Engineering xxx (xxxx) xxx

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Engineering
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Engineering Achievements

High-Speed EMUs: Characteristics of Technological Development and

Trends
Hongwei Zhao a, Jianying Liang b, Changqing Liu c
a
China Academy of Railway Sciences Co., Ltd., Beijing 100081, China
b
CRRC Qingdao Sifang Co., Ltd., Qingdao 266111, China
c
CRRC Changchun Railway Vehicles Co., Ltd., Changchun 130052, China

1. A worldwide history of high-speed trains Fulda–Wurzburg and Mannheim–Stuttgart HSRs with a maximum
operation speed of 280 km
h 1, using the ICE1, ICE2, and other
High-speed railway (HSR) is defined by the International Union models of power-concentrated high-speed EMUs developed by
of Railways (UIC) as new lines with design speeds above Siemens. In 1992, Italy opened the Rome–Florence HSR section
250 km
h 1 and upgraded existing lines with speeds of up to by section with a maximum operation speed of 250 km
h 1, using
200 km
h 1 [1]. In China, HSR is defined as new passenger-dedi- the ETR450, ETR460, and other models of power-distributed tilting
cated lines designed for electric multiple unit (EMU) trains running trains, which were independently developed by Fabbrica Italiana
at a speed of 250 km
h 1 or above (actual or reserved), with an ini- Automobili di Torino (FIAT; now controlled by Alstom). In 1992,
tial operation speed not lower than 200 km
h 1 [2]. The worldwide Spain opened the Madrid–Seville HSR using S100 concentrated-
development of HSRs and high-speed EMUs can be roughly divided powered EMUs with a maximum operation speed of 300 km
h 1.
into three stages: initial operation, line platform expansion, and The technology introduced by Alstom was applied to these EMUs.
rapid development. In Japan, the Shinkansen technological system progressed further.
Following the technical route of power distribution, various mod-
els of high-speed trains, such as the 100, 200, 300, 400, 500, and
1.1. Initial operation (1960s to late 1970s)
700 Series and the E1, E2, and E3 Series, were developed and put
into service. Among them, the 500 Series EMUs reached a maxi-
On 1 October 1964, the world’s first HSR—the Tokaido Shinkan-
mum speed of 300 km
h 1 in 1997.
sen (Tokyo–Shin–Osaka)—was inaugurated. The 0 Series high-
It can be concluded that the world’s high-speed EMU technology
speed EMUs, which consisted of six motor cars with a maximum
was relatively mature in this stage. Different technical routes for
operation speed of 210 km
h 1, were put into service.
power concentration and power distribution were established, and
tilting and non-tilting trains emerged. Train models were continu-
1.2. Line platform expansion (early 1980s to late 20th century) ally enriched and their speed continued to rise. Major manufacturers
such as Siemens and Alstom began to establish themselves. HSRs
During this stage, HSR development expanded from Japan to had a huge effect on these countries as they delivered new vitality
Europe. France, Germany, and Italy, along with other countries, and vigor to economic and social development.
built and opened HSRs. They developed new EMU platforms with
their own characteristics via different technical routes. EMU mod-
els were continually enriched and the technical performance was 1.3. Rapid development (since the 21st century)
continually improved. The maximum operation speed was gradu-
ally raised to 300 km
h 1. Since the beginning of the 21st century, the world has
In 1983, France opened the LGV Southeast Line (Paris–Lyon), witnessed the rapid development of HSRs. Countries such as the
where the acronym LGV stands for ligne à grande vitesse, or high- United States, Russia, Korea, Poland, and China began to develop
speed line [3]. The opening of this line was a key milestone as HSRs. In particular, the rapid rise of China’s HSRs greatly facilitated
HSR reached an operation speed of 300 km
h 1, and marked the the development of HSR around the world. In the first decade of the
beginning of the expansion of HSR development from Japan to Eur- 21st century, HSRs with a total length of nearly 15 000 km were
ope. Later, France opened the LGV Atlantic Line (Paris–Le Mans/ built across the world—a length over three times greater than that
Tours) and other lines, using TGVs (trains à grande vitesse, or of the HSRs built 30 years ago.
high-speed trains) with a maximum operation speed of 300 km
h 1, With the development of HSR lines, the performance of high-
developed by Alstom. In 1991, Germany opened the Hannover– speed EMUs was continually optimized and the development of

https://doi.org/10.1016/j.eng.2020.01.008
2095-8099/Ó 2020 THE AUTHORS. Published by Elsevier LTD on behalf of Chinese Academy of Engineering and Higher Education Press Limited Company.
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org/10.1016/j.eng.2020.01.008
2 H. Zhao et al. / Engineering xxx (xxxx) xxx

