requirements of the relevant standards. No fuels or combustible materials are on board. All
used materials within the vehicles are PVC-free, highly inflammable, poor conductors of
heat, burn-through-proof and heat-proof. The fire proof doors can be optionally used in
order to separate the vehicle sections. The system is controlled in all the directions of the
movement to ensure ride comfort throughout all the phases of the operation. The seat belts
are not required, and passengers are free to move about the cabin at all speeds (AMG, 2002;
Kncke, 2002; Liu & Deng, 2004; Dai, 2005).
7.4 Energy consumption and space requirement
With non-contact technology, there is no energy loss due to the wheel-guideway friction.
The vehicle weight is lower due to the absence of wheels, axles and engine (low mass of
approx. 0.5 t per seat). In terms of energy consumption, the maglev vehicles are better than
HSR trains. The maglev consumes less energy per seat-mile than HSR trains due to the
utilization of lightweight materials and improvement in the advanced technology. The
energy consumption of the maglev system with its non-contact levitation and propulsion
technology, highly efficient linear motor and low aerodynamic resistance is very economical
when compared to other transportation modes. The high-speed maglev system consumes 20
to 30 percent less energy per passenger than the very modest railroad. With the same energy
input, the performance of the maglev system is substantially higher than HSR systems (Liu
& Deng, 2004; Kncke, 2002).
As consumers of energy, the transportation sectors are vulnerable to environmental and
global warming concerns and the increasing volatile oil market. Reducing dependency on
foreign oil is also an important criterion. The system of the external power supply over the
contact rail causes higher investment and operational costs. The energy costs of the maglev
vehicle despite higher design speed, is lower than that of ICE3 train (Witt & Herzberg,
2004). The maglev vehicles running at 400 km/h has lower environmental impact indicators,
such as system energy consumption, waste gas discharges, site area and the like, then the
ICE trains running at 300 km/h (Baohua et al., 2008). They also have low running resistance
of approx. 0.2 kN per seat at 400 km/h (Kncke, 2002).
Maglev is one of the first transportation systems to be specially developed to protect the
environment. The system can be co-located with existing transportation corridors and needs
a minimum amount of land for the support of the guideway beams. Use of the elevated
guideway minimizes the disturbance to the existing land, water and wildlife, while flexible

Maglev

169

alignment parameters allow the guideway to adapt to the landscape. Compared to roads or
railway tracks, especially the elevated guideway does not affect wildlife movement. Even
the ground-level guideway allows small animals to pass underneath due to the clearance
planned under the guideway. Compared to all other land-bound transport systems, the
maglev requires the least amount of the space and the land. The land area required for a
ground-level double-track by either maglev or HSR systems is about similar so it is 14 m2/m
and 12 m2/m, respectively. But for an elevated double-track guideway, approx.
2 square meter of land is needed for each meter of guideway (Schwindt, 2006). Considering
the densely populated and limited land resources, an elevated structure is a preferred
choice. The traffic effects on the land-use have been always considered by urban planner
and transportation engineers. In the center of metropolitan areas with large economic
activities, such as Mashhad, the increase of traffic volume has indirectly cost. It includes
wasting time and damages such as environmental pollution.
7.5 Pollution
As maglev is electrically powered, there is no direct air pollution as with airplanes and
automobiles. The maglev causes lower CO2 emissions. It is also easier and more effective to
control emissions at the source of electric power generation rather than at many points of
consumption. Maglev is the quietest high-speed ground transportation system available
today. Due to its non-contact technology, there is neither rolling nor gearing or engine noise.
The frictionless operation of the maglev vehicle reduces vibration and maintenance
resulting from wear. Comparing the noise levels at different speeds, the maglev vehicle is
much quieter than the HSR trains. For example, The German TR07 maglev vehicle can travel
about 25 percent faster than existing HSR trains before reaching the peak noise restrictions
of 80 to 90 dBa. Such an advantage in speed will yield reduced the trip times along the
noise-limited routes, which is most urban areas. At the speeds up to 200 km/h, the noise
level compared to other noises from the surroundings can hardly be heard. At 250 km/h,
the pass-by noise level is 71 dB(A), and from 250 km/h upwards, the aerodynamic noises
begin to dominate the noise level. The result is that, at the speed of 300 km/h, the system is
no louder than a light rail vehicle, and at 400 km/h, the noise level can be compared to a
conventional train traveling at around 300 km/h. Even when at respective high speeds, data
also indicates that maglev vehicle is 5 to 7 dBa quieter than the HSR train (Liu & Deng, 2004;
Dai, 2005; Schwindt, 2006). The American JetTrain HSR train is almost twice as noisy as the
maglev vehicle at the similar operational speeds (AMG, 2002). The results of the noise
measurements of the TR08 Maglev System may be compared with similar data, documented
by the Federal Railroad Administration (FRA, 1998), for other high-speed ground
transportation systems (FRA, 2002a). The noise analysis associated with the Shanghai
maglev train shows that the system is quieter than high-speed railway trains for comparable
distances from the track (Chen et al., 2007).
A field experiment was conducted, to investigate the possible differences in perceived
annoyance of noise caused by high-speed trains, both HSR and maglev. These results were
evaluated for the TGV train at speeds of 140 km/h & 300 km/h and for the maglev vehicle
at speeds of 200 km/h, 300 km/h and 400 km/h. The LAeq-annoyance relationships
determined for the HSR and for the maglev train did not differ significantly. This study has
shown that the noise annoyance caused by different types of trains at the same average

170

Infrastructure Design, Signalling and Security in Railway

outdoor faade exposure level is not significantly different. In particular, the magnetic
levitation systems are not more annoying than the HSR trains, which is in agreement with
earlier research (Coensel et al., 2007).
Whatever the kind of transport system, a passing maglev vehicle always creates ground
vibrations due to dynamic loading of the track. Depending on the speed, load transfer, load
dispersion and the nature of the ground, these vibrations are transmitted through the
ground to different degrees and may thus be felt as shocks in neighboring buildings. For
especially sensitive areas, technical solutions are currently being investigated, which
minimize the dynamic loads that are transferred from the vehicle to the guideway and then
to the bearings in the supports and foundations (Schwindt, 2006).
TR08 vibration levels for both the concrete elevated and concrete at-grade (AG) guideways
are compared with those of the TGV, the Italian Pendolino, the Swedish X2000, and the
Acela at 240 km/h. The vibration levels for the TR08 traversing the at-grade guideway
structures are comparable to those from HSR trains measured in Italy (Pendolino) and
France (TGV), whereas the levels for the elevated structure are considerably lower for the
distances measured. Vibration levels measured at 15 m for the TR08 traversing the at-grade
guideway at 400 km/h are less than those previously measured at 15 m for the Acela
traveling 240 km/h. These comparisons, however, are representative of data collected at
various sites and are generally typical of local geological conditions. In general, groundborne vibration levels from trains on elevated structures tend to be lower than those from atgrade operations (FRA, 2002b). The curves for European HSR trains are taken from the FRA
high-speed ground transportation guidance manual (FRA, 1998), and for the Acela from
measurements conducted by HMMH (FRA, 2000).
7.6 Loading
In this part of research, maglev guideways and road and railroad bridges are compared
from loading and design aspects. The optimal design of all bridges, including road, railroads
and maglev elevated guideways is really vital. Majority of the existing maglev guideways
are elevated and completely built on the bridge. In fact, a maglev elevated guideway is one
kind of bridges. Therefore, it can be compared with any bridge, including railroad and road.
According to the AREMA regulations and the UIC leaflets, the live loading models for the
rail tracks, is a combination of the concentrated and distributed loads. However, the live
loading models for the maglev trains, in the absence of wheels and pursuant to uniformity
in the intensity of magnetic forces due to the magnets, are uniformly distributed on the
guideways. The lateral magnetic force in maglev is less than the lateral force in the rail
tracks. The low level of this force in maglev is due to the absence of the rails and wheels,
lower weight of the vehicle and the presence of lateral restoring and equilibration magnetic
force.
In general, vertical loadings (dead and live) in the spans of maglev guideways are much
lower than those of the railroad bridges. The intensity of the uniform distributed load in live
loading of the railroad bridges is almost four times that in maglev. One reason for this
difference is the lower weight of the maglev vehicle due to the absence of wheels, axles and
transmission parts plus the overall short length of the vehicle. The amount of the earthquake
lateral force on the maglev guideway is less than one third of its value for the road bridge.

Maglev

171

The loading of the guideway is almost equal to the loading of each one of the four girders of
the railroad bridge. In other words, taking into account the fact that the bridge consists of
four girders, comparison of the results indicates that the load on the railroad bridge deck is
four times greater than the load on the maglev guideway. This means that the guideway by
itself can play the role of each one of the girders of the railroad bridge (Yaghoubi & Ziari,
2011; Yaghoubi & Rezvani, 2011).

8. Conclusion
Rapid increase in traffic volume in transport systems plus the need for improving
passenger comfort have highlighted the subject of developing new transport systems. The
recent required increases in the traffic volume in transport systems, as well as a need for
the improvement of passengers' comfort, and required reductions in track life cycle costs,
have caused the subject of the development of a new transportation system. One of the
important systems which have attracted industries is maglev transport system. In this
regard, maglev transport system turns out to be a proper choice for transportation
industries around the world. Maglev systems have been recently developed in response to
the need for rapid transit systems. The maglev system comes off clearly better and
surpasses the HSR systems in almost most fields. These include the pollution, noise
emission, vibration level, environmental issues, land occupations, loading, speed,
acceleration and deceleration, braking, maintenance costs, passenger comfort, safety,
travel time, etc. With the maglev guideway it is also possible to reach to the minimal
radiuses for the horizontal and vertical curves. A maglev vehicle can as well travel at the
steeper gradients compared with the HSR systems. This considerably reduces the total
length of track for the maglev routes compared to the HSR systems. The possibility of
traveling with the higher grade angles also reduces the number of tunnels that are
required to travel through the mountainous areas. This can also shorten the total length
for the maglev route. Therefore, construction of the maglev routes in the hilly areas, in
addition to many other advantageous of these systems, can be considered as an attractive
choice for the transportation industries. The lower energy consumption of the maglev
vehicles in comparison with the HSR systems is also among major characteristics of the
magnetically levitated trains. This can be easily associated with the absence of the wheels
and the resulting situation of no physical contact between the maglev vehicle and its
guideway. Therefore, the energy loss due to the unwanted friction is out of the equations.
Furthermore, the vehicle weight is lower due to the absence of wheels, axles and engine.
On the other hand, reduction in the travel time considerably reduces the energy
consumption. The limited energy resources that are currently available to the nation have
highlighted the fact that every individual has to be the energy conscious. The government
had to take steps, and it started by setting the preventative rules and the tightening access
to the cheap energy resources. Clearly, the widespread application of the magnetically
levitated trains for the public transport, in short and long distances, can provide the
nation with huge saving in the energy consumption. This is not a fact that can be easily
ignored nor can it be bypassed.
Effective parameters in the design of guideways including dead and live loads, dynamic
amplification factor and deflection, and structural analysis and design criteria were
investigated. According to AREMA regulations and UIC leaflets, live loading models for

172

Infrastructure Design, Signalling and Security in Railway

loading of rails, is a combination of concentrated and distributed loads. However, live

loading models for maglev trains, in the absence of wheels and as a result of uniformity in
the intensity of lifting magnetic forces due to support magnets, are uniformly distributed
on the guideways. The guideway loading is modeled as dynamic and uniformly
distributed magnetic forces to account for the dynamic coupling between the vehicle and
the guideway. In general, vertical loadings (dead and live) in the spans of maglev are
much lower than those of the railroad bridges. The railroad bridge dead load is four times
larger than the maglev guideway dead load, and the intensity of the uniformly distributed
live load on the railroad bridge is almost four times that of the maglev guideway.
Moreover, loading of guideway is four times that in the railroad bridge. One reason for
this difference is the lower weight of the maglev vehicle due to the absence of wheels,
axles and transmission parts plus the overall short length of the vehicle. The lateral force
on the maglev guideway is also much lower than that on the railroad bridge. Also, it is
predicted that on the straight routes as a result of negligible lateral magnetic force, there is
no considerable amount of torsion created in the cross-section. Therefore, if the beam
cross-section and the vertical loading are symmetrical, special design of guideway crosssections to overcome torsion, is not necessary. Moreover, there usually is no need for the
design of deck-shaped cross-sections to care for tension lateral magnetic forces and for the
moments due to vertical magnetic forces. Compared to the road and railway bridges, the
amount of lateral earthquake force on maglev guideway is lower. Maglev guideways have
high resistance against earthquake forces. Maglev vehicles are lighter compared to
conventional railway vehicles. These lighter vehicles cause less centrifugal force. The
absence of wheels and wheel/rail contact, lighter vehicles and presence of compensating
magnetic forces opposing any lateral deviation are the main reasons behind the lower
centrifugal forces. A distributed-load vehicle model is better than a concentrated-load
model. Multicar vehicles have less car-body acceleration than does a single-car vehicle,
because of intercar constraints. This indicates that the multicar vehicle would provide
better ride comfort. Weight of required longitudinal bars of guideway is also one-fourth
that in the railroad bridge. Deflections due to the vertical loads (dead and live) are also
lower in guideways than in rail tracks. Torsion reduction, deflection reduction due to
vertical loads, reduction in the costs of construction and operation, increase in resistance
and technical justification, possibility of motion in higher speeds are among main reasons
to utilize beams with a U-shaped cross-sections and structural continuity in the
guideways. Therefore, as noticeable improvements and developments are made in
structural optimization of these cross-sections, they could be considered as a good choice
among other sections and could be used with a relatively high safety factor. Also, it is
shown that the lower loads on the maglev guideway lead to lower bending moments and
sheer forces in comparison with the railroad bridge. This indicates that the maglev
support structure requires less mechanical strength than the railroad bridge support
structure for the same loading pattern. A dynamic simulation for maglev
vehicle/guideway interaction is essential to optimize the vehicle design and reduce the
cost.

9. Acknowledgment
This chapter of book was performed and financially supported completely by Iran Maglev
Technology (IMT).

Maglev

173

10. References
American Magline Group (AMG). (2002). Technology comparison: high speed ground
transportation, Transrapid superspeed maglev and bombardier JetTrain.
Baohua, M., Rong, H. & Shunping, J. (2008). Potential applications of maglev railway
technology in China. Journal of Transpn Sys Eng & IT, Vol. 8, No. 1, pp. 2939.
Behbahani, H. & Yaghoubi, H. (2010). Procedures for safety and risk assessment of maglev
systems: a case-study for long-distance and high-speed maglev project in MashhadTehran route. The 1st International Conference on Railway Engineering, High-speed
Railway, Heavy Haul Railway and Urban Rail Transit, Beijing Jiaotong University,
Beijing, China, China Railway Publishing House, pp. 73-83, ISBN 978-7-113-117511.
Cai Y., Chen, S. S., Rote, D. M., & Coffey, H. T., (1996). Vehicle/guideway dynamic
interaction in maglev systems. ASME, Journal of Dynamic Systems, Measurement, and
Control, Vol. 118, pp. 526-530.
Coensel, B. D., Botteldooren, D., Berglund, B., Nilsson, M. E., Muer, T. D. & Lercher, P.
(2007). Experimental investigation of noise annoyance caused by high-speed trains.
Acta Acustica united with Acustica, Vol. 93, No. 4, pp. 589-601.
Dai, H. (2005). Dynamic behavior of maglev vehicle/guideway system with control. Ph.D.
Thesis, Department of Civil Engineering, Case Western Reserve Uni.
FRA (Federal Railroad Administration). (1998). High speed ground transportation noise and
vibration impact assessment. Report No. 293630-1, U.S. Department of
Transportation.
FRA. (2000). Acela trainset noise and vibration measurements on the northeast corridor.
Report No. 295450-3, U.S. Department of Transportation.
FRA. (2002a). Noise characteristics of the Transrapid TR08 maglev system. Report No. DOTVNTSC-FRA-02-13, U.S. Department of Transportation.
FRA. (2002b). Vibration characteristics of the Transrapid TR08 maglev system. Report No.
DOT-VNTSC-FRA-02-06, U.S. Department of Transportation.
Federal Transit Administration (FTA), Office of Research, Demonstration, and Innovation,
(2002). Assessment of CHSST maglev for U.S. urban transpn., U. S. Department of
Transpn., Final Report.
FTA, Office of Research, Demonstration, and Innovation, (2004). Urban maglev technology
development program Colorado maglev project, U. S. Department of Transportation,
Final Report.
FTA, Office of Mobility Innovation, (2005a). Proceedings of the Federal Transit
Administrations urban maglev workshop, U. S. Department of Transpn.,
Washington, DC.
FTA, Office of Research, Demonstration, and Innovation, (2005b). General Atomics low
speed maglev technology development program (supplemental #3), U.S.
Department of Transpn., Final Report.
Grossert, E. (2006). Actual development in guideway constructions at the example of the
Transrapid Munich project, The 19th Int. Conf. on Magnetically Levitated Sys. and
Linear Drives, Dresden, Germany.
Guangwei, S., Meisinger, R., & Gang, S. (2007). Modeling and simulation of Shanghai
maglev train Transrapid with random track irregularities. Sonderdruck Schriftenreihe
der Georg-Simon-Ohm-Fachhochschule Nrnberg, Nr. 39.

174

Infrastructure Design, Signalling and Security in Railway

He, Q., Wang, J., Wang, S., Wang, J., Dong, H., Wang, Y. & Shao, S. (2009). Levitation force
relaxation under reloading in a HTS Maglev sys. J. Physica C, Vol. 469, pp. 9194.
Hellinger, R., Engel, M. & Nothhaft, J. (2002). Propulsion system and power supply for
Transrapid commercial lines, The 17th International Conference on Magnetically
Levitated Systems and Linear Drives, Lausanne, Switzerland.
Henning, U., Hoke, D. & Nothhaft, J. (2004). Development and operation results of
Transrapid propulsion system, The 18th International Conference on Magnetically
Levitated Systems and Linear Drives, Shanghai, China.
Jehle, P., Schach, R. & Naumann, R. (2006). Comparison of at-grade or elevated guideway
construction and railroad tracks. The 19th International Conference on Magnetically
Levitated Systems and Linear Drives, Dresden, Germany.
Jin, B. M., Kim, I. G., Kim, Y. J., Yeo, I. H., Chung, W. S., & Moon, J. S. (2007). Proposal of
maglev guideway girder by structural optimization, Proceeding of International
Conference on Electrical Machines and Systems, Seoul, Korea.
Kncke, K. (2002). Technical and economical aspects of the Transrapid compared to
traditional HSR systems. The 17th International Conference on Magnetically Levitated
Systems and Linear Drives, Lausanne, Switzerland.
Kron Hans, H. (2006a). Commissioning operation control systems, The 19th Int. Conf. on
Magnetically Levitated Sys. and Linear Drives, Dresden, Germany.
Kron Hans, H. (2006b). Application design assessment engines, The 19th Int. Conf. on
Magnetically Levitated Sys. and Linear Drives, Dresden, Germany.
Lee, J. S., Kwon, S. D., Kim, M. Y. & Yeo, I. H. (2009). A parametric study on the dynamics of
urban transit maglev vehicle running on flexible guideway bridges. J. Sound and
Vibration, Vol. 328, pp. 301317.
Lever, J. H. (1998). Technical Assessment of maglev system concepts, Final Report, The
Government Maglev System Assessment Team, U.S. Army Corps of Engineers
(USACE) Cold Regions Research and Engineering Laboratory Hanover NH, Report
No. A392853.
Liu, R. & Deng, Y. (2004). Engineering comparison of high-speed rail and maglev systems: a
case study of Beijing-Shanghai corridor. The Transportation Research Board.
Luguang, Y. (2005). Progress of the maglev transportation in China. MT19 Conf. Genoa,
Italy.
Najafi, F. T. & Nassar, F. E. (1996). Comparison of high-speed rail and maglev systems.
ASCE, Journal of Transportation Engineering, Vol. 122, No. 4, pp. 276-281.
Naumann, R., Schach, R. & Jehle, P. (2006). An entire comparison of maglev and high-speed
railway systems. The 19th International Conference on Magnetically Levitated Systems
and Linear Drives, Dresden, Germany.
Sawilla, A. & Otto, W. (2006). Safety assessment for the maglev operation control and overall
sys. Experience Gained and Lessons Learned, The 19th Int. Conf. on Magnetically
Levitated Sys. and Linear Drives, Dresden, Germany.
Schach, R. & Naumann, R. (2007). Comparison of high-speed transportation systems in
special consideration of investment. Journal of Transport, Vol. 12, No. 3, pp. 139147.
Schwindt, G. (2006). The guideway. The 19th International Conference on Magnetically
Levitated Systems and Linear Drives, Dresden, Germany.

Maglev

175

Schwindt, G., Hauke, U. & Fried, A. (2004). Interaction vehicle/guideway, guideway design
aspects for the Munich airport link, The 18th International Conference on Magnetically
Levitated Systems and Linear Drives, Shanghai, China.
Siemens AG (2006). Transrapid, be forward-looking, experience the future today,
transportation systems, a joint project of Siemens, ThyssenKrupp and Transrapid
International, Germany.
Steiner, F. & Steinert, W. (2006). Safety assessment for the maglev vehicle TR09 an
approach based on CENELEC railway standards, The 19th Int. Conf. on Magnetically
Levitated Sys. and Linear Drives, Dresden, Germany.
Stephan, A. & Fritz, E. (2006). Operating concept and system design of a Transrapid maglev
line and a high-speed railway in the Pan-European corridor IV. The 19th
International Conference on Magnetically Levitated Systems and Linear Drives, Dresden,
Germany.
Stone, A. L. (1994). High speed maglev station - Los Angeles, Thesis in Architecture,
Bachelor of Architecture in Design, The Architecture Faculty of the College of
Architecture of Texas Tech University.
Suding, A. & Jeschull, B. (2006). Comparison of the geometrical requirements for guideways
of Transrapid and wheel-on-rail. The 19th International Conference on Magnetically
Levitated Systems and Linear Drives, Dresden, Germany.
Tielkes, T. (2006). Aerodynamic aspects of maglev systems, Proceedings of the 19th
International Conference on Magnetically Levitated Systems and Linear Drives,
Dresden, Germany.
Wang, S. K., & Nagurka, M. L. (1997). A superconducting maglev vehicle/guideway system
with preview control: part IIcontroller design and system behavior. ASME,
Journal of Dynamic Systems, Measurement, and Control, Vol. 119, pp. 644-649.
Wanming, L., Jinbin, Y. & Baofeng, Z. (2006). Study of optimal design speed of high-speed
maglev project, The 19th International Conference on Magnetically Levitated Systems
and Linear Drives, Dresden, Germany.
Witt, M. & Herzberg, S. (2004). Technical-economical system comparison of high speed
railway systems. The 18th International Conference on Magnetically Levitated Systems
and Linear Drives, Shanghai, China.
Yaghoubi, H. (2008). Magnetically Levitated Trains, Maglev. Vol. 1, Pooyan Farnegar Publisher,
ISBN 978-600-5085-05-1, Tehran, Iran.
Yaghoubi, H. (2011). The most important advantages of magnetically levitated trains,
Towards Sustainable Transportation Systems Proceedings of the 11th International
Conference of Chinese Transportation Professionals (ICCTP2011), Nanjing, China,
American Society of Civil Engineers (ASCE) Publisher, 3038 pp., Stock No. 41186 /
ISBN 978-0-7844-1186-5.
Yaghoubi, H., Barazi, N., Kahkeshan, K., Zare, A. & Ghazanfari, H. (2011). Technical
comparison of maglev and rail rapid transit systems, The 21st International
Conference on Magnetically Levitated Systems and Linear Drives (MAGLEV 2011),
Daejeon Convention Center, Daejoen, Korea.
Yaghoubi, H. & Sadat Hoseini, M. (2010). Mechanical assessment of maglev vehicle a
proposal for implementing maglev trains in Iran. The ASME 10th Biennial Conference
on Engineering Systems Design and Analysis (ESDA), Yeditepe University, Istanbul,
Turkey, Vol. 2, pp. 299-306, ISBN: 978-0-7918-4916-3.

176

Infrastructure Design, Signalling and Security in Railway

Yaghoubi, H. & Ziari, H. (2010). Assessment of structural analysis and design principles for
maglev guideway: a case-study for implementing low-speed maglev systems in
Iran. The 1st International Conference on Railway Engineering, High-speed Railway,
Heavy Haul Railway and Urban Rail Transit, Beijing Jiaotong University, Beijing,
China, China Railway Publishing House, pp. 15-23, ISBN 978-7-113-11751-1.
Yaghoubi, H. & Ziari, H. (2011). Development of a maglev vehicle/guideway system
interaction model and comparison of the guideway structural analysis with railway
bridge structures. ASCE, Journal of Transportation Engineering, Vol 137, No. 2, pp.
140-154.
Yaghoubi, H. & Rezvani, M. A. (2011). Development of maglev guideway loading model.
ASCE, Journal of Transportation Engineering, Vol. 137, No. 3, pp. 201-213.
Yau, J.D. (2009). Aerodynamic response of an EMS-type maglev vehicle running on flexible
guideways, 10th International Conference on Flud Control, Measurements, and
Visualization, Moscow, Russia.

Part 2
Modelling for Railway Infrastructure
Design and Characterization

7
Power System Modelling for Urban Massive
Transportation Systems
Mario A. Ros and Gustavo Ramos

Universidad de los Andes, Bogot, D.C.,

Colombia

1. Introduction
Urban Massive Transportation Systems (UMTS), like metro, tramway, light train; requires
the supply of electric power with high standards of reliability. So, an important step in the
development of these transportation systems is the electric power supply system planning
and design.
Normally, the trains of a UMTS requires a DC power supply by means of rectifier AC/DC
substations, know as traction substations (TS); that are connected to the electric HV/MV
distribution system of a city. The DC system feeds catenaries of tramways or the third rail
of metros, for example. The DC voltage is selected according to the system taking into
account power demand and length of the railways lines. Typically, a 600 Vdc 750 Vdc is
used in tramways; while 1500 Vdc is used in a metro system. Some interurban-urban
systems use a 3000 Vdc supply to the trains.
Fig. 1 presents an electric scheme of a typical traction substation (TS) with its main
components: AC breakers at MV, MV/LV transformers, AC/DC rectifiers, DC breakers,
traction DC breakers. As, it is shown, a redundant supply system is placed at each traction
substation in order to improve reliability. In addition, some electric schemes allow the
power supply of the catenaries connected to a specific traction substation (A) since the
neighbour traction substation (B) by closing the traction sectioning between A and B and
opening the traction DC breakers. In this way, the reliability supply is improved and allows
flexibility for maintenance of TS.
So, an important aspect for the planning and design of this electric power supply is a good
estimation of power demand required by the traction system that will determine the
required number, size and capacity of AC/DC rectifier substations. On the other hand, the
design of the system requires studying impacts of the traction system on the performance of
the distribution system and vice versa. Power quality disturbances are present in the
operation of these systems that could affect the performance of the traction system.
This chapter presents useful tools for modelling, analysis and system design of Electric
Massive Railway Transportation Systems (EMRTS) and power supply from Distribution
Companies (DisCo) or Electric Power Utilities. Firstly, a section depicting the modelling
and simulation of the power demand is developed. Then, a section about the computation of

180

Infrastructure Design, Signalling and Security in Railway

the placement and sizing of TS for urban railway systems is presented where the modelling
is based on the power demand model of the previous section. After that, two sections about
the power quality (PQ) impact of EMRTS on distribution systems and grounding design are
presented. Both subjects make use of the load demand model presented previously.

Fig. 1. A Typical Traction Substation (TS)

2. Power demand computation of electric transportation systems

This section presents a mathematical model useful to simulate urban railway systems and
to compute the instantaneous power of the Electric Massive Railway Transportation
Systems (EMRTS) such as a metro, light train or tramway, by means of computing models
that take into account parameters such as the grid size, acceleration, velocity variation,
EMRTS braking, number of wagons, number of passengers per wagon, number of rectifier
substations, and passenger stations, among other factors, which permit to simulate the
physical and electric characteristics of these systems in a more accurate way of a real
system.
This model connects the physical and dynamic variables of the traction behaviour with
electrical characteristics to determine the power consumption. The parametric construction
of the traction and braking effort curves is based on the traction theory already
implemented in locomotives and urban rails. Generally, there are three factors that limit the
traction effort versus velocity: the maximum traction effort (Fmax) conditioned by the number
of passengers that are in the wagons, the maximum velocity of the train (or rail), and the
maximum power consumption. Based on these factors, a simulation model is formulated for
computing the acceleration, speed and placement of each train in the railway line for each
time step (1 second, for example). So, the power consumption or re-generation is computed
also for each time step and knowing the placement of each train in the line, the power
demand for each electric TS is calculated.

Power System Modelling for Urban Massive Transportation Systems

181

2.1 Power consumption model of an urban train

The power consumed by one railway vehicle depends on the velocity and acceleration that it
has at each instant of time. Its computation is based on the traction effort characteristic
(supplied by the manufacturer of the motors), the number of passengers and the distances
between the passengers stations (Vukan, 2007), (Chen et al., 1999), (Perrin & Vernard, 1991).
The duty cycle of an urban train between two passengers stations is composed by four
operation states: acceleration, balancing speed, constant speed and deceleration. Fig. 2
shows the behavior of the speed, traction effort and power consumption of a traction vehicle
during each operation state elapsed either time or space (Hsiang & Chen, 2001).

Fig. 2. Velocity, Traction Effort, and Power Consumption of an Urban Train Travel between
adjacent Passenger Stations (Hsiang & Chen, 2001)
During the first state (I), the vehicle moves with constant positive acceleration, so the speed
increases. When the vehicle reaches a determined speed lower than the constant speed, the
second operation state starts. In this state, the acceleration decreases, but the speed keeps
increasing. In the third state (III), the cruise speed is reached and the acceleration is zero. In
the fourth state (IV), the braking operation starts with negative acceleration until the
moment it decelerates with a constant rate and finally it stops at the destination station
(Vukan, 2007), (Chen et al., 1999), (Perrin & Vernard, 1991), (Hsiang & Chen, 2001).
2.1.1 Net force of a traction vehicle
The parametric construction of the traction and braking effort curves is based on the traction
theory already implemented in locomotives and high speed rails. Three factors limit the
traction effort versus velocity: the maximum traction effort Fmax conditioned by the number
of passengers that are in the wagon, the maximum velocity of the vehicle, and the maximum
power consumption. The maximum traction effort used by the acceleration, and then
transferred to the rail, is limited by the total weight of the axles given by:

mm TM naxis n waxle

(1)

182

Infrastructure Design, Signalling and Security in Railway

where TM is the total vehicle mass, n is the number of motor drives, naxis the number of axles
in the vehicle, and waxle the weight per axle (Buhrkall, 2006). The total vehicle mass is:

TM wv np wpas MDYN

(2)

where wv corresponds to the weight per wagon without passengers, np the number of
passengers per wagon, wpas the average weight per passenger, and MDYN the dynamic mass
of the railway, which represents the stored energy in the spinning parts of the vehicle,
typically of 5-10% (Buhrkall, 2006). Then, the maximum traction effort is calculated as:

Fmax mm g

(3)

Where corresponds to the friction coefficient between the wheels and the rail, which is
about 15% for the ERMTS, and gravity g equals to 9.8 m/s2 (Buhrkall, 2006). The force
needed to move a traction vehicle (TM times the acceleration (a)) is:
F TM a TM

dv
TE( v ) MR( v ) Be ( v )
dt

(4)

Where TE(v) is the traction effort in an EMRTS that provides the necessary propulsion to
exceed inertia and accelerate the vehicle, MR(v) is the movement resistance as an opposite
force to the vehicle movement, Be(v) is the braking effort used to decelerate the vehicle and
stop it permanently (Vukan, 2007).
The traction and braking effort act directly in the vehicle wheels edges. The movement
resistance is given by:

MR( v ) 10 3 2.5 10 3 k v v

TM g

(5)

Where k0.33 for passengers vehicles, v15km/h is the wind velocity variation, TM is the
total mass of the vehicle, and g the gravity. Table 1 presents the action forces in an EMRTS
that makes its path between two passengers stations. As a result, there are four regimens of
operation: stopping, acceleration, constant velocity, and deceleration. This is how the
difference between the traction effort, the movement resistance, and the braking effort,
which are not velocity variants, represent the net force of the vehicle (Jong & Chang, 2005b).
Operative Regimen
Stopping
Acceleration
Constant Velocity
Deceleration

Net Force
TE(v) MR(v) Be(v)=0
TE(v) MR(v) Be(v)>0
TE(v) MR(v) Be(v)=0
TE(v) MR(v) Be(v)<0

Velocity
v=0
0 < v < vmax
v>0
0 < v < vmax

Table 1. Net Force and Velocity as function of the Operative Regimen (Jong & Chang, 2005b)
2.1.2 Computation of dynamic variables
The incremental acceleration (ai) is obtained from the net force and the total mass of the
vehicle (Jong & Chang, 2005b) computed for each instant t, as:

Power System Modelling for Urban Massive Transportation Systems

ai t

F t

TM t

183
(6)

The velocity is assumed an independent variable, which determines the path time of the
traction vehicle, with steps fixed by velocity and acceleration (Jong & Chang, 2005b). So, the
time steps and the incremental travelled distance are given by:

ti 1 ti

vi 1 vi
ai

si 1 si vi ti 1 ti

(7)
(8)

2.1.3 Power consumption computation

The motor torque and the velocity for an EMRTS are linear functions of the acceleration and
the angular velocity. So, the instantaneous power consumption by the EMRTS, for the first
three operative states (Chen et al., 1999), (Perrin & Vernard, 1991), (Hsiang & Chen, 2001), is:
P t TM t ai t MR v v

(9)

For the last operative state where the braking acts, the consumption is given by:

P t Be v v B

(10)

which describes the braking effort multiplied by the velocity in the range of 0vvmax and a
multiplicative factor B which describes the efficiency of the regenerative braking which it is
considered of 30% for this type of systems (Perrin & Vernard, 1991), (Jong & Chang, 2005a),
(Hill, 2006).
2.2 Simulation model
The model presented at section 2.1 allows the computation of the power consumption and
travel time characteristics (t, x) for each train i in the railway line. Naturally, a railway line
simulation must include a number n of passengers stations and k trains travel in the line (go
and return).
The integration of these characteristics requires modelling the mobility of passengers
associated at each train. It can be simulated in a probabilistic way, computing the number
of passengers coming up and leaving the train (i) in each passengers station (j) and the
stopping time of the train in each station. This first part, stated here as Module 1, uses the
following parameters: the passengers up (rup) and down (rdown) rates, and up (tup) and down
(tup) times per passenger.
The number of passengers in the first station and the number of passengers waiting in each
station (paxwait) are modelled as random variables of uniform distribution. As, the railway
line simulation includes a number n of passengers stations; Module 1 computes for each
train i the number of passengers that the train transport between station j and j+1 as:

184

Infrastructure Design, Signalling and Security in Railway

pax i , j 1 rdown pax(i , j 1) paxwait ( j ) rup

(11)

The number of passengers is constrained to be less or equal than the maximum capacity of
passengers at the train. In addition, this module gives the stopping time for each train at
each passengers station (tstop(i,j)) based on passengers up and down times, as:
tstop i , j tdown 1 rdown pax(i , j 1) tup pax wait ( j ) rup

(12)

The second part of the model, called Module 2, simulates the overall travel of train i. This
means, the simulation gives the power consumption of train i for each instant of time t for a
complete travel (go and return). At the same time, the placement (x(t)) of the train is get for
each t. If the line railway has a length L, then the total travel of one train is 2L, and x will be
between 0 and L in one sense and between L and 0 in the another sense.
So, Module 2 computes the trains time of travel between passengers stations and the
instantaneous power demand for one train based on equations (1) to (10) and the number of
passengers and stopping time obtained from (11) and (12), respectively; as Fig. 3 shows. As,
it is shown, the simulation considers the initial dispatch time and computes the initial value
of passengers using the second term of equation (11).

Initial data:
Placement of passengers stations x(j)
Train characteristics (number of wagons, axles
and motors; weight of wagons, axles and motors),
efficiency of the regenerative braking.

Computation the travel of

train i between stations j
and j+1 using (1) to (8)

Simulation for Train i

Initial values:
Passenger station j=1
Computes pax(i,j)
Total travel time=tdispatch

Add to Total travel time the

stopping time of train i at station
j+1. Computes pax(i,j+1).

Computation of power consumption

travel of train i between stations j and
j+1 using (9) and (10) considering the
Operative Regimen (Table 1)

Update travel vectors:

Placement x(i,t)
Power Consumption P(i,t)
Update Total travel time

j = j +1

Last
Passengers
station?

no

yes
End

Fig. 3. Simulation of Train i Travel Module 2

185

Power System Modelling for Urban Massive Transportation Systems

On the other hand, Module 2 considers the maximum velocity, the braking and traction
effort curves as input variables. These curves are parameterized by means of (1), (2), and (3)
and are given by manufacturers of traction equipment. Each curve is used to establish the
net force at each operative regime, I to IV in Fig. 2. Fig. 4. shows an example of the
simulation of placement and power consumption for a train in a metro line using a power
demand simulator reported at (Garcia et al., 2009).
Finally, the simulation of Module 2 is run for the total number of k vehicles in the railway
line, taking into account the dispatch time of each one. Then, the power consumption at each
TS is computed as Fig. 5. shows. Each TS supplies the power to trains (going or returning)
placed for its specific portion of the railway line (the DC section connected to the TS).
14000

3000
2500

12000

2000

Active Power (kW)

Position(m)

10000

8000

6000

4000

1500
1000
500
0
-500

2000

-1000

1000

2000

3000

4000

5000

6000

7000

8000

9000

-1500

1000

2000

a) Graphical Interpretation of x(i,t)

3000

4000

5000

6000

7000

8000

9000

Time(s)

Time(s)

b) Graphical Interpretation of P(i,t)

Fig. 4. Example of Simulation of Train i Travel Module 2

Fig. 5. Simulation of Power Consumption of a Railway Line

186

Infrastructure Design, Signalling and Security in Railway

2.3 Simulation example

P laza_ B o livar

A v _ C arre ra_ 22

NQS

C alle _ 19

Z o n a _ In d u stria l

Tran v_ 4 9A

C an al_ Fu ch a

A v_ 6 8

P laza_ A m e ricas

A v_ V illavice n cio

Tim iza

Kennedy

P o rtal_ A m e ricas

This section illustrates the application of the power consumption mathematical and
simulation model in a possible metro line for the city of Bogota of 13.2 km and 13
passenger stations. Fig. 6 shows one section of the possible line 1 to be developed in
Bogot. Fig. 7. presents the results of a simulation of the Metro Line of Fig. 6 using the
previous algorithms.

Fig. 6. Example Case of Power Consumption for a Metro Line

Consumo de Potencia de la Subestacion Rectificadora No: 1
8000
7000
6000
5000

(kW)

4000
3000
2000
1000
0
-1000
-2000

a) Trains Trajectories x(i,t)

1000

2000

3000

4000
5000
(seg)

6000

7000

8000

9000

b) Power Demand P(i,t) substation 1

Fig. 7. Power Demand of a Traction Substation Estimation by Simulation

The simulation establishes the trajectories of 17 trains-vehicles at the Metro Line (Fig. 7.a).
The power is supplied by 3 TS. Fig. 7.b shows the power demand at the first traction
substation that supplies all trains placed between position 0<x(t)<4400 m.

Power System Modelling for Urban Massive Transportation Systems

187

3. Placement and sizing traction (rectifier) substations in urban railway

systems
In this section, a methodology of placement and sizing of traction substations under an
electric connection scheme, in which high reliable levels are guaranteed, is presented. In
this scheme, each traction substation (TS) is able to support the load of each adjacent
substation. That means that in the case when a fault occurs in one TS, there is a support
system based on automatic switches normally opened that close and allow the two
neighbour substations to supply the power to the associated load with the faulted
substation (each one would feed half of the load of the faulted one). The input data to
calculate the sizing of substation is obtained from the power demand computation,
explained in the previous section.
On the other hand, the placement of each TS is obtained by a heuristic optimization
problem. This problem minimizes the total cost of a given configuration, that is composed of
investment costs (rectifiers, transformers, and protection and control cells), the cost of
energy losses composed by AC losses (associated with the transformer) and DC losses
(associated to rectifiers) and the failure cost, that represents the cost of the annual expected
energy not supplied (EENS).
3.1 Traction substation (TS) configurations
A scheme of supply of an urban railway system must satisfy electric conditions, such as:
operating limits, voltage drops through the catenaries or third rail (called here, in general,
DC section), and maximum capacity of transformers. These conditions must be satisfied for
supplying the power demand independently of the operating state of the system, i.e.,
normal state or a post-contingency state after a fault of a HV/MV substation, or TS, or one
DC section. So, the TS location and configurations selection are strongly linked problems.
Fig. 8 shows three possible schemes of connection of the MV network to a set of TS. Each TS
is designed to supply (in normal operation state) a DC sector of length L.
The way of behave in a fault condition determines the following three possible
configurations:
1.

2.

3.

One transformer-rectifier unit with possibility of power supply from the adjacent TS.
Each TS acts as a support of its adjacent TS. This implies that the substations must be
able to supply at least 1.5 times the length of the normal DC section length (3L/2).
Two transformer-rectifier units in each traction substation. This configuration
means the redundancy in the main equipment of the TS. In case of a fault in one
transformer and/or rectifier, the parallel unit must supply the total power demand
of the TS. This scheme assumes that there is not possibility of support of adjacent
substations. The wide dotted line if Fig. 8 remarks the parallel unit of transformerrectifier unit.
Two transformer-rectifier units in each TS and support of adjacent DC section. This
is the combination of configurations 1 and 2. This means that there is redundancy in
each traction substation and there is also possibility of support of adjacent DC section
feeder.

188

Infrastructure Design, Signalling and Security in Railway

Fig. 8. Configurations of Traction Substations Connection

3.2 Optimization problem
A minimization of the total project cost is solved for determining the quantity of traction
substations, their connection configurations, and their locations. The optimization is a
constrained problem that guarantees the electrical requirements, like voltage levels and high
reliability requirements. The distance between TS is assumed to be equal, and each TS is
located at the middle point of the DC section that it supplies, as Fig. 8 shows.
The cost function (TC) includes investment costs, operation costs Cop (associated with losses)
and reliability cost or cost of energy not supplied (CENS). So, the total cost for each
configuration is given by:
T C ( j)
C ( j)
op
TC C inv
ENS
(1 r ) j (1 r ) j
j 1

(13)

Where T is the number of years of the project, and r is the discount rate of the project. The
investment cost depends on the length of the DC network, and is given by:
m

C inv (Lcat Ccat ) N Mod (i ) C Mod ( i ) C Place (i )

(14)

i 1

Where, Lcat and Ccat are the total length and the unitary cost of the catenaries or rail (DC
section, in general). NMod is the number of modules in one traction substation (1 or 2). CMod is
the cost associated to one module; Cplace is the cost of the terrain where the substation is built;
m is the number of substations.
The annual operation cost (Cop(j)) is computed as the sum of annual AC and DC losses in the
year j multiplied by the energy cost. Transformer losses are defined as the sum of the
instantaneous iron losses (ACiron-loss) and copper losses (ACcopper-loss) during the year. Then, the
total losses cost for m substations is:

189

Power System Modelling for Urban Massive Transportation Systems

m

C op ( j ) CostEnergy j ACloss i , j DCloss i , j

(15)

i 1

AC loss i , j

To

ACiron loss i , j ACcopper loss (i , j , t ) dt

To

(16)

To is the operation time of the urban rail during the year. The iron losses in the
transformer are constant (Institution of Electrical and Electronic Engineers [IEEE], 2007) and
computed as it is established in (IEEE, 1992). The copper losses are directly proportional
to the square of the utilization factor (UF), and the constant of proportionality is the nominal
copper losses of the transformer (Pnom_Cu) (IEEE, 2007). The UF is defined as the ratio of
instantaneous demanded power (Pdem(i,j,t)) and the transformer rating (Pnom).
On the other hand, the DC losses are power losses in the rectifiers (AC/DC converters):

P (i , j , t )
ACcooper loss (i , j , t ) Pnom _ Cu i (UF( j , t ))2 Pnom _ Cu i dem
P i
nom

DC loss i , j

To

(17)

To

1 eff (i , j , t ) Pdem (i , j , t ))dt

(18)

The eff(i,j,t) is the DC efficiency of the rectifier of the TS i and depends on the instantaneous
power demanded at year j hour t. It varies from 95.4% to 95.7% (Hill, 2006).
The third term of the objective function of the minimization problem is the cost of energy
not supplied (CENS), computed as function of the time of no-supply in hours/year (TNS), the
unitary cost of fault in USD$/kWh (Cfault) and the average power not supplied by TS (Pav):
C ENS TNS Pav C fault

(19)

3.3 Technical constraints

The voltage drop between a supply point and a utilization point must not be more than 15%
in normal operation and as maximum 30% in special cases (Arriagada & Rudnick, 1994).
These specials cases may be the outage of a substation or the last DC section in the route.
Table 2 presents the voltage margins according to the different used DC system voltages.
DC system voltage (V)

600

750

1500

3000

Lowest voltage. Undefined duration (V)

400

500

1000

2000

Nominal design system voltage (V)

600

750

1500

3000

Highest voltage. Undefined duration (V)

720

900

1800

3600

Not-permanent highest voltage. Duration of 5 minutes (V)

770*

950**

1950

3900

* In the case of regenerative braking, 800 V is admissible.

** In the case of regenerative braking, 800 V is admissible.

Table 2. Voltages in DC Traction Systems (White, 2009).

190

Infrastructure Design, Signalling and Security in Railway

A voltage drop of 30% between the TS and the last vehicle can be tolerated in a suburban
system, where the vehicles are constantly accelerating, but a voltage drop over the principal
line of a metro during any time interval might exceed all the established limits. Therefore,
the maximum voltage drop allowed is limited to 15% on nominal voltages under normal
conditions. A voltage drop in the farthest point of a section supplied by TS is defined as:
1
VT VS L2 Zn I Zx ( n n ') I (Zn I LCat( i ) Z L2 )
4
Zx ( Ru RT )cos ( Xu XT )sin

and Z R cos X sin

(20)
(21)

Where Vs is the DC voltage at the TS (p.u), VT is the minimum DC voltage in the DC section
for correct vehicle operation (p.u.); I is the current demanded by a vehicle (p.u.); Ru and Xu
are the equivalent resistance and reactance, respectively (p.u.); RT and XT are the transformer
resistance and reactance, respectively (p.u.); is the angle of power factor (zero for DC
systems); R and X are the DC section resistance and reactance, including the return way, in
p.u./mi; L2 is the distance between the TS and the nearest vehicle at the right; n and n are
the number of vehicles at the right and the left, respectively, of the TS.
Voltage drop in the farthest point is determined by the maximum length of the sector
supplied. In normal conditions, this value is the length L (see Fig. 8). However, when a
contingency occurs, the sector length must be modified to almost twice the original length.
Then, for normal conditions, the voltage must satisfy:
VT VS (i ) Z(i , L / 2) ITS ( i )

(22)

Where ITS is the current delivered by the TS depending on the number of vehicles in sector i
supplied in a determined time by the substation. Under a contingency of the TS, the voltage
must satisfy the constraint for the sector i-1 and sector i+1 (adjacent sectors):
VT (i 1) VS (i 1) Z(i 1, 3L / 2) ITS (i 1)

(23)

The minimum capacity of transformers and rectifiers is calculated from the maximum
demanded current in each TS. The transformers and rectifiers size must be chosen as the
nearest superior value to the demanded power, depending on the commercial capacities. As
previously, normal conditions and post-contingency operation must be considered. In
normal operation with 2 transformers, the power capacity of transformers must satisfy:
CapT ( MW )(i ) ITS (i , L ) VDC PLoss (L )

(24)

Meanwhile, when the traction substation i is unavailable, the capacity of active power of the
2 transformers in the i-1 and i+1 sector must satisfy:
CapT ( MW )(i 1) ITS (i 1, 3L / 2) VDC PLoss (3L / 2)

(25)

The capacity in MVA of the transformer is computed dividing the capacity in MW by the
power factor (p.f.). As shown in (24) and (25), the power loss (Ploss) in the DC section feeder
for the maximum demand must be determined for each section. The total power loss in DC
section associated to the TS for a round trip is:

191

Power System Modelling for Urban Massive Transportation Systems

To
To n '
n

PLOSS Ploss (t ) I j (t )2 L j (t ) I j (t )2 L j (t )
j 1
t 0
t 0
j 1

(26)

Ij is the current in each DC section that is defined as the catenaries/rail between two vehicles or
between a vehicle and the TS (in the case of the nearest vehicle to the feeding point of the TS).
The total losses at the DC section takes into account all vehicles placed at left and right of the TS.
is the resistivity of the DC section [/km or /mi]; To is the total annual operation time.
3.4 Application to the study case

The analysis was developed for the metro line showed in Fig. 6 corresponding to the study
case of section 2.3. The study was developed as function of the number of substations and
the three possible configurations explained in section 3.1.
The unitary cost of fault was assumed 1074 US$/kWh, from reliability analysis. Simulations
were done for three levels of load: high (the maximum number of vehicles in service),
medium (half of the total vehicles in service), and low (with no vehicles in service). The
simulator allows the calculation of power losses in N-0 state, and the demand of each
substation for N-0 and N-1 contingencies state.
Simple contingencies (N-1) at the maximum load were made in order to sizing the TS when
configurations 1 and 3 are used, to give support of adjacent TS. While, normal state
operation was used for sizing TS in configuration 2.
Table 3 presents the total cost computed as function of the number of TS and configuration
of connection. Additionally, the investment cost (C_inv) and the net present value of the
operation cost (NPV_Oper) is shown. The fault cost was of 155.000 USD$/year.
The investment cost (without the cost of catenaries/rail that is common for all alternatives),
noted C_inv, includes the switchgear in SF6, rectifiers, transformers, having into account the
number of each equipment depending on the configuration (see Fig. 8). The NPV_Oper
includes the operation cost for a useful life of the project of 20 years.
In the second column, in brackets, the rating commercial capacity of each substation is
shown, based on the results of simulations and the algorithm for finding catenaries/rail
losses. The capacities of each substation for configurations 1 and 3 are the same, due to the
high electrical similitude between both schemes.
#TSs
3

Configuration
(rating/TS)
1 (5MW)
2 (4 MW)
3 (5MW)
1 (5 MW)
2 (3.75MW)
3 (5 MW)
1 (3.75MW)
2 (3.75MW)
3 (3.75MW)

Maximum length of
catenary/rail (km)
8.8
4.4
8.8
6.6
3.3
6.6
5.28
2.64
5.28

C_inv
6.11
9.75
11.9
6.73
12.3
13.0
7.97
14.3
15.4

Millions of dollars
NPV_Oper
Total Cost
0.81
7.95
1.63
12.4
1.62
14.5
0.90
8.65
1.79
15.1
1.79
15.8
0.98
9.97
1.97
17.3
1.96
18.3

Table 3. Cost Comparison of Several Configuration of TSs Connections Study Case

192

Infrastructure Design, Signalling and Security in Railway

The third column shows the maximum length of the DC section that each TS can supply. TS
in configurations 1 and 3 must have a capacity to supply even twice the total length of the
line divided by the number of considered substations. Instead, TS in configuration 2 supply
the maximum length of catenaries/rail, just the normal operation length because this
configuration is not able of supporting of adjacent substation in case of fault.
The lowest total cost at Table 3 is presented in the case of three 5 MW TS because, in the
study case of section 2.3, the investment cost weights more in the final cost than the
operation cost. That is, looking just the configuration 1, it is evident that even though the
operation costs do not grow up linearly as more TS are considered, the difference between
investment costs is higher than operation costs, so the optimal solution is the location of 3 TS
of 5 MW, under the configuration 1.

4. Power quality impact of urban railway systems on distribution systems

Power quality phenomena originated in power distribution systems impacts on
the electrical power supply system of UMTS and, at the same time, power electronics used
in the traction system impacts on the power quality (PQ) service of the distribution
system.
In addition, the power demand of UMTS presents high and fast variations as consequence of
the operation cycles of each train-vehicle and the non-coincidence of operational cycles
among several vehicles. So, PQ phenomena are time variable (Singh et al., 2006).
4.1 PQ Phenomena and railways electrical system components

Fig. 9 shows the existing relationships between the different PQ phenomena and the
railways electrical system components. As it is shown, the main electrical components in
the railway system are: the train-vehicle as an electric load that involves a great use of
power electronics, rectifier substations, the electric HV/MV substation, and the distribution
network system (White, 2008).
On the other hand, the main PQ phenomena involved in the interaction between the
railways electrical systems and the power distribution system are: electromagnetic
interference (EMI/RFI) at high frequency (HF); harmonics, flicker, and voltage regulation at
low frequency (LF) (Sutherland et al., 2006). Also, PQ phenomena include sags at
instantaneous regime, unbalance of the three-phase power system, and transients
phenomena (Lamedica et al., 2004).
Fig. 9 (Garcia & Rios, 2010) presents also where the cause of the phenomena is, what are
the affected or perturbed systems, and where a solution of the problem can be
implemented. For example, the electromagnetic transients occur in microseconds and they
are caused by capacitor switching or lightning. Hence, they can be generated in the
distribution network, MV side of the rectifier substation or in the train (represented by X
in Fig. 9). The main problems are related to the rectifier substation or the train
(represented by circle in Fig. 10) where the electronic sensitive equipment are susceptible
to misuse or damage due to the transient overvoltage. An effective overvoltage transient
protection could be located at the rectifier substation and, finally, at the train (represented
by triangle Fig. 9).

Power System Modelling for Urban Massive Transportation Systems

193

Fig. 9. PQ Phenomena and Railways Electrical System Components Relationships

4.2 Harmonic distortion analysis

The identification of PQ problems in power systems represents an important issue to the

distribution utilities. The harmonic distortion is one of the main PQ phenomena in the
electrical system feeding an EMRTS because the injection of harmonics by its nonlinear
loads flows through the network and affects other consumers connected to the distribution
system. According to the conceptual diagram of Fig. 9, the production of harmonics in the
EMRTS is a PQ phenomenon at steady state caused by the rectifier substations, normally, a
controlled rectifier of 6 or 12 pluses.
In addition, the computation of the total harmonic distortion (THD) in the AC side of the
rectifier substation at the railway system must take into account the time load variability at
each TS. So, the instantaneous power load must be computed as function of time and
distance as it was explained at section 2. Once the current consumption in each TS is
obtained, it is possible to identify the variation of the THD during the time.
4.2.1 Probabilistic model

Generally, deterministic models have been adopted for network harmonic analysis;
however, these models can fail for modelling the load variation in systems such as the
railways electrical system (Chang et al., 2009). So, a probabilistic analysis to characterize
the harmonic current loads properly must be used in order to obtain an accurate model.
An EMRTS is characterized by fluctuating loads due to the different operation states of the
trains in the traction system (See Fig. 7 b). Thus, the harmonics injection from the rectifier
substations to the MV network causes that the current harmonic spectrum at the distribution
systems connection point (PCC) varies over time. So, each traction substation can be
represented as a harmonic current source that provides a probabilistic spectral content at the
PCC (Rios et al., 2009).

194

Infrastructure Design, Signalling and Security in Railway

Then, it is necessary to perform the vector sum of several harmonic sources (i.e. traction
substations) at the distribution systems connection point to determine the total harmonic
distortion. There are two methods to evaluate the effect of different non-linear loads: the
analytical method and Monte Carlo simulation method. The complex implementation of
analytical methods for large power systems studies involves little practical application in
real systems. By contrast, Monte Carlo simulation has proved to be a practical technique
(Casteren & Groeman, 2009) based on the low correlation between different harmonic loads
(independence of the sources). Fig. 10 presents the methodology useful for probabilistic
harmonic distortion analysis of railways electrical systems with different harmonic sources.
The methodology for probabilistic analysis of harmonic starts from values obtained from
deterministic simulations. Once the different conditions of loads are defined in the
behaviour of the traction system, it is possible to use probability distribution plots to
evaluate the harmonic level in the system during the travel time. So, the next step is to
determine the probability density function to fit the harmonic components of each harmonic
source and its phase angle.

Fig. 10. Methodology for Harmonic Distortion Probabilistic Analysis of EMRTS

Many studies agree that the normal function is suitable as probability density function to
use in the case of a random behaviour (Wang et al., 1994). In addition, according to the Std.
IEEE - 519 (IEEE, 1993) the recommended window time to evaluate the harmonic distortion
is 15 or 30 minutes. Therefore, it is recommended the selection of random time intervals of
15 minutes to make a probabilistic characterization of the THD distortion.

Power System Modelling for Urban Massive Transportation Systems

195

Then, a process called "Vector Sum - Phasor" is run through Monte Carlo simulations.
Finally, the probabilistic characterization is obtained; where the probability distribution
function of current THD, the probability distribution function of rms current and the
probability distribution of each harmonic component are obtained.
Table 10.3 of Std. IEEE - 519 (IEEE, 1993) contains the current distortion limits in the voltage
range of 120 V to 69 kV, which applies for typical railways electrical systems connected to
distribution systems at MV. So, based on this standard, a comparison between the current
distortion levels at 95% and 50% of probability and the given limits must be realized to
assess if the current distortion must be reduced or not. If a current THD distortion must be
reduced, it could be used several filters methods. The next section presents the application
of active power filtering to reduce THD distortion.
4.2.2 Active power filter allocation methodology

The harmonic distortion produced by railways systems at the distribution systems

connection point can be reduced using passive or active power filters (APF). However, due
to the random and time variability of the harmonic distortion in traction systems, it is
required an active power compensation with the ability of adaptation to different load
conditions. Passive filters are designed with fixed parameters and for specific harmonics, so
this type of filter does not have the required ability. By contrast, APFs based on the p-q
theory became an effective solution in traction systems; normally, they are used for dynamic
harmonic suppression (Xu & Chen, 2009). This type of compensation presents the advantage
of eliminating a wide range of harmonics simultaneously.
On the other hand, the traction system has several rectifier substations and from the
economic point of view it is difficult to install an APF in each TS due to its high cost. Then,
it is necessary to allocate APFs in the most sensitive positions in the own power system of
the EMRTS using the least number of filters and minimizing their size. An important factor
to be considered in the decision of harmonic compensation in traction system is the sudden
fluctuation of traction load because this dynamic behavior is also observed in the harmonic
distortion, as it has been explained in the previous section.
The allocation methodology of APFs in distribution systems supplying a traction load is
based on probabilistic data of harmonic distortion presented in all traction substations.
According to the Std. IEEE - 519 (IEEE, 1993), using a 15 minutes time interval it is enough
to understand the dynamic behavior of the traction load because in this interval there are
900 different data of the load behaviour in each TS. Fig. 11 shows the proposed
methodology of allocation of APF in urban railways systems.
As, it was shown in section 3.4, for the study case of this Chapter, the metro line can be
supplied by three TS at MV. The total harmonic distortion in the distribution system is
analyzed with and without active compensation. The APF is allocated in the low voltage
side of the transformer in the TS. As, the railway line has three TS, there are seven possible
allocations of APF, as Table 4 shows at the first column.
Table 4 shows the THD distortion at levels of 50% and 95% of probability when the system
is without active power compensation and when APFs compensation is used according to
the seven different configurations. This table shows the effectiveness of the APFs to reduce

196

Infrastructure Design, Signalling and Security in Railway

the current THD distortion. Although the reduction is achieved with one filter, the amount
of reduction is low because the two rectifier substations without active power filter present
high variability and distortion. It is also observed that when an additional filter is used the
amount of reduction in the THD is higher. Obviously, if three APF are used (one at each
TS), the higher THD reduction is obtained.

Fig. 11. Methodology for Allocation of Active Power Filters in Urban Railway Systems
The final decision about what configuration selects depends on the short circuit level of the
system; for example, if the short circuit level is lower than 50 MVA a placement of one APF
at each TS is required to satisfy Std. IEEE-519. By contrast, if the short circuit level is
between 50 and 100 MVA, the best option is to place APF at TS1 and TS2.
Case
Without filter
APF in TS1
APF in TS2
APF in TS3
APF in TS1 and TS2
APF in TS1 and TS3
APF in TS2 and TS3
APF in all TS

MEAN THD (%)

SUPPLY 1
SUPPLY 2
22.96
22.98
14.59
14.84
13.81
13.82
13.75
13.50
3.64
3.69
3.81
3.82
3.68
3.64
3.01
3.00

THD of 95% of time (%)

SUPPLY 1
SUPPLY 2
23.66
23.66
19.31
19.25
18.94
18.94
17.80
17.77
5.44
5.56
5.21
5.17
5.18
5.06
3.60
3.59

Table 4. Total Current Harmonic Distortion Active Power Filter Allocation

197

Power System Modelling for Urban Massive Transportation Systems

5. Grounding in DC urban railway systems

A primary requirement to ensure the appropriate operation of any electrical system is to
guarantee personnel and system safety, either under normal and fault conditions. So,
grounding is the most important component to control electrical system failures.
Grounding in electric traction systems requires a different treatment than in typical AC
electrical systems, because of the existence of traction substations AC/DC of high capacity,
the high variable load characteristic in time and distance, the direct contact of the rails with
the earth, the current flow through the ground during normal operating conditions that can
cause corrosion of underground metallic elements, the appearance of step and touch voltage
that can jeopardize the integrity of persons.
The grounding system is composed by two subsystems. The first one (subsystem 1) assures
the personnel safety and the protective device operation; while, the second one (subsystem
2) is used to ground the negative pole in the DC side of the railways traction substation.
The grounding subsystem 1 is used to ground all metallic structures: boxes, protective
panels, pipeline, bridges, passenger platforms, etc. There are two ways to connect this
subsystem:
-

High Resistance Grounding Method (HRGM): A constant voltage of 25 Vdc is applied

between the TSs housing and the ground, in order to energize a relay to send the
opening order to the protection equipment. When the voltage level decreases, other
relay is set to send the opening order to the protection if a big current flows through the
module. This path is supplied with a resistance of 500 .
Low Resistance Grounding Method (LRGM): A constant voltage of 1 Vdc is applied
between the TSs housing and the ground. In this case no resistance is used, but a
direct connection is made to the ground system. In addition, when the relays and
protections detect the voltages absence, they will send the opening order to the
protection system.

So, Table 5 presents a comparison of the performance of these two methods.

Technical Features Description
Monitor constant voltage
Relay circuit resistance
Current fault-ground structure

HRGM
25 Vdc
High (200-700 )
Low (1-2 A)

LRGM
1 Vdc
Low (< 1 )
High (70-1500 A)

Table 5. Comparison of HRMG and LRMG performance.

The second subsystem is used to ground the negative conductor of the TS (Paul, 2002) (Lee
& Wang, 2001) which corresponds physically to running rails. In DC traction systems, the
rails are used as return conductor current, which could cause corrosion problems in
underground metallic structures. There are three options to connect this subsystem:
-

Solid-grounded system: This system keeps under control touch voltage but it permits
the corrosion of the elements grounded to the earth.
Ungrounded system (Floating): This system keeps under control stray currents but it
permits high touch and step voltages.

198

Infrastructure Design, Signalling and Security in Railway

Diode-grounded system: Its purpose is to maintain the system without grounding

while operating conditions are normal. But in the case of a failure, it quickly makes a
change that provides a physical connection between the negative pole and grounding.
When it returns to normal conditions, connection with grounding is suppressed. The
diode is able to perform this function, as it is complemented by a security relay. The
disadvantage is that under normal operating conditions small voltage differences may
occur between the negative pole and grounding, forcing the diode to enter in function
mode which increases stray currents and their associated effects.

Table 6 compares the main characteristics of the three options of railways grounding
system.
Grounding method
Solid-grounded system
Ungrounded system (Floating)
Diode-grounded system

Riel to ground voltage

(Vehicle touch voltage)
Low
High
Middle-Low

Stray current
level
High
Low
Middle-High

Table 6. Comparison of the Railways Grounding Systems

5.1 Generalized grounding model in DC to EMRTS

Fig. 12 illustrates a grounded scheme for a railway line, in which for general purposes there
are k trains, m substations and a total rail length l.

Fig. 12. Grounded System General Scheme

The behavior of the current and voltage on the rail for each section between points Pi and
Pi+1 for i = 1, 2, 3, n, is modeled by:

I Ri ,i 1 ( x ) c(2 xi 1) e x c(2 xi ) e x

(27)

Ui ( x ) R0 (c(2 xi 1) e x c(2 xi ) e x )

(28)

For 0 x l, where n is equal to the number of trains running (k) plus the number of TS that
are in operation (m), n = k + m. Ui(x) is the rail to ground potential [V], and IRi,i+1(x) is the
stray current in the rail conductor [A].
The constant values c(2xi-1) and c(2xi) can be determined from the solution of a linear system of
2x(n-1) equations with 2x(n-1) unknowns obtained from the boundary conditions of each
point Pi applying Kirchhoff's laws and assuming that the magnitudes of the currents

Power System Modelling for Urban Massive Transportation Systems

199

delivered or absorbed by the trains and the substations are known as well as the location of
each of the trains at the moment that these currents are delivered. Different scenarios can
arise during the operation, which can be described as: railway starting point (P1); railway
ending point (Pn); point where a train is passing (P2, P3, P4, , Pn-1); and point where a
traction substation is located, for example (Pi).
5.2 DC grounding algorithm model in time

The model uses information on the train location and current consumption or delivered by
the traction substations, for all time t. The power demand simulator (section 2) gives the
power consumed and delivered by each train and TS, as well as the location of each train
along the rail for each time instant. Fig. 13 shows the flowchart of the algorithm.

Fig. 13. DC Grounding Algorithm Model in Time

This algorithm has the following characteristics:
-

The input data consist of arrays of pairs with the current supplied or absorbed by each
TS or train and the respective train locations. This information is supplied by the model
presented in section 2.
As the trains are in constant motion the input for each instant of time is ordered from
minor to major, in accordance to their location to the starting point of the track, in order
to determine the track to be evaluated.
After defining the tracks and points (Pi) on the total rail length, values are determined
for each constant c(2xi-1) and c(2xi) respectively.

200

Infrastructure Design, Signalling and Security in Railway

Finally, using the constants obtained in the previous step for the instant of time the
stray current and the voltage rail to ground are evaluated and the information obtained
is saved. This process is repeated from the second step until all points in time.

5.3 Example

Let us consider a simplified study case similar to the system of section 2.3 (Fig. 6) with three
TS located at 0, 2000 and 4000 meters and four trains moving along the 4 kilometers of rail.
Constant system parameters are: R=0.04/km, G=0.1S/km, Rg=0.01/km and R01=R8=R0.

a) Currents at Trains

b) Currents at Traction Substation

Fig. 14. Example of Simulation of Grounding

Fig. 14a shows the current magnitude of each train and its location on the rail for each
moment. Likewise, Fig. 14b shows the current magnitude in each traction substations for
each time instant.
Fig. 15 shows the voltage profile along of the rail length at different points in time obtained
from the simulation for the case of diode-grounded system. With this system, it is possible
to reduce the voltage difference presented in the ungrounded system as the solid-grounded
system behaviour. The simulations results show that the diode-grounded system guarantees
greater security because it control the step and touch voltage and reduces the stray currents
that cause the deterioration of the physical installation.

Fig. 15. Rail to Ground Time Voltage Profile

Power System Modelling for Urban Massive Transportation Systems

201

6. Conclusion
This chapter has presented useful tools for power systems modelling, analysis and system
design of Electric Massive Railway Transportation Systems (EMRTS) and power supply
from Distribution Companies (DisCo) or Electric Power Utilities. Firstly, a section depicted
to present the modelling and simulation of the power demand was developed. Then, a
section about the computation of the placement and sizing of traction substations for urban
railway systems was presented where the modelling is based on the power demand model
of the previously mentioned.
After that, two sections about the power quality impact of EMRTS on distribution systems
and grounding design are presented. Both subjects make use of the load demand model
presented at section 2.
These tools allow the optimization of the design scheme of railway electrification for UMTS,
taking into account an adequate sizing and number of traction substations, and the number
and location of harmonic filters to improve the power quality of the system.

7. Acknowledgment
The authors want to thanks to Ana Mara Ospina, Camilo Andrs Ordoez, and Elkn
Cantor for the support given in the preparation of the material for this Chapter.

8. References
Arriagada, A.; & Rudnick, H. (1994). Reliability Evaluation in Electric Distribution Systems (in
spanish). Escuela de Ingeniera, Pontificia Universidad Catlica de Chile.
Buhrkall, L. (2006). Traction System Case Study, In: Electric Traction Systems, IET (Ed.), pp.
53-71, ISBN 978-0-86341-9485, London, UK.
Casteren, J.V.; Groeman, F. (2006). Harmonic analysis of rail transportation systems with
probabilistic techniques, 9th International Conference on Probabilistic Methods Applied
to Power Systems, ISBN 978-91-7178-585-5, Stockholm, Sweden, June 11-15, 2006.
Chang, G.W.; Hung-Lu, W.; Gen-Sheng, C.; Shou-Yung, C. (2009). Passive harmonic filter
planning in a power system with considering probabilistic constraints, IEEE
Transactions on Power Delivery, Vol. 24, No.1, (Jan. 2009), pp. 208-218, ISSN 08858977.
Chen, C.S.; Chuang, H.J.; & Chen, J.L. (1999). Analysis of dynamic load behavior for
electrified mass rapid transit systems, 34th IEEE Industry Applications Conference,
Vol. 2, pp. 992-998, ISBN: 0-7803-5589-X, Phoenix, Arizona, USA, October 3-7, 1999.
Garcia, J.G.; Ros, M.A.; Ramos, G. (2009). A power demand simulator of electric transportation
systems for distribution utilities, 44th International Universities Power Engineering
Conference UPEC 2009, ISBN 978-1-4244-6823-2, Glasgow, Scotland, September 1-4, 2009.
Garcia, J.G.; Rios, M.A. (2010). PQ analysis in tramway systems, 2010 IEEE ANDESCON,
ISBN 978-1-4244-6740-2, Bogot, Colombia, 15-17 Sept., 2010.
Hill, R.J. (2006). DC and AC Traction Motors, In: Electric Traction Systems, IET (Ed.), 33-52,
ISBN 978-0-86341-9485, London, UK.
Hsiang, P.; & Chen, S. (2001). Electric Load Estimation Techniques for High-Speed Railway
(HSR) Traction Power Systems, IEEE Transactions on Vehicular Technology, Vol. 50,
No. 5, (September 2001), pp. 1260-1266, ISSN 0018-9545.

202

Infrastructure Design, Signalling and Security in Railway

IEEE (1992). IEEE Loss Evaluation Guide for Power Transformers and Reactors, IEEE (ed.),
ISBN 1-55937-245-1, New York, USA.
IEEE (1993). IEEE recommended practices and requirements for harmonic control in electrical
power systems Standard 519 1992, IEEE (ed.), ISBN 1-55937-239-7, New York, USA.
IEEE (2007). IEEE standard general requirements for liquid-immersed distribution, power,
and regulating transformers C57.12.00-2006, IEEE(ed.), ISBN 0-7381-5251-X, New
York, USA.
Jong, JC..; & Chang, S. (2005a). Models for Estimating Energy Consumption of Electric
Trains, Journal of the Eastern Asia Society for Transportation Studies, Vol. 6, (2005), pp.
278 - 291, ISSN 1881-1124.
Jong, J.C.; & Chang, S. (2005b). Algorithms for Generating Train Speed Profiles, Journal of the
Eastern Asia Society for Transportation Studies, Vol. 6, (2005), pp. 356 - 371, ISSN 18811124.
Lamedica, R.; Maranzano, G.; Marzinotto, M.; & Prudenzi, A. (2004). Power quality
disturbance in power supply system of the subway of Rome, IEEE Power
Engineering Society General Meeting, pp. 924 929, ISBN 0-7803-8465-2, Denver,
USA, 6-10 June, 2004.
Lee, C.H.; Wang, H.M. (2001). Effects of Grounding Schemes on Rail Potential and Stray
Currents in Taipei Rail Transit Systems, IEE Proceedings on Electric Power
Applications, Vol. 148, No. 2, (Mar. 2001), pp. 148154, ISSN 1350-2352.
Paul, D. (2002). DC traction power system grounding, IEEE Transactions on Industry
Applications, Vol. 38, No.3, (May/Jun 2002), pp. 818 - 824, ISSN 0093-9994.
Perrin, J.P.; & Vernard, C. (1991). Urban Electric Transportations (in French), D5-554
Techniques de lIngnieur, France.
Rios, M.A.; Ramos, G.; Moreno, R. (2009). Evaluacin de Calidad de la Potencia en la
Interaccin del Sistema de Distribucin y los Sistemas Elctricos Ferroviarios
Urbanos, 8th Latin-American Congress on Electricity Generation and Transmission
CLAGTEE, ISBN 978-85-61065-01-0, Ubatuba, Brazil, October 18-22, 2009.
Singh, B.; Bhuvaneswari, G.; & Garg, V. (2006). Improved power quality AC-DC converter
for electric multiple units in electric traction, 2006 IEEE Power India Conference, ISBN
0-7803-9525-5, New Delhi, India, 2006.
Sutherland, P.; Waclawiak, M.; & McGranaghan, M. (2006). Harmonic Impacts Evaluation
for Single-Phase Traction Load, International Journal on Energy Technology and Policy,
Vol. 4, No. 1, (2006), pp. 37-59, ISSN 1472-8923.
Vukan, R. (2007). Urban Transit Systems and Technology, John Wiley & Sons, Inc., ISBN 9780471758235, NJ, USA.
Xu, X.; Chen, B. (2009). Research on Power Quality Control for Railway Traction Power
Supply System, Pacific-Asia Conference on Circuits, Communications and Systems,
ISBN 978-0-7695-3614-9, Chengdu, China, May 16-17, 2009.
Wang, Y.J.; Pierrat, L.; Wang, L. (1994), Summation of harmonic currents produced by
AC/DC static power converters with randomly fluctuations loads, IEEE
Transactions on Power Delivery, Vol. 9, No. 2, (April, 1994), pp. 1129 1135, ISSN
0885-8977.
White, R.D. (2008). AC/DC railway electrification and protection, In: 2008 IET professional
development course on Electric Traction Systems, IET (ed.), pp. 258 305, ISBN 978-086341-948-5, UK.
White, R.D. (2009). DC electrification supply system design, In: 4th IET professional
development course on Railway Electrification Infrastructure and Systems, IET (ed.), 44
69, ISBN 978-1-84919-133-3, UK.

