Computers and Geotechnics 155 (2023) 105192

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Computers and Geotechnics

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

Coupled DEM-FEM methods for analyzing contact stress between railway

ballast and subgrade considering real particle shape characteristic
Junhua Xiao a, b, *, Lihua Xue a, b, De Zhang c, d, *, Siqi Sun a, b, Yingqi Bai a, b, Jin Shi e
a
Shanghai Key Laboratory of Rail Infrastructure Durability and System Safety, Tongji University, Shanghai 201804, China
b
Key Laboratory of Road and Traffic Engineering of the Ministry of Education, Tongji University, Shanghai 201804, China
c
Shanghai Road and Bridge Group Co. Ltd, Shanghai 200433, China
d
Shanghai Engineering Research Center of Green Pavement Materials, Shanghai 200433, China
e
School of Civil Engineering, Beijing Jiaotong University, Beijing 100044, China

A R T I C L E I N F O A B S T R A C T

Keywords: To investigate the stress concentration at the interface between crushed ballast and soil subgrade, this study
Ballast developed a coupling program of discrete element method (DEM) and finite element method (FEM) using
Subgrade OOFEM and YADE software. Based on the penalty function method, an interface element was introduced for the
Contact stress
DEM-FEM coupling simulation. Moreover, an adaptive volume coupling algorithm was proposed to address the
FEM-DEM coupling
unrestricted behavior of the particles across the interface elements. Therefore, the change in the interface contact
stress distribution was analyzed in the process of ballast particles penetrating the subgrade soil. Based on the
statistical analysis of the ballast shape scanning results, a morphology reconstruction method was adopted to
restore the real irregular shapes of the ballasts. Consequently, a DEM-FEM coupling model of a ballasted railway
was established and validated through laboratory test results. The meso-scale mechanism revealed the discon­
tinuous characteristics of the contact stress caused by the ballast aggregates. In addition, the adaptive volume
coupling algorithm in the case of ballast penetrating subgrade soil was preliminarily proven to be reasonable.
This study provides a more accurate approach for calculating the interface stress between ballast and subgrade,
which can support a further refined analysis of ballast railway subgrade deterioration.

1. Introduction characteristics of the ballast lead to stress concentrations at the sleeper-

The contact stress at the ballast bed-soil subgrade interface is
generated by train loading and transmitted through rails and sleepers, in
addition to the diffusion of the ballast bed. Owing to the angular features
of ballast particles, stress concentration occurs on the subgrade surface,
resulting in subgrade deterioration, such as ballast pocket and mud
pumping (Duong et al., 2014). Employing advanced sensors, researchers
have developed a deeper understanding of the contact stress state among
the layers of ballasted tracks. Recently, a new tactile sensor, Tekscan,
and an intelligent-sensing sleeper were introduced to reveal the discrete
and uneven distribution of contact stress between a ballasted bed and
sleepers (Mchenry et al., 2015; Aikawa, 2015). Xiao et al. (2019) ob­
tained the actual stress condition at ballast-soil interfaces using matrix
tactile sensors, and the results showed that the peak of the interface
stress was significantly higher than the average value obtained by a
traditional earth pressure cell. These results indicated that the angular
ballast-soil interfaces.
Generally, the elastic half-space empirical algorithm, layered com­
posite beam model, and finite element method (FEM) are adopted to
solve the dynamic response of track structures. Among those methods,
the continuity hypothesis was adopted and the shape of the ballast
cannot be considered. However, ballast is a typical granular material
and its irregular shape has significant effects on the compactness (Zhang
et al.,2020), deformation modulus (Liu et al., 2018), and cumulative
deformation rate (Chen et al., 2023) of ballasted track. Therefore, multi-
scale simulation methods that can reflect the real stress conditions of
ballasted railway structures must be developed. Discrete element
method (DEM) is a typical discontinuous medium mechanics method
that has been widely applied to simulate the mechanical behavior of
ballast particles (Indraratna et al., 2010). It exhibits great applicability
in the calculation of the interaction between ballast and adjacent
structures. For example, Aikawa (2011) established a DEM model

* Corresponding authors at: No. 36, Guoke Road, Yangpu District, Shanghai 200433, China.
E-mail addresses: jhxiao@tongji.edu.cn (J. Xiao), dz2015@tongji.edu.cn (D. Zhang).

https://doi.org/10.1016/j.compgeo.2022.105192
Received 25 July 2022; Received in revised form 9 December 2022; Accepted 12 December 2022
Available online 21 December 2022
0266-352X/© 2022 Elsevier Ltd. All rights reserved.
J. Xiao et al. Computers and Geotechnics 155 (2023) 105192

