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Construction and Building Materials 92 (2015) 51–57

Contents lists available at ScienceDirect

Construction and Building Materials


journal homepage: www.elsevier.com/locate/conbuildmat

Refurbishment of ballasted track systems; the technical challenges


of quality and decision support tools
Brian Counter a,⇑, Abid Abu-Tair b, Andy Franklin d, David Tann c
a
University of Derby, Markeaton Street, Derby DE22 3AW, United Kingdom
b
British University in Dubai (BUiD), United Arab Emirates
c
University of the West of Scotland, Paisley PA1 2BE, United Kingdom
d
Network Rail Route Asset Team, Cardiff, United Kingdom

h i g h l i g h t s

 Innovative railway track maintenance is essential for safety and economic development.
 An asset management approach has been used in the UK to maximise track life.
 We present new techniques suitable for in-situ repair without signalling disconnection.
 An integrated diagnostics tool for intervention into ballast replacement is developed.

a r t i c l e i n f o a b s t r a c t

Article history: The life of ballast is dependent upon a number of factors mainly traffic loading, drainage, contamination
Received 2 February 2014 and is clearly related to intervention levels and installation quality standards. The use of mechanised
Received in revised form 2 October 2014 ballast replacement techniques has developed over the last 30 years ranging from intrusive and
Accepted 12 November 2014
non-intrusive processes. UK national policies have now recognised refurbishment of ballasted systems
Available online 4 December 2014
as an economic alternative to complete renewal especially in locations of switches and crossing (S&C)
layouts. There are ever increasing technical challenges associated with the formation and ballast layer
Keywords:
interface which relate to localised track quality and the route based longitudinal integrity of these
Railway maintenance
Ballast
refurbished discrete locations. This paper identifies current best practice in terms of machinery and
S&C the recent specialist applications. Also discussed are the complexities of vehicle and product acceptance
Railvac and introduction including the development of complementary decision support tools.
Life extension Ó 2014 Elsevier Ltd. All rights reserved.
Track modelling

1. Introduction quite high in general, however, with notable exceptions on the


smaller networks such as Switzerland, Sweden and Netherlands.
The rail infrastructure in the UK is facing a challenging period in Germany remains high but the costing has not fully recovered from
time. Significant investment has been made by Network Rail fol- the reunification 25 years ago. Some of the innovations used in this
lowing on from the West Coast Main Line Upgrade Project which study have come from these countries indicating an efficiency
was completed in 2007. However, many secondary routes and slow culture. It can be seen that UK remains the highest of the countries
(or relief) lines contain switch and crossing layouts that have in terms of cost of track maintenance [20]. However, the passenger
passed their ultimate renewal timescales and have been held at numbers carried per kilometre is one of the highest metrics.
minimum performance levels through a variety of life extension Currently there are 17,052 km of open railway route in the UK; this
or refurbishment techniques. In recent times, track engineers have compares with 28,100 km in 1961 (source: ATOC, SRA). This
been becoming more conscious of using business techniques par- followed many line closures between 1963 and 1973.
ticularly in relation to finding methods to optimise and extend The graph below indicates the increases in passenger journeys
track life through an asset management approach. particularly since privatisation in 1996. If overcrowding is to be
There are some interesting comparisons between countries that contained, more investment in the UK rail network is urgently
have a large network of railway lines (Table 1). Costs in Europe are needed particularly in enhancing and maintaining the routes and
building new ones. It is clearly indicated that the utilisation of
⇑ Corresponding author. Tel.: +44 01332 593186, Mobile: +44 07971 477090. the UK railway is at a high level and this potentially requires a very
E-mail address: b.counter@derby.ac.uk (B. Counter).