0
8
Optimized Model Updating of a Railway Bridge for
Increased Accuracy in Moving Load Simulations
Johan Wiberg, Raid Karoumi and Costin Pacoste
KTH Royal Institute of Technology
Sweden
1. Introduction
The moving load problem has been studied intensively since the rst research by Willis in
1849 (Willis, 1850). Todays railway bridges are analyzed in more detail for moving loads
due to increased speeds, axle loads and more slender bridge designs. Such analyzes are very
time consuming as it involves many simulations using different train congurations passing
at different speeds. Thus, simplied bridge and train models are chosen for time efcient
simulations. However, these FE models are often called into question when they are in conict
with in-situ bridge measurements. Model updating has therefore been a rapidly developing
technology and has gained a lot of interest in recent years. It is the popular name for using
measured structural data to correct the errors in FE models. Clearly, the approach of numerical
predictions to the behavior of a physical system is limited by the assumptions used in the
development of the mathematical model (Friswell & Mottershead, 1995). Model updating, at
its most ambitious, is about correcting invalid assumptions by processing test results.
Mottershead & Friswell (1993) provided a state of the art and addressed the problem of
updating a numerical model by using data acquired from a physical vibration test (Friswell
& Mottershead, 1995). Optimization has been used by many others since then, improving
FE model predictions based on real measurements. This chapter highlights the importance
and the potential of such optimization procedures for increased accuracy in moving load
simulations. A large-scale simplied railway bridge FE model is used and the updating
process is based on previously identied updating parameters in Wiberg et al. (2009). Natural
frequency, static strain, static deection and acceleration residuals are used, separately and
combined, to optimize the values of modulus of elasticity, mass density and modal damping
ratio. The updated FE model is nally used to identify and analyze the most critical moving
load conguration in CEN (2002) concerning bending moment, vertical bridge deck deection
and acceleration.
The optimization algorithm was easily implemented for FE model updating and was shown to
operate efciently in a benchmark test and for the specic bridge. The optimization algorithm
converges against reasonable values of the updating parameters. A previously questioned
high-valued equivalent modulus of elasticity, found for a manually tuned FE model in Wiberg
(2009), was proven to be reliable. Further, the difference in load effect between an initial
manually tuned FE model and the optimized FE model is found most signicant for vertical
deection. However, more measured dynamic characteristics (natural frequencies, mode

204

Infrastructure Design, Signalling and Security

in Railway
Will-be-set-by-IN-TECH

shapes and modal damping ratios), together with complementing updating parameters and
a more detailed FE model are considered necessary for dynamic load effect predictions with
highest accuracy.
Finally, it should be given attention that the adopted methodology can not only be used
for model updating based on measurements, but also introduced in the early design phase.
The reasonable range of a typical modeling factor or parameter is then based on the drilled
engineers qualied guess and the risk of for example a resonance problem can be investigated
by, e.g. letting the maximum allowed code limit for vertical bridge deck acceleration be
measured response. Performing the optimization will then result in a model conguration,
needed to fulll the requirements in the code.

2. FE model optimization
2.1 General

The objective of FE model updating is to improve an FE model in order to reproduce the

measured response of a structure. Model updating brings together the skills of the numerical
analyst and the load test engineer, and requires the application of modern estimation
techniques to produce the desired improvement (Friswell & Mottershead, 1995). Basically, an
understanding of the updated model is necessary. The updated model may only reproduce
physical test data but could lack physical meaning. It is therefore required to accurately know
the application area of the updated model. Typically, the physical meaning of the model must
be improved if the updated model is to assess the effect of changes in construction.
Optimization techniques are used to nd a set of design parameters, p = { p1 , p2 , . . . , pn }, that
can somehow be dened as optimal. FE modeling procedures involve an optimization with
respect to an objective function, i.e. nding an optimal model that behaves similarly to the
real structure and represents the physical characteristics of it (Zrate & Caicedo, 2008). Thus,
residuals of the response, as a nonlinear function of the input parameters, are established and
accounted for in the objective function. Different types of objective functions are found in the
literature and by their minimization an FE model may be optimally updated.
The optimization process is rather straightforward. More complex is the choice of updating
parameters, i.e. those exerting an inuence on the bridge model in question. It is reasonable
to believe that an accurate representation of a structure depends on the type of FE model used
to represent the structural members and the properties assigned to these elements. Therefore,
relatively large differences can exist between the behavior of a FE model before updating and
the real structure.
Considering the minimization problem as unconstrained nonlinear, i.e. nding a vector p that
is local minimum to a scalar function (p ):
min (p )
p

(1)

with no restriction placed on the range of p, the Nelder-Mead simplex algorithm as described
in Lagarias et al. (1998) can be used for optimization. The algorithm is capable of escaping
local minima in some cases and can even handle discontinuities (Coleman & Zhang, 2009).
Unlike gradient based optimization routines, facing ill-conditioning for the Jacobian and

Optimized Model Updating of a Railway Bridge

for
Increased
Accuracy
in Moving
Load
Simulations
Optimized
Model Updating
of a Railway Bridge
for Increased
Accuracy
in Moving Load Simulations

2053

Hessian matrices, the Nelder-Mead simplex algorithm is less prone to numerical difculties
at iteration steps. Also for noisy measurements the Nelder-Mead simplex algorithm has
been proven effective, see e.g. the updating results of a simple beam in Jonsson & Johnson
(2007) or the more extensive study of Schlune et al. (2009) to improve the FE model of the
new Svinesund Bridge between Sweden and Norway. Further, the optimization algorithm is
general, problem independent and can be implemented easily for FE model updating.
2.2 The objective function

The objective function is the crucial heart of FE model updating. It represents the magnitude
of the error of the response vector, z, dened as the difference between the observed responses
and the expected responses E {z} (Friswell & Mottershead, 1995):


(2)
= E (z E {z}) T (z E {z})
Typically, the response residual vector is weighted to reect the condence in different
measurements:

T


z
(3)
= zm z j W z zm z j
where zm is the measured response vector, z j is the FE response vector at iteration j and
the response weighting matrix, W z , is a diagonal matrix with corresponding reciprocals as
diagonal elements depending on the type of objective function. Notations are also to be found
in Appendix 5.1.
The selection of the objective function has a profound impact on the problem (Jaishi &
Ren, 2005). A classical least squares approach fails to acknowledge that the observations
are not recorded with equal condence (Friswell & Mottershead, 1995). In reality, different
error sources will also reduce the ability of the FE model to reproduce the experimental
measurements. This can be systematic errors, experimental noise and modeling limitations. In
a weighted least squares approach each squared measurement residual is therefore multiplied
by a weight, wi , and the sum of weighted squares of the residuals is calculated. When the
weights are given by the inverse observation variances,


1
1
1
1
(4)
,
,..., 2,...,
W = diag
1 2 2 2
i
N 2
z

the minimization problem, min , has the objective function:

p

Nz

i =1

(zmi zi )2
zi

Nz

| zmi zi |
zi
i =1

(5)

This is the objective function used by Jonsson & Johnson (2007) and Schlune et al. (2009).
To keep the least squares form of the objective function, the square root is omitted and the
objective function reformulated as:
z

Nz

i =1

(zmi zi )2
zi



  T
 
= zm z p j
W z zm z p j

(6)

206

Infrastructure Design, Signalling and Security

in Railway
Will-be-set-by-IN-TECH

which corresponds to Eq. 3 with possibility to take the signicance of different measurements
into account and with dimensionless terms as a result. The normalized updating parameter
vector is dened as

pn,j
p1,j p2,j
pj =
(7)
,
,...,
p1,0 p2,0
pn,0
2.3 Optimization procedure

FE model updating becomes very efcient, neat and easy to implement by coupling the FE
analysis software in question to a mathematical analysis software such as the Matlab package.
This also most conveniently facilitate the use of the Matlab incorporated optimization toolbox
and the updating process is therefore fully controlled from within Matlab. In order to use a
typical optimization solver, a function handle of the objective function together with an initial
normalized updating parameter vector are sent to the optimization subroutine. The updated
FE model code is then automatically generated by the optimization algorithm as it iterates.
The Matlab syntax for a general and problem independent optimization procedure is then:
% Response function as function handle @:
z=@(p)FEA(p);
% Objective function as function handle @:
obj=@(p)obj_func(zm,z,sigma);
% Initial normalized updating parameter vector:
p0=[1 1];
% Nelder-Mead simplex optimization based on functions Z and OBJ:
[p,objval,exitflag,output]=fminsearch(obj,p0,options);

In this case FEA(p) includes the appropriate code for initiation of the nite element analysis
and calculation of the response vector as a function of the updating parameter vector p from
the optimization solver fminsearch in the optimization toolbox of Matlab. In this case the
Solvia FE system software was adopted.
The optimization algorithm starts at the point p0 and attempts to nd a local minimum p of
the function described in obj, with measured response zm, standard deviations in responses
sigma and optimization options specied in options. The algorithm returns in objval
the value of the objective function obj at the solution p, in exitflag the exit condition of
fminsearch and in output the user specied information about the optimization are found.

3. Benchmark test
A benchmark test was performed to verify the updating procedure implemented in Matlab.
The physical problem consisted of a 2D dynamic analysis of a moving vehicle across a
ballasted railway bridge with vehicle-bridge interaction due to contact denitions, see Fig. 1.
The I-beam steel bridge had two spans, assumed to be linearly elastic, and the vehicle speed
was 30 m/s. The bridge surface and the neighboring rigid surface portions are assumed
to initially form a horizontal straight line. Each span was modeled to consist of 20 beam
elements and a mass-spring-damper system was used to model the vehicle. The mass density

Optimized Model Updating of a Railway Bridge

for
Increased
Accuracy
in Moving
Load
Simulations
Optimized
Model Updating
of a Railway Bridge
for Increased
Accuracy
in Moving Load Simulations
m2

2075

c
m1

Span 1

Span 2

Fig. 1. The physical benchmark problem.

of the beam was increased to include the mass of the ballast. Direct time integration with the
Hilber method was adopted. All necessary input data to the Solvia FE system is given in
Appendix 7.
To symbolize measured result, material properties of 210 GPa and 16000 kg/m3 for modulus
of elasticity and mass density, respectively, were used and the corresponding measured
maximum deection in each span was calculated to 2.152 mm and 2.165 mm. In addition to
these measured responses, the predicted nite element analysis responses, as a function of
the iteratively updated material properties, constituted the objective function expression. For
simplicity, the Euclidean norm of the normalized response residual was chosen as objective
function:



N
 zm z(p ) 
 z (zmi zi )2
j 

z

=
=
(8)



zm
z 2
i =1
mi

Using the modulus of elasticity and mass density as updating parameters, with initial
values of 175 GPa and 20000 kg/m3 , i.e. corresponding to initial deections of 2.658 mm and
2.607 mm, the fminsearch solver in Matlab converged towards 210 GPa and 16000 kg/m3
at the deections 2.152 mm and 2.165 mm in 30 iterations and 62 objective function counts.
Fig. 2 illustrates the iteration sequence, starting at the normalized input parameter coordinates
20000
210 16000
( 175
175 , 20000 ) and ending at ( 175 , 20000 ). Interestingly, the algorithm rst seemed to localize a
local minimum but proceeded to the global minimum.

4. Case study
The New rsta Bridge in Stockholm, Sweden, was adopted for FE model updating (see Fig. 3).
Previous research pointed out some of the difculties in studying bridge dynamics resulting
from moving trafc (Wiberg et al., 2009). Not only does the dynamic amplication depends
on the considered load effect, but different modeling parameters, individually or jointly,
inuence the dynamic load effect or dynamic property in question. The use of statistically
identied updating parameters as a step in more effective model optimization is highlighted
in previous study by the author and typical results from a statistical parameter study on
this specic bridge are exemplied in Fig. 4 and found in Wiberg et al. (2009) where the
factorial experimentation technique was used. The type of information encountered in Fig. 4
is considered extremely important and valuable. Thus, the statistical method of factorial
experimentation, in contrast to ordinary parameter sensitivity analyzes where parameters
are varied one at a time, captures the synergy effects. Consequently, a modeling parameter
can be signicant even though it individually is found insignicant and an optimal amount
of updating parameters to include in the optimization can therefore be identied. This
leads to shorter solution times as the optimization algorithm itself is iterative and becomes

208

Infrastructure Design, Signalling and Security

in Railway
Will-be-set-by-IN-TECH

Normalized mass density (p2,j /p2,0 )

0.95

0.9

0.85

0.8

0.75

1.05

1.1

1.15

1.2

1.25

Normalized modulus of elasticity (p1,j /p1,0 )

Fig. 2. Sequence of updating parameter points in the normalized updating parameter space.
The contours represent the magnitude of the response objective function.
very time-consuming for large dynamic simulations with inappropriately many updating
parameters causing unnecessarily many iterations.
A large-scale simplied bridge FE model in the Solvia FE system was veried as reliable for
global analysis and manually tuned concerning an equivalent modulus of elasticity and mass
density by using operational modal analysis and static load tests (Wiberg, 2006; 2007; 2009;
Wiberg & Karoumi, 2009). This 3D modied Bernoulli-Euler beam model was therefore used
as a basis for the present study.
4.1 The bridge

The eleven span New rsta Bridge of approximately 815 m has main spans of 78 m. Elevation
and plan view with the monitoring sections is presented in Fig. 5. The cross section of the
bridge is complex with a parabolic height variation. To make the slender design possible,
the sections were extensively reinforced and prestressed. To use a simplied inclusion of
tendons in the model, they were concentrated to the center of gravity along the bridge and not
distributed within the cross section. Further, the UIC 60 rails of the double track bridge were
modeled with rectangular beam elements, giving cross sectional properties corresponding to
the actual rail cross section. The element length was at most 0.5 m (both for bridge and rail
elements) and each rail node was connected to the corresponding bridge node with a rigid
link. The FE model of the bridge consisted of linear, elastic and isotropic materials. Support
conditions were assumed according to bridge design documents, but also veried as reliable
in previous work (Wiberg, 2009). Fig. 6 represents the boundary conditions, where the legend
F indicates that the bridge deck and pier are xed in translation movement. The main girder

Optimized Model Updating of a Railway Bridge

for
Increased
Accuracy
in Moving
Load
Simulations
Optimized
Model Updating
of a Railway Bridge
for Increased
Accuracy
in Moving Load Simulations

2097

Fig. 3. The spectacular New rsta Bridge in Stockholm.

was released for longitudinal movements at other supports. The totally 24 Swiss mageba pot
bearings had the function of hinges for free rotation about the transverse bridge deck axis.
Torsional rotation of the bridge over piers was constrained to follow the bending of the oval
piers in their stiff direction. Bridge deck rotation about the vertical axis over each pier was
prevented due to the support consisting of two bearings in the transverse direction. The lower
basis of all piers were assumed to be clamped but in reality the foundation blocks of P8 and
P9 rested on concrete lled steel piles. A thorough description of the bridge with all sensor
locations is found in Wiberg (2006).
4.2 The loadings
4.2.1 General

In this study the FE model was updated using tests with Swedish Rc6 locomotives. The
updated model was then used to study the effect of passing high speed trains (HSLM) as
specied in design codes.
4.2.2 The Rc6 locomotive

The updating process considered a eld test with two Swedish Rc6 locomotives positioned
at different locations in a static load test according to Wiberg (2009) and, in a dynamic load
test, one locomotive crossing the bridge at different speeds. The locomotive is visualized
in Fig. 7(a). Each of the four axles was represented as a point load of 19.5 tons and a

210

Infrastructure Design, Signalling and Security

in Railway
Will-be-set-by-IN-TECH

0.1

0.09
0.08

BC

|Estimated effect|

0.07
0.06

B
0.05
0.04

0.03
0.02
0.01
0

0.5

1.5

2.5

Positive normal scores

Fig. 4. Half normal plot with absolute values of estimated FE modeling parameter effect on
vertical bridge deck acceleration. Factor denition: (A) damping ratio, (B) tendons and (C)
vehicle speed.

NL

P1

P2

P3

P4

P5

P6

P7

P8

P9

SL

P10

( )
()
()

()

()

()

()

()

()

()

()

()
()

()

()

( )

()
()

NL

( )

( )

( )

( )

( )

( )

( )

( )

( )

( )

( )

( )

( )

( )

( )

()

P1
P2

P3

P4

P5

P6

P7

P9

P8

432

P10

SL

CBA
78 m
Fig. 5. Elevation and plan view of the New rsta Bridge. Between the northern and southern
abutment, NL and SL, respectively, the 10 piers are designated P1 to P10. Strain and
acceleration sensor sections are marked A, B and C. Section 1, 2, 3 and 4 were used for
vertical deection measurements.

Optimized Model Updating of a Railway Bridge

for
Increased
Accuracy
in Moving
Load
Simulations
Optimized
Model Updating
of a Railway Bridge
for Increased
Accuracy
in Moving Load Simulations
F

Pier NL P1
Span
1

P2

P3

P4

P5

2119

P6

P7

9 x 78

48.15

P8

P9

10

P10

11

SL

65

Fig. 6. Boundary conditions assigned to the bridge model.

(a) Rc6 locomotive.

(b) HSLM-A congurations.

Fig. 7. Representation of vehicle loads.

representative distribution in the moving load case using amplitude functions. The internal
distance between the axles in a bogie was 2.7 m and the bogie center to center distance was
7.7 m.
4.2.3 The HSLM-A congurations

The high speed load models, intended for railway bridge simulations above 200 km/h, were
adopted here to subject the optimized FE model for more extreme dynamics than the current
maximum speed limit of 140 km/h across the bridge. Fig. 7(b) is used in Eurocode to represent
the HSLM-A congurations (CEN, 2002). Appendix 5.1 species the varying number of
intermediate coaches, coach lengths, bogie axle spacings and point forces between the 10
different HSLM-A congurations.
4.3 Model optimization

In dynamic modeling, the dynamic characteristics of the bridge are of main concern,
i.e. natural frequencies, mode shapes and damping ratios, why those should be focused on in
detail. For that purpose, the objective function of Zrate & Caicedo (2008) would be optimal:
  



   f mi f i p j 

n

= 1 MAC mi , i p j
+ 
(9)

f mi


i =1

212

10

Infrastructure Design, Signalling and Security

in Railway
Will-be-set-by-IN-TECH

However, as the modal assurance criterion (MAC) values were unavailable the objective
function in Eq. 6 was considered instead. No focuses was placed in evaluating different
objective functions and the inuence of variations in standard deviations (weight).
All 6 modeling parameters in Wiberg et al. (2009), i.e. damping ratios, modulus of elasticity,
rails, tendons, vehicle speed and mass density, were signicantly inuencing typical dynamic
load effects and the dynamic properties of the bridge. Therefore, they were all included in
the optimization process. Damping and vehicle speed were obviously only considered in the
dynamic analyzes. The importance of rails and tendons was analyzed based on their inclusion
or exclusion in the FE model. The material properties of the rails and tendons were assumed
as known. The prestress effect was included in a geometrically nonlinear large displacement
analysis preceding each linear FE model restart execution for static and dynamic load effects.
Modal damping was used in mode superposition of the moving load simulations. Thus,
in the calculation of the mode shapes and frequencies, the effects of the axial compressive
load on the modes and frequencies are included since the numerical calculation is based on
the conguration at the start of the restart analysis. The linear mode superposition analysis
that followed were then based on these mode shapes and frequencies, resulting in a dynamic
response relative the prestressed bridge conguration.
In Table 1 the frequency columns from left to right are results from: an initial and manually
tuned FE model in Wiberg (2006) but without rails and tendons, fast Fourier transforms
of acceleration signals in Wiberg (2006), enhanced frequency domain decompositions
from operational modal analysis in Wiberg & Karoumi (2009) and stochastic subspace
identications from operational modal analysis in Wiberg (2007). A dash only (see EFDD
in Table 1) means undetected, while the dashes with parentheses (see SSI-PC in Table 1)
stands for detected but unstable in the stabilization diagram as a result of operational modal
analysis in Wiberg (2007). As can be seen from Table 1, already a simple manual updating
resulted in a correct estimation of natural frequencies. However, the obtained high equivalent
modulus of elasticity was questioned and therefore object of optimized updating. In addition,
the initial manually tuned FE model used boundary conditions proven to be somewhat
inaccurate according to Wiberg (2009). Henceforth, the notations differ between initial,
FEinitial , initial manually tuned, FEtuned1 , nal manually tuned, FEtuned2 , and optimized FE
model, FEoptimized .
The optimization process was performed in the following two steps, based on the nal
manually tuned FE model:
1. Identication of updated material parameters (modulus of elasticity and mass density)
from static load tests for strain and deection residuals, together with frequency residuals.
2. Identication of modal damping ratio from dynamic load tests with maximum and root
mean square (rms) acceleration residuals.
The frequency residuals were based on FE solutions using the subspace iteration method
carried out for the structure linearized at the start of the restart analysis after prestress. The
frequencies f 1 and f 5 at 1.3 Hz and 3.55 Hz were used, see Table 1. Strain residuals were based
on axial beam stresses. The FE code can be modied to include the constrained warping effect
on stresses. This was not considered here as it is based on torsional curvatures, manually
given from separate analyzes. To include them as updating parameters was tested but made

Optimized Model Updating of a Railway Bridge

for
Increased
Accuracy
in Moving
Load
Simulations
Optimized
Model Updating
of a Railway Bridge
for Increased
Accuracy
in Moving Load Simulations

No.

Type

213
11

Predicted
FEinitial FEatuned1

Measured
FFTa

EFDDb SSI-PCc

1 bending

1.03

1.30

1.30

1.29

(-)

2 coupled

1.13

1.44

1.45

1.45

(-)

3 coupled

1.91

2.45

2.43

2.43

2.43

4 coupled

2.53

3.26

3.26

3.24

5 coupled

2.78

3.55

3.55

3.50

3.55

a Wiberg (2006)
b
c

Wiberg & Karoumi (2009)

Wiberg (2007)

Table 1. Natural frequencies (Hz) from measured acceleration signals and for an initial and
manually tuned FE model.
the optimizing algorithm unstable. However, the effect of unconstrained warping is relatively
small in this case, see Wiberg (2009).
Frequency residuals only, strain residuals only, deection residuals only, acceleration residuals
only and their combinations were studied independently according to the principle:

Ej j

p1 =
,
E0 0
(10)

z = (f , f , ,..., ,v ,...,v )

20
1
1 5 1
51 1

p2 =
0

z = (a , . . . , a )

2
3
1

(11)

with the indexes 1 and 2 on p and z corresponding to the two different optimization steps.
Thus, Eq. 10 was used with 2 frequencies, 51 strains and 20 deections all together included,
but also for frequencies, strains and deections separately. Unfortunately, none of the installed
axial strain transducers was active during the dynamic load testing. Therefore, according
to Eq. 11, modal damping was tuned against acceleration residuals only, based on the three
monitoring sections of Fig. 5. The location of all sensors within the monitoring sections were
considered redundant information here but is to be found in for example Wiberg (2006).
An educated guess of the initial vector of updating parameters was necessary. Based on the
results of Wiberg (2006) and Wiberg (2009), manually tuned start values of E0 = 55 GPa and
0 = 2500 kg/m3 were used for modulus of elasticity and mass density, respectively, and
a constant damping ratio of 0 = 0.01 was assigned to all modes and used in the mode
superposition procedure. This corresponds to the modal damping ratio found for prestressed
bridges in design codes (see CEN (2002)).
All load testing used Rc6 locomotives and is described in detail in Wiberg (2009). Mode
superposition was used to calculate the responses of the simulated Rc6 locomotive crossings
with a time step of t = 5 ms. The initial implicit time integration in the geometrically

214

12

Infrastructure Design, Signalling and Security

in Railway
Will-be-set-by-IN-TECH

nonlinear axial load case operated on the basic equation of motion using the BFGS matrix
update method algorithm (SOLVIA Finite Element System, 2007).
Due to the restrictions of the beam FE model, i.e. using a beam element node to compare
accelerations at the locations of accelerometers in the cross section, these signals were not
comparable in the rst place. Measured and modeled acceleration signals from the crossing
Rc6 locomotive were therefore rst low-pass ltered with a Butterworth lter at 5 Hz and then
smoothed, using Savitzky-Golay ltering. Generally, a FE model is not optimal in reproducing
high frequency content, especially not in representing a complex structure with a simple beam
as is the case here. The low-pass lter at 5 Hz for reasonable acceleration comparison was
therefore motivated. A Savitzky-Golay smoothing lter was chosen as they typically are used
for a noisy signal whose frequency span (without noise) is large and they are considered
optimal in the sense that they minimize the least-squares error in tting a polynomial to
frames of noisy data (The MathWorks, Inc., 2009).
To remove the rotational accelerations due to torsion, the measured signals from two
accelerometers, 1 and 2, at the same distance from the center of gravity but on opposite sides
were combined to compute the vertical translation acceleration only according to:
ab =

a1 + a2
2

(12)

In this way, assuming an innitely stiff cross section, predicted vertical node accelerations
were directly comparable with the measured bending acceleration ab in monitoring section C,
see Fig. 5. However, with only one accelerometer in monitoring section B, the predicted total
vertical acceleration atot for comparison with measurements was calculated from beam node
accelerations as:
atot = ab + L ar
(13)
with ab the bending acceleration at center of gravity, ar the rotational acceleration around the
axial beam axis through center of gravity and L the distance perpendicular to the vertical axis,
from center of gravity to the measuring position.
4.4 Relevant moving load simulations

After optimization, resulting in updated modulus of elasticity, mass density and modal
damping ration, the FE model was nally subjected to all ten HSLM-A congurations for
more reliable moving load simulations. These load congurations crossed the bridge as point
loads with corresponding amplitude functions on the outermost track solely, moving from
NL to SL, at speeds between 100 and 250 km/h. Typical results of interest were bridge deck
deection, acceleration and bending moment. These were all estimated and evaluated in more
detail for the most critical HSLM congurations.

5. Results and discussion

5.1 Model optimization

The optimization algorithm operated efciently but it was found unattainable to include all
measurements in the response vector simultaneously. This was basically since the large-scale
simplied model is incapable of predicting results based on all monitoring sections in Fig. 5

Optimized Model Updating of a Railway Bridge

for
Increased
Accuracy
in Moving
Load
Simulations
Optimized
Model Updating
of a Railway Bridge
for Increased
Accuracy
in Moving Load Simulations

Parameter

FEinit

Modulus of elasticity (GPa)

Mass density

(kg/m3 )

Modal damping ratio (%)

215
13

FEtuned1 FEtuned2 FEoptimized

36

55

55

60

2500

2400

2500

2700

1.0

0.92;2.10

Rail

excluded excluded included included

Tendons

excluded excluded included included

Boundary condition

state 1

state 1

state 2

state 2

Table 2. Differences between updating parameters of initial, manually tuned and optimized
FE model. Modal damping ratios for the optimized FE model corresponds to rms and
maximum acceleration, respectively.
with its restrictions as a beam model and the relatively few number of updating parameters
chosen for the FE model. In addition, some sensors and deection measurements resulted
in result distortion, probably due to a difference in assumed sensor position or other sources
of errors. Frequencies and load effects are also non stationary due to time dependent effects,
not considered in the FE model and therefore inuencing the optimization accuracy since the
measurements took place at different occasions.
The mean result of adding the updating parameter vector from the frequency optimization
procedure separately, the deection optimization procedure separately and the strain
optimization procedure separately, constituted the updating parameter values of modulus of
elasticity and mass density in the optimized FE model. Consequently, these three different
objective function contributors, separately gave different optimized updating parameter
values of modulus of elasticity and mass density. Notice therefore, if the intention for example
is superior dynamic characteristics, it would have been better to concentrate on the frequency
residuals solely, complemented with mode shape information. However, the intention here
was again to implement the algorithm and investigate the possibilities with a simplied FE
model.
The results of the optimized updating parameters are summarized in Table 2 as parameter
value or structural condition before and after optimization. Obviously, the optimized
values of modulus of elasticity and mass density had a negligible inuence concerning the
frequencies. This was reasonable as Table 1 already indicated good agreement in frequencies
between measurements and manually tuned FE model. Therefore, the bending stiffness to
mass ratio for the nal manually tuned FE model at iteration start (55/2500) was similar to
the ratio of the converged optimized FE model at (60/2700) in the typical iteration sequence
of Fig. 8. Still, frequencies were included in the objective function to account for the change in
structural system concerning the inclusion of rails and tendons.
The increased values in modulus of elasticity and mass density were believed to have a larger
effect in the optimization based on static strains and deections. Table 3 summarizes results
for static strains and deections as initially predicted, predicted with the optimized FE model
and measured. Observe that strain results are exemplied with the values of one single strain
transducer and its position in that monitoring section (A, B or C) according to Fig. 5 for one
of the six different static load test congurations in Wiberg (2009). Deections were presented

216

Infrastructure Design, Signalling and Security

in Railway
Will-be-set-by-IN-TECH

14

0.35
E

1.3

0.3

1.25

0.25

1.2

0.2

1.15

0.15

1.1

0.1

1.05

0.05

1
0.95

Objective function value

Normalized updating parameters

1.35

10

15

20

25

30

35

-0.05
40

Iteration
Fig. 8. Typical iteration sequence for optimization according to frequency residuals
separately.
for the largest residual between initial FE model prediction and measured mean deection in
the point of interest (1, 2, 3 or 4) in Fig. 5. Notice that the initial FE model gave results on the
safe side in all cases, while the updated FE model tended to be too optimistic, i.e. gave smaller
load effect values than the measured ones.
Results for accelerations, based on the optimized values of modal damping ratios in Table 2,
are presented in Table 4 for both measured, maximum and rms predicted acceleration. The
corresponding acceleration signals are shown in Fig. 9. These signals represent a complete
Rc6 locomotive crossing from SL to NL, traveling in outer curve at a speed of 120 km/h.
Observe that the measured acceleration in the top of Fig. 9 is based on the signal manipulation
according to Eq. 12. However, the way the measured signal looks may indicate that it still has
some torsional acceleration included, i.e. that the beam element assumption of a rigid cross
section with negligible in-plane stresses may not be completely satisfactory for the studied
section. To be correct, a volume or shell element model of part of the bridge is necessary to
include typical local ange modes, probably inuencing the edge beam but are completely
missed with the stiff cross section of the beam element. Consequently, it seems reasonable
to base an optimized damping ratio on maximum acceleration for comparison with design
codes, as those specify requirements on the maximum acceleration. However, in this case the
predicted maximum acceleration may be too low due to the discretization and solution errors.
Even if the optimized model did not reproduce measured responses with highest accuracy
in all cases it was considered reliable for the type of dynamic analysis assigned in design
codes. At the same time, this is likely to be as far as one can get with a simplied FE
model. It was not the intention with the simplied model in the rst place to most accurately

Optimized Model Updating of a Railway Bridge

for
Increased
Accuracy
in Moving
Load
Simulations
Optimized
Model Updating
of a Railway Bridge
for Increased
Accuracy
in Moving Load Simulations

Static load effect

217
15

FEAinitial FEAoptimized Measured

A (106 )

37.9

22.7

23.2

Strain B (106 )

2.8

1.7

1.8

C (106 )

16.9

10.2

11.1

Deection 1 (mm)

4.3

2.6

3.0

Deection 2 (mm)

5.8

3.5

4.0

Deection 3 (mm)

9.5

5.7

6.5

Deection 4 (mm)

5.8

3.5

3.5

Strain
Strain

Table 3. Modeled and measured static strains and deections.

FEAinitial FEAinitial FEAoptimized FEAoptimized Measured Measured

max

rms

max

rms

max

rms

0.01630

0.00387

0.01195

0.00303

0.01195

0.00303

Acceleration/ms2

Table 4. Modeled and measured vertical accelerations (m/s2 ) in the center of gravity of
monitoring section C, ltered with a low pass lter at 5 Hz.

0.010
0.005
0
-0.005
-0.010
-0.015
0.010
0.005
0
-0.005
-0.010
-0.015
0.010
0.005
0
-0.005
-0.010
-0.015

measured
0

15

10

20

25

max
0

10

15

20

25

rms
0

10

15

20

25

Time/s
Fig. 9. Measured acceleration signal together with maximum and rms acceleration of the
optimized FE model. All signals are ltered with a low pass lter at 5 Hz.

218

Infrastructure Design, Signalling and Security

in Railway
Will-be-set-by-IN-TECH

16

19

4.8

0.4
moment

4.7

0.3

18

0.2

4.6
4.5
4.4

Deection/mm

Moment/MNm

deection
18.5

Acceleration/ms2

acceleration

4.3
4.2

17.5
100

150

200

0.1
250

4.1

Speed/kmh1
Fig. 10. Envelopes for bridge deck bending moment, vertical acceleration and deection
among all ten HSLM-A congurations with a speed increment of 10 km/h.
predict measurements. The main objective was to implement the optimization methodology
and procedure in combination with statistical techniques to identify individually and jointly
inuencing FE modeling parameters to perform time efcient and relevant moving load
simulations. In addition, the number and choice of updating parameters and the content
of the objective function inuence the possibilities of the adopted model.
Based on the optimized FE model, moving load simulations were performed with the ten
HSLM-A train loads for increased accuracy in dynamic load effect predictions. Fig. 10
illustrates the envelope results for bridge deck bending moment, vertical acceleration and
vertical deection with a speed increment of 10 km/h between 100 km/h and 250 km/h. The
most critical congurations were identied in Fig. 11 and found to be HSLM-A2, HSLM-A7
and HSLM-A10, respectively. For those three train loads, new results were presented in Fig. 12
for a speed increment of 5 km/h. Finally, the identied critical speeds in Fig. 12 were used to
predict the load effects, at the critical location found in Fig. 13, from complete train crossings
in time domain. The critical speeds corresponded to 165 km/h, 240 km/h and 180 km/h for
HSLM-A2, HSLM-A7 and HSLM-A10, respectievely.
Moments and accelerations showed relatively small differences compared to results using the
initial FE model. However, deections were considerably smaller compared to the results of
the initial FE model according to Fig. 14. The optimized FE model corresponded to a dynamic
amplication factor of 1.15 in deection, compared to 1.09 for the initial FE model. Observe
that these results are given for the node with maximum vertical acceleration. Obviously, the
dynamic amplication can be larger elsewhere.

Optimized Model Updating of a Railway Bridge

for
Increased
Accuracy
in Moving
Load
Simulations
Optimized
Model Updating
of a Railway Bridge
for Increased
Accuracy
in Moving Load Simulations

219
17

10
9

HSLM-A conguration

8
7
6
5
4
3
2
1
100

150

250

200

Speed/kmh1
Fig. 11. Identication of the HSLM-A congurations corresponding to the envelope results.
Bending moment is symbolized with (), vertical acceleration with () and vertical deection
with ().
19

0.4

4.7

moment

4.6

18.5

0.3

18

0.2

4.5
4.4
4.3
4.2

Deection/mm

Moment/MNm

deection

Acceleration/ms2

acceleration

4.1
4
17.5
100

150

200

0.1
250

3.9

Speed/kmh1
Fig. 12. The three most critical HSLM-A congurations, corresponding to HSLM-A2,
HSLM-A7 and HSLM-A10, respectively, for bridge deck bending moment, vertical
acceleration and deection. A speed increment of 5 km/h was used.

220

Infrastructure Design, Signalling and Security

in Railway
Will-be-set-by-IN-TECH

18

NL
P1
P2
P3

Location

P4
P5
P6
P7
P8
P9
P10
SL
100

200

150

250

Speed/kmh1
Fig. 13. Identication of bridge deck location of maximum bending moment, vertical
acceleration and deection of HSLM-A2, HSLM-A7 and HSLM-A10. Bending moment is
symbolized with (), vertical acceleration with () and vertical deection with ().
3
FEAoptimized

Deection/mm

FEAinitial

-1

-2

-3

10

15

20

25

Time/s
Fig. 14. Vertical deection at the most critical node, i.e. midspan P4-P5 , for HSLM-A10 at
180 km/h.

Optimized Model Updating of a Railway Bridge

for
Increased
Accuracy
in Moving
Load
Simulations
Optimized
Model Updating
of a Railway Bridge
for Increased
Accuracy
in Moving Load Simulations

221
19

6. Conclusions
Railway bridge design codes require detailed analyzes of passing trains at high speeds. Such
analyzes are very time consuming as it involves many simulations using different train
congurations passing at different speeds. Thus, simplied bridge and train models are
chosen for time efcient simulations.
In this chapter a large-scale simplied railway bridge FE model for time efcient moving
load simulations was optimized. The optimization uses natural frequencies from operational
modal analysis and load effects from load testing, based on previously identied updating
parameters. The optimization algorithm was easily implemented for FE model updating
and was shown to operate efciently in a benchmark test and for the specic bridge. The
importance and the potential of optimization procedures in FE modeling for increased
accuracy in moving load simulations is highlighted. Further, it was generally concluded that:
Based on individually and jointly inuencing factors, the optimized FE model predicted
static and dynamic load effects more accurately.
Even though the updated FE model predicted too optimistic load effects, i.e. not being
on the safe side, the updated model resulted in larger dynamic amplication factor in
comparison with the initial model.
The optimized FE model predicted static load effects most accurately. The natural
frequencies were already accurately calculated for the manually tuned FE model.
The previously questioned high-valued equivalent modulus of elasticity was proven to be
reasonable.
Reliable modal damping ratios of 0.92% and 2.10%, for rms and maximum bridge deck
acceleration, respectively, were predicted.
Even if the simplied FE model in some sense is insufcient in load effect predictions, it
stands for better predictions when optimization is used.
More measured dynamic characteristics (natural frequencies, mode shapes and modal
damping ratios), complementing updating parameters and a more detailed FE model are
necessary for dynamic load effect predictions with highest accuracy.
To conclude, the author strongly recommend the working procedure of (1) manual FE model
tuning, (2) updating parameter identication, and (3) nal optimization focused on the result
of interest and therefore based on a suitable objective function with that intention.
Finally, this chapter highlights the potential of the adopted optimization procedure. This
methodology can not only be used for model updating based on measurements, but also be
introduced and customized to work already in the bridge design phase for better (based on
design code requirements) and more cost-effective designs.

222

Infrastructure Design, Signalling and Security

in Railway
Will-be-set-by-IN-TECH

20

7. Appendix
A. Benchmark input

The following input are used in the Benchmark test:

Masses:

m1 = 1000 kg
m2 = 20000 kg

Initial velocity:

v = 30 m/s

Initial displacement of m2 :

= 0.05 m

Stiffness:

k = 4 106 N/m

Damping:

c = 1 105 Ns/m

Time step:

t = 0.5 ms

Beam section properties:

A = 0.06128 m2
I = 0.01573 m4

Material properties:

E = 210 GPa
= 0.3
= 16000 kg/m3

B. HSLM-A

Number of
Bogie axle
Point force
Universal
Coach length
intermediate coaches
spacing
Train
D (m)
P (kN)
N
d (m)
A1

18

18

2.0

170

A2

17

19

3.5

200

A3

16

20

2.0

180

A4

15

21

3.0

190

A5

14

22

2.0

170

A6

13

23

2.0

180

A7

13

24

2.0

190

A8

12

25

2.5

190

A9

11

26

2.0

210

A10

11

27

2.0

210

Optimized Model Updating of a Railway Bridge

for
Increased
Accuracy
in Moving
Load
Simulations
Optimized
Model Updating
of a Railway Bridge
for Increased
Accuracy
in Moving Load Simulations

223
21

C. Notation

The following symbols are used in this chapter

a

acceleration (m/s2 );

cross section area (m2 );

modulus of elasticity (Pa);

natural frequency (Hz);

mode number;

response vector length;

elements of p;

updating parameter vector;

vertical deection (m);

elements of W;

weighting matrix;

response vector;

axial strain;

equivalent modal critical damping ratio;

scalar objective function value;

mass density (kg/m3 );

standard deviation;

natural vibration mode;

circular frequency (rad/s);

8. References
CEN (2002). Eurocode 1: Actions on structures Part 2: Trafc loads on bridges (prEN 1991-2).
Coleman, T. F. & Zhang, Y. (2009). Optimization ToolboxTM 4 Users Guide, The MathWorks, Inc.
Friswell, M. I. & Mottershead, J. E. (1995). Finite Element Model Updating in Structural Dynamics,
Springer.
Jaishi, B. & Ren, W. X. (2005). Structural nite element model updating using ambient
vibration test results, J. Struct. Engrg. 131(4): 617628.
Jonsson, F. & Johnson, D. (2007). Finite Element Model Updating of the New Svinesund
Bridge. Manual Model Renement with Non-Linear Optimization, Msc thesis, Chalmers
University of Technology, Sweden.
Lagarias, J. C., Reeds, J. A., Wright, M. H. & Wright, P. E. (1998). Convergence properties of
the nelder-mead simplex method in low dimensions, SIAM Journal of Optimization
9(1): 112147.
Mottershead, J. E. & Friswell, M. I. (1993). Model updating in structural dynamics: A survey,
Journal of Sound and Vibration 167(2): 347375.

224

22

Infrastructure Design, Signalling and Security

in Railway
Will-be-set-by-IN-TECH

Schlune, H., Plos, M. & Gylltoft, K. (2009). Improved bridge evaluation through nite element
model updating using static and dynamic measurements, Engineering Structures
31(7): 14771485.
SOLVIA Finite Element System (2007). Users Manual Version 03.
The MathWorks, Inc. (2009). Signal Processing ToolboxTM 6 Users Guide.
Wiberg, J. (2006). Bridge Monitoring to Allow for Reliable Dynamic FE Modelling. A Case Study of
the New rsta Railway Bridge, Lic thesis, Royal Institute of Technology, Sweden.
Wiberg, J. (2007). Railway bridge dynamic characteristics from output only signal analysis,
Proc., Int. Conf. on Experimental Vibration Analysis for Civil Engineering Structures
(EVACES07), Porto, Portugal.
Wiberg, J. (2009). An equivalent modulus of elasticity approach for simplied modelling and
analysis of a complex prestressed railway bridge, Advances in Structural Engineering .
Submitted.
Wiberg, J. & Karoumi, R. (2009). Monitoring dynamic behaviour of a long-span railway bridge,
Structure and Infrastructure Engineering 5(5): 419433.
Wiberg, J., Karoumi, R. & Pacoste, C. (2009). Statistical screening of individual and joint effect
of several modeling factors on the dynamic fe response of a railway bridge, Structural
Control and Health Monitoring . Submitted.
Willis (1850). Deexion of railway bridges under the passage of heavy bodies, Journal of the
Franklin Institute 49(1): 78.
Zrate, B. A. & Caicedo, J. M. (2008). Finite element model updating: Multiple alternatives,
Engineering Structures 30(12): 37243730.

9
Controlling and Simulation of Stray Currents in
DC Railway by Considering the Effects of
Collection Mats
Mohammad Ali Sandidzadeh and Amin Shafipour

School of Railway Engineering, Iran University of Science and Technology, Tehran,

Iran
1. Introduction

Urban rail transit systems are mostly electrically DC type. Usually in these systems for
reducing the costs, running rails are used as the return current paths. Because of the electrical
resistance of rails against the flow of traction currents and also rail to ground conductivity
(despite rail-to-ground insulations), parts of the return current that flow from trains to traction
substations leak to the ground. These leaking currents are called stray currents (as shown in
Fig. 1). Stray currents can enter their neighboring metallic infrastructures and, as a result of
anodic interactions, cause electrochemical corrosions in their leakage path.
The amount of electrochemical mass reduction as a result of anodic interaction due to flow
of current i(t) from a metal to an electrolytic environment can be gained as below
t2

M C i(t )d(t )

(1)

t1

in which C is the electrochemical coefficient and is based on the type of the metal,
electrolyte, and chemical calculations. For example, C is 9.11 KgA-1Year-1 for iron. It means
that a current of 1 ampere can oxidize 9.11 kilograms of iron per year. This can reduce the
safety and the life time of structures and infrastructures in tunnels. The corrosions caused by
stray currents yield a total loss of $500 million each year to the American railway system [1].
When a train is running, especially during its accelerating time, the traction supply current
can sometimes reach 6000 amperes. Since the resistance of rails is between 15 to 20 mKm-1,
the return current can face a voltage drop of up to 120 VKm-1. This voltage, due to
inadequate insulations of rails and their underlying structures, allows the current to leak to
the ground. Stray current control is usually done via improvements performed to
transportation systems or the neighboring ground structures. Increasing the resistance
between rail and ground is a very effective method in reducing stray currents. The increase
in resistance reduces the tendency of return current to flow in any path other than the rails.
Other methods for avoiding corrosions include cathodic protection, rail insulation, traction
voltage increase, employment of proper rails that have very low electrical resistance and
usage of proper grounding systems in traction substations.

226

Infrastructure Design, Signalling and Security in Railway

Fig. 1. Exposure of Stray Current in DC Railway Systems.

Despite application of the mentioned methods for controlling stray currents, some portion
of the traction current would still flow through the ground instead of the rails to reach the
negative terminal of the substation. In this paper, by discussing the ways for using stray
current collection mat and grounding system via simulations, the effects of collector cables
and stray current collection mats below the rails are described.
Many papers, published between 1995 and 2005, discussed and examined various
grounding systems in railway transportation. In addition, general techniques for reducing
voltage and stray current levels were discussed in these papers. "Paul" specifically examined
grounding in power grid systems of subways [2]. "Goodman", for the first time, calculated
the rail voltage and stray current profiles. His calculations were not computer aided and
instead based on simple hypothesis [3]. Later, "Case" used model to investigate a diode
grounding system and compared it with EN50122-2 standard [4]. "Lee" used the floating
models instead of "Case"s proposed model [5, 6]. Although Lees model benefited from
high accuracy, it showed no significant different results. In the mentioned papers, the effects
of grounding systems on voltage and stray current profiles were investigated. Despite
mentioning corrosion in the previous papers, it was Cotton who, for the first time,
discussed the influence of soil structures and stray current collection mats on corrosion
performance of metallic infrastructures. The outcome of his survey was software that
analyzed and studied influences of soil and current collection mats on corrosion of metallic
infrastructures [7].
Cotton discussed the importance of stray current reduction in DC rail transit systems and
proposed usage of stray current collection mats. Also, he talked about the influences of his
proposed systems performance and resistivity of soil on stray currents and the resulting
corrosions [8].
"Lee" used the floating model to simulate and investigate stray currents and their effects on
underground structures. He used a coefficient of 0.1V voltage increase of these structures as
a high stray current leakage in these systems. In the end, he proposed some methods for
reducing stray currents by improving railway systems and the neighboring structures [9].
In this research, after a brief introduction of Tehran Metro line 4, the present methods used
for simulation and analysis of stray currents are investigated and later stray current and
touch potentials are studied by simulating the current path between two substations of line

Controlling and Simulation of Stray Currents in

DC Railway by Considering the Effects of Collection Mats

227

4. The simulations are performed for various grounding scenarios of traction substations
and the influence of stray current collection mats, under various scenarios, and effective
parameters on performance improvement of the collection system, in the simulated line, are
discussed. In the end the stray current and touch potential of rails under presence and
absence of the stray current collection mats, in the worst scenarios, and movement of four
trains from three stations, with the middle station not having a traction substation, are
investigated.

Fig. 2. Tehran Metro line 4 plan

2. An introduvtion of Tehran metro line 4

Tehran metro line 4 is the forth subway line in Tehran with a length of 25 Km and comprises
22 stations. It is stretched from the west to the east part of the city and is equipped with 18
traction substations. The details of the substations are shown in tables 1 and 2. The total trip
time in line 4 is 42 minutes, which includes 25 seconds of dwell time in each station. At the
most crowded hours, the train headways reach 2 minute cycles. Fig. 2 shows the line 4 plan.
Each traction substation is supplied with two rectifier transformers that have nominal
powers of 2.5 or 3.3 MW. The required power is supplied directly by 63 KV power grid of
Tehran Regional Electric Co. in B4, H4 and R4 substations, and is then stepped down to 20
kV via 32 (63 to 20kV) transformers (Fig. 3). After that, it is distributed in LPSs (Lighting
and Power Substations) and RSs (Rectifier Substations) by means of separate 20 kV rings.

Fig. 3. General diagram of Tehran Metro Line 4 power system.

For a 750V power supply, under full load and setting of 6%, the substation output voltage
has a voltage drop of 45V. Since the train requires high power amounts during its
acceleration, the RS should be able to supply the extra required load. Based on class VI in

228

Infrastructure Design, Signalling and Security in Railway

compliance with IEC146 standard, the RS should be capable of a constant load supply of
100%, a nominal load supply of 150% for a period of 2 hours and a nominal load supply of
300% for a period of 1 minute. Based on its internal resistance, at 300% overload times, the
voltage drop in the RS would be around 135V.

Fig. 4. The order of rolling stock cars

The trains comprise 8 cars and weigh around 274 tons without passengers and 379 tons in
normal transit conditions (Fig. 4). The traction power is supplied from 750V voltage source
and from the third rail. Each train includes 16200kW traction motors. The maximum train
speed and acceleration is 80 kmh-1 and 0.2 ms-2, respectively. The rolling resistance equation
(i.e., the Davis formula) is 1.57+0.00106V2 for the traction mode and 1.97+0.0025V +
0.00106V2 for the breaking mode. Also, the internal auxiliary power consumption of each
train is 125 kW.
Item

Station Name

1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22

A4-6
A4-5
A4-4
A4-3
A4-2
A4
B4
C4
D4-H2
E4
F4
I3G'4
I4
K1J4
P2K4
M4
N4
O4
P4
Q4
R4
S4

Table 1. Characteristics of line 4 stations

Begin

Station Characteristics
Center

End

-3+645
-1+611
-0+15
1+661
2+811
3+971
4+926
5+645
7+064
8+153
9+427
10+716
11+310
12+461
13+773
14+537
15+593
16+489
17+443
18+793
20+661

-3+566
-1+532
0+063
1+740
2+890
4+050
5+005
5+724
7+143
8+232
9+506
10+795
11+389
12+540
13+852
14+616
15+671
16+568
17+522
18+872
20+740

-3+487
-1+453
0+142
1+819
2+969
4+129
5+084
5+803
7+222
8+311
9+585
10+874
11+468
12+619
13+931
14+695
15+750
16+647
17+601
18+951
20+819

Controlling and Simulation of Stray Currents in

DC Railway by Considering the Effects of Collection Mats

Item

1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22

Station
Name
A4-6
A4-5
A4-4
A4-3
A4-2
A4
B4
C4
D4-H2
E4
F4
I3G'4
I4
K1J4
P2K4
M4
N4
O4
P4
Q4
R4
S4

229

Type of Substation

Capacity

RS
RS
RS
RS
RS
RS
RS
RIC
RS
RS
RS
RS
RS
RIC
RS
RS
RIC
RS
RIC
RS
RS
RS

23300
22500
23300
22500
22500
22500
22500
22500
22500
22500
23300
23300
23300
23300
23300
22500
23300

Table 2. Characteristics of line 4 substations and their capacities

3. Stray current modeling

For simulation of a DC traction network and analysis of stray currents, two different
methods can be used. The first method is based on the floating model and distributed
elements [5, 6]. In this method, distributed elements like rail conductance and resistance per
unit length are used for the calculations, and by utilizing the floating equations, the
equations for stray current and touch voltages of rails are determined. Equations (2) and (3)
show the current and voltage in various parts of the rail, respectively as below: [6]
i( x ) c1 exp( x ) c 2 exp( x )

(2)

v( x ) R0 (c 1 exp( x ) c 2 exp( x ))

(3)

in which i(x) is the rail current, v(x) is the rail voltage,

is the propagation constant

(= RG ), R0 is the characteristic resistance of the rail (= R / G

), c1 and c2 are the

equitation constants and determined based on the boundary values, R is the resistance per
unit length of the rail and G is the leakage conductance between the rail and the ground.
Although this method has the ability of determining quantities in each part with high
accuracy, it has a low flexibility and therefore for various structures, many of its equations
should be altered.

230

Infrastructure Design, Signalling and Security in Railway

The second method is based on using concentrated elements or line model in the DC
mode. In this method, the line is divided into sections with equal lengths and each section is
modeled with a rail to ground resistance and conductance (Fig. 5). In most applications,
selecting the length of each section as 100 meter creates a good accuracy for stray current
determination. Each substation is modeled via its Thevenin equivalent (i.e., a voltage source
and an equivalent resistance) or Norton equivalent circuit. The train is also modeled via a
time-varying current source. Finally, based on proposed model and node analysis rules, rail
surface potential and the current amount profiles are resolved. The linear equation for node
analysis is as below: [4]

Yn e is

(4)

in which Yn is the node admittance matrix, e is the node voltage matrix and is is the node
current sources matrix.

In the node admittance matrix, y ii entry is the sum of all

conductances tied to the ith node and yij is the negative of the sum of all conductances
between the ith and the jth nodes. Also, isi is the sum of all currents entering the ith node.
The currents entering the positive and exiting the negative nodes are also considered here.
The node voltage matrix is the unknown matrix that is determined by solving the above
equation. This matrix actually represents the amount of rail surface voltage.

Fig. 5. Simplest form of discrete Norton line model for two stations and rail
Because of the existence of resistance network, the admittance matrix is symmetrical and has
a positive determinant. The voltage of the station rectifier can be determined from the DC
load distribution of the traction network. The current amount in the IT current model, which
is the train model, can be determined from the trains current velocity equations.
Fig. 6 shows the calculation steps based on this model in a DC railway network. According
to the presented flowchart, at first, based on the train time schedule, the locations of various
trains are determined and then each substation voltage is gained by distributing the load
through the system. Also, the traction current of each train is determined according to the
velocity of that specific train. Finally, by solving the node equations, the touch voltage and
stray current for each node are calculated. [10]

Controlling and Simulation of Stray Currents in

DC Railway by Considering the Effects of Collection Mats

231

Although this method is not as accurate as the first one, selection of 100-meter sections
creates the acceptable preciseness required for analysis of stray currents. Besides, this
method allows simulating and modeling different structures with minimal changes in them.
Since all the equations in this method are linear, the simulations have an acceptable
performance.

Fig. 6. Flowchart for determining the touch potential and stray current in the discrete model

232

Infrastructure Design, Signalling and Security in Railway

4. Modeling the line and determining the parameters

For line modeling, Fig. 7 schematic is used, in which Vdc is voltage of the DC busbar, It is the
train model, Rrr is the resistance per unit length of the rail, Rrm is the rail to mat resistance,
Rmm is the resistance per unit length of the mat and Rmg is the mat to ground resistance. Also,
Rg is the resistance of the substation ground. The type of grounding can be defined based on
the way the negative substation busbar is connected to the ground; if, as shown in Fig. 7, S1
key is closed, the system is grounded and if this key is open, the system is floating. If a
diode is used instead of S1 key, then the system is diode grounded.
The amount of It current varies based on the train velocity and is calculated from the power
consumption of traction motors and the Davis formula. Fig. 8 shows the relation between
the current and speed of the traction motors.
The parameters used in the simulation are determined from the available line 4
characteristic data, the available standards, references [8], [11] and division of the line into
equal 100 meter cells. According to the manufacturers data, Rrr is 1650 (i.e., with 5%
corrosion, the resistance per unit length of the rail is 16.5 m-1.) The rail to soil
conductivity, based on the type of foundation, is 10 km-1 and therefore Rrm is assumed to
be 100. Assuming the special resistance of steel as 15.9 cm-1, a corrosion coefficient of
5% and a cross sectional area of 1800mm2 for the underground stray current collection mat,
the amount of Rmm is calculated as 12m. The stray current collector cable with a cross
sectional area of 185mm2 is assumed to have a resistance per unit length of 180 m-1. The
Rmg is assumed to be 1.

Fig. 7. The schematic used for line modeling

Since the grounds in I3G4 and F4 stations have the lowest resistance values, the line between
the two stations, which is 1274 meters long, is selected for the simulation. Fig. 9 shows the
time-speed relation for this line.
As shown here, the train starts its movement with acceleration of 0.75 ms-2 and after 330
meters reaches a speed of 80kmh-1. Then the supply from the power source is cut and the
train runs the rest of the line as the result of its inertia, and its speed starts to decrease. After
1150 meters the dynamic brakes are engaged and the train begins to stop.

Controlling and Simulation of Stray Currents in

DC Railway by Considering the Effects of Collection Mats

233

Fig. 8. The current-speed relation of train traction motors in the power consumption and
return modes
80

70

S pe ed (m /s)

60

50

40

30

20

10

0
0

200

400

600

800

1000

1200

1400

Location (m)

Fig. 9. The train speed-location curve

5000

Train Current (A)

4000

3000

2000

1000

0
0

200

400

600

Location (m)

800

1000

1200

Fig. 10. Current location curve of traction motor

Fig. 10 shows the current-speed curve in the line. It shows the total train consumed current
for all the 16 traction motors. Since stray current effect on metallic structure in long term, in
this analysis transition currents and the current related to train auxiliary power have been
ignored. Also, the train regenerative current is lossed on the resistors located on the train.

234

Infrastructure Design, Signalling and Security in Railway

5. Simulation results and analysis

For analyzing level of the stray current for Tehran Metro line 4, the simulations are
performed under various scenarios. In the first scenario, while no collection system is
utilized, effect of grounding systems on current leakage from rail is studied; then in the
second scenario while the reinforcement grid exit in the second stage of concrete under rail,
effect of electrical continuity of this grid on controlling and collecting stray current is
investigated. In the next scenario, stray current collector cable is added to collection mat and
in the last part, previous scenarios are considered on the passenger stations (without
traction substations).
5.1. Effect of grounding systems

This part is when no stray current collection system is utilized and train is assumed to be
running and 2 below cases are studied:
At first, while the train is in a specific location, the stray current and rail potential is
observed along the whole line (case I) later, the stray current is studied for a specific
location, while the train moves along the whole line (case 2) finally, the effects of the
collection mats and then the collector cable, in addition to the mats, are investigated.
5.1.1 Case

The first mode is when the train is at a location 100m from the start substation and is
accelerating, while a current of 4400 amperes is fed to the train via the third rail. Such that, a
current of 4060 amperes is fed to the train from the nearest substation. Fig. 11 shows the
leakage current from rail and fig.12 shows potential of running rail along the way for three
different grounding systems.

0.08

Float
Diode Grounded
Grounded

L ocal Stray Current (A)

0.06

0.04

0.02

-0.02

-0.04
0

200

400

600

Location (m)

800

1000

1200

Fig. 11. Leakage current from rail for three different grounding system when the train is 100
meters away from the initial substation

Controlling and Simulation of Stray Currents in

DC Railway by Considering the Effects of Collection Mats

235

Fig. 12. The rail touch potential for three different grounding systems when the train is 100
meters away from the initial substation
It can be concluded from the presented graphs that in all three grounding system, the
current is leaking from the rail to the ground in locations where rail to ground voltage is
positive, and the amount of current flow depends on the rail voltage with respect to ground.
In solidly grounded systems, due to the zero voltage at the substation and the positive rail
to ground voltage, stray current leakage is observed in all locations of the line. In diode
grounded system less stray current leakage is observed, since the rail voltage is negative at
the substation. The reason for this is that diodes turn on only when the voltage of their
cathode is -0.8v less than their anode voltage. In ungrounded system, the stray currents case
is much improved. In the first half of the line, from the train to the substation, stray currents
leak and flow from the rail to the ground (since the rail to ground voltage is positive,) and in
the second half of the line, the leaked stray current flow back to the rail. The cumulative
stray current in the floating system is 0.136 amperes, while it is 0.33 amperes in the diode
grounded and 0.42 amperes in direct grounded systems.
20

Float
Diod Grounded
Grounded

15

Rail Potential (V)

10

-5

-10
0

200

400

600

Location (m)

800

1000

1200

Fig. 13. The rail touch potential in three different grounding systems when the train is 300
meters away from the initial substation

236

Infrastructure Design, Signalling and Security in Railway

When the train is 300 meters away from the initial substation, its current amount reaches a
maximum of 4960 amperes. From this current, 3814 amperes are supplied by the first and
1146 amperes are supplied by the second substation. Because of the increase in traction
current in this case, the stray current and touch potential are also amplified for the three
grounding systems (Fig. 13 -14). As it is shown, touch potential in grounded system in
nearly zero in substations and it's positive in other locations. Also it's approximately twice
that of the floating system in train location. In this case, the amount of rails stray current
increases to 1.1 amperes in the grounded system, 1.0 amperes in the diode grounded system
and 0.3 amperes in the floating system.
Float
Diod Grounded
Grounded

0.2

Local Stray Current (A)

0.15

0.1

0.05

-0.05

-0.1
0

200

400

600

800

1000

1200

Location (m)

Fig. 14. Leakage current from rail for the three different grounding systems when the train is
300 meters away from the initial station
5.1.2 Case

At first the investigation is done for a location that is 100m away from the initial first
substation. Fig. 15 presents the resulting stray current for the grounding systems. As shown,
the floating system has the lowest amount of stray current among all the existing grounding
systems, and when the train is more than 200 meters away from the initial substation,
current return from the ground to the rail is also observed. In the grounded system of Fig.
15, at all points of the rail, current leakage, which is more than the other systems, is
observed. The highest amount of stray current is observed when the train is near the 100
meter point.
In solidly and diode grounded systems, in which the rail voltage about the substation is
zero, even after the train has passed location 100m, the rail voltage near the substation
remains positive and the current leakage continues, although at lower magnitudes. The
traction current, however, increases up to location 330 m. In the floating system when the
train passed location 200m, the rail voltage at location 100m point become zero and the flow
of stray current stops. However, further train running makes the voltage of this location
negative and therefore the stray current flows back to the rail.

Controlling and Simulation of Stray Currents in

DC Railway by Considering the Effects of Collection Mats

237

0.04
0.03

Local Stray Current (A)

0.02
0.01
0
-0.01
-0.02
-0.03
-0.04
-0.05
0

200

400

600

Location (m)

800

1000

1200

(a)
0.07

0.06

Local Stray Current (A)

0.05

0.04

0.03

0.02

0.01

0
0

200

400

600

800

1000

1200

Location (m)

(b)
0.06

Local Stray Current (A)

0.05

0.04

0.03

0.02

0.01

0
0

200

400

600

Location (m)

800

1000

1200

(c)
Fig. 15. Stray current at location 100 m on the rail in case for a) The floating system b)
Solidly grounded system c) Diode grounded system
Fig. 16 shows the stray current at location 300 m in the line. Like the previous instances,
the stray current is at its peak when the train is also at this location. At location 300m,
due to sufficient distance from the substation, unlike location 100 m, always in all
grounding system, when there is current flow, the touch potential is positive and stray
current exists.

238

Infrastructure Design, Signalling and Security in Railway

0.1
0.09
0.08

Local Stray Current (A)

0.07
0.06
0.05
0.04
0.03
0.02
0.01
0
0

200

400

600

Location (m)

800

1000

1200

800

1000

1200

800

1000

1200

(a)
0.18
0.16

Local Stray Current (A)

0.14
0.12
0.1
0.08
0.06
0.04
0.02
0
0

200

400

600

Location (m)

(b)
0.18
0.16

Local Stray Current (A)

0.14
0.12
0.1
0.08
0.06
0.04
0.02
0
0

200

400

600

Location (m)

(c )
Fig. 16. The stray current at position 300 m, on the rail in case for A) Floating system b)
solidly grounded system c) Diode grounded system
Fig.17 shows the stray current at location 1000 m from the initial substation. The voltage at
this location is just similar to the voltage at location 100 m, however the stray current is
lower and the current amount that returns from the rail to this point is higher. In the floating
system, since this location is closer to the first substation, its voltage remains negative and
the current keeps flowing back to the rail.

Controlling and Simulation of Stray Currents in

DC Railway by Considering the Effects of Collection Mats

239

0.005

Local Stray Current (A)

-0.005

-0.01

-0.015

-0.02

-0.025

-0.03

-0.035
0

200

400

600

Location (m)

800

1000

1200

(a)
0.08

0.07

Local Stray Current (A)

0.06

0.05

0.04

0.03

0.02

0.01

0
0

200

400

600

Location (m)

800

1000

1200

(b)
0.07

0.06

Local Stray Current (A)

0.05

0.04

0.03

0.02

0.01

0
0

200

400

600

Location (m)

800

1000

1200

(c)
Fig. 17. Stray current at location 1000 m when the train is running for a) Floating system b)
Solidly grounded c) Diode grounded system
5.2 Using stray current collection mat

The simulations in this section are performed assuming the presence of a reinforcement
bars. If the metal bars in the concrete under the rail intersect with each other, they collect
main portions of stray currents due to creating a low resistance path for conducting these
currents from rail to traction substation. So this collection mat result increasing leakage
current from rail because of making return path to traction substation. Some portions of

240

Infrastructure Design, Signalling and Security in Railway

stray currents leak from the rail to metal bars of the reinforced concrete and continue to flow
through the underlying concrete structure. If this current is not returned to the substation
through a specific current path, the current leak from the concrete structure to the ground
would create corrosions in the metal bars of the concrete. In fact for executing reasons, the
mats are installed in sections with length of 100 m such that there is a gap of nearly 100 mm
between sections. If there is no electrical connections (by wire or cable) between separate
sections of mat, entering current to this structure cause severe damages to them.
100 m
300 m

0.1
0.08

Primary Stray Current (A)

0.06
0.04
0.02
0
-0.02
-0.04
-0.06
-0.08
-0.1
0

200

400

600

Location (m)

800

1000

1200

(a)
100 m
300 m

Secondary Stray Current (A)

0.05

-0.05

200

400

600

Location (m)

800

1000

1200

(b)
100 m
300 m

0.06

0.04

Mesh Current (A)

0.02

-0.02

-0.04

-0.06

-0.08
0

200

400

600

Location (m)

800

1000

1200

(c)
Fig. 18. Stray current when the train is at locations 100 m and 300 m from the initial station
and the metallic concrete structure is unprotected a) Stray current leak from the rail b) Stray
current leak to the ground c) Current entering the concrete collection mat

Controlling and Simulation of Stray Currents in

DC Railway by Considering the Effects of Collection Mats

241

In the first part, this metallic structure is consumed disconnected and there is no direct
return path to substation for current that enters which results are shown is fig. 18.
In this case, in the floating system, stray current leak from the rail when the train is at
location 100m from the first substation is 1.37 amperes, of which 0.06 amperes flows through
the concretes metallic structure and causes severe damages to this structure. When the train
is at location 300m, the stray current becomes 0.3 amperes, of which 0.145 amperes flows
through the collection mat. Also about 50% of stray current from rail doesnt enter to this
mat. To overcome this flaw, in addition to interconnecting all parts of the mat to each other,
a path for connecting the collection mat to the negative busbar of the substation should be
provided. This connection is done by means of a diode that helps having cathodic protection
and making the current flow one directional (Fig. 19).

Fig. 19. Using the concrete metallic structure as the stray current collection mat
Fig. 20 shows the stray current from rail when the train is at locations 100m and 300m from
the first substation and the stray current collection mat is used. Because of the mat to ground
resistance and connection of the mat to the negative busbar by the diode, the situation here
is like that of the diode grounded system. In this case, although the substation ground is
considered floating, the substation voltage remains around zero (which is the diode on
voltage) and the rail touch potential at the trains location becomes more than the floating
systems voltage and, as a result, the stray current increases. Fig.21 shows the current which
captured by the collection mat and as shown this amount has increased compared to
previous part. However, as shown in Fig. 22, a large portion of the stray current is collected
by the collection mat and only a small portion of it leaks to the ground. In this case, the total
rail output current at locations 100m and 300m are 0.33 and 1.01 amperes, respectively, of
which 0.065 and 0.099 amperes leak to the ground, respectively, and the rest is collected by
the mats. Using equation (5) for evaluating the efficiency of the stray current collection
system, the system performance becomes 81% at position 100m and 90% at position 300m.

242

Infrastructure Design, Signalling and Security in Railway

The equation is

( ICollected / I st ) 100

(5)

in which ICollected is the amount of stray current collected by the mats and I st is the total
stray current that has leaked from the rail. As shown in Fig. 22, the highest amount of stray
current leakage occurs in the middle point of the line. The reason for this is the long distance
of this position from the substations. Although the highest stray current is observed at
location 300m, the stray current at location 600m is also high and is 70% of the stray current
amount at location 300m. Besides, since location 600m has the highest distance from the line
terminating substations, the resistance remains high at this location for stray currents that
enter the mats, and this makes this middle position to have the highest rate of stray current
leakage to ground in the entire line.

100 m
300 m

0.18
0.16

Primary Stray Current (A)

0.14
0.12
0.1
0.08
0.06
0.04
0.02
0
-0.02
0

200

400

600

Location (m)

800

1000

1200

Fig. 20. Rail stray current when the train is at locations 100 m and 300 m and collection mats
are used
In Fig. 23, the efficiency of the collection system, based on changes of the cross sectional area
of the mat is presented. As mentioned before, the mats used in Tehran Metro line 4 have
cross sectional areas of 1800 mm2. The higher the cross sectional area of the mat, the lower
its resistance per unit length and the higher its stray current collection amount would be.
Rmm is 27.4 m for a cross sectional area of 700 mm2 and 8 m for a cross sectional area of
2400mm2. Fig. 23 shows the graph for the time the highest traction current supply, when the
train is at position 300 m.

Controlling and Simulation of Stray Currents in

DC Railway by Considering the Effects of Collection Mats

243
100 m
300 m

0.16
0.14
0.12

Mesh Current (A)

0.1
0.08
0.06
0.04
0.02
0
-0.02
0

200

400

600

Location (m)

800

1000

1200

Fig. 21. The current collected by the mat when the train is at locations 100 m and 300 m from
the initial substation and stray current collection mat is also used
100 m
300 m

0.04

Local Stray Current (A)

0.02

-0.02

-0.04

-0.06

-0.08
0

200

400

600

800

1000

1200

Location (m)

Fig. 22. Stray current leakage to ground when the train is at locations 100 m and 300 m from
the first substation and collection mat is used

Efficiency of the Collection system (%)

95

90

85

80
600

800

1000

1200

1400

1600

1800

2000

2200

2400

Cross-Sectional area of the mesh (mm2)

Fig. 23. Efficiency of Stray current collection system based on changes of the cross sectional
area of the mat at location 300 m (the worst scenario)

244

Infrastructure Design, Signalling and Security in Railway

5.3 Using stray current collector cable

Due to the problems in building a continuous collection mat system, existence of current in
the mat system increases the chance for stray current leakage from the mat system itself
(especially at connection points). For protecting and retaining high efficiency of the mat
system, stray current collector cables are used. Stray current collector cables are installed
alongside the rail and they are, at specific locations (e.g., connection points,) connected to
the underlying stray current collection mat. In this way these cables provide a low resistance
and insulated parallel current path that canalizes and directs the main part of the mat
currents to the negative busbar of the substation (Fig. 24).

Fig. 24. Using stray current collection mat and cable

The collector cable not only creates a suitable path for the currents collected by the collection
mat, but also avoids current leakage to ground due to its insulation. It directs all the
collected currents to the negative substation busbar.
Fig. 25 shows the rail stray current for a line with a collector cable and when the train is at
locations 100m and 300m from the initial substation. Since stray current collection mat
resistance changes in comparison to resistance between rail and mat are so small, the
leakage current from rail is not that much different from the previous scenario (fig.20) in
floating system. But in comparison, the current captured by collection mat has increased
(fig.26) and the current leakage to the ground has significantly decreased (Fig. 27). When the
train is at location 300m, the total rail output current is 1.01 amperes, of which 0.049
amperes leak to the ground. In this case the efficiency of the collector system is 95%. When
the train is at location 100m from the initial substation, the total rail current output is 0.33
amperes, of which 0.043 amperes enter the ground. The collector systems efficiency is 87%
in this case.

Controlling and Simulation of Stray Currents in

DC Railway by Considering the Effects of Collection Mats

245

0.2

100 m
300 m

0.18
0.16

Primary Stray Current (A)

0.14
0.12
0.1
0.08
0.06
0.04
0.02
0
0

200

400

600

Location (m)

800

1000

1200

Fig. 25. The rail stray current when the train is 100 m and 300 m away from the initial
substation and collector cable is used
100 m
300 m

0.16
0.14

Mesh Current (A)

0.12
0.1
0.08
0.06
0.04
0.02
0
-0.02
0

200

400

600

Location (m)

800

1000

1200

Fig. 26. The current collected by the collection system when the train is 100 m and 300 m
away from the initial substation and collector cable is used
0.015

100 m
300 m

0.01

Secondry Stray Current (A)

0.005
0
-0.005
-0.01
-0.015
-0.02
-0.025
0

200

400

600

Location (m)

800

1000

1200

Fig. 27. Stray current leakage to ground when the train is 100 m and 300 m away from the
initial substation and collector cable is used

246

Infrastructure Design, Signalling and Security in Railway

The reason for the small effect of the collector cable on system efficiency at location 100m is
the closeness of this location to the initial substation. At this short distance of the train from
the substation where the rails have high current output amounts, the substation voltage
cannot decrease enough so as to turn the current collector diode on. As a result, the current
leakage to the ground remains high and the collector cable shows no significant effect on
system efficiency. Fig. 28 shows the collector system efficiency based on the cross sectional
area of the utilized cable, when the cross sectional area of mat is constant. Creation of a low
resistance current path and insulation from the ground (via the collector cable) significantly
decreases the stray current leakage to the ground. Changes in the cross sectional areas of the
cable have effects around 1~2 % on the efficiency of the collector system. Resistances of
cables with cross-sectional areas of 90 mm2 and 270 mm2 are 36 m and 12 m, respectively.
96

E fficiency of the C ollection system (% )

95.8
95.6
95.4
95.2
95
94.8
94.6
94.4
94.2
94
80

100

120

140

160

180

200

220

240

260

280

Cross-Sectional area of the Cable (mm2)

Fig. 28. Efficiency of the collector system based on the cross sectional area of the cable

Fig. 29. Using the stray current collection mat and cable with two connection points between
the mat and the cable.