including a ballast, rail rubber pad, sleeper, and subgrade, and analyzed 2. DEM-FEM interface coupling and adaptive volume coupling
the uneven dynamic stress distribution at the bottom of the sleeper. algorithms
Laryea et al. (2014) and Guo et al. (2021) studied the interaction be­
tween different types of rail sleepers (e.g. concrete monolithic rail 2.1. Interface coupling algorithm
sleepers and U-shaped steel rail sleepers) and ballasted track. The au­
thors reported that particle shapes impact the interaction between rail 2.1.1. Governing equation and interface force calculation
sleepers and ballasted track, and the stronger grain angularity, the less The kernel idea of both the DEM and FEM involves the division of the
ballasts shift. Shi et al. (2021a) simulated the ballast layer in DEM research object into relatively independent mechanical elements. This
considering its irregular particle shapes and studied the influences of section introduces the basic coupling algorithm of the DEM and FEM,
ballast restriction on the track stiffness. However, the simulation of all providing the weak form of the governing equation and calculation
track structures using DEM would incur high costs and the calculation method of the interface force. The appropriate coupling strategies of
results cannot be obtained. DEM and FEM may differ for different problems. The algorithm pro­
In addition, researchers have attempted to combine DEM with posed in this section primarily considered the interaction relationship at
appropriate continuum medium methods to solve the interaction be­ the interfaces between touching objects.
tween ballast and other structures. Shao et al. (2017) adopted the DEM (1) The weak forms of the governing equation
and FEM to simulate the ballast bed and subgrade, respectively, and The solution domain Ω is regarded as two subdomains: the discrete
performed interactive calculations using a DEM-FEM coupling method element subdomain ΩA and finite element subdomain ΩB . Their inter­
to study the cumulative settlement of ballast under train loads. Li et al. action interface is SAB . The external force boundaries are SσA and SσB ,
(2019) established a coupling model of a ballasted railway using DEM and the displacement boundaries are SuA and SuB . The coupling method
and finite difference method (FDM), and obtained the stress distribution imposes displacement constraints on the interface. Therefore, based on
pattern and transmission law inside the ballast and subgrade. These the solid mechanism, the coupling of the DEM and FEM models is
studies revealed the stress concentration phenomenon caused by uneven equivalent to a functional stationary value problem as defined in Eq. (1):
contact between crushed gravel ballast and soil subgrade. Shi et al. ∏ ∏ ∏
(2021b) adopted the DEM-FEM coupling method in the ballasted track- = pA + pB (1)
P
subgrade models, and analyzed the dynamic behavior of ballast layer ∏ ∏
and the contact characteristics on the subgrade surface. Guo et al. (2022) where pA and pB are the functions of displacements uAi and uBi in
built the train-track-subgrade system model by combining the multi­ the subdomains ΩA and ΩB , respectively. It was assumed that both
body dynamics method with DEM and FEM, and the dynamic perfor­ subdomains remain intact; that is, the displacement at the interface
mance and interaction between the train, ballasted track and subgrade meets the non-penetration condition: uAi − uBi =0.
were analyzed, respectively. However, these existing studies did not The penalty factor α is introduced in Eq. (1) as a multiplier for
consider the process of ballast particles piercing subgrade surface. As the obtaining Eq. (2) in the form of a penalty function:
train axle load becomes heavier or the subgrade decreases during ∏ ∏ ∏ ∏ ∫
α A
operation, the strength of the subgrade may be insufficient, and ballast * * A
(2)
B 2
p = p (ui , ui ) = pA + pB + (ui − uBi ) dS
SAB 2
particles may penetrate the soil; however, related simulation research
on this issue is insufficient at present. By performing a variation in Eq. (2) we obtain Eq. (3):
Thus, studies on the cross-scale expression and conversion relation­ ∏ ∏ ∏ ∫
ship between the discrete and finite elements is necessary. Several re­ δ *
p = δ pA + δ pB + α(uAi − uBi )(δuAi − δuBi )dS (3)
searchers have conducted active exploration and practice to address this SAB

issue. For example, Zárate et al. (2017) and Cornejo et al. (2019) com­ As the displacement terms uAi and uBi are independent of each other,
bined an adaptive remeshing technique with a coupled FEM-DEM ∏
satisfying δ *p = 0 in Eq. (3) results in satisfying the following:
approach to analyze the concrete cracking process. With the occur­
∫
rence of fracturing problems, regeneration of discrete elements on the ∏
δ pA + α(uAi − uBi )δuAi dS = 0 (4)
crack faces of the new mesh was performed. SAB
This study aimed to provide an approach to analyze the contact ∫
relationship between a gravel ballast bed and soil subgrade considering δ
∏
− α(uAi − uBi )δuBi dS = 0 (5)
irregular ballast shapes. The finite element program, namely object-ori­
pB
SAB
ented FEM (OOFEM), the discrete element program yet another dynamic
Eqs. (4) and (5) are the governing equations in the subdomains ΩA
engine (YADE), and the Multi-Physics Integration Framework (MuPIF) were
and ΩB , respectively. According to the principle of virtual displacement,
adopted. In addition, an adaptive volume coupling algorithm for DEM-
the term α(uAi − uBi ) is the interface force acting at the interface SAB .
FEM coupling was proposed to consider the penetration process of
ballast particles into the subgrade soil. Consequently, a DEM-FEM (2) Calculating penalty force
coupling model of a ballasted track subgrade was established. There­ The interfacial force in Eqs. (4) and (5) can be calculated as follows:
∫
after, the discrete contact stress distribution at the ballast-subgrade ∑
α(uAi − uBi )δuAi dS = δueT K ec Δue (6)
interface was obtained and verified using the corresponding experi­ SAB e
mental results, and the meso-scale behavior of the ballast particle ∫
movement under different train load levels was analyzed. Finally, where Kec T
= N αNdS represents the interface stiffness matrix, α
considering an example of ballast particles piercing the subgrade sur­ represents the penalty factor matrix, and N represents the shape function
face, the simulation results of the interface coupling and adaptive vol­ matrix of the finite element model. Additionally, Δue = uf − ud is the
ume coupling algorithms were compared. The proposed coupled DEM- relative displacement between the corresponding connection points of
FEM approach for calculating the interface stress between ballast and the DEM and FEM models, where uf and ud represent the displacement
subgrade soil can support further refined analyses of ballast railway matrices of FEM nodes and DEM coupling points, respectively.
subgrade deterioration. Furthermore, through certain simplification, Eq. (6) can be expressed
as:
∫ ∑
α(uAi − uBi )δuAi dS = Kc (δueT Δue ) (7)
SAB e