http://dx.doi.org/10.1016/j.conbuildmat.2014.11.036
0950-0618/Ó 2014 Elsevier Ltd. All rights reserved.
52 B. Counter et al. / Construction and Building Materials 92 (2015) 51–57

efficient asset management process. This is especially relevant and S&C renewal (see Fig. 2 below) which was evident from studies
when there are pressures to reduce the time available for both carried out 20 years ago by Ratledge and Thompson [28]. A backlog
routine and investment related maintenance and renewal of track of this nature, where the implications of reductions in activity have
(see Fig. 1). a cumulative effect, is often known in strategic business terms as a
‘‘bow wave effect’’. Scully [30] explains this in the context of
2. The context of asset planning – the track renewal backlog defence spending in the USA with regards to the replacement
and repair of military equipment.
The UK government has now accepted that this concept has There were a number of serious derailments of freight trains in
proved to be vital to the continuation of a sustainable railway infra- the late 1990s that were attributed to track maintenance failings.
structure for the foreseeable future [24]. Hitherto, there has been an Brown [4] carried out a study where he considered the overall
intrinsic development of the concept of heavy maintenance as this management of the early RT1A maintenance contracts but initially
was a strategically important aspect of the management of a mixed stated that he has discovered that there had been no track
traffic railway environment where budgets and government support renewals on the route (which included 102 single track miles)
were a limiting factor. The performance of the railway from a safety for 5 years. He recommended that an intrusive approach was
and train punctuality perspective often took priority over some early needed to manage each ‘‘deferred renewal’’ site as the system
attempts at whole life costing. In effect, the budget and timetable previously adopted by British Rail indicated that a speed restriction
were the major factor for work scheduling not a steady state asset would be required the year following the deferral. However, in
management and replacement criteria. many cases on low speed lines, this in itself would not always
To explain this significance it is necessary to consider the issues deliver a safe future operation.
of work planning from both a long and short term angle. Access to The last 20 years has seen many changes in approach to
the track to do maintenance and repair work was usually available managing assets ranging from a British Rail business budget
during short periods where passenger trains were not running or philosophy to full privatisation with Railtrack PLC reducing renew-
freight trains could be slowed down or diverted. This was typically als and finally developing into a modern forward investment
week nights for up to 5 h or weekends where up to 12 h was often approach from Network Rail Infrastructure Ltd. However, the UK
available. Longer periods could be arranged for renewals and pro- rail network has many S&C assets that are life expired and still
jects but the planning horizon could be up to 2 years to accommo- carry performance and in some cases safety challenges.
date well communicated timetable alterations.
Pressure from train operators not to disrupt train services 3. Principles of extending track life
indicated that methods of working were urgently required that
minimised access to the tracks. The development work involved The author was aware of these problems which were colloqui-
in the pursuit of further innovative processes that could reduce ally known by many in the industry as ‘‘Deferred Renewals’’ [7]
the time required for access was a vitally important feature of and there was much evidence of perceived need for solutions
the UK railways. As indicated, there was a backlog of ballasting and develop new practices to extend track life. The following four

Table 1
Comparison of railways in world countries; source Thompson (2005).

World country 2003 Open track (km) Electrified route Passengers carried Freight carried Infrastructure costs Infrastructure costs
(km) (millions) (tons millions) (£ per train km passenger) (£ per train km freight)
Australia 9474 1900 47.3 156.5 2.8 2.9
France 29,269 2400 879.4 120.7 4.3 1.0
Germany 36,054 14,505 1681.7 267.9 5.1 4.0
Italy 16,288 11,166 548.5 82.3 2.3 2.1
Netherlands 2812 2064 314.0 25.9 1.1 0.8
Switzerland 3231 3231 269.0 62.3 2.0 3.3
Sweden 9882 7638 61.2 42.8 0.4 0.3
UK 17,052 5142 999.9 88.9 4.4 2.2
USA 233,820 36,917 23.3 1632.1 1.6 2.0

UK is highlighted in bold.

Fig. 1. Rail passenger journeys in the UK – 1987–2011 (source: [24]).


B. Counter et al. / Construction and Building Materials 92 (2015) 51–57 53

Fig. 2. British rail midland cross country ballast renewal forecasts 1990–2004.

