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Structure and Infrastructure Engineering:

Maintenance, Management, Life-Cycle Design and
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Under sleeper pads in transition zones at railway

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underpasses: numerical modelling and experimental
validation
a b b a
Cristina Alves Ribeiro , Andr Paixo , Eduardo Fortunato & Rui Calada
a
Department of Civil Engineering, Faculty of Engineering, University of Porto (FEUP), R. Dr.
Roberto Frias, Porto 4200-465, Portugal
b
Department of Transportation, National Laboratory for Civil Engineering (LNEC), Av. do
Brasil 101, Lisboa 1700-066, Portugal
Published online: 16 Oct 2014.

To cite this article: Cristina Alves Ribeiro, Andr Paixo, Eduardo Fortunato & Rui Calada (2014): Under sleeper pads in
transition zones at railway underpasses: numerical modelling and experimental validation, Structure and Infrastructure
Engineering: Maintenance, Management, Life-Cycle Design and Performance, DOI: 10.1080/15732479.2014.970203

To link to this article: http://dx.doi.org/10.1080/15732479.2014.970203

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 Structure and Infrastructure Engineering, 2014
http://dx.doi.org/10.1080/15732479.2014.970203

Under sleeper pads in transition zones at railway underpasses: numerical modelling and
experimental validation
Cristina Alves Ribeiroa1, Andre Paixaob*, Eduardo Fortunatob2 and Rui Calc adaa3
a
Department of Civil Engineering, Faculty of Engineering, University of Porto (FEUP), R. Dr. Roberto Frias, Porto 4200-465, Portugal;
b
Department of Transportation, National Laboratory for Civil Engineering (LNEC), Av. do Brasil 101, Lisboa 1700-066, Portugal
(Received 14 February 2014; final version received 14 July 2014; accepted 17 July 2014)
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In railway lines, transition zones between different track support conditions normally evidence higher degradation rates,
thus requiring additional maintenance to ensure safety and service quality. Studies based on numerical simulations indicate
that under sleeper pads (USP) can minimise those degradation rates. The study presented herein focuses on the influence of
USP on the dynamic behaviour of transitions to underpasses, in an attempt to fill the gap between numerical and field
studies. To that aim, the authors used finite element method models, calibrated and validated with field measurements. These
models take into account the train track interaction and include all relevant track components and backfill geomaterials.
This study shows that soft USP have a significant influence over the tracks dynamic behaviour: amplifying rail
displacements and sleeper accelerations, and inducing abrupt variations in the track vertical stiffness and oscillations in
train track forces. To benefit from the use of USP, the authors highlight the need to carefully design stiffness properties of
USP and determine their arrangement at transitions. An improved design for the transition zone is proposed.
Keywords: railway underpasses; transition zones; numerical modelling; under sleeper pads; train track interaction

1. Introduction 2006), because USP reduce sleeper ballast contact

The degradation rates of the railway track and the
consequent maintenance requirements are generally
higher in transition zones, which is where the abrupt
changes in track support conditions occur (European Rail
Research Institute [ERRI], 1999; Lopez Pita, Teixeira,
Casas-Esplugas, & Ubalde, 2006; Nicks, 2009; Ubalde,
2004). Although further research is still required, the
problem has frequently been associated with sharp
variations of the track vertical stiffness and with
permanent differential track settlements that develop
between softer and stiffer sections, as in track transitions
from embankment to bridge (Banimahd, Woodward,
Kennedy, & Medero, 2012; Dahlberg, 2010). Both issues
amplify the dynamic vehicle track interaction during the
passage of trains, thus causing further track degradation,
passenger discomfort and unsafe train operations.
To minimise these effects, some railway infrastructure
managers specify wedge-shaped backfills composed of
well-compacted layers of selected bound and unbound
granular materials at the transition zones between
embankments and bridges or underpasses, among other
solutions (Union Internationale des Chemins de Fer [UIC],
2008). Some numerical studies suggest using under
sleeper pads (USP) in ballasted track transitions (Dahl-
berg, 2010; Hunt, 1997; Lundqvist, Larsson, & Dahlberg,
stresses, slow track degradation and can be used to control
stiffness variations (Johansson, Nielsen, Bolmsvik, Karl-
strom, & Lunden, 2008; Schneider, Bolmsvik, & Nielsen,
2011; UIC, 2009). Some studies highlight that the stiffness
of USP should be carefully determined as well as its
conjugation with the rail pad stiffness (Johansson et al.,
2008) while others were inconclusive or did not
recommend the use of USP in transition zones (Insa,
Salvador, Inarejos, & Medina, 2013).
The present study aims at filling the gap between
numerical and field studies concerning the use of USP. The
authors have previously compared and reported field
measurements on two transitions to similar underpasses
with and without USP in a railway line currently in
operation (Paixao, Alves Ribeiro, Pinto, Fortunato, &
Calc ada, 2014). The objective of the present study was to
develop a numerical model that could reproduce those
measurements and be used to better understand the
behaviour of transition zones, particularly when influenced
by USP. To that aim, the authors used a calibration and
validation procedure (Alves Ribeiro, 2012) to determine
the mechanical properties of the materials and track
components using a two-dimensional (2D) finite element
method (FEM) modelling approach. The relevance of this
approach lays on the fact that: it considers all relevant
track components and substructure layers; it takes into

*Corresponding author. Email: apaixao@lnec.pt

q 2014 Taylor & Francis
 2 C. Alves Ribeiro et al.