2
J. Xiao et al.
Fig. 1. Interface elements and coupling principle.
where Kc = αA denotes the interface contact stiffness, α denotes the
penalty factor, and A denotes the coupling surface area. Theoretically, α
approaches infinity, which can be expressed in the simulation as
α = γK
where γ denotes the scaling factor and K = min (Kf , Kd ) denotes the
coefficient related to the interface material. Further, Kf and Kd can be
calculated as follows:
Ef Ed
Kf = , Kd =
1 − 2μf 1 − 2 μd
where μf and μd are Poisson’s ratios of the material on each side of
the FEM and DEM models, respectively.
On substituting Eq. (8) in Eq. (7), the following is obtained:
∫ NI (ξ1c , ξ2c ) = (1 + ξ1I ξ1c )(1 + ξ2I ξ2c )
∑ ∑
α(uAi − uBi )δuAi dS = γKA(δueT )Δue = (δueT )FP (10)
SAB e e
where FP = γKAΔu represents the penalty force imposed on the DEM
e
model, which can also be expressed as:
FP = γKδ (11)
where δ denotes the penetration between discrete and finite ele­
ments. When the discrete element particle type is a ball, A is set 1, that is,
δ = Δue ; whereas, when it is a polyhedron, δ = VI , where VI denotes the
overlapping volume between the discrete and finite elements. According
to Newton’s third law, − FP is the penalty force imposed on the finite
element.
(3) Calculating of interface force in the FEM model
Based on the above penalty function method, the coupling simula­
tion process was transformed into a problem of solving the contact of
two subdomains, and the key is to calculate the coupling force at the
interface. In Eqs. (4) and (5), the nodal shape function of the displace­
ment field can be determined. Therefore, first, the coupling points be­
tween the discrete and finite element meshes should be determined.
Researchers have adopted several algorithms, such as simplified node
judgment algorithm (Xu et al., 2014) and face-centered judgment al­
gorithm (Zeng et al., 2020), to determine the coupling points. However,
owing to these algorithms being capable of only searching the coupling
points at specific positions on a finite element mesh, mesh generation is
limited by the arrangement and size of the discrete element particles. In
this study, the surface mesh elements in the FEM domain were copied as
interface elements, which were then used as virtual facet contact
Computers and Geotechnics 155 (2023) 105192
elements in the DEM subdomain. Thus, only the contact between the
facets and discrete element particles in the DEM subdomain needs to be
searched and determined, as shown in Fig. 1.
When the contact between a discrete element particle and an inter­
(8)
face element is activated, it is considered an effective coupling pair
between the DEM and FEM. Subsequently, the shape function at the
coupling point must be solved. In Fig. 1, the facet nodes N1, N2, N3 and
N4 correspond to the finite element mesh nodes N1′ , N2′ , N3′ , and N4′ ,
respectively. Points C and D denote the coupling point and mass centroid
(9) of a discrete-element particle, respectively. Additionally, x and d repre­
sent the position vectors of points C and D in the global coordinates,
respectively. The shape function value at the coupling point can be
calculated using Eq. (12):
1
(12)
4
where ξ1c and ξ2c denotes the natural coordinate value at the
coupling point.
The relative displacement Δue of the coupling points on the discrete
element particle and finite element surface is defined as
Δue = utdc − utfc (13)
where utdc and utfc are the displacements of the coupling points on the
discrete and finite elements at time t, respectively, which can be
calculated as
utdc = utd + utr , utfc = NI utI (14)
where utd denotes the displacement of the mass center of the discrete
element particle at time t, utr denotes the displacement of the coupling
point relative to the mass center, and utI denotes the node displacement
on the coupling surface of the FEM model at time t.
The location of the contact point between the particle and the
interface element affects the nodal force distribution. The distribution
rule proposed by Zheng et al. (2017) was adopted to determine the nodal
force. As seen from Eqs. (12), the weight of penalty force allocated to the
node is proportional to the distance between the node and the contact
point. Combining Eqs. (11) and (12), the penalty force -FP at the
coupling point is distributed to the mesh nodes as the interface force in
the finite element domain:
FPfI = − NI (ξ1c , ξ2c ) FP (I = 1, 2, 3, 4) (15)
3
J. Xiao et al.
Fig. 2. UML framework diagram of the MuPIF interface coupling program.
2.1.2. Basic framework of the coupling program
A required program must be compiled to solve the interaction be­
tween continuous and discontinuous media. In this study, the DEM-FEM
coupling model is based on three open source programs: the finite
element program OOFEM, the discrete element program YADE, and the
multi-physics integration program MuPIF. Wherein, an implicit algo­
rithm is used for the finite element domain and an explicit finite dif­
ference method is adopted for the discrete element domain. Both
OOFEM and YADE use the C++ language as the core underlying algo­
rithm, and the subscriber interface can be scripted in Python.
OOFEM provides independent abstractions for nodal computation,
numerical iteration, and data storage. It enables the mesh data exported
in different periods, thus accommodates to the inconsistent data ex­
change frequencies in explicit and implicit coupling calculation. The
motional parameters of individual object can be customized in YADE. As
a result, the boundary conditions of the coupling interface can be
determined by the displacement of the finite element mesh. MuPIF
provides a unified FE-DE data transfer port and supports self-written
mapping algorithms for different problems. It fulfills the need for
different types of variables to be mapped in the coupling calculation.
More details about OOFEM, YADE and MuPIF can be referred to the
references Patzak (2012), Smilauer et al. (2018), Patzák et al. (2013),
respectively.
The UML framework diagram of the FEM-DEM interface coupling
program developed using MuPIF is shown in Fig. 2. The class Cell on the
left is an interface element, which identifies the type of surface mesh
element in the FEM model and generates triangular Facet elements ac­
cording to the geometric characteristics of the mesh. It can handle four
4
Computers and Geotechnics 155 (2023) 105192
types of FEM elements, including TRIANGLE and QUAD for two-
dimensional plane problems, and TETRA and HEXAHEDRON for solv­
ing three-dimensional problems. In addition, the DemDomain class
adapted to YADE was compiled for the DEM simulation, as shown in the
yellow block. This part can receive the copy of facet elements from the
class Cell as the boundary condition for the DEM model and handle the
corresponding contact search and force calculation of particle–particle
and particle–facet. Using the above coupling algorithm, the module
FemDemSurfaceTO for data transfer between finite elements and
discrete elements is built based on the data mapping port Trans­
ferOperator provided by the multi-physics field coupling program
MuPIF. The framework is shown in the right part of Fig. 2. This module
can provide dynamic storage of the contact force between particle and
the interface element (getForceFromDEM), and the displacement of
class Cell in finite element domain (getDsplFromFEM). Meanwhile, the