the platform-based EMU gained momentum. France developed and and re-innovation stage started in 2003. In 2004, the Chinese
operated the TGV Paris–Ostfrankreich–Süddeutschland (POS) and Government issued the Medium- and Long-term Railway Network
TGV Réseau Duplex EMUs, as well as the TGV Duplex Dasye, TGV Planning directive and proposed to plan and build an HSR network
Duplex RGV2N2, and TGV Océane double-deck EMUs, with a max- composed of four south–north lines and four west–east lines. The
imum operation speed of 320 km/h. Alstom changed its previous Beijing–Tianjin Line, Zhengzhou–Xi’an HSR Line, Shanghai–Nanjing
route of power concentration and successfully developed dis- Line, Beijing–Shanghai Line, and Harbin–Dalian Line were put into
tributed-powered automotrice à grande vitesse (AGV) EMUs, which operation [5]. During this stage, China introduced four prototype
were put into the operation by Nuovo Trasporto Viaggiatori (NTV), EMUs from Bombardier, Kawasaki, Siemens, and Alstom, and built
an Italian private railway company. Germany also changed its pre- four China Railway High-speed (CRH) EMU platforms: CRH1, CRH2,
vious technical route of power concentration, and developed and CRH3, and CRH5. Among these, the design speeds of CRH2C,
operated power-distributed ICE3 and new ICE3 EMUs with a max- CRH3C, and the 380 Series EMUs are 300 km
h 1 or above. The
imum operation speed of 300 km
h 1. In addition, Germany devel- CRH2C formation is 6M2T (where M: motor car; T: trailer car)
oped the ICE4 EMUs—the predecessor of EMUs with flexible and the CRH3C formation is 4M4T. Both EMUs were put into oper-
formation. Several technical innovations were applied to this ation in 2008. The CRH380A formation is 6M2T and the CRH380AL
EMU model, which can run at a speed of up to 230 or 250 km
h 1 formation is 14M2T. Both CRH380B and CRH380D are eight-car
depends on 7-car or 12-car train configuration. Moreover, ICE T (4M4T) formations. CRH380BG was specially designed based on
tilting EMUs (with a maximum speed of 230 km
h 1) and ICE TD CRH380B for operation in cold and snowy areas. Both of the
tilting diesel multiple units (DMUs), with a maximum speed of CRH380BL and CRH380CL EMUs are long trains with an 8M8T for-
200 km
h 1, were developed for existing lines with many curves. mation, and are specially designed for long major trunk lines such
Italy operated the Red Arrow 1000 EMUs with a design speed of as the Beijing–Shanghai Line and the Beijing–Guangzhou Line. The
400 km
h 1 and a planned operation speed of 360 km
h 1. These maximum operation speed of the CRH Series is 300 km
h 1.
EMUs are non-articulated and power distributed, and consist of China’s independent innovation stage started in 2013. During
eight cars and a single deck. Currently, their maximum operation this stage, the China Railway Corporation organized the develop-
speed is 300 km
h 1. Japan operated the E5 and E6 Series EMUs ment of China standard EMUs with independent intellectual prop-
on the Tohoku Shinkansen. The H5 Series EMUs served the Tohoku erty rights. The Fuxing Series EMUs have two platforms, CR400AF
Shinkansen with a maximum operation speed of up to 320 km
h 1 and CR400BF, and are eight-car (4M4T) EMUs with a design speed
and were adapted to operation in the cold and snowy climate of of 350 km
h 1 and a current actual operation speed of 350 km
h 1.
Hokkaido. During this stage, EMU manufacturers began to expand In 2018, CR400AF-A, CR400BF-A, CR400AF-B, and CR400BF-B EMUs
their overseas markets. For example, Siemens’ Velaro E Series EMU were launched to meet the transportation requirements of long
technology was introduced to Spain, Russia, and other countries, major trunk lines such as the Beijing–Shanghai Line. Here, ‘‘-A”
and Alstom’s TGV technology was introduced to Korea and the Uni- and ‘‘-B” stand for the 8M8T formation and the 8M9T formation,
ted States. respectively.
In general, over the three stages, EMUs were developed into As of October 2019, China has already owned 3480 EMUs (con-
modular series products around the world [4]. Germany’s ICE ser- verted into 8-car formation) and more than 10 billion trips had
ies EMUs include multiple models such as ICE 1, ICE 2, ICE 3, ICE been made by these EMUs. At present, China has become a country
3M, and ICE 4. France’s TGV high-speed trains experienced the that boasts HSRs with the highest operation speed, the largest
development of four generations: the first generation of the TGV- scale, and the most diversified operation scenarios.
PSE and post-high-speed trains; the second generation of the
TGV-A, AVE, TGV-R, TGV-TMST (Euro-Star), and TGV-PBKA; the
2. Improved comprehensive technical performance
third generation of the TGV-2N, and so forth, and the fourth gener-
ation of the AGV high-speed trains. Japan’s high-speed EMU trains
The HSR is a complex system. As mobile equipment, high-speed
include two series. The first comprises high-speed trains that are
EMUs have a coupling relationship with fixed infrastructure
numbered by hundreds: the 0, 100, 200, 300, 400, 500, 700, and
including catenaries, tracks, and the surrounding air. In a sense,
800 Series and the N700 Series. The other comprises the E Series
this relationship is even more complicated than those of other
high-speed trains, including E1, E2, E3, E4, and E5. The platform-
transportation systems such as road vehicles, aircraft, or ships. In
based and modular approach makes it easier to meet the needs
order to further improve the comprehensive performance of
of the market, including utilization modes, operation environ-
high-speed EMUs, it is necessary to properly deal with these cou-
ments, and so forth, via various train formations and modular
pling relationships. In addition, it is necessary to address the trac-
design. It also facilitates the upgrading of trains and shortens the
tion and brake-control technology, improve the traction and
appraisal time and access process.
braking performance, and further improve the running safety mon-
itoring level.
1.4. The development of China’s HSRs

The development of China’s high-speed EMU technology passed 2.1. Improving the wheel-rail relationship to ensure good dynamic
through three stages: independent exploration; introduction, performance
assimilation, and re-innovation; and overall independent innova-
tion. At present, China’s high-speed EMU products cover speeds Among various coupling relationships, the wheel-rail relation-
of 250, 300, 350 km
h 1, and above, and can be adapted to different ship is the most basic and decisive constraint relationship. High-
lines, different environmental conditions, and different transporta- speed EMUs rely on wheel-rail adhesion to generate traction force
tion requirements. and braking force, and rely on the wheel-rail contact force to
The independent exploration stage began at the end of the 20th secure vertical positioning (support) and horizontal positioning
century. In 1997, China launched its first large-scale speed-up cam- (lateral guidance). Restricted by the wheel-rail relationship, the
paign. In 1999, construction commenced on the Qinhuangdao– bogies of high-speed EMUs undergo inherent hunting instability
Shenyang Passenger-Dedicated Line with a design speed of when the speed reaches a certain value. The theoretical maximum
250 km
h 1. During this stage, China independently developed ultimate speed of EMUs is largely limited by the critical speed of
the China Star and Pioneer EMUs. The introduction, assimilation, hunting. Therefore, high-speed EMUs at the maximum operation