Transition zone to UP1 1.8 6.6m 6.0m 25.8m

Track plan view

sleepers without USP 44 sleepers with USP sleepers without USP

ballast (0.30 m)
17.0m 3.0m 6.1m 3.0m 17.0m UIC60 rail sub-ballast (0.30 m)
Longitudinal section sleepers capping (0.20 m )

embankment 3 UP1 1 3 embankment

UGM 1 UGM 2
2 1 CBM CBM 1 (soils)

6.8
(soils) BC=5% 0.5 BC=5%
5.0
natural foundation natural foundation
embankment soils
0.6 embankment soils
UGM (0/31.5 mm)

Transition zone to UP2 1.8 6.6m 6.0m 25.8m

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Track plan view

Longitudinal section 17.0m 3.0m 6.1m 3.0m 17.0m

3 1 1 3 embankment (soils)
2 UGM 1 CBM UP2 CBM 1 UGM 2

5.3
embankment (soils) BC=5% 0.5 BC=5%
natural foundation 5.0 natural foundation
embankment soils embankment soils
0.6
UGM - Unbound Granular Material; CBM - Cement Bound Mixture; BC - Binder Content

Figure 1. Track plan view and longitudinal profile of transition zones at UP1 and UP2 (Paixao et al., 2014).

account the traintrack interaction; it considers experimen- Vossloh W14 with elastomer rail pad model
tal data and 3D reduced models in an innovative calibration Zw700/148/165. Table 1 presents some characteristics of
procedure; and it uses less computational resources than full the resin-bonded rubber USP that were glued to the
3D modelling approaches and still provides accurate results. underside of the sleepers at UP1.
To illustrate the different track support conditions along
the transition zones, Figure 2 shows schematic track cross
2. Transition zone case studies sections at key locations identified as S1S4 in Figure 1.
A research project is currently underway in a Portuguese On the box culverts, only the layer of ballast was kept, with
railway line in order to assess the performance of the same minimum thickness of 30 cm under the sleepers.
transition zones from embankments to underpasses with
USP, taking into account both the dynamic train track
interaction and its long-term behaviour. The transition
zones to two similar underpasses of that line were selected 3. Numerical modelling
as case studies. The underpasses, denoted here as UP1 and 3.1 Description of the transition zone models
UP2, are reinforced concrete closed frame box culverts. To reproduce the dynamic behaviour of the train track
The authors have presented details on these transition system on the transition zones, 2D FEM models were
zones, including laboratorial and in situ characterisation developed utilising the ANSYS software. These models
during construction (Fortunato, Paixao, & Fontul, 2012; were calibrated and validated using field measurements, as
Paixao et al., 2014). The adjacent wedge-shaped backfills will be discussed later in Sections 3.2 and 3.3. The
were constructed with layers of unbound granular material
(UGM) and cement bound mixtures (CBM) with a binding Table 1. Characteristics of the under sleeper pads provided by
content (BC) of about 5%, as presented in Figure 1. The the manufacturer, CDM.
transition zone to UP2 comprises standard ballasted track;
Parameter Value
44 sleepers with USP were installed at UP1. The
maximum speed on the line for the Portuguese passenger Thickness 10 mm
tilting train (alfa pendular) is 220 km/h. The track has the Length 2.6 m
Iberian gauge (1.668 m) with continuously welded Maximum width 0.3 m
Static bedding modulus 0.155 N/mm3
UIC60E1 rails, resting on 2.6 m long concrete monoblock Dynamic bedding modulus 0.200 N/mm3
sleepers with 0.6 m spacing. The fastening systems are
 Structure and Infrastructure Engineering 3

rail rail
rail pad rail pad
S1 S2

monoblock sleeper monoblock sleeper

ballast: 30 cm ballast: 30 cm

sub-ballast: 30 cm sub-ballast: 30 cm
capping layer: 20 cm capping layer: 20 cm
embankment soils backfill with UGM

rail rail
rail pad rail pad
S3 USP at UP1 S4 USP at UP1
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monoblock sleeper monoblock sleeper

ballast: 30 cm ballast: 30 cm

sub-ballast: 30 cm sub-ballast: 30 cm
capping layer: 20 cm
backfill with CBM
backfill with UGM

Figure 2. Schematic track cross sections from S1 S4 (see location in Figure 1).

relatively complex geometries of the transition zones were
taken into account, as depicted in Figure 3, and the train
track interaction was considered using a nonlinear contact
algorithm. The main advantage of these 2D models is that
they still provide accurate results, even though they
require less computational resources than the 3D models
used in other studies of transition zones, such as the ones
developed by Alves Ribeiro, Dahlberg, Calc ada, and
Delgado (2009), Banimahd and Woodward (2007), Shan,
Albers, and Savidis (2013) and Varandas (2013).
The transition models of UP1 and UP2 have a total
length of 94.5 m (corresponding to approximately 157
sleepers) and a constant depth of 11.5 and 10.4 m below
the rail, respectively. The UP1 model consists of 26,271
nodes and 26,864 elements, and the UP2 model comprises
a total of 27,882 elements and 27,131 nodes. They aim at

Full 2D model of UP1

Embankment soils UGM UGM

CBM CBM
Natural foundation UGM

Full 2D model of UP2

Embankment soils UGM CBM UGM

CBM
Natural foundation

Rail Rail pad Sleeper USP

Ballast layer
UP1 UGM
box culvert CBM
Sub-ballast layer

Capping layer
CBM
UGM
UGM Natural foundation

Figure 3. Models of the transition zones and details of the finite element mesh.
 4 C. Alves Ribeiro et al.