function Map is used to define the data transfer algorithm of the contact
force and displacement.
The entire program framework was designed in the Ubuntu 16.04
LTS system compilation environment. Further, the FEM program version
was OOFEM 2.4, DEM program version was YADE 2016.01a, and visu­
alizer was Paraview 5.4.1.
2.2. Adaptive volume coupling algorithm
Under heavy train loads, certain ballast aggregates penetrate sub­
grade soil when the soil strength is insufficient. For the DEM-FEM
interface coupling algorithm described in Section 2.1, the interface el­
ements also act as the boundary between the DEM and FEM domains.
J. Xiao et al.
Fig. 3. Relative position between the particle’s barycenter and interface elements: (a) particle’s barycenter mc located at the DEM side, (b) particle’s barycenter mc
passing through the interface, and (c) the whole particle falls into the FEM side.
Fig. 4. Basic principle of adaptive volume coupling and process of (a) before finite element conversion and (b) after finite element conversion.
The direction of force FN exerted on the interface elements by a discrete
element particle is from the barycenter of the particle to the center of the
interface element. Generally, the mass centroid of discrete elements mc
is located at the side of the DEM domain; therefore, the direction of FN
should be towards the side of the FEM domain, as shown in Fig. 3(a).
When calculating the interface stress between the ballast and subgrade
for the case where a ballast particle penetrates the soil, the mass centroid
mc passes through the interface elements into the FEM domain in the
simulation. At this time, the direction of FN changes abruptly, as shown
in Fig. 3(b). It is evident that although the actual interaction force be­
tween the two media does not change, the direction of FN in Fig. 3(b) is
opposite to that in Fig. 3(a). This implies that the particles passing
through the interface elements lose the boundary condition constraints,
as shown in Fig. 3(c).
Inspired by representative volume elements (RVE; Guo et al., 2016),
this study proposed an adaptive volume coupling algorithm to handle
the situation wherein discrete element particles are squeezed into the
FEM domain. Fig. 4(a) illustrates certain particles, interface elements,
and finite element meshes in DEM-FEM interface coupling. The finite
element A is an 8-node HEXAHEDRON. Here, only corner nodes a − h of
the finite element A are drawn, which define the boundary of the finite
element mesh. The abcd surface is in contact with particle B.
5
Computers and Geotechnics 155 (2023) 105192
Accordingly, the interface element a’b’c’d’ is used as boundary in the
DEM domain. If the vertical distance between the mass centroid mc of
particle B and interface element a’b’c’d’ is less than a certain limit,
which is considered as 0.01 times the particle’s middle axis (Φ2) length
in this study, the element conversion condition is satisfied. The particle
middle axis (Φ2) is defined in Section 3.1. Subsequently, the finite
element A is converted into a set of discrete balls within a certain size, as
shown in Fig. 4(b). The interaction between the converted sphere set and
particle B roughly reflects the original FEM-DEM contact state in that
region.
The specific conversion steps are as follows:
(1) When the relative position relationship between particle B and
interface element a’b’c’d’ satisfied the conversion conditions, the
interface element a’b’c’d’ was deleted. Simultaneously, the cor­
responding mass of nodes a–h was subtracted from the finite
element A in the FEM model. The subtracted mass was 1/8 of the
initial mass. If a node corresponding to the deleted interface el­
ements no longer existed in any of the remaining finite elements,
the finite element node was deleted.
(2) New interface elements corresponding to the converted finite
element mesh in the DEM domain were generated; for example,
J. Xiao et al.
Fig. 5. Flow chart of the DEM-FEM adaptive volume coupling algorithm.
a’’c’’g’e’, a’’b’’f’e’, b’’d’’h’f’, d’’c’’g’h’, and e’f’g’h’, as shown in
Fig. 4. Subsequently, a set of new discrete elements within a
newly defined boundary was generated. These discrete element
sets adopted spheres. After conversion, the spheres overlapping
the polyhedron would be deleted. Thereafter, in the new sce­
nario, a set of spheres approximate to the mean stress state of the
finite element A was generated by servo stress control (Zhao
et al., 2015; Fortin et al, 2003). Finally, this set of spheres was
duplicated into the new space of the initial coupling scene (O.
switchScene (0)).
(3) The force between the converted and other finite elements was
reflected by the interface force of the discrete element set and the
finite elements. The stress inside the converted region was
replaced by the average stress of the discrete element particles.
Fortin et al. (2003) proposed a method for constructing the
average stress tensor for granular materials. It was automatically
symmetric and invariant by translation and can be obtained from
Eq. (16):
1
∫
1
∫
1 terization indices include the long axis (Φ1), middle axis (Φ2), short axis
σ= r(ρg)T − r(ρü)T + rfcT (16)
V V V V V
where V denotes the particle volume, r denotes the position vector of
the current point on the particle, ρ denotes the particle density, g denotes
the gravitational acceleration, u denotes the displacement vector of the
current point, and fc denotes the contact force acting on the particles.
The three terms on the right-hand side represent the contributions of
gravity, inertial force, and contact force to the average stress tensor.
Moreover, the external force can be regarded as contact force; however,
the action points should be on the surface of spheres.
The total flow of the adaptive volume coupling algorithm is shown in
6
Computers and Geotechnics 155 (2023) 105192
Fig. 5.
3. Simulation and verification of the DEM-FEM coupling model
3.1. Ballast-subgrade coupling numerical model
3.1.1. Morphology reconstruction of irregular ballast particles
In a previous study (Xiao et al., 2020), 3D laser scanning was used to
obtain the point cloud data of 584 particle surface profiles for grade I
railway ballast. The grading curves of the selected ballast aggregates are
shown in Fig. 6(a). The scanning instrument and results are shown in
Fig. 6(b).
A novel method based on proper orthogonal decomposition (POD)
and radial basis function (RBF) neural network was proposed (Xiao
et al., 2020) for morphological reconstruction. It can generate an arbi­
trary number of ballast particles that reflect the real global shape and
local angular features. Global morphological features primarily refer to
the basic geometric dimensions and shapes. Certain common charac­
(Φ3), and sphericity index (Sp3) (Yan et al., 2016). Φ1 is the longest
distance between the two farthest points on the surface of the particle,
whereas Φ2 is the longest dimension located on the maximum projection
plane, perpendicular to Φ1. Additionally, Φ3 is the maximum dimension
perpendicular to Φ1 and Φ2. Consequently, the sphericity index Sp3 is
defined based on these three indices and describes the degree of simi­
larity with a sphere. It can be calculated using Eq. (17):
Φ2 × Φ3
Sp3 = (17)
Φ21
The local morphology primarily reflected the edges and angularities
J. Xiao et al. Computers and Geotechnics 155 (2023) 105192

