1 Research Background

More and more tricky problems of the railway filed are emerging due to the increase in axle load and speed of
railway vehicles, which will directly jeopardize the running safety and stability of railway rolling stock. One of the
noticeable problems is the wheel and rail wear. Although there have been abundant researches among various fields
like mechanical engineering, civil engineering, and bio-tribology [1], the wear mechanism of the wheel and rail is still
vague due to the complicated wheel–rail interaction relationship in railway engineering. Statistical data show that the
maintenance costs spent on wheel and rail wear account for a large proportion of the total railway operation expenses
[2]. Moreover, wheel and rail wear may deteriorate the wheel–rail interaction and thus bring about more wheel–rail
noise [3], which will directly affect the health of residents along the railway. More seriously, severe wheel flange or
rail wear may lead to derailments of railway vehicles when negotiating small radius curves [4].
Generally, the wheel wear can be classified into three categories: hollow wear, out-of-roundness (OOR) wear,
and flange wear. The hollow wear is a kind of uneven wear along the lateral direction, which will increase the lateral
oscillations of vehicles and induce the hunting phenomenon [5]. Besides, hollow-worn wheels may result in
noteworthy change on the non-uniform rail wear distribution and cause a significant increase in the rail wear [6].
Currently, countermeasures to the hollow wear mainly consist of wheel tread shape optimization [7], suspension
parameters optimization [8], and hardness changing of the wheel and rail [9]. Some of these approaches have been
successfully put into practice in China, Europe, and South Africa.
Another type of wheel wear is the OOR wear. It is a circumferential wear that was firstly found on ICE1
high-speed trains in Germany. In recent years, this problem has been widely studied by Chinese researchers due to the
severe wheel OOR wear in CRH trains [10]. The wheel polygonal wear will lead to high-frequency wheel–rail
impacts, inducing abnormal vibrations of vehicles, and even increasing the fatigue failure possibilities of different
bogie components such as the frame, coil spring, and axle box. Unfortunately, scholars haven’t reached an agreement
on the formation causes of the wheel OOR wear, but majority of scientific papers have presented the viewpoints that
it is the natural vibration of vehicle–track system that induces the wheel polygonal wear [11]. To this end, the
mitigation measures consist of controlling excitation sources and avoiding inherent vibration of the vehicle–track
system, and the most effective approach is wheel re-profiling. However, limited by the theory developments of solid
mechanics, tribology, and materials science, there is still a long way to go to ascertain the mechanism of the wheel
OOR wear and eliminate this phenomenon fundamentally [11].
The aforementioned wear problems are more urgent especially for high-speed trains. Whereas for heavy–haul
trains, the hollow wear and OOR wear are relatively slight in comparison with the wheel flange wear since the
heavy–haul lines are normally consisted of steeper slopes and smaller radius curves. The severe wheel flange wear
may increase the risk of derailment. Besides, rail gauge corner wear will occur along with the wheel flange wear. It is
reported that 98 percent of rails on small radius curves were scrapped due to the side wear. If these rails were not
changed in time, large squeal noise would be produced, so the railway departments have to change the rails every 12
to 15 months [12].

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 2 Literature Review

The study on wheel and rail wear is comprehensive and complicated. Firstly, the wheel–rail contact patch is
changing with the running of the railway vehicle. Secondly, the wheel–rail contact is the rolling/sliding contact.
Changes of the running speed due to traction or braking will have a great influence on the state of sticking and
slipping. Thirdly, the wheel–rail contact is an open system that directly exposed to the environment, and the friction
coefficient between wheel and rail is actually not constant. Currently, great efforts have been made, including (a)
mechanism researches, (b) numerical simulation prediction, and (c) countermeasures for the wheel and rail wear, all
of which will be reviewed in this section.

2.1 Wheel and rail wear mechanism researches

Due to the complexity of the wheel–rail contact environment, mechanism researches of the wheel/rail wear are
normally carried out using experimental approaches [13], including pin-on-disc tribometers, twin-disc machines,
scaled test rigs, and full-scale experiments. Extensive qualitative researches have been done to investigate the effects
of slip ratio [14, 15], contact pressure [16, 17], and environmental factors (e.g., water, humidity, temperature and
third-bodies) [18, 19] on the wheel and rail wear. However, the quantitative studies on these affecting factors are still
difficult and challenging.
Another important purpose of these experiments is to ascertain the wear rate of the wheel and rail, which is the
basis for wear prediction. Wear map is one of the most widely used tools for understanding the wear phenomenon.
According to previous studies, the wear rate of wheel/rail materials will undergo a sudden jump, and the wear can be
classified into three types: mild wear, severe wear, and catastrophic wear. The mild regime is normally presented at
the wheel tread or railhead, while the severe and catastrophic regimes are presented at the wheel flange or rail gauge
corner [20].