Table 2. Properties of the track materials after calibration. where Gi is the shear modulus, ri is the materials density
and si is given by
Young Poissons Rayleigh
Component modulus, ratio, damping, Density, r
or Ei vi bi ri 1 2 2vi
Si : 2
material (MPa) () (s 1023) (kg/m3) 21 2 vi
Sleepers 30 103 0.25 6360a
USP 1.3 0.00 0.5 800 To introduce these boundary conditions in the models,
Ballast 130 0.20 0.4 1530 normal and tangent damper elements (COMBIN14) were
Sub-ballast 200 0.30 0.4 1935 placed at the boundary nodes, with damping parameters
Capping layer 2820 0.30 2.6 1935 set in accordance with Equation (1) and considering the
UGM 1030 0.30 2.6 1935 size and width of the plane-stress elements.
CBM 10 103 0.30 0.4 2200
Embankment soils 80 0.30 2.9 2040 When modelling the effect of sudden changes in the
Natural Foundation 300 0.30 2.9 2040 track support conditions, as in transition zones, train track
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Box culvert 30 103 0.25
a
An equivalent density value was calculated to obtain a total weight of
315 kg for each sleeper.
representing the full track cross section, thus both rails of
the track were modelled as one continuous beam
consisting of 7.5 cm long elements (BEAM3), with section
properties equivalent to two UIC60 rails: a cross-section
area of 2 7.7 1023 m2 and a bending inertia of 2
30.55 1026 m4. Rails were assumed to have a Young
modulus of 200 GPa, a Poissons ratio of 0.3 and a density
of 7850 kg/m3. The two rail pads on each sleeper were
modelled as three vertical spring damper elements
(COMBIN14) positioned alongside in order to simulate
the width of the rail support on each sleeper.
Considering that the rail pads resonance frequency is
mostly dependent on their stiffness and damping, their
properties were estimated separately for each transition
model based on in situ receptance tests (Paixao et al.,
2014). As a result, a vertical stiffness (krp) of 130 and
165 kN/mm and a damping value (crp) of 15 and 17 kN s/m
were determined for the rail pads at UP1 and UP2,
respectively. Sleepers, USP, track bed layers, subgrade
layers and box culverts were modelled using four-node
plane-stress elements (PLANE42) that allow the definition
of width in the perpendicular direction of the model. The
width of the 2D elements was calibrated using reduced 3D
static models, as addressed in Section 3.2.
The calibrated properties of the track materials
adopted in this study are presented in Table 2.
In ANSYS 13.0, the Rayleigh damping coefficient a is
the same for all materials; after calibration, the adopted
Rayleigh damping coefficient was a 8.52 s 21.
To minimise the effect of wave reflections, viscous
boundary conditions were considered, in accordance with
White, Lee, and Valliappan (1977), using the following
damping matrix:
p " #
8 Gi ri 18Si 2 2 20Si
3 indicate that the line still presented a very good quality by
0
C ;
15p 0 2Si 3
2500 interaction needs to be taken into account to avoid
underestimating the resulting dynamic effects (Hunt,
1997; Varandas, Holscher, & Silva, 2014). In this study,
the wheel rail interaction was modelled as a node-to-
beam contact using CONTA175 and TARGE169
elements for the wheel nodes and rail beams, respectively
which allowed sliding and loss of contact. The Penalty
algorithm was considered and the full Newton Raphson
method was used to solve the nonlinear equations of the
problem. This train track interaction modelling approach
was thoroughly tested and validated in earlier works by
Alves Ribeiro (2012). To solve the well-known transient
dynamic equilibrium equations, the Newmark implicit
time integration method was used and time steps of 0.001 s
were considered.
The passenger tilting train was modelled as crossing
the transition zones at 220 km/h. Figure 4 shows its axle
configurations and approximate loads. Given that this
study focuses on the tracks dynamic behaviour, earlier
tests developed by the authors (Alves Ribeiro, 2012)
determined that it is only necessary to model the trains
bogies, rather than the full train model. Figure 5 depicts
one of the 12 bogies that were considered in the models in
order to simulate the effect of the full trains passage. The
parameters of the train model are provided in Table 3. The
bogie frame was considered as a rigid body.
Considering that the train has a length of about
158.9 m, and in order to reduce the size of the model and
calculation times, the passage of the train was simulated
using the following method (Alves Ribeiro, 2012): (i)
initially, all bogies were stationary, weightless and located
at the same position, near one end of the model; (ii) in the
subsequent time steps, axle loads and motion attributes
were assigned to each bogie, one by one, according to the
train speed and axle configuration (Figure 4); (iii) as each
bogie reached the other end of the model, they were
stopped, one by one, and their axle loads were removed.
The studied railway line was opened to traffic by the
end of 2010 and inspection records of track geometry
1 2013. For that reason, a perfectly horizontal rail profile
was considered on both transition zones.
 Structure and Infrastructure Engineering 5

3.85 2.70 16.30 2.70 4.20 2.70 16.30 2.70 4.20 2.70 16.30 2.70

129.8 133.2 132.6 129.2 131.5 134.9 134.9 131.5 128.8 128.8 128.8 128.8

2.70 16.30 2.70 4.20 2.70 16.30 2.70 4.20 2.70 16.30 2.70 3.85

132.7 132.7 132.7 132.7 133.2 136.6 136.6 133.2 130.2 133.6 134.2 130.8

Figure 4. Train configuration: distances between axles (in m) and approximate loads (in kN).
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Bogie
Figure 5. Model of one of the 12 bogies of the train (see
parameters in Table 3).
3.2 Model calibration
The calibration of the 2D models uses a novel procedure
(Alves Ribeiro, 2012) based on 3D and 2D reduced models
and experimental data. Figure 6 illustrates a simplified
diagram of the calibration procedure that takes into
account: (1) the static calibration of the reduced 2D models
based on the results obtained with 3D models and (2) the
dynamic calibration of the 2D models using receptance test
curves obtained in the field. These non-destructive tests
were described in Paixao et al. (2014) and allowed the
characterisation of the tracks dynamic behaviour in the
frequency domain between about 20 and 450 Hz.
The main steps of the calibration were performed as
follows (Figure 6):
(1) Before the development of the full transition
models, four pairs of 3D and 2D reduced FEM
models (see Figure 7) were prepared for each
transition zone, taking into consideration its
geometry and aiming at representing the different
Table 3. Characteristics of the bogie model (see Figure 5).
Parameter
Bogie mass (without axles), Mb
Primary suspension stiffness, Kp
Primary suspension damping, Cp
Axle mass, Ma
Hertzian wheel rail contact spring
stiffness, Kh
track support conditions found along the transition
zones (S1 S4), as depicted in Figure 2. The
reduced models consist of track segments of 30
sleepers with depths of 11.5 and 10.4 m regarding
UP1 and UP2, respectively, and a constant track
layout. The mesh pattern of the 2D models is very
much similar to that of the full transition models
and the mesh of the 3D models is somewhat
analogous, as depicted in Figure 7(a). The initial
estimates of the properties of the geomaterials and
track components were based on laboratorial
characterisation and filed measurements per-
formed by the authors (Fortunato et al., 2012;
Paixao, Fortunato, & Calc ada, 2013) or in
accordance with other publications (UIC, 2008).
(2) Static calibration: Vertical loads of 132 kN were
applied on the rail at the centre of the reduced 3D
models and the vertical profile of vertical
displacements under the rail was calculated. The
same loads were applied on the reduced 2D
models and the width of the four-node plane-stress
finite elements were adjusted using an iterative
procedure developed in MATLAB, interacting
with ANSYS in batch mode (Alves Ribeiro, 2012)
so that the reduced 2D models returned almost
identical vertical displacements profiles. The
application of this procedure resulted in a rather
linear increasing variation of the elements width
as depth increased, with a maximum value of 16
and 14 m at the base, respectively, for UP1 and
UP2. Figure 7(b) shows an example of the good
agreement between the displacement contours of
the reduced 3D and 2D static models.
(3) Dynamic calibration: Considering the elements
Value width calculated in step 2 and using the reduced
2D models, a MATLAB optimisation algorithm
4932 kg
1600 kN/m was developed (Alves Ribeiro, 2012) using the
17.5 kN s/m lsqcurvefit function from the Optimisation Tool-
1800 kg box of MATLAB, interacting with ANSYS in
1.24 106 kN/m batch mode to determine the material par-
ameters (Young modulus and damping ratios of
 6 C. Alves Ribeiro et al.