Please cite this article as: H. Zhao, J. Liang and C. Liu, High-Speed EMUs: Characteristics of Technological Development and Trends, Engineering, https://doi.
org/10.1016/j.eng.2020.01.008
 H. Zhao et al. / Engineering xxx (xxxx) xxx 3

speed not only need a sufficient safety margin, but also require an bogies. Both types of bogies have a two-axle bolster-less light-
adequate critical speed margin. According to Ref [6], during testing weight structure. The trailer bogie is composed of the frame,
and certification, high-speed trains must pass a dynamic perfor- wheelset, journal box guidance, primary suspension, secondary
mance test at a speed that is 10% higher than the maximum oper- suspension, brake rigging, and bogie auxiliary devices. The motor
ation speed, so as to verify their dynamic performance including bogie is additionally equipped with a gear box and motor drive
the running stability, lateral stability, running quality, and running device. The motor bogie and trailer bogie of the CR400AF EMU
smoothness. are respectively shown in Figs. 1 and 2. The design index of the
Many factors affect the stability of EMU operation. In terms of bogie bearing capacity is 17 t of axle load. The results of laboratory
the EMUs themselves, the bogie structure and suspension are the rolling and vibrating testing proved that the critical speed of the
main factors. Studies are being carried out in various countries EMU bogies exceeds 550 km
h 1. The results of line testing indicate
all over the world on improving train dynamic performance; these that the running stability of Fuxing EMUs is clearly better than that
studies are led by the development of bogies and are based on the of CRH EMUs. When a Fuxing EMU train runs on the Beijing–
study of the wheel-rail relationship. Shanghai Line at 350 km
h 1, the average lateral stability value
CR400AF/BF Fuxing EMUs adopt a new bogie construction, sus- of the cars decreases by about 21% and the average vertical stabil-
pension connection, and traction way to achieve an overall light- ity value of the cars decreases by 11%.
weight design, reduce the bogie unsuspended mass, and optimize
the suspension parameters between the bogie and the car body. 2.2. Resolving the pantograph-catenary relationship to ensure good
They are characterized by safety and comfort, good adaptability current collection performance under high-speed operation
to lines, high reliability, and easy maintenance. The following main
factors were considered in the design of the bogies: The pantograph-catenary relationship is another important
(1) Adaptability to lines: As HSR lines in China are long with large coupling relationship of the HSR system. Pantographs moving at
span-of-operation sections, bogies must be fully adapted to differ- a high speed on EMUs must be in close contact with the fixed cate-
ent natural environment conditions, line conditions, and operation nary wire to achieve good current collection. Friction occurs
conditions. between the pantograph and catenary, among which the electric
(2) Operation safety: The bogie technology involves wheel-rail power is transmitted.
dynamics, static strength, and fatigue strength design theory. For HSRs of above 300 km
h 1, the pantograph-catenary cur-
Matching of the wheel-rail relationship with the bogie structure rent-collection performance has a direct influence on the operation
and suspension should be considered to ensure a sufficient margin speed and safety of trains. Indexes such as the pantograph-cate-
for the safety, lateral stability, and structural strength. nary contact force, the arc, and the vertical acceleration of the pan-
(3) Comfort: Bogies should be designed in a way that ensures tograph pan are very important. As the EMU speed increases, the
excellent riding comfort. In order to keep trains running smoothly vibration amplitude of the pantograph head and catenary wire also
at a high speed, two-stage suspension was adopted for the bogie increases, resulting in sharp fluctuation of the pantograph-cate-
structure in order to isolate the unspring vibration and suppress nary contact force and impairment of the current-collection qual-
the vehicle vibration [7]. The vibration acceleration in cars should ity. If the pantograph-catenary contact force drops to zero due to
be less than 2.5 m
s 2. Based on simulation calculations, laboratory severe vibration of the pantograph and catenary, the pantograph
bench tests, and line tests, a dynamic performance analysis was and catenary will separate from each other, and an electric arc will
performed, the suspension system scheme was determined, and be generated. This electric arc will burn the pantograph and cate-
the suspension parameters were optimized. nary wire, and may even cause interruption of power transmission
(4) Reliability: Bolster-less bogies equipped with high-flexibility and affect the safety of the train operation. If the contact force is
air springs and high-damping anti-yaw damper have replaced the too large, the lift of the catenary wire will exceed the allowable
outdated passenger car bogies—which have a complicated struc- value, causing pantograph-catenary wear loss and even a pan-
ture that involves many parts and components, with bolsters or tograph-catenary accident.
even swing-bolsters and friction-type side bearings. This change For CR400AF/BF EMUs, the following technical measures are
significantly simplified the structure and improved the operation necessary in order to optimize the pantograph-catenary
reliability. relationship:
(5) Light weight: By optimizing the structure and using new (1) Rational matching of pantograph-catenary parameters:
high-strength lightweight materials, the frame mass and unspring Perform calculations and simulation analysis on the dynamic
mass were reduced. Through finite-element analysis, an evaluation
and a modal calculation were performed on the static strength and
fatigue strength of the bogie frame, the bogie structure was opti-
mized, and lightweight high-strength materials were appropriately
used for some parts and components.
(6) Easy maintenance: A modular design was adopted to facili-
tate the disassembly and maintenance of the main parts and com-
ponents of the bogies. Based on the wheel-rail contact relationship,
the wheelset positioning mode, and the parameters of the bogies,
the wheel profile was optimized and a thin-flange re-profiling
technology was used to prolong the wheel re-profiling cycle and
the service life of the wheels.
(7) Running safety monitoring: Bogie lateral instability monitor-
ing, axle-locking monitoring, and wheelset bearing temperature
monitoring devices have been equipped. In addition, safety thresh-
olds are set for warnings or alarms to ensure the running safety of
the bogie.
The Fuxing EMUs have two platforms: CR400AF and CR400BF.
The bogies of each platform are classified as motor bogies or trailer Fig. 1. Motor bogie of the CR400AF EMU.

