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TRANSIT TCRP REPORT 71 COOPERATIVE RESEARCH PROGRAM Sponsored by the Federal Transit Administration Track-Related Research Volume 5: Flange Climb Derailment Criteria and Wheel/Rail Profile Management and Maintenance Guidelines for Transit Operations

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TCRP OVERSIGHT AND PROJECT TRANSPORTATION RESEARCH BOARD EXECUTIVE COMMITTEE 2005 (Membership as of March 2005) SELECTION COMMITTEE (as of February 2005) OFFICERS CHAIR Chair: Joseph H. Boardman, Commissioner, New York State DOT SHARON GREENE Vice Chair: Michael D. Meyer, Professor, School of Civil and Environmental Engineering, Sharon Greene & Associates Georgia Institute of Technology Executive Director: Robert E. Skinner, Jr., Transportation Research Board MEMBERS LINDA J. BOHLINGER MEMBERS HNTB Corp. ROBERT I. BROWNSTEIN MICHAEL W. BEHRENS, Executive Director, Texas DOT Parsons Brinckerhoff Quade & Douglas, Inc. LARRY L. BROWN, SR., Executive Director, Mississippi DOT PETER CANNITO DEBORAH H. BUTLER, Vice Pres., Customer Service, Norfolk Southern Corporation and Subsidiaries, Metropolitan Transit Authority--Metro North Atlanta, GA Railroad ANNE P. CANBY, President, Surface Transportation Policy Project, Washington, DC GREGORY COOK JOHN L. CRAIG, Director, Nebraska Department of Roads Ann Arbor Transportation Authority DOUGLAS G. DUNCAN, President and CEO, FedEx Freight, Memphis, TN JENNIFER L. DORN NICHOLAS J. GARBER, Professor of Civil Engineering, University of Virginia, Charlottesville FTA ANGELA GITTENS, Consultant, Miami, FL NATHANIEL P. FORD GENEVIEVE GIULIANO, Director, Metrans Transportation Center, and Professor, School of Policy, Metropolitan Atlanta RTA Planning, and Development, USC, Los Angeles RONALD L. FREELAND Parsons Transportation Group BERNARD S. GROSECLOSE, JR., President and CEO, South Carolina State Ports Authority FRED M. GILLIAM SUSAN HANSON, Landry University Professor of Geography, Graduate School of Geography, Clark University Capital Metropolitan Transportation Authority JAMES R. HERTWIG, President, CSX Intermodal, Jacksonville, FL KIM R. GREEN GLORIA J. JEFF, Director, Michigan DOT GFI GENFARE ADIB K. KANAFANI, Cahill Professor of Civil Engineering, University of California, Berkeley JILL A. HOUGH HERBERT S. LEVINSON, Principal, Herbert S. Levinson Transportation Consultant, New Haven, CT North Dakota State University SUE MCNEIL, Director and Professor, Urban Transportation Center, University of Illinois, Chicago JOHN INGLISH MICHAEL MORRIS, Director of Transportation, North Central Texas Council of Governments Utah Transit Authority CAROL A. MURRAY, Commissioner, New Hampshire DOT ROBERT H. IRWIN JOHN R. NJORD, Executive Director, Utah DOT British Columbia Transit PHILIP A. SHUCET, Commissioner, Virginia DOT JEANNE W. KRIEG MICHAEL S. TOWNES, President and CEO, Hampton Roads Transit, Hampton, VA Eastern Contra Costa Transit Authority C. MICHAEL WALTON, Ernest H. Cockrell Centennial Chair in Engineering, University of Texas, Austin CELIA G. KUPERSMITH LINDA S. WATSON, Executive Director, LYNX--Central Florida Regional Transportation Authority Golden Gate Bridge, Highway and Transportation District EX OFFICIO MEMBERS PAUL J. LARROUSSE National Transit Institute MARION C. BLAKEY, Federal Aviation Administrator, U.S.DOT DAVID A. LEE REBECCA M. BREWSTER, President and COO, American Transportation Research Institute, Smyrna, GA Connecticut Transit GEORGE BUGLIARELLO, Chancellor, Polytechnic University, and Foreign Secretary, National Academy CLARENCE W. MARSELLA of Engineering Denver Regional Transportation District THOMAS H. COLLINS (Adm., U.S. Coast Guard), Commandant, U.S. Coast Guard FAYE L. M. MOORE JENNIFER L. DORN, Federal Transit Administrator, U.S.DOT Southeastern Pennsylvania Transportation Authority JAMES J. EBERHARDT, Chief Scientist, Office of FreedomCAR and Vehicle Technologies, MICHAEL H. MULHERN U.S. Department of Energy Massachusetts Bay Transportation Authority STACEY L. GERARD, Acting Deputy Administrator, Pipeline and Hazardous Materials Safety Administration, STEPHANIE L. PINSON U.S.DOT Gilbert Tweed Associates, Inc. EDWARD R. HAMBERGER, President and CEO, Association of American Railroads ROBERT H. PRINCE, JR. JOHN C. HORSLEY, Exec. Dir., American Association of State Highway and