INPUT DATA 3D AND 2D REDUCED MODELS OF S1 TO S4

Geometry of the
transition zones and
adopted element mesh 3D models for
Width values of
static calibration of
plane-stress elements
Initial estimate of the 2D models(b)
geomaterials properties
and track components(a)

Field receptance curves Dynamic calibration of Calibrated parameters

obtained at S1 to S4 2D models(c) (Ei, i, , krp, crp)
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(a) Initial estimates based on laboratorial characterization and field measurements by the authors (Fortunato et al.,
2012; Paixo et al., 2013b), or other publications (UIC, 2008).
(b) MATLAB iterative procedure, interacting with ANSYS in batch mode, to determine width of plane-stress elements
in order to match relative displacements between static 2D and 3D models (Alves Ribeiro, 2012).
(c) MATLAB optimization algorithm lsqcurvefit, interacting with ANSYS in batch mode, to determine material
parameters that best fit experimental receptance curves, using the least-squares method (Alves Ribeiro, 2012).

Figure 6. Schematic diagram of the procedure adopted for the calibration of the numerical models.

the geomaterials, and stiffness and damping of the Each iteration of the algorithm included a short
rail pad) that best fitted the experimental dynamic analysis of an impulse load (see Figure 8)
receptance curves, in a least-squares approach. applied on the rail in the reduced 2D models.

rail
(a) rail pad
sleepers

USP

ballast

sub-ballast

capping

soils

(b) MN

MX

.661E03 .440E03 .292E03 .145E03 .305E05

.500E03 .335E03 .218E03 .707E04

Vertical displacements (m)

Figure 7. Reduced models used in the calibration: (a) detailed views of the meshes and (b) example of the vertical displacement
contours after static calibration.
 Structure and Infrastructure Engineering 7

(a) 2000 have the same value in the subsequent sections. The initial
lower and upper limits used in the calibration of the
material parameters, also presented in Table 4, were
Force (N)

1000 established taking into account earlier laboratorial and

in situ characterisation studies developed by the authors on
the geomaterials used in the construction of the backfills
0 (Fortunato et al., 2012; Paixao et al., 2013), and other
0.00 0.01 0.02 0.03 0.04 studies (UIC, 2008). Figure 9 shows the final fitted
Time (s) numerical receptance curves for sections S1 S4 at both
(b) 15 transition zones.
In the receptance tests, the full track vertical resonant
frequency, ft (which corresponds to the vertical vibration
Force (N)

10
of the rail and sleepers on the track layers), lies usually
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5 between 40 and 140 Hz (De Man, 2000). This resonant

0 numerical receptance curves, as a peak between 60 and
0 200 400
Frequency (Hz)
Figure 8. Time history (a) and frequency content (b) of the
impulse applied in the dynamic calibration (after Paixao et al.,
2014).
It is important to point out that, as the construction
process and the materials used in the construction of both
UP1 and UP2 were very similar, the same material
properties were assumed for both structures. An exception
was made regarding the rail pads, as stated before.
Parameters of sections S1 S4 of UP1 and UP2 were
calibrated in the order presented in Table 4, starting with
S4 of UP2 because it required the calibration of fewer
parameters. To maintain coherence, the material par-
ameters calibrated in a given section were considered to
frequency can be observed in Figure 9, in both field and
600 120 Hz. This peak is particularly noticeable in sections
with USP, which denote the flexibility increase provided
by USP. It is also possible to identify the resonant
frequency of the vibration of the rail on the rail pads, frp,
between 300 and 350 Hz. At sections with no USP, it is
possible to identify another peak around 190 Hz in the field
receptance curves. Considering studies by Grassie (1995)
and dynamic tests performed by the authors using 3D
dynamic analyses of the track, there is some evidence that
it may correspond to a sleepers vibration mode. Because
the 2D models are unable to simulate the bending
behaviour of the sleepers, those peaks are not visible in the
numerical curves in Figure 9.
Table 5 presents a comparison between resonant
frequencies ft and frp of the curves in Figure 9. In general,
results show a very good agreement between field and

Table 4. Calibration of material properties.

Order 2D reduced models Parameter Description Lower/upper calibration limit Unit

1 S4-UP2 Eb Ballast Young modulus 50/500 MPa
Esb Sub-ballast Young modulus 100/1000 MPa
ECBM CBM Young modulus 10/30 GPa
a Damping a for all materials 1/10 s21
b1 Damping b of the three above materials 0.1/4 s 1023
kUP2
rp UP2 rail pad stiffness 50/500 kN/m
CUP2
rp UP2 rail pad damping 10/30 kN s/m
2 S3-UP2 Ec Capping Young modulus 100/4000 MPa
EUGM UGM Young modulus 100/4000 MPa
b2 Damping b of the two above materials 0.1/4 s 1023
S2-UP2 (Calibrated in S3-UP2)
3 S1-UP2 Eemb Embankment soil young modulus 50/500 MPa
b3 Damping b of embankment soil 0.1/4 s 1023
4 S4-UP1 EUSP USP Young modulus 0.2/20 MPa
kUP1
rp UP1 rail pad stiffness 50/500 kN/m
CUP1
rp UP1 rail pad damping 10/30 kN s/m
S3-UP1 (Calibrated in S3-UP2 and S1-UP1)
S2-UP1 (Calibrated in S3-UP2 and S1-UP1)
S1-UP1 (Calibrated in S1-UP2 and S1-UP1)
 8 C. Alves Ribeiro et al.

x 108 x 108
S1: Open track UP1:field S1: Open track UP2:field

Receptance (m/N)
UP1:num. UP2:num.
2 2

1 1

0 0
0 100 200 300 400 500 0 100 200 300 400 500
x 108 x 108

S2: UGM UP1:field S2: UGM UP2:field

Receptance (m/N)

UP1:num. UP2:num.
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2 2

1 1

0 0
0 100 200 300 400 500 0 100 200 300 400 500
x 108 x 108

S3: UGM UP1:field S3: UGM UP2:field

Receptance (m/N)