major objectives have remained constant throughout the course of maintenance of line, level and riding comfort. He also recom-
the study of life extension and remain the same today: mended the development of intervention led replacement rather
than repair after failure. During this stage in the development pro-
(1) To maintain, facilitate and promote the safety of rail cess a number of current practices and new ideas were imple-
infrastructure. mented as part of the urgent variation contract to the RT1A
(2) To avoid disruptive temporary speed restrictions to normal Railtrack Term Maintenance Contract in the Midlands Region [7]
train running, thereby maintaining the performance of the which was implemented to attempt to restore train performance
railway and reducing unforeseen and cumulative delays. and re-open some closed tracks.
(3) To find timely economic solutions through technical innova- There are some basic principles which require resolution; Profil-
tion and the application of appropriate technology and com- lidis states that if you wish to use mechanical means a necessary pre
plementary management techniques. condition is that the ballast be sound, free of soil contamination, of
(4) To restore an optimised steady state position on UK rail proper granulometric size and of adequate mechanical strength.
infrastructure through effective asset management. The effect of tamping, inconsistent drainage and uneven traffic load-
ing can quickly bring conditions back to poor if treatments are not
It is often necessary to impose speed restrictions had been effective according to Aursudkiy [1] and McDowell et al. [17].
applied in the majority of cases to maintain safety as the track con- Subsequently, being concerned about the link between perfor-
figuration had largely become life expired in both overall structure mance and track quality the Office of Rail Regulation have changed
and in places could have involved a risk of failure of a multitude of the definition of track quality and adopted a more complex statis-
individual components. Murthy et al. [19] and Bocciolone et al. [5] tical approach [9].
argue in their papers that it is difficult to identify where the limits
of safety can be determined by normal measurement and monitor- 4. S&C ballast maintenance issues
ing systems. In many cases in the UK the track structure can dete-
riorate quickly under sudden rainy weather conditions (see Fig. 3). S&C layouts are situated in a variety of locations where forma-
There was and still is a need for engineering management inter- tion stability can be a challenge due to the route profile; this could
vention with two main outcomes; firstly, a requirement for greater be an embankment or cutting or adjacent to a structure [26]. The
diligence in track inspection and repair and secondly, investment underlying formation may not be homogenous and prone to weak
in heavy works to facilitate safe operational continuity. Bonnet spots which may give indications of uneven forces due to the
[3] indicated the seriousness of ballast degradation upon the lateral displacements which may give rise to ballast failure.

Fig. 3. Poor alignment due to insufficient maintenance Erewash Valley 1997.