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org/10.1016/j.eng.2020.01.008
4 H. Zhao et al. / Engineering xxx (xxxx) xxx

as well as on the improvement of control methods and devices.

The latter could allow the whole converter-motor system to have
excellent control performance to meet the requirements of differ-
ent applications. Performance requirements include: smooth star-
tup, suppression of wheel slip and slide, regenerative braking, and
a broad range of speed regulation.
In order to meet the overall EMU technical requirements [8], the
traction capacity of CR400AF/BF EMUs must meet the following
requirements in seating capacity load on straights: ① The average
acceleration must not be less than 0.4 m
s 2 when the operation
speed is 0–200 km
h 1; ② The residual acceleration must not be
less than 0.05 m
s 2 when the operation speed is 350 km
h 1.
Characteristic traction/regenerative braking curves for the
CR400AF and CR400BF EMUs are shown in Figs. 3 and 4.
Traction system design, equipment development, and optimiza-
Fig. 2. Trailer bogie of the CR400AF EMU. tion of matching parameters for the CR400AF/BF EMUs were car-
ried out for aspects such as system efficiency, voltage and
current, electrical parameters, mechanical interface, and weight.
current-collection performance of the pantograph-catenary system Through simulation analyses and testing, excellent performance
during high-speed operation, and select rationally matched pan- of the traction system was finally achieved.
tograph-catenary parameters to achieve good current-collection (1) Given the lightweight design of the traction system, the
performance. power-to-weight ratio of the complete vehicle is about 20.7 kW
t 1
(2) Use of active-control pantograph: Carry out active control and the efficiency of the traction system is above 0.85. The power
over the pantograph and improve the following performance of density of the main components of the traction system is signifi-
the pantograph in order to keep the pantograph-catenary contact cantly higher than that of the CRH EMUs at the same speed class:
force within a reasonable range, reduce the wear between the cate- ① The power density of the traction/auxiliary converter is up to
nary wire and pantograph pan, prolong the service life, and 0.82 kVA
kg 1, while that of the CRH380A is 0.43 kVA
kg 1 and that
strengthen the EMU’s adaptability to operation on different lines. of the CRH380B is 0.63 kVA
kg 1. ② The power density of the trac-
The geometry of the pantograph of high-speed EMUs must be com- tion transformer is 0.99 kVA
kg 1, which is higher than the value of
patible with the catenary, so as to achieve good contact between 0.91 kVA
kg 1 for the CRH3C. ③ The power density of the traction
the pantograph and catenary wire. Friction and wear between motor is 0.909 kVA
kg 1, which is higher than the value of
the pantograph and catenary are inevitable, but excessive wear 0.78 kVA
kg 1 for the CRH380B.
of the catenary wire and pantograph pan should be avoided. (2) For the cooling capacity design of the EMU traction cooling
(3) Optimized dynamic performance: Improve the pantograph- system, the operation environment of China’s HSRs was fully con-
catenary relationship and current-collection quality by improving sidered and a 15% margin was set for full-load operation. Even dur-
the dynamic and aerodynamic performances of the pantograph, ing China’s unique spring season, when catkins fly everywhere, the
as well as the pantograph-catenary dynamic performance. Reduce traction system can still work reliably. Therefore the cleaning
the occurrence of electric arcs and contact current-collection loss cycles of the filter of the traction converter box reduced and the
by stabilizing the current-collection technology, so as to reduce converter over temperature fault issues also reduced. The availabil-
excessive pressure on the catenary wire and reduce the wear on ity of the EMUs has been improved.
the pantograph-catenary contact area. (3) Regarding the control of the traction system, the control
(4) Strength analysis: Carry out a strength calculation for the strategy for the traction drive system of high-speed EMUs has been
whole pantograph and check the strength of specific pantograph optimized to realize high-performance control and perfect fault
parts and components to ensure a large safety margin for the static diagnosis of equipment such as traction transformers, traction con-
strength of the whole pantograph and of each component. verters, and traction motors, so as to meet the requirements of
(5) Rapid pantograph-dropping protection: Use an emergency high-speed EMU startup and continuous operation at a high speed.
pantograph-lowering system that is not electrically controlled to The traction-control system exhibits the technical characteristics
ensure that the pantograph head will drop by more than 200 mm of high efficiency, energy conservation, safety, and reliability. The
within 1 s in the case of a pantograph-catenary accident, and thus two steps required to achieve this result are described below:
ensure the safety of the train and the power-supply system.
The HSR pantograph-catenary relationship is one of the main
directions of HSR technological research in all countries with HSRs.
European railway companies are studying the application of multi-
voltage-compatible pantograph technology in order to reduce the
number of pantographs. Fewer pantographs will reduce the train
weight, air drag, contact noise, and costs of operation and mainte-
nance. Only one pantograph per train is ideal, in this case, the cur-
rent capacity must be considered in the design of the pantograph
and in the installation of a spare pantograph. A single multi-volt-
age-compatible pantograph is required for a multi-system EMU.

2.3. Improving the traction power performance to optimize motor

control and adhesion control strategies

The development of AC drive technology depends on the

improvement of power semiconductor and converter technology, Fig. 3. Characteristic traction/regenerative braking curve of the CR400AF EMU.