UP1:num. UP2:num.
2 2
with USP

1 1

0 0
0 100 200 300 400 500 0 100 200 300 400 500
x 108 x 108

S4: CBM UP1:field S4: CBM UP2:field

Receptance (m/N)

UP1:num. UP2:num.
2 2
with USP

1 1

0 0
0 100 200 300 400 500 0 100 200 300 400 500
Frequency (Hz) Frequency (Hz)

Figure 9. Experimental (Paixao et al., 2014) and numerical receptance curves for sections S1 S4 after dynamic calibration.

numerical receptance curves. Nevertheless, some exper-
imental curves were better fitted than others. The authors
somewhat expected this outcome given the known
variability of the mechanical properties of the geomater-
ials and of the track components (Oscarsson, 2002). For
instance, at UP1, field frp ranged between 304 and 327 Hz,
but showed higher values at UP2: between 344 and 373 Hz
(see Table 5). These differences in frequency indicate
variations in the stiffness of the rail pads along each
transition zone. Moreover, the higher range of frequencies
at UP2 also suggests that the rail pads at that underpass
may have been installed with higher preloads than the rail

Table 5. Comparison of field and numerical track resonant frequencies ft and frp (in Hz).

Track sections f UP1

t field/num. f UP2
t field/num. f UP1
rp field/num. f UP2
rp field/num.

S1 84/107 114/103 327/303 344/347

S2 74/93 85/93 317/308 373/347
S3 63/64 99/92 304/327 350/346
S4 71/64 95/88 309/327 350/346
 Structure and Infrastructure Engineering
0
0.5
Rail vertical displacement (mm)
1 UP1; S1
1.5
0 0.5
0
0.5
1 UP2; S1
1.5
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0 0.5
Figure 10. Comparison of rail displacements at S1: numerical results against field measurements from Paixao et al. (2014).
pads at UP1. The influence of fastening preloads on the
stiffness of rail pads is well documented by Wu and
Thompson (1999). To account for this aspect, the authors
established different values for the calibration of rail pad
parameters in each transition zone, as mentioned earlier
(see Table 4).
3.3 Model validation with experimental measurements
To validate the numerical models, the authors compared
numerical results with field measurements performed on
the track, at sections S1 S4 (see Figure 1), when trains
crossed the transitions (Paixao et al., 2014). Immediately
after calibration, there was a very good agreement between
the field measurements and the dynamic results of the UP2
model. However, at first, it was not possible to validate the
UP1 model because the numerical results seemed to
underestimate the field measurements in sections with
USP. In fact, some drawbacks were expected, considering
that the adopted models are not able to fully account for
the complex and nonlinear contact established between the
USPs underside and the ballast grains. While it may be
reasonable to consider USP with the full area of the
sleepers underside for the dynamic calibration of the
models (small load impulse on the rail), when trains load
the track (significantly higher loads) the effective contact
area of USP becomes smaller and concentrated under the
rails. Using the numerical model, the authors determined
that with an effective contact area of approximately 0.3 m2
(about 45% of the actual area of the sleepers underside), it
was possible to obtain a good agreement with the field
measurements at UP1.
Figures 10 13 present a comparison between numeri-
cal and experimental rail vertical displacements of
sections S1 S4, in both transitions. Negative values of
9
field num.
1 1.5 2 2.5 3
field num.
1 1.5 2 2.5 3
Time (s)
displacements denote downward direction. A type II
Chebyshev filter with a cut-off frequency of 80 Hz was
applied to time history records. The cut-off frequency was
determined based on the fact that the passenger trains
travelled at about 220 km/h which induced important
excitation frequencies up to about 50 Hz (Paixao et al.,
2014) and considering that the dynamic response for
high frequencies due to the short-wave irregularities of the
rails and wheels (which are outside the scope of this study)
are of random nature. The application of this filter also
made easier the interpretation of results.
As mentioned earlier, different stiffness and damping
values were considered for the rail pads at UP1 and UP2.
The analyses of various field measurements determined
that the amplitudes of the rail sleeper relative vertical
displacements (an estimate of the rail pad deformation)
were different in the two transitions (see Figure 14). These
results supported the authors decision to consider
different values for the rail pad parameters at each
transition. With this consideration, it was possible to
achieve a good agreement between the numerical and the
experimental results, as depicted in Figure 14.
It was also possible to validate the vertical accelera-
tions calculated at the sleepers. Figures 15 18 show
comparisons of numerical and experimental vertical
accelerations of the sleepers near sections S1 S4, at
both transitions (after applying type II Chebyshev 80 Hz
low-cut filters). In general, a very good agreement was
obtained. Calculations of sleeper accelerations near S3 at
UP1 (Figure 17) somewhat overestimate the acceleration
peaks. At S2 of UP1, the numerical results were also
slightly different from the track measurements the later
have relatively higher negative peaks. These observations
at S3 and S2 of UP1 are probably related to the
disturbances in the train track interaction caused by the
transition between sleepers with USP and without USP, as
 10 C. Alves Ribeiro et al.

0.5

Rail vertical displacement (mm)

1 UP1; S2

1.5 field num.

0.5 1 1.5 2 2.5 3 3.5

0.5

1 UP2; S2

1.5 field num.

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0.5 1 1.5 2 2.5 3 3.5

Time (s)

Figure 11. Comparison of rail displacements at S2: numerical results against field measurements from Paixao et al. (2014).

0.5
Rail vertical displacement (mm)

UP1; S3
1
field
1.5 num.

0.5 1 1.5 2 2.5 3 3.5

0.5
UP2; S3
1
field
1.5 num.

0.5 1 1.5 2 2.5 3 3.5

Time (s)

Figure 12. Comparison of rail displacements at S3: numerical results against field measurements from Paixao et al. (2014).

0.5
Rail vertical displacement (mm)

UP1; S4
1
field
1.5 num.