2.2 Wheel/rail wear prediction researches

Another comprehensive research area is the prediction of wheel/rail wear. Currently, the widely used research
method for wear prediction is numerical simulation since it is effective and cost-saving. In general, the wear
prediction system consists of three modules [21, 22]: multi-body dynamics (MBD) module that incorporates the
vehicle and track models, the local wheel–rail contact module, and the wear calculation model. The flowchart
illustrating the wheel/rail wear prediction simulation can be seen in Fig. 1, which is a close-loop process. The MBD
module can initially provide global contact parameters such as contact position, creepages, and wheel–rail contact
forces. Next, a local contact model is used to divide up the adhesion and slip regions. Moreover, the wear model is be
used to calculate the wear value according to distributions of the slip and adhesion. Finally, the wheel/rail profile is
updated and then smoothed for the next dynamics calculation.

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 Fig. 1. The flowchart of the wear prediction simulation.

2.2.1 Local wheel–rail contact models

Wheel–rail rolling contact model is a vital submodule as its accuracy and efficiency have great influences both
on online dynamics simulation and offline wear calculation. To this end, the initial research object should be the
wheel–rail rolling contact modelling. Generally, the wheel–rail contact evaluation involves three steps [23, 24]:
1) Searching for the wheel and rail contact points;
2) Calculation of the normal wheel–rail contact forces;
3) Calculation of the tangential wheel–rail contact forces (creep forces).

The simplest situation for the wheel–rail contact is the planar problem, namely, the 2-D contact problem which
will not consider the yaw angle of the wheelset. Normally, the single-point contact condition is assumed, and thus the
problem can be converted to finding the minimum distance of two profile curves. Under this condition, this problem
is easy to solve but jumps of the contact points may occur with the lateral shifting of the wheel (see Figs. 2(a) and
2(b)), which will result in sudden changes of wheel–rail contact parameters as well [24]. Accordingly, one strategy for
avoiding this phenomenon is to consider the effect of local deformability of the two profiles in the region close to the
contact point [25]. In term of the 3-D wheel–rail contact problem, there are various solving methods such as ‘apparent
profile’ method [26] and ‘contact trace method’ [27], etc. Taking ‘contact trace method’ as an example, its basic
principle is to decrease the calculation effort required through transforming the space contact problem into the plane
contact problem. When the moving posture of a wheelset is determined, the corresponding ‘possible contact trace’ can
be obtained, and the calculation dimensionality will be reduced to 2-D and the problem can be tackled. In this
approach, the contact trace for different yaw angles of the wheelset is different (see Fig. 2(c)), and thus the projection
of the ‘contact trace’ is also different in the O-YZ plane (see Fig. 2(d)).

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 (a) (b)

(c) (d)

Fig. 2. Online searching method for the wheel–rail contact point. (a) and (b) wheel–rail contact points for different
lateral shift of the wheelset relative to the rails (S1002-UIC60); (c) the contact trace for different yaw angles of the
wheelset; (d) projection of the contact trace in the O-YZ plane.

When the contact points are determined, it is natural to evaluate the wheel–rail contact forces since basic contact
parameters (wheel rolling radius, curvature of the contact point, and separation value between wheel and rail profiles,
etc.) are obtained. Currently, most solving methods are based on the elastic semi-half spaces assumption. Under this
condition, the normal force can be solved first, and then the tangential force can be evaluated by inputting the results
(e.g., the normal pressure distribution) obtained from the normal problem.
The most widely used method for normal force calculation is Hertz contact theory [28], which assumes that the
contact patch is an oval and the distribution of contact pressures is elliptic (see Fig. 3). However, this theory also
supposes that the curvature of the contact surface is constant, which contradicts the actual situation of the wheel and
rail. In order to break through the constant curvature hypothesis, a series of non-elliptic algorithms have been
presented and can be mainly classified into two categories: numerical calculation method and analytical method. The
numerical calculation method includes the boundary element method (e.g. CONTACT and corresponding improved
algorithms based on the variational method [23, 29]) and the finite element method (e.g. Ref. [30] and [31]).
However, numerical calculation methods are time-consuming and not suitable for the real-time simulation. The
non-Hertzian analytical method may be promising since it can reconcile the efficiency and accuracy of the
calculation. Currently, approximate normal solving approaches based on the virtual penetration method include
Linder model [32], Kik-Piotrowski model [33, 34], Ayasse-Chollet (Stripes) model [35], ASD model [36], EKP model
[37], Yang model [38], and MKP model [39], etc. Comparisons between these non-elliptic methods are listed in Tab.
1. The contact patches of non-Hertzian models are non-elliptic and will change with the shifting of the wheelset (See
Fig. 4).