54 B. Counter et al. / Construction and Building Materials 92 (2015) 51–57

Treatments have traditionally included fixing the track to integral hopper which collects the material and has side discharge
structures and grouting. However, at Bedford, work was done in chutes for the disposal of the spoil. The first use of Railvac alone on
conjunction with Balfour Beatty ‘‘Zitrack’’ ballast stabilisation pro- a working railway in the UK was at Didcot, Oxfordshire in 2005 and
cess to provide stability in a weak area of an embankment [2]. the author was responsible for its unique import and trials. The fig-
Drainage integrity is also a key feature in avoiding ‘‘fines’’ block- ure below shows the machine in action at Wrawby, Humberside,
age which can lead to attrition, further ballast deterioration and UK. New ballast is placed close behind the excavation to prevent
‘‘pumping failure’’. The presence of a high water table can quickly undue sagging of the track. This excavation was carried out over
exacerbate failure and its effects are often difficult to predict when and existing sand blanket without damaging the protecting geo-
the vagaries of the UK weather is concerned. At Gatwick Airport textile. It can be see that it is also not necessary to disconnect
Station, a selective track lowering project was carried out using and cables from the track (see Fig. 5).
the Railvac machine in a complex area to improve alignment and The Railvac has been tested through its technical development
rectify local ballast contamination associated with poor drainage. phase in a number of challenging conditions including cutting
Materials carried by rail wagons, including coal and sand can be through blue clay (very hard flinted material), sand excavation,
deposited through dynamic spillage onto the track and cause prob- detritus and organic materials, oil contaminated locations and
lems on the S&C layout by contaminating the ballast. These fines spillages of other materials and fluids [27].
can coagulate when wet and rapidly fill voids to prevent drainage.
This kind of problem can emanate very rapidly and the impacts 5.2. Second life system of timber repair
upon track geometry are difficult to predict. The photograph below
shows the layout at Wrawby Junction in Humberside, UK, where This is a system where track is repaired in-situ using a resin and
the specific damage cannot readily be seen due to the washing of specially designed coil inserts and was introduced in Switzerland
the material into the ballast layer. and Germany where weather conditions are generally very harsh
The geometrical stability of the S&C layout under traffic is [29]. A key part of the system involves the track being reinstated
measured regularly by track recording vehicles to give a dynamic to a carefully redesigned horizontal alignment. Adjustments of
analysis known as ‘‘track quality’’. If an area is shown to be in up to 15 mm in horizontal alignment and track gauge can be made,
the ‘‘poor’’ or ‘‘very poor’’ bands the standard deviations will have which gives the system a huge amount of flexibility for uses and in
exceeded the acceptable standards for that linespeed. Uncontrolled some cases allow redesigns for speed and also rectification of
vertical and horizontal movements under load can cause severe design errors. This was the first use of second life system in a UK
ballast attrition especially in wet conditions. high speed area near to Preston, Lancashire, UK on the West Coast
Main Line and was introduced and trialled by the author and his
5. Development and piloting of new techniques team.
The reason for the trial was related to the condition and
In recent decades, a number of techniques have been developed recorded track quality at this location and the continued pressures
for mechanising the partial replacement of ballast under S&C. to find solutions to its physical problems without complete
There was an early attempt at vacuum systems and mechanical renewal. Following a wide review of similar locations suggested
removal methods such as the ‘‘Matisa Gopher’’ and ‘‘Tubecube’’ by the rail infrastructure maintenance and WCML project teams
which were adopted in the UK. Fig. 4 shows the latest USA devel- a technical decision was made to use Oxheys.
opment, the Balfour Beatty Incorporated ‘‘Switch Undercutter’’ Further work in support of this type of improvement was car-
which uses a ditcher wheel and undercutter chain. This works well ried out by Cornish et al. [6] when they identified trends in failure
in dry conditions, however, set up time is high and output can be statistics for switches and crossings in many parts of the UK. The
limited. However, effectiveness has been limited due to unknown degradation of both vertical and horizontal support by timber
track conditions. Only recently, a heavy maintenance job involving has a major contributory factor to failures of switch mechanisms
this type of machinery was delayed at Derby due to blockages (see Fig. 6).
caused by challenging formation conditions.
6. Future strategy – further application and development
5.1. Railvac ballast vacuum removal machine
Refurbishment is now seen as a legitimate task in itself [23] and
The ‘‘Railvac’’ machine is a rail-mounted, self-propelled, high a valid alternative to renewal where full renewal could be avoided
capacity vacuum ballast removal facility; in effect a full scale rail for a variety of operational and business reasons. The policy
vehicle around the size of a large locomotive. The machine has a includes the comments:
250 mm diameter tube with a tungsten tip connected to a hydrau-
lic arm system with a remote control operating unit. The vacuum is
a high power facility and can be used with a large variety of cohe-
sive and large particle size non-cohesive materials. There is an

Fig. 4. BBI undercutter ballast and formation preparation machine. Fig. 5. Wrawby Junction; first use of Railvac in a coal spillage area.
B. Counter et al. / Construction and Building Materials 92 (2015) 51–57 55

Fig. 6. Second life system in progress Oxheys Preston, UK.