Transportation Officials DMJM+Harris ROBERT D. JAMISON, Acting Administrator, Federal Railroad Administration, U.S. DOT JEFFREY M. ROSENBERG EDWARD JOHNSON, Director, Applied Science Directorate, National Aeronautics and Space Administration Amalgamated Transit Union RICK KOWALEWSKI, Deputy Director, Bureau of Transportation Statistics, U.S.DOT BEVERLY SCOTT WILLIAM W. MILLAR, President, American Public Transportation Association Sacramento Regional Transit District MARY E. PETERS, Federal Highway Administrator, U.S.DOT PAUL P. SKOUTELAS ERIC C. PETERSON, Deputy Administrator, Research and Innovative Technology Administration, U.S.DOT Port Authority of Allegheny County SUZANNE RUDZINSKI, Director, Transportation and Regional Programs, U.S. EPA KATHRYN D. WATERS JEFFREY W. RUNGE, National Highway Traffic Safety Administrator, U.S.DOT Dallas Area Rapid Transit ANNETTE M. SANDBERG, Federal Motor Carrier Safety Administrator, U.S.DOT EX OFFICIO MEMBERS WILLIAM G. SCHUBERT, Maritime Administrator, U.S.DOT WILLIAM W. MILLAR JEFFREY N. SHANE, Under Secretary for Policy, U.S.DOT APTA CARL A. STROCK (Maj. Gen., U.S. Army), Chief of Engineers and Commanding General, U.S. Army Corps ROBERT E. SKINNER, JR. of Engineers TRB JOHN C. HORSLEY TRANSIT COOPERATIVE RESEARCH PROGRAM AASHTO MARY E. PETERS Transportation Research Board Executive Committee Subcommittee for TCRP FHWA JOSEPH H. BOARDMAN, New York State DOT (Chair) JENNIFER L. DORN, Federal Transit Administration, U.S.DOT TDC EXECUTIVE DIRECTOR MICHAEL D. MEYER, Georgia Institute of Technology LOUIS SANDERS APTA WILLIAM W. MILLAR, American Public Transportation Association ROBERT E. SKINNER, JR., Transportation Research Board SECRETARY MICHAEL S. TOWNES, Hampton Roads Transit, Hampton, VA ROBERT J. REILLY C. MICHAEL WALTON, University of Texas, Austin TRB LINDA S. WATSON, LYNX--Central Florida Regional Transportation Authority

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TRANSIT COOPERATIVE RESEARCH PROGRAM TCRP REPORT 71 Track-Related Research Volume 5: Flange Climb Derailment Criteria and Wheel/Rail Profile Management and Maintenance Guidelines for Transit Operations HUIMIN WU XINGGAO SHU NICHOLAS WILSON Transportation Technology Center, Inc. (TTCI) Pueblo, CO S UBJECT A REAS Public Transit Rail Research Sponsored by the Federal Transit Administration in Cooperation with the Transit Development Corporation TRANSPORTATION RESEARCH BOARD WASHINGTON, D.C. 2005 www.TRB.org

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TRANSIT COOPERATIVE RESEARCH PROGRAM TCRP REPORT 71: Volume 5 The nation's growth and the need to meet mobility, Project D-7 environmental, and energy objectives place demands on public ISSN 1073-4872 transit systems. Current systems, some of which are old and in need ISBN 0-309-08830-5 of upgrading, must expand service area, increase service frequency, Library of Congress Control Number 2001135523 and improve efficiency to serve these demands. Research is 2005 Transportation Research Board necessary to solve operating problems, to adapt appropriate new technologies from other industries, and to introduce innovations into Price $25.00 the transit industry. The Transit Cooperative Research Program (TCRP) serves as one of the principal means by which the transit industry can develop innovative near-term solutions to meet demands placed on it. The need for TCRP was originally identified in TRB Special Report 213--Research for Public Transit: New Directions, published in 1987 and based on a study sponsored by the Urban Mass Transportation Administration--now the Federal Transit Admin- istration (FTA). A report by the American Public Transportation NOTICE Association (APTA), Transportation 2000, also recognized the need The project that is the subject of this report was a part of the Transit Cooperative for local, problem-solving research. TCRP, modeled after the Research Program conducted by the Transportation Research Board with the longstanding and successful National Cooperative Highway approval of the Governing Board of the National Research Council. Such Research Program, undertakes research and other technical activities approval reflects the Governing Board's judgment that the project concerned is in response to the needs of transit service providers. The scope of appropriate with respect to both the purposes and resources