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 (a) (b)
Fig. 3. Hertzian contact patch and normal pressure distribution: (a) 3-D view, and (b) top view.

Table 1 Comparisons between different non-Hertzian models

Normal Whether the Whether the yaw Corresponding

contact model local curvature angle is tangential contact
is used considered model
Linder model No No Revised FASTSIM
KP model No No FASTSIM
Stripes model Yes No Revised FASTSIM
ASD model Yes No FaStrip
EKP model No Yes None
Yang model Yes No None
MKP model Yes Yes FaStrip

(a) (b)

(c) (d)
Fig. 4. Non-Hertzian normal pressure stress distributions for different lateral shift of the wheelset (S1002-UIC60): (a)
yw = -1 mm, (b) yw = 0 mm, (c) yw = 1 mm, and (d) yw = 5 mm.
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 In terms of the tangential contact algorithms, a popular model based on the Hertzian normal contact model and
simplified Kalker theory is called FASTSIM [40] (see Fig. 5(a)), which needs low computational cost and is adopted
by most multi-body system (MBS) software programs. It is noticeable that FASTSIM can be applied to non-elliptic
contact patches as well if equivalent ellipses strategies are adopted and corresponding flexibility coefficients are
adjusted (see Fig. 5(b)). However, the original FASTSIM has three defects as follows:
(a) The calculation errors will be large when the contact point locates in the wheel flange region. Therefore,
some researchers have proposed so-called semi-Hertz models by discretizing the contact patch into several discrete
strips, and the Hertzian conditions are assumed on each stripe. The comparison results show that the error of
tangential force estimation can be reduced significantly [32, 35]. Another improved approach named FaStrip was
proposed by Sichani [41]. He combined the stripes theory with Kalker linear theory for tangential force solving and
got ideal results which were approximate to that calculated by CONTACT.
(b) With the increase in creepage, the adhesion region will gradually convert to the slip region (see Fig. 6). The
simulated creep force will firstly increase and then remain constant. However, the measured creep force curves show
a decrease in the large creep case, which may be explained through the effect of temperature. To this end, some
modifications for FASTSIM have been made to consider the falling friction effect [42-44] (See Fig. 7(a)). Polach also
proposed a new creep force model that incorporates a decreasing friction coefficient [45] (See Fig. 7(b)).
(c) Due to the existence of third-bodies like the oil, water, and contaminants, the measured initial slope of the
creep force curve is smaller than the theoretical one. Accordingly, some scholars applied reduction factors to the
Kalker coefficients Ci,j and obtained more accurate results [43].

(a) (b)
Fig. 5. Wheel–rail contact shear stress distribution in the pure spin case (S1002-UIC60): (a) Hertz+FASTSIM, (b)
KP+FASTSIM. The red line encircles the slip region.

(a) (b)
Fig. 6. Slipping and adhesion distributions for different creepages (Hertz+FASTSIM): (a) ξx = 0.001 and (b) ξx =
0.008. The red arrows encircle the relative slip speed.

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 (a) (b)

Fig. 7. Relationship between adhesion coefficient and creepage: (a) comparison results between FASTSIM, Revised
FASTSIM, and Polach model (b) results under different operation speeds (Polach model).
In recent years, the traditional Hertzian contact model and some non-Hertzian contact methods have been
successfully applied to the wheel tread wear prediction [46, 47]. However, few of the existing rolling contact
algorithms can be applied to precisely predicting of the wheel flange wear and rail side wear. Because in that case, the
two-point contact or even the conformal contact may occur between the worn wheel and side-worn rail. The contact
angle will vary significantly across the contact patch and thus the half-space assumption may be invalid.
Unfortunately, there is no accurate contact algorithm for the conformal contact situation now.