Controlling and Simulation of Stray Currents in

DC Railway by Considering the Effects of Collection Mats

247

The type of collector cable connections to the mats can be also changed. The above simulations
were for scenarios where the mats were connected to the cables only at one point (Fig. 24). In
Fig. 29, the mats are connected to the collector cables at two points. Figs 30-32 show stray
current leakage from the rail, current leakage to the ground and the stray current collected by
the collector system. In this case, the rail stray current becomes 1.01 amperes and the total stray
current becomes 0.04, which creates an increase in system efficiency to 96.1%.
0.18
0.16

Primary Stray Current (A)

0.14
0.12
0.1
0.08
0.06
0.04
0.02
0
-0.02
0

200

400

600

Location (m)

800

1000

1200

Fig. 30. The rail stray current when the train is 300 m away from the initial substation and
mat and cable are connected at two points.
0.015

0.01

Secondary Stray Current (A)

0.005

-0.005

-0.01

-0.015

-0.02

-0.025
0

200

400

600

Location (m)

800

1000

1200

Fig. 31. Current leak to the ground when the train is at location 300 m from the first
substation and the cable and mat are connected at two points.
0.18
0.16
0.14

Mesh Current (A)

0.12
0.1
0.08
0.06
0.04
0.02
0
-0.02
0

200

400

600

Location (m)

800

1000

1200

Fig. 32. The stray current collected by the mats when the train is at location 300 m from the
initial substation and the cable and mat are connected at two points.

248

Infrastructure Design, Signalling and Security in Railway

5.4 Simulation results in the case of usage passenger stations without traction
substation

Some stations in line 4 of Tehran Metro are equipped with electrical substations. The
traction power in these stations is supplied form substations of the neighboring stations.
The train traction current should return to these substations via the running rails. Since the
current path, compared to the previous cases, is increased, different stray current amounts
and rail potentials are observed in these stations. The shorter headways between trains can
result in presence of multiple trains in neighboring stations. The minimum headway in line
4 is planned to be two minutes. In this part of the research, in order to study one of the
worst scenarios, the effect of presence of four trains at the following section is investigated.
For this purpose, P4 station (which has no substation) and its neighboring O4 and Q4
stations (which have substation) are discussed.
In order to analyze the stray current and rail potential, four trains are assumed to be in the
following locations:
Train A, in the southern line of O4 station (travel direction towards P4 station)
Train B, in the southern line of P4 station (travel direction towards Q4 station)
Train C, in the northern line of P4 station (travel direction towards O4 station)
Train D, in the northern line of O4 station (travel direction towards P4 station)

Fig. 33. Trains in the 4 train system between Q4 and O4 stations.

The order of the trains is shown in Fig. 33. It is assumed that all of the trains here start their
trips simultaneously and follow the same trip profile. The mentioned parameters are
investigated when the trains have traveled 300 m from their initial stations and require the
highest amount of traction current. The order of trains, in this case, is shown in Fig. 34.

Fig. 34. Location of trains when they are 300m away from their initial stations.

Controlling and Simulation of Stray Currents in

DC Railway by Considering the Effects of Collection Mats

249

Fig. 35 shows the rail stray current for the southern and northern lines when no collection
mats is used. It is obvious that current leakage in P4 station is more than any other location
in the line. These numbers also indicate that the rail potential is high in the neighborhood of
these stations.
South Line
North Line

0.2
0.15
0.1

Rail Stray Current (A)

0.05
0
-0.05
-0.1
-0.15
-0.2
-0.25

200

400

600

800

1000

Location (m)

1200

1400

1600

1800

(a)
0.45

South Line
North Line

0.4
0.35

R a il Stra y C u rre nt (A )

0.3
0.25
0.2
0.15
0.1
0.05
0
-0.05
0

200

400

600

800

1000

Location (m)

1200

1400

1600

1800

(b)
South Line
North Line

0.45
0.4

Rail Stray Current (A)

0.35
0.3
0.25
0.2
0.15
0.1
0.05
0
-0.05
0

200

400

600

800

1000

Location (m)

1200

1400

1600

1800

(c)
Fig. 35. The rail stray current in the four-train system in the southern and northern lines a)
Floating system b) Diode grounded system c) Solidly grounded system.

250

Infrastructure Design, Signalling and Security in Railway

The total rail stray current in the southern and northern line is 1.6 and 1.26 amperes for
the floating system, 5.87 and 5.55 amperes for the diode grounded system, and 6.17 and
5.84 amperes for the solidly grounded system, respectively. These numbers are for the
times when all 4 trains are consuming their maximum traction supply current from the
network.
Utilizing stray current collection mats under the rails, with the previously mentioned
characteristics, would highly minimize the amount of stray current leakage to the ground.
Fig. 36 presents the rail voltage, rail stray current, stray current leakage to the ground and
the stray current collected by the mats in the current scenario.

45

South Line
North Line

40
35

Rail Potential (V)

30
25
20
15
10
5
0
-5
0

200

400

600

800

1000

Location (m)

1200

1400

1600

1800

(a)

0.45

South Line
North Line

0.4
0.35

Prim ary Stray C urrent (A )

0.3
0.25
0.2
0.15
0.1
0.05
0
-0.05
0

200

400

600

800

1000

Location (m)

(b)

1200

1400

1600

1800

Controlling and Simulation of Stray Currents in

DC Railway by Considering the Effects of Collection Mats

251

0.15

Secondary Stray Current (A)

0.1
0.05
0
-0.05
-0.1
-0.15
-0.2
0

200

400

600

800

1000

Location (m)

1200

1400

1600

1800

1200

1400

1600

1800

(c)

0.65
0.6
0.55

Mesh Current (A)

0.5
0.45
0.4
0.35
0.3
0.25
0.2
0.15
0

200

400

600

800

1000

Location (m)

(d)
Fig. 36. The rail potential and stray current of the two lines when collection mats are used a)
Rail potential b) Rail stray current c) Current leakage to the ground d) Current entering the
metallic structure of the concrete.
In this case, the stray current leakage from the southern and northern lines is 5.95 and 5.51
amperes, respectively; however, only a current of 1.14 amperes leaks to the ground. In fact,
the efficiency of the collector system is 90%. The system efficiency can be further improved
by using a collector cable alongside the underlying collection mat, which results in even
lower stray current leakage to the ground.
Fig. 37 shows the rail potential and currents in a system that has both the collection mat and
the collector cable. In this system, stray current leakage from the southern and northern line
is 5.96 and 5.52 amperes, respectively. Also, the current leakage to the ground is 0.71
amperes, which results in system efficiency of 94%.

252

Infrastructure Design, Signalling and Security in Railway

45

South Line
North Line

40
35

Rail Potential (V)

30
25
20
15
10
5
0
-5
0

200

400

600

800

1000

Location (m)

1200

1400

1600

1800

a)
0.45

South Line
North Line

0.4
0.35

Primary Stray Current (A)

0.3
0.25
0.2
0.15
0.1
0.05
0
-0.05
0

200

400

600

800

1000

Location (m)

1200

1400

1600

1800

b)
0.1

Secondary Stray Current (A)

0.05

-0.05

-0.1

200

400

600

800

1000

1200

1400

1600

1800

1200

1400

1600

1800

Location (m)

c)
0.7

0.6

Mesh Current (A)

0.5

0.4

0.3

0.2

0.1
0

200

400

600

800

1000

Location (m)

d)
Fig. 37. Rail potential and stray currents of the two lines when collection mats and collector
cable are used a) Rail potential b) Rail stray current c) Current leakage to the ground d)
Current entering the current collector mat.

Controlling and Simulation of Stray Currents in

DC Railway by Considering the Effects of Collection Mats

253

6. Conclusions
Based on the performed simulations, it can be concluded that among the existing grounding
schemes, the solidly grounded system creates the highest amounts of stray current. Using
floating ground systems reduces the stray currents leakage. The systems that create direct
rail to ground connections increase the corrosion rates significantly. The higher the
connection current and the longer the time, the higher the magnitude of the resulting
corrosions would be.
The metallic mats of track-beds and foundations increase the stray current leakage to the
ground. The stray current travels through the mat and creates metallic corrosion in system
terminations. If the mats are used as low resistance paths for absorbing stray currents and
directing them to the substations, not only the corrosions of the mats, but also damages to
the neighboring structures are avoided. For this purpose, the detached structures are
bonded to each other and finally connected to the negative busbar of the substation.
Employing stray current collection mats greatly reduces current leakages to ground.
Increased cross sectional areas (of cables) and unified connectivity would further improve
system efficiency and protection of the mats against corrosions. Stray current collector
cables are also used for increasing system efficiency and protecting against corrosions. These
cables are insulated from the ground and by collecting the stray currents from the mats,
greatly diminish current leakages to soil. The cables can be connected to the collection mats
at specific locations. The number of connections depends on the magnitude of stray current
at a specific location.
Using collection systems as mats can help collect more than 0.85 of rails stray currents. Also
addition of cables to these systems further boosts the system lifetime and stray current
collection up to 0.94.
However, usage of stray current collection system causes floating system acts like diode
grounded system, but as shown in the last scenario, use of voltage control device is
necessary in stations without traction substations.
At locations where there is negative current leakage to the ground, the health of the existing
metallic structures is threatened. Therefore it is recommended to use stray current and
metallic structures voltage changes monitoring systems, at these locations, that conform to
EN50122-2 standard [12].

7. Acknowledgements
The authors would like to thank Tehran Urban and Suburban Railway Company for
assistance to perform the testing, study and evaluation. They express their appreciations to
Mr. Hamed Zafari for his effort to revise this paper in English language.

8. References
[1] Y. C. Liu and J. F. Chen, Control scheme for reducing rail potential and stray current in
MRT systems, IEE Proc. Electr. Power Appl.,2005, vol. 152issue 3, pp 612-618.
[2] D. Paul, DC traction power system grounding, IEEE Trans. Ind. Appl., 2002, vol. 38, pp
818824.

254

Infrastructure Design, Signalling and Security in Railway

[3] G. Yu and C. J. Goodman, Modeling of rail potential rise and leakage current in DC rail
transit systems, Presented at IEE colloquium on Stray current effects of DC
railways and tramways, 1990, pp 221-226.
[4] S. Case, DC Traction Stray Current Control. So What is the Problem?, Inst. Elect. Eng.
Seminar (1999).
[5] C. H. Lee, and Wang, H.M., Effects of earthing schemes on rail potential and stray
current in Taipei rail transit systems, IEE Proc. Electr. Power Appl., vol. 148(2001),
148154.
[6] C. H. Lee and C. J. Lu, Assessment of Grounding Schemes on Rail Potential and Stray
Currents in a DC Transit System, IEEE Trans. on Power Delivery,2006, vol. 21,
pp.1941-1947
[7] C. Charalambous and I. Cotton, Influence of soil structures on corrosion performance of
floating-DC transit systems, IET Electr. Power Appl., 2007, vol. 1, pp .9-16
[8] I. Cotton, P. Aylott and P. Ernst, Stray Current Control in DC Mass Transit Systems,
IEEE Transaction on vehicular technology,2005, vol. 54, no.2. pp 722-730
[9] C. Lee, Evaluation of the Maximum Potential Rise in Taipei Rail Transit Systems, IEEE
Transactions on Power Delivery, 2005, vol. 20, no. 2, pp. 1379-1384.
[10] C. H. Lee and Y. S. Tzeng, Assessment of grounding, bonding, and insulation on rail
potential and stray currents in a direct current transit system, JRRT206, 2009, vol.
223, pp. 229-240
[11] W. M. Sim, C. F. Chan, Stray current monitoring and control on Singapore MRT system,
IEEE international Conf. on power system tech., Powercon (2004), pp 1898-1903.
[12] European Standard EN 50122 -2, Railway applications - Protection again leaked
currents, CENELEC, Bruxelles(1999).

10
Cellular Automaton
Modeling of Passenger Transport Systems
Akiyasu Tomoeda

Meiji Institute for Advanced Study of Mathematical Sciences, JST CREST,

Meiji University,
1-1-1 Higashi Mita, Tama-ku, Kawasaki, Kanagawa,
Japan
1. Introduction
Jamming phenomena are observed everywhere in our daily live. These stagnations in ow
occur not only on highways, but also in stadiums, in public transportation like buses and
trains, in the world of the Internet, and even in our bodies. Almost everyone will have a
negative image of a jam, which means the clogging of the ow of trafc, however we do
have positive reactions to some kinds of jams. For instance, it is gratifying to interrupt the
transmission of infectious disease or prevent the spreading of re.
The important point is that all these kinds of phenomena have the commonality of being
a congestion in a transporting process which comes about through a universal jamming
formation process. Especially from the point of statistical physics, these jamming phenomena
are also interesting as a system of interacting particles, such as vehicles, pedestrians, ants,
Internet packets, and so on, driven far from equilibrium. By considering all the above particles
in various transporting processes as Self-Driven Particles (SDPs), we are allowed to treat
various transportation phenomena universally under the physics of complex systems [13]
. This interdisciplinary research on jamming phenomena of SDPs in various elds has been
recently termed as Jamology [4, 5] .
Now, let us consider the state of Jam, i.e., what is a Jamming ow? It is difcult for
anyone to answer this question exactly. Japanese expressway companies incorporate specic
threshold velocities to dene the jamming ow. That is, if the average trafc velocity becomes
less than the dened threshold velocity, the state of trafc is considered to have transitioned
to a jamming ow. Whereas, if the average trafc velocity is above the threshold, the state
of trafc ow corresponds to Free ow. For example, one company denes the threshold
velocity to be 40km per hour. In this case, if the average trafc velocity becomes less than
40km per hour, the state of trafc ow is called jamming ow. Whereas, another company
identies jamming ow by dening the threshold as 30km per hour. There is a lack of
uniformity, since the denition of jamming ow depends on the company. Moreover, when
it comes to considering the jamming phenomena in the dynamics of non-vehicles, such as
pedestrians and ants, it becomes difcult to properly translate these denitions based on
threshold velocity to another denition of the jamming state in the dynamics of non-vehicles.
Thus, we should begin to provide a clear denition of jamming ow in the next section to
study jamming phenomena as a mathematical science.

256

Infrastructure Design, Signalling and Security

in Railway
Will-be-set-by-IN-TECH

(a) density vs. velocity

(b) density vs. ow

Fig. 1. Fundamental diagrams plotted by real data from a Japanese expressway (one-lane
data). The horizontal axis indicates the density of vehicles (vehicles/km) and the vertical axis
indicates (a) the velocity (km/hour) and (b) ow (vehicles/hour), respectively.
First, in Sec. 2 of this chapter, we introduce the fundamental diagram to provide a clear denition
of jamming ow and explain two rule-based models for describing the dynamics of SDPs,
the so-called Asymmetric Simple Exclusion Process (ASEP) and Zero Range Process (ZRP), which
can capture fundamental features of jamming phenomena in various collective dynamical
systems. These models have the important property of being exactly solvable, that is, their
steady states are given by a form [611] . Therefore, we treat the behavior of particles in
complex systems by not only numerical simulations but also analytical calculations in the
steady state. In Sec. 3, as an extension of the above stochastic cellular automata, we explain in
detail the Public Conveyance Model (PCM) [12] , which is a fundamental mathematical model
for the passenger transport system by introducing a second eld (passengers eld) which
tracks the number of waiting passengers. In addition, by introducing the route choice model
of passengers explicitly into PCM, we have built a real-time railway network simulation tool
KUTTY, which has been applied to the Tokyo Metro Railway Network [13, 14] , as described
in Sec. 4. Finally, Sec. 5 is devoted to concluding discussions.
The aim of this chapter is to understand the mathematical model for the passenger transport
system built on analytical rule-based models and to introduce the real-time railway network
simulation tool KUTTY as an application of our proposed model.

2. Fundamental diagrams and stochastic cellular automata

Now we introduce the fundamental diagram to provide a clear denition of jamming ow.
The fundamental diagram is a basic tool in understanding the behavior of the ow in
transportation systems: it relates the ow Q( x, t) in the system and the density of vehicles
( x, t) 1 . The fundamental is sometimes drawn to indicate the relation between velocity
v( x, t) and density ( x, t), however, we can easily translate velocity into ow by the relation
Q = v .
Fig. 1 is an example of the fundamental diagrams of a Japanese expressway. From these
diagrams, it is obvious that the state of trafc ow and velocity strongly depend on the density
1

In the following, we use particle in mathematical models to represent a vehicle, a bus, or a train, to
keep this discussion as general as possible.

Cellular
Automaton
Modeling
of Systems
Passenger Transport Systems
Cellular Automaton
Modeling of Passenger
Transport

2573

of vehicles on the road. So long as the density is sufciently small, the average velocity is
practically independent of the density as the vehicles are too far apart to interact. Therefore,
at sufciently low density of vehicles, the system effectively acts in a state of free ow.
However, in practice, vehicles have to move more slowly with increasing density. This reality
is correctly described in the fundamental diagrams.
As mentioned before, each expressway company in Japan denes the jamming state by a
threshold velocity. Hence, there is no universal denition of the jamming state that can be
treated in a mathematical sense. In order to provide a clear denition of free ow and
jamming ow, one transforms the vertically plotted value from velocity to ow, i.e., from
Fig. 1 (a) to Fig. 1 (b). Surprisingly, this type of fundamental diagram (Fig. 1 (b)) shows the
universal features not only in the dynamics of trafc vehicles but also for other general SDPs
as follows (also see Fig. 2):
(a) At low density, there is almost a linear relation between the ow and the density, which
intersects at zero. The slope at low density corresponds to the average velocity without
congestion.
(b) If the density exceeds some critical value, the so-called critical density c , the ow
decreases monotonically and it vanishes together with the velocity at some maximum
density. 2
(c) The ow has one maximum value at medium density.
The critical density indicates the changing point of the ow state from free ow to jamming
ow. Therefore, free ow and jamming ow can be dened as the lower density region and
higher density region which are separated by the critical density as shown in Fig. 2. Once free
ow and jamming ow are dened in terms of the fundamental diagram, one can determine
whether the ow is really in a state of Jam or not in a rigorous, mathematical sense, even in
the dynamics of various other kinds of SDPs, where the jamming state has been considered
undenable or unclear. Thus, the fundamental diagrams are essential to treat the jamming
phenomena as a mathematical science.
Now let us introduce two simple stochastic cellular automaton models, i.e., ASEP and ZRP,
which are the simple models for non-equilibrium systems of interacting self-driven particles.
In these cellular automaton models, the path (a road or rail) is partitioned into L identical cells
such that each cell can accommodate at most one particle at a time, enforcing the so-called
exclusion principle, that is, the excluded-volume effect is not supposed to be ignored unlike in
the ow of water. 3 Generally, the dynamics of these models are described by a rule 4 . The
rule for dynamics of particles in case of ASEP is very simple, i.e., If the front cell is empty, a
particle can move forward with hopping probability p. as shown in Fig. 3. Note that, in general,

In several situations involving vehicle dynamics, it has been observed that ow does not depend
uniquely on density in an intermediate regime of density. This indicates the existence of a hysteresis
effect and metastable states. The critical density in vehicle dynamics is about 25 (vehicles/km).
In traditional queuing theory, this excluded-volume effect and spatial structure have never been
introduced into the queuing model. An extension of the M/M/1 queuing process with a spatial
structure and excluded-volume effect is introduced in [15, 16] , as the TASEP on a semi-innite chain
with open boundary.
Some of them can be described in the form of equations, such as a master equation or max-plus
equation / tropical-polynomial.

258

Infrastructure Design, Signalling and Security

in Railway
Will-be-set-by-IN-TECH

Fig. 2. Features and denition of the jamming state in the simplied fundamental diagram
(density vs. ow).

Fig. 3. Dynamics of the Asymmetric Simple Exclusion Process: if the next cell is empty, a
particle can move forward with hopping probability p.

Fig. 4. Dynamics of the Zero Range Process after the mapping to the asymmetric exclusion
process: if the next cell is empty, a particle can move forward with hopping probability p(h),
which depends on the distance to the next particle in front.
ASEP is characterized by the hopping rate
P{10}{01} = p,

(1)

P{01}{10} = q,

(2)

which is considered as a model of interacting random walks.

The most important special case, theoretically as well as in the application to transport
systems, is known by the full name of Totally Asymmetric Simple Exclusion Process (TASEP),
which has q = 0 so that its motion is allowed only in one direction. Here, we use the general
name ASEP to mean TASEP for simplicity sake. Moreover, the hopping probability p is
usually called the hopping rate in ASEP, since time is continuous in ASEP. However, we call
the rate p the hopping probability p, since we treat only the discrete time case in this chapter.
In the case of ZRP, after a suitably precise mapping, the rule is considered as If the front cell
is empty, a particle can move forward with hopping probability p(h), which depends on the distance to

2595

Cellular
Automaton
Modeling
of Systems
Passenger Transport Systems
Cellular Automaton
Modeling of Passenger
Transport

the next particle in front., as illustrated in Fig. 4. Indeed, ASEP is considered as a special case
of ZRP.
Here, we impose periodic boundary conditions 5 , that is, we consider that the particles
to move on a circuit so that the transport system is operated as a loop. This means that
the number of particles N on the circuit is conserved at each discrete time step. Moreover,
we distinguish three basic types of dynamics: the dynamical variables may be updated
one after the other in a certain order (sequential update), one after another in random order
(random-sequential update), or in parallel for all sites (parallel update). 6 Now let us employ the
parallel update for all sites in the system as the updating procedures.
As mentioned before, ASEP and ZRP have the important property of being exactly solvable,
that is, their steady states are given by a form [611] . In the case of ASEP with periodic
boundary condition and in parallel dynamics, one obtains the form (see [7] for details)


1
Q() =
1 1 4p(1 ) ,
(3)
2
where Q() is ow of particles, p is the hopping probability and = N/L is the density of
particles.
On the other hand, in the case of ZRP, as a simple example, we now assume that the hopping
probability is
p(1) = p,

p(h 2) = q.

(4)

If q = p, this model is reduced to the ASEP with hopping probability p, as denoted above.
Moreover, if p = q = 1 in ZRP or p = 1 in ASEP, this model is reduced to the deterministic
version of ASEP, which is called the rule-184 cellular automaton. This rule-184 CA model is
one of the elementary cellular automata, which are dened by S. Wolfram (1959 ) [17, 18] .
Various extensions of this rule-184 CA are also proposed as a powerful model for realistically
describing one-dimensional trafc ow.
The fundamental diagram of ZRP dened by (4) with periodic boundary conditions and
parallel update in a parametric representation, where the density (w) = 1/(1 + h) and the
ow Q() = w(w) are calculated for the parameter 0 w 1, is given by the following
equations (see [11] for details)


F ( w ) = 1 p (1) (1 + w )
h(w) = w



log F (w) .
w

n =0

1 p( j ) 
,
p( j )
j =1
n

wn

(5)
(6)

Fig. 5 shows the numerical simulation results (dots) and analytical calculated results (line)
for ASEP and ZRP, respectively. In both cases, the analytical results show good agreements
with the numerical results. Moreover, both gures captures the universal features ( a) (c) of
general SDPs in transport systems, which were introduced earlier in this section. Therefore,
5
6

ASEP and ZRP with open boundary conditions are also well investigated.
Sometimes, updating the dynamics in parallel for all sites of a given sub-lattice (sub-lattice update) is
distinguished from this parallel update.

260

Infrastructure Design, Signalling and Security

in Railway
Will-be-set-by-IN-TECH
0.14
0.12
0.10
0.08
0.06
0.04
0.02
0.00
0.0

0.10
0.08
flux

flux

0.06
0.04
0.02

0.2

0.4

0.6

0.8

1.0

0.00
0.0

density

(a) ASEP

0.2

0.4

0.6

0.8

1.0

density

(b) ZRP

Fig. 5. Fundamental diagram of (a) Asymmetric Simple Exclusion Process and (b) Zero
Range Process with the parallel update. The dots and the line correspond to the simulation
data and analytical results, respectively. The numerical simulations are done with L = 100
sites. In the case of ASEP, the hopping probability p is 0.5. In the case of ZRP, the hopping
probability p(h) is p(0) = 0, p(1) = 0.1, p(2 h) = 0.5.
various extensions of these models have been reported in the last few years for capturing the
essential features of the collective spatio-temporal organizations in wide varieties of systems,
including those in vehicular trafc [1, 2, 19] .
Until now, public conveyance trafc systems such as buses, bicycles and trains have also been
modeled by an extension of ASEP using similar approaches [1214, 20, 21]. A simple bus
route model [21] exhibits clustering of the buses along the route. The quantitative features of
the coarsening of the clusters have strong similarities with coarsening phenomena in many
other physical systems. Under normal circumstances, such clustering of buses is undesirable
in any real bus route as the efciency of the transportation system is adversely affected by
clustering.
In the next section, a new public conveyance model (PCM) will be explained which
is applicable to buses and trains in a transport system by introducing realistic effects
encountered in the eld (the number of stops (stations) and the behavior of passengers getting
on a vehicle at stops) into the stochastic cellular automaton models.

3. Public conveyance model for a bus-route system

Now we will explain the PCM in detail. Although we refer to each of the public vehicles
as a bus, which is a one-dimensional example of a transport system, the model is equally
applicable to train trafc on a given route. We impose periodic boundary conditions as well
as the stochastic cellular automata described in the previous section and partition the road
into L identical cells. Moreover, a total of S (0 S L) equispaced cells are identied in
the beginning as bus stops. Note that, the special case S = L corresponds to the hail-and-ride
system, in which the passengers could board the bus whenever and wherever they stopped
a bus by raising their hand. In contrast to most of the earlier bus route models built on the
stochastic cellular automaton, we assume that the maximum number of passengers that can
get into one bus at a bus stop is Nmax , which indicates the maximum boarding capacity at each
bus stop rather than the maximum carrying capacity of each bus.

Cellular
Automaton
Modeling
of Systems
Passenger Transport Systems
Cellular Automaton
Modeling of Passenger
Transport

2617

Fig. 6. Schematic illustration of the PCM. The hopping probability to the bus stop depends
on the number of waiting passengers. Accordingly, if the waiting passengers increase, the
hopping probability to the bus stop decreases. Although case (a) and (b) is the same hopping
probability, the situation is different: (a) next cell is without bus stop, (b) next cell is with bus
stop but without passengers. Case (d) has smaller probability than the case (c), since the
hopping probability depend on the number of waiting passengers. Of course, case (c) is
smaller than the case (b) (also case (a))).
The symbol H is used to denote the hopping probability of a bus entering into a cell that has
been designated as a bus stop. We assume H has the form
H=

Q
min( Ni , Nmax ) + 1

(7)

where min( Ni , Nmax ) is the number of passengers who can get into a bus which arrives at
the bus stop i at the instant of time when the number of passengers waiting at the bus stop
i (i = 1, , S ) is Ni . The form (7) is motivated by the common expectation that the time
needed for the passengers to board a bus is proportional to their number. Fig. 6 depicts the
hopping probabilities schematically. The hopping probability of a bus to the cells that are not
designated as bus stops is Q; this is already captured by the expression (7) since no passenger
ever waits at those locations.
If the form H does not depend on the number of waiting passengers but depends on the
presence of passengers in the case S = L, i.e.,

Q no waiting passengers,
(8)
H=
q
waiting passengers exist,
where both Q and q (Q > q) are constants independent of the number of waiting passengers,
this model corresponds to the Ant-Trail-Model, which also shows quite similar clustering
phenomena to those of vehicles in the collective movement of ants and obtains the results
through approximate analysis [22, 23] . Moreover, if the form H is always constant, this model
is reduced to the ASEP.
In principle, the hopping probability H for a real bus would depend also on the number
of passengers who get off at the bus stop; in the extreme situations where no passenger is
waiting at a bus stop, the hopping probability H would be solely decided by the disembarking
passengers. However, in order to keep the model theoretically simple and tractable, we ignore
the latter situation and assume that passengers get off only at those stops where waiting
passengers get into the bus and that the time taken by the waiting passengers to get into
the bus is always adequate for the disembarking passengers to get off the bus.

262

Infrastructure Design, Signalling and Security

in Railway
Will-be-set-by-IN-TECH

The PCM model reported here can be easily extended to incorporate an additional dynamical
variable associated with each bus to account for the instantaneous number of passengers in it.
But, for the sake of simplicity, such an extension of PCM is not reported here 7 . Instead, we
focus on the simple version of PCM. As shown in Fig. 7, the model is updated according to
the following rules:
1. Arrival of a passenger
A bus stop i (i = 1, , S) is picked up randomly, with probability 1/S, and then the
corresponding number of waiting passengers is increased by unity, i.e., Ni Ni + 1, with
probability f to account for the arrival of a passenger at the selected bus stop. Thus, the
average number of passengers that arrive at each bus stop per unit time is given by f /S.
2. Bus motion
If the cell in front of a bus is not occupied by another bus, each bus hops to the next cell
with probability H. Specically, if passengers do not exist in the next cell the hopping
probability equals Q because Ni is equal to 0. Otherwise, if passengers exist in the next cell,
the hopping probability is Q/(min( Ni , Nmax ) + 1). Note that, when a bus is loaded with
passengers to its maximum boarding capacity Nmax , the hopping probability is Q/( Nmax +
1), the smallest allowed hopping probability.
3. Boarding a bus
When a bus arrives at the i-th (i = 1, , S) bus stop cell, the corresponding number
Ni of waiting passengers is updated to max( Ni Nmax , 0) to account for the passengers
boarding the bus. Once the door is closed, no more waiting passengers can get into the bus
at the same bus stop although the bus may remain stranded at the same stop for a longer
period of time either because of the unavailability of the next bus stop or because of the
trafc control rule explained next.
We introduce a trafc control system that exploits the information on the number of buses in
each segment between successive bus stops, as well as a block section of the railway system.
Every bus stop has information Ii (i = 1, , S) which is the number of buses in the i-th
segment of the route between the i-th and next (i + 1)-th bus stops at that instant of time.
If Ii is larger than the average value I0 = m/S, where m indicates the total number of
buses, a bus remains stranded at a stop i as long as Ii exceeds I0 . In steps 2, 3, and the
information-based control system (step 4), these rules are applied in parallel to all buses and
passengers, respectively.
We use the average speed V  of the buses, the number of waiting passengers  N  at a bus
stop and the transportation volume R, which is dened by the product of velocity of the i-th
bus Vi {0, 1} and the number of on-board passengers Mi (0 Mi Nmax ), i.e.,
R=

Mi Vi ,

(9)

i =1

as three quantitative measures of the efciency of the public conveyance system under
consideration; a higher V  , a higher R and smaller  N  correspond to a more efcient
transportation system.

We have reported the extended PCM by incorporating the disembarking passengers explicitly for the
case of the elevator system in [24] .

2639

Cellular
Automaton
Modeling
of Systems
Passenger Transport Systems
Cellular Automaton
Modeling of Passenger
Transport

Fig. 7. Time development of public conveyance model. The upper path of cells indicates the
state of particles and the lower one indicates the state of passengers. The number in each cell
represents the number of waiting passengers. The cells with diagonal lines indicate cells
without bus stops.

0.6

Waiting passengers

Average velocity

500

f  0.3
f  0.6
f  0.9

0.8

0.4
0.2

f  0.3
f  0.6
f  0.9

400
300
200
100
0

0.2

0.4
0.6
Density

(a) Average velocity V 

0.8

0.2

0.4
0.6
Density

0.8

(b) Waiting passengers  N 

Fig. 8. The plot of V  and  N  without information for S = 5 and f = 0.3, 0.6 and 0.9.
In the simulations presented here, we set L = 500, S = 5, Q = 0.9, q = 0.5 and Nmax =
60. The main parameters of this model, which we varied, are the number of buses m and
the probability f of the arrival of passengers. The density of buses is dened by = m/L
in the same way. We study not only the efciency of the system but also the effects of our
control system by comparing the characteristics of two trafc systems one of which includes
the information-based control system while the other does not.

264

Infrastructure Design, Signalling and Security

in Railway
Will-be-set-by-IN-TECH

10

f  0.3
f  0.6
f  0.9

0.6

500
Waiting passengers

Average velocity

0.8

0.4
0.2

f  0.3
f  0.6
f  0.9

400
300
200
100
0

0.2

0.4
0.6
Density

0.8

(a) Average velocity V 

0.2

0.4
0.6
Density

0.8

(b) Waiting passengers  N 

Fig. 9. The plot of V  and  N  with information for S = 5 and f = 0.3, 0.6 and 0.9
100
Flux Passengers

Flux Passengers

100
80
60
40
20
0
0.0

f  0.3
0.2

f  0.6

f  0.9

0.4
0.6
Density 

0.8

80
60
40
20
0
0.0

1.0

(a) without information

f  0.3
0.2

f  0.6

f  0.9

0.4
0.6
Density 

0.8

1.0

(b) with information

Fig. 10. Fundamental diagrams for the transportation volume. (a) The case without the
information-based control system, (b) The case with the information-based control system.
500

without info
with info

0.6

Waiting passengers

Average velocity

0.8

0.4
0.2

without info
with info

400
300
200
100
0

0
0

0.2

0.4
0.6
Density

0.8

(a) Average velocity V 

0.2

0.4
0.6
Density

0.8

(b) Waiting passengers  N 

Fig. 11. Two efciency plots V  and  N  for the parameters S = 5, Q = 0.9, q = 0.5, and
f = 0.9.
Some of the signicant results of the numerical simulations of the PCM are as follows. In
Fig. 8 and Fig. 9, we plot V  and  N  against the density of buses for several different values
of f . Fig. 8 (a) demonstrates that the average speed V , which is a measure of the efciency
of the bus trafc system, exhibits a maximum at around = 0.2 0.3, which reects the
bus bunching especially at large f . As shown in Fig. 8 (b), The average number of waiting

265
11

Cellular
Automaton
Modeling
of Systems
Passenger Transport Systems
Cellular Automaton
Modeling of Passenger
Transport

f  0.3
f  0.6
f  0.9
0.2

0.4
0.6
Density 

(a) without information

0.30
0.25
0.20
0.15
0.10
0.05
0.00
0.0

Flux Vehicles

Flux Vehicles

0.30
0.25
0.20
0.15
0.10
0.05
0.00
0.0

0.8

f  0.3
f  0.6
f  0.9
0.2

0.4
0.6
Density 

0.8

(b) with information

Fig. 12. Fundamental diagrams for the ow of vehicles. (a) The case without the
information-based control system, (b) The case with the information-based control system.
passengers  N , whose inverse is another measure of the efciency of the bus trafc system,
is vanishingly small in the region 0.3 < < 0.7;  N  increases with decreasing (increasing)
in the regime < 0.3 ( > 0.7). The results for the PCM with information-based trafc control
system are shown in Fig. 9. The density corresponding to the peak of the average velocity
shifts to lower values when the information-based trafc control system is switched on. The
average number of waiting passengers  N  decreases between Fig. 8 (b) and Fig. 9 (b) in the
regions 0.1 < < 0.3 and 0.7 < < 0.9.
The other measurement of the efciency, the transportation volume R, is shown in Fig. 10. The
optimal density which shows higher V  and lower  N  does not always correspond to the
most efcient operation for the transportation volume, since that is maintained substantially
constant except at low density, even though the density of vehicles increases. This is because
the number of buses with small transportation volume increases even though the average
velocity decreases. Thus, we have found that the excess buses result in unneeded buses which
has no passengers since the transportation volume is the same.
The data shown in Fig. 11 establishes that implementation of the information-based trafc
control system does not necessarily always improve the efciency of the public conveyance
system. In fact, in the region 0.3 < < 0.7, the average velocity of the buses is higher if the
information-based control system is switched off. Comparing V  and  N  in Fig. 11, we nd
that the information-based trafc control system can improves the efciency by reducing the
crowd of waiting passengers. However, in the absence of waiting passengers, introduction of
the information-based control system adversely affects the efciency of the public conveyance
system by holding up the buses at bus stops when the number of buses in the next segment of
the route exceeds I0 . Therefore, we have found the information-based trafc control system
can improve the efciency in a certain density region, but not in all possible situations.
The typical fundamental diagrams for the ow of vehicles in the PCM are given in Fig. 12.
The ow of vehicles without the information-based control system gradually decreases as the
arrival rate of passengers increases. In contrast, the ow with the information-based control
system drastically decreases for intermediate densities, where there are no waiting passengers
in Fig. 9, showing a trapezoidal shape. This trapezoidal shape is similar to the fundamental
diagram in [25] and [26] , where a blockage effect is articially introduced into the rule-184
cellular automaton to take a ow bottleneck into account. Thus, in the absence of waiting

266

12

Infrastructure Design, Signalling and Security

in Railway
Will-be-set-by-IN-TECH

Fig. 13. The design ow diagram of our simulator KUTTY.

passengers, implementation of the information-based control system corresponds to creating
a bottleneck effect and decreases the ow of vehicles.
As a theoretical approach, mean-eld analysis is also applied to the model to estimate the
efciency. The details of mean-eld analysis can be found in [1214] .
Next, let us explain an expanded PCM for the railway transportation system in the Tokyo
metropolitan area by introducing the route choice model of passengers.

4. Public conveyance model for Tokyo metro subway network

Disturbances of well scheduled trains occur everyday. The disturbances may be caused by, for
example, a slight delay of trains, trafc accidents, or other factors. Under such circumstances,
how does the train company adjust and operate the train schedule? The conventional method
of rescheduling the timetable is that the scheduling specialists adjust the timetable by their
own empirical rules. This conventional method usually only considers the performance of
a single (metro) line and does not take into account the performance of the whole network.
Furthermore, this method tries to adjust the trains so that they are equally-spaced in time
without considering the ow of passengers. Recently, various kinds of models of the train
network, which treat the network as a complex system, have been proposed and studied [27
30]. However, the behaviors of passengers have not been considered in these models either.
A public conveyance model (PCM) which could reproduce the bus clustering phenomenon
and estimate the efciency of the bus system on a one-dimensional route was proposed in the
previous section, where passengers arrive at a stop randomly and their destinations have not
been considered explicitly. Furthermore, since buses run on a single route, passengers do not
need to choose the route. In this section, we have extended the PCM by introducing realistic
passengers behaviors explicitly and proposed a real-time railway network simulation tool
KUTTY, which has been applied to the Tokyo Metro Railway Network. It is shown that the
passenger ow pattern is well simulated. Moreover, we have presented a homogenization
re-scheduling method to alleviate congestion of crowded trains, and it is found that our
method is more efcient than the conventional one.
4.1 Database

Our real-time simulator KUTTY is operated not only based on the input data but also by
extracting data from a database (see Fig. 13). In this section, we present the assembly of

Cellular
Automaton
Modeling
of Systems
Passenger Transport Systems
Cellular Automaton
Modeling of Passenger
Transport

267
13

the database and explain its components: OD (origin-destination) trafc demand and network
structure.
4.1.1 Origin-destination trafc demand estimation

In order to apply our PCM to the railway transportation system in a realistic way, real data
of the OD trafc demand of passengers is indispensable on the network. In general, it is
very difcult to obtain this sort of data. Fortunately, the Tokyo Metro Company posts one-day
rider-ship of all stations on its web-site. Moreover, at the mutual entry stations 8 , the rider-ship
also includes the inux and outux of passengers. Nevertheless, the data only record the sum
of passengers getting through the station gate and do not distinguish whether the passengers
enter or leave the station. Therefore, we assume that half of the passengers enter the station
and the other half leave the station. This is reasonable because most people go to work or
school in the morning and go back home in the evening. Thus they return to the station where
they originally entered .
Under these reasonable assumptions, we can estimate the OD demand from one-day
rider-ship data of all stations and have veried that the estimated number of passengers is
suitable for the data.
When a passenger enters a station i, the probability that the passengers destination is j is
Pi j =

Nj
j Nj

(10)

where Nj indicates the number of passengers who leave from station j.

4.1.2 Network structure

In 2007, the Tokyo Metro Railway Network consisted of 8 lines and 138 stations 9 . Some
of these stations are transfer stations, in which several lines intersect. In our model, the
stations are mapped to nodes. Under our scheme, each node corresponds one-to-one to the
ID number of each station on each line. That is, a transfer station is mapped to more than one
nodes, depending on how many lines intersect (e.g., Otemachi of the Tozai Line (T09) and
Otemachi of the Marunouchi Line (M18) are mapped to different nodes). The connection
between neighboring stations is referred to as a segment and the connection inside a transfer
station is referred to as a link. Using this system, the Tokyo Metro Railway Network has 169
nodes, 170 segments and 50 links. Passengers can travel from any station to any other station
in this network with at most two transfers. Therefore, the calculation time in searching for a
possible route notably is decreased by restricting transfers to more than two. We have made
the database of all paths by using Dijkstras Algorithm [31].
4.2 Models and homogenization method

In this section, we rst present the route choice model of the passengers. Then, the
train movement model, which is built on PCM, is introduced. After that, we propose a
homogenization re-scheduling method to alleviate congestion.
8
9

The trains still move on from these stations, beyond which the transportation system is operated by
other companies, such as Japan Railway. The mutual entry stations are shared by several companies.
Since 2008, a new line has opened to trafc, but we have not included the new line here.

268

14

Infrastructure Design, Signalling and Security

in Railway
Will-be-set-by-IN-TECH

Fig. 14. Illustration of all cases of the hopping probability from a train: (a) Hopping into a
non-platform cell. (b) Hopping into a platform cell (rst time). (c) Hopping into a platform
cell after one stop in the case of (b).
4.2.1 Route choice model

When a passenger p arrives at a station, his/her destination is determined by (10). Suppose

S ( p) is the set of all routes from the origin to the destination. The cost E of each route s S ( p)
at time t is calculated by


E T ( p, s), C ( p, s), D ( p, s, t) = aT ( p, s) + bC ( p, s) cD ( p, s, t) ,
(11)
where a, b, c, , , are parameters with positive value. In this formula, T ( p, s) is the expected
travel time on route s, 0 C ( p, s) 2 is the transfer number on route s. T ( p, s) is calculated by
T ( p, s) = nTt + C ( p, s) Tc . Here n is the number of stations on the route (excluding the origin)
and Tt is set to 2 minutes, which denotes the average travel time between two neighboring
stations. Tc is the average transfer time, which is set to 1 minute. The term bC ( p, s) is
adopted to reect how passengers are reluctant to transfer. Sometimes, passengers would
rather choose a route with smaller C ( p, s), despite the fact that the travel time on this route
is longer. D ( p, s, t) is dened as D ( p, s, t) = max( Dtr , D pl ), where Dtr = maxi I ( Dtr,i ) and
D pl = max j J ( D pl,j ). Here Dtr,i is passenger density on train i at time t, and D pl,j is passenger
density on platform j at time t; I denotes the set of all trains that move on route s at time t; J
denotes the set of all platforms on route s.
The normalized probability P ( p, s, t), for the passenger p to select route s, is described as
follows,


exp E ( p, s, t)

.
(12)
P ( p, s, t) =
s i S( p) exp E ( p, si , t)
This means that the smaller the cost E ( p, s, t) is, the larger is the probability that the route will
be selected.
4.2.2 Train movement model

For simplicity, we assume that each segment of all lines is partitioned into four identical cells
and each platform is designated as one cell such that each cell can also accommodate at most
one train at a time. Fig. 14 depicts the hopping probabilities in the train model schematically.
Let us denote the probability that trains hop into a non-platform cell as Q, the hopping
probability of a train to a platform cell as H, the number of passengers waiting at the platform

Cellular
Automaton
Modeling
of Systems
Passenger Transport Systems
Cellular Automaton
Modeling of Passenger
Transport

269
15

(a) One of the traditional methods

(b) Our homogenization method

Fig. 15. Two types of the re-scheduling methods. The traditional rescheduling method (a) is
to adjust the time gap to Tsch . However, our homogenization method (b) is to adjust the time
gap to a value which depends on the distribution of the number of passengers.
at the instant of time when a train arrives at the upstream neighboring cell as W and the
maximum carrying capacity of trains as Wmax , we assume that


1
,
Q
,
(13)
H = min
a min(W, Wmax ) + 1
where a is a parameter. However, if the train fails to hop into the platform cell once, then it
will hop with probability Q in the next time step. This is because trains are controlled in units
of very small segment by the railway signaling system, and it is not realistic that trains stop
stochastically again and again. In this section, the parameters are set to a = 0.2, Q = 1.
4.2.3 Homogenization re-scheduling

Now let us propose a homogenization re-scheduling method. Suppose there is a sudden

increase in passengers at a station. Since there are a lot of passengers waiting on the platform,
the nearest upstream train from the station will become congested and thus delayed. If there
is no re-scheduling, this train will become more and more delayed at the next stations.
In order to solve this problem, some re-scheduling method could be adopted by delaying the
preceding trains of the delayed train, so that the congestion could be shared by preceding

270

Infrastructure Design, Signalling and Security

in Railway
Will-be-set-by-IN-TECH

16

trains. In the conventional re-scheduling method, this is fullled by equalizing the time gaps
between neighboring trains. For instance (see Fig. 15), suppose that train B is expected to
arrive at the next station at time t = TB and train A is expected to arrive at the station at time
= T T T
t = TA . If TA TB > Tsch , then the delay time of train B is determined by TD
B
A
sch
(see Fig. 15 (a)). Here Tsch is the scheduled time gap.
The delay times of trains located further downstream can be calculated similarly.
In our homogenization re-scheduling method, the number of passengers in each train is
homogeneously-distributed by adjusting the distribution of trains as shown in Fig. 15 (b).
Here PB and PA correspond to the number of boarding passengers on trains B and A
respectively. Ps denotes the number of passengers waiting at the platform. EB and E A denote
the number of passengers that will get off at the station i. Let symbol I be the number of
passengers who arrive at the station per unit time. The expected arrival times of B and A
at the station i are still denoted as TB and TA . Our objective is not equalizing the time gap
but homogenizing the number of passengers, that is, the number of passengers on B and A is
homogenized by extending TB to X. We calculate X from the equation 10
PB + ( Ps + IX ) EB = PA + I ( TA X ) E A .

(14)

The left-hand side (right-hand side) of (14) is the number of passengers on B (A) after
departing from the station. The delay time TD of B is thus decided by
TD = X TB .

(15)

Having obtained the delay time of train B, the delay times of trains located further
downstream can be calculated similarly.
4.3 Simulations and results

Fig. 16 shows two snapshots of our simulator KUTTY which display the direct simulation
model and the ow pattern of the passengers of each segment as a visualization on the route
map.
By simulating the ow of passengers quantitatively in all segments all over the network, we
have found that the most congested area in the Tokyo Metro Railway Network is Otemachi
Station on the Tozai Line (T09). Based on this result, we have simulated the case where
a virtual accident occurs at Otemachi Station on the Tozai Line so that the trains of Tozai
Line could only be operated on two sides of the station. Under this circumstance, the ow
pattern of passengers will be changed signicantly. This simulation, therefore, provides a very
important clue for train scheduling with respect to the potential needs of users for alternative
routes in case of accidents.
Fig. 17 shows the quantitative results of several simulations. Fig. 17 (a) shows that the number
of passengers who take the Tozai Line decreasing by about 25 percent from normal operation
due to the accident at T09. In contrast, the number of passengers who take the Ginza Line and
the Hibiya Line increases by about 15 percent and 10 percent respectively. We believe this is
10

Here we would like to mention that Eq.(5) is not always valid. For example, when PB + Ps EB > Wmax ,
Eq.(5) will be invalid. In order for Eq.(5) to be valid, the conditions TB < X < TA and 0 < PB + ( Ps +
IX ) EB < Wmax should be met. Fortunately, in our simulations, this is always the case.

Cellular
Automaton
Modeling
of Systems
Passenger Transport Systems
Cellular Automaton
Modeling of Passenger
Transport

(a) Dynamical animation window

271
17

(b) Visualization window

Fig. 16. Snapshots of our simulator KUTTY. (a) The dynamical animation window of our
model. (b) The entire map view, used to visualize the changing-ow in the route map. In
KUTTY, the high ow regions (low-ow regions) are colored red (blue). This ow
dynamically changes with time.

(a) per train in each line

(b) per segment of the Ginza Line

Fig. 17. Comparison plot of the number of passengers between normal operation and
operation with an accident at T09. (a)The number of passengers in each line comparing
ordinary operation and congested conditions. (b)The number of passengers in each segment
of the Ginza Line comparing ordinary operation and congested conditions.
because the Ginza Line intersects with the Tozai Line at T10, and the Hibiya Line intersects
with the Tozai Line at T11, both of which are important transfer stations. In contrast, the
Hanzomon Line intersects with the Tozai Line at T07, which is not such an important transfer
station as T10 and T11. As a result, the passenger ow of the Hanzomon Line is essentially
unaffected. Moreover, this result also implies that Otemachi Station is not the destination of
most passengers on the Tozai Line, because otherwise the ow rate of the Hanzomon Line
would increase (from T10 to Z09 to Z08, and from T07 to Z07 to Z08). Fig. 17 (b) shows the
number of passengers on all segments of the Ginza Line. It can be seen that in the area from
G05 to G11, the number of passengers increases remarkably. By transferring at these stations,
passengers could change to the Marunouchi Line at G09, the Chiyoda Line at G06, and the
Namboku Line at G05 and G06. Note that under normal operation, passengers change to the

272

18

Infrastructure Design, Signalling and Security

in Railway
Will-be-set-by-IN-TECH

Fig. 18. Comparison plot of the passenger density of train A among the three systems. The
congestion rate among the uncontrolled system, ordinary controlled system, and our
homogenization system.
Marunouchi Line and to the Chiyoda Line at Station T09 and to the Namboku Line at Station
T06.
Next we investigate the effect of our homogenization re-scheduling method. We suppose that
the number of passengers waiting at G03 on the Ginza Line increases suddenly at t = t0 ,
so that the passenger density of the nearest upstream train A becomes 1 when it arrives at
G03 at t = t1 . We have compared the evolution of the passenger density on train A in
three systems: the system without re-scheduling, the system with conventional re-scheduling,
and the system with homogenization re-scheduling. In Fig. 18, it can be seen that systems
with re-scheduling decrease the passenger density of the train when the train is between
G13 and G18. Moreover, we have found that our homogenization method is better than the
conventional re-scheduling method.

5. Concluding discussions
In this chapter, we have proposed a new mathematical model for passenger transport systems,
the so-called public conveyance model, built on the stochastic cellular automaton, which is
exactly solved in the steady state. First, we dened the jamming state as a mathematical
science and introduce the fundamental diagram to discuss the ow of particles. As two
examples of analytical rule-based models, ASEP and ZRP, the fundamental diagrams obtained
from numerical simulations and analytical calculations have been demonstrated.
As a one-dimensional case of public conveyance model, we investigated the bus route system
and its efciency by introducing three measurements: average velocity, the number of waiting
passengers and transportation volume. Moreover, the effectiveness of an information-based
control system, in which the number of particles between successive stops is adjusted, was
discussed by comparing the case without control and with control in terms of these three
measurements. As we found that implementation of the information-based trafc control
system does not necessarily always improve the efciency of the public conveyance system.
As an application of the public conveyance model, we have proposed a network simulator
KUTTY, which is based on the route choice behaviors of passengers. KUTTY takes into
account the complex topology of the Tokyo Metro Railway Network and the OD demand
estimated from the rider-ship data provided by the Tokyo Metro company. KUTTY can

Cellular
Automaton
Modeling
of Systems
Passenger Transport Systems
Cellular Automaton
Modeling of Passenger
Transport

273
19

immediately provide an estimation of the passenger ow pattern required when an accident

occurs in the Tokyo Metro Railway Network. Furthermore, we have also presented a
homogenization re-scheduling method to alleviate congestion of a crowded train. It is based
on the idea that the number of passengers in each train should be homogeneously-distributed.
We found that our method is more efcient than the conventional approach.
Finally, we hope that this mathematical model and this simulator as an application of
the mathematical model can be applied to other transportation systems and help in
demonstrating the dynamical patterns and estimating the efciency, trafc volume, and the
other measurements to optimize their operation.

6. Acknowledgements
This chapter is owed to colaborated works with my colleagues. I would like to give a huge
thanks to Debashish Chowdhury, Andreas Schadschneider, Katsuhiro Nishinari, Rui Jiang,
Daichi Yanagisawa, Ryosuke Nishi, Mitsuhito Komatsu, Il Yun Yoo, Makoto Uchida, and Ryo
Takayama for enjoyable collaborations.

7. References
[1] D. Chowdhury, L. Santen and A. Schadschneider, Phys. Rep. 329 (2000), 199-329.
[2] D. Helbing, Rev. Mod. Phys. 73 (2001), 1067-1141.
[3] A. Schadschneider, D. Chowdhury and K. Nishinari, "STOCHASTIC TRANSPORT IN
COMPLEX SYSTEMS FROM MOLECULES TO VEHICLES", Elsevier, (2010).
[4] K. Nishinari, Distributed Autonomous Robotic Systems 8, p.175 (2009).
[5] K. Nishinari, Y. Suma, D. Yanagisawa, A. Tomoeda, A. Kimura and R. Nishi, Pedestrian
and Evacuation Dynamics 2008, pp.293-308 (2010).
[6] B Derrida, M R Evans, V Hakim and V Pasquier, J. Phys. A: Math. Gen. 26 1493 (1993).
[7] M. Schreckenberg, A. Schadschneider, K. Nagel and N. Ito, Phys. Rev. E 51 2939 (1995).
[8] F. Spitzer, Adv. Math. 5, 246 (1970).
[9] M. R. Evans, J. Phys. A: Math. Gen. 30, 5669 (1997).
[10] M. R. Evans and T. Hanney, J. Phys. A: Math. Gen. 38, R195 (2005).
[11] M. Kanai, J. Phys. A: Math. Gen. 40 pp.7127-7138 (2007).
[12] A. Tomoeda, D. Chowdhury, A. Schadschneider and K. Nishinari, Physica A, 384,
600-612 (2007).
[13] A. Tomoeda, M. Komatsu, I. Y. Yoo, M. Uchida, R. Takayama and K. Nishinari, Cellular
Automata (Lecture Notes in Computer Science, Springer), 5191 (2008), 433.
[14] A. Tomoeda, M. Komatsu, I. Y. Yoo, M. Uchida, R. Takayama, R. Jiang and K. Nishinari,
GESTS International Transaction on Computer Science and Engineering, 54, 81, (2009).
[15] C. Arita, Phys. Rev. E, 80, 051119, (2009).
[16] C. Arita and D. Yanagisawa, J. Stat. Phys., 141, 829, (2010).
[17] S. Wolfram, Theory and Applications of Cellular Automata (1986) (Singapore: World
Scientic).
[18] S. Wolfram, Cellular Automata and Complexity (1994) (Reading, MA: Addison-Wesley).
[19] A. Schadschneider, Physica A 313, 153 (2002).
[20] R. Jiang, B. Jia and Q.S. Wu, J. Phys. A 37, 2063 (2004).
[21] O. J. OLoan, M. R. Evans, M. E. Cates, Europhys. Lett. 42, 137 (1998); Phys. Rev. E 58,
1404 (1998).

274

20

Infrastructure Design, Signalling and Security

in Railway
Will-be-set-by-IN-TECH

[22] D. Chowdhury, et al., J. Phys. A, 35, L573 (2002).

[23] A. Kunwar, et al., J. Phys. Soc. Jpn., 73, 2979 (2004).
[24] A. Tomoeda and K. Nishinari, in the proceedings of SICE Annual Conference, 2008
(2008) 549.
[25] K. Nishinari and D. Takahashi, J. Phys. A: Math. Gen. 32, 93 (1999).
[26] S. Yukawa, M. Kikuchi and S. Tadaki, J. Phys. Soc. Japan 63, 3609 (1994).
[27] M. Pursula, Simulation of trafc systems - an overview, Journal of Geographic
Information and Decision Analysis 3 (1999) 1.
[28] V. Latora and M. Marchiori, Physica A, 314 (2002) 109.
[29] D. J. Watts and S.H. Strogatz, Nature, 393 (1998) 440.
[30] D. Meignan, O. Simonin and A. Koukam, Simulation Modeling Practice and Theory, 15
(2007) 659.
[31] E. W. Dijkstra, Numerische Mathematik, 1 (1959), 269.

11
Gaming Simulations for Railways:
Lessons Learned from Modeling Six Games
for the Dutch Infrastructure Management
1Delft

Sebastiaan Meijer

University of Technology
2Royal Institute of Technology, Stockholm
1The Netherlands
2Sweden
1. Introduction
The Dutch railway system is a highly complex and heavily utilized network (Goverde, 2005;
CBS, 2009). Worldwide it is one of the most densely driven networks, yet its capacity has to
increase further. Improvements in the domain of capacity management and traffic control
are increasingly difficult to implement because of the large interconnectedness of all
processes. The de-bundling of rail infra management (ProRail) and train services
(predominantly NS, and some smaller regional lines by Syntus, Veolia, Arriva a.o. plus
freight train operators) has created an operational process in which multiple offices and
platform/line operations need to synchronize to control the daily train flow.
ProRail, the Dutch railway infrastructure manager, has stated a goal to increase the capacity
by 50% as a challenge till the year 2020. This cannot be done the old way through increased
amounts of physical infrastructure, as both money and geographical space are insufficient.
Furthermore, the complexity and interconnectedness of the network is yet at such a level
that more of this will lead to less resilience and becoming (even more) prone to
disturbances. Because of the 50% growth challenge till the year 2020, new and smarter ways
of managing capacity and traffic are key for the success of the Dutch rail infrastructure for
society. The ProRail organization has taken up gaming simulation as a key method to
improve the innovation process (Meijer, forthcoming).
Unique for gaming simulation is the highly detailed simulation of both technical and
process variables of rail infrastructures and the decision and communication function of real
people in their real roles. The method does not assume models of decision-making but
draws upon the real-world knowledge of professionals in the operation. Over the course of
the projects that ran in 2009, 2010 and 2011, the specific setting of the ProRail organization
proved to be both a complex and fruitful environment for gaming simulation. The
complexity was found in the large number of stakeholders both in and outside the
organization and in the interconnectedness of every aspect of train traffic control on the
performance of passenger and freight train service providers.

276

Infrastructure Design, Signalling and Security in Railway

In the year 2009, the gaming group of Delft University of Technology was asked to facilitate
three projects using gaming simulation methodology. These projects ran so successful that
the organization asked the Delft researchers to identify where in the organization large-scale
implementation of gaming simulation methodology would be most promising. Based upon
a series of interviews through the organization, ProRail and TU Delft jointly formulated a
four-year research and implementation proposal that is now in operation. The first gaming
sessions in this new collaboration have been held and results have led to methodological
lessons-learned on how to model. This chapter reports on three modeling issues crucial to
gaming simulation for railway and similar systems. How to abstract from the nitty-gritty
details while keeping the simulation real and valid enough for real-world operators to
participate and do their job is the focus of this chapter.

2. Problem description
Innovation in the Dutch railways is on one hand much needed, while on the other hand very
complex to achieve. The 1995 politically instigated de-bundling of rail infra management
(ProRail) and train services (predominantly NS, and some smaller regional lines by Syntens,
Veolia, a.o.) has created an operational process in which multiple offices and platform/line
operations need to synchronize to control the daily train flow. The increasing importance of
rail services for individual provinces in the Netherlands has led to multi-party tendering (Van
de Velde et al, 2008). In this complex multi-actor and multi-level environment the strategic
safeguarding of public values in managing operations proofs often impossible (Steenhuisen et
al, 2009). The combination of these events and trends leads to a challenge to innovate on two
aspects, being quality in operations and ways to increase the capacity.
2.1 Quality in operations Robustness and resilience
Over the past decade, the railways in The Netherlands have received major criticism for the
quality of its operations. From a policy perspective this has led to performance contracts for
both the main train service operator (NS) and the publicly owned infrastructure manager
ProRail (Van de Velde et al, 2009). Over the past decade the performance has seen
improvements on the critical performance indicators, but still it is not regarded to be a high
quality service due to many small delays, overly crowded trains and non- or mal-informed
passengers. The rail system often suffers from small defects, leading to bigger delays when
the problems spread like an oil spill over the regions and lines. If we define robustness as
the degree to which a system is capable to withstand problems within the limits of the
designed system, then the robustness of the railways is questionable.
A lower score on robustness would not have been so detrimental is the railways were more
resilient. Hollnagel et al (2006) define resilience as the ability of a system or an organization
to react to and recover from disturbances at an early stage, with minimal effect on the
dynamic stability. The challenges to system safety come from instability, and resilience
engineering is an expression of the methods and principles that prevent this from taking
place. Furthermore the recent years have shown that snow, storms, national festivities and
other outliers in the situation for which the system is not specifically designed cause total or
at best partial collapse of the national system, as soon as small problems start to occur. This
has led to Parliamentary Investigation (Rekenkamer, 2011). According to Hale and Heijer

Gaming Simulations for Railways:

Lessons Learned from Modeling Six Games for the Dutch Infrastructure Management

277

(2006), railways, from their assessment of safety operations at the Dutch Railways, would
seem to be examples of poor, or at best mixed, resilience, which can, however, still achieve
high levels of safety, at least in certain areas of their operations. Hence safety is achieved by
sacrificing goals, traffic volume and punctuality. The system does not achieve all its goals
simultaneously and flexibly and is not resilient.
2.2 Capacity increases
The Dutch railway sector will face a massive growth of transport demand in the
forthcoming decade. This growth is both expected in passenger and in freight transport.
Currently, the Dutch railway network is one of the most densely used networks in the
world, approaching its maximum capacity given the current infrastructure and control
mechanisms. The projected increase in demand requires a step-change in both the physical
and control aspects of the railways. ProRail formulated an ambitious program, called Room
on the Railways (Ruimte op de Rails, in Dutch) to increase the number of trains on the
network by 50% before the year 2020. One of the major components of this program is the
plan for high-frequency passenger trains on the major corridors. Currently there are (on
average) 4 intercity, 2 to 4 local and 1 or 2 freight trains per hour on the major corridors. This
should increase to 6 intercity, 6 local and 2 freight trains before 2013. This new frequency of
trains is often called untimetabled travelling as the passenger can just go to a station
without checking departure times: the next train will be there soon. The official title of the
schedule is High Frequency Train Transport.
The projected increase of capacity cannot be achieved by building new infrastructure alone:
the costs for the complete program would be around 9 billion euro, and the time for
procedures and construction would frustrate the transport demand for years. ProRail has
taken up the challenge to achieve the goals with only half of this budget by combining
strategic choices for new infrastructure with new control and management solutions.

3. Gaming simulation for process innovations

Gaming simulation, here defined as simulating a system through gaming methods is one
of the terms in a loosely demarcated field of interactive participatory activities, aiming to
involve participants, who may be the real stakeholders, in an activity. Other terms used are
simulation game, policy exercise and serious gaming. The word gaming will be used here as
the short term for gaming simulation. Different authors have different preferences, but in in
general the terms depend on the intended use of the method.
Game theory and gaming simulation are often intertwined. Game theory is the
mathematical approach of analyzing calculated circumstances where a persons success is
based upon the choices of others. In games, these situations often occur, and therefore is
game theory a popular method of modeling artificial intelligence in games. This chapter
does not use game theory per se, however a more prominent and explicit use is foreseen in
future games that incorporate automated agents.
Given the number of gaming titles and scientific publications, the use of gaming methods
for learning is the most popular by far, typically occupying serious gaming and simulation
game for usually computer-supported games that place the player in a simulated world

278

Infrastructure Design, Signalling and Security in Railway

(Bekebrede and Mayer, 2005; De Freitas and Martin, 2006; Kriz and Hense, 2003). Learning
about innovation in games is a popular topic for MBA-style versions, typically related to
markets and supply chains (Meijer et al, 2006; Meijer, 2009). Learning and communicating
complex issues are in this stream highly related. An important aspect for ProRail is the
opportunity to communicate ideas. While a slideshow can communicate a message, a
gaming simulation enables you to experience it for yourself (Bekebrede, 2010). The aspects
about which it is sometimes difficult to communicate at present include: the impact of new
timetables (on all categories of employees), the need for precision in carrying out tasks
(employees), the influence of disruptions on the network as a whole (general public) and to
experience the key aspects of traffic control / capacity management (general public). At
present, visualizations of train flow models such as FRISO and SIMONE (Middelkoop and
Loeve, 2006) are available, but it is not possible to experience these aspects by sitting at the
controls. The opportunity for communication gives employees the chance to play a role that
they do not have in reality. This can help clarify different points of view.
In the world of policymaking, there is half a century of history in using gaming as an
intervention to bring together policy makers and other stakeholders in participatory events.
Games provide a way to collectively decide firstly on the system boundaries and secondly
on the dynamics of the system that will be played. Then, policies can be formulated in this
simulated environment (Duke, 1974; Duke and Geurts, 2004; Mayer, 2010). This approach
relies on Duke and Geurts (2004) 5-Cs of gaming simulation for improving policy making,
namely by understanding the Complexity, enhancing Creativity, enabling Communication,
reaching Consensus and Commitment to action. Within ProRail this role of gaming
simulation is particularly relevant for management questions.
Increasingly popular is the possibility to try out the effect of policies on a simulated system,
and see whether innovation in roles, rules, objectives and constraints can be made. This
approach, although very relevant for policy-making, is actually a third use of gaming, for
testing hypotheses (Peters et al, 1998). This application is less common and puts great
emphasis on the verification and validation of the gaming simulation (Klabbers, 2003, 2006;
Noy et al, 2006; Meijer, 2009). For innovation at ProRail, this use is at the core of the
reasoning behind choosing gaming simulation as a new method in reducing uncertainty in
more complex, system level changes.
A fourth use that is emerging is linked to the gamification of society (Hiltbrand and Burke,
2011). Innovation can take place through game play if the incentives are such that the crowd
can generate and implement their ideas in a system. Few scientific literature on this exists as
of yet, but examples are UK innovation in pensions (Gartner, 2011), crowd sourcing of ideas
in an insurance company (Bekebrede and Meijer, Forthcoming)

4. Modeling challenges in gaming simulation for railways

In the world of gaming simulation several design guides and principles exist on how to
capture real world problems in a gaming simulation. In the field of policy making the most
important method is the one that Duke and Geurts (2004) describe, where for learning, sensemaking and related issues the more recent work of Harteveld (2011) is gaining footage among
some others. However, the problem is that these methods are so generic that the specific issues
for technical domains like the railways have to be addressed specifically for that domain. A

Gaming Simulations for Railways:

Lessons Learned from Modeling Six Games for the Dutch Infrastructure Management

279

second issue, especially with the more policy-oriented approaches and the popularity for
learning in higher education is the focus on participants with a relatively large capability in
thinking abstract, as policy makers and students tend to have more of this skill than the
average operator. Peters et al (1998) describe the process from real world to simulated game
world as a process of abstraction and reduction. The big question is how far can you abstract
and reduce from reality before operators loose their grip on the simulated reality?
The operational skill training is recently getting more and more addressed in the gaming
literature. Druckman (1994) proved already the need for more fidelity (that could be
translated as detailed realism) when training less abstract skills. Applications for operational
skill training is getting common in the domains of image-based medical procedures (like
laparoscopy, gastrointestinal flexible endoscopy, image-guided neurosurgery, and
endovascular surgery) (Gaba, 2001; Botden et al, 2008; Hamdorf and Hall, 2000), aviation
(Proctor et al, 2007), and safety training for dike inspection (Harteveld, 2011) and the oil and
gas industry (Meijer and Poelman, 2011). Each of these domains finds a solution in 3D-based
computer games that model an environment, either geographical or the organs in a body,
through which the player has to navigate and perform a coherent set of actions. There is an
overlap between the fields of virtual reality, simulation and gaming here.
Involving operators in games for policymaking or for testing hypotheses is almost
undocumented, with some notable exceptions like the work at CIRAD and Cemagref
(Barreteau, 2003). Traditionally the questions in policymaking and the hypotheses tested are
at a higher level of abstraction. In Meijer (2009), the author argued that involving the real
operators in a gaming simulation has the benefit of avoiding models and assumptions about
their behavior, and thus can increase the validity of the behavior of the entire socio-technical
system simulated. This has been proven in the domain of supply chain management
research, studying the organization of transactions.
In our work we focus on the behavior of the people in the daily operations in railway
systems, with a focal point at the train traffic controllers. Within the scope of the
infrastructure management ProRail, their behavior has the most direct influence on the
robustness and resilience of the network. To base decisions upon their behavior in gaming
simulations it is essential to consider the validity of this behavior.
The most common critique for behavior observed in a session is it is only a game...... In the
literal meaning the statement is true. A gaming simulation is a model of reality, and the
roles, rules, objectives and constraints are necessarily different from the real world. The
insinuation of the statement is, however, that behavior observed in a session is unlike
behavior in the real world and is no valid representation of real-world behavior. Peters et al
(1998) discuss the validity of games (gaming simulation) based upon the work of Raser
(1969) who defined validity of models in the following way: A model can be said to be
valid to the extent that investigation of that model provides the same outcomes as would
investigation in the reference system. Raser (1969) suggests four aspects of validity that
apply to gaming simulation:

Psychological reality: To what degree does the gaming simulation provide an

environment that seems realistic to the participants?
Structural validity: To what degree is the structure of the gaming simulation (the theory
and assumptions on which it is built) isomorphic to that of the reference system?

280

Infrastructure Design, Signalling and Security in Railway

Process validity: To what degree are the processes observed in the gaming simulation
isomorphic to those observed in the reference system?
Predictive validity: To what degree can the gaming simulation produce outcomes of the
historical or future reference system?

The psychological reality demands that sessions are conducted in such a way that participants
are emotionally involved and really play their role. The situation of the session in the life of the
participants, the consequences of participation or non-participation and the location and
atmosphere of a session and its moderation are important factors. This requires craftsmanship
of the game leader that is hard to operationalize in a scientific context. Various authors have
made attempts at determining the quality of conducting sessions. Kriz and Hense (2006) offer
an elaborate and theory-based evaluation methodology, that according to Klabbers (2008) does
a good job in (temporarily) bridging the gap between analytical and design sciences. Kriz and
Henses approach is an adapted version of the theory-based evaluation method by Reynolds
(1998). They distinguish between concept, design and application that can be evaluated.
The psychological reality and process and structural validity of Raser (1969) come together
in the concept of situation awareness (Endsley, 2004) for operators. Operators should get
involved psychologically when they can recognize sufficient components of the processes
and structures they are used to in their real work. In the medical world this has led to
consensus guidelines for validation of virtual reality surgical simulators (Carter et al, 2005),
but in railways this work is only done for train drivers (Hamilton and Clarke, 2005)
When we take the concept of situation awareness as the central concept for considering the
validity of railway operator behavior in gaming simulations, the list of items in the situation
awareness still becomes vast. The modeling issue could include nearly any technical aspect
of the railways, interface and representation items as well as the cognitive state of operators
during their normal workdays. This chapter focuses on three important issues, posed as
how-to questions:
1.

2.

3.

How to immerse train traffic controllers in a gaming simulation?

Immersion is one of the important indicators of presence and therefore psychological
reality in simulated environments (Witmer and Singer, 1998). Therefore an indication of
how to model a game so that railway operators get immersed in a first important step
towards validity.
How to model time?
Where real-world train flow is a continuous time process, this does not necessarily
translate one-to-one to a gaming simulation, as the research question may ask for
another solution than continuous, like step-wise, round-based, or asynchronous time.
How to present operational data?
In the real operations the data flow to operators is bundled in machine interfaces or is
fairly constant as time tables typically change only once a year, and infrastructure
doesnt change fast either. In a game the standard tools may not be available and
timetables and infrastructure may be new to the participants. How to present the
information so that operators can still use it?

These questions will be answered in the remainder of this chapter. The next section
discusses six projects from which the experiences are gained, then Section 6 translates this
into lessons learned.

Gaming Simulations for Railways:

Lessons Learned from Modeling Six Games for the Dutch Infrastructure Management

281

5. Modeling gaming simulations for rail innovation projects

As of 2011, the gaming collaboration resulted in six different gaming simulations,
specifically built for innovation projects within ProRail. Each of these projects used gaming
simulation to investigate various solution strategies with the aim of increasing capacity
utilization, resilience and robustness on the rail network. The initial pilot project covered
three projects while the long-term collaboration yielded three so far.
From the launch of the initial project, ProRail formulated three preliminary cases to study
using gaming simulation. TU Delft was to developed unique approaches for each of these
cases, after which the initial success of gaming simulation for the Dutch Railways would be
re-evaluated. The cases differed in nature. The first was about the potential value of market
mechanisms for management of demand of cargo capacity. This game could be seen as a
management game on the tactical level. The second case was about studying a control
concept for high-frequency train transport at the Bijlmer junction. This game was at the
operational level of train dispatching and network control. The third case was about the
opening regimes of the bridge over the river Vecht. This game was purely about train
dispatching at the operational level.
During the course of these three cases, the success became very apparent to the senior
management involved at ProRail. This led to an Intermezzo phase after the third game to
reflect upon the results so far and to identify the value from interviews with ProRail internal
stakeholder held by Delft researchers. The launch of a large four-year project was marked by
a kick-off case that convinced the last skeptics. In the following sub-sections each of the
cases and the intermezzo phase are described.
5.1 Rail cargo market game (RCM)
The first and kick-off subproject called Goederenmarktplaats (Freight Market) introduced
ProRail to a paper-based and partly computer-supported game with a high degree of
abstraction. This game type was referred to as a management game, due to the focus on
more abstract policy-related aspects. Most of the participants were managers, with one
session including a small number of network controllers.
Table 1 lists the core description of this game, more information can be found in Meijer et al
(2009).
The game sessions delivered results timely, and in a positive and active manner. This game
is still referred to two years later in the organization. Important to note for the introduction
of gaming is that this project happened to have many people on board in senior staff
functions from two different divisions (Traffic Control and Capacity Management) who
appeared to be key people in later problems that called for gaming simulation methodology.
The foundation in terms of exposure to key personnel therefore couldnt be better.
The research team then conducted interviews within ProRail to evaluate the pilot project
and identify the opportunities it presented. In these interviews, the management game was
repeatedly described positively. However, this generated few new ideas as regards
applicability. Many of the issues encountered within the ProRail organization are
operational and thus call for less abstract forms of gaming simulation.