Fig. 6. Ballast (a) grading curve and (b) surface profile scanning.

of particles. A new statistical index, Curvature Index (CI; Xiao et al., selected for the summary.
2020) was adopted: Based on the statistical analysis of these global and local morpho­
2∑
logical indices for the scanned ballast particles, their probability density
0%N ∑
160
CI = ρi = ρi (18) distributions were obtained. POD was then applied to seek dominant
i=1 i=1 eigenvectors to describe the main morphological features of the sample
ballast particles. Consequently, using these eigenvectors and the corre­
where ρi denotes the local curvature of a single particle arranged in
sponding shape expansion coefficients （C0, …, C34）, digital ballast
descending order and N denotes the total point number in each point
particles with equivalent morphological features can be regenerated.
cloud, normalized to 800 in this study. Researchers have found that at
The mapping relationship between the shape expansion coefficients and
least 20% of points are obtained by laser scanning located at angularities
morphological feature indices can be learned using an RBF neural
or edges (Ouhbi et al., 2017). Therefore, the first 20% CI values were
network. Based on this, the specific coefficients can be calculated from

Fig. 7. Flow chart of the ballast particle reconstruction method.

7
J. Xiao et al. Computers and Geotechnics 155 (2023) 105192

Fig. 8. DEM-FEM coupling model for sleeper-ballast-subgrade with (a) ballasted bed, (b) mesh division of subgrade surface, and (c) the whole model.

the probability density distribution of the above morphological feature
indices; thus, an arbitrary number of ballast samples can be recon­
structed. A flow chart of the overall morphological reconstruction
method for ballast particles is shown in Fig. 7. Further details can be
found in a previous work (Xiao et al., 2020).
3.1.2. DEM-FEM coupling model
Based on the reconstruction of irregularly shaped ballasts, a DEM-
FEM coupling numerical model was established to analyze the inter­
face contact stress between the ballast and subgrade. The dimensions,
materials, and loading conditions of the numerical model were based on
a ballast-subgrade indoor model test performed in a previous study (Xiao
et al., 2019).
In the DEM model, ballast particles were simulated using polyhedron
elements. A linear elastic contact model was adopted to calculate the
normal and tangential forces between particles. A total of 4409 ballast
particles were regenerated, the grading curve of which satisfied the
requirements in Fig. 8(a). The ballast bed was compacted in layers to the
required density of Chinese specification (Railway ballast, TB/T 2140-
2008) with a final thickness of 0.35 m. There were four walls around the
ballast bed as side limits, which are not shown in the figure. The sleeper
and subgrades were simulated using FEM. The sleeper had height,
width, and length of 0.23, 0.30, and 0.55 m, respectively, simulated
using linear elastic material. The subgrade soil had height, width, and
length of 0.60, 0.57, and 1.00 m, respectively, simulated using the
Drucker-Prager constitutive model. A viscoelastic damping boundary of
5 cm thick was set around the soil boundaries to reduce the reflection of
the stress wave under cyclic loading. The normal stiffness of the
boundary mesh elements and damping coefficient were set as 1.2 × 108
N/m and 0.6, respectively. The authors found that the influence of the
mesh size on the maximum interfacial contact force is negligible if the
mesh size is smaller than half of the particle size d60 (particle size when
the cumulative passing mass reaches 60%). As shown in Fig. 6 (a), the
proportion of ballast with the dimension similar to d60 of 4 cm accounts