0.5 1 1.5 2 2.5 3 3.5

0.5
UP2; S4
1 field
1.5 num.

0.5 1 1.5 2 2.5 3 3.5

Time (s)

Figure 13. Comparison of rail displacements at S4: numerical results against field measurements from Paixao et al. (2014).
 Structure and Infrastructure Engineering 11

Rail-sleeper relative vertical displacement (mm)

0
0.1
UP1
0.2
field
0.3 num.
0.4
0.5 1 1.5 2 2.5 3 3.5

0
0.1
UP2
0.2
field
0.3 num.
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0.4
0.5 1 1.5 2 2.5 3 3.5
Time (s)

Figure 14. Comparison of rail sleeper relative displacements: numerical results against field measurements from Paixao et al. (2014).

will be addressed later. It is also possible that the track near prominent peaks in the plots are related to the trains
sections S2 and S3 at UP1 has undergone some signature, as was analysed in Paixao et al. (2014).
degradation, thus affecting the dynamic response of the
track, which the model cannot reproduce. In addition, it
should be noted that the accelerations were measured on
the end of the sleepers, near one of the rails. Because the 4. Analysis of train track interaction along the
model is bi-dimensional, it cannot simulate the tri- transition zones
dimensional response of the track that might be causing Using the two validated models, the vertical displacements
those differences, such as slight rotations of the sleepers of the first axle of the train were calculated, as presented in
around the track longitudinal axis caused by uneven Figure 20. The figure also shows the results that were
support conditions. obtained after improving the design of USP at UP1, which
Figure 19 compares frequency contents of numerical will only be addressed later in this section. On both
results and field measurements near sections S1 S4 at UP1 transitions, a smooth variation of rail deflections is visible
and UP2. The presence of USP is evidenced by the increase between the embankment with soils and the wedge-shaped
in the amplitude of the frequency peaks in the two bottom backfills (at about 30 23 m from the box culvert). At UP2,
left plots (S3 and S4 of UP1). In general, the results show a a relatively smooth ride is also observed over the backfills
relatively good agreement, although numerical results near (on UGM and CBM) and onto the box culvert, with minor
S3 at UP1 seem to be somewhat overestimated. The stiffness increases over its walls. This indicates that the

10 UP1 near S1
Sleeper vertical acceleration (m/s2)

0
field
5 num.

0.5 1 1.5 2 2.5 3 3.5

10 UP2 near S1
5

0
field
5 num.
0.5 1 1.5 2 2.5 3 3.5
Time (s)

Figure 15. Numerical results and field measurements of the vertical accelerations of the sleeper near S1 from Paixao et al. (2014).
 12 C. Alves Ribeiro et al.

10 UP1 near S2
5 field

Sleeper vertical acceleration (m/s2)

num.
0

0.5 1 1.5 2 2.5 3 3.5

10 UP2 near S2

5 field
num.
0

5
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0.5 1 1.5 2 2.5 3 3.5

Time (s)

Figure 16. Numerical results and field measurements of the vertical accelerations of the sleeper near S2 from Paixao et al. (2014).

backfill of UP2, by itself, can provide a gradual variation (1) Although results at UP2 are not influenced by the
of the track vertical stiffness as the train approaches the direction of the train, it slightly influences the
structure. Comparing the two displacement profiles results at UP1, namely when entering or exiting
presented in the figure, it can be observed that at UP1 the track section with USP, causing small
there is an increase in the vertical displacement of the axle oscillations in the vertical displacement of the
by 3 3.4 times where USP were installed. This evidences axle (Figure 20).
the influence of USP on the reduction of the track vertical (2) The vertical displacement profile of the second
stiffness. The axle displacement changes abruptly (in a axle of each bogie is similar to that of the first
three sleeper-span) when entering or exiting the track axle, although marginally higher in magnitude
section with USP (at about 13 m from the box culvert), (1 4% more) on the track section with USP.
which indicates a sharp stiffness transition. The relatively
Although the dynamic analyses of the passage of the
higher axle vertical displacements obtained on the
entire train through the transition zones are relatively fast
embankment with soils at UP1, when compared with the
to compute considering a total of 3850 time steps of
results at UP2, are due to the higher depth of the
0.001 s (about 7 h using a desktop computer with a quad-
embankment soils at UP1 (see Figures 1 and 3).
core processor and 16 GB of RAM), the authors found that
With the consideration of the train track interaction,
it was possible to reduce hard disk usage and calculation
the authors were able to draw additional observations:
times even further. In this case study, it was observed that

10 UP1 near S3
5 field
Sleeper vertical acceleration (m/s2)

num.
0

0.5 1 1.5 2 2.5 3 3.5

10 UP2 near S3
5 field
num.
0

0.5 1 1.5 2 2.5 3 3.5

Time (s)

Figure 17. Numerical results and field measurements of the vertical accelerations of the sleeper near S3 from Paixao et al. (2014).
 Structure and Infrastructure Engineering 13

10 UP1 near S4
5 field

Sleeper vertical acceleration (m/s2)

num.
0

0.5 1 1.5 2 2.5 3 3.5

10 UP2 near S4
5 field
num.
0

5
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0.5 1 1.5 2 2.5 3 3.5

Time (s)

Figure 18. Numerical results and field measurements of the vertical accelerations of the sleeper near S4 from Paixao et al. (2014).

1.5 1.5
all the bogies produced the same dynamic response. Thus,
Acceleration (m/s2/Hz)

UP1 near S1 UP2 near S1 instead of modelling all 12 bogies of the train, the same
num. num. result could be obtained by calculating only one bogie and
1 field 1 field
then superimposing its effect 12 times, spaced in time,
0.5 0.5 according to the train speed and axle configuration. With
this simplification, the number of required time steps and
0 0 calculation time were reduced in about 67%. This
0 20 40 60 80 0 20 40 60 80
conclusion may be particularly relevant for simulation-
1.5 1.5 based optimisation, where a large number of runs are
Acceleration (m/s2/Hz)

UP1 near S2 UP2 near S2

normally required. Figure 21 depicts a comparison of rail
num. num.
1 field 1 field vertical displacements and sleeper vertical accelerations
caused by the 11th bogie of the train, either considering all
0.5 0.5 the bogies or using the abovementioned simplified
method. The differences appear to be insignificant. The
0 0 authors suggest that preliminary tests should be carried out
0 20 40 60 80 0 20 40 60 80
before adopting this simplification to other case studies.
1.5 1.5 Figure 22 evidences oscillations on the train track
Acceleration (m/s2/Hz)

UP1 near S3 UP2 near S3

num. num. interaction forces calculated in the wheel rail contact
1 field 1 field elements. Although no significant variation of the dynamic
train track interaction forces is observed when the train
0.5 0.5
crosses UP2, higher oscillations were visible at UP1 when
it entered or exited the track section with USP. Contact
0 0
0 20 40 60 80 0 20 40 60 80 force amplitudes obtained in the direction from track with
USP (soft support conditions) to track without USP (stiff
1.5 1.5
support conditions) were higher than that obtained in the
Acceleration (m/s2/Hz)