282
Core aspect
Purpose
Roles
# of players
Own/real/fictitious role
Scenarios
Intervention range
Simulated world
Immersion
Time model
Data presentation

# of sessions
Type of data generated
Consequences

Infrastructure Design, Signalling and Security in Railway

Description
Studying the potential value of various market mechanisms
for better capacity allocation of cargo paths.
Clients with demand for transport, Rail Cargo Transporters,
Passenger Transport, Rail Capacity Planning, Rail Asset
Management
15 25 depending on step
Real role, but selected for knowledge for instance from
previous job position.
3 4 scenarios per session. First scenarios that explored the
more fundamental market mechanisms. Then scenarios to
validate the successful configurations.
Facilitator could start and stop the scenario and dissolve
disputes only on the process steps.
Stylized train path market, stylized transport demand
Fast, once roles were clear and adopted. Lively play including
some conflicts. Capacity planners in second session had issues
getting insight in their track system.
Continuous
Simplified to stylized network, simplified timetable and
simple contracts. Big jump between session 2 and 3 when
replacing capacity planners with computer reservation system
that was similar conceptually.
3 subsequent games each with 1 session during 1 full day.
Quantitative and qualitative, testing hypotheses about
mechanisms that are assumed to have a certain effect on
capacity allocation.
Policy formulated but put out of scope for 2010/2011, possible
application in 2012. Politically very sensitive.

Table 1. Core description of Rail Cargo Market Game

With respect to the three modeling issues we learnt that it is very hard to have operational
level people in an abstract simulation when they have to work on infrastructure and
timetabling they do not recognize. The usual flexibility that is commonly found in gaming
with groups of higher education is not working here. To overcome this, we automated some
of their tasks in the game into a computer model for train path reservations. This worked
flawless for the more management-like question of this game.
5.2 Bijlmer junction game
This subproject introduced ProRail to a computer-based gaming simulation developed on
ProRails own MATRICS simulator (Van Luipen and Meijer, 2009). This simulation pushed the
envelope in terms of utilizing the technical specifications of MATRICS. This type of game was
described as a multi-player process simulation due to its detailed reflection of real-life
operational processes. The participants play a pre-defined role that is 100% identical to their
job description, to carry out their real-life duties in a simulated game environment. Table 2 lists
the core description of this game. For a full description we refer to Meijer et al (2009).

Gaming Simulations for Railways:

Lessons Learned from Modeling Six Games for the Dutch Infrastructure Management

Core aspect
Purpose
Roles
# of players
Own/real/fictitious role
Scenarios
Intervention range
Simulated world
Immersion

Time model
Data presentation
# of sessions
Type of data generated
Consequences

283

Description
Testing and validating a control concept for high frequency
train transport.
Train driver (2), Train traffic controller (3), Network
controller (5)
10 plus 2 facilitators and 2 experts.
Own role, participant selected by their team leaders
3 Scenarios, gradually testing more complexity.
Facilitators could start, stop and pause scenarios and
interfere with train driver behavior.
Detailed infrastructure between Amsterdam and Utrecht,
detailed timetable.
Very fast and deep for train drivers and network controllers.
Difficult for train traffic controllers; see discussion in Meijer
et al (2009).
Continuous
Highly detailed through computer interface. Interface
different from real-world abstraction.
1 full day session
Quantitative (failed) and qualitative.
Data generated in the game yielded insights in key materials
and resources needed for implementation of the control
concept, and high-frequency planning in general.

Table 2. Core description of Bijlmer Junction Game

ProRail had assigned a project team to come to new control and steering procedures that
suite the future reality of high-frequency passenger trains. The challenge of this project team
was to come up with new concepts that would both be supported by train traffic controllers
and network controllers, and would yield a stable, controllable control and routing
operation when put into place. The question was raised: how to test new control and
steering concepts when there is no option to test in real life? The Bijlmer Junction Game was
targeted at this. In the game the interaction of train drivers, traffic controllers and network
controllers was crucial, as studied earlier by Albrecht (2009).
The gaming simulation session yielded insights in key materials and resources needed for
implementation of the control concept, and high frequency planning in general. The
importance of buffer areas with sufficient space to side-track a train without disturbing
other services, platforms asides the entire train for passenger exit, and alternative departure
options for all passengers within reasonable time is a clear outcome for ProRail.
Furthermore, train traffic controllers do not yet seem to realize what the projected highfrequency planning will mean in practice for their tracks.
As described in Meijer et al (2009), this game was not a break-through success. We learned
that involving the operational people in the organization in a game that modeled the
infrastructure and timetabling as detailed as they are used to, requires interfaces that
connect to the situation awareness capabilities of these operators. Simple said: even though
we checked our approach upfront with the operators, they were not able to do what they

284

Infrastructure Design, Signalling and Security in Railway

though were capable of due to different visualization. Luckily, the debriefing and
discussions still yielded sufficient data of sufficient quality for ProRail to be able to
contribute to the problem solving. For the gaming team, this experience led to the
development of the following game.
5.3 Railway bridge game
The subproject Railway Bridge Game (for a bridge over the river Vecht) introduced ProRail
to the process management game, a computer-based gaming simulation for which new
software was developed. Over the course of one week, various train traffic controllers
played this game in a single-player environment using a series of scenarios. The type of
game was described as a single-player process simulation. Table 3 gives the core description
of this game. More information can be found in Kortmann and Sehic (2010).
Core aspect
Purpose
Roles
# of players
Own/real/fictitious role
Scenarios
Intervention range
Simulated world
Immersion

Time model
Data presentation
# of sessions
Type of data generated
Consequences

Description
Studying a new regime for bridge openings on the busy
Amsterdam Amersfoort corridor.
Train traffic controller. Bridge operator (simulated)
1
Own role.
5, each subsequent day the same train traffic controllers
played one scenario of increasing complexity
Facilitator played other roles
Detailed infrastructure, detailed timetable
Good to very good. More experienced train traffic controllers
had more hesitancy towards the computer system, but once
used to it scored better with more situation awareness.
Continuous
Detailed through near-familiar computer interface.
1 session, full week
Mainly quantitative (measured actions and train throughput,
questionnaires) and qualitative from interviews
None as of 2011, new game with improved interfacing
planned for winter 2012 testing more details.

Table 3. Core description of Railway Bridge Game

The Railway Bridge Game was positively received. It learned that the drawbacks of the
interface problem signaled in the Bijlmer Junction Game could be overcome by making
special gaming modules. In these modules the representation of the infrastructure and the
control options can be made closer to the real world systems. Given the differences between
experienced and less experienced controllers we conclude that more resemblance is better
for immediate immersion, but not necessarily related to the quality of the decision once a
certain threshold of realism is reached.
Playing the game showed its potential to help solve the bottleneck of the Vecht Bridge on
the OV-SAAL rail corridor. Under increasing loads of timetabling the experienced operators
scored significantly better than operators in training. Under light loads this was the other

Gaming Simulations for Railways:

Lessons Learned from Modeling Six Games for the Dutch Infrastructure Management

285

way around, showing the difficulty of experienced people to overcome differences in the
user interface, but as soon as craftsmanship was required to minimize delays the experience
helped keeping control.
Both single-player and multi-player gaming simulation were readily welcomed by almost
all of the stakeholders in the organization as a valuable new resource for ProRail as an
organization. The aspect of the multi-player gaming simulation that prompted a particularly
positive response was the opportunity to test the feasibility of timetables, control concepts
and exceptional situations in a setting that includes several layers of management and/or
control areas. The aspect of the single-player gaming simulation that prompted a
particularly positive response was the opportunity to train and practice in relation to
exceptional situations and future timetables and infrastructures in an offline setting, using
simulated trains.
5.4 ETMET 2010
One of the two strategic innovation trajectories to come to the desired capacity increase is
the program to come to a metro-like timetable on the major corridors. On the Amsterdam
Eindhoven corridor this program is titled Every Ten Minutes A Train (Elke Tien Minuten
Een Trein in Dutch), shortly ETMET. In the fall of 2010, the largest train operator National
Railways (NS) and ProRail tested this concept for a full month in the real operation. This
program required substantial preparation, and gaming simulation was selected through the
senior staff involved in earlier games to answer questions about two ways of handling a
major disruption under the new timetable. This resulted in the ETMET 2010 Game,
described in Table 4.
In the ETMET 2010 Game we simulated the train flow and all processes and interactions in
the train control, personnel and rolling stock processes. The wish was to have the train
traffic controllers working on gaming modules similar to the one in the Railway Bridge
Game. Soon during the development we found out that the underlying rail traffic simulators
available did not support the required actions of turning around, skipping a service or
renumbering rolling stock to different train services. Therefore the decision was made to
create a complete manual, analog simulator, observed with cameras overhead the
infrastructure maps, distributing views similar to the regular computer visualizations to
three rooms with operators.
The session delivered the data required to answer the question on the differences between
two methods of handling a major disruption. The project management assumed the new
method to be beneficial for resilience, however they proved wrong. The new method
essentially provided a pre-defined pattern for guiding trains over a double track where one
track is blocked. The network and service controller had to makes their choices out of the set
of trains currently running on the tracks, approaching the blocked track. Remaining trains
have to be cancelled or coupled. This was assumed to be a better solution than the old
solution in which there is a separate document for every possible interaction between two
trains. It appeared however, that the choices for assigning trains to the pattern were
impossible to make, given the interactions that all the trains available have with other parts
of the system. While working on a solution the situation changed too fast to make a single
decision in time, while overseeing all of the complexity.

286
Core aspect
Purpose

Roles

# of players
Own/real/fictitious role
Scenarios
Intervention range
Simulated world

Immersion

Time model
Data presentation

# of sessions
Type of data generated
Consequences

Infrastructure Design, Signalling and Security in Railway

Description
Testing the differences between two mechanisms of handling
a major disruption under High Frequency Transport
scheduling
Train traffic controllers, Passenger information, Driver
rescheduling, Rolling Stock rescheduling, Platform
coordinator, Decentralized network controller Network
controller, Service controller.
14 in role, 9 in support roles in analog simulator center, 6
observers, 1 host, 1 game leader
Own roles, invited on personal title however with support of
management.
2 scenarios: first the old way and then a new mechanism
Facilitators could start, stop and pause the scenarios.
Detailed infrastructure Utrecht - Geldermalsen, detailed highfrequency timetabling, essentials of communication lines
between different offices involved. Stylized passenger flow.
Full immersion in a few minutes. Conflicts arose, leading to a
time-out by the game leader to settle the issues and go back to
a state all could agree on. Extremely involved and lively game
play.
Continuous
Infrastructure representation in familiar schematics, detailed
timetabling on paper, time and delays through simple
interfaces.
1 session, full day
Quantitative and qualitative, testing hypotheses about
differences between 2 mechanisms.
Proposed solution abandoned based on data generated in the
gaming session.

Table 4. Core description of ETMET 2010 Game

In this game all data was completely detailed available to all participants, on paper, and
mostly in a format they recognize, using all real-world abbreviations and notations.
Contrary to many games in which the designer abstracts and reduces to a level where it is
not about managing large amounts of data, it proves to be very well possible to give
operators this data. It even helps to give them situation awareness, as in the debriefing all
were confident that their behavior and reactions were similar to what they would to in
practice, and all could work with the data supplied.
5.5 NAU
Utrecht Central station is the heart of the Dutch rail network: here come trains from all
directions together in a versatile, but consequently complex knot. The complexity and
interdependence of the many train movements and other activities makes Utrecht very
vulnerable to chain reactions of delays. For large disturbances, history has repeatedly shown

Gaming Simulations for Railways:

Lessons Learned from Modeling Six Games for the Dutch Infrastructure Management

287

that the risk of flooding and even completely crashing the traffic flow is high. Resilience and
robustness of the Dutch rail network therefore has to consider Utrecht as a key parameter.
In previous years the timetable has been disentangled, meaning that trains are assigned to
a corridor and that these corridors are planned to have as little interference with each other
on the physical infrastructure as possible. Now, after ProRail disentangled the schedule the
aim is to reduce the interference further by matching the control concept to the corridors.
For this the NAU (New Action plan Utrecht) program was launched.
Within the NAU program five goals have been identified:
1.
2.
3.
4.
5.

ensure that the basic plan remains within the corridors;

limiting defects through maintenance / inspection;
Limiting deviations from shunting;
limit abnormalities in major disruptions;
adjust the division of labor in the Traffic Control Post.

Gaming simulation has been selected as a tool to try out the concept first in a simulated
environment before it will be brought to the control post. During the game the effect of the
new concept on goals 1,4 and 5 had to be researched. Table 5 describes the game details.
The main result of the NAU game was empirically based insight in the fundamental
consequences of reducing the number of switches used and corridor control on capacity,
resilience and robustness. In the old situation, the capacity reduces rapidly as the
disturbance level increases. Due to the many switches, many options remain in heavily
disturbed situations to continue driving, requiring a mastery level of the train controller.
These options cause infection of problems of one corridor to others. When using corridor
control in its strict sense, the process remains more manageable with mild to moderate
disturbances. But because the control options are limited to the corridors, there comes a
moment in the corridor that all capacity is lost, still not affecting the other corridors. There's
a tipping point where the limits for a disturbed corridor become unacceptably high. At this
tipping point it can help to deviate from the corridor principle. The ideal situation is to
control & isolate the corridor as long as possible and use other parts of the infrastructure
only when the critical level of disturbance is reached. In other words: you want to cash the
potential of corridor control and avoid potential losses. Where the disturbance level is
critical, how often this situation occurs and what specific deviations must be allowed, is still
open for further research.
In the NAU game modeling we re-used the infrastructure schematic layout and timetabling
information that was so successful in the ETMET game. Yet again this proved to immerse the
participants in the simulation within a few minutes, and to make them enact their role
perfectly. In this post-game evaluation the participants rated their behavior as highly realistic.
The only exceptions to this were the network and service controller who both work at the
national level. For them there was no game material to play with apart from information
derived from the simulated area. This resulted in less emersion and a bit grumpy atmosphere
in which they were mocking about the new concept. For the project this proved functional as
their comments in the discussion raised important points for the improvement of the concept,
but the game play from them was not optimal. Therefore no direct conclusions could be drawn
from the interaction between the national and regional level.

288

Infrastructure Design, Signalling and Security in Railway

Core aspect

Description

Purpose

Testing the improvements in resilience and robustness when

introducing a new control concept for Utrecht Central station.

Roles

Train traffic controllers, Decentralized network controller,

Driver rescheduling, Rolling Stock rescheduling, Platform
coordinator, Network controller, Service controller.

# of players

9 in role, 4 in support roles for analog simulator, 3 observers,

1 host, 1 game leader

Own/real/fictitious role

Own roles, invited on personal title however with support of

management.

Scenarios

2 scenarios: first the old way and then a new mechanism

Intervention range

Facilitators could start, stop and pause the scenarios.

Simulated world

Detailed infrastructure Utrecht Central, detailed current

timetabling, face-to-face communication lines between
different offices involved. Stylized planning tools

Immersion

Instant and very good for all players, except for network
controller and service controller who were less immersed,
showing in discussions about other topics.

Time model

Continuous

Data presentation

Infrastructure representation in familiar schematics, detailed

timetabling on paper, time and delays through simple
interfaces.

# of sessions

1 session, full day

Type of data generated

Quantitative and qualitative, testing hypotheses about

improvements with new control concept. Numbers real
enough to base decisions on.

Consequences

New control concept embraced, actions defined to

counterbalance penalty for major disruptions. Invention of the
concept of pre-defined handling scenarios for non-availability
of small parts of the infrastructure. Heavy post-game
discussions leading to high-level decisions on the project.

Table 5. Core description of NAU Game

5.6 Platform overnight parking (POP)
In the capacity planning process for 2012, two service areas have been declared out of
capacity and ProRail is obliged, according to law, to find solutions to solve these capacity
shortages. The goal of this game is to determine whether it is possible to orchestrate a
carousel process around Hoofddorp so that scarce capacity in the service area can be
increased. This means that after servicing and technical controls at the service area the train
is then drawn along the (platform) tracks of Hoofddorp station or Middle Hoofddorp.

Gaming Simulations for Railways:

Lessons Learned from Modeling Six Games for the Dutch Infrastructure Management

Core aspect
Purpose

Roles
# of players
Own/real/fictitious role
Scenarios
Intervention range
Simulated world

Immersion

Time model
Data presentation

# of sessions
Type of data generated
Consequences

289

Description
Answering the question how many pieces of rolling stock
could be parked along the platforms of stations during the
night, given the processes of cleaning and maintenance that
have to be performed at service areas. Question asked for
two locations: Amsterdam-Watergraafsmeer and Hoofddorp.
Train traffic controller (2), Foreman of cleaning (2), Train
driver, Service area supervisor.
6 in role, 2 support for illiterate cleaning foreman, 3
observers, 1 host, 1 game leader
Own roles, invited on personal title however with support of
management.
1 scenario per location (Plus 30 minutes warm up scenario)
Facilitators could start the simulation and determine the time
required for each 5 minutes of simulated time.
Detailed infrastructure Amsterdam Central Amsterdam
Watergraafsmeer and Hoofddorp, detailed timetabling for
end-of service of trains. Detailed service demand,
Immediate for train traffic controllers and service area
supervisor. Foremen took some time, being illiterate and not
used to any abstraction, but came in role in 15 minutes.
Step-wise.
Infrastructure representation in familiar schematics, detailed
timetabling on paper, time through simple interface, cleaning
capacity in simple game objects.
1 session, full day
Quantitative and qualitative, delivering a range of rolling
stock feasible to park
Potential yield for Amsterdam-Watergraafsmeer too
unsecure given additional complexity of extra night
maintenance in the years 2012 2013. Solution considered for
2014. For Hoofddorp the yield found in the game was
verified in the field and implemented for 2012.

Table 6. Core description of Platform Overnight Parking Game

By gaming these processes it should become clear whether and to what extent the
(platform) rail capacity can be used for the preparation of passenger rolling stock. If a
carousel process is theoretically feasible, then follow-up actions are defined to carry out a
practical test. Table 6 describes the core features of the game.
The game delivered the results requested in time, by which it became the first game in the
row of six that not only drew conclusions based upon the mechanisms of the game play, but
also on the numbers generated in the game. Halfway the first scenario in the session there
was an intervention required because the service area supervisor felt that the game play was
not realistic. After a thorough joint review it appear there were two trains left in the wrong
location. The game leader corrected this, and from this point all agreed the outcomes were
valid and representative for a normal evening with no major disturbances.

290

Infrastructure Design, Signalling and Security in Railway

In this game the modeling of infrastructure and information followed the infrastructure
schematic layout and timetabling information that was previously successful in the ETMET
and NAU games. The time was for the first time not continuous but step-based. The reason
for this was the long time to simulate (6 hours) during which many moments are trivial, as
trains stand still and some cleaning is done. As no more game time than 2 hours per
scenario was available, a speed-up was required, but just faster time would not contribute to
the game as some time periods need more attention than others. The solution was found in
5-minute time steps in the game time that could take anywhere between 30 seconds to 20
minutes to execute in clock-time. In this way the players (most of them operational
practitioners, two of them near illiterate) could keep up with the more abstract
representation of their real work. The two foremen of the cleaning teams had most issues
getting involved. Their whole task consisted out of taking 1 toothpick out of a wagon once it
was cleaned, and they could each take out one stick per 5-minute step. Once they got used
to this task they could make choices for priority over the service area easily and got their
behavior realistic according to both their own and others judgments.

6. Methodological challenges
In this section the lessons learned on methodological challenges are discussed on two levels.
The first subsection answers the three modeling issues raised in Section 4. The second
subsection discusses how to guarantee validity in gaming simulations for railways.
6.1 Modeling issues
In the six projects, the modeling issues appeared to have a large interaction. The question
how to immerse train traffic controllers in a gaming simulation appears to be largely
dependent on the display of information. For train traffic controllers we learned that a
detailed representation of the infrastructure is key for their involvement. However, the
geographical representation did not work, where the common abstracted versions as used in
practice performed flawlessly, both in digital (RBG) and in analog game board format
(ETMET, NAU, POP). More abstraction and reduction of complexity of the infrastructure
does not work for operators (RCM). For the timetabling and similar information like
personnel and rolling stock planning similar mechanisms worked: give the players the
information on a detailed level but keep the format they are used to in practice, even tough
the medium (computer or paper) is different. The same held true for delays and other
process information. Once the delays are presented directly after a train number in the
format of +3, +5, + 10 minutes everybody understood it immediately. Once the players
could understand the information well they could concentrate on their task, which they
automatically did fully immersed.
Regarding the question how to model time we learned that the logical model of continuous
time for rail operations works well and puts pressure on the process. In the ETMET game
the frustrations over problems under time pressure became so high that the game leader had
to intervene, and other games showed real pressure on the players who are so aware of the
real-time nature of their real-world process that this can be triggered immediately in the
game. Care should be taken to give players sufficient situational awareness without all their
real tools available. Based on the experiences with the Railway Bridge Game versus the

Gaming Simulations for Railways:

Lessons Learned from Modeling Six Games for the Dutch Infrastructure Management

291

analog games to expect that continuous time will improve on stress and pressure level when
computer models are more easily deployable and integrated in the games. Analog
simulators are surprisingly good but require extensive and thus expensive expert support.
6.2 Validation
The sessions usually run only once. Drawing conclusions on just one session puts emphasis
on the validity of the behavior observed and decisions made in the simulation. The number
of people to validate a full game with is limited in terms of availability (they work in de
24/7 operation) and costs, validation approaches need to be done differently. By
modularizing the toolkit of gaming into sub-models and software components, validation of
the components can be done outside of the final game sessions in analogy with the recent
insights in multi-agent simulation of social systems (Gilbert, 2011). Work on the validation
requires deeper understanding of train traffic control and train driver behavior. This
encompasses the knowledge base in the organization. Work on this gives methodological
challenges that go beyond the literature on gaming methodology (Peters et al, 1998).
In the railway gaming simulation described above (but for the RCG) processes of selfvalidation were used to overcome the validation issue for now. During every session signs
of discomfort of the players and comments on how real something was were constantly
monitored and discussed openly even if this led to time-outs or moments of difficult
discussion during the game play. The game leader always stated that everything to make
the session better would be welcome at any time. In the debriefing the explicit questions
were asked: which part is realistic and which part would be different in the real world, and
why? This gave often very valuable information, even when in case of the NAU game when
the network and service controller were not very involved in the game play, but could
comment and criticize the validity very well.
By ensuring immersive game play and having the self-validation during the games the
Raser categories of psychological reality and process validity are addressed to an extent that
is satisfying for the organization. The structural validity is a design issue and is difficult to
improve when using analog simulators. You simply cannot model the exact train flow and
safety and interlocking systems in an analog way. Computer simulators have a lot to offer
here in interaction with the players during a game session. This is future work for
integration. The predictive validity is currently under review as the project follows all game
projects longitudinally to determine the extent to which the conclusions based upon game
sessions hold true in the real operation. Future work will report on outcomes.

7. Conclusions
The series of six projects shows the purpose and usefulness of building gaming simulations
to help the Dutch railway infrastructure manager ProRail innovate on its core processes.
Over the projects methodological lessons on involving operators as game participants have
been drawn, as well as for the abstraction and reduction of information and the modeling of
time. These modeling challenges appear to be highly interrelated. The lessons learned show
the need, contrary to the traditional modeling approaches in gaming simulation, for very
little abstraction and reduction in modeling the game where it concerns items that the
operators have to play with. The model for less operational aspects can be more abstract, in

292

Infrastructure Design, Signalling and Security in Railway

line with literature on the need for fidelity for learning in games. While this finding may be
not surprising to experienced game developers, the value of using abstractions that are used
in the real world for the game is new.
As the game projects reported in this chapter are not for learning but for testing of designs
and hypotheses, the findings on how to make real operators show valid behavior in a game
session contributes to the small but growing field of gaming simulation for testing. For the
categories psychological reality and process validity the current approach has found ways to
address given the limited time and capacity available for traditional validation. For
structural validity and predictive validity future work is defined.
The sequence of gaming simulations led to a successful introduction in the ProRail organization
of the gaming method. Full support has led to a four-year partnership between academics and
the operation to make gaming suited for ProRail and ProRail suited for gaming. Once this
project has been carried out, ProRail will have at its disposal a gaming suite that connects with
existing rail traffic simulators. The gaming suite will make it possible to configure a game
simulation session without the need to call in outside expertise by selecting timetables,
locations, actors, duration and measurement variables. The key feature is the possibility to
create what-if scenarios. The outcomes of these scenarios support the decision-making process
by providing an understanding of the problems and the pros and cons of the possible solutions.

8. Acknowledgements
This research has been funded by ProRail and the Next Generation Infrastructure
Foundation (NGI). Special thanks go out to the team members both on the side of ProRail
(Jelle van Luipen, Emdzad Sehic, the steering committee, amongst many others) and the side
of TU Delft (Rens Kortmann, Igor Mayer, Alexander Verbraeck, Bas van Nuland, Gert Jan
Stolk and the Game Lab a.o.). Research like this is teamwork.

9. References
Albrecht, T. (2009). The Influence of Anticipating Train Driving on the Dispatching Process
in Railway Conflict Situations. In: Networks and Spatial Economics, Springer, vol.
9(1), 2009: pages 85-101.
Barreteau, O. (2003) The joint use of role-playing games and models regarding negotiation
processes: characterization of associations. Journal of Artificial Societies and Social
Simulation vol. 6, no. 2
Bekebrede, G. (2010). Experiencing Complexity: A Gaming Approach for Understanding
Infrastructure Systems. Delft: Next Generation Infrastructures Foundation.
Bekebrede, G. and I.S. Mayer (2005). Build your seaport in a game and learn about complex
systems. In: Journal of design research, 5(2): pp 273-298.
Bekebrede, G. and S.A. Meijer (Forthcoming). Gaming for innovation in the health insurance
sector.
Botden S.M.B.I., Buzink S.N., Schijven M.P., Jakimowicz J.J. (2008) ProMIS Augmented
Reality training of laparoscopic procedures: Face, expert and referent validity.
Simulation in Healthcare 3 (2), 97-102
Carter, F.J., M. P. Schijven, R. Aggarwal, T. Grantcharov, N. K. Francis, G. B. Hanna and J. J.
Jakimowicz (2005). Consensus guidelines for validation of virtual reality surgical
simulators. Surgical Endoscopy. Vol. 19: 12, pp 1523-1532

Gaming Simulations for Railways:

Lessons Learned from Modeling Six Games for the Dutch Infrastructure Management

293

CBS (2009) Hoe druk is het nu werkelijk op het Nederlandse spoor? Het Nederlandse
spoorgebruik in vergelijking met de rest van de EU-2. Editors: P. Ramaekers, T. de
Wit, M. Pouwels. Netherlands Statistics Bureau CBS in Dutch
De Freitas, S. and M. Oliver (2006). How can exploratory learning with games and
simulations within the curriculum be most effectively evaluated? Computers and
Education 46 (3) 249-264
Druckman, D. (1994). The educational effectiveness of interactive games. In D. Crookall and
K. Arai (Eds) Simulation and gaming across disciplines and cultures. SAGE
publications, pp. 178-187.
Duke, R.D. (1974). Gaming: the futures language. Sage, Beverly Hills / London.
Duke, R.D. and J.L.A. Geurts (2004). Policy games for strategic management. Dutch
University Press, Amsterdam, The Netherlands.
Endsley, M.R. (2004). Situation awareness: Progress and directions. In S. Banbury & S.
Tremblay (Eds.), A cognitive approach to situation awareness: Theory,
measurement and application (pp. 317341). Aldershot, UK: Ashgate Publishing.
Gaba, D.M., S.K. Howard, K.J. Fish, B.E. Smith, YA. Sowb (2001). Simulation-Based Training
in Anesthesia Crisis Resource Management (ACRM): A Decade of Experience.
Simulation Gaming Vol. 32 no. 2 pp 175-193
Gartner (2011) Case Study: Innovation Squared: The Department for Work and Pensions
Turns Innovation Into a Game. Accessed through the web 2011-09-30
http://www.gartner.com/DisplayDocument?id=1476216
Gilbert, N. (2011). Keynote address to Artificial Economics conference, The Hague, The
Netherlands, 2011-09-01.
Goverde, R.M.P. (2005). Punctuality of Railway Operations and Timetable Stability Analysis.
TRAIL Research School, Delft, ISBN 90-5584-068-8
Hale, A. and T. Heijer (2006) Is Resilience Really Necessary? The Case of Railway. In:
Resilience engineering: concepts and precepts. Hollnagel, E., D.D. Woods & Nancy
Leveson (eds), Ashgate Publishing, Hampshire, UK, pp 125 147
Hamilton, W.I. and T. Clarke (2005). Driver performance modelling and its practical
application to railway safety. Applied Ergonomics Vol. 36: 6, pp 661-670
Hamdorf, J.M. and J.C. Hall (2000): Acquiring surgical skills. British Journal of Surgery. Vol:
87: 1- pp 28-37
Harteveld, C. (2011) Triadic Game Design: Balancing Reality, Meaning and Play. Springer
Hiltbrand, T. and M. Burke (2011). How Gamification will change Business Intelligence.
Business Intelligence Journal, Vol 6: 2.
Hollnagel, E., D.D. Woods & Nancy Leveson (2006) Resilience engineering: concepts and
precepts. Ashgate Publishing, Hampshire, UK.
IEEE (2010) IEEE Recommended Practice for Distributed Simulation Engineering and
Execution Process (DSEEP), IEEE Std 1730 2010, IEEE Explore.
Klabbers, J.H.G. (2003). Simulation and gaming: introduction to the art and science of
design. Simulation and Gaming, 34(4): 488-494.
Klabbers, J.H.G. (2006). Guest editorial. Artifact assessment vs. theory testing. Simulation &
Gaming, 37(2): 148-154.
Kortmann, L.J., and E. Sehic (2010) The Railway Bridge Game usability , usefulness , and
potential usage for railways management. In proceedings of ISAGA 2010, Spokane.
Kriz, W.C. and J.U. Hense (2006). Theory-oriented evaluation for the design of and research
in gaming and simulation. Simulation Gaming, 37: 268 285.
Mayer, I.S. (2010) The Gaming of Policy and the Politics of Gaming: A Review. Simulation &
Gaming 40(6) pp. 825862

294

Infrastructure Design, Signalling and Security in Railway

Meijer, S.A. (2009) The organisation of transactions : studying supply networks using
gaming simulation. Wageningen Academic. ISBN 9789085853343
Meijer, S.A. (forthcoming): Introducing gaming simulation in the Dutch railways. Accepted
for TRA 2012, Greece.
Meijer, S.A. and R. Poelman (2011) Supervisor: a 3D serious game for hazard recognition
training in the oil industry. Proceedings of ISAGA 2011, Poland.
Meijer, S.A.; Hofstede, G.J.; Beers, G.; Omta, S.W.F. (2006): Trust and Tracing game: learning
about transactions and embeddedness in a trade network. Production Planning &
Control 17: 6. pp. 569 - 583.
Meijer, S.A., Kracht, P. van der, Luipen, J. van & Schaafsma, A. (2009). Studying a control
concept for high-frequency train transport. In E Subrahmanian & J Schueler (Eds.),
Developing 21st Century Infrastructure Networks (pp. 1-6). Chennai, India: IEEE.
Meijer, S.A., I.S. Mayer, J. van Luipen & N. Weitenberg (2011): Gaming Rail Cargo Capacity
Management: Exploring and Validating Alternative Modes of Organization.
Simulation & Gaming 1046878110382161, first published on February 1, 2011 as
doi:10.1177/1046878110382161
Middelkoop, A.D. and L. Loeve (2006). Simulation of traffic management with FRISO.
Computers in Railways X: Computer System Design and Operation in the Railway
and Other Transit Systems.
Noy, A, D.R. Raban and G. Ravid (2006). Testing social theories in computer-mediated
communication through gaming and simulation. Simulation & Gaming, 37(2): 174194.
Peters, V., G. Vissers and G. Heijne (1998). The validity of games. Simulation & Gaming,
29(1): 20 30.
Proctor, M.D, M. Bauer, T. Lucario (2007) Helicopter Flight Training Through Serious
Aviation Gaming. The Journal of Defense Modeling and Simulation: Applications,
Methodology, Technology. Vol. 4:3 pp 277-294
Raser, J.C. (1969). Simulations and society: an exploration of scientific gaming. Allyn &
Bacon, Boston.
Rekenkamer (2011) Besteding Spoorbudgetten door ProRail. Report to Parliament by
Algemene Rekenkamer, The Netherlands (in Dutch)
Reynolds, A. (1998). Confirmatory program evaluation: a method for strengthening causal
inference. The American journal of evaluation, 19: 203 221.
Steenhuisen, B., W. Dicke, J.A. de Bruijn (2009). Soft Public Values in Jeopardy: Reflecting
on the Institutionally Fragmented Situation in Utility Sectors. International Journal
of Public Administration, Volume 32, Number 6, May 2009 , pp. 491-507(17)
Van de Velde, D.M., W.W. Veeneman, L. Lutje Schipholt (2008). Competitive tendering in
The Netherlands: Central planning vs. functional specifications. Transportation
Research Part A: Policy and Practice, Volume 42, 9: pp 1152-1162
Van de Velde, D.M., J. Jacobs, M. Stefanski (2009). Development of railway contracting for
the national passenger rail services in the Netherlands. In: International Conference
Series on Competition and Ownership in Land Passenger Transport 2009 Delft,
The Netherlands Thredbo 11
Van Luipen, J.J.W. and S.A. Meijer (2009). Uploading to the MATRICS: Combining
simulation and serious gaming in railway simulators. In: Proceedings of 3rd Int.
Conf. on Rail Human Factors, Lille, France, 2009
Witmer B.G., M.J. Singer (1998) Measuring Presence in Virtual Environments: A Presence
Questionnaire. Presence Teleoperators Virtual Environments. Vol 7: 3, pp 225-240

12
Application of 3D Simulation Methods to the
Process of Induction Heating of Rail Turnouts
Elbieta Szychta, Leszek Szychta, Mirosaw Luft and Kamil Kiraga

Technical University of Radom, Institute of Transport Systems and Electrical Engineering

Poland
1. Introduction
Keeping turnouts fully functional is necessary for safety of both train passengers and
personnel operating railroads, particularly in winter. This is of particular importance since
turnouts, key railroad elements, are exposed to adverse weather conditions. Proper function
of turnouts is obstructed by snow falling between the point and the rail and between
components of the setting lock which, combined with low ambient temperatures, causes the
point to freeze to the sliding chairs and the components of the setting lock to freeze. This
leads to blocking of a turnout1. Effective protection of turnouts against such weather
conditions greatly reduces accident rates and improves efficiency of rail traffic.
The presented methods of heating railway turnouts all over the World are designed to prove
operation efficiency turnouts during the winter. The authors set the goal of work to develop
a new method of heating railway turnouts, using an inductive heating phenomenon. To do
that it is necessary to know the properties of magnetic and electric rails. These properties are
not explicitly specified by the manufacturers of rails, so the determination of their value by
the laboratory tests is required. The chapter discusses the measurement methods used to
determine the basic properties of electric and magnetic rails. Based on laboratory results a
simulation model of inductive heating rails in 3D space is developed. In the final part of the
chapter results of a simulation model tests are presented and discussed.

2. Contemporary methods of turnout heating

Methods of clearing snow and ice have evolved in line with the state of engineering art,
weather conditions in a region as well as availability and costs of energy sources. The most
common methods of heating turnouts in Europe include2:

gas heating,
water heating, used in smaller rail facilities, mainly in Germany. The first systems of
this type in Poland were installed at Boguszw station,
geothermal heating,

1Kiraga K., Szychta E., Andrulonis J. (2010). Wybrane metody ogrzewania rozjazdw kolejowych
artyku przegldowy
2Brodowski D., Andrulonis J. (2002). Ogrzewanie rozjazdw kolejowych, Problemy kolejnictwa

296

Infrastructure Design, Signalling and Security in Railway

electric heating by means of resistance heaters (most often supplied with 3400 [V]
systems, 230 [V] power supply, or with 15 [kV] 16 2 [Hz] traction networks via
3
voltage-reducing transformers).

Gas heating is used in extremely hard weather conditions (heavy snowfall and low
temperatures of down to 30C) on Austrian, Norwegian and Swiss railroads (the Alpine
region) or in the Netherlands, where the weather is mild but very damp. Gas systems of
turnout heating are characterised by high thermal efficiency. Gas burners reach power of up
to 1000 [W/running metre of a rail]. Liquid mixtures of propane and butane or butane alone
are most often employed as fuel. The gases display varied pressure depending on
temperatures of condensed gas. The pressure reduces as the temperatures diminish.
Mixtures of propane and butane are utilised where ambient temperatures are above 17C,
replaced with butane itself below that temperature. Gas turnout heating is diagrammatically
presented in Figure 1.

Fig. 1. Gas system of turnout heating

Application of 3D Simulation Methods to the Process of Induction Heating of Rail Turnouts

297

Water heating is another way of heating rail turnouts. An oil unit heats the working fluid, a
mixture of water and anti-freeze agents. The heated fluid is supplied to pipe heat exchanges
(heaters) which are fitted along a rail and turnout saddles. The fluid yields its heat and
returns to the unit, cooled, to be re-heated. In a water heating system, the energy contained
in the fuel (heating oil) is converted into heating power in the heating unit placed in the
immediate vicinity of turnouts (normally in a building nearest to a signal cabin, which can
itself be heated by the unit as well)3.
Design of a MAS water heating system comprises the following elements4:

a heating station including a heating unit, fuel tank, and a control system,
220V~/12V= (or 24V =) power supply to the heating unit, 12V (24V) battery as a reserve
power source for the unit, and plumbing (surge tanks, pumps, pipes, cut-off valves),
heating elements, i.e. heat exchangers inside a turnout,
installation feeding the operating fluid from the heating station to turnouts.

Layout of a MAS system is shown in Figure 2.

Fig. 2. Single-flow MAS water heating of a short turnout: 1 return to unit, 2 12mm steel
pipe (heater), 3 a heater located near a rail edge and sliding chair,
4 heating of a setting lock, 5 support heater, 6 - input
Geothermal systems are the third method of turnout heating discussed here. Geothermal
heating, which uses the natural underground heat, is a new alternative to the systems presented
above. A heat pump is its core element. Depending on the season and depth, soil temperatures
may range from 4 to 8C. At more than 15m below the ground level, season-related thermal
motions cease and the temperature is constantly around 8-10C. Still deeper, the soil is
regenerated by flowing underground waters, heat from the earths core and from above.
3
4

Materiay seminaryjne CNTK. Wodne ogrzewanie rozjazdw kolejowych typu MAS

Badania eksploatacyjne wodnego system ogrzewania rozjazdw typu MAS-Guben

298

Infrastructure Design, Signalling and Security in Railway

Heat pumps operate like fridges which take advantage of the hot, not the cold section of the
heat cycle. An appropriate working agent is compressed and decompressed producing a
desired heating or cooling effect. To generate useful heat, for instance, soil or underground
water heat (at low temperatures of approx. 10C) is employed to evaporate the operating
agent (harmless gas R497C) that boils at a low temperature. Thus, the originally liquid
working agent leaves an evaporator (heat exchanger on the side of ground collector) as gas.
The gas is then compressed and condensated in a liquefier (heat exchanger on the side of
heating installation) at high temperatures (50-60C), yielding the condensation and
compression heat to the water contained in the heating installation. The still pressurised
working agent is subsequently decompressed in a valve and enters the low-pressure section,
thereby initiating the cycle once again.
A complete system of geothermal turnout heating is illustrated in Figure 3.

Fig. 3. Design of a geothermal turnout heating system including: 1 a local control and
monitoring system, 2 an automatic control system containing an automatic weather unit, 3
heat pump and heat cycle, 4 snowfall and ambient temperature sensor, 5 humidity and
rail temperature sensors, 6 junction box, 7 heat exchangers (heaters) with heatconducting insulation

Application of 3D Simulation Methods to the Process of Induction Heating of Rail Turnouts

299

Electric heating is the final method of turnout heating to be discussed here. The electric
heating currently prevails in Poland among the equipment used to melt snow and ice on rail
turnouts. It functions on more than 18 000 turnouts. Its combined installed power reaches
approximately 110 [MW]5. The electric systems heat for an average of 300 hrs in a season.
Providing 330W per running metre of rail assures effective warming of railroad turnouts
during the heating season. The electric heating employing 330W/m heaters provides for
good functioning of railroad turnouts under normal weather conditions (i.e. temperatures
above -20C) and with average (other than catastrophic) snowfall. A diagram of electric
turnout heating is shown in Figure 4.

Fig. 4. Electric turnout heating

Recent years of cold winters and violent snowfalls have unfortunately shown that electric
systems fail to provide effective heating of turnouts. The method of electric heating has
therefore been modified to enhance its efficiency.
Performance trials are under way using heat insulation on Dutch, German, and Polish
railroads. The rail foot is additionally insulated as part of these solutions. Arrangement of
heat insulations on a rail is presented in Figure 5 below6.
5
6

Brodowski D., Andrulonis J.(2000). Efektywno ogrzewania rozjazdw kolejowych

Prospekt informacyjny o otulinach firmy Haet Point, 2009.

300

Infrastructure Design, Signalling and Security in Railway

Fig. 5. Situation of insulations on the internal and external sides of a rail and on rail foot for
every rail type
Such a solution is offered to PKP (Polish State Railroads) by Heat Point of the Netherlands,
Research and testing will demonstrate potential advantages and drawbacks of this solution.

3. Induction heating of turnouts now and in the past

Induction turnout heating (an original Polish concept) was tested by PKP in 1978/1979 on
selected turnouts and stations7. Insulated heating wires were used. They were not in
galvanic contact with rails. Rails were heated with eddy currents induced inside the rails.
The wires were heated to temperatures in the range +15C to +20C.
The heating wires were made of copper, wrapped with Tarflon tape, and placed inside a
steel envelope. 3-3.3 [V] and 50 [Hz] were supplied to the wire, where the current was 350
[A].
The following types of heating wires were used:

2.55 [m], power 750 [W] for the rail UIC-49

3.00 [m], power 900 [W] for the rail UIC-60

A 2800 [VA] transformer was employed to supply power to each type of heaters. Given the
mains frequency of 50 [Hz], the heating wires vibrated and produced human-audible
acoustic waves whose frequency was twice greater than the frequency of the supplied
voltage.
The inductive nature of power distribution system loading by ior equipment of the time
required an additional capacitor to set off the reactive power and to improve the power
factor cos from approx. 0.5 to 0.85 0.9. Capacitors capable of adjusting reactive power of 4
[kVA] or more were employed in a single given turnout. Work on the system and its
application was abandoned due to insufficient technological resources at the time
(1978/1979). The material on testing of inductive turnout heating discussed here is the only,
scarce material still extant in the archives of the then COBiRTK (Centre for Rail Engineering
Research and Development), currently named IK (Rail Engineering Institute).
These authors have decided to revive the idea of induction turnout heating and to use it, as
part of a greater operating frequency system, to heat rail turnouts. A flow diagram of
induction turnout heating as proposed by the authors is shown in Figure 6.
7

Praca zbiorowe: Studium na temat wyboru optymalnego systemu ogrzewania rozjazdw

Application of 3D Simulation Methods to the Process of Induction Heating of Rail Turnouts

301

Fig. 6. System of induction turnout heating

Elementary theory concerning induction heating is not introduced as it is commonly known
and easily available in engineering literature8 9. Knowledge of fundamental electric and
magnetic properties of rails forming parts of turnouts is necessary to construct a fully
functional induction heating system. Since not all of those properties are easily accessible or
clearly defined, their values had to be determined experimentally by one of the methods
described in the following section.
Attention focused then on the mathematical apparatus based on Maxwells equations and
used to describe the electromagnetic field in space. Final element method (FEM) was
subsequently discussed. Maxwells equations and FEM provide the foundations for an
analytical model of induction turnout heating as executed in Flux 3D software.

4. Electric and magnetic properties of e160 rail

Rails (stock) are fundamental design elements of a turnout, beside switch points, sliding
chairs or switching closure assemblies. Rails are principally designed to set the proper travel
direction of rolling stock wheel sets. Shape of a rail comprises three characteristic sections:
head (the part along which rolling stock wheels move), web, and foot (the part supporting
the whole and carrying the load on to sleepers).
Two main rail types are used on routes administered by Polish State Railways PKP PLK:
60E1 and 49E1. They differ in the weight of a running metre and cross-section dimensions.
49E1 (49.39 kg/ running metre and cross-section surface area of 62.92 cm3) is used on routes
with light rolling stock load. 60E1 (60.21 kg/ running metre and cross-section surface area of
76.70 cm3) is operated on heavily loaded routes where trains travel at speeds over 100 km/h.
Table 1 presents steel grades to be used in rail manufacture10 11. The grade references follow
from applicable European and Polish standards (PN-EN 10027-1 and PN-EN10027-2). The
Sajdak Cz., Samek E. (1985). Nagrzewanie indukcyjne. Podstawy teoretyczne i zastosowanie
Gozdecki T., Hering M., obodziski W. (1979). Urzdzenia elektroniczne. Elektroniczne urzdzenia
grzejne
10Wielgosz R. (2009). czenie bezstykowych szyn kolejowych
8
9

302

Infrastructure Design, Signalling and Security in Railway

symbols of rail materials are based on rolling surface hardness, in Brinell degrees, with the
added symbol of an element used to refine the rail steel or in reinforcement heat treatment.
Table 1 also includes references to previously used steel grades, of chemical compositions
similar to the new steels recommended by the EU in accordance with EN 13674-1:2003 (E).
Two steel grades most commonly used in Poland are R260 (hardness range 260300 HB) and
R350HT (hardness range 350390 HB, heat treated head).
Steel marking
R200
R220
R260
R260Mn
R320Cr
R350HT
R350LHT

Description
Material number
Carbon-manganese
1.0521
Carbon-manganese
1.0524
Carbon-manganese
1.0623
Carbon-manganese
1.0624
Low alloy
1.0915
Heat treated carbon-manganese
1.0631
Heat treated low alloy
1.0632

Previous marking
R0700
R0800
R0900; St90PA
R0900Mn; St90PB
R1100Cr
R1200

Table 1. Rail steel markings

The steels formerly used in rails contain 0.40 to 0.82% carbon, 0.60 to 1.70% manganese, 0.05
to 0.90% silica, and some additionally contain up to 1.30% chromium. The new steels
recommended by the EU contain: 0.38 - 0.82% carbon, 0.65 - 1.70% manganese, 0.13 - 1.12%
silica, and some additionally contain up to 1.25% chromium.
As steel is heated and cooled and temperatures change in rail manufacturing processes,
structural transformations occur. In the final production process, a rail is hot rolled at
temperatures of 700 900C. The (heterogeneous) structure and material properties of the
rail result from such processes.
60E1 is selected for purposes of testing electric and magnetic properties because it serves
trans which travel at up to 100 km/h. Standardised dimensions of normal-gauge 60E112 13
are illustrated in Figure 7.
The following elements of a heating circuit are analysed as part of testing aimed at
developing a method of induction turnout heating: structure of rail material, resistivity and
magnetic permeaability, skin effect and depth of magnetic field penetration into the rail
structure, discharge of active power in the form of impact of the magnetic field on the rail.
These parameters depend, inter alia, on magnetising current frequency and are not defined
by rail manufacturers. It appears rails may come from different charges, may be produced
by means of diverse rolling, straightening, and possibly hardening technologies. It was
therefore important to determine locations from which rail samples would be removed. To
generate a maximum quantity of data for further research, samples were withdrawn (cut)
from key points of a rail. Sample removal locations and their geometric dimensions are
shown in Figure 8.
11strona

internetowa odnonie szyn kolejowych: www. inzynieria-kolejowa.dl.pl

Grobelny M. (2009) Budowa, modernizacja, naprawa i remonty nawierzchni kolejowej urzdzenia i

elementy
13Instrukcja eksploatacji i utrzymania urzdze elektrycznego ogrzewania rozjazdw
12

Application of 3D Simulation Methods to the Process of Induction Heating of Rail Turnouts

Fig. 7. Geometrical dimensions of the normal-gauge E160

Fig. 8. 60E1 sample removal locations and their geometric dimensions

303

304

Infrastructure Design, Signalling and Security in Railway

Determining key electric and magnetic parameters of construction materials for railroad
turnouts was essential in designing a system of induction heating and employed a variety of
testing methods. Electric and magnetic parameters were determined by means of the
following methods:

four-point linear probe method to determine electric resistivity (taken into consideration as
rotary currents arise when the magnetic field penetrates the internal structure of a rail).

A flow diagram of electric resistivity measurements is illustrated in Figure 9.

Fig. 9. Flow diagram of electric resistivity measurement system

Electric resistivity can be measured by means of a four-point linear probe and a
measurement system which employs a PC to record the voltage drop across a tested sample
and across a reference resistor Rw. Voltage is checked by running the current (10 times) in
two directions. Once averaged, both the results are added and contact effects are eliminated
in this way. The result is averaged and saved to the memory. The currents value can be
calculated according to:

Ix

U Rw
Rw

(1)

With known geometric dimensions of the sample, that is, its height a and width b, electric
resistivity can be determined on the basis of:

Ux S
S
Rmierz
Ix l
l

(2)

Application of 3D Simulation Methods to the Process of Induction Heating of Rail Turnouts

305

where:
Ux voltage drop across the sample,
Ix measurement current,
S cross-section of the sample,
l distance between the measurement probes.

Table 2 summarises results of electric resistivity measurements for samples from

characteristic rail locations.
Source of the sample

Mean electric resistivity [m]

Edge of rail web

2.6210-7

Centre of rail web

2.8510-7

Rail foot

2.7510-7

Taper of rail foot

2.5710-7

Taper of rail web

2.710-7

Rail head

2.5810-7

Table 2. Values of electric resistivity for the tested samples

HP bridge: active and passive magnetic hardness as well as the loss tangent are
determined. Initial magnetic hardness can also be defined since the intensity of the
magnetic field is low.

Hewlett Packard 4284A 20Hz 1MHz Precision LCR Meter helps to conduct measurements
in order to determine relative magnetic permeability of selected rail sections.
A connection link is replaced with a measurement coil of known length l and number of
coils z. A sample is placed inside the coil. The bridge circuit is supplied with AC. A
millivoltimetre of very high internal resistance is connected in parallel to the coils with the
sample inside. It can measure the voltage drop across this element and, consequently, select
the magnetising field as appropriate. The device also provides for de-magnetising of
samples using a 50Hz field whose amplitude reduces towards zero, for regulation and
stabilisation of temperature.
The system used to determine relative magnetic permeability of the tested rail sections
consisted of:

a PC and its software,

Aligent 34401A 6 Digital Multimeter,
(hp) Hewlett Packard 4284A 20Hz 1MHz Precision LCR Meter,
and a measurement coil.

Figure 10 contains a diagram of the measurement stand serving to determine .

306

Infrastructure Design, Signalling and Security in Railway

Fig. 10. Measurement apparatus serving to determine relative magnetic permeability

An AC bridge is the chief component of the system which provides for accurate
measurement of combined magnetic permeability:

cz ib

(3)

The combined permeability comprises:

the component active magnetic permeability cz responsible for magnetising processes,

the component passive magnetic permeability b responsible for magnetic losses.

The active magnetic permeability can be formulated:

cz

Lx L0 l 1
0 z 2 Sp

(4)

here:
Lx inductivity of the coil containing the sample,
L0 inductivity of an empty coil,
0 magnetic permeability of the vacuum 0 = 410-7H/m,
Sp cross-sectional surface area of the tested sample,
z number of coils,
l length of the coil.
As cz >> 1, 1 is ignored in the calculations.
The passive magnetic permeability is computed:

Rrdz l
0 Z 2 f Sp
2

(5)

Application of 3D Simulation Methods to the Process of Induction Heating of Rail Turnouts

307

Rrdz, or the cores resistance, is calculated:

Rrdz R R0

(6)

where:
R0 resistance of an empty coil,
R resistance of the coil containing the sample.
Substituting (6) to (5) produces the following equation of passive magnetic permeability:

Rrdz l

0Z 2 2 fS

( R Ro ) l

0Z 2 2 fS

(7)

Measuring voltage drop across the resistance R helps to determine intensity of the electric
current across the winding and then the intensity of the magnetic field at which magnetic
permeability is measured using the dependence:
H

Z U
lR

(8)

where:
z number of coils,
U voltage drop across the resistor R,
l length of the measurement coil.
Figure 11 illustrates the initial magnetic permeability initial=f(f) of a sample from the rail
web edge (red) and initial = f (f) of a sample from the rails head (black) as well from the
rails core (the green curve).

Fig. 11. Magnetic permeability inital=f(f) for a sample from the edge of rail web and inital = f
(f) for the remaining samples.

308

Infrastructure Design, Signalling and Security in Railway

A fluxmetre serves to plot the curves B = f(H) and = f(H)14 15,

Prime magnetising curves were determined by means of the measurement system shown in
Figure 12.

Fig. 12. Measurement system employing the fluxmetre and its components
The tested sample is placed inside the coil in magnetising and measurement winding.
A fluxmetre to measure magnetic flow variations in the tested material sample is the
element of the measurement system. Variations in the tested material sample result from
commutations of the current across the magnetising winding zm. The electric current pulse
induced in the measurement winding over time dt is measured by the fluxmetre. The
magnetic flow variations d generate an electromotor force which can be expressed:

dc
d
zp
dt
dt

(9)

Fluxmetre readings are proportional to magnetic flow variations.

When a uniform external magnetic field is applied, magnetic induction B can be computed
according to:
B

d
2 zpS

(10)

where S is the cross-sectional surface area of the tested sample. The sample is demagnetised
prior to each measurement by means of the system.
A prime magnetising curve for a sample from the rail web and maximum magnetic
permeability in respect of the same sample determined using the fluxmetre are shown in
Figure 13.
14
15

Gignoux D., Schlenker M.(2005). Magnetism Fundamentals

Jiles D. (1991). Introduction to Magnetism and Magnetic Materials

Application of 3D Simulation Methods to the Process of Induction Heating of Rail Turnouts

309

Fig. 13. Curves B = f(H) and = f(H) for a sample of the rail web

coercion metre measures intensity of the coercion field,

Intensity of the coercion field of magnetically soft and hard materials can be measured by
means of a coercion metre. The relevant measurement diagram is presented in Figure 14.

Fig. 14. Measurement diagram using a coercion metre and its components
Magnetic coercion16 (also referred to as coercive force) is the value of an external magnetic field
that must be applied to a material (e.g. a ferromagnetic material) to bring the magnetic residue
down to zero. The magnetic residue (also remanence or residual magnetisation) is the magnetic
induction remaining after an external magnetic field magnetising a given material is removed.
16Kuryowicz

J. (1962). Badania materiaw magnetycznych

310

Infrastructure Design, Signalling and Security in Railway

Table 3 summarises measurement results of magnetic coercion intensity for samples

removed from key rail locations.
Source of the sample

Edge of rail web

Centre of rail web

Rail foot

Taper of rail foot

Taper of rail web

Rail head

Sample number
1
2
3
1
2
3
1
2
3
1
2
3
4
1
2
3
4
1
2
3
4

Hc [A/m]
820
820
828
772
776
772
772
772
788
876
884
1003
884
860
860
804
796
812
860
820
908

Mean Hc [A/m]

823

774

778

912

830

850

Table 3. Coercion field intensity in respect of all samples

PPMS VSM was utilised to plot the curve J = f(H),

A Physical Property Measurement System (PPMS) by Quantum Design (San Diego, USA) is
a unique, state-of-the-art concept of a laboratory facility.
The PPMS platform comprises the following elements:

superconducting magnet of up to 7 Tesla (and, more recently, even 16 Tesla),

specific heat measurement system (Heat Capacity 4He) in the temperature range
2K 400K and magnetic fields of up to 7 Tesla,
specific heat measurement system (Helium-3) in the temperature range
350mK 350K and magnetic fields of up to 7 Tesla,
AC/DC magnetisation measurement system for magnetic fields of up to 7 Tesla,
vibration magnetometer VSM for precise magnetising measurements In a broad
temperature range of 2K to 1000K. It is additionally fitted with an oven (P527 Sample
Magnetometer Oven) for measurements of up to 1000K.
heat conductivity and thermal force measurement system,

Application of 3D Simulation Methods to the Process of Induction Heating of Rail Turnouts

311

measurement capability of electric resistance in the range of 350mK,

vertical rotator to regulate sample position in relation to the magnetic field,
and an easyLab Pcell 30kbar pressure chamber to measure resistance at high pressure of
up to 30kbar.

The overall flow diagram of PPMS platform is shown in Figure 15.

Fig. 15. Physical Property Measurement System to test magnetic properties of rail samples
A magnetometer suction cup with the vibrating sample was employed to plot prime
magnetising curves and to determine saturation of the tested rail samples.
A sample is positioned on a non-magnetic, mobile bar and vibrates vertically at a set
frequency. The samples oscillations generate (induce) a variable voltage signal in the
measurement coil system under impact of the magnetic field. The signal is proportional to
the magnetic moment of the sample and to parameters characterising its motion, i.e. to the
amplitude and vibration frequency. It can be described as follows:
Vcewki

d
d dz
C m A sin t
dt
dz dt

where:
C proportionality constant,
m a known moment of the sample,
A vibration (oscillation)amplitude,
frequency.

(11)

312

Infrastructure Design, Signalling and Security in Railway

A flow diagram of vibrating sample magnetometer (VSM) is illustrated in Figure 16.

Fig. 16. Flow diagram of VSM measurement platform

Figure 17 presents a magnetising curve J = f(H) and magnetic saturation Js for rail head
samples.

Fig. 17. Magnetising curve J = f(H) and magnetic saturation Js for rail head samples

Application of 3D Simulation Methods to the Process of Induction Heating of Rail Turnouts

313

ACMS determines combined magnetic susceptibility, including its real and imaginary
components, the loss tangent for varied intensities of the magnetic field and for
different temperatures.

ACMS (AC Measurement System) provides for a single sequence of measurements of AC

and DC susceptibility in a broad temperature range from 1.9K 350K. AC measurements
are thrice as sensitive (210-8emu (210-11 Am2) at 10kHz) as DC measurements. Better
results may be occasionally obtained by means of the DC method. Application of a powerful
external field can increase the samples magnetic moment and generate signals above the
noise (the range of DC magnetising DC: 2.510-8Am2 - 5 10-3Am2 (2.510-5emu 5emu). DC
measurement uses a constant field in the measurement area where the sample moves by
means of detection coils and induces voltage there according to Faradays law. Amplitude of
this signal depends on the samples magnetic moment and the rate of its removal. As part of
this system, the sample is extracted at an approximate speed of 100cm/s. The signals force
grows considerably as a result compared to other systems. The measurements can be
executed as a function of both temperature and of the magnetic field.
Flow diagram of ACMS and its key elements are shown in Figure 18.

Fig. 18. Flow diagram of ACMS

314

Infrastructure Design, Signalling and Security in Railway

Table 4 summarises loss factors on eddy currents and magnetic hysteresis for samples
collected in key rail locations determined at varied temperatures by means of ACMS platform.
Source of the
sample
Edge of rail
web

Centre of rail
web

Rail foot

Taper of rail
foot

Taper of rail
web

Rail head

Temperature
[C]

Loss factor on eddy

currents
w [10-4 s]

Loss factor on magnetic

hysteresis loop [10-5 m/A]

0 [C]

2.49

2.31

25 [C]

2.33

2.62

-25 [C]

2.7

2.44

0 [C]

2.53

2.42

25 [C]

2.33

2.8

-25 [C]

2.72

2.78

0 [C]

2.31

1.42

25 [C]

2.13

1.45

-25 [C]

2.49

1.63

0 [C]

2.39

1.94

25 [C]

2.2

1.97

-25 [C]

2.6

1.77

0 [C]

1.83

1.55

25 [C]

1.69

1.76

-25 [C]

2.56

1.83

0 [C]

2.62

2.49

25 [C]

2.42

2.4

-25 [C]

2.83

2.68

Table 4. Loss factors on eddy currents and magnetic hysteresis

A 3D simulation model of induction turnout heating was constructed in FLUX 3D software
on the basis of 60E1 rails electric and magnetic parameters discussed above.

5. Issues relating to spatial descriptions of magnetic field

Beside the foregoing electric and magnetic parameters, a magnetic field description in threedimensional space by means of scalar magnetic potential, finite elements method (FEM),
and normalised geometric dimensions of 60E1 (Fig. 7) served to construct a 3D simulation
model of induction turnout heating. The magnetic field description by means of scalar
magnetic potential and finite element method will be explained in detail below
In a non-linear environment, the electromagnetic field at any type of input function is
described with Maxwells equations which relate intensities of the magnetic field, electric
field, and charge as parts of the following differential dependencies (12 15):

Application of 3D Simulation Methods to the Process of Induction Heating of Rail Turnouts

315

H J

D
t

(12)

B
t

(13)

B 0

(14)

(15)

Maxwells equations are integrated into:

H dl J dS t D dS
l

(16)

E dl t B dS

(17)

B dS 0

(18)

D dS dV

(19)

Maxwells equations are complimented with the material dependences:

B B( H )

(20)

D D(E)

(21)

The vector quantities present in Maxwells equations meet the following dependencies at
environment boundaries:

n (J J ) 0

(22)

n ( B1 B2 ) 0

(23)

n (H 1 H 2 ) J

(24)

n (D1 D2 ) S

(25)

n (E1 E2 ) 0

(26)

In the case of numerical electromagnetic field calculations for low frequencies, Maxwells
equations are solved indirectly with the aid of a couple of potentials and boundary
conditions. Where the potentials are given, the field vectors E, D, H, B, J can be
determined.

316

Infrastructure Design, Signalling and Security in Railway

Fig. 19. Boundary of environments of diverse material properties

Maxwells equations are most often solved by two types of potentials:

Magnetic vector potential A ( B A, A 0 ),

Total magnetic scalar potential ( H ).

In the literature describe the vector of magnetic field intensity using a scalar potential
function , expressed as:
H

(27)

When the material formula B H H and the condition of source-free magnetic field are
taken into account, a differential equation of total magnetic scalar potential results:
0

(28)

Where conduction currents appear, the vector of magnetic field intensity H includes two
components:
H Hs Hm

(29)

where: Hs magnetic field intensity component enforced by flow of currents in a uniform

environment, Hm magnetic field intensity component arising from magnetisation of the
environment material.
Hs is computed according to Biot-Savart law as:
Hs

J 1r
4 r 2

dV

(30)

where: r is the distance from the observation point O=(x, y, z) where Hs is calculated to the
source point Z=(x, y, z). 1r is a unit vector oriented from Z to O.
In addition, Hs in the area V fulfils the condition:
Hs J

(31)

Application of 3D Simulation Methods to the Process of Induction Heating of Rail Turnouts

317

The following obtains for Hm:

Hm 0

(32)

Expressing Hm as a function of magnetically reduced scalar potential results in:

H m

(33)

Based on (30) and (31), the magnetic intensity can be expressed:

H

J 1r
1
B
dV
B
4 r 2

(34)

H s

(35)

Considering (14), (34) becomes:

The following material dependency is applied to models comprising a permanent magnet:

B H H Hc

(36)

Consequently, (35) describing the magnetically reduced scalar potential becomes:

H s H c

(37)

In current-free areas, the resultant vector of magnetic field intensity H can only be described
by means of the total magnetic potential.

H c

(38)

Low accuracy of determining the magnetic field in the area of magnetic materials is the
fundamental drawback of the reduced scalar potential method. This results from the fact
that components of the magnetic field intensity vector Hs and Hm have similar values but
opposite orientations. In effect, the resultant vector of intensity H reduces.
Where magnetic permeability is high, great errors arise. To avoid the error in effect of the
diminishing resultant vector of magnetic field intensity in numerical calculations, the area is
divided into a sub-area V of permeability 0 including current sources and a sub-area V
which includes the remaining area under consideration. Field distribution across V is
described by global scalar magnetic potential whereas V is described by reduced scalar
magnetic potential. To obtain a unique solution to (37) and (38), conditions present on
boundaries of the different sub-areas described with the different types of scalar magnetic
potential must be defined. This relates to the need to provide continuity of the normal
component of magnetic induction vector and the tangential component of the magnetic field
intensity vector on the boundary of V and V, which can be expressed:

H st
t

s t
s

(39)

318

Infrastructure Design, Signalling and Security in Railway

where:

S- boundary area between V and V;

Hst active component of Hs on the area S-.
One of the most commonly used numerical methods of solving field (boundary) problems is
the Finite Element Method. Its idea is to divide an area under consideration into some
discrete sub-areas of any shape (finite elements). The smaller the elements into which an
analysed area is split, the more precise results of the calculations.
Triangular, quadrangular, six- or four-sided elements are those used most frequently. A
four-sided element can serve to interpolate a given area (Figure 20) to produce the
equations below (38):

Fig. 20. Nodes of a sample four-sided element

u1e 1
e
u2 1
e
u3 1
e 1
u4

x11

x21

x12
x13
x14

x22
x23
x24

x31 1

x32 2
x33 3

x34 4

(40)

where: e element number, x1, x2, x3 coordinates of a point inside the element,
1 , 2 , 3 , 4 - constants of an approximating function.
Solving this equation produces field values in the individual nodes. Figure 21 shows the
most common discretisation shapes applied to 3D problems as part of FEM.

(a)

(b)

Fig. 21. Examples of three-dimensional elements utilised in FEM: a) five-sided element, b)

six-sided element

Application of 3D Simulation Methods to the Process of Induction Heating of Rail Turnouts

319

Triangular three-node elements are most often used to discretise 2D areas. A sample
division of of boundary into triangular elements is illustrated in Figure 22.

Fig. 22. Division of a two-dimensional area into triangular elements

Dependence of the sought quantity (x,y) inside the triangular element (e) is approximated
by means of a first-degree polynomial:

(e) 1 2 x 3 y

(41)

Values of (x,y) at nodes of eth element are described by a system of equations:

i( e ) 1 2 xi 3 y i

( e)
j 1 2 x j 3 y j
(e)
k 1 2 xk 3 y k

(42)

The system will solve for factors 1, 2, 3. Substituting them in (41) produces:

(e)

( a1 b1x c1 y )i ( a j b j x c j y ) j ( ak bk x c k y ) k
2

(43)

where:

ai x j y k xk y j , bi y j y k , ci x k x j
1 xi
2 1 x j

yi
yj

1 xk

yk

(44)

(45)

320

Infrastructure Design, Signalling and Security in Railway

The remaining factors are obtained by cyclical shifting of the indices i, j, k. (43) can be
expressed as a matrix:

( e) [Ni

Nj

i

N k ] j N

k

(46)

where:

Ni , j ,k

ai , j , k bi , j , k x ci , j , k y
2

(47)

Ni, Nj, Nk are functions of variables x and y, referred to as shape or base functions while N is a
shape function matrix. (46) describes the value of (e) above the surface of a single element (e)
(three values of (e) for nodes i, j and k). Solving with the aid of the finite element method
consists in finding values of in respect of all the nodes of .
1

2
:

r

(48)

where r is the number of discretisation network nodes. To this end, the functional J() is
minimised in relation to :
J

1
J
J

2 0

:

J
r

(49)

The energetic functional with regard to the fields described by Laplace equation including
Dirichlets or Neumans boundary conditions becomes:
J ( )

[ kx ( )2 ky ( )2 ]dxdy dl
x
2

(50)

where kx and ky are the material constants in the direction of x and y (e.g. magnetic or
electric permeability) while l is the length of the arc along the boundary . The principle of
summing all elements of applied to the functional, therefore (49) can be formulated:
s
J ( e )
J
i 0
i 1

(51)

Application of 3D Simulation Methods to the Process of Induction Heating of Rail Turnouts

321

where s is the number of all elements in the calculation area. Differentiating (50) with
respect to the sought (x,y) results in:
.

J ( e )


[ kx
( ) ky
( )]dxdy .

m ( e )
x m x
y m y

(52)

for values i, j and k of m. Taking (43) and (47) into consideration, the differential expressions
in (52) can be found:

N i

x x

N i
y y

( x )
m

( y )
m

N j
x
N j
y

i
N k
j
x
k
i
N k

j
y
k

(53)

N m
x
N m
y

Substituting (52) in (51) results in:

( e)
J
( e )
i hii

( e) ( e)
J
J ( e )

j ji

( e)
( e ) hki
J

( e)
hij
( e)
h jj
h

( e)
kj

( e)
h
ik

i
( e)
( e) ( e)
h
h
jk j
( e )
h k
kk

(54)

where:
N i N j
N i N j
h pq [ kx
ky
]dxdy
x x
y y
( e)

(55)

for values i, j, k of p and q. The matrix h(e) in (53) is called element rigidity matrix (the upper
index (e) is a reference to an element) and specifies material properties. On appropriate
transformations of (44), (45), and (48), the following can be said in respect of a triangular
element:

322

Infrastructure Design, Signalling and Security in Railway

k bb k c c
x i i
y i i
( e)
h kx b j bi ky c jci

kx bk bi ky c k ci

kx bi b j ky cic j
kx b j b j k y c j c j
k x bk b j k y c k c j

kx bi bk ky cic k
1
.
k x b j bk k y c j c k
4

k x bk bk k y c k c k

(56)

(51) describes a differential of functional J with respect to the variable (x,y) sought for (e).
When components of (54) in s elements are summed according to:
s
H ij hij
k1

(57)

a differential of the functional can be expressed for the entire area:

J i

H 0

(58)

H in (58) is known as a condition or rigidity matrix. This is a band square matrix of the
dimension r and a band width lower than the matrixs dimension.
To introduce the node variables defined by means of Dirichlets boundary conditions to (58), the
equations describing nodes of known can be eliminated. This procedure can be troublesome,
however, when computer calculation algorithms are created as it requires appropriate lines and
columns to be removed from the rigidity matrix. Another method of introducing Dirichlets
conditions has been proposed by Payne and Irons. Elements of H diagonals relating to a specific
boundary node must be multiplied by a great number (e.g. 1015) and the resultant product must
be entered in an appropriate position of the zero vector which forms the right-handed side of
(58). This procedure is widely used as it is easy to programme and does not require many
operations, thereby minimising the time and cost of the calculations.
To find an approximate solution to a problem using FEM, the objective function needs to be
defined, most often as a minimum error of the solution, Galerkins method is of use in
solving non-linear problems. The best solution for an area V delimited with certain
boundary conditions is zeroing of the weighted average residuum R , where is the
precise solution and an approximate solution. A general solution according to Galerkins
method can be presented as:

wi RdV 0

i 1, 2, 3,..., m

(59)

where: wi tapering functions

According to the weighted residuum method, the tapering functions are those which
interpolate an approximate distribution of the solution across the area under analysis V.
Poissons equation is the most commonly applied differential equation:

vy
vz
vx

x x y y z z

f x , y , z V

(60)

Application of 3D Simulation Methods to the Process of Induction Heating of Rail Turnouts

323

where may represent both scalar and vectoral magnetic potential.

Vectoral magnetic potential A is the sought quantity in 2D problems involving magnetic
field. Scalar potential - is the sought quantity in 3D problems (A can also be determined
in FLUX 3D). These solutions overcome the need to apply analytical methods to solving of
complicated differential equations, which is occasionally time-consuming and complex. At
the present stage of computer technology, introducing several or a dozen thousand
unknowns instead of a mere few makes little difference. FEM is additionally popular when
compared to other numerical methods since:

choice of shapes (and dimensions) which will serve to discretise is unlimited,

any boundaries of discretised shapes can be very precisely approximated with straightor curving-line elements,
any desirable accuracy of calculations (restrictions on analysis time) can be attained by
varying element sizes,
diverse boundary conditions can be defined,
the method is universal and can help to solve electromagnetic, electrostatic, magnetic
and heat-flow problems.

The need to analyse complex physical models requires application of numerical methods
that provide approximate results. Such results are subject to errors, however, due to a range
of factors, such as:

differential equation errors,

errors due to simplifying assumptions (e.g. ignoring certain properties of some
phenomena).

In the literature17 18 have discussed errors at the stage of problem solving (a central element
of numerical calculations). These errors depend on the calculation method and are sources
of distortions that may lead to misrepresentations of phenomena. Sources of errors as part of
FEM include:

interpolation errors;
approximation errors generated when solutions are sought within a limited area;
errors relating to discontinuity of an environments physical parameters;
errors in representations of structure (geometry);
errors relating to rounding of node values.

Additionally, 3D problems are exposed to:

errors arising at magnetic field boundaries described by means of different potentials;

errors arising in ferromagnet areas described by means of reduced scalar potential.

A local error in a point of a model generated by FEM is inherently connected to the size of
its elements surrounding a given point whereas it is only loosely related to average size of
17Leniewska E. (1997). Zastosowanie symulacji pl elektromagnetycznych w projektowaniu
przekadnikw
18Wincenciak S. (1998). Metody i algorytmy optymalizacji ksztatu obiektw w polu
elektromagnetycznym

324

Infrastructure Design, Signalling and Security in Railway

elements in a space under consideration19 20. The latter type of errors are more significant
and more difficult to eliminate in non-linear problems.
In the literature21 22 23 24 25 have presented various examples of applying FEM to magnetic
field calculations, explained problems of discretising models, and discussed detailed
requirements of shape functions.