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 H. Zhao et al. / Engineering xxx (xxxx) xxx 5

2.4. Adopting a combination of multiple braking modes and optimizing

the brake control and anti-slide strategy

The following key technologies are used for the brake system
control of the CR400AF/BF Fuxing EMUs:
(1) The system strengthens the performance and reliability of
the microcomputer-based straight electro-pneumatic brake sys-
tem, makes full use of regenerative braking, and can conveniently
adjust the braking force. The composite braking mode is adopted.
In general, priority is given to the electric brake in the service brak-
ing condition. In this way, the wear between the brake lining and
the brake disc is reduced, and energy conservation and environ-
mental friendliness are ensured. For emergency braking, an elec-
Fig. 4. Characteristic traction/regenerative braking curve of the CR400BF EMU.
tro-pneumatic combined emergency brake is applied. The pure
pneumatic emergency brake is still used as the ultimate safeguard.
(2) All the management, calculations, and distribution of the
train braking force are performed by the brake system, and unified
Step 1: Implement a strategy of two-phase duplex four-quad- deceleration curve control is adopted to achieve satisfactory brake-
rant rectifier control to improve the system stability and dynamic control performance.
response speed. Use phase-shifting technology to effectively con- (3) With an increase of speed, the wheel-rail adhesion coeffi-
trol the harmonics and ensure the recovery quality of regenerated cient becomes lower and lower [10], and the possibility of sliding
energy. Implement the strategy of hybrid pulse-width modulation during train braking becomes correspondingly greater. To this
for the traction inverter based on the current harmonic optimiza- end, the strategy of braking force distribution and brake-control
tion in order to effectively improve the grid-side harmonic distri- anti-sliding during braking at a high speed has been optimized.
bution and mitigate the power supply grid pollution. (4) The kinetic energy of the train braking is in direct proportion
Step 2: Implement the strategy of high-performance traction to the square of the speed. When a high-speed train is braked, a
motor control to effectively suppress the torque ripple of the trac- huge thermal load will be generated. A brake disc that can absorb
tion motor in order to enable the high-power traction inverter to the thermal load and a brake lining with good thermal cracking
achieve good output waveform and control performance in the full resistance and thermal fading resistance have been developed.
speed range [9]. Fig. 5 shows the pulse-width modulation (PWM) (5) The system diagnosis and fault-oriented safety control have
waveforms at each switching time of the carrier ratio. been improved. EMU braking safety mainly involves the braking
(4) Develop and use new semiconductor switching components. capability, reliability, and fault-oriented safety design of the brake
The 6500V/750A insulated gate bipolar transistor (IGBT) with high system.
turnoff voltage, high conducting current, and high switching fre- (6) For reliability and maintainability, the system is endowed
quency was used on the CR400 EMU; it effectively reduces switch- with the technical characteristics of modularization and
ing loss, improves the working stability of the traction converter standardization.
system, and ensures the continuous high-speed operation capabil- The brake system of the CR400AF/BF Fuxing EMUs is composed
ity of the EMU. of the brake-control system, air-supply system, and foundation
(5) Design an emergency traction function. Even if the EMU net- brake rigging. The system composition is shown in Fig. 6.
work communication system is paralyzed, the traction force can The CR400AF/BF brake-control system receives braking com-
still be exerted according to commands via wired signals, so that mands from the driver, the Train Control and Monitoring System
the train can still be operated downgrade and avoid dangerous (TCMS) or the train’s automatic-speed-control system (ATP), man-
sections. ages and distributes the pneumatic and regenerative electric brak-
(6) Realize neutral-section passing control without power-sup- ing force, and either generates braking pressure to drive the
ply interruption and self-power generation during no-power foundation brake rigging to act and generate braking force or sends
returning operations/rescue. Loads for auxiliary systems, such as a regenerative braking force command to make the traction system
air conditioners and air compressors, can still work normally dur- exert an electric braking force. The air-source system mainly con-
ing neutral-section passing and no-power returning operations. sists of the main air compressor unit, drying device, auxiliary air
Thus, the availability, comfortability and service quality of the compressor, air cylinder, and main air pipe passing through the
EMUs are improved. whole train. The foundation brake rigging consists of the brake
The traction system and its control technology are always deci- disc, braking clamp, and brake lining. It is installed on the bogie.
sive factors when updating EMU products. The control (speed-reg- A pneumatic disc type of foundation brake rigging is used for both
ulation) technology of the AC asynchronous motor is more the motor cars and trailer cars. The trailer cars use an axle-
complicated than that of the DC series excited motor. Slip charac- mounted brake disc and the motor cars use a wheel-mounted
teristic control was used for earlier AC-driven high-speed EMUs, brake disc.
such as Japan’s 300 Series. Since the 1980s, vector transformation Electro-pneumatic composite brakes are widely used for high-
control has been widely used for three-phase AC-driven locomo- speed EMUs in various countries. However, pneumatic braking is
tives and for EMUs in other countries. Typical representatives are still the most basic braking mode for high-speed EMUs. For exam-
the ICE Series high-speed EMUs (including ICE1–ICE3) of Siemens ple, in France, except for the first-generation TGV EMUs, which
(Germany). In 1985, Germany and Japan invented an advanced used automatic electro-pneumatic brakes, all other TGV EMUs
control technology, namely, direct torque control (DTC), which use the updated microcomputer-controlled electrically com-
achieved a drive performance comparable to vector control but manded straight electro-pneumatic brakes. As for foundation
had a simpler structure. Today, both the technologies mentioned brake rigging, the third- and fourth-generation TGV EMUs mostly
above are widely used to control the traction motors of high-speed use disc brakes. The electric brakes used for high-speed EMUs in
EMUs in China and other countries. In China, DTC is used for the various countries mainly include resistive brakes and regenerative
CR400AF EMUs and vector control is used for the CR400BF EMUs. brakes. Resistive brakes enable EMUs to generate braking force in

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6 H. Zhao et al. / Engineering xxx (xxxx) xxx

Fig. 5. PWM waveforms at each switching time of the carrier ratio. (a) 11 pulse to nine pulse switching; (b) nine pulse to seven pulse switching; (c) seven pulse to five pulse
switching; (d) five pulse to three pulse switching.