UP1 near S4 UP2 near S4

num. num. opposite direction, and oscillated between 2 12% and
1 field 1 field
7% of the static axle load of 132 kN. Interaction forces
0.5 0.5
were almost identical for all axles of the train.
Figure 23 shows a comparison of the peak rail seat
0 0 loads. It can be observed that the USP in UP1 result in
0 20 40 60 80 0 20 40 60 80
higher rail seat loads on the sleepers immediately before
Frequency (Hz) Frequency (Hz) the track section with USP, with a maximum increment of
Figure 19. Frequency content of numerical results and field about 42%. However, at the central part of the track
measurements (Paixao et al., 2014) of the vertical accelerations section with USP, it is possible to identify the eventual
of the sleepers. benefit of USP regarding the long-term behaviour of the
 14 C. Alves Ribeiro et al.

Axle vertical displacement (mm) 0.0

no USP at UP2 axle nr. 1

0.5
UP1 improved design
1.0
UP1
1.5 train direction USP at UP1 UP1 improved
UP2
2.0 C B A B C

Soils UGM CBM UP CBM UGM Soils

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34 32 30 28 26 24 22 20 18 16 14 12 10 8 6 4 2 0 2 4 6 8 10 12 14 16 18 20 22 24 26 28 30 32 34

Axle position relative to box culvert centre line (m)

Figure 20. Vertical displacement of the first axle of the train crossing transition zones UP1 and UP2.

track. In fact, the use of USP was responsible for the sleepers underside and the angularities of the ballast
reduction of about 33% of the maximum rail seat loads. particles (reducing ballast crushing and abrasion) and may
In practice, this results in lower contact forces between the contribute to reduce track degradation rates in that section.
Because the numerical model only considers the
(a) 0.1 transient dynamic response of the traintrack system and
not the long-term behaviour, the authors cannot draw further
Axle vertical displacement (mm)

0.0
conclusions regarding the benefit of USP to reduce track
0.1 degradation rates at transition zones. In order to investigate
this aspect in more detail, further research is needed, for
0.2 example, to determine the allowable variation of the train
track interaction forces that may trigger rapid track
0.3
degradation.
0.4 Considering the complexity involved in the contact
12x1 bogie between the sleepers and the particles of ballast, other
0.5
12-bogie train numerical techniques, such as the discrete element method
0.6 (DEM), seem to be a more adequate approach to assess in
2.55 2.65 2.75 2.85 greater depth the benefit of USP to reduce ballast
Time (s) degradation. However, the application of DEM to study
large segments of the track, with the consideration of train
(b) 4
models and the train track interaction, is yet impractical
Sleeper vertical acceleration (ms2)

due to the considerable computation effort that is required.

3
12x1 bogie
A recent application of the DEM to study transition zones
2 12-bogie train was presented by Chen and McDowell (2014), using a
small track model with dimensions 2.1 m 0.3 m 0.4 m.
1 In the simulations, it was found that an abrupt stiffness
change caused more ballast settlement on the softer track
0 section due to the sliding of the particles; while a gradual
variation of the subgrade stiffness resulted in a more stable
1 particle interlocking. This micromechanical approach
provided relevant insight on the factors that can influence
2 the track degradation rates. It also demonstrated that the
2.60 2.70 2.80 2.90
DEM has a significant potential to study partial sections of
Time (s) transitions in more detail, thus contributing to the
understanding of the track degradation process and
Figure 21. Axles vertical displacements (a) and sleepers
vertical acceleration (b) considering the effect of a 12-bogie train appropriate mitigation. The approach seems to be very
model or the superimposition of the effect of 12 times 1 bogie useful to study, not only conventional track designs, but
spaced in time. also innovative solutions such as USP, in that it allows
 Structure and Infrastructure Engineering 15

150 USP
UP1
140
130
120
110
Train-track contact force (kN)

150
UP1 improved design
140
130
C B A B C
120
110
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150
train direction
140 UP2

130
120 Static axle load = 133 kN
110

Soils UGM CBM UP CBM UGM Soils

34 32 30 28 26 24 22 20 18 16 14 12 10 8 6 4 2 0 2 4 6 8 10 12 14 16 18 20 22 24 26 28 30 32 34

Axle position relative to box culvert centre line (m)

Figure 22. Interaction forces between the first axle of the train and the rails.

assessing the amplitude of the contact forces of the ballast significant influence on the track dynamic behaviour. The
particles and their force chains under the sleepers. contrasting results may be related to the fact that different
As mentioned earlier, previous numerical studies also studies focused on USP with very distinct stiffness
suggest that USP influence the tracks behaviour (Lundq- properties. This suggests the caution is necessary when
vist et al., 2006; Witt, 2008). However, some field drawing conclusions regarding the use of USP at transition
measurements (Lozano del Moral & Cuellar, 2009) and a zones and indicates that further studies are required.
numerical study by Insa et al. (2013) suggest that USP have Johansson et al. (2008) highlight that the stiffness
a minor influence on the tracks behaviour at transition properties of USP should be carefully determined for
zones. Track measurements reported by the authors (Paixao plain track; the same certainly applies to transition zones.
et al., 2014) along with the numerical results presented in In this study, the results indicate that the adopted USP
this paper clearly demonstrate that USP can have a at UP1 are too soft and introduce sharp stiffness

50 UP1
Maximum rail seat load (kN)

train direction
UP1 improved
40
no USP at UP2 UP2
30

20
USP at UP1
10 UP1 improved design
C B A B C
0

Soils UGM CBM UP CBM UGM Soils

34 32 30 28 26 24 22 20 18 16 14 12 10 8 6 4 2 0 2 4 6 8 10 12 14 16 18 20 22 24 26 28 30 32 34

Axle position relative to box culvert centre line (m)