6. Simulation model of induction heating in flux 3D software

Based on laboratory research which determined electric and magnetic properties of a 60E1
rail, the internal rail structure was divided into areas of different properties. A fundamental
magnetic model of a rail was created in this manner. Rail web and its edges are
characterised by diverse material and magnetic properties. Magnetic properties of the
remaining rail portions (e.g. centre) are identical. A 3D model on the basis of geometric
dimensions given in Figure 7 is extended with areas in respect of which separate prime
magnetising curves were obtained, evidence of structural differences generated by the
rolling process. Figure 23 shows a rail divided into areas of varying magnetic properties,
associated with appropriate characteristics (prime magnetising curves in the respective
colours).
Figure 24 illustrates the way material properties of the individual rail areas are defined.
Magnetic property tab is selected, a curve type is chosen by means of Isotropic spline
saturation, then specific values frem the characteristic B=f (H) are input. The more points
are defined, the more accurate description of a given area.
Figure 25 presents a 3D rail model including divisions into areas of varying magnetic
properties. The Figure distinguishes head, web edges, and central part of a rail.
Construction of a grid for further field calculations was the next step. Flux 3D automatically
creates and generates a calculation grid from among three sizes available in the programme.
The grid may also be more or less dense. The denser a calculation grid, the more precise the
field calculations. Too dense a grid considerably prolongs the calculation process,
unfortunately. A selected grid type is then generated and imposed upon the model. Figures
26 and 27 show a calculation grid for a constructed rail model.
A numerical model of the rail, serving to simulate induction heating, is shown in Figure 18
including a complete calculation grid imposed and a heating wire near a web edge.
19Mendrela E., ukaniszyn M., Macek-Kamiska K. (2002). Tarczowe silniki prdu staego z komutacj
elektroniczn
20Wrbel R. (2000). Analiza wpywu parametrw obwodu magnetycznego i elektrycznego na prac silnika
tarczowego prdu staego z magnesami trwaymi i elektronicznym komutatorem
21Binns K.J., Lawrenson P.J., Trowbridge C.W. (1995). The Analytical and Numercial Solution of Electric and
Magnetic Fields
22Bolkowski S., Stabrowski M., Skoczylas J., Sroka J., Sikora J., Wincenciak S. (1993). Komputerowe metody
analizy pola elektromagnetycznego
23Gawrylczyk K.M. (2007). Analiza wraliwociowa pola elektromagnetycznego z uyciem metody elementw
skoczonych
24Jianming J. (1993). The finite element method in electromagnetic
25Sikora R. (1997). Teoria pola elektromagnetycznego

Application of 3D Simulation Methods to the Process of Induction Heating of Rail Turnouts

Fig. 23. Division of a rail into areas of varying magnetic properties, associated with
appropriate characteristics (prime magnetising curves)

Fig. 24. Process of defining new materials and their magnetic properties

325

326

Infrastructure Design, Signalling and Security in Railway

Fig. 25. Magnetic model of 60E1 rail in FLUX 3D software.

Fig. 26. Calculation grid for the rail head red

Application of 3D Simulation Methods to the Process of Induction Heating of Rail Turnouts

327

Fig. 27. A view of calculation grid executed in Flux 3D for rail web edges (pink) and rail
centre (blue).

Fig. 28. Numerical model of the rail including a heating wire

This model is then subjected to the simulation process in order to determine behaviour of a
rail when heated with eddy currents as part of induction heating.

328

Infrastructure Design, Signalling and Security in Railway

The following assumptions underlie simulatiton testing of a rail at the time of induction
heating in FLUX 3D software26 27:

constant density of current across the heating wire,

magnetic field description in 3D space with the aid of scalar magnetic potential,
electric and magnetic parameters of a rail: electrical resistivity , prime magnetising
curve B = f (H) or J=f (H), intensity of the coercion field Hc, loss factors of eddy currents
w and of magnetic hysteresis loop h,
zero boundary conditions: nH = 0.

The sample results were obtained in the simulation process at 650H frequency and 11.14
MA/mm2 density of the current across the wire. Set ranges of frequency and rms values of
the current across the wire can be varied as part of this model.
Figure 29 presents a sample distribution of the absolute values of magnetic induction as
obtained in the simulation process.

Fig. 29. Distribution of magnetic induction in the rail and its environment
Magnetic induction on the lateral web surface and on its foot reached a maximum of 0.037 T.
This low value is due to the fact that an air gap appeared between the rail and the heating
wire, impeding and dispersing the magnetic field. The wire itself was circular and its entire
surface did not adhere to the rail, therefore magnetic field penetration into the rail was not
effective.
Figure 30 shows the direction of magnetic field lines with regard to a rail placed inside the
magnetic field of the heating wire.
26
27

Femm, Users Manual, 2009

Flux3d, Users guide, vol. 1-4, 2009

Application of 3D Simulation Methods to the Process of Induction Heating of Rail Turnouts

329

Fig. 30. Direction of magnetic field lines generated by the heating wire
This is the first model of induction heating of a rail forming part of a turnout to be
developed by these authors. It was designed to demonstrate what phenomena occur
when the rail is under the impact of a magnetic field. The rail and the wire do not form a
full, closed magnetic loop. The magnetic field around the wire partly escapes into the air.
As a result, penetration of the magnetic field into the rail structure is weaker and the
magnetic induction on the rail surface is low. This weakened magnetic field may be
insufficient to produce high eddy current densities in the rail and, in effect, it will be
impossible to use induction heating for turnouts. Greater intensity of the magnetic field
may improve the value of induction yet power losses associated with dispersion effects
would increase.
Intensity of the magnetic field generated by the current across the coil is shown in Figure
31.

330

Infrastructure Design, Signalling and Security in Railway

Fig. 31. Intensity of the magnetic field generated by the current across the heating wire
It is easy to read the value of magnetic field intensity arising from the heating wire: it
approaches 11000A/m in the centre of the wire and reduces to 3000A/m at the contact of
the rail and the wire after covering a distance of circa 1 centimetre (drag).
The air gap must be fully eliminated in continuing research and, should it prove impossible,
the gap needs to be minimised in order to reduce magnetic field dispersion as much as
practicable.

7. Conclusion
This chapter has presented elementary knowledge concerning 3D model illustrations of
induction heating as applied to rail turnouts. It should be borne in mind, however, that a
simulation model can differ widely from reality due, for instance, to simplifications
discussed by the authors. The magnetic model itself must be modified in order to solve the
issue of the air gap, for example.
It is also necessary to verify simulation results against those obtained in an actual model of
turnout induction heating. Work on developing an actual model is in progress.
At the present stage, the magnetic model developed by the authors in Flux3D provides for
observation of electric and magnetic effects in the rails internal structure triggered by flow
of eddy currents. The model will be utilised to determine the depth of magnetic field
penetration into the rail structure as dependent on variations of magnetising current
frequency and will serve to determine a temperature distribution along the rail in the
process of heating. Knowledge of this temperature distribution or, to be more exact, of
maximum temperature values attained by the individual rail sections is the key to success of
this research.

Application of 3D Simulation Methods to the Process of Induction Heating of Rail Turnouts

331

8. References
Badania eksploatacyjne wodnego system ogrzewania rozjazdw typu MAS-Guben, CNTK
Warszawa, Stycze 2004
Binns K.J., Lawrenson P.J., Trowbridge C.W. (1995). The Analytical and Numercial Solution of
Electric and Magnetic Fields, A Wiley-Interscience Publication, John Wiley & Sons,
INC., New York
Bolkowski S., Stabrowski M., Skoczylas J., Sroka J., Sikora J., Wincenciak S. (1993).
Komputerowe metody analizy pola elektromagnetycznego, Wydawnictwo Naukowo
Techniczne, Warszawa
Brodowski D., Andrulonis J.(2000). Efektywno ogrzewania rozjazdw kolejowych, CNTK,
Warszawa
Brodowski D., Andrulonis J. (2002). Ogrzewanie rozjazdw kolejowych, Problemy kolejnictwa,
zeszyt 135, CNTK
Femm, Users Manual, 2009
Flux3d, Users guide, vol. 1-4, 2009
Gawrylczyk K.M. (2007). Analiza wraliwociowa pola elektromagnetycznego z uyciem metody
elementw skoczonych, Instytut Naukowo-Badawczy ZTUREK, Warszawa
Gignoux D., Schlenker M.(2005). Magnetism Fundamentals, Springer, Grenoble
Gozdecki T., Hering M., obodziski W. (1979). Urzdzenia elektroniczne. Elektroniczne
urzdzenia grzejne, Wydawnictwa Szkolne i Pedagogiczne, Warszawa
Grobelny M. (2009) Budowa, modernizacja, naprawa i remonty nawierzchni kolejowej urzdzenia
i elementy, RYNEK KOLEJOWY, 2009-03-09
Instrukcja eksploatacji i utrzymania urzdze elektrycznego ogrzewania rozjazdw, PKP Polskie
Linie Kolejowe S.A., Warszawa, 2007
Jianming J. (1993). The finite element method in electromagnetic, A Wiley-Interscience
Publication, John Wiley & Sons, INC., New York
Jiles D. (1991). Introduction to Magnetism and Magnetic Materials, Chapman & Hall, ISBN 0412-386-30-5,New York
Kiraga K., Szychta E., Andrulonis J. (2010). Wybrane metody ogrzewania rozjazdw kolejowych
artyku przegldowy, PRZEGLD ELEKTROTECHNICZNY, ISSN 0033-2097, R. 86
NR 2/2010
Kuryowicz J. (1962). Badania materiaw magnetycznych, Wydawnictwo NaukowoTechniczne, Warszawa
Leniewska E. (1997). Zastosowanie symulacji pl elektromagnetycznych w projektowaniu
przekadnikw, Zeszyty Naukowe Politechniki dzkiej, Nr 766, d
Materiay seminaryjne CNTK. (2004). Wodne ogrzewanie rozjazdw kolejowych typu MAS,
Warszawa, 21-22 Kwiecie
Mendrela E., ukaniszyn M., Macek-Kamiska K. (2002). Tarczowe silniki prdu staego z
komutacj elektroniczn, Wydawnictwo Gnome, Katowice
Praca zbiorowe: Studium na temat wyboru optymalnego systemu ogrzewania rozjazdw,
COBiRTK, 1971
Prospekt informacyjny o otulinach firmy Haet Point, 2009.
Sajdak Cz., Samek E. (1985). Nagrzewanie indukcyjne. Podstawy teoretyczne i zastosowanie,
Wydawnictwo lsk, Katowice
Sikora R. (1997). Teoria pola elektromagnetycznego, Wydawnictwo Naukowo-Techniczne,
Warszawa

332

Infrastructure Design, Signalling and Security in Railway

strona internetowa szyn: www. inzynieria-kolejowa.dl.pl.

Wielgosz R. (2009). czenie bezstykowych szyn kolejowych, MECHANIKA CZASOPISMO
TECHNICZNE, Wydawnictwo Politechniki Krakowskiej, 2-M/2009, Zeszyt 6, Rok
106.
Wincenciak S. (1998). Metody i algorytmy optymalizacji ksztatu obiektw w polu
elektromagnetycznym, Oficyna wydawnicza Politechniki Warszawskiej, Warszawa
Wrbel R. (2000). Analiza wpywu parametrw obwodu magnetycznego i elektrycznego na prac
silnika tarczowego prdu staego z magnesami trwaymi i elektronicznym komutatorem,
Rozprawa doktorska, d

13
EMC Analysis of Railway Power Substation
Modeling and Measurements Aspects
1Universit

S. Baranowski1, H. Ouaddi1, L. Kone1 and N. Idir2

Lille 1 Sciences et Technologies, USTL, IEMN/TELICE Laboratory

Lille 1 Sciences et Technologies, USTL, L2EP Laboratory,
F-59650 Villeneuve dAscq,
France

2Universit

1. Introduction
The first part of the chapter will present the global aspect of the railway power infrastructures
and specially the power supply substation. The goals of this study consist in proposing a high
frequency model of the railway systems and verifying by simulation the conformity with the
EMC standards. Thus, each component of the railway power infrastructure (transformer,
power rectifier) is modeled and the simulation results of the conducted emissions are
compared to measurements on a reduced scale of the power supply substation.

2. EMI sources in railway system

A railway system might pollute, in an electromagnetic sense, the surrounding environment,
disturbing radio and communication systems which can be not related to the railway itself.
In this case the whole railway can be considered as a source of Electromagnetic Interference
(EMI). In order to avoid the disruption of the electronic equipments near to the railway, the
overall field generated by railway system must be kept below certain safety values given by
standards [1]. Obviously, there are many sources of the electromagnetic field and their
contributions can come from:
-

Each part of the railway: for example, a locomotive or the power supply substation can
induce EMI that exceed the EMC standards limits set for the electromagnetic field,
because of power circuits that might become a source of emissions.
The whole system: the power supply line (cable) can behave as an antenna, which radiates
an electromagnetic field proportional to the current. The spectrum and the intensity of the
current depend not only on the power absorbed by a train, but also from the structure
(geometrical dimensions ...) of the line, that may cause resonances as shown in Fig.2.

However, a train might be or be not compliant to field standards depending on the line
characteristics and on its position on the railway. Nowadays, trains are designed to meet
EMC rules, but the non-compliances can be remedied thanks to identification of the
different resonances frequency, which can occur mainly in a frequency range from some
kilohertz up to one gigahertz.

334

Infrastructure Design, Signalling and Security in Railway

2.1 Description of standards EMI measurement methods

The EMC standard EN 50121 [1] is used to characterize the EM environment, in the railway
systems; it notably aim to limit the EMI levels from the railway infrastructures to the
external environment. This standard EN 50121 describes the methodologies and the limits to
apply, relating to the EM radiations and immunity of railway equipments, vehicles and
infrastructures. The emissions of the whole railway system, including vehicles and
infrastructure, are dealt with the section 2 of the EN 50121. The objective of the tests
specified in this standard is to verify that the EM emissions produced by the whole railway
systems do not disturb the neighboring equipments and systems.
The methodology then consists in measuring the radiated EM emissions at a distance of 10
m from the middle of the tracks and at about 1.5 m from the floor (Fig.1) and in comparing
them with the maximum levels (limit curve in red in Fig.2). The measurements protocol and
the limits are specified for the frequencies varying from 9 kHz to 1 GHz.
For each frequency band (9kHz-150kHz; 150kHz-30MHz; 30MHz-1GHz), the standards
define among others:
-

which component of field, magnetic (up to 30MHz) or electric (above 30 MHz), has to
be measured,
the resolution bandwidth (RBW) of the spectrum analyzer that must be used for the
measurements. Then the limit curve depends on these parameters and is not a constant
as shown until 1MHz in fig.2

During measurements of the electromagnetic field radiated at 10 m from the railway track,
we can observe that, sometimes, for some frequency, the standards limit can be exceeded.
An example of measurement from 10 kHz to 1 MHz is given in fig. 2. The exceeding is
characterized by resonance phenomena which appeared for some frequencies of the power
supply current.

1.5 m
10 m

Fig. 1. On site measurement of the electromagnetic radiation of the train (stationary and
moving)

335

EMC Analysis of Railway Power Substation Modeling and Measurements Aspects

H (dBA/m)

60

Resonance due to
Infrastructure or train

EN 50121-3-1
limit

40
20
0
20
0.01

0.1
Frequency (MHz)

Fig. 2. Example of the measured magnetic field

2.2 Effect of the resonances
As presented previously, the aim of the standards is to limit the disturbance of the external
environment produced by the railway infrastructure but also on the railways system itself.
Indeed, the new generation of rolling stock is equipped with safety communication systems
with on board antennas which must not be disturbed neither. These elements of safety
system operate in frequency range from 10 kHz to 30MHz, which constitute the frequency
range considered in this study but also above, for example, the GSMR signal frequency is
around 900MHz. Thus, it becomes important to know which source can introduce the
disturbances.
Besides, sensitivity of these communication systems must also be evaluated for the resonant
frequencies.

3. Railway power infrastructures

A schematic representation of the railway infrastructure is shown in Fig. 3. In this figure,
we can see that the power supply system constituted by the substation, the rails, the
catenaries and the train which constitutes the load of the power line. This figure also
shows a location system based on telecommunication between on board antenna and
antenna along the track.
The railway power supply system is generally composed by two main systems:
-

The first one is the lines system constituted by the catenaries and the rails; this
transmission line has already been modeled in a previous work [2], taken into account
all important parameters in an EMC point of view (non uniformity and camber of the
lines, multi-conductors structures, conductivity of the ballast, ...)
The second main part is defined by the power supply substation which contains often a
power transformer, sometimes static converters, and cables, bus bars...etc.

336

Infrastructure Design, Signalling and Security in Railway

Fig. 3. Simplified diagram of railway infrastructure

4. Problem of EMC in railway

In order to avoid EMI with high levels of electromagnetic disturbances, measurements are
usually performed. Test results can lead to different comments and from an industrial point
of view, it is important to distinguish the disturbances due to the railway power supply
infrastructure (substation line catenaries/rail) and others due to the train itself. Indeed, it
is important to know which kind mitigations solutions have to be done to reduce the
disturbances and who should do that: the train manufacturer or the power supplier.
In a previous research project [2], the lines system has been modeled. The proposed model
enables to estimate the field radiated by the power line taken into account various
parameters like the geometry of the line; the conductivity of the soil The model is based
on line theory, the train is the load (Ztrain) and a generator feeds the lines.
An example of the simulation conditions and the obtained results is given in figures 4 and 5
This model gives good results and many details on how each parameter has been taken into
account can be found in [2]. But it is only a model of the lines and the generator used in this
simulation is a sinusoidal one with constant amplitude.
Then, it was necessary to model the power substation to obtain a more realistic generator
and this has constituted the goal of the CEMRAIL project of which some results are
presented here.

Fig. 4. Simplified model of the power supplier line

337

EMC Analysis of Railway Power Substation Modeling and Measurements Aspects

-6 5

(db S/m)

-7 5

in

Normalized magnetic field H/V

S im u la tio n s
M e a s u re m e n ts

-7 0

-8 0
-8 5
-9 0
-9 5

-1 0 0
-1 0 5
-1 1 0

0 .5

1
F r e q u e n c y (M H z )

1 .5

Fig. 5. Example of obtained results (corrsponding to the Fig. 4 configuration). The generator
give a sinusoidal signal of 1V amplitude.

5. Power supply substation

In the world, many kind of railway power supply exist: alternative (AC) or direct
current (DC), with various amplitudes: 1500kV, 3kV, 25kV Then, we have worked on a
general power substation constituted by a transformer and a power converter as
presented in fig. 6.

Fig. 6. Schematic circuit of a railway substation

In case of AC power supply substation, there is no AC/DC converter. The power
transformer constitutes the main device of the substation.
In order to propose a high frequency model of the whole system, it's necessary to determine
a model for each element, especially of power transformer, which accuracy will be highly
dependent of the accuracy of each primary model. The low frequency model of the
transformer, defined at 50Hz, is not valuable when the frequency increases. Indeed, some
phenomena can be predominant in high frequencies as the Eddy current, which depends on
the variation of the magnetizing impedance and the winding resistance, but also the

338

Infrastructure Design, Signalling and Security in Railway

parasitic capacitances which appear between windings due to the insulated parts of the
transformer. The analysis of the transformer behavior shows that it's possible to use an
equivalent electrical circuit model which is valid in the considered frequency band.
During the past decades, many models of power transformer have been studied for several
applications. Most of those models, often in a reduced frequency band, are based on the
representation of the transformer by an arrangement of resistive, inductive and capacitive
elements which can take into account the physical behavior of power transformer [3]; some
others are wide band models established using the black box principle [7]. Obviously, its
also possible to apply the FEM (Finite Element Method) method to have a precise model,
but in this case, the exact constitution of the transformer must be known. Some additional
difficulties are found in the studied problem: how to found the appropriate data sheet when
the transformer is operated in the railway system since many years? In the following
sections, we will present the proposed equivalent model and two techniques used to
identify the transformer parameters.

6. High frequency model of transformer

6.1 Preliminary study
Making measurements in railways power substation is not easy, then preliminary
investigations have been done on various power transformers. Primary and secondary
winding impedances measurements in various configurations have been done on two
different transformers:
-

15 kVA three phase laboratory transformer,

2.38 MVA train power transformer.

Figure 7-a (15kVA transformer) and Fig. 7-b (2.38MVA transformer) show the secondary
winding impedance measured when the primary is short circuited for these two
transformers.
These two impedances have been measured in the same frequency band: 100 kHz to 40MHz.
We can note that these two responses are globally identical. Thus, we will model, in the first
time, a low power transformer before to apply this model to a real substation transformer.

Fig. 7. Secondary winding impedance measurements when the primary is short circuited
for two tested transformers (a- 15kVA and b- 2.38MVA)

EMC Analysis of Railway Power Substation Modeling and Measurements Aspects

339

6.2 Laboratory test bench

In order to analyze the behavior or the railway substation we have built a test bench which
reproduces the substation in small scale.
The experimental setup is composed with a three phase power transformer, a diodes
rectifier and loads. The transformer is a 15 kVA - 220 V/110 V with connected high
voltage (HV) winding and connected low voltage (LV) winding. The power rectifier is
designed with twelve power diodes and is connected to 47 resistor. All these elements are
placed over a common ground plane (Fig. 8). The different devices are connected using 1m
long cable.
6.3 Transformer model
A high frequency model of the power transformer, which takes into account the various
physical phenomena has been studied [4][8]. Figure 9 presents this model applied to the
15kVA three phase power transformer used in the laboratory test bench (fig.8).
Starting from an ideal transformer model with transformation ratio , the proposed model
takes into account, for each phase, the leakage inductances, the skin effects, the magnetizing
impedance and stray capacitances of which become significant at high frequency. Moreover
the iron core has been considered linear at frequency above 10 kHz [12] [13] consequently its
effect can be neglected at high frequencies.
This model is valid in the frequency band varying from 40 Hz to 30 MHz.
The subject of the work is to identify the important physical parameters which contribute to
induce resonance phenomena. We have chosen to propose a model as physical as possible
and after, if necessary, to add black box to model more intricate phenomena.

Loads
Rectifier

Ground Plane

Fig. 8. Circuit diagram and photo of the test bench

Power
transformer

340

Infrastructure Design, Signalling and Security in Railway

Fig. 9. High frequency model of three-phase power transformer

Each element of the equivalent circuit will be detailed and the method used to determine
these parameters will be presented in the next section.
-

The block Ra12 - La12 (Rb12 - Lb12 and Rc12 - Lc12 resp.) shown in the Fig. 9 represents the
leakage inductance and wire resistance (due to the skin effects) of the phase A (B and C
resp.) [14].
The magnetizing impedance is modeled thanks to a resistance (Ram) with an inductance
in parallel (Lam) for phase A (resp. Rbm, Lbm and Rcm, Lcm for phase B and C resp.). Of
course, the magnetizing impedance changes with the frequency [7] [15].
In the proposed model, the considered capacitances, presented in fig 9, are listed below
[16], [17] :
Turn-to-turn capacitance of the primary and secondary windings: Ca1, Ca2, Cb1, Cb2,
Cc1, Cc2,
Capacitances between windings (divided in two capacitances): Ca31, Ca32, Cb31, Cb32,
Cc31, Cc32,
Capacitance between the input of the primary winding and the output of the
secondary: Car, Cbr, Ccr,

EMC Analysis of Railway Power Substation Modeling and Measurements Aspects

341

Capacitances between the winding and the ground: Ca1g, Ca2g, Cb1g, Cb2g, Cc1g, Cc2g,
Capacitances between the phases (CAB, CBC, Cab, Cbc).
Impedance called augmented model: the impedance measurements show fast
fluctuations above 10 MHz (Fig.10) and their modeling using electric circuits can be
time consuming. However, the use of macro model can be a good solution to take into
account these fast variations at high frequency. These impedances are modeled by
blocks named augmented model as shown in Fig.9 and defined by using vector
fitting method; details are given in [4-5-6].

Note: The proposed model can be used to model a single phase transformer by using only
one circuit by phase.
6.4 Validation results
The experimental results, in time or in frequency domain presented in the next sections,
allow determining the various parameters of the proposed model. Figure 10 shows an
example of modeling results compared to experimental data.

Fig. 10. Comparison within measurements and simulation results (impedance of the
primary winding, the secondary being open)

7. Determination of the various elements of the transformer model

The determination of each parameter of the equivalent circuit (Fig.9) of the transformer
model is realized from impedance measurements versus frequency, in different test
configurations [7] [8].
7.1 The magnetizing impedance
The magnetizing impedance of each phase is modeled by a resistance in parallel with an
inductance; their values are deduced from the impedance measured on the primary

342

Infrastructure Design, Signalling and Security in Railway

winding, at low frequency, when the secondary winding is open as shown in Fig 11. The
values of these parameters for the phase A and B are given as following:
Ram= 13.44 k,

and

Lam=31.19 mH,

Rbm= 15.87 k

and

Lbm=32.14 mH

However, if we take into account the geometry of the transformer, phases A and C are
considered, to have the same behavior, then the corresponding parameters are supposed to
have the same value.
7.2 The leakage impedance
The leakage inductance and the wire resistance (the skin effect) of the winding can be
determined by measuring the primary impedance when the secondary winding is shortcircuited. Winding losses can be estimated from the impedance measured in the low
frequency band as shown in Fig. 12.

Magnetizing
impedance

Fig. 11. Primary winding impedance when the secondary is opened (measuremens on the
Phase A of the test bench transformer)

343

EMC Analysis of Railway Power Substation Modeling and Measurements Aspects

Leakage
inductance with
skin effects

Fig. 12. Primary impedance with secondary short circuited (phase A)

The leakage impedance can be modeled using a R-L ladder network as shown in Fig. 13
In order to have an efficient approximation, the parameters of the equivalent circuit are
computed with a less square algorithm; the identification being performed with the results
of measurements.

Fig. 13. Equivalent circuit of the leakage impedance

Table1 presents the parameters of the equivalent circuit of the leakage impedance obtained
for the studied transformer.
Ri in
Phase A
Phase B
Li in
mH
Phase A
Phase B

R1
0.6
0.6

R2
58
58

R3
49
0.001

R4
132
33

R5
45
37

R6
472
1082

R7
746
15

R8
679
39

L1

L2

L3

L4

L5

L6

L7

L8

1.1
1.1

1.08
2.3

3.6
2.4

100
2.5

13
8.3

11
11

54
36

14
69

Table 1. Parameters of the leakage impedance model of the laboratory transformer (phase C
is supposed equivalent to phase A)

344

Infrastructure Design, Signalling and Security in Railway

7.3 Stray Capacitances

The stray capacitances of each phase of the transformer are estimated separately. As an
example, here, the phase A (A0A1-a0a1) is studied. The transformer is modeled as a black
box, and its necessary to determine the capacitance Ca1, Ca2, Ca31, Ca32, Car, Ca1g and
Ca2g. Their effects are located in high frequencies so they will be evaluated in this frequency
range.
For each phase, seven measurement configurations are necessary to determine these
capacitances. Thus, they provide seven equations which unknowns are the capacitances of
the equivalent circuit. Following, the equation system is solved using mathematical tools.
Figure 14 presents the seven measurements configurations with the associated equations, in
the case of the phase A. The arrows show the measurements points, the short circuits are
presented by the lines and Cme represents the measured capacitance. As well as the
magnitude, the phase of the impedance is measured in order the make an efficient
characterization.
Moreover some precautions are taken for example it is proper to short-circuit the two other
phases when the third is characterized in order to inhibit their influences.

Fig. 14. Measurement configuration used for determining capacitances (example for phase A)

EMC Analysis of Railway Power Substation Modeling and Measurements Aspects

345

7.4 The augmented model impedance

The impedance characteristics presented in Figures 11 and 12 show the same evolution at
high frequency (above 3 MHz) with fast variations and consequently it costs time to model.
Thanks to "augmented method" [5], it is possible to consider this part by using an
inductance in parallel with a "black box". The "black box" is elaborated by using the
principle of the "vector fitting" [13]. This algorithm consists in approximating a frequency
response with a rational function, expressed by a sum of partial fractions. This principle is
implemented in the IdEM software [6] [18] used for our study. This code generates a
macro-model which could be integrated in software like Pspice. Figure 9 presents the main
equivalent circuit of the transformer with the added impedance issued from "augmented
model" (Fig.15) which takes into account the high frequency effects. Figure 16 shows the
effect of this augmented model impedance on the HF accuracy of the model, by
comparison of the measurements results with the model ones.
MACRO HF

L=4.8 uH
R=300

Fig. 15. Equivalent circuit for high frequency behavior of the transformer.
This circuit is repesented by a component named "augmented model" in figure 9.

Fig. 16. Primary impedance with secondary short circuited (Phase A). Comparison between
measurement and simulation result with and without the augmented model (named black
box in the figure).

346

Infrastructure Design, Signalling and Security in Railway

8. Characterization of the transformer in frequency domain

As detailed in the previous section, the determination of the proposed model parameters is
based on impedance measurements which can easily be done in frequency domain with
impedance or network analyzer.
This method gives good results for low power transformer but there are some problems to
make this kind of measurement with very high power transformer as the ones used in
railways substation, which are the followings:
-

The connection between transformer and measurement apparatus (network or

impedance analyzer) is not easy and some effects due to non ideal connection can be
seen, especially at high frequency.
The windings are often constituted with 'bus-bar' because the nominal power is high. Then,
measurements with the previous apparatus are done with very low level signal compared
to nominal power and can induce many errors (signal to noise ratio, non linearity effect).

We propose a measurement method, carried out in time domain and based on the injection
of higher level signals in the transformer. The principle of the proposed method and the
obtained results are presented in the next section. [9]

9. Characterisation in time domain

9.1 Measurements principle
A square voltage waveform is applied at terminals of the transformer in the various
configuration tests. The input current and input voltage are measured in time domain and
determined in frequency domain via Fourier transforms and then the corresponding
impedance can be deduced.
This experimental method has been applied in reduced scale on the laboratory test bench, to
characterize the 15kVA three phases transformer. For this characterization, a square signal of
magnitude 30 V with a period equal to 30s, duty cycle equal to 0.5 and the rise time and fall
time equal to 10ns. A differential voltage probe (bandwidth: 100MHz) is used to measure the
voltage at the generator terminals. The current is measured with a current probe (bandwidth:
100MHz). The connection wires between the generator and the transformer are chosen as short
as possible. Figure 17 shows a diagram of the measurement bench; we can see the generator,
one phase of the transformer and the position of measurements probes.
Figure 18 and 19 show respectively the waveforms of the primary voltage and current of one
phase of the transformer, in the configuration described in figure 17 when the voltage signal
is applied at the primary winding with the secondary being open. These measurements
allow determining the magnetizing impedance. The sample frequency used for these
measurements is 125 Msample/s. All impedances can then be measured with this technique,
but now the data have to be processed.
9.2 Impedance calculation
The measurements results obtained in time domain will be converted in frequency domain.
The impedance can be expressed as the ratio between the Fourier calculation of the voltage

EMC Analysis of Railway Power Substation Modeling and Measurements Aspects

347

and the Fourier calculation of the current which can be calculated through a FFT algorithm
for all measurements. The various impedances of the equivalent circuit shown in Fig. 9 can
then be determined through various configurations of the transformer.

Fig. 17. Measurement bench in time domain

Fig. 18. Voltage waveform in primary winding when the secondary is open

348

Infrastructure Design, Signalling and Security in Railway

Fig. 19. Current waveform in primary winding when the secondary is open
Figure 20 shows the comparison between the impedance measured at the primary winding
when the secondary is short circuited measured directly in frequency domain with
impedance analyzer and the impedance issued from the data processing applied to
measurements in time domain.

Fig. 20. Comparison between measurement of impedance in frequency domain and with
temporal method applied to impedance of the primary winding, the secondary being short
circuited.

EMC Analysis of Railway Power Substation Modeling and Measurements Aspects

349

The obtained results show a good agreement between these methods. However, we note a
small difference, in the impedance variation between these methods in low frequency,
which may be due to two reasons: the low accuracy of measurement equipments in the time
domain (oscilloscope, probes ...) and the behavior of the magnetic material at low frequency.
We can say that these results validate the proposed temporal method. This method is based
on measurement of the voltage and current waveforms in the study system by reference to
the method of Frequency Response Analysis FRA [10] which is based on the determination
of the transfer function and voltage measurements. In the proposed method, the injection of
higher current values allows us to obtain the nominal operating of the transformer.

10. Application to the test bench

10.1 The laboratory setup without the line
The test bench (Fig. 8) is composed by the 15 kVA power transformer, a rectifier (twelve
diodes) and a load constituted by four power resistances. The high frequency model of the
power transformer is used in this simulation.

Fig. 21. Circuit diagram of the test bench

The output current of the power transformer is measured for each phase using an
oscilloscope and current probe.
Figure 22 shows an example of current measured for phase A and obtained by the
simulation. The test bench is simulated by using the high frequency equivalent circuit of the
power transformer, presented previously, loaded with twelve diodes which model is
available in the components library of the software simulator (SPICE) and four resistors.

Fig. 22. Measured (left) and simulated (right) output current of the power transformer (Phase A)

350

Infrastructure Design, Signalling and Security in Railway

As shown in Figure 22, we note a good agreement between the measured and simulated
currents. Nevertheless, the waveform of the measured current is disturbed by digital noise
of the oscilloscope. Moreover in our simulation we used sources without noise which does
not exist in real case.
10.2 The laboratory setup with the line
As a conclusion of the laboratory study, we have realized a complete simulation of a railway
power system by adding a power line and a power load to the transformer. Fig. 23 shows
the experimental setup.

Fig. 23. Laboratory test bench simulating a railway power infrastucture

The test bench is constituted by the previous laboratory transformer (15kVA) used in one
phase transformer configuration (the two others phases are short circuited), connected to a
5.6m power line and load by power resistances.
This system is fed by a network analyzer (connected to port 1) which allows measuring the
current in the power line via the S21 parameter as presented in figure 23, thru a current
sensor (connected to the port 2 of the analyzer) .
Figure 24 shows a comparison between measurements and modeling for two extreme
positions of the current sensor: near the transformer (z = 0) and near the load (z = 5.6m).

z=0 m

z=5,6 m

Fig. 24. Comparison between measurement and modeling : frequency variation of the
current in the power line for two positions of the sensors

EMC Analysis of Railway Power Substation Modeling and Measurements Aspects

351

These curves show that the model seems very good until 10MHz. These results on a reduced
scale power system are very encouraging and this study has to be continued on a real
railway power substation

11. Conclusion
The results obtained with a laboratory power transformer show a good agreement between
simulations and experimental results in time and in frequency domain.
Depending on the application, the measurements approach, in frequency domain, is often
used and gives good results. However, for the high power system it is not possible to use to
impedance analyzer (specific apparatus) thus other methods can be used as the Frequency
Response Analysis (FRA). Nevertheless, the power necessary for these experimental
determinations is low and can be a problem when the goal of the measurements is to define
a model functioning at high power level for a large frequency band. The proposed
experimental method, in time domain, allows making measurements with high injected
power. The preliminary results, obtained on a laboratory transformer are very interesting.

12. Acknowledgment
This work has been done with the help of V. Deniau and J. Rioult from IFSTTAR LEOST
laboratory and G Nottet from Alstom Transport within CEMRAIL project, with
competitiveness cluster I-TRANS

13. References
[1] European Standards EN 50121: 2006 Railway applications Electromagnetic
Compatibility.
[2] A Cozza, "Railways EMC : assessment of infrastructure impact" PhD thesis Lille and
Torino , 2005
[3] C. Andrieu, E. Daupahant and D. Boss, A frequency- Dependant Model for a MV/LV
Transformer, IPST99 International Conference on Power Systems Transient,
June 20-24,1999, Budapest
[4] H. Ouaddi, S. Baranowski, N. Idir "High frequency modelling of power transformer :
application to railway substation in scale model", XIV International Symposium on
Electromagnetic Fields in Mechatronics, Electrical and Electronic Engineering,
Arras, France, September 2009.
[5] J. Kolstad, C. Blevins, J. Dunn, A. Weisshaar, NewCircuit Augmentation Method for
Modeling ofInterconnects and Passive Components, IEEE Trans, Advanced
packaging, Vol. 29, no.1, February 2006
[6] www.emc.polito.it section IDEM.
[7] S. Chimklai, J.R Marti, "Simplified Three-Phase Transformer Model for Electromagnetic
Transient Studies", IEEE Trans, Power Delivery, vol. 10, no. 3, July 1995, pp. 13161325.
[8] H. Ouaddi, S. Baranowski, N. Idir " High frequency modelling of power transformer:
Application to railway substation in scale model" Przegld Elektrotechniczny
(Electrical Review), ISSN 0033-2097, R.86 May 2010. pp 165-169.

352

Infrastructure Design, Signalling and Security in Railway

[9] H. Ouaddi, S. Baranowski, G. Nottet, B. Demoulin, L. Kon, "Study of HF Behaviour of

Railway Power Substation in Physical and Geometrical Scale" European Phys. J.,
Appl. Phys., 53, 3 (2011) 33603-1-7 February , 2011
[10] WG A2.26 report. Mechanical condition assessment of transformer windings using
frequency response analysis (FRA) Electra n228 October 2006.
[11] H. Ouaddi, G. Nottet S. Baranowski, L. Kon, N. Idir, 'Determination of the high
frequency parameters of the power transformer used in the railway substation',
IEEE VPPC 2010, Lille, 1-3 September 2010. proceeding sur clef USB
[12] A. Oguz Soysal, A method for wide frequency range modelling of power transformers
and rotating machines, IEEE Transactions on Power Delivery, vol. 8, No. 4,pp.
18021810, October 1993.
[13] B. Gustavsen and A. Semlyen, Rational approximation of frequency domain response
by Vector Fitting, IEEE Trans, Power Delivery, vol. 14, no. 3, July 1999, pp. 10521061
[14] B.Cogitore, J. P. Kradec, The two-winding transformer: an experimental method to
obtain a wide frequency range equivalent circuit, IEEE transactions on
instrumentation and measurement, Vol. 43, No. 2, April 1994.
[15] T. Noda, H. Nakamoto, S. Yokoyama, Accurate modeling of core-type distribution
transformers for electromagnetic transient studies, IEEE transactions on power
delivery, Vol.17, October2002.
[16] F. Blache, J. P. Kradec, B. Cogitore, Stray capacitance of two winding transformers:
equivalent circuit, measurements, calculation and lowering, IEEE tr IEEE
transactions on Powers Electronics Specialists Conference,, 1994.
[17] H.Y. Lu, J.G. Zhu,V.S. Ramsden, S.Y.R. Hui, Measurement and modeling of stray
capacitance in high frequency transformers, IEEE transactions on Powers
Electronics Specialists Conference, Vol. 2, Page(s): 763 768, 1999.
[18] I. A. Maio, P. Savin, I. S. Stievano, F. Canavero, Augmented models of high frequency
transformees for SMPS, Proceeding, 20th Int. Zurich Symposium on EMC, Zurich
2009.

Part 3
Signalling, Security and Infrastructure
Construction in Railway

14
Criteria for Improving the EmbankmentStructure Transition Design in Railway Lines
Inmculada Gallego, Santos Snchez-Cambronero and Ana Rivas

University of Castilla-La Mancha

Spain

1. Introduction
In the design of a railroad track there are some situations in which the introduction of a
structure in the track is needed, for example a bridge, a viaduct or a pontoon. This
circumstance is even more frequent in the High Speed lines, since the design criteria,
fundamentally slopes and radius, are stricter than those for conventional lines. The
introduction of a structure determines the appearance of a point with an abrupt change in
the vertical stiffness from a track cross section to another.
The experience has shown that these transition zones between embankment and structure
are the source of many problems (related to safety, passengers comfort, maintenance
expenses, etc.), causing differential settlements among adjacent track cross sections and
originating which is known as dip (European Rail Research Institute, ERRI., 1999)
In order to diminish this unfavorable effect, the well known "technical blocks" are designed
in a length determined between the structure and the embankment of access to this one.
However, in spite of this structural disposition, it has not been found yet any design
solution that notably reduces the track geometrical quality defects that have been observed
in the mentioned zones. This is an important issue, because they produce a relevant increase
in the maintenance expenses of the High Speed lines and they affect the availability of the
track (Gallego, Lpez, Ubalde, & Texeira, 2005).

2. Theoretical foundation of embankment-structure transition behavior

The wheel load transmitted by a train to the track does not correspond to the static load;
instead, random dynamic overloads appear due to the sprung and un-sprung masses. Among
the great amount of existing formulations relative to these overloads, there is an outstanding
contribution made by Prud Homme (Prud`Homme, 1970) according to the expression (1)

QNS 0.45

V
b mK ,
100

(1)

where: (QNS) is the standard deviation of the dynamic overloads due to the un-sprung
masses of the material; V is the running speed of the vehicle; b is a variable related to the
track defects and to the vehicle defects; m is the un-sprung mass of the vehicle; k is the
vertical track stiffness; () is Damping of the track.

356

Infrastructure Design, Signalling and Security in Railway

Expression (1) introduces a new criterion to reduce the mutual aggressiveness between track
and vehicle. From that it is deduced the importance of having a low value of the vertical
stiffness of the track (K) and of the un-sprung mass of the vehicle (m) to avoid increasing the
dynamic overloads due to the un-sprung masses. This influence is a more relevant fact in
high speed trains.
In addition, it is not only the stiffness value which determines the dynamic overloads. They
are also influenced by the variation of the stiffness value that might exist from one sleeper to
another.
The first studies carried out to deal with this problem were carried out by Amielin, 1974,
later on in the eighties they stand out those by Lopez, 1983, Hettle, 1986, Hunt, 1997, Esveld,
2001, Lpez A. , 2001 or Teixeira, 2003 shown that as the difference between the stiffness
values of two consecutive sleepers increases, the reaction on the sleepers increases, thereby
increasing the load on the sleeper. On the other hand, next to these increments of stress, the
experience has proved that some differential settlements are originated. As a result of these
two factors hanging sleepers can be developed that in turn increase the stress on the ballast.
In order to avoid this deterioration experimented in the transitions, these sections are built
the well known technical blocks, whose aim is achieving a gradual increase in the stiffness
from one sleeper to the following one, as we reach the structure.
Now, it is interesting to know: How are these designs? What criteria are used to define
them? To answer these questions a revision of the designs used by the different
European Railway Administrations has been made. Five types of the most used
measures have been identified. They are enumerated next, being the first one the most
frequently employed:

Backfill behind the abutment either with materials of a high compression level or
granular material treated with cement.
Use of a transition slab built with reinforced concrete or another material.
Introduction of horizontal layers on a track formation of different materials.
Use of geosynthetics to achieve an abutment reinforced backfill.
Treatment of the track bed and sub-ballast with cement.

Along with these measures, they have been also identified a variety of track formation
materials behind the abutment. There are three types that stand out, just as it is schematized
in Fig 1. The first two types are the more frequently used, and with regard to that work they
will be called slope type PA and slope type PB.

Fig. 1. Types of dispositions of the backfill behind the abutment in embankment-structure

transitions.

357

Criteria for Improving the Embankment-Structure Transition Design in Railway Lines

This revision of the solutions employed, shows a lack of homogeneity of the design criteria:
each Railway Administration uses different designs for the longitudinal sections of the
embankment-structure transitions.

3. Motivation of the chapter

The previous analysis shows a lack of homogeneity in the design criteria. Besides, it must be
added what the experience has pointed out, a remarkable deterioration of the quality in the
transitions. These two facts, lead to think about two reflections: a) it does not exist a precise
knowledge of the behavior of transitions, and b), the current designs have certain limitations
since they are unable to reduce in a remarkable way the deterioration experimented in these
areas. The first reflection invites us to deepen in the knowledge of the deterioration process
and the second one induces us to consider two more aims: 1) introducing new design
criteria and 2) giving an analytical basis to the already existent, to overcome some of those
limitations. In order to achieve those aims a numerical modelization of the embankmentstructure transition is shown in this chapter (Gallego & Lpez, , 2009)
Therefore, within the scope of this work it is sought to carry out a model of finite elements
which simulates the behavior of embankment-structures transitions. This model will enable
to quantify the vertical stiffness of the track according to the type of disposition of the
materials which the transition is carried out with (PA and PB, Fig 1) as well as the
geotechnical characteristics of these materials (See Tab 1 and Tab 2).
Material

E (N/m2)

c (N/m2)

(0)

(N/m3)

Rail steel

2.1x1011

0.3

7.5 104

Elastic bearing

2.952x108

Sleeper
element 1

8.01x1010

0.25

Sleeper
element 2

5.02x1010

0.25

Sleeper
element 3

3.68x1010

0.25

Ballast

1.3x108

0.2

45

1.9x104

Sub-ballast

1.2x10

0.3

45

1.9x104

Track bed

8.107

0.3

35

2x104

Material QS1

1.25x10

0.4

15000

10

2x104

Material QS2

2.50x107

0.3

10000

20

2x104

Material QS3

8x10

0.3

35

2x104

1.6x108

0.25

2.3x104

3x109

0.2

2.7x104

Cement-treated
granular
material
Rock

Table 1. Values of geotechnical parameters considered in the models

358

Infrastructure Design, Signalling and Security in Railway

GEOMETRIC
PARAMETERS
Slope
Type of
value
design (Fig 1)
(H:V)
PA
1:1
PB

3:1

GEOTECHNICAL
Name of case studies
PARAMETERS
H embankment (H7)Disposition value of the
Type material
slope- material 1of transition Original ground
material2-original ground
(type1/type2)
QS2/QS3
QS1
H7PA11QS2QS3QS1
QS2
QS2/MGT*
QS3
QS3/MGT*
ROCA

*MGT = Cement-treated granular material

Table 2. Geometric and geotechnical parameter considered in the model

4. Description of the numerical model and the work assumptions

In order to quantify the vertical track stiffness value and the incidence that the disposition
and type of material of the track formation have on it, it is considered more accurate to
analyze the track as a whole system. So as to carry out this analysis, the most appropriate
approach is to apply the finite elements method. This method enables the numerical
simulation of different materials and diverse boundary conditions, facilitating the study of
the interaction among the different elements that compose the railway superstructure and
infrastructure.
The employment of the finite elements method is accurate to evaluate the global behavior of
the track structure, but it is very limited to quantify the efforts in the ballast: the intergranular stress is very different from stress and strain assumed in a continuous medium.
However, the use of a discrete elements model, or a mixed one, finite and discrete elements,
implies a tremendous computational cost and an enormous complexity.
In the Railway field, the finite elements method has been used by authors as Lpez A. , 1977,
Sauvage & Larible, 1982, Profillidis, 1983, Sahu, Rao, & Yudhbir., 1999 Mira, Frnndez,
Pastor, Nasarre, & Carrillo, 2000, among others. Some studies developed in the eighties
stand out, such as Profillidis, 1983, since the results of those works were integrated by the
Committee D-117 of the ORE in the Record (Comit D-117 (ORE), 1983). The sizing graphics
of the track bearing structure are collected in this work. Together with the previous works, it
is also worth mentioning those carried out by the Ministerio de Fomento Espaol, which
have been the basis for making some recommendations for the Railways track construction.
In order to generate the model proposed in this chapter, the contributions collected in the
different models of Railways track formations carried out so far and enunciated previously
have been taken into consideration.
4.1 Description of the analyzed domain
The length of an embankment-structure transition depends on the type of structure and the
height of the access embankment. In the case of embankment heights around 15 meters, the
technical block can reach lengths of up to 85 meters (Fig 2). A 3D Model for such that length
require an extremely powerful software and hardware, implying a huge computational cost
due to the long time calculation that would be needed.

Criteria for Improving the Embankment-Structure Transition Design in Railway Lines

359

Fig. 2. General schematic of an embankmentstructure. The transition is the zone adjacent to

the structure (see Gallego I.,2006)
Suitable accuracy can be achieved by modeling only a transition section. However, the track
section chosen to be modeled should be such that possesses the fundamental characteristics
of a transition. However, the track section chosen for modeling should have the
fundamental characteristics of a transition. For both slope types considered (PA and PB),
these characteristics occur when the material changes from one material to another, either at
the beginning or end of the slope (see Fig 2). Thus, the sections to be modeled are those
shown within the rectangles in Fig 3.

Fig. 3. Schematic of the beginning and end of the technical block in the slope of type PB and PA
4.2 Geometry of the analyzed domain
The directions considered for the model are the following ones: the axis x indicates the
sleeper direction, the axis y the vertical and the axis z the rail direction (see Fig 2).

360

Infrastructure Design, Signalling and Security in Railway

4.2.1 Transverse section

The measures adopted for the transversal section are the ones used in the High Speed line
Madrid-Sevilla, but considering the track as simple and applying symmetry with respect to
the plane x = 0.
The slope of the embankment varies with the type of material from which it is made;
between H/V=3/2 and 1/2. The value 3/2 has been adopted in the model, because it was
employed in the MadridSeville line.
4.2.2 Vertical direction
In the vertical direction (axis y) not only all the elements that compose the super structure
are considered but also the, sub-ballast , the formation layer, 7m for the embankment and
3m for the original ground.
Values of 30, 25, and 60 cm, respectively were adopted for the thicknesses of the ballast
under a sleeper, the sub-ballast the formation layer. These values are the same values as
those applied in the transversal section of the High Speed line between Madrid and
Seville.
4.2.3 Longitudinal direction
For domain analysis, the load applied on a sleeper is transmitted to the adjacent sleepers
through some transmission coefficients. These coefficients clearly decrease as the distance
from the point of load application increases; the coefficient is only 7 per cent in the third
sleeper, when the first sleeper is defined as the one on which the load is applied (Comit D117 (ORE), 1983)
To determine the real value of the settlement of the head of the rail when the load acts on it,
one must not only solve for that load but also consider the history of the previous loads that
have affected that sleeper. The load applied on a sleeper transmits it to the two adjacent
sleepers. In order to observe the behavior of two consecutives sleepers with different
stiffness under a load, while taking into account their load history also, four successively
loaded sleepers (T5, T6, T7, and T8) were considered in order to analyze the behavior of
sleepers T7 and T8.
In 1983, a test in Derby showed that important phenomena are apparent up to the fourth
sleeper from the one loaded (Comit D-117 (ORE), 1983). Therefore, four unloaded sleepers
were introduced at both ends of the model. This set-up avoided artefacts and yet included a
substantial number of sleepers onto which the load could be applied. This approach
required consideration of a transition sector comprising 12 sleepers, leading to a model
system with a total length of 7.20 m.
4.3 Modelling rail track, elastic bearing, and sleeper section
In order to model the rail track, its resistance to bending was simulated in the most accurate
way possible (Fig 4), which is why the inertia of the modelled rail must be equal to that of
the real rail.

Criteria for Improving the Embankment-Structure Transition Design in Railway Lines

361

Fig. 4. Model of the rail and elastic bearings carried out in this study
The model also sought to make the vertical stiffness equal for all of the elastic bearings (see
Fig 4). The vertical dimension and the modulus of elasticity were fixed so that the vertical
stiffness of the element coincided with the stiffness of the elastic bearing provided by the
manufacturer. For the high-speed MadridSeville line, the elastic bearings have a stiffness of
nearly 500kN/mm (Lpez A. , 2001)
Because the sleeper section is not constant along its entire length, the dimensions of its most
representative section were used for the sleeper model elements. For each element (See Fig 5),
the modeled flexural stiffness must be equal to the real flexural stiffness, as follows
Emodel I model Ereal I real

(2)

Fig. 5. Schematic of a real sleeper and a modeled sleeper

To obtain homogeneity in the calculations, the elements of the model had to have a constant
width, which is not the case in the real sleeper. Thus, the model width must be considered to
be an average width. This average width must be such that the load bearing surface in the
model is equal to that in reality.
4.4 Sleeperballast contact
The sleeperballast contact zones contain a high concentration of strains. This local
phenomenon requires refining of the mesh used to model these zones. However, applying
this procedure is sometimes impossible because of the computational resources and model
complexity needed. The most common alternative to modeling the contact zones is to use
bounded degrees of freedom. In fact, this solution was adopted by ORE Committee D-117

362

Infrastructure Design, Signalling and Security in Railway

and was used by the Railway Track Formations Project in its recommendations on railway
track construction (Ministerio de fomento, 1999).
The use of bounded degrees of freedom requires the introduction of different nodes for each
material at the contact surface. These nodes must move equivalently in the direction
perpendicular to the contact plane (see Fig. 6). However, these nodes can move at different
values in the directions parallel to the contact plane.
This solution is effective because it solves the tensional discontinuities that appear at the
interface between two materials that differ significantly in their stiffness. In this model,
bounded degrees of freedom were used at the sleeperballast contacts.

Fig. 6. Schematic of the ballast-sleeper contact

4.5 Boundary conditions
The model in this study differs from many existing models of railway track construction
(Gallego, Lpez, Ubalde, & Texeira, 2005), in which all vertical planes are constrained in all
directions. In the Supertrack project (European comunity, 2005) and in this work, the planes
that shape the slopes of embankments are left completely free, with no restrictions. In
particular, the boundary conditions used here are as follows (see Fig. 7):

Fig. 7. Boundary conditions

Criteria for Improving the Embankment-Structure Transition Design in Railway Lines

363

In the vertical plans limits of the model, z=0 and z=7.20m, the boundary condition
adopted is to impose the nullity of movement in the perpendicular direction to these
plans (uz=0).
In the vertical plans limits of the model, x=0 and x=18.45m, the boundary condition is,
like the previous one, to impose the nullity of movement in the perpendicular direction
to these plans (ux=0).
In the horizontal inferior plan of the model y=-3m, the condition to be imposed is the
null vertical displacement (uy=0).

4.6 Material constitutive model

An elastic, isotropic, and linear model was used to develop a mechanic model of the rail
tracks, elastic bearings, sleepers, and the granular material processed with cement. In
contrast, a perfect plastic model, i.e. the DruckerPrager model (Oliver & Arlet, 2000), was
used to model the rest of the materials, including the ballast, sub-ballast, track bed,
embankment fill, and original ground. Finite strain was used to simulate the kinematics of
the continuous medium.
Granular material treated with cement is considered to behave elastically, at least until it
reaches a substantial percentage of its stress limit; one can assume its modulus of elasticity
to remain essentially constant under normal stress.
To model the embankment material on which the track is laid, a perfect elasto-plastic
behavior was assumed. This assumption implies that reloading occurs in the same way as
downloading, and that the material experiences no hardening (hardening parameter H=0).
For modeling of the yield surfaces, the most accurate approach is to use a model dependent on
hydrostatic pressure. These models are the DruckerPrager and MohrCoulomb models, which
limit the material behavior for states of hydrostatic stress (in traction). For the present study, the
DruckerPrager model was selected because it has been used in several elasto-plastic models
used to design railway projects, and it has been validated by ORE Committee D-171.
The principle formulated by Drucker and Prager in 1952 includes the influence of pressure
through the first invariant of the stress tensor I1 and the internal friction angle . It also
depends on the second invariant J2 of the deviatoric stress tensor, as well as on two
parameters: the friction angle among particles and the cohesion c. This criterion is
expressed by means of the principal stress invariant and J2 (the second invariant of
deviatoric stress), as follows:

F I 1 , J 2 , c ; ( ) I 1 J 2 K( , ) 0 ,

(3)

K( , ) 6 c( ) cos /(3 3 3 sen )

(4)

( ) 2 sen /(3 3 3 sen )

(5)

where

and

364

Infrastructure Design, Signalling and Security in Railway

When the function that defines the yield surface (3) is represented in the main stress space, a
cone is obtained, the axis of which is the hydrostatic axis (see Fig 8).

Fig. 8. Schematic of yield surfaces DruckerPrager

Of the elements used, a quadratic brick element of 20 nodes was selected; this is the most
common type of element in three-dimensional models used to design railway tracks. The
final meshes are shown in Fig 9.

Fig. 9. Finite-element model for transitions with slopes of type PA31 and PB11
4.7 Hypothesis adopted

The load application must be carried out in several stages. In the first stage, only the
materials own weight is considered until reaching the stress balance, while at later stages
the loads due to the train are also taken into account. The stresses and displacements of
interest are the ones that correspond to the application of the train loads; therefore, they can
be calculated from the difference between the totals obtained after applying the train loads
to the first stage.
Here, it was convenient to apply four load states due to the train passage, matching each
state to the application of the static load per wheel in the four central sleepers of the model:
T5, T6, T7, and T8 (See Fig 10).

Criteria for Improving the Embankment-Structure Transition Design in Railway Lines

365

Fig. 10. Schematic of the different load states

To simulate the constructive process of an embankment and to ensure convergence of the
solution, the first load state (only the material weight) was divided into 250 substeps of the
gravitational load application and 50 balance iterations for each one. For railway loads, 15
sub-steps proved to be sufficient to achieve convergence. The program used is ANSYS
Structural, which enables nonlinear analysis.
To carry out the calculations, the load of only one axle was considered while assuming the
effects of the remaining axles to be negligible.
The increased value of the dynamic overloads was calculated using PrudHommes
formulation, with 1mm used as the value for b and the speed set to be 300 km/h. With this
approach, the value of a dynamic overload was obtained according to the dynamic stiffness,
which is unknown because its calculation requires knowing the value of the point dynamic
load on the track. It is customary to carry out railway calculations assuming that the
dynamic stiffness has a value similar to that of the static stiffness; this assumption has been
validated by experience and confirmed by calculations (Ministerio de fomento, 1999). Thus,
this assumption was also made in the present study, and numerical tests were used to justify
this choice.

366

Infrastructure Design, Signalling and Security in Railway

5. Results from the model: Presentation and critical analysis

This modeling study was carried out in two phases with different aims. In the first phase,
different case studies were analyzed numerically, and the results were studied. These results
then determined whether to carry out more case studies or proceed with the second phase.
The main objective of the first phase was to observe how changing from a less rigid material
to a more rigid one would affect the vertical stiffness of the track.
In the second phase, variations caused by the different stiffness values were analyzed for all
the case studies from the first phase.
5.1 First phase

In the first phase, the main differences among the designs of the embankmentstructure
transitions are the types of materials used and the construction design. This justifies
defining two types of case studies based on different geotechnical and geometrical
parameters.
The geometrical parameters include the type and grade of slope; the latter is defined, e.g.,
as 1 : 1 and 3 : 2 (H : V , horizontal and vertical). The geotechnical parameters are the
modulus of elasticity of the materials that compose the embankment fill and the original
ground. For the modulus of elasticity, a range of values was used, matching those
adopted in the numerical model presented by ORE Committee D-117. The values
coincide with the lower limit values corresponding to the material types QS1, QS2, QS3,
and rock (see Tab 1).
To fill the embankment, granular material processed with cement (MGT) was added to the
model, since this material is so frequently used. Combining all these values with the
technical block and the four load states already described, yielded a total of 48 case studies
(see Tab 2). The modeling results for the case studies are shown in Tab 3.
To make additional comparisons, the stiffness was calculated for cases in which the fill
corresponded to conventional embankments made with the same type of material (see
Tab 4).
1. It is useful to apply stiffness values not only at the beginning but also at the end of the
technical block; therefore, the cases corresponding to the ends of the technical blocks were
calculated. Since the calculated stiffness values in the first 48 cases were similar for
original ground QS1 and QS2, and for QS3 and rock, it was sufficient to calculate the cases
corresponding to QS2 and QS3, thereby reducing the number of cases from 48 to 24 (see
Tab 5).
5.2 Second phase

The second phase involved analyzing the results of the first phase. The criteria were to limit
the following:

The upper value of the vertical stiffness

The lower value of the vertical stiffness
The value of the longitudinal variation

367

Criteria for Improving the Embankment-Structure Transition Design in Railway Lines

TRANSITION
TYPE

ORIGINAL
GROUND QS1

ORIGINAL
GROUND QS2

ORIGINAL
GROUND QS3

ORIGINAL
GROUND
ROCK

H7PA11QS2QS3

11.242

17.227

37.206

42.752

H7PB11QS2QS3

18.847

19.957

36.054

39.325

H7PA31QS2QS3

10.800

16.380

34.139

39.744

H7PB31QS2QS3

14.015

19.296

34.519

38.512

H7PA11QS2MGT

15.380

25.499

43.859

47.795

H7PB11QS2MGT

28.721

32.644

37.657

40.000

H7PA31QS2MGT

13.182

18.275

36.549

42.077

H7PB31QS2MGT

21.524

25.961

35.777

38.592

H7PA11QS3MGT

32.193

53.563

71.692

75.374

H7PB11QS3MGT

54.186

59.936

69.294

70.473

H7PA31QS3MGT

29.354

51.068

70.875

74.650

H7PB31QS3MGT

48.668

58.069

70.340

73.444

Table 3. Values of vertical static track stiffness at the beginning of transition K I (kN/mm)
for all cases studied
EMBANKMENT
ORIGINAL
MATERIAL
GROUND QS1

ORIGINAL
GROUND QS2

ORIGINAL
GROUND QS3

ORIGINAL
GROUND
ROCK

FULL QS2
( K (QS 2) )

10.186

15.717

33.226

38.433

FULL QS3
( K (QS 3) )

28.899

50.929

70.606

74.027

FULL MGT
( K ( MGT ) )

67.782

73.676

83.214

87.800

Table 4. Values of vertical static track stiffness K for conventional embankments (kN/mm)

368
TRANSITION
TYPE

Infrastructure Design, Signalling and Security in Railway

ORIGINAL GROUND QS2

ORIGINAL GROUND QS3

BEGINNING ( K I )

END ( K F )

BEGINNING ( K I )

END ( K F )

H7PA11QS2QS3
H7PB11QS2QS3
H7PA31QS2QS3
H7PB31QS2QS3

17.227
19.957
16.380
19.296

37.581
47.071
41.982
49.312

37.206
36.054
34.139
34.519

61.927
64.276
65.175
67.536

H7PA11QS2MGT
H7PB11QS2MGT
H7PA31QS2MGT
H7PB31QS2MGT

25.499
32.644
18.275
25.961

62.550
66.571
68.029
69.294

43.859
37.657
36.549
35.777

72.812
80.345
76.708
79.658

H7PA11QS3MGT
H7PB11QS3MGT
H7PA31QS3MGT
H7PB31QS3MGT

53.563
59.936
51.068
58.069

68.278
71.145
71.418
71.009

71.692
69.294
70.875
70.340

79.658
78.319
82.844
82.115

Table 5. Values of vertical static track stiffness at the beginning K I and end of transition K F
(kN/mm) for all cases studied

These criteria were applied in two steps. Initially, the first two criteria were applied, and
solutions were discarded if they resulted in either very high stiffness values, which generate
elevated dynamic overloads, or very low stiffness values, which generate excessive rail
deformations of the rail. To determine whether the stiffness values were high or low, they
were compared to the values for designs using the same original ground material and the
same materials as the simulated transition. Tab 6 shows the solutions remaining after this
elimination process.
Materials of
transition:
Type1/Type 2
QS2/QS3
QS2/MGT
QS3/MGT

ORIGINAL
GROUND QS1

ORIGINAL
GROUND QS2

ORIGINAL
GROUND QS3

PB31
PA11
PB31
PA11
PB31
PA11

PB31
PA11
PB31
PA11
PB31
PA11

PB11
PA31
PB11
PA31
PB31
PA31

ORIGINAL
GROUND
ROCK
PB11
PA31
PB11
PA31
PB31
PA31

Table 6. Transition types obtained after eliminating the transition types that with extreme
stiffness values
The second step consisted of applying the third criterion, limiting the longitudinal variation
value. From among the case studies, the cases selected were those with the smallest increase in
the K value at the beginning and end of the technical blocks. In this way, the most appropriate
solutions were obtained for each type of original ground material (QS2 and QS3). This approach
yields certain design recommendations, which are described in the following section.

Criteria for Improving the Embankment-Structure Transition Design in Railway Lines

369

6. Proposed design recommendations

The analysis identified some problems related to the type of material. Based on these, the
most relevant recommendations include:

Excessive deformations were observed in the rail when material of type QS1 exists in
the original ground (see Fig 11). These deformations reached 14mm under the rail when
transitions QS2 and QS3 were used (Tab 7). In these cases, the deformations were large,
as were the deformation values between adjacent sleepers. For this reason, it is
appropriate to substitute the original ground material of type QS1 with another
material or to treat the existing QS1 material in such a way as to obtain a modulus of
elasticity corresponding to that of a material of at least type QS2.

In transitions from material of type QS2 to treated granular material, which occurs
commonly in buried structures, the stiffness increased significantly at the beginning of the
technical block when there was a relatively compressible material in the original ground.
The solution with the smallest increase in the stiffness value was PA31. Fig 12 shows this
value to be 16.4% which is too large. For this reason, transition-type QS2/MGT is not
appropriate for use in the surface structure.

Fig. 11. Deflection of the head of loaded rails

370
H7PA11QS2QS3
LOADED SLEEPER 5
LOADED SLEEPER 6
LOADED SLEEPER 7
LOADED SLEEPER 8
H7PB11QS2QS3
LOADED SLEEPER 5
LOADED SLEEPER 6
LOADED SLEEPER 7
LOADED SLEEPER 8
H7PA31QS2QS3
LOADED SLEEPER 5
LOADED SLEEPER 6
LOADED SLEEPER 7
LOADED SLEEPER 8
H7PB31QS2QS3
LOADED SLEEPER 5
LOADED SLEEPER 6
LOADED SLEEPER 7
LOADED SLEEPER 8
H7PA11QS2MGT
LOADED SLEEPER 5
LOADED SLEEPER 6
LOADED SLEEPER 7
LOADED SLEEPER 8
H7PB11QS2MGT
LOADED SLEEPER 5
LOADED SLEEPER 6
LOADED SLEEPER 7
LOADED SLEEPER 8
H7PA31QS2MGT
LOADED SLEEPER 5
LOADED SLEEPER 6
LOADED SLEEPER 7
LOADED SLEEPER 8
H7PB31QS2MGT
LOADED SLEEPER 5
LOADED SLEEPER 6
LOADED SLEEPER 7
LOADED SLEEPER 8
H7PA11QS3MGT
LOADED SLEEPER 5
LOADED SLEEPER 6
LOADED SLEEPER 7
LOADED SLEEPER 8
H7PB11QS3MGT
LOADED SLEEPER 5
LOADED SLEEPER 6
LOADED SLEEPER 7
LOADED SLEEPER 8
H7PA31QS3MGT
LOADED SLEEPER 5
LOADED SLEEPER 6
LOADED SLEEPER 7
LOADED SLEEPER 8
H7PB31QS3MGT
LOADED SLEEPER 5
LOADED SLEEPER 6
LOADED SLEEPER 7
LOADED SLEEPER 8

Infrastructure Design, Signalling and Security in Railway

SLEEPER 5

SLEEPER 6

SLEEPER 7

SLEEPER 8

-0.0083
-0.0104
-0.0113
-0.0117

-0.0077
-0.0106
-0.0117
-0.0120

-0.0069
-0.0100
-0.0118
-0.0123

-0.0063
-0.0091
-0.0112
-0.0125

-0.0050
-0.0054
-0.0051
-0.0049

-0.0045
-0.0057
-0.0057
-0.0054

-0.0038
-0.0052
-0.0060
-0.0059

-0.0032
-0.0044
-0.0055
-0.0062

-0.0086
-0.0111
-0.0121
-0.0127

-0.0081
-0.0114
-0.0126
-0.0131

-0.0074
-0.0109
-0.0129
-0.0136

-0.0069
-0.0101
-0.0124
-0.0139

-0.0067
-0.0079
-0.0083
-0.0085

-0.0062
-0.0083
-0.0089
-0.0090

-0.0055
-0.0078
-0.0092
-0.0096

-0.0049
-0.0071
-0.0087
-0.0099

-0.0061
-0.0072
-0.0074
-0.0076

-0.0056
-0.0074
-0.0079
-0.0080

-0.0048
-0.0069
-0.0082
-0.0084

-0.0043
-0.0062
-0.0077
-0.0087

-0.0032
-0.0030
-0.0026
-0.0022

-0.0027
-0.0032
-0.0029
-0.0025

-0.0020
-0.0027
-0.0031
-0.0028

-0.0015
-0.0020
-0.0026
-0.0030

-0.0071
-0.0086
-0.0091
-0.0094

-0.0066
-0.0089
-0.0096
-0.0098

-0.0059
-0.0084
-0.0099
-0.0103

-0.0053
-0.0077
-0.0094
-0.0106

-0.0043
-0.0044
-0.0040
-0.0036

-0.0038
-0.0047
-0.0045
-0.0040

-0.0031
-0.0042
-0.0048
-0.0045

-0.0025
-0.0034
-0.0043
-0.0048

-0.0029
-0.0028
-0.0024
-0.0021

-0.0025
-0.0031
-0.0029
-0.0025

-0.0020
-0.0027
-0.0032
-0.0029

-0.0016
-0.0022
-0.0028
-0.0032

-0.0017
-0.0015
-0.0011
-0.0008

-0.0014
-0.0017
-0.0015
-0.0011

-0.0010
-0.0014
-0.0017
-0.0015

-0.0007
-0.0010
-0.0014
-0.0017

-0.0032
-0.0031
-0.0028
-0.0025

-0.0028
-0.0035
-0.0033
-0.0029

-0.0022
-0.0031
-0.0036
-0.0034

-0.0018
-0.0025
-0.0033
-0.0037

-0.0019
-0.0017
-0.0013
-0.0010

-0.0016
-0.0019
-0.0017
-0.0013

-0.0012
-0.0016
-0.0019
-0.0016

-0.0009
-0.0012
-0.0016
-0.0019

Table 7. Settlements of rail for the different load steps. Case study: original ground QS1

Criteria for Improving the Embankment-Structure Transition Design in Railway Lines

371

Fig. 12. Analysis of the stiffness variations assuming material transition from type QS2 to
granulartreated material

Near the abutment, the stiffness increased abruptly when using a granular material
treated with cement as fill (MGT, 3% by weight). In fact, the stiffness value of the
abutment could oscillate between 200KN/mm and 300KN/mm. The maximum of 87.8
KN/mm obtained for the case of treated granular material (Tab 4) is outside of that
range. In this case, it is necessary to put a material with greater stiffness than MGT next
to the abutment.
A direct transition from QS2 or QS3 material to the structure is not recommended. At
best, the stiffness is 38.43 KN/mm when the embankment material is QS2 and 74.027
KN/mm if it is QS3 (see Tab 4), as compared to200-300 KN/mm of vertical stiffness on
the abutment.
It is sometimes necessary to build the embankment adjacent to the abutment before
building the structure. For example, this occurs when the original ground adjacent to
the abutment is preloaded, and the load is removed immediately before building the
transition. In that case, a slope of type PA (right column) is used instead of a slope of
type PB (left column) in the transition from embankment material QS2 to QS3. In this
research, a suitable value is obtained for the slope of the transition for each type (PA,
PB). For that reason, it is necessary to distinguish between both slope types when
considering whether a better approach would be to build the embankment before or
after fabricating the structure.

In this way, based on these analyses, this study can make some recommendations about
construction designs. Moreover, this study has proposed some ideas relating to the
geometric designs of the different materials and has classified the designs according to the
original ground and according to when the adjacent embankment is built, either before or
after the construction of the structure (Fig 13).

372

Infrastructure Design, Signalling and Security in Railway

Fig. 13. Proposed design schemes

7. Conclusions
The designs currently used in embankmentstructure transitions lead to zones that suffer
significant deterioration. In addition, the various European railway systems have adopted
many different design specifications when constructing these zones.
Increased railway speeds enhance the deterioration problems in the embankmentstructure
transitions, which has important implications for operating and maintenance costs, as well
as for passenger safety and comfort.
From the numerical analysis carried out in this study, the following conclusions are drawn:

The embankment must not be built on excessively compressible material, as shown for
material of type QS1 on original ground. Such material must be replaced with another
material or treated to obtain a modulus of elasticity corresponding to that of a material
of at least type QS2.
Transitions from material of type QS2 to material of type MGT should be carried out
when there the original ground is of type QS3, or when the buried structure is treated.
For each disposition type (PA, PB), there exists an optimal value for the slope. This
value is not always the lowest one (3:1), as expected. The most suitable slope value (3:1
or 1:1) depends on the of original ground material, on the disposition type, and on the
materials used in the transition.

Criteria for Improving the Embankment-Structure Transition Design in Railway Lines

373

An abrupt increase in the stiffness takes place when a granular material treated with
cement (MGT at 3% by weight) is used near the abutment. This problem remains
unresolved, but future solutions should focus on improving the modulus of elasticity of
the material without producing excessive stiffness increases at the extremes of the
transition from the material of type QS3 to the treated material.

The application of all of those conclusions leads to a succession of recommendations for the
most suitable building designs. When developing such designs, those factors which have an
influence on the transition behavior (original ground, transition materials, and slope type)
must be considered.

8. References
Amielin, S. (1974). La va y el servicio de va. (Spanish translation from the original in
Russian, by Fundacin de los Ferrocarriles Espaoles).
Comit D-117 (ORE). (1983). Adaptation optimale de la voie classique au trafic de lavenir.Rapport
no. 27. Comportement des structures dassise de la voiesous charges rptes. Office de
Recherches et dEssais delUnion Internationale des Chemins de Fer.
Esveld, C. (2001). Modern railway track. The Netherlands: MRTProductions.
European comunity. (2005). Sustained Performance of Railway Tracks-SUPERTRACK Project
Numerical simulation of train-track dynamics.
European Rail Research Institute, ERRI. (1999). Code D-230.1/RP3, Bridge ends embankment.
Structure transitions.
Gallego, I. (2006). Heterogeneidad resistente de las vas de Alta Velocidad: Transicin terraplnestructura.6. Ciudad Real: Doctoral Thesis, University of Castilla-La Mancha.
Gallego, I., & Lpez, A. (2009). Numerical simulation of embankmentstructure transition
design. Journal of Rail and Rapid Transit , 223, 331-342.
Gallego, I., Lpez, A., Ubalde, L., & Texeira, P. (2005). Track deterioration in high-speed
railways: the influence of longitudinal variatioical stiffrness in the embankmentstructure transitions. Congress on Railway Engineering. London.
Hettle, A. (1986). Modelluntersuchungen der Gleissetzungen am Ubergang Brcke (Studies
in a reduced scale model on the track sinking/downfall/collapse in a section of a
bridge/embankment transition ). ETR (Spanish translation from the original in
German) .
Hunt, H. (1997). Settlement of railway track near bridge abutment. Proc. Instn. Civil Engrs.
Transp, (pgs. 68-73).
Lpez, A. (1977). Anlisis de la deformabilidad vertical de una va frrea mediante el
mtodo de elementos finitos. AIT (15).
Lopez, A. (1983). La heterogeneidad resistente de una va y su incidencia en la evolucin de
la nivelacin longitudinal: una aproximacin al problema. Revista de Obras Pblicas,
, 719-735.
Lpez, A. (2001). La rigidez vertical de la va y el deterioro de las lneas de alta velocidad.
Revista de Obras Pblicas , 222-232.
Ministerio de fomento. (1999). Recomendaciones para el proyecto de plataformas ferroviarias.
Madrid: Servicio de publicaciones del Ministerio de Fomento.
Mira, P., Frnndez, J., Pastor, M., Nasarre, J., & Carrillo, J. (2000). Aplicaciones del mtodo
de elementos finitos a la ingeniera ferroviaria. Revista de Ingeniera Civi (118), 71-82.