Table 1
Parameters of the DEM-FEM coupling model.
DEM domain Density Normal volumetric stiffness kn/ Shear stiffness ks/(N⋅m− 3) Friction coefficient Damping Time step Δt/
ρ/(kg⋅m− 3) (N⋅m− 3) coefficient c （step⋅s− 1）
Ballast 2600 1.82 × 1010 1.6 × 10 10
0.65 0.03 1 × 10 − 6
particle
FEM domain Density Modulus E/Pa Poisson’s ratio Friction Damping Cohesive stress Time step Δt/
ρ/(kg⋅m− 3) μ angle/◦ coefficient c /kPa （step⋅s− 1）

Sleeper 2600 3.0 × 1010 0.2 – 0.03 – 1 × 10 − 6

Subgrade 1950 1.2 × 108 0.33 30 0.3 30 1 × 10 − 6

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J. Xiao et al. Computers and Geotechnics 155 (2023) 105192

for major part. This means that the mesh size should be smaller than 2
cm. In this research, the minimum size of the finite element mesh for the
subgrade soil under the sleeper was 1 cm, as shown in Fig. 8(b). The
overall DEM-FEM coupled model is shown in Fig. 8(c). The primary
model parameters are listed in Table 1, which were determined ac­
cording to the calibration results of the triaxial test reported in a pre­
vious study (Xiao et al., 2017).

3.2. Analysis and validation of simulation results

Fig. 9. Contact stress distributions at ballast-subgrade interface at Pd = 21 kN.
The simulation in this section was performed under the same load
conditions as in the laboratory model test (Xiao et al., 2019). The cyclic
loading frequency f was fixed at 1 Hz. The amplitude Pd was increased
from 3 to 21 kN at intervals of 3 kN, and the lowest static load was
maintained at 3 kN during cyclic loading. In the simulation of this study
and the previous model test, no ballast penetration into the subgrade
was observed. Fig. 9 shows the contact stress at the ballast-subgrade
interface based on the interface coupling algorithm at Pd = 21 kN.
In a previous laboratory model test, a Tekscan-tactile sensor was

Fig. 10. Comparison of (a) coupling model result and (b) indoor test result at Pd = 21 kN.

Fig. 11. Comparison of experimental and simulation results by (a) the maximum stress and (b) the average stress over central area with loading amplitude.

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J. Xiao et al. Computers and Geotechnics 155 (2023) 105192

Fig. 12. Diagram of the ballast linear velocity (m/s) under (a) Pd = 6 kN and (b) Pd = 30 kN, and angular velocity (◦ /s) under (c) Pd = 6 kN and (d) Pd = 30 kN.

introduced to investigate the discrete contact stress between the gravel cm × 24.59 cm square area below the sleeper in the interface coupling
ballast and subgrade. The sensor was placed on the ballast-subgrade model were compared with the indoor test, as shown in Fig. 10. The
interface below the sleeper center with a side length of 24.59 cm. maximum contact stress at Pd = 21 kN in this area, calculated via the
Therefore, the stress distribution on the subgrade surface in the 24.59 coupling model, was 1557 kPa, which is roughly consistent with the

Fig. 13. Diagram of the force chain distribution at (a) 0.15 s, (b) 0.25 s, (c) 0.35 s, and (d) 0.50 s in the ballast bed at Pd = 30 kN.

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J. Xiao et al.
Fig. 14. 3D spherical histogram of the local average normal force.
1479 kPa obtained from the test.
Fig. 11(a) shows that the experimental and simulation results for the
maximum contact stress varied with the load amplitude. Fig. 11(b)
shows the average stress variation over the central 9 cm × 9 cm area.
The distribution of each stress level at Pd = 21 kN is displayed on the
lower-right side. This shows that the coupling simulation can effectively
reflect the discrete distribution of contact stress at the ballast and sub­
grade interface obtained by laboratory tests and verifies the significant
influence of the angular features of the particles on the stress
distribution.
To analyze the meso-scale behaviors of ballast movement during
cyclic loading, the linear and angular velocities of the ballast were
compared when the cyclic load amplitudes Pd were 6 and 30 kN,
respectively, as shown in Fig. 12. It is evident that with an increase in the
load amplitude, the vertical linear velocity increased significantly.
However, along the depth direction, the linear velocity attenuated and
became almost zero at the depth of the subgrade surface. From Fig. 12(c)
and (d), it can be observed that the angular velocities of the ballast
particles also increased with the load amplitude. The angular velocity of
the particles near the edges of the sleeper was particularly large, indi­
cating that the ballast particles at those positions rotated violently under
the action of the dynamic load. In addition, through the variation in the
angular velocity of the particles along the depth, it was observed that
when the load amplitude was relatively low (6 kN), the angular velocity
Fig. 15. Schematic of (a) model size and (b) initial contact state between the ballast bed and soil.
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Computers and Geotechnics 155 (2023) 105192
of the bottom ballast particles was very small, indicating that the bottom
ballast hardly rotated. However, when the load amplitude was large (30
kN), the angular velocity increased significantly. The bottom ballast
particles rotated, although they exhibited a small displacement under
the action of a high-amplitude load, implying that the wear between the
edges and angularities increased. In addition, owing to the angular
feature of the irregular ballast particles, the rotation motion changed the
contact state with the subgrade surface, resulting in a change in the
stress distribution at the ballast-subgrade interface. The area of the stress
concentration also changed accordingly. Thus, with the increase in load
amplitude, stress concentration may not only occur directly under the
sleeper but also in the adjacent area of the sleeper edges. This is illus­
trated in Fig. 9.
Fig. 13 shows the temporal distribution of the normal contact force
chains under the action of 30 kN dynamic load. Here force chains of
normal force larger than 10 N are shown. The maximum force chain
value was 1145 N. With the gradual increase of train load, the main force
chains extended downward from the bottom and edges of the sleeper,
and the diffusion range became larger. Finally, the train load was
transferred to the subgrade surface and the maximum contact normal
force at the interface was 78 N. Considering 10% of the maximum
contact force on the subgrade surface as the boundary value of the
diffusion range of the force chains, the stress diffusion angle in the
ballast was approximately 22◦ , which was similar to the 20.7◦ measured
J. Xiao et al. Computers and Geotechnics 155 (2023) 105192