of the National TCRP includes a variety of transit research fields including plan- Research Council. ning, service configuration, equipment, facilities, operations, human The members of the technical advisory panel selected to monitor this project and resources, maintenance, policy, and administrative practices. to review this report were chosen for recognized scholarly competence and with TCRP was established under FTA sponsorship in July 1992. due consideration for the balance of disciplines appropriate to the project. The Proposed by the U.S. Department of Transportation, TCRP was opinions and conclusions expressed or implied are those of the research agency authorized as part of the Intermodal Surface Transportation that performed the research, and while they have been accepted as appropriate Efficiency Act of 1991 (ISTEA). On May 13, 1992, a memorandum by the technical panel, they are not necessarily those of the Transportation agreement outlining TCRP operating procedures was executed by Research Board, the National Research Council, the Transit Development the three cooperating organizations: FTA, The National Academies, Corporation, or the Federal Transit Administration of the U.S. Department of acting through the Transportation Research Board (TRB); and Transportation. the Transit Development Corporation, Inc. (TDC), a nonprofit Each report is reviewed and accepted for publication by the technical panel educational and research organization established by APTA. according to procedures established and monitored by the Transportation TDC is responsible for forming the independent governing board, Research Board Executive Committee and the Governing Board of the National designated as the TCRP Oversight and Project Selection (TOPS) Research Council. Committee. Research problem statements for TCRP are solicited periodically but may be submitted to TRB by anyone at any time. It is the responsibility of the TOPS Committee to formulate the research Special Notice program by identifying the highest priority projects. As part of the The Transportation Research Board of The National Academies, the National evaluation, the TOPS Committee defines funding levels and Research Council, the Transit Development Corporation, and the Federal Transit expected products. Administration (sponsor of the Transit Cooperative Research Program) do not Once selected, each project is assigned to an expert panel, endorse products or manufacturers. Trade or manufacturers' names appear herein appointed by the Transportation Research Board. The panels prepare solely because they are considered essential to the clarity and completeness of the project statements (requests for proposals), select contractors, and project reporting. provide technical guidance and counsel throughout the life of the project. The process for developing research problem statements and selecting research agencies has been used by TRB in managing cooperative research programs since 1962. As in other TRB activ- ities, TCRP project panels serve voluntarily without compensation. Because research cannot have the desired impact if products fail Published reports of the to reach the intended audience, special emphasis is placed on disseminating TCRP results to the intended end users of the TRANSIT COOPERATIVE RESEARCH PROGRAM research: transit agencies, service providers, and suppliers. TRB are available from: provides a series of research reports, syntheses of transit practice, and other supporting material developed by TCRP research. APTA Transportation Research Board Business Office will arrange for workshops, training aids, field visits, and other 500 Fifth Street, NW activities to ensure that results are implemented by urban and rural Washington, DC 20001 transit industry practitioners. The TCRP provides a forum where transit agencies can and can be ordered through the Internet at cooperatively address common operational problems. The TCRP http://www.national-academies.org/trb/bookstore results support and complement other ongoing transit research and training programs. Printed in the United States of America