374

Infrastructure Design, Signalling and Security in Railway

Oliver, X., & Arlet, C. (2000). Mecnica de medios continuos para ingenieros. Barcelona:
Ediciones UPC.
Profillidis, V. (1983). La voie et sa fondation modelisation mathematique. Pars: Doctoral Thesis,
cole Nationale des Ponts et Chausses.
Prud`Homme, M. A. (1970). La voie. Revue Gnrales des Chemins de Fer .
Sahu, J., Rao, & Yudhbir. (1999). Parametric study of resilient response of tracks with a subballast layer. Canadian Geotechnical Journal , 36, 1137-1150.
Sauvage, G., & Larible, G. (1982). La modlisation par lments finis des couches d`assise de
la voie ferre. Revue Gnrale des Chemins de Fer , 475-484.
Teixeira, P. F. (2003). Contribucin a la reduccin de los costes de mantenimiento de vas de alta
velocidad mediante la optimizacin de su rigidez vertical. Doctoral Thesis, Polytechnic
University of Catalua.

15
Influence of the Phreatic Level on the Stability
of Earth Embankments
Shodolapo Oluyemi Franklin1 and Gbenga Matthew Ayininuola2
1University

of Botswana, Gaborone
of Ibadan, Ibadan
1Botswana
2Nigeria

2University

1. Introduction
Slopes in soils and rocks are common place in nature and man-made structures partly due
to the fact that they are generally less expensive than constructing walls. However slope
stability problems may arise due to the construction of artificial slopes in cuttings and
embankments for roads and railways, or the construction of earth dams and water retaining
embankments. Other reasons may include the study of the process of large scale natural
slips or the application of remedial measures when such slips have taken place (Capper &
Cassie, 1971). Existing slopes that have been stable may experience significant movement
due to natural or man-made conditions. Such changes can result from the occurrence of
earthquake, subsidence, erosion, the progression of tension or shrinkage cracks coupled
with water ingress, changes in groundwater elevation or changes in the slopes subsurface
flow which induces new seepage forces (McCarthy, 1998). Further causes may include the
removal of earth below the toe of a slope or increased loading close to the crest of the slope.
Slips may occur suddenly or gradually, commencing with a crack at the top of an earth
embankment and slight upheaval near to the bottom and subsequently developing to a
complete slip. All the foregoing actions make slip surface stability analysis of earth
embankments complex and very difficult.
Several notable methods of analyzing slip surface stability have been developed over the years.
Among the earliest was one that had its slip circle passing through soil materials whose shear
strength is based upon internal friction and effective stresses (Fellenius, 1927). In this method an
area of unit thickness of the volume tending to slide is divided into vertical strips and it is
assumed that for each slice the resultant of the interslice forces is zero. A more significant and
certainly more widely used approach utilizing the method of slices assumed a circular failure
surface and fulfilled moment equilibrium but did not fully satisfy force equilibrium (Bishop,
1955). Yet another method considered a cylindrical slip surface and assumed that the forces on
the sides of the slices are parallel (Spencer, 1967). A generalized approach (Morgenstern & Price,
1965) was developed in which all boundary and equilibrium equations are satisfied and the
failure surface could assume any shape. The method involved solving systems of singular
simultaneous equations and was unduly long in obtaining approximate answers despite the
several assumptions made. An alternative generalized procedure (Bell, 1968) has been advanced

376

Infrastructure Design, Signalling and Security in Railway

which satisfies all conditions of equilibrium and assumed any failure surface. Here a solution is
obtained by assuming a distribution of normal stress along the rupture surface. An approach
involving the determination of the critical earthquake acceleration required to produce a
condition of limiting equilibrium has been developed (Sarma, 1979). Also stability charts have
been proposed which were partly based on the work of previous investigators and are
applicable to a wide range of practical conditions (Cousins, 1978).
In practically all the afore-mentioned methods, the mass of soil assumed to be associated with
the slope slide is divided into vertical slices. A slice is selected, the free body diagram of the
forces acting on the slice is drawn and subsequently, based on limit equilibrium methods, an
expression is derived for determining the factor of safety of the slope. The stability problem is
dealt with by assuming that the tangential interslice forces are equal and opposite (Bishop,
1955). An iterative method for analyzing the stability problem in non-circular slip failures
(Janbu, 1973) utilized a full rigorous algorithm and assumed a known line of thrust for the
interslice horizontal forces. The method is best suited for computer solution. Similarly
analytical solutions have been presented (Morgenstern & Price, 1965) which incorporate all
interslice forces but are dependent on several assumptions and are quite lengthy.
1.1 Role of water pressure forces
The action of water is highly significant in slope movement. In clay and shale, softening by
rain may lead to slip of a whole layer of material as a mud run. In addition water
percolating into fissured clay may result in progressive deterioration and weakening that
eventually results in reduction of shear strength so that a rotational or translational slip
occurs. Consequently, for the various methods of slices highlighted above, it is important to
stress the need to consider the water pressure forces acting not only at the interslice but also
at the slice base, for such neglect may produce erroneous results.
More accurate but lower factors of safety are claimed for methods which account for the
variation in seepage forces acting on and in the slice (King, 1989). Nevertheless such
refinements depend on good estimates of water pressure. The factors of safety obtained for a
given slope using different methods of slices are sensitive to the assumptions made in
deriving them (Morrison & Greenwood, 1989). Furthermore the interslice forces play an
important role in the resulting factors of safety. Hence the present study focuses on the
effects of omitting the interslice pore water pressure forces on the overall stability of earth
embankments and also endeavours to reduce the complexity features common to the more
recent methods of slices outlined earlier.

2. Methodology
In general, any proposed method to evaluate the factor of safety must satisfy several
requirements such as fulfilling limit equilibrium laws, account for all forces acting on the
slice, adopt few assumptions, which should be easily comprehensible, be applicable to nonhomogeneous soils, account for the water pressure distribution at the base of the slice as
well as at the interslice, and treat stability problems in terms of both effective and total
stresses. Furthermore, it is immaterial whether the horizontal interslice forces are considered
as total or effective together with the force due to water pressure. When the force due to
water pressure is correctly accounted for at the base as well as on the vertical sides of the

Influence of the Phreatic Level on the Stability of Earth Embankments

377

slice, then the equilibrium of the body (soil skeleton) and water (hydrostatic) as well as
normal and shear forces is maintained.
In order to properly assess the effect of water pressure forces on the stability of earth
embankments, two algorithms which utilize both the limit equilibrium approach and method of
slices are presented. The algorithms satisfy all the conditions stated above and in addition, the
stability problem is treated as a 2-dimensional one in order to arrive at the final solution more
quickly. A comprehensive description of the two algorithms and their application to a number
of embankments reported in the literature is given elsewhere (Ayininuola & Franklin, 2008).
Only the more important features will be considered here. The basic assumptions adopted for
the present purpose are as follows: (a) The line of thrust on a slice and the pore water pressure
forces are within the slice, preferably at one-third distance from the base or mid-point of the
slice vertical sides (b) Factor of safety is defined in terms of the average shear stress developed
along the potential failure surface and the average shear strength within the soil (c) Failure
occurs simultaneously throughout the soil mass within the assumed rupture boundary.
2.1 Formulation A
Consider an elemental slice in Fig. 1. Due to the many unknown forces acting on the nth
slice, the free body diagram in Fig. 2(a) is further divided into two separate bodies (Figs.
2(b) and 2(c)) under the basic requirements for the analysis of earth embankment stability.
Since Fig. 2(a) is in equilibrium with all the forces acting on it, consequently Figs. 2(b) and
2(c) are in equilibrium as well.
On examining Fig. 2(a) critically, it is observed that of the twelve forces acting on the slice,
only four have known magnitudes. This makes the analysis statically indeterminate of order
eight. For the remaining eight forces to be determined there is need to establish logical
relationships between the forces. With reference to Fig. 2(c) and letting Pw(n) be the
elemental increment of water pressure forces Pw(n+1) and Pw(n) across the slice, then

Pw n 1 Pw n Pw n

(1)

The hydrostatic force Un is obtained by measuring the free standing height of water in an
installed piezometric tube at the slice base. If the piezometric height at the base is Hw(n) then

U n w .H w n . g

(2)

where g is the acceleration due to gravity. Alternatively, since the forces acting in Fig. 2(a) are
in equilibrium, it implies that the forces in Figs. 2(b) and 2(c) are also in equilibrium. Hence the
hydrostatic force Un at the base of the slice can be determined from the weight of water in the
slice. From force equilibrium in the x and y directions the following expressions are obtained:
Un Ww n sec n

(3)

Pw n Un sin n

(4)

where Ww(n) is the weight of water in the nth slice and n is angle at the base of the slice.
Substituting the value of Un in equation (3) into equation (4) yields

378

Infrastructure Design, Signalling and Security in Railway

Fig. 1. Cross-section of an earth embankment made of non-homogeneous strata or soil layers

Influence of the Phreatic Level on the Stability of Earth Embankments

Fig. 2. Forces acting on an nth slice

379

380

Infrastructure Design, Signalling and Security in Railway

Pw n Ww n tan n

(5)

From Fig. 2(b) let En and Xn be the elemental increments of horizontal interslice lateral
thrusts En, En+1 and vertical interslice shear forces Xn, Xn+1 respectively across the slice, that is
En En En 1 , Xn Xn Xn 1

(6)

In Fig. 2(a) since the total normal force Nn and shear force Tn acting at the base of the slice
are orthogonal, they have the same resultant Rn. In order to reduce the number of unknowns
at the base of the slice the forces Tn and Nn are expressed in terms of Rn as follows:
Tn Rn sin n , N n Rn cos n

(7)

It should be noted at this stage that the total and effective normal forces, Nn and Nn
respectively, are related to Un as follows:
N n N n Un

(8)

Limit equilibrium laws can be applied to the slice in Fig. 2(a). Firstly resolving the forces
acting on the slice in the Nn-direction yields
N n Wn cos n Xn cos n En sin n Pw n sin n Ww n cos n 0

(9)

Substituting the values of Pw(n) and Nn from equations (5) and (7) respectively into
equation (9) and re-arranging yields
Rn cos n En sin n Xn cos n Ww n cos n tan n sin n Wn cos n

(10)

Also, resolving the forces acting on the slice in the Tn-direction yields
Tn Wn sin n Xn sin n En cos n Ww n sin n Pw n cos n 0

(11)

Substituting the values of Pw(n) and Tn from equations (5) and (7) into equation (11) and
simplifying and re-arranging results in
Rn sin n Xn sin n En cos n Wn sin n

(12)

Examination of equations (10) and (12) reveals that there are three unknowns in the two
equations which render them indeterminate; in order to solve for these unknowns it is
necessary at this stage to introduce an equilibrium equation based on moments. From Fig.
2(b), taking moments of the resultants of the interslice forces and other forces about the midpoint of the slice base width gives

Xn . bn 2 En Z 3 bn 2 tan n Pw n H w n 3 0

(13)

where Z is the elevation of one side of the slice, or more correctly, the greater of Zn and Zn+1,
and Hw(n) is the height of water in the nth slice. Substituting for the value of Pw(n) from
equation (5) into equation (13) and re-arranging results in

381

Influence of the Phreatic Level on the Stability of Earth Embankments

En Z 3 bn 2 tan n Xn . bn 2 Ww n tan n H w n 3

(14)

Equations (10), (12) and (14) can now be assembled together as a set of simultaneous
equations in the following form
Rn cos n En sin n Xn cos n Ww n cos n tan n sin n Wn cos n

Rn sin n Xn sin n En cos n Wn sin n

En Z 3 bn 2 tan n Xn . bn 2 Ww n tan n H w n 3

(15)

In matrix format the simultaneous equation (15) becomes

cos n
sin
n

sin n
cos n Rn
cos n
sin n En
{Z 3 (bn 2)tan n }
bn 2 Xn

(16)

Ww( n ) (cos n tan n sin n ) Wn cos n

Wn sin n

Ww( n ) tan n ( H w( n ) 3)

In compact form this can be written as

K .D F
cos
n

where K sin n

sin n
- cos n

- Z 3 bn 2 tan n

(17)
- cos n

- sin n ,

bn 2

and F Ww n cos n tan n sin n Wn cos n

Wn sin n

D Rn

Xn

En

Ww n tan n H w n 3

In the above expressions the matrices D and F represent the nodal unknown forces and the
nodal applied forces respectively.
Equation (17) above is for the nth slice, and when such sets of equations are assembled for
the whole rupture mass this yields
K g .Dg Fg

(18)

where Kg is the global stiffness matrix, Dg is the global forces matrix and Fg is the global
applied forces matrix. The simultaneous equation (18) can be solved for various values of
Rn, En and Xn using the Gaussian elimination, Jacobi or Gauss-Siedel iterative techniques.
The Gaussian elimination method is, relatively speaking, the simplest and easiest of the
three procedures to implement. Once the values of Rn are obtained, the values of Nn and Tn
can also be found using equations (7) and (8).

382

Infrastructure Design, Signalling and Security in Railway

The factor of safety can be defined in terms of the shear strength of the soil and the shear
stress developed along the potential failure surface based on the Coulomb-Mohr failure
criteria in terms of effective stress as follows:

Tn cnLn N n tan n

(19)

where Fs is the factor of safety and n is the angle of shearing resistance with respect to
effective stress. Substituting for the values of Tn and Nn from equations (7) and (8) into
equation (19) yields

Rn sin n cnLn Rn cos n Un tan n Fs

(20)

Also substituting the value of Un from equation (3) into equation (20) and then considering
the whole of the rupture mass consisting of the set of slices will give

Rn sin n cnLn Rn cos n Ww n sec n tan n

Fs

(21)

Making Fs the subject of the expression in equation (21) will yield

Fs

cnLn Rn cos n Ww n sec n tan n

Rn sin n

(22)

Equation (22) can be use to analyze stability problems involving both homogeneous and
non-homogeneous soils types.
Irrespective of whether the earth embankment is partially or wholly drained, the equation
can be applied because during its formulation both states of stress were taken into
account.
2.2 Formulation B

The present study seeks to investigate the effect of hydrostatic pore water pressure forces
on the overall stability of earth embankments and as such, in order to establish a basis of
comparison with the earlier algorithm presented, an alternative approach is developed.
This treats stability problems in terms of effective stresses and assumes that the influence
of water pressure forces acting at the interslice can be neglected. The lines of action of
Pw(n+1) and Pw(n) are taken to be coincident and also Pw(n) = 0. Proceeding along the same
lines as the previous formulation, the following set of simultaneous equations can be
arrived at:

Rn cos n En sin n Xn cos n Ww n Wn cos n

Rn sin n Xn sin n En cos n Ww n Wn sin n

En Z 3 bn 2 tan n Xn . bn 2 0

(23)

Influence of the Phreatic Level on the Stability of Earth Embankments

383

For the typical nth slice the above equation in matrix format becomes
cos n
sin
n

sin n
cos n Rn ( Ww( n ) Wn )cos n

cos n
sin n En ( W w( n ) Wn )sin n

{ Z 3 ( bn 2)tan n }
bn 2 X n
0

(24)

Again proceeding along the same lines as the previous formulation, an expression very
similar to equation (22) can be obtained as follows:

Fs

cnLn Rn cos n Ww n sec n tan n

Rn sin n

(25)

Although equations (25) and (22) are very similar, the procedures for evaluating the
values of Rn in both equations are certainly not the same. Consequently different values of
factors of safety will be obtained using both approaches. The methods developed can be
used for slip surface stability analysis either manually or with a programmable calculator.
However while this may be true for fairly homogeneous slopes, for real or nonhomogeneous soils the computation work is quite daunting for practical design. This is on
account of the number of rupture surfaces that may need to be analyzed in order to obtain
the most critical rupture surface for design purposes as well as the fact that the global
stiffness matrix Kg mentioned earlier may be of the order 60 x 60 or more, depending on
the number of slices within the rupture mass. Hence comprehensive computer software
was developed involving two minimization computer programmes which can handle
problems of up to three soil strata; some details of the programmes are given elsewhere
(Ayininuola, 1999).

3. Results
In order to assess the effect of the pore water pressure forces, the procedures developed in
the present study have been applied to a number of earth embankments some of which are
reported in the literature. Firstly, the Lodalen Landslide (Sevaldson, 1956) is examined and
then, the case of a non-homogeneous earth dam (Sherard et al, 1978) is investigated. Finally
the effect of altering the phreatic level on the Okuku dam in South-Western Nigeria
(Ayininuola & Franklin, 2008) is studied.
3.1 Stability analysis of the Lodalen Landslide (Sevaldson, 1956)

Fig. 3 shows a sectional view of the Lodalen Landslide. A stability analysis of the earth
embankment prior to the occurrence of the slide will be carried out. Towards this end the
initial rupture surface has been divided into 13 slices. The necessary data have been taken
from the initial rupture surface and fed into the computer programme mentioned earlier. A
total of 100 rupture surfaces have been considered in the analysis. Details of the computer
output are not presented here, but a summary of the main findings are shown in Table 1 and
these results are discussed at a later stage.

384

Infrastructure Design, Signalling and Security in Railway

Fig. 3. Re-examination of the Lodalen slide (Modified from Sevaldson, 1956)

385

Influence of the Phreatic Level on the Stability of Earth Embankments

3.2 Stability analysis of a non-homogeneous earth dam (Sherard et al, 1978)

A non-homogeneous earth dam is shown in section in Figs. 4 and 5 and it is required to

carry out a stability analysis of both the upstream and downstream sides of the dam. The
assumed initial rupture surface on both sides of the dam has been divided into 12 slices
each and the necessary data taken from the rupture surfaces have been fed into the
computer programme referred to earlier. A total of 200 rupture surfaces have been
considered at both the upstream and downstream sections. Again details of the computer
output are not given in the present study, however a summary of the main findings are
shown in Table1.
Earth Embankment

Method

Factor of Safety

Lodalen slide (Sevaldson,

1956)

Authors Formulation A
Authors Formulation B
Bishops Simplified

0.80
0.90
0.90

Downstream section of nonhomogeneous earth dam

(Sherard et al, 1978)

Authors Formulation A
Authors Formulation B
Bishops Simplified

1.49
1.83
1.83

Upstream section of nonhomogeneous earth dam

(Sherard et al, 1978)

Authors Formulation A
Authors Formulation B
Bishops Simplified

0.66
0.78
0.78

Table 1. Results of stability analysis of Lodalen slide and a non-homogeneous earth dam
3.3 Stability analysis of Okuku earth dam, Nigeria

On account of the accessibility to data, the Okuku dam has been utilized as a case study in
order to investigate and understand the response of the proposed formulations to changes
in the phreatic levels in the earth embankment due to variation in water levels in the storage
reservoir. The dam was constructed in 1995 at Okuku town located on the 8o 02N and 4o
40E coordinates and approximately 40 km North-East of Osogbo in Osun State, SouthWestern Nigeria. The dam axis located across River Anle, a seasonal stream, is about 1.5 km
South-East of Okuku town. The dam is a homogeneous earth dam built with poorly graded
sand clay mixtures which possess the following soil characteristics, namely, cohesion c = 45
KN/m2, angle of shearing resistance = 12o and additionally, average dry density of dam
construction materials, = 19.63 KN/m3. The height of the crest above the base of the dam is
10 metres and the upstream and downstream sections are sloped at ratios 1:3 and 1:2.5
respectively. In Figs. 6 and 7, diagrams of the dam embankment for both the upstream and
downstream sections at different levels of water in the storage reservoir are shown.
Additional details in respect of the dam design may be found elsewhere (Ayininuola, 1999).
The factors of safety at different phreatic levels for both the upstream and downstream
sections of the dam have been estimated using the two formulations developed earlier. A
total of 500 rupture surfaces have been examined for each section. A summary of the results
is presented in Table 2 and Figs. 8 and 9.

386

Infrastructure Design, Signalling and Security in Railway

Fig. 4. Upstream section of an earth dam embankment (Modified from Sherard et al, 1978)

Influence of the Phreatic Level on the Stability of Earth Embankments

387

Fig. 5. Downstream section of an earth dam embankment (Modified from Sherard et al, 1978)

388

Infrastructure Design, Signalling and Security in Railway

Fig. 6. Upstream section of Okuku earth dam (Courtesy Konsadem Associates Ltd., Nigeria)

Influence of the Phreatic Level on the Stability of Earth Embankments

389

Fig. 7. Downstream section of Okuku earth dam (Courtesy Konsadem Associates Ltd., Nigeria)

390

Infrastructure Design, Signalling and Security in Railway

Water level
(metres)

Stability values
for Formulation
A

Stability values
using
formulation B

Difference (%)

Upstream

9.00*
6.55*
5.25*
3.70*

2.43
2.60
2.81
3.01

2.78
2.85
2.93
3.03

14.40
9.62
4.27
0.66

Downstream

9.00**
6.55**
5.25**
3.70**

2.25
2.53
2.74
2.89

2.67
2.76
2.83
2.90

18.67
9.09
3.28
0.35

Section of dam
under
consideration

Table 2. Results of stability analysis of Okuku Dam using Formulation A and B

Fig. 8. Variation of factor of safety of dam embankment with reservoir water depth
(upstream section)

Influence of the Phreatic Level on the Stability of Earth Embankments

391

Fig. 9. Variation of factor of safety of dam embankment with reservoir water depth
(downstream section)

4. Discussion
The comments outlined here are based primarily on the results presented in Tables 1 and 2,
as well as in Figs. 8 and 9. As noted in the preceding section, details of the computer output
in respect of the stability analysis carried out are not presented here, but may be obtained
elsewhere (Ayininuola & Franklin, 2008; Ayininuola, 1999).
4.1 Comparison between formulations A and B and Bishops simplified method

The procedures developed in the present study as well as Bishops have been applied to
the Lodalen landslide as well as the non-homogeneous earth dam described in the
preceding section. Using Table 1 and the results of the computer generated output for
the Lodalen landslide as guide, several points may be noted. Firstly the water pressure
forces acting at the interslice have great influence on the elemental horizontal thrusts
generated at the interslice. They also have a direct influence on the elemental shear
forces at the interslice. In this region when the elemental water pressure forces are
assumed to be zero, the values of the elemental horizontal thrusts and shear forces that
develop are much smaller than those obtained when water pressure forces are taken into
account.
In addition to the above, water pressure forces, elemental horizontal thrusts and elemental
shear forces are directly affected by the slice inclination angles. When for example the
inclination angle is zero, the effect of all the forces mentioned is practically negligible. At the
interslice when the piezometric height Hw(n) is zero, the values of elemental

392

Infrastructure Design, Signalling and Security in Railway

horizontal thrust and elemental shear force are zero. Furthermore the factors of safety
obtained when the net effect of water pressure forces at the interslice is taken to be zero are
higher than the corresponding values when the afore-mentioned forces are considered by
the order of 8% 24% depending on the phreatic level. Also the results given by
Formulation B, which ignores the water pressure forces effect at the interslices, are
practically identical to those obtained using Bishops method.
4.2 Influence of the phreatic level on earth dam stability

With reference to Table 2 and Figs. 8 and 9, the results of stability analysis of Okuku earth
dam reveal that the higher the phreatic level in the storage reservoir of the earth dam, the
greater the variation between the stability values obtained using Formulations A and B.
When the water pressure forces are ignored, higher factors of safety of the order of 0.35%
18.67% are obtained. With regards to the curves in Figs. 8 and 9, and also from a study of the
computer generated output, it is observed that at low phreatic levels in the storage reservoir
of between 20% and 30% of the dam height, both approaches yield similar stability values.

5. Conclusions
An in-depth study of the effect of the pore water pressure forces acting at the interslice on
the stability of earth dams has been carried out. This has been achieved by developing two
procedures and applying the formulations to a number of practical cases. Based on the
results of the investigation, a number of conclusions can be drawn: Firstly the magnitudes of
effective horizontal thrusts and shear forces generated at the interslice when pore water
pressure forces induced are taken into consideration are higher than those obtained when
these forces are ignored. This demonstrates that the pore water pressures developed have an
influence on the values of other interslice forces. Secondly the inclusion of net water
pressure forces in the stability analysis of the earth embankments studied clearly show that
the action of the water pressure forces serves to promote instability, as would be expected.
Thirdly the popular practice amongst geotechnical engineers of resolving the water pressure
within a given slice in a direction of normal at the slice base in order to estimate its value,
whilst the horizontal effect of the slice base water pressure is taken as zero, constitutes a
grave error. This action is not in line with limit equilibrium procedures and yields erroneous
results. Fourthly at low phreatic levels the proposed approaches give practically similar
factors of safety. This implies that the effect of water pressure forces acting on the interslice
can only be neglected when the phreatic line in an embankment is at its lowest stage, a
considerable period after drawdown, or preferably between 20% and 30% of the overall
height of the embankment. Finally the factors of safety found using Bishops simplified
method and that based on Formulation B, which ignores the pore water pressure forces
effect, are in very close agreement. This simply implies that the inclusion of only the
effective horizontal thrusts and shear forces acting at the interslice has little influence on the
resulting factors of safety.

6. Acknowledgments
The present investigators would wish to thank the management of Konsadem Associates
Limited, Ibadan, Nigeria for making readily available the data and other aspects relating to

Influence of the Phreatic Level on the Stability of Earth Embankments

393

the design of the Okuku earth dam embankment. In addition the assistance received from
staff of Ete-Aro and Partners Limited, Ibadan, is gratefully acknowledged. The authors
would also wish to place on record the encouragement of staff of the Department of Civil
Engineering, University of Ibadan, Nigeria as well as staff of the Department of Civil
Engineering, University of Botswana, Gaborone, Botswana.

7. References
Capper, P. & Cassie, W. (1971). The Mechanics of Engineering Soils, 5th Edition, E. & F.N. Spon,
ISBN 419-10700-2, London, United Kingdom
McCarthy, D. (1998). Essentials of Soil Mechanics and Foundations - Basic Geotechnics, 5th
Edition, Prentice-Hall, ISBN 0-13-506932-7, New Jersey, USA
Fellenius, W. (1927). Erdstatische Berechnungen mit Reibung und Kohasion Adhasion und unter
Annahme Kreiszylindrischer Gleitflachen, W. Ernst, Berlin
Bishop, A. (1955). The Use of the Slip Circle in the Stability Analysis of Slopes, Geotechnique,
Vol.5, No.1, (March 1955), pp 717, ISSN 0016-8505
Spencer, E. (1967). A Method of Analysis of the Stability of Embankments Assuming Parallel
Interslice Forces, Geotechnique, Vol.17, No.1, (March 1967), pp 1126, ISSN 00168505
Morgenstern, N. & Price, V. (1965). The Analysis of the Stability of General Slip Surfaces,
Geotechnique, Vol.15, No.1, (March 1965), pp 7993, ISSN 0016-8505
Bell, J. (1968). General Slope Stability Analysis, J. Soil Mech. & Found. Div., ASCE, Vol.94,
No.6, (June 1968), pp. 253270, ISSN 04447994
Sarma, S. (1973). Stability Analysis of Embankments and Slopes, Geotechnique, Vol.23, No.2,
(June 1973), pp. 423433, ISSN 0016-8505
Cousins, B. (1978). Stability Charts for Simple Earth Slopes, J. Geotechnical. Eng. Div., ASCE,
Vol.104, No. GT2, (February 1978), pp. 267279, ISSN 00936405
Janbu, N. (1973). Slope Stability Computations, In: Embankment Dam Engineering- Casagrande
Memorial Volume, R.C. Hirschfield & S.J. Poulos (Ed.), 4786, John Wiley & Sons,
ISBN 0-471-40050-5, New York, USA
King, G. (1989). Revision of Effective Stress Method of Slices, Geotechnique, Vol.39, No.3,
(September 1989), pp. 497502, ISSN 0016-8505
Morrison, I. & Greenwood, J. (1989). Assumptions in Simplified Slope Analysis by the
Method of Slices, Geotechnique, Vol.39, No.3, (September 1989), pp. 503509, ISSN
0016-8505
Ayininuola, G. & Franklin, S. (2008). Water Pressure Forces Effect on Earth Embankments
Stability, Global Journal of Engineering and Technology, Global Research Publication,
Vol.1, No.2, (June 2008), pp. 169188
Ayininuola, G. {1999). The Effect of Hydrostatic Pore Water Pressure Forces on the Stability of
Earth Embankments, Unpublished M.Sc. Dissertation, University of Ibadan,
Nigeria.
Sevaldson, R. (1956). The Slide in Lodalen, Oct. 6th 1954, Geotechnique, Vol.6, No.4,
(December 1956), pp 167191, ISSN 0016-8505

394

Infrastructure Design, Signalling and Security in Railway

Sherard, J., Woodward, R., Gizienski, S. & Clevenger, W. (1978). Earth-Rock Dams:
Engineering Problems of Design and Construction, J. Wiley and Sons, ISBN 0-47178547-4, New York, USA

16
Evolutionary Algorithms in
Embedded Intelligent Devices
Using Satellite Navigation
for Railway Transport
Anatoly Levchenkov, Mikhail Gorobetz and Andrew Mor-Yaroslavtsev

Riga Technical University

Latvia

1. Introduction
Nowadays, the most widely spread type of a computer is an embedded system. The
embedded systems consist of the following hardware (i.e. nano-electronic components)
programmable microcontrollers or microprocessors; transmitters, including the receivers of
global positioning information systems, which demonstrate the state and measuring
parameters of a controlled object, and which relay that to the programmable
microcontroller; actuators, which receive a signal from the programmed microcontroller and
relay it to an antenna, a display or an electro-drive device; and communication devices,
including wireless communication with other devices and the software with algorithms of
artificial intelligence (Russel, Norvig, 2006).
Railway traffic flow is limited by safety criteria. Therefore, routing and scheduling task is
actual for a railway transport. As well an optimal braking control and safety of braking
process are very important (Luo, Zeng, 2009). The analysis of human behavior and
simulation of trains braking are investigated (Hasegawa et al., 2009). An intelligent
transport control system gives a possibility to make traffic control safer and more costeffective (Gorobetz, 2008). It may find an optimal solution to a conflict faster than a human
as a decision support system (Levchenkov et al., 2009). In addition in case of emergency it
may prevent crashes and accidents without human intervention.
Authors propose the intelligent braking control device, which warns the driver about the
necessity of starting the working braking, taking into account the signal of the traffic light. If
working braking has not been started the controller activates emergency brakes with a
purpose to stop before the beginning of the next block-section if it is possible, or to choose a
free way with enough free distance to stop without a crash. The primary task of the
diagnostics device is to separate dangerous situations in braking system by critical values of
sensor measurements from the regular states of the system, to detect and to warn about
changes in the system and to prevent emergencies immediately. The system allows stopping
the train timely before the problem has occurred.

396

Infrastructure Design, Signalling and Security in Railway

2. Problem formulation
Railway safety is an actual and important task. Nowadays a human factor is the main reason for
74% of railway accidents and crashes. This problem is actual as in Latvia as all over the world.
Various crashes like in Riga (Latvia) in February 2005, in Ventspils (Latvia) in December 2008, in
Aegvidu (Estonia) in December 2010, in Brussels (Belgium) in February 2010, in Magdeburg
(Germany) in January 2011 prove the necessity of finding the problem solution.
The main reason of railway accidents is a human factor, when
-

train driver does not stop a train on the restrictive signal

incorrect decisions were made by signalmen (station-on-duty) in extraordinary situations

Therefore, auxiliary embedded electronic devices are needed

-

to help a train driver and station signalmen to make the best decision faster
to prevent accidents if a human does not react

Fig. 1. Graphical representation of the task.

The primary task is to stop the train before the restrictive signal. For this task a warning
point G should be detected, where regular braking still may be applied (Fig. 1.). The point
G* is a marginal point and also must be defined, where only emergency braking may be
applied to stop the train before the signal. Using of regular braking in G* follows the passing
of the restrictive signal.
The purpose of the research is to develop a prototype of a new control command and a
signalling track-side and on-board locomotives devices to improve train movement safety.
The following functions of the on-board locomotives embedded device are required:
-

receiving location and other necessary data from satellite navigation system
reception of the data from the server about railway infrastructure (tracks, points) and
control points (signals, section points) in the location of the train;
selecting the necessary signal on the way;
establishing the wireless connection with the selected signal (Fig. 2.)

Evolutionary Algorithms in Embedded

Intelligent Devices Using Satellite Navigation for Railway Transport

397

receiving the data from a track-side signal

checking if the train has reached the route control point;
detecting the acceleration of the train
detecting the regular braking distance;
detecting the emergency braking distance;
detecting the speed limitation;
detecting the starting point of regular braking;
starting emergency braking process
a module for checking the reaching of the starting point of regular braking;
warning about the necessity to start regular braking;

The following functions of the track-side embedded device are required:

-

establishing the wireless connection with the train

transmitting signal value to the locomotives device
detection of the safest state of the station points using evolutionary algorithms to avoid
the collision (Fig. 3.).

Fig. 2. Selection of the necessary signal on the way.

Fig. 3. Detection of the safest state of the station points to avoid the collision.
a) Initial state, b) Collision is possible, c) Collision is avoided.
There are many embedded transport control systems on the market which are designed to
provide safety for a vehicle, its passengers or cargo, and other traffic participants.

398

Infrastructure Design, Signalling and Security in Railway

In the commercial railway transport segment an example of such a safety system is KLUB-U,
currently used on Russian Railways. It is installed in the locomotives and by interacting
with existing signaling systems and its own modules provides information about the trains
and its closest neighbors coordinates, diagnostics of the brakes, current railway segment
profile and maximum allowed speed, and controls the vigilance of the locomotive driver.
Still, despite the wide array of features, it lacks automation and many decisions require
manual operation.
A significant component of the whole safety system is the circuits, engines and brakes
diagnostics complex. While the most complete diagnostics can be performed only in the
technical service environment, most failures can be detected during its operation using circuit
integrity indicators and different sensors designed to uncover electrical mechanical damage.
All kinds of damages which could lead to failures can be combined into distinctive value
sets, thus recognizing them in the stream of incoming data allows early identification of
problems in the engine.
Artificial immune systems (AIS) were mentioned in some papers in mid 1980s but became a
subject in its own right in 1994 in the papers on negative selection (Forrest et al., 1994,
Kephart, 1994). Currently the systems are actively explored for possible use cases. For
example, there are studies on a real-valued negative selection algorithm for an aircraft fault
detection (Dasgupta et al., 2004).

3. Structure of proposed system for railway safety tasks

The chapter will demonstrate some issues of design and modelling of a part of a modern
embedded system for a rail transport (Fig. 4.). This embedded system is intended for
managing the rail transports electrical drive and the traffic lights, and it consists of the
microcontrollers, the developed software and the information system, the wireless
communication possibilities and the global positioning system.
Fig. 4 illustrates a complete scheme of a structure of the rail transports embedded system.
In the figure, the brown colour shows the trains embedded devices; the green colour stands
for the devices of the traffic lights embedded system; the purple colour the devices of the
crossings embedded system; the yellow colour coordination embedded system devices;
the light blue colour software which provides operation of the network of the wireless
embedded system, operation of the communication network of the wireless devices and
which is responsible for making operational decisions.
The device receives the signal from the defined traffic light and defines its position using a
wireless communication network and has data storage with route control points as well.
Artificial immune systems use evolutionary data processing paradigm based on biological
immune systems. It differs from computational immunology which models biological
immune systems. Immune algorithms are mainly used to solve anomaly recognition, data
collection and analysis tasks. From the computational point of view the most interesting
features of the immune systems are self-learning, diversity maintenance and memory.
The problem is represented as an antigen and a solution candidates as antibodies which are
randomly generated from the library of available solutions or genes. The evaluation of affinity

Evolutionary Algorithms in Embedded

Intelligent Devices Using Satellite Navigation for Railway Transport

399

or degree of binding between the antigen and the antibody is similar to complementarity level
in biological IS and it defines the fate of each individual antibody as well as the termination of
the whole algorithm. Individual antibodies are replaced, cloned and hypermutated until a
satisfactory level of affinity is reached. Partial replacement of the solutions population with
fresh randomly generated candidates maintains diversity which allows solving a wider set of
problems. The probability of cloning or hypermutating a candidate depends on its affinity.

Fig. 4. Wireless network structures scheme of embedded devices for a rail transport
In the rolling stock safety system (Fig. 5) (Mor-Yaroslavtsev, Levchenkov, 2011), the
invading object I is picked up by sensors S and the data is transmitted to the nearest cell

400

Infrastructure Design, Signalling and Security in Railway

tower CT, which relays it to the control center CC and the nearest locomotives wireless
modems M. Through the same modem the locomotive L receives data about the closest
neighbors rolling stock position and status, railway segment profile and maximum allowed
speed.

Fig. 5. The intelligent rolling stock safety system functional design

L also hosts: a positioning receiver G which receives data from a positioning satellite ST;
data analysis module AIS which communicates to the immune detector database DBD and
control cell database DBC. Depending on the results of control cell maturation the module
makes a decision and executes it by sending a control signal or displaying an alert to the
driver.
Analogous to the hybrid IDS (Powers, He, 2009) the most feasible way to implement such a
system would be through the two phases of anomaly detection and determination of their
type to draw a conclusion. In this case the incoming data from the sensors is the set of
antigens. The data includes but is not limited to speed, acceleration, voltage, rotation,
temperature, and presence of smoke.

4. Mathematical models for problem solution

4.1 Model of differential positioning system
Differential satellite navigation systems are used to increase precision of the positioning
systems that is very significant for safety-critical systems, such as transport.
Differential satellite navigation systems (Fig. 6.) contain the following object types:
-

S satellite;
M base station;
R receiver.

Each satellite S is described by the following parameters:

-

slope of the satellites orbit to the equator plane;

slope of up-going node of the satellites orbit to the Greenwich meridian;
perigee angle from up-going node
t time of crossing perigee or up-going node of the satellites orbit;

Evolutionary Algorithms in Embedded

Intelligent Devices Using Satellite Navigation for Railway Transport

401

e eccentricity of the satellites orbit:

e 1 (b / a)2 ,

(1)

where a and b are half-axes of the ellipsoid orbit;

Fig. 6. Differential satellite navigation system elements

-

n angular velocity of the satellite,

n / a3 ,

(2)

where Earth gravimetric constant.

-

x, y, z coordinates of the satellite

Base station M parameters:

-

xm, ym, zm coordinates of the base station

Dmi known distance between i-th satellite and base station m:
Dmi ( xi xm )2 ( yi ym )2 ( zi zm )2

(3)

mi , mi - distance measurement result and necessary correction between measured

and real distance:

402

Infrastructure Design, Signalling and Security in Railway

mi mi Dmi m ,sat m ,con m ,rec c tm ,

(4)

where m , sat - satellite apparatus error, satellite clock error, m ,con - control error, incorrect
ephemerid forecast, m , rec - receivers error, ionosphere, troposphere and other noises, tm base station clock deviation from satellite clock, c - light speed.
-

ri - corrected distance measurement between recipient and satellite:

ri Dri r ,sat r ,con r ,rec c tm mi Dri r c tmr

( xi xr )2 ( yi y r )2 ( zi zr )2 r c tmr

(5)

where r receivers result segment error, tmr combined clock deviation,

xr, yr, zr coordinates of the receiver.
4.2 Model of railway station

The model of the station may be described with the following sets of objects:
-

V = {v1, v2, ..., vn } set of trains;

M = {m1,m2,,mn} set of train goals;
L = {l1, l2, ..., lk } set of signals;
P = {p1, p2, ..., pq } set of points;
R = {r1, r2, ..., rw } set of routes.

Fig. 7. Graphical interpretation of station model

4.3 Model of braking of rolling stock

The braking way consists of preparation and real segments:

ST = SP + SD ;

(6)

Evolutionary Algorithms in Embedded

Intelligent Devices Using Satellite Navigation for Railway Transport

403

where ST is the braking distance, Sp distance of moving during the preparation of braking
system, SD real braking distance
The braking power of the train should be defined taking into account a real force of the
braking chock influencing the train wheels. A real friction factor depends on the braking
chock material.
The following factor characterises the braking chock made of cast iron:

K = 0,6

16K + 100 v + 100

80K + 100 5v + 100 ;

(7)

The cast iron braking chocks containing phosphorus of 1,0-1,4% are characterised with the
factor
The mentioned above factor for braking chocks of composite materials can be defined with
the following expression :

K = 0,44

K + 20
v + 100

4K + 100 2v + 100 ;

(8)

The calculations of braking force of the chocks also depend on a type of chocks.
For the standard cast iron braking chocks:
K P = 2,22K

16K + 100
;
80K + 100

(9)

16K + 100
;
52K + 100

(10)

K + 20
;
4K + 20

(11)

The cast iron- phosphorus braking chocks:

K P = 1,85K

For the braking chocks of composite materials:

K P = 1,22K

The total braking factor:

PO

KP

Q Pu

(12)

The main force resistive to the motion in idle running

WOx = WO1 + N WOc ;

where N - quantity of the carriages.

(13)

404

Infrastructure Design, Signalling and Security in Railway

Locomotive without the train:

W0l = 24 + 0,11v + 0,0035v 2 ;

(14)

Cargo carriages:
w0c = 7 +

a + v + 0,025v 2 ;
q0

(15)

Passenger trains:
w0c = 12 + 0,12v + 0,002v 2 .

(16)

As within the time interval t the braking force and the opposite self-resistive force Ox to
the motion of the train are assumed as constant values then the increasing of the speed can
be calculated according to :
v =

bT + Ox + ic t
3600

(17)

The speed of the braking force distribution is a braking wave: vt =

L
; where: L is the length
tt

of the train; tt time from the moment when the driver turns the handle of the hoist till the
pressure appears (?) in the braking cylinders; air wave : vv 20 T ; where: T = 273 + t C absolute temperature of gas.
The preparation braking distance:

SP = 0,278v0t p =

v0tn .
3,6

(18)

Real braking distance:

SD =

2
500 vN
vK2

wox + bm + iC

(19)

Thus the total braking way:

ST =

2
500 vN
vK2
v0tn
+
3,6
wox + bm + iC

(20)

4.4 Model of railway infrastructure and command and control system

Rail ways can be represented as a graph R {C , S} , where rails are divided into sections S,
and each section s S is connected with each other by two connectors s ci , c j .
Each section s S has a constant length ls , a curve as , and a speed limit v *s .

Evolutionary Algorithms in Embedded

Intelligent Devices Using Satellite Navigation for Railway Transport

405

Each point p C has a connecting set W of three or more sections and a set of possible states
of point Dp , where dpn si , s j means opened in both directions from si to s j and from s j
to si is following for different point types:
single point: Dp { si , s j , si , sk } ;
dual point: Dp { si , s j , si , sk , si , sm } ;
cross point: Dp { si , s j , si , sk , sm , s j , sm , sk } .
Each state of point dp Dp has a speed limit v * dp ; maximal each points dp Dp switching
time: tdp .
Railway signal G is an object with fixed coordinates x0, y0 connected to the fixed position on
the track.
Each signal g G has the following states of signals Lg { R , Y , YG , G ,V , W } , where R
red, and rolling stock must stop before the signal; Y yellow, can move and be ready to
stop, the next signal is red; YG yellow and green, next two sections are free; G green,
V violet, W moonlight white.
Each signal sets up speed limits for the next block-section: vdef - maximal predefined speed on
the section, v0 - 0 kmh, stop; v1 - < 50 kmh, movement on turnouts 1/9 and 1/11 types; v2 - < 80
kmh for movement on turnout 1/18 type; v3 - < 120kmh for movement on turnout 1/22 type.
4.5 Assessment functions

Multi-criteria target function for braking:

F br (DL , CL , EL , ) min

DL S 0
CL (t ) *

EL dt const

{0, C 1 , C 2 ,...}

|(t ) (t )|
(t ) { , S , , t , , I , Q }
p B i m
dcp
v

(t ) { f , S f , f , t f , f , I f , Q f }
m
v
B i
dcp

(21)

S distance between the closed section and rolling stock danger level criteria (DL)
(t) deceleration of rolling stock
* optimal deceleration for passengers comfort level criteria (CL)
d /dt changes of deceleration and braking torque optimal energy consumption
criteria (EL)

406

Infrastructure Design, Signalling and Security in Railway

Fbr function for braking process optimization

difference/similarity vector, which defines the difference between the estimated
and the actual values.
Zero vector, which means a compliance with the normal situation, where the
estimates and the actual value of the difference is zero;
Ci situation of danger classes, according to differences between estimated and the
actual values;
E(t) vector of estimated values;
(t) vector of actual values;
f index, which represents the actual values.

The routing task for accident prevention consists of a generation of a new route and
schedule for rolling stocks V moving on points P.
The target function for scheduling and routing is to arrange points for each train to reach a
destination and assigning of time moments t to each train and each point.

Trains schedule: v : P {t v 1 , t v 2 ,..., t vs }

Points schedule: p1 : V {t p 1 , t p 2 ,..., t pm }

The target function for an optimal point state on the station is the following:

T f (t1 , t2 ,..., tn ; x11 , x12 ,..., x1q ; ... xn1 , xn 2 ,..., xnq ) min

(22)

ti the i-th time moment of switching points

xij state of the j-th point in the i-th time moment

5. Evolutionary algorithms for problem solution

5.1 Fitness function for genetic algorithm

Step 0. Initialization
Ti sum = 0 for each i-th train summary time
Gi = 0, for each i-th train goal achievement
i = 1 selected train number
Step 1. Moving the time calculation of the i-th train on the j-th railway section, t ij S j / vi
where
Sj length of the j-th section,
vi current i-th train speed
Step 2. Check if the j-th section ends with signal.
Step 2.1. Check the occupancy of all tracks to the next signal.
Step 2.2. If any of sections in Step 2.1 is busy and the train is moving, then recalculate time
with braking conditions and Goto 4.

Evolutionary Algorithms in Embedded

Intelligent Devices Using Satellite Navigation for Railway Transport

Sbi

407

vi2
S
v
; Sr S j Sb ; tr r ; tb ; t ij tr tb ; vi 0
vi

Step 2.3. If train is already stopped then check If all sections in Step 2.1 are free, then
recalculate time with acceleration conditions
Step 2.4. j = j + 1, select next section of the route
else if the j-th section is not a signal then j = j + 1, select the next section of the route
Step 3. Check if the train reached the goal, then Gi = 1
1
2
n
, TSUM
,..., TSUM
)
Step 3.1. Check if all trains reached the goal then T max(TSUM

Step 3.2. Function STOPS

i
i
TSUM
t ij
Step 4. Update summary time of i-th train TSUM
i
Step 5. Check if the summary time is less than the next point switching time TSUM
tp

k
1
2
n
i
t p then TSUM
min(TSUM
, TSUM
,..., TSUM
)
Step 5.1. If TSUM

Step 5.2 If k = i then Goto 6, else i = k, Goto 1

Step 6. Check occupancy of tracks in switching moment
i
i
Step 6.1. Recalculate position of the train Sbeg
vi (TSUM
t ij t p )
i
Step 6.2. Find tail of the train Send
Sbeg Li

Step 6.3. Check the occupancy of all tracks.

If switching points are busy, then T = , algorithm ENDS; else Goto 1
5.2 Genetic algorithm

A genetic algorithm for the task solution may be described with the following steps.
1 step: Initialize random set of possible solutions: S ( 0 ) {s1( 0 ) , s 2( 0 ) ,..., s s( 0 ) } ;
max
2 step: Evaluate each solution with a target function: V S {F ( s1 ), F ( s2 ),..., F ( s p )} ;
3 step: Arrange solutions by evaluation: S {s1 , s 2 ,..., s p }, F ( s1 ) opt (V S ) ;
4 step: Duplicate the best solutions in the elite set: S E S ;
5 step: Selection. Select from the set of solution pairs according to the defined selection:
SC S ;
6 step: Crossover: Generate a new population from the set of the solution pair according to
the defined crossover algorithm:

408

Infrastructure Design, Signalling and Security in Railway

si s j s 'i sij ; s ' j s ji , i, j 1, p ;

(23)

7 step: Mutation: Random change of one of solution parameter that helps to find a global
optimum of the function:

x sj 'i x sj 'i 1, s'i S ' ,

j rand (1, k ), i rand (1, p ) ;

(24)

8 step: Evaluate the new population using the target function:

V S ' {F ( s '1 ), F ( s '2 ),..., F ( s ' p )} ;

(25)

9 step: Arrange the new population by the evaluation values:

S ' {s '1 , s ' 2 ,..., s ' p }, F ( s '1 ) opt (V S ' ) ;

(26)

10 step: Add the new population of solution to the elite set: S ( S E S ' );
11 step: Delete the last solutions from the population S if its size exceeds predefined
population size p: S S /{s p1 , s p 2| ,...} ;
12 step: Algorithm stops by time, generation, convergence or by another predefined criteria.
If stop criteria is false then repeat the algorithm from step 4. If true then the result of the
algorithm is solution s1.
5.3 Algorithm for an artificial immune system
5.3.1 Shape-space concept

AIS are modeled after biological IS and carry the terms of antigens and antibodies. They can
be modeled using the shape-space concept (see Fig. 8.) (Musilek et al., 2009). The shapespace S allows defining antigens, receptors and their interactions in a quantitative way.

Fig. 8. A shape-space model of an antigen and an antibody.

Like chromosomes in the in the evolutionary algorithms, depending on a problem being
solved it also could be a set of integers or binary numbers m ZL or m {0,1} L .
The affinity of an antigenantibody pair is related to their distance in the shape-space S
and can be estimated using any distance measure between the two attribute strings. The
distance between an antigen, Ag, and an antibody, Ab, can be defined, for example, using a
general class of Minkowski distance measures:

Evolutionary Algorithms in Embedded

Intelligent Devices Using Satellite Navigation for Railway Transport

409

DM ( Ag , Ab ) p | Agi Abi |p
i 1

By varying the value of the parameter p a suitable measure of distance can be obtained.
5.3.2 The negative selection algorithm

Negative selection is the paradigm describing the evolution of the T-lymphocytes where
they are randomly generated and learn to recognize all except the self structures, specific to
the host. Negative selection algorithms need training samples only from one class (self,
normal), thus, they are especially suited for the tasks such as novelty, anomaly or change
detection including those in engines and other devices.
The key advantage of anomaly detection systems is their ability to detect novel attack
patterns for which no signature exists, while their most notable disadvantage is a larger false
positive rate.
The algorithm:
Step 1. Define a set S which needs to be monitored and the set P of the know self
m m1 , m2 ,..., mL S L elements in a feature space U. The set U corresponds to all the

possible system states, P normal states and S the current state which changes in time.
Step 2. Generate a set of candidate detectors C = {c1, c2, , cn }.
Step 3. Compare each candidate ci to the set of known good elements P.
Step 4. If a match occurs, discard the individual ci, otherwise store it in the mature detector
set D. Or, to maximize the nonself space coverage with a minimum number of detectors,
move the matched candidate away from the closest element pj, then store it in D.
Step 5. Monitor S for changes by continually matching it against the detectors in D. If any
detector matches, the change which has occurred most likely is dangerous, as D is designed
not to match any normal system state.
This algorithm produces a set of the detectors capable to recognize non-self patterns. The
action following the recognition varies according to the problem under consideration. In the
case of transport safety control system it could be an alarm or issue of an immediate stop
signal depending on the detected fault.
The detectors and the caught fault conditions are stored in an immune memory for further
processing and to provide further information about the consequences of the attack and
possible future actions instead of simply reporting the incidents.

6. Computer experiments
6.1 Computer experiment of genetic algorithm

The task of the experiment is to minimize idle time of trains on the station and to minimize
the risk of their collision.

410

Infrastructure Design, Signalling and Security in Railway

The station (Fig. 9.) with 4 points p1, p2, p3, p4 is given and two trains V1 and V2 are
approaching. Railway tracks of the station are split into the sections, where start and end
of each section is a point or a signal. The length of the trains Lv1 = 500 m and Lv2 = 300 m
is given.

Fig. 9. Structure of the station for the computer experiment

a)

b)

Fig. 10. Results of Genetic Algorithm - a) first iteration, b) last iteration

The fitness function and the algorithm are realised in the program and the following
parameters for genetic algorithm are used:
-

Crossover rate - 0.8;

Mutation rate - 0.01;
Population size - 50
Random parent selection
Single point crossover

Table 1. shows the dynamics of genetic algorithm. The algorithm is performed in 2 seconds
and the algorithm converges completely in the 12th generation, where an average value of
the population is equal with the best value.

Evolutionary Algorithms in Embedded

Intelligent Devices Using Satellite Navigation for Railway Transport

Generation
1
2
3
4
5
6
7
8
9
10
11
12

Average
88087.15753678
82128.38630517
70197.754252487
50320.950968194
32391.38814628
26405.504351969
14391.055583579
2366.4284573351
2332.525484097
329.57671570692
307.08794731682
270

411
Best
610.47947316824
413.47947316824
270
270
270
270
270
270
270
270
270
270

Table 1. Average and best values of fitness function on each generation

6.2 Computer experiment for an artificial immune system
6.2.1 Collecting the location data

One data set for the experiment was taken from the two PLCs in the field attached to a
vehicle and a level crossing. The data collection scheme is presented in Fig. 11.

Fig. 11. The location data collection scheme.

The communication between the PLCs is facilitated by GPRS modules and a server running
on a PC. Through the chain of software tools the data is piped from the PLCs to DB tables.
The data was collected into two tables for records related to a vehicle and a level crossing.
The report (Fig. 4) contains this data cross-matched using the date and time as all the data
was simultaneously recorded with discrete steps of 1 s, the matches are 1:1.
This provides a set of data for test runs of the algorithms.

412

Infrastructure Design, Signalling and Security in Railway

6.2.2 The real-value negative selection algorithm

The RNS detector generation starts with a population of candidate detectors, which are then
matured through an iterative process. In particular, the center of each detector is chosen at
random and the radius is a variable parameter which determines the size of the detector in
m-dimensional space. The basic algorithmic steps of the generation algorithm are given in
5.3.2.
The whole detector generation process terminates when a set of mature (minimum
overlapping) detectors are evolved which can provide significant coverage of the non-self
space.
A detector is defined as d = (c, rd), where c = (c1, c2, , cm) is an m-dimensional point that
corresponds to the center of a hypersphere with rd as its radius. The following parameters
are used (Fig. 12):

rs: threshold variation of a self point;

: variable movement of a detector away from a self sample or existing detectors;
: maximum allowable overlap among the detectors, allowing some overlap can reduce
holes in the non-self coverage.

Fig. 12. A screenshot from the computer program running a real-valued negative selection
algorithm showing the initial settings for training the detector set.
During the straightforward detection process the matured detectors are continually
compared to new test data samples. The distance D between a sample pattern p = (cp, rs) and
a detector d = (cd, rd) is computed in the same way as in the detector generation phase. If
D < (rs + rd) then the detector d gets activated indicating possible fault.

Evolutionary Algorithms in Embedded

Intelligent Devices Using Satellite Navigation for Railway Transport

413

Fig. 13. The first generation of detectors with unscaled values.

Fig. 14. The fourth generation of detectors after running several suppressions.

Fig. 15. Test runs with a sample of antigens on each detector generation with detection results.

414

Infrastructure Design, Signalling and Security in Railway

The testing of the algorithms on a 2-dimentional space proves that the detectors show
good coverage of the non-self space and a stable detection of non-self antigens. Fig. 13.
shows the coordinates, radii, overlap and detection score of the first detector generation.
The population should stay the same but after 3 generations the detector population
decreased (Fig. 14.) but still detected the pathogens (Fig. 15). The chosen actions did not
differ much probably because of the implementation which needs further research and
improvement.
6.3 Computer simulation of the railway station

For the experiments the program for programmable controller was implemented. The controller
performs all the calculations and controls the electric drive and traffic lights on the functional
prototype.
The computer model is created to show the results of controllers operations to perform an
emergency stop before the red signal of the traffic lights.
The specific environment is developed by the authors for the modelling of railway system
for safety improving algorithms (Fig. 16).
The data from the specific memory addresses of the controller is read by the server (Fig. 17.)
and transferred to the model.

Fig. 16. Simulation environment

Evolutionary Algorithms in Embedded

Intelligent Devices Using Satellite Navigation for Railway Transport

Fig. 17. Input data from PLC to computer model

Fig. 18. Model of the railway system

415

416

Infrastructure Design, Signalling and Security in Railway

Fig. 19. Fragment of the electrical part of the computer model of the rolling stock
The current experiment is proposed for modelling of crash prevention of two trains moving
towards each other. The model consists of 3 series block-sections; 2 rolling stocks; 4 railway
signals (Fig. 18.).
Each rolling stock and signal is equipped with receiving and transmitting devices that give a
possibility in a multi-agent system.
Electrical part of the model (Fig. 19.) consists of a DC drive with characteristics of 8 DC
motors, 1 switch to connect or disconnect the electric drive from the electric contact network,
and 2 pairs of switches for acceleration and for braking that changes direction of field
current If flow. A braking branch contains braking resistance. An output of a DC drive is an
electrical torque which handles the mechanical part of a rolling stock.

7. Experiments of prototype in real conditions

The result of this work is a train emergency braking device. The invented device is proposed
to increase safety on railway transport. It gives possibility to stop rolling stock automatically
before a closed signal timely.
In contrast to the known devices that actuate brake only after the passing of a closed signal,
the invented device provides a train emergency braking and stopping before a closed
section, even if it is not equipped with automatic locomotive signalling. The device also
provides a distance control and an emergency braking way calculation.
The detector of the regular braking distance determines an emergency braking distance, but
the detector of the starting point of regular braking defines the point on the route when
braking should be started. The module for checking the reaching the starting point of
regular braking evaluates location of the train, defines starting point of regular braking and
operates braking signalling device in the cabin, the module for controlling starting of

Evolutionary Algorithms in Embedded

Intelligent Devices Using Satellite Navigation for Railway Transport

417

regular braking evaluates whether the regular braking is started. The device warns the
driver about the necessity of starting process of the emergency braking taking into account
the signal of the traffic light and speed limitation and allows to perform an automatic
operation of the emergency braking in time and stops the train preventing trains collision at
any sector of a railway.
Fig. 20. presents the demonstration of this device that can be installed on the train. Two
traffic lights; the electric motor; sensors and wireless communication equipment are
installed on the demonstrator.
According to the traffic light signal the controller selects the appropriate engine speed.
When the red light is on, the control system automatically stops the engine. In response to
the light sensor, the control unit in addition to the fan is turned on and switches to another
mode of operation. Remote monitoring and control of the processes is possible using
wireless communication. In a real system, it could be dispatching control centres, from
which it is possible to switch both signals and also take over control of the train speed.
Taking into account the pieces of advice and the recommendations from the State joint stock
company Latvian Railways (Latvijas Dzelzce/LDz) specialists, the prototypes of the
locomotive and the signal devices have been created. Both inventions were issued Latvian
and International Patents No. LV13978 B, LV14156 B, LV14187 B, WO 2011/115466 A2,
PCT/EP2011/067474.

Fig. 20. Functional prototype and information screen with satellite navigation data
The authors and the LDz staff had tested the prototypes of the devices in real service
conditions. A non-busy section of the railway was chosen to play the role of a proving ground.
During the experiment all the devices were working steadily and without troubles, thus the
experiment proved that the ideas adopted in the devices can be implemented into practice.
The task of the locomotives embedded SAFE-R 3 device and the traffic lights embedded
SAFE-R 4 device, which was designed by the RTU and LDz, is to stop the train
automatically at the restrictive signal of the traffic lights, in those cases when a driver does
not react to this restrictive signal. It is provided that these devices will also work in
unencoded railway sections, where the automatic locomotive signalling did not work.

418

Infrastructure Design, Signalling and Security in Railway

8. Conclusions
Advantages of the proposed device are the following: The device is not using rail circuits
and works independently of automatic locomotive signalization system. The proposed
device is an alternative or auxiliary to existing safety systems. As opposed to existing
systems the new device uses wireless communication network and may work in railway
sections without an automatic interlocking system. The possibility to prevent a dangerous
situation and a crash corresponding to the condition of the braking system of rolling stock
allows stopping the train before dangerous failure time point; possibility of using of already
existing measurement devices and sensors together with the new sensors.
The results of the experiment show the possibility to use the proposed system as an
auxiliary safety device to prevent breaches of red signal and crashes on the railway.
The most relevant features of immune algorithms are self-learning, diversity maintenance,
memory about the past decisions, and detection of previously unknown but related
elements, noise rejection and classifying ability.
An intelligent rolling stock safety control system could benefit from using a combination of
both an immune negative selection algorithm and a clonal selection algorithm. A fault
detection system for railway electric transport could benefit from using an immune negative
selection algorithm.
The most feasible way to implement a railway electric transport safety control system would
be through the two phases of anomaly detection and determination of their type to draw a
conclusion about further action.
Single string data encoding is better suited for use on PLC. The PLC program needs a data
buffer to eliminate the risk of data loss due to unstable radio signal.
The authors need to assess the possibility to run the data analysis using these algorithms in
real time. The detector maturation and control cell selection processes need improvement.

9. References
Russel S. J., Norvig P.. Artificial Intelligence. A Modern Approach, 2 edition. Prentice Hall,
2006, 1408p.
Luo R., Zeng J. Computer simulation of railway train braking and anti-sliding control. //In
Proceedings of 21st International Symposium on Dynamics of Vehicles on Roads
and Tracks (IAVSD09), 2009 189 p.
Hasegawa Y., Tsunashima H., Marumo Y., Kojima T. Detection of unusual braking behavior
of train driver //In Proceedings of 21st International Symposium on Dynamics of
Vehicles on Roads and Tracks (IAVSD09), 2009 166 p.
Gorobetz M. Research of Genetic Algorithms for Optimal Control of Electric Transport.
Promotional thesis. Riga, 2008 - 189 p.
Levchenkov ., Gorobetz ., Ribickis L., Balckars P. Generating of Multi-Criteria
Alternatives for Decision-Making in Electric Light Rail Control //In China-USA
Business review, December 2009, pp. 49-55.

Evolutionary Algorithms in Embedded

Intelligent Devices Using Satellite Navigation for Railway Transport

419

Forrest S., Perelson A.S., Allen L., Cherukuri R. Self-nonself discrimination in a computer. In
proceedings of the 1994 IEEE Symposium on Research in Security and Privacy. Los
Alamitos, CA.
Kephart J.O.. A biologically inspired immune system for computers. In proceedings of
Artificial Life IV: The Fourth International Workshop on the Synthesis and
Simulation of Living Systems, 1994. MIT Press.
Dasgupta D., Krishna Kumar K., Wong D., Berry M.. Negative Selection Algorithm for
Aircraft Fault Detection. In proceedings of ICARIS 2004.
Mor-Yaroslavtsev A., Levchenkov A. Rolling Stock Location Data Analysis Using an
Immune Algorithm on an Intelligent Embedded Device. // In proceedings of 19th
Telecommunications Forum TELFOR 2011.
Powers S. T., He J.. A hybrid artificial immune system and Self Organising Map for network
intrusion detection. Elsevier IS 179, 2009.
Musilek P., Lau A., Reformat M., Wyard-Scott L.. Immune Programming. Elsevier IS 179,
2009.
Gorobetz M., Alps I., Levchenkov A.. Mathematical Formulation of Public Electric Transport
Scheduling Task for Artificial Immune Systems. Proceedings of ITELMS 2009,
Kaunas.
Masutti, T. A. S. Castro L. N. de. A self-organizing neural network using ideas from the
immune system to solve the traveling salesman problem. Elsevier IS 179, 2009.
Tavakkoli-Moghaddam R., Rahimi-Vahed A., Mirzaei A. H.. A hybrid multi-objective
immune algorithm for a flow shop scheduling problem with bi-objectives:
Weighted mean completion time and weighted mean tardiness. Elsevier IS 179,
2009.
PCT/EP2011/067474. Device for Safe Passing of Motor Vehicle over Level Crossings
Using Satellite Navigation Systems. A.evenkovs, M.Gorobecs, I.Rais,
L.Ribickis, P.Balckars, A.Potapovs, I.Alps, I.Korago, V.Vinokurovs, 6.10.2011.
(26.07.2011.)
WO 2011/115466 A2, (PCT/LV2011/000004) Controlling Device of Railway Track Sections.
A.evenkovs, M.Gorobecs, J.Greivulis, P.Balckars, L.Ribickis, I.Korago,
A.Bobeko. 22.09.2011. (17.03.2010.)
Patent application Nr. P-11-102. Device for Safe Passing of Motor Vehicle over Level
Crossings Using Satellite Navigation Systems. A.evenkovs, M.Gorobecs,
I.Rais, L.Ribickis, P.Balckars, A.Potapovs, I.Alps, I.Korago, V.Vinokurovs,
26.07.2011.
Patent application Nr. P-11-76. Train anticollision device with satellite navigation.
A.evenkovs, M.Gorobecs, I.Rais, L.Ribickis, P.Balckars, A.Potapovs,
23.05.2011.
Patent Nr. LV13978 B. Train Emergency Braking Device. Gorobecs M., Greivulis J.,
evenkovs A., Balckars P., Ribickis L. 14.05.2009.
Patent Nr. LV 14156 B. Controlling Device of Railway Track Sections. A.evenkovs,
M.Gorobecs, J.Greivulis, P.Balckars, L.Ribickis, I.Korago, A.Bobeko.
17.03.2010.

420

Infrastructure Design, Signalling and Security in Railway

Patent Nr. LV 14187 B. Trains Braking Way Control Device. A.evenkovs,

M.Gorobecs, J.Greivulis, I.Uteevs, P.Balckars, L.Ribickis, V.Stupins,
S.Holodovs, I.Korago

17
Study and Design of an Electro Technical
Device for Safety on Railway Network
Clavel Edith, Meunier Grard, Bellon Marc and Frugier Didier

G2Elab Grenoble Electrical Engineering Laboratory,

Saint Martin dHres, BP46, Saint Martin dHres, Cedex,
France

1. Introduction
The security on the railway network is a real important challenge since today, the number of
trains is growing and the saturation of the network is close to be reached.
In this chapter, an electrical system is presented in order to improve the electrical
detection of trains on the network and correctly manage the lights. That is how security is
ensured.
In the next section, the context of the study is presented. The management of lights on
network is explained to emphasize the possible trouble which may occur.
The third part deals with the electrical system which is experimented by the French National
Railway Company to overcome this problem. The way it works and its main characteristics
will be detailed.
In order to base the further developments of this solution not only on experiments, a
modeling process is presented in the following part. For other industrial fields, it has proved
to be efficient and its use in the case of a railway system seems possible.
In order to validate the modeling approach, an experimental set is developed since it is very
difficult to make measurements in situ. It will be presented in the fifth part of this chapter.
Finally in a last section, the results of the modeling process are successfully compared to the
measures.
The outlook of improving the studied system is important since the impact of some
dimensional parameters on its performances is analyzed whether being geometrical or
physical parameters.

2. Context of the study

The distance between trains on a railway is controlled by signals similar to road lights. The
railroad line is divided into several sections from 1500m to 20km. Every section is protected
by a signal. When a train enters a section , an electrical device detects it and makes the

422

Infrastructure Design, Signalling and Security in Railway

light becomes red . When the train penetrates into the following section, its signal turns to
a red light, while the signal of the first section becomes yellow. When the train penetrates
into the third section, its signal indicates a red light. The signal of the second section gives
the indication yellow, and the signal of the first section gives the indication that the way is
clear by a green light. So if a train is stopped in a section, the following train will meet a
yellow light announcing to the driver that the following light is red. He will have to reduce
the speed of the train to be able to stop if necessary. This is illustrated of Fig. 1.
As said before, an electrical system is used to guarantee this security working. It is
constituted by:
-

A generator connected to one of the extremities of the isolated section and which
imposes a difference of potential between the two rails,
A receptor connected to the other extremity of the isolated section which measures the
difference of potential between the two rails,
A transmission line which is electrically limited to the extremities of the considered
section.

The generator sends a coded signal through the electric circuit constituted by the rails and
the receptor. When the zone included between the generator and the receptor is free, the
receptor is able to detect the coded signal: the way is then considered free. When a train
enters this section, a great part of current is derived by wheels and axles (what we call
shuntage); the receptor does not receive this coded signal coming from the generator
anymore: the way is then considered busy. Such a device is thus able to detect the presence
of trains on a section by the change of the impedance value of the circuit between the rails.
When a train is on a section, the rails are short-circuited by the train and the group wheels,
axles, rails 1 and 2 have lower impedance. So the measure of the voltage drop at the receptor
implies a busy section. This change of electrical circuit is illustrated on Fig. 2.

Fig. 1. The principle of railway lights

423

Study and Design of an Electro Technical Device for Safety on Railway Network

Generator

Free way
Receiver

R
i

Busy way
R
Fig. 2. The principle of the detecting electrical system
In the case of the electrified lines, which represent 90 % of the French network, rails are very
often used to ensure the return of drive current towards the substations. Drive currents are
about 1000A. And they have to coexist with currents of 1A from the detecting electrical
system.
In order to be able to easily separate these two currents, the kind of current inside the
detecting system depends on the electrified lines. In the case of DC lines, alternative currents
are used for the detecting electrical system and in the case of alternative power supply
different frequencies are used for the detecting circuit. In that case, the insulation between
two detecting systems is carried out using inductive connections which allow the return of
the drive current.
Current of the detecting circuits can be modulated with various frequencies, which can be
detected by equipments on board the trains to give to the drivers all the indications in the
cabin. This principle of the transmission between the way and the machine is used in the
famous French High Speed Train (TGV).
Sometimes, the short circuit between wheels and rails is not of good quality. This is the case
of weak machines, parts of the railway network rarely used, bad wheel/rail contact due to
insulating body. So errors of detection by the system can lead to dangerous situations. The
light is green even if there is a train in the section. If a more rapid train arrives, an accident
could occur.
As a consequence, in order to be sure that the signal is well interrupted by the train on a
section, the French National Railway Company (SNCF) has added an electrical device which
will be described in the following part.

3. The proposed device

To avoid this problem of detection, several solutions have been explored:
-

to replace all the detecting electrical systems,

to improve the contact between the wheels and the rails.

424

Infrastructure Design, Signalling and Security in Railway

This last solution has been generally adopted. This can be made by cleaning the rails. A
special accessory has been designed to scrape the rails.
But another way to improve the contact is to help the short circuit created by the wheels and
the rails to be efficient by adding an electrical device.
This last option is the topic of this paper.
3.1 Working principle of the inductive loop
The principle of the proposed device is to create a voltage drop of sufficient level in order to
make possible a current to flow. This is done by an inductive loop able to induce in the
wheels/axles/rails circuit a current of sufficient value.
The proposed device is presented on Fig. 3. It is constituted by:

a high frequency current controlled generator,

a parallel LC circuit made of capacitors located on the bogies and the inductance of the
inductive loop.

This loop is in fact the primary circuit of a transformer. The secondary part is constituted by
the axles and the rails. The current induced by the loop flows through the axles and the rails
and must be high enough to guarantee the electrical contact between the wheels and the
rails. During a bad contact rail / wheel, the secondary circuit of the transformer is open and
an induced voltage appears between the wheel and the rail and establishes again the
electrical contact insuring the shuntage.
The chariot near the inductive loop constitutes a third circuit of the transformer which can
reduce the value of the current inside the axles rails circuit.

Capacitor

Inductive
Loop

Chariot

Axles + Rails

Fig. 3. The principle of the detecting electrical system

Study and Design of an Electro Technical Device for Safety on Railway Network

425

3.2 Electrical and mechanical requirements

To be efficient, this system has to create a minimum voltage drop between a wheel and the
rail. The working frequency of this system is imposed by the French National Railway
Company. The design data for the loop are:
-

minimum voltage drop : 3V,

frequency : 147kHz,
range of frequencies : 140kHz to 152kHz (adjusted using capacitors),
control of the current : if the current remains under a certain limit during 10s, a default
signal is sent to the driver. An emergency braking is used and special rules are adopted
by the driver,
mechanical constraints (under the train, easy to access, easy to change and repair,),
material for the loop : copper is used and several other cables are added.

3.3 Design of the loop

The performances of the loop are directly linked to its geometrical size.
But the degrees of freedom are limited because a lot of mechanical constraints exist:
-

the surface of the loop is limited by the space under the train,
the height of the loop is limited by the distance between the train and the rails,
leakage currents are flowing inside the metallic structure.

In practice, the environment of the loop changes (shunt, ballast, metallic parts ) and the
value of the inductance of the loop changes too. So the resonance frequency is modified. In
order to avoid this, it is necessary to continuously adjust the frequency so that the current is
sufficient inside the loop.
In order to perform this, a Phase-locked loop (PLL) is used.
Thanks to three electronic cards, every change of frequency is detected and automatically
compensated:
-

a ALIM card allows the galvanic insulation and adapts the voltage which supplies the
system (24V),
a BIAS card controls the value of 147kHz,
a TFER card is a controlled amplifier for the BIAS card.

In order to reach an optimal design of the loop, experiments are not sufficient.
A modeling process has to be run in order to take into account all the requirements and
desired performances.
This is the aim of the following part: to present a modeling approach.

4. Modeling method
As said before, the aim of the modeling process is to be able to evaluate the voltage and
current in the studied structure. This implies to solve the Maxwells equations
and to establish an electrical equivalent circuit on which the circuit equations could be

426

Infrastructure Design, Signalling and Security in Railway

solved. In the field of electromagnetic approach, two families of modeling methods are
facing:
-

the finite element method (FEM),

the integral method.