Table 2
Parameters of the models based on the two coupling algorithms.
DEM domain Density Normal stiffness kn/(N⋅m− 3) Shear stiffness ks/ Friction Damping Time step
ρ/(kg⋅m− 3) (N⋅m− 3) coefficient coefficient c Δt/(s)
Ballast (Xiao et al. 2017) 2600 1.82 × 1010 1.6 × 1010 0.65 0.03 1 × 10 − 6
Loading plate 2600 3.0 × 1010 2.6 × 1010 0.23 0.03
FEM domain Density Modulus E/ Poisson’s Friction angle/◦ Damping Cohesive stress Time step
ρ/(kg⋅m− 3) Pa ratio μ coefficient c (kPa) Δt/(s)

Soil (Liu and Xiao, 2010) 1950 70 0.33 30 0.3 30 1 × 10 − 6

Conversion element Density Normal stiffness kn/(N⋅m− 3) Shear stiffness ks/ Friction Particle size (mm) Time step
ρ/(kg⋅m− 3) (N⋅m− 3) coefficient Δt/(s)
Particle (Zhang et al. 2016, Indraratna 1950 1.4 × 107 1.4 × 107 0.65 4~6 1 × 10 − 6
et al. 2021)

in the ballast model box test by Sysyn et al. (2019).

Three-dimensional spherical histograms were used to describe the
spatial distribution of the normal contact force more intuitively (Zhao
et al., 2018). The local average normal force fn was introduced to
represent the average value of the normal contact force within a certain
solid-angle range. Each bar in the spherical histogram represents the
normalized local average normal contact force fn /f0 in that direction,
where f0 denotes the average value of fn in all the directions. Addi­
tionally, spherical histograms can be used to reflect the anisotropy of the
contact force.
The spherical histograms of the normal contact force in the ballast
bed when Pd reached 6, 9, 15, and 30 kN are shown in Fig. 14. With an
increase in the load amplitude, the spherical histograms of the contact
force became longer in the transverse direction, implying the formation
of strong force chains in the corresponding directions, and the anisot­
ropy of the contact force increased. The uneven contact between the
ballast and subgrade was the direct cause of the interface stress con­
centration; therefore, the probability of stress concentration also
increased.

3.3. Comparison of the two coupling algorithms considering the

penetration process of ballasts into subgrade

In the above laboratory model test and numerical simulation, no

penetration process of the ballast into the subgrade was observed.
However, when the strength of the subgrade filler becomes insufficient,
the subgrade may have a large local deformation, and thus, ballast ag­
gregates may penetrate the subgrade soil under heavier train loads.
Considering this situation, an example of a coupling calculation was
established to compare the simulation results of the interface coupling
and adaptive volume coupling algorithms.
The dimensions of the coupled model are shown in Fig. 15(a). The
ballasted layer was 20 cm long and wide. In total, 247 polyhedrons were
generated in random irregular shapes and compacted to a thickness of
15 cm by liming the surrounding walls. The depth of the subgrade soil
layer was 25 cm, and its length and width were 20 cm. The load was
applied through a loading plate with dimensions of 20 × 20 × 2 cm. A 5
cm thick viscoelastic damping boundary was set around the soil to
reduce the boundary effect with the same parameters as in Section 3.1.2.
The domain for the subgrade is uniformly meshed in this section.
Considering the balance between computational accuracy and effi­
ciency, the minimum mesh size was chosen to be 1.5 cm, which also
meets the requirement of a mesh size smaller than 2 cm. In this research,
the spherical particle size was randomly distributed. The particle size
and contact parameters were referred to the works of Zhang et al. (2016)
and Indraratna et al. (2021). The model parameters based on the two
coupling algorithms are listed in Table 2. Compared with Table 1, the
soil modulus E was reduced, corresponding to a relatively weak sub­
grade soil. Before dynamic loading, a constant load of 30 kPa was
applied to the ballast layer for initial compaction. In Fig. 15(b), the red
lines indicate the contact points between the ballast and soil. It is evident
that the contact points were discrete, and the ballast particles primarily
Fig. 16. Finite elements conversions into sets of spheres at (a) t = 0 s, (b) t =
0.441 s, (c) t = 0.445 s, and (d) t = 0.474 s.
contacted the soil with edges and angularities.
In this simulation, a semi-sinusoidal cyclic load with frequency of 1
Hz was applied to the ballast surface. Under stepwise loading conditions,
the initial static load qmin was maintained at 30 kPa, and one complete
cyclic loading was performed under load amplitude qcyc of 30, 40, 50,
70, 80, and 90 kPa. When the dynamic load amplitude qcyc reached 90
kPa, that is, the maximum load qmax reached 120 kPa, ballast particles
passed through the interface elements. Therefore, the stress distribution
on the subgrade surface was analyzed next when the dynamic load
amplitude qcyc was 90 kPa, and the results of two coupling algorithms
were compared.
Fig. 16 shows the process of finite element conversion into an equal-
volume set of discrete spheres during loading when the adaptive volume
coupling algorithm is adopted. The first conversion occurred at t =
0.441 s. Six finite elements were converted into discrete element sets
with equal volumes at the two positions, as shown in Fig. 16(b). Sub­
sequently, the conversion continued to occur, implying that the ballast
particles still tended to penetrate the finite elements with increase in the
load. There were no more finite elements to be converted after t = 0.475
s.
The stress distribution on the subgrade surface corresponding to
Fig. 16(b-d) is shown in Fig. 17(a-c). It is evident that the contact stress