Figure 23. Maximum rail seat loads on the transition zones to UP1 and UP2.
 16 C. Alves Ribeiro et al.
transitions, which result in dynamic amplifications in the
train track interaction when the trains enter or exit the
sections with USP. However, in the central part of the
section with USP, rail seat loads and stresses on the ballast
layer were reduced, as mentioned earlier. Thus, to provide
a smoother ride, other alternative arrangements of USP
along the transition zones with different elastic properties
might be more effective than the case under study. Recent
studies report the need to use sets of rail pads and USP
with different elastic properties at transition zones
between different track structures in order to minimise
the negative effects of new high-speed lines (DAguiar,
Arlaud, Potvin, Laurans, & Funfschillling, 2013).
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With the aim to improve the design of the transition
zone with USP, a parametric study was carried out using
the numerical model of UP1. The study aimed at
determining a more adequate design so that the axle
vertical displacement of the train, across the transition
zone, remained close to the value observed in plain track
(about 0.9 mm) an uniform track vertical stiffness. It was
found that using at least three sets of USP, with different
stiffness in specific track sections, produced significant
better results. The best design of the parametric study
comprised the following three different track sections
(identified in Figures 20, 22 and 23):
. Section A (up to about 23 m from both sides of the
box culvert centre line) 2 78 sleepers with USP with
a stiffness 2.2 times greater than the USP in the case
study.
. Section B (at about 23 28 m from both sides of the
box culvert centre line) eight sleepers with USP
with a stiffness five times greater than the USP in the
case study.
. Section C (at about 28 33 m from both sides of the
box culvert centre line) eight sleepers with USP
with a stiffness 15 times greater than the USP in the
case study.
With the improved design, it was possible to (i) even
the track vertical stiffness along the transition zone and
consequently limit the variations of the axle displacement
(Figure 20); (ii) limit the oscillations of the train track
interaction forces down to about ^ 3% of the static axle
load (Figure 22); (iii) reduce rail seat loads throughout the
transition zone by at least 26%, in comparison with the
results in UP2 (Figure 23).
Given that the track was only opened to traffic in recent
years, it was not possible to draw further conclusions
regarding the long-term behaviour of the transition zones
with USP. Moreover, considering that the numerical
models were developed for transient dynamic analyses and
to reproduce the in situ measurements, they cannot predict
the track degradation or the plastic deformation of the
track elements.
5. Conclusions
USP have been suggested to mitigate the negative effects
that arise at critical locations of the track, such as transition
zones; however, only a few studies have focused on the
influence of using USP at transitions. The numerical
models presented in this paper were developed to better
understand the tracks behaviour on transition zones to two
similar railway underpasses (UP1 and UP2) that are
currently being monitored as part of a research project.
To investigate the influence of USP, 44 sleepers were
installed with USP at UP1. The models account for all
relevant track components and geomaterials of the
supporting layers. Their mechanical parameters were
calibrated using a fast procedure that included 3D and 2D
reduced models and track receptance curves obtained in
previous field works.
Dynamic analyses were then performed with the full
models, considering the passenger tilting train crossing
through both transitions at 220 km/h. Trains were
modelled as 12 independent bogies and the train track
interaction was taken into account using nonlinear contact
algorithms in the wheel rail interface. Extensive vali-
dation of the models was possible using a large set of track
measurements performed earlier by the authors. From the
numerical study presented here, the following main
remarks and conclusions can be drawn:
(1) In general, a very good agreement was obtained
between the numerical results and the field
measurements at different sections along both
transition zones under study.
(2) The USP installed at UP1 significantly influence
the tracks dynamic behaviour, increasing rail
vertical displacements (lower track stiffness) and
vertical accelerations of the sleepers. Numerical
results of the vertical displacement of the axles of
the trains were 3 3.4 times greater on sleepers
with USP. Important oscillations of the train-
interaction forces were observed (upto 7% and
2 12%) when entering or exiting the track section
with USP.
(3) After comparing the results with and without USP,
it appears that excessively soft USP were used in
the case study. The authors concluded that the
stiffness of USP should be carefully determined
for each transition zone before installation.
(4) In the studied scenarios, it was found that the
influence of the trains direction is not significant
when variations of track support conditions are
relatively smooth. However, a small influence was
observed when the train entered or exited track
sections with USP.
(5) Given the short calculation times and the good
agreement with field measurements, the presented
approach seems to be very efficient for dealing
 Structure and Infrastructure Engineering
with this type of problem, particularly when
compared with other approaches that use 3D
modelling to account for the full structure of the
transition zones. In this study, it was found that
calculation times could be reduced even further if
only one train bogie was considered. The effect of
the full train (comprising 12 bogies) was almost
identical to the superimposition of the effect of 12
times a single bogie, spaced in time, in accordance
with the train speed and axle configuration.
Using the simplification in (5), the authors carried out a
parametric study (in terms of the stiffness of USP and the
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number of sleepers with USP) in order to improve the
design of the transition zone. The best solution that was
found comprised sleepers with gradually increasing stiffer
USP at different track sections of the transition zone. The
improved design allowed to (i) even the track vertical
stiffness, and thus the axle vertical displacement; (ii) limit
oscillations of the train track interaction forces; and (iii)
most importantly, reduce rail seat loads (consequently
loads between the sleeper and ballast) by at least 26%,
which indicates that USP can contribute to reduce the
degradation of the ballast layer at transition zones.
The railway track at transition zones is a very complex
system, and more studies are still required to better
understand the mechanisms that control its dynamic short-
and long-term behaviour. Considering what was mentioned
above, the authors are encouraged to use the presented
modelling approach, and its respective calibration pro-
cedure, in future works and simulations. Among other
aspects, it would be relevant to assess the benefit of USP in
the long-term behaviour of transition zones to minimise the
development of hanging sleepers and defective geometries,
frequently found in faulty transition zones.
Funding
The research presented in this article was carried out under a joint
research project by the Laboratorio Nacional de Engenharia Civil
(LNEC) and the Faculty of Engineering of University of Porto
(FEUP), supported by Rede Ferroviaria Nacional REFER,
EPE, the company responsible for the management of the
Portuguese railway network. The financial support of Fundac ao
para a Ciencia e a Tecnologia, through the first authors PhD
grant [grant number SFRH/BD/75821/2011], is also acknowl-
edged. Part of the work was conducted in the framework of the
TC202 national committee of the Portuguese Geotechnical
Society (SPG) Transportation Geotechnics, in association with
the International Society for Soil Mechanics and Geotechnical
Engineering (ISSMGE-TC202).
Notes
1. Email: ana.ribeiro@fe.up.pt
2. Email: ruiabc@fe.up.pt
3. Email: efortunato@lnec.pt.
17
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