‘‘Vacuum reballasting [Railvac] will be key to delivering heavy some months and it was essential to undertake some palliative
refurbishment of S&C where it is desirable to carry out the rebal- repair work urgently to maintain safety and improve performance.
lasting without removing the track system, and is currently seen In 2005, there were a limited number of options available usually
as the most cost effective option. The [SERSA Second Life] process associated with selected replacement of components, partial or
is applied in-situ and has been used successfully on the Continent complete renewal. Middleton et al. [18] describes the applications
and at trial sites in Britain to treat S&C bearers, particularly to and particularly shallow geotechnical issues.
restore track gauge.’’ The most obvious visual defect at the location was the vertical
and horizontal alignment of the track known in the field as the line
Joksimovic and Vanderwark [16] argue that these issues form and level of the track. The company owning the infrastructure,
part of the associated project maintenance strategies in order to Network Rail has mandatory standards for this aspect and this will
optimise maintenance processes and should be built in as potential have led to the imposition of a temporary speed restriction to
failures. maintain safety. Most derailments are caused by the wheels of a
It is important to reflect upon the challenges of introduction moving train losing contact with the rail and a slower speed will
and piloting new systems and machinery within the UK rail indus- usually reduce this risk. The above is the simple explanation, how-
try especially with respect to new machinery and processes. The ever a full assessment of track condition identified the following
challenges that are faced fall under the three distinct categories defects:
of technical, procedural and the human element. The use of new
materials, technical equipment and technical processes has been  Coal spillage up to and above rail level which alone is unaccept-
controlled by the UK infrastructure owner on a consistent basis able because it hides the track components, preventing exami-
for a long time and this is known as the product approval process. nation. This coal will have blocked the drainage system by
This mandatory process is detailed in the Network Rail Product contaminating the ballast voids and blocking the pipework.
Acceptance Standard [21,22]. Usually, there is a system of testing,  Loose and damaged fittings to ironwork and signalling
piloting and impact evaluation relating to quality safety and envi- equipment.
ronmental considerations. There are two distinctly different pro-  Damaged timbers with evidence of rotten areas, particularly
cesses; vehicle acceptance and product acceptance; each having where screws are loose or subject to movement.
markedly different systems and timescales. Any innovations have  Gauge variations outside acceptable tolerance levels. (‘‘gauge’’
to go through these processes and although there are clear stan- is the geometric distance between the running edges of the
dards to be complied with, my experience has been that timescales rails.)
can vary enormously. For example, around 1998, in the early days  Top variations in a static state and those particularly associated
of privatisation it was taking up to 2 years to get tamping machines with the dynamic movement when trains pass over. (‘‘top’’ is
approved to work on UK railways. The key issue is an overall busi- the vertical position in relation to design position.)
ness imperative that is either directly or time related to problem  Line variations in a static state and those particularly associated
solving. Where a flexible risk-based approach has been adopted with dynamic movement laterally as trains traverse the
with personnel who can appreciate the holistic view and the junction.
urgency is accepted by all participants, rapid introduction and  Twist and cross level variations in both static and dynamic
piloting can be achieved to deliver and adopt innovative new modes, usually related to the fixed wheelbase of certain rail
technology. vehicles, normally 10 feet or 3 m.

7. Case study S&C conditions Wrawby Junction Also, the works had to produce some early results such as the
raising of speed restrictions within a limited timescale to demon-
Track engineers within Network Rail and its suppliers attribute strate to the ultimate client, i.e. the passenger and freight operating
the rapidly deteriorating track condition at Wrawby Junction, companies, that the solutions were designed to deliver benefits to
Barnetby and other places to a sudden and unexpected increase them. This aspect of finding new and timely solutions to railway
in freight train tonnage across some railway junctions. However, operating issues was a key issue in preventing any future claim
contamination of the ballast structure, often known as ballast foul- for compensation that could be made either directly through the
ing can quickly exacerbate aged material with limited drainage track access contract or by complaint to the legislative authority,
according to Indraratna et al. [15]. The track condition at the junc- in this case the Office of Rail Regulation, the UK government
tion was very poor with significant coal spillage being a major ‘‘watchdog’’ who are commissioned to oversee the industry (see
issue; a very restrictive speed restriction had been in place for Fig. 7).
56 B. Counter et al. / Construction and Building Materials 92 (2015) 51–57

Fig. 7. Wrawby Junction view of coal spillage 2005.