2.2.2 Vehicle–track interaction models

The wear prediction is a comprehensive process, and the simulation accuracy of every module may have a great
influence on the final wear results. Currently, the vehicle dynamics simulations are normally performed using MBS
software programs such as SIMPACK, GENSYS, UM, and ADAMS/RAIL, etc. Besides, vehicle–track coupled
system dynamics theory [48, 49] can be applied for more accurate simulation since the track components are normally
simplified in MBS software programs. To this end, Zhai et.al [50-52] carried out fundamental researches on the
wheel–rail interaction relationship, and he built the detailed vertical and spatial vehicle–track coupled dynamics
models. Other researchers have done a number of complementary works for the vehicle–track interaction modelling.
For example, Ling [53] and Liu [54] considered the longitudinal vibrations between vehicles and built an integrated
3-D train–track dynamics model. Chen et.al [55] developed a vertical–longitudinal locomotive dynamics model that
considered the dynamic action from gear transmissions, and vibration features of the locomotive were studied under
the traction and braking conditions.
The traditional rigid vehicle dynamics models normally neglect the flexibility of various components, and
vibration features can only be studied in a low frequency range (under 50 Hz) [24, 56]. During the past few years, the
calculation capacity of the computer has improved a lot. More and more scholars begin to consider the flexible
deformations of the vehicle and track components, including the wheelset [57-60] (see Figs. 8 and 9), bogie frame
[61], car body [62], and rail [49], etc. The research results indicate that the structural flexibility may have a significant
effect on the overall dynamics of railway vehicles, ride comfort, lateral stability, wheel–rail contact forces, and
wheel/rail wear [63, 64].

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 o x
v
z

1
2
3
4 5
M M M 7 M
6
8

10

Fig. 8. Side view of the vehicle–track coupled model.

Fig. 9. The schematic diagram of the flexible wheelset.

2.2.3 Wear calculation model

By utilization of the pin-on-disc tests or twin-disc tests, different research institutions have obtained different
wear regimes and developed corresponding wear models [65], including the British Rail Research (BRR) model, the
Zobory model, the Jendel model, the KTH model, and the USFD model (see Fig. 10). However, the parameters of
these wear models may vary according to the geographic location, environmental conditions, and specific pair of
materials [66], and it is difficult to apply these existing parameters to new situations directly.

Fig. 10. Wear calculation using the USFD model.

The development of intelligent algorithms makes it possible to predict the wheel/rail wear value based on the
measured wear data. Ye et al. [46] developed an automatic adjustment strategy based on Kriging surrogate model and
particle swarm optimization algorithm (KSM-PSO) to adjust the wear rate of the wear model, and the method proved
to be feasible by comparing simulated and measured results. Jeong et al. [67] utilized the particle filter method to
build a rail wear forecast model and verified it using the wear data of Seoul Metro. Nonlinear Autoregressive models

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 with exogenous input neural network (NARXNN) were proposed by Shebani and Iwnicki [68] for the wheel and rail
wear prediction. Measured data from the twin-disc rig were used to train, validate, and test the accuracy of the model.
It is noteworthy that the inputs (e.g., wheel and rail profiles, load, speed, and yaw angle, etc.) of these intelligent
algorithms need to be calculated using the MBS module as well, so the dynamics simulation accuracy is still the key
point for the wear prediction.
2.3 Countermeasures for the wheel and rail wear

When appropriate wheel–rail contact model and wear model are established, it is natural to propose mitigation
measures to reduce the wheel and rail wear. Currently, researches for wear reduction mainly concentrate on the wheel
profile optimization and rail profile asymmetric grinding. In order to improve the curve negotiation performance and
reduce flange wear, Wu et al. [69] developed the conformal wheel profiles with sufficiently high rolling radius
difference. Choi et al. [70] used the genetic algorithm and designed a new wheel profile to mitigate the wheel flange
wear and fatigue. Besides, the parallel inverse design method was adopted by Cui et al. [71] to design a new wheel
profile for high-speed trains, and they proved that the new designed profile is effective.
The rail asymmetric grinding is an effective method for reducing the side wear of rail on curves. This technique
was initially proposed by Australia Railways in the early 1980s and then spread to the USA, Canada [72] and other
countries. Marich [73] discussed the grinding maintenance experience of Australia Railways and related issues in
detail. Based on the wheel–rail contact geometry and wheel–rail dynamic interaction results, Zhai et al. [74] designed
a methodology of rail profiles grinding on curves and validated it using experimental results. Except for the rail
asymmetric grinding, some scholars have studied the effectiveness of wheel flange lubrication on wheel and rail wear
reduction as well [75, 76].

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