case of a power grid failure, and are safe. However, if they are used, and other performance indicators. The comprehensive aerody-
it is impossible to conserve energy. Regenerative brakes have namic performance was improved by increasing the slenderness
advantages and disadvantages that are opposite to those of resis- ratio and adopt other measures.
tive brakes, as they can improve the power factor of the catenary (2) Surface smoothing: Smoothing was performed for the roof air
power supply system and thus save energy. In Japan, EMUs use conditioning units; the windshield connection between cars was
regenerative brakes—except for the early high-speed EMUs, which optimized; and the aerodynamic shape of the bogie area was opti-
used resistive brakes. In Germany, all of the ICE Series EMUs have mized and improved.
used regenerative brakes from the beginning. (3) Flow control: By using flow-control technologies such as
spoilers and grooves, the surface flow field of the EMUs was cor-
2.5. Solving the problems of aerodynamic drag reduction and a rected and optimized to reduce aerodynamic drag, mitigate the
lightweight carbody impact of the pantograph flow field on the pantograph dynamic
performance, and reduce air drag.
Aerodynamic drag is an important component of vehicle opera- (4) Equal strength concept design: In order to prevent the light
tion resistance. Therefore, reducing aerodynamic drag is important weight of the carbody from affecting the vehicle performance
for reducing the resistance of high-speed trains. For the CR400AF/ (e.g., in terms of structural strength, rigidity, and air-tightness
BF Fuxing EMUs, many studies and tests have been conducted on strength), an optimization design was conducted for the carbody
the head shape design, carbody cross-section and profile, carbody structure based on the design concept of equal strength. The load
weight, bogie area, and pantograph area, which affect the train rate of each component was balanced based on simulation
operation resistance and energy consumption. Measures to reduce calculations.
the operation resistance of the CR400BF Fuxing EMU are shown in (5) Simulation analysis and model testing: To establish typical
Fig. 7. high-speed EMU models and environmental models of tracks, tun-
(1) Optimization of the head shape: A streamlined head was nels, and so forth, a simulation analysis was performed on the dis-
designed by adopting fluid–solid coupling technology and analyz- tribution laws of the air flow field of the EMUs under conditions
ing the coupling relationship of performance indexes such as such as operation on an open line, meeting on an open line, and
resistance, lift, operation safety and stability, aerodynamic noise passing through a tunnel for different speed classes. The

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 H. Zhao et al. / Engineering xxx (xxxx) xxx 7

Fig. 6. Composition of the CR400AF/BF Fuxing EMU brake system. BP: Braking pipe.

Fig. 7. Reduction of the CR400BF Fuxing EMU operation resistance.

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8 H. Zhao et al. / Engineering xxx (xxxx) xxx

aerodynamics and aerodynamic noise performance of EMUs with 2.6. Adopting comprehensive monitoring and diagnosis to ensure safe
different shapes were systematically studied by simulation analy- EMU operation
sis, wind tunnel testing, and dynamic model testing.
(6) Lightweight carbody design: The carbody weight was As the operation speed of EMUs continues to increase, severe
reduced, mainly by innovating in materials and optimizing the problems arise in the system equipment status and operation
structure. Under the precondition of ensuring the strength and safety of EMUs. In case of hot axle failure, sliding failure of locking
rigidity of the carbody, the production process of the Fuxing EMUs axle and lateral instability and other faults of EMUs, there are high
was optimized and improved. Ultrathin long hollow aluminum safety risks.
alloy extruded profiles were used for the entirety of each car. The In order to monitor the equipment status and operation safety
profiles were welded step by step to form a thin-wall drum that of EMUs, various sensors are installed on EMUs. The sensors con-
served as the bearing structure. In this way, the residual stress nect the control equipment of most systems, and the status is col-
and welding deformation were effectively reduced and the welding lected by the control equipment. The train communication
efficiency was improved. The structures of the train head and the network system shares the information of each system and thus
carbody are shown in Figs. 8 and 9. implements the control monitoring and diagnosis of the entire
Through aerodynamic drag reduction and a lightweight carbody EMU. Equipment connected to the train communication network
design, the operation resistance of CR400 EMUs has been signifi- includes traction equipment, braking and anti-slide devices, train
cantly reduced. The total resistance of the CR400AF at 350 km
h 1 auxiliary equipment (e.g., air conditioning, heating, ventilation,
is 12.3% lower than that of the CRH380A, and the total resistance of and lighting), communication and signaling equipment, a bogie-
the CR400BF is 7.5% lower than that of the CRH380B. instability detection device, a journal box temperature-detection
Other countries have focused their efforts on strengthening the device, a fire and smoke alarm device, a passenger information sys-
train aerodynamic design and on research for HSRs. In Japan, dur- tem, and a diagnosis system.
ing the head shape design for high-speed EMUs, in-depth research More than 2500 monitoring points are set on each CR400AF/BF
was conducted on the air drag, aerodynamic noise, tunnel micro- EMU train. The sensors at these points collect more than 1500
pressure wave, and so forth. The heads of the high-speed EMUs items of vehicle status information, diagnose the operation faults
from the 0 Series to the 500 Series were gradually lengthened. In of the EMU in real time, and carry out automatic warnings or
order to mitigate the micro-pressure wave, unique head car shapes alarms in case of abnormality. For example, EMUs are equipped
were developed for the 700 Series and E4 Series. Japan has adopted with devices that monitor the wheelset and gearbox bearing tem-
a bionic shape design concept in its aerodynamic shape design for perature and the bogie lateral stability. When there is a warning or
high-speed trains since the development of the N700 Series. N700A an alarm, these devices promptly provide emergency treatment
and N700S have a ‘‘double-wing dorsal-fin streamlined head” opti- and maintenance suggestions, and automatically control the speed
mized by three-dimensional (3D) simulation, which can reduce the limit or train stopping according to the safety strategy, so as to
aerodynamic noise when the train enters a tunnel [11]. The ensure the operation safety of the EMU.
smoothed carbody and optimized shape can reduce the operation In all countries with a HSR, various sensors are installed at key
resistance. This experience has become mature through the design parts of high-speed EMUs to monitor all the parameters in real time
of the N700, E5, E6, and E7 Series. and prevent the occurrence of accidents. For example, France’s AGV
In order to improve the operation speed of trains, all countries EMUs are equipped with speed-monitoring devices, tripod cardan
with HSRs attach great importance to a lightweight design for shaft imbalance and fracture-monitoring devices, and car bearing
high-speed trains. A double-shell structure and a modular and temperature monitoring devices. The ETR1000 high-speed trains
integrated structural design have been adopted, and new structural provided by Bombardier for the Italian railway system (the ferrovie
materials have been used to reduce the carbody weight. At present, dello stato (FS)) are equipped with a remote diagnosis system based
the main carbody structure is a double-shell large hollow extruded on the train communication network system.
aluminum structure, which has been widely used for Japan’s main
models such as the 700, N700, and E6 Series. In Germany, the dou-
ble-shell structure is also used for new ICE trains. In Italy, many 3. Improved comfort and reduced life-cycle cost
light alloy materials are used for the car shell and interior of the
ETR 1000 high-speed trains. In this way, the carbody weight can In order to improve comfort, China and many other countries
be reduced and resources can be reclaimed and reused. take measures that include reducing noise and vibration, using