8. UK safety implications of railway track life extension considered the range of ballast conditions that would necessitate
a life extension intervention approach. The key complementary
It was apparent, following the Hatfield accident in 2000 and tool to enable strategic planning is a decision support tool for opti-
other track related derailments and accidents throughout the early mising the maintenance and renewal balance particularly a system
part of the decade, that asset condition was a concern on the UK that would restore track infrastructure to predefined quality level
rail network. There were two particular concerns relating to the by partial exchange of used or faulty material. Guler [11] indicated
ability of the maintenance organisation to deliver a functional rail- the need for a geographical information and condition monitoring
way. Firstly, as assets are nearing the end of their life, it becomes system that had the ability to provide a route based approach. The
more difficult to predict the performance especially when sudden type of system suggested requires a comprehensive computer
dynamic forces are combined with weather and temperature. Sec- based modelling suite using high powered complex algorithmic
ondly, this kind of maintenance work requires a high level of expe- parameters Guler [12].
rience and dedication from trained engineering personnel. They are
often working in remote locations and can be called out to make 9. International life extension
decisions and carry out work at all times of day and night. The
HSE report from the Hatfield accident noted that there were client Many countries in the world have been investigating techniques
and company pressures to avoid the imposition of temporary to extend track and component life. In France, a holistic approach
speed restrictions as train delays attracted financial penalties in similar to the UK has been adopted involving the development of
the RT1A Maintenance Contract Regime. component or elemental repairs and refurbishment. They have
Railways are similar to other industries that have had similar considered a maintenance policy including modelling and optimi-
challenges, especially manufacturing. Pham and Wang [25] sation which aims to plan preventive or corrective actions in order
describe the problems as ‘‘Imperfect Maintenance’’ where correc- to minimise the overall cost of interventions and in most cases
tive maintenance is a maintenance activity which may restore an maximise the lifetime of the system. According to presenters at
item to a specified condition in case of failure. Later in the infra- IMPROVERAIL [14] in general, the life of railway components can
structure lifetime, periodic works are executed to restore the infra- be divided into three characteristic phases: youth, middle age
structure to a predefined quality level. Referring to the track as the and old age. Each period of a component’s life may be linked to a
main component of railway infrastructure, this work type includes specific type of maintenance action, such as preventative mainte-
corrections of geometry, partial exchange of used or faulty material. nance to avoid premature degradation, partial replacement of
However, the corrections that were and are being made in many groups of components, additional strengthening work or additional
cases on the UK rail infrastructure network are not carried out hom- components and finally complete renewal.
ogenously, but partially with regard to one aspect of the structure. The strategy of life extension is obtaining support around the
This is an efficient approach but integration of old and new can be a world. The overall concept appears to have been accepted as many
challenge in relation to the replacement of just the rail or the ballast countries have invested in high speed lines where asset manage-
as there was often life left in the other parts of the asset. ment is a relatively straight forward principle based on experience.
The discipline of Life Cycle Costing (PA55, UIC (2010) have now They have been able to follow a cyclic pattern and the degradation
been developed with tools that should support the optimisation of profiles have gone through a number of clear life cycles to facilitate
decisions on maintaining or renewing infrastructure assets. It is accurate modelling. Countries that have been able to do this are
possible to model different maintenance and renewal options to Japan with the Bullet train now with 41 years in service and the
provide decision makers with funding and output choices. Pham French rail organisation SNCF who have experience of over 30 years
and Wang [25] indicate that often simple renewal is no longer with their TGV routes. However, it is the freight and secondary pas-
applicable, either due to technical limitations or for economic rea- senger railway routes of the world which face the greatest chal-
sons and partial replacement is the only option when the track lenges. This is because of the differing age and technical profile of
quality does not meet basic requirements or needs excessively assets with potentially an unknown degradation profile. Repair
high maintenance activity to remain operational. and refurbishment of track systems or individual components is a
There have been many comprehensive research activities to growth area and some recent developments have been reported.
assess the integrity and condition of track ballast over the last There has been an upsurge of interest in developing life exten-
thirty years. Recently De Bold et al. [8] developed a survey tech- sion techniques for rail infrastructure worldwide. This is reportedly
nique that involves frequency response function to assess the due to the world wide recession and a greater worldwide con-
extent of fouling of ballast and built upon previous work to con- sciousness of reuse and recycling of material rather than create
sider a ‘‘ballast fouling index’’. Other notable contributions to the new items.
knowledge of ballast deterioration profiles under loadings were Hallisey [13] has carried out work and patented a process for
developed by Aursudkiy [1] and Middleton et al. [18] who both extending sleeper life (sleepers are called railroad ties in the
B. Counter et al. / Construction and Building Materials 92 (2015) 51–57 57

USA) with an integral conduit. This consists of overwrapping with the case that there would be some residual risk with an
fibrous reinforcement containing a cured matrix associated with unknown timeframe. Gibb [10] identified in his recent paper,
the fibres. The ties may be machined prior to overwrapping, and the difficulties of finding a repair regime that would avoid
are preferably sawn along their length, and conduit inserted into costly temporary speed restrictions on the south part of
channels machined therein prior to adhesively bonding the sawn the West Coast Main Line.
portions together. The conduits may be used to provide signal
and power cable passages with lessened likelihood of damage
thereto. References
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