4.1 Choice of the modeling method

Each family of modeling method has advantages and drawbacks.
Concerning the FEM, it is well known and gives good results on the evaluation of the
electromagnetic fields everywhere in the space. But it requires the meshing of all the space,
i.e. the studied structure but also the air around. Moreover good results imply a good use of
the formulations and assumptions at the limits of the studied domain. The results are
principally the electromagnetic fields. Then to obtain the electrical equivalent circuit, postprocessing evaluations have to be done.
Concerning the integral methods, the only meshing of the conductive parts makes them
very attractive. The number of unknowns is limited. Moreover, an electrical equivalent
circuit can directly be deduced from the solving.
The most famous integral methods are the method of moment (MoM) and the PEEC method
(Partial Element Equivalent Circuit).
Since the studied structure could be very large and the amount of air around significant, the
use of FEM could lead to solve problems with too high a number of unknowns.
So an integral method is chosen to model the studied structure and more particularly the
PEEC method which is detailed in the following paragraph.
4.2 Principle of the PEEC method
The PEEC method was firstly introduced by A. Ruehli (Ruehli, 1974). Based on low
frequency exact analytical formulae, it consists in extracting the electric parameters from the
geometries of conductors. This allows taking into account the electrical parasitic effects of
interconnections while evaluating the electromagnetic behavior of an electronic or electrical
system.
Full PEEC method takes into account resistive, inductive and capacitive parts.
4.2.1 Assumptions
According the frequency range of the study, the electrical equivalent model could be more
or less complicated. Indeed for not so high frequencies, only resistive and inductive effects
of cabling are involved in the electromagnetic behavior of the studied system. That is why it
is possible to partly use the PEEC method which allows reducing the size of the equivalent
model. For the present studied application, frequency is low enough (around some kHz) to
limit the evaluation to the resistive and inductive parts.
Nevertheless the capacitive aspect is detailed in (Ardon et al., 2009) to complete the
study.

Study and Design of an Electro Technical Device for Safety on Railway Network

427

The mains equations will be detailed in the following paragraph to obtain the equation (13)
which is the base to establish the electrical equivalent circuit.
In order to easily solve the equation (13) for each considered part, the most important
assumption is that current density is uniform. But according the frequency and geometry of
the studied structure, skin and proximity effects have to be taken into account during the
modeling. So in a first step, all the conductors of the studied structure have to be meshed so
that the current density is uniform inside each mesh.
Moreover, as presented in (13), relative permeability r is assumed to be equal 1. Otherwise
further developments of PEEC method are presented and detailed in (Aim et al., 2009b)
and (Kradec et al., 2005) in order to take into account magnetic material influence on
current distribution.
Finally no propagation aspect is considered for this first presentation. Otherwise, another
modeling method has to be applied such as rPEEC or transmission lines approach (Antonini
et al., 2007) and (Clavel et al., 2007).
4.2.2 Equations and associated model
The problem can be better formalized by considering the integral form of the Maxwells
equations and by assuming:
-

quasi-static conditions;
only surface location for the free-charges ;
uniform and constant currents I in each volume element of conductors;
constant material conductivity,
vacuum permeability 0 surrounding the objects;
a homogeneous medium of permittivity = r 0;
negligible losses in dielectric materials.

In such conditions, the following equations can be written:

rotH J

(1)

rotE jB

(2)

divB 0

(3)

B 0 .H

(4)

J E

(5)

B rotA

(6)

E j A gradV

(7)

A 0 J

(8)

From (3), it comes:

428

Infrastructure Design, Signalling and Security in Railway

(7) is the Faradays law and (8) the Poissons equation.

Considering a conducting volume c in an external electrical field (Vext), the total electrical
field Etotal at any point P in the conductor is given by (9):
Etotal ( P ) j A( P ) gradVch arg e ( P ) gradVext ( P )

(9)

Vcharge is the potential due to the electrical charges in the conductor.

If, in a first approximation, the capacitive effects can be neglected, this term is null.
From (8), without propagation effects and magnetic material, it comes (10):
A( P )

r d

(10)

where J is current density and r the distance between the integration point and P.
Taking (5) and (10) in (9) gives (11):
J( P )

r d gradVext

(11)

In order to reach the desired model, it is necessary to suppose a uniform current density. For
that, the volume c is divided into m elementary conductors. On each elementary
conductor, (12) is written:
(12)

J k J0 k .I k
J0k is the electrokinetic solution for a 1A current.
Multiplying (11) by J0k, it comes (13):

c k

J0 k

Jk

dc k j

0
4

J0 i .I i dci dc k J0 k gradVext .dc k

J
0
k
i 1 r

c k
c k
ci

(13)

From (13), the electrical equivalent circuit of a conductor can be deduced (Fig. 4) (Ruehli &
Cangellaris, 2001).
(12) inside the first term of (13) gives (14):

J0 k

c k

Jk

dc k

Ik

J02 k .dc k

(14)

c k

Knowing (15), (16) can be deduced.

c k

J 02 k .dc k Rk

(15)

Jk

(16)

c k

J0 k

dc k Rk .I k

429

Study and Design of an Electro Technical Device for Safety on Railway Network

B
j 0k

B
Rk

Lk

A
Fig. 4. kth element of the conductor
Introducing the mutual inductance between two elementary conductors k and i (17), the
second term of (13) leads to (18).
Lki

0
4

0
4

c k c i

J0 k .J 0 i
dci dc k
r

m
J .I
J0 k 0 l i dci dc k j Lkl .I l
i 1 c r

l 1
c k
i

(17)

(18)

Concerning the term on the right of (13) the following equations can be established
assuming the electrokinetic solution gives divJ 0 0 :
div(V .J0 k ) J0 k .gradV V .divJ 0

J0 k gradVext .d k

c k

div(Vext .J0 k )d k

Vext .J0 k .n k .d k

(20)

J 0 k .n k 0

(21)

Vext .J0 k .n k .d k Va J0 k .n a .d k Vb J0 k .nb .d k Va Vb U k

(22)

with

c k

(19)

is the edge of volume ck; n k is the normal vector oriented towards the exterior of

the surface, a and b are the current outputs surfaces.

Hence, the electrical equation is deduced (23) and (24):

J0 k gradVext .dc k U k

(23)

c k

Rk .I k j Lki .I i U k
i 1

(24)

430

Infrastructure Design, Signalling and Security in Railway

So each term of (13) leads to an electrical characteristic of conductor which is only function
of its geometry.
To compute the parasitic resistance Ri in each volume element Vi of length i, section Si, and
resistivity , the following analytical formula is used:
Ri

li
Si

(25)

Because of the parallelepiped shape of the elements the double integral in (17) can be
expressed in an analytical form and easily computed. For the case of parallel elements, the
mutual inductances Mij are computed thanks to an analytical expression. And for the
general case presented on Fig. 5, the expressions (26) can be used either to evaluate Mij but
also partial inductance Li if a=d, b=c, l1=L2 and E=p=l3=0 (Hoer & Love, 1965). If elements
are not parallel an analytical/numerical integration technique is used (an analytical
expression for the first integral is used, the second one being computed thanks to an
adaptive gauss point integration ensuring a good accuracy). All values of Li and Mij can then
be organized in a dense and square matrix [L-M] whose size is equal to the number of mesh
elements (Aim et al., 2007).

y
E

l1

l3

I1
b
z

c
a
I2

l2

d
Fig. 5. General case of parallel elements for the evaluations of Mij
E d , E a p c , p b l 3 l 2 , l 3 l1

Mij f x , y , z x y z

p c b , p l 3 l 2 l 1, l 3
E d a , E

x1 , x3 y1 , y 3 z1 , z3
4 4 4

i j k1
f x , y , z x y z 1
f x i , y j , zk

y 2 , y 4 z2 , z 4 i 1 j 1 k 1
x2 , x 4

(26)

Study and Design of an Electro Technical Device for Safety on Railway Network

431

y 2 z2 y 4 z 4

x ln x x 2 y 2 z2

24 24
4

2 2

4
4
x
z
x z

2
2
2
y
y
x
y
z

ln

24
24

y2x2 y 4 x4

z ln z x 2 y 2 z2

24 24

1 4
f x, y , z 0

4. a.b.c.d 1 4
x y 4 z 4 3 y 2 x 2 3 y 2 z 2 3x 2 z 2 x 2 y 2 z 2
60

3
3
xy
xy z
xz
xyz Arctan

tan
Arc
6

2
2
2
2
2
2
6
z x y z
y x y z

x
yz
zy

Arctan
2
2
2
6

x
x
y
z

The evaluation of the electrical equivalent circuit of the meshed structure has been
implemented into the dedicated software InCa3D which offers a robust and fast solver
combined to a user friendly and efficient graphical interface.
For simple shapes of elements, analytical formulations (25) and (26) are used. But if the
geometrical configuration is more complex, a numerical technique is used to find the values
of the equivalent circuit.
4.2.3 Meshing techniques

In order to properly describe the current distribution inside conductors, an adapted

meshing technique has to be applied. Indeed the shape of conductors often allows the
assumption of 1D or 2D current flowing inside them.
For massive bars, or cables the 1D current leads to only mesh the cross section of conductor.
Since no propagation effect is described, the length of conductors has not to be subdivided
(Fig. 6). For this kind of conductor, the skin effect can be taken into account concentrating
the meshes on the edges of the conductors so that the number of subdivisions is not too big.

Fig. 6. The 1D meshing of conductors

432

Infrastructure Design, Signalling and Security in Railway

In the case of very thin and large conductors such as sheet of copper, ground plane, the 1D
current assumption is no more valid. Indeed current is generally flowing in a plane so that a
2D approximation can be sufficient in order to properly describe the physical phenomenon.
Two quadrate directions for current inside the conductor are defined. So the developed 2D
meshing technique consists in dividing the plane as presented on Fig. 7.

Fig. 7. The 2D meshing of conductors

For both cases, according to the shape of the cross section or conductor, a refinement
meshing technique is applied so that the description is close to the real structure (Fig. 8).

Fig. 8. Examples of meshing for complex cross section for 1D assumption

The associated electrical equivalent models for the 1D and 2D elements are summarized on
Fig. 9.

1D element

2D element

Fig. 9. R-L-M electrical equivalent circuit for 1D and 2D elements (mutual inductances are
not represented on the figure)

Study and Design of an Electro Technical Device for Safety on Railway Network

433

4.3 Modeling process

On Fig. 10, the modeling process of every kind of electrical structure is detailed.
It consists of four steps:
-

Geometry description from designers data or directly imported from CAD tools,
Meshing according the appropriated assumption for the current,
Solving the equations to obtain the electrical equivalent circuit,
Circuit solving.

For the studied case, the unknowns are the currents inside the equivalent circuit. For that
purpose it is necessary to describe the electrical environment of the problem in order to
solve the right circuit equations. This last step can be achieved in a circuit solver like
SPICE or Portunus exporting automatically the equivalent circuit inside these tools. But
the size of the equivalent circuit is linked to the number of meshes and can be too big for
these tools. Moreover it is not necessary to keep the information of local current inside each
mesh. What is interesting is the global current inside the conductors. So a reduced
equivalent circuit is better appropriated for this goal. To that aim, the user has to clearly
identify the outputs of each conductor and then using parallel and series associations, the
equivalent impedance between these points can be evaluated for each frequency. This
reduced circuit is afterwards more practical in order to evaluate all necessary currents and
voltages. Even if it is frequency dependent, a time simulation can be efficiently done.
Indeed, according the frequency range, this dependence can be negligible and if not,
numerical techniques to find a non dependent circuit with more components exist (Tan &
He, 2007).

Fig. 10. Modeling process

434

Infrastructure Design, Signalling and Security in Railway

This proposed modeling process has proved to be very efficient not only for high current
electrical systems (Gonnet et al., 2004) but also power electronics devices and structures
(Aim et al., 2009a), electronic card (Clavel et al., 2007a), PCB application (Vialardi et al.,
2010) and aircraft structures (Jazzar et al., 2011).

5. The experimental structure

In order to validate the modeling process, experiments have been undertaken.
Unfortunately, measures on real structures are very tricky. A simplified system has thus to
be defined. It is presented on Fig. 11. The chariot has been replaced by copper tubes
(diameter 42mm); the rails and axles have been replaced by cables (35 mm). Sizes have been
chosen so that the experimental set is close to a real system (Fig. 12).
The characteristics of the voltage source are the same as described in the requirements
paragraph.

Chariot

Inductive loop

Rails + axles
Fig. 11. The experimental system
255 mm
185 mm
1535 mm

Inductive Loop
1535 mm

Chariot

2060 mm
30 mm

1675 mm

Fig. 12. Sizes of the experimental system

The measurement procedure consists in measuring (Fig. 13-14):
-

current inside the chariot (so the cross section has been locally reduced in order to insert
a current probe);
current inside the inductive loop;
voltage drop between the wheel and the rails (Urw).

435

Study and Design of an Electro Technical Device for Safety on Railway Network

Different configurations have been tested and for each of them maximum data have been
measured:
-

the inductive loop alone;

the inductive loop + rails + axles;
the inductive loop + rails + axles + chariots;
the inductive loop + rails + axles + chariots + 4 shunts for the wheels;
the inductive loop + rails + axles + chariots + 4 shunts for the wheels with 4 resistors to
represent the non perfect electrical contact between the wheel and the rail.

For each of them open circuit and short circuit measurements have been made.
Chariot
A
Wheel

i-rail

Rail
V
A

Urw

i-loop

Axles
A
Inductive loop

i_chariot

Voltage
source

Fig. 13. Measurements procedure

Wheel

Current measure

Voltage drop measure

Fig. 14. Used probes (Fluke 867B, current probe PR30)

Knowing the current I in the loop, the voltage source V, their phase and the frequency (f,
=2f) an equivalent circuit for the measured system can be calculated using (27) (Fig. 15).

436

Infrastructure Design, Signalling and Security in Railway

L.I.

R.I
Fig. 15. Fresnels diagram for the evaluation of equivalent circuit
V cos( )

R
I

V .sin( )
L
2 f .I

(27)

The second configuration is very close to the classical case of two coupled inductances like a
simple transformer. The first one is supplied with an alternative source and an induced
current (short-circuit situation) or voltage (open circuit situation) is created on the second
one (Fig. 16).
The theoretical study is briefly reminded in the following equations (28) with only one turn
for our case (n1=n2=1).

V1

V2

Fig. 16. The simple transformer

dI 1
dI
M 2
dt
dt
dI 2
dI 1
V2 R2 .I 2 L2
M
dt
dt
V1 R1 .I 1 L1

(28)

The open circuit configuration gives (29). The voltage drop is directly the Urw voltage
characterizing the working of the loop.
V10 R1 .I 10 L1
V20 M

dI 10
R1 .I 10 L1 .I 10 .
dt

dI 10
M.I 10 .
dt

(29)

Study and Design of an Electro Technical Device for Safety on Railway Network

437

6. Results
In this part the electrical equivalent circuit given by the modeling process is presented as
well as comparisons between the circuit simulation and measurements.
6.1 Modeling of the real system

The CAD complete studied structure is presented on Fig. 17 on which the wheels, chariot,
inductive loop clearly appear.
Indeed in order to correctly solve the problem, some geometrical simplifications have been
done. The wheels, the rails and the axles have been replaced by straight massive conductors;
four shunts have been added to connect the chariot to the axles in order to represent a
realistic situation.
Using InCa3D, the result is presented on Fig. 18.
The geometry has been meshed in order to take into account the proximity and frequency
effects.

Fig. 17. The complete structure

Chariot
Inductive loop
Axles
Shunt
Wheel
Rail

Fig. 18. InCa3D description of the studied structure

438

Infrastructure Design, Signalling and Security in Railway

After the PEEC solving, the equivalent circuit has been reduced in order to obtain the simple
SPICE-like circuit drawn on Fig. 19 where each part of the system is well identified by an LR series equivalent circuit. On this circuit all the inductances are coupled with mutual
coefficients but they have been cut off to make it clearer.
6.2 Comparison between measures and simulation on the experimental set

The experimental case has been modeled (Fig. 11) using the same process and for each
configuration simulation results with the same operating conditions (value of the supply
voltage source, frequency) have been compared to the measurements.
The results are presented in Table 1 for the closed circuit and Table 2 for an open one.
A good agreement between simulations and measurements can be observed.

chariot1b

shunt2

shunt4

chariot1a

rail1

wheel2

contact1

contact2

contact3

rail2

contact4

wheel4
shunt3

shunt1

wheel3

axle2

axle1

loop

chariot2a

chariot2b

Fig. 19. Reduced electrical equivalent circuit for the studied structure (mutual inductances
have been removed)

Chariot_middle

wheel1

439

Study and Design of an Electro Technical Device for Safety on Railway Network

Conditions
Only the loop
Loop + Rails + Axles
Loop + Rails + Axles +
Chariot
Loop + Rails + Axles +
Chariot + 4 shunts

Measure
Simulation
Measure
Simulation
Measure
Simulation
Measure
Simulation

I_loop (A)
10.07
10.72
11.13
12.84
12.6
14.65
12.5
14.95

Closed circuit
L (H)
()
-98
5.15
-89.9
4.84
-96
4.5
-89.8
3.98
-95.8
4.05
-89.8
3.5
-95
4.16
-89.8
3.49

R ()
0.25
0.01
0.44
0.01
0.38
0.01
0.34
0.01

Table 1. Current in the loop and electrical characteristics for a closed circuit - simulation and
measurements
Open circuit
Conditions
Loop + Rails + Axles
Loop + Rails + Axles
+ Chariot
Loop + Rails + Axles
+ Chariot + 4 shunts

I_loop
(A)
Measure
10.8
Simulation 11.68
Measure
12.04
Simulation
13.8
Measure
12.3
Simulation
14.7

()

L (H)

R ()

Urw (V)

-95.9
-89.8
-95.5
-89.8
-95.3
-89.8

5.21
4.84
4.59
4.02
4.35
3.65

0.46
0.01
0.38
0.01
0.37
0.01

24.1
25.22
21.67
22.85
8.4
8.56

urw
4.66 %
5.45 %
1.9%

Table 2. Rail-Wheel voltage and electrical characteristics for an open circuit - simulation and
measurements
6.3 Parametric analysis

Once the modeling process is established with satisfactory results, it is possible to make some
changes to analyze the influence of some parameters on the performances of the system.
Indeed, using InCa3D, it is possible to define geometrical and physical parameters and
make them varying to improve the design of the inductive loop.
For the studied structure, the following characteristics can be defined as parameters:
-

height of the inductive loop;

height of the chariot;
size of the loop;
position of the loop under the train;
number of shunts;
diameter of the loop;
number of turns of the loop;
resistivity of the material;
voltage source;
frequency;
resistance of the wheel/rail contact.

The main performance is the rail/wheel voltage Urw.

440

Infrastructure Design, Signalling and Security in Railway

6.3.1 Variation of the height

The distance between the inductive loop and the rails is varying in this study.
On Fig. 20, results show that the lower this distance is, the higher the Urw is.
This result is quite logical since according to (30) the induced voltage is linked to the
magnetic flux. And when the distance between the two loops is low this flux is maximal.
e

d
dt

(30)

Nevertheless, the range of variation of this parameter is quite limited because mechanical
constraints on the train and required standards for some sizes. There is a minimum value to
respect.
By way of contrast, if the distance between the loop and the chariot decreases, the value of
Urw decreases too. This is due to the fact that, as said before, the chariot creates a
supplementary winding (Fig. 3) in which an induced current can be created. The inductive
coupling in this case is higher than between the loop and the rails.
20
18
16
14
12
10
8
6
4
2
0
10

30

50

70

90

110

Distance between loop and rails (mm)

I_loop (A)

I_Rail (A)

Urw (V)

Fig. 20. Urw voltage vs. distance between the loop and the rails
6.3.2 Variation of the sizes and the position of the loop

On Fig. 21, three configurations have been modeled in order to evaluate the impact of the
sizes and the position of the loop.
Along the simulations, it has been observed that it is essential that the loop is parallel to the
rails and axles unless it performance drastically decreases.

Study and Design of an Electro Technical Device for Safety on Railway Network

441

Fig. 21. Three configurations for the sizes and the position of the loop
For example, by reducing by half the length of the loop, the Urw decreases by 32.8%. And
by reducing by half the width of the loop, the Urw decreases between 26% and 52%
(depending on the place where it is measured -close to the loop or not). If, on the contrary,
the length of the loop is increased of 25%, Urw decreases by 11.6%.
The results obtained during these simulations confirm that the coupling between the
primary constituted by the loop, and the secondary constituted by the circuit rails-axles,
depends on the geometry of the loop. The purpose is obviously that the secondary circuit
shares as many lines of magnetic field as possible with the primary one. Since there is no
magnetic material which can guide the magnetic flux, contrary to a classic transformer, it is
necessary to move as close as possible from the inductive loop of the secondary conductors
to increase the coupling.
Keeping the same loop and moving it under the train so that it is no more under the chariot,
the distance between the primary part and the secondary one will increase and the
performances will decrease. A secondary part constituted by both rails and axles of two
different chariots can also be imagined. Yet the distance between the axles of two
consecutive chariots is approximately 15 meters. The length of the loop is then considerably
increased, and thus its inductance (ratio 3.7). The voltage source of the loop would then be
oversized to obtain an Urw voltage equivalent to that of the current loop. Moreover the cost
of the loop would be drastically increased and additional mechanical constraints to fix the
loop would appear.
6.3.3 Variation of the diameter of the loop

Keeping the same external sizes for the loop, the diameter of the copper tube has been
increased in this part of the study. As presented on Fig. 22, this implies a reduction of the
internal surface of the loop.

Fig. 22. Increase of the diameter f the loop

442

Infrastructure Design, Signalling and Security in Railway

The simulations show that for a constant supply voltage the magnetic flux remains constant
too. Since =BS, when the diameter of the tube increases the internal surface of the loop
decreases. So the induction B increases. As the current is directly proportional to the
induction and as =LI, the increase of the induction leads to an increase of the current and
thus a decrease of the inductance of the system.
By dividing the diameter of the tube by 2 (21mm), the surface increases by 7.5% and the
current in the loop decreases by 13.6%. The inductance increases by 16.7%. The result of this
variation of diameter is the decrease of Urw voltage by 8%.
On the contrary, if the diameter of the tube is doubled (84mm), the surface decreases by
13.8%, the current in the loop increases by 20%. The Urw voltage increases by 8%.
But it is not possible to increase this parameter too much because the increase of the current
would imply more Joule losses and a higher temperature.
At this step, a question could be to determine the maximum value for the current in the loop
regarding the losses but also the EMC performances of the whole system.
6.3.4 Variation of the number of turns for the loop

Keeping the same external shape as the current loop, a second turn has been added using a
copper tube of 20mm of diameter.
This additional turn considerably increases the inductance (ratio 3.7). Theoretically, the
inductance is proportional to the square of the number of turn (4 in this case).
So with a constant voltage source, the current inside the loop thus decreases with the
same ratio and the created magnetic field is also weaker. The Urw voltage is then
decreasing by 46%. So it is necessary to increase the voltage source to keep the same
performances.
6.3.5 Variation of the number of the shunts

On Fig. 19, it is clear that the four shunts, which connect the chariot to the axles to ensure a
return path for the current and protect the persons of an electric risk, introduce new loops in
which current can flow.
Using simulations it is possible to connect -or not- these shunts in order to evaluate their
impact on the Urw voltage.
Indeed, considering only two shunts Urw voltage increases by 110%. And with only one
shunt, no induced current can flow since the circuit is open and the Urw voltage increases
then by 210%.But since these shunts ensure the electric safety of the persons, it is not
possible to eliminate them.
6.3.6 Variation of the resistivity of the material

Considering the results presented in Table 1, the impedance of the loop is mainly inductive ,
all the more because the resistive part becomes negligible since the frequency is high.

443

Study and Design of an Electro Technical Device for Safety on Railway Network

So by changing the resistivity of material, aluminum instead of copper (ratio 1.6), no impact
on the Urw voltage can be underlined.
This aspect is very interesting in an economic point of view because the loop could be made
of a material cheaper than copper.
6.3.7 Variation of the electrical contact

To model the electrical contact between the wheel and the rail a resistor has been added
because this is not a perfect short-circuit (Fig. 19).
By making the value of this resistor vary, it is possible to deteriorate the contact.
Results are presented on Table 3 for a resistance varying from 1 to 1M.
For values higher than 5, the Urw voltage remains constant.
And for a 42V voltage source, the Urw is about 3.7V. This characteristic has been drawn on
Fig. 23 and is close to that of the voltage at the secondary winding of a transformer.
This study shows that even if the four wheels of the chariot are not in electric contact with
the rails, as with a resistance of contact of 1M, the inductive loop always allows to obtain a
sufficient Urw voltage which corresponds in this case to the open circuit voltage of a
transformer.
The bad quality of contacts which is one of the causes of non detection of trains inside a
section is then swept away.
R

I loop

I Rail

Urw

12.9 A

2.55 A

4.2 V

12.57 V

1.50 A

3.96 V

12.42 V

0.367 A

3.73 V

10

12.42 A

0.185 A

3.68 V

100

12.41 V

1.85 10-2 A

3.68 V

1 k

12.41 V

1.85 10-3 A

3.68 V

10 k

12.41 V

1.85 10-4 A

3.68 V

50 k

12.41 V

3.71 10-5 A

3.68 V

100 k

12.41 V

1.85 10-5 A

3.68 V

500 k

12.41 V

3.71 10-6 A

3.68 V

1 M

12.41 V

1.85 10-6 A

3.68 V

Table 3. Comparison between simulation and measurements for an open circuit

444

Infrastructure Design, Signalling and Security in Railway

4,5
4
3,5

Urw (V)

3
2,5
2
1,5
1
0,5
0
1

10

100

1000

10000

100000

1000000

Resistance of the rail/wheel contact ()

Fig. 23. Urw vs. resistance of the rail/wheel contact

6.3.8 Variation of the frequency of the source

The supply source of the inductive loop is a 147kHz sinusoidal voltage which is obtained
from the 72V battery embedded on the train and electronic cards. This is a specific source
and no particular constraints are linked to the other electric systems embedded on the
train. So it is possible to imagine a variation of the level of voltage as well as the
frequency.
It is clear that, the Urw voltage is directly linked to the voltage value (proportionality). This
is logical since no magnetic material has been taken into account in this study.
If there is a magnetic material, with the increase of the voltage, saturation will appear and
this proportionality relation will be wrong.
Concerning the frequency, using simulations, it has been changed from 50Hz to 1MHz.
On Fig. 24 the frequency evolution of the Urw voltage is represented.
With the obtained results, since the resistive part of the loop is very low, the famous relation
U = LI even for low frequencies is valid. So the current into the loop could be very high for
low frequency and but could decrease with increasing frequency.
And to ensure a sufficient value for the Urw voltage it must be higher than some 10A.
So compromise has to be reached to improve the inductive loop, between the values of
the voltage source, its frequency, losses, possible saturation if magnetic materials are
used.

Study and Design of an Electro Technical Device for Safety on Railway Network

445

Urw (V)
4
3,6
3,5

3,7 3,8
3,6

3,4
3,18

3
2,5
2
1,5
1
0,5
0
1

10

100

1000

10000

100000

1000000

Frequency (Hz)

Fig. 24. Urw (V) vs. frequency (Hz) of the voltage source

7. Conclusions
The number of trains on the national network is increasing. In order to ensure a maximum
security, it is necessary to localize all the trains all the time.
For that purpose, the French National Railway Company (SNCF) uses an electronic
detection based on the fact that the set wheel/axles/chariot short circuits the rails.
In case of a bad shuntage, an additional device is used; its working, as well as its main
parameters, is studied in this article.
A modeling process is applied with the support of the PEEC method to generate a complete
electrical equivalent circuit of the device. Thanks to measurements, the accuracy of the
modeling approach has been validated. The influence of geometrical and physical
parameters on the performances of the studied device has been analyzed in order to find the
main parameters and to optimize the structure.
Future works concerning the evaluation of the supplementary losses, the modeling of
magnetic material as well as the modeling of the contact wheel/rail which is not fixed but
flowing have to be achieved.

8. Acknowledgment
Authors want to thank the French National Railway Company for its financial support for
this study and its help for the experimental sets.

9. References
Hoer, C. & Love, C. (1965). Exact Inductance Equations for Rectangular Conductors with
Applications to More Complicated Geometries. Journal of Research C. Engineering
and Instrumentation, Vol. 69C, No.2, (April-June 1965), pp. 127-137

446

Infrastructure Design, Signalling and Security in Railway

Gonnet, J-P.; Clavel, E.; Mazauric; V. & Roudet, J. (2004). PEEC Method dedicated to the
design of electrical systems. Proceedings of PIERS 2004 Progress In Electromagnetic
Research Symposium, Pise, Italie, March 28-31 2004
Aim, J.; Ardon, V.; Clavel; E., Roudet, J. & Loizelet, Ph. (2009a). EMC behavior of static
converters thanks to radiated field modeling using an equivalent electrical circuit.
IEEE-IECON 35th International Annual Conference of the IEEE Industrial Electronics
Society, Porto, Portugal, November 2-5 2009
Ruehli, A.E. (1974). Equivalent circuit models for three dimensional multiconductor
systems, IEEE transaction on microwave theory and techniques, Vol. MTT 22, No.3,
(March 1974), pp. 216-221
Ardon, V.; Aim, J.; Chadebec, O.; Clavel, E. & Vialardi, E. (2009). MoM and PEEC Method
to Reach a Complete Equivalent Circuit of a Static Converter. IEEE EMC09,
Zurich, Switzerland, January 12-16 2009
Clavel, E. & Prmont, Ch. (2007a). Function transfer sensitivity of an electronic filter versus
capacitors location on a printed circuit board. 2EMC07 Rouen, France, October 1819 2007
Jazzar, A.; Clavel, E.; Meunier, G.; Vincent, B.; Goleanu, A. & Vialardi, E. (2011). Modeling
and simulating the lightning phenomenon: aeronautic materials comparison in
conducted and radiated modes. IEEE ISIE11 20th International Symposium on
Industrial Electronics, Gdansk, Poland, June 27-30 2011
Ruehli, A. E. & Cangellaris, A. C. (2001). Progress in the methodologies for the electrical
modeling of interconnects and electronic packages. Proc. IEEE, Vol. 89, no. 5, May 2001.
Kradec, J-P.; Clavel, E.; Gonnet, J-P. & Mazauric, V. (2005). Introducing Linear Magnetic
Materials in PEEC Simulations. Principles, Academic and Industrial Applications.
IEEE IAS Industrial Applications Society, Hong Kong, October 2-6 2005
Aim, J.; Tran, S-T.; Clavel, E. & Meunier, G. (2009b). Far field extrapolation from near field
interactions and shielding influence investigations based on a FE-PEEC coupling
method. IEEE Energy Conversion Congress and Exposition ECCE, San Jos, Californie,
USA, September 20-24 2009
Aim, J.; Roudet, J.; Clavel, E.; Aouine, O.; Labarre, C.; Costa, F. & Ecrabey, J. (2007).
Prediction and measurement of the magnetic near field of a static converter. IEEEISIE 16th International Symposium on Industrial Electronics, Vigo, Spain, June 4-7 2007,
pp. 2550-2555.
Antonini, G.; Deschrijver, D. & Dhaene, T. (2007). Broadband Macromodels for Retarded
Partial Element Equivalent Circuit (rPEEC) Method. IEEE Transactions on
Electromagnetic Compatibility, Vol 49 , Issue: 1, 2007, pp. 35-48
Clavel, E.; Roudet, J.; Chevalier, Th. & Postariu, D. (2007b). Modelling connections taking
into account return plane: application to EMI modelling for railway. . IEEE-ISIE
16th International Symposium on Industrial Electronics, Vigo, Spain, June 4-7 2007, pp.
2526-2531.
Vialardi, E.; Clavel, E.; Chadebec, O.; Guichon, J-M. & Lionet, M. (2010). Electromagnetic
Simulation of Power Modules via Adapted Modelling Tools. EPE-PEMC 14th
International Power Electronics and Motion Control Conference, Ohrid, Republic of
Macedonia, September 6-8 2010.
Tan, S. X.-D.; He L. (2007) Advanced Model Order Reduction Techniques in VLSI Design,
Cambridge University Press, New York, USA

18
General Principles Regarding the Rehabilitation
of Existing Railway Bridges
Petzek Edward and Radu Bncil

Politehnica University of Timioara & SSF-RO Ltd

Romania
1. Introduction
Rehabilitation and maintenance of existing steel constructions, especially steel bridges is
one of the most important actual problems [1],[2],[3],[8],[14]. The infrastructure in
Romania and in other East European countries has an average age of about seventy to
ninety years. Many of these structures are still in operation after damages, several phases
of repair and strengthening. Replacement with new structures raises financial, technical
and political problems. The budget of the administration gets smaller. The present
tendency to raise the speed on the main lines to a level of v 160 km / h must be
emphasized (Figure 1).

Fig. 1. The European corridors crossing Romanias territory: IV, VII and IX
During service, bridges are subject to wear. In the last decades the initial volume of traffic
has increased. Therefore many bridges require a detailed investigation and control. The
examination should consider the age of the bridge and all repairs, the extent and location of
any defects etc (Figure 2).

448

Infrastructure Design, Signalling and Security in Railway

Fig. 2. Assessment and control of existing steel bridges

Carefully inspection of the structure is the most important aspect in evaluating the safety of
the bridge. On the accuracy of the in situ inspection depends the level of evaluation.
The check of existing structures should be based on the complete bridge documentation
(drawings with accuracy details, dimensions and cross sections of all structural elements,
information about structural steel, stress history. However, in many cases these
documentations are incomplete or missing. But these informations can be recovered due to
the carefully investigations and inspections of the structures, experimental determination of
the material characteristics and stresses in structural elements, full scale in situ tests (static
and dynamic), calibration of structure and spatial static analysis.
Today, the budget of the administration and the owners (i.e. the railways and highway
companies) get smaller. In consequence it is necessary to invest the available money where
there will be the greatest benefit. Therefore, those responsible for the decisions need
information about the safety of the structure, the remaining life, the costs for maintenance
etc. Nobody will take the responsibility for failure of a structure as a result of budget
restrictions.
Bridge life is generally given by fatigue; difficult is the estimation of the loading history.
For bridges where the stress history is known the fatigue life may be calculated using the
Minerss rule and an appropriate S-N curve; also the assumption of the same spectrum for
bridge life (or for certain periods) must be made. During the process of assessment the
fatigue life of old riveted bridges, is important to establish the proportion of the whole
fatigue life that has been already got through. For stringers and cross girders of existing
railway bridges the number of 107 cycles is exceeded. It might be affirmed that for such
bridges if no fatigue cracks can be detected, no fatigue damage has occurred!
Subsequently, if the loading spectrum remains the same in the future as in the past,
fatigue cracking might not take place! In almost all the cases the loadings increased; in
this situation survival for 100 years (or more) without cracking would not justify the
assumption that no damage has yet occurred! Minor cracking is difficult to detect during
usual inspections.

General Principles Regarding the Rehabilitation of Existing Railway Bridges

449

2. Technical condition of existing bridges

Rehabilitation and maintenance of existing steel bridges is one of the most important actual
problems.
A continuous maintenance, which generally must increase in time, is important in order to
assure the safety in operation of the existing structures.
The evaluation of the current technical condition of an existing steel bridge structure with
the help of in situ evaluation depends, in a high percentage, on the engineers qualification.
In the case of in situ inspection it is recommended to insist on the appeared fatigue defects,
of riveted or welded connections (the expert must to insist on the connections between the
stringers with cross girders and cross girders with main girders), critical details (which are
included in standards or catalogues), corrosion level, the structure deformations due to
traffic, bridge bearings. The expert can use non-destructive techniques to determine the
integrity of base material or structural components. The non destructive testing of the
inspection of in service damage in bridge elements are the following:

visual inspection the most common method which includes microscopes, mirrors, portable
video cameras, robotic crawlers; this method is very useful in case of surface cracks;
magnetic particle inspection this method is also very simple and does not need high
qualification personnel, but can be applied just in case of ferromagnetic materials (not for
austenitic steels). The method consists in the magnetization of the high stress elements or
critical details and indicates directly the surface discontinuity through forming a distorted
magnetic field, which can be detected under proper lighting conditions;
liquid penetration inspection is a simple method including the qualification of the
personnel; it uses penetrate liquids with fluorescent pigment and UV light in order to
indicate the surface defections;
radiographic inspection the method is applied for hidden defects and it uses Gamma or
Roentgen radiation. The inspected element is placed between the radiation and the film.
The interpretation of the radiographic images should be done by experts, otherwise
defects could be ignored;
ultrasonic inspection this testing is used for flaws and cracks in the material thickness,
on the surface or hidden defects; highly qualified personnel is needed. High frequency
sound waves are introduced into a material and they are reflected back from surfaces or
flaws. This process is recorded by an oscilloscope. This method cannot be used for
elements made of multiple plates (riveted sections).
Eddy Current testing this method can detect surface defects but can also be used for
thickness inspection.

The usual simplified analysis methods do not always give the lowest resistance values for
the structure, but usually the more refined assessment methods which give greater
resistance are expensive. According to the experience of the expert a progressive analysis
can be applied. In a first step simple classical methods can be applied [2]. If they fail, more
sophisticated methods can be used, until either it is shown that the bridge is adequate, or it
is concluded that strengthening is needed. An engineer with experience can jump over some
time consuming steps which do not give any benefit (an interesting proposal is that the
engineer will be paid on a percentage on the saving basis [4]). Actual loads are lower than

450

Infrastructure Design, Signalling and Security in Railway

those used for design purposes. Fatigue tests on elements taken from demolished structures
gives generally - greater fatigue life than the values according the codes [5].
The applied stress range, the geometry of the detail and the number of stress cycles has a
decisive effect on the remaining fatigue life of the structures.
By differences of more than 5 % of the cross section due to corrosion, the actual values
must be introduced.
However, from the overall examination of a large number of bridges many defects can be
pointed out. The defects are widespread, having a heterogeneous character from the point of
view of location, development and development tendency; their amplification was also due to
the climate and polluting factors that caused the reduction of the cross section due to corrosion.
Statistically, in 283 from among 1088 welded bridges, and in 356 from among 3201 steel riveted
bridges cracks were detected and repaired. It is not allowed to weld cracks! Old bridges can
have welds executed in the early years; a special attention must be paid to these parts. Generally
the riveted connections have a good behavior in time due to the initial pre-stressing force which
can reach 70 80 N/mm. In Table 1 some typical defects in stringers, cross girders, main
girders wind bracings and orthotropic deck and their repair are presented [6],[7].
In figure 3 there is presented a crack of a joint plate from a wind bracing and in figure 4 also
cracks in the lower flange joint of a double T girder, near to the bearing.

Fig. 3. Crack in the joint plate

Fig. 4. Crack in the lower flange near to the bearing

General Principles Regarding the Rehabilitation of Existing Railway Bridges

Element
0

Main
girder

CRACK
1

REPAIR
2

Grinding
New additional plate
Observation

Main
girder

Main
girder

Stringer

Stringer

Table 1. Typical defects in welded and riveted steel bridges

451

452

Infrastructure Design, Signalling and Security in Railway

Element

CRACK

REPAIR

Stringer

Stringer

Cross
girder

Cross
girder

Orthotropic deck

Orthotropic deck

Stringer

Table 1. Typical defects in welded and riveted steel bridges - continuation

General Principles Regarding the Rehabilitation of Existing Railway Bridges

Element

CRACK

REPAIR

Stringer

Stringer

Stringer

Stringer

Twin
girders

Twin
girders

Hole at the end of the crack

Replacement

Wind
bracing

Replacement of the gusset

Table 1. Typical defects in welded and riveted steel bridges - continuation

453

454

Infrastructure Design, Signalling and Security in Railway

Signs of cracks and defects are rust traces, which occur by friction between jointed plates of
the elements. These are of relevance for hidden constructive elements.
Defects of the bearings are frequent as well. In figure 5 there are presented two examples.

Fig. 5. Defects on bearings

Due to deficient maintenance the riveted structures are strongly corroded, especially in the
lower zones (figure 6). These corroded surfaces represent also a critical detail for fatigue.
Fatigue under corrosion factor is an aspect treated only qualitatively and not quantitatively.
The interaction between the two aspects is obvious. There can also found inefficient joints,
like weakened rivets (figure 7).

Fig. 6. Strong corrosion at the lower flange railway bridge on a main line

Fig. 7. Inefficient joints railway bridge on a main line

General Principles Regarding the Rehabilitation of Existing Railway Bridges

455

3. Characteristics of materials
The following facts show that a material analysis for old riveted bridges is very useful:

Old bridges are in many cases erected using material with very poor welding qualities
and basing on railway administration data and specialized literature it is known that
cast iron was used to build bridges;
The specialized literature doesnt offer enough information about this structural steel;
The structural material comes from several producers (for South Eastern Europe mostly
from Reschitz Romania and Gyr Hungary).

Table 2. The bridges on which the present material study basis

The presented studys results can be extended to Middle and South Eastern Europe when
the history of communication ways and the state of old railway and highway steel bridges
in this region is regarded. In this context the following event can be mentioned: on the 1st of
January 1855 the Kaiserliche und Knigliche Privilegierte sterreichische
Staatseisenbahngesellschaft (St.E.G.) took over all steel producers in Banat. The
investments in Reschitz (in present Resita) turn the steel mill into an important bridges
factory. The production of steel bridges reached 3960 tonnes in 1910. Bridges made by
St.E.G. Reschitz are still in use in Romania, Austria and Hungary. Between 1911 1913, 1620
tonnes of bridge structures made of cast iron were replaced in the western part of Romania
(Banat), namely on the railway segment Timioara Orova. In this sense the material study
took into account bridges from this region, built around 1911. Following material analysis
were performed in order to determine the characteristics of the material: chemical analysis,
metallographic analysis, tensile tests, Brinell tests, Charpy V Notch tests. The samples
were taken from secondary elements, but also in some cases (Bridges in Arad and ag which
were replaced) from main elements: stringers, cross girders, main girders [7]). The results of
the chemical analysis are presented in the following table.

456

Infrastructure Design, Signalling and Security in Railway

Table 3. Chemical analysis results

The statistical interpretation of the tensile tests results shows a minimal value for the yield
stress of 230 N/mm2.
The impact tests on Charpy V Notch specimens lead to conclusion that the transition
temperature is situated in many cases in the range from -10C to 0C (figure 8).
By analyzing the laboratory results it can be concluded that the steel is a mild one, that
could be associated to the present steel types St 34 or St 37.1 (S 235 according to the
Eurocodes). Also, on the two dismantled bridges Arad and ag fracture mechanics tests
were made [7] in order to establish the integral value Jc according to ASTM E813-89 (figure
9), the CTOD and to determine the fatigue crack growth rate and the material constants C
and m according to ASTM E647-93. For these tests compact specimens CT (thickness 8 mm)
as well as bending specimens for CTOD, have been used.
They have been obtained from the stringers, cross girders and main girder lower chord.
The minimal value of material toughness in term of J-Integral for these old riveted steel
bridges is Jcrit = 10 20 N/mm for a temperature of -20C.
The method of fatigue assessment for structural elements with defects, was developed
basing on the possibility of crack propagation modeling under fatigue loads and with the
help of known laws.
The method is founded on the recommendations of the BS 7910:1999.

457

General Principles Regarding the Rehabilitation of Existing Railway Bridges

Transition curves
KV-Arad-SpanIIIStringers

160

KV-Arad-SpanIIIMain Girder

Charpy Energy KV(10) [J]

140

KV-Arad-SpanIIICross Girders

120

KV-Sag-SpanI-III

100

KV-Sag-SpanIVV
KV-V.Cernei1

80
KV-V.Cernei2

60

KV-Branisca1
KV-Branisca2

40
27

20

KV-Mehadia
KV-B.Sarata

0
-20

-15

-10

-5

10

15

20

Temperature T [C]

Ref_value
Expon. (KVB.Sarata)

Fig. 8. Transition curves for the analyzed bridge structures

Fig. 9. Experimental tests for determining of J values

T = -20C; mild steel 1910
15
KV [J]
10

0
0

50

100

150

200
J [N/mm]

Fig. 10. Charpy V Notch Energy vs. material toughness Jc (Arad Bridge 1912)
In the present state of knowledge it is generally accepted that the fatigue failure of materials
is a process containing three distinct steps: (1) initiation of defect (crack), (2) crack
propagation in material, (3) separation through complete failure of the material in two or
more pieces. Practically, the safety service life of an element under fatigue conditions can be
expressed as follows (figure 11):

N f Ni N p

(1)

458

Infrastructure Design, Signalling and Security in Railway

Crack propagation

Crack initiation

Stress

Ni = number of cycles necessary for the initiation of the defect (crack)

Np = number of cycles necessary for the propagation of the defect until the occurrence of
failure.

Dtot

Number of Cycles to failure, N = N i N p

Fig. 11. Fatigue life of structural elements

The evaluation of crack propagation conditions can be accomplished with the help of
characteristically values, which are founded on fracture mechanics concepts: material
toughness express by the stress intensity factor K or J integral value and the crack growth
rate da/dN (crack growth for each load cycle). A relation of the following type can express
the crack growth rate (Figure 12):
da
f K , R , H
dN

(2)

da/dN - crack extension for one load cycle; K- stress intensity range, established basing
on the stress range ; R- stress ratio; H- indicates the stress history dependence.
The crack growth rate da/dN, defined as a crack extension - da obtained through a load
cycle dN (it can also be defined as da/dt, in which case the crack extension is related to a
time interval), represents a value characteristic of the initiation phases respectively the stable
crack propagation. It has been experimentally observed that the connection between the
crack growth rate and stress intensity factor variation represents a suitable solution for the
description of the behavior of a metallic material containing a crack, as in the case of steel. In
a logarithmic graphical representation of the crack growth rate da/dN versus the stress
intensity range K a curve as the one in the following figure (Fig. 12), is obtained.
da
dN

* Fracture

Region I

da
m
= C K
dN
Paris Law

*
Threshold Kth

Region III

log

m
Region II

log K

Fig. 12. Logarithmic representation of the fatigue crack growth in steel

General Principles Regarding the Rehabilitation of Existing Railway Bridges

459

The calculation of the structural elements remaining service life can be done basing on the
Paris law, more precisely by integration of this law:
N

acrit

a0

N dN

da
C K m

(3)

N - number of stress cycles necessary in order that the crack extends from its initial
dimension a0 to the critical value acrit, where failure occurs;
a crack length;
C, m material constants from the crack propagation law;
K stress intensity factor range.
This integral can be numerically calculated by taking into account a critical detail knowing
the crack values (initial and critical), basing on the following relation:

acrit

a0

da
C Y m ( a) m/2
m

(4)

The number of cycles Ni obtained with the help of relation (4) represents the remaining
service life of the detail, by regarding the initial length a0 up to the critical length acrit, by
admitting stable crack propagation (Figure 13).
Crack length
length,, a

Final crack acr

a crit

K 2Ic
Y 2 2max
da
dN

Initial crack a0

RSL
0

No. of cycle (N) or time

Fig. 13. Principles for determining the remaining service life

The critical crack value can be calculated basing on the K criterion respectively on the J or
CTOD criterions or with the help of the failure assessment diagram.
The C and m material constants from the Paris law are experimentally determined by
fracture mechanical tests. In this sense in most cases compact specimens C(T), three point
bended specimens SEN(B) and middle central panels M(T) are used. Such a standard which
describes the test methods for the determination of the crack growth rate, is the American
Standard ASTM E 647 (Standard Test Method for Measurement of Fatigue Crack Rates).
Basing on the determined values da/dN and K the program presented below, also
automatically determines the C and m material constants by the Paris relation:
ln(

da
) ln C m ln K
dN

(5)

460

Infrastructure Design, Signalling and Security in Railway

The experimental tests on 26 CT specimens from two old bridges have shown that for the
oldest mild steels the values of the material constants from the Paris relation are in the
following intervals: m = 2,05 5,65 and C = 2,2 x 10-11 10-18.
Relatively large value of m corresponding to very small values of C, for example for m > 4
C 10-15 10-18.

Fig. 14. Experimental tests in order to establish the material constants C and m

4. Present verification concept

During service bridges are subjected to repeated loadings causing fatigue. Therefore many
bridges require an inspection. The examination should consider the age of the bridge and all
repairs, the extent and location of any defects etc. [8]. A continuous maintenance, which
generally must increase in time, is important in order to assure the safety in operation of the
existing structures. The present methodology includes the following stages [9]:
Step 1. estimation of the loading capacity of the structure based on a detailed inspection;
analysis of drawings, inspection reports, repairs, reinforcements, analysis of the
general behavior of the bridge (displacements, vibrations, corrosion and cracks). In
this phase the stresses in the structure can be calculated with the usual simplified
hypothesis;
Step 2. the accurate determination of the stresses in the structure and of the remaining
safety of the elements. This phase includes: tests on materials, computer aided
analysis of the space structure, remaining safety calculated on the base of the real
time - stress history;
Step 3. in situ static and dynamic tests.

This methodology adopted by the Romanian standard is illustrated in Figure 15.

The calculation of remaining fatigue life is normally carried out by a damage accumulation
calculation. The cumulative damage caused by stress cycles will be calculated; failure
criteria will be reached.
D

ni
1
Ni

(6)

General Principles Regarding the Rehabilitation of Existing Railway Bridges

461

Fig. 15. Methodology of the Romanian standard SR 1911-98 [3]

The classical fatigue concept is based on the assumption that a constructive element has no
defects or cracks. However, discontinuities and cracks in the components of structures are
unavoidable, basically because of the material fabrication and the erection of structures. It is
very clear that the kind of fatigue cracks, which are initiated by structural non-homogeneity
(possible non-metallic inclusions or other impurities), surface defects (including corrosion)
and the stress factor, are present in the old riveted structures.
The presence of cracks in structural elements modifies essentially their fracture behavior.
Fracture, assimilated in this case as crack dimensions growth process under external
loadings, will be strongly influenced by the deformation capacity of material. The FM
approach has acceleration in damage increase; with increasing damage a smaller stress
range contribute to the damage increase. The authors proposed [9], a complementary
method based on the fracture mechanics basic concept
J I J Ic

(7)

in order to calculate the remaining fatigue life.

In practice two situations can be distinguished:

D < 0,8 the probability to detect cracks is very low. The inspection intervals (generally
between 3 6 years) can be established on criteria independent of fatigue. Nevertheless,
a special attention must be paid to critical details.
D 0,8 cracks are probable and possible. An in situ inspection and the analysis of
critical details are strongly necessary. Also a fracture mechanics approach is
recommended.

462

Infrastructure Design, Signalling and Security in Railway

Generally, the establishing of the maintenance program, the determination of inspection

intervals, the inspection priorities of structural elements and finally the calculation with
high accuracy of the remaining service life of old riveted bridges takes into account the
following main data:

type of structure and exploitation conditions (traffic events);

information about structural steel (mechanical properties yield strength, tensile
strength, hardness, transition curve ductile brittle and transition temperatures,
chemical composition, metallographic analysis);
determination of critical members and details;
crack detection and inspection techniques for evaluation of the initial crack size a0 and
crack configuration;
recording of the stress spectrum for the critical members under the actual traffic loads;
evaluation of the critical crack size acrit based on failure assessment diagrams;
fracture mechanics parameter Kcrit, crit, Jcrit (fracture toughness);
simulation of the fatigue crack growth;
temperature, environment conditions.

Classification of the damaged element in

one of the predefined cathegories

Assessment of remaining
fatigue life
(automatical)
procedure for the
detremination of
the af value
according to

Applied stress and stress

range

FAD-2

Number of stress cycles

N

Definition of the final (critical) crack

growth lenght

Determination of the real time stress

history

Geometry of detail

Experimental determination of material

parameters C and m from the crack
propagation law

Accumulated damage
Dp

Dd < 0,8

Definition of the initial crack size

Applying of the crack propagation law

(Paris law) on the computing of the
growth dai corresponding to the cycle Ni

Dd 0,8

Determination of resulting crack:

ai = a(i-1) + dai

Regular inspections
Usual maintenance
measures

Inspection

NO

ai = af

Identification and
monitoring of critical
details

YES
Remaining fatigue life of the analysed
element given by the number of cycles

Preventive
strengthening

Fracture mechanics
approach

Fig. 16. Assessment of the remaining fatigue life and the crack growth procedure

Establishing
of number of
days, months,
years of use

Establishing
of inspection
interval &
maintenance
program

General Principles Regarding the Rehabilitation of Existing Railway Bridges

463

Fig. 17. Soft for life prediction analysis

The methodology is conceived as an advanced, complete analysis of structural elements
containing fatigue defects, being founded on fracture mechanics principles and containing two
steps: namely one of determination of defects acceptability with the help of Failure Assessment
Diagrams (level 2) [10] and of determination of final acceptable values of defect dimensions; this
is followed by a second step which in fact represents a fatigue evaluation of the analyzed
structural elements basing on the present stress history recorded on the structure, on the initial
and final defect dimensions and the FM parameters, namely the material characteristics C and
m from the Paris relation (crack growth under real traffic stress) and further on the exact
determination of the number of cycles N needed in order that a fracture take place, respectively
the determination of the remaining service life of the structural elements (years, months, days).
In order to determine the remaining service life it is important to know how long it will take
the crack to grow from the minimum detectable size to the critical value. In this situation the
safe inspection intervals can be calculated with the following relation:
Tinsp = NRFL / Na,

(8)

where
NRFL = the remaining fatigue life calculated for the structural element
Na = the number of cycles computed for a crack extension rate of 5 mm during two
successive inspections.
The life prediction computing was performed with the help of a soft developed by one of
the authors [7].

5. Case studies
Three European corridors cross Romanias territory: IV, VII and IX. Of a special interest for
many European countries is the Pan-European Corridor IV Berlin - Nrnberg - Prague Budapest - Constanta /Istanbul/ Thessaloniki. On Romanias territory the railway
component of Pan - European Corridor IV has the following route: Curtici - Arad Sighisoara - Brasov Predeal Campina - Bucharest - Constanta.

464

Infrastructure Design, Signalling and Security in Railway

Due to the fact that the Campina - Predeal railway route crosses the sub-Carpathians area
and the southern part of the Southern Carpathians it was necessary to adapt it to the
difficult geographical conditions; actually this section is the most complicated part from the
whole Romanian route. The railway line was built step by step beginning with 1879. The
doubling of the 43 km long railway line Campina - Predeal was accomplished between 1939
- 1942. The line electrification was completed during 1961 - 1965.
Generally, the line is oriented from the south to the north. It follows the valley of the
Prahova River crossing this river in 17 points.
This section includes 41 bridges. From this total number 22 are plate girder bridges, 6 are
truss structures, 12 concrete bridges and 1 are conceived in the filler beams deck solution.

Fig. 18. Emplacement plan

All these structures were verified. In the following some aspects regarding the verification
of the steel bridges are presented. The methodology which was adopted is showed in the
figure 19.

Fig. 19. The methodology and the constructive details for the evaluation of the RFL

General Principles Regarding the Rehabilitation of Existing Railway Bridges

465

After the stress analysis (Figure 20) and the fatigue verifications based on the Whler
concept which were made in relation with the prescriptions of the Romanian standard SR
1911-1998, Swiss code 161 & SBB Richtlinie 2002 and the German code DS 805-2002, a life
prediction analysis based on fracture mechanics principles was performed in order to
evaluate the remaining fatigue life for these structures for the new traffic UIC conditions.

Fig. 20. The static model of the structure no. 6, km 108+690,34

For example, a plate girder bridge (no. 28, at km 125+323.25) is presented, which is a riveted
structures crossing the Prahova River. The structure has four spans, one of 13.90 m and
three of 14.10 m each and is skew (skew to the right - 4837) and its superstructure is made
out of independent plate girder decks.

Fig. 21. The general disposition of the bridge no. 28

466

Infrastructure Design, Signalling and Security in Railway

Calculation elements:
-

Construction year 1940.

Due to lack of any documentation, the dimensions of the main girders elements were
measured in the emplacement (Figure 22).

Fig. 22. Dimensions of the steel elements Main girders

-

The basic material to be considered is mild steel similar with St 37 (S235).

The static scheme - simply supported girders.

The traffic on one main railway line was considered:

the reference traffic 20-24x106 t/ line/ year

the Calculation Centre of SNCF CFR S.A. for the year 2004: 13,7 t/ line / year =>12-16 t
/ line/ year.

The traffic expressed in pairs of trains per day in the peak month that took place on the line
Cmpina Predeal in the year 2004, was:

28 pairs of passenger trains / day;

17 pairs of freight trains / day;

Total 48 assimilated pairs of trains / day

For the main girders of the steel decks, all the fatigue checks were performed in the section
from the middle of the span.
According to the stress analysis, the maximal stress range for UIC 71 convoy is:
max UIC 97.13 N / mm2
The resulted damage accumulated value (Miner rule) is D = 0.98.
Also, the complementary method of fracture mechanics was applied. For the material
characteristics followings values were considered: the material is mild steel similar to the
former steel St 34 - 37. n (Romanian standard - STAS 500/2 80); yield stress is y = 230
N/mm2; tensile stress ult = 360 N/mm2.

General Principles Regarding the Rehabilitation of Existing Railway Bridges

467

For the material toughness in terms of Jcrit a minimal value of 20 N/mm at a temperature of 20C was chosen. For the life prediction procedure in the case of the material constants
following values have been chosen: m = 3 and C = 3 x 10-12 (see also [11]).
A stress history was established using the following mixed traffic from EC 1. This is
actually the future traffic which will be characteristic for the new rehabilitated railway
corridor. All these trains were moved on the structure in order to establish the multi-block
stress history.

Train
type
1
2
3
4
5
6
7
8

No. of trains Train weight Traffic volume

/ day
[t]
[Mil. t/year]
2,90
663
12
2,30
530
12
1,72
940
5
0,93
510
5
5,52
2160
7
6,27
1431
12
3,02
1035
8
2,27
1035
6
67

24,95

Table 4. Mixed traffic from EC 1

All these trains were moved on the structure in order to establish the multi-block stress
history.

Fig. 23. The stress range diagram for train type 1

468

Infrastructure Design, Signalling and Security in Railway

Fig. 24. The stress range diagram for train type 2

Fig. 25. The stress range diagram for train type 3

Fig. 26. The stress range diagram for train type 4

General Principles Regarding the Rehabilitation of Existing Railway Bridges

Fig. 27. The stress range diagram for train type 5

Fig. 28. The stress range diagram for train type 6

Fig. 29. The stress range diagram for train type 7

469

470

Infrastructure Design, Signalling and Security in Railway

Fig. 30. The stress range diagram for train type 8

Ds
[daN/cm2]
50
100
150
175
200
250
275
300
350
400
450
475
500

T1

T2
0
0
12
0
132
12
0
12
0
0
0
12
0

T3
0
0
12
108
0
0
0
12
12
0
0
0
0

0
0
10
0
0
65
10
10
0
0
0
0
0

MAIN GIRDER (L/2) mix

T4
T5
T6
0
105
0
7
0
0
0
0
10
105
60
0
10
0
0
0
0
0
0
0
0
0
0
0
0
14

2
Ds e [daN/cm ] =

Table 5. Classification of the stress range intervals

T7
36
12
0
0
36
0
0
60
60
36
0
0
72

T8
0
0
0
0
8
0
0
0
8
0
88
0
8

381.36

108
0
0
0
0
12
0
6
0
0
6
0
0
Total/day

Total
249
19
34
108
291
149
20
100
80
36
94
12
94
1037

471

General Principles Regarding the Rehabilitation of Existing Railway Bridges

Stress history

350

600
291

300

500
249

250

200
149

300

150
108

No. of cycles n

Stress range
Ds [daN/cm 2]

400

100

200

80

100

94

94

36

20

100

50

34
19

12

0
1

10

11

12

0
13

No. of classified intervals

Fig. 31. Stress history

The crack case assumed for these structures (riveted bridges) is illustrated in figures 32; it is
a trough thickness defect.

Fig. 32. Theoretical crack models

In order to determine the remaining service life it is important to know how long it will take
the crack to grow from the minimum detectable size to the critical value.
Two cases were studied:

through thickness flaw with initial size a0 = 2.0 mm which is undetectable because it is
situated under rivet head in the web steel plate, and
through thickness flaw with initial size a0 = 2.0 mm which is also undetectable during a
visual inspection appearing in the corner (lower flange).

472

Infrastructure Design, Signalling and Security in Railway

Fig. 33. The two studied defect cases

In the first case the remaining fatigue life is estimated at a value of 8.31 years (corresponding
to a number of cycles of 1 566 000). In the second case the administrator must be acquainted
with the fact, that propagation of the crack to the critical value will occur in 8.89 years (N=1
676 000 cycles).
In this case the safe inspection intervals, calculated with formula 8, are situated between 1.2
and 2.0 years.
Finally due to the high corrosion level (Figure 34) and also based on the fatigue assessment,
the superstructure was proposed for the replacement.

Fig. 34. Corrosion attack details

Also all the other plate girder bridges were verified. They are presented in the next table.

473

General Principles Regarding the Rehabilitation of Existing Railway Bridges

Bridge
nr.

Constr.
year

Span

1940

6,60 m

1942

2 x 11,8 m

1942

2 x 11,8 m

1942

8,60 m

13

1942

9,80 m +
26,90 m

15

1942

19,00 m +
18,80 m

Cross section
type / main elements

Table 6. Analyzed plate girder bridges

Photo

474

Infrastructure Design, Signalling and Security in Railway

16

1942

26,90 m

17

1880/
1942

8,40 m

20

1942

37,20 m

22

1942

14,00 m

24

1944

53,60 m

25

19401944

58,25 m

Table 6. Analyzed plate girder bridges - continuation

General Principles Regarding the Rehabilitation of Existing Railway Bridges

28

1940

56,20 m

29

1940

9,00 m

30

1979

16,30 m

31

1942

8,30 m

32

1940

53,40 m

33

1942

10,60 m

Table 6. Analyzed plate girder bridges - continuation

475

476

Infrastructure Design, Signalling and Security in Railway

34

1966

14,20 m

37

1960

23,00 m

40

19421944

31,20 m

41

1880/
1942

16,00 m

Table 6. Analyzed plate girder bridges - continuation

For the replacement different solutions can be proposed. A modern economical and robust
structure is the Schmitt Stumpf Frhauf solution (VFT-WIB), [12] which has a high degree
of prefabrication and goes along with a significant improvement of working conditions, as
weather-independent working; also improved environment conditions for the workers
while erecting formwork, placing re-bars and casting concrete is guaranteed. Furthermore a
smaller amount of man-hours outdoors at the construction site is needed.
The constructive depth was optimized by a computer specialized program (Figure 35).

General Principles Regarding the Rehabilitation of Existing Railway Bridges

477

Fig. 35. Cross section of the new structure and calculation model

6. Conclusion
The progress recorded in the last decades allows on one part an accurate evaluation of the
remaining safety of the structures and on the others part the proposal of new efficient,
economical solutions with the high level sustainability.

7. References
[1] * * * Code UIC 778-2R; Recommandations pour la dtermination de la capacit portante
des structures mtalliques existantes; Union Internationale des Chemins de fer,
Paris, 1986.
[2] **, DS 805 Bestehende Eisenbahnbrcken. Bewertung der Tragsicherheit und
konstruktive Hinweise, August 2002.
[3] **, SR 1911-98, Poduri metalice de cale ferat. Prescripii de proiectare, Institutul
Romn de Standardizare, Bucuresti, 1998.
[4] Jackson, P. Is bridge assessment losing its credibility? The Structural Engineer, Volume
79 / No 9, May 2001.
[5] Xie, M., Bessant G.T., Chapman, J.C., Hobbs, R.E., Fatigue of riveted bridge girders
The Structural Engineer, Volume 79 / No 9, May 2001.
[6] * * *, Maintenance of steel bridges, Romanian Pre-standard, Bucharest 2000.
[7] Petzek, E., Safety in Operation and Rehabilitation of Steel Bridges, Doctoral Thesis, UP
Timioara, 2004.

478

Infrastructure Design, Signalling and Security in Railway

[8] ** I-AM 08/2002. Richtlinie fr die Beurteilung von genieteten Eisenbahnbrcken, SBB
CFF FFS.
[9] Petzek E., Kosteas D., Bancila R., 2005. Sicherheitsbestimmung bestehender Stahlbrcken
in Rumnien, Stahlbau Nr. 8, 9, ISSN 0038-9145, Ernst & Sohn.
[10] ***, BS 7910:1999, Guide on the Methods for Assessing the Acceptability of Flaws in
Metallic Structures, British Standards Institution, London, 1999.
[11] Eriksson, K., Toughness requirements for old structural steel, IABSE Report Congress,
2000.
[12] SCHMITT, V., et alt.: VFT-Bauweise, Entwicklung von Verbundfertigteiltrgern im
Brckenbau, Beton- und Stahlbetonbau 96, 2001, Heft 4.
[13] SEIDL, G. et al. (2006), Prefabricated Enduring Composite Beams based on Innovative
Shear Transmission Proposal RFSR-CT-2006-00030 .

19
Special Tunnel Blasting Techniques for
Railway Projects
More Ramulu

Central Institute of Mining & Fuel Research, Nagpur,

India
1. Introduction
Excavations of tunnels are common features in mining and civil engineering projects. In
absence of initial free face, solid blasting method is employed for excavation of tunnels,
drifts and mine roadways, which have many similarities in configurations and in different
cycles of operation followed during excavation. A greater proportion of world's annual
tunnel advance is still achieved by drilling and blasting. In spite of inherent disadvantages
of damaging the rock mass, drilling and blasting has an unmatched degree of flexibility and
can overcome the limitations of machine excavations by Tunnel Boring Machine (TBM) or
road headers. In spite of no major technical breakthrough, the advantages like low
investment, availability of cheap chemical energy in the form of explosives, easy
acceptability to the practicing engineers, the least depreciation and wide versatility have
collectively made the drilling and blasting technique prevail so far over the mechanical
excavation methods.
Since tunnels of different sizes and shapes are excavated in various rock mass conditions,
appropriate blast design including drilling pattern, quantity and type of explosive, initiation
sequence is essential to achieve a good advance rate causing minimal damage to the
surrounding rock mass. The cost and time benefit of the excavation are mostly decided by
the rate of advance and undesired damage.
Excavation of tunnels, except in geologically disturbed rock mass conditions, is preferred
with full face blasting. It is common to excavate large tunnels of 80-90 m2 cross-section in
sound rock masses by full face in a single round. However, tunnels larger than 50m2 crosssectional area driven through incompetent ground condition are generally excavated in
smaller parts.
Introduction of electro-hydraulic jumbo drills with multiple booms, non-electric
initiation system, small diameter explosives for contour blasting and fracture control
blasting are some of the recent developments in tunnel blasting. Prediction and
monitoring the blast damage, application of computers in drilling, numerical modelling
for advanced blast design, use of rock engineering systems for optimization and
scheduling of activities have been the areas of intense research in today's competitive
and high-tech tunnelling world

480

Infrastructure Design, Signalling and Security in Railway

In tunnel blasting, explosives are required to perform in a difficult condition, as single free
face (in the form of tunnel face) is available in contrast to bench blasting where at least two
free faces exist. Hence, more drilling and explosives are required per unit volume of rock to
be fragmented in the case of tunnel blasting. A second free face, called cut, is created
initially during the blasting process and the efficiency of tunnel blast performance largely
depends on the proper development of the cut. The factors influencing the development of
the cut and the overall blast results are dependent on a host of factors involving rock mass
type, blast pattern and the tunnel configurations.

2. Blasting mechanics
The tunnel blasting mechanics can be conceptualised in two stages. Initially, a few holes
called cut holes are blasted to develop a free face or void or cut along the tunnel axis. This
represents a solid blasting condition where no initial free face is available. Once the cut is
created, the remaining holes are blasted towards the cut. This stage of blasting is similar
to bench blasting but with larger confinement. The results of tunnel blasting depend
primarily on the efficiency of the cut hole blasting. The first charge fired in cut resembles
crater blasting. Livingston's spherical charge crater theory (Livingston, 1956) suggests that
the blast induced fracturing is dominated by explosion gas pressure which is supported
by Liu and Katsabanis (1998). Duvall and Atchison (1957), Wilson (1987) and others
believe that the stress wave induced radial fracturing is the dominating cause of blast
fragmentation and gas pressure is responsible only for extension of the fractures
developed by the stress wave.
The natures of influence of the two pressures i.e. of stress and gas are different in the jointed
rock mass where the stress waves is useful in fragmentation as the joints restrict the stress
wave propagation. The gases, on the other hand, penetrate the joint planes and try to
separate the rock blocks. The fragments size and shape in jointed formations are dominated
by the gas pressure and the joint characteristics. The roles of the stress wave and the gas
pressures are no different in the second stage of tunnel blasting. But with the availability of
free face, the utilisation of stress wave is increased. The rock breakages by rupturing and by
reflected tensile stress are more active in the second stage because of cut formation in the
first stage.

3. Parameters influencing tunnel blast results

The parameters influencing the tunnel blast results may be classified in three groups:
i.
ii.

Non controllable
Semi-controllable

iii. Controllable

Rock mass properties,

(a) Tunnel geometry & (b) Operating factors, and
Blast design parameters including the explosive
properties.

4. Models for prediction of tunnel blast results

Specific Charge is one of the important paprameter of prediction of tunnel blast results.
Pokrovsky (1980) suggested the following empirical relation to determine the specific charge
(q) in tunnels (Eq. 1):

481

Special Tunnel Blasting Techniques for Railway Projects

q = q1. st. f. swr. def, kg/m3

(1)

where,
q1=specific charge for breaking of rock against a free face in kg/m3,
st = factor for structure and texture of rock,
f = rock confinement = 6.5 / A,

(1a)

(m2),

A= area of tunnel
swr = relative weight strength of explosive (ANFO = 1), and
def = factor for diameter of explosive cartridge,
According to Langefors and Kihlstrom (1973), the specific charge (q) is related to the crosssectional area of the tunnel (A, m2) as given below:
(2)

q = (14/A) + 0.8 kg/m3

The specific charge in the cut holes remain maximum and it can be upto 7
parallel cut.

kg/m3

in a

5. Rock mass damage

The aspects of blast induced rock mass damage around a tunnel opening and its
assessment have been the subjects of in-depth research for quite a long time. The type of
damage can be grouped into three categories: (i) fabric damage due to fracturing, (ii)
structural damage exploiting discontinuities and shears, and (iii) lithological damage
causing parting between two different rock units or lithological boundaries between
similar rock types.
Chakraborty et al. (1996a) observed in the tunnels of Koyna Hydro-electric Project, StageIV
poor pull and small overbreak in volcanic breccia having low Q value, P-wave velocity and
modulus of elasticity. On the other hand, large overbreak on the sides due to vertical and subvertical joints and satisfactory pull were found in the compact basalts having comparatively
much higher Q value, P-wave velocity and modulus of elasticity. The fact is attributed to the
presence of well defined joints in compact basalts which is absent in volcanic breccia.
The effects of joint orientations on overbreak/underbreak and pull in heading and benching
operations during tunnel excavations are explained by Johansen (1998). The work of
Johansen (1998) describes that joints normal to tunnel direction are favorable for good pull
and parallel to the tunnel advance direction yield poor pull. advance direction. The obtuse
angle between joints and tunnel direction results in more damage and breakage towards the
wall of that angle.
The dip direction of the blasted strata on pull could be well experienced while blasting in
the development faces of Saoner coal mine where the pull was increased by 11 per cent in
the rise galleries compared to that in the dip galleries (Chakraborty, 2002). Longer rounds in
tunnels can be pulled when the dominant joint sets are normal to the tunnel axis. Whereas,
better pull can be obtained in shaft sinking if the discontinuities are parallel to the line
joining the apex of the Vs in a V-Cut Hagan (1984).

482

Infrastructure Design, Signalling and Security in Railway

Chakraborty (2002) observed the following influences of joint directions on pull and
overbreak (Table 1).
Joint Orientation
Strike with respect to
Dip
tunnel axis
Steep
Parallel
Steep
Across
Gentle
Across
Moderate
Across/oblique

Face Advance

Roof Overbreak

Very poor
Very good
Fair
Good

Very small
Very large
Large
Small

Table 1. Influence of joint direction on overbreak (Chakraborty, 2002)

The gentle, moderate and steeply dipping joint planes signify the dip angles as 0o-30o, 30o60o and 60o-90o respectively. Similarly, strikes with respect to tunnel axis are mentioned as
parallel, oblique and across to indicate that the joint strike intersection angle with the tunnel
axis as 0o-30o, 30o-60o and 60o-90o respectively.
If the geo-mechanical properties of the constituting formations of a tunnel are quite
different, the stress energy utilisation and resulting fragmentation are adversely affected.
Chakraborty et al. (1996b) suggested an increase of specific charge by a per cent equal to ten
times the number of contact surfaces.
Engineers International Inc. modified Basic RMR (MBR) considering blast-induced-damage
adjustments, as shown in Table 2, were suggested for planning of caving mine drift supports
(Bieniawski,1984). Chapter 4 in the present publication defines basic RMR.

No damage
Slight
Moderate

Blast Damage Adjustment

Factor
1.0
0.94-0.97
0.9-0.94

Per cent
Reduction
0
3-6
6-10

Severe damage

0.9-0.8

10-20

Method of Excavation

Damage Level

1. Machine boring
2. Controlled blasting
3. Good conventional blasting
4. Poor conventional blasting

Table 2. Blast damage adjustments in MBR (after Bieniawski, 1984)

Ouchterlony et al. (1991) observed that the damage zone could be to the extent of 0.5 m with
cautious tunnel blasting. McKenzie (1994) related the threshold peak particle velocity PPV
(vmax) for incipient fracture with uniaxial tensile strength (qt), Young's modulus and P-wave
velocity (Vp, m/s) as shown below:
vmax =

where
qt = uniaxial tensile strength, MPa,
Vp = P-wave velocity, m/s, and
E = Young's modulus, GPa.

q t Vp 10 -3
E

, m/s

(3)

Special Tunnel Blasting Techniques for Railway Projects

483

Pusch and Stanfors (1992) and others observed that the minimum disturbance by blasting is
reported when the tunnel orientation was within 15o with the strike of the joint sets.
Yu and Vongpaisal (1996) concluded that the damage is a function of blast induced stress
and rock mass resistance to damage. They proposed Blast Damage Index (Dib) to estimate
the type of damage due to blasting. It is the ratio of the blast induced stress to the resistance
offered against damage.
Ramulu et al (2009) categorised blast induced damage as,
-

near-field damage due to high frequency and critical vibrations

far-field damage due to repeated low frequency and sub-critical vibrations. Ramulu and
Sitharam (2011) assessed the near-filed damage by using vibration attenuation model of
charge weight scaling law and dynamic tensile failure criteria instead of conventional
Holmberg-Persson model (1979) and static tensile failure criteria. Ramulu (2010)
correlated the far-filed damage with shear wave velocity of rock mass and found the
following equation with reasonably good correlation coefficient (R2=0.76).
Dmax=322.5(Vs)-0.61 m

(4)

where,
Dmax Maximum extent of rock mass damage due to repeated vibrations, m
Vs S-wave velocity, m/s

6. Contour blasting
Contour blasting in tunnelling is adopted to obtain a smooth tunnel profile and minimise
damage to the surrounding rock mass. Despite a large amount of drilling required, it is
preferred over conventional blasting because of the following advantages:
i.
ii.
iii.
iv.
v.