Fig. 8. Head car structure of the Fuxing EMU.

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 H. Zhao et al. / Engineering xxx (xxxx) xxx 9

Fig. 9. Structure of the middle car of the Fuxing EMU with the pantograph.

tilting devices, enlarging the passenger compartment space, A low floor design is adopted for France’s AGV trains, and the
adjusting seat spacing, introducing barrier-free facilities, and floor level is kept constant throughout the trains so that passengers
fine-tuning the temperature control in cars. can conveniently get on and off the trains. In addition, many new
high-speed trains have been improved by adopting an optimized
interior structure design; by setting up well-equipped toilets,
drinking water devices, and facilities for the disabled; by optimiz-
3.1. Optimizing the passenger compartment space
ing the passenger service information system; by providing access
to the wireless network; and by strengthening the interior air con-
The passenger interface design for the CR400AF/BF Fuxing
ditioning performance.
EMUs adheres to the people-oriented principle. Based on ergo-
nomics, the passengers’ seating space, occupied space, passing
space, and boarding and alighting space have been reasonable 3.2. Vibration and noise reduction
designed. The vehicle gauge was fully used for the EMUs. A width
of 3360 mm and a height of 4050 mm were set for all the carbody EMU interior noise control is a systematic work, which is
cross-sections. The cross-section area of the CR400AF/BF is 7% related to the carbody lightweight design, air-tightness design, lay-
more than that of the CRH380A, and is 10.5% more than that of out of equipment underneath the cars, optimization of the vibra-
the CRH380B. The carbody cross-section of the Fuxing EMU is tion-reduction structure, and selection of sound-absorption and -
shown in Fig. 10. insulation materials. In order to improve the riding comfort of
The CR400AF/BF Fuxing EMUs are equipped with a WiFi system CR400 EMUs, the carbody cross-section was increased; however,
for access to internet resource and the signal coverage. The EMUs this resulted in higher aerodynamic noise. In order to reduce the
provide passengers with access to the Internet or the train local operation resistance, equipment such as air conditioners and pan-
area network via their personal terminals for services such as audio tographs are installed in a sunken manner; however, this also has a
and video entertainment, game interaction, application downloads, great impact on the sound insulation in that area. Therefore, in
social contact/chat, and electronic reading. In addition, the EMUs order to reduce the noise level in passenger compartments, the
are equipped with a seat information-display system that is con- car-vibration and noise-reduction system was analyzed in terms
nected to the 12 306 ticketing platform via the Internet to collect of sound source, vibration source, and transmission path, and com-
ticketing information on the EMUs. The display system can realize prehensive treatment was carried out. For example:
electronic seat number indication and real-time seat ticketing sta- (1) The noise-transmission path was analyzed, sound insulation
tus display. and absorption methods were comprehensively used, and a multi-

Fig. 10. Carbody cross-section of the Fuxing EMU.

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10 H. Zhao et al. / Engineering xxx (xxxx) xxx