12
J. Xiao et al. Computers and Geotechnics 155 (2023) 105192

Fig. 17. Stress distribution on subgrade surface at (a) t = 0.441 s, (b) t = 0.445 s, (c) t = 0.474 s, and (d) t = 0.5 s.

Fig. 18. Interface stress calculated by (a) adaptive volume coupling algorithm and (b) interface coupling algorithm (qcyc = 90 kPa, f = 1 Hz).

was particularly large when conversion occurred. In other words, there kPa.
was a significant stress concentration. Fig. 17(d) shows the stress dis­ A comparison of the interface stress calculated by the two algorithms
tribution at the peak load, where the maximum contact stress was 937.6 is shown in Fig. 18. The peak value obtained by the adaptive volume

13
J. Xiao et al.
coupling algorithm was significantly larger than that obtained by the
interface coupling algorithm. This is because for the ballast particles
passing through the interface, the force constraints ceased to be effective
when the interface coupling algorithm was adopted. The ballast particle
could no longer bear the load; therefore, the interface stress at the
penetration did not increase further. Meanwhile, adjacent ballast par­
ticles adjusted their positions, thereby affecting the overall stress dis­
tribution on the soil surface. However, the adaptive volume coupling
algorithm converted the finite element into a group of discrete elements
if the distance between the particles and the interface elements reached
the threshold. Therefore, the ballast particles did not pierce the FEM
domain and could still transfer the load. Consequently, with the pene­
tration process of the ballast, the contact stress continued to increase,
which was more consistent with the actual situation. Therefore, owing
to the invalidation of the constraint solution, the adaptive volume
coupling algorithm can obtain the interface stress more accurately when
considering ballast particles penetrating the subgrade soil.
4. Conclusions
(1) Under the framework of MuPIF, DEM-FEM coupling simulation
programs were developed by combining OOFEM and YADE to analyze
the interaction between ballast aggregates and subgrade soil. Based on
the morphology reconstruction of the ballast irregular shape, a DEM-
FEM coupling model of a sleeper-ballasted track subgrade was estab­
lished and verified through experimental results.
(2) The meso-scale motion behaviors of ballast particles were ob­
tained by the DEM-FEM coupling simulation of the indoor model test.
The results showed that at various load levels, the linear velocities of the
particles at the bottom of the ballast bed were approximately zero.
However, with an increase in the cyclic load amplitude, the angular
velocities increased significantly. This implies that under a high-
amplitude load, the ballast in contact with the subgrade had a strong
rotation trend, and thus, the stress distribution on the ballast-subgrade
interface changed. Furthermore, with dynamic train loading, the main
force chains in the ballast bed extended downward under the center and
border of the sleeper, the diffusion range of the main force chains
increased, and finally, the load was transferred to the subgrade surface.
Considering 10% of the maximum contact force on the subgrade surface
as the boundary value to define the force chain diffusion range, the stress
diffusion angle in the ballast bed was approximately 22◦ .
(3) An adaptive volume coupling algorithm was proposed, which can
automatically convert finite elements impending falling into sets of
spheres with equal volumes. This algorithm solved the problem wherein
the constraint condition became invalid for particles passing through the
interface elements. Consequently, the change in interface stress when
the ballast particles penetrated the subgrade soil was obtained.
In this research, the train load applied to the ballast surface is
simplified to a semi-sinusoidal cyclic load. In further study, taking
advantage of the flexibility of the coupling model in data transfer, the
multibody dynamics approach will be used. Accordingly, the dynamic
response of the ballasted track and the interaction between different
layers of the track can be investigated with more crucial factors.
CRediT authorship contribution statement
Junhua Xiao: Conceptualization, Writing – original draft. Lihua
Xue: Data curation, Validation. De Zhang: Investigation, Supervision.
Siqi Sun: Visualization. Yingqi Bai: Writing – review & editing. Jin Shi:
Writing – review & editing, Methodology.
Declaration of Competing Interest
The authors declare that they have no known competing financial
interests or personal relationships that could have appeared to influence
the work reported in this paper.
14
Computers and Geotechnics 155 (2023) 105192
Data availability
The data that has been used is confidential.
Acknowledgements
This work was supported by the Joint Fund for Basic Research on
High-speed Railway [grant numbers U2034204]; the Shanghai Science
and Technology Committee [grant numbers 20DZ1202100]; and the
Key Research Project of the Ministry of Communications [grant numbers
2020-ZD3-025]. The financial support is greatly appreciated.
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