The shape of the opening is maintained with smooth profile.

Stability of the opening and the stand-up-time of the tunnel are improved.
Support requirement is reduced.
Overbreak is reduced to minimise unwanted excavations and filling to bring down the
cost and cycle time.
Ventilation improves due to smooth profile.

The performance of contour blasting is frequently measured in terms of `Half cast factor'
(HCF) which is dominated by the design parameters of the contour holes, the joint
orientation and the explosive energy distribution.
Generally, two types of contour blasting are used in tunnelling, i) pre-splitting and ii)
smooth blasting. When two closely spaced charged holes are fired simultaneously the stress
waves generated from the two holes collide at a plane in between the holes and create a
secondary tensile stress front perpendicular to the hole axis and facilitates extension of
radial cracks along the line joining the holes. The wedging action from the explosion gas acts
in favour of extending the crack along the same line. It is, therefore, essential to contain the
gas pressure till the cracks from both ends meet by adequate stemming. Further, the delay
timing of the adjacent holes need to be very accurate so that the stress waves should collide
at the mid-point and the arbitrariness of the breakage between the holes can be reduced.

484

Infrastructure Design, Signalling and Security in Railway

The contour blasting performance largely depends on the nature and the orientation of joint
planes. Gupta et al. (1988) found that the joint orientation adversely influences the presplitting results to a maximum when these are at an angle of 1-30o to the pre-split axis.
In smooth blasting, the delay intervals between the contour holes and the nearest
production holes are kept high to facilitate complete movement of material in production
holes before the contour holes detonate so that the gas expansion in contour holes occurs
towards the opening. Sometimes, holes are drilled in between two charged blast holes and
are kept uncharged. These are called dummy holes (Figure 1). The stress concentration at
the farthest and the nearest points of the dummy holes become high to initiate cracks from
the dummy holes extending towards the charged holes. The fracture is, thus, controlled
along the desired contour.
In some cases, slashing or trimming techniques are used where the central core of
excavation area is removed first to reduce the stress and then post-splitting is adopted to
remove the remaining rock mass along the desired contour. The technique is generally
referred to as 'slashing' or trimming [Calder and Bauer (1983), Figure 2].

Fig. 1. Smooth blasting pattern with dummy holes

Fig. 2. Cushion blast holes for trimming of a tunnel after pilot excavation

485

Special Tunnel Blasting Techniques for Railway Projects

Line drilling is adopted as an alternative technique where a number of uncharged holes are
drilled along the contour with a spacing of 2-4 times the hole diameter (Du Pont, 1977). The
distance of the row of empty holes from the final row of charged holes is kept as 0.5-0.75
times the normal burden. The empty holes are joined during the main blasting round and a
separation is created along the contour.
According to Holmberg and Persson (1978), the spacing of pre-split holes should be 8-12
times the blast hole diameter. The following design parameters for contour hole spacing,
burden to spacing ratio of contour holes and linear charge concentration in smooth blasting
are suggested by Holmberg (1982) :
Sdc = 16 x db, m

(5)

mdc = 1.25

(6)

qlcc = 90 x (db)2 , kg/m

(7)

where
Sdc = spacing of contour holes while drilling, m,
mdc = burden to spacing ratio of contour holes while drilling,
qlcc = linear charge concentration in the contour holes, kg/m, and
db = diameter of blast holes, m.
Controlled blast design details recommended by Olofsson (1988) are presented in Table 3.
Blast Hole
Spacing of Blast
Diameter (mm)
Holes (m)
25-32
0.25-0.35
Smooth blasting
25-48
0.5-0.7
51-64
0.8-0.9
Pre-splitting
38-44
0.3-0.45

Type of Blasting

Burden
(m)
0.3-0.5
0.7-0.9
1.0-1.2
-

Linear Charge
Concentration (kg/m)
0.11
0.23
0.42-0.45
0.12-0.37

Table 3. Recommended blast design for contour blasting (Olofsson, 1988)

7. Special tunnel blasting techniques

Some special blasting techniques were practised in tunnels and underground coal mine to
attain greater advance and better safety in some critical working sites under the
recommendations and supervision of Central Mining Research Institute, Regional Centre,
Nagpur. Those cases are discussed in brief in the following paragraphs.
7.1 Long hole raise driving by blasting
A 123 m deep pilot shaft was excavated in 95 days time using Long Hole Raise Blasting
(LHRB) method for faster and safer shaft sinking in the surge shaft, passing through
various kinds of basaltic formations, in Ghatghar Hydro-electric Project of Maharashtra.
The blast hole charging pattern is shown in Figure 3. Application of this techniques
resulted in saving of 75% time 60% cost of excavation in comparison to the conventional
shaft sinking method.

486

Infrastructure Design, Signalling and Security in Railway

A ventilation shaft of 40m depth was also excavated by using the same technique at
diversion tunnel of Latur-Osmanabad Railway tunneling project of Central Railways in 20
days. This techniques yielded in saving of time by 80% and cost of excavation by 60% in
comparison to the conventional shaft sinking method, which mainly suffer from weather
effects, confined working space and low cycle time.
Similarly, a pilot surge shaft of 3.0m diameter130m depth was excavated by long hole raise
driving technique at a lift irrigation scheme of Koilsagar project. This swift and cost effective
shaft excavation technique was completed in just 60 days with cost savings of 70% and time
saving by 95% in contrast to conventional shaft sinking method. The profile of excavated
pilot surge shaft at Koilsagar project is shown in Figure 4.
7.2 Lake tap blasting
The lake taping of fist of its kind with indigenous technology was carried out in India by
CMRI (now CIMFR) at granitic rock mass in South India. The Andhra Pradesh Power
Generation Corporation (APGENCO), India, executed a lift irrigation scheme (SLBC) for
the Government of Andhra Pradesh to install 4 Nos. of 4 x 25000 hp pumps to lift 2400
cusecs of water from the Nagarjuna Sagar reservoir for irrigation purpose. A 4 m thick
rock plug, designed by CMRI, was left for lake tapping at the end of project. The area of
cross section of the tunnel was 40 m2. Considering proximity of the nearby structures a
controlled blast strategy in phased manner was evolved prior to final plug blasting.
Vibration and damage characteristics were ascertained to finalise the blast design of the
final plug.

Fig. 3. Charging pattern in raise blasting

Special Tunnel Blasting Techniques for Railway Projects

487

Fig. 4. Profile of pilot surge shaft excavated by long hole raise driving at Koilsagar
Based on the blast performance of the trail rock plug final plug blast design was made with
the following salient features:

Specific charge was increased from 1.25 kg/m3 to 1.33 kg/m3 to improve throw and
fragmentation.
Only gelatine explosive was recommended considering the water inflow from the blast
holes.
Dummy holes were made above the crown holes, at a distance of 0.3 m, to minimise
rock mass damage.
A borehole from the top was used to convey initiation to the blast holes.

488

Infrastructure Design, Signalling and Security in Railway

The final plug-blasting pattern is shown in Figure 5. This novel technology being an
indigenous one could save Crores of national exchequers.
7.3 Cautious blasting
By adopting an extremely cautious approach, all 10 reinforced concrete plugs, each of 125
m3 volume, in 5 units were removed by controlled blasting without causing any damage to
the surrounding periphery and pier nose in Srisailam left bank project of the APPGENCO
while the power house was in running condition. The controlled blasting pattern is
described below:
i.

Line drilling holes of 1.5m depth were drilled with spacing of 0.15 m between the holes
on the pier nose side and at 0.20 m inside the periphery.
ii. The periphery holes were pre-split with air-decking. The half cast factor of the
periphery blasting was around 95%, which indicates low damage level. The pre-split
blasting connections and the post-blast wall with half cast holes are shown in Figures.
5(a) and 5(b).
iii. A cut was created at the heading and it was widened and deepened to make a pilot hole
in the plug along its axis.
iv. The balance concrete mass of the heading was slashed with less charge against the void.
v. The bottom was blasted with benching method.
vi. Mucking was done by mechanical and manual means.
vii. Continuous blast vibration monitoring was carried out during the blasts at near,
intermediate and far field.
viii. Analysis of vibration data was done for subsequent blasting and to develop general
predictor equation.
Pre and post blast ultrasonic measurements were taken at the exposed areas of the pier nose
walls to know the change in physical property the reinforced mass due to blasting. The
compressional wave velocities (P-wave) were measured by Roop telesonic ultrasonix
instrument Ultrasonix 4600 which is shown in Figure 6. The average P-wave velocity was
2075 m/s and 2100m/s before and after blasting respectively. The values indicate that there
has been no blast-induced damage to the structure under consideration.
The cautious blasting was also applied at Koldam Hydroelectric Power Project (KHEPP) to
reduce overbreak and to get a smoother tunnel wall profile. The rock mass encountered in
all the tunnels of KHEPP was Dolomite, which was very heterogeneous, highly weathered,
metamorphosed, compact, foliated, sheared and crushed due to the effect of Chamiatar
Khad fault striking N1700 E and 450 W. Joints are open, closely spaced, intersecting, which
are having clay fillings due to mechanical and chemical weathering of the rocks. One main
joint with angle of N 750 E/800W is running parallel to the axis of the tunnels which is very
unfavourable. At some places huge wedges were formed due to the intersection of the joints,
which caused excessive overbreaks in the tunnels. The Q values of most of the rock mass of
tunnels range from 0.12 to 0.21, which indicates that the rock was very poor. Core samples
were collected from both the monitoring locations by underground coring machine.
Engineering properties like Rock Quality Designation (RQD) compressive strength, tensile
strength, density and compressional wave velocity (Vp) were determined from the core
samples.

Special Tunnel Blasting Techniques for Railway Projects

Hole Diameter = 32 mm; Total no.of blast holes = 113,

Length of blast holes = 3.5 to 4.0 m,
Specific Charge = 1.33 kg/m3

Fig. 5. Lake tap blast design

489

490

Infrastructure Design, Signalling and Security in Railway

Fig. 5(a). Connections for pre-split blasting

Fig. 5(b). Pier nose wall after pre-split blasting

Fig. 6. Compressional wave velocity (P-wave) measuring device Ultrasonix 4600

Special Tunnel Blasting Techniques for Railway Projects

491

In-situ compressive strengths were also determined by using Schmidt hammer rebound
testing. The average RQD values of Dolamite rock mass ranging from of 40-60%. Water
absorption properties measured at the test site was 1.2% at both the sides. The improved
blast performance of smooth blasting in the form of smooth profile is shown in Figure 7. The
results were consistent for 12 trial blasts at the Dolomite tunnel. The controlled blasting
restricted the overbreak to only 3%, which was 27% with the conventional tunnel blasting.
The average half cast factor was calculated as 85%.

Fig. 7. Improved blast performance of smooth blasting in the form of smooth profile at
KHEPP
7.4 In-hole delay blasting
Following the trend of opencast blasting, in hole delay blasting technique using delay
electric detonators were used in some mines and tunnels to improve the pull per blast and
reduce the ground vibration. As the confinement in the cut holes are maximum and the blast
performance in tunnels depend mainly on the development of the cut portion, the in-hole
delay were used in the cut holes only. The salient features of the in-hole delay pattern are:
1.
2.

The collar portion of the hole was blasted prior to the bottom. Thus, the confinement at
the hole bottom was less during firing.
Mid-column decking between the two charges in a hole was kept at least 0.6 m to avoid
sympathetic detonation. This decking provided confinement for the bottom charge.

The charging pattern is explained in Figure 8.

492

Infrastructure Design, Signalling and Security in Railway

Fig. 8. Charging pattern of cut holes with in-hole delay

This technique was successfully applied at basaltic rock mass of Central railway tunnels and
gneiss rock mass of Lohari Nag Pala Hydel power project.
The advantages of the in-hole delay cut blasting includes:
1.
2.

The average face pull improve by nearly 30-50%. The specific charge also reduces
proportionately.
The blast vibration intensity reduces by 20 to 25% as the cut hole charge is distributed
in two delays. This is going to reduce the overbreak proportionately.

7.5 Bottom hole decking technique

The mining industry is striving to enhance the productivity by improving fragmentation to
reduce the system cost. In order to achieve this objective, development of new techniques
and their application is essential. The authors at CIMFR, experimented a blasting technique
called bottom hole decking technique to achieve the objective of blasting productivity
improvement of the mining industry. The technique consists of air decking at the bottom of
the blasthole in dry holes by means of a wooden spacer or a closed PVC pipe. Although,
practice of air decking is not new thing in blastholes, the concept of inserting bottom hole
decking below the explosive column is relatively new. Explosives provide a very
concentrated source of energy, which is often well in excess of that required to adequately
fragment the surrounding rock material. Blast design, environmental requirements and
production requirement limits the degree to which the explosive energy distribution within
the blasthole can be significantly altered using variable loading techniques. Use of air-decks
provide an increased flexibility in alteration and distribution of explosive charge in blast
holes.
The bottom hole air-decking was developed to avoid the general disadvantages of middle
air decking and to simplify the complex charging procedure, associated with it. The design
aspects of the technique are explained in the following sections. The bottom hole decking
consists of air decking at the bottom of the hole in dry holes by means of a spacer or a closed
PVC pipe, covered at the upper end. The fume characteristics of the spacer are to be tested
before applying in underground coal mine. If blast holes are wet, water decking will be
created at the bottom by means of a spacer with a weight attached to it for sinking to the

Special Tunnel Blasting Techniques for Railway Projects

493

bottom. The diameter of the spacer should be preferably one third of the blasthole diameter
for easy lowering and not allowing the charge to go to bottom side while loading. The
reported values of air-deck length was taken as basis for optimum bottom deck length
which was about 10% of the hole depth (Mead et al, 1993). The hole contains explosive and
stemming column as in conventional loading but with a spacer at the bottom. The principle
of bottom hole air decking in achieving optimum explosive energy interaction on rock mass
is given below:

Reduced shock energy around the blast hole due to cushioning effect of air decking,
which otherwise would result in crushing
Explosive energy-rock interaction is more at the bottom due to relative relief zone
existing at that zone.
Effective toe breakage is due to striking and reflection of shock waves at the bottom face
of hole

The procedure and sequence of blast hole loading and initiation for the bottom hole decking
are given below:

Inserting the spacer in to the hole bottom by stemming rod.

Loading the primer explosive cartridge attached by delay detonator charging the
column charge conventionally
Stemming of the hole by proper stemming material, preferably by sand mixed clay

The advantages of the bottom air decking technique in comparison to the conventional
middle air decking are given below:
i.
ii.

The highly confined toe is free of explosive charge but exposed to high concentration
shock energy, resulting in good toe breakage and low vibration intensity.
The reduced overall peak shock reduces the back break and damage.

Blast hole charge design for production blasts with bottom air-decking is Figure 9.

Fig. 9. Blast hole charge design for production blasts with bottom air-decking
The bottom air decking also resulted in the overall progress/pull per round of 36% with 1.5
deep rounds and 22% with 1.8 m deep rounds even with the powder factor improvement
(ton/kg) upto 70%. The increase of detonator factor was very predominant in case of tests
with bottom decking in comparison to tests with bottom decking technique. The technique
was also resulted in reduction of ground vibrations by 20-26%. The laboratory and field
experimental results prove that the bottom-hole air decking is an effective technique for
improving the opencast blasting productivity as well as safety.

494

Infrastructure Design, Signalling and Security in Railway

8. Sand stemming device for horizontal blast holes

The device of sand stemming for horizontal blast holes constitutes an assembly of a plastic
pipe with proper cut and slits, a wooden block with pulley arrangement for resisting sand and
an anti-static (non metallic) rope to pull out the plastic pipe from blast hole. The device
essentially consists of a plastic pipe tied with an anti-static rope which is passed through a
wooden resisting block to which a pulley is attached. The main objective of the device is for
efficient use of sand as stemming material in horizontal blast holes. Another objective of the
present device is to provide an effective and economic and fast stemming method which can
find a mass application in underground blasting. The device essentially consists of a plastic
pipe tied with a non metallic rope which is passed through a wooden resisting block to which
a pulley is attached, an assembly of a plastic pipe cut and slit properly and a rope passed
through a wooden block which can insert the sand in to blast hole and resist the sand to come
out while pipe is pulled out of the blast hole. The position of stemming device while inserting
the sand with plastic pipe and the position of removal of the plastic pipes are shown in the
Figure 10. Actual application of the device in the field is shown in the Figure 11.

Fig. 10. Position of stemming device for loading and unloading in the blasthole.
Application of this tool in place of conventional stemming resulted in pull improvement of
5-10% in dolomite tunnels and 8-12% in gneiss tunnel. The improved blast performance was
recorded consistently for 20 trial blasts at the gneiss tunnels and 25 trial blasts at the
dolomite tunnels.

495

Special Tunnel Blasting Techniques for Railway Projects

Fig. 11. Loading and unloading of sand into the stemming column of a blasthole at KHEPP

9. Computer aided blast design

Some of the software developed for blast design and optimisation are reported in Table 4.
Few blasting software on tunnel blasting are commercially available and the details can be
obtained through web search.
Name of
Software
OPTES
VOLADOR

Purpose

Reference

Blast optimisation in tunnels

Vierra (1984)

Estimation of blast results, blast

efficiency and cost analyses in tunnels

Rusilo et al. (1994)

TUNNEL BLAST Blast design in tunnels

Chakraborty et al. (1998)

CAD

Optimum design of ring hole blasting

Myers et al. (1990)

FLAC and UDEC

Blasting effects on the near field rock

mass

Pusch et al. (1993)

ABAQUS V 5.4

Mechanics of crater blasting and the

effects of air decking and decoupling

Liu and Katsabanis (1996)

ALEGRA

Air-decking blasting

Jensen and Preece (1999)

PFC-2D/3D

Crack and heaving simulation

Itasca Consulting Group

Inc. (2002)

Neural
networking

Model free computing

Leu S. S. et al. (1998)

Table 4. Various routines for computer aided tunnel blast design

496

Infrastructure Design, Signalling and Security in Railway

9.1 TUNNEL BLAST2.0 software

Based on the past experience and extensive field investigations over a variety of
underground structures of varying lithologies, CMRI Nagpur Centre devised a software
TUNNELBLAST for generating blast design for Tunnels and underground workings. This
software is a handy intelligent tool for the site engineers to optimise the blasting process and
improve productivity without spending their valuable time on scrutinising variety of
documents, books and literature available. The software is simple to operate and user
friendly. The input and output parameters of the software are as under:
Input parameters:
1.
2.
3.
4.

Rock properties (density, compressive strength and joint spacing),

Tunnel (shape, width and height),
drilling (diameter and length of blast hole), and
Explosive properties (weight strength, weight and length of cartridge).

Output parameters:
1.
2.
3.
4.
5.
6.

Size of the tunnel,

Probable deviation of blast holes,
Optimum depth of round,
Look out angle of peripheral holes,
Burden, spacing and charge of holes in cut area, floor periphery and in the middle of
the tunnel section,
Front and sectional views of the blast pattern

9.2 Field application of TUNNEL BLAST software at gneiss rock mass

The TUNNEL BLAST software was applied to design the parallel cut blast pattern at LohariNag Pala Hydroelectric Power Project (LNPHPP). The LNPHPP falls in the Uttrakhand
Himalayas and is located on the River Bhagirathii upstream of Uttarkashi district. The main
rock type of powerhouse complex is schistose gneiss and augen gneiss with abundance of
mica and geotechnically the rock mass is negotiating in Fair Category and its having
three prominent joint sets. The Rock Mass Quality (Q) was varying from 1-10. The main two
joint sets intersecting at right angle which makes wedge continuously. Some weak
zone/clay filling, altered rock, sheared rock mass and excessive flow of water at places
makes the rock poor. In maximum area it is found that the regional trend of foliation is
perpendicular to the tunnel alignment, another joint which is intersecting the foliation at
right angle and creates wedge on roof. The strike of the foliation is going through along the
tunnel alignment which is geologically not favourable because of probabilities of plane
failure and wedge failure in presence of heavy joint planes.
The input geological parameters required for the blast design software are as follows:
Rock type
Joint sets
Critical joint
Water Condition
Weathering
Filling

Metabasic (Amphibolite) & quartz vein

Three + Random (0450/350, 2100/450, 1300/800)
0450/350, 2100/450
Dry
Highly Weathered/Fractured
Clay seam, width 10-20cm

Special Tunnel Blasting Techniques for Railway Projects

497

Boundary conditions:

Rock Type: Metabasic (Amphibolite) & quartz vein

Av. rock density: 2.6 t/m3
Type of explosives: Emulsion
Blast hole diameter: 45 mm
Explosives diameter: 40 mm & 32 mm
Explosives strength: 80% (60% may also be required in the periphery holes
and hence provisions may be made)
Length of blast hole: 2 m
Delay: Long delay (NONEL)

After feeding the input information the software process the entire data and gives the blast hole
geometry and charge pattern for cut holes and other holes separately. The utput information
given by TUNNELBLAST software is given in Figure 12, Figure 13 and Table 5 and Table 6.
The blast design generated by TUNNEL BLAST software was applied at intermediate adit
and the blast results were satisfactory in terms of pull per round and overbreak control. The
trial blast results with felid application of TUNNEL BLAST software are given in Table 7.
The blast results indicate the efficacy of the TUNNEL BLAST software, as a preliminary tool
for tunnel blast design for various geological conditions. The fine tuning of this design can
be done for further improvements in the progress and yield of tunnel blasting.

Fig. 12. Blast design output from TUNNELBLAST for cut holes of intermediate adit

498

Infrastructure Design, Signalling and Security in Railway

Nos. in the boxes denote the delay numbers; Total Charge per round = 97.7 kg
Total no. of holes= 3-Relief holes + 69-Charged holes+ 12-Dummy holes; Powder factor = 1.52 kg/m3

Fig. 13. Controlled blast design output from TUNNEL BLAST for rest of the holes at
intermediate adit of LNPHPP
Short Delay
Name of
No. (25 ms
square
delay)

Burden,
m

Spacing,
m

No. of
holes

Charge/hole,
kg

Total
charge, kg

First

0.15

0.2

1.2

4.8

2/3

Second

0.20

0.4

2.4

9.6

4/5

Third

0.35

0.75

2.4

9.6

6/7

Fourth

0.45

1.2

2.4

9.6

Table 5. Blast pattern and charge configuration of the cut holes

499

Special Tunnel Blasting Techniques for Railway Projects

Description of holes
Easer holes
Support holes
Support holes-II
Bottom Holes
Crown Holes-I
Crown Holes-II
Crown Holes-III
Crown Periphery
holes
Side Periphery holes

Delay
No.

No. of
holes

Burden

Spacing

Charge per
hole (kg)

8
9
10
11
12
13
14

6
6
6
10
5
5
4

0.6
0.6
0.6
0.4
0.8
0.8
0.8

0.75
0.75
0.75
0.70
1.2
1.2
1.2

0.95
0.95
0.95
1.8
1.6
1.6
1.6

Total
Charge/
delay (kg)
5.7
5.7
5.7
18
8
8
6.4

15

0.6

0.3

0.6

1.8

16

0.6

0.3

0.6

4.8

Table 6. Design and charging details of blast holes, other than cut holes

S No.
1
2
3
3

Location
Downside,
TRT
Upsideside,
TRT
Upsideside,
TRT
Downside,
TRT

Hole
Depth of
diameter,
holes,
mm
m

No. Of
holes

Charge
per round,
kg

Specific
charge,
kg/m3

Pull/round,
m

40

3.5

91

217

2.1

1.98

40

3.5

89

225

1.85

3.1

40

3.5

89

250

1.98

3..0

40

3.5

91

220

2.0

1.95

Table 7. Trial blast results with felid application of TUNNEL BLAST software

10. Conclusions
The reviews on the developments in rock mass damage and contour blasting brings an
important information on field application of controlled blasting and damage assessment
and control The contributions of CIMFR on special tunnel blasting techniques resulted in
improvement of both productivity and safety. The following conclusions can be drawn
based on the various topics discussed in the paper:
i.

Application of this techniques resulted in saving the time of 75-80% and cost of 60%95% in comparison to the conventional shaft sinking method at three different projects
ii. Lake Tap Blasting of a 4 m thick 40 m2 cross sectional area was carried out as of fist of
its kind with indigenous technology in India by CMRI (now CIMFR) at granitic rock
mass in Andhra Pradesh Power Generation Corporation (APGENCO), which could
save Crores of national exchequer.
iii. Ultra cautious blasting techniques were adopted as an extremely cautious approach, for
removal of 10 reinforced concrete plugs, each of 125 m3 volume, without causing any

500

Infrastructure Design, Signalling and Security in Railway

damage to the surrounding periphery and pier nose in Srisailam left bank project of the
APPGENCO while the power house was in running condition.
iv. Successful application of in-hole delay cut blasting method at basaltic rock mass and
gneiss rock mass improved average face pull improve by nearly 30-50%. Blast vibration
intensity reduces by 20 to 25% which resulted in reduction of the overbreak
proportionately.
v. Bottom hole decking technique resulted in the overall progress/pull per round of 36%
with 1.5 deep rounds and 22% with 1.8 m deep rounds even with the powder factor
improvement (ton/kg) upto 70%.
vi. Application of sand stemming device for horizontal blast holes in place of conventional
stemming resulted in pull improvement of 5-10% in dolomite tunnels and 8-12% in
gneiss tunnel.

11. References
Bieniawski, Z. T., (1993). Classification of rock masses for engineering: the RMR system and
future trends. In J.A. Hudson (Ed.), Comprehensive rock engineering: principles,
practice, and projects, Oxford: Pergamon Press. V.4, pp. 553-573
Calder, P. N. and Bauer, A. (1983). Presplit blast design for open pit and underground
mines, 5th International Cong. on Rock Mechanics, Melbourne, Vol. 2, pp. E185- E190.
Chakraborty, A. K. (2002). Development of predictive models for optimum blast design in
mine roadways and tunnels under various rock mass conditions, Ph.D. Thesis,
Indian School of Mines, Dhanbad, India, 298 p.
Chakraborty, A. K., Jethwa, J. L. and Dhar, B. B. (1996b). Predicting powder factor in mixedface condition: development of a correlation based on investigations in a tunnel
through basaltic flows, Engineering Geology, Elsevier Science B.V., Netherlands, No.
47, pp. 31-41.
Chakraborty, A. K., Murthy, VMSR and Jethwa, J.L. (1996a). Blasting problems in
underground construction through Deccan Trap formation: Some experiences at
Koyna Hydro-electric Project, Stage IV , Tunnelling & Underground Space Technology,
Elsevier Science Ltd., Great Britain, Vol. 11, No. 3, pp. 311-324.
Chakraborty, A. K., Murthy, VMSR, Jhanwar, J. C., Raina, A. K., Ramulu, M. and Jethwa J. L.
(1998). Final report on Development of Rock Mass Classification for Computer
Aided Tunnel Blast Design, Grant-in-Aid Project funded by Ministry of Water
Resources, Govt. of India, 136 pp.
du Pont, E.I., (1977). Blasters hand book, 175th Anniversary edition, E.I. du Pont de
Nemours, Inc., Wilmington, Delaware. Pp.526-541.
Duvall, W. I. and Atchion, T. C. (1957). Rock breakage by explosives, USBM, RI 5356,
Explosives Reference Database on CD-Rom, International Society of Explosives
Engineers, Ohio, USA, 1997.
Gupta, R. N., Singh, R. B., Adhikari, G. R. and Singh, B. (1988). Controlled Blasting for
Underground Excavation, International Symposium on Underground Engineering, 1417 Apr., New Delhi, India, pp. 449-460.
Holmberg, R., and Persson, P. A. (1978). The Swedish approach to contour blasting, Proc. of
Annual Conference on Explosives and Blasting Research, Explosives Reference
Database on CD-Rom, International Society of Explosives Engineers, Ohio, USA, 1997.

Special Tunnel Blasting Techniques for Railway Projects

501

Itasca Consulting Group Inc. (2202). Partcile Flow Code in 2 Diemnsions Theory &
Background, Mnneapolis, USA. p. 1.1-1.28.
Jensen, R. P. and Preece, D. S. (1999). Modelling explosive/rock interaction during presplitting using ALE computational method, Proc. 6th. International Symposium for
Rock Fragmentation by Blasting, The South African Inst. of Mining and Metall.,
Johannesburg, Aug. 8-12, pp. 199-202.
Johansen, J. (1998). Modern trends in tunnelling and blast design, IDL Industries Ltd.,
Hyderabad, India, pp. 34-41.
Langefors, U. and Kihlstrom, B. (1973). The Modern Technique of Rock Blasting, John Willey &
Sons, pp. 188-257, 299-301.
Leu S. S., Lin S. -F., Chen C. K. And Wang S. -W. (1998). Analysis of powder factors for
tunnel blasting using neural networks, The Int. Journal for Blasting and
fragmentation, Balkema A. A. , Netherlands, Vol. 2., No. 4, pp. 433-448.
Liu, L. and Katsabanis, P. D. (1996). Numerical modelling of the effects of air-decking/
decoupling in production and controlled blasting, Proc. 5th International Symposium
on Rock Fragmentation by Blasting, FRAGBLAST-5, Montreal, Quebec, 25-29.,pp. 319330.
Livingston, C. W. (1956). Fundamentals of rock failure, Quarterly of the Colorado School of
Mines, Vol. 51, No. 3, Jul..
Lopez Jimeno, C., Lopez Jimeno, E., Carcedo, F. J. A. and De Ramiro, Y. V. (1995). Drilling
and Blasting of Rocks, Balkema A. A., Rotterdam, pp. 200-204 and 259-260.
McKenzie, C. J. (1994). Blasting for Engineers, Blastronics Pty. Ltd., Brisbane, Australia.
Olofsson, S., O. (1988). Applied Explosives Technology for Construction and Mining,
Applex, Arla, Sweden, 303 pp.
Ouchterlony, F., Nyberg , Sjoberg, C., Johansson, S-E. (1991). Damage zone assessment by
vibration measurements, Aspo hard rock laboratory, Progress Report, , No. 3, pp. 2591.
Pokrovsky, N. M. (1980). Driving Horizontal Workings and Tunnels, Mir Publishers, Moscow,
pp. 38-41.
Pusch, R. and Stanfors, R. (1992). The zone of disturbance around blasted tunnels at depth,
International Journal Rock Mech. Mining Sci. & Geomech. Abstr., Vol. 29, No. 5, pp.
447-456.
Pusch, R., Hokmark, H. and Borgesson, L. (1993). Characterisation of structure and stress
state of nearfield rock with respect to the influence of blasting, Proc. 4th International
Symp. on Rock Fragmentation by Blasting, FRAGBLAST-4, Vienna, Austria, pp.175181.
Ramulu, M., (2009), Rock mass damage due to repeated blast vibrations in underground
excavations, IISc Dept.of CE PhD Thesis- G23635, 624.15132 P09, IISc Press.
Ramulu, M., Chakraborty A. K. and Sitharam T.G., (2009), Damage assessment of basaltic
rock mass due to repeated blasting in a railway tunnelling project a case study,
Tunnelling and Underground Space Technology, Vol.24, pp. 208221.
Ramulu, M., Sitharam, T.G., (2011), Blast induced rock mass damage In underground
excavations -Applications to civil engineering projects, LAMBERT Academic
Publishing GmbH& Co. KG, 66123 Saarbrcken, Germany, ISBN (978-3-8433-93188)

502

Infrastructure Design, Signalling and Security in Railway

Rusilo, L. C., Sansone, E. C., Hennies, W. T. and Ayres Da Silva, L. A.(1994). Design and
optimization of tunnel blasting operations, Proc. 3rd International Symposium on Mine
Planning and Equipment Selection, Istanbul, Turkey, 18-20 Oct., pp. 651-655.
Singh, S. P. (1995). Mechanism of cut blasting, Trans. Inst. Mining and Metall., Section A,
Mining Industry, Vol. 104, Sept-Dec.,The Inst. of Mining and Metall., U.K., pp. A134A138
Wilson, W. H. (1987). An experimental and theoretical analysis of stress wave and gas
pressure effects in bench blasting, Ph.D. Thesis, University of Maryland.
Yu, T. R. and Vongpaisal. S. (1996). New blast damage criteria for underground blasting,
CIM Bulletin, No. 998, Vol. 89, pp. 139-145.

20
Susceptibility of the GSM-R Transmissions to
the Railway Electromagnetic Environment
Stephen Dudoyer1, Virginie Deniau1,
Nedim Ben Slimen2 and Ricardo Adriano3
1Univ

Lille Nord de France, IFSTTAR,

2Assystem,
3Federal University of Minas Gerais,
1,2France
3Brazil

1. Introduction
The Electromagnetic radiations are non-ionising radiations; they cannot involve the
ionisation of atoms or molecules. Nevertheless, they can cause various adverse effects. From
a biological point of view, they provoke heating due to the occurring of induced current in
the body. But, this issue will not be considered in this chapter. From a technological point of
view, they can cause malfunctions, permanent damages for electronic devices or
telecommunication systems. In this chapter we will focus on their impact on a
telecommunication system dedicated to the European railway and potential consequences
on the management of the railway network.
Today, the European railway network is undergoing significant changes, which aim at
deploying a unique management system in Europe which will replace local systems. This
unique management system called ERTMS (European Railway Traffic Management
System), involves the deployment of a telecommunication network dedicated to railway
management, the GSM-Railway network, in order to harmonize in Europe the system of
communication between the trains and the infrastructures. This harmonization is intended
to clear the technological boundaries between railway networks of European countries and
thus to remove border for trains. GSM-R is a key element in the management system as it
provides the vocal exchanges, but also the transmission of signalling data. However, as all
the telecommunication systems, the GSM-R can be vulnerable to the Electromagnetic (EM)
interferences and the railway environment is particularly rich in EM interferences. This
chapter will then focus on this issue.
After a general background about the electromagnetic interferences and the management
of the European railway network, we present the standards and approaches applied in the
railway domain to control the Electromagnetic compatibility (EMC). The GSM-R and the
EM disturbances which can affect it are then detailed. Finally, a methodology for testing
the vulnerability of the GSM-R transmissions and the test results are presented and
analysed.

504

Infrastructure Design, Signalling and Security in Railway

2. General notions
Understanding the electromagnetic emission from the railway environment is important to
prevent and control electromagnetic interference. Currently, trains are more and more often
equipped with potentially sensitive systems from an electromagnetic compatibility point of
view. Consequently, railway systems have to be sufficiently robust to guarantee the safety of
the railway transportation. In this section the fundamental concepts related to EMC are
briefly introduced. For this purpose, the following definitions given in (IEC 60050, 1990),
International Electrotechnical Vocabulary (IEV), chapter 161, apply:
Electromagnetic environment: The totality of electromagnetic phenomena existing at a
given location.
Immunity (to a disturbance): The ability of a device, equipment or system to perform
without degradation in the presence of electromagnetic disturbance.
(Electromagnetic) Susceptibility: The inability of a device, equipment or system to perform
without degradation in the presence of an electromagnetic disturbance.
Immunity level: The maximum level of a given electromagnetic disturbance incident on a
particular device, equipment or system for which it remains capable of operating at a
required degree of performance.
2.1 Electromagnetic disturbances and electromagnetic compatibility
A system is electromagnetically compatible with its environment if it is able to operate
satisfactorily in its electromagnetic environment without introducing intolerable
electromagnetic disturbances to anything in that environment. Typically, an EMC problem
can be decomposed into three main parts. A source that intentionally or unintentionally
produce the emission, a coupling path that transfers the emission energy to a receptor and
the receptor that can be susceptible if the received energy exceeds its immunity level.
During their operation, electrical or electronic systems generally produce radiated or
conducted signals, which can lead to equipment malfunctions neighbours. The
electromagnetic disturbance term then assigns these signals that can be voltages, currents or
electromagnetic fields. In general, the higher the frequency of the electromagnetic disturbance
is, the more efficient the coupling path. It is important to keep in mind that the source and
receiver can be classified as intend or unintended. For instance, the GSM-R system
intentionally transmits and receives electromagnetic fields in some frequencies between 876
MHz and 925 MHz. Consequently, the equipment near the GSM-R antennas must be designed
to operate properly under the influence of the GSM-R signals. On the other hand, the GSM-R
antenna will collect all the signals generated by the railway environment at these frequencies.
Depending on the coverage of the GSM-R system and the levels of the electromagnetic
disturbances, the communication between rolling stocks can be affected or even interrupted.
2.2 Electromagnetic coupling
Electromagnetic disturbances produced by the emitter can be coupled to the receptor by either
radiated or conductive paths. The coupling mechanism can be classified into Conductive
coupling, Magnetic coupling, Electric field coupling and Electromagnetic field coupling.

Susceptibility of the GSM-R Transmissions to the Railway Electromagnetic Environment

505

Conductive coupling can be viewed as a common impedance coupling. Conductive coupling

occurs when the source and the receptor circuits are physically connected with a conductor and
share a common-impedance path. Magnetic coupling occurs when two objects exchange energy
through their varying or oscillating magnetic fields. It can be represented by a mutual
inductance between the source and the receptor. Electric field coupling (or capacitive coupling)
is caused by a voltage difference between conductors. It dominates in high-impedance circuits
and can be represented by mutual capacitance. Finally, Electromagnetic coupling is a
combination of both electric and magnetic fields. It is the most common coupling mechanism
observed. It occurs when source and receptor are separated by a large distance, (typically more
than a wavelength). In this case, source and receptor act as radio antennas. The electromagnetic
field radiated by the source propagates across coupling path and is picked up by the receptor.
2.3 Electromagnetic radiation, emission and immunity
Any device which drives an electric current is likely to radiate an electromagnetic field. This
electromagnetic field may act in two ways on electronic and telecommunication equipment.
It can either be picked up by cables of other systems (or lines of electronic circuits) on which
unwanted electrical signals appear and can cause malfunctions or it can also interfere with
the telecommunication signals when they reach the receivers causing losses of information.
In the first situation, the interference occurs because the dimensions of the conductors in the
electronic equipment are comparable with the wavelength of the electromagnetic
disturbance. In this case conducting elements can act as receiving antennas.
There are numerous sources of unintentional electromagnetic radiation such as lighting,
relays, electric motors and digital systems. The number of emitters is increasing rapidly.
Some of these emitters employ very high power levels; others such as digital systems are
using faster digital electronics and are becoming more efficient radiators of unintentional
electromagnetic energy. Consequently, EMC has become a particularly important topic. In
order to ensure that EMC will be not a problem, many EMC standards are used. These are
often supported by EMC legislation to ensure that existing equipment conforms to the
required standards. EMC standards specify a limited number of essential emission and
immunity tests, as well as minimum test levels. The aim is to ensure adequate compatibility.
Section 4 summarizes the major standards concerning the electromagnetic emissions in
railway environment while section 5 addresses the immunity problems.

3. Management and signalling of european railway network

The management of a railway network is generally performed thanks to several key
components, notably a ground-train radio which allows the vocal exchanges, a lateral
signalling system including lights and traffic signs and a localization system of the trains
which can also control the speed of the trains. However, these different components are not
necessary ensured by similar technologies in all the European countries. This situation inhibits
the carrying out of a real European railway network which would allow the different railway
operators to offer their services anywhere in Europe. Today, trains crossing borders are
necessarily equipped with various national systems and at the borders the trains have to
change their system to be in accordance with the cross border country. This increases the costs
of equipment and maintenance of the trains, the operating costs and extends the travel time.

506

Infrastructure Design, Signalling and Security in Railway

The ERTMS (European Railway Traffic Management System) standard was then thought out
in order to remove these obstacles and to optimize the use of the European railway network
and to improve the reactivity, adaptability and affordability of the European railway. ERTMS
would allow the interoperability of trains on the European territory (Jaranien, 2005). This
standard is generally presented as composed of two main components, which are the
European Train Control System called ETCS, a standard for in-cab train control, and the GSMR (Global System for Mobile communications-Railway) system, an international wireless
communications standard dedicated to railway applications.
ETCS can allow automatically controlling the speed of the train if necessary. ETCS is
composed of trackside and on-board modules. The trackside module transmits information
to the train which enables the on-board computer, called Eurocab, to calculate the maximum
permitted speed.
Nevertheless, the implementation of ETCS requires major adjustments on the European
network, such as the installing of standard beacons called Eurobalise and GSM-R
deployment. Indeed, the most complete version of ETCS relies heavily on the use of GSM-R.
Three levels of deployment are then scheduled in order to progressively equip the railway
network.
In the first level ETCS level 1, the trackside equipment transmits information to the train
in order that it calculates its maximum authorized speed. The information given by the
trackside signalling (lights and traffic signs allowing the driver to know the permitted
speed), can be forwarded to the train by the Eurobalise beacons located along the track.
The second level ETCS level 2 includes a partial deployment of the GSM-R and
information can then be forwarded to the train by the GSM-R. The position of trains is still
detected by trackside systems but the trackside signalling is no longer necessary since all
information is transmitted directly to the train.
Finally, the third level aims to optimise railway lines capacity and further reduce the
trackside equipment. ETCS Level 3 is a major revision of the classic management system
which is based on fixed intervals between the trains. In ETCS level 3, the route is thus no
longer managed in fixed track sections but the intervals depend on the braking distances.
The trains find their position themselves by means of positioning beacons or sensors and
transmit the positioning signal to the radio block centre.
Then, this highlight the GSM-R is an essential and safety component in the management of
the railway European network and it is necessary to warrant its immunity facing the railway
electromagnetic environment (Midya, 2008).

4. Control of the radiated EM emissions in railway

The railway environment is a severe electromagnetic environment where railway
equipment performs safety critical functions. Additionally, the railway runs very close to
commercial and residential areas. For these reasons, it is important to provide guidance on
EMC issues by applying specific EMC standards to railway applications. These standards
fall generally into two categories: governmental standards, such as the EN50121:2006 part 15 (EN50121, 2006) published by European Committee for Electrotechnical Standardization

Susceptibility of the GSM-R Transmissions to the Railway Electromagnetic Environment

507

(CENELEC), describing EMC for railway applications, or railway industry standards such
as Railtrack Group Standard GM/RC 1031 (GMRC1500, 1994), which provide guidance on
EMC between railway infrastructure and trains.
A complete list of standards related to railway applications is presented and discussed in
(Konefal et al., 2002), some of these standards are presented in the table 1 for convenience.
EN 50121 parts 1-5
CISPR/C/116/CDV
GM/RC 1500
EN 55011 (CISPR 11)

UMTA-MA-06-0153-85-6

UMTA-MA-06-0153-85-8

UMTA-MA-06-0153-85-11

Railway Applications Electromagnetic Compatibility

Interference from overhead power lines, high voltage
equipment and electric traction systems.
Code of Practice for EMC between the Railway and its
Neighbourhood
ISM radio-frequency equipment Radio disturbance
characteristics (CISPR 11) Limits and methods of
measurement
Conductive Interference in Rapid Transit Signalling
Systems, Suggested Test Procedures for Conducted
Emission Test Vehicle
Inductive Interference in Rapid Transit Signalling
Systems Suggested Test Procedures for Inductive
Emissions of Vehicular Electrical Power Subsystem,
Rail-to-Rail Voltage from 20 Hz to 20 kHz
Radiated Interference in Rapid Transit Signalling
Systems Suggested Test Procedures for Broadband
Emissions of
Rapid Transit Vehicles -140 kHz to 400 MHz

Table 1. List of EMC standards applied to railway domain

The standards applied in Europe in order to characterize the EM environment in the railway
context are the EN 50121 while in USA, the electromagnetic emission limits are imposed by
the Urban Mass Transportation Administration of the U.S. Department of Transport (UMTA
standards). The EN 50121 standards notably aim to control the emission levels from the
railway infrastructures to the outside world while UMTA standards aim to avoid
interferences with the wayside equipment (transit signalling systems). In both cases, no
method is proposed to characterize the EM environment on board trains, i.e. above, inside,
and under the trains, especially where new and future sensitive systems can be located.
The standards EN 50121 indicate the methodologies and the limits to apply, relating to the EM
emissions and immunity of railway equipment, vehicles and infrastructures. The emissions of
the whole railway system, including vehicles and infrastructure are dealt with the section 2 of
the EN 50121. The objective of the tests specified in this standard is to verify that the EM
emissions produced by the railway systems do not disturb the neighbouring equipment and
systems. The methodology then consists in measuring the radiated EM emissions at a distance
of 10 m from the middle of the tracks and at about 1.5 m from the ground and to compare
them with the maximum allowed levels. The limits are specified for the frequencies included
between 9 kHz and 1 GHz. The measurement protocol is specified for four frequency bands
which are 9 kHz-150 kHz, 150 kHz - 30 MHz, 30 MHz - 300 MHz and 300 MHz-1 GHz.

508

Infrastructure Design, Signalling and Security in Railway

Fig. 1. Emission limits according EN 50121-2. A=25 kV ac; B = 15 kV ac, 3 kV dc or 1.5 kV dc;
C = 750 V dc and bw1 = 200 Hz; bw2 = 9 kHz; bw3 = 120 kHz
The basis for the level derived in EN50121 has been the actual levels measured at a number
of railways sites around Europe. While the scope of this standard covers the frequency
range DC to 400 GHz, in practice limits are not set above 1 GHz. In general words, this
standard does not consider the wider impact on the radio spectrum, it mostly sets the actual
stage of the current levels around the railway structure.
Additionally, when comparing the EN 50121 standards to common EMC measurement
standards, it is noted that there are several crucial differences in the methods of
measurement. In many EMC tests, emission limits are specified in terms of a measurement
with a quasi-peak detector (QP). However, the use of a quasi-peak detector in EN 50121
standards is not possible due to the highly dynamic environment. For EN 50121, a peak
detector is prescribed.

5. EM immunity of the railway equipment and systems

The railway immunity levels for radiated interference are comparable with those specified
by the industrial generic standard; 10V/m for trackside equipment. For rail borne
equipment mounted externally to the rolling stock or within the driver's cab or passenger
compartment 20V/m is specified. This level is comparable to the 24V/m specified by the
Automotive Directive 95/54/EC. However, tests are different from automotive industry
where full vehicle tests are performed in anechoic chamber to guarantee that all the systems
can work together in the presence of electromagnetic disturbances. In the railway
environment full vehicle tests are often not feasible. Due to the dimension and the speed of

Susceptibility of the GSM-R Transmissions to the Railway Electromagnetic Environment

509

the trains, they cannot be tested in nominal operating condition inside an anechoic chamber.
In this context, component and sub-system testing becomes very important to prevent EMC
problems.
Although the immunity levels presented in EN 50121 provide an overall view of the
railway electromagnetic environment, they are not suitable to perform immunity tests on
the on board components, especially in the case of modern communication systems such
as GSM-R. Additionally, high speed trains as other rolling stock apparatus are supplied
by a catenary. In this particular context the train can be considered as a fixed equipment
supplied by an electrical network. Consequently, EMC standard EN 61000-4-4 should
apply. This standard aims at defining a common and reproducible basis for the evaluation
of the performances of electrical and electronic equipment facing electrical fast transients
on its different inputs. It is clearly adapted to test the immunity of the electronics and we
would have referred to it if our objective had been to test the electronics of a GSM-R
mobile.
However, as it will be shown in section 7, the test signals defined in this standard EN 610004-4 differ significantly from the typical transient disturbances received by GSM-R antennas.
Additionally, as presented in (Knobloch, 2002), modern communication systems use
digitally coded radio signals that operate with a much smaller signal-to-noise ratio (SNR) in
comparison to analogical ones. The explanation lies in the fact that digital data streams are
discontinuous and include redundancy to correct errors. (Knobloch, 2002) also points out
that peak detector or QP detectors are not suitable to convert electromagnetic disturbance in
some measure of deterioration in communication. Consequently, it is important to envisage
component immunity testing solution which permits us to evaluate the telecommunication
system against electromagnetic conditions representative of the railway electromagnetic
environment.

6. The GSM-R communication system

The GSM-R (Global System for Mobile communication-Railways) is a wireless digital
communication system, based on the public European GSM Phase 2+. This system is used to
ensure the vocal exchanges and to transmit railway signalling information between trains
and railway control centres. The GMS-R is currently deployed in numerous European
countries in order to ensure the interoperability of trains throughout the whole European
railroad network. The GSM-R system includes two parts:
-

dedicated base stations, called Base Transceiver Station (BTS) installed along the
railway tracks, and connected to railroad control centres, through a wired network.
GSM-R antennas installed on the roof of train locomotives and connected through
shielded cables to GSM-R mobile on board the train, as shown in Fig. 2.

The base stations are generally spaced from about 3 or 4 km and the GSM-R signal level
has to be superior to -92 dBm, 95 % of the time and the space (UIC, 2003). In practise, the
power of the received signal on board train varies between -20 dBm at proximity of the
base station and -90 dBm at middle distance between two successive base stations
(Hammi, 2009).

510

Infrastructure Design, Signalling and Security in Railway

Catenary
Catnaire

Antenne
GSM-R
antenna
GSM-R

Pantograph
Pantographe

Shielded
cable
Cble blind

Screen
Afficheur
Shielded
cable
Cble blind

Mobile
GSM-R

Fig. 2. Illustration of the on-board GSM-R system

The GSM-R is used in order to maintain a continuous voice and data link between the train
and the control centres, and different trains located in the same neighbourhood. In the final
version of ERTMS, the train sends its position through the uplink (from the train to the base
stations) and receives signalling traffic information (speed limit, pass-through
authorization) through the downlink (from base stations to the train).
In Europe, the GSM-R uplink occupies the frequencies between 876 MHz and 880 MHz and
the downlink between 921 MHz and 925 MHz. These frequency bands are separated by a
frequency bandwidth dedicated to public and extended GSM.
Each frequency band used by the GSM-R is divided into 19 frequency channels of 200 kHz
bandwidth. Only 19 channels are used by the system, in order to reduce the risk of
interference with the public and extended GSM, using adjacent frequency bands.
The GSM-R is a TDMA (Time Division Multiple Access) system. The information is
transmitted through each channel, according to 4.516 ms periodical TDMA frames, divided
into 8 time intervals called Time Slots of 577 s. During this time slot, the transmitted
information is called burst, including 156 bytes, transmitted during 3.7 s.
The data transmitted through the GSM-R system are very sensitive and the good operation
of the GSM-R system is crucial to the capability and security of the European railway
network. Thus, this system has been developed in order to be robust, with the capability of
standing to some electromagnetic interference (EMI).
In fact, the GSM-R is included in the Euroradio protocol, which is specific to the railway and
manages with altered received information, notably by resending some altered bursts until
good reception. The use of such robust communication system is essentially motivated by
the severity of the railway electromagnetic environment and the safety requirements.
In the next section we will focus on the different EMI that the GSM-R transmission signals
can meet in the railway electromagnetic environment.

Susceptibility of the GSM-R Transmissions to the Railway Electromagnetic Environment

511

7. The EM noise sources affecting the GSM-R signals

On board a moving train and in normal operating conditions, the GSM-R system can meet
different transient or permanent EMIs, with various amplitudes, time durations, repetition
rates, frequency bands Moreover, the GSM-R antennas are generally multi-band antennas
and are not really selective around the frequency bands dedicated to the railway. They can
thus receive GSM-R in-band and out-band EMIs (Mansson, 2008).
(Mansson, 2008) showed that out-band EMIs observed in railway environment could be a
serious threat to the low noise amplifier (LNA) installed at the GSM-R receiver input. The
susceptibility of this component can be reached with such EMIs and permanent damages on
the system can happen.
In this effort, we will mainly focus on the in-band EMIs acting basically on the GSM-R
useful signal. A description of the sources and different characteristics of these disturbances
will be presented in the next part. Their impact on the GSM-R communication will also be
described.
7.1 Description of the EM noise sources
From an EMC point of view, the railway infrastructure is a harsh complex EM
environment where cohabitation between high power and digital communication systems
with numerous eventual coupling mechanisms could be hazardous for the useful signal of
the GSM-R. In this part, we will show that, on board moving trains, the GSM-R system is
mainly affected by transient EM disturbances occurring between the catenary and the
pantograph, in addition to the permanent disturbances coming from the public GSM base
stations.
Fig. 3 synthesizes the different EMIs that could impact the GSM-R useful signals and
describes the mechanism responsible of the generation of the transient disturbances on a
GSM-R antenna fixed on the roof of a train. In fact, when a bad sliding contact occurs
between the catenary and pantograph, a transient event could appear between these
elements. This phenomenon can be observed with naked eye as a spark appearing between
the catenary and the pantograph. Thus, a transient current circulates through these
elements, which behave as transmission antennas, emitting EMI that the GSM-R antenna
can receive.

Fig. 3. EMIs received by GSM-R antenna and acting on the GSM-R useful signals

512

Infrastructure Design, Signalling and Security in Railway

The generated wideband signal can easily cover the frequency bandwidth of the GSM-R
system. However, from the train side, the GSM-R transmissions are mainly vulnerable to the
EMIs covering the down-link frequency band. Indeed, on board trains, the signals emitted
by the GSM-R antenna (up-link) have power levels highly superior to the power levels of
the useful signals received by the antennas (down-link).
In addition, the GSM-R system uses frequency bands quietly close to the public GSM
bandwidths, and when public GSM base stations use the adjacent frequency bands of the
GSM-R, the risk for the GSM-R communications increases. This phenomenon is mainly
observed when the train is operating in the vicinity of a city, where public GSM base
stations and user numbers highly increase.
7.1.1 Transient EMI acting on the GSM-R useful signal
Measurement campaigns carried out on board moving trains (Hammi, 2009) showed that
the transient events, triggered when a bad sliding contact occurs between the catenary and
the pantograph, are the most penalizing events for the GSM-R useful signals. Fig. 4 (a)
shows an example of a transient signal recorded by an oscilloscope connected to a GSM-R
antenna. The analysis of a large number of transients collected on board trains showed that
their time duration is generally inferior to 20 ns (Ben Slimen, 2009), with a typical value of
5 ns and a typical value of the rise time is 0.4 ns. Fig. 4 (b) shows the maximal EM amplitude
generated by 284 successive transient events on the downlink frequency band of the GSM-R
in normal operation conditions. Each point in this graph links the rank of the recorded
transient and its maximal amplitude within the 921 925 MHz frequency band,
corresponding to the down-link frequency band.
These results show that these transients generate high level EMIs that can reach - 40 dBm.
Moreover, statistical analysis (Ben Slimen, 2009) of these transient disturbances highlighted
that they can be very frequent, especially on high speed lines.

Fig. 4. (a) Example of transient disturbance in time domain and (b) maximal EM power
generated by 284 successive transients in downlink GSM-R band

513

Susceptibility of the GSM-R Transmissions to the Railway Electromagnetic Environment

7.1.2 Permanent EMI acting on GSM-R antenna

Measurement campaigns have been carried out on board moving train, on railway lines
equipped with the GSM-R system, in order to show the relation between the public GSM
signal and the permanent interferences that can be observed in the closest downlink GSM-R
frequency channel to the public GSM band (Hammi, 2009).
In Fig. 5 the top curve gives the variation of the EM power signal obtained through the last
GSM-R channel along 20 km. The second one is the result obtained into an intermediary
channel, supposed to be free. The last curve is obtained through the first public GSM
frequency channel.

924.8 MHz

925 MHz

925.2 MHz

Last GSM-R
channel

Unused
channel

First public
GSM channel
Frequency

Measurements over 20 km
Fig. 5. EM measurement in different frequency channels used by the GSM-R and public
GSM along 20 km railway line equipped with GSM-R system

time

Fig. 5 shows clearly that the variation of the measured amplitudes into the unused
frequency channel and the last GSM-R frequency channel are partially similar to the EM
noise variation observed through the first public GSM channel. This result proves that the
public GSM signal sent through the first channel can disturb the GSM-R bandwidth, and
confirms that the public GSM signal can be considered as a serious threat to the GSM-R
useful signal. Indeed, as can be seen on Fig. 5, a signal of -44 dBm on the first public GSM
channel induces an EMI of -75 dBm on the last GSM-R frequency channel. Knowing that the
GSM-R signal level can decrease to a minimum value of -92 dBm (UIC, 2003), this
interference level can be sufficient to severely disturb a GSM-R transmission on this channel.
7.2 Impacts of the EM noises
According to the type of the disturbance affecting the GSM-R system, the effect of the
received EMI can vary. In fact, the transient events taking place between the catenary and
the pantograph are wideband disturbances that can affect all the frequency channels used
by the GSM-R system. It is obvious that the useful signal sent through the GSM-R system at
the occurrence of the transient disturbance will be somehow disturbed. In fact, compared to
the 3.7 s time duration of one GSM-R bit, the transient duration of some ns is quietly small.
So we need to investigate the real impact of such short time duration events on the

514

Infrastructure Design, Signalling and Security in Railway

interpretation of a disturbed GSM-R bit. This work will be presented in the next part of this
effort.
When it comes to permanent EM disturbances coming from the public GSM base stations,
the impact of these disturbances can be mainly observed when the GSM-R system is using
the last frequency channel and the public GSM system is using the first frequency channel.
So, even if the last frequency band of the GSM-R system is affected by the public GSM
signal, the useful GSM-R signal is not necessary affected. In fact, when such scenario occurs,
the GSM-R system could use different advanced protocols, mainly Euroradio protocol that
can allow the system to stand to such disturbances. However, when the whole GSM-R
channels are used, the system could be really affected by these disturbances.
However, among the current EMC standards, none methodology of immunity testing is
adapted to the GSM-R system and to the characteristics of the EMIs that it can meet in the
railway environment. The next section is then focused on a specific immunity approach to
this system in order to assess the real risks for the GSM-R transmissions.

8. Immunity testing of the GSM-R signals in laboratory

8.1 Methodology
To evaluate the impact of the interferences on the quality of the GSM-R transmissions, a
GSM-R mobile was employed. This mobile can be connected to one network either
simulated by a specific piece of equipment or coming from a base station installed at
proximity. In our case, we use a network simulator allowing controlling the network
parameters such as GSM-R channel used for the communication, power of signals and
performing BER measurements. The principle of this methodology of test is to first
connect the mobile to the simulated network and to establish a communication with the
simulator. Then, the EM disturbance signals (permanent noise + transient signals) were
generated and their impact on the quality of the GSM-R communication was evaluated
thanks to criteria introduced in the following paragraph. Fig. 6 gives an illustration of this
test methodology.

Base
station

Establishment of a
communication
GSM-R
mobile

Communication channel

EM
disturbance
signals
Fig. 6. Principle of the employed methodology of test

or
Network
simulator

Susceptibility of the GSM-R Transmissions to the Railway Electromagnetic Environment

515

8.2 Definition of the immunity criteria

Two immunity criteria can be employed: Rxqual and Bit Error Rate (BER). The BER
corresponds to the percentage of erroneous bits in a given transmission length (Breed, 2003):
BER=

Number of erroneous bits

100%
Total number of bits

(1)

The Rxqual is a quality parameter measured by the GSM-R mobile and it defines the
quality of the received signal on a level from 0 to 7 (the lower the Rxqual is, the higher is
the quality). The Rxqual is linked to the BER calculated on the learning sequences
included in the GSM-R frames. The specifications defined in standards such as (ITU-T,
2003) require that the Rxqual is inferior or equal to 3 in order to ensure a good quality of
communication. A relationship exists between BER and Rxqual: each value of Rxqual is
associated with a range of values of BER (Lagrange et al., 1996) as can be seen in the
following table.

Table 2. Correspondence table between BER and Rxqual

8.3 Employed test bench
The test bench which was employed to perform immunity tests in laboratory is presented in
Fig. 7. This test bench aims at reproducing the EM conditions that the GSM-R system is
susceptible to meet on board trains. It is composed of three main parts:
-

the communication system which consists in a GSM-R mobile connected to a network

simulator called CMU 200 from Rohde & Schwarz.
the EM noise generation which permits us, thanks to the two signal generators, to
simulate the presence of permanent and EM transient noises simultaneously or
separately.
the area "analysis in frequency domain" is used to control the power of the exchanged
signals at the input of the GSM- R mobile.

516

Infrastructure Design, Signalling and Security in Railway

Establishment of a
CMU 200
communication between the
924.8 MHz
mobile and a network simulator
50 load

Loop back

GSM-R
Mobile

combiner

Combiner

-40dB
Directional combiner

Spectrum analyzer
Calibration of the
power levels

Amplifier

Analysis in frequency
domain

SMIQ
Public GSM
925.2 MHz

Signal generator

Noise generation
Fig. 7. Employed immunity test bench
8.4 Employed test signals
The GSM-R communication is established using the last useful GSM-R channel (924.8 MHz)
from the down-link frequency band. The power level of the signals generated by the
network simulator is adjusted so as to obtain a level of -70 dBm at the input of the GSM-R
mobile. That corresponds to realistic operational conditions on board trains.
As for the public GSM signals, the communication channel employed is the first one
(925.2 MHz) which is adjacent to the last useful GSM-R channel (924.8 MHz) used for the
tests. The level of these signals is variable in order to study the effect produced on the
quality of the GSM-R communication depending on the power level of the interference
signals.
The signal used to simulate the presence of transient signals is a double exponential
(duration=5ns, rise time=0.4 ns) modulated by a sinus at the frequency 923 MHz which
corresponds to the center frequency of the GSM-R down-link frequency band. The
corresponding mathematical expression is the following one:
S(t) A (e

1
t
D

- e

1
t
RT ) u t sin Ft

(2)

where D=5 ns, RT=0.4 ns, F=923 MHz and u is the unit step function.
The values employed for rise time (RT) and duration (D) result from a statistical analysis we
performed on transients collected on board trains during one measurement campaign (Ben
Slimen, 2009). Fig. 8 gives the time representation of this test signal.

Susceptibility of the GSM-R Transmissions to the Railway Electromagnetic Environment

517

Amplitude (V)

1.0 0.5 0-0.5 -1.0 0

10
20
Time (ns)
Temps
(ns)

Fig. 8. Used transient test signal

Contrary to duration and rise time, it is not possible to determine a typical value for the
recurrence of transients since it is very variable and depends on several operating conditions
(speed of the train, one or two pantographs, state and age of the catenary and
pantograph). During the measurement campaign performed on board trains, we generally
noticed that very few transients appeared at low speed whereas they could occur with a
time interval of about 5 s at about 200 km/h. As a consequence, the recurrence of transients
is considered as a variable parameter for the immunity tests: for each measurement, the
transient disturbances are generated with a constant time interval (TI) between two
successive transients as illustrated in Fig. 9 and the immunity results are given in relation to
the value of the time interval.

Time interval

Time

Fig. 9. Illustration of the time interval (TI) between the successive transient disturbances

9. Results of EM immunity tests on GSM-R transmissions

9.1 Configurations of test
Three different configurations, as shown on Fig. 10, are considered when studying the effect
produced by the interference signals on the quality of the GSM-R transmissions:
-

presence of public GSM signals only,

presence of transient signals only,
presence of public GSM and transient signals simultaneously.

The aim is, in a first step, to observe and quantify the impact of each type of interference
separately and in different conditions of test (different power levels for permanent
interferences, different time intervals for transient interferences). In a second step, the
combined effect of the two types of disturbances is assessed.

518

Infrastructure Design, Signalling and Security in Railway

Fig. 10. The different configurations used for immunity testing

9.2 Impact of public GSM signals
The configuration of test corresponds to configuration 1 from Fig. 10. As previously
explained in paragraph 8.4, the GSM-R transmissions takes place on the channel 924.8 MHz
with a power level of -70 dBm and the public GSM ones on the channel 925.2 MHz with a
variable level from -72 to -12 dBm. Fig. 11 presents the results of the BER measurements as a
function of the power level of public GSM signals. The vertical axis gives the value of the
BER in % and the horizontal axis represents the power level of the public GSM band signal
(on the channel 925.2 MHz) which induces the permanent noise on the GSM-R channel.

Fig. 11. Results of the BER measurement in the presence of public GSM signals

Susceptibility of the GSM-R Transmissions to the Railway Electromagnetic Environment

519

In Fig. 11, the public GSM signal has to exceed -20 dBm to start affecting the quality of the
GSM-R communication (the BER starts to increase). That means that the interference signals
on the 400 kHz adjacent channel have to be 50 dB higher than the wanted signal on the
GSM-R communication channel to deteriorate the quality of the transmission, which well
complies with the specifications (ETSI, 2000). Indeed, the standard EN 300 910 stipulates
that a mobile has to tolerate a 400 kHz adjacent interference level of -50 dB.
Then, we also notice that a level of -13 dBm is necessary to induce a Rxqual equal to 1. It will
be highlighted later that this level is different when transient interferences are
simultaneously present.
9.3 Impact of transient EM interferences produced by catenary-pantograph sliding
contact
These tests and measurements are related to configuration 2 in Fig. 10. The GSM-R signal
can be set to the desired value and the interference level produced by transient signals on
the GSM-R frequency band can be controlled by using a variable attenuator in order to
obtain the desired signal-to-noise ratio (SNR) at the mobile input. As for the measurements,
during a test sequence we vary the time interval between two consecutive transients and
one measure of BER is made for each chosen time interval. Then, the same test sequence is
applied with one other signal-to-noise ratio. Three different SNR at the mobile input are
tested: +5, 0 and -5 dB. The results are presented in Fig. 12 where the vertical axis of the
graph corresponds to the value of the BER in % and the horizontal axis gives the time
interval between two successive transients in s.
2.0

BER (%)

1.6

SNR = - 5 dB
SNR = 0 dB
SNR = + 5 dB

1.2
0.8
0.4
0.0
0
200 400 600 800 1000 1200 1400 1600
Time interval between two successive transients (s)

Fig. 12. Results of the BER measurement in the presence of transients for different values of
the signal-to-noise ratio (SNR)
The first thing to notice is that the BER evolves with the time interval between transients: it
increases with the recurrence of transients. Indeed, the BER is higher for small values of time
interval whatever the value of the SNR. In (Adriano, 2008), a relation was proposed to
estimate the BER from the TI between the transient interferences, under the assumption that
the SNR is equal to 0 dB.

520

Infrastructure Design, Signalling and Security in Railway

The second thing to observe is that the SNR has an impact on the BER. Indeed, if taking the
curve obtained for SNR = 0 dB (at the mobile input) as a reference, we see that, when the
transient level is 5 dB higher than the GSM-R signal (SNR=-5 dB), the measured BER increases.
Consequently, the transmission could be more severely disturbed when the SNR decreases to 5 dB whereas, in the reverse case (SNR=+5 dB), the BER is lower (less than 0.4 %) which
guarantees a good quality of communication whatever the recurrence of the transient
interferences.
9.4 Tests and measurements in the presence of both types of interference signals
simultaneously
In this section, we now consider configuration 3 in Fig. 10: presence of permanent noise
and transients simultaneously with two arbitrarily chosen values for the transient time
interval which are TI=150 s and TI=550 s. The following graph, on the right of Fig. 13,
shows the results of the BER measurements in this configuration of test. The first curve
(black one with points) corresponds to the evolution of the BER without transient and the
two others (orange with squares and blue with triangles ones) with transients for the two
considered values of time interval. These values were chosen so that 3 transients can occur
during the time duration of one GSM-R burst in the first case (TI=150 s) and only one in the
second case (TI=550 s), as can be seen in the illustration on the left of Fig. 13.
2.0
Transient with time interval = 550 s
Transient with time interval = 150 s
BER without transient

1.8
1.6
1.4

RXQUAL = 3

1.0
0.8

BER (% )

1.2

0.6
150 s

550 s

RXQUAL = 1

0.4
0.2

0.0
-60

-50

-40

-30

-20

-10

Public GSM power (dBm)

- 15 dBm - 9 dBm

Fig. 13. Results of the BER measurements in the presence of public GSM signals and
transient signals with GSM-R signal power = -70 dBm at the mobile input
In the absence of transient signals (black curve with points), the public GSM signals have to
reach a power level of -9 dBm to induce a Rxqual equal to 3 whereas in the presence of
transient disturbances with a time interval of 150 s, a level of -15 dBm is sufficient. In other
words, the impact on the GSM-R communication of the transient disturbances "adds" to the
one of signals in the public GSM band. We thus conclude that the susceptibility of the GSMR to permanent noise is higher in the presence of transient disturbances.

Susceptibility of the GSM-R Transmissions to the Railway Electromagnetic Environment

521

Obviously, these results are linked to the GSM-R signal power used for the test (-70 dBm)
and we would obtain a better level of immunity if setting up the GSM-R signal to a higher
level of power. However, we are not going to develop this point in this chapter, since
further studies on the immunity of the GSM-R system can be found in (Dudoyer et al., to be
published).

10. Conclusion
This chapter outlined the major developments underway on the European rail network and
highlighted the electromagnetic vulnerability of the GSM-R which is a key component of the
management system. Indeed, immunity testing carried out in laboratory to confront the
GSM-R transmissions to EM disturbances representative to those measured on trains, have
shown that the quality of the transmissions can be significantly affected. The results of the
section 9 highlighted that the impact of the transient disturbances on the quality of the GSMR transmissions is linked to two main factors: the levels of noise produced on the GSM-R
down-link frequency band and the repetition rate of the transient disturbances. Moreover,
their impact can also be related to the presence of permanent interferences with the GSM
public. Consequently, the assess of the risks of disturbances of the GSM-R transmissions
requires to monitor the spectral distribution of the EM noise over the time, and with a high
temporal resolution which permits us to perform direct comparison with the transmission of
the digital data.
The current European standard methodologies of measurement of the EM emissions in the
railway domain (EN 50121, 2006) which only consist in spectral analysis of the radiated
emissions without taking into account the time dimension are then not adapted to the
control of the EM emissions in order to protect the GSM-R transmissions. This chapter
which proposed a methodology to perform immunity testing of GSM-R transmissions in
laboratory, has also highlighted the main features of the EM noise it is necessary to
characterize on board trains to ensure that the radiated emissions will not affect the ability
of the GSM-R system.

11. Acknowledgment
The authors of this chapter would like to thanks SNCB and SNCF to have given them access
to their trains to perform measurements in real conditions and also ALSTOM which
provided them specific railway equipment. This work was performed in the framework of
the RAILCOM project supported by the PCRD 6 and CISIT projects supported by the North
Region and the FEDER.

12. References
Adriano, R., Ben Slimen, N., Deniau, V., Berbineau, M. & Massy, P. (2008). Prediction of the
BER on the GSM-R communications provided by the EM transient disturbances in
the railway environment, Proceeding of EMC Europe, pp. 771-775, Hamburg,
Germany, September 2008.
Ben Slimen, N., Deniau, V., Rioult, J., Dudoyer S. & Baranowski S. (2009). Statistical
characterisation of the EM interferences acting on GSM-R antennas fixed above

522

Infrastructure Design, Signalling and Security in Railway

moving train. The European Physical Journal Applied Physics, Vol. 48, No.2, (2009),
ISSN 1286-0042
Breed, G. (2003). Bit Error Rate: Fundamental Concepts and Measurement Issues. High
Frequency Electronics, Vol.2, No.1, (January 2003), pp. 46-48
Dudoyer, S., Deniau, V., Adriano, R., Ben Slimen, M. N., Rioult, J., Meyniel, B. &
Berbineau, M. (to be published). Study of the Susceptibility of the GSM-R
Communications to the Electromagnetic Interferences of the Rail Environment,
accepted for publication in IEEE Transactions on electromagnetic compatibility.
EN 50121. (2006). European standards for Railway applications: Electromagnetic
Compatibility-Part 1-5
ETSI EN 300 910 V8.5.1 (2000). European Standard on Digital cellular telecommunication
system (Phase 2+); Radio transmission and reception, November 2000.
GM/RC 1500, (1994). Code of Practice for EMC between the Railway and its
Neighbourhood, December 1994
Hammi, T., Ben Slimen, N., Deniau, V., Rioult, J. & Dudoyer, S. (2009). Comparison between
GSM-R coverage level and EM noise level in railway environment, Proceedings of the
9th International Conference on Intelligent Transport System-Telecommunications, ITST
2009, pp. 123-128, Lille, France, October 2009
IEC 60050-161. (1990). International Electrotechnical Vocabulary. Chapter 161:
Electromagnetic compatibility, Edition: 1.0, International Electrotechnical
Commission, 1990
ITU-T Recommendation K.48 (2003). EMC requirements for each telecommunication
equipment - Product family Recommendation, July 2003.
Jaranien, A. (2005). General Description of European Railway Traffic Management
System (ERTMS) and Strategy of ERTMS implementation in Various Railway
Managements, Transport and Telecommunication, Vol.6, No.5, (2005), pp. 21-27, ISSN
1407-6160
Knobloch, A. & Garbe, H. (2002). Critical Review of Converting Spectral Data into
Prospective Bit Error Rates, Proceeding of IEEE International Symposium on
Electromagnetic Compatibility, Volume 1, pp. 173-178, ISBN 0-7803-7264-6,
Minneapolis, MN, USA, August 2002
Konefal, T., Pearce, D.A.J., Marshman, C.A. & McCormack, L.M., (2002). Potential
electromagnetic interference to radio services from railways, Final Report, University
of York, 2002, Retrieved from <http://www.yorkemc.co.uk/research/railways/>.
Lagrange, X., Godlewski, P. & Tabbane, S. (1996). GSM-DCS Networks, Herms, Paris, 1996,
pp. 207-208, ISBN 2-86601-558-4
Mansson, D., Thottappillil, R., Bckstrm, M & Lundn, O. (2008). Vulnerability of European
Rail Traffic Management System to Radiated Intentional EMI. IEEE Transactions on
Electromagnetic Compatibility, Vol.50, No.1, (2008), pp. 101-109, ISSN 0018-9375
Midya, S. & Thottappillil, R. (2008). An Overview of Electromagnetic Compatibility
Challenges in European Rail Traffic Management System, Journal of Transportation
Research Part C: Emerging Technologies, Elsevier, (Ed.), Vol.16C, Issue.5, (2008), pp.
515-534, ISSN 0968090X
UIC Project EIRENE (2003). System Requirements Specification, v14.0, 21 October 2003.
Source : EIRENE Project Team