layer composite sound insulation and absorption structure was Low energy consumption can not only help to reduce train
designed and applied. operation cost, but also further enhance the advantage of HSRs as
(2) A streamlined design was adopted to reduce the aerody- an environmentally friendly transportation mode. In the ICE 3
namic noise on the car surface. and ICE 4 train design, priority was given to further reducing the
(3) It is difficult to reduce the low-frequency structural noise energy consumption. In the N700 and N700A high-speed trains,
arising from vibration by taking traditional noise-reduction mea- the car lighting is improved and the energy-consumption perfor-
sures based on sound insulation and absorption. Therefore, mance and environmental friendliness are strengthened based on
sound-vibration decoupling was done to reduce the structural the 700 Series. For example, LED lighting technology is applied to
noise. The carbody’s local structure, stiffness, and damping were the toilets; the seats are made of 100% recyclable new polyester
optimized, so as to minimize its local flutter and noise. material; stainless steel, instead of fiberboard, is used for the bogie
Since these vibration- and noise-reduction measures have been side plates; and the running air cooling system is used to realize a
taken, the interior noise indexes of the CR400AF/BF Fuxing EMUs fan-free converter.
are all better than those of the CRH EMUs. When the Fuxing EMUs
are running on the Beijing–Shanghai HSR at 350 km
h 1, the noise
3.4. Life-cycle cost is reduced
in the cab and passenger compartments is about 1–3 dB lower and
the noise at the end of the passenger compartments with the pan-
Cost-reduction considerations include design cost, manufactur-
tograph is about 6–7 dB lower than in the CRH EMUs.
ing cost, operation cost, and maintenance cost. A modular design is
In China and in other countries, various new technologies have
adopted to reduce the manufacturing cycle and cost. At the same
been integrated and applied to railways to reduce train noise. The
time, in order to reduce costs, some enterprises use double-deck
following measures were taken: The pantograph and sound insula-
EMU trains to reduce the unit seating cost and increase revenue.
tion board were developed with a new low-noise structure, new
France’s TGV Duplex trains are an exemplar of this aspect. Japan’s
sound-absorption materials were used for the carbody side-wall
E4 EMUs also adopt a double-deck train design. In addition, the
skirt baffles and floors, and overlapping metal shields were set
traditional maintenance mode, which is based on periodic mainte-
up between the cars. For example, the new type of single-arm
nance, results in a certain degree of over- and under-maintenance.
multi-segment low-noise pantograph that is used for Japan’s E5,
Transmitting onboard conditions and fault information to the vehi-
E6, and E7 EMUs, together with other noise-reduction measures,
cle maintenance depot via the train-to-ground wireless communi-
maintains the environmental noise at the 275 km
h 1 level when
cation and replacing traditional scheduled maintenance with
the train is running at 320 km
h 1. In addition, low-noise pan-
maintenance based on the current condition is a method that is
tographs and sound insulation materials with excellent perfor-
widely used by various countries to improve maintenance
mance are used in the E5 EMUs, and the window-glass interlayer
efficiency and reduce maintenance cost.
is thickened; sound insulation materials with good performance
The service life of Fuxing EMUs is 30 years. In consideration of
are used for the carbody side; the bogies are equipped with enclo-
operation and maintenance costs, a design based on interoperabil-
sure to isolate the noise in the rotating area under the car; the
ity and a unified type has been adopted in order to realize mutual
change in carbody height throughout the whole train is kept small,
multiple operation, rescue, and hot standby for the EMUs, improve
the contour is smooth, and there is no gap between cars; and the
their utilization, and reduce the operation cost. A standard modu-
sound-absorbing material for the carbody can effectively absorb
lar series product design has been applied to the EMUs, reducing
the reflected noise between the rail and the carbody.
the types and quantity of spare parts and cutting down on opera-
tion, maintenance, and repair costs. The EMU control network
adopts the wired train bus (WTB) for the train level and the multi-
3.3. Energy conservation and environmental friendliness
function vehicle bus (MVB) for the car level. The maintenance net-
work adopts Ethernet, and the train-to-ground communication
Energy conservation and environmental friendliness are some
adopts 4G mobile communication technology, as shown in
of the most important development directions for high-speed
Fig. 11. The EMUs are equipped with wireless transmission devices,
EMUs, both in China and internationally, due to the requirement
which perform storage of fault data and wireless transmission of
for sustainable development of the global environment. The man-
remote data. The ground expert system receives the wireless trans-
ufacturer of the CR400AF/BF Fuxing EMUs, like domestic and for-
mission data and imports it into the database. The application plat-
eign rolling stock manufacturers, has taken many measures in
form fulfills the functions of EMU operation status monitoring,
this regard:
fault warning, safety evaluation, auxiliary maintenance, operation
(1) The efficiency of the traction system has been improved,
and maintenance decision support, and so forth. By establishing a
including the use of a new power-conversion device and traction
prognostic and health management (PHM) model, the mainte-
motor, and the adoption of an optimal control strategy.
nance procedure and system for the Fuxing EMU components have
(2) The weight of the trains has been reduced, so as to fulfill the
been further optimized based on intelligent management.
goal of an overall light weight, by optimizing the design of individ-
In the future, based on intelligent technology, expert system
ual components.
fault-diagnosis models, big data analysis, data mining, and other
(3) The operation resistance has been reduced and the stream-
functions, the fault-prediction and health-evaluation functions will
lined-shape structural design has been improved for high-speed
be further enhanced for the EMUs. ‘‘Predictive” maintenance will
trains in terms of high-speed train aerodynamics, so as to reduce
be implemented in advance to ensure safe and reliable EMU oper-
resistance and increase energy conservation.
ation and to further reduce the life-cycle cost.
(4) Automatic/assisted driving technology has been adopted to
achieve optimal operation control, improve energy efficiency, and
reduce energy consumption. 4. Conclusion
(5) Low-energy-consumption equipment and technology have
been adopted, such as LED lighting technology, and high-efficiency In general, in order to realize the high speed and safe operation
intelligent air conditioners have been used to utilize waste heat. of HSR EMUs, technical problems such as the wheel-rail relation-
(6) Degradable, pollution-free, and highly flame-retardant syn- ship, pantograph-OCS relationship, resistance and noise reduction
thetic ester oil is used as the transformer-cooling oil. must be overcome. Continued exploration of new technical

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org/10.1016/j.eng.2020.01.008
 H. Zhao et al. / Engineering xxx (xxxx) xxx 11

Fig. 11. The TCN + Ethernet + 4G mobile communication technology architecture adopted for the network control communication system. TCN: train communication
network; GPRS: general packet radio service (base on GSM); 3G: the 3rd generation communication system; 4G: the 4th generation communication system; WLAN: wireless
local area network; ECNN: Ethernet consist network node; EGWM: gateway module with Ethernet interface; EVCM: vehicle control module with Ethernet interface; WTD:
wireless transmit device; AP: access point; GSM-R: global system for mobile communications for railway; CARS: China Academy of Railway Sciences Co., Ltd.; EOAS: EMU
engineer operation analysis system; PTU: portable unit (laptop).

solutions and advanced technical applications should be conducted HSR system will become the future trend of HSR development in
to improve the comprehensive technical performance of EMUs. In China and in the world at large.
order to attract more passengers, improving the comfort of trains
is also an important consideration in many countries. In order to References
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Please cite this article as: H. Zhao, J. Liang and C. Liu, High-Speed EMUs: Characteristics of Technological Development and Trends, Engineering, https://doi.
org/10.1016/j.eng.2020.01.008