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The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished schol- ars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. On the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and techni- cal matters. Dr. Ralph J. Cicerone is president of the National Academy of Sciences. The National Academy of Engineering was established in 1964, under the charter of the National Acad- emy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achieve- ments of engineers. Dr. William A. Wulf is president of the National Academy of Engineering. The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, on its own initiative, to identify issues of medical care, research, and education. Dr. Harvey V. Fineberg is president of the Institute of Medicine. The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academy's purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Acad- emy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by both the Academies and the Institute of Medicine. Dr. Ralph J. Cicerone and Dr. William A. Wulf are chair and vice chair, respectively, of the National Research Council. The Transportation Research Board is a division of the National Research Council, which serves the National Academy of Sciences and the National Academy of Engineering. The Board's mission is to promote innovation and progress in transportation through research. In an objective and interdisciplinary setting, the Board facilitates the sharing of information on transportation practice and policy by researchers and practitioners; stimulates research and offers research management services that promote technical excellence; provides expert advice on transportation policy and programs; and disseminates research results broadly and encourages their implementation. The Board's varied activities annually engage more than 5,000 engineers, scientists, and other transportation researchers and practitioners from the public and private sectors and academia, all of whom contribute their expertise in the public interest. The program is supported by state transportation departments, federal agencies including the component administrations of the U.S. Department of Transportation, and other organizations and individuals interested in the development of transportation. www.TRB.org www.national-academies.org

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COOPERATIVE RESEARCH PROGRAMS STAFF FOR TCRP REPORT 71, VOLUME 5 ROBERT J. REILLY, Director, Cooperative Research Programs CHRISTOPHER W. JENKS, TCRP Manager EILEEN P. DELANEY, Director of Publications BETH HATCH, Assistant Editor TCRP PROJECT D-7 PANEL Field of Engineering of Fixed Facilities ANTHONY BOHARA, Southeastern Pennsylvania Transportation Authority, Philadelphia, PA (Chair) MICHAEL O. BROWN, Bay Area Rapid Transit District, Oakland, CA STELIAN CANJEA, New Jersey Transit Corporation, Bloomfield, NJ LANCE G. COOPER, West Palm Beach, FL EARLE M. HUGHES, Gannett Fleming Transit & Rail Systems, Audubon, PA JEFFREY G. MORA, Washington, DC JAMES NELSON, Wilson, Ihrig & Associates, Inc., Oakland, CA JOSEPH A. ORIOLO, Massachusetts Bay Transportation Authority, Jamaica Plain, MA CHARLES L. STANFORD, PB Transit & Rail Systems, San Francisco, CA TERRELL WILLIAMS, FTA Liaison Representative LOUIS F. SANDERS, APTA Liaison Representative GUNARS SPONS, FRA Liaison Representative ELAINE KING, TRB Liaison Representative

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This report includes the results of a research task carried out under TCRP Proj- FOREWORD ect D-7, "Joint Rail Transit-Related Research with the Association of American By Christopher W. Jenks Railroads/Transportation Technology Center, Inc." The report includes flange climb TCRP Manager derailment criteria for transit vehicles that include lateral-to-vertical (L/V) ratio limits Transportation Research and a corresponding flange-climb-distance limit, and it offers guidance that transit Board agencies can follow in their wheel and rail maintenance practices. This report should be of interest to engineers involved in the design, construction, maintenance, and oper- ation of rail transit systems. Over the years, a number of track-related research problem statements have been submitted for consideration in the TCRP project selection process. In many instances, the research requested has been similar to research currently being performed for the Federal Railroad Administration (FRA) and the freight railroads by the Transportation Technology Center, Inc. (TTCI), Pueblo, Colorado, a subsidiary of the Association of American Railroads (AAR). Transit track, signal, and rail vehicle experts reviewed the research being conducted by TTCI. Based on this effort, a number of research topics were identified where TCRP funding could be used to take advantage of research cur- rently being performed at the TTCI for the benefit of the transit industry. A final report on one of these efforts--Flange Climb Derailment Criteria and Wheel/Rail Profile Management and Maintenance Guidelines for Transit Operations--is presented in this publication. A railroad train running along a track is one of the most complex dynamic systems in engineering due to the presence of many nonlinear components. Wheel and rail geometries have a significant effect on vehicle dynamic performance and operating safety. The wheel/rail interaction in transit operations has its own special characteris- tics. Transit systems have adopted different wheel and rail profile standards for differ- ent reasons. Older systems with long histories have wheel and rail profile standards that were established many years ago. Newer systems have generally selected wheel and rail profiles based on an increased understanding of wheel/rail interaction in recent years. Transit systems are typically operated in dense urban areas, which frequently results in systems that contain a large number of curves with small radii that can increase wheel and rail wear and increase the potential for flange-climb derailments. Transit systems also operate a wide range of vehicle types, such as those used in commuter rail, light rail, and rapid transit services, with a wide range of suspension designs and perfor- mance characteristics. Increasing operating speed and the introduction of new vehicle designs have posed an even greater challenge for transit systems to maintain and improve wheel/rail interaction. Under TCRP Project D-7 Task 8, TTCI was asked to develop flange climb derail- ment criteria derived from wheel profiles found in various types of transit vehicles. In

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addition, TTCI was asked to develop guidelines for the maintenance and management of wheel/rail profiles for transit vehicles. In meeting these objectives, TTCI first iden- tified common problems and concerns related to wheel/rail profiles through a survey of representative transit systems. Based on this information, flange climb derailment cri- teria were developed using wheel profiles identified during the survey. TTCI then val- idated the flange climb derailment criteria using test track data and computer simula- tion. Finally, TTCI developed guidelines for the management and maintenance of wheel/rail profiles for transit operations based on problems and concerns identified dur- ing the transit agency survey and current transit practice.

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CONTENTS 1 SUMMARY 3 CHAPTER 1 Introduction 1.1 Background, 3 1.2 Structure of This Report, 3 1.3 Summary of Phase I Work, 4 6 CHAPTER 2 Flange Climb Derailment Criteria 2.1 Wheel L/V Ratio Criteria, 6 2.2 Flange-Climb-Distance Criteria, 6 2.3 Determination of Effective AOA, 7 2.4 Definition of Flange Climb Distance, 8 2.5 A Biparameter Technique to Derive Flange Climb Distance, 9 2.6 Effect of Speed on Distance to Climb, 10 2.7 Application of Flange Climb Criteria, 10 2.8 Examples of Application of Flange Climb Criteria, 10 12 CHAPTER 3 Recommended Management and Maintenance Guidelines of Wheel/Rail Profiles for Transit Operations 3.1 Requirement for New Wheel Profile Drawings, 12 3.2 Wheel/Rail Profile Measurement and Documentation, 14 3.3 Wheel/Rail Profile Assessment, 16 3.4 Understanding Important Stages of Wheel/Rail Contact in a System, 23 3.5 Wheel Re-Profiling, 24 3.6 Wheel Profile Design, 25 3.7 Ground Rail Profile, 26 3.8 Effect of Gage and Flange Clearance on Wheel/Rail Contact, 28 3.9 Wheel/Rail Profile Monitoring Program, 30 31 CHAPTER 4 Glossary of Technical Terms 33 REFERENCES A-1 APPENDIX A Effect of Wheel/Rail Profiles and Wheel/Rail Interaction on System Performance and Maintenance in Transit Operations B-1 APPENDIX B Investigation of Wheel Flange Climb Derailment Criteria for Transit Vehicles (Phase I Report) C-1 APPENDIX C Investigation of Wheel Flange Climb Derailment Criteria for Transit Vehicles